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IMPLEMENTATION OF THE DELIVER SUPERVISION REQUIREMENT
SPECIFICATION
This instruction applies to :
Reference :
Probation Trusts
PI 14/2010
Issue date
Effective Date
Expiry Date
1 October 2010
1 October 2010
1 October 2014
Issued on the authority of
For action by
NOMS Agency Board
Trust Contract Managers and Trust Chairs
Relevant to all staff responsible for the commissioning and
provision of supervision requirements.
For information
Directors of Offender Management
Chairs of Probation Trusts
Chief Executives
Contact
Karen MacLeod, Rehabilitation Services Group
Karen.macleod@justice.gov.uk
Associated documents
The Deliver Supervision Requirement Service Specification,
Operating Model, Direct Service Costs and Assumptions
Document and Costing Spreadsheet, found at:
Specification, Benchmarking and Costing
Audit/monitoring :
Directors of Offender Management will monitor compliance in their region with the mandatory
actions set out in this Probation Instruction. Probation Trusts must demonstrate compliance with
these actions when required to do so by Directors of Offender Management.
Introduces amendments where outlined. Copies held on the HMPS Intranet/EPIC will be
amended; hard copies must be amended or cross referenced locally.
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CONTENTS
Section
1
Subject
Executive summary
Background
Desired outcomes
Mandatory actions
Resource impact
Applies to
All Staff
1.1, 1.2, 1.3, 1.4, 1.5
1.6
1.7
1.8
2
Operational guidance
Additional mandatory instructions
National performance monitoring
Local performance monitoring
All Staff
2.1
2.2
2.3
1.
Executive summary
Background
1.1
The service specification for the delivery of the supervision requirement was issued to
Directors of Offender Management on 04 June 2010 and forwarded to Probation Trusts.
The service specification for manage the sentence for a community order and suspended
sentence order was issued at the same time.
1.2
This instruction sets the effective date for implementation of the specification and appends
all of the supporting documents. The specifications define outputs and outcomes that must
be delivered and are underpinned by examples of operating models and related direct
service cost models. The service specification sets out the mandatory outcomes and
outputs which must be implemented from 1 October 2010, with implementation to be fully
and demonstrably complete by 1st April 2011.
The operating model however is not
mandatory; providers may, if they wish, develop different models for delivery which are
efficient and effective. Similarly, the direct service costs and assumptions document is
linked to the operating model and is indicative only.
1.3
The specifications make a clear distinction between the role of the responsible officer in
managing the community order or suspended sentence order and in the role of delivering
the supervision requirement. This instruction allows for the current approach (where the
delivery of the supervision requirement and the management of the order is managed by
one responsible officer / offender manager) to continue, or for the role of the responsible
officer and the duties of delivering the supervision requirement, to be run separately. At
present the norm is that they are run together as the most economical option. If separate
delivery allows for savings to be made whilst offering the most effective approach to
reducing reoffending, then that option can be pursued.
1.4
The main purpose of the supervision requirement is rehabilitation. The offender is required
to attend appointments with the responsible officer or another person determined by the
responsible officer. Often, the duties of the responsible officer, which are to:
o
make the necessary arrangements in connection with the order
o
promote the offender’s compliance
o
take steps where necessary to enforce the requirements
PSI 14/2010
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are delivered as part and parcel of the supervision requirement. So, until now, the delivery
of the supervision requirement has been indistinguishable from the delivery of the
responsible officer duties as this has seemed to be the most effective and efficient
approach. The release of the service specification for manage the sentence for a
community order and suspended sentence order and the release of the service
specification for deliver supervision requirement, has allowed us to separate the
components of the order for the first time.
1.5
The separation means that we can create the supervision requirement as a unique
intervention in its own right with its own targeting, eligibility and management criteria. There
is potential for this development to have a significant impact on the management of the
order and on the delivery of the supervision requirement in the future. By clearly separating
delivery (of the requirement) from overall management (of the order), it would allow for a
separate provider of requirements to be introduced for example.
Desired outcomes
1.6
That supervision requirements are delivered throughout England and Wales in accordance
with this specification under existing contracts.

Providers of probation services understand their responsibilities in delivering the
specification;

Staff responsible for delivering supervision requirements understand and act upon
the mandatory requirements set out in the service specification;

Commissioners and providers monitor performance against the specification.
Mandatory actions
1.7
Chief Executives must ensure that supervision requirements are delivered in accordance
with the service specification as mandated by the Trust Contract.. Staff commissioning and
delivering supervision requirements therefore must ensure that the outputs and outcomes
in the service specification are met.
Resource Impact
1.8
The direct service costs are not mandatory but are set out in the direct service costs &
assumptions paper. Note that these costs are direct running costs only and they must not
be used on their own to determine resource allocations or make comparisons beyond the
public sector. The direct service costs & assumptions paper and cost spreadsheet can be
found at:.www.justice.gov.uk/about/noms-sbc-programme.htm.
2.
Operational instructions
2.1
The activity in the specification is largely already covered by existing operational
instructions, which are referred to in the references for detailed mandatory instructions
column of the specification
2.2
Current national requirements for monitoring supervision requirements remain in place.
The specification also contains a number of suggested ways in which commissioners can
measure and gain assurance on delivery against individual outputs in the specification.
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Contacts
For further information email:
Karen MacLeod, Rehabilitation Services Group
Email. Karen.macleod@justice.gov.uk
(signed)
Yvonne Thomas
Director of Offender Management.
NOMS.
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HQ policy
Equality Impact Assessment –
Policy
Policy lead
Group
Directorate
Implementation of the Deliver Supervision Requirement
Specification
Karen MacLeod
Rehabilitation Services Group
Service Development Directorate
What is an Equality Impact Assessment (EIA)? ...................................................................2
Your Equalities team ............................................................................................................2
The EIA process ..................................................................................................................2
Stage 1 – initial screening ........................................................................................................3
Aims.................................................................................................................................3
Effects ..............................................................................................................................3
Evidence ..........................................................................................................................4
Stakeholders and feedback .............................................................................................4
Impact ..............................................................................................................................4
Local discretion ................................................................................................................4
Summary of relevance to equalities issues ......................................................................5
Monitoring and review arrangements ...............................................................................5
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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

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

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.
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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:







Race
Gender
Gender identity
Disability
Religion or belief
Sexual orientation
Age (including younger and older offenders).
Aims
What are the aims of the policy?
The Instruction supports the Service Specification for the delivery of the supervision
requirement.
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 Directors of Offender Management.
Use of the Service Specification will help to ensure the delivery of a more
consistent, efficient and cost effective service by probation providers. This
should support continuous improvement in the quality of service delivered
nationally and locally.
This Service Specification separates the delivery of the supervision
requirement from the management of the order. By doing this, an opportunity
is opened up for trusts to pursue the most effective approach to the delivery of
the supervision requirement. Where a case is made for a third sector provider
to supply the supervision requirement it would be possible for this to be
undertaken so long as the commissioner of service could assure the delivery
of the Service Specification. Equally commissioners may be assured that
effectiveness as well as efficiency is best met for this Service Specification by
delivering the supervision requirement and the management of the order by
the same offender manager/ responsible officer. That decision will be locally
made.
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.
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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?
Local and national monitoring will be undertaken through the Probation Trust
Reporting System (PTRS) as well as through the programme of inspections
run by HM Inspectorate of Probation.
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 the offenders sentenced to a period of supervision as a
requirement of a community order The process underpinning the policy encompasses
staff across NOMS.
Consultation on the policy has therefore encompassed a range of internal colleagues as
part of the development of the specifications and has included a range of practitioners
and managers in probation trusts in 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 has been incorporated into the final Probation Instruction as
submitted to the NOMS Operational Policy Group.
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 supervision requirement
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 probation providers will apply the policy
appropriately. Recommendations from thematic and other inspections referring to
equality issues have been incorporated in this specification.
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 option for service to be considered for women offenders. Directors of
Offender Management should therefore ensure that local Equality Impact Assessments
and reviews of service delivery are undertaken regularly.
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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 equally to all victims who fall within the scope of the statutory victim contact scheme and have
opted to take up the service offered by the National Probation Service. In applying the new policy, probation
providers will be expected to follow national guidance on preventing discrimination on the basis of race, gender,
disability or any other factor.
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.
National monitoring will continue to evaluate outcomes and delivery of service processes
to ensure that equality issues are assured. Existing national guidance on preventing
discrimination on the basis of race, gender, disability or other factors will ensure that
probation providers will apply the policy appropriately.
State when a review will take place and how it will be conducted.
The service specification and the policy will be subject to periodic review by the policy
holding Group. This will include consultation with key stakeholders.
Policy lead
Head of group
PSI 14/2010
Name and signature
Date
Karen MacLeod
16.05.2010
Lori Chilton
07.2010
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