Fifth Judicial District - Department of Correctional Services


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TITLE: Assessment And Case Planning


A case management system shall be developed to ensure offender risk and criminogenic needs are identified and addressed in an effort to lower risk and reduce victimization. This system is intended to focus the majority of resources on moderate and high risk offenders and shall include the following elements: on-going risk and need assessment, responsivity, case planning, case plan follow-up and documentation, transfer of records, staff training, and quality assurance.

For those offenders scoring near the cut off scores, officers may consider an override to increase or decrease the level of contact, as they deem appropriate. If increasing the amount of offender contact, officers should take into account what impact it would have on offender success and community safety.

NOTE: The terms "case plan," "case management plan," "supervision plan," "correctional plan" and "re-entry plan" are used interchangeably throughout Department manuals. The terms "Chronologicals", "Chronos", and "Generic Notes" are used interchangeably throughout the Department Manuals.

The following procedures set forth below do not apply to Federal offenders.


  1. The Iowa Assessment of Client Risk shall be completed within thirty (30) days after the case is assigned in ICON for all offenders supervised by a field services office or in a residential facility. (The Iowa Classification System Assessment and Reassessment of Client Risk Instructions and Scoring Guide shall be used when completing each assessment and reassessment form, using classification overrides, and assigning levels of supervision.) An Iowa (Re)Assessment of Client Risk shall be completed every six months throughout an offenders period of supervision.
  2. The following new case requirements shall be completed within sixty (60) days of the date of assignment for field services cases and thirty (30) days for residential facility cases:
    1. An LSI-R Assessment shall be completed on all state work release, probation, and parole cases scoring 12 or above on the Iowa (Re) Assessment of Client Risk and all cases overridden to high-normal or above unless an LSI-R was already completed within the last twelve (12) months. An LSI-R Assessment shall be completed on all residential facility cases unless an LSI-R was already completed within the last twelve (12) months or the Iowa risk indicates that the offender scores low normal or below and has not been overridden to high normal or above.
    2. LSI-R Re-assessments shall be completed when new information is revealed which indicates significant additional or different need areas or interventions which need to be addressed in the case plan.
    3. When an LSI-R was conducted staff shall complete a responsivity assessment (Jesness) prior to the development of the case plan unless one has been completed within the last four (4) years. If a responsivity assessment has been completed within the last four (4) years but additional significant information has been received since completion of the assessment a reassessment may be appropriate. Responsivity assessment (Jesness) results shall be entered into ICON.
      1. If a Jesness is reported as invalid it would be administered one more time after no less then a 2 week period of time. If it is reported invalid a 2nd time the Jesness would not be administered again.
    4. Probation/parole officers shall be guided by the strategy type as indicated by the responsivity assessment.
    5. Assessment shall be conducted to determine the offender’s readiness to make change. An offender’s stage of readiness will influence the pace at which case work will proceed. It may become necessary to defer case planning and/or program referral if such programming is deemed to be of no benefit because of the offender’s present attitude toward change. When case planning or referral is deferred supervisory review shall confirm that decision and specific documentation in Icon generic notes shall provide evidence and rational for the action taken.
    6. If there are compelling reasons to increase or decrease the level of supervision assignment, justification must be documented in the completed assessment under "Professional Discretion Over-ride Section", for review by the supervisor for approval and signature. Recommendations to over-ride may be based on but not limited to the following:
      1. Offender is currently on supervision for a charge of, or crime with elements resembling, domestic assault or sex offense.
      2. Victim Concerns – the victim was vulnerable due to age, infirmity, reduced physical/mental capacity and/or treated with particular cruelty.
      3. Predatory Behavior.
      4. Community Sensitivity - offenders whose currents offense or offense history is sufficiently significant to cause substantial concern in the community.
      5. Mental Health Concerns - untreated or unstable mental health status related to the offenders offense behavior.
    7. Other assessments can be used for specialized need areas such as sexual offending, battering, and substance abuse.
    8. If an offender has less than six months remaining on supervision, a Re-Entry Caseplan does not need to be completed.
    9. A Re-entry Case Plan shall be completed in ICON on all cases which meet any of the following criteria:
      1. Cases which score 12 or above on the Iowa (Re) Assessment of Client Risk and 24 or above on the LSI-R.
        1. An LSI-R score if less than 28 can be staffed with a supervisor if the agent feels that once a primary need is met, the score would have dropped below 24 and a case plan is not needed
      2. All cases overridden to high normal or above on the Iowa (Re) Assessment of Client Risk, regardless of LSI-R score.
      3. If the Iowa Risk (Re)Assessment Score is 12 or above, but the LSI-R score is less than 24 or the case is staffed with a supervisor and the case plan is waived, the officer should either:
        1. Override the client down from High Normal and therefore not complete case plan.
        2. Leave the client at High Normal and complete a case plan
    10. Criminogenic needs shall be identified using the LSI-R.
    11. The needs shall be identified and numerically prioritized in ICON by creating an offender needs groups. (See ICON business rules for CBC).
    12. Up to four prioritized needs may appear on the re-entry case plan in ICON at any given time. In cases where multiple needs appear on the re-entry case plan it is not required that all needs be addressed simultaneously. Consideration should be given to individual case needs, client abilities and resources when determining how many re-entry case plans will be active at one time. When not immediately addressing a need area documentation in generic notes shall be made explaining the rational for the decision. Also a notation on the case plan itself shall be made indicating that the specific need is not presently being addressed.
    13. The case plan process is intended to probe beneath the surface in an effort to facilitate internalized behavior change. The "I did it because (I have a tendency to") statement is aimed at understanding the need being met by the illegal behavior or the conditions under which the illegal behavior occurs. The "Worst result for me because of this" statement is intended to get at what might motivate the offender to work to avoid getting into the criminal justice system again. The "Goal" statement is intended to help the offender focus on some end result. The "I will receive the following benefits when I achieve these goals." statement is intended to facilitate cost/benefit analysis.
    14. The interventions listed shall be based on what is available locally. "Action steps" set forth short-term, concrete, individualized assignments aimed at achieving the goals of the re-entry case plan.
    15. In ICON the re-entry case plan requires a "Next Review Date" to be entered. This date shall be associated with case plan objectives as either objective completion dates or case plan review dates. Re-entry case plan review is defined as a review of the case plan to determine if it continues as an appropriate plan. At review the plan may be continued, modified or terminated. Termination may occur because objectives have been met or because it has been determined that a different re-entry case plan addressing the same needs area would be more appropriate. Re-entry case plan review should occur with the client at sixty day intervals or as events may dictate, e.g. a client with a case plan dealing with alcohol is arrested of public intox. In no case shall a review date extend beyond sixty days of case plan development or last review. The offender shall initial the re-entry case plan at each 60 day review or when changes are made in the re-entry case plan. Note: re-entry case plan review is not intended to replace case plan progress review conducted when meeting with an offender between case plan review dates.
    16. A copy of the completed plan shall be given to the offender.
  3. An LSI-R reassessment must be completed within 7 days of the referral to the Violator’s Program, when a violation report is written when residential facility or prison placement is recommended, and at least every twelve (12) months.
  4. Within 90 days of discharge from correctional supervision, an LSI-R Re-assessment shall be completed on all residential facility cases, and all field services probation or parole cases scoring 12 or above on the Iowa (Re) Assessment of Client Risk and all cases overridden to high-normal or above.
  5. Case plan progress must be reviewed with the offender, in accordance with contact or level system standards, with progress notes documented in Generic Notes (See Generic Note policy). The case plan shall be revised or updated as circumstances dictate or as the offender accomplishes the objectives (see 2 G. 6 above). If the offender does not make measurable progress in achieving the objectives, they must be modified or reviewed with a supervisor to determine what further action is necessary. As case plans are updated the offender shall date and initial all changes.
  6. Staff, whose job duties include doing the LSI-R or using the LSI-R to develop case plans, shall become proficient to administer and score the LSI-R. The Department shall comply with the certification and quality assurance standards developed by the LSI-R Training Committee.
    1. Initial LSI-R training will be provided at new employee training/orientation sessions. New case management staff shall successfully complete the requirements of the counselor track within the first year of service. This training includes proper scoring of the LSI-R, interviewing skills which includes an introduction to motivational interviewing and the stages of change model, responsivity and intervention, case planning and negotiation.
    2. Follow-up LSI-R training will be provided approximately 2 to 6 months following successful completion of the initial training. In order to attend this training, staff must complete a minimum of six (6) LSI-R interviews with one of those being audio or videotaped. Local trainers will review the LSI-R interviews and tapes prior to the follow-up training. Supervisors will be responsible for tracking the completion of the two-step process for certified use of the LSI-R. This training must be completed in order for staff to be certified in the LSI-R. Booster sessions will be held within the district as determined by the LSI-R quality assurance committee.
    3. LSI-R Trainers/designee will review additional LSI’s in an effort to declare probation/parole officers "proficient" in the administration of the instrument. Five consecutive "valid" LSI-R’s will constitute "proficiency status" and the officer will be placed on a maintenance schedule. The LSI-R Trainer/designee will then complete one full LSI-R review per year per officer. The training CD ROMS may be used for this audit. If the LSI-R is invalid, the officer will be notified of the errors and will be required to complete an LSI-R on a different case. The probation/parole officer’s supervisor will be notified of all audit results and will assist with corrective action.
    4. All supervisors who conduct audits shall complete the certification process for the use of the LSI-R. In addition, supervisors shall complete additional training on the importance of quality assurance and auditing, the use of the LSI-R in case management, which includes effective correctional intervention strategies using risk, need and responsivity principles, and methods for case audit review.
    5. Additional training will be available for employees needing training in supervision by responsivity and motivational interviewing.
    6. All Probation/Parole Supervisors and other designated staff will complete a minimum of one LSI-R Audit per month for quality assurance purposes.
  7. At the time of in-state transfer, staff shall ensure the following is entered into ICON or copies are provided to the receiving officer, unit, or institution: the interview guide for the LSI-R, the Jesness report, and any assessments by outside agencies, as applicable. Back up documentation shall also be provided.
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