UNCLASSIFIED
Implementation of the Service Specification for “Manage the Sentence: Pre and
Post Release from Custody” (transitional version)
This instruction applies to :
Reference :
All Prisons and Probation Trusts
PSI 14/2012
PI 08/2012
Issue date
Effective Date
Expiry Date
11 April 2012
1 April 2012
1 April 2013
Issued on the authority of
For action by
For information
Contact
NOMS Agency Board
Governors/Directors of Contracted Prisons, Heads of
Groups, policy leads. In this document, the term Governor
also applies to Directors of Contracted Prisons
Contract Managers in Probation Trusts
All staff in NOMS HQ
Miranda Wilkinson
miranda.wilkinson@noms.gsi.gov.uk
Associated documents
-
PI 14/2010 – Implementation of the Deliver Supervision Requirement Specification
PI 15/2010 -Manage the Sentence for a Community Order and Suspended Sentence
Order Specification
PI 09/2012 Deliver Supervision on Licence Specification
PI – Categorisation and Allocation
PI 06/2012 Rehabilitation Services in Custody
Implementation Guide for “MTCS: Manage the Sentence Pre and Post Release from
Custody (transitional spec)
Audit/monitoring :
Public Prisons:
Deputy Directors of Custody (DDCs) will monitor compliance in their region with the
mandatory actions set out in the associated Specifications.
Private Prisons
Monitoring of compliance will be through the standard contract management processes.
Probation:
Where there is an existing Probation trust contract in place Trusts are expected to comply with all
aspects of that contract but actively work with the NOMS Agency to amend the contract in line
with emerging new policy, mandatory actions and performance measures.
Compliance is monitored through Senior Community Managers.
Introduces amendments to the following documents: None
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PAGE 1
CONTENTS
Section
1
Subject
Executive Summary
Background
Desired outcome
Application
Mandatory Actions
Resource Impact
Generic Roles in Custody
Outline of Case Management Responsibility
Screening of Offenders Sentenced to Under 12 Months
For Reference by:
All staff
1.1 – 1.2
1.3 – 1.5
1.6 – 1.8
1.8 – 1.9
1.10
1.11 – 1.12
1.13 – 1.15
1.16
2
3
Guidance for Staff
Generic Roles in Custody
Outline of Case Management Responsibility
Screening Offenders
Strategic Links
4
Service Elements
Annex A
Mandatory Outputs and Definitions
All staff
2.1
2.3 – 2.5
2.6 – 2.10
All staff
3.1 – 3.6
All staff
4.1 – 4.6
All staff
Executive Summary
Background
1.1
Offender Management and Public Protection Group (OMPPG) policy leads have worked
closely with colleagues from the Specifications, Benchmarking and Costing (SBC) Programme to
develop specifications detailing the outcomes to be achieved in managing the custodial sentence
of offenders. This instruction relates to the transitional version of the service specification for
“Manage the Sentence: Pre and Post Release from Custody”, and the Offender Management
service outputs that will be commissioned in 2012/13. A further instruction will be published and
issued in line with the planned implementation timescales for the full service specification for
“Manage the Custodial Sentence” (MTCS).
1.2
This transitional specification represents a step towards realising the delivery of the full
MTCS specification, but it also allows sufficient time to ensure all supporting tools, including
streamlined assessment are available in line with plans to implement the full version.
Desired Outcome
1.3
The “Manage the Sentence: Pre and Post Release from Custody” Service Specification
(transitional version) is to be delivered throughout England and Wales to achieve the
mandatory outputs within it:

Prisons, Probation Trusts and other providers understand their responsibilities in
delivering the specification

Staff responsible for delivering Offender Management understand and deliver the
required outputs of the specification
PSI 14/2012 – PI 08/2012
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
1.4
PAGE 2
Commissioners and providers monitor performance against the outputs in the
specification document
The Service Specification “Manage the Sentence; Pre and Post Release from
Custody” (transitional version) is contained within the Service Specification
document at:
http://www.justice.gov.uk/about/noms/noms-directory-of-services-and-specifications.htm
1.5
The key elements of change to existing practice during the transitional period are:
Custody:






Extend case management work (Offender Supervisor and Case
Administrator roles) to all offenders sentenced to 12 months or more in
custody, and to all young adult offenders (aged 18-21) with more than four
weeks left to serve, who are not already in scope for offender management.
Deliver screening and signposting activity to all offenders sentenced to less
than 12 months in custody (except where previously screened on remand).
Identify indicative offender Tier using the tier identified by probation where
available, or if not, by completing a short tiering matrix tool (available within
the implementation pack issued to prisons alongside the specifications)
within the first 5 days of custody – only for offenders sentenced to 12 months
or more in custody, and to all young adult offenders (aged 18-21) with more
than four weeks left to serve, who are not already in scope for offender
management.
(The purpose of tiering offenders, is to clearly identify an offenders relative
risk level and, therefore, the level of OM resource a prison or probation
service should provide. It enables providers to differentiate levels of
resources between cases using the principle, “Resources Follow Risk”)
Use the offender’s tier to differentiate OM service delivered to offenders
Deliver pre-release activity involving the Offender Supervisor, Offender
Manager and offender to make preparations for all offenders being released
on licence
Offender Supervisor and Offender Manager to take a proactive approach to
addressing the recall and re-release of offenders. This includes prisons
informing the OM within two days of an offender returning to custody.
Community:

Continue to deliver Offender Management for all cases previously in scope of
Offender Management within Phase 2 and 3 of the Offender Management
Model (includes OASys initial and review completion, and SP review
responsibilities).

Continue to apply existing Community Tiering Framework to all cases.

Deliver pre-release activity involving the Offender Supervisor, Offender
Manager and offender to make preparations for all offenders being released
on licence

Offender Supervisor and Offender Manager to take a proactive approach to
addressing the recall and re-release of offenders.
PSI 14/2012 – PI 08/2012
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PAGE 3
Application
1.6
This specification covers all sentenced offenders, however not all mandatory outputs apply
to all sentenced offenders. Annex A lists all outputs within the service specification and
which type of sentence offender they apply to.
1.7
Responsibility for delivering the outputs of this specification are for all staff involved in
delivering, managing and monitoring Offender Management activity.
1.8
This instruction covers the period from April 2012, however, it will be replaced by an
instruction covering delivery of the full “Manage the Sentence: Pre and Post Release from
Custody” Service Specification, in line with timescales for developing the required
supporting tools, including streamlined assessment.
Mandatory Actions
1.8
Prison Governors, Directors of Private Prisons and Contract Managers in Probation Trusts
must ensure that the management of sentences in custody and on post-release licence are
delivered in accordance with the “Manage the Sentence: Pre and Post Release from Custody”
Service Specification and this Instruction by end October 2012.
1.9
Staff commissioning and managing the prison sentence therefore must ensure that the
outputs in the service specification are met.
Resource Impact
1.10
The direct service costs & assumptions paper and cost spreadsheet can be found at:
http://www.justice.gov.uk/about/noms/noms-directory-of-services-and-specifications.htm
Contacts
Further information can be obtained from:
Offender Assessment and Management Section
Offender Management and Public Protection Group
Email: OffenderManagementModel@noms.gsi.gov.uk
Tel: 0300 047 5595
(signed)
Digby Griffith
Director of National Operational Services, NOMS
PSI 14/2012 – PI 08/2012
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PAGE 4
Guidance for Staff
Generic Roles in Custody
2.1
The operating model for the “Manage the Sentence: Pre and Post Release from Custody”
(transitional version) Specification is based on an effective model involving Case
Administrators (CAs) in custody fulfilling a generic role, and moving away from specialisms.
Whilst this is not mandatory, a CA delivering all administrative tasks for a specific case load
has been shown to increase efficiency and effectiveness when staff have fully adapted to
the new roles. This means CAs will need to be trained to competently deliver all processes,
including:

Sentence Calculations

HDC/ROTL processes

Parole processes

OASys Clerk duties

Reception and Discharge processes

Public protection processes

Sentence Planning processes
2.2
In moving towards generic roles, prisons need to ensure they have considered who is
responsible for updating the ViSOR record and the sources of information which will be
drawn on to do this.
Outline of Case Management Responsibility
2.3
The Service Specification requires the extension of case management responsibility to all
sentenced offenders with the exception of adult offenders sentenced to less than 12
months in custody. For this requirement, case management means each prisoner will have
either an Offender Supervisor or Offender Manager responsible for the management of the
sentence through a single sentence plan (dependent on whether they are in or out of scope
of Phase 2/3 of the original Offender Management Model). The day to day delivery of the
aims of that plan will be undertaken by the Offender Supervisor with support from the Case
Administrator.
2.4
The introduction of the extended determinate sentence and linked amendments to the
management of existing IPP will lead to the introduction of compulsory sentence plans for
these offenders. In these cases, sentence plans must be enforced. Further guidance on the
implications of this will be provided when this is formally introduced.
2.5
Management responsibility for cases under the “Manage the Sentence: pre and Post
Release from Custody” (transitional version) Specification, is divided by prisoner type in the
following way:

Offenders in scope of Phases 2 and 3 of the original Offender Management Model –
Community Offender Managers

Sentenced to under 12 months – Custody-based OMU (screening and signposting
only)

Sentenced to 12 months+ - Custody Offender Supervisors

Lifers – Custody Offender Supervisors (Lifer Mgmt trained)
2.6
Community Offender Managers must still be allocated to all cases (where they are subject
to release on licence) at sentence commencement stage, and ensure engagement in prerelease tripartite activity to enable a smoother transition from custody to community.
PSI 14/2012 – PI 08/2012
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PAGE 5
Screening Offenders
2.7
This requirement covers adult offenders sentenced to less than 12 months, and young adult
offenders (18-21) with 4 weeks or less still to serve.
2.8
The specification requires all offenders sentenced to less than 12 months in custody to
have a screening, except for those that have already had a screening whilst on remand.
The type of screening to be used is not specified. Currently, a number of prisons already
screen short sentenced offenders to identify need. Many different screening tools are used,
including:
OASys Basic Custody Screening (BCS)
LISART
Passport
2.9
For the purposes of delivering the transitional specification, any existing screening tools are
acceptable, and prisons should continue to use what they have currently, or they should
use one of the above listed tools (at 2.8).
2.10
Following the screening of an offender within the first five days of custody, the offender
must be sign-posted to a provider able to work with the offender on the identified priority
need.
2.11
Further guidance information on the key elements of the specification is available from the
Implementation Guidance Document circulated alongside the publication of the
specifications.
PSI 14/2012 – PI 08/2012
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PAGE 6
Strategic Links
3.1
The “Manage the Sentence: Pre and Post Release from Custody” (transitional version)
Specification has direct links and overlaps with other specifications. These strategic links
are important to ensuring a whole system approach to managing an offender’s sentence.
The following specifications have a particular relevance and should be referred to when
planning for implementation:
-
PI 14/2010 – Implementation of the Deliver Supervision Requirement Specification
PI 15/2010 -Manage the Sentence for a Community Order and Suspended
Sentence Order Specification
PI 09/2012 Deliver Supervision on Licence Specification
PI – Categorisation and Allocation
PI 06/2012 Rehabilitation Services in Custody
PSI 12/2010 – Prolific and Other Priority Offenders
3.2
The strategic purpose of the “Manage the Sentence: Pre and Post Release from Custody”
Specifications (transitional from April 2012, and the full specification to be published in due
course) is to enable NOMS to deliver an effective, rational and consistent Offender
Management service for all sentenced offenders to reduce reoffending. Offenders will be
managed to a level that reflects their risk of serious harm and likelihood of reoffending,
rather than based on their sentence type and any defined scope of previous models.
3.3
There will be a change to the current practice model in that the OMU in prisons must be the
central hub, and focal point of all activity relating to the sentence whilst the offender is in
custody, for the model to be effective and deliverable. The operating model is based on an
effective approach, making the roles within the OMU Hub generic in that they deliver all
processes to a caseload of offenders, rather than work in silo specialisms.
3.4
The intention is that each sentenced prisoner will have a single plan covering all aspects of
their sentence. Other providers of services to offenders or interventions aimed directly at
behavioural change will work to this overall plan. Their involvement with each offender
should be driven by assessed individual need and risk rather than a blanket service to all
(although some services, such as healthcare, will remain universal).
3.5
This transitional specification represents a step towards realising these strategic links, but
full benefits will not be realised until the full “Manage the Sentence: Pre and Post Release
from Custody” specification is implemented from April 2013.
3.6
Further information and guidance can be found within the Implementation Guidance
document circulated alongside the publication of the specification.
PSI 14/2012 – PI 08/2012
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PAGE 7
Service Elements
(Note: for more detailed information on service elements, please refer to the specification
documents at www.justice.gov.uk/about/noms-sbc-programme.htm).
4.1
4.2
4.3
Those elements which are universal to all offenders are:

sentence calculations are completed

public protection policy and practice requirements are complied with

assessments and reviews are completed for ROTL where applicable

release from custody is managed – early release is applied for where suitable (e.g.
HDC or Early Removals Scheme for foreign nationals), arrangements are made for
release (including licence preparation where appropriate
Those elements which are universal to offenders sentenced to 12 months or more
(including all indeterminate sentence offenders) and young adult offenders (aged 18-21
with more than 4 weeks left to serve) during the transitional period from April 2012 are:

The sentence is managed end to end – the case is managed by an offender
manager/offender supervisor (depending on whether the offender is in scope of
Phase 2/3 of the original Offender Management Model), the offender is engaged in
his/her sentence plan, public protection arrangements are met, data is provided for
performance monitoring purposes

The sentence is commenced – the case is created on relevant information systems
and allocated to an offender manager/offender supervisor, and the offender is made
aware of the sentence requirements, confiscation orders are identified and
processed as required

An assessment and sentence plan are prepared – risk of serious harm, likelihood of
reoffending and criminogenic needs are identified using prescribed assessment
tools, a plan is prepared and the offender is assigned to appropriate tier of service

The sentence plan is implemented - agencies are notified, the offender is referred to
services as appropriate and the assessment and plan are reviewed as needed

Where a sentence is subject to compulsory sentence plans, through the forthcoming
changes for IPP and the new Extended Determinate sentence, sentence plan
requirements must be enforced.

The custodial term of the sentence is managed – the offender manager is informed
when a prison transfer takes place,

Release from custody is managed – parole is considered, third parties are informed
of the termination of NOMS involvement where the sentence has ended
Those elements which are universal to all offenders sentenced to less than 12 months
(except those previously screened whilst on remand) are:

Prepare an agreed screening output, and signpost to appropriate priority need
provider (screening only required where one was not completed whilst offender was
on remand)

Exchange of relevant information and signpost to lead professional, Integrated
Offender Management (IOM) approach or Prolific and other Priority scheme (PPO)
on release.
PSI 14/2012 – PI 08/2012
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4.4
4.5
4.6
PAGE 8
For cases which will be subject to a licence period post-release, the following elements
apply:

Licence management is commenced – agencies are notified, the pre-release plan is
reviewed and additional assessments are completed if necessary, the public is
protected through compliance with inter-agency procedures and protocols

The offender is monitored and compliance promoted – enforcement action is taken
as needed, recalled offenders are prepared for re-release

The sentence plan is reviewed and the case is terminated – a final review of
outcomes takes place, third parties are notified of the termination of the case.
Those service elements which are contingent upon offender characteristics, events or
circumstances are:

Inter-agency public protection procedures


Case transfer
Enforcement
Elements out of scope of this specification (but covered by other specifications):

Remand Prisoners (covered by the Rehabilitation Services Specification)

Immigration, repatriation and removal services

Victim Liaison work

Staff training and supervision

Reception, First Night and Induction processes

Health Screening on Reception

Pre sentence assessment and report preparation for court work

Prisoner escort form process

Initial observation and categorisation is complete

Immediate and priority offender needs are identified and dealt with or communicated
to OMUs

Cell Sharing Risk Assessment (CSRA) to be completed and communicated to
residential and OMU staff

Assessment, Care in Custody and Teamwork (ACCT) assessments are completed
where needs are identified and communicated to residential and OMU staff

Pre-release practical arrangements – clothing, personal effects, escort to gate, etc.
PSI 14/2012 – PI 08/2012
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PAGE 8
Annex A
Outputs
The outputs relating to each service element are listed below and a definition provided where the output is not sufficiently clear.
The Sentence is Managed End to End
Output 1: The case is managed by an Offender Manager/Supervisor
Custody
Community
Definition
Each case is allocated an offender supervisor in custody and an offender
manager in the community (where the offender was living at the time of sentence
or for Foreign Nationals and offenders with no fixed abode, it will be the
responsibility of the Trust in the location of the sentencing court). Under the
interim “OM in Transition” specification, management responsibility remains as is
currently the case for offenders in scope of Phase 2/3 of the original OM Model,
so the community-based offender manager continues to be responsible for
assessment and sentence planning. The custody-based Case Administrator
completing the sentence calculation must flag up to the person responsible for
allocating cases to Offender Supervisors, all Young Adult Offenders (18-21) with
more than 4 weeks left to serve, as these offenders are now subject to offender
management.
For offenders sentenced to 12 months or more, previously out of scope of
Offender Management, an Offender Supervisor must be allocated and a case
management approach must be followed in the same way as those previously in
scope of OM.
Output 2: A record of all contact and key events is maintained using prescribed systems
Applicable to the following offenders:
All adult offenders sentenced to 12 months or more
(determinate and indeterminate)
All Young Adult Offenders (18-21) with more than 4
weeks left to serve.
Custody
Community
PSI 14/2012 – PI 08/2012
UNCLASSIFIED
Y
e
s
Y
e
s
ISSUE DATE 11/04/2012
Y
e
s
Y
e
s
UNCLASSIFIED
Definition
PAGE 9
Consistent recording of case activity is important to the delivery of effective case Applicable to the following offenders:
management.
All adult offenders sentenced to 12 months or more
(determinate and indeterminate)
All Young Adult Offenders (18-21) with more than 4
weeks left to serve
Output 3: The offender manager / supervisor analyses and acts upon information about contact, content, behaviour and risks Custody
including that received from any third party.
Community
Y
e
s
Y
e
s
Definition
Effective Offender Management relies upon analysing and using all available Applicable to the following offenders:
information to make informed judgements and decisions about the management
All adult offenders sentenced to 12 months or more
and day to day activity for the case. This includes plans or information received
(determinate and indeterminate)
about offenders managed under IOM.
All Young Adult Offenders (18-21) with more than 4
weeks left to serve
Output 4: Public Protection and multi-agency or special scheme arrangements are delivered.
Y
Custody
e
s
Public Protection and safeguarding procedures are implemented, monitored and reviewed and relevant agencies are notified
when required
Community
Y
e
s
Definition Division of responsibility for these procedures remains as is currently required. Applicable to the following offenders:
Refer to the Public Protections Manual, and MAPPA guidance.
All sentenced offenders
Output 5:
The offender is engaged as an active participant in his/her sentence plan.
Custody
Community
PSI 14/2012 – PI 08/2012
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ISSUE DATE 11/04/2012
Y
e
s
Y
e
s
UNCLASSIFIED
Definition
Sentence planning should, wherever possible, be an inclusive process with the
offender. Where appropriate sufficient weight is given to the offender’s views of
their offending-related behaviour, and this forms an integral part of the planning
process and delivery of the sentence plan, throughout the sentence. Engagement
with offenders is meaningful i.e. offenders are encouraged to have a direct
investment in their sentence plan and for achieving its outcomes.
PAGE 10
Applicable to the following offenders:
All adult offenders sentenced to 12 months or more
(determinate and indeterminate)
All Young Adult Offenders (18-21) with more than 4
weeks left to serve.
Where a sentence is subject to compulsory sentence plans, through the
forthcoming changes for IPP and the new Extended Determinate sentence,
sentence plan requirements must be enforced.
Output 6: The management of the offender takes account of his/her individual needs, risks and circumstances
Custody
Community
Definition
Y
e
s
Y
e
s
Diverse needs, including learning and vulnerability issues, are taken account of, Applicable to the following offenders:
and addressed, when planning and delivering the sentence requirements.
All adult offenders sentenced to 12 months or more
(determinate and indeterminate)
All Young Adult Offenders (18-21) with more than 4
weeks left to serve
Output 7: Liaison with Victim Liaison Officers ensures that sentence planning takes account of the concerns of victims without Custody
Y
e
disclosure to offenders.
s
Y
Community
e
s
Definition Ensure that appropriate activities are put in place to promote victim safety.
Applicable to the following offenders:
Includes the responsibility on offender managers in parole cases to ensure victims
have the opportunity to write a Victim Personal Statement for parole board
consideration.
PSI 14/2012 – PI 08/2012
UNCLASSIFIED
All cases in scope for victim liaison services
ISSUE DATE 11/04/2012
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PAGE 11
The Sentence is Commenced
Output 8: Data is provided for performance monitoring as required
Custody
Community
Definition
Y
e
s
Y
e
s
Systems to collect and report on data relevant to the sentence of the prisoner must Applicable to the following offenders:
be put in place and data provided as required by NOMS for performance
All adult offenders sentenced to 12 months or more
monitoring.
(determinate and indeterminate)
All Young Adult Offenders (18-21) with more than 4
weeks left to serve
Output 9: The case is created on case management systems
Y
Custody
e
s
Y
Community
e
s
Definition Each case must be created using existing case management systems in both Applicable to the following offenders:
custody and community from the start of sentence.
All adult offenders sentenced to 12 months or more
(determinate and indeterminate)
All Young Adult Offenders (18-21) with more than 4
weeks left to serve
Output 10: The case is allocated to an offender supervisor / manager, the offender is notified and this is recorded.
PSI 14/2012 – PI 08/2012
UNCLASSIFIED
Custody
Y
e
s
Community
Y
e
s
ISSUE DATE 11/04/2012
UNCLASSIFIED
Definition
Each case is allocated an offender supervisor in custody and, where the offender
will be released on licence, an offender manager in the community. The
community Offender Manager continues to hold management responsibility for
cases in scope of the previous OM Model. Offender Supervisors have case
management responsibility for all other cases (with the exception of adults
sentenced to less than 12 months)
PAGE 12
Applicable to the following offenders:
All adult offenders sentenced to 12 months or more
(determinate and indeterminate)
All Young Adult Offenders (18-21) with more than 4
weeks left to serve
Output 11: Women offenders are offered the option of being allocated a female offender manager / supervisor.
Y
Custody
e
s
Y
Community
e
s
Definition Women are given the choice of having a female worker. Arrangements are put in Applicable to the following offenders:
place for all women to access this service.
Women sentenced offenders
Output 12: The Initial Sentence calculation is completed and confiscation orders are identified.
Custody
Community
As per standard practice for Sentence calculations, the initial calculation must be Applicable to the following offenders:
completed within 5 days of sentence.
All sentenced offenders
For Public Protection purposes, it is also important to identify other orders made at
court, including Sexual Offences Prevention Order (SOPO), disqualifications from
working with children, restraining orders etc.
Output 13: The offender understands the expectations of the sentence, including the consequences of failing to comply with Custody
them.
Y
e
s
N
o
Definition
Community
Definition
All reasonable steps are taken to ensure that the terms and requirements of the
sentence are understood by the offender i.e. what they must do as punishment
and what as rehabilitation and is provided in a way to take communication
difficulties into account.
PSI 14/2012 – PI 08/2012
UNCLASSIFIED
Y
e
s
Y
e
s
Applicable to the following offenders:
All adult offenders sentenced to 12 months or more
(determinate and indeterminate)
ISSUE DATE 11/04/2012
UNCLASSIFIED
For cases subject to compulsory sentence plans, offenders must be made to
understand expectations and the implications of non-compliance.
PAGE 13
All Young Adult Offenders (18-21) with more than 4
weeks left to serve
An Assessment and Sentence Plan are Prepared
Output 14: An enhanced assessment is completed including a contribution from a specialist provider where appropriate
Custody
Community
Definition
In some cases, offenders who are particularly vulnerable or with complex needs Applicable to the following offenders:
and issues to be addressed may need a more detailed assessment, which may
Offenders deemed to require an
include a contribution from a specialist agency, for example in the case of some
assessment and care plan
women offenders, or those with learning difficulties.
(This could also include co-commissioned arrangements such as those in place for
high risk offenders with a personality disorder. Trusts may need to contribute to a
care plan in these cases)
(A Needs Screening is Prepared)
Output 14a: The offender’s needs are screened and the offender is signposted to appropriate priority need provider
enhanced
Custody
Community
Definition
Y
e
s
Y
e
s
Adult offenders sentenced to less than 12 months custody and Young Adult
Offenders with 4 weeks or less to serve are given a full needs screening using
available tools within the first 5 days of custody. Following screening, the offender
must be signposted to an appropriate provider for the identified priority need.
Y
e
s
N
o
Applicable to the following offenders:
Adult offenders sentenced to less than 12 months in
custody who have not already received a needs
screening whilst on remand.
Young adult offenders (18-21) who have 4 weeks or
less to serve.
Output 15: The offender’s risk of serious harm and likelihood of reoffending are identified and recorded using prescribed Custody
Y
e
assessment tools.
s
PSI 14/2012 – PI 08/2012
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PAGE 14
Community
Definition
OASys should be used to identify likelihood of reoffending, using the Offending
(General) Predictor (OGP), where available, or the Offender Group Reconviction
Scale (OGRS3). Risk of serious harm should be screened using the OASys risk of
harm screening, with a full OASys risk of serious harm assessment being
completed where the screening indicates the risk is not low.
Output 16: The offender is assigned to the correct tier of service.
Applicable to the following offenders:
All adult offenders sentenced to 12 months or more
(determinate and indeterminate)
All Young Adult Offenders (18-21) with more than 4
weeks left to serve
Custody
Community
Definition
Y
e
s
Y
e
s
Y
e
s
For cases where the offender is ‘in scope’ for offender management, or the Applicable to the following offenders:
offender is subject to statutory supervision on licence, the community Offender
Manager should continue to apply tiering in accordance with the current tiering
framework set out in Probation Circular 08/2008.
For adult offenders sentenced to 12 months or more in custody, and young adult
offenders (aged 18-21) with more than four weeks left to serve, who are not
already in scope for offender management, the Offender Supervisor in custody
should identify an indicative tier within 5 days of sentence commencement. Where
available, this should be the indicative tier produced by probation at pre-sentence
stage. Where a pre-sentence report has been produced, the community Offender All adult offenders sentenced to 12 months or more
Manager should identify the indicative tier when sending the report.
(determinate and indeterminate)
Where an indicative tier has not been provided by probation, the Offender All Young Adult Offenders (18-21) with more than 4
Supervisor should identify the indicative tier using the Excel tiering tool provided by weeks left to serve
NOMS (available within the implementation pack issued alongside this PI).
A final tier should be identified at the point of completion of OASys and risk of
serious harm assessment (see output 15 above).
PSI 14/2012 – PI 08/2012
UNCLASSIFIED
ISSUE DATE 11/04/2012
UNCLASSIFIED
PAGE 15
Further Tiering Guidance for prisons is available within the Implementation pack
issued to prisons alongside the publication of the specifications.
Output 17:
A sentence plan is produced specifying how and when:
Custody
 the outcomes are to be achieved
 risks are to be managed and needs are to be met
Definition
Community
Y
e
s
Y
e
s
The Sentence Plan and Risk Management Plan, developed with input from the Applicable to the following offenders:
offender, identify how risks and offending-related needs will be met, and is a All adult offenders sentenced to 12 months or more
logical, sequenced series of outputs targeted at achieving the aims of the
(determinate and indeterminate)
sentence.
All Young Adult Offenders (18-21) with more than 4
For offenders in scope of the original OM model this is the responsibility of the weeks left to serve
community Offender Manager.
For all other sentenced offenders, responsibility is with the Offender Supervisor in
custody.
Output 18: The Multi Agency (Lifer) Risk Assessment Panel (MALRAP/MARAP) meeting is convened.
Y
Custody
e
s
N
Community
o
Definition This applies only to indeterminate sentenced prisoners.
Applicable to the following offenders:
Indeterminate sentence offenders
PSI 14/2012 – PI 08/2012
UNCLASSIFIED
ISSUE DATE 11/04/2012
UNCLASSIFIED
PAGE 16
Output 19: The initial assessment and report are informed by at least one interview with the offender.
Custody
Community
Definition
For offenders previously in scope of the OM Model, this interview may take place
face to face, where the Offender Manager is able to visit the prison, or via videolink, where facilities allow. Where this is not possible, the interview may take place
via telephone. For cases managed by the Offender Supervisor in custody, a faceto-face interview is necessary.
Y
e
s
N
o
Applicable to the following offenders:
All adult offenders sentenced to 12 months or more
(determinate and indeterminate)
All Young Adult Offenders (18-21) with more than 4
weeks left to serve
Output 20: A post sentence report is prepared
N
Custody
o
Y
Community
e
s
Definition For indeterminate sentenced cases only, a Post Sentence report must be Applicable to the following offenders:
completed when no PSR is prepared
Indeterminate sentence offenders
The Sentence Plan is Implemented
Output 21: Agencies are notified of the commencement of the sentence
Custody
Community
Definition
The relevant Probation Trust must be notified as well as any agency which has
involvement with the prisoner or their family where there is an identified risk to
other people. Notification is required where the offender potentially fits one or more
of the following:
- Risk to children
- MAPPA eligible
- Domestic abusers
- Subject to deportation
- Subject to Confiscation order
- Subject to Harassment Act 1997 controls
PSI 14/2012 – PI 08/2012
UNCLASSIFIED
Applicable to the following offenders:
Risk to children cases
MAPPA eligible offenders
Domestic abusers
ISSUE DATE 11/04/2012
Y
e
s
N
o
UNCLASSIFIED
PAGE 17
Output 22: The assessment and plan are checked and reviewed when there is a significant change of circumstance including
transfers.
Custody
Community
Definition
A significant change of circumstance is: Something which has an impact on the
assessment of the individual, and/or one or more objectives in the sentence plan
and/or raises the risk of serious harm and means that the assessment/sentence
plan must be reviewed. Professional judgement must be used to identify a
“significant change”.
Y
e
s
N
o
Applicable to the following offenders:
All adult offenders sentenced to 12 months or more
(determinate and indeterminate)
All Young Adult Offenders (18-21) with more than 4
weeks left to serve
Output 23: Arrangements are made and information is exchanged to ensure that the sentence plan is safely, effectively and
N
Custody
o
efficiently implemented
Y
Community
e
s
Definition The sentence plan records the arrangements required to manage the sentence Applicable to the following offenders:
and deliver the sentence plan outcomes. There is clarity regarding the roles and All adult offenders sentenced to 12 months or more
responsibilities of staff involved in managing the case and delivering interventions (determinate and indeterminate)
(where required). Liaison arrangements i.e. details of when and how information
will be exchanged, are clearly defined.
All Young Adult Offenders (18-21) with more than 4
weeks left to serve
Output 24: Offenders are referred to resources and facilities, designed to reflect risk and needs identified in the assessment. Custody
Y
e
(Whilst on licence, this takes place in their locality).
s
Y
Community
e
s
Definition In custody, the offender supervisor makes referrals, and ensures that all such Applicable to the following offenders:
activity is co-ordinated through the Offender Management Unit, and not All adult offenders sentenced to 12 months or more
undertaken in isolation by a provider or other prison function.
(determinate and indeterminate)
Engage with providers as necessary to enable feedback and ensure information All Young Adult Offenders (18-21) with more than 4
sharing occurs.
weeks left to serve
PSI 14/2012 – PI 08/2012
UNCLASSIFIED
ISSUE DATE 11/04/2012
UNCLASSIFIED
PAGE 18
The Custodial Term of the Sentence is Managed
Output 25:
Definition
The Offender Manager is informed when a prison transfer takes place
This activity must take place for all cases where supervision on licence is
required, not just for those previously in scope of the OM Model. The receiving
prisons is responsible for notifying the Offender Manager, within 5 days of the
prisoner arriving, and must also advise of the name of the new Offender
Supervisor.
Custody
Y
e
s
Community
N
o
Applicable to the following offenders:
All adult offenders sentenced to 12 months or more
(determinate and indeterminate)
All Young Adult Offenders (18-21) with more than 4
weeks left to serve
Output 26: Applications are assessed, reviews are completed for Release on Temporary Licence (ROTL) and the licence is
Y
Custody
e
enforced.
s
Y
Community
e
s
Definition ROTL assessments are completed taking account of the Offender Manager’s Applicable to the following offenders:
views as per ROTL Policy.
All eligible sentenced offenders
Release from Custody is Managed
Output 27:
Suitability for early release is assessed, the offender is informed and the licence is enforced.
Custody
Community
Definition
As per current policies, including ROTL and HDC.
Applicable to the following offenders:
HDC, Early Removal Scheme eligible offenders
PSI 14/2012 – PI 08/2012
UNCLASSIFIED
ISSUE DATE 11/04/2012
Y
e
s
Y
e
s
UNCLASSIFIED
Output 28:
PAGE 19
Consideration for release on parole is facilitated and reconsidered every two years.
Custody
Community
Definition
Parole reviews for indeterminate sentenced prisoners must happen within two Applicable to the following offenders:
years, not at two year intervals. Parole reviews for the residual DCR caseload is
annually.
Indeterminate sentence offenders
The average time gap between parole reviews is actually about 16 months.
The deadlines within the Generic Parole Process (PSO 6010 and PI 02/2012) and
the determinate parole process must be met.
Output 29: Sentence calculations and tariff amendments are completed as necessary. Sentence calculation checks are
completed 14 days and two days prior to discharge.
Custody
Community
As per current practice.
Custody
Y
e
s
Community
Y
e
s
As a result of this specification, offender supervisors will be responsible for Applicable to the following offenders:
management of the sentences of all sentenced offenders not previously in scope
PSI 14/2012 – PI 08/2012
Y
e
s
Y
e
s
Applicable to the following offenders:
Tariff amendments are completed in conjunction with PPCS who calculate the tariff All sentenced offenders
expiry date.
Output 30: Arrangements are in place to ensure the successful transition of management of the case from custody to
community
Definition
Y
e
s
Y
e
s
UNCLASSIFIED
ISSUE DATE 11/04/2012
UNCLASSIFIED
PAGE 20
of Offender Management (except adults sentenced to less than 12 months in All sentenced offenders
custody). Responsibility for those not previously in scope of OM (but subject to
supervision on licence) will pass from the custodial offender supervisor to the
community offender manager when the offender is due to be released on licence.
This output introduces a focus on the need for tri-partite activity between the
offender supervisor, offender manager and the offender prior to release, to ensure
a coordinated approach is taken and the transition between the custodial phase
and the community phase is smooth.
Whilst good practice means engagement in this activity should commence much
sooner, as a minimum, the activity will take place no later than 6 months prior to
release, except for MAPPA cases where this will be no later than 8 months. This
activity should focus on progress against the sentence plan, reviewing the
assessment, and preparing for release, including preparation of licence conditions.
It is the responsibility of the custody offender supervisor to ensure the offender
manager is aware of the need to be involved in this activity at the right stage of the
sentence.
Output 31: The pre-release assessment is informed by a check with the local Police to establish whether the offender is known
or believed to represent a risk of domestic abuse to a partner.
Custody
N
o
Community
Y
e
s
Definition
Prior to release, the community offender manager should proactively liaise with the Applicable to the following offenders:
local police domestic violence unit to identify whether the offender is known and/or All adult offenders sentenced to 12 months or more
to obtain information that will support the development of release plans. Where the (determinate and indeterminate)
offender has been subject to a Domestic violence programme, contact should be
made with the women’s safety worker.
All Young Adult Offenders (18-21)
Output 32: Licence preparation is informed by information shared between agencies and partners in order to address identified Custody
N
o
risks and needs.
Y
Community
e
s
Definition Prior to release, the community offender manager should liaise with the local Applicable to the following offenders:
PSI 14/2012 – PI 08/2012
UNCLASSIFIED
ISSUE DATE 11/04/2012
UNCLASSIFIED
PAGE 21
police and Victim Liaison Officer (where one has been appointed) to inform them of All offenders eligible for post release management
the proposed release date, request intelligence and provide input into possible and supervision
licence conditions, for example where an exclusion zone or “no contact” condition
might be required. Where Approved Premises (AP) is considered necessary, to
manage the offenders risk on release, timely liaison with the relevant approved
premises will be necessary to ensure the correct address can be included in the
licence and prevent delay in release where release to a specific AP is a condition
of parole release. Other agencies and partners may also need to be involved, and
should be considered on a case by case basis.
Output 33: The licence contains only those conditions necessary and proportionate to manage the risk posed by the offender.
Y
Custody
e
s
Y
Community
e
s
Definition The licence will contain a set of standard conditions, which are usually sufficient to Applicable to the following offenders:
ensure the offender is appropriately managed on release. However, in some
cases the offender manager may consider that additional licence conditions are
appropriate. Any additional licence condition must be both necessary and All offenders eligible for post release management
proportionate in order to manage and/or reduce the risk of further offending of any and supervision
nature. This will be determined by the offender’s identified risk factors, which in
turn will be based upon his/her previous offending. The community offender
manager is responsible for proposing additional licence conditions, where
necessary and proportionate, to either the prison Governor or Parole Board
depending on the type of sentence and release arrangements, and those being
reviewed for re-release from recall.
Output 34:
The offender understands all restrictions and conditions contained in the licence.
Custody
Community
Definition
Y
e
s
Y
e
s
The offender must be asked to sign the licence at the earliest opportunity in order Applicable to the following offenders:
to show that they understand their conditions, and a signed copy kept with the core All offenders eligible for post release management
record and archived appropriately.
and supervision
PSI 14/2012 – PI 08/2012
UNCLASSIFIED
ISSUE DATE 11/04/2012
UNCLASSIFIED
Offender Managers must explain each condition of the licence and consequences
of breach on the first occasion the offender reports following release from custody.
Output 35: The licence is signed by the offender
PAGE 22
Custody
Community
Y
e
s
N
o
Definition
Where an offender refuses to sign, the supervising officer and a witness both sign Applicable to the following offenders:
the licence to confirm that the offender has refused to do so.
All offenders eligible for post release management
and supervision
Output 36: The assessment and sentence plan are reviewed in preparation for release.
N
Custody
o
Y
Community
e
s
Definition As management of the sentence will pass from the custodial offender supervisor to Applicable to the following offenders:
the community offender manager for those not previously in scope but due to be All adult offenders sentenced to 12 months or more
released on licence, there will be a need to review the assessment and sentence (determinate and indeterminate)
plan as part of the tri-partite activity between the offender supervisor, offender
manager and the offender prior to release. This will reduce potential duplication All Young Adult Offenders (18-21) with more than 4
post-release, so that the assessment and plan are in place to enable the licence weeks left to serve
period to begin as a seamless continuation of the custodial period.
Output 37: Third parties are informed of the discharge from custody and termination of NOMS involvement as required
Y
Custody
e
s
N
Community
o
Definition Where the offender is due to be released, and will not be subject to statutory Applicable to the following offenders:
supervision, relevant authorities are notified in the community, particularly the
police and Victim Liaison Officer (VLO) if victim contact is in place (victim contact All sentenced offenders
where discretionary contact has been granted for victims of offenders not subject
to supervision on licence and for qualifying victims, i.e. victims of serious violent
and sexual offenders, whose offender is released on sentence/licence expiry).
Output 38: The case is transferred or closed down on systems
PSI 14/2012 – PI 08/2012
Custody
UNCLASSIFIED
ISSUE DATE 11/04/2012
Y
e
UNCLASSIFIED
PAGE 23
Community
Definition
For transfers, ensure all documentation is sent with the prisoner to the receiving
prison and that records and assessments are up to date.
s
N
o
Applicable to the following offenders:
All sentenced offenders
For cases being closed, ensure the case is correctly closed down and archived.
Output 39: Women offenders who are at risk of victimisation are helped to prepare a safety plan.
Custody
Community
Definition
As per current policy.
N
o
Y
e
s
Applicable to the following offenders:
Women offenders
Licence Management is Commenced
(only applies to offenders released on licence)
Output 40: Management of the licence is commenced on case management systems.
Custody
Community
Definition
As per current processes.
N
o
Y
e
s
Applicable to the following offenders:
All offender subject to licence management and
supervision
Output 41: Confirmation is provided to agencies of the commencement of the licence.
N
Custody
o
Y
Community
e
s
Definition Agencies such as the police, accommodation providers and those responsible for Applicable to the following offenders:
the delivery of any additional licence conditions (e.g. programme, contact
PSI 14/2012 – PI 08/2012
UNCLASSIFIED
ISSUE DATE 11/04/2012
UNCLASSIFIED
PAGE 24
requirement) should be notified at the start of the licence period, or earlier, where Risk to children cases
possible.
MAPPA eligible offenders
Domestic abusers
Offenders subject to deportation
Output 42: Through a process of induction the offender understands the sentence process and licence conditions, including the Custody
consequences of failing to comply
Community
Definition
It is important that the offender understands their licence conditions, particularly Applicable to the following offenders:
where additional or bespoke conditions are included in the licence, and that
breaching any of these could result in them being recalled to custody.
All offenders subject to licence management and
supervision
Output 43: The pre-release plan is reviewed and the offender’s resettlement, risk of serious harm, likelihood of reoffending,
related needs and multi-agency or specialist provision are identified, and recorded using prescribed assessment tools.
Custody
Community
Definition
N
o
Y
e
s
N
o
Y
e
s
Where significant changes have occurred since the assessment and sentence plan Applicable to the following offenders:
were reviewed pre-release, there will be a need to revise and update them, to All offenders subject to licence management and
ensure the plan and its objectives and targets are suitable. OASys must be used to supervision
record any changes.
Refer to National Standards for specific information on working with Tier 4 cases.
Output 44: The post-release plan is informed by at least one home visit.
Custody
Community
Definition
N
o
Y
e
s
This is a requirement for offenders assessed as being Tier 3 or 4, subject to a Applicable to the following offenders:
sentence of 12 months or more.
Tier 3 and 4 offenders sentenced to 12 months or
more.
Output 45: Women offenders are offered the option of being allocated a female offender manager.
N
Custody
o
PSI 14/2012 – PI 08/2012
UNCLASSIFIED
ISSUE DATE 11/04/2012
UNCLASSIFIED
PAGE 25
Community
Definition
The community provider must pro-actively offer this to women offenders.
Y
e
s
Applicable to the following offenders:
Women offenders
Output 46: Women offenders are offered the option of being interviewed in a women-only environment.
Custody
Community
Definition
Applicable to the following offenders:
Women offenders
Output 47: Where appropriate an enhanced assessment is completed including a contribution from a specialist provider.
Custody
The community provider must pro-actively offer this to women offenders.
Community
Definition
In some cases, offenders who are particularly vulnerable or with complex needs Applicable to the following offenders:
and issues to be addressed may need a more detailed assessment, which may Offenders deemed to require an
include a contribution from a specialist agency, for example in the case of some assessment
women offenders, or those with learning difficulties.
Output 48: Compliance with local and national inter-agency procedures and protocols contributes to the protection of the public:
-
Multi-Agency Public Protection Arrangements (MAPPA) – (MAPPA eligible offenders)
-
ViSOR (database for violent and sexual offenders) – (MAPPA eligible offenders)
-
Safeguarding children – (offenders living with or having significant contact with a child)
-
Multi-agency Risk Assessment Conference (MARAC) – (offenders who represent a risk to victims of domestic abuse)
-
Mental Health Act Care Programme – (offenders subject to a MH Act Care Programme)
Definition
N
o
Y
e
s
This includes offenders eligible for Multi-Agency Public Protection Arrangements
(MAPPA), Multi-Agency Risk Assessment Conference (MARAC), safeguarding
PSI 14/2012 – PI 08/2012
UNCLASSIFIED
N
o
Y
e
s
enhanced
Custody
N
o
Community
Y
e
s
Applicable to the following offenders:
ISSUE DATE 11/04/2012
UNCLASSIFIED
children procedures and Mental Health Act Care Programme.
PAGE 26
See output description for eligibility.
The local Children’s Social Care service must be notified of any new information
which may indicate that the wellbeing of a child is at risk, including, in particular,
information related to alcohol or drug abuse, mental ill health or a propensity to
domestic abuse.
All information about the risks posed by sexual and violence offender must be
inputted and stored on ViSOR.
Output 49: Non-English speaking offenders are enabled to communicate effectively for the purposes of induction, assessment, Custody
planning, review and evaluation
Community
Definition
Approved translation services must be used where necessary.
N
o
Y
e
s
Applicable to the following offenders:
Non English speaking offenders
An Assessment and Sentence Plan are Prepared
Output 50: The assessment and plan are reviewed when there is a significant change of circumstance including transfers.
Custody
Community
Definition
N
o
Y
e
s
Aside from the transfer of a case, professional judgement should be used to Applicable to the following offenders:
consider if an event or new information represents a significant change of
All offenders subject to licence management and
circumstance.
supervision
Output 51: Post-release lifer reports are completed as required
Custody
Community
PSI 14/2012 – PI 08/2012
UNCLASSIFIED
ISSUE DATE 11/04/2012
N
o
Y
e
s
UNCLASSIFIED
Definition
This only applies to offenders subject to a life or IPP licence.
PAGE 27
Applicable to the following offenders:
Lifers
The Sentence Plan is Implemented
Output 52: The offender’s ability to access and maximise use of community-based resources is increased.
Custody
Community
Definition
N
o
Y
e
s
Offender managers work proactively to support an offender’s access to Applicable to the following offenders:
mainstream services. Offender managers provide offenders with up-to-date All offenders subject to licence management and
information on available community resources and make necessary referrals ‘to supervision
support rehabilitation.
The Offender is Monitored and Compliance is Promoted
Output 53: Jurisdiction is transferred out to the offender’s new probation trust area when an offender moves area. Continuity of Custody
offender management is maintained.
Community
N
o
Y
e
s
Definition
Transfer of cases between Trusts must be managed effectively to ensure Applicable to the following offenders:
appropriate information exchange and continuity of case.
All offenders subject to licence management and
supervision
Output 54: Jurisdiction is accepted into the offender’s new probation trust area when an offender moves area. Continuity of Custody
N
o
offender management is maintained.
Community
Definition
The receiving Trust has a responsibility to support the smooth transfer of a case.
Y
e
s
Applicable to the following offenders:
All offenders subject to licence management and
supervision
PSI 14/2012 – PI 08/2012
UNCLASSIFIED
ISSUE DATE 11/04/2012
UNCLASSIFIED
PAGE 28
Output 55: Assessment, progress and statutory enforcement action is taken for failure to comply.
Custody
Community
Definition
Recall should be instigated if the offender’s behaviour gives cause for concern that Applicable to the following offenders:
he/she presents an increased risk of re-offending – in such circumstances there is
no requirement to wait for three failures.
All offenders subject to licence management and
supervision
For other compliance issues, if an offender fails to comply with their licence and
does not provide a reasonable excuse, a maximum of two written warnings can be
issued within the preceding 12 months. In the event of a third instance of failure to
comply without reasonable excuse in the preceding 12 months, the offender
manager must initiate enforcement action to recall the offender to custody.
For detailed recall guidance, please refer to PC 14/2008 Post Release
Enforcement – Recall and Further Release. Also, refer to National Standards.
Output 56: The offender manager is informed of return to custody for recalled offenders in sufficient time to prepare information
for first Parole Board review (held 28 days after return to custody).
Custody
Community
Definition
N
o
Y
e
s
Y
e
s
N
o
Where an offender has been returned to custody, following a request to recall by Applicable to the following offenders:
the offender manager (which has been approved by NOMS HQ), the offender
supervisor should inform the offender manager immediately (no later than 2 days Offenders subject to ‘Standard’ recall processes
following return to custody), so that they are able to complete the report for
consideration of re-release in time for the Parole Board review (within 28 days for
indeterminate sentence offenders).
For detailed recall guidance, please refer to PC 14/2008 Post Release
Enforcement – Recall and Further Release.
Output 57: Recalled offenders are motivated and supported to engage with the re-release plan.
PSI 14/2012 – PI 08/2012
UNCLASSIFIED
Custody
ISSUE DATE 11/04/2012
Y
e
s
UNCLASSIFIED
PAGE 29
Community
Y
e
s
Definition
Offender Supervisors should seek to improve the chances of a recalled offender Applicable to the following offenders:
being re-released. Where the offender is in scope for Phase 2/3 of the original
offender management model, the Offender Manager should also support the Offender subject to licence management and
offender in preparing for re-release.
supervision
Output 58: An application for the suspension of the supervision element of the licence is made in relevant cases.
N
Custody
o
Y
Community
e
s
Definition For offenders subject to a life or IPP licence, the OM may apply for the supervision Applicable to the following offenders:
element of the licence to be suspended after a minimum of four years, where the
offender has complied with their licence and there is evidence of a stable lifestyle, Indeterminate sentence offenders
good integration and other factors. For sex offenders released on life/indeterminate
sentence for public protection (IPP) licence, suspension will not generally be
considered before 10 years have elapsed. In the case of those released after
serving a sentence of IPP the Criminal Justice Act 2003 (Schedule 18) provides for
the release licence to be terminated by the Parole Board, on application from the
offender, after 10 years in the community (and if not terminated, may be
considered again at yearly intervals thereafter). If the IPP licensee is still under
supervision at the 10 year stage a full risk assessment from the supervising officer
will be required.
Output 59: A final review of outcomes is completed at the end of the licence period.
N
Custody
o
Y
Community
e
s
Definition An evaluation of the progress made to achieve sentence plan outcomes is Applicable to the following offenders:
undertaken and recorded in prescribed tools prior to the termination of the All offenders subject to licence management and
sentence
supervision
Output 60: Third parties are informed of the termination of NOMS involvement as required.
PSI 14/2012 – PI 08/2012
UNCLASSIFIED
Custody
ISSUE DATE 11/04/2012
N
o
UNCLASSIFIED
PAGE 30
Community
Definition
Y
e
s
Any third parties involved in the rehabilitation, management or risk reduction of the Applicable to the following offenders:
offender during the licence period must be informed of the termination of the All offenders subject to licence management and
licence period and that supervision by NOMS of that individual in the community supervision
has ended
Output 61: The case is closed down on systems
N
Custody
o
Y
Community
e
s
Definition Information systems, electronic or paper-based, are closed down and archived or Applicable to the following offenders:
transferred to the OM in the community depending on whether offender is subject
to statutory supervision
All offenders subject to licence management and
supervision
PSI 14/2012 – PI 08/2012
UNCLASSIFIED
ISSUE DATE 11/04/2012
UNCLASSIFIED
PAGE 1
HQ policy
Equality Impact Assessment –
Implementation of the “Manage the Sentence: Pre
Policy and Post Release from Custody (transitional
version)” Service Specification
Gareth Mercer
Policy lead
Group
Directorate
Offender Management and Public Protection
Group
National Operational Services
What is an Equality Impact Assessment (EIA)? ...................................................................2
Your Equalities team ............................................................................................................2
The EIA process ..................................................................................................................2
Stage 1 – initial screening ........................................................................................................2
Aims.................................................................................................................................3
Effects ..............................................................................................................................3
Evidence ..........................................................................................................................3
Stakeholders and feedback .............................................................................................4
Impact ..............................................................................................................................4
Local discretion ................................................................................................................5
Summary of relevance to equalities issues ......................................................................5
Monitoring and review arrangements ...............................................................................5
PSI 14/2012 – PI 08/2012
UNCLASSIFIED
ISSUE DATE 11/04/2012
UNCLASSIFIED
PAGE 2
What is an Equality Impact Assessment (EIA)?
An EIA is a systematic appraisal of the (actual or potential) effects of a function or policy on different groups of
people. It is conducted to ensure compliance with public duties on equality issues (which in some areas go beyond
a requirement to eliminate discrimination and encompass a duty to promote equality), but more importantly to
ensure effective policy making that meets the needs of all groups.
Like all other public bodies, the National Offender Management Service is required by law to conduct impact
assessments of all functions and policies that are considered relevant to the public duties and to publish the
results.
An Equality Impact Assessment must be completed when developing a new function, policy or practice, or when
revising an existing one.
In this context a function is any activity of the Probation Service, a policy is any prescription about how such a function
is carried out, for instance an order, instruction or manual, and a practice is the way in which something is done,
including key decisions and common practice in areas not covered by formal policy.
If you are completing this document as part of the OPG process, you must complete and return it together with
the final Business case for OPG approval and publication alongside the PI/PSI/PSO.
Your Equalities team
It is important that all policies are informed by the knowledge of the impact of equalities issues accumulated across
the organisation. Early in the policy development process, and before commencing the EIA, please contact the
relevant equalities team to discuss the issues arising in your policy area.

HR issues – Staff Diversity and Equality Team – 020 7217 6090 or frank.colyer@noms.gsi.gov.uk
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Service delivery issues relating to gender and younger offenders – Women and Young People’s Group –
020 7217 5048 or matthew.armer@noms.gsi.gov.uk
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All other service delivery issues – Race and Equalities Action Group – 020 7217 2521 or
EG@noms.gsi.gov.uk
The EIA process
The EIA has been constructed as a two-stage process in order to reduce the amount of work involved where a
policy proves not to be relevant to any of the equalities issues.
The initial screening tool should be completed in all cases, but duplication of material between it and the full EIA
should be avoided. For instance, where relevance to an equalities issue is self-evident or quickly identified this can
be briefly noted on the initial screening and detailed consideration of that issue reserved for the full EIA.
Further guidance on this will be given by the relevant equalities team.
Stage 1 – initial screening
The first stage of conducting an EIA is to screen the policy to determine its relevance to
the various equalities issues. This will indicate whether or not a full impact assessment is
required and which issues should be considered in it. The equalities issues that you should
consider in completing this screening are:
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Race
Gender
Gender identity
Disability
Religion or belief
Sexual orientation
Age (including younger and older offenders).
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Aims
What are the aims of the policy?
The Instruction supports the Service Specification for the implementation of the “OM
in Transition” Manage the Custodial Sentence; Pre and Post Release Specification.
The aim of this specification is to extend Offender Management practice to all
sentenced offenders.
Effects
What effects will the policy have on staff, offenders or other stakeholders?
The Service Specification forms part of the NOMS Directory of Services and will
underpin regional commissioning by Deputy Directors of Custody, and Probation and
Contracted Services Directorate. Use of the Service Specification will help to ensure
the delivery of a more consistent, efficient and cost effective service by prison and
probation providers. This should support continuous improvement in the quality of
service delivered nationally and locally.
This Service Specification extends a model of offender management to all sentenced
offenders, removing the previous limited eligibility for the service. This specification
offers a degree of flexibility to commissioners, whilst ensuring that the core required
outputs are delivered to all sentenced offenders.
It is suggested that Equality Impact Assessments are completed as part of Best
Value exercises and the equality impact of service is regularly reviewed by
commissioners of services.
Evidence
Is there any existing evidence of this policy area being relevant to any equalities issue?
Identify existing sources of information about the operation and outcomes of the policy, such as operational
feedback (including local monitoring and impact assessments)/Inspectorate and other relevant
reports/complaints and litigation/relevant research publications etc. Does any of this evidence point towards
relevance to any of the equalities issues?
Evidence will be captured through the programme of inspections run by HM
Inspectorates on offender management and thematic issues as they arise.
Monitoring of implementation will be undertaken by Deputy Directors of
Custody, private prisons lead and the Probation and Contracted Services
Directorate.
However, this policy refers to a “transitional” service specification for Manage
the Custodial Sentence. It is expected to be an interim policy/spec whilst
development work on tools to support an “end-state” specification takes place.
As a result, a more detailed Equality Impact Assessment will be carried out in
support of the final specification.
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Stakeholders and feedback
Describe the target group for the policy and list any other interested parties. What contact have
you had with these groups?
The policy applies to offenders sentenced to a period of custody. It impacts on staff
across NOMS (custody and community) who are involved in the management and
delivery of custodial sentences and the appropriate aims.
Consultation on the policy has involved a range of internal NOMS colleagues and
partners as part of the development of the specifications and has included a range of
operational staff, practitioners and managers in prisons and probation trusts across
England and Wales.
Do you have any feedback from stakeholders, particularly from groups representative of the
various issues, that this policy is relevant to them?
Feedback was obtained from:
- Women’s Team
- Young People’s Team
- Staff Associations
- Operational staff in custody and community
- Key policy leads within NOMS HQ
During the development of the specification itself, feedback led to the inclusion
of specific outputs for female offenders to ensure they were always offered the
option of a female Offender Manager, and also offered the option of being
interviewed in a female only environment.
Also, Young Peoples Team feedback led to the inclusion of a costed option
within the specification to allow additional time within the operating model for
work with vulnerable prisoners, including some young offenders.
Feedback has been incorporated into the final specification and Prison and
Probation Instruction as submitted to the NOMS Operational Policy Group.
More detailed feedback will be collated from April 2012 in the build up towards
publication and implementation of the end-state specification.
Impact
Could the policy have a differential impact on staff, prisoners, visitors or other stakeholders on
the basis of any of the equalities issues?
The policy applies equally to all offenders subject to a custodial sentence. OM provision
is based solely on a “resources follow risk” principle, to ensure those with the highest risk
of serious harm, or highest likelihood of reoffending, have the higher level of OM
resource applied.
By providing a more consistent and better quality service, the policy will benefit a wide
range of offenders, including those from different groups, or with specific needs.
Existing national guidance on preventing discrimination on the basis of race, gender,
disability or other factors will ensure that providers will apply the policy appropriately.
Recommendations from thematic and other inspections referring to equality issues have
been incorporated in this specification.
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Local discretion
Does the policy allow local discretion in the way in which it is implemented? If so, what
safeguards are there to prevent inconsistent outcomes and/or differential treatment of different
groups of people?
There is a costed operating model for service delivery that provides consistency,
however this is not a mandatory model. The outputs within the specification, which are
mandatory ensure providers apply the appropriate service to all offenders, including
some additional requirements unique to female offenders. DDCs and Probation leads
should therefore ensure that local Equality Impact Assessments and reviews of service
delivery are undertaken regularly.
The instruction is drafted to avoid, as far as possible, local discretion leading to
inconsistent outcomes, by providing a clear definition of each output within the
specification.
Summary of relevance to equalities issues
Strand
Race
Gender (including gender
identity)
Disability
Religion or belief
Sexual orientation
Age (younger offenders)
Age (older offenders)
Yes/No
Rationale
NO
See below.
NO
See below.
NO
See below.
NO
See below.
NO
See below.
NO
See below.
NO
See below.
The policy will apply consistently across NOMS.
If you have answered ‘Yes’ to any of the equalities issues, a full impact assessment must be completed. Please
proceed to STAGE 2 of the document.
If you have answered ‘No’ to all of the equalities issues, a full impact assessment will not be required, and this
assessment can be signed off at this stage. You will, however, need to put in place monitoring arrangements to
ensure that any future impact on any of the equalities issues is identified.
Monitoring and review arrangements
Describe the systems that you are putting in place to manage the policy and to monitor its
operation and outcomes in terms of the various equalities issues.
Existing national guidance on monitoring equality issues (PSI 32/2011) on the basis of
race, gender, disability or other factors will ensure that providers will apply the policy
appropriately.
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State when a review will take place and how it will be conducted.
The service specification is a time limited, transitional specification, so a full review and
assessment will take place in support of publication and implementation of the end-state
specification.
Name and signature
Policy lead
Head of group
Date
Gareth Mercer
Gordon Davison
PSI 14/2012 – PI 08/2012
UNCLASSIFIED
ISSUE DATE 11/04/2012