Corrective Services NSW Offender Classification & Case Management Policy & Procedures Manual 3.1 CORRECTIVE SERVICES NSW (CSNSW) CASE MANAGEMENT POLICY TABLE OF CONTENTS 3.1 CORRECTIVE SERVICES NSW (CSNSW)... 1 CASE MANAGEMENT POLICY... 1 TABLE OF CONTENTS... 1 3.1 CSNSW Case Management Policy... 3 3.1.1. Policy Overview... 3 3.1.2. Purpose... 3 3.1.3. Scope... 3 3.1.4. Strategic Focus... 3 3.1.5. Legislation... 3 3.1.6. Related Policies... 3 3.1.7. Definitions of Case Management... 4 3.1.8. Assessment... 4 3.1.9. Duty of Care... 4 3.1.10. Influence and Advise Sentencing and Releasing Authorities and Other Government Agencies.. 5 V1.4 January 2016 Chapter 3.1 CSNSW Case Management Policy Page 1 of 9
3.1.11. Levels and Areas of Intervention... 5 3.1.12. Case Planning... 6 3.1.13. Allocating Case Supervisor/Manager and Case Officers... 6 3.1.14. Monitoring and Evaluation... 7 3.1.15. Efficient Use of Resources... 7 3.1.16. Establishment, Maintenance and Management of Comprehensive and Accessible Case Records... 7 3.1.17. Business Processes for Policy Implementation... 8 3.1.18. Intake Reception/Screening process... 8 3.1.19. Assessment process... 8 3.1.20. Court Advice Automated Distribution Process... 8 3.1.21. Order/Sentence Management Process... 8 3.1.22. Programs Process... 8 3.1.23. Discharge Process... 8 3.1.24. Alerts... 8 3.1.25. Contact with Offenders... 9 3.1.26. Staff who Work in Correctional Facilities... 9 3.1.27. Grooming... 9 V1.4 January 2016 Chapter 3.1 CSNSW Case Management Policy Page 2 of 9
3.1 CSNSW Case Management Policy 3.1.1. Policy Overview CSNSW is bound by legislation to utilise case management as the organising principle and key strategy for offender management. Its purpose is to advance CSNSW s Statement of Purpose: Corrective Services NSW delivers professional correctional services to reduce reoffending and enhance community safety. 3.1.2. Purpose To establish an integrative case management policy that encompasses offender management within the community and correctional centres, underpinned by the Throughcare Strategic Framework. 3.1.3. Scope This policy applies to all CSNSW staff and contractors managing offenders in New South Wales. 3.1.4. Strategic Focus Corporate Plan 2009 2012 Cultural and Linguistic Diversity Strategic Plan 2010 2012 Throughcare Strategic Framework 2005 NSW 2021: A Plan to Make NSW Number One 3.1.5. Legislation Crimes (Administration of Sentences) Act 1999 Crimes (Administration of Sentences) Regulation 2014 Births, Deaths and Marriages Registration Act 1995 Government Information (Public Access) Act 2009 (GIPAA) Work, Health & Safety Act 2011 Work, Health & Safety Regulation 2011 Privacy and Personal Information Protection Act 1998 Children and Young Persons (Care and Protection) Act 1998 Prisoners (Interstate Transfer) Act 1982 Prisoners (Interstate Transfer) Order 2010 Prisoners (Interstate Transfer) Regulation 2009 3.1.6. Related Policies Community Offender Services Policy and Procedures Manual Custodial Corrections Operations Procedures Manual Category AA and Category 5 Offenders: Management Regime V1.4 January 2016 Chapter 3.1 CSNSW Case Management Policy Page 3 of 9
Case Management of Offenders Policy and Procedures 3.1.7. Definitions of Case Management Case management is a service delivery approach widely adopted across many areas of social services, including health, employment, housing and corrections. The principle that underpins case management is individualised service delivery, based on comprehensive assessment that is used to develop a case or service plan. The plan is developed in collaboration with the individual and realised through individual and group intervention strategies. To operate effectively, case management requires strong leadership and policy development, structural arrangements to support service delivery, staff who have been adequately trained and strategies to ensure that the agency can respond to evidence gained from practice. Case management incorporates the following: Assessment Case planning Implementation of interventions Monitoring and evaluation Efficient use of resources Establishment, maintenance and management of comprehensive accessible case records Case management relies upon processes to ensure that case plans are appropriate, clearly contracted and monitored. Interactions of all staff should be informed by the case plan to maintain quality and consistency in service provision. 3.1.8. Assessment In the effort to achieve CSNSW s Statement of Purpose, the assessment of offenders is undertaken in order to: Discharge duty of care Influence and advise sentencing and releasing authorities Guide levels and areas of intervention Plan for integration into law-abiding community living 3.1.9. Duty of Care Duty of Care requires everything reasonably practicable to be done to protect the health and safety of everybody in the workplace. This duty is placed on all employers, their employees, and any others who have an influence on maintaining safety in the workplace. Therefore, a thorough and timely assessment will be made of every offender coming under CSNSW s responsibility, to determine the nature and level of risk to the health and safety of the offender, and the level of risk that the offender may pose to staff and any others in the workplace, including other offenders. Such assessments will utilise information from a variety of sources and processes, and in the custodial environment is known as intake or reception/screening. This discharge of Duty of Care also requires an induction process the provision of information to offenders that will lower risks to health and safety, and minimise stress and anxiety. V1.4 January 2016 Chapter 3.1 CSNSW Case Management Policy Page 4 of 9
It is essential that information gathered in the intake or reception/screening process is effectively communicated to all staff having responsibility for, or significant interaction with, an offender. This contributes to the evolving offender profile and the ongoing holistic assessment in the case management of the offender. 3.1.10. Influence and Advise Sentencing and Releasing Authorities and Other Government Agencies CSNSW prepares reports in order to assist judges and magistrates to determine the most appropriate sentence for offenders who have been found guilty of an offence. CSNSW also prepares reports to assist the State Parole Authority and other releasing authorities to determine whether to release an offender to the community and under what conditions. The agency also prepares reports for other state, interstate and Commonwealth agencies. These reports canvass issues of significance and relevance to an offender s background, offending behaviour, efforts to address offending behaviour, current circumstances, post release plans and suitability for community based sentencing options. They should only be prepared after fresh contact with an offender and may involve a number of interviews with the offender and significant family or social contacts and contact with other professionals. All information is verified. The information contained in these reports contribute to the evolving offender profile and the ongoing holistic assessment in the case management of the offender. 3.1.11. Levels and Areas of Intervention International research known as the What Works literature has established that appropriate assessment of an offender s risk of re-offending can identify dynamic areas of risk that can be targeted by accredited programs or other intervention strategies to reduce that risk. Wherever practicable, such assessment will be conducted on offenders following from, and based on, their intake or reception/screening. The most comprehensive risk-assessment instrument used by CSNSW is the Level of Service Inventory Revised (LSI-R). However, the LSI-R should be used in conjunction with other information and assessment tools where relevant in order to increase the effectiveness of the assessment process. CSNSW s objective is to administer the LSI-R to all sentenced offenders in custody who have received a sentence of over six (6) months (from time left to serve from date of sentencing), offenders who are subject to a full pre sentence or pre release report for a sentencing or releasing authority and all offenders subject to a supervision order in the community. However, the LSI-R is not required to be administered if a current and valid assessment exits. At the completion of an assessment period, the following outcomes are expected: A comprehensive profile of the offender s criminal and social history A rating of the risk of re-offending A listing of dynamic factors related to the risk of re-offending A listing of strengths, assets and positive opportunities which may mitigate against the risk of reoffending (Protective Factors). V1.4 January 2016 Chapter 3.1 CSNSW Case Management Policy Page 5 of 9
Plan for Integration into Law-Abiding Community Living Planning for an offender s integration into law-abiding community living commences when an offender first comes under the responsibility of CSNSW and continues throughout the legal order or sentence. This is the principle of throughcare. 3.1.12. Case Planning A case plan will be drawn up for each sentenced offender, based on the outcomes of the assessment process, interviews with the offender, and any other relevant material available, such as comments made by the sentencing authority. Wherever possible, it should be drawn up in the presence of, and with the collaboration of, the offender. It should specify the programs or interventions that stem from the needs identified in the assessment process, with regard to reducing the dynamic risk factors and addressing offending behaviour. A case plan will also specify time-frames for programs and interventions, and a date for the review of the case plan. In developing an offender s case plan, staff must be mindful of the availability of approved and accredited programs and services, and their eligibility and exclusion criteria. Case plans must be regularly reviewed to monitor progress, compliance and appropriateness. Reviews should be undertaken at specified standard intervals, and more regularly when deemed necessary, or when there is a significant change in circumstances. Wherever possible, reviews should be undertaken in the presence of, and with the collaboration of, the offender. For unsentenced offenders, a services plan will be drawn up to address the offender s immediate risks and needs and to meet CSNSW s Duty of Care responsibilities. 3.1.13. Allocating Case Supervisor/Manager and Case Officers On arrival at his/her gaol of classification, or latest within 7 days of arrival, or within 7 days after the legal order or sentence is registered, the offender is to be allocated a Case Supervisor/Manager and Case Officer and provided with the case officer s name. i. It is mandatory for all Sentenced offenders at their gaol of classification to be assigned a case officer within 7 days of arrival ii. iii. The decision to allocate case officers to other offenders (unsentenced inmates in custody for longer than 3 months, sentenced offenders in-transit to their gaol of classification) other than (i) above rests with the local centre management. Such allocations assist the inmate adjust to his/her time in gaol The Correctional Centre Intelligence Officer is to be assigned as the case officer for all Category AA and Category 5 offenders The Case Officer must be informed in writing of each allocated offender on his/her caseload and their responsibilities towards each case. These responsibilities include conducting a monthly, or more frequently if required, casework interview followed by a Monthly Case Note entry in OIMS. Such casework interviews aim to motivate and encourage the offender to comply with their case plan. These interviews also assist in determining the offender s progress of settling into their correctional experience, behaviour and are a rich source of dynamic security. Each offender interview must be documented by case officers making a case note entry in OIMS that is a true, accurate and comprehensive account of the interview. Case Officers will be pro-active in advocating to meet the needs of offenders given that the service they are providing will require different responses from within CSNSW and across agency boundaries. Case Officers must ensure that the needs of offenders on their caseloads are recorded and referred to the appropriate service. It is essential to maintain service continuity as the offender moves through the various stages of the management of the sentence. V1.4 January 2016 Chapter 3.1 CSNSW Case Management Policy Page 6 of 9
3.1.14. Monitoring and Evaluation Monitoring CSNSW s compliance with the principles of case management will be conducted through regular reviews. All programs will be evaluated with regard to their effectiveness according to their stated objectives. All staff across CSNSW will have the capacity and the obligation to contribute to the monitoring and evaluation of the case management process. Improved data capture and reporting will allow for the revision of policy and procedures in response to evidence gained from the practice. 3.1.15. Efficient Use of Resources Case management is a service delivery approach that requires considerable resources to work effectively. However, the intensive case management of offenders at low risk of re-offending would represent a waste of resources. The What Works literature emphasise that the most effective programs/interventions are intensive, longterm and aimed at those of medium-high to high risk of re-offending. It also establishes that when low-risk offenders are made to undertake intensive programs their risk of re-offending can actually increase. Therefore, systems must be in place to determine, for each offender, the level of service required and resources allocated. 3.1.16. Establishment, Maintenance and Management of Comprehensive and Accessible Case Records Every offender under the jurisdiction of CSNSW will be issued a Master Index Number (MIN) on first contact with the agency. The MIN will be the primary identifier of the offender. Through a combination of physical and electronic records, offender information will be recorded that will establish the content of the case record and contribute to the evolving offender profile. The offender record will include: Order / sentence details Offender details and current circumstances Assessments or assessment summaries Case plan Case notes Status and progress of any programs or interventions Information alerting staff to significant management issues Professional reports Discharge summary (if applicable) Any other information relevant to the effective management of the offender. Information will also be made available to other government departments and external agencies where appropriate, and with consideration given to privacy legislation. V1.4 January 2016 Chapter 3.1 CSNSW Case Management Policy Page 7 of 9
3.1.17. Business Processes for Policy Implementation The effectiveness of case management depends upon the implementation and maintenance of the following business processes. 3.1.18. Intake Reception/Screening process The collection of relevant information to support each step in the whole-of-sentence management of offenders, and the development of a comprehensive offender profile and integration plan, must commence at intake or reception / screening through the application of standard instruments, forms and screens. 3.1.19. Assessment process Objective assessments, through the application of standard instruments such as the LSI-R, must drive the identification and verification of offender needs which will underpin the development of the whole-ofsentence management plan and contribute to the evolving offender profile. 3.1.20. Court Advice Automated Distribution Process Management and distribution of advice and notifications received from and provided to sentencing and releasing authorities, throughout an offender s order, are automated through effective electronic interfaces. 3.1.21. Order/Sentence Management Process Order management and administration must include the identification and assessment of the specific obligations of the legal order, the sentencing and releasing authorities directions and the offender s circumstances. 3.1.22. Programs Process Accredited and targeted programs, services and interventions are based on objectively identified and assessed offender needs within the directions of the sentencing and releasing authorities and delivered by skilled staff in an appropriate environment. 3.1.23. Discharge Process At the time of releasing the offender from the responsibility of CSNSW, all pre-release and integration plans should have been implemented and a formal review of all legal documents relating to the offender must be undertaken to ensure that all legal responsibilities are discharged. A Discharge Summary for all offenders released from custody and community supervision is to be completed. 3.1.24. Alerts CSNSW will ensure that the assessment process gives provision for staff to consider, for each offender, the level of risk of: Self-harm or suicide Violent behaviour Health problems including mental health or a disability Care and placement (association) problems Problems with legal or immigration matters Security or administrative problems And, where the risk may be significant, to place an alert on OIMS. V1.4 January 2016 Chapter 3.1 CSNSW Case Management Policy Page 8 of 9
The purpose of the alert is to effectively communicate any risks or management problems to all staff who have responsibility for, or significant interactions with, the offender, and to lessen the risk of harm to the offender, other offenders, staff and the community. All staff members should review any alerts relating to an offender prior to interviewing them. 3.1.25. Contact with Offenders CSNSW recognises the different roles carried out by the various sections of the agency have differing aims and values which affect the way in which staff manage offenders. All staff, whatever their role, need to be aware of the dangers of inappropriate contact with offenders and former offenders and the fact that they can be subject to exploitation and manipulation or the perception of improper conduct. Staff therefore need to be aware at all times of the importance of having only appropriate and professional contact with current or former offenders. 3.1.26. Staff who Work in Correctional Facilities Staff based in correctional facilities will have frequent and direct contact with offenders which could expose them to manipulation. Staff can be compromised by offenders if they break the rules, even in minor ways, and experience has shown that this may lead to threats and intimidation or pressure to traffic contraband into a correctional facility. It is appropriate for all staff working in correctional facilities to be supportive towards offenders, since that is an important part of their job, but they must be aware of the risk of getting too close to an offender and the danger of breaking the rules. 3.1.27. Grooming If an employee suspects that they may be being groomed, exploited or manipulated by an offender or any person associated with the management of the offender, for their own protection they should report their suspicions in writing and under advice from their supervisor and take prompt action to neutralise the situation. Reviewed January 2016 V1.4 January 2016 Chapter 3.1 CSNSW Case Management Policy Page 9 of 9