PARTICIPANTS’ PAPERSRESOURCE MATERIAL SERIES No.88

EVIDENCE-BASED TREATMENT OF OFFENDERS:RISKS AND NEEDS ASSESSMENT AND MANAGEMENTPROTOCOL FOR OFFENDERS IN THE
CORRECTIONAL SERVICES DEPARTMENT OF HONG KONG
Chun-kit Lawrence Chow*

I. BACKGROUND
A systematic assessment of custodial and reoffending risks and rehabilitative needs is the cornerstoneof quality correctional services. In terms of prison management, early identification of offenders with highcustodial risk (e.g. with violent or self-harming behaviour, acts of escape, subversive activities, etc.) would
help the Correctional Services Department of Hong Kong (CSD) to manage prisoners. Likewise, systematic
assessment of reoffending risks and rehabilitative needs (or named criminogenic needs) could help the CSD
to formulate better rehabilitative programmes and in turn prevent reoffending.
With the assistance of the Correctional Service of Canada and the Chinese University of Hong Kong, aconsultancy was commissioned by CSD in 2002 to empirically develop and refine an integrated risks andneeds evaluation protocol for the management of offenders, namely, the “Risks and Needs Assessment andManagement Protocol for Offenders” (the Protocol). It provides the CSD with a scientific and evidencebased approach to prison management and offender rehabilitation. Similar protocols have been widelyadopted by correctional institutions in North America and Europe.

II. THE CSD’S RISKS AND NEEDS ASSESSMENT
AND MANAGEMENT PROTOCOL
A. Objectives
The Protocol is designed to:• identify offenders prone to custodial and reoffending risks, and thus enhance prison management;and• deliver rehabilitative programmes matching offenders’ needs, and thus facilitate their rehabilitation.
B. Risks and Needs
An offender’s overall risk of reoffending can be conceptualized as consisting of two factors, namely 1.
risks and 2. needs.
1. Risk Assessment“Risks” refer to a set of quantifiable historical factors which, when summed up, can be used to predict
the future probability of reoffending as supported by actuarial findings. This is a simple and old belief madescientific, i.e., the belief that the best predictor of future behaviour is one's past behaviours. These historicalfactors include items like the number of previous convictions, the age of first conviction, the court levelthat an offender last attended, etc. As these factors relate to past history and cannot be changed, they aresometimes referred to as "static" risk factors.
In the context of the CSD, two types of risks are significant to prison management and offender
rehabilitation, namely, “Custodial Risk” and “Re-offending Risk”:•“Custodial Risk” includes three indicators, i.e. the control index, escape history and self-harm index;•“Re-offending Risk” involves a number of static factors, e.g. age on admission, number of previous* Principal Officer, Lai Chi Kok Reception Center, Hong Kong.

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convictions, institutional experience, acts of escape, breach of supervision, court issuing the current
sentence, level of education, employment status on admission, gang/triad membership, drug abuse
experience, interval since last release, etc. All these factors would be input into relevant prediction
tables resulting in three levels of reoffending risk: high, moderate, or low.
2. Needs Assessment
Needs refer to a set of personal/interpersonal factors and behaviours associated with offending. Thereis a considerable body of evidence that offenders as a group differed from non-offenders in a number ofindividual characteristics. For example, Ross and Fabiano (1985) had shown that offenders had deficits intheir ability to conceptualize consequences, means-end reasoning, understanding the feelings of others, etc.
J. McGuire (1999) focused on the offenders’ poor interpersonal-problem-solving skills while J. Bush (1995)
and Yochelson and Samenow (1976) had pointed out deficits in thinking styles such as entitlement and victimstance. In short, offenders lack the values, attitudes and the life skills required for pro-social living. As thesefactors are associated with reoffending and can be changed, they are sometimes called “dynamic risk” or“rehabilitative needs” or “criminogenic needs.” Both static risks (Risks) and dynamic risks (Needs) together
make up the overall reoffending risk of an offender.
Seven dynamic factors (domains) should be assessed, including:•••••••

Family/marital — the value placed on being with family and the support one derives from them;
Employment — the value placed on work and the role of work in one’s life;
Community functioning — the value placed on having the knowledge and necessary skills for dailyliving;
Associates — the value placed on non-criminal associates and the opportunity for positive socialinteraction;
Drug abuse — the value placed on living without reliance on drugs;
Personal/emotional problems — the value placed on being in control of one’s life; andCriminal Attitudes — the value placed on living in law-abiding ways

Each need domain is rated in terms of severity: considerable need, some need, no immediate need, or asset.

C. Risks & Needs (R&N) Programme Matching
According to Andrews, Bonta et al. (1990), the risk principle states that services to clients should bematched with individuals’ risk levels. Thus, intensive service should be reserved for higher-risk offenders,
whereas less intensive service should be given to lower-risk clients. Moreover, the static risk level is one of
the important factors to note when considering the level of supervision after release.
The need principle states that the content of interventions should be matched with clients’ specificneeds. Therefore, offenders with different needs should receive different programmes depending on theirdifferent needs profiles.
Careful and accurate assessment of an offender's risk and needs is of pertinent importance as assessment
results affect not only the absolute amount of resources allocated to the offender, but they also determine
the priority of service, the intensity of service and the specific types of service that the offender receives.
Most important of all, accurate assessment is the cornerstone for programme effectiveness. As the needsof an offender also contribute to the probability of reoffending, both needs and risks have to be taken into
account when deciding on the level of in-centre service or the level of supervision for an offender.
The reoffending risk is assessed by using validated prediction tables for adult and young offenders forboth sexes. The assessment of rehabilitative needs is conducted on the seven need domains of the offenders
through interviews. Following initial assessment of their rehabilitative needs, appropriate programme
matching and counselling will be arranged to target their needs so as to facilitate their reintegration.

D. Development
In 2002, the CSD commissioned a consultancy with the assistance of the Correctional Service of Canada(CSC) and the Chinese University of Hong Kong (CUHK) to empirically develop and refine an integrated

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risk and needs evaluation protocol for the management and rehabilitation of the offender in the localcontext. This involved the study of past data of reconvicted offenders discharged from CSD custody, and theconstruction and field testing of new classification tools designed to systematically assess the reoffending
risk and criminogenic needs of the local offenders.
In 2005, prediction tables for assessing the reoffending risks of various types of offenders were refined,
and a systematic protocol for assessing the rehabilitative needs of offenders was developed. In October 2006,
the “Rehabilitation Programmes Management System” (RPMS) was launched. Consisting of six modules, it
is a networked computer system which caters to the operational requirements of the Rehabilitative Divisionof the CSD including the storage of records of pre-sentence assessment, risks and needs assessment,
rehabilitative programmes, welfare and counselling services, psychological services, education services,
vocational training programmes and supervision services rendered to offenders. With this System, the level ofreoffending risks can be generated automatically. In this regard, the risks and needs profiles could be monitoredsystematically.
Rehabilitative programmes matching with their rehabilitative needs are provided to offenders assessedwith certain levels of reoffending risks and rehabilitative needs. Higher priority will be given to thosewith “high” and “moderate” reoffending risks and with “considerable” or “some” rehabilitative needs inparticular domains.
A battery of clinical risk-assessment tools has been developed to assess the reoffending risks of violent
offenders, sex offenders and young offenders.
Significant developments in chronological order:Since
Oct. 2006• R
 &N Assessment
conducted on• A ll local inmates (Training Centre (TC), Rehabilitation Centre(RC) , Detention Centre (DC), Drug Addiction Treatment
Centre (DATC))• All local young prisoners• L ocal adult prisoners with sentences of 2 years or above
upon admission

Jan. 2007• R ehabilitative Programmesprovided to• A ll local inmates (TC, RC, DC, DATC)• All local young prisoners

Feb. 2007• O ffender Management
Profile• L aunched in fullFeb. 2009• R
 &N Assessment extendedto• L ocal adult prisoners with sentences of 18 months or above
upon admission

Jan. 2010• R
 &N Assessment furtherextended to• L ocal adult prisoners with sentences of 12 months or above
upon admission• R ehabilitative Programmes
first provided to• L ocal adult prisoners with sentences of 12 months or above(usually provided in the 9 months before EDD).

E. Service Targets
All persons serving sentences in prisons and inmates’ centres are the service targets of the Protocol.
Inmates’ centres include the Training Centre (TC), Detention Centre (DC), Rehabilitation Centre (RC) andDrug Addiction Treatment Centre (DATC).
F. Rehabilitative Programmes in Groups
Rehabilitative programmes aim to better manage offenders’ reoffending risks and meet their rehabilitativeneeds. Offenders with high or moderate reoffending risks as well as considerable or some rehabilitativeneeds would be given higher priority for receiving structured rehabilitative programmes in groups (whereasoffenders of low risk and no need would usually be provided with individual counselling). The programmes,
including structured treatment groups of six to eight sessions and self-help assignments, are conducted bystaff of the Rehabilitation Units and Psychological Services Sections. All of the involved staff have received
professional training in counselling, psychology, social work or other relevant fields.

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As the effectiveness of the programmes very much depends on the extent of motivation and commitmentof the offenders, offenders’ participation in the programmes is on a voluntary basis. For those with low
motivation, responsivity enhancement programmes are provided to them with a view to enhancing their
responsivity to counselling and strengthening their motivation to change.
Six types of structured rehabilitative programmes in groups are provided to offenders according to theirneeds:
Need Domains

Rehabilitative Programmes in Groups

Family/Marital

Family Relationship Group

Employment

Employment Counselling Group

Community Functioning

Community Reintegration Group

Associates

Associate Counselling Group

Drug Abuse

Drug Abuse and Rehabilitation Programme /Relapse Prevention Group

Personal/Emotional
Criminal Attitude

Offending Behaviour Programme

G. Other Rehabilitative Programmes
Apart from structured rehabilitative programmes in groups and individual counselling to offenders,various rehabilitation-related programmes and activities are held in parallel to facilitate positive changes ofoffenders, to reinforce the support of their family members and to arouse the acceptance of the public towards
rehabilitated persons.
As regards the family/marital domain, a series of Inmate-Parent Programmes are organized, including
the “Parents’ Day” and the “Familiarization Visit” for the parents of young offenders so as to help offenders
develop a close rapport with their family members, improve their mutual communication, and encourage theparents to adopt a positive attitude towards their children’s problems.
About the employment domain, symposiums on employment for rehabilitated persons are held in order
to appeal for community support to open up job opportunities for rehabilitated persons. At the same time,
market-oriented vocational training courses are held for offenders to enhance their employability uponrelease.
For the community-functioning domain, the CSD works with non-governmental organizations to provide
voluntary work training to offenders so that they have the opportunity to repay society. Through intensive
training and community service, offenders can rebuild their self-images, build resilience and develop ahealthy lifestyles.
Concerning the drug-abuse domain, non-governmental organizations are invited to conduct group counsellingfor offenders and provide post-release follow-up services for offenders with drug-addiction history. Also,
rehabilitated drug addicts share the detriments of drug abuse and their rehabilitation experiences with visiting
students through the “Rehabilitation Pioneer Project – Green Haven Scheme” and thereby enhance theirdetermination to start anew.
Under the “Continuing Care Project”, non-governmental organizations provide counselling services tosupervisees referred by the CSD upon the expiry of their statutory aftercare supervision.
The CSD Rehabilitation Volunteer Group and non-governmental organizations are actively involvedin providing individual and group counselling to offenders as well as organizing cultural, religious andrecreational activities for them.

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III. Conclusion and Way Forward
The CSD has implemented the “Risks and Needs Assessment and Management Protocol for Offenders”
since 2006. Under the Protocol, offenders are first assessed on their custodial and reoffending risks andrehabilitative needs. This assessment facilitates prison management for handling threats of self-harm,
escape and violence. Most importantly, it allows the CSD to provide matching rehabilitative programmes tooffenders, having regard to their risks and needs profiles.
The accuracy of assessment of the custodial and reoffending risks as well as the appropriateness of thedesign and delivery of relevant rehabilitative programmes is of paramount importance to the successful
implementation of the Protocol. To this end, the CSD will continue providing training to staff on these two
aspects, seeking advice from local academic and overseas counterparts, and refining the Protocol in light ofoperational experience.

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