psi-13-2015-release-on-temporary-licence
RELEASE ON TEMPORARY LICENCE
This instruction applies to:-
Reference:-
PSI 13/2015
Prisons
PI 10/2015
Providers of Probation Services
Issue Date
Effective Date
Expiry Date
Implementation Date
24 March 2015
24 March 2015
23 March 2019
(Revision)
Issued on the
NOMS Agency Board
authority of
For action by
All staff responsible for the development and publication of policy and
instructions
NOMS HQ
Public Sector Prisons
Contracted Prisons*
NOMS Immigration Removal Centres (IRCs)
National Probation Service (NPS)
Governors
Heads of Groups
Community Rehabilitation Companies (CRCs)
NOMS Rehabilitation Contract Services Team
Other Providers of Probation and Community Services
* If this box is marked, then in this document the term Governor also applies
to Directors of Contracted Prisons
Instruction type
For information
Provide a
summary of the
policy aim and
the reason for its
development /
revision
Contact
Service improvement
All staff involved in ROTL
Release on temporary licence (ROTL) is the mechanism by which offenders
may undertake activities in the community that are necessary and/or which
cannot be facilitated within prison.
The guidance on ROTL has been revised in light of the ROTL review
commissioned by the Secretary of State in July 2013 following instances of
serious offending on ROTL.
The aim of the revision is to ensure that protecting the public is the
paramount concern in every temporary release decision and to restore public
confidence in what can be a useful tool in helping offenders to undertake
necessary activities outside prison and to meet sentence plan aims. The
changes enhance the risk assessment and monitoring of those on temporary
release; ensure more consistent practice across establishments; and, clarify
the purpose of ROTL to ensure that release is authorised only for legitimate
purposes.
If there are any queries about the contents of this instruction please direct
them to the ROTL helpline:
Junior Ogueri
0203 334 5043
Suleman Qureshi
0203 334 5044
Verginia Georgieva 0203 334 4689
sppu.early.release@justice.gsi.gov.uk
Associated
PI 56/2014 –PSI 40/2014 - Mandatory Use of ViSOR
documents
PI 15/2014 –AI 15/2014 - Notification and review procedures for serious
further offences
PI 10/2014 –AI 13/2014 - Managing terrorist and extremist offenders in the
community
PI 02/2014- Safeguarding of Children and Vulnerable Adults
PSI 07/2015 – PI 06/2015Early Days in Custody
PSI 44/2014 –AI 28/2014 - PI 61/2014– The Data Protection Act 1998, The
Freedom of Information Act 2000, Environmental Information Regulations
2004
PSI 37/2014 – AI 25/2014 - Eligibility for open conditions and for ROTL of
prisoners subject to deportation proceedings
PSI 05/2014 – Safeguarding of Children and Vulnerable Adults
PSI 26/2012 - Production of Prisoners at the Request of Warranted Law
Enforcement Agencies
PSI 11/2012 - Incident Reporting System
PSI 1/2012 – Manage Prisoner Finance
PSI 76/2011 – Prisoner Earnings Act 1996
PSI 52/2011 – Immigration, Repatriation and Removal Services
PSI 47/2011 - Prisoner Discipline Procedures
PSI 41/2011 – Categorisation And Recategorisation Of Young Adult Male
Prisoners
PSI 40/2011 - Categorisation and Recategorisation Of Adult Male Prisoners
PSI 39/2011 - Categorisation And Recategorisation Of Women Prisoners
PSI 16/2010 - Confiscation Orders
PSI 31/2009 – Compact based drugs testing
PSO 2205 Offender Assessment and Sentence Management – OASys
PSO 2300 – Resettlement
PSO 3601 – Mandatory Drug Testing
PSO 4460 – Prisoners’ Pay
PSO 4700 - Indeterminate Sentence Manual
PSO 5400 – Transport Manual
PSO 6300 – Release on Temporary Licence
Replaces the following documents which are hereby cancelled: None
Audit/monitoring: Deputy Directors of Custody and Controllers will monitor compliance with the
mandatory actions set out in this Instruction.
Director of Probation for NPS in England, Director of NOMS in Wales and NOMS Director of
Rehabilitation Services for CRCs will monitor compliance with the mandatory actions in this
instruction.
NOMS contract management will hold providers to account for delivery of mandated instructions
as required in the contract.
Introduces amendments to the following documents: This instruction wholly replaces PSO
6300 – Release on Temporary Licence - for all offenders aged 18 and over. Copies of PSO 6300
should be retained solely in relation to temporary release applications by young people (ie under
18s), pending revision of the operational instructions applicable to them.
Paragraphs 4.10 and 4.11 amend paragraphs 2.7.3 to 2.7.5 of PSO 4460 – Prisoners’ Pay.
Annex G and F (Memoranda of Understanding for paid and unpaid work placements) replace
those included in PSO 2300 – Resettlement and PSI 76/2011 – Prisoner Earnings Act 1996
Notes: Update: Instruction and attached forms updated to rectify typographical and
formatting issues.
All Mandatory Actions throughout this instruction are in italics and must be strictly adhered
to.
PAGE 1
CONTENTS
Section
Subject
1
Executive Summary
For reference by:
Background
What’s new since PSO 6300
What’s new since 11 August 2014
2
Operational Instructions
All Prison and NPS staff
and CRCs that are
involved in the ROTL
Process
Purpose and acceptability of ROTL
3
Restricted ROTL and Standard ROTL
4
Type of ROTL, acceptable activities and
eligibility dates
Overview
Resettlement Day Release
Paid and unpaid work placement
Training or Education
Maintaining Family Ties
Other activities linked to sentence plan or
resettlement goals
Eligibility for RDR (including calculating the
eligibility date)
Frequency and duration
Resettlement Overnight Release
Eligibility for ROR
Frequency
Duration
ROTL eligibility post recall (RDR & ROR)
All Prison and NPS staff
and CRCs that are
involved in the ROTL
Process. NPS and
CRCs in particular
should be aware of this
section.
ROTL after an adverse Parole Hearing
Childcare Resettlement Licence
Eligibility
Frequency and duration
Risk Assessment
Special purpose licence
Eligibility
Frequency
Duration
Grounds for SPL
5
ROTL Procedure
Stage 1 – Application
PSI 13/2015 - PI 10/2015
ISSUE DATE 24/03/2015
PAGE 2
Stage 2 – Input from External Agencies
Stage 3 – Risk Assessment Board
What is extra for Restricted cases?
Psychology Case-File Review
Stage 4 – Notification of decision to offender
Stage 5 Notification of Police and Offender
Manager
Stage 6 – The Licence
6
Risk Assessment Principles
Introduction
OASys
Factors establishing or affecting risk
7
Exclusions from ROTL, and other restrictions
Category A offenders and others
Offenders with an abscond etc. history
Offenders on basic level IEP
Geographical limitations
Offenders in contempt of court
Minimum time in prison
All Prison and NPS staff
and CRCs that are
involved in the ROTL
Process
ROTL after transferring between prisons
8
Indeterminate Sentence Prisoners
Eligibility
Frequency, duration and monitoring
Revocation of Temporary Release Licences
9
Classes of offender needing special
consideration
Civil Offenders and fine defaulters
Detained in default of a confiscation order
Appellants
Restricted transfers (across UK jurisdictions)
US Servicemen
Placements with Community Service Volunteers
Placements with the Prince’s Trust
10
Foreign National Offenders
11
Monitoring of ROTL
Minimum requirements for Restricted and
Standard ROTL cases
Drug testing
12
ROTL Failure Review Process
Introduction
Definition of ROTL Failure
PSI 13/2015 - PI 10/2015
ISSUE DATE 24/03/2015
PAGE 3
Detailed Process
Trigger for referral to DDC
Lessons from Reviews
13
Recall from temporary licence
Procedure
Alleged offending
14
Local ROTL Leaflet
15
Funding of ROTL
Glossary
Annexes
List of Annexes
Annex A
Annex B
List of MAPPA qualifying offences (sch.15
Criminal Justice Act 2003)
List of Prisons able to provide Restricted ROTL
Annex C
ROTL Process Flow Charts
Annex D
ROTL Forms
Annex E
Regional Psychologist Contact Details
Annex F
Paid Placement Memorandum of Understanding
Annex G
Annex J
Unpaid Placement Memorandum of
Understanding
Community Service Volunteer Memorandum of
Understanding
FNP – Additional Risk Assessment
Annex K
List of Serious Further Offences
Annex L
Annex M
ROTL Suspension/Punishment Guidance
ROTL Review Process Map
Annex N
ROTL Review – commissioning letter
Annex P
ROTL Review Template
Annex H
PSI 13/2015 - PI 10/2015
All Prison and NPS staff
and CRCs that are
involved in the ROTL
Process
ISSUE DATE 24/03/2015
PAGE 4
1.
Executive Summary
1.1
This instruction sets out the principles and procedures to be applied to applications
by offenders for release on temporary licence. It applies to all offenders with the
exception of young people (ie those under the age of 18) for whom PSO 6300 will
continue to apply until further notice.
1.2
It sets out the purpose of temporary release, the eligibility criteria, what consideration
must be given to applications, how the release should be monitored and how to deal
with those who do not comply.
1.3
Most of the actions required under this instruction are established practice either in
PSO 6300 or in the Consolidated Interim Instructions of 11 August 2014.
Establishments and Probation Service Providers must be compliant with all the new
requirements and procedures set out in this instruction by 1 July 2015, unless
otherwise indicated (see Transitional Provisions at para 1.20 below).
Background
1.4
Release on Temporary Licence (ROTL) is the mechanism under which offenders may
be released into the community, generally towards the end of their sentences, for
rehabilitative purposes. It can play an important role in public protection by allowing
risk management plans for offenders to be tested in the community under strict
conditions before they are released. It also provides a valuable means of helping
offenders prepare for their resettlement in the community by, for example, finding work
or rebuilding links with their families, which helps to reduce reoffending.
1.5
This instruction has been introduced following a review of ROTL that was
commissioned by the Justice Secretary following instances of serious offending by
offenders on temporary release in 2013. Her Majesty's Chief Inspector of Prisons was
also asked to investigate and report on the incidents and his recommendations to
strengthen the system are reflected in the instruction. In addition, there were a
number of high profile instances of ROTL failure in 2014. These failures significantly
undermined public confidence meaning that it was necessary to implement some
ROTL improvement measures in May 2014. This instruction incorporates fully the
measures that were implemented in 2014 and which were set out in the “Release on
Temporary Licence (ROTL) Consolidated Interim Instructions” which were issued on
11 August 2014 and have now been replaced by the instructions in this instruction.
1.6
The ROTL review found that in the vast majority of cases ROTL was being used
effectively and successfully. Offenders fail to comply with temporary release
conditions in only around one in a thousand instances. However, the impact of those
failures can be severe and the Review did highlight a number of weaknesses in the
previous arrangements that have been addressed in this new instruction.
What’s new – since PSO 6300?
1.7
There is now a two-tier approach to ROTL under which more serious and higher risk
offenders must be considered under the new Restricted ROTL regime. This precludes
temporary release from closed conditions and preserves it for where enhanced
behaviour monitoring operates; requires greater external agency involvement before
release is considered; and requires the release decision to be endorsed by the
governor or deputy, as well as a more stringent approach to monitoring whilst released
and review in the event of lack of compliance. All other offenders will be considered
under the Standard ROTL regime.
PSI 13/2015 - PI 10/2015
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PAGE 5
1.8
For all offenders, there must be no presumption to ROTL. The Review found
instances of offenders being released on “town leave” where the purpose of the
release was not clear. There was also evidence that both offenders and some prison
staff expected that ROTL would be given as soon as the eligibility date was reached
and/or as soon as the offender reached open conditions. This instruction underlines
the need to link any and all resettlement ROTL release to the sentence plan (for those
who require a sentence plan) or agreed resettlement goals (for those not requiring a
sentence plan).The terms “sentence plan” and “sentence planning” will be used
throughout this instruction to refer to both sentence and resettlement plans.
1.9
Offenders with a history of escape, abscond or serious ROTL failure during the current
sentence may no longer be considered for transfer to open conditions or for ROTL in
the absence of exceptional circumstances.
1.10
Finally, the Review evidenced a degree of inconsistency in the approaches to
progression on ROTL (ie when it should start, the frequency and duration of ROTL);
the timing and make-up of ROTL risk assessment boards; the monitoring of offenders
whilst on release; and, approaches to failure to comply with ROTL conditions. This
instruction sets out a clear framework for prisons and probation service providers to
adopt.
What’s new – since 11 August 2014?
1.11
There are three phases of implementing the ROTL Review Actions:
Phase 1 - The actions covered by the 11 August 2014 Interim Instructions
Phase 2 - The actions covered by this instruction
Phase 3 - Electronic Location monitoring for ROTL.
1.12
This instruction builds on Phase 1 in the following ways:









Full implementation of the Restricted ROTL Regime;
Guidance to counter the presumption to ROTL;
Requirement for offender managers to contribute to Restricted ROTL
decisions;
Better integration of external agencies and the MAPPA in decision-making;
Standardised monitoring arrangements for all cases;
Standardised progression for all (ie how much ROTL and when); including a
new, later resettlement overnight release eligibility date;
A new definition of ROTL failure and guidance for dealing with it;;
A new review process for learning from ROTL failure; and
New Memoranda of understanding with providers of paid and unpaid work
training placements
Phase 3 – Electronic Location Monitoring. The intention is that prisoners on ROTL will
be tagged once suitable equipment is available. Further guidance will be provided in
due course.
Desired outcomes
1.13
1.14
ROTL remains a useful tool to aid the resettlement of offenders in the community but
if it is to retain the confidence of the public it must be applied consistently and in a
way which places the protection of the public at the heart of every step of the process.
The new approach set out in this instruction will improve the consistency, risk
assessment and monitoring of releases on temporary licence, ensuring we make
more effective use of this tool in safely preparing offenders for permanent release and
better protecting the public.
PSI 13/2015 - PI 10/2015
ISSUE DATE 24/03/2015
PAGE 6
Application
1.15
The instruction must be read by all prison staff who are involved in processing and
considering temporary release applications. NPS offender managers and CRC staff
who manage offenders must be familiar with chapter 4 – ROTL procedure and
particularly with stages 2 and 5 of the procedure which deal with offender manager
comments and notifications about ROTL. Such staff, plus any who are involved in
sentence planning for offenders in custody, would benefit from being familiar with
principles set out on the PSI/PI as a whole and the procedure in chapter 4 in particular.
Mandatory actions
Prisons
1.16
Governors and Directors/Controllers must ensure that all staff are aware of and act in
accordance with the ROTL principles and procedures set out in this instruction.
NPS
1.17
Offender managers must comment on applications for ROTL from Restricted ROTL
prisoners and consult local police and victim liaison officers (where appointed) in so
doing when asked to do so by the prison (Chapter 4 refers).
CRCs
1.18
Staff who manage offenders in the community must comment on applications from
Standard ROTL prisoners allocated to them when asked to do so by the prison, where
resettlement overnight release (ROR) is sought or in any other case where the ROTL
is to the offender’s home address or home area (Chapter 4 refers).
Resource Impact
1.19
This instruction replaces an existing PSO on ROTL and whilst it includes many
requirements almost all are variations on existing requirements in the PSO or existing
practice. In addition, some of the key changes in approach to ROTL have already
been implemented following interim instructions, so a considerable amount of work
has already been done, particularly in open prisons, to change and standardise
existing processes. However, prisons will have to make significant changes in the
approach to ROTL and get used to new forms and processes. This will take time
which is why we are setting the requirement for compliance as 1 July. Although there
should be fewer ROTL applications overall, offender supervisors will be required to
take a greater role in the process; and the risk assessment, monitoring and review
processes are being standardised, so will be more demanding for some prisons.
1.20
The changes that are being made will impact significantly on open and female prisons
because that is where Restricted ROTL will take place. These prisons have been
benchmarked to deliver all the changes in this instruction, including enhanced
behaviour monitoring and the Restricted ROTL process. For closed prisons, the
Standard ROTL process too will be more demanding for offender supervisors but this
will be balanced by the reduction in the number of prisoners eligible for ROTL from
closed conditions. The engagement in the ROTL process of those managing
offenders in the community (NPS and CRCs) is being standardised and, in Restricted
ROTL cases managed by the NPS, the offender manager is now required to offer a
view in all cases of ROTL. However, the effect should be that comments are sought
at an earlier point but in fewer instances, given that releases are falling. Both NPS
and CRC managers of offenders are being asked to consult the police, which is a new
process (the forms previously went to police directly from the prison, although
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PAGE 7
probation often consulted police directly in any case), but the paperwork will be
provided by the prison.
1.21
Training in risk assessment has already been offered to governors in open
prisons and further training for board chairs and ROTL decision makers, and for staff
involved in enhanced behaviour monitoring, is being rolled out. We will also be issuing
desk notes to support case administrators, offender supervisors, personal officers and
board chairs using the new risk assessment documents.
Transitional Provisions
1.22
Establishments and Probation Service Providers must be compliant with the new
requirements and procedures set out in this instruction by 1 July 2015. Until that date,
the existing instructions should be followed, with the following exceptions:
I.
Extension of Restricted ROTL
ROTL from closed conditions (or by women who are not assessed as suitable
for open conditions) must cease in all Restricted ROTL cases from the date of
issue of this instruction.
II.
Resettlement overnight Release (ROR)
All applications for ROR considered on or after the date of issue of these
instructions must be considered in line with the new limitation of ROR to the
last 9 months prior to release. An exception may be made, however, in
relation to prisoners who have already been authorised to take ROR prior to
this date. They may continue to be considered for ROR, provided this remains
in line with the sentence plan.
III.
Resettlement Day Release to maintain family ties
All applications for RDR to maintain family ties considered on or after the date
of issue of these instructions must be considered in line with the new maximum
limit of 1 instance in every 14 day period. RDR that was authorised prior to
this date may still be taken.
IV.
ROTL failure Review Procedures
The requirements and procedures in chapter 12 are effective from the date of
issue of these instructions.
(Signed)
Digby Griffith
Director of National Operational Services
PSI 13/2015 - PI 10/2015
ISSUE DATE 24/03/2015
PAGE 8
2.
Operational Instructions
Purpose and acceptability of Release on Temporary Licence (ROTL)
2.1
Release on temporary licence is the mechanism that enables offenders to participate
in necessary activities, outside of the prison establishment, that directly contribute to
their resettlement into the community and their development of a purposeful, lawabiding life. The decision to allow temporary release must always be balanced by an
active consideration, by means of rigorous risk assessment, of the need for
maintaining public safety and the public’s confidence in the judicial system. Any
application must be refused where the balance is against release.
2.2.
Prison Rule 9 and YOI Rule 5 provide the authority for temporary release to support
appropriate activities and set the following requirements:
“(4) An offender shall not be released under this rule unless the Secretary of State is
satisfied that there would not be an unacceptable risk of his committing offences whilst
released or otherwise failing to comply with any condition upon which he is released.
(5) The Secretary of State shall not release under this rule an offender serving a
sentence of imprisonment if, having regard to....the period or proportion of any such
sentence he has served; and the frequency with which the offender has been granted
temporary release…the Secretary of State is of the opinion that the release of the
offender would be likely to undermine public confidence in the administration of
justice.”
2.3
Decisions on temporary release are taken by the governor or delegate (acting on
behalf of the Secretary of State) and, for any release to be acceptable, there must first
be a legitimate purpose to the release. For resettlement ROTL, the test will be
whether the purpose of the release is in line with the offender’s individual sentence
plan. Temporary release can also enable offenders to deal responsibly with
unexpected family and personal events and wider criminal justice needs (when a
special purpose licence may be considered) but all resettlement ROTL must have a
clear, recorded link to an objective identified in the individual offender’s sentence plan
and/or resettlement goals.
2.4
The key tool in assuring public safety and acceptance is the risk assessment process
and the rigour with which it is applied. The assessment must take account of all the
information that is available, obtaining further information where necessary and
considering how that evidence bears on the offender’s suitability for the proposed
activity. The governor is assessing the risk not simply of releasing the offender, but
of allowing the offender to carry out a particular outside activity.
2.5
The criteria for time served in custody and frequency of release, set out for offenders
in relation to the different types of ROTL and ROTL regime below, are designed to
ensure that releases authorised using those criteria, are lawful (ie meet the Prison
Rule requirements) and can be satisfactorily explained in terms of addressing
resettlement issues and offending behaviour. It is for the governor to consider all the
circumstances of the case before deciding whether to grant the licence, including:






the nature of the offence;
the nature of the activity for which the release is proposed;
the proportion of the custodial period served;
the number of times the offender has been, or is likely to be, released;
whether the release could reasonably be expected to have a disproportionate
impact on victims;
the presence of any court orders or other outstanding proceedings; and
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PAGE 9

the OASys Risk of Harm level (where applicable) and, where appropriate, the
level at which the offender’s risk will be managed under the Multi-Agency
Public Protection Arrangements.
2.6
As noted immediately above, governors must ensure that the impact of the release
on any identified victims is taken into account before any release is authorised. Where
the victims have suffered serious harm, it is important to be aware of significant
anniversaries and venues, when considering the timing of the offender’s temporary
release from prison and where the offender will go to in the community. Before any
release is considered, account must be taken of any information received from the
Victim’s Helpline and a check must be made with the offender manager to establish
the whereabouts of any identified victims and whether the victim or victim’s family are
participating in the victim contact scheme. If so, they must be afforded a reasonable
opportunity to make representations about the conditions to be attached to any
temporary release and any representations must be put before the ROTL board. The
offender manager must be informed of the outcome of the ROTL board, including any
victim specific conditions in order that this can be communicated to the victims via the
victim liaison officer (VLO).
2.7
For all offenders in open conditions (where most ROTL takes place) there must be a
focus on an ongoing, dynamic risk assessment of all offenders’ suitability to be in open
conditions and to have ROTL, especially for those convicted of serious offences. The
earlier decision to place an offender in open conditions (whether following a Parole
Board review or not) does not mean that there are no concerns about public protection
issues; the decision to place an offender in open conditions represents an assessment
which needs to be tested thoroughly and properly, holding in balance the objectives
of assisting resettlement and protecting the public. Any comments on potential ROTL
suitability that the Parole Board make when considering suitability for open conditions
are made in the context of that assessment, which is entirely separate from the ROTL
decision-making process. The ROTL decision is for the governor to make using the
processes set out it in this instruction and based on facts relevant at the time of the
ROTL decision.
2.8
ROTL affords important resettlement opportunities, but it must only proceed at the
pace and to the extent that is consistent with protecting the public, in the professional
judgement of the managers involved. It must not proceed on a presumptive basis or
be driven by eligibility dates or the timetable for the next parole review, but must
always be based on a properly weighed risk assessment which takes into account all
relevant evidence.
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PAGE 10
3.
Restricted ROTL and Standard ROTL
3.1
Until May 2014, all ROTL applications had been processed in broadly the same way,
regardless of the nature of the offence and the sentence. From this date, a new twotier approach to ROTL was introduced with a more stringent scheme applying in
“Restricted ROTL” cases and the remainder of offenders being subject to a “Standard
ROTL” regime.
3.2
The aim of the Restricted ROTL regime is to ensure that more dangerous offenders
are subjected to greater scrutiny and safeguards before being released. The
framework therefore requires them to show that they are suitable to be in open
conditions and their applications must be considered by a more senior risk
assessment board and decision-maker than in Standard ROTL cases.
3.3
On arrival at open prison, all Restricted ROTL cases will be considered for inclusion
in the Enhanced Behaviour Monitoring (EBM) arrangements. EBM provides a model
of enhanced monitoring, oversight and risk management, in collaboration with the
offender, in order to help them understand and, where possible, manage their own
offence-related risks more effectively. In order to establish whether each Restricted
ROTL offender would benefit from EBM, an ‘EBM case file review’ is completed by a
psychologist. This information is then fed back into a review of OASys, and the
resulting assessment and risk management information is fed into the Restricted
ROTL process. Further information about EBM will be available within a separate
instruction (Enhanced Behaviour Monitoring (EBM) Guidance Notes), which is due for
imminent publication. In addition on arrival in open conditions, where a ViSOR record
exists, prison partnership to that record must be requested within 7 days (PI 56/2014
- PSI 40 2014 - Mandatory Use of ViSOR).
3.4
Since May 2014, the requirement for Restricted ROTL offenders first to reach open
conditions has only applied to some qualifying offenders (namely ISPs and high and
very high risk of serious harm offenders), but that changes with effect from the issue
of this instruction. From date of issue, the full Restricted ROTL regime will apply to
all qualifying offenders.
Definition of Restricted ROTL offender
3.5
The following offenders are all subject to Restricted ROTL:



All indeterminate sentence prisoners (ISPs);
All MAPPA Nominals. This is every offender who is eligible for MAPPA
regardless of MAPPA level and category and therefore includes every offender
who will be subject to the sex offender notification requirements on release
and any offenders serving 12 months or more for murder or any serious violent
offence listed in schedule 15 to the Criminal Justice Act 2003 (see Annex A).
It also includes any other offender who has been identified as requiring
MAPPA management on release, including offenders identified as terrorism
related or extremist offenders (see PI 10/2014); plus
Any other offender who is assessed as high or very high risk of serious harm
on OASys.
All other offenders who are eligible for ROTL will be subject to Standard ROTL
ROTL eligibility for Restricted ROTL cases
3.6
All ISPs are subject to Restricted ROTL and their basic eligibility criteria are set out in
chapter 8. The basic eligibility criteria in chapter 4 below apply equally to Restricted
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PAGE 11
and Standard ROTL determinate sentence offenders. In addition to those basic
criteria, all Restricted ROTL offenders:


3.7
are ineligible for ROTL until they are in a prison which has been designated
as being able to provide Restricted ROTL; and
must be accompanied/supervised by staff on at least the first three instances
of resettlement day release.
The Prisons listed in Annex B have been designated as being able to provide
Restricted ROTL and include all open prisons, some prisons which have both open
and closed conditions on the same site and, because they all now have a resettlement
focus, all female prisons.
Supervised/accompanied ROTL
3.8
Restricted ROTL prisoners must be accompanied on at least the first 3 RDRs (ISPs
should be supervised or accompanied up to the relevant stage of their progress to
Parole Review – see 8.4-8.5). The purpose of supervising/accompanying these
offenders on initial RDR is to offer an additional layer of assurance and to allow the
opportunity to observe how the offenders behave as they begin their gradual reintroduction to the community. Three is the minimum number of instances of
accompanied/supervised RDR and the number may be extended where deemed
necessary. Some planned special purpose licences (SPLs) will allow the offender to
be tested in similar ways to RDR, for example where the prisoner has to negotiate
how to get to the venue and deal with members of the public as well as medical
practitioners. Other SPLs will be much less informative in terms of adding to the risk
assessment. It will be for the ROTL decision –maker to determine whether an
accompanied SPL may be counted instead of one of the minimum 3 RDRs.
Impact on low/medium risk MAPPA nominals
3.9
These prisoners are newly subject to the full Restricted ROTL regime with immediate
effect and ROTL from closed conditions must cease in all cases from the date
of issue of this instruction. Governors/ Directors/Controllers should, however,
ensure that prisoners who have been caught by the extension of Restricted ROTL,
have their transfer to open conditions prioritised if they are already category D, or their
categorisation reviewed if they are already having ROTL and are category C (or, in
the case of female prisoners, are not assessed as “suitable for open conditions”), to
consider whether their categorisation is appropriate.
3.10
For low/medium risk MAPPA nominals who are already in open conditions as of the
date of issue of this instruction, no ROTL may be approved without an EBM case file
review having been completed in the following circumstances:


3.11
The prisoner has not yet undertaken any ROTL;
The prisoner has undertaken ROTL but is now applying for a different type of
ROTL (e.g. has undertaken SPL but is now applying for RDR).
On a transitional basis up to 1 July 2015, ROTL may be approved under the Restricted
ROTL process but without an EBM case file review where a low/medium risk MAPPA
nominal in open conditions is seeking renewal of ROTL for the same type of ROTL.
But this only applies where an EBM review has yet to be prepared. Once the review
is available it must be used. For the purpose of these transitional provisions, the
different types of ROTL are:

supervised/accompanied resettlement day release
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



unaccompanied resettlement day release
resettlement overnight release
childcare resettlement licence
special purpose licence
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4.
Types of ROTL, appropriate activities, and eligibility dates
Overview
4.1.
Offenders’ resettlement needs may be met in a variety of ways and ROTL is one of
these. There is no presumption to ROTL. This chapter sets out a framework
establishing the earliest point at which an offender might become eligible to be
considered for ROTL and, in some cases, the maximum frequency and duration of
any ROTL. The key point about the framework is that it sets the earliest and maximum
parameters. There must be no expectation in every case that ROTL will be available
as soon as the eligibility date is reached, or when the offender arrives in open
conditions. Nor must there be any expectation that the maximum frequency and
duration will be appropriate from the start, or in every case. Offenders needs differ
from case to case and, in all cases, a gradual approach to ROTL must be applied. It
will be natural that, in many cases, the maxima will not be reached and, in some
cases, very little or even no ROTL is actually required in order to meet sentence
planning objectives.
4.2
Offenders may be released on resettlement ROTL to undertake activities that are
linked to objectives in their sentence plans. Throughout this instruction reference to
“sentence plan” should be taken to include “resettlement plan” for offenders not
qualifying for a sentence plan. The following principles are to be adopted:






all ROTL must have a clear, recorded link to an objective identified in the
individual offender’s sentence plan and/or resettlement goals;
the offender must make this link when they apply;
the time allowed for the release must reflect the time required to conduct these
activities, including travel time;
the activity must be one which cannot be met within the prison, unless it is
specified why release is required in the individual case; eg that conducting
the activity in the community will help to test the offender’s decision-making or
other need identified in the particular case;
the manager authorising it must have a clear idea of the activity or activities
that will take place during the release(s) and the board making the
recommendation must record how the activity links to the sentence plan; and,
ROTL must be a standing item for every sentence planning meeting for
offenders who are nearing their ROTL eligibility date and thereafter.
Resettlement Day Release
4.3
Offenders may be released on RDR to undertake activities that are linked to objectives
in their sentence plans. This is the key criterion and there is no list of approved
activities but, in order to be lawful, the release must come under the following
headings:
i.
ii.
iii
iv.
Paid and unpaid work placements
Training or Education
Maintaining family ties
Other activities linked to sentence plan.
Paid and unpaid work placements
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4.4
Undertaking paid and unpaid work training whilst the offender remains in custody can
help to enhance the offender’s prospects of returning productively to the community
and thereby reduce re-offending. The use of suitable, available work training
placements is therefore to be encouraged for offenders who are eligible to be
considered for ROTL. Where possible, it is preferable for the offender to spend time
at an unpaid, voluntary work placement before moving onto a paid placement.
4.5
In an ideal situation, the offender will obtain a work training placement that can lead
directly to employment on release. However, this will be possible only in a limited
number of cases and offenders must be encouraged to take employment which:
i.
ii.
iii.
4.6
meets their own skills and aptitudes;
provides good experience of the personal discipline required for permanent
employment; and
offers the opportunity to develop readily transferable skills which will maximise
the offender’s employment opportunities on release.
Any placement, whether for unpaid community work, education or paid employment,
must be approved by the governor and monitored by the establishment on the basis
of a risk assessment of both the proposed placement and the individual offender. The
placement risk assessment will normally include:
i
ii.
iii.
iv.
v.
vi.
security issues, including a police assessment commissioned via the Police
Liaison Officer;
location of the placement in terms of time and/or distance from the
establishment;
transport arrangements;
the appropriate Health and Safety Assessments (which must be conducted by
the employer and not by the prison)
ability of the establishment to monitor the placement; and
suitability of the placement in terms of propriety and public confidence.
4.7
Governors will want to take particular care before approving a placement on a selfemployed basis. This will require a suitable third party host with whom a placement
agreement (see below) can be signed and who will take on the same responsibilities
as another placement host in terms of monitoring activity and reporting to the
establishment. Similarly, a placement with a family member or friend should be
permitted only in exceptional circumstances, when it is assessed that this particular
placement is in the best interests of the offender’s resettlement and the family
member/friend will take on the monitoring and reporting responsibilities. In both cases
– self-employed and family/friend placement - the establishment will be expected to
increase the level of spot-checks beyond the minimum.
4.8
Risk assessment of the offender will be conducted in the normal manner (Restricted
or Standard as appropriate|) but particular attention will need to be taken on a case
by case basis in relation to placements which involve:
i.
ii.
iii.
iv.
4.9
handling cash;
working wholly or largely unsupervised for periods;
mobile working; and
caring or working with children, the elderly or other vulnerable people.
Governors should always be mindful of the nature of the prisoner’s previous offending
behaviour and risk factors in determining whether a particular placement is suitable,
to ensure that the placement does not facilitate or encourage offending. Approval
must not be given for any placement which may undermine public confidence in
temporary release. Whilst working in public houses, clubs, bars or in betting shops
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PAGE 15
are perfectly legitimate activities in other contexts, any work involving proximity to the
drinking of alcohol or gambling will not generally be a suitable placement for offenders
on temporary release.
4.10
There must be a system in place for monitoring both the placement and the individual
offender. This must include:
i.
ii.
iii.
evidence of the offender attending the placement at identified times;
a system of random checking of attendance; and
reports on the offender’s progress from his/her placement supervisor; and
Model Memoranda of understanding between prison, offender and provider have
been drawn up and are attached at Annex F and G respectively. Governors must
review all placements currently used and ensure that the model memoranda are in
place by the end of August 2015.
4.11
With specific reference to paid employment, the following conditions must apply:
i.
ii.
iii.
iv.
v.
vi.
the employer must certify that serving prisoners do not constitute a majority of
its workforce and that its business is not dependent on prisoner labour;
although prisoners are specifically excluded from the provisions of the National
Minimum Wage Act 1998, the expectation is that the prisoner should be paid
at the minimum wage. However, it is recognised that prisoners are likely to
require a period of training on first entering a paid work placement. When this
is appropriate, there should be a clear path from initial placement until the point
at which the National Minimum Wage or, if appropriate, the wage given to
employees who are not prisoners on ROTL, applies.
The period (mentioned above) during which a wage lower than the NMW
applies should normally not be longer than 3 months and would, in many
placements be less. The level of skill required to do the job will have a
significant impact on the length of this transitional period.
When a prisoner is in receipt of wages based on the NMW but the employer
provides other benefits such as transport or meals, a suitable deduction to the
prisoners’ wage may be agreed and should be noted in the Memorandum of
Understanding. Whilst any training wage applies, this should not be reduced
to take account of transport or meals which remain the responsibility of the
prison.
the employer must agree to apply identical terms and conditions of
employment relating to pay, holiday entitlement, sickness and other benefits,
grievance and disciplinary rules and procedures, and notice periods as apply
to other employees doing the same work; and
the employer will be responsible for paying the prisoner direct and for the
administration of deductions for tax and national insurance. These functions
must not be taken on by the establishment.
Child and Vulnerable Adult Public Protection Issues for placements
4.12
There are special provisions restricting work with children and vulnerable adults that
are set out in the Prison Public Protection Manual, which must be consulted before
approving any such placement. Some offenders will be barred from working with
children and/or vulnerable adults. Detailed guidance on the Children's Barred List,
the Adults’ Barred List and on changes to the disqualification order regime is set out
in PSI 05/2014 - PI 02/2014. This also sets out the process to be followed when
seeking information on the barred status of offenders, and its provisions must be
followed before any offender is placed anywhere where they will work with children or
vulnerable adults.
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Training or Education
4.13
This may include offender behaviour and vocational courses as well as life skills
courses which are not available within the establishments and which have been
identified as part of the offender’s sentence or development plan.
Maintaining Family ties
4.14
ROTL is one means of maintaining family ties, alongside visits and family days,
telephone calls and correspondence. As an offender approaches their release date,
spending time in the community with close family members with whom they have a
positive relationship, and particularly those with whom they will be living on release,
will generally contribute to resettlement. Close family members are children, partners,
siblings and parents but could extend beyond this, depending upon the strength of the
ties, and would certainly extend to any with whom the offender was living before
sentence and/or was to reside on release.
NB The safety of the child is the overriding concern in all decisions about ROTL where
the offender will be spending time with children, and the principles and relevant
actions governing offenders’ contact with children set out in the Public Protection
Manual must be followed.
4.15
Just because an offender has family living in the community does not mean that ROTL
to spend time with them will be in the interests of their rehabilitation. ROTL may be
considered only where this means of maintaining ties (ie temporary release) with the
family members in question has been identified as meeting resettlement needs in the
sentence plan. As with any ROTL the prisoner must say what activities will take place
during the ROTL and give feedback as required; and the duration of the ROTL must
be tailored to what is required for the activity. The need to maintain family ties will vary
significantly between offenders, depending upon their family circumstances. RDR to
maintain family ties should always begin gradually and may take place only once
every 14 days as a maximum. The maximum should be built towards gradually and
reached only where this is justified in the sentence plan; it is more likely to be justified
for those serving longer sentences. Exceptionally, this maximum might be increased
to once every 7 days in the case of offenders who can demonstrate that they are
ordinarily the primary carers of children under 16 or of a person aged 16 or over
requiring substantial care due to old age, infirmity or disability; provided it has been
agreed that the ROTL will add value in terms of sentence planning objectives during
the period covered by the application. Carers of people aged 16 plus must be able
to show that they were the primary carer before sentence or will need to undertake
that role on release and that they spent or will need to spend at least 20 hours per
week providing care (which is one of the eligibility criteria for Carers’ credit).
4.16
Offenders may have strong, positive and long-term relationships with non-family
members and time spent with them may also contribute to resettlement. Care needs
to be taken to ensure the genuineness of the relationship, the likelihood that the ROTL
will be conducive to the offender’s rehabilitation, and, as with any ROTL, to have a
clear idea of the activity that will be taking place during the release. Offenders must
not be allowed to spend resettlement release at the home of a recently discharged
ex-offender (except in cases involving the offender’s spouse or partner, parent, child,
brother or sister with whom the offender was living immediately before
reception).Where the ROTL board consider that there are good reasons for making
an exception to this rule, it must draw this to the attention of the decision-maker,
setting out the board’s reasons, together with any dissenting views, the report of the
offender manager and, if available, the views of the ex-offender.
Other activities linked to sentence plan or resettlement goals
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4.17
This may include normal, everyday activities in the community that can test key skills,
knowledge and confidence that offenders will need in order to act as law-abiding
citizens when they return to the community. It must be purposeful and, like all RDR,
clearly linked to the sentence plan/resettlement goals (although routine medical
appointments might also be included as a legitimate activity in their own right, or RDR/
ROR for other resettlement purposes might be timed to coincide with the
appointment). Generally, only a small number of such trips solely for such activities
will be necessary and towards the start of the ROTL process, except for offenders
who have specific learning needs or who have been in prison for a very lengthy period
and who might need more gradual re-introduction to the community.
4.18
General resettlement might also cover maintaining community ties although this would
normally include spending time in the area to which the offender will be released; eg
accessing local authority services and/or local charitable services, churches and faith
groups, and will therefore generally be more appropriate towards the end of sentence
and might be achieved during overnight as well as day release. Faith communities
can play a significant part in supporting some prisoners to resettle into the
community. As part of restoring links between the prisoner and wider community, it
may be beneficial in some circumstances towards the release date to allow prisoners
to attend worship outside the prison on a number of occasions before release to help
them adjust to the climate of non-prison worship and mixing with the community.
Chaplaincy teams can provide further advice and input to specific cases locally.
4.19
Where it has been identified as assisting with the offender’s resettlement in line with
their sentence plan, RDR to allow an offender to drive a prison vehicle may be
considered. The offender will be subject to the requirements on occasional drivers
set out in PSO 5400. They must comply with all the requirements of the Road Traffic
Regulations and Highways Acts and be responsible for all penalty charges which arise
as a direct result of their actions whilst driving a prison vehicle. Full details on how
to process any driving penalties are given in PSO 5400. The temporary licence of
any prisoner authorised to drive a prison vehicle must bear the following condition:
“You must comply with all the requirements of the Road Traffic Regulations and
Highways Acts and accept responsibility, including payment, for all penalty charges
which arise as a direct result of your actions whilst driving a prison vehicle.”
Eligibility for RDR
4.20
The following guidance shows how to calculate the eligibility date for RDR for
offenders serving determinate sentences. It must be borne in mind always when
calculating the RDR eligibility date that the eligibility date represents the earliest
possible date that an offender might have ROTL provided that a particular activity
facilitated by ROTL at that stage of the sentence meets an identified sentence plan
aim or objective. Where sentence plan objectives are being adequately met in other
ways, ROTL will not be appropriate at this stage of the sentence. In addition, other
factors may mean that RDR may not be taken when that date is reached. For
example, an offender may be covered by one of the exclusions in chapter 7 or a
Restricted ROTL offender who is not yet in open conditions, or a recently transferred
offender who must generally wait 3 months before taking ROTL.
4.21
Subject to the above eligibility provisos, a determinate sentenced offender will be
eligible for RDR either 24 months before the effective release date, or once they have
served half the custodial period (ie half of the number of days between the first date
of sentence and the effective release date) less half the relevant remand time,
whichever gives the later date. The reference to the effective release date must be
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PAGE 18
taken as meaning the latest halfway point of the sentences (ie. the effective parole
eligibility date (PED) or the effective conditional release date (CRD).
Example 1
An offender serving 3 years would have a conditional release date at the halfway point
of the sentence after 18 months. Eligibility for RDR would be at half of the custodial
period, i.e. 9 months after sentence because this is later than 24 months before the
conditional release date.
Example 2
An offender serving 12 years will have a CRD at the halfway point of the sentence
after 6 years. Eligibility for RDR would be 24 months before the conditional release
date after the offender had served 4 years, as this is a later date than half of the
custodial period, which would only be after 3 years had been served.
4.22
In performing the calculation, the following formula must be used:
1.
Calculate the number of days in the current custodial period (Date of sentence
to effective Conditional Release Date (CRD)/ Parole Eligibility Date (PED)**)
2.
Halve (1) (Rounded up)
3.
Calculate half of the relevant remand time that was applied to the sentence
(Rounded down)
4.
Subtract (3) above from (2) above
5.
Add the number of days at (4) on to the date of sentence (not the day before
date of sentence)
6.
The offender is eligible for RDR either two years prior to the effective
CRD/PED or the date at (5) whichever produces the later date (ie a date
nearer the effective release date).
N.B Effective CRD/PED is the current calculated date once all relevant
remand/tagged bail/UAL/ADAs etc have been applied.
Where there are multiple concurrent and/or consecutive sentences, the number of
days in the custodial period will be the number of days between the first date of
sentence and the effective CRD/ARD/PED, providing the offender has not been
released from one sentence before another one was imposed.
Example
i.
Offender A sentenced to 1461 days imprisonment on 01/01/2016. His CRD is
31/12/2017 (the halfway point of the sentence - of 731 days). He is eligible for
RDR (the halfway point of the custodial period rounded up to 366 days) on
01/01/2017.
ii.
Offender B was remanded on 01/01/2016 for 30 days and was sentenced to
1461 days on 31/01/2016. His effective CRD is 31/12/2017(the halfway point
of sentence less relevant remand time of 731 – 30 = 701 days). His RDR is
calculated by taking half the custodial period (rounded up) i.e. 701/2 = 351
less half the remand time of 15 days give 336 days. He is eligible for RDR
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PAGE 19
after serving 336 days from the day of sentence (i.e. day of sentence
31/01/2016 plus 336 days). His eligibility date for RDR is 01/01/2017.
Frequency and duration
4.23
The governor must decide the frequency and duration of any release on RDR in line
with this instruction. It is good practice to start with shorter, less frequent ROTL then
gradually increase duration and frequency towards the maxima set out in this
guidance, in line with the offender’s sentence plan and personal development as
reviewed by the offender supervisor and at ROTL boards. The duration of each
release must be no longer than is required to allow the activity to take place taking
account of reasonable travelling time.
4.24
Where Category C/closed Standard ROTL offenders are risk assessed as suitable for
regular day release, ordinarily their categorisation should be reviewed. There may be
some Standard ROTL cases though, where it would be preferable in terms of effective
resettlement for the offender to remain in closed conditions for a time; for example,
where the offender is accessing a programme which they cannot access readily from
another prison.
4.25
Offenders who have been assessed as suitable for release on Home Detention
Curfew before they become eligible for release on RDR, may be considered for one
period of RDR, before their HDC release, to undertake pre-arranged interviews for
work or college, where time allows. The normal risk assessment must apply.
Resettlement Overnight Release
4.26
The purpose of resettlement overnight release (ROR) is to allow offenders to spend
time at their release address re-establishing links with family and the local community.
Offenders can also use these temporary absences to facilitate interviews for work,
training or accommodation. As ever, each release must be justified in terms of the
sentence plan. In some cases it might be appropriate for the offender to continue to
take RDR at the same rate after they have been authorised to take ROR. In other
cases, the sentence planning objectives might be met solely by the ROR, or by the
ROR and fewer RDRs, where the latter had previously been authorised for the same
activity covered by the ROR.
NB The safety of the child is the overriding concern in all decisions about ROTL where
the offender will be spending time with children, and the principles and relevant
actions governing offenders’ contact with children set out in the Public Protection
Manual must be followed.
4.27
ROTL should always be introduced gradually and overnight release means placing a
considerable amount of trust in the offender. ROR should therefore generally take
place only after the offender has had successful RDR. In addition, no ROR should
take place earlier than 9 months before the release date in the absence of exceptional
circumstances, when it might be considered on occasion after the RDR eligibility date.
This is because ROR is so closely linked to release arrangements and should
generally take place only after the offender has been tested for a time on day release.
Each case must be considered on its merits but, all other things being equal, the
longer the period of imprisonment, the more likely it will be that more ROR towards
the maximum amount will feature in the sentence plan.
4.28
The following would amount to exceptional circumstances allowing ROR earlier than
9 months prior to the earliest possible date of release:
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

the offender has established that they are the primary carer of children under
16 or of a person aged 16 or over requiring substantial care due to old age,
infirmity or disability; and, in line with the sentence plan, the release is to
enable the offender to spend time with that person(s). Carers of people aged
16 plus must be able to show that they were the primary carer before sentence
or will need to undertake that role on release and that they spent or will need
to spend at least 20 hours per week providing care (which is one of the
eligibility criteria for Carers’ credit);
there is a key sentence plan opportunity linked to work, training or
accommodation that can only be facilitated by overnight release. Temporary
transfer to another prison should also be considered in such cases to facilitate
the interview etc.
Eligibility
4.29
A determinate sentenced offender will be eligible for ROR either 9 months before the
release date, or once they have served half the custodial period less half the relevant
remand time, whichever gives the later date. The reference to the release date must
be taken as meaning the latest halfway point of the sentences (ie. the parole eligibility
date (PED) or the conditional release date (CRD).
Example 1
An offender serving 2 years would have a conditional release date at the halfway point
of the sentence after 12 months. Eligibility for ROR would be at half of the custodial
period, i.e. 6 months after sentence because this is later than 9 months before the
conditional release date.
Example 2
An offender serving 8 years will have a CRD at the halfway point of the sentence after
4 years. Eligibility for RDR will be after 2 years but eligibility for ROR will be after 3
years and 3 months (ie9 months before the conditional release date), as this is a later
date than half of the custodial period.
Frequency
4.30
The following may apply for one ROR in each 28 day period during the eligibility period
(the first 28 day period for the offender commences on the day they are first released
on ROR):



4.31
Restricted ROTL male offenders in open conditions
Restricted ROTL female offenders in or suitable for open conditions
Standard ROTL male or female offenders in or suitable for open conditions,
The following may apply for a maximum of two periods of ROR in the 6 months prior
to release at CRD:


Standard ROTL Category C male offenders in closed conditions
Standard ROTL female offenders not assessed as suitable for open conditions
Duration
4.32
The decision-maker must decide the appropriate duration of any period of ROR. This
will not usually exceed a maximum of 4 nights.
ROTL Eligibility post recall (RDR and ROR)
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4.33
Subject to the various exclusions (eg around Restricted ROTL taking place from
closed conditions), a recalled offender is immediately eligible for RDR (and for ROR,
provided they are within 9 months of the release date or parole review date). As
always, there can be no ROTL without a successful risk assessment and the facts of
the recall will always need to be taken into account. Where a recalled offender is also
given an additional custodial sentence, the principles immediately following will apply.
4.34
If the CRD of the new sentence is later than the SLED/LED of the recall sentence,
fresh RDR and ROR eligibility dates should be calculated, based on the new custodial
period that has been created between the date the recall period started (or the start
date of the new sentence where that is earlier than the start of the recall) and the CRD
of the new sentence. The CRD in this scenario would be the effective release date,
and (subject to the risk assessment and sentence plan), any resettlement ROTL
should be planned in relation to that date in order to help to prepare for release. The
ROTL calculation formula should be applied to the custodial period in the usual way
but it should be noted that only the remand time from the new sentence is relevant to
the new RDRED calculation.
4.35
If the CRD of the new sentence falls before the SLED/LED of the recall sentence
then:
If the new sentence is less than 4 years no new RDRED should be calculated,
the offender is/remains eligible for RDR from date of recall.

If the new sentence is 4 years or more, the RDRED should be given as the
date 2 years before the CRD of the new sentence; ie the maximum eligibility
period of RDR for determinate sentence offenders.
ROTL after an adverse Parole Hearing
4.36
If the offender is unsuccessful at parole review, a fresh ROTL board must take place
before any further ROTL, taking account of the reasons for the parole refusal.
Governors must be satisfied that any risk identified by the parole refusal has been
fully addressed before further temporary release can take place. Providing the risk
assessment is favourable, ROTL may be continued, although not necessarily at the
same rate, if that is appropriate.
Childcare resettlement licence
Eligibility
4.37
Where it is established that offenders have sole caring responsibility for a child under
16 and they are not in the excluded groups (see Chapter7below), they are eligible to
be considered for temporary release under childcare resettlement licence (CRL).
Reflecting the unique position of the children of the sole carer, the purpose of the
licence is to encourage the maintenance of the parent/child tie and to help prepare
the offender for the resumption of their parental duties on release. If the child attains
the age of 16 whilst the offender remains in custody, the offender becomes ineligible
for childcare resettlement licence.
4.38
It will be for the offender to satisfy the governor that they are the sole carer, which
generally means that they can demonstrate that they were the sole carer of the child
immediately prior to their imprisonment and would be so if they were not in prison.
Where the caring responsibility was shared immediately before release, this criterion
will generally not be met
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4.39
Regular assessment of sole carer status must be undertaken.
4.40
The safety of the child is the overriding concern in all decisions about granting
childcare resettlement licence, and the principles and relevant actions governing
offenders’ contact with children set out in the Public Protection Manual must be
followed. Once it is established that the offender has lawful access to the child and
that the release will not put the child at risk, the best interests of the child more
generally must be taken into account. It is accepted that the children of sole carers
may face particular difficulties with separation from the sole carer, and some CRL may
be helpful as a supplement to prison visits and/ or family day events at the prison.
4.41
This subsection deals with eligibility to be considered for CRL. In all cases, release
is subject to risk assessment and there can be no childcare resettlement for male
Restricted ROTL offenders from closed conditions or female Restricted ROTL
offenders not yet assessed as suitable for open conditions. In addition, although there
is no minimum eligibility date for childcare resettlement licence, governors must bear
in mind the requirements of Prison Rule 9(5)/ YOI Rule 5(6) – see Chapter 3.1.2
above. No release may be made where it is considered that the release would be
likely to undermine public confidence in the administration of justice.
4.42
Governors must balance the interests of the child with the duty to maintain public
confidence. Where it has been established that the release is in the child’s best
interests, that will be a primary consideration but it does not over-ride all other
considerations. All cases must be considered on their merits. Cases involving
offenders whose offending has attracted a long sentence and/or who have been
convicted of serious violent or sexual offences, or any offence involving the death of
or serious injury of the victim, must be considered with particular sensitivity to public
confidence. Depending on the individual circumstances of the case, the earlier the
proposed period of CRL falls following conviction the higher the risk that granting CRL
would undermine public confidence.
Frequency and duration
4.43
Childcare resettlement licence may be taken no more than once every two months
and the maximum duration of each period of licence must not exceed three nights
away from the prison. Prison Rule 9(5) and the requirement to maintain public
confidence applies equally to the frequency and duration of the releases as it does to
the date of the release in relation to the period of sentence served. Governors should,
therefore, adopt a gradual approach; particularly where release is being considered
significantly earlier than the offender would be eligible to apply for resettlement day
release. In many cases a release on CRL would be the first ROTL for the offender.
It would therefore be good practice, as it is for any type of ROTL release, to build up
releases gradually from short day release (taking account of travel time) to the
maximum, over a period of time with a careful review of progress between each
occasion. Governors should not grant overnight release on the first CRL licence to
offenders who have little or no previous history of successful ROTL releases unless
a day release is impractical due to excessive travelling time. Eligibility to apply for
CRL does not fall away once a prisoner is eligible for ROR which means that an
offender who is a sole carer may be considered for both. This reflects the particular
circumstances of the child of a sole carer.
Risk Assessment
4.44
Release is subject to risk assessment in the normal manner (Standard or Restricted
as appropriate) and no release may be authorised where there is an unacceptable
risk of harm, re-offending or absconding. In terms of risk of absconding and the harm
that would arise as a result, it is accepted that this is greater in principle where there
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is a significant portion of the sentence still to be served. This may be outweighed by
countervailing factors, including the strength of family ties. When commissioning the
home circumstances report, governors must ask specifically for advice on any risk of
harm posed to the offender’s children in granting the release. If the release is to be to
the address of a person caring temporarily for the children during the period of
imprisonment, release is conditional on that person giving permission for the offender
to be released to that address.
4.45
Where children are in Local Authority care, governors must obtain the approval of the
Local Authority before allowing the release (or series of releases).
Special purpose licence (SPL)
4.46
This is a short duration temporary release, often at short notice, that allows eligible
offenders to respond to exceptional, personal circumstances and to wider criminal
justice needs.
Eligibility
4.47
All offenders, except those who are excluded from ROTL (seeChapter7below) and
those subject to restricted ROTL (see 4.47 immediately below), may apply for
temporary release on SPL at any point of the sentence. There is no minimum eligibility
period. All releases for this type of licence are subject to the normal risk assessment
process, including home circumstances report and/or victims issues where
appropriate, although with emergency medical treatment SPL the processes will be
accelerated where the offender has not already been assessed by a board as suitable
for unaccompanied SPL for medical treatment. Emergency medical treatment SPL
must be accompanied by at least one member of staff until a board has confirmed
that the offender is suitable for unaccompanied SPL for emergency medical treatment.
For a Restricted ROTL offender, this includes completion of the EBM case-file review
and obtaining comments from the offender manager.
4.48
Offenders subject to Restricted ROTL must be in or suitable for open conditions and
in a prison that offers Restricted ROTL before being considered for SPL, except in the
following circumstances:



the offender needs medical treatment in the community (escort will be required
for any other reason, eg funeral); and
a senior manager chaired ROTL board has sat; and
the governor or deputy governor has agreed accompanied SPL is appropriate
in all the circumstances including, in particular, that the offender will comply
with the accompanying officer’s instructions at all times, there is no evidence
of any kind to suggest that the offender will use this opportunity to attempt
“escape” AND the prisoner’s physical condition makes escape very unlikely.
Where all of these criteria are met, the offender may be granted SPL but must be
accompanied by at least one member of staff at all times. A full security escort is
required unless and until these criteria are met.
Frequency
4.49
SPL may only be issued in response to a specific event or set of circumstances that
would not usually require release on a regular basis. However, the circumstances of
each request must still be carefully considered. If an offender is applying for
temporary release to undertake similar activities on several occasions under a special
purpose licence, governors should consider whether this is the expression of a
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resettlement need that should be met by means of structured resettlement activities
instead.
Duration
4.50
The duration of any temporary release on SPL should normally be of no more than
the few hours needed to achieve the stated purpose. Reasonable travelling time must
be taken into account.
4.51
The governor has discretion whether or not to allow a licence to cover overnight
absences. The maximum duration of this licence should ordinarily be no more than
four nights in every 28 days although, exceptionally, the governor may agree to grant
back-to-back licences.
4.52
There is no limit on the number of renewals of SPL where an offender is receiving inpatient treatment in hospital.
Grounds for special purpose licence:
Compassionate
4.53
Acceptable reasons for granting SPL on compassionate grounds are:

visits to dying relatives, funerals or other tragic personal circumstances;

for offenders who, on reception, have established general parental
responsibility for a child under 16, to deal with emergencies relating to their
parental duties.

for offenders, who on release will have sole caring responsibility of an elderly
or severely disabled relative, to deal with emergencies relating to their caring
duties. Regular assessment of carer status must be undertaken.
4.54
Temporary release should normally be granted for offenders to visit close relatives
who are terminally ill or to attend funerals of close relatives. A close relative is defined
as the offender’s spouse/life partner (including a person of the same gender – with
whom the offender was living as a couple in an established relationship immediately
prior to imprisonment), parent, child, brother, sister (including half – or step – brothers
and sisters), fiancé or fiancée (provided that the governor is satisfied that a bona fide
engagement to marry exists), or a person who has been in loco parentis to an
offender, or to whom the offender has been in loco parentis. However, governors will
want to take account of other close caring relationships that may occur in extended
families. It is for the offender to establish the closeness of the relationship. For any
visit to a terminally ill relative, it must be clear that the patient, if able to express a
view, wants to see the offender.
4.55
Governors must take account of the fact that, within some communities, funerals may
occur within 24 hours and the decision to grant temporary release must be taken at
short notice. The governor may wish to seek the view of the appropriate chaplain.
4.56
There may be other tragic, or exceptional, personal, or family circumstances, for which
temporary release on SPL might be considered. In cases of doubt, the DDC must be
consulted.
Medical
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4.57
SPL may be granted for offenders to attend medical out-patient appointments, or in
patient requirements. Where the offender is in open conditions or is a woman
assessed as suitable for open conditions, and there is a need for immediate medical
treatment but there has not been time to conduct a full ROTL board, SPL may be
authorised by the duty governor but the offender must be accompanied at all times by
at least one member of staff.
Marriage or civil partnership of the offender
4.58
SPL may be used for this purpose; equally, for an offender who is eligible for
RDR/ROR either form of ROTL might be used to facilitate a marriage or civil
partnership. A new PSI which provides more general guidance on the marriage or
civil partnership of offenders is about to be published and should be consulted for
further information. Where SPL is required for this purpose, the duration of the SPL
must be clearly defined and, ordinarily, the period of absence should enable the
offender to attend the ceremony or registration and no longer.
Inter-prison transfers
4.59
Standard ROTL offenders transferring from closed to open prisons, and Standard or
Restricted ROTL offenders transferring from one open prison to another, may do so
under licence, provided they pass the risk assessment.
Court, tribunal or inquiry proceedings
4.60
This includes cases where the offender’s presence is required, and those where it is
in the offender’s interests to attend proceedings such as tribunals, and family matters
in a civil court. If it is necessary for the offender to attend, but he or she fails the
acceptability or risk assessments, then he or she must be produced under escort.
Where a prison has been ordered to produce an offender to court it is often expected
that the offender will be escorted to court. If it has been decided to allow the offender
to attend under SPL, the requestor must be notified in advance that the offender will
be attending on ROTL rather than under escort so that the court is aware.
Conferences with legal advisers
4.61
Offenders must not be released or escorted to attend legal conferences outside the
prison unless this is necessary. Legal Advisers should instead attend the prison for a
legal visit under Rule 38 (YOIR 16). Exceptional situations where the offender might
be allowed to consult his or her legal adviser outside the prison include:


a large number of other parties, other than employees of the legal adviser,
need to attend;
minors, other than the offender, need to attend; or

there are no appropriate visiting facilities at the establishment.
Additionally, there may be instances where consulting a legal advisor is directly linked
to resettlement needs, for example in relation to buying property, and could therefore
be conducted during RDR or ROR if the offender is eligible.,
Production of offenders at the request of warranted law enforcement agencies
4.62
Instructions for producing an offender at the request of the police are contained in PSI
26/2012. Whenever an offender is required to be taken in custody outside a prison,
they must be kept in the custody of a prison officer, offender custody officer or a police
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officer. This instruction ensures that when an offender is produced and handed over
to any warranted law enforcement agency it is lawful, the offender is kept safely and
securely in custody at all times and returned to prison custody within the pre-agreed
time parameters. Governors/Directors will only authorise production applications if
they are satisfied that such a production is desirable and in the interests of justice or
for the purpose of any public enquiry.
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5.
ROTL Procedure
5.1
The procedure set out below is that to be followed in Standard ROTL cases. The
procedure for Restricted ROTL cases builds upon this and where extra elements are
required this is clearly indicated below. Flow charts showing the steps for the following
processes are at Annex C.




First planned ROTL and requests requiring fresh board (Standard)
First planned ROTL and requests requiring fresh board (Restricted)
Review process for repeat requests not requiring a board (Standard and
Restricted)
Emergency medical treatment SPL (Standard and Restricted)
Stage 1 - The Application
5.2
The first actions in relation to ROTL applications should take place before the offender
applies. From now on, ROTL must be a standing item in all sentence planning
meetings starting with the one that takes place immediately before the offender
becomes eligible to be considered for resettlement day release (RDR). In addition,
for offenders who are in scope, there must be a completed, up to date OASys
available.
5.3
In order to maximise the potential benefits of ROTL in assisting with resettlement it is
important that the offender has a real understanding of why the release is being made,
what aspects of their sentence plan are being addressed and to reflect upon the
outcome of the leave. The starting point for this process for all resettlement ROTL is
for the offender themselves to apply using the ROTL-APP form included at Annex D
which lists and includes all the new ROTL forms. With emergency medical treatment
there will be no application and prisons may conduct boards to assess suitability for
SPL for emergency medical treatment at local medical facilities as soon as the
necessary information is available. Until a board has taken place that confirms that
the offender is suitable for unaccompanied ROTL for emergency medical treatment,
all such ROTL must be accompanied by at least one member of staff and the offender
manager must be notified that the ROTL has taken place.
5.4
Establishments must make special arrangements for offenders who may find it difficult
to understand the requirement to make the link with the sentence plan. Such
offenders might need particular help until ROTL has been fully integrated with
sentence
planning.
5.5
It must be made clear to all offenders that, although it is their responsibility to apply
for resettlement ROTL, only activities which have been agreed as part of sentence
planning may be considered. An offender wishing to apply for resettlement ROTL (and
not for a special purpose licence) must first ensure that the activity is covered in the
plan and may need to consult their offender supervisor where this is in doubt, before
making an application. The offender must also indicate, following consultation if
necessary, how they propose to travel to and from the ROTL address.
5.6
It should also be made clear to the offender applying that they will be expected to
complete a ROTL Feedback report (Annex D). This should be completed after every
instance of ROR and after a locally agreed number of RDRs; for example once per
month. The purpose of the feedback form is to ensure that the offender gets the most
out of the release, and that activities remain purposeful and linked to sentence plan.
The board should recommend when a feedback form should be completed.
Stage 2 – Input from external agencies
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5.7
The decision to grant a period of ROTL is the responsibility of the governor (or
member of staff identified as competent to take the decision in their absence). This
decision cannot be delegated to any other agency, but the offender manager (or CRC
responsible for the case) must always have the opportunity to offer information and
views about the proposed temporary release that can be fed into the risk assessment.
The police must always be consulted by the offender manager in Restricted ROTL
cases and, where a ViSOR record exists it must be checked for risk related
information/intelligence. ViSOR is a national confidential database that supports
MAPPA. It facilitates the effective sharing of information and intelligence on violent
and sexual offenders between the three MAPPA Responsible Authority agencies
(police, probation and prisons), as well as the recording of joint risk assessments and
risk management plans. ViSOR assists in the end to end management of specific
offenders and improves the capacity to share intelligence and improve the safe
transfer of key information when offenders move areas. ViSOR is to be used by
MAPPA Responsible Authorities in discharging their statutory responsibilities to
assess and manage the risks presented by known sexual and violent offenders. (PI
56/2014 – PSI 40/2014 Mandatory Use of ViSOR).
5.8
in:
No ROTL may be approved without sight of the offender manager/CRC’s comments



Restricted ROTL cases;
any (Standard or Restricted) resettlement overnight release (ROR)
application; and
any (Standard or Restricted) cases where the temporary release is to the
offender’s home address or home probation/CRC area.
In all other cases, receipt of NPS/CRC comments is not mandatory prior to a decision,
but the ROTL-Board-Review form must be marked to indicate that the comments have
been sought, and whether any comments are attached. Police comments are not a
mandatory requirement in any case but, again, the ROTL-RISK must be marked to
indicate where they have been sought. Additional guidance to prisons on consulting
external agencies about offenders who are serious organised criminals is contained
in an official sensitive Senior Leaders Bulletin which will be issued shortly after the
date that these Instructions are issued.
5.9
New forms for seeking the views of the offender manager and the police have been
devised and can be found under Annex D. The principle is that, in addition to checking
existing ViSOR records for risk related information/intelligence, the prison will seek
comments from the offender manager/CRC in the area to which the offender will
ultimately be released (“the home area”), who in turn seeks comments from the police
in that area, as the police there will most likely have information about them. The
Prison Admin Hub must send out the ROTL-OM with the ROTL-POL to the offender
manager or to the CRC responsible for the offender four weeks before the prospective
board date. In each of the forms, the prison must fill in the basic details about the
proposed release before sending to the offender manager/CRC.
5.10
For first ROTL and first ROR in Restricted ROTL cases, when the offender manager
receives a ROTL-OM they must immediately send the accompanying ROTL-POL to
the police in the “home area” and invite comments within three weeks. The force
consulted may need to check with the area where the index offence took place and/or
where the ROTL is to take place, if either is not the “home area”. If no response is
received after this time, the offender manager/CRC must return the completed ROTLOM R (within the overall four weeks deadline) indicating that police comments have
been sought but none have been received. In relation to other ROTL applications –
ie repeat ROTL - the OM should contact the police in the home area, sending a further
ROTL-POL if necessary, in any case where they consider that the police will have
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additional information (ie to what has previously been sought) to assist them in
commenting on the application.
5.11
Although the CRC will receive a ROTL-OM (and ROTL-POL) for every Standard
ROTL application, in case they have comments to offer, comments are only required
and must be made where the application is for resettlement overnight release (ROR)
or in any other case where the ROTL is to the offender’s home address or home area.
In Standard ROTL cases, the ROTL-POL should only be forwarded to the police
where the CRC considers that the police will have specific information to add to the
risk assessment. For example, where the current or previous offences indicate a
history of domestic violence or other safeguarding concerns (children or vulnerable
adult). In a Standard ROTL case which is not ROR or in the home area, if the prison
receives no completed ROTL-OM form by the four week deadline, it will be assumed
that there are no comments.
Further requests for information
5.12
When sending a ROTL-OM in relation to further ROTL requests, the prison should
indicate on the letter if a previous ROTL-OM has been completed by NPS or CRC
giving the date so that they can review whether updated information is required or
whether the initial information provided remains current.
5.13
The multi-agency public protection arrangements (MAPPA) established in each of the
42 police force areas in England and Wales ensure that agencies’ resources are
directed in the most effective way to manage the risks presented by MAPPA eligible
offenders living in the community. Under MAPPA, the Police, Probation and Prison
Services are required to work together, as a “responsible authority”, to assess and
manage the risks presented by known sexual and violent offenders. Where it is
required, MAPPA-eligible offenders will be actively managed via MAPPA meetings.
Given that they are in custody and allowed out only for brief periods following thorough
risk assessment, it is very unlikely that many offenders qualifying for ROTL will require
active MAPPA management during ROTL. However, it is essential to involve the
MAPPA agencies in the Restricted ROTL process, particularly the provision/exchange
of information, before the ROTL decision is made. Use of ViSOR and the ROTL-OM
and ROTL-POL forms ensures that any of the three services in the responsible
authority can determine whether or not specific referral to a MAPPA risk management
meeting may be necessary at any point to consider the ROTL.
5.14
The National Probation Service is required to contact the victim or victim’s family
where an offender has been convicted of a sexual offence, or other violent offence,
where a custodial sentence of at least 12 months was imposed. There is also
discretion to offer contact in cases where the offence does not meet the statutory
threshold, but where the National Probation Service believe there is a public interest
in offering victim contact. Victims in the Victim Contact Scheme (whether discretionary
or statutory) are offered the opportunity of being contacted at key stages in the
offender’s sentence, to be informed of significant changes and consulted about
conditions of release. Prisons must check if victims are in the Victim Contact Scheme,
and where such contact is established, governors must ensure that relevant
information is fed into considerations of ROTL including the setting of licence
conditions. It will be the responsibility of the OM or OS to obtain the victim’s views
and representations from the victim liaison officer (VLO). The forms sent to offender
managers require them to ensure that the VLO is consulted before any comments are
returned to the prison.
Enquiries of Home Office Immigration Enforcement
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5.15
Chapter 10 below sets out the requirements for consulting HOIE in relation to
temporary release for foreign national offenders.
Enquiries of Healthcare
5.16
There is no requirement to medically examine all offenders before release on ROTL
but it is good practice in cases of ROR that a check be made with Healthcare before
each ROR to ensure that those offenders with identified needs will have access to or
know how to access the treatment that they will need during release.
Stage 3 - The Risk Assessment Board
5.17
The ROTL board must comprise:




A manager deemed competent by the governor to chair;
A personal officer or other prison officer who has knowledge of the offender –
please note that attendance could be in person or via a report ;
A seconded probation officer or offender supervisor who knows the offender;
and
Administrative support as required
5.18
The board may invite the prisoner to attend for all or part of its consideration.
5.19
The following information must be considered by the board before reaching its
recommendation:










Records of previous custodial sentences;
List of previous convictions, including spent convictions;
Latest OASys report (including latest sentence plan);
Any comments from the offender manager, police or other agencies plus (in
Restricted ROTL cases) relevant information from ViSOR and notification that
the offender is currently managed at MAPPA Level 2 or 3;
Offender feedback on the most recent ROTL/period of ROTL (where
previously requested by a board);
Employer feedback on the most recent ROTL/period of ROTL (where
applicable);
Latest Parole Report (if applicable);
Representations made by the victim;
Any current security information; and
Any current PNOMIS case notes
The following information is optional (as it will be less helpful with those serving longer
sentences):





5.20
Probation pre-sentence report (where prepared);
Probation Post-sentence interview (where prepared);
Court committal warrant;
Other court reports;
Police post sentence report (only for serious or violent offenders);
The documents must accompany the ROTL risk assessment form (ROTL-RISK) to
form a ROTL dossier to be available to the board and a recommended checklist has
been produced to assist this process with a copy at Annex D. The ROTL-RISK form
highlights the pertinent facts for the risk assessment that may be gleaned from the
documents at 5.19, as well as other information relating to the offenders time in
custody, and should be completed by the offender supervisor. Pertinent facts are all
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those that demonstrate the level of risks of harm, re-offending, non-compliance and
public acceptability that are raised by temporary release in principle but with a focus
upon the risks associated with the particular release requested.
5.21
The next step is for the case administrator to complete part 1 of the ROTL BoardReview form. This is the form that records the board and decision-maker’s
assessments. This is followed by the offender supervisor completing part 2 of the
ROTL Board-Review form, which allows the OS to give an update on key factors
where some time has elapsed since completion of the ROTL-RISK, but also to give a
view on the link to the sentence plan. The ROTL board must then convene to consider
this update together with all elements of the ROTL-RISK in conjunction with the
backing documents and any personal testimonies, in order to make appropriate
recommendations - including licence conditions to mitigate risk - supported by the
evidence. The chair must then record the board’s reasoning and make a final
recommendation in part 3 of the ROTL Board-Review form. It is very important that
clear reasoning is given for any recommendations and the relevant evidence
highlighted so that the decision-maker can quickly access the pertinent information if
necessary.
5.22
The ROTL dossier must then be considered separately by the governor or a Senior
Manager deemed competent for the task by the governor. It is of utmost importance
that there is a clear separation of duties between the ROTL board chair, and the
final decision maker.
The decision-maker must assess the board’s
recommendation, including the appropriateness and relevance of proposed licence
conditions. They may refer the case back for further information, or to amend
proposed license conditions. Ultimately, they must highlight the reasons supporting
their decision to either approve or reject the board’s recommendation, recording the
decision in part 4 of the ROTL Board-Review form.
5.23
A fresh ROTL Board-Review form must be prepared for each board but a ROTL-RISK
needs to be prepared for a board only in the following circumstances:
a.
b.
c.
For the first ROTL application; or
In any case where no ROTL-RISK has been completed in the previous six
months; or
Whenever there has been a significant change in circumstances that would
affect the risk assessment. This would include when an offender re-applies
for ROTL following a suspension of ROTL (for whatever reason).
5.24
ROTL may be authorised for up to 6 months in advance, although in some cases,
particularly at first, a shorter initial period followed by board review will be appropriate).
Length of time until next board should be set in part 3 of the ROTL Board-Review
form. Where the offender submits a repeat request during the currency of the last
board (eg now submits a new date), an assessment should be made as to whether
further information or even a fresh board is required. A further form, at Annex C –
the ROTL-Release, has been produced to assist this process which is illustrated in
the Repeat Request flow chart at annex C. The principle is that the competent
manager authorising release and signing the licence will be able to assure themselves
that the new request is in scope of the original ROTL authorisation and that checks
have been made as to the offender’s behaviour since ROTL was authorised. The
ROTL Release review will also assist in initial ROTL decisions which have been taken
some time before the first licence is issued.
5.25
Provided all the necessary evidence is to hand – including any comments from
external agencies - a single ROTL board may consider applications for more than one
purpose of RDR at the same time, for example, where the offender will be working
and maintaining family ties in the community over the same period. There must be a
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fresh board for the first instance of each new type of ROTL, but a single board might
consider applications for more than one type of ROTL - eg RDR and CRL, or RDR
and ROR - where this is repeat ROTL and, again, provided that all the necessary
evidence is to hand and also provided that each activity is planned to commence
within a month of the board recommendation. Otherwise a separate board will be
required.
5.26
It is essential that the ROTL board process is supplemented by systems that ensure
that significant changes in risk or offender behaviour can lead to an urgent review of
ROTL currently authorised. There must be an agreed escalation route for any
significant information that is received to ensure that the duty governor is able to
suspend ROTL if necessary. There is an expectation that Security and OMU
departments will mutually share information to ensure critical decisions on ROTL can
be made.
What is extra for Restricted ROTL cases?
5.27
Applications from Restricted ROTL offenders must be processed as above but:








the decision must be made by the governing or deputy governor;
the board must be chaired by a senior manager deemed competent for the
task by the governor (this could, exceptionally, include a senior probation
officer);
the offender supervisor must be probation qualified1 (NB any establishment
unable to meet this requirement by 1 July 2015 must agree with the Deputy
Director of Custody interim alternative arrangement pending appointment of
probation qualified staff);
the board must have a record of the views of the offender manager;
the board must have before it an indication of whether the victim of the index
offence has made any representations in relation to the release, including any
request for conditions to be attached to the release;
the board must have available the EBM case file review - see immediately
below)
where the offender has been managed under EBM, the board must have
available any information from the EBM monitoring process,
at least the first three RDRs must be supervised or accompanied.
EBM Case File Review
5.28
A case file review must be conducted by forensic psychologists on all offenders
subject to Restricted ROTL when they arrive in open conditions. This is to establish
their suitability for EBM.
Identification and referral to psychology
5.29
The Risk of Serious Harm level and the MAPPA status of every new reception must
be identified within 5 days of their arrival, in order to determine whether they require
an EBM case file review.
5.30
Any offenders who are identified as high or very high Risk of Serious Harm on the
current OASys, and / or who are flagged as MAPPA cases (irrespective of whether a
1
In the PSP, probation qualified is defined as the post holder (probation OS) being in possession of
a Diploma in Probation Studies or an equivalent qualification recognised by the NPS. In the private
prisons the Director must be satisfied the post holder (probation OS) is 'suitably qualified' and in
possession of a Criminal Justice Qualification.
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category and/or level have yet been allocated), should be identified as requiring an
EBM case file review, and should be referred to psychology (via the regional
psychology functional mailbox) in order to trigger the EBM case file review to be
undertaken. Contact details are in Annex E.
5.31
The psychologist allocated the work will gather together the relevant documentation
(OMU file including most recent parole dossier; psychology file; security information,
P-NOMIS, etc.) and undertake a review of the risk issues in the case. The case review
will inform the need for EBM and will be written up into a document (‘EBM Case File
Review’) that will be sent to the offender supervisor. This review will be completed
within 4 weeks of the offender’s arrival date at the open prison.
5.32
The content of the EBM case file review must be considered when reviewing the
OASys assessment and by ROTL boards. It is a mandatory requirement that, on
receipt of the completed EBM case file review, the offender manager or supervisor
(as appropriate) then reviews the OASys, using the information from the EBM case
file review to inform the OASys review. Where risk management issues have been
identified these must be included in the Risk Management Plan. The OASys review
must be completed within 8 weeks of receipt of the EBM Case File Review.
5.33
If an offender is identified as suitable for EBM, they will be managed under EBM for 6
months. All relevant information from EBM will be fed into ROTL process.
Stage 4 - Notification of the decision to the offender
5.34
The offender must be informed of the final decision through the completion of a ROTLDEC form. This form should also be used to inform the offender of any significant or
unexpected delay in processing the application due to the need to gather further key
information.
5.35
The governor must ensure that offenders are given reasons for any unsuccessful
applications for temporary release and in confidence. It must be clear from the form
whether the application has been granted, refused or whether it has been put on hold
pending further information. The reasoning given must be clear and full. Failure to
give full written reasons for a refusal can lead to unnecessary and costly legal
challenge. Particular care should be taken in delivering adverse news to any offender
with an open ACCT.
5.36
The governor must, when requested by the offender, disclose all information used
during the risk assessment process, except in the following circumstances;




in the interests of national security;
for the prevention of disorder or crime, including information relevant to prison
security;
for the protection of anyone (offender, victim or third party) who may be put at
risk if the information is disclosed; or
if, on medical or psychiatric grounds, it is felt necessary to withhold information
where the mental and/or physical health of the offender could be impaired.
5.37
This information must not automatically be withheld from the offender. Consideration
must be given to disclosing the information, either in summary, or in an edited form
that protects the anonymity of the person providing the information.
5.38
Governors should be aware that, under the Data Protection Act 1998, offenders are
entitled to request a copy of all their personal data. The Prison Service has a statutory
duty to disclose such data, subject to a number of exemptions. PSI 44/2014 –AI
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28/2014 - PI 61/2014– The Data Protection Act 1998, The Freedom of Information Act
2000, Environmental Information Regulations 2004 gives further information.
Disclosure of victims’ views to offenders
5.39
Where victims would prefer their views NOT to be disclosed to offenders, they must
make representations to the governor for consideration. Should the governor decide
against the representations, the VLO/supervising officer must be informed of the
decision promptly so that the victim can be given the opportunity to reconsider whether
they wish to withdraw the representations or consider whether the information could
be provided in another way – such as in an anonymous form, or a gist or an update
from the offender manager. Governors must follow the protocol governing the use
and disclosure of victim’s views’ information as detailed in Chapter 11 of PSO 2205
Offender Assessment and Sentence Management – OASys.
Procedures around disclosure
5.40
The governor must decide if information should be withheld from the offender. This
would usually be on the recommendation of the temporary release board considering
the application.
5.41
All report writers must be made aware that the general rule favours disclosure of their
comments to offenders, and they should be familiar with the criteria for withholding
information. The report writer must be requested to provide an edited or summarised
form, if necessary. Arrangements must be made to ensure that any document not to
be disclosed to an offender is filed separately.
5.42
Where offenders find it difficult to cope with written material, the governor must ensure
that sufficient time is made available for the formal disclosure. An offender who is
unable to read or write English must be given help to ensure that he or she is not
disadvantaged.
5.43
The disclosure process must be documented; this must include a list of the documents
that have been disclosed, or have been provided in an edited form, for the offender to
sign and space for offenders to make comments on the reports, or to make further
representations in support of the application. This information is then made available
to the temporary release board to assist in any further consideration of the application.
Where it appears that a factual error may have been made, it must either be corrected
by the establishment or referred to the outside agency, as appropriate.
5.44
If the offender is dissatisfied by any part of the disclosure process they should raise a
complaint through the Complaints procedure. The temporary release board should
be aware of any complaint and any action taken to resolve it. It may have to reconsider
its decision if new information emerges that could have materially affected the
outcome of its decision.
Stage 5 – Notify Police and Offender Manager
5.45
The police and the offender manager must be notified of the decision either way
using the new ROTL-NOT form at Annex D. The offender manager must, in turn,
notify the VLO(s) if there are victims in the Victim Contact Scheme and update
existing ViSOR records.
Stage 6 – The Licence
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5.46
A new all-purpose ROTL Licence (FORM ROTL-LIC) has been prepared and a copy
is at Annex D.
Standard conditions
5.47
The ROTL-LIC includes all of the standard licence conditions that must be applied in
every case and deals with the following:
A.
Purpose of the release
This ensures that the offender is restricted to the activities specified.
B.
Period of release
This ensures that the offender is aware clearly of when they must return to the prison.
C.
Address/venue for release
This ensures that the offender goes only where they need to be to fulfil the purpose
of the release. There is a new requirement that the offender must always take the
agreed route and mode of transport between the prison and the address. This will
generally be the most direct, unless a different route is preferable for reasons of travel
cost or known disruption, or where a further condition (i.e. an exclusion zone) conflicts.
D.
Alcohol use
This is banned in all cases as its entry to pubs, bar and clubs; although entry to
licensed premises whose primary function is not the sale and consumption of alcohol,
eg. supermarkets and restaurants, is permitted.
E.
Gambling and financial transactions
Offenders on ROTL are prohibited from any form of gambling and from entering into
financial transactions beyond those necessary for their resettlement needs, as
described in PSI 01/2012 – Manage Prisoner Finance.
F.
Internet use
Use of the internet during ROTL is generally permitted as the internet can be a useful
tool in resettlement. However, offenders must not update any social networking or
other sites with details of their whereabouts or activities without the express
permission of the offender supervisor. This will only be given where the precise details
and site are known and the actions support a key resettlement activity; eg job seeking
on business oriented sites. Any post must be cleared by the offender supervisor.
Non-standard conditions
5.48
In certain circumstances the extra precaution of additional requirements in the licence
may be considered appropriate. Governors must consider imposing such restrictions
in all Restricted ROTL cases, and in Standard ROTL cases as they see fit. For at
least the first three instances of RDR in Restricted ROTL cases the offender must be
accompanied/supervised and there must be an additional condition requiring the
offender to remain with and/or follow the instructions of the accompanying/supervising
officer at all times.
5.49
Any non-standard conditions must be justified by the particular circumstances of the
case – the particular risk factors presented by the offender or the particular release
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and designed to minimise the risk of harm, re-offending and non-compliance. They
might build upon the standard conditions, e.g. by being even more specific about
activities, timings etc.
5.50
One likely scenario where additional conditions will be needed will be to help to protect
victims against repeat victimisation by restricting when and where ROTL might take
place, for example by imposing inclusion or exclusion zones. For RDRs taking place
away from the home area the new, standard condition requiring the offender to take
an agreed route between the prison and the place where the activity is to take place
may be sufficient for these purposes, although there may be areas locally that you will
wish to prevent the offender entering. Conditions imposed must always be necessary
and proportionate to the risks at issue but the impact of the release upon victims must
always be considered and the benefits of the release to the offender and the public at
large in reducing re-offending weighed against how the release at this point will affect
the victim. Each case must be considered on its merits and in the light of any
representations from the victims, and comments from the police and the victim liaison
officer via the offender manager.
5.51
The ROTL board must make written recommendations to the governor about any nonstandard conditions or any other precautionary measures necessary within the
establishment or to be taken by the offender manager locally.
Process
5.52
In all cases where ROTL is authorised the licence will be created by the case
administrator (together with updating the ROTL Release form) and then signed by the
governor or any competent manager in advance of any period of release. The licence
signatory may have previously been involved in the case as chair or member of the
ROTL board or as the decision-making manager, or may have not been involved in
the case at all; their responsibilities are restricted to checking that the licence
accurately reflects the decision and that licence conditions are clear. If there are
concerns or new information relating to behaviour or security information then the
ROTL application requires review by a manager at the appropriate level, therefore in
Restricted ROTL cases this should be the governor or deputy governor. Where a
ViSOR record exists the licence conditions must be recorded in the appropriate
attachments (Supervisory Instruments – PI 56/2014 - PSI 40/2014 Mandatory use of
ViSOR).
Stage 7 - Review of long-term current authorisation
5.53
All establishments must have in place processes to ensure that significant changes in
the offender’s behaviour or circumstances will lead to a review of current ROTL and
to its suspension where necessary. In addition, there must be a process whereby
long term RDR (e.g. lengthy work or training placements) is reviewed to ensure that
the RDR remains in line with sentence plan objectives. It is recommended that
feedback from the offender is required and reviewed on a monthly basis, alongside
any feedback from employers or tutors.
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6.
Risk Assessment - Principles
Introduction
6.1
The Risk Assessment is the heart of the ROTL process. There is no entitlement to
ROTL; it is always a matter of discretion and that discretion may be exercised in the
offender’s favour only where there is not an unacceptable risk of harm, offending or
non-compliance during the release. By unacceptable, we mean unacceptable to a
reasonable person who will expect the decision-maker to have weighed the purpose
of the release against all relevant information available to indicate how the offender is
likely to behave if released for that purpose.
6.2
The focus is upon the particular challenges that the release will present and how the
offender will react to them – ie on the risks during the particular release arising from
the venue, timing, activity itself and people encountered. But this decision can only
be taken in light of a clear understanding of the risks of harm in particular that are
presented by the offender which is why those who generally present the higher risk of
harm because of the nature of their offending are subject to Restricted ROTL.
OASys
6.3
It is essential that an up-to-date OASys is used to assess risk for all offenders in scope
of OASys. This will be the core document on which to base ROTL decisions and
should also contain the latest version of the sentence plan which will help ensure
legitimacy of purpose.
6.4
Key to using OASys successfully is to ensure that it is a live document which is
updated following change or significant events. Transfer to an open prison is a
significant event. OASys needs to be updated once the offender arrives in an open
prison and after the EBM case file review has been completed by psychology (for
Restricted ROTL cases). Where a ViSOR record exists it should be checked.
Reviewing OASys must not be undertaken as a form filling exercise to satisfy the
requirement to update the assessment, but rather must be undertaken with the mind
set of re-assessing an offender's live risks. A good assessment will lead to an
improved understanding of the risks and key issues relevant to the individual at the
point of the assessment. The identified risks and issues should directly drive
decisions about the management of the individual.
6.5
When completed to a good standard the risk management plan in OASys should
become the basis of decisions on suitability for ROTL and for the specific purpose of
an individual's ROTL. A thorough risk management plan considers all elements of the
offender's offence-related risks and how these might manifest in open conditions as
well as when on ROTL in the community.
6.6
Using the OASys assessment and the risk management plan within it will enable
ROTL board chairs and decision-makers to make and record defensible decisions in
relation to ROTL.
Factors establishing or affecting risk that must be taken into account
6.7
The following is a list of factors that must be taken into account in assessing the risk
of release together with questions that should be considered in completing the ROTLRISK forms.
A.
Offence analysis
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The Offence Analysis is completed as part of OASys with linked identification of risk
factors; it should therefore form the basis of the ROTL assessment, where available.



Does the offender’s criminal history suggest any particular risks, such as a
history of violent response to confrontation, violence when drunk, drug abuse,
sexual offences in the home, domestic violence etc?
Are there any safeguarding concerns (child or vulnerable adult)?
Is there any information that ought to be obtained about previous convictions
or the current conviction? (It is important to have an accurate, official account
of the principal offence and not to rely on the offender’s recollection).
Does the criminal history suggest any pattern or trends?
Does the criminal history indicate a high likelihood of recidivism (re-offending)?
B.
Previous ROTL (and other relevant compliance) history


Has the offender breached a previous ROTL?
Has the offender ever been convicted of criminal offences whilst on previous
ROTL or whilst unlawfully at large having failed to return?
Is there any history of abscond or escape (from prison or other custody)?
Is there any history of breach of other (ie non temporary) licences, court orders
or bail?
If the offender has fallen ill on previous ROTL, has the condition now cleared
and is there any reason to expect a recurrence? Were there doubts about the
genuineness of the illness?





NB. Absconds and escapes from prison custody and serious ROTL breaches during
the current sentence will mean that the offender is excluded from ROTL (see Chapter
6)
C.
Behaviour/progress in prison



Has the offender’s behaviour in prison been tied in to OASys risk factors?
Does the disciplinary history indicate previous abuses of trust?
Is there any evidence of previous manipulation of staff? If so, are there signs
of repetition now?
Has the offender shown any violent temper or loss of control?
Has the offender tackled his/her offending behaviour in a positive and
successful way e.g. by participating in relevant offender behaviour
programmes?
If the offender was assessed as suitable for the programme but refused to
engage, what were the reasons given?
Is the offender denying a sex offence? If so this should normally be taken as
an indication of unquantifiable risk.
Is the offender denying a non-sexual offence? If so this will normally make it
more difficult to assess risk, although past events may give useful indications
How does the offender respond to stressful and confrontational situations?
How does the offender respond to positions of trust?
Is the offender likely to bring back contraband? E.g. drugs, into the prison or
is the offender believed to be under pressure from other offenders to bring
illicit items into the prison?








NB. Recent evidence (e.g. last 2 years) should generally carry more weight in
determining how the offender is likely to behave now.
D.
The position of known victim(s) and the community
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








Is the victim(s) living at the same home address as the offender?
If so, what is their attitude to the ROTL? Is the victim in any danger? The
wishes of any victim in the home who does not wish the offender to go there
on ROTL must be respected.
Is the victim in the Victim Contact Scheme (VCS)? The National Probation
Service has a statutory duty (under Section 69 of the Criminal Justice and
Court Services Act 2000, updated by sections 35-45 Domestic Violence Crime
and Victims Act 2004) to consult and offer to notify victims of sexual or violent
offences about release arrangements in all cases where the offender receives
a custodial sentence of 12 months or more. There is discretion to offer the
scheme to other victims.
If so, has the victim made representations about the release? Consideration
must be given to any such representations, including any request for additional
licence conditions. The offender manager must give a view on the conditions
requested.
Even if the victim has not opted into the scheme an assessment should be
made – on the basis of available information, including of their last know
whereabouts - of the likely impact upon them and upon previous victims if the
offender was released
Are there particular events or dates which need to be avoided e.g. the
anniversary of an offence.
Appropriate consideration and weight must be given to the concerns of the
victim and their request for licence conditions. Requests for reasonable
conditions that neither unnecessarily nor disproportionately interfere with the
legitimate purposes of the release should be considered favourably.
Occasionally, this may mean considering alternative destinations for
temporary release.
Will the offender suffer antagonism, or provocation from members of the local
community?
What information is available about the attitude of the community? Ill-feeling
towards the offender must not, in itself, prevent the ROTL, unless it is
foreseeable that it may lead to a breach of public order or undue stress for
victims or for the offender.
E.
Other specific Areas of Concern

Does the offender’s recent history indicate factors that might increase risk,
such as:
-
Drug abuse
Alcohol abuse
Mental disorder
Stress related illness
Institutional behaviour, i.e. s/he is normally a ‘good offender’ inside but
quickly breaks down after release.

Has the offender succeeded to a significant degree in addressing any of these
factors?
F.
Offender’s home circumstances (for resettlement release to the family home)

What issues, including financial pressure, will the offender and his/her family
face during the ROTL and how well are they likely to cope with them?
How realistic is the offender about being able to deal with these family
problems?
How realistic are the family?


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

Do the offender’s family want the offender to return home and will the family
need any support or advice?
Is the proposed address for an overnight release acceptable and have
appropriate arrangements been made?
6.8
Whilst consideration may be given to allowing offenders, where possible, to take
ROTL to fit in with family celebrations and religious holidays of particular significance;
particular care must be given to the fact that some offenders might be less likely to
return on time, or more likely to breach their conditions due to potentially higher stress
levels and a greater temptation to consume alcohol etc.
6.9
Some ROTL, particularly resettlement overnight release, can be a stressful
experience both for offenders and their families. There may be difficult readjustments
to be made both financially and emotionally, particularly after a long period of
imprisonment. Governors must be sensitive to the need for support or advice both
before and after the period of ROTL, particularly where there may be a risk of potential
self-harm. The check with Health care may provide a suitable opportunity to assess
this need.
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7.
Exclusions from ROTL and other restrictions
7.1
The following must not be considered for any form of temporary release:
•
•
•
•
•
•
Category A offenders (adult males) or restricted status offenders (adult
females/young offenders);
Offenders on the escape list;
Offenders who are subject to extradition proceedings;
Remand and convicted unsentenced offenders;
Sentenced offenders who are remanded for further charges or further
sentencing; and
Offenders held on behalf of the International Criminal Tribunal for the Former
Yugoslavia (ICTY), the Special Court for Sierra Leone (SCLS) or the
International Criminal Court (ICC).
Category B offenders
7.2
Category B offenders must not be considered for Resettlement Day or Overnight
Release.
Offenders with a history of escape, abscond or serious ROTL failure during the current
sentence.
7.3
In the absence of exceptional circumstances, offenders who are in closed conditions
are ineligible for a transfer to open conditions; or to be afforded category D or “suitable
for open conditions” status; or to take ROTL, if they have, during the current sentence:
a.
b.
c.
d.
Absconded or attempted to abscond from open conditions; and/or
Failed to return from a period of ROTL*; and/or
Been convicted of a criminal offence that took place when they were on ROTL;
and/or
Escaped or attempted to escape from a prison or escort.
* The definition of a failure to return is as follows –
where an offender has failed to return to an establishment from ROTL and Unlawfully
at Large (UAL) contingency plans have been activated, including notification to the
police, unless the offender surrenders to prison or police custody later the same day,
or other exceptional circumstances apply (e.g. where following further enquiries, the
governor is satisfied that the offender was unable to return as required due to
circumstances beyond their control).
Offenders with an absconding etc. history - exceptional circumstances
7.4
Transfer to open conditions - No exception will be made in relation to any offender
serving a determinate sentence of any description.
There is a very strong presumption that an ISP with an absconding history as part of
their current sentence will not be eligible to return to open conditions. However,
exceptionally, the offender might be assessed as to their suitability for open conditions
(once they have completed their tariff) at the next, and each successive, parole review
- but only if the Secretary of State considers that the case meets the following criteria:

the offender has made significant progress in reducing their risk of harm and
risk of abscond such that a further abscond is judged very unlikely to occur;

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AND they meet one or more of the following exceptions

there are compelling circumstances beyond their control which make a
placement in open conditions necessary; or

a placement in open conditions is absolutely necessary, in that their need to
provide evidence of reduced risk for parole reviews and their need for
resettlement work cannot be met in a progressive regime in closed conditions;
or

preventing the offender returning to open conditions would in all the
circumstances be manifestly unjust/unfair.
7.5
It will be for NOMS to make the assessment as to whether the test of exceptional
circumstances is met in each given case of an ISP with an abscond history, so the
Secretary of State will ask the Parole Board for advice on transfer as part of the ISP's
next parole review only where NOMS decides that the test is met. Thus, Public
Protection Casework Section (PPCS) will make it very clear where a case is being
referred to the Board only for the purposes of holding an Article 5-compliant review to
determine whether the offender should be released - and not for advice on transfer to
open conditions.
7.6
The progressive regime in closed conditions referred to above has been specifically
designed for ISPs with an abscond history who are unable to satisfy the tests of
exceptional circumstances, in order for the Secretary of State to seek the advice of
the Parole Board on their suitability for release. The regime is being designed so as
to encourage offenders to take more personal responsibility to produce the evidence
which they need to secure release from custody on completion of tariff, in which they
will be supported by relevant interventions and by appropriately trained staff. There
will be a secure perimeter fence, in accordance with Category C conditions. There
will be no entitlement to ROTL other than in exceptional circumstances.
7.7
NOMS will ensure that report writers draw from evidence in the progressive regime
when providing Parole Board Panels with their assessment and recommendations for
the offender's post-tariff parole review. Again, it will be for NOMS to assess whether
an offender is suitable for a place in the progressive regime in Category C conditions,
and NOMS will produce guidance for report writers to ensure that they understand
that the progressive regime operates in parallel to an open conditions regime from
which an ISP with an abscond history is excluded.
7.8
ROTL from closed conditions for offenders with an absconding history- Standard
ROTL offenders may be considered for special purpose licence (SPL) provided that
they have made significant progress in reducing their risk of harm and risk of abscond
such that a further abscond is judged very unlikely to occur. Restricted ROTL
offenders may be considered for SPL for medical treatment only in the very specific
circumstances set out at 4.48 above. Standard or Restricted ROTL offenders may be
considered for childcare resettlement licence (CRL) provided that all the criteria of
CRL are met and the offender has made significant progress in reducing their risk of
harm and risk of abscond such that a further abscond is judged very unlikely to occur.
No offenders will be eligible for resettlement day or overnight release.
7.9
ROTL from open conditions - Those with an absconding history who have transferred
to open conditions exceptionally since 21 May 2014, and/or who have been allowed
to remain in open conditions following the implementation of the absconding history
policy, may be considered for ROTL in the usual way (Standard or Restricted)
although they should all have an EBM case file review completed, and be considered
for EBM, before any ROTL may be authorised.
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Offenders on Basic level IEP
7.10
No offender on the Basic level of the Incentives and Earned Privileges scheme may
be released on temporary licence in the absence of exceptional circumstances.
Where the offender might lose an employment or training opportunity that has been
identified as a key part of the sentence plan, or the application is for childcare
resettlement licence or special purpose licence, the circumstances might be so
compelling as to justify an exception being made. But due regard has to be given to
the reasons for the current Basic status and specific consideration given to whether a
security escort might be required. In addition, the purpose of this change in the policy
is to encourage compliance with the regime. Unless the circumstances are
particularly compelling, consideration should instead be given to the benefits in terms
of development of the offender being allowed to earn a higher IEP status and therefore
the opportunity to undertake ROTL. Governors must seek approval from their Deputy
Director of Custody before approving any resettlement ROTL for an offender on Basic
level IEP.
Geographical limitations
7.11
Offenders may not be considered for release on temporary licence to any place
outside the United Kingdom, Channel Islands and the Isle of Man other that in the
most compelling compassionate circumstance such as where a life would be put at
risk but for the release, and where the risk of harm and non-compliance are assessed
as very low. If a governor considers that they have such an exceptional case, the
ROTL helpline should be contacted in the first instance.
Offenders in contempt of court
7.12
Offenders who are serving a term for contempt of court may not be granted temporary
release except with the permission of the clerk of the court concerned.
Minimum time in prison
7.13
All offenders must spend at least one block of 24 hours per week in prison. In
exceptional circumstances, Governors may consider setting aside this requirement,
but they must do so only after consultation with their DDC. Any exception to the “24
hour rule” must be recorded in a separate log. The 24 hour rule does not apply to
offenders on CSV, C-Far and Prince’s Trust placements or those released on SPL for
medical reasons.
ROTL after transferring between prisons
7.14
All offenders who transfer to a prison of a lower category may not take any ROTL until
3 months after arrival in the new prison (save for exceptional circumstances). This is
to ensure that the new prison has time to assess the impact that the greater
responsibilities in less secure conditions has on the offender and to ensure that this
is taken into account in ROTL decision-making. Offenders might apply during the 3
months in accordance with local policies but no release may be made until after 3
months has expired. Again, this should not be understood to imply that ROTL will
take place immediately after 3 months and it must not take place until all necessary
risk assessment has been completed. This will generally apply regardless of whether
ROTL has already commenced in the previous establishment.
Exceptional circumstances
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7.15
Offenders may be risk assessed and released on ROTL within this three months
period where the application is for childcare resettlement licence or special purpose
licence. An exception might also be made in relation to offenders who have already
begun to take resettlement ROTL before transfer to facilitate a particular work, training
or accommodation opportunity that has been identified as key to the offender’s
sentence plan or resettlement goals, and where ceasing ROTL will mean that the
particular placement will be lost. Such cases will be rare. In the case of offenders
subject to Restricted ROTL being released on resettlement ROTL in these
circumstances, the reasoning behind the decision to make an exception must be
recorded in the ROTL-RISK and endorsed by the governor or deputy governor.
Finally, an exception might also be made where an offender moves to a more secure
establishment for reasons not related to increased risk or non-compliance, eg where
the transfer is to access a programme or activity that is not available in the less secure
establishment. Such cases may be treated as level transfers on return to lower
security.
Level transfers
7.16
Where the transfer is between establishments/units of the same security category,
ROTL may be taken within the first 3 months. Local policies will apply at the receiving
establishment, but any offender should expect to have ROTL suspended for a period
whilst they settle into the new prison and staff there are able to assess the risks of
further ROTL.
7.17
All women's prisons now have a focus on resettlement. Women who are assessed
as suitable for open conditions may move to an open prison on a level transfer
basis and the three month rule won't apply. However, local policies will apply at the
receiving establishment, and any offender should expect to have no ROTL for a period
whilst they settle into the new prison and staff there have chance to assess them.
Where a woman moves from a closed to an open categorisation but remains in the
same prison, ROTL may be considered provided at least three months has passed
since the woman arrived at that prison. This is to ensure that staff at that prison have
a chance to assess her within that environment. Exceptions may be made in line with
the guidance at 7.15 immediately above.
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8.
Indeterminate Sentence Offenders (ISPs)
8.1
All ISPs are subject to Restricted ROTL. This chapter deals with the particular
provisions that apply additionally and solely to ISPs.
8.2
References in this instruction to indeterminate sentence prisoners (ISPs) or to “lifers”
must be taken to include offenders sentenced to a Mandatory life sentence,
Discretionary life sentence, Automatic life sentence, Detention During Her Majesty’s
pleasure, Custody for life, Detention for life and Indeterminate sentence of
Imprisonment (or Detention) for Public Protection (IPP).
8.3
If there is likely to be media interest in the temporary release of a particular offender,
the Deputy Director of Custody, the relevant casework manager in the Public
Protection Casework section and Press Office must be informed accordingly.
Eligibility
8.4
The primary purpose of most ROTL is to help to prepare the offender for release into
the community and the general approach therefore is to commence a gradual
programme of ROTL some time before the potential release date. As a general guide
to when it might be appropriate to consider ROTL for ISPs, the period between the
date of approval for transfer to open conditions and the provisional date of the next
parole
hearing
should
be
taken
into
account.
8.5
The following table indicates the proportion of this period which should normally be
served before an offender might be considered for the various types of ROTL. It is
important to note that this table is a guide as to when it might normally be appropriate
to consider an offender for the various types of ROTL. There is no automatic
entitlement to temporary release of any kind. At the same time, cases must be
considered on their individual merits in the context of the offender’s sentence plan
and personal development, and the timetable below applied flexibly. This may mean
that in a particular case ROTL is considered to be appropriate earlier or later than
these guidance markers, but always subject to the restrictions relating to Restricted
ROTL offenders set out in chapter 7.
Type of ROTL
Proportion of period generally to be served
between the date of approval for transfer to
open conditions and the provisional date of the
next parole hearing before ROTL may be
considered
Special Purpose Licence (SPL) or (day) Nil. May be considered shortly after approval
Childcare Resettlement Licence (CRL)
Supervised
or
accompanied Quarter
Resettlement Day Release (RDR_
Unsupervised or unaccompanied RDR Half
(except for paid work)
Resettlement
Overnight
Release Two thirds
(ROR) or RDR for paid work or
overnight CRL
To give an example; where the period in question is 18 months, the offender may
generally be considered for supervised activity 4 ½ months after approval for transfer
to open, unsupervised RDR after 9 months and ROR after 12 months.
Frequency, duration and monitoring
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8.6
The governor must decide the frequency and duration of any release and in all but
exceptional cases, both the duration and frequency should be gradually increased, in
line with the offender’s sentence plan and personal development. All establishments
must have in place a system for checking, as necessary, on the whereabouts of
offenders on ROTL. The potential sensitivities associated with the ROTL of ISPs make
it particularly important that the risk assessment identifies the nature and extent of
monitoring required during each ROTL. It is important, where possible, that the
offender manager is contactable throughout any period of overnight release to the
home area.
Revocation of Temporary Release Licence
8.7
As with all offenders on temporary release, an ISP’s temporary release licence may
be revoked, at any time, if the offender is deemed to present a risk to public safety.
The Deputy Director of Custody, and the relevant casework manager in the Public
Protection Casework Section must be informed in all cases where revocation is
considered, or takes place.
8.8
Details of any adverse developments or failures, such as the failure of an ISP to return,
or any abscond from prison, must be passed immediately to the Deputy Director of
Custody, the offender manager and the relevant casework manager in the Public
Protection Casework Section.
Escorted Absence
8.9
Escorted absence procedures form part of Chapter 4 of the ISP Manual (PSO 4700).
They were introduced primarily to support the resettlement of ISPs who have been in
prison for more than 10 years and who were not eligible for ROTL due to their being
in closed conditions. These procedures have been suspended since 30 May under
interim instructions. They are hereby formally rescinded. Any temporary release of
an ISP for resettlement purposes must be considered under the Restricted ROTL
process set out in this instruction.
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9.
Classes of offender needing special consideration
People who are imprisoned solely as civil Offenders or fine defaulters
9.1
Civil offenders and fine defaulters may be considered for release on temporary licence
using the principles of this instruction where applicable. There should be a legitimate
purpose for the release that cannot be met in prison and there should not be an
unacceptable risk of harm, re-offending or non-compliance in releasing the person.
Offenders detained in default of a confiscation order
9.2
Offenders who are further detained at the end of their sentence in default of a
confiscation order are eligible to be considered for temporary release. Where the
offender has a term in default for non-payment of a confiscation order/fine ordered to
run consecutive to a sentence of imprisonment, the ROTL eligibility date must be (re) calculated on the basis of the overall custodial period to be served (i.e. the period
between the date the initial criminal sentence was imposed and the release date of
the default term).
9.3
In all cases where ROTL is being considered for offenders facing confiscation
proceedings or whose sentence includes a confiscation order, the usual risk
assessment must be undertaken, giving particular consideration to the risk of
absconding in light of impending proceedings or the presence of the unpaid
confiscation order, taking account of the individual circumstances of each case.
Where a confiscation order has been made but has yet to be paid, or the offender is
actually in default, then comments must be sought from the regional HMCS
Confiscation Unit. Contact details are given in PSI 16/2010 on Confiscation Orders.
Appellants
9.4
In considering whether to grant release on temporary licence to an appellant,
governors must take account of the need to produce offenders for the hearing of their
appeals where the court has confirmed that their attendance is required. The
appellate court, most often the Registrar of the Court of Appeal (Criminal Division),
Royal Courts of Justice, London WC2, must be notified immediately when an
appellant is granted release on temporary licence.
Restricted transfers
9.5
Where an offender has been transferred to England and Wales on a restricted basis
under the provisions of the Crime (Sentences) Act 1997, they will be eligible to apply
for temporary release in line with this instruction. However, reasons for the restricted
transfer must be considered in the risk assessment and the view of the sending
jurisdiction must be sought before any temporary release is granted.
US Servicemen
9.6
Release on temporary licence is not usually granted to United States servicemen held
in prisons in England and Wales. However, where such offenders are otherwise
eligible for ROTL, and have close family living in this country, the governor may
exceptionally consider, in consultation with the US Military authorities, an application
for ROTL. The normal risk assessment process must also apply.
Placements with Community Service Volunteers
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9.7
In order to foster links between offenders and the outside community, the governor
may consider granting release on resettlement licence to offenders undertaking
community service placements. These are arranged by the national Community
Service Volunteers (CSV) as part of their special programme for offenders in the last
few weeks of their sentences. This is likely to involve the offender being
accommodated away from the establishment for the duration of the placement,
ordinarily 4 weeks. The use of CSV placements is an entirely appropriate option, but
a decision to grant resettlement overnight leave to a particular offender for this
purpose must be balanced against the public perception of that offender being on
temporary release for that period.
i.
Eligibility



ii.
CSV placements must not be permitted any earlier than 3 months
before release from the sentence; this applies to the ARD, CRD or
NPD. However, where parole or Home Detention Curfew (HDC) has
been officially approved in advance, offenders may be released to a
placement before the parole or HDC eligibility date where time allows.
Offenders must be in or assessed as suitable for open conditions.
Restricted ROTL offenders must be in an establishment able to provide
Restricted ROTL (see annex B).
Release is subject to the full risk assessment process appropriate to
the type of offender (ie Standard or Restricted)
Offender Manager role
Given the length of time that an offender may be on a CSV placement, the
offender manager (or CRC for the area where the offender is to be released)
must complete and return the ROTL OM S or R before the placement can be
agreed. The OM (or CRC) must additionally ensure that the CRC for the area
where the placement is to take place is notified where this if this is a different
area to their own. CRCs should maintain a log of all CSV placements that
they are hosting on behalf of an other areas and be prepared to offer
assistance to any of the CSV Memorandum signatories if necessary, and to
report any concerns immediately to the offender’s offender manager and to
the prison issuing the licence.
iii.
Monitoring and administration



Establishments considering a CSV placement must use a
‘memorandum of understanding’, signed by all parties involved in the
placement. These will ordinarily be the offender, the governor of the
parent establishment, the offender manager (where there is one) and
a representative of the placement organisation. However, there may
be additional parties such as the governor of another establishment
involved in monitoring the offender (where the offender does not live
on the premises of the placement organisation) and the individual
responsible for the offender’s accommodation. A template for the
memorandum is found at Annex H.
Placement staff must be provided with a copy of the licence.
A telephone must be available at the placement organisation and,
where this is different, at the offender’s accommodation, in order that
establishments are able to contact offenders and carry out ad-hoc, out
of work hours monitoring checks. Where there is no telephone, the
parent establishment must arrange for visits from the nearest prison to
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

the placement to ensure that the offender is monitored and is
complying with the licence conditions.
The risk assessment must address the way, or ways, in which the
offender will be monitored (such as telephone and/or visits from staff),
and the frequency of such monitoring, where necessary, arranging for
staff from an establishment near to the placement to act as proxy
monitors. Communication between the establishment and placement
organisation must be regular throughout the duration of the placement.
The feedback provided by the organisation on the offender’s behaviour
must contribute to the ongoing risk assessment as the placement
progresses. Good practice would be to carry out visits early on in the
placement, to provide support and ensure the offender is coping.
Where it is inconvenient to bring the offender back to the establishment
at the end of this period, it is acceptable to complete the administrative
discharge procedure in advance.
Placements with the Prince’s Trust
9.8
Governors may consider granting release on resettlement licence for young offenders
to take part in programmes run by the Prince’s Trust. The aim of the Prince’s Trust
work is to build the young offender’s self-confidence, skills and motivation, in order to
take advantage of opportunities that will help to contribute to their personal success
and reduce their re-offending. The course involves a programme requiring both
resettlement day release and resettlement overnight release in order to complete the
range of activities, including a residential experience away from the establishment. All
releases to the Prince’s Trust programme are subject to the normal risk assessment
process.
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10.
Foreign National Offenders
10.1
PSI 37/2014introduced a new Prison Rule and corresponding YOI Rule and revised
policy in relation to ROTL (and transfer to open conditions). The PSI gives further
helpful background to the Rule changes but the key guidance re temporary release is
repeated in this instruction, including the new ROTL-FNP form (which replaces the
ROTL 9) for requesting information from HOIE, and the new specific risk assessment
for offenders liable to deportation.
10.2
The changes introduced by PSI 37/2014 on 14 August 2014 affected the eligibility and
risk assessment for ROTL of offenders subject to deportation proceedings. It is
essential that before considering ROTL, the prison confirm the offender’s current
deportation status which will determine his or her eligibility. Once the first application
for ROTL is received in relation to a foreign national offender a ROTL-FNP form must
be submitted to HOIE unless there is already confirmation that a decision has been
taken not to seek their removal from the UK. For subsequent applications, the
offender’s deportation status on NOMIS must be reviewed before any release (see
Chapter 10.16-18 below).
10.3
Those offenders in closed conditions with a Deportation Order and who have
exhausted all appeal rights in the UK are prohibited from ROTL. If a notification is
received that appeal rights have been exhausted (either an individual notice to the
offender or from information requested from the Home Office on the ROTL-FNP form)
then the relevant security alert, “Appeal Rights Exhausted (ARE)” must be activated
on the offender’s NOMIS record.
10.4
Those offenders who have not exhausted deportation appeal rights in the UK but who
are liable for deportation must have their release on licence considered on an
individual basis subject to assessment against the strengthened risk assessment set
out in Annex J. If a notification is received that an offender is liable for deportation
(either an individual notice to the offender or from information requested from the
Home Office on the ROTL-FNP form) then the relevant security alert, “Liability for
Deportation”, must be activated on the offender’s NOMIS record.
10.5
The application of the Rules and policy as they affect offenders in different categories
is set out below.
A.
Offenders in closed conditions who have a Deportation Order and who
have either exhausted appeal rights in the UK or whose appeal rights
must be exercised from abroad.
10.6
Any offender in closed conditions who has a Deportation Order against them against
which all rights of appeal within the UK are exhausted is prohibited by Prison Rule 9
(1A) / YOI Rule 5 (1A) from ROTL. Such offenders are expected to be removed from
the UK at the appropriate point in sentence and do not therefore require the
resettlement opportunities that are an integral part of the ROTL system. In addition, a
ROTL for any purpose carries a degree of risk that the offender will fail to return to
prison. It would be inappropriate and unnecessary to introduce such a risk for
offenders who have no need of the resettlement opportunities that ROTL offers.
10.7
There may be cases where a decision has been made to release on ROTL a Category
C/closed offender who has a Deportation Order made against them, but the offender
has not yet been released by the time he or she exhausts all rights of appeal against
the Order from within the UK. In these cases the ROTL decision must be rescinded,
any licence that has been issued revoked and the offender notified of the decision on
form ROTL-DEC. Where the offender has already had a period of approved ROTL,
any future ROTL must be cancelled.
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10.8
Any offender who has already been released on ROTL and is away from the prison
when the prison is notified that their appeal rights against deportation have been
exhausted, must be recalled to prison if they are not due back from ROTL on the
same day the notification is received. Prisons must make an assessment of the action
to take in respect of an offender who is due back on the same day that the notice is
received by the prison. The role of the prison must be to minimise risk to the public
and the risk of the offender absconding to evade deportation. If the prison is satisfied
that the best way of doing this is to allow the offender to return normally from ROTL
that same day then that is permissible.
10.9
Where there is a compelling reason to allow the temporary absence from prison of a
Category C/closed offender who has no further rights of appeal in the UK against
deportation such as those that might justify a special purpose licence or Childcare
Resettlement Licence, consideration must be given to allowing the absence under
normal secure escort arrangements (NSF Function 2 applies).
B.
Offenders in closed conditions who are liable for deportation
10.10 The term “liable for deportation” applies to offenders who:




are confirmed by the Home Office as meeting the initial criteria for deportation
based on such factors as nationality and sentence length (whether the
offender has been informed of this or not); or
have received a formal notice of liability for deportation; or
have received a deportation order with appeal rights in the UK remaining; or
fall below the threshold for deportation but are being considered for or made
subject to removal from the UK.
10.11 Risk assessments for ROTL must be undertaken on the assumption that deportation
will take place. Each case must be considered on its individual merits, but the need
to protect the public and ensure that deportation is not frustrated is paramount, and
the presumption is that offenders who are liable for deportation will not be suitable for
ROTL unless they are assessed as presenting a very low risk of seeking to avoid the
intention to deport by failing to return. The offender must be risk assessed in line with
the requirements of this instruction and the guidance at Annex J. The ROTL-FNP form
must be used to obtain Home Office Immigration Enforcement (HOIE) confirmation of
the offender’s deportation status and for any additional information relevant to the risk
assessment.
C.
Offenders in Open Conditions
10.12 Offenders who are already in open conditions and are subsequently confirmed as
being liable for deportation (see 10.1 above) will not automatically become ineligible
or unsuitable for ROTL. However, the change in deportation status represents a
significant change in circumstances and the offender must have their security
category reviewed. Only once it has been confirmed that the offender may remain in
open conditions may the application for ROTL be considered. If it is confirmed that
the offender may remain in open conditions, the ROTL application may be considered
under the usual and not the strengthened risk assessment process because the latter
will have been conducted during the security category review. There may, however
be factual information offered by HOIE which has a bearing in relation to the particular
ROTL sought; for example, around family ties.
LIAISON BETWEEN NOMS & HOME OFFICE
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10.13 In order to properly apply Prison Rules 7 (1A), 9 (1A) / YOI Rules 4 (2), 5 (1A) there
needs to be a reliable system of communication between NOMS and the Home Office
in order to ensure that an offender’s up to date deportation status is properly recorded.
Prison establishments will request information from the Home Office using Form
CCD3 for those offenders being considered for categorisation and allocation to open
conditions and using form ROTL-FNP for those offenders being considered for ROTL.
The forms will be emailed or faxed to Home Office Immigration Enforcement (HOIE)
who will return the completed form within 5 working days of receipt. Any subsequent
change to the offender’s deportation status will be notified to the establishment within
24 hours of the change being made.
10.14 In accordance with PSI 52/2011, when an FNP is transferred to another establishment
HOIE must be advised by the receiving prison of the change in prison establishment
by completing Part 1 C of the CCD Referral Form within 5 days of reception.
10.15 As part of their contingency plans establishments must ensure that HOIE are informed
of any offender who is liable for deportation or with a deportation order who absconds,
escapes or fails to return from temporary release.
RECORD KEEPING
10.16. All establishments must have procedures in place to ensure the deportation status of
all offenders is recorded accurately on NOMIS and any other records, and that these
records are updated immediately any changes are notified by Home Office
Immigration Enforcement (HOIE). These procedures must be set out in the
establishment’s Local Security Strategy (LSS).
10.17 Establishments must activate the security alerts on the offender’s NOMIS record to
show:

“Liability for Deportation”. This includes offenders who are assessed as
meeting the initial criteria for deportation (whether they have been informed or
not); sent a formal notice that they are liable for deportation; have a
Deportation Order made where appeal rights in the UK have not been
exhausted or, may fall below the threshold for deportation but are being
considered for or made subject to removal from the UK). The dates of any
notifications or forthcoming /ongoing appeals must also be noted.

“Deportation Order, Appeal Rights Exhausted (ARE)” together with the
date of notification of this, is intended to show that appeal rights have been
exhausted in the UK. Appeals still active abroad do not count and should not
stop the ARE alert from being set. This information is recorded by the Home
Office and should be notified to the prison and offender as it happens. The
information will also be returned on the CCD3 and ROTL-FNP forms.
10.18 Establishments must ensure that these records are kept under review, and that any
changes to deportation status are recorded on NOMIS as soon as possible.
Offenders must be informed of the results of any review undertaken for categorisation
or ROTL purposes and the reasons why the review has been undertaken (i.e. because
of a change in immigration status notified by the Home Office).
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11.
Monitoring of ROTL
11.1
Governors and Directors must have in place a system of spot checks to ensure that
offenders released on temporary licence are complying with the specified licence
conditions in relation to the authorised activity and/or accommodation. The individual
risk assessment must address the type and frequency of monitoring required. The
potential sensitivities associated with the ROTL of ISPs and other Restricted ROTL
cases make it particularly important that the risk assessment identifies the nature and
extent of monitoring required during each ROTL and it is important in such cases, that
consideration is given to agreeing reporting requirements with the offender manager.
11.2
In some cases the risk assessment will deem a telephone call to an employer, or
supervisor, to be sufficient monitoring, while in other cases visits by members of staff
will be more appropriate. Governors may need to contact an establishment nearer to
the temporary release activity to undertake the visits on their behalf. The checks must
be random in order to prevent a predictable pattern developing.
11.3
The following are the minimum requirement for monitoring:
Restricted ROTL
There must be a telephone check in relation to at least 50% of the offenders released
in any given week, and physical checks (ie visits by or reporting to prison, police, or
NPS staff) in relation to at least 20% of offenders released in any given week.
Standard ROTL
There must be a telephone check in relation to at least 20% of the offenders released
in any given week, and physical checks (ie visits by or reporting to prison, police, or
CRC staff) in relation to at least 10% of offenders released in any given week.
11.4
Once suitable electronic location monitoring (ELM) equipment is available, we will
commence the rollout of ELM for offenders on ROTL and further guidance will be
issues amending the monitoring requirements above.
DRUG TESTING
11.5
Testing must be carried out in accordance with the mandatory drug testing
programme. A test that proves positive prior to a period of temporary release must
result in the cancellation of the release unless there are extremely compelling
circumstances in favour of the release being allowed to proceed. A positive test must
give rise to disciplinary proceedings in accordance with the guidelines on mandatory
drug testing and will be considered in future risk assessments. Full details on
mandatory drug testing are available in PSO 3601.
11.6
Testing must be carried out in accordance with the voluntary drug testing programme
Any positive voluntary drug test (VDT) (which includes Compact Based Drug
Testing/Incentive Based Drug Testing) result must only be considered as part of a
wider review of behaviour when deciding suitability for ROTL. A wider review should
include the views of Healthcare/substance misuse providers and Mental Healthcare
teams. VDT must not, however, replace MDT as the principal mode of drug testing,
which informs the ROTL risk assessment. Full details on the voluntary drug testing
are available in PSI 31/2009 (currently being updated) and the CBDT Compact Good
Practice Guide.
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12.
ROTL Failure Review and related Processes(including relevant Incident Reporting
System (IRS) and Adjudication matters)
Introduction
12.1
The aim of the review process is to ensure that the causes of all ROTL failures are
examined so that they are dealt with appropriately and consistently, and that any
learning is absorbed and shared. It does not replace the current process for reporting
all temporary release failures on the IRS, which remains as set out in PSI 11/2012.
For example, all late returns with no justifiable reason must still be recorded as such
on the IRS; but the guidance on whether/how the failure should be reviewed and dealt
with is set out below.
Serious further offences (SFOs)
12.2
From 1 February 2015 ROTL failures involving serious further offences (SFOs) must
be reviewed in line with the guidelines outlined in the recently re-issued Probation
Instruction 15/2014 instead of the instructions set out here, which share many
characteristics. SFOs are defined as follows:

12.3
A specified serious violent or sexual offence as defined in P 15/2014), based
on a list of offences specified in schedule 15A of the Criminal Justice Act 2003,
committed by an Applicable Person as defined by the PI.
Under the SFO process, the SFO team in NOMS HQ are notified of qualifying review
cases via the NPS or CRC, who have processes in place to identify SFOs by or at
first court appearance. Notification with full information is received by the Offender
Management and Public Protection Groups within 10 working days of the first court
appearance. In both the process outlined here and in the SFO process, the NPS and
CRCs must contribute as required to the review of a ROTL failure. A full list of offences
covered by the separate SFO process is at Annex K, for information.
What is a ROTL failure?
12.4
The following are the four categories of ROTL failure:
i
Failure to return: Where an offender has failed to return to an establishment
from ROTL and unlawfully at large (UAL) contingency plans have been
activated, including notification to the police. The police should be requested
both to investigate the offence of “failure to return whilst on temporary licence”
as well as to find and return the offender to custody). Where, following further
enquiries, the Governor is satisfied that the offender was unable to return as
required due to circumstances beyond their control, this should not be reported
as a failure to return. Where the offender surrenders later the same day, it
should be reported as a late return.
ii
Late return: Where the offender returns late to the establishment, but UAL
contingency plans have not been activated and the offender is not late solely
through matters beyond their control.
iii
Alleged offending on ROTL: Where the offender has been arrested for an
offence allegedly committed whilst temporarily released. In any case of
alleged offending, the offender must be returned to closed conditions
immediately and all ROTL must cease. The offender can only be considered
for ROTL or a return to open conditions through the relevant channels where
no charge results or they are acquitted.
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iv
Other breach of licence: Where any of the other conditions attached to the
licence have been breached; eg alcohol use, gambling etc.
12.5
All late returns (ie where this was not solely due to matters beyond the offender’s
control) must be reported on IRS and should generally be dealt with using the ROTL
suspension/punishment guidance at Annex L. In exceptional circumstances, the
prison may use its local discretion to consider the appropriate course of action to
review and deal with the failure. An exception might be made where there is no
evidence of increased risk or deliberate non-compliance (eg lateness was due to
genuine mistake) and the offender supervisor is satisfied that the relevant period of
suspension of ROTL would have a disproportionate impact on their progress; for
example, leading to their missing a key ROTL opportunity. Where an exception is
made, the decision-making rationale must be clearly documented in NOMIS. Prisons
must also take account of late arrivals to planned ROTL destinations where this is
required in the licence conditions, and approach these in the same way as late returns
back to prison, although they should be recorded as an “other breach of licence”.
12.6
The process of handling a ROTL failure will take the following approach, where the
prison believes a failure of conditions, without justifiable reason, may have occurred:


12.7
Place offender on report, using the appropriate charge.
Suspend ROTL pending an immediate suitability review (via a
discussion/meeting, held urgently and at least within the first 24 hours), with
the following in attendance as a minimum:
The orderly officer;
The duty governor.
This must consider whether a return to closed needs to be made immediately and
whether a continued suspension of ROTL is necessary pending adjudication. This
process must also decide whether the case needs to be further reviewed by the
Interdepartmental Risk Management Team (IRMT) meeting. (Certain cases will be
mandatory for review by IRMT, see 12.20 below for detail).








Inform Deputy Director of Custody Office and NOMS Director of Public
Prisons, where an offender has failed to return, and/or has been arrested for
an alleged offence
Complete ‘Temporary Release Failure’ (TRF) report on IRS in accordance with
PSI 11/2012.
Conduct adjudication as required.
The ROTL suspension/punishment guidance at Annex L must be applied as
required. The period of any ROTL suspension will commence from the
adjudication finding, except in cases where ROTL has already been
suspended as a result of an immediate suitability review. However, these
suspensions are minimum periods and ROTL does not necessarily recommence automatically but is subject to a further ROTL board decision.
Local IRMT meeting reviews case and considers whether re-categorisation
and transfer to closed conditions is necessary (where it has not already taken
place as an urgent action), or whether a risk management plan is to be
developed to continue to manage the individual in open conditions.
ROTL failures to be dealt with locally (when prison is satisfied that a failure
has occurred) unless the failure meets the criteria for a ‘Mandatory
Submission’ (see below at Chapter12.30), or the IRMT meeting reviews the
case and considers that it should be submitted to the DDC for further review.
Where a case has been submitted to DDC, a decision is taken at that level as
to whether a further, formal case review is undertaken.
Where a further formal review is required, see sections 12.35 -12.37 for details
of the appropriate process.
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Women’s Prisons
12.8
Where it is deemed that a ROTL failure may have taken place ROTL must be
suspended and the woman put on report (immediate 24 hrs suitability review will not
be required, where there are physical security measures in place to prevent abscond).
12.9
At the outcome of the adjudication, the ROTL suspension/punishment guidance must
be applied, if proven, or the charge dismissed or not proceeded with. At that point, if
proven, the local ROTL Review Panel sits (Risk Management Team) to determine
whether assessment requires the ROTL-RISK updating or further management
measures.
Detailed Process (Annex M outlines the process flow)
Place offender on report
12.10 As soon as it is known that the offender has failed on ROTL, without clear and
justifiable reason, and that there is sufficient concern that a review is deemed
necessary, s/he must be placed on report in accordance with PSI 47/2011 Prisoner
Discipline Procedures. Where, for example, the offender has declared some
mitigating factors for being late, but that these cannot at the time be substantiated,
the offender must still be placed on report, if concern exists.
12.11 The correct charge must be included as one or more of the following:



For a ROTL failure this would be: PR 51 (8), YOI R 55 (9) fails to comply with
any condition upon which he is / was temporarily released under rule 9 / rule
5 of these rules;
For prisoners who have taken controlled drugs while on licence and have a
positive result from a Mandatory Drug Test this would be: PR 51 (9), YOI R
55 (10) is found with any substance in his urine which demonstrates that a
controlled drug has, whether in prison or while on temporary release under
rule 9 / 5, been administered to him by himself or by another person (but
subject to rule 52 / 56);
For prisoners who return from ROTL showing signs of intoxication this would
be: PR 51 (10), YOI R 55 (11) is intoxicated as a consequence of consuming
any alcoholic beverage (but subject to rule 52A / 56A)
Immediate Suitability Review
12.12 An immediate suitability review is to be undertaken as soon as possible and within no
more than 24 hrs of the incident in question. Its purpose is to:



consider
whether
immediate return
to closed
conditions
is
necessary/appropriate
consider whether immediate suspension of ROTL is necessary/ appropriate
consider any immediate actions required to ensure offender risk remains
manageable at the prison.
12.13 The immediate suitability review should take the form of a meeting/discussion
between at least (but not exhaustively) the following:


Orderly officer
Duty governor
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12.14 The immediate suitability review must also consider whether the incident should be
reviewed further by the IRMT meeting, which will consider, for example, any need to
develop a risk management plan for an offenders continued management in open
conditions. Such information should also be linked into EBM if the offender is being
actively managed in this way. All Restricted ROTL case failures must be considered
further by the IRMT.
12.15 In accordance with the ROTL suspension/punishment guidance at Annex L, future
ROTL is suspended for the appropriate period of time and the period of any ROTL
suspension will commence from the adjudication finding, except in cases where ROTL
has already been suspended as a result of an immediate suitability review. However,
these suspensions are minimum periods and ROTL does not necessarily recommence automatically but is subject to a further ROTL board decision.
Reporting on NOMIS
12.16 All failures must be reported on IRS in accordance with PSI 11/2012 timescales under
the incident type “temporary release failure”. Further, in all cases of failure to return
the offender manager or the Probation out of hours contact must be notified
immediately so that they can take any action necessary including liaison with the
police about contact with the victim.
12.17 Completion of IRS must be in tandem with completing the Immediate Suitability
Review however the IRS report itself must not be used as a substitute for collating the
information or documenting the outcome for this or any subsequent review by the
IRMT.
12.18 IRS must be updated whenever further information is received. In particular, when
offenders who have failed to return are recaptured, when offenders are charged with
further offences and when the outcome of prosecution is known.
Conduct Adjudication
12.19 Conduct the adjudication as per standard procedures, using the information provided
through the TRF and any additional information obtained.
Proven ROTL Failures and Risk Management Meetings
12.20 Use local Interdepartmental Risk Management Team (IRMT) meeting structure to
bring together a multi-disciplinary team to discuss ROTL failures that are either
Restricted ROTL cases, or are identified from the immediate suitability review
following a failure. Specifically, this meeting will consider:





if a more detailed local review is necessary;
categorisation review (for determinate sentenced offenders) to determine
whether return to closed is necessary;
for indeterminate sentenced prisoners, whether return to closed conditions is
necessary;
if not, what the risk management plan should cover to ensure the continued
safe management of the individual in open conditions;
whether a case should be submitted to DDC for consideration of a formal
review.
12.21 With the exception of the cases that have been considered by the local risk
management meeting to need escalating to DDC level, a proven charge of ROTL
failure will be dealt with locally, with lessons learned disseminated, and the application
of the Standard ROTL suspension/punishment guidance at Annex L. The IRMT
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meeting may recommend a categorisation review for determinate sentenced
offenders or, for indeterminate sentence prisoners, a return to closed conditions,
meaning the completion and submission of a LISP 4 form to Public Protection
Casework Section (PPCS), should the finding and other relevant behaviour give rise
to concerns over the suitability of the offender to remain in open conditions.
12.22 Where the offender is considered to still be manageable in open conditions, a risk
management plan is developed, taking full account of the advice provided by the IRMT
meeting. This plan is then actively used, led by the offender supervisor.
Decision on formal review
12.23 Most ROTL failures will be dealt with locally, and any necessary review handled
through the IRMT structures in the prison. However, there will be certain events/cases
where a failure will require escalation to the DDC for consideration of a more formal
review.
12.24 The DDC, on receipt of the required papers from the prison, considers whether a
formal review is required. The DDC will consider, using the information provided
(minimum information requirements outlined below at 12.33 below), whether a formal
review would add to the learning from the local review and findings.
Triggers for case submission to DDC
12.25 There are two routes to the DDC for ROTL failure cases:


Mandatory submissions
Prison referrals
12.26 Mandatory Submissions: Where one or more of the following is relevant to the ROTL
failure, the case must be submitted to the DDC for consideration as to whether a
formal review is required:


The offender has failed to return to an establishment from ROTL and
Unlawfully At Large (UAL) contingency plans have been activated, including
notification to the police, unless the offender surrenders to prison or police
custody later the same day, or other exceptional circumstances apply (e.g.
where, following further enquiries, the governor is satisfied that the offender
was unable to return as required due to circumstances beyond the offender’s
control)
The offender is arrested in relation to an alleged criminal offence (if a qualifying
SFO offence, follow separate procedure as per section 12.2 above, and
Probation Instruction 15/2014. Qualifying offences are at Annex K.)
12.27 Prison Referrals: The IRMT meeting structure in the prison will discuss all Restricted,
and other referred ROTL failures routinely. This meeting can also recommend a
referral of a case to the DDC for consideration of further investigation, outside of the
criteria for ‘Mandatory Submission’, where it is felt that a fuller review is necessary.
12.28 For all cases forwarded to the DDC for consideration, the following minimum set of
information must also be submitted:





Summary reasons for referral, completed by the chair of the IRMT meeting
Adjudication paperwork (where available)
Transfer report
NOMIS record including IRS report
ROTL history
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DDC Decision on formal review
12.29 The DDC, on receipt of the required information from the prison, decides whether a
formal review is required, considering also whether it would add to the learning from
the local risk management review.
A formal review is conducted
12.30 Where the DDC commissions a formal investigation, they will appoint a Senior
Operational Manager (SOM) accredited governor from another region to review the
case under the terms set out at Annex N. The review must be undertaken using the
template at Annex P.
12.31 Upon completion of the review the DDC will report the findings of the review, including
any specific learning or recommendations that might have a general application to
ROTL policy and practice, to the Director of Public Sector Prisons.
12.32 All learning from these reviews will be fed back into further revisions of the ROTL
policy and practice.
Disseminating lessons from completed review
12.33 The DDC, on receipt of the completed review, will share the key findings and lessons
learned with the Chief Executive of NOMS, Directors and all DDCs.
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13.
Recall from temporary licence
13.1
Prison Rule 9 and YOI Rule 5 state that an offender released under this rule may be
recalled to prison at any time whether the conditions of his release have been broken
or not.
13.2
If an offender is found to have breached his or her licence conditions, the governor
must recall the offender if it does not remain safe or appropriate for the offender to
remain on licence. If an offender is arrested by the police, but not committed to
custody by a court, the Governor must recall the offender.
13.3
The governor must document all decisions to recall an offender from temporary
licence for any reason other than a breach of licence or committing a criminal offence.
Once a decision is made to recall an offender, the governor must ask the police to
take the offender into custody and hold him or her at a police station. The police must
be asked to notify the escort contractor serving their area. The offender will be
returned to the nearest appropriate closed prison or YOI.
Procedure for recall
13.4
Upon application by the police the governor must indicate whether or not the prison
has space to take the offender. The governor must designate a particular post as
having responsibility for this, and that person must have authority to accept the
offender.
13.5
Local and closed prisons must not refuse to accept from the police offenders that have
been recalled from temporary release on licence, unless space in the receiving prison
prevents acceptance. If no space is available, the prison must contact the Population
Management Unit (PMU) in NOMS HQ. [PSI 07/2015 – PI 06/2015Early Days in
Custody -Annex C - Prisoners previously unlawfully at large, ROTL failures, and
recalled prisoners]
13.6
It is the responsibility of the PMU to find an alternative location for the offender, and
to notify the police, PECS and the originating prison of where the offender is to be
sent.
13.7
Once the offender is back in prison custody, the receiving establishment must notify
the originating establishment of the offender’s location and the two establishments
must decide whether or not the offender should be returned to the originating
establishment.
Alleged offending while released on temporary licence
13.8
If an offender is convicted of an offence, committed while on temporary release, they will
not be eligible to be considered for further temporary release during the currency of the
sentence in the absence of exceptional circumstances justifying such consideration (see
Chapter 6.3)
13.9
In any case of alleged offending, the offender must be returned to closed conditions
immediately and all ROTL must cease. In the absence of exceptional circumstances,
the offender may be considered for ROTL or a return to open conditions through the
relevant channels only where no charge results or they are acquitted of the alleged
offence.
13.10 Any notification that an offender has been arrested on suspicion of a criminal offence,
must be reported on the Incident Reporting System (IRS) making it clear that the offender
is believed to have committed a criminal offence. The receiving prison must inform the
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originating prison of the offender’s recapture, and the originating governor must update
the IRS report to show the offender has been returned to prison.
13.11 The receiving governor must ensure that a disciplinary charge is laid immediately on the
offender’s return to prison, but must suspend the hearing pending the outcome of police
investigation. Once police action is complete, the governor must follow the guidance in
the Discipline Manual - action will depend on whether criminal charges are brought.
13.12 If the offender is an ISP the Deputy Director of Custody, the relevant
casework
manager in the Public Protection Casework section and Press Office must be informed
accordingly.
13.13 Prosecution through the courts for an alleged criminal offence does not debar
disciplinary proceedings for other breaches of licence.
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14.
Information for Prisoners
14.1
The governor must develop a leaflet/information materials outlining how this
instruction on release on temporary licence will be locally administered. The leaflet
must be made available to all offenders and should be reviewed annually.
14.2
The leaflet must cover:

The types of temporary release available at the establishment, the minimum
eligibility criteria as published in this PSO, the application process and how
the risk assessment will be conducted.

The procedure the offender must follow should they wish to challenge a
temporary release decision. ( i.e. the Complaints procedure)

What is expected of the offender in terms on demonstrating the links of any
activity on ROTL to their sentence plan

The local policy on the payment of travel arrangements, necessary meals for
temporary absences from the establishment and circumstances where
contributions may be made by the establishment and where offenders are
required to bear the cost associated with ROTL activities.
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15.
Funding
15.1
As noted above, governors must develop a local leaflet that includes details on the
payment of travel arrangements and necessary meals for temporary absences from
the establishment, outlining:




the circumstances when offenders are required to bear the expenses
associated with temporary release themselves
the circumstances when the establishment will bear the cost
the levels of payment
the levels of private cash or earnings that can be taken out of the
establishment during resettlement overnight leave.
15.2
Offenders who are working out in the community, and earning at least the minimum
wage, are expected to meet the cost of travel to work and of any necessary meals. They
would also be expected to meet a reasonable proportion of the costs for all other
temporary releases, except those special purpose releases listed below. If the offender
is able to establish that this arrangement will cause them undue hardship, the governor
may consider an appropriate level of assistance.
15.3
For all other offenders, the establishment will meet the cost of travel in the most cost
effective way available, unless the offender is earning a high level of prison earnings
within the establishment and so able to meet a reasonable proportion of the cost.
Offenders should be made aware that they are liable to meet the cost of replacing any
lost tickets.
15.4
Offenders who are away from the establishment should routinely be provided with a
suitable packed lunch. If an offender refuses to accept this, they will be expected to
pay for their own meals. Exceptionally, establishments may reimburse, on production
of receipts (except where vending machines are the only outlet available, such as in
some hospitals), an amount not exceeding the day subsistence rate for staff
applicable at that time.
15.5
The responsibility to cover expenses associated with special purpose licence are
usually to be met as listed below:
15.6
Reason for special purpose licence
Funding
Compassionate & medical purposes other than marriage
Governor
Helping the police
Governor
Attending court at request of authorities
Governor
Attending court at own request
Offender
Attending private healthcare appointments
Offender
Marriage
Offender
Offenders may be released on temporary licence to hostels or B&Bs as part of their
resettlement plan. Establishments will meet the reasonable cost of accommodation.
Where the purchase of meals is necessary, establishments may reimburse receipted
expenditure up to a maximum level of the overnight subsistence for staff.
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Glossary
ARD
B&B
CRC
CRD
CRL
CSV
EBM
FNO
Governor
HOIE
Home Area
IRS
ISP
MDT
NOMS
NPD
NPS
Offender
PECS
PED
PPCS
PED
PMU
PI
PSO
PSO
RDR
ROR
ROTL
SFO
SPL
SLED
UAL
VDT
VLO
YOI
Automatic Release Date
Bed and Breakfast establishment
Community Rehabilitation Company
Conditional Release Date
Childcare Resettlement Licence
Community Service Volunteer
Enhanced Behaviour Monitoring
Foreign National Offender
includes all governors, and directors/controllers in contracted-out prisons
Home Office Immigration Enforcement
Area to which the offender will ultimate be released
Incident Reporting System
Indeterminate sentence prisoner
Mandatory Drug Testing
National Offender Management Service
Non Parole Date
National Probation Service
includes all prisoners and young offenders
Prisoner Escort and Custody Services
Parole Eligibility Date
Public Protection Casework Section (in NOMS HQ)
Parole Eligibility Date
Population Management Unit
Probation Instruction
Prison Service Instruction
Prison Service Order
Resettlement Day Release
Resettlement Overnight Release
Release on Temporary Licence
Serious Further Offence
Special Purpose Licence
Sentence and Licence Expiry Date
Unlawfully at Large
Voluntary Drug Testing
Victim Liaison Officer
Young Offender Institution
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List of Annexes
Annex A
-
List of MAPPA qualifying offences (sch.15 Criminal Justice Act 2003)
Annex B
-
List of Prisons able to provide Restricted ROTL
Annex C
-
ROTL Process Flow Charts
Annex D
-
ROTL Forms
Annex E
-
Regional Psychologist Contact Details
Annex F
-
Paid Placement Memorandum of Understanding
Annex G
-
Unpaid Placement Memorandum of Understanding
Annex H
-
Community Service Volunteer Memorandum of Understanding
Annex J
-
FNP – Additional Risk Assessment
Annex K
-
List of Serious Further Offences
Annex L
-
ROTL Suspension/Punishment Guidance
Annex M
-
ROTL Review Process Map
Annex N
-
ROTL Review – commissioning letter
Annex P
-
ROTL Review Template
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ANNEX A
SCHEDULE15
SPECIFIED OFFENCES FOR PURPOSES OF CHAPTER 5 OF PART 12
Section 224
Part 1
Specified Violent Offences
1
Manslaughter.
2
Kidnapping.
3
False imprisonment.
4
An offence under section 4 of the Offences against the Person Act 1861 (c 100)
(soliciting murder).
5
An offence under section 16 of that Act (threats to kill).
6
An offence under section 18 of that Act (wounding with intent to cause grievous bodily
harm).
7
An offence under section 20 of that Act (malicious wounding).
8
An offence under section 21 of that Act (attempting to choke, suffocate or strangle in
order to commit or assist in committing an indictable offence).
9
An offence under section 22 of that Act (using chloroform etc to commit or assist in the
committing of any indictable offence).
10
An offence under section 23 of that Act (maliciously administering poison etc so as to
endanger life or inflict grievous bodily harm).
11
An offence under section 27 of that Act (abandoning children).
12
An offence under section 28 of that Act (causing bodily injury by explosives).
13
An offence under section 29 of that Act (using explosives etc with intent to do grievous
bodily harm).
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14
An offence under section 30 of that Act (placing explosives with intent to do bodily injury).
15
An offence under section 31 of that Act (setting spring guns etc with intent to do grievous
bodily harm).
16
An offence under section 32 of that Act (endangering the safety of railway passengers).
17
An offence under section 35 of that Act (injuring persons by furious driving).
18
An offence under section 37 of that Act (assaulting officer preserving wreck).
19
An offence under section 38 of that Act (assault with intent to resist arrest).
20
An offence under section 47 of that Act (assault occasioning actual bodily harm).
21
An offence under section 2 of the Explosive Substances Act 1883 (c 3) (causing
explosion likely to endanger life or property).
22
An offence under section 3 of that Act (attempt to cause explosion, or making or keeping
explosive with intent to endanger life or property).
23
An offence under section 1 of the Infant Life (Preservation) Act 1929 (c 34) (child
destruction).
24
An offence under section 1 of the Children and Young Persons Act 1933 (c 12) (cruelty to
children).
25
An offence under section 1 of the Infanticide Act 1938 (c 36) (infanticide).
26
An offence under section 16 of the Firearms Act 1968 (c 27) (possession of firearm with
intent to endanger life).
27
An offence under section 16A of that Act (possession of firearm with intent to cause fear
of violence).
28
An offence under section 17(1) of that Act (use of firearm to resist arrest).
29
An offence under section 17(2) of that Act (possession of firearm at time of committing or
being arrested for offence specified in Schedule 1 to that Act).
30
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An offence under section 18 of that Act (carrying a firearm with criminal intent).
31
An offence under section 8 of the Theft Act 1968 (c 60) (robbery or assault with intent to
rob).
32
An offence under section 9 of that Act of burglary with intent to-(a) inflict grievous bodily harm on a person, or
(b) do unlawful damage to a building or anything in it.
33
An offence under section 10 of that Act (aggravated burglary).
34
An offence under section 12A of that Act (aggravated vehicle-taking) involving an
accident which caused the death of any person.
35
An offence of arson under section 1 of the Criminal Damage Act 1971 (c 48).
36
An offence under section 1(2) of that Act (destroying or damaging property) other than an
offence of arson.
37
An offence under section 1 of the Taking of Hostages Act 1982 (c 28) (hostage-taking).
38
An offence under section 1 of the Aviation Security Act 1982 (c 36) (hijacking).
39
An offence under section 2 of that Act (destroying, damaging or endangering safety of
aircraft).
40
An offence under section 3 of that Act (other acts endangering or likely to endanger
safety of aircraft).
41
An offence under section 4 of that Act (offences in relation to certain dangerous articles).
42
An offence under section 127 of the Mental Health Act 1983 (c 20) (ill-treatment of
patients).
43
An offence under section 1 of the Prohibition of Female Circumcision Act 1985 (c 38)
(prohibition of female circumcision).
44
An offence under section 1 of the Public Order Act 1986 (c 64) (riot).
45
An offence under section 2 of that Act (violent disorder).
46
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An offence under section 3 of that Act (affray).
47
An offence under section 134 of the Criminal Justice Act 1988 (c 33) (torture).
48
An offence under section 1 of the Road Traffic Act 1988 (c 52) (causing death by
dangerous driving).
49
An offence under section 3A of that Act (causing death by careless driving when under
influence of drink or drugs).
50
An offence under section 1 of the Aviation and Maritime Security Act 1990 (c 31)
(endangering safety at aerodromes).
51
An offence under section 9 of that Act (hijacking of ships).
52
An offence under section 10 of that Act (seizing or exercising control of fixed platforms).
53
An offence under section 11 of that Act (destroying fixed platforms or endangering their
safety).
54
An offence under section 12 of that Act (other acts endangering or likely to endanger safe
navigation).
55
An offence under section 13 of that Act (offences involving threats).
56
An offence under Part II of the Channel Tunnel (Security) Order 1994 (SI 1994/570)
(offences relating to Channel Tunnel trains and the tunnel system).
57
An offence under section 4 or 4A of the Protection from Harassment Act 1997 (c 40)
(putting people in fear of violence and stalking involving fear of violence or serious alarm
or distress).
58
An offence under section 29 of the Crime and Disorder Act 1998 (c 37) (racially or
religiously aggravated assaults).
59
An offence falling within section 31(1)(a) or (b) of that Act (racially or religiously
aggravated offences under section 4 or 4A of the Public Order Act 1986 (c 64)).
59A
An offence under section 54 of the Terrorism Act 2000 (weapons training).
59B
An offence under section 56 of that Act (directing terrorist organisation).
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59C
An offence under section 57 of that Act (possession of article for terrorist purposes).
59D
An offence under section 59 of that Act (inciting terrorism overseas).
60
An offence under section 51 or 52 of the International Criminal Court Act 2001 (c 17)
(genocide, crimes against humanity, war crimes and related offences), other than one
involving murder.
60A
An offence under section 47 of the Anti-terrorism, Crime and Security Act 2001 (use etc
of nuclear weapons).
60B
An offence under section 50 of that Act (assisting or inducing certain weapons-related
acts overseas).
60C
An offence under section 113 of that Act (use of noxious substance or thing to cause
harm or intimidate).
61
An offence under section 1 of the Female Genital Mutilation Act 2003 (c 31) (female
genital mutilation).
62
An offence under section 2 of that Act (assisting a girl to mutilate her own genitalia).
63
An offence under section 3 of that Act (assisting a non-UK person to mutilate overseas a
girl's genitalia).
63A
An offence under section 5 of the Domestic Violence, Crime and Victims Act 2004
(causing or allowing a child or vulnerable adult to die or suffer serious physical harm).
63B
An offence under section 5 of the Terrorism Act 2006 (preparation of terrorist acts).
63C
An offence under section 6 of that Act (training for terrorism).
63D
An offence under section 9 of that Act (making or possession of radioactive device or
material).
63E
An offence under section 10 of that Act (use of radioactive device or material for terrorist
purposes etc).
63F
An offence under section 11 of that Act (terrorist threats relating to radioactive devices
etc).
64
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An offence of-(a) aiding, abetting, counselling, procuring or inciting the commission of an offence
specified in this Part of this Schedule,
(b) conspiring to commit an offence so specified, or
(c) attempting to commit an offence so specified.
65
An attempt to commit murder or a conspiracy to commit murder.
Part 2
Specified Sexual Offences
66
An offence under section 1 of the Sexual Offences Act 1956 (c 69) (rape).
67
An offence under section 2 of that Act (procurement of woman by threats).
68
An offence under section 3 of that Act (procurement of woman by false pretences).
69
An offence under section 4 of that Act (administering drugs to obtain or facilitate
intercourse).
70
An offence under section 5 of that Act (intercourse with girl under thirteen).
71
An offence under section 6 of that Act (intercourse with girl under 16).
72
An offence under section 7 of that Act (intercourse with a defective).
73
An offence under section 9 of that Act (procurement of a defective).
74
An offence under section 10 of that Act (incest by a man).
75
An offence under section 11 of that Act (incest by a woman).
76
An offence under section 14 of that Act (indecent assault on a woman).
77
An offence under section 15 of that Act (indecent assault on a man).
78
An offence under section 16 of that Act (assault with intent to commit buggery).
79
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An offence under section 17 of that Act (abduction of woman by force or for the sake of
her property).
80
An offence under section 19 of that Act (abduction of unmarried girl under eighteen from
parent or guardian).
81
An offence under section 20 of that Act (abduction of unmarried girl under sixteen from
parent or guardian).
82
An offence under section 21 of that Act (abduction of defective from parent or guardian).
83
An offence under section 22 of that Act (causing prostitution of women).
84
An offence under section 23 of that Act (procuration of girl under twenty-one).
85
An offence under section 24 of that Act (detention of woman in brothel).
86
An offence under section 25 of that Act (permitting girl under thirteen to use premises for
intercourse).
87
An offence under section 26 of that Act (permitting girl under sixteen to use premises for
intercourse).
88
An offence under section 27 of that Act (permitting defective to use premises for
intercourse).
89
An offence under section 28 of that Act (causing or encouraging the prostitution of,
intercourse with or indecent assault on girl under sixteen).
90
An offence under section 29 of that Act (causing or encouraging prostitution of defective).
91
An offence under section 32 of that Act (soliciting by men).
92
An offence under section 33 of that Act (keeping a brothel).
93
An offence under section 128 of the Mental Health Act 1959 (c 72) (sexual intercourse
with patients).
94
An offence under section 1 of the Indecency with Children Act 1960 (c 33) (indecent
conduct towards young child).
95
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An offence under section 4 of the Sexual Offences Act 1967 (c 60) (procuring others to
commit homosexual acts).
96
An offence under section 5 of that Act (living on earnings of male prostitution).
97
An offence under section 9 of the Theft Act 1968 (c 60) of burglary with intent to commit
rape.
98
An offence under section 54 of the Criminal Law Act 1977 (c 45) (inciting girl under
sixteen to have incestuous sexual intercourse).
99
An offence under section 1 of the Protection of Children Act 1978 (c 37) (indecent
photographs of children).
100
An offence under section 170 of the Customs and Excise Management Act 1979 (c 2)
(penalty for fraudulent evasion of duty etc) in relation to goods prohibited to be imported
under section 42 of the Customs Consolidation Act 1876 (c 36) (indecent or obscene
articles).
101
An offence under section 160 of the Criminal Justice Act 1988 (c 33) (possession of
indecent photograph of a child).
102
An offence under section 1 of the Sexual Offences Act 2003 (c 42) (rape).
103
An offence under section 2 of that Act (assault by penetration).
104
An offence under section 3 of that Act (sexual assault).
105
An offence under section 4 of that Act (causing a person to engage in sexual activity
without consent).
106
An offence under section 5 of that Act (rape of a child under 13).
107
An offence under section 6 of that Act (assault of a child under 13 by penetration).
108
An offence under section 7 of that Act (sexual assault of a child under 13).
109
An offence under section 8 of that Act (causing or inciting a child under 13 to engage in
sexual activity).
110
An offence under section 9 of that Act (sexual activity with a child).
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111
An offence under section 10 of that Act (causing or inciting a child to engage in sexual
activity).
112
An offence under section 11 of that Act (engaging in sexual activity in the presence of a
child).
113
An offence under section 12 of that Act (causing a child to watch a sexual act).
114
An offence under section 13 of that Act (child sex offences committed by children or
young persons).
115
An offence under section 14 of that Act (arranging or facilitating commission of a child
sex offence).
116
An offence under section 15 of that Act (meeting a child following sexual grooming etc).
117
An offence under section 16 of that Act (abuse of position of trust: sexual activity with a
child).
118
An offence under section 17 of that Act (abuse of position of trust: causing or inciting a
child to engage in sexual activity).
119
An offence under section 18 of that Act (abuse of position of trust: sexual activity in the
presence of a child).
120
An offence under section 19 of that Act (abuse of position of trust: causing a child to
watch a sexual act).
121
An offence under section 25 of that Act (sexual activity with a child family member).
122
An offence under section 26 of that Act (inciting a child family member to engage in
sexual activity).
123
An offence under section 30 of that Act (sexual activity with a person with a mental
disorder impeding choice).
124
An offence under section 31 of that Act (causing or inciting a person with a mental
disorder impeding choice to engage in sexual activity).
125
An offence under section 32 of that Act (engaging in sexual activity in the presence of a
person with a mental disorder impeding choice).
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126
An offence under section 33 of that Act (causing a person with a mental disorder
impeding choice to watch a sexual act).
127
An offence under section 34 of that Act (inducement, threat or deception to procure
sexual activity with a person with a mental disorder).
128
An offence under section 35 of that Act (causing a person with a mental disorder to
engage in or agree to engage in sexual activity by inducement, threat or deception).
129
An offence under section 36 of that Act (engaging in sexual activity in the presence,
procured by inducement, threat or deception, of a person with a mental disorder).
130
An offence under section 37 of that Act (causing a person with a mental disorder to watch
a sexual act by inducement, threat or deception).
131
An offence under section 38 of that Act (care workers: sexual activity with a person with a
mental disorder).
132
An offence under section 39 of that Act (care workers: causing or inciting sexual activity).
133
An offence under section 40 of that Act (care workers: sexual activity in the presence of a
person with a mental disorder).
134
An offence under section 41 of that Act (care workers: causing a person with a mental
disorder to watch a sexual act).
135
An offence under section 47 of that Act (paying for sexual services of a child).
136
An offence under section 48 of that Act (causing or inciting child prostitution or
pornography).
137
An offence under section 49 of that Act (controlling a child prostitute or a child involved in
pornography).
138
An offence under section 50 of that Act (arranging or facilitating child prostitution or
pornography).
139
An offence under section 52 of that Act (causing or inciting prostitution for gain).
140
An offence under section 53 of that Act (controlling prostitution for gain).
141
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An offence under section 57 of that Act (trafficking into the UK for sexual exploitation).
142
An offence under section 58 of that Act (trafficking within the UK for sexual exploitation).
143
An offence under section 59 of that Act (trafficking out of the UK for sexual exploitation).
143A*
An offence under section 59A of that Act (trafficking for sexual exploitation).
144
An offence under section 61 of that Act (administering a substance with intent).
145
An offence under section 62 of that Act (committing an offence with intent to commit a
sexual offence).
146
An offence under section 63 of that Act (trespass with intent to commit a sexual offence).
147
An offence under section 64 of that Act (sex with an adult relative: penetration).
148
An offence under section 65 of that Act (sex with an adult relative: consenting to
penetration).
149
An offence under section 66 of that Act (exposure).
150
An offence under section 67 of that Act (voyeurism).
151
An offence under section 69 of that Act (intercourse with an animal).
152
An offence under section 70 of that Act (sexual penetration of a corpse).
153
An offence of-(a) aiding, abetting, counselling, procuring or inciting the commission of an offence
specified in this Part of this Schedule,
(b) conspiring to commit an offence so specified, or
(c) attempting to commit an offence so specified.
*not yet in force (inserted by the Protection of Freedoms Act 2012)
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ANNEX B
List of prisons designated as being able to provide Restricted ROTL
Blantyre House**
Brixton*
Ford
Hatfield
Hewell*
Hollesley Bay
Kirkham
Kirklevington Grange
Leyhill
North Sea Camp
Norwich*
Prescoed
Spring Hill
Standford Hill
Sudbury
Thorn Cross
* = these are dual sites which provide both open and closed conditions. The offender must
be located in the open part of the sites prior to being able to apply for ROTL.
** = this site also holds Cat C offenders. Cat C offenders are not eligible for Restricted
ROTL
All female prisons have been designated as being able to provide Restricted ROTL for
offenders who have been categorised as ‘suitable for open conditions’.
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ANNEX C
ROTL Process Flowcharts

First planned ROTL and requests requiring fresh board (Standard)

First planned ROTL and requests requiring fresh board Restricted)

Review process for repeat requests not requiring a board (Standard and Restricted)

Emergency medical treatment SPL (Standard and Restricted)
Flowcharts
NB All Flowcharts are embedded in the Flowcharts pdf above
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PAGE 80
ANNEX D
ROTL Forms:
ROTL-APP
ROTL-APP SPL
MEDICAL
Application 1 - 5
ROTL- APP SPL
OTHER
OM ROTL LETTER
ROTL- APP RDR
ROTL -APP ROR
ROTL -APP CRL
Request for information from offender manager
ROTL OM Letter
ROTL-OM
Form for completion by offender manager
ROTL - OM
POLICE ROTL LETTER
Request for information from police (sent by OM)
ROTL Police Letter
ROTL-POL
Form for completion by police
ROTL - POL
ROTL-CHECKLIST
For ROTL dossier
ROTL- CHECKLIST
ROTL-REPORT
Report by Personal or other officer for the board
ROTL - OFFICER
REPORT
ROTL-RISK
Risk assessment
ROTL - RISK
ROTL BOARD-REVIEW
Board Recommendation, Decision and Review document
ROTL - BOARD
REVIEW
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ROTL-DEC
Notification of decision to offender
ROTL - DEC
ROTL-NOT
Notification of decision to police and offender manager
ROTL - NOT
ROTL-LIC
Licence
ROTL- LIC
ROTL-RELEASE
Log to assist authorised licence signatory
ROTL - RELEASE
ROTL-MED
Inability to return to prison due to medical reasons
ROTL-MED
ROTL-FNP
Request for information from Home Office Immigration
Enforcement (HOIE)
ROTL-FNP
ROTL-FDB
ROTL feedback form for the offender
ROTL - FDB
NB. Two interactive spreadsheets - one blank and one filled as an example are below.
These are offered as an optional admin support tool for those who wish to use them. The
forms will not be available on NOMIS but this is under review.
ROTL Completed
Example
ROTL Interactive
Input Tool
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ANNEX E
Regional Psychology Team email addresses:
North West psychology service =
NWPsychologyCluster1@hmps.gsi.gov.uk
Garth
Liverpool
Kennet
Haverigg
Lancaster Farms
Kirkham
Hindley
Preston
NWPsychologyCluster2@hmps.gsi.gov.uk
Wymott
Risley
Styal
Buckley Hall
Thorn Cross
Yorkshire & Humberside =
Y&HPS@hmps.gsi.gov.uk
North East =
NEPS@noms.gsi.gov.uk
West Midlands =
wmfps@hmps.gsi.gov.uk
East Midlands =
EastMidlandsPsychologyService@hmps.gsi.gov.uk
South Central =
SCPsychologicalServices@hmps.gsi.gov.uk
East of England =
EofEPsychologicalServices@hmps.gsi.gov.uk
Greater London =
GLPS@noms.gsi.gov.uk
Kent and Sussex =
Kent&SussexRegionalForensicPsychologyService@hmps.gsi.gov.uk
Wales =
Karen.declaire@hmps.gsi.gov.uk
South West =
SW-Psych-North@hmps.gsi.gov.uk
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ANNEX F
Model Memorandum of Understanding – Paid Placement
(This model placement Memorandum of Understanding is designed to cover
situations in which an offender undertakes any paid external placement. A separate
model Memorandum of Understanding covers unpaid external placements).
MEMORANDUM OF UNDERSTANDING
(PAID EXTERNAL PLACEMENT)
INTRODUCTION
1.
The purpose of this Memorandum of Understanding is to ensure that all those
who are party to it (the Offender, the Employer and the Establishment) are
aware of the arrangements under which the placement will take place.
2.
Nothing in this memorandum should be taken to prevent the employer
entering into a written contract of employment with the offender in preparation
for their release.
THE OFFENDER
3.
[Name of offender] is reminded that:
i.
ii.
iii.
iv.
v.
vi.
vii.
As a serving offender, he/she will be subject to Prison Rules
throughout the duration of the placement. Payments for work will, if
above the specified threshold, be subject to a levy under the Prisoners’
Earnings Act 1996. For further details, please see PSI 76/2011.
He/She will be released on Resettlement Day Release (RDR) to
undertake the placement. The RDR licence will specify the time,
location and purpose of the release. The terms of the RDR licence
may be varied only on the authority of the governor.
A copy of the RDR licence will be given to the employer by the
establishment at the start of the placement.
He/She must comply fully with the terms of the RDR licence and that
any breach of the terms of the licence may lead to disciplinary action
and the cancellation of the placement.
He/She must comply fully with the reasonable instructions of the
employer (and any of the employer’s employees who have
responsibility for him/her), particularly in relation to timekeeping,
performance and general conduct.
He/She must identify to the Establishment the bank account into which
the payments for their work will be made at least [xx] days in advance
of their employment beginning or, if the work begins within [same xx]
or fewer days of the offender obtaining the position, as soon as
possible. Failure to do so will mean that payments are delayed.
Failure to provide personal bank account details will result in the
offender not being permitted to undertake a paid work placement
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4.
[Name of offender] agrees to the disclosure of previous convictions, that is not
prohibited by the Rehabilitation of Offenders Act, to specified persons within
[name of employer] for use solely by [name of employer] in the management
of the placement, including checks on [name of offender] behaviour by
persons authorised to act on behalf of [name of establishment]. (See
paragraphs 5vii and 9iv, below).
THE EMPLOYER
5.
[Name of employer] is reminded that:
i.
ii.
iii.
iv.
They will ensure that the placement complies with all relevant health
and safety and equal opportunities legislation and will make available
certificates of insurance and certificates relating to safe working
practices for inspection by [name of establishment].
They will be clear about the range of work activities entailed in the
placement, and engage with us about any proposed changes to those
activities before they occur.
They will monitor the timekeeping, performance and general conduct
of [name of offender] and provide [name of establishment] with reports
at intervals of [
] weeks or as required.
They will facilitate a programme of checks by staff from [name of
establishment] to check on [name of offender]’s adherence to the terms
and conditions of their temporary. These will be of 4 types:




v.
Visit
Telephone (at least one per month)
Risk based (insert relevant frequency from Risk below)
Request of employer
The offender will be assessed to ascertain check requirement levels
as defined below:
Standard ROTL–the minimum requirement for spot checks for
STANDARD ROTL cases is that there must be visits in 10% of
cases per week.
Restricted ROTL–the minimum requirements for spot checks for
RESTRICTED ROTL cases are that there must be a telephone
check in 50% of cases per week and visits in 20% of cases per
week.
iv.
vi.
vi.
vii.
They will participate in meetings (on a timescale to be agreed with
[name of establishment] to review the progress of the placement.
In the event of any breach or suspected breach of the terms of his/her
RDR licence by [name of offender] or any breach of the Employer’s
own rules governing the conduct of its employees, [name of employer]
will inform [name of establishment] immediately.
They will not ask [name of offender] to do or not to do anything which
might constitute a breach of any condition(s) of his/her RDR licence.
They must not divulge to a third party any information about [name of
offender], and must immediately report any approaches from a third
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party. They must comply in all respects with the provisions of the Data
Protection Act 1998 and the two organisations will agree in writing the
names/positions of [name of employer]’s staff who will have access to
confidential information about [name of offender] who must in turn
have a copy of these details. (See paragraphs 4 and 9iv).
6.
[Name of employer] certifies that serving offenders do not constitute a majority
of its workforce and that its business is not dependent on offender labour.
7.
The amount of remuneration agreed between the governor and [the employer]
is [insert amount per hour].
8.
When setting the rate it is critical that due consideration is afforded to the risk
of the perception of under cutting the local workforce. Accordingly, there is an
explicit expectation that the level of remuneration is no lower than the level
which a member of the public would be expected to receive for the same task.
Where a wage lower than the National Minimum Wage is considered
appropriate in the initial stages of a placement, there should be a clear path
towards paying the National Minimum Wage by the three month point of any
placement or, if appropriate, at an earlier stage.
9.
Where the employer is providing meals or transport or other expenses which
an employee would normally be expected to fund themselves, the employer
may make appropriate deductions for these costs where these costs are
agreed with both the prison and the offender.
10.
[Name of employer] further confirms that gross pay less the deductions which
they make, such as income tax and National Insurance, to [name of offender]
will be made into NOMS Bank Account, details of which are set out below:
BACS PAYMENTS
Sort code
Account Number
Account Name
08-33-00
12307588
GBS Re NOMS Agency
CHEQUE AND CASH PAYMENTS
Bank Name
Account Number:
Sort code
Account Name
Natwest
10002383
60-70-80
GBS Re NOMS Agency
Payments must not be made direct to the offender
11.
[Name of employer] should provide the following information when making
payment which will enable Shared Services staff to identify the relevant
offender:
Name of employee (offender)
Prison number (if available)
Name of Employer
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12.
[Name of employer] will provide pay advice direct to the offender
THE ESTABLISHMENT
13.
[Name of establishment] is reminded that it will:
i.
Agree with the host organisation the criteria of offender with regards to
current and previous offences. Due consideration must be given to the
suitability of engagement in the activity, e.g. sector, interface either
directly or indirectly with children or other vulnerable groups etc.
ii.
Risk assess [name of offender] in relation to the nature of the
placement before RDR can be approved.
iii.
Assess the potential risks and public acceptability of the work activity
itself, and consider appropriate controls if placements are judged
appropriate.
iv.
Monitor [name of offender] compliance with the terms and objectives
of his/her RDR licence by means of site visits and telephone checks.
v.
Inform [name of employer] if [name of offender]‘s RDR licence is
suspended or withdrawn. This information will be provided as soon as
possible and, in the case of a suspension, information on the
reinstatement of the RDR licence will be supplied.
vi.
Provide information on [name of offender]‘s criminal record to [name of
employers] in confidence. (See paragraphs 4 and 5 vii, above).
(points vii to x are applicable to Public Sector Prisons only)
vii.
Provide the following information to the Shared Services:









viii
ix
x
Offender Name
Offender Number
Offender Release Date
Establishment
Employer
Value of payment to offender (net of PAYE)
Frequency – Weekly/monthly
Date Paid
Period Worked
Ensure offenders have completed personal bank account details and
submit to the Shared Services.
Ensure deduction statements prepared by the Shared Services are
issued to offenders.
Act as an intermediary between offender/employer and the Shared
Services.
GENERAL
14.
[Name of offender] will commence his/her placement at [
15.
His/Her hours of attendance will be [
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].
ISSUE DATE 24/03/2015
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16.
His/Her supervisor will be [
].
17.
His/Her main duties will be [
], and he/she will receive
appropriate training before undertaking these tasks.
18.
No special clothing/equipment will be required / the following special
clothing/equipment will be required.
[Identify whether special
clothing/equipment will be provided by the placement organisation, the
establishment or the offender].
19.
In the event of a dispute about the terms of this Memorandum of
Understanding, any resolution or variation of the terms must involve all those
who are party to it.
20.
The placement defined by this Memorandum of Understanding may be
terminated at any time by anyone who is a party to it.
21.
For the avoidance of doubt, nothing in this Memorandum of Understanding
shall create or shall be deemed to create a contract of service, a contract of
services or a partnership between any of the parties hereto, nor any rights or
obligations that are legally enforceable.
CONTACT POINTS
22.
For the Establishment:
[Name]
[Position/Role]
[Telephone number]
[e-mail address]
23.
For the Employer:
[Name]
[Position/Role]
[Telephone number]
[e-mail address]
SIGNATORIES TO THE AGREEMENT
24.
For the Establishment:
[Signature]
[Name]
[Position/Role]
[Date]
25.
For the Employer:
[Signature]
[Name]
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PAGE 88
[Position/Role]
[Date]
26.
Offender:
[Signature]
[Name]
[Date]
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PAGE 89
ANNEX G
Model Memorandum of Understanding – Unpaid Placement
(This model placement Memorandum of Understanding is designed to cover
situations in which an offender undertakes any unpaid external placement. A
separate model Memorandum of Understanding covers paid external placements).
MEMORANDUM OF UNDERSTANDING
(UNPAID EXTERNAL PLACEMENT)
INTRODUCTION
1.
The purpose of this Memorandum of Understanding is to ensure that all those
who are party to it (the Offender, the Employer and the Establishment) are
aware of the arrangements under which the placement will take place.
2.
Nothing in this memorandum should be taken to prevent the employer
entering into a written contract of employment with the offender in preparation
for their release.
THE OFFENDER
3.
[Name of offender] is reminded that:
i.
ii.
iii.
iv.
viii.
4.
As a serving offender, he/she will be subject to Prison Rules
throughout the duration of the placement.
He/She will be released on Resettlement Day Release (RDR) to
undertake the placement. The RDR licence will specify the time,
location and purpose of the release. The terms of the RDR licence
may be varied only on the authority of the governor.
A copy of the RDR licence will be given to the employer by the
establishment at the start of the placement.
He/She must comply fully with the terms of the RDR licence and that
any breach of the terms of the licence may lead to disciplinary action
and the cancellation of the placement.
He/She must comply fully with the reasonable instructions of the
employer (and any of the employer’s employees who have
responsibility for him/her), particularly in relation to timekeeping,
performance and general conduct.
[Name of offender] agrees to the disclosure of previous convictions, that is not
prohibited by the Rehabilitation of Offenders Act, to specified persons within
[name of employer] for use solely by [name of employer] in the management
of the placement, including checks on [name of offender] behaviour by
persons authorised to act on behalf of [name of establishment]. (See
paragraphs 5vii and 9iv, below).
THE EMPLOYER
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ISSUE DATE 24/03/2015
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5.
[Name of employer] is reminded that:
i.
ii.
iii.
iv.
They will ensure that the placement complies with all relevant health
and safety and equal opportunities legislation and will make available
certificates of insurance and certificates relating to safe working
practices for inspection by [name of establishment].
They will be clear about the range of work activities entailed in the
placement, and engage with us about any proposed changes to those
activities or the premise where they take place before they occur.
They will monitor the timekeeping, performance and general conduct
of [name of offender] and provide [name of establishment] with reports
at intervals of [
] weeks or as required.
They will facilitate a programme of checks by staff from [name of
establishment] to check on [name of offender]’s adherence to the
terms and conditions of their temporary. These will be of 4 types:




v.
Visit
Telephone (at least one per month)
Risk based (insert relevant frequency from Risk below)
Request of employer
The offender will be assessed to ascertain check requirement levels as
defined below:
Standard ROTL–the minimum requirement for spot checks for ALL
STANDARD ROTL cases is that there must be visits in 10% of
cases per week.
Restricted ROTL–the minimum requirements for spot checks for
ALL RESTRICTED ROTL cases are that there must be a telephone
check in 50% of cases per week and visits in 20% of cases per
week.
v.
vi.
vi.
vii.
6.
They will participate in meetings (on a timescale to be agreed with
[name of establishment] to review the progress of the placement.
In the event of any breach or suspected breach of the terms of his/her
RDR licence by [name of offender] or any breach of the Employer’s
own rules governing the conduct of its employees, [name of employer]
will inform [name of establishment] immediately.
They will not ask [name of offender] to do or not to do anything which
might constitute a breach of any condition(s) of his/her RDR licence.
They must not to divulge to a third party any information about [name
of offender], and must immediately report any approaches from a third
party. They must comply in all respects with the provisions of the Data
Protection Act 1998 and the two organisations will agree in writing the
names/positions of [name of employer]’s staff who will have access to
confidential information about [name of offender] who must in turn
have a copy of these details. (See paragraphs 4 and 9iv).
[Name of employer] certifies that serving offenders do not constitute a majority
of its workforce and that its business is not dependent on offender labour.
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THE ESTABLISHMENT
7.
[Name of establishment] is reminded that it will:
vii.
Agree with the host organisation the criteria of offender with regards to
current and previous offences. Due consideration must be given to the
suitability of engagement in the activity, e.g. sector, interface either
directly or indirectly with children or other vulnerable groups etc.
viii.
Risk assess [name of offender] in relation to the nature of the
placement before RDR can be approved.
ix.
Assess the potential risks and public acceptability of the work activity
itself, and consider appropriate controls if placements are judged
appropriate.
x.
Monitor [name of offender]‘s compliance with the terms and objectives
of his/her RDR licence by means of site visits and telephone checks.
xi.
Inform [name of employer] if [name of offender]‘s RDR licence is
suspended or withdrawn. This information will be provided as soon as
possible and, in the case of a suspension, information on the
reinstatement of the RDR licence will be supplied.
xii.
Provide information on [name of offender] criminal record to [name of
employers] in confidence. (See paragraphs 4 and 5 vii, above).
GENERAL
8.
[Name of offender] will commence his/her placement at [
] on [date].
9.
His/Her hours of attendance will be [
].
10.
His/Her supervisor will be [
].
11.
His/Her main duties will be [
], and he/she will receive
appropriate training before undertaking these tasks.
12.
No special clothing/equipment will be required / the following special
clothing/equipment will be required.
[Identify whether special
clothing/equipment will be provided by the placement organisation, the
establishment or the offender].
13.
In the event of a dispute about the terms of this Memorandum of
Understanding, any resolution or variation of the terms must involve all those
who are party to it.
14.
The placement defined by this Memorandum of Understanding may be
terminated at any time by anyone who is a party to it.
15.
For the avoidance of doubt, nothing in this Memorandum of Understanding
shall create or shall be deemed to create a contract of service, a contract of
services or a partnership between any of the parties hereto, nor any rights or
obligations that are legally enforceable.
CONTACT POINTS
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16.
For the Establishment:
[Name]
[Position/Role]
[Telephone number]
[e-mail address]
17.
For the Employer:
[Name]
[Position/Role]
[Telephone number]
[e-mail address]
SIGNATORIES TO THE AGREEMENT
18.
For the Establishment:
[Signature]
[Name]
[Position/Role]
[Date]
19.
For the Employer:
[Signature]
[Name]
[Position/Role]
[Date]
20.
Offender:
[Signature]
[Name]
[Date]
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ANNEX H
Memorandum of Understanding for CSV Placements
CSV Volunteering Partners has been in receipt of an annual grant from the Prison Service
since 1984. The grant covers the provision of up to 150 volunteering placements per year for
offenders who are reaching the end of their sentence.
The purpose of this Memorandum of Understanding is to ensure that all those who are party
to it (the offender, the placement organisation, Community Service Volunteers (CSV), the
offender manager and the establishment) are aware of and understand the arrangements
under which the volunteer placement will take place.
Summary of Responsibilities – CSV/ Prison Service Pre-Release Scheme
CSV will:
1.
Interview and match all eligible offenders nominated by participating prisons
with suitable volunteering opportunities.
2.
Confirm the details of all placements in writing to the volunteer and Prison Link
Officer.
3.
Visit each volunteer at least once during the placement period. All volunteers
will be contacted at the end of their first week. All placements will be contacted
at least weekly to check on progress.
4.
Through the Placement Supervisor, monitor the volunteer’s timekeeping,
performance and conduct, and provide the prison and the volunteer with
copies of the final report on achievements at the end of each placement
5.
Ensure that placements comply with all Health & Safety regulations currently
in force.
6.
Ensure that each placement organisation has the relevant insurance cover
and has completed a full risk assessment on the volunteer’s role including
appropriate DBS checks for those volunteering in placements working with
vulnerable people or children.
7.
Ensure that placements are aware of a volunteer’s licence conditions and that
they do not ask the offender to carry out any activity which may cause a
breach. All breaches to be reported immediately to the prison.
8.
Liaise closely with the Prison Link Officer on all matters affecting volunteers in
their placements and act as the first point of contact for both prison and
placement staff.
9.
Ensure that arrangements are made to cover for absent staff and provide
contact details to Prison Link Officers and Placement Supervisors.
10.
Comply with all security regulations and good practice guidelines set out in
“An Introduction to Working with the Prison Service,” (HM Prison Service June
2002)2.
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11.
Treat all personal information about volunteers, including details of criminal
records, in accordance with CSV’s responsibilities under the Data Protection
Act 1998 and ensure that all placement organisations maintain the same
approach in relation to this material. (See paragraph 18, below).
12.
Provide all volunteers who complete placements with a certificate of
achievement. Volunteers aged 16 to 25 will also receive accreditation through
the Millennium Volunteers scheme
13.
Ensure that placement providers are aware that the prison may wish to visit
during the placement of an offender volunteer and help to facilitate such visits.
14.
Publish a complaints procedure and deal with all complaints in accordance
with CSV’s Complaints Policy.
15.
Ensure that there are adequate control measures and contact arrangements
in place at the volunteer’s accommodation to enable checks to be made on
the offender’s whereabouts.
16.
CSV will provide the prison with an end of placement report (as under 4
above). The Prison will forward a copy of this to the offender manager.
The Prison will:
17.
Nominate a Prison Link Officer to liaise with CSV on all matters connected
with the scheme.
18.
Provide CSV with risk assessment information which will assist it in arranging
a safe and effective placement, together with details of each offender’s
previous convictions. Establishments must take care to divulge only those
details of an offender’s previous convictions which are permitted by the
Rehabilitation of Offenders Act. (Further information on this aspect can be
found in PSO 2300, Annex A, paragraph 77).
19.
Identify and refer eligible volunteers
20.
Ensure that all offenders put forward are risk assessed and eligible for Release
on Temporary Licence before they are referred to CSV.
21.
Inform the offender manager (where there is one) once a placement has been
identified by CSV.
22.
Where there is not an offender manager (e.g. offenders serving a sentence of
less than 12 months) the prison will notify the Probation/CRC Area in which a
placement is to be undertaken (see point 32 below).
23.
Provide all information required on the Application Form including details of all
previous convictions. (See paragraph 18, above).
24.
Keep CSV informed of any change in circumstances that might affect an
individual offender’s ability to volunteer.
25.
Avoid, as far as possible, transferring participating offenders to other
establishments.
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26.
Provide CSV staff with an induction into safe working practices as set out in
“An Introduction to Working with the Prison Service3
27.
Provide CSV and the placement organisation with copies of each offender’s
licence conditions.
28.
Pay for or provide transport for volunteers to attend their placements and the
volunteer’s weekly allowance.
29.
Ensure that participating offenders are provided with adequate and
appropriate clothing and sufficient cash to cover incidental expenses while
travelling to the placement.
30.
Make arrangements in advance with CSV to visit the volunteer on placement,
(where this is appropriate and feasible).
31.
Undertake other checks on the offender by means of telephone calls to the
offender or to his/her placement or accommodation.
The offender manager will:
32.
The offender manager will notify the Probation/CRC Office for the area in
which the placement is to be undertaken. They will also highlight any
significant risk issues that have been identified in the referral process. As
appropriate the Police in that area will also be informed, for example, where
the offender is a prolific or other priority offender (PPO).
33.
The Probation/CRC Office in the placement area will maintain a log of
offenders from ‘other’ Areas temporarily resident in the placement and be
prepared to offer support to the offender/OM/placement provider in case of a
crisis situation arising.
34.
Where the offender expresses an interest in continuing with the project on
release, liaison with the Probation Service/CRC whose area the project is
located will be commenced at the earliest opportunity. This is the responsibility
of the offender manager.
35.
Make arrangements in advance with CSV to visit the volunteer on placement.
The offender is reminded that:
36.
As a serving offender you are subject to Prison Service rules or YOI rules
throughout your time as a CSV volunteer.
37.
You are released on Resettlement Overnight Release to undertake the CSV
placement. Your release Licence will specify the time, location and purpose of
the release. The terms of the Licence may be varied only on the authority of
the prison governor.
38.
A copy of your Licence will be given to the placement organisation by the
prison/ YOI at the start of your placement.
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39.
You must comply fully with the terms of the Licence and any breach of the
terms of the licence may lead to disciplinary action and the cancellation of the
placement.
40.
You must comply fully with the reasonable requirements of the placement
organisation, as laid out in the volunteer role description, particularly in relation
to timekeeping, performance, conduct and the conditions of the Licence. Any
breach may result in the termination of the placement and your immediate
return to prison.
The Placement Organisation
41.
The placement organisation will not sign a Memorandum of Understanding for
each individual placement, but it will sign an overarching agreement in respect
of the undertakings and conditions set out above, and its own responsibilities,
as set out immediately below.
The Placement Organisation will:
42.
Appoint a named placement supervisor to oversee the work of all volunteers
and to meet with him/her to give regular feedback.
43.
Treat all information about volunteers provided by CSV and HM Prison Service
in strict confidence, in accordance with the Data Protection Act 1998.
44.
Make a decision on each volunteer offered on the information provided by CSV
and without re-interviewing the volunteer.
45.
Provide accurate and up to date details of the placement, including the
volunteer’s duties and emergency contact arrangements (including out of
hours arrangements).
46.
Provide each volunteer with an induction and further training as appropriate.
47.
Comply with all Health & Safety regulations including the provision of evidence
that a proper Health & Safety Policy is in place and completing risk
assessments on volunteer roles.
48.
Provide volunteers with accommodation, meals or a weekly ‘food allowance’
and meet all incidental expenses incurred by the volunteer in the course of
his/her duties.
49.
Allow volunteers at least one day (and possibly two) off per week.
50.
Liaise with CSV and the referring prison over visits by Prison Service staff
during the volunteer’s stay. This to include offender managers and/or offender
supervisors.
51.
Immediately inform CSV of any possible breach of licence conditions and liaise
closely with CSV over all matters that might affect the volunteer’s placement.
Should it not be possible to contact CSV, the Placement Supervisor must
contact the Prison Link Officer or a manager of the prison.
52.
Maintain a record of each volunteer’s attendance and to report all unexplained
absences to CSV immediately.
53.
Participate in review meetings convened by CSV.
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SIGNATORIES
For the establishment:
[Signature]
[Name]
[Position/Role]
[Date]
Offender Manager/Supervisor;
[Signature]
[Name]
[Position/Role]
[Date]
For CSV:
[Signature]
[Name]
[Position/Role]
[Date]
Offender:
[Signature]
[Name]
[Date]
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ANNEX J
Assessing the risk presented by offenders who are subject to immigration procedures.
Which offenders should this process be applied to
1.
The guidance below concerns the “strengthened” risk assessment required prior to
making decisions on granting ROTL to, or categorising to open conditions, those
offenders who are facing deportation or removal procedures (as defined in the main
body of this instruction – Chapter 10). It should also be used for making decisions on
retaining in open conditions offenders whose deportation status changes (para 14
below).
Risk assessments must be undertaken on the presumption that
deportation/removal will take place. These offenders must not be
categorised/continue to be categorised to open conditions or granted ROTL unless
they are judged to be of very low risk of absconding and therefore frustrating the
intention to deport or to remove from the UK.
Which offenders do not need the strengthened risk assessment
2.
The strengthened risk assessment does not need to be undertaken on offenders in
closed conditions with a deportation order and who have no avenue of appeal
remaining within the UK – these offenders are not allowed under prison rules to be
considered for ROTL or open conditions (unless they are already located in open
conditions - see paras 13 to 17 below) and there is therefore no need for a risk
assessment.
3.
The following Foreign National Offenders will receive a normal risk assessment for
ROTL and open conditions where information returned from the Home Office show
them to fall into one of the following categories - those who:



The Home Office have confirmed do not match the initial criteria for
deportation; or
have been considered for deportation by the Home Office and it has been
decided that they may remain in the UK.
there are no removal procedures underway against them.
The strengthened risk assessment process – how it differs
4.
Individual risk assessments must be undertaken for each offender in line with policy
set out in PSI 13/2015 - PI 10/2015 instruction (for ROTL) and in PSIs 39/2011,
40/2011 and 41/2011 (for Categorisation).Before a risk assessment is undertaken upto-date information must be requested from the Home Office (see para 11) using the
standard forms provided for ROTL (ROTL-FNP) and for categorisation (CCD3).
5.
The purpose of the form is to ask HOIE for evidence/information about any issue
which might impact on the offender’s likelihood/incentive to abscond/fail to return or
conversely, information which might indicate that the offender is unlikely to abscond
and has previously complied with immigration conditions.
6.
Any information provided by HOIE which might indicate that the offender is likely to
use the lower security conditions to abscond from prison or to use ROTL in order to
evade possible removal action must be considered in the round as part of the wider
risk assessment of the offender. That assessment will take account not only of
abscond risk, but also risk of harm to the public and whether the offender’s specific
risks/behaviours can be managed in conditions of low security or on temporary
release. An offender may, for example, be at very low risk of abscond in relation to
their deportation status, but may present a very high risk of abscond/ROTL failure
because of problems with alcohol/drugs.
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7.
Before being categorised suitable for open conditions or granted ROTL, all offenders
(not just those facing deportation/removal procedures) must be assessed as low risk
of abscond and low risk of harm to the public in the event of an abscond or failure to
return. In the case of categorisation, consideration must also be given to any control
issues which might impact on the security and good order of the prison and the safety
of those within it.
8.
Those facing deportation/removal must not only meet these criteria, in order to be
assessed suitable for categorisation to open conditions or ROTL, they must
additionally be assessed against the risk factors set out in this annex which are
intended to take account of any additional risks associated with their deportation
status. Some offenders liable for deportation will have an increased incentive to
abscond/fail to return (over and above any general abscond risks) as a means of
evading the removal process.
9.
There is a presumption that offenders who are being considered by the Home Office
for deportation (or for removal), will be assessed as suitable for ROTL and for
transferring or remaining in open conditions only where there is a very low risk of their
seeking to frustrate the intention to deport/remove by absconding. In assessing these
offenders there must be an assumption that the deportation/removal will take place.
10.
There are additional factors to consider with offenders facing removal or deportation
including:

The risk that they will use the low security of the open estate or temporary
release to evade not only custody but also possible removal/deportation
action.

This risk may be heightened in circumstances where it is known the offender
is unwilling to be removed/deported from the UK and has previously sought to
frustrate or evade the immigration process, for example - through their
previous failure to comply with immigration restrictions, immigration bail or via
the terms of leave in the UK, or because they have previously absconded from
an IRC.

Previous failures within prison also need to be considered, not only in terms
of failures to return from previous ROTL but also late returns and other failures
to comply with prison rules and regulations that may indicate an inclination to
abuse the privilege afforded by open conditions or ROTL and abscond or fail
to return when considered in conjunction with their deportation status.

Any previous failure of this nature in prison or immigration custody should
normally be seen as proof of not falling within the “very low risk” of abscond
category.

Risk may be lessened where the offender is known to be cooperative and is
seeking to return to his or her home country.

Other factors indicating lower risk may include strong family ties in this country
or other factor that might indicate that the offender would not wish to jeopardise
his or her chances of successfully appealing and remaining in this country.
Obtaining additional risk information – closed or open prisons
11.
Policy already requires that Home Office Immigration Enforcement (HOIE) is
contacted in advance of making a decision regarding categorisation or applications
for ROTL of any foreign national offender. The purpose of this contact is to obtain any
information relevant to the individual risk assessment process and specifically, in
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relation to the risk of abscond. HOIE are therefore asked to provide any information
on the likelihood of removal action; any indication that the offender is contesting
removal action; whether the normal avenues of appeal have been exhausted or timeexpired; history of failure to comply with immigration conditions; previous absconds
from immigration custody; history of deception to enter/remain or evade removal or
failure to comply with the directions of HOIE.
12.
Prisons must ensure, in line with current policy, that the appropriate forms are sent to
and have been completed and returned by HOIE before any consideration is made of
an offender’s suitability for ROTL or open conditions. The information provided by
HOIE is to be assessed as one part of the wider risk assessment of the offender, but
prisons must be satisfied that there is a very low risk of the offender seeking to
frustrate the intention to deport by absconding.
Security considerations for those already in open prison
13.
Prison rules prohibit those offenders in closed conditions with a deportation order from
being categorised as suitable for open conditions if they have exhausted their appeal
rights within the UK. There is no such general ban on those offenders already in the
open estate when the appeal process is exhausted and open prisons have the option
of retaining these prisons in open conditions if they satisfy the very low risk criteria
outlined above.
14.
Prisons must, however re-consider the risk assessment for these offenders when a
change of circumstances occurs. This includes offenders who receive:




a decision that their appeal has been dismissed or whose appeal rights within
the UK have been exhausted;
a notification of liability to deport;
a deportation order;
any other notification of removal (e.g. as an illegal entrant).
15.
If the prison judges that receipt of any of the above notifications might result in an
immediate risk of abscond or failure to return from ROTL, then it may be necessary
for the offender to be securely detained and returned to the closed estate where his
or her categorisation must be reviewed as quickly as possible by the receiving prison
with input from the sending prison and updated information from HOIE. The fact that
an offender may be temporarily returned to the closed estate to enable a review of
category to be undertaken in secure conditions must not influence the eventual
outcome of that review. Where it is decided that the offender is sufficiently low risk to
return to the open estate, the offender should retain his or her Category D/Open status
and be returned to open conditions as soon as possible so as to minimise disruption
to resettlement activity.
16.
Where the prison assess that it is safe to review the offender’s categorisation/ROTL
eligibility while they remain in open conditions, then the offender should remain in the
open estate but have any planned ROTL cancelled until the review is completed. This
review must be completed as soon as possible to avoid unnecessary disruption to
resettlement activity should the offender subsequently be assessed as appropriate for
open/ROTL.
17.
In the case of Indeterminate Sentence Prisoners (ISPs), the process set out in
Chapter 4 of PSO 4700 must be followed and a “Life and Indeterminate Sentence
Prisoner” (LISP4) form must be completed promptly, to inform PPCS of this action.
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ANNEX K
SERIOUS FURTHER OFFENCE LIST
IN ADDITION TO THE SUBSTANTIVE OFFENCES BELOW, AIDING, ABETTING,
COUNSELLING, PROCURING OR INCITING THE COMMISSION, OR CONSPIRING TO
COMMIT, OR ATTEMPTING TO COMMIT ANY OF THE LISTED OFFENCES
CONSTITUTES A SERIOUS FURTHER OFFENCE.
Violent Serious Further Offences
Murder
Attempt to commit murder or a conspiracy to commit murder
Manslaughter
Kidnapping
False imprisonment
Soliciting murder (section 4 of the Offences against the Person Act 1861)
Attempting to choke, suffocate or strangle in order to commit or assist in committing an indictable
offence (section 21 of the Offences against the Person Act 1861)
Using chloroform etc. to commit or assist in the committing of any indictable offence (section 22 of
the Offences against the Person Act 1861)
Causing bodily injury by explosives (section 28 of the Offences against the Person Act 1861)
Using explosives etc. with intent to do grievous bodily harm (section 29 of the Offences against the
Person Act 1861)
Placing explosives etc. with intent to do bodily injury (section 30 of the Offences against the
Person Act 1861)
Endangering the safety of railway passengers (section 32 of the Offences against the Person Act
1861)
Causing explosion likely to endanger life or property (section 2 of the Explosive Substances Act
1883)
Attempt to cause explosion, or making or keeping explosive with intent to endanger life or property
(section 3 of the Explosive Substances Act 1883)
Child destruction (section 1 of the Infant Life (Preservation) Act 1929)
Infanticide (section 1 of the Infanticide Act 1938)
Causing or allowing the death of a child or vulnerable adult, also called 'familial homicide' (Section
5 of the Domestic Violence, Crime and Victims Act 2004)
Possession of firearm with intent to endanger life (section 16 of the Firearms Act 1968)
Use of firearm to resist arrest (section 17(1) of the Firearms Act 1968)
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Possession of firearm at time of committing or being arrested for offence specified in Schedule 1
to that Act (section 17(2) of the Firearms Act 1968}
Carrying a firearm with criminal intent (section 18 of the Firearms Act 1968)
Robbery or assault with intent to rob (section 8(1) of the theft Act 1968). [NB. Only where a
firearm/imitation firearm is used]
Burglary with intent to- Inflict grievous bodily harm on a person, (section 9 of the Theft Act 1968) –
Aggravated burglary (section 10 of the Theft Act 1968)
Aggravated vehicle-taking involving an accident which caused the death of any person (Section
12A of the Theft Act 1968)
Arson with intent to endanger life of another or being reckless as to whether the life of another
would be thereby endangered. (section 1 of the Criminal Damage Act 1971)
Aggravated criminal damage - destroying or damaging property other than an offence of arson
(section 1(2a) of the Criminal Damage Act 1971)
[NB -- there must be intention or recklessness as to the endangerment of life by the criminal
damage].
Hostage-taking (section 1 of the Taking of Hostages Act 1982)
Hijacking (section 1 of the Aviation Security Act 1982)
Destroying, damaging or endangering safety of aircraft (section 2 of the Aviation Security Act
1982)
Other acts endangering or likely to endanger safety of aircraft (section 3 of the Aviation Security
Act 1982)
Torture (section 134 of the Criminal Justice Act 1988)
Causing death by dangerous driving (section 1 of the Road Traffic Act 1988)
Causing death by careless driving when under influence of drink or drugs (section 3A of the Road
Traffic Act 1988)
Endangering safety at aerodromes (under section 1 of the Aviation and Maritime Security Act
1990)
Hijacking of ships (section 9 of the Aviation and Maritime Security Act 1990)
Seizing or exercising control of fixed platforms (section 10 of the Aviation and Maritime Security
Act 1990)
Destroying fixed platforms or endangering their safety (section 11 of the Aviation and Maritime
Security Act 1990)
Other acts endangering or likely to endanger safe navigation (section 12 of the Aviation and
Maritime Security Act 1990)
Offences involving threats (section 13 of the Aviation and Maritime Security Act 1990)
Offences relating to Channel Tunnel trains and the tunnel system (Part II of the Channel Tunnel
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(Security) Order 1994 (S.I. 1994/570))
Genocide, crimes against humanity, war crimes and related offences), other than one involving
murder (section 51 or 52 of the International Criminal Court Act 2001)
Female genital mutilation (section 1 of the Female Genital Mutilation Act 2003)
Assisting a girl to mutilate her own genitalia (section 2 of the Female Genital Mutilation Act 2003)
Assisting a non-UK person to mutilate overseas a girl's genitalia (section 3 of the Female Genital
Mutilation Act 2003)
Sexual Serious Further Offences
Rape or assault by penetration (section 1 or 2 of the Sexual Offences Act 2003)
Intercourse with girl under thirteen (section 5 of the Sexual Offences Act 1956)
Incest by a man with a woman whom he knows to be his grand-daughter, daughter, sister or
mother (section 10(1) of the Sexual Offences Act 1956)
Abduction of woman by force or for the sake of her property (section 17 of the Sexual Offences
Act 1956)
Permitting girl under thirteen to use premises for intercourse (section 25 of the Sexual Offences
Act 1956)
Burglary with intent to commit rape (section 9 of the Theft Act 1968)
Rape (section 1 of the Sexual Offences Act 2003)
Assault by penetration (section 2 of the Sexual Offences Act 2003)
Rape of a child under 13 (section 5 of the Sexual Offences Act 2003)
Assault of a child under 13 by penetration (section 6 of the Sexual Offences Act 2003)
Sexual assault of a child under 13 (section 7 of the Sexual Offences Act 2003)
Causing or inciting a child under 13 to engage in sexual activity (section 8 of the Sexual Offences
Act 2003)
Sexual activity with a child (section 9 of the Sexual Offences Act 2003)
Causing or inciting a child to engage in sexual activity (section 10 of the Sexual Offences Act
2003)
Arranging or facilitating commission of a child sex offence (section 14 of the Sexual Offences Act
2003)
Sexual activity with a child family member (section 25 of the Sexual Offences Act 2003)
Inciting a child family member to engage in sexual activity (section 26 of the Sexual Offences Act
2003)
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Sexual activity with a person with a mental disorder impeding choice (section 30 of the Sexual
Offences Act 2003)
Causing or inciting a person with a mental disorder impeding choice to engage in sexual activity
(section 31 of the Sexual Offences Act 2003)
Inducement, threat or deception to procure sexual activity with a person with a mental disorder
(section 34 of the Sexual Offences Act 2003)
Causing a person with a mental disorder to engage in or agree to engage in sexual activity by
inducement, threat or deception (section 35 of the Sexual Offences Act 2003)
Paying for sexual services of a child (section 47 of the Sexual Offences Act 2003)
Causing or inciting child prostitution or pornography (section 48 of the Sexual Offences Act 2003)
Controlling a child prostitute or a child involved in pornography (section 49 of the Sexual Offences
Act 2003)
Arranging or facilitating child prostitution or pornography (section 50 of the Sexual Offences Act
2003)
Trafficking into the UK for sexual exploitation (section 57 of the Sexual Offences Act 2003)
Trafficking within the UK for sexual exploitation (section 58 of the Sexual Offences Act 2003)
Trafficking out of the UK for sexual exploitation (section 59 of the Sexual Offences Act 2003)
Causing a person to engage in sexual activity without consent (Section 4 Sexual Offences Act
2003)
Note: only where penetration is involved
Care workers: Sexual activity with a person with a mental disorder (Section 38 Sexual Offences
Act
2003) note: only where penetration is involved
Care workers: causing or inciting sexual activity (Section 39 Sexual Offences Act 2003) note: only
where penetration is involved
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ANNEX L
ROTL Suspension/Punishment Guidance
Type of failure
Period of suspension of ROTL/Punishment
STANDARD ROTL
Restricted ROTL
 All (each and every) temporary release failure must be treated as a potential disciplinary offence.
 When an offender fails at temporary release there must be an immediate suspension of ROTL and a suspension of privileges following
adjudication.
 Where an adjudicator is satisfied that a disciplinary offence has taken place they will set the punishment (award) in accordance with the
parameters of with PSI 47/2011.
 Repeat ROTL failures (even at the lower end) should result in more punitive consequences and longer suspensions should be considered. The
purpose of the suspension is to allow the prisoner to–rebuild trust and to reflect upon their behaviour and its consequences
Proven late
Minimum 28 day suspension of ROTL;
Minimum 35 day suspension of ROTL; consideration given to further disciplinary
return of 2 hours local consideration given to further
procedures under PSI 47/2011
or less
disciplinary procedures under PSI
47/2011
Proven late
Minimum 42 day suspension of ROTL;
Minimum 42 day suspension of ROTL; consideration given to further disciplinary
return of more
local consideration given to further
procedures under PSI 47/2011
than 2 hours
disciplinary procedures under PSI
47/2011
Proven failure of Minimum 35 day suspension of ROTL;
Minimum 42 day suspension of ROTL; consideration given to further disciplinary
other ROTL
local consideration given to further
procedures under PSI 47/2011
licence
disciplinary procedures under PSI
conditions
47/2011
PSI 13/2015 - PI 10/2015
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Non return
(UAL)
Suspend all ROTL indefinitely;
recategorisation and return to closed
conditions when return/recapture; open
adjudication awaiting police/CPS
consideration of prosecution; if no
prosecution then consider referring to
independent adjudicator for additional
days (additional days only available for
determinates). Following
recategorisation, the prisoner will be
excluded from ROTL (see chapter 7)
Type of failure
Charged with any
offence whilst on
ROTL
Convicted of an
offence committed
whilst on ROTL
PSI 13/2015 - PI 10/2015
STANDARD ROTL
Suspend all ROTL indefinitely;
recategorisation and return to closed
conditions when return/recapture; open
adjudication awaiting police/CPS
consideration of prosecution; if no
prosecution then consider referring to
independent adjudicator for additional
days (additional days only available for
determinates). Following
recategorisation, the prisoner will be
excluded from ROTL if convicted(see
chapter 7)
Suspend all ROTL indefinitely; recategorisation and return to closed conditions
when returned/recaptured; open adjudication awaiting police/CPS consideration of
prosecution; if no prosecution then consider referring to independent adjudicator
for additional days (additional days only available for determinates). Following
recategorisation, the prisoner will be excluded from ROTL (see chapter 7)
Period of suspension of ROTL/Punishment
Restricted ROTL
Suspend all ROTL indefinitely; recategorisation and return to closed conditions
when return/recapture; open adjudication awaiting police/CPS consideration of
prosecution; if no prosecution then strongly consider referring to independent
adjudicator for additional days (additional days only available for determinates).
Following recategorisation, the prisoner will be excluded from ROTL if convicted
(see chapter 7)
Excluded from ROTL in the absence of
exceptional circumstances (see Chapter
6).
Excluded from ROTL in the absence of exceptional circumstances (see Chapter
6).
ISSUE DATE 24/03/2015
PAGE 108
ANNEX M
Review Process – Flow Chart
Failure identified
Suspend ROTL and conduct ‘Immediate
Suitability Review’:
At least orderly officer and duty governor
present
Alleged SFO
committed
Place offender on
report
Issue informal warning
(local discretion)
Continue ROTL
suspension
Failure to return:
Notify Authorities
UAL
Allow continued
ROTL
Submit to SFO
Team
Review case through local
IRMT meeting:
- Consider further review
- Consider removal
- Consider need to
escalate case to DDC
If deemed necessary
Conduct
Adjudication
Adjudication
proven
Use ROTL
suspension
guidance to deal
with locally
PSI 13/2015 - PI 10/2015
Adjudication
unproven
Offender eligible
for ROTL again,
subject to further
board decision
Escalate to DDC
ISSUE DATE 24/03/2015
PAGE 109
ANNEX N
To:
Date:
RESTRICTED RoTL FAILURE OF (Insert offender name and number) ON (Insert date of failure)
FROM (Insert establishment)
You are directed by (Insert name of DDC and Region) to examine the circumstances of the Release
on Temporary Licence failure of (Insert offender name and number) on (Insert date of failure) from
(Insert establishment) and report.
Your report should take account of the overarching aims of the resettlement of offenders and our
obligation to protect the public by the rigorous and appropriate application of Release on Temporary
Licence.
In particular, using the template provided, you should establish:

What happened;

Whether the decision to grant RoTL was reasonable and defensible;

Whether the requirements of PSO6300 and the interim RoTL instruction published on 28th
May 2014 were followed;

Whether there was a clear and established need for RoTL and the frequency of RoTL events
for (Insert offender name and number) was commensurate with the need;

Whether due regard had been given to all available information about (Insert offender name
and number), including an emerging intelligence or previous incidents or failures (within this
sentence);

Whether any local assumptions or variations were applied to the decision making process;

Whether RoTL is embedded within the establishment and it is given the appropriate attention
and governance by the Senior Team;
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In addition to the above, you should also make an immediate assessment about:

Remedial actions needed;

Whether a similar incident could happen again;

Lessons learned and urgent findings to be shared;
You should provide an initial assessment by (7 working days from the date of commissioning) and
your final report should be submitted no later than (28 days from the date of commissioning).
You act with my authority in conducting this review.
This review is not intended to be an investigation under the terms of PSO 1300 (Conduct and
Discipline).
However, if during the course of the review you encounter evidence of potential
wrongdoing, you are to inform me as the commissioning authority immediately.
Deputy Director of Custody
Region
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PAGE 111
ANNEX P
Deputy Director of Custody Review Document Release on Temporary Licence (ROTL) Failure
Offender Name:
DDC Ref no:
Prison Service Region:
Reviewer name:
Telephone number:
Email address:
ROTL Failure Cases Eligible for DDC Review:


The offender has failed to return to an establishment from ROTL and
Unlawfully At Large (UAL) contingency plans have been activated, including
notification to the police, unless the offender surrenders to prison custody
later the same day, or other exceptional circumstances apply (e.g. where,
following further enquiries, the governor is satisfied that the offender was
unable to return as required due to circumstances beyond the offender’s
control
The offender is arrested in relation to an alleged criminal offence (not one
that is a qualifying SFO offence)
Prison Referrals: The IRMT meeting structure in the prison will discuss all ROTL failures
routinely. This meeting can also recommend a referral of a case to the DDC for
consideration of further investigation, outside of the criteria for ‘Mandatory Submission’,
where it is felt that a fuller review is necessary.
Note: DDC ROTL Failure Reviews can only be undertaken by Senior Operational
Manager (SOM) accredited governors.
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REVIEW
OFFENDERS DETAILS
Offender name:
Alias(es):
Offence/failure Details
Prison Number:
Date of Birth:
Gende
Male
r:
Ethnic Origin:
Female
REVIEW DETAILS
Prison Service
Region
HMP/ YOI
REVIEW COMPLETED BY
Full Name:
Grade:
Email
address
Department:
Telephone Number:
Interviews
All interviews must be noted and the notes retained. Please enter under topics, only the
main topics that were discussed (e.g. sickness absence, training).
INTERVIEW LOG
Grade and role of the
interviewee
PSI 13/2015 - PI 10/2015
Identifier (e.g.
OS, CA, Gov,
etc.)
Date of
interview
Topics
ISSUE DATE 24/03/2015
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2.1 – CASE CHRONOLOGY
Please provide a concise summary of key significant events in custody, between the start of
sentence and release on post release licence, together with your observations, including
where applicable;














Transfers- paying particular attention to moves to open conditions or returns to
closed conditions
Perceived, alleged or known deterioration in behaviour
Adjudications, IEPs, SIRs
Assessments/ reviews of OASys, including Sentence Plans (from initial onwards)
and Risk Management Plans, and changes to risk levels
Sentence Planning review meetings (including attendance)
Commencement, quality and completion of interventions (accredited and nonaccredited)
ROTL, HDC assessments
ROTL events including breaches or failures
MAPPA or other risk management meetings- IRMT
ViSOR entries. ViSOR Partnership rights for prison provided
Reference to future victim (where there was one)
Contact with outside agencies if relevant
Information sharing including LISP 4s
Contact with OM whilst in custody
CASE CHRONOLOGY
Date
Event
Reviewing Manager Comments
COURT INFORMATION
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PAGE 114
Index Offence
Date of
Conviction
Length of
Sentence
Any other information please specify:
Court
Sentencing
Date of
Sentence
Remand Date
MAPPA and CPPC INFORMATION
At the start of sentence, was the offender a ‘relevant sexual and/or violent offender’ for
MAPPA eligibility purposes? Yes
No
If yes, which category?
If yes, was this correctly identified in prison?
Is the offender, or has the offender previously been registered as a Critical
Yes
Public Protection Case? If yes, please specify
No
If yes was this correctly identified in prison?
BACKGROUND INFORMATION
You must ensure that the following information is provided in full before answering the core
questions in sections 2.9 – 2.12.
2.2 RISK ASSESSMENT
OGRS risk of reconviction at start of sentence:
12 months
%
24 months
OASys likelihood of reconviction score at start of
sentence:
OASys risk of serious harm level at start of sentence
%
Details:
Please tick the relevant box provided in the breakdown in the table below:
Children
Risk in
community
Risk in
custody
Public
Risk in
community
Known adult
Risk in
custody
Risk in
community
Risk in
custody
Staff
Risk in
community
Offenders
Risk in
custody
Risk in
custody
V
High
High
Med
Low
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2.3 CRIMINOGENIC FACTORS
Were any of the following identified in OASys at the start of sentence as related to risk of reoffending? i.e. to the right of the line on OASys
Accommodation
Emotional wellbeing
Drugs misuse
Relationships
Health and other considerations
Alcohol misuse
Attitudes
Lifestyle and associates
Thinking / behaviour
Education Training and Employment
Finance management and income
DETAILS
Were any of the following identified in OASys at the start of sentence as related to risk of
serious harm?
Accommodation
Emotional wellbeing
Drugs misuse
Relationships
Health and other considerations
Alcohol misuse
Attitudes
Lifestyle and associates
Thinking / behaviour
Education Training and Employment
Finance management and income
DETAILS
2.4 CHILD PROTECTION
Are there any child protection concerns noted in relation to the index
or previous offences, or to the offender’s previous circumstances? If
yes, specify:
- whether the offender identified as presenting a risk to children?
- whether appropriate measures put into place in response to the
risks?
Yes
No
Were there any child protection concerns raised by the offender’s
behaviour while in custody? If Yes specify:
Yes
No
Were Social Care/Children’s Services, the Probation Service and the
Police informed of the offender’s ROTL proposal prior to the date of
temporary release? Please specify:
Yes
No
Are there any domestic abuse concerns in relation to the previous and
index offences, or to the offender’s circumstances and behaviour in
Yes
custody? If yes specify:
No
2.5 DOMESTIC ABUSE
If there were domestic abuse concerns, was the offender assessed
using SARA in custody?
PSI 13/2015 - PI 10/2015
N/A
ISSUE DATE 24/03/2015
PAGE 116
Yes
Please specify the outcome of the assessment(s):
No
Please explain why a SARA assessment was not undertaken:
If there were any domestic abuse concerns, was there liaison with the appropriate
offender manager and police domestic abuse unit, either ahead of, or as part of the
ROTL consideration process.
Yes
No
N/A
Were there any applicable court orders in relation to protection of public/victims from
harassment?
Was appropriate action taken to restrict contact?
Comments:
2.6 SEXUAL OFFENCES
Are there any sexual offending concerns in relation to the previous or
Yes
No
index offence(s), or behaviour in prison?
If no, please move on to Offender Management (section 2.7). If yes, please specify, and ensure
that this issue is fully addressed in your answers to the Review core questions:
Was the offender subject to the statutory sex offences registration
requirements?
If yes, please provide details including dates
Yes
No
Was the offender informed when temporarily released from custody for
Yes
ROTL? If yes specify:
No
Was the offender subject to a Sexual Offences Prevention Order
(SOPO), a Risk of Sexual Harm Order or a Foreign Travel Order? If
yes specify, including dates:
Yes
No
Was the offender on any sexual offender programmes or other
accredited programmes while in custody? If yes specify:
Yes
No
While in custody did the offender refuse to attend any programmes?
If yes specify:
Yes
No
Were there any concerns raised by any members of staff relating to the
Yes
offenders sexual behaviour while in custody? If yes specify:
No
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If the index or if any previous convictions were sexual offences, was the offender assessed
using: Risk Matrix 2000? Yes
No
N/A
Please specify dates and the outcome of the assessment(s):
Please explain why a Risk Matrix 2000 assessment was not undertaken:
Other sex offender specific structured risk assessment tools? If yes.
provide outcome
Yes
No
Was the case in scope for Offender Management Phases 2 or 3?
Yes
No
Was a prison based offender supervisor allocated whilst the offender
was in custody?
Was information on custodial progress shared with the OM please
provide details below:
Yes
No
Was the offender manager in regular contact with the offender
supervisor while the offender was in custody?
Was information relating to risk shared at appropriate points?
Was there good communication on MAPPA arrangements, including
notification of levels when set and meetings planned? Specify Details:
Yes
No
2.7 OFFENDER MANAGEMENT
2.8 DIVERSITY
Were any of the following identified as factors relevant to the offender, their offending, or their
time in custody?
Ethnicity
Sexuality
Gender
Disability
Religious beliefs
Age
Class
Please specify if you have ticked any of the above boxes:
REVIEW CORE QUESTIONS
The Review Core Questions (2.9, 2.10, and 2.11) must be answered in full for the period whilst
the offender was in custody, with supporting comments, whether the answers are positive or
negative.
2.9 RISK ASSESSMENT
This whole section leads a reviewer to focus on OASys. A prison review should reflect the fact
that in scope (Phases 2 and 3) offenders OASys is the responsibility of the OM. It should also
allow for comment on local risk screening, and/or Enhanced Behaviour Monitoring
arrangements which are in place to identify risks, communicated them and ensure that
appropriate restrictions/limitations are in place from reception.
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Also – OASys is not the only risk assessment used in custody. For ‘Restricted’ ROTL cases,
please also consider the Psychology EBM case file review completed on arrival at the open
prison.
1.
Was a satisfactory risk of harm screening undertaken at the start of
sentence, using all of the information available at the time?
Yes
No
N/A
Please add comments here:
2.
If the risk of harm screening identified the need for a full OASys risk of
harm assessment, was it clear, accurate and undertaken in the appropriate timescale?
Yes
No
N/A
Please add comments here:
3.
Where required, was a comprehensive risk management plan completed
using the appropriate format and within the required timescale?
Yes
No
N/A
Please add comments here:
4.
Were the reviews up-to-date, taking into account all available information, and
completed satisfactorily and on time?
Yes
No
N/A
Please add comments here:
5.
Did prison staff (including security, wing officers, and others) contribute effectively to risk
assessment and reviews?
Yes
No
N/A
Please add comments here:
6. Were recommendations for allocation (within the prison estate, or within the prison)
appropriate, given the level and nature of the risk posed by the offender?
Yes
No
N/A
Please add comments here:
Based on your answers to the questions 1-6 above, were risk assessments and reviews carried
out to a sufficient standard?
Yes
No
You must provide evidence to substantiate your answer:
What were the reasons and/or contributory factors for any deficiencies in risk
assessment?
Additional comments:
2.10 RISK MANAGEMENT
1.
Was the OASys Risk Management Plan implemented effectively and in a timely fashion?
PSI 13/2015 - PI 10/2015
ISSUE DATE 24/03/2015
PAGE 119
Yes
No
N/A
Please add comments here:
2.
Were there any significant incidents of concern or deterioration in behaviour during the
period in custody (include in what period the incidents occurred)?
Yes
No
N/A
Please add comments here:
3.
Was risk of harm managed appropriately throughout the custodial period, particularly
following any significant incident or deterioration in behaviour, using relevant sanctions where
appropriate?
Yes
No
N/A
Please add comments here:
4.
Was there effective communication about risk, between departments in Prison, and or
between departments in Prison and others involved in the case? This should be linked to
interdepartmental risk management meetings.
Yes
No
N/A
Please add comments here:
5.
Did the prison remind and/or update the OM of the release dates of those managed at
MAPPA Level 2 or 3? Note here that the prison can only remind of release dates for MAPPA
2 or 3 if they are aware that a MAPPA level has been set.
Yes
No
N/A
Please add comments here:
6.
If the offender was subject to MAPPA levels 2 or 3 management, did the offender
supervisor and all other relevant staff contribute effectively from the prison establishment to
MAPPA, including attendance at external risk management meetings and/or provision of
written reports as appropriate?
Yes
No
N/A
Please add comments here:
7.
Was effective action taken to promote victim safety where there was a direct
victim/known person at risk and/or if there were restrictive/prohibitive conditions?
Yes
No
N/A
Please add comments here:
Based on your answers to questions 1- 7 above, was the risk management carried out to a
sufficient standard?
Yes
No
You must provide evidence to substantiate your answer:
What were the reasons and/or contributory factors for any deficiencies in risk
management?
Additional comments:
2.11 ROTL PROCESSES AND PRACTICE
1. Was the offender a “Restricted ROTL” case?
Yes
No
Please add comments here:
PSI 13/2015 - PI 10/2015
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PAGE 120
2. If the offender was in open conditions, how long had he/she been there before the ROTL
event that led to the failure?
Please add comments here:
3. When was the offender’s first ROTL release?
Please add comments here:
4. How many occasions of the following ROTL types has the offender successfully
completed?
Supervised ROTL:
RDR:
ROR:
5. Were all approved ROTL events clearly linked to objectives within the sentence plan?
Yes
No
Please add comments here:
6. In Processing ROTL applications, were the requirements of PSI 13/2015 – PI 10/2015
clearly followed in full? If there were any local assumptions or variations applied, please
identify.
Yes
No
Please add comments here:
7. Was the first ROTL board decision (not necessarily for the ROTL when the failure
allegedly occurred) based on full agreement by all report writers and contributors?
Yes
No
Please add comments here:
8. Were subsequent ROTL board decisions based on full agreement by all report writers
and contributors?
Yes
No
Please add comments here:
9. If a “Restricted ROTL” case, was there evidence that the relevant notes and information
arising from the Enhanced Behaviour Monitoring approach were utilised in considering
ROTL?
Yes
No
Please add comments here:
10. Have there been any incidents of ROTL failure, including any minor infringement, during
any period of ROTL? Please provide details (include a review of Mercury and NOMIS
case notes, in case a minor infringement was not formally recorded as a Temporary
Release Failure).
Yes
No
Please add comments here:
11. What was the outcome of any known ROTL failure (including any minor infringement)?
Please add comments here:
Based on your answers to questions 1- 11 above, were the ROTL processes and practice
carried out to a sufficient standard?
Yes
No
You must provide evidence to substantiate your answer:
PSI 13/2015 - PI 10/2015
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What were the reasons and/or contributory factors for any deficiencies in risk
management?
Additional comments:
2.12 OFFENDER MANAGEMENT
1. Did the OASys assessment at the start of sentence accurately identify the criminogenic
factors exhibited by the offender?
Yes
No
N/A
Please add comments here:
2. Did the sentence plan contain appropriate outcome-focused objectives and is there
evidence that the offender was an active participant in the sentence planning process
and that the objectives reflect the goals set?
Yes
No
N/A
Please add comments here:
3. What was the frequency and quality of the offender supervisor engagement with the
offender during the custodial period?
Yes
No
N/A
Please add comments here:
4. Has the sentence plan been appropriately and effectively delivered by the prison,
working with the supervising agency, in accordance with risk of serious harm and/or risk
of re-offending concerns? (Please include details of responses to any non-compliance
with sentence plan interventions).
Yes
No
N/A
Please add comments here:
5. If the case had been transferred in from another Prison, was it a progressive transfer,
and was the transfer timely and appropriately handled?
Yes
No
N/A
Please add comments here:
6.
If ‘Restricted’ ROTL case, was Enhanced Behaviour Monitoring undertaken as required
by policy. Please provide details below:
7.
Prior to release on ROTL how were the objectives and conditions explained to the
offender in a way that they could understand?
Please add comments here:
8.
Yes
Were contact and events up-to-date and clearly recorded against the offender’s record
according to all protocols and policies?
No
N/A
Please add comments here:
Based on your answers to the questions 1-8 above, was offender management practice
delivered to a sufficient standard?
Yes
No
You must provide evidence to substantiate your answer:
What were the reasons and/or contributory factors for any deficiencies in Offender
Management?
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Additional comments:
2.13 REVIEW – FINAL QUESTIONS
1. The Review demonstrates that there was a sufficient standard of risk
assessment:
2. The Review demonstrates that there was a sufficient standard of risk
management:
3. The Review demonstrates that there was a sufficient standard of ROTL
practice
4. The Review demonstrates that there was a sufficient standard of offender
management:
PSI 13/2015 - PI 10/2015
Yes
No
Yes
No
Yes
No
Yes
No
ISSUE DATE 24/03/2015
PAGE 123
2.14 FAILURE REVIEW – GOOD PRACTICE
Use the table to summarise any areas of good practice which were identified during the Review.
Review
How will the good practice be highlighted and
Good practice
question
taken forward?
number
PSI 13/2015 - PI 10/2015
By whom
(grade &
role)
Timescale
(include
dates)
ISSUE DATE 24/03/2015
PAGE 124
2.15 ACTION PLAN
Please use the table below to summarise the actions that will be taken to address any deficiencies identified. The actions should be
SMART (Specific, Measurable, Achievable, Realistic and Time-bound). They may include referral of concerns to other bodies where
appropriate.
Review
Action to address the
By
How the impact of the action
Learning point
question
Date
Learning Point
whom
taken will be checked
number
Has this Review raised any other issues about the effective management of offenders during custody, or is there any information about
initiatives/achievements in your prison/region that is needed to put the action plan in context? Yes
No
Please add any comments here:
This section must be signed off by the DDC. If the Review has identified exceptionally poor practice please indicate the consideration
that has been given to initiating capability or disciplinary procedures, unless already stated above.
Full
Name:
PSI 13/2015 - PI 10/2015
Grad
e:
Date:
ISSUE DATE 24/03/2015
PAGE 125
ACTION PLAN UPDATE
Offender
Name:
What action has taken place?
Prison Number:
By
whom
Date
What impact has it had?
1
2
3
4
5
6
7
8
9
10
11
12
13
14
This section must be signed off by the countersigning officer
PSI 13/2015 - PI 10/2015
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PAGE 126
Name
:
Comments:
PSI 13/2015 - PI 10/2015
Prison Region
Dat
e:
ISSUE DATE 24/03/2015