Risk-based Corrections Risikoorientierter Sanktionenvollzug, ROS Introduction

Transcription

1 Risk-based Corrections Risikoorientierter Sanktionenvollzug, ROS Introduction Risk-based Corrections

2 Target and purpose of Risk-based Corrections (ROS) The approach by the method of risk-based corrections (ROS) aims at reducing recidivism during and after corrections. In doing so, not only the implementation of standardised processes and working instruments are the main issues. Moreover, it is also important in the daily practice of the highly differentiated field of work, i.e. corrections, rehabilitation and probation assistance, to develop a common language along with partners from correctional facilities, therapeutic institutions and therapy institutes which enhances clear correctional decision-making that is transparent for the convicted offenders too. The term risk orientation is meant to emphasize the significance of systematic identification and influence of those characteristics of a person and his/her living circumstances that are in a functional context with possible re-offending processes and to show their importance for reaching the goal, meaning effective corrections that serve to prevent the potential risk of re-offending. Risk orientation cannot be separated from the mandate of resocialization provided to an offender, but in fact contributes extensively to this. Social integration without prevention of re-offending cannot achieve sustainable success. Risikoorientierter Sanktionenvollzug

3 Table of contents Target and purpose of Risk-based Corrections Why Risk-based Corrections (ROS)? Scientific fundamentals ROS process steps and ROS working tools ROS as a best practice model

4 4 Why Risk-based Corrections (ROS)? Starting position Avoiding recidivism is a correctional goal that is formulated at different levels. The Swiss Criminal Code (CC) assigns to the Execution of Sentences and Measures Unit the task to encourage an improvement in the social behaviour of the prison inmates, and in particular their ability to live their lives without offending again (Article 75 CC). The same applies to the Probation Assistance Unit which is intended to protect the probationers from reoffending and enable their social integration (Article 93 CC). Even though the existing practice of the correctional authorities took into account the said goals, some incidents have occurred in Switzerland during correctional processes that raised the question of a more thorough professional foundation for the implementation of corrections. Intense and sometimes very emotional debates, particularly in the media and politics, about security in the correctional system demonstrated the need for evidence-based corrections. The concept of risk-based corrections follows the previous developments in the Canton of Zurich: the offence-based approach of the Psychiatric-Psychological Services (Psychiatrisch-psychologischer Dienst, PPD) and the concept of the risk-based probation assistance of the Probation and Correctional Measures Unit (BVD) of the Office for Penal Correction of the Canton of Zurich. ROS provides fundamentals and guidelines for a systematic and practically oriented implementation of scientific principles that have proven to be effective in the daily interaction with offenders. In order to fullfill the increased technical requirements of the interaction with offenders and to enable the uniform implementation over all involved professionals and institutions over all phases of the correctional process, the Probation and Correctional Measures Unit (BVD) of the Office for Penal Correction of the Canton of Zurich has developed an integrated work process and working tools. Within the framework of a field study called Risk-based Corrections (Risikoorientierter Sanktionenvollzug, ROS), subsidized by the Federal Office of Justice, the concept of the risk-based corrections was gradually implemented into the practice of the correctional process in the Cantons of Lucerne, St. Gallen, Thurgau and Zurich and scientifically evaluated in the years 2010 to The processes and instruments of Risk-based Corrections are supposed to incorporate the work provided by all correctional specialists and institutions and to gain a standardised cross-functional and cross-departmental implementing practice. The processes and instruments are not specifically tailored to the conditions of the cantons involved in this field study and can be transferred to the practice of other cantonal correctional authorities. As a result, the field study showed to what extent and by what methods it is possible to introduce the best practice-model Risk-based Corrections (ROS) in the different organisational conditions of the cantons involved. Risikoorientierter Sanktionenvollzug

5 Why Risk-based Corrections (ROS)? 5 What is the benefit of Risk-based Corrections (ROS)? Correctional Authorities In so doing, the roles, tasks and processes of all professional disciplines and institutions involved in the Working partner correctional system shall be specified and coordinated. One main concern is to optimize existing interfaces. The goal is to support the case managers by providing them more forensic structured knowledge authorities in their ability to assume the overall res- gradually from ponsibility closed for prison the correctional planning and to be a opening to probation partner to assistance the correctional institutions for an intense and steady professional exchange. ROS focuses on offenders showing a likelihood of committing sexual and violent crimes. As a continuous process ROS provides the central theme across all correctional phases and institutions including probation assistance. Thus, a common understanding of the case is created which is enhanced by the use of a uniform terminology. ROS has proven to be a feasible approach that encourages a general raising sensitization of risk in all professionals involved. Correctional Authorities Screening Assessment Planning Correctional process Working partner gradually from closed prison opening to probation assistance Figure1: Risk orientation across the entire correctional process

6 6 Scientific fundamentals no correctional process list? Report individually structured RNR-Principles Risk, correctional Need, Responsivity process list Principles of effectiveness are generally understood as the fundamentals of practical correctional acts whose realisation provides the highest possible degree of reducing recidivism. The main principles of effectiveness may be summarized in the so-called correctional process list RNR-model: the risk principle, the need principle 1 and the responsivity principle. 2 3 The risk principle explains that intensity of treatment... and care provided to an offender should be defined by the recidivism risk posed by him/her. The important matter here is: the higher the risk of re-offending, the more intensive the care and treatment of the of-?? Report individually structured fender must be arranged. High intensity of treatment services delivered to low risk offenders has hardly any positive impact and may even lead to risk-enhancing effects. standardised The need principle report stipulates formthat contents and themes of treatment or care services should match the 1 2 offender s problematic areas that are relevant for 3 the risk of re-offending.... These dynamic, i.e. ever changing risk factors, define the need for intervention from the point of view of reducing recidivism. Only addressing risk relevant problems leads to recidivism reducing effects. However, a strict separation Risk principle Who has a high risk of re-offending? How much intervention is necessary? Need principle What are the individual risk factors? What must be addressed? Responsivity principle What form of intervention must be chosen? How is willingness to change encouraged? Figure 2: Principles of effectiveness in the treatment of offenders Risikoorientierter Sanktionenvollzug

7 Scientific fundamentals 7 along with an exclusive concentration on risk factors should not be deduced from the need principle. Addressing non-criminogenic problem areas can reduce the current stress-related problems of the offenders concerned, encourage their social integration and enhance their willingness to treat risk-relevant problem areas. The responsivity principle refers to the choice of methods used in the treatment of risk factors. It means that the methods must be chosen so as to enable the greatest possible influence on the offenders in treatment or care. The general responsivity principle refers to cognitive-behavioural forms of interventions that have proven highly effective in case of changes of offence-relevant attitudes and behaviours. Here, interventions such as skill training, positive feedback and cognitive restructuring should be provided. The specific responsivity principle refers to the need to orientate oneself towards personality traits, styles of relationship and communication as well as motivation for change of a person in treatment or care in order to enhance his/her willingness to cooperate and change.

8 Scientific fundamentals 8 Practice transfer of the principles of effectiveness From the above principles of effectiveness the following demands on scientific corrections can be identified: An individual risk/need-assessment must be conducted giving information on the risk of relapse and the risk factors and showing the need for intervention in a case-concept. This concept must be based on an offence hypothesis that enables a clear understanding of the case by which the intensity of the treatment, its subjects and change goals are defined. The correctional planning must be based on the said understanding of the case and picture on the one hand conclusions on the intensity of treatment and care and on the other the need of intervention and change. Effective forms of intervention must be used in order to change criminogenic attitudes and behaviours. In so doing, an individual offer of supportive relationship and the current motivation to cooperate and change should be kept in mind. The implementation of the principles of effectiveness in the practice is demanding for several reasons: The principles of effectiveness are counterintuitive and contrary to the traditional ideas of planning and implementing an intervention. While the general understanding is that an equal distribution of available resources to all offenders in care and treatment is fair, the risk principle requires the focusing on high risk offenders in order to reduce recidivism. The planning of interventions is no longer the result of an open negotiation process in which all ascertainable problem areas are equally important because the principle of need primarily requires the addressing of risk relevant problem areas. Persons who are ready to comply with care or treatment offers are not necessarily those presenting a high need of treatment. High risk offenders, however, quite often show little motivation to cooperate and change The kind of subjects that were addressed and the progress made in the individual subject areas should be verified. Risikoorientierter Sanktionenvollzug

9 Scientific fundamentals 9 Requirements on ROS In order to meet the above requirements on implementation of the principle of effectiveness in the correctional practice, ROS must comply with the following: First, a screening procedure should reliably identify potential high risk offenders in order to arrange for a more thorough assessment if need be. Secondly, this assessment should classify in a structured way the risk of re-offending and the need for intervention, and sum them up in a case concept serving as a basis for a common understanding of the case and the correctional planning. The professional exchange between correctional authorities and correctional facilities should be intensified and contents of the assessment and the correctional planning should be included in the corrections, measure and therapy plans. The assessment results should lead to the definition of targeted individual interventions designed for the addressing of risk relevant problem areas. In addition, systematic monitoring of risk relevant symptoms and incidents during corrections should take place.

10 10 ROS process steps and ROS working tools In order to enhance the implementation of the principles of effectiveness in everyday corrections, a structured process using the following four process steps screening, assessment, planning and correctional process as well as associated ROS working tools have been developed. Opening of the case Screening Case Screening Tool A B C Assessment ROS assessment* ROS assessment Planning case overview* case overview Correctional process standardised reporting* risk consultations standardised reporting Case closure *currently under development Figure 3: New approach for the ROS working process as from July 2012 legal perspective FaST Risikoorientierter Sanktionenvollzug

11 ROS process steps and ROS working tools 11 Screening Case Screening Tool Screening starts after the opening of the case by the correctional authority and its assignment to one of the departments. The objective of this process step is to identify those cases in which a more in-depth assessment of risks and needs is required since it is not necessary from the technical viewpoint and impossible from the economic view to conduct such assessments for every case. There could be another screening process which would determine who within the department should be in charge of certain cases. The so-called Case Screening Tool (FaST) is used to define this level of assessment. It includes five characteristics that can be gathered from the extract from the judicial record, thus not requiring a comprehensive study of the file: the committed offence, previous convictions, current and earlier measures, additional problematic aspects and risk minimizing characteristics. As a result, the tool distinguishes so-called A-, B- and C-cases. In A-cases there are little or no indications of a higher probability of re-offending. Indications of a higher probability of general re-offending lead to a categorization as a B-case. Classification as a C-case occurs if there are indications of a higher risk to commit violent and/or sexual crimes. Categorization as B- and C-cases requires an in-depth assessment.

12 ROS process steps and ROS working tools 12 Opening of the case Case Screening Tool A Assessment ROS assessment* ROS assessment B C ROS assessment case overview* In the process step Assessment a structured assessment of the individual risk of recidivism and of the need of intervention is made by the Department for forensic-psychological assessments reporting* (Abteilung für Fo- standardised rensisch-psychologische Abklärungen, AFA), a specialized unit within the correctional authority. The ROS assessment is conducted file-based and takes into account any feedback provided by other specialists involved in the case (e.g. case manager, therapists, social workers in the correctional institutions). Apart from an analysis of the file, the assessment includes a standardised risk assessment. risk consultations Case closure The goal is to develop a case concept that points out the problem areas, defines which among them are risk relevant and specifies what factors must particularly be taken into account in the correctional proceedings. Figure 4: The case manager in the field of tension between legal, forensic and practical perspectives in corrections case overview As a result of the ROS assessment, an individualised case concept is written out. standardised It includes reporting a clinical-prognostic overall assessment of the individual offence risk (risk quantification) the actual risk-relevant person-related and environment-related problem areas, which are linked in a functional context (offence mechanism) case-specific statements concerning offence-relevant responsivity recommendations with regard to necessary interventions and monitoring The case concept resulting from the ROS assessment is the basis of the correctional planning and *currently under development the therapy plan. It may be seen as a recurring theme that is at the core of corrections. It is also possible that ROS assessments are conducted in the course of the correctional process. legal perspective perspective of correctional practice forensic perspective NEW C 0% Risikoorientierter Sanktionenvollzug

13 ROS process steps and ROS working tools 13 Ressourcen stärken Risiko minimieren Planning case overview vor ROS jährlich ca. 60 Risikoabklärungen in Zürich 60 In the process step Planning the assessment results A case overview is established for the planning process. This is a list summarizing the contents that are are transformed by the correctional agency into an interventional planning. The latter includes the demands on change-related, support-oriented and case (results from the ROS assessment, from the re- relevant for the correctional planning in the specific seit ROS jährlich ca. 300 Risikoabklärungen and in Zürich monitoring as well as controlling interventions. 300 It is the basis of the case cord 100sheet environment management by the correctional agency and an from any other assessment made by the committing equivalent to such correctional plans and measures authority or the neu correctional jährlich ca. facility). 100 Risikoabklärungen im Auftrag der It differentiates as are established by correctional facilities. between risk-reducing interventions, case-specific Kantone LU, SG, TG control processes and additional problematic situations of the person, which must be addressed. Closed correctional schemes Open correctional schemes External work / External residence and work Probation assistance problematic areas interventions Figure 5: risk-relevant problematic areas of an offender are continuously addressed across different stages of corrections and different correctional facilities. Each problematic area (No 1 to 4) can be addressed in the different settings with different intensity. It is possible that certain problematic areas become apparent only during the corrections and must then be integrated in the case concept. Ideally, the addressing of certain problematic areas can be completed in the correctional process.

14 ROS-Prozessschritte und ROS-Arbeitsmittel 14 Correctional process standardised reporting In the process step Correctional process the developments during the correctional proceedings are laid down in standardised sanction-specific reports. These reports verify whether at all the individual risk and problem profile is addressed thanks to the planned interventions and how successful the work is. Based on general risk awareness, indications of potentially risk-relevant developments are looked out for during the entire course of the correctional process. Where necessary, a risk consultation with the AFA, the Department for forensic-psychological assessments, is carried through in which such conspicuous behaviour patterns are analysed in the forensic-prognostic point of view from which appropriate reactions are deduced. In the working phase Correctional process ROS correctional process lists are used for a structured report processing within a differentiated process. These lists serve to check completeness and meaningfulness of therapy reports with regard to risk-relevant problem areas in in-patient or out-patient treatments correctional reports reports from the probation assistance unit reports established after completion of a risk-oriented intervention programme or of structured interventions enhancing the risk-relevant awareness of problems and the willingness to change Risikoorientierter Sanktionenvollzug

15 15 ROS as a best practice model ROS is not a new method but a best practice model by which penal corrections are supposed to be strengthened by providing more detailed forensic-psychological knowledge to the case manager which should strengthen the cooperation with the institutions. The concept of risk orientation underlying the field study does neither challenge the guiding principle of resocialization of offenders nor is it opposed to this concept. It rather opens an approach to successful (re)integration. Social (re)integration cannot achieve sustainable success without working on the risk factors and the targeted reduction of the relapse risk since there is hardly any other behaviour that jeopardizes as much the integration as recurrent violations of legal provisions. Offenders who tend to break social rules in certain critical situations are subject to a particularly high risk of being excluded from social relations when convicted. Prevention of relapse does not only protect potential victims but also the potential offender himself from the consequences of offences, thus being a central element of social integration. ROS does not mean a paradigm shift for correctional services but rather provides more systematization and structure for interaction with offenders in an integrated process. Besides, ROS benefits from proven scientific knowledge in the planning and monitoring of the treatment of offenders.

16 Contact Info ROS Projekt- & Qualitätsmanagement Bewährungs- und Vollzugsdienste Feldstrasse Zürich