Correctional Case Management

The role of the case manager in corrections can vary depending on the environment in which they work. However, some basic aspects are fairly consistent across environments. In general, case managers in corrections are charged with handling offender reports, overseeing offender rehabilitation, and collaborating with other individuals and agencies to accommodate offender supervision and success.

We saw the rise in a focus on offender rehabilitation in during the social reform movement of the 1970's[1]. During this time, we also saw more offenders sentenced to community supervision and returning to the community from incarceration. As a result, we saw an increased need for case managers to coordinate offender access to the counseling and treatment needed to ensure their increased chance for success in the community. 

Case management during incarceration is also important, helping to set offenders up for success upon release. Case managers in a prison setting work closely with community agencies to help identify employment, housing, and educational resources for offenders preparing for release. 

Offender Reports

There are a variety of reports necessary to ensure the appropriate classification and supervision of offenders. The reports a correctional case manager handles depends on their role within the correctional system.

In Community Corrections, a case manager will be responsible for one or more of the following:

Pre-Sentence Investigation Report (PSI or PSI-R)

The PSI serves to provide background on an offender and his/her offenses. It is developed by the probation officer through interviews with law enforcement, victims, offenders, offenders' families. Based on the information obtained, the probation officer assembles a PSI outlining the offender's background, including risks and protective factors. 

Correctional case managers working in probation offices assemble Pre-Sentence Investigation reports (PSI or PSI-R). By collecting information from sources like medical records, criminal records, and offender interview, case managers assemble a PSI that provides a thorough look at an offender's history. The report is generally broken down into four major sections:

1. The Offense (including offense description, offender statement, victim statement)
2. The Offender's Criminal History (juvenile and adult)
3. The Offender's Characteristics (family information, mental health, education, work, etc.)
4. Sentencing Options and Recommendations       

Take a look at PSI forms and instructions from the Kansas Sentencing Commission[2] below:

Sentencing Worksheet

The sentencing worksheet assists the probation officer in assembling the PSI and making a sentencing recommendation to the judge. Generally, these worksheets collect offense and adjudication history information, assigning a score to each until a total score is established. That total score is then used to identify a sentence recommendation. 

Take a look at the worksheet and guidelines below from the Virginia Criminal Sentencing Commission[3]

Case History Report

Similar to the PSI, a case history report requires case managers to collect information from a variety of sources. The case history provides a thorough look at the offender's life and allows case managers to make better program recommendations specific to offender risks and needs.     

Client Management Classification Assessment

Risk/Needs Assessment

In a Prison setting, a case manager will be responsible for one or more of the following:

Security Assessment

Good Time Earning Assessment

Risk/Needs Assessment

Offender reports may be utilized by the case managers developing them, as well as judges in determining sentences and other correctional staff in carrying out their duties. However, the reports are largely used in identifying offender risks and needs so appropriate services can be provided in an attempt to reduce recidivism among offenders. Case plans are developed from offender assessment and a review of all available offender reports and information.

While the case planning process may vary from agency to agency, the steps should follow the same basic order. The link below provides a visual model of case planning steps as recommended by The Carey Group.[4]

Case Planning Steps      

Offender Programming

Security

The first concern of any correctional agency is the safety and security of the facility and community. Case managers play a key role in ensuring safety and security through identifying offender custody or supervision levels. While the tools used to determine these levels may vary, most are based on key factors that have been identified as having an impact on offender risks. For example, research suggests that as offenders age, their offending declines. Therefore, older offenders pose less of a risk. A history of escape or absconding in the past is a strong predictor of an offender's willingness to attempt escape in the future. Therefore, a history of escape indicates a high risk. The following file provides an example of an assessment instrument used in juvenile justice.

Custody Level

In the secure setting, case managers will determine inmate custody level based on risk assessments. While the LSI-R may be used in some facilities, most departments of correction utilize their own security assessment tools to determine custody level. This level determines which facilities are appropriate to house the offender.

Initial custody level classifications are conducted when an offender is received into the department of corrections. Most states utilize a designated prison facility as the intake facility where all inmates are initially classified.

Additional custody level classifications occur at regular intervals, usually every 120 days or annually on the anniversary of the inmate's intake into the prison system. Unscheduled custody level classifications may also occur as a result of offender disciplinary charges or other triggering events.

Based on the scores obtained from the custody level classification assessment, inmates are assigned to one of the following custody levels:

• Special Management: An "offender who, because of either a short-term or long-term condition surrounding his/her incarceration, requires segregation from the general population."
• Maximum: An inmate "whose movement and activities within [the] facility are highly structured and closely monitored."
• Medium High: An inmate whose "activities and movements are moderately controlled and structured."
• Medium Low: An inmate whose "activities and movements are moderately controlled and structured."
• Minimum: "An inmate who is appropriate for housing at any level of security, with minimum security preferred"[5].

Note that case managers may recommend a higher or lower custody level than determined by the assessment if extenuating circumstances justify it.

Supervision Level

In community corrections, offender supervision levels are usually determined by the Level of Service Inventory-Revised (LSI-R) or a similar assessment instrument. The LSI-R will recommend one of the following supervision levels based on the static and dynamic risk factors identified in the assessment:

• Minimum: requires little formal reporting and probation/parole officer contact
• Standard: requires offenders to report to a probation/parole officer on a regular basis, whether in person or by phone
• Intensive: requires stringent offender supervision and contact, usually along with multiple other conditions

Additional Risk Assessment Instruments

Correctional Assessment and Intervention System (CAIS)

Correctional Offender Management Profile for Alternative Sanctions (COMPAS)

Offender Screening Tool (OST)

Ohio Risk Assessment System (ORAS)

Static Risk and Offender Needs Guide (STRONG)

Treatment

The second concern of a case manager, subsequent to the safety and security of the facility and community, is the rehabilitation of offenders. Case managers identify offender treatment needs through needs assessments. This may be done in conjunction with or subsequent to risk assessment. While treatment needs may be identified solely based on offender reports and interviews, there are tools that case managers or other treatment staff (psychiatrist, psychologist, doctor) may utilize to identify offender issues. It is a good idea for case managers to be familiar with these tools.

Diagnostic and Statistical Manual of Mental Disorders (DSM-5) provides diagnostic criteria, allowing for appropriate treatment planning. The DSM-5 is used by qualified mental health professionals to diagnose mental disorders. You can visit DSM-V for more information.

Minnesota Multiphasic Personality Inventory (MMPI) assess clinical disorders on ten different scales:

• Hypochondriasis
• Paranoia
• Depression
• Psychastenia
• Hysteria
• Schizophrenia
• Psychopathic deviate
• Hypomania
• Masculinity femininity
• Social introversion

Addiction Severity Index (ASI) is the most widely used substance abuse assessment instrument.

Beck Depression Inventory-II is one of the more popular tools used to screen for depression.

Case Planning to Address Treatment Needs

Case managers will develop treatment or case plans based on risk/needs assessments, custody level assessments, and other sources of information. Based on those case plans, case managers will make referrals to programs or services. Case managers make regular updates to case plans noting offender progress or developments.

• Substance Abuse Treatment Programs
• Anger Management
• Alcoholics or Narcotics Anonymous
• Thinking For a Change (T4C)
• Mental Health Counseling
• Life Skills       

Education/Vocation

Research shows that inmates who obtain their GED, vocational training, or even just one college class while incarcerated demonstrate significantly lower levels of recidivism than overall averages[6]. As a result, departments of correction offer a variety of GED, vocational and college course programs, as well as job readiness classes.

Case managers should review offender education history and vocational interests to determine program assignments.

Offender Work Assignments

Inmates without occupation pose a greater security risk than those participating in treatment programs and work assignments. Providing offenders with the opportunity to work during incarceration not only allows them to develop employability skills, but also reduces behavioral issues[7].

Offenders have the opportunity to engage in a variety of work assignments during incarceration. Participation in these work assignments "are designed to develop, maintain, and/or improve vocational skills, work habits, self-confidence and other job related attitudes"[8]. Offenders may be paid for these work assignments ranging from $.50 to $1.50 per day.

Case managers must consider a variety of information when determining inmate work assignments. The primary consideration is offender risk and custody level. Some minimum security facilities provide offenders for work programs outside the gate, often on road crews picking up trash on roadsides. Some state departments of transportation (DOT) utilize these road crews to supplement DOT staff. While offenders are supervised under armed guard while working outside the gate, it is imperative that case managers properly screen offenders for appropriateness for such work assignments. For example, an inmate may be classified as a minimum custody offender, but have a history of absconding or kidnapping. This type of offender is not appropriate for any work assignment allowing them to leave the secure confines of the prison facility.

Case managers should also consider offender treatment needs when possible. For example, an inmate with poor social skills and low frustration tolerance may be assigned to a solitary job like janitorial work while he attends programming to help him develop social and coping skills. Later, he can be assigned to a job that allows him to practice his newly learned skills in a position that requires teamwork and communication, like many prison industries positions.     

Other offender work assignments include building maintenance, food services, sanitation, or prison industries. These work assignments are supervised by expert staff that not only oversee inmate work, but also help develop inmate skills and competence. For example, food services are overseen by a kitchen supervisor trained in nutrition and ServSafe certified. They set the menus and supervise kitchen activities, but inmates serving on the food services crew do the actual cooking and serving of food.

By utilizing an inmate workforce, facilities not only save on labor costs to fun the facility, but also contribute to a reduction in recidivism rates by providing rehabilitation and skilled training for inmates to better prepare them for employment upon release. For many inmates, this may be their first work experience, allowing them to learn valuable job skills.     

Reentry

Offenders approaching their release date should be considered for programs that will assist in a successful reentry. Programs may include:

• Tenant Responsibility classes
• Financial classes
• Parenting classes
• Productive citizenship

Case managers should also begin to develop reentry and home plans with offenders, linking them to services and resources in their communities upon reentry.

According to a report published by the Bureau of Justice Statistics, more than 65% of inmates released from prison were rearrested within three years and more than 75% were rearrested within five years[9]. These numbers demonstrate the need for appropriate case management, treatment, and reentry planning.

Some of the issues facing offenders returning to the community that contribute to recidivism include lack of employment, adequate housing, access to medication and treatment services, and a return to criminal social circles. Through effective case planning at intake through to release, case managers can assist offenders in successful reentry. The development of an official release plan generally begins within 12-24 months of the offender's anticipated release date.

Employment

Planning for offender employment begins at intake when we determine education levels and job readiness skills. Offenders with a GED will be in a better position to obtain employment than those without. Job readiness skills will help offenders maintain that employment. Most employers are reluctant to hire applicants with a criminal record. Case managers should develop contacts with employers willing to hire felons so they can help offenders submit applications and prepare for interviews immediately upon release. Case managers can also accommodate interaction between the offender applicant and the hiring manager, as research indicates that this interaction improves chances for employment[10].

Listen to this podcast presented by DC Public Safety on the topic of Offender Reentry and Employment.

Housing

Inmates preparing for release on parole are often required to have an approved home plan to demonstrate where they plan to live upon release. Many of these inmates will struggle to identify appropriate housing. Case managers will then assist offenders with identifying alternative housing options.

Medication and Treatment

Mental illness impacts more than half of all prison inmates[11]. Many of these offenders require access to medication and ongoing treatment to avoid a recurrence of symptoms that may contribute to reoffending. Offenders with severe mental illness or those that lack the access to services struggle significantly with this issue.

Case managers should be aware of offender treatment and medication needs to establish an appropriate plan for continued support in the community. Offenders are also generally released with a 30, 60, or 90 day supply of required medication to accommodate a period of adjustment while obtaining services in the community.

Social Support Systems

Humans are social creatures heavily influenced by our environments and social circles. Offenders who return to associating with criminal peers are at significantly higher risk of reoffending. Programs available to mitigate that risk include mentoring and counseling programs.

Programs like Mentoring 4 Success utilizes trained mentors to support the work of correctional case managers in preparing offenders for release. They begin working with offenders six to 12 months prior to release, helping offenders identify and establish prosocial activities and engage with their communities[12].     

Offender Rehabilitation

Recommended Program Assignments

The reports above provide correctional case managers and others valuable insights into offender risks and needs. Based on these reports, case managers create a case plan with program recommendations for offenders on their caseloads. Some of the most common program assignments for offenders include

• Anger management
• Substance abuse
• Education (GED, vocational training, college classes)
• Mental health counseling
• Life and social skills
• Thinking for a Change classes
• Job Readiness classes
• Tenant Responsibility classes

Other Uses

Offender reports may also be used by case managers in determining offender custody level/supervision level and good time earning levels. They may also be used to determine appropriate work assignments for offenders during incarceration or in assisting community offenders in obtaining employment and services.     

Collaboration

Connecting With Community Agencies

Case managers, whether working in a secure facility or in the community, need to be adept at establishing collaborative relationships with other professionals and agencies. Case managers serve as the link between the offender and community services. The more agencies and resources a case manager has access to, the more effective they will be in delivering case plans that reduce offender recidivism.

Case managers should begin establishing a list of felon-friendly employers. This list should include local employers for community corrections and employers throughout the state for institutional corrections. Once this list is established, case managers should reach out to employers to build a relationship for future referrals. The stronger the relationship, the more likely employers will contact you with job openings for offenders on your caseload.

Additional databases should include the extent and array of community resources, including mental health and treatment resources. The quality and accessibility of services should also be monitored while building relationship with those agencies.

While technology now allows access to information without in-person contacts, making that human connection can put you at an advantage when competing for access to limited community resources.

Utilizing Volunteers

Community agencies and individual volunteers can provide programs to address offender needs. Case managers identify and screen appropriate volunteers/programs and accommodate program implementation.

Some volunteer-based programs that are utilized in prisons include

• Alcoholics Anonymous/Narcotics Anonymous
• Church Groups
• Dog Programs
• Employability Skills (often presented by local employers)
• Veteran's Benefits (presented by local Veteran's Administration employees)

Watch the following videos for examples of how these programs can benefit offender rehabilitation.     

Fostering an Effective Team

Case managers must also be prepared to foster an atmosphere of cooperation and commonality among other correctional staff and outside agencies providing services for offenders.

Case managers are often the leaders of an offender's treatment team, guiding the focus and implementation of the case plan. Strong communication skills and assertive leadership skills in the case manager are necessary in order for the team to be effective.

It is up to the case manager to ensure that members of the treatment team feel valued for their input. By establishing a basis of respect for diverse opinions, case managers can get the most out of their teams.

Each person involved in a treatment team is an expert in his or her field. Security staff, medical staff, recreation supervisors, community agency representatives, work assignment supervisors all serve a valuable role in the rehabilitation of the offender and it is important for case managers to value that expertise in the development of a more creative and thorough case plan.