Commissioner's Directive

Special Handling Unit

PURPOSE

  • To contribute to the safety of staff and inmates and to the security of the institution by providing a safe and humane environment in the Special Handling Unit for those inmates who pose an ongoing danger to staff, other inmates or the public, and who cannot be safely managed at any other maximum security institution
  • To ensure measures used for those inmates who pose an ongoing danger are consistent with the protection of society, staff members and offenders and are limited to only what is necessary and proportionate to attain the purposes of the Corrections and Conditional Release Act

APPLICATION

  • Applies to all staff involved in the case management, review and transfer of inmates to and from the Special Handling Unit

RESPONSIBILITIES

National Headquarters

  1. The Senior Deputy Commissioner will:
    1. establish a National Advisory Committee
    2. participate in the review of, and make the final decision whether to transfer to, maintain at, or transfer inmates from the Special Handling Unit (SHU)
    3. chair the administrative meetings of the National Advisory Committee
    4. take into consideration and document an inmate's state of health and health care needs when making a decision to transfer an inmate to or from the SHU
    5. in collaboration with the Regional Director, Health Services, when it appears that an inmate is suffering from a mental disorder requiring essential mental health care at the time of the preparation of his case for transfer to the SHU, ensure all reasonable efforts have been made to initiate treatment prior to the decision on the transfer.
  2. In the absence of the Senior Deputy Commissioner, the Assistant Commissioner, Correctional Operations and Programs, will perform the duties of the Senior Deputy Commissioner under this policy.
  3. The National Advisory Committee is comprised of:
    1. an executive from National Headquarters (NHQ), to be known in this directive as the Senior Advisor
    2. the file manager at NHQ, identified by the Senior Advisor
    3. select Institutional Heads of maximum security institutions and/or Executive Directors, Treatment Centres, as identified by the Senior Deputy Commissioner (in exceptional circumstances where an Institutional Head/Executive Director cannot attend the National Advisory Committee, an alternate at a level no lower than Assistant Warden can attend on his/her behalf)
    4. the Director General, Security, or as and alternate, the Director, Preventive Security and Intelligence
    5. a Mental Health representative from Health Services at NHQ
    6. a representative from the Aboriginal Initiatives Branch at NHQ
    7. a minimum of one person external to CSC, consistent with paragraph 4(e) of the CCRA.
  4. The National Advisory Committee will:
    1. make recommendations to the Senior Deputy Commissioner whether to transfer to, maintain at, or transfer an inmate from the SHU
    2. conduct an interview with the inmate, upon his request, as per the protocol outlined in Annex F
    3. review operational and policy issues specific to the SHU that require strategic discussion and make recommendations, as deemed appropriate.
  5. The Senior Advisor will:
    1. provide advice to the Senior Deputy Commissioner
    2. provide administrative support and coordination of the National Advisory Committee in relation to the pre-review interview and the review
    3. oversee the implementation of the decisions and recommendations of the Senior Deputy Commissioner
    4. establish the agenda for the administrative meetings of the National Advisory Committee
    5. record minutes of the administrative meetings of the National Advisory Committee.
  6. The Director General, Security, will approve the security confirmation notice and provide it to the Senior Advisor and Manager, Assessment and Interventions, at the SHU, prior to any transfer from the SHU.
  7. At the discretion of the Senior Advisor, a person or persons may be approved as observers at case reviews and/or to attend administrative meetings of the National Advisory Committee.

Regional Headquarters

  1. The Regional Deputy Commissioner of the sending region will review and forward to the Senior Deputy Commissioner the case of any inmate referred by an Institutional Head for transfer to the SHU when he/she supports the recommendation.
  2. Regional staff members from the sending region will:
    1. participate in the consultation, as required, and provide all relevant information
    2. provide recommendations on management strategies
    3. offer alternative options to a placement at the SHU, when appropriate.

Sending Institution

  1. The Institutional Head of the sending institution will:
    1. make the initial determination as to whether or not an inmate's behaviour warrants consideration for a transfer to the SHU as per the criteria outlined in paragraph 21
    2. review and forward to the Regional Deputy Commissioner the case of an inmate referred by his Case Management Team for transfer to the SHU when he/she supports the recommendation
    3. ensure processes outlined in CD 784 - Victim Engagement are respected
    4. implement the decisions of the Senior Deputy Commissioner, as required.
  2. A mental health professional of the sending institution will complete the mental health assessment in accordance with the Content Guidelines for Mental Health Assessments for Transfers to the Special Handling Unit for inmates being considered for transfer to the SHU.
  3. When considering a referral to the SHU, the Manager, Assessment and Interventions, at the sending institution will organize a case conference with Case Management Team members and other appropriate individuals from the sending institution (i.e. Assistant Warden, Operations, Correctional Manager, Security Intelligence Officer, and Chief Psychologist or delegated mental health professional).
  4. If it is decided, following the above case conference, to move forward with a referral to the SHU, the Manager, Assessment and Interventions, of the sending institution will:
    1. consult the following individuals:
      1. a representative from Health Services, Regional Headquarters (RHQ)
      2. a representative from Security, RHQ
      3. a representative from Case Management/Reintegration, RHQ
      4. the Manager, Assessment and Interventions, SHU
    2. organize, in collaboration with the Senior Advisor, the pre-review interview, if required, and the review with the National Advisory Committee
    3. quality control the Assessment for Decision for transfer to the SHU, which will include specific objectives and a detailed Return/Reintegration Plan.
  5. The Parole Officer at the sending institution will:
    1. attend and present the inmate's case during the institutional case conference and the regional consultation
    2. attend and present the inmate's case to the National Advisory Committee for the initial review of his case and provide relevant updates as required
    3. complete the Assessment for Decision as per Annex B.

Special Handling Unit

  1. The Institutional Head of the SHU will:
    1. ensure staff accountability and promote high-quality case management
    2. establish and chair the Correctional Intervention Board
    3. ensure processes outlined in CD 784 - Victim Engagement are respected
    4. implement the decisions of the Senior Deputy Commissioner, as required
    5. implement procedures in support of the intake assessment process, the development of the Correctional Plan, and the determination of the inmate's security classification and penitentiary placement for cases who are placed directly at the SHU after sentencing.
  2. The Correctional Intervention Board at the SHU will:
    1. be chaired by the Institutional Head
    2. consist of SHU Manager, Assessment and Interventions, and Parole Officers as well as other ad hoc members (such as Elder, Aboriginal Liaison Officer, Program Officer, mental health professional, Correctional Manager, Security Intelligence Officer, etc.), as appropriate
    3. examine the recommendations put forth by the Case Management Team for every case review and document recommendations in the Offender Management System (OMS), CSC Board Review/Decision screen.
  3. The Manager, Assessment and Interventions, at the SHU will:
    1. be responsible for the quality control of case management reports
    2. oversee and facilitate the case management and reviews relating to SHU inmates, including case conferences
    3. attend the Correctional Intervention Board and note any dissenting opinions
    4. request security confirmation notices from the sending and the receiving Institutional Heads/Executive Directors, through the Director General, Security
    5. organize, in collaboration with the Senior Advisor, the pre-review interviews, if required, the periodic reviews with the National Advisory Committee, and their administrative meetings.
  4. The Parole Officer at the SHU will:
    1. complete the Assessment for Decision for maintenance at or transfer from the SHU as per Annex C or Annex D
    2. attend and present the inmate's case to the Correctional Intervention Board
    3. attend and present the inmate's case to the National Advisory Committee and provide relevant updates as required
    4. maintain and update the Correctional Plan in consultation with the inmate.
  5. A mental health professional at the SHU will complete the mental health assessment for:
    1. emergency transfers
    2. inmates convicted of any terrorism offence where the initial security classification is maximum and who are directly placed from provincial custody to the SHU.

PROCEDURES - TRANSFERS TO AND FROM THE SHU

  1. All decisions relating to the transfer to and from the SHU will be made as per CD 710-2 - Transfer of Inmates, with the necessary modifications dictated by this policy.

Step 1 - Criteria

For a Transfer to the SHU

  1. An inmate will be considered for transfer to the SHU if:
    1. there are reasonable grounds to believe that there is a risk to the public, staff or inmates and it has been determined that he cannot be safely managed at any other maximum security institutions or a Treatment Centre such that a transfer to the SHU is the only reasonable alternative, or
    2. he is identified as a radicalized offender and it has been determined that he cannot be safely managed at any other maximum security institutions or a Treatment Centre such that a transfer to the SHU is the only reasonable alternative.

For Placement to the SHU Directly from Provincial Custody

  1. An inmate convicted of a terrorism offence where the Custody Rating Scale is maximum may be placed directly from provincial custody to the SHU for the completion of his intake assessment, if it is determined that he cannot be managed in any other maximum security environment. The sending RHQ will document the rationale and the recommendation for the inmate's movement in a Memo to File, which will include, but not limited to:
    1. the reason why the intake assessment cannot be completed elsewhere than the SHU
    2. the inmate's risk and needs, keeping in mind paragraph 4(g) and section 28 of the CCRA
    3. the consideration given to the inmate's state of health and health care needs, as identified in the Preliminary Assessment Report
    4. the identification of any immediate needs in terms of security and suicide
    5. a statement presenting the specific considerations given to all other options and indicating that there are no other alternatives.
  2. The Senior Deputy Commissioner is the final decision maker and will sign the Memo to File.
  3. Prior to the movement, the sending RHQ will communicate with the receiving RHQ when there is new information regarding risk and needs that would impact the viability of the inmate's movement. RHQ is responsible for identifying a person to perform this task, and will ensure that the information is documented in a Casework Record.
  4. The Parole Officer at the SHU will ensure that the intake assessment and Correctional Plan are completed pursuant to the provisions of CD 705-6 - Correctional Planning and Criminal Profile and that the inmate's security classification and penitentiary placement are determined pursuant to the provisions of CD 705-7 - Security Classification and Penitentiary Placement.
  5. The Senior Deputy Commissioner is the final decision maker on the security classification and penitentiary placement of inmates referenced in the previous paragraph.

Step 2 - Assessment

  1. The sending institution will conduct an initial assessment of the inmate against the SHU criteria, either through the Institutional Segregation Review Board or the Correctional Intervention Board. In order to facilitate the inmate's safe reintegration, he should only be transferred to the SHU within six months of his release, on either statutory release or by expiration of his sentence, in exceptional circumstances.
    1. If the assessment determines that the established criteria are not met, the SHU transfer process is terminated, and alternative options are explored.
    2. If the assessment determines that the established criteria are met, the SHU transfer process proceeds.
  2. A case conference will be held at the sending institution with the Parole Officer, the Manager, Assessment and Interventions, a Security representative, a Health Services representative and the Institutional Head.
    1. If the case conference determines that the established criteria are not met, the SHU transfer process is terminated, and alternative options are explored.
    2. If the case conference determines that the established criteria are met, the SHU transfer process proceeds.
  3. In the event that following the above-referenced case conference the SHU transfer process proceeds, the sending institution will consult the Manager, Assessment and Interventions, at the SHU and a representative from the following sectors at RHQ: Case Management/Reintegration, Health Services, and Security.
    1. If the consultation determines that the established criteria are not met, the SHU transfer process is terminated, and alternative options are explored.
    2. If the consultation determines that the established criteria are met, the SHU transfer process proceeds.
  4. If, following the institutional and regional reviews, the Regional Deputy Commissioner of the sending region:
    1. does not support the transfer to the SHU, the process is terminated, and alternative options are explored
    2. supports the transfer to the SHU, the sending institution will:
      1. complete the Assessment for Decision for transfer to the SHU as per Annex B
      2. include a Return/Reintegration Plan in the Assessment for Decision
      3. complete the Health Services Transfer Summary (CSC/SCC 0377-1).
  5. The Parole Officer or his/her supervisor will provide information to the Victim Services Unit as per CD 784 - Victim Engagement.

Mental Health Assessment

  1. A mental health assessment will be completed by the sending institution in accordance with the Content Guidelines for Mental Health Assessments for Transfers to the Special Handling Unit. This assessment is required prior to the referral to the Regional Deputy Commissioner for considerations regarding transfer, with the exception of emergency involuntary transfers and inmates convicted of a terrorism offence who have been placed directly at the SHU after sentencing, where the mental health assessment will be completed at the SHU.
  2. The intent of the mental health assessment is:
    1. to ensure that relevant mental health information is considered where a decision to transfer an inmate to the SHU is being made
    2. to offer alternative options to a SHU placement for the management of an inmate with mental health needs, if possible
    3. to provide recommendations regarding behavioural and mental health interventions or other management strategies as applicable.
  3. If the inmate refuses to participate, the mental health professional will complete the mental health assessment based on file and collateral information. The inmate's refusal to consent and the subsequent limitations of the report will be documented prominently in the report. Further instructions are outlined in the Content Guidelines for Mental Health Assessments for Transfers to the Special Handling Unit.

Step 3 - National Advisory Committee Initial Review

  1. The inmate will be provided, at least five days in advance of the review (the inmate may waive the five-day notice):
    1. a written notice of the date and time of the National Advisory Committee review
    2. copies of the information used in the review
    3. a written invitation to participate in a pre-review interview to be conducted by at least two members of the National Advisory Committee, allowing him to rebut/provide additional information with respect to his referral to the SHU. The interview may be held via videoconference.
  2. The inmate's counsel, or other representative approved by the Senior Advisor, may participate in the interview as per Annex F.
  3. The inmate may submit written representations to the National Advisory Committee or the Senior Deputy Commissioner, through the Manager, Assessment and Interventions, regarding the recommendation on his case.
  4. The Manager, Assessment and Interventions, will advise the National Advisory Committee which inmates wish to be interviewed and will forward the inmates' written representations to the Committee.
  5. National Advisory Committee members will follow the interview procedures described in Annex F.
  6. Should additional information be obtained within five days of the review, the new information will be shared with the inmate prior to the scheduled review. The inmate will be advised of his right to submit representations in person or in writing.
  7. The National Advisory Committee will review the information collected and provide a recommendation to the Senior Deputy Commissioner.

Step 4 - Decision

  1. Pursuant to section 12 of the CCRR, the Institutional Head of the sending institution or designate will:
    1. meet with the inmate prior to the transfer to explain the reasons for the transfer, and pursuant to CD 701 - Information Sharing, provide him with:
      1. the written involuntary transfer recommendation
      2. any other information that will be used in the decision-making process and was not previously presented to the inmate
    2. advise the inmate of his right to legal counsel without delay
    3. provide the inmate two working days to respond to the proposed transfer, in person or in writing. The Senior Deputy Commissioner can grant, within one working day of receiving the request, an extension of up to 10 working days. When the inmate responds in person, the response must be documented in a "Casework Record - Rebuttal".
  2. The inmate's rebuttal, a copy of the most recent Correctional Plan Update (if required) and the Assessment for Decision will be forwarded to the Senior Deputy Commissioner.
  3. The Senior Deputy Commissioner will review and take into account all the information provided, including the findings and recommendations from the mental health assessment, and render a decision on whether to transfer or not the inmate to the SHU.
    1. If the Senior Deputy Commissioner decides not to transfer the inmate to the SHU, the SHU transfer process is terminated and the inmate will be provided with the written notice of the final decision and the associated reasons via a CSC Board Review/Decision Sheet within five working days of the decision being rendered.
    2. If the Senior Deputy Commissioner decides to transfer the inmate to the SHU, the SHU transfer process proceeds and the inmate will be provided with the written notice of the final decision and the associated reasons via a CSC Board Review/Decision Sheet at least two days before the transfer, unless the inmate waives the two-day period on the CSC Board Review/Decision Sheet.
  4. In the event that the Senior Deputy Commissioner renders a decision to transfer the inmate to the SHU, the inmate is transferred to the SHU at the earliest possible time.

Step 5 - Following the Transfer to the SHU

  1. Within two months of transfer to the SHU or within one month of completion of the intake assessment for inmates who are directly placed at the SHU after sentencing, the Parole Officer at the SHU will:
    1. develop the intervention strategy based on clinical assessment and other available information
    2. develop, with the inmate, specific behavioural objectives
    3. establish the subsequent review period, which is not to exceed four months, and present the information to the National Advisory Committee members and the Senior Deputy Commissioner for approval
    4. generate Management Plan requests if the recommendation will be for a transfer from the SHU and the proposed receiving institution is supportive of the transfer.
  2. The Parole Officer will integrate the intervention strategy and expected behavioural objectives within the Correctional Plan.
  3. Any extension of the review period will be approved by the Senior Deputy Commissioner. The grounds for an extension include:
    1. a need for more information, or
    2. a requirement to prolong the review period due to administrative reasons.
  4. The decision to extend the review period will be recorded in a Memo to File and include the time period of the extension and rationale. A copy will be provided to the inmate within five working days of signature.

Step 6 - National Advisory Committee Subsequent Reviews

  1. Subsequent reviews to determine whether the inmate will be maintained at, or transferred from, the SHU will be conducted no less than once every four months, as per Annex C and Annex D. The inmate is entitled to an interview and to submit written comments prior to the decision of the Senior Deputy Commissioner.
  2. The Assessment for Decision will be completed and locked in OMS at least 10 days prior to the scheduled review.
  3. Any extension of the review period will be approved by the Senior Deputy Commissioner. The grounds for an extension include:
    1. a need for more information, or
    2. a requirement to prolong the review period due to administrative reasons.
  4. The decision to extend the review period will be recorded in a Memo to File and include the time period of the extension and rationale. A copy will be provided to the inmate within five working days of signature.
  5. Within five days of the signed decision by the Senior Deputy Commissioner, the inmate will be provided with a copy of the CSC Board Review/Decision Sheet and advised in writing of the procedures to grieve the decision as per CD 081 - Offender Complaints and Grievances.
  6. The next review period commences on the date the decision has been rendered.

Follow-Up Mental Health Assessments

  1. The inmate's mental health status will be reviewed, including the impact of the SHU placement on his mental health as well as a general assessment of his mental health needs, one year after the transfer to the SHU and every year thereafter until such time when the inmate is transferred from the SHU. A shorter timeframe can be in place when deemed necessary by a mental health professional.

Step 7 - Transfer from the SHU

Voluntary Transfers

  1. The Parole Officer at the SHU will complete an Assessment for Decision, as per Annex D, for review by the National Advisory Committee when recommending the transfer of an inmate from the SHU.
  2. The Parole Officer or his/her supervisor will provide information to the Victim Services Unit as per CD 784 - Victim Engagement.
  3. When a Parole Officer is considering an inmate's transfer from the SHU, a case conference will occur with the proposed receiving institution. If, following the case conference, the proposed receiving institution is supportive of the transfer, a Management Plan will be requested. When the proposed institution is a Regional Treatment Centre, the Management Plan will include the evaluation of clinical information and how the Treatment Centre will address the inmate's mental health needs.
  4. The Management Plan will be completed within 10 days of the request in a Memo to File as per Annex E. The completing institution will notify the Manager, Assessment and Interventions, at the SHU, once the Management Plan is completed.
  5. Should the Case Management Team at the SHU continue to support the transfer while the proposed receiving institution is not supportive, an explanation as to why the proposed institution is considered to be the best option will be included in the Assessment for Decision.
  6. The Assessment for Decision will be completed and locked in OMS at least 10 days prior to the scheduled review.
  7. Within five days of the signed decision by the Senior Deputy Commissioner, the inmate will be provided with a copy of the CSC Board Review/Decision Sheet and advised in writing of the procedures to grieve the decision as per CD 081 - Offender Complaints and Grievances.

Involuntary Transfers

  1. When consideration is being given for an involuntary transfer, the Institutional Head of the SHU or designate will, pursuant to section 12 of the CCRR:
    1. meet with the inmate prior to the transfer to explain the reasons for the transfer and, pursuant to CD 701 - Information Sharing, provide him with:
      1. the written involuntary transfer recommendation
      2. any other information that will be used in the decision-making process
    2. advise the inmate of his right to legal counsel without delay
    3. provide the inmate two working days to respond to the proposed transfer, in person or in writing. The Senior Deputy Commissioner can grant, within one working day of receiving the request, an extension of up to 10 working days. When the inmate responds in person, the response must be documented in a "Casework Record - Rebuttal".
  2. The inmate's rebuttal will be forwarded to the Senior Deputy Commissioner.
  3. The inmate will be provided with the written notice of the final decision and the associated reasons via the CSC Board Review/Decision Sheet:
    1. at least two days before the transfer, unless the inmate waives the two-day period on the CSC Board Review/Decision Sheet, if the final decision is to transfer the inmate, or
    2. within five working days of the decision being rendered, if the decision is not to transfer the inmate.
  4. Following confirmation of the transfer date, the Manager, Assessment and Interventions, at the SHU will request the security confirmation notice from the Institutional Head/Executive Director of the receiving institution through the Director General, Security. The SHU will also confirm that there is no new information that would preclude the transfer.

Subsequent to Transfer Decisions Rendered (Voluntary or Involuntary)

  1. The Institutional Heads/Executive Directors of the sending and receiving institutions must confirm with the Director General, Security, no sooner than one week prior to any transfer that no new information from the most recent Management Plan exists that would have an impact on the safe integration of the inmate to the receiving institution.
  2. The Director General, Security, will review and approve the security confirmation notice, and forward copies to the Senior Advisor and the Manager, Assessment and Interventions, at the SHU.
  3. When an approved transfer is suspended following receipt of new intelligence-based information or due to circumstances involving the inmate, the information will be transmitted to the Senior Deputy Commissioner who will, pending a review, make the decision to pursue or cancel the transfer.
  4. Following the transfer of an inmate from the SHU to a regular maximum security institution or a Treatment Centre, the Institutional Head/Executive Director of the receiving institution will, within six months of the transfer, report to the National Advisory Committee on the inmate's reintegration.

PROCEDURES – EMERGENCY TRANSFERS TO THE SHU

  1. When an inmate is considered for an emergency transfer to the SHU, a case conference between institutional staff of the sending institution and the SHU will take place prior to the inmate's transfer to the SHU.
  2. The Institutional Head of the sending institution will consult with his/her Regional Deputy Commissioner to determine the necessity to emergency transfer the inmate to the SHU.
  3. If the Regional Deputy Commissioner determines not to emergency transfer the inmate but is still supportive of the transfer to the SHU, the process starts from Step 2, with the completion of the required documentation by the sending institution.
  4. However, if following the regional consultation it is determined to emergency transfer the inmate to the SHU, the Regional Deputy Commissioner of the sending region will consult:
    1. the Regional Deputy Commissioner of the receiving region
    2. the Senior Advisor.
  5. They will take into account all the information provided and determine whether to proceed with the emergency transfer.
    1. If they determine to emergency transfer the inmate to the SHU, the Parole Officer of the sending institution will complete the Assessment for Decision as per Annex B.
    2. If they determine not to emergency transfer the inmate but are still supportive of the transfer to the SHU, the process starts from Step 2, with the completion of the required documentation by the sending institution.
  6. If the inmate has been emergency transferred, the Institutional Head of the SHU or designate will:
    1. ensure the procedural fairness process outlined in Step 4 is completed with the inmate not more than two working days after the transfer
    2. provide the inmate all documentation that will be used in the decision-making process.
  7. The inmate is entitled to an interview with the National Advisory Committee and to submit written comments prior to the final decision being rendered.
  8. The inmate's rebuttal, a copy of the most recent Correctional Plan Update (if required) and the Assessment for Decision will be forwarded to the Senior Deputy Commissioner, as the decision-making authority.
  9. The Senior Deputy Commissioner will render a decision in accordance with Annex G.
    1. If the Senior Deputy Commissioner decides that the inmate should not be admitted at the SHU, the inmate will be transferred to another maximum security institution or a Treatment Centre. If the inmate is not returned to the sending institution and does not agree with the proposed transfer destination, the involuntary transfer process applies, including the procedural fairness. If the inmate is in agreement with the proposed transfer destination, an Assessment for Decision is not required. A CSC Board Review/Decision Sheet will be completed and include a detailed rationale of the reasons for the decision.
    2. If the Senior Deputy Commissioner decides that the inmate should be admitted at the SHU, the review process proceeds from Step 5. The two-month period commences once the Senior Deputy Commissioner has rendered the final decision.
  10. Within five days of the signed decision by the Senior Deputy Commissioner, the inmate will be provided with a copy of the CSC Board Review/Decision Sheet and advised in writing of the procedures to grieve the decision as per CD 081 - Offender Complaints and Grievances.

Mental Health Assessment

  1. A mental health assessment will be completed at the SHU in accordance with the Content Guidelines for Mental Health Assessments for Transfers to the Special Handling Unit.

PROCEDURES - TRANSFERS FROM THE SHU FOR ATTENDANCE AT COURT PROCEEDINGS

  1. The applicable intra/inter-regional transfer process will apply. An Assessment for Decision is not required and the information will be recorded in a CSC Board Review/Decision Sheet.
  2. The SHU must confirm that video conferencing, rather than attending court physically, has been eliminated as an option prior to a transfer, when court attendance is the sole purpose of the inmate's transfer.
  3. The decision authority for a transfer for attendance at court proceedings is delegated to the Institutional Head of the SHU.
  4. Increased security measures may be necessary to safely manage the inmate at the receiving institution. However, the inmate should only be admitted to segregation when it is determined that the legislative criteria are met.

TRANSFER WARRANTS

  1. In the event that a transfer decision to or from the SHU has been rendered, including circumstances when the inmate has to attend court or when an inmate is emergency transferred to the SHU, the signature of the transfer warrant is delegated to the Institutional Head, or the Correctional Manager in charge after hours, of the sending institution or the SHU, depending on the situation.

Commissioner,

Original Signed by:
Don Head

ANNEX A

CROSS-REFERENCES AND DEFINITIONS

CROSS-REFERENCES

DEFINITIONS

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.

Correctional Intervention Board: a multidisciplinary team that approves interventions and contributes to recommendations or decisions for complex cases. The Interdisciplinary Mental Health Team is considered a component of the Correctional Intervention Board.

Emergency transfer: the transfer of an inmate on an involuntary basis when there is immediate risk to the public, staff or inmates that cannot be managed within the current institution.

Intervention strategy: an activity or set of activities aimed at addressing the risk resulting from the issues/behaviours that prompted the transfer to the Special Handling Unit.

Management Plan: a summary of information that may result in the identification of a potential threat to the safety of the staff, the inmate, other individuals or the security of the institution and a strategy developed by the proposed receiving institution to address or manage the specific risk the inmate represents.

Mental health assessment: an evaluation of a person's mental, emotional and social functioning, inclusive of any additional factors that may be influencing institutional adjustment. The assessment process may include, but is not limited to, the gathering, integration and interpretation of psychological data through the use of tests, interviews, case studies, behavioural observations, collateral information, and file review, and specifically designed devices and measurement procedures. The type and nature of assessment are guided by the referral question and the needs of the offender. If the referral question involves security reclassification, the assessment will focus on the offender's functioning as it pertains to mental health and institutional adjustment and will identify those factors that can impact his adaptation and/or integration into a less structured environment.

Mental health professional: CSC staff and contractors who offer services for the purposes of improving an offender's mental health and are registered or licensed in Canada, preferably in the province/territory of practice. Individuals will operate within their scope of practice and competence. Examples include Psychologists, Psychiatrists, Physicians, Nurses, and Clinical Social Workers.

Radicalized offender: Ideologically motivated offender, who commits, aspires or conspires to commit, or promotes violent acts in order to achieve ideological objectives. An offender can be identified as a radicalized offender if he was:

  1. convicted of Anti-Terrorism Act (ATA) offences
  2. identified by partners or third party agencies (e.g. Royal Canadian Mounted Police (RCMP), Canadian Security Intelligence Service (CSIS), Canadian Border Services Agency (CBSA), etc.)
  3. identified internally by CSC.

Reasonable grounds: reasonable grounds are required to support a suspicion or belief. In order to be reasonable, the grounds must be:

  1. objective (e.g. what other staff members with similar training and experience consider reasonable)
  2. clear (e.g. based on verifiable facts or factors rather than just a subjective feeling, hunch or intuition)
  3. related to and supporting a conclusion of suspicion or belief.

Return/Reintegration Plan: clear articulation of expectations of the inmate, including behavioural objectives, to be returned from the Special Handling Unit to the sending institution, where appropriate.

Security confirmation notice: a confirmation from the Institutional Heads of the sending and receiving institutions and the Director, Preventive Security and Intelligence, that no new security information exists since the decision to transfer was made, that would have an impact on the safe reintegration of an inmate into a maximum security institution.

Without delay: immediately unless there are compelling circumstances preventing immediate action and in those circumstances, the delay cannot be more than 24 hours.

ANNEX B

ASSESSMENT FOR DECISION FOR TRANSFERS TO THE SPECIAL HANDLING UNIT - REPORT OUTLINE

INTRODUCTORY STATEMENT/CASE STATUS

  1. Provide a brief statement of the purpose of the report (e.g. type of transfer: involuntary/emergency, inter-regional/intra-regional):
    • to respond to reassessed security requirements
    • for public safety
    • for the security of the institution, staff or other inmates.
  2. Indicate the length of sentence, current offence(s), outstanding charges or appeals, immigration/deportation/extradition status.
  3. Factors that have prompted the proposed transfer, including the details of the precipitating incident(s) (e.g. time, place, damage to property or physical injury, and weapons used) as well as behaviour patterns that may have contributed to the decision to recommend involuntary transfer.

RISK ASSESSMENT

a. Risk Factors

Briefly analyze the inmate's risk factors, specific to the offence cycle as outlined in the Correctional Plan. Incorporate actuarial assessments (e.g. SIR-R1) and reintegration potential.

b. Inmate Security Level Review (Refer to CD 710-6)

Confirm or complete (as required) an analysis of the security level assessment pursuant to section 18 of the CCRR. A statement will be made under each of the following:

  1. institutional adjustment
  2. escape risk
  3. risk to the safety of the public.

OVERALL ASSESSMENT

  1. Provide an overall assessment incorporating the following elements:
    1. results of the case conferences/consultations (institutional, regional, and with the SHU)
    2. nature and gravity of the offence and the degree of responsibility of the inmate
    3. victim concerns (if applicable)
    4. inmate engagement
    5. outstanding factors requiring intervention
    6. inmate's understanding of risk factors and offence cycle
    7. Aboriginal social history (if applicable)
    8. for an inmate involved in a healing path, incorporate his understanding of the healing components of the Correctional Plan
    9. the inmate's behaviour to date as well as an assessment of the inmate's potential for continued violent behaviour that poses serious risks to staff or inmates in another institution
    10. existence of security information that relates to the present or previous incident(s) or to the existence of incompatibles or co-convicted at the present and proposed institution (Provide a rationale when any of this information cannot be shared with the inmate, or if only the "gist" of the information can be shared. If there are no concerns, a statement should be made to that effect.)
    11. any pertinent results/recommendations from the psychological and/or psychiatric assessments and/or health care (any physical or mental health concerns precluding the inmate's transfer to the SHU)
    12. alternative options that have been explored and why the involuntary transfer to the SHU is the only reasonable alternative available.

DISSENTING OPINION

RECOMMENDATION

RETURN/REINTEGRATION PLAN

Expectations of the inmate, including behavioural objectives, to be released from the SHU.

ANNEX C

ASSESSMENT FOR DECISION FOR MAINTAINING AT THE SPECIAL HANDLING UNIT - REPORT OUTLINE

INTRODUCTORY STATEMENT/CASE STATUS

  1. Provide a brief statement of the purpose of the report.
  2. Provide the reasons for transfer to the Special Handling Unit (SHU).
  3. Indicate length of sentence, current offence(s), outstanding charges or appeals, immigration/deportation/extradition status, detention status.
  4. Indicate length of placement at the SHU.

OVERVIEW OF REVIEW PERIOD

Outline what interventions have been attempted or have occurred with the Parole Officer or program staff in order to achieve the established objectives since the last review as well as in the action plan established upon the inmate's transfer to the SHU. Indicate if the inmate has incurred any disciplinary charges, if he has been placed in segregation, if he is working or attending school. Describe how the inmate is interacting with staff and other inmates. In the case of Aboriginal inmates, include comments from Elders and/or the Aboriginal Liaison Officer, if applicable. Include pertinent preventive security information.

PSYCHOLOGICAL OR PSYCHIATRIC OPINION

Provide a synopsis of the inmate's mental health history and status, including relevant information from treatment and/or risk related mental health assessments. In the case of inmates placed in segregation over the review period, summarize results of the mental health assessments.

OVERALL ASSESSMENT

  • Provide analysis as to why it is believed necessary to maintain the inmate at the SHU, with a clear assessment of objectives and timeline as determined in the Return/Reintegration Plan and the extent to which they have been achieved (all or in part).
  • Consider elements of Aboriginal social history (if applicable).
  • Provide a specific action plan for the inmate, outlining expectations over the next review period and long-term plan.

DISSENTING OPINION

RECOMMENDATION/NEXT REVIEW DATE

ANNEX D

ASSESSMENT FOR DECISION FOR TRANSFER FROM THE SPECIAL HANDLING UNIT - REPORT OUTLINE

INTRODUCTORY STATEMENT/CASE STATUS

  1. Provide a brief statement of the purpose of the report (e.g. review of status by the National Advisory Committee and decision-making purposes by the Senior Deputy Commissioner).
  2. Indicate the length of sentence, current offence(s), outstanding charges or appeals, immigration/deportation/extradition status.

RISK ASSESSMENT

a. Risk Factors

Briefly analyze the inmate's risk factors, specific to the offence cycle as outlined in the Correctional Plan. Incorporate actuarial assessments (e.g. SIR-R1) and reintegration potential.

b. Inmate Security Level Review (Refer to CD 710-6)

Confirm or complete (as required) an analysis of the security level assessment pursuant to section 18 of the CCRR. A statement will be made under each of the following:

  1. institutional adjustment
  2. escape risk
  3. risk to the safety of the public.

INMATE'S RESIDENCY AT THE SPECIAL HANDLING UNIT

  • Summarize the critical incident(s) that resulted in transfer to the SHU.
  • Indicate when the inmate was transferred to the SHU, from which institution, and for how long he was maintained at the SHU.
  • Provide a brief summary of inmate's behaviour while at the SHU, including any interventions in which he engaged. Include any pertinent preventive security information.

PSYCHOLOGICAL OR PSYCHIATRIC OPINION (as applicable)

  • Provide a synopsis of the inmate's mental health history and status, including relevant information from treatment and/or risk related to mental health assessments, as well as any recommendations for interventions.

MANAGEMENT PLAN(S)

Outline details of proposed Management Plan(s) developed by the proposed receiving institution(s).

OVERALL ASSESSMENT

  • Provide analysis as to why the inmate is deemed ready to transfer to a less structured environment.
  • Consider the elements outlined in the Return/Reintegration Plan.
  • Consider the inmate's state of health and health care needs.
  • Consider elements of Aboriginal social history (if applicable).
  • Consider victim concerns (if applicable).

DISSENTING OPINION

RECOMMENDATION

ANNEX E

MANAGEMENT PLAN - REPORT OUTLINE

A. SECURITY CONSIDERATIONS

  • Indicate any incompatibility issues.
  • Indicate security threat group affiliation and any potential impact on unit placement, movement and incompatible gangs.
  • Include Security Intelligence Officer comments on the overall content of the Management Plan.
  • Indicate any other security considerations.

B. SPECIFIC RISK/NEEDS CONSIDERATIONS

Select one or more of the sub-headings below (where applicable) and provide a strategy or a measure on how to manage the specific risk/need or concerns.

1. Escape Risk Inmates (if reason for transfer is escape)

  • If the inmate was transferred to the SHU as a result of plotting an escape, outline a monitoring protocol that addresses his overall escape risk.

2. Inmates With Mental Health Concerns

  • If the inmate presents mental health concerns, add specific actions such as an immediate meeting with the mental health professional upon arrival to the receiving institution, completion of a mental health assessment, ensuring medications are continued, etc.
  • If the inmate has a history of self-injurious behaviour, outline a specific plan to manage this risk.
  • Outline specific range placement in consideration of individual mental health issues, if possible.

3.Sex Offenders

  • Indicate an action plan to manage risk to staff, including specific Parole Officer assignment.
  • Provide any limitations on employment, programming and movement (if applicable).
  • Indicate ways to recognize and address the offence cycle.

4. Radicalized Offenders

  • Outline a monitoring protocol that addresses the inmate escape risk as well as to minimize his ability to recruit/radicalize others.
  • Provide ways to minimize any noted ability to circumvent traditional security measures.
  • Indicate any communication limitations (if applicable).
  • Also include as a separate bullet considerations for specific interventions (i.e. spiritual counselling).

5. Aboriginal Offenders

  • For inmates dedicated to following an Aboriginal healing path, indicate program availability at the institution that addresses their Aboriginal specific needs.
  • Indicate, if possible, range placement (i.e. placement in Pre-Pathways Unit).
  • Indicate if Elder services and cultural ceremonies exist.
  • Indicate community considerations when transferring to the receiving institution.

6. Individual Considerations

  • Where inmates have assaulted or threatened to assault staff, or other inmates.
  • High profile cases.

C. RECOMMENDATION

  • Taking into consideration the above-noted information, indicate that you (as the proposed receiving institution) are supportive of the inmate's transfer to your institution.

ANNEX F

INMATE INTERVIEWS WITH THE NATIONAL ADVISORY COMMITTEE

Purpose of the Interview

The interview is not a decision-making forum. The information discussed or presented is used, along with other documentation pertaining to the case, to make a recommendation to the Senior Deputy Commissioner during the National Advisory Committee (NAC) review.

The interview provides the inmate the opportunity to:

  1. present and submit to the NAC information that he feels is relevant to his case, which is not contained in, or requires clarification regarding, the documentation that the NAC uses to make its recommendation, and/or
  2. challenge what he considers to be erroneous information contained in the documentation that the NAC uses to make its recommendation.

Request to Attend

  • The inmate, and/or his lawyer, must indicate their intention, in writing, to participate in the interview within two working days of the NAC review.
  • The written notice to attend the interview must be submitted to the Manager, Assessment and Interventions, who will advise the Senior Advisor to the Senior Deputy Commissioner of the request.

The Interview

  • The interview panel must consist of, at a minimum, two members of the NAC. A member of the NAC will be selected to lead the interview.
  • The Manager, Assessment and Interventions, will notify the NAC members, as soon as possible, of the scheduled interviews. The Committee members will familiarize themselves with the case and review prior decisions and any new information pertaining to the case.
  • All persons who are present at the interview should identify themselves by name, position and/or their role in the NAC.
  • All interviews will be recorded.
  • At the beginning of the interview, an explanation of its purpose will be provided by the Committee member selected to lead the interview. The NAC member leading the interview will indicate to the inmate and/or his counsel that the interview is being conducted as per CD 708 - Special Handling Unit and is not a "hearing." In describing the purpose of the interview, the NAC member may state, for example, that "We are here to consider any relevant information, either written and/or oral, that you would like to identify for consideration by the NAC. Your statements will be considered in the recommendations made to the Senior Deputy Commissioner and reflected in the decision that is taken."
  • It should be made clear that the focus of the interview is on those issues related to a recommendation to transfer to, maintain at, or transfer from the SHU, to a regular maximum security institution. Other issues raised during the interview will be noted and referred to other sources for follow-up, as required.
  • The presiding member will inform the participants that a timeframe of 30 minutes has been established for the interview in order to allow all inmates to have a fair opportunity to make their representations. If the time allotted is not sufficient to make meaningful representations, the presiding member will invite the inmate and/or his counsel to submit supplementary written representations within one working day and to append any relevant documentation to be considered by the Senior Deputy Commissioner in the final decision.
  • The presiding member will also invite the inmate and/or his counsel to clearly outline the points that they wish to raise and to focus upon these points during the interview in order to avoid repetitions. If the same points are raised again, the presiding member should stop the discussion and refocus the interview.
  • The NAC members participating in the interview are not legally compelled to engage in discussion with the inmate and/or his counsel. They are there to listen to the representations being made and to submit them to the Senior Deputy Commissioner for his consideration in the decision-making process.
  • Detailed notes should be taken by at least one member of the interview group. A summary of the interview notes will be introduced as part of the review of the inmate's file by the NAC and will be considered in the recommendations made to the Senior Deputy Commissioner. Results of the review of the representations made by the inmate and/or his legal counsel will be addressed as part of the decision record.

Recording the Interview

  • The Committee members will advise the inmate and his legal counsel that the interview is being recorded.
  • A written record of the interview will be made (see below).
  • All interview information, including copies of the audio tape of the interview, must be retained for a period of two years after the decision is rendered.
  • The written report will be retained with the inmate's Case Management file. An electronic version of the audio tape will be kept by the institution; a hard copy of the tape will be provided to the inmate upon his written request.

Interview Form

Name of inmate:


FPS:


Interview date:

Time:


Name of interviewer:


Lawyer present: Yes __ No __

Written comments/documentation: Yes __ No __


Notes/summary of interview:

ANNEX G

DELEGATION OF AUTHORITY, TIMEFRAMES FOR DECISION AND INMATE'S NOTIFICATION

INTRA/INTER-REGIONAL TRANSFERS
DECISION TYPE DECISION MAKER TIMEFRAMES FOR DECISION TIMEFRAMES FOR NOTIFICATION

1. Transfer TO the SHU

  • Involuntary transfers, including emergency transfers
  • Direct placement from provincial custody

2. Transfer FROM the SHU

  • Voluntary transfers
  • Involuntary transfers
  • Administrative transfers for attendance at court proceedings

The Senior Deputy Commissioner is the decision-making authority in all cases, with the exception of an administrative transfer from the SHU for attendance at court proceedings where the authority is delegated to the Institutional Head of the SHU

Voluntary

As soon as possible within 60 days of inmate's request being submitted

Involuntary

  • In cases where the inmate does not rebut, as soon as possible within 45 days of the provision of the Notice of Involuntary Transfer Recommendation
  • In cases where the inmate rebuts, within 45 days of the provision of the Notice of Involuntary Transfer Recommendation or within 15 working days of the date of the rebuttal, whichever period is longer

Direct Placement

Within 15 days from the sentencing date, unless the inmate agrees to be transferred to a penitentiary before the expiration of those 15 days. If the offender is held in provincial custody pending the movement, he becomes subject to the Exchange of Services Agreement.

Voluntary

Within five working days after the final decision, including the reasons if the decision is to deny the request

Involuntary

  • At least two days before the transfer if the final decision is to transfer the inmate, unless he consents to a shorter period
  • Within five working days after the decision if the decision is not to transfer the inmate

Emergency

Within five working days after the final decision, including the reasons for the decision

Direct Placement

As soon as practicable

MAINTENANCE
DECISION TYPE DECISION MAKER TIMEFRAMES FOR DECISION TIMEFRAMES FOR NOTIFICATION

1. Maintenance at the SHU

The Senior Deputy Commissioner

As soon as possible once the NAC has reviewed the case and made its recommendation, unless further clarification is required to make an informed decision. In these cases, the Senior Deputy Commissioner may defer the decision and render a decision normally within two weeks from the scheduled review of the case by the NAC.

Within five days of the signed decision

For more information

To learn about upcoming or ongoing consultations on proposed federal regulations, visit the Canada Gazette and Consulting with Canadians websites.