Correctional Case Management

Interview and Assessment

Interviewing Offenders

Offenders, regardless of setting, present a variety of characteristics that correctional case managers should be prepared to handle. They are often resistant to treatment or deceptive during interviews. They may present as cooperative in an attempt to manipulate correctional staff. Or they may have a sincere interest in rehabilitation and change. Case managers should be aware of the various offender motivations and methods of interviewing.

Establishing Rapport

Establishing open communication and a certain level of trust is important to gain accurate and honest information during interview. However, this rapport must be balanced with appropriate offender-case manager boundaries. During initial interviews, case managers should be clear and forthcoming about limits to confidentiality and use of information revealed by the offender. Case managers should keep in mind that they often are in a position of power over offenders and that will impact an offender’s willingness to communicate freely with the case manager. Enos and Southern (1996) refer to this as coercive power and suggest several steps to neutralizing its impact[25]. Acknowledge that the offender probably doesn’t want to be there. Offer options on how the interview can be conducted (answer a set of questions or provide background information in a more conversational manner). Discuss the limits of confidentiality in the correctional setting.

Addressing Confidentiality

Offenders are generally aware that their history and records do not fall under the same level of protection as private citizens protected by the Health Insurance Portability and Accountability Act (HIPAA). Confidentiality, even in regards to counseling, is not guaranteed for offenders.

Gathering Data

While correctional case managers may be at a disadvantage given the animosity offenders may feel about confiding personal information, there are advantages in regards to access to records. Case managers may choose to review offender records, including Pre-Sentence Investigation Reports, rap sheets, treatment and educational records, and institutional records, prior to interviewing offenders. This information often provides an overall picture of the offender which gives the case manager a starting point for establishing rapport and identifying needed information.

Motivational Interviewing

Motivational Interviewing (MI) is an approach developed in the 1980s to help establish more buy-in from the individual in question. MI utilizes an approach that links the offender’s need for change to something they care about. By focusing on that aspect, the case manager collaborates with the offender rather than confronting them. This establishes more offender buy-in and leads to greater success in treatment and rehabilitation efforts.

Assessment of Offenders

Case managers conduct assessments at intake and routinely during an offender’s incarceration or supervision. In general, assessments are conducted at three specific times: at intake, annually on the anniversary of intake, and as needed to update plans or address disciplinary issues.

Security Assessments

Security or supervision assessments, guide the case manager in determining the appropriate security/custody level (in the case of jail or prison) or supervision level (in the case of community corrections) of the offender. Each state or local agency utilizes its own assessment tool to determine security/supervision level. The Kansas Department of Corrections (KDOC) utilizes an objective scoring system to classify inmates, following the KDOC Inmate Custody Classification Manual. Based on the score obtained, case managers will assign the inmate to the appropriate custody level. KDOC Parole Services utilize the Level of Service Inventory-Revised (LSI-R) to determine supervision level and treatment needs. Additional classification tools may also be used.

Treatment Needs Assessment

Assessment is the first step in treatment planning and must be completed completely and accurately in order to develop an effective plan. State and local agencies use various methods of security/supervision assessment, with the Level of Service Inventory-Revised (LSI-R) being one of the most popular. The LSI-R is the assessment tool utilized by the Kansas Department of Corrections (KDOC) per the Internal Management Policy and Procedure number 10-104. The LSI-R is an objective, 54-item risk/needs assessment instrument that focuses on ten categories of static and dynamic risk factors. Static risk factors are those that cannot be changed, such as the offender’s age and offense history. Dynamic risk factors are generally the focus of treatment and rehabilitation, as they are the risk factors that are changeable, such as substance abuse and anger issues.  

Assessment Tools

Level of Service Inventory-Revised (LSI-R)

The Level of Service Inventory-Revised (LSI-R) remains the most well-known and utilized assessment tool in correctional case management. The tool was developed in the 80's by two psychologists, Andrews & Bonta, and initially called the Level of Service Inventory (LSI). After further research, they updated the tool in the 90's and it became known as the Level of Service Inventory-Revised (LSI-R). The LSI-R measures both static and dynamic risk factors. Static risk factors are those that cannot be changed through treatment. Age, for example. As offenders age, their risk for reoffending lessens. So, age of an offender represents a static risk factor. Dynamic risk factors are those that can be changed. Addiction, for example, is a significant risk factor for reoffending. It can, however, be reduced through appropriate treatment and interventions[26].

The LSI-R not only identifies the risk factors that case managers can use to develop a treatment plan, it also provides a recommended supervision level and a quantified level of risk for reoffending.  

Counseling

In the correctional environment, case managers should recognize that offenders will often be resistant to counseling. Developing rapport and acknowledging that resistance is the first step in establishing an effective counseling relationship. The case manager can use the intake and assessment to begin this process. Motivational Interviewing (MI) is also an effective way to help offenders arrive at the decision to change on their own, thus creating more buy-in. MI is simply "a style of communicating that helps people explore and resolve ambivalence about changing specific, maladaptive behaviors"[27]. It can occur during very specific MI sessions with an individual offender or it can be used as a general approach to working with inmates.

Nondirective and Directive Counseling

Nondirective counseling is used largely outside of corrections, where the client guides the counseling. However, we see it used in some ways in the Motivational Interviewing process, as we guide offenders to identifying and make the decision to change through questioning. Directive counseling allows correctional counselors to guide the offender towards the changes they need to reduce their likelihood of reoffending. We will see the Motivational Interviewing process shift into a more directive counseling approach once the offender has reached the decision to change. 

Cognitive Behavioral Approach

Cognitive-Behavioral Therapy (CBT) counseling approaches often begin by focusing on changing negative thought patterns. Those thought patterns are sometimes referred to as core beliefs or schemas.

CBT seeks to change these core beliefs or schemas through reality testing and practice replacing them with more positive or realistic throughts through a process of reframing.     

Group Counseling Techniques

The power of a well-established group can override the impact of prisonization that can lead to positive change. Case managers must plan for a successful group by establishing clear goals, carefully selecting participants, and leading the group in establishing rules and guidelines.

By utilizing the group approach, we can draw on the experience of each participant and allow group interactions to serve a therapeutic purpose. Group members play the role of both counselor and the counseled. Groups also allow members to practice appropriate social interactions under the guidance of the counselor/case manager.