Minnesota Department of Corrections


Instruction:               203.011-2RW                                     Title:  Treatment Planning and Reports

Issue Date:                 2/16/16

Effective Date:          3/1/16


AUTHORITY:          Policy 203.011, “Case Management Process – Juveniles”


PURPOSE:    To develop a comprehensive treatment plan for each resident to address his unique needs.


APPLICABILITY:   Minnesota Correctional Facility-Red Wing (MCF-RW), juvenile program


INSTRUCTION:       The treatment planning process begins upon admission with screenings, carries over into the orientation program with assessments, and culminates with the comprehensive needs assessment summary which serves as the foundation for the Individual Treatment Plan (attached).  Residents, parents/legal guardians, the probation officer (PO), and treatment team members participate in the creation and review of treatment plans.  Discharge summaries are completed when a resident leaves the treatment phase of the program to document program progress and community re-entry needs.  Residents that do not successfully complete the transition phase of the program are assigned a relapse treatment plan to assist in their successful re-entry.


The use of physical escort, physical holding, mechanical restraint, disciplinary room time (DRT) and seclusion must be used only as permitted in, and consistent with, the resident’s treatment plan per the instruction on restrictive procedures.


Residents with reading or comprehension difficulties have written materials read and explained to them.  Language translation services are provided to residents who have difficulty reading or speaking English.


Volunteer services staff coordinate opportunities for resident’s to interact with culturally similar adults and participate in cultural groups.



Treatment team – living unit and other facility programming staff that work with the resident on a daily basis.  Team members include representatives from the living unit, education, case management, mental health, recreation, and health services. 



A.        Supervision of treatment – the corrections program director (CPD):

1.         Supervises the development of each resident’s Individual Treatment Plan;


2.         Engages in the resident’s treatment planning process;


3.         Signs the residents Individual Treatment Plan; and


4.         Supervises the implementation of the Individual Treatment Plan and the ongoing documentation and evaluation of each resident’s progress.            


B.        Case plan – as set out in Minn. R. 2960.0020 subp. 9. 

1.         The placing agency is requested to include the case plan on the admission criteria verification and initial needs assessment as part of the placement process.


2.         The corrections security caseworker (CSC):

a)         Requests the placing agency’s case plan if not already received;

b)         Works with the resident, parent/legal guardian, PO, and treatment team to implement the case plan;

c)         Coordinates the facility’s plan for services with those in the case plan;

d)         Works with the PO to identify the resident’s projected length of stay;

e)         Consults with the PO to identify:

(1)       Conditions under which the family will be reunited; and

(2)       Specify the alternative permanency plan if the family will not be reunited;

f)         Communicates with the PO what the facility will do to help carry out the living arrangements plan; and

g)         Recommends case plan changes to the PO.


3.         In accordance with the case plan, the CSC;

a)         Identifies and shares information about the resident’s treatment and goals with persons directly involved in the resident’s treatment plan;

b)         Communicates as necessary with the resident’s previous school and the facility’s school personnel;

c)         Reports resident’s behaviors and other important information to the PO and others as indicated;

d)         Lists procedures and program plans to facilitate the involvement of the resident’s family or other concerned adult(s) in the resident’s treatment or program activities if family involvement is a goal.

e)         Upon request, unless prohibited by law, shares information with:

(1)       The PO,

(2)       Agencies providing services to the resident (therapist, physician, or other professionals), and

(3)       Agencies that must provide services to the resident after discharge. 

(4)       This information may pertain to the resident, the resident’s family, and the facility’s plans and strategies to resolve the resident’s identified problems.


C.        Treatment team meetings

1.         Resident’s participate in an initial treatment team meeting within the first 30 days to review the results of their assessments.  At the initial meeting, residents have an opportunity to ask questions about program expectations and participate in identifying their treatment goals.


2.         Treatment team meetings are utilized throughout the treatment planning process to share information and insight regarding the resident’s assessment results, program progress, behaviors, and upcoming treatment needs.


3.         To the extent possible, treatment team meetings are scheduled to accommodate the schedule of parents/legal guardians, POs, and other community/professional representatives.


D.        Individual Treatment Plan

1.         When developing the resident’s Individual Treatment Plan, the CSC:

a)         Refers to the comprehensive needs assessment summary;

b)         Obtains information from the resident’s parent/legal guardian, PO, treatment team, and other concerned adults in the resident’s life in regards to treatment planning;

c)         Assists the resident to prioritize goals and objectives for the course of treatment;

d)         Works with the resident to develop goals and objectives in a standardized treatment plan format;

e)         Documents restrictive procedures accommodations, medical/mental health considerations, and assigned treatment services;

f)         Reviews the plan with the resident; and

g)         Routes the plan to the CPD for review and approval.


2.         After the individual treatment plan is assigned by the resident, CSC and CPD, records office staff:

a)         Scan and distribute the plan; and

b)         Files the original in the resident’s base file.


3.         Individual treatment plans may be re-written or deviate from the comprehensive needs assessment summary if:

a)         New information is received; or

b)         New behaviors emerge.


4.         Individual treatment plans are reviewed once a month or more often, if necessary.

a)         Treatment plans may be reviewed during a treatment team meeting based on the resident’s attitude, behavior, and motivation towards the treatment plan goals.

b)         In the review section of the treatment plan, the CSC notes:

(1)       The date of the review;

(2)       Whether or not the plan is complete; and

(3)       Comments or addendums.


5.         If the Individual Treatment Plan is changed or updated, it is signed and distributed.


6.         When one treatment plan is completed, then another treatment plan is written.  This is done until all areas identified in the comprehensive needs assessment summary have been addressed.


E.         Progress Report

1.         The first Progress Report (attached) is completed five months after the resident’s admission. 


2.         After the first report, Progress Reports are completed every three months.


3.         The Progress Report may take the place of the monthly treatment plan review.


4.         The CSC documents the resident’s:

a)         Motivation for change;

b)         Participation in treatment;

c)         Goal progress;

d)         Risk area to address; and

e)         Community transitions and aftercare needs.


5.         The CSC:

a)         Reviews the Progress Report with the resident; and

b)         Routes the completed report to the CPD for review and approval.


6.         After the CSC and CPD sign the Progress Report, records office staff:

a)         Scan and distributes the report; and

b)         Files the original in the resident’s base file.


F.         Special Management Plan

1.         Residents may be placed on a Special Management Plan (attached) if the resident exhibits behavior that poses a threat to:

a)         Themselves;

b)         Other people; and

c)         The safe operation of the facility.


2.         Behaviors that may place a resident on a Special Management Plan include, but are not limited to:

a)         Assaultive;

b)         Prison Rape Elimination Act (PREA) violations; and

c)         Escape risk.


3.         Special Management Plans are not disciplinary in nature.

a)         This plan is an amendment to the Individual Treatment Plan.

b)         The plan provides an intervention by modifying the resident’s schedule and/or living arrangements to address safety concerns.


4.         Residents may be housed in the secured living unit full-time or part-time.


5.         The CSC/clinical program therapist (CPT) initiates a Special Management Plan by:

a)         Conferring with the treatment team; and

b)         Completing a Special Management Plan.


6.         The CSC/CPT and CPD conduct weekly reviews of Special Management Plans.


7.         Discontinuing a Special Management Plan is approved by the CSC/CPT and CPD.


G.        Discharge Summary

1.         The Discharge Summary (attached) is completed when a resident:

a)         Is removed from or leaves the program prior to successful completion; or

b)         Successfully completes the program and is preparing to move to the transition program.


2.         The CSC completes the Discharge Summary within ten business days of a resident’s treatment completion or program release and notes:

a)         Reason for discharge;

b)         Status at discharge (includes extent to which services provided assisted the resident in achieving his treatment plan goals and services not provided as in indicated in the treatment plan and why).

c)         Aftercare, community re-entry plan, and recommendations;

d)         Potential risk factors;

e)         Protective factors;

f)         Mental health status, diagnosis, medications; and

g)         Continued care recommendations.


3.         The CSC:

a)         Reviews the plan with the resident (if available); and

b)         Routes the plan to the CPD for review and approval.


4.         After the Discharge Summary is signed by the resident (if available), CSC, and CPD, records office staff scans and distributes the summary and files the original in the residents’ base file.


H.        Relapse Assessment and Treatment Plan

1.         Residents that do not successfully complete the transition program and extended furlough may be returned to a program living unit.


2.         A Relapse Assessment and Treatment Plan (attached) is completed to address the specific behaviors that resulted in the resident’s return to the facility or program living unit.


3.         Within approximately 21 days of the resident being placed on relapse status, the CSC:

a)         Convenes a treatment team meeting;

b)         Gathers information from the resident, parent/legal guardian, PO, transition CSC, and a representative from the placement if the resident was not placed at home;

c)         Assists the resident to create goals and objectives to aide in his successful transition to the community.

d)         Documents restrictive procedure accommodations, medical/mental health considerations, and assigned treatment services;

e)         Reviews the plan with the resident; and

f)         Routes the plan to the CPD for review and approval.


4.         After the Relapse Treatment Plan is signed by the resident, CSC, and CPD, records office staff scans and distribute the plan and files the original in the resident’s base file.


5.         Relapse Assessment and Treatment Plans are reviewed once a month or more often if necessary.  The plan is signed and distributed following each review.


6.         In the Relapse Treatment Plan Review section of the relapse plan, the CSC notes:

a)         The date of review

b)         Whether or not the plan is complete; and

c)         Comments or addendums.


7.         When the resident successfully completes the goals in the relapse plan, the CSC completes the Relapse Treatment Plan Completion section of the relapse plan noting:

a)         The date the plan was completed;

b)         If the most recent Discharge Summary reflects his current community re-entry needs; and

c)         Updated community re-entry needs if applicable.


REVIEW:                  Annually


REFERENCES:        Minn. R. 2960.0080, and 2960.0180

                                    Instruction 203.011-1RW, “Assessment Process”

                                    Instruction 300.010RW, “Program Services”

                                    Instruction 300.040RW, “Volunteer Services”


SUPERSESSION:     Instruction 203.011-2RW, “Individual Treatment Plan,” 1/31/06;

                                    Instruction 203.011-3RW, “Staffings” 5/19/09;

                                    Instruction 203.011-4RW, “Monthly Reviews,” 8/12/08;

                                    Instruction 203.011-5RW, “Quarterly Progress Reports,” 8/12/08; and

                                    Instruction 203.011-6RW, “Relapse Assessment and Plan of Treatment,” 5/19/09.

                                    All facility policies, memos, or other communications, whether verbal, written, or transmitted by electronic means, concerning this topic.


ATTACHMENTS:    Individual Treatment Plan (203.011-2ARW)

                                    Progress Report (203.011-2BRW)

                                    Discharge Summary (203.011-2CRW)

                                    Relapse Assessment and Treatment Plan (203.011-2DRW)

                                    Special Management Plan (203.011-2ERW)




Warden/Superintendent, MCF-RW