Consideration - The Classification Manual, other Documents and C(AS) Reg and Mr Halloran's and Mr Grant's Evidence
68The Tribunal described the principal elements of the evidence of Mr Halloran and Mr Grant which were relevant to the contest between the parties and to the issue the Tribunal had to resolve as follows:
(1)That there was a structural separation between undertaking security classification and access to development programs (at [79]) (I understand the reference to "structural separation" to be to the conceptual structure of the processes not to how the processes were physically carried out); and
(2)That security was the only consideration when classifying inmates and that access to development programs was determined by the level of security classification once it was made (at [145]).
69The Tribunal concluded (at [157]), based upon a review of portions of the Classification Manual and the External Leave Program Policy together with cl 22(1) of the C(AS) Reg, that classification "takes into account appropriate development programs" and had a duality of purpose including "a purpose which is beneficial or helpful to an inmate". These conclusions were apparently based upon the premise that the C(AS) Reg and the extracts from the Classification Manual and the EPL Policy identified by the Tribunal were inconsistent with Mr Halloran's and Mr Grant's evidence concerning structural separation and the sequential nature of the process of decision making concerning classification and the provision of appropriate development program as part of the case planning process.
70There was no challenge on this appeal to the conclusion that preparing and implementing a case plan was helpful and provided a benefit to an inmate, as found by the Tribunal at [121] and [138]. Further, it was accepted by the parties that classification was directly related to the case planning process not least because cl 13(1)(a) of the C(AS) Reg required that an inmate's case plan "must indicate ... the inmate's classification for the time being". It may also be accepted on this appeal that the purpose of providing development programs to inmates was to help or benefit them.
71As noted above, the substance of the appellant's submissions was that, in so far as classification was concerned, the C(AS) Reg and the extracts from the Classification Manual and the External Leave Program Policy relied upon by the Tribunal at first instance did not provide a proper basis for rejecting Mr Halloran's and Mr Grant's evidence or reaching a conclusion contrary to that evidence. The appellant submitted that this was because the regulation and the extracts were not actually inconsistent with that evidence but rather provided confirmation of or support for that evidence. The respondent maintained that the evidence of the two witnesses was inconsistent with the material relied upon by the Tribunal below and that the conclusion reached was open on the evidence.
72Accordingly, it is necessary to review the C(AS) Reg and the passages from the Classification Manual and the other documents relied upon by the Tribunal at first instance in some detail and to determine whether they are indeed inconsistent with Mr Halloran's and Mr Grant's evidence.
73As has been noted above, cl 22(1) of the C(AS) Reg stated that "[e]ach male inmate is to be classified in one of the following categories for the purposes of security and the provision of appropriate development programs". Thus, it could be legitimately said that classification has two purposes. The appellant submitted, however, that these two purposes were not equivalent. As to the first, security, it was submitted that this purpose was the end sought to be achieved by classifying inmates, namely the good order of the correctional centre in which the inmate is held, the safety of the inmate and other inmates, the safety of staff and the safety of the community at large. The second, it was submitted, was of a different order. It merely identified a consequence which flowed from the classification of an inmate and was not the end sought to be achieved by classification. An inmate's classification was one element that had to be "indicated" in the inmate's case plan and the other elements of the plan such as placement and development programs depended to some extent on classification but classification did not depend on those other elements.
74It can be accepted that the word "purpose" has a number of meanings in ordinary English. One is "the object for which anything is ....done" and another is "the practical result, effect ..." (Macquarie Dictionary Online Ed, meanings 1 and 6 respectively). It is possible, as the appellant submitted, to read the chapeau of cl 22(1) as identifying that security was the object sought to be achieved by inmate classification while providing inmates with appropriate development programs was something that was a mere consequence of, but did not directly influence, the inmate's classification. If this is so, the evidence of Mr Halloran and Mr Grant is consistent with such a reading and should not be rejected because of the terms of cl 22(1).
75This is not, however, the only way in which cl 22(1) can be read. As the respondent submitted, inmate classification could be characterised as being done both with the object of maintaining security and with the object, not just the consequence, of making appropriate development programs available to inmates. Even if this submission were accepted, it does not follow that the chapeau to cl 22(1) is inconsistent with Mr Halloran's and Mr Grant's evidence.
76As one purpose of classifying inmates identified in cl 22(1) was "security", considerations relating to security naturally played a significant, even determinative, role in deciding an inmate's classification. This is consistent with Mr Halloran's and Mr Grant's evidence.
77If the other purpose or object, as opposed to consequence, of classifying inmates was the provision of "appropriate development programs", there would also naturally be some connection between an inmate's classification and which programs were "appropriate". Some indication of the connection can be found in the 7 categories AA to C3, set out in cl 22(1). They specify at what times and with what types of barrier the inmates in that classification should be confined and in some cases the nature of the facilities, barrier or supervision required in the light of the risk to national security, the risk to good order and security or otherwise. A significant number of the categories would preclude an inmate from participating in some development programs. Thus, it can been understood that while classification of inmates had the object of providing "appropriate development programs" for inmates this meant that it had the object of ensuring that the development programs provided to an inmate were "appropriate" having regard to the inmates' classification.
78Consequently, under cl 22(1), classification could be said to have a duality of purpose, namely: (1) to maintain security; and (2) to restrict the development programs provided to an inmate to those programs which were "appropriate" in the sense of being consistent with the inmate's classification. This being so, security factors would be the only considerations relevant to determining an inmate's classification and to determining which programs were "appropriate" for an inmate having regard to that classification. It would only be after an inmate's classification and the programs "appropriate" for that inmate had been determined, by considerations of security, that the other needs and circumstances of the inmate would be taken into account to decide in which actual development programs the inmate should be encouraged to participate.
79Therefore, even if cl 22(1) is read as indicating that classification has two purposes or objects, it is entirely consistent with classification of inmates preceding, conceptually at least, decisions concerning development programs and placement in the case planning process. It is also consistent with classification decisions being made by reference to security considerations and not by reference to what development programs would be beneficial for the inmate. Consequently, cl 22(1) should not be seen as inconsistent with Mr Halloran's and Mr Grant's evidence. It provides no proper basis for its rejection.
80At [144] the Tribunal concluded that the extracts from Chapters 13 and 14 of the Classification Manual set out in [139] to [143] disclosed "within the classification process at least some focus on the inmate's needs". The appellant in effect contended that this was not so.
81The first extract at [139] was from Chapter 13 of the Classification Manual as follows:
Classification is the process whereby inmates are designated a security rating that determines the custodial location in which they are to be managed. It is one of the most important processes for ensuring the security of the correctional system. Staff who participate in the process must maintain a constant awareness of the significance of this activity for ensuring the safety of the community, staff and other inmates.
The initial classification of an inmate builds on and is a continuation of the reception, screening and induction process. At this stage all the information that has been assembled on an inmate is to be used to develop an appropriate initial case plan, with particular emphasis on LSI-R assessment results. (See section on Case Management Team).
82The first paragraph of this extract is consistent with Mr Halloran's and Mr Grant's evidence as to security being the only consideration relevant to determining an inmate's classification. The second paragraph is also consistent with the classification being conceptually separate from the provision of appropriate development programs and being but one integer in the development of an initial case plan. This extract does not provide any proper support for rejecting Mr Halloran's and Mr Grant's evidence.
83The second extract, set out at [140], from Chapter 14 of the Classification Manual was:
Classification is the process whereby inmates are designated a security rating that determines the custodial location in which they are managed. It is one of the most important processes for ensuring the security of the correctional system. Staff who participate in the process must maintain a constant awareness of the significance of this activity for ensuring the safety of the community, staff and other inmates. ...
NOTE: The classification and placement of an inmate is part of a comprehensive and detailed case plan designed to address his/her individual and identified needs in response to offence(s) committed for which the inmate has been sentenced.
In carrying out the provisions of the legislation there is to be a presumption that an inmate will always obtain a significant rehabilitative benefit from programs, including external leave programs, when motivated to participate.
84The first paragraph of this extract is the same as the first paragraph from the Chapter 13 extract and provides no proper basis for rejecting the two witnesses' evidence. The second paragraph, the "Note", correctly states that classification and placement are part of the case plan (see cl 13(1)(a) and (b)) of the C(AS) Reg) and that the case plan is designed to address an inmate's needs. It does not follow from this, however, that classification of inmates is designed to address inmate needs. As to the third paragraph, it does not relate at all to an inmate's classification and deals with the presumed benefit to be derived by inmates from development programs. There is nothing in this extract which is inconsistent with Mr Halloran's and Mr Grant's evidence nor does it provide any proper basis for rejecting their evidence.
85The third extract, at [141], was also from Chapter 14 and stated:
CRITERIA FOR REGRESSION OF SECURITY CLASSIFICATION - GENERIC
A security classification signifies a level of trust which is accorded to an inmate and is part of the inmate's case plan.
86The "level of trust" accorded to an inmate reflects the security risk the inmate poses. This is established by the paragraph numbered 2 which followed the passage quoted by the Tribunal. Paragraph numbered 2 contained the following: "where the inmate has failed to respond to the level of trust signified by the existing security classification rating that the inmate enjoys (eg substantiated assaults on staff or inmate(s); documented stand-over tactics in minimum security situations; consistent record of non-compliance with centre routine)". As to the last part of the passage relied upon, whilst it is correct that a security classification is part of an inmate's case plan, that part of the passage has no bearing on whether or not classification is based on security considerations rather than which development programs might benefit an inmate. It does not undermine the conclusion that classification is conceptually antecedent to the determination of what development plans should be made available to the inmate. An inmate's classification is, under cl 13(1)(a), to be indicated in, and thus is a part of, the inmate's case plan. There is nothing in this extract which is inconsistent with the two witnesses' evidence nor does it support rejecting their evidence.
87The fourth extract is taken from a paragraph numbered 7 on page 140 of Chapter 14 of the Classification Manual and from the same section as the previous extract. The full paragraph is as follows (with the portion relied upon by the Tribunal in italics):
Where an inmate has his/her classification regressed and/or is removed from a correctional centre pending an investigation either by Police, external bodies or departmental officers, the comments field attached to the classification decision must reflect this. An inmate should not be moved from the centre pending the outcome of an investigation unless it can be demonstrated that the security of the centre and/or safety of staff, community or other inmate(s) is at risk if the inmate is not transferred to another centre. It is incumbent on the case manager at the receiving correctional centre to monitor the outcome of the investigation and to organise a review the inmate's classification when the investigation is complete. Where the allegations are found to have no substance, the inmate's progression in classification must not be compromised. As classification status is based on an assessment of risk, the principle of the balance of probabilities is to apply and staff participating in classification reviews must be careful to balance the needs of the inmate with the perceived risk to the community, staff and other inmate(s). [emphasis in original]
88The Tribunal below emphasised the words "the needs of the inmate" in this paragraph. This paragraph, however, deals with a particular issue namely classification decisions in the context of a pending investigation or where the allegations have been found to have no substance. It does not deal with classification decisions in general. In addition, the "needs" of the inmate which must be balanced are not specifically identified. It might refer to needs of the inmate that could be addressed through development programs or it might refer to the inmate's security needs, for example the need to be protected from other inmates. This latter need, the safety of the inmate, is one that Mr Halloran referred to as being taken into account in classification decisions in his evidence summarised by the Tribunal at [100]. In the circumstances, the passage is neither so clear nor compelling that it would amount to a firm basis, on its own, for rejecting the evidence of Mr Halloran and Mr Grant on this topic.
89Finally, the Tribunal referred at [143] to a paragraph numbered 8 on page 136 of Chapter 14 of the Classification Manual which was as follows:
The placement of inmates into particular correctional centres should, whenever possible, be in response to an assessment of risk and criminogenic need factors and resources available in individual correctional centres to match assessment results. ...
90The Tribunal below emphasised the words "response" and "criminogenic need factors". This passage deals with placement not classification. Placement, or the identification of the correctional centre at which the inmate was to be held, is one of the three elements that was required by cl 13(1) of the C(AS) Reg to be "indicated" in an inmate's case plan, along with the inmate's classification and the services and programs in which the inmate should be encouraged to participate. Placement and classification are separate although related processes as the classification will determine to some extent the type of correctional centre in which an inmate may be placed. Nonetheless, from this passage it does not follow that "criminogenic need factors" are taken into account or determinative when a classification, as opposed to a placement, decision is being made in respect of an inmate. This passage is not inconsistent with Mr Halloran's or Mr Grant's evidence and once again provides no proper basis for rejecting their evidence.
91This consideration of these passages demonstrates that, contrary to what the Tribunal said at [144] and [145], these passages do not:
(1)"disclose within the classification process at least some focus on the inmate's needs, both within the context of the detailed case plan and the process of classification itself" - [144]; or
(2)provide support for the conclusions that "in the respects identified above, the classification process itself has regard to the needs of inmates" except perhaps in relation to the inmate's security need for safety or protection from other inmates - [145].
92Moreover, these passages from the Classification Manual were not inconsistent with and did not justify the Tribunal's rejection of the evidence of Mr Halloran and Mr Grant.
93At [147] to [149], the Tribunal then considered ss 197(2)(a) and 198(1) and (3) of the C(AS) Act and concluded "... it is plain that within the operation of s 198 of the C(AS) Act, SORC is bound to consider rehabilitation and re-entry of the offender into the community as one aspect of public interest when providing advice and making recommendations with respect to security classification. This is plainly helpful and beneficial to the inmate."
94Sections 197 and 198 relevantly provided, as at 15 December 2008, as follows:
197 Functions of Review Council
...
(2) In particular, the Review Council has the following functions:
(a) to provide advice and make recommendations to the Commissioner with respect to the following:
(i) the security classification of serious offenders,
(ii) the placement of serious offenders,
(iii) developmental programs provided for serious offenders,
...
198 Matters to be considered in relation to certain advisory functions
(1) When exercising its functions under section 197 (2) (a) in relation to a serious offender, the Review Council must consider the public interest and any other relevant matters.
(2) In the case of its function under section 197 (2) (a) (i), the Review Council must also consider, in accordance with the regulations:
(a) any submissions made by the State, and
(b) any submissions made by victims of the serious offender,
before advising or recommending that a serious offender should be given a less stringent security classification if it appears to the Review Council that the new classification would allow the offender to become eligible for unescorted leave of absence under a local leave permit or interstate leave permit.
...
(3) Without limiting the generality of the meaning of public interest in subsections (1) and (2A), the Review Council is to take into account the following matters when considering the public interest:
(a) the protection of the public, which is to be paramount,
(b) the nature and circumstances of the offence,
(c) the reasons and recommendations of the sentencing court,
(d) the criminal history and family background of the offender,
(e) the time the offender has served in custody and the time the offender has yet to serve in custody,
(f) the offender's conduct while in custody, including the offender's conduct during previous imprisonment, if applicable,
(g) the attitude of the offender,
(h) the position of and consequences to any victim of the offender, including the victim's family,
(i) the need to maintain public confidence in the administration of criminal justice,
(j) the need to reassure the community that serious offenders are in secure custody as long as it is appropriate,
(k) the rehabilitation of the offender and the re-entry of the offender into the community as a law-abiding citizen,
(l) the availability to the offender of family, departmental and other support,
(m) such other factors as are prescribed by the regulations.
95The terms of ss 197 and 198 do not support the Tribunal's conclusion that SORC was bound to consider rehabilitation and re-entry of the offender into the community as one aspect of public interest "when providing advice and making recommendations with respect to security classification".
96Under s 197(2)(a) SORC's functions include providing advice and making recommendations with respect to 3 things: security classification of serious offenders; the placement of serious offender; and, the provision of developmental programs for them. When performing functions under s 197(2)(a), s 198(1) provides that SORC "must consider the public interest ...". Section 198(3) provides that when SORC is considering the public interest it is required to take into account the non-exhaustive list of factors set out in paragraphs (a) to (m). It does not follow from these provisions that each of those factors is necessarily relevant to each of the 3 functions identified in s 197(2)(a). It cannot be inferred that the factor mentioned in s 198(3)(k) which obviously is most applicable to the determination of which developmental programs should be made available to an inmate must be taken into account when SORC is providing advice and making recommendations concerning an inmate's security classification rather than the inmate's placement or developmental programs.
97Furthermore, s 198(2) does contain specific considerations to which SORC must have regard when it is dealing with security classification. That subsection provides that before advising or recommending that a serious offender should be given a less stringent security classification, SORC must consider any submissions made by the State and by victims of the serious offender, if it appears to SORC that the new classification would allow the offender to become eligible for unescorted leave of absence under a local leave permit or interstate leave permit. This consideration is clearly focused on the safety and security of the community and the offender's victims.
98In all the circumstances, the Tribunal's conclusion at [149] does not follow from the terms of ss 197 and 198 of the C(AS) Act and those sections do not provide any sound basis for rejecting Mr Halloran's and Mr Gant's evidence. If anything, s 198(2) tends to support their evidence.
99At [150] to [154] the cross examination of Mr Grant concerning his comment in relation to the December 2009 classification decision is considered. I have already dealt with whether there was any error by the Tribunal in reaching its conclusion at [154] and have found that although the Tribunal's statement in that paragraph may not be entirely accurate, it is not such an error as to vitiate by itself the Tribunal's decision. In these circumstances, this material does not assist either the appellant or the respondent on this ground.
100Another matter upon which the Tribunal relied, at [155], was a passage from paragraph 18.1.5 of the External Leave Programs Policy as follows:
The case management and classification approval process for external Leave Programs is consistent with the standard case management and classification procedures for all inmates. ...
The CMT [Case Management Team] will consider an inmate's case management plan and make recommendation to the Governor/General Manager (delegate) for his/her classification to C3/Category 1 and therefore suitability for participation in External Leave Programs. ...
101At [156] the Tribunal found that this passage "contemplates the application of the classification process for more than one purpose including the beneficial one of approval for external leave programs." Implicitly, this appears to have been a further reason for the Tribunal to reject Mr Halloran's and Mr Grant's evidence.
102That extract from paragraph 18.1.5 is not inconsistent with Mr Halloran's and Mr Grant's evidence nor does it provide a sound basis for rejecting that evidence.
103In order to be eligible for an external leave program a male inmate must, among other things, have a C3 classification and, if not an Australian citizen, have been approved by the Commissioner through the SORC or Director's Review Committee for progression to C3 - see paragraph 18.1.7 of the ELP Policy. In these circumstances, it is natural that if a male inmate is to be recommended for participation in an external leave program the inmate must already have, or be recommended for, a C3 classification. The first paragraph of the passage relied upon indicates that the process for such an inmate obtaining a C3 classification is the same as the standard process for all inmates. The passage does not indicate that inmates who might benefit from participating in external leave programs would be given a C3 security classification that was not justified on security grounds or that was determined by using a process that was different from the security classification process applied to inmates generally.
104Further, when the second paragraph of the extract describes the case management and classification approval process for external leave programs as involving the Case Management Team considering an inmate's case management plan and making recommendation to the relevant officer for the inmate's classification to C3, it should not be assumed to mean that a male inmate who should not be classified C3 on security grounds would be recommended for that classification so that he could participate in an external leave program that might benefit him. Suitability for participation in external leave programs depends in the first place upon having a C3 classification as paragraph 18.1.7 of the ELP Policy made clear.
105Thus, neither paragraph of this extract from paragraph 18.1.5 establishes that considerations other than security determined whether any particular security classification was given to an inmate. The fact that a C3 classification was necessary to be able to participate in external leave program did not mean that a recommendation for a C3 classification was made on other than security grounds.
106For these reasons, neither the chapeau to cl 22(1) nor the extracts from the Classification Manual or the ELP Policy upon which the Tribunal relied is inconsistent with the evidence of Mr Halloran and Mr Grant. Accordingly, they did not amount to a proper basis for rejecting the evidence of those witnesses.
107In submissions before the Appeal Panel, attention was drawn to a passage in the ELP Policy in section 18.1 under the heading "Program Requirements: Unescorted External Leave Programs" which was not referred to by the Tribunal below. The passage was as follows:
Policy The Department of Corrective Services, in carrying out the sentence directions of the courts and determining an appropriate security classification, has an objective to assist inmates to adapt to normal community life via correctional centre programs and participation in External Leave Programs prior to release.
108The fact that the appellant has the objective stated in that passage when determining security classifications does not mean that an inmate would be given a security classification that was otherwise unjustified on security grounds in order to allow the inmate to participate in such programs. The objective is not necessarily inconsistent with Mr Halloran's and Mr Grant's evidence. The objective could be achieved by determining the least restrictive classification for an inmate having regard only to security considerations. If this was done, inmates would have the maximum ability to participate in programs (either internal or external) without compromising security. Thus, it does not follow from this passage that considerations other than security determined inmate classification.
109Indeed, it appears from this passage and cl 22(1) of the C(AS) Reg that the classification process could be understood as involving decision making based solely upon security considerations but, given there was a choice of 7 categories for male inmates, assigning the least restrictive category consistent with the applicable security considerations to an inmate. This might well have had consequential benefits for the system in terms of the reduced cost of confining inmates in lower security environments as well as consequential benefits for inmates contingent upon whether the classification assigned to them permitted them to participate in particular development programs.
110Since the objectives in the passage referred to could be achieved in a manner that was consistent with the evidence given by Mr Halloran and Mr Grant, the passage does not provide a proper basis for rejecting their evidence.