Implementation Of The Service Specification For “Manage The Sentence: Pre And Post Release From Custody” (Transitional Version) PSI 14/2012 - PI08/2012

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Implementation of the Service Specification for “Manage the Sentence: Pre and Post Release from Custody” (transitional version) This instruction applies to : Reference :

All Prisons and Probation Trusts PSI 14/2012 PI 08/2012 Issue date Effective Date Expiry Date 11 April 2012 1 April 2012 1 April 2013 Issued on the authority of NOMS Agency Board For action by Governors/Directors of Contracted Prisons, Heads of Groups, policy leads. In this document, the term Governor also applies to Directors of Contracted Prisons Contract Managers in Probation Trusts For information All staff in NOMS HQ Contact Miranda Wilkinson [email protected] Associated documents - PI 14/2010 – Implementation of the Deliver Supervision Requirement Specification - PI 15/2010 -Manage the Sentence for a Community Order and Suspended Sentence Order Specification - PI 09/2012 Deliver Supervision on Licence Specification - PI – Categorisation and Allocation - PI 06/2012 Rehabilitation Services in Custody - Implementation Guide for “MTCS: Manage the Sentence Pre and Post Release from Custody (transitional spec)

Audit/monitoring : Public Prisons: Deputy Directors of Custody (DDCs) will monitor compliance in their region with the mandatory actions set out in the associated Specifications. Private Prisons Monitoring of compliance will be through the standard contract management processes. Probation: Where there is an existing Probation trust contract in place Trusts are expected to comply with all aspects of that contract but actively work with the NOMS Agency to amend the contract in line with emerging new policy, mandatory actions and performance measures. Compliance is monitored through Senior Community Managers.

Introduces amendments to the following documents: None

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CONTENTS

Section Subject For Reference by: 1 Executive Summary All staff Background 1.1 – 1.2 Desired outcome 1.3 – 1.5 Application 1.6 – 1.8 Mandatory Actions 1.8 – 1.9 Resource Impact 1.10 Generic Roles in Custody 1.11 – 1.12 Outline of Case Management Responsibility 1.13 – 1.15 Screening of Offenders Sentenced to Under 12 Months 1.16

2 Guidance for Staff All staff Generic Roles in Custody 2.1 Outline of Case Management Responsibility 2.3 – 2.5 Screening Offenders 2.6 – 2.10 3 Strategic Links All staff 3.1 – 3.6 4 Service Elements All staff 4.1 – 4.6 Annex A Mandatory Outputs and Definitions All staff

Executive Summary

Background

1.1 Offender Management and Public Protection Group (OMPPG) policy leads have worked closely with colleagues from the Specifications, Benchmarking and Costing (SBC) Programme to develop specifications detailing the outcomes to be achieved in managing the custodial sentence of offenders. This instruction relates to the transitional version of the service specification for “Manage the Sentence: Pre and Post Release from Custody”, and the Offender Management service outputs that will be commissioned in 2012/13. A further instruction will be published and issued in line with the planned implementation timescales for the full service specification for “Manage the Custodial Sentence” (MTCS).

1.2 This transitional specification represents a step towards realising the delivery of the full MTCS specification, but it also allows sufficient time to ensure all supporting tools, including streamlined assessment are available in line with plans to implement the full version.

Desired Outcome

1.3 The “Manage the Sentence: Pre and Post Release from Custody” Service Specification (transitional version) is to be delivered throughout England and Wales to achieve the mandatory outputs within it:  Prisons, Probation Trusts and other providers understand their responsibilities in delivering the specification  Staff responsible for delivering Offender Management understand and deliver the required outputs of the specification  Commissioners and providers monitor performance against the outputs in the specification document

PSI 14/2012 – PI 08/2012 UNCLASSIFIED ISSUE DATE 11/04/2012 UNCLASSIFIED PAGE 2

1.4 The Service Specification “Manage the Sentence; Pre and Post Release from Custody” (transitional version) is contained within the Service Specification document at: http://www.justice.gov.uk/about/noms/noms-directory-of-services-and-specifications.htm

1.5 The key elements of change to existing practice during the transitional period are:

Custody:

 Extend case management work (Offender Supervisor and Case Administrator roles) to all offenders sentenced to 12 months or more in custody, and to all young adult offenders (aged 18-21) with more than four weeks left to serve, who are not already in scope for offender management.  Deliver screening and signposting activity to all offenders sentenced to less than 12 months in custody (except where previously screened on remand).  Identify indicative offender Tier using the tier identified by probation where available, or if not, by completing a short tiering matrix tool (available within the implementation pack issued to prisons alongside the specifications) within the first 5 days of custody – only for offenders sentenced to 12 months or more in custody, and to all young adult offenders (aged 18-21) with more than four weeks left to serve, who are not already in scope for offender management. (The purpose of tiering offenders, is to clearly identify an offenders relative risk level and, therefore, the level of OM resource a prison or probation service should provide. It enables providers to differentiate levels of resources between cases using the principle, “Resources Follow Risk”)  Use the offender’s tier to differentiate OM service delivered to offenders  Deliver pre-release activity involving the Offender Supervisor, Offender Manager and offender to make preparations for all offenders being released on licence  Offender Supervisor and Offender Manager to take a proactive approach to addressing the recall and re-release of offenders. This includes prisons informing the OM within two days of an offender returning to custody.

Community:  Continue to deliver Offender Management for all cases previously in scope of Offender Management within Phase 2 and 3 of the Offender Management Model (includes OASys initial and review completion, and SP review responsibilities).  Continue to apply existing Community Tiering Framework to all cases.  Deliver pre-release activity involving the Offender Supervisor, Offender Manager and offender to make preparations for all offenders being released on licence  Offender Supervisor and Offender Manager to take a proactive approach to addressing the recall and re-release of offenders.

Application

1.6 This specification covers all sentenced offenders, however not all mandatory outputs apply to all sentenced offenders. Annex A lists all outputs within the service specification and which type of sentence offender they apply to.

1.7 Responsibility for delivering the outputs of this specification are for all staff involved in delivering, managing and monitoring Offender Management activity.

1.8 This instruction covers the period from April 2012, however, it will be replaced by an instruction covering delivery of the full “Manage the Sentence: Pre and Post Release from Custody” Service Specification, in line with timescales for developing the required supporting tools, including streamlined assessment.

Mandatory Actions

1.8 Prison Governors, Directors of Private Prisons and Contract Managers in Probation Trusts must ensure that the management of sentences in custody and on post-release licence are delivered in accordance with the “Manage the Sentence: Pre and Post Release from Custody” Service Specification and this Instruction by end October 2012.

1.9 Staff commissioning and managing the prison sentence therefore must ensure that the outputs in the service specification are met.

Resource Impact

1.10 The direct service costs & assumptions paper and cost spreadsheet can be found at: http://www.justice.gov.uk/about/noms/noms-directory-of-services-and-specifications.htm

Contacts

Further information can be obtained from:

Offender Assessment and Management Section Offender Management and Public Protection Group Email: [email protected]

Tel: 0300 047 5595

(signed)

Digby Griffith Director of National Operational Services, NOMS

Guidance for Staff

Generic Roles in Custody

2.1 The operating model for the “Manage the Sentence: Pre and Post Release from Custody” (transitional version) Specification is based on an effective model involving Case Administrators (CAs) in custody fulfilling a generic role, and moving away from specialisms. Whilst this is not mandatory, a CA delivering all administrative tasks for a specific case load has been shown to increase efficiency and effectiveness when staff have fully adapted to the new roles. This means CAs will need to be trained to competently deliver all processes, including:  Sentence Calculations  HDC/ROTL processes  Parole processes  OASys Clerk duties  Reception and Discharge processes  Public protection processes  Sentence Planning processes

2.2 In moving towards generic roles, prisons need to ensure they have considered who is responsible for updating the ViSOR record and the sources of information which will be drawn on to do this.

Outline of Case Management Responsibility

2.3 The Service Specification requires the extension of case management responsibility to all sentenced offenders with the exception of adult offenders sentenced to less than 12 months in custody. For this requirement, case management means each prisoner will have either an Offender Supervisor or Offender Manager responsible for the management of the sentence through a single sentence plan (dependent on whether they are in or out of scope of Phase 2/3 of the original Offender Management Model). The day to day delivery of the aims of that plan will be undertaken by the Offender Supervisor with support from the Case Administrator.

2.4 The introduction of the extended determinate sentence and linked amendments to the management of existing IPP will lead to the introduction of compulsory sentence plans for these offenders. In these cases, sentence plans must be enforced. Further guidance on the implications of this will be provided when this is formally introduced.

2.5 Management responsibility for cases under the “Manage the Sentence: pre and Post Release from Custody” (transitional version) Specification, is divided by prisoner type in the following way:  Offenders in scope of Phases 2 and 3 of the original Offender Management Model – Community Offender Managers  Sentenced to under 12 months – Custody-based OMU (screening and signposting only)  Sentenced to 12 months+ - Custody Offender Supervisors  Lifers – Custody Offender Supervisors (Lifer Mgmt trained)

2.6 Community Offender Managers must still be allocated to all cases (where they are subject to release on licence) at sentence commencement stage, and ensure engagement in pre- release tripartite activity to enable a smoother transition from custody to community.

Screening Offenders

2.7 This requirement covers adult offenders sentenced to less than 12 months, and young adult offenders (18-21) with 4 weeks or less still to serve.

2.8 The specification requires all offenders sentenced to less than 12 months in custody to have a screening, except for those that have already had a screening whilst on remand. The type of screening to be used is not specified. Currently, a number of prisons already screen short sentenced offenders to identify need. Many different screening tools are used, including: - OASys Basic Custody Screening (BCS) - LISART - Passport

2.9 For the purposes of delivering the transitional specification, any existing screening tools are acceptable, and prisons should continue to use what they have currently, or they should use one of the above listed tools (at 2.8).

2.10 Following the screening of an offender within the first five days of custody, the offender must be sign-posted to a provider able to work with the offender on the identified priority need.

2.11 Further guidance information on the key elements of the specification is available from the Implementation Guidance Document circulated alongside the publication of the specifications.

Strategic Links

3.1 The “Manage the Sentence: Pre and Post Release from Custody” (transitional version) Specification has direct links and overlaps with other specifications. These strategic links are important to ensuring a whole system approach to managing an offender’s sentence. The following specifications have a particular relevance and should be referred to when planning for implementation:

- PI 14/2010 – Implementation of the Deliver Supervision Requirement Specification - PI 15/2010 -Manage the Sentence for a Community Order and Suspended Sentence Order Specification - PI 09/2012 Deliver Supervision on Licence Specification - PI – Categorisation and Allocation - PI 06/2012 Rehabilitation Services in Custody - PSI 12/2010 – Prolific and Other Priority Offenders

3.2 The strategic purpose of the “Manage the Sentence: Pre and Post Release from Custody” Specifications (transitional from April 2012, and the full specification to be published in due course) is to enable NOMS to deliver an effective, rational and consistent Offender Management service for all sentenced offenders to reduce reoffending. Offenders will be managed to a level that reflects their risk of serious harm and likelihood of reoffending, rather than based on their sentence type and any defined scope of previous models.

3.3 There will be a change to the current practice model in that the OMU in prisons must be the central hub, and focal point of all activity relating to the sentence whilst the offender is in custody, for the model to be effective and deliverable. The operating model is based on an effective approach, making the roles within the OMU Hub generic in that they deliver all processes to a caseload of offenders, rather than work in silo specialisms.

3.4 The intention is that each sentenced prisoner will have a single plan covering all aspects of their sentence. Other providers of services to offenders or interventions aimed directly at behavioural change will work to this overall plan. Their involvement with each offender should be driven by assessed individual need and risk rather than a blanket service to all (although some services, such as healthcare, will remain universal).

3.5 This transitional specification represents a step towards realising these strategic links, but full benefits will not be realised until the full “Manage the Sentence: Pre and Post Release from Custody” specification is implemented from April 2013.

3.6 Further information and guidance can be found within the Implementation Guidance document circulated alongside the publication of the specification.

Service Elements

(Note: for more detailed information on service elements, please refer to the specification documents at www.justice.gov.uk/about/noms-sbc-programme.htm).

4.1 Those elements which are universal to all offenders are:  sentence calculations are completed  public protection policy and practice requirements are complied with  assessments and reviews are completed for ROTL where applicable  release from custody is managed – early release is applied for where suitable (e.g. HDC or Early Removals Scheme for foreign nationals), arrangements are made for release (including licence preparation where appropriate

4.2 Those elements which are universal to offenders sentenced to 12 months or more (including all indeterminate sentence offenders) and young adult offenders (aged 18-21 with more than 4 weeks left to serve) during the transitional period from April 2012 are:  The sentence is managed end to end – the case is managed by an offender manager/offender supervisor (depending on whether the offender is in scope of Phase 2/3 of the original Offender Management Model), the offender is engaged in his/her sentence plan, public protection arrangements are met, data is provided for performance monitoring purposes  The sentence is commenced – the case is created on relevant information systems and allocated to an offender manager/offender supervisor, and the offender is made aware of the sentence requirements, confiscation orders are identified and processed as required  An assessment and sentence plan are prepared – risk of serious harm, likelihood of reoffending and criminogenic needs are identified using prescribed assessment tools, a plan is prepared and the offender is assigned to appropriate tier of service  The sentence plan is implemented - agencies are notified, the offender is referred to services as appropriate and the assessment and plan are reviewed as needed  Where a sentence is subject to compulsory sentence plans, through the forthcoming changes for IPP and the new Extended Determinate sentence, sentence plan requirements must be enforced.  The custodial term of the sentence is managed – the offender manager is informed when a prison transfer takes place,  Release from custody is managed – parole is considered, third parties are informed of the termination of NOMS involvement where the sentence has ended

4.3 Those elements which are universal to all offenders sentenced to less than 12 months (except those previously screened whilst on remand) are:  Prepare an agreed screening output, and signpost to appropriate priority need provider (screening only required where one was not completed whilst offender was on remand)  Exchange of relevant information and signpost to lead professional, Integrated Offender Management (IOM) approach or Prolific and other Priority scheme (PPO) on release.

4.4 For cases which will be subject to a licence period post-release, the following elements apply:  Licence management is commenced – agencies are notified, the pre-release plan is reviewed and additional assessments are completed if necessary, the public is protected through compliance with inter-agency procedures and protocols  The offender is monitored and compliance promoted – enforcement action is taken as needed, recalled offenders are prepared for re-release  The sentence plan is reviewed and the case is terminated – a final review of outcomes takes place, third parties are notified of the termination of the case.

4.5 Those service elements which are contingent upon offender characteristics, events or circumstances are:  Inter-agency public protection procedures  Case transfer  Enforcement

4.6 Elements out of scope of this specification (but covered by other specifications):  Remand Prisoners (covered by the Rehabilitation Services Specification)  Immigration, repatriation and removal services  Victim Liaison work  Staff training and supervision  Reception, First Night and Induction processes  Health Screening on Reception  Pre sentence assessment and report preparation for court work  Prisoner escort form process  Initial observation and categorisation is complete  Immediate and priority offender needs are identified and dealt with or communicated to OMUs  Cell Sharing Risk Assessment (CSRA) to be completed and communicated to residential and OMU staff  Assessment, Care in Custody and Teamwork (ACCT) assessments are completed where needs are identified and communicated to residential and OMU staff  Pre-release practical arrangements – clothing, personal effects, escort to gate, etc.

Annex A Outputs The outputs relating to each service element are listed below and a definition provided where the output is not sufficiently clear. The Sentence is Managed End to End

Output 1: The case is managed by an Offender Manager/Supervisor Custody Y e s Community Y e s Definition Each case is allocated an offender supervisor in custody and an offender Applicable to the following offenders: manager in the community (where the offender was living at the time of sentence or for Foreign Nationals and offenders with no fixed abode, it will be the All adult offenders sentenced to 12 months or more responsibility of the Trust in the location of the sentencing court). Under the (determinate and indeterminate) interim “OM in Transition” specification, management responsibility remains as is currently the case for offenders in scope of Phase 2/3 of the original OM Model, All Young Adult Offenders (18-21) with more than 4 so the community-based offender manager continues to be responsible for weeks left to serve. assessment and sentence planning. The custody-based Case Administrator completing the sentence calculation must flag up to the person responsible for allocating cases to Offender Supervisors, all Young Adult Offenders (18-21) with more than 4 weeks left to serve, as these offenders are now subject to offender management. For offenders sentenced to 12 months or more, previously out of scope of Offender Management, an Offender Supervisor must be allocated and a case management approach must be followed in the same way as those previously in scope of OM. Output 2: A record of all contact and key events is maintained using prescribed systems Custody Y e s Community Y e

s Definition Consistent recording of case activity is important to the delivery of effective case Applicable to the following offenders: management. All adult offenders sentenced to 12 months or more (determinate and indeterminate) All Young Adult Offenders (18-21) with more than 4 weeks left to serve

Output 3: The offender manager / supervisor analyses and acts upon information about contact, content, behaviour and risks Custody Y including that received from any third party. e s Community Y e s Definition Effective Offender Management relies upon analysing and using all available Applicable to the following offenders: information to make informed judgements and decisions about the management All adult offenders sentenced to 12 months or more and day to day activity for the case. This includes plans or information received (determinate and indeterminate) about offenders managed under IOM. All Young Adult Offenders (18-21) with more than 4 weeks left to serve Output 4: Public Protection and multi-agency or special scheme arrangements are delivered. Custody Y e Public Protection and safeguarding procedures are implemented, monitored and reviewed and relevant agencies are notified s when required Community Y e s Definition Division of responsibility for these procedures remains as is currently required. Applicable to the following offenders: Refer to the Public Protections Manual, and MAPPA guidance. All sentenced offenders

Output 5: The offender is engaged as an active participant in his/her sentence plan. Custody Y e s Community Y PSI 14/2012 – PI 08/2012 UNCLASSIFIED ISSUE DATE 11/04/2012 UNCLASSIFIED PAGE 10

e s Definition Sentence planning should, wherever possible, be an inclusive process with the Applicable to the following offenders: offender. Where appropriate sufficient weight is given to the offender’s views of their offending-related behaviour, and this forms an integral part of the planning All adult offenders sentenced to 12 months or more process and delivery of the sentence plan, throughout the sentence. Engagement (determinate and indeterminate) with offenders is meaningful i.e. offenders are encouraged to have a direct investment in their sentence plan and for achieving its outcomes. All Young Adult Offenders (18-21) with more than 4 weeks left to serve. Where a sentence is subject to compulsory sentence plans, through the forthcoming changes for IPP and the new Extended Determinate sentence, sentence plan requirements must be enforced.

Output 6: The management of the offender takes account of his/her individual needs, risks and circumstances Custody Y e s Community Y e s Definition Diverse needs, including learning and vulnerability issues, are taken account of, Applicable to the following offenders: and addressed, when planning and delivering the sentence requirements. All adult offenders sentenced to 12 months or more (determinate and indeterminate)

All Young Adult Offenders (18-21) with more than 4 weeks left to serve Output 7: Liaison with Victim Liaison Officers ensures that sentence planning takes account of the concerns of victims without Custody Y disclosure to offenders. e s Community Y e s Definition Ensure that appropriate activities are put in place to promote victim safety. Applicable to the following offenders: All cases in scope for victim liaison services Includes the responsibility on offender managers in parole cases to ensure victims PSI 14/2012 – PI 08/2012 UNCLASSIFIED ISSUE DATE 11/04/2012 UNCLASSIFIED PAGE 11

have the opportunity to write a Victim Personal Statement for parole board consideration. The Sentence is Commenced

Output 8: Data is provided for performance monitoring as required Custody Y e s Community Y e s Definition Systems to collect and report on data relevant to the sentence of the prisoner must Applicable to the following offenders: be put in place and data provided as required by NOMS for performance All adult offenders sentenced to 12 months or more monitoring. (determinate and indeterminate)

All Young Adult Offenders (18-21) with more than 4 weeks left to serve Output 9: The case is created on case management systems Custody Y e s Community Y e s Definition Each case must be created using existing case management systems in both Applicable to the following offenders: custody and community from the start of sentence. All adult offenders sentenced to 12 months or more (determinate and indeterminate)

All Young Adult Offenders (18-21) with more than 4 weeks left to serve Output 10: The case is allocated to an offender supervisor / manager, the offender is notified and this is recorded. Custody Y e s

Community Y e PSI 14/2012 – PI 08/2012 UNCLASSIFIED ISSUE DATE 11/04/2012 UNCLASSIFIED PAGE 12

Definition Each case is allocated an offender supervisor in custody and, where the offender Applicable to the following offenders: will be released on licence, an offender manager in the community. The All adult offenders sentenced to 12 months or more community Offender Manager continues to hold management responsibility for (determinate and indeterminate) cases in scope of the previous OM Model. Offender Supervisors have case management responsibility for all other cases (with the exception of adults All Young Adult Offenders (18-21) with more than 4 sentenced to less than 12 months) weeks left to serve Output 11: Women offenders are offered the option of being allocated a female offender manager / supervisor. Custody Y e s Community Y e s Definition Women are given the choice of having a female worker. Arrangements are put in Applicable to the following offenders: place for all women to access this service. Women sentenced offenders

Output 12: The Initial Sentence calculation is completed and confiscation orders are identified. Custody Y e s Community N o Definition As per standard practice for Sentence calculations, the initial calculation must be Applicable to the following offenders: completed within 5 days of sentence. All sentenced offenders For Public Protection purposes, it is also important to identify other orders made at court, including Sexual Offences Prevention Order (SOPO), disqualifications from working with children, restraining orders etc. Output 13: The offender understands the expectations of the sentence, including the consequences of failing to comply with Custody Y them. e s Community Y e s Definition All reasonable steps are taken to ensure that the terms and requirements of the Applicable to the following offenders:

sentence are understood by the offender i.e. what they must do as punishment and what as rehabilitation and is provided in a way to take communication All adult offenders sentenced to 12 months or more difficulties into account. (determinate and indeterminate)

For cases subject to compulsory sentence plans, offenders must be made to All Young Adult Offenders (18-21) with more than 4 understand expectations and the implications of non-compliance. weeks left to serve

An Assessment and Sentence Plan are Prepared

Output 14: An enhanced assessment is completed including a contribution from a specialist provider where appropriate Custody Y e s Community Y e s Definition In some cases, offenders who are particularly vulnerable or with complex needs Applicable to the following offenders: and issues to be addressed may need a more detailed assessment, which may Offenders deemed to require an enhanced include a contribution from a specialist agency, for example in the case of some assessment and care plan women offenders, or those with learning difficulties.

(This could also include co-commissioned arrangements such as those in place for high risk offenders with a personality disorder. Trusts may need to contribute to a care plan in these cases) (A Needs Screening is Prepared) Custody Y Output 14a: The offender’s needs are screened and the offender is signposted to appropriate priority need provider e s Community N o Definition Adult offenders sentenced to less than 12 months custody and Young Adult Applicable to the following offenders: Offenders with 4 weeks or less to serve are given a full needs screening using Adult offenders sentenced to less than 12 months in available tools within the first 5 days of custody. Following screening, the offender custody who have not already received a needs must be signposted to an appropriate provider for the identified priority need. screening whilst on remand. Young adult offenders (18-21) who have 4 weeks or less to serve. PSI 14/2012 – PI 08/2012 UNCLASSIFIED ISSUE DATE 11/04/2012 UNCLASSIFIED PAGE 14

Output 15: The offender’s risk of serious harm and likelihood of reoffending are identified and recorded using prescribed Custody Y assessment tools. e s Community Y e s Definition OASys should be used to identify likelihood of reoffending, using the Offending Applicable to the following offenders: (General) Predictor (OGP), where available, or the Offender Group Reconviction All adult offenders sentenced to 12 months or more Scale (OGRS3). Risk of serious harm should be screened using the OASys risk of (determinate and indeterminate) harm screening, with a full OASys risk of serious harm assessment being completed where the screening indicates the risk is not low. All Young Adult Offenders (18-21) with more than 4 weeks left to serve

Output 16: The offender is assigned to the correct tier of service. Custody Y e s Community Y e s Definition For cases where the offender is ‘in scope’ for offender management, or the Applicable to the following offenders: offender is subject to statutory supervision on licence, the community Offender Manager should continue to apply tiering in accordance with the current tiering framework set out in Probation Circular 08/2008. For adult offenders sentenced to 12 months or more in custody, and young adult offenders (aged 18-21) with more than four weeks left to serve, who are not already in scope for offender management, the Offender Supervisor in custody should identify an indicative tier within 5 days of sentence commencement. Where available, this should be the indicative tier produced by probation at pre-sentence

stage. Where a pre-sentence report has been produced, the community Offender All adult offenders sentenced to 12 months or more Manager should identify the indicative tier when sending the report. (determinate and indeterminate)

Where an indicative tier has not been provided by probation, the Offender All Young Adult Offenders (18-21) with more than 4 Supervisor should identify the indicative tier using the Excel tiering tool provided by weeks left to serve NOMS (available within the implementation pack issued alongside this PI).

A final tier should be identified at the point of completion of OASys and risk of serious harm assessment (see output 15 above).

Further Tiering Guidance for prisons is available within the Implementation pack issued to prisons alongside the publication of the specifications.

Output 17: A sentence plan is produced specifying how and when: Custody Y e  the outcomes are to be achieved s  risks are to be managed and needs are to be met Community Y e s Definition The Sentence Plan and Risk Management Plan, developed with input from the Applicable to the following offenders: offender, identify how risks and offending-related needs will be met, and is a All adult offenders sentenced to 12 months or more logical, sequenced series of outputs targeted at achieving the aims of the (determinate and indeterminate) sentence. All Young Adult Offenders (18-21) with more than 4 For offenders in scope of the original OM model this is the responsibility of the weeks left to serve community Offender Manager. For all other sentenced offenders, responsibility is with the Offender Supervisor in custody.

Output 18: The Multi Agency (Lifer) Risk Assessment Panel (MALRAP/MARAP) meeting is convened. Custody Y e s Community N o Definition This applies only to indeterminate sentenced prisoners. Applicable to the following offenders:

Indeterminate sentence offenders

Output 19: The initial assessment and report are informed by at least one interview with the offender. Custody Y e s Community N o Definition For offenders previously in scope of the OM Model, this interview may take place Applicable to the following offenders: face to face, where the Offender Manager is able to visit the prison, or via video- All adult offenders sentenced to 12 months or more link, where facilities allow. Where this is not possible, the interview may take place (determinate and indeterminate) via telephone. For cases managed by the Offender Supervisor in custody, a face- to-face interview is necessary. All Young Adult Offenders (18-21) with more than 4 weeks left to serve Output 20: A post sentence report is prepared Custody N o Community Y e s Definition For indeterminate sentenced cases only, a Post Sentence report must be Applicable to the following offenders: completed when no PSR is prepared Indeterminate sentence offenders The Sentence Plan is Implemented

Output 21: Agencies are notified of the commencement of the sentence Custody Y e s Community N o PSI 14/2012 – PI 08/2012 UNCLASSIFIED ISSUE DATE 11/04/2012 UNCLASSIFIED PAGE 17

Definition The relevant Probation Trust must be notified as well as any agency which has Applicable to the following offenders: involvement with the prisoner or their family where there is an identified risk to other people. Notification is required where the offender potentially fits one or more Risk to children cases of the following: - Risk to children MAPPA eligible offenders - MAPPA eligible - Domestic abusers Domestic abusers - Subject to deportation - Subject to Confiscation order - Subject to Harassment Act 1997 controls Output 22: The assessment and plan are checked and reviewed when there is a significant change of circumstance including Custody Y transfers. e s Community N o Definition A significant change of circumstance is: Something which has an impact on the Applicable to the following offenders: assessment of the individual, and/or one or more objectives in the sentence plan All adult offenders sentenced to 12 months or more and/or raises the risk of serious harm and means that the assessment/sentence (determinate and indeterminate) plan must be reviewed. Professional judgement must be used to identify a “significant change”. All Young Adult Offenders (18-21) with more than 4 weeks left to serve Output 23: Arrangements are made and information is exchanged to ensure that the sentence plan is safely, effectively and Custody N efficiently implemented o Community Y e s Definition The sentence plan records the arrangements required to manage the sentence Applicable to the following offenders: and deliver the sentence plan outcomes. There is clarity regarding the roles and All adult offenders sentenced to 12 months or more responsibilities of staff involved in managing the case and delivering interventions (determinate and indeterminate) (where required). Liaison arrangements i.e. details of when and how information will be exchanged, are clearly defined. All Young Adult Offenders (18-21) with more than 4 weeks left to serve Output 24: Offenders are referred to resources and facilities, designed to reflect risk and needs identified in the assessment. Custody Y (Whilst on licence, this takes place in their locality). e s PSI 14/2012 – PI 08/2012 UNCLASSIFIED ISSUE DATE 11/04/2012 UNCLASSIFIED PAGE 18

Community Y e s Definition In custody, the offender supervisor makes referrals, and ensures that all such Applicable to the following offenders: activity is co-ordinated through the Offender Management Unit, and not All adult offenders sentenced to 12 months or more undertaken in isolation by a provider or other prison function. (determinate and indeterminate)

Engage with providers as necessary to enable feedback and ensure information All Young Adult Offenders (18-21) with more than 4 sharing occurs. weeks left to serve

The Custodial Term of the Sentence is Managed

Output 25: The Offender Manager is informed when a prison transfer takes place Custody Y e s

Community N o Definition This activity must take place for all cases where supervision on licence is Applicable to the following offenders: required, not just for those previously in scope of the OM Model. The receiving All adult offenders sentenced to 12 months or more prisons is responsible for notifying the Offender Manager, within 5 days of the (determinate and indeterminate) prisoner arriving, and must also advise of the name of the new Offender Supervisor. All Young Adult Offenders (18-21) with more than 4 weeks left to serve Output 26: Applications are assessed, reviews are completed for Release on Temporary Licence (ROTL) and the licence is Custody Y enforced. e s Community Y e s Definition ROTL assessments are completed taking account of the Offender Manager’s Applicable to the following offenders: views as per ROTL Policy. All eligible sentenced offenders Release from Custody is Managed

Output 27: Suitability for early release is assessed, the offender is informed and the licence is enforced. Custody Y e s Community Y e s Definition As per current policies, including ROTL and HDC. Applicable to the following offenders:

HDC, Early Removal Scheme eligible offenders

Output 28: Consideration for release on parole is facilitated and reconsidered every two years. Custody Y e s Community Y e s Definition Parole reviews for indeterminate sentenced prisoners must happen within two Applicable to the following offenders: years, not at two year intervals. Parole reviews for the residual DCR caseload is annually. Indeterminate sentence offenders The average time gap between parole reviews is actually about 16 months.

The deadlines within the Generic Parole Process (PSO 6010 and PI 02/2012) and the determinate parole process must be met. Output 29: Sentence calculations and tariff amendments are completed as necessary. Sentence calculation checks are Custody Y completed 14 days and two days prior to discharge. e s Community Y e s As per current practice. Applicable to the following offenders:

Tariff amendments are completed in conjunction with PPCS who calculate the tariff All sentenced offenders expiry date.

Output 30: Arrangements are in place to ensure the successful transition of management of the case from custody to Custody Y community e s

Community Y e s Definition As a result of this specification, offender supervisors will be responsible for Applicable to the following offenders: management of the sentences of all sentenced offenders not previously in scope of Offender Management (except adults sentenced to less than 12 months in All sentenced offenders custody). Responsibility for those not previously in scope of OM (but subject to supervision on licence) will pass from the custodial offender supervisor to the community offender manager when the offender is due to be released on licence. This output introduces a focus on the need for tri-partite activity between the offender supervisor, offender manager and the offender prior to release, to ensure a coordinated approach is taken and the transition between the custodial phase and the community phase is smooth. Whilst good practice means engagement in this activity should commence much sooner, as a minimum, the activity will take place no later than 6 months prior to release, except for MAPPA cases where this will be no later than 8 months. This activity should focus on progress against the sentence plan, reviewing the assessment, and preparing for release, including preparation of licence conditions. It is the responsibility of the custody offender supervisor to ensure the offender manager is aware of the need to be involved in this activity at the right stage of the sentence. Output 31: The pre-release assessment is informed by a check with the local Police to establish whether the offender is known Custody N or believed to represent a risk of domestic abuse to a partner. o Community Y e s Definition Prior to release, the community offender manager should proactively liaise with the Applicable to the following offenders: local police domestic violence unit to identify whether the offender is known and/or All adult offenders sentenced to 12 months or more to obtain information that will support the development of release plans. Where the (determinate and indeterminate) offender has been subject to a Domestic violence programme, contact should be PSI 14/2012 – PI 08/2012 UNCLASSIFIED ISSUE DATE 11/04/2012 UNCLASSIFIED PAGE 21

made with the women’s safety worker. All Young Adult Offenders (18-21) Output 32: Licence preparation is informed by information shared between agencies and partners in order to address identified Custody N risks and needs. o Community Y e s Definition Prior to release, the community offender manager should liaise with the local Applicable to the following offenders: police and Victim Liaison Officer (where one has been appointed) to inform them of All offenders eligible for post release management the proposed release date, request intelligence and provide input into possible and supervision licence conditions, for example where an exclusion zone or “no contact” condition might be required. Where Approved Premises (AP) is considered necessary, to manage the offenders risk on release, timely liaison with the relevant approved premises will be necessary to ensure the correct address can be included in the licence and prevent delay in release where release to a specific AP is a condition of parole release. Other agencies and partners may also need to be involved, and should be considered on a case by case basis. Output 33: The licence contains only those conditions necessary and proportionate to manage the risk posed by the offender. Custody Y e s Community Y e s Definition The licence will contain a set of standard conditions, which are usually sufficient to Applicable to the following offenders: ensure the offender is appropriately managed on release. However, in some cases the offender manager may consider that additional licence conditions are appropriate. Any additional licence condition must be both necessary and All offenders eligible for post release management proportionate in order to manage and/or reduce the risk of further offending of any and supervision nature. This will be determined by the offender’s identified risk factors, which in turn will be based upon his/her previous offending. The community offender manager is responsible for proposing additional licence conditions, where necessary and proportionate, to either the prison Governor or Parole Board depending on the type of sentence and release arrangements, and those being reviewed for re-release from recall. Output 34: The offender understands all restrictions and conditions contained in the licence. Custody Y e

s Community Y e s Definition The offender must be asked to sign the licence at the earliest opportunity in order Applicable to the following offenders: to show that they understand their conditions, and a signed copy kept with the All offenders eligible for post release management core record and archived appropriately. and supervision

Offender Managers must explain each condition of the licence and consequences of breach on the first occasion the offender reports following release from custody. Output 35: The licence is signed by the offender Custody Y e s Community N o Definition Where an offender refuses to sign, the supervising officer and a witness both sign Applicable to the following offenders: the licence to confirm that the offender has refused to do so. All offenders eligible for post release management and supervision Output 36: The assessment and sentence plan are reviewed in preparation for release. Custody N o Community Y e s Definition As management of the sentence will pass from the custodial offender supervisor to Applicable to the following offenders: the community offender manager for those not previously in scope but due to be All adult offenders sentenced to 12 months or more released on licence, there will be a need to review the assessment and sentence (determinate and indeterminate) plan as part of the tri-partite activity between the offender supervisor, offender manager and the offender prior to release. This will reduce potential duplication All Young Adult Offenders (18-21) with more than 4 post-release, so that the assessment and plan are in place to enable the licence weeks left to serve period to begin as a seamless continuation of the custodial period. Output 37: Third parties are informed of the discharge from custody and termination of NOMS involvement as required Custody Y e s Community N o PSI 14/2012 – PI 08/2012 UNCLASSIFIED ISSUE DATE 11/04/2012 UNCLASSIFIED PAGE 23

Definition Where the offender is due to be released, and will not be subject to statutory Applicable to the following offenders: supervision, relevant authorities are notified in the community, particularly the police and Victim Liaison Officer (VLO) if victim contact is in place (victim contact All sentenced offenders where discretionary contact has been granted for victims of offenders not subject to supervision on licence and for qualifying victims, i.e. victims of serious violent and sexual offenders, whose offender is released on sentence/licence expiry).

Output 38: The case is transferred or closed down on systems Custody Y e s Community N o

Definition For transfers, ensure all documentation is sent with the prisoner to the receiving Applicable to the following offenders: prison and that records and assessments are up to date. All sentenced offenders For cases being closed, ensure the case is correctly closed down and archived. Output 39: Women offenders who are at risk of victimisation are helped to prepare a safety plan. Custody N o Community Y e s Definition As per current policy. Applicable to the following offenders:

Women offenders Licence Management is Commenced (only applies to offenders released on licence) Output 40: Management of the licence is commenced on case management systems. Custody N o Community Y e s Definition As per current processes. Applicable to the following offenders:

All offender subject to licence management and supervision Output 41: Confirmation is provided to agencies of the commencement of the licence. Custody N o Community Y e s Definition Agencies such as the police, accommodation providers and those responsible for Applicable to the following offenders: the delivery of any additional licence conditions (e.g. programme, contact requirement) should be notified at the start of the licence period, or earlier, where Risk to children cases possible. MAPPA eligible offenders Domestic abusers Offenders subject to deportation

Output 42: Through a process of induction the offender understands the sentence process and licence conditions, including the Custody N consequences of failing to comply o Community Y e s Definition It is important that the offender understands their licence conditions, particularly Applicable to the following offenders: where additional or bespoke conditions are included in the licence, and that breaching any of these could result in them being recalled to custody. All offenders subject to licence management and supervision

Output 43: The pre-release plan is reviewed and the offender’s resettlement, risk of serious harm, likelihood of reoffending, Custody N related needs and multi-agency or specialist provision are identified, and recorded using prescribed assessment tools. o Community Y e s Definition Where significant changes have occurred since the assessment and sentence plan Applicable to the following offenders: were reviewed pre-release, there will be a need to revise and update them, to All offenders subject to licence management and ensure the plan and its objectives and targets are suitable. OASys must be used supervision to record any changes. Refer to National Standards for specific information on working with Tier 4 cases.

Output 44: The post-release plan is informed by at least one home visit. Custody N PSI 14/2012 – PI 08/2012 UNCLASSIFIED ISSUE DATE 11/04/2012 UNCLASSIFIED PAGE 25

o Community Y e s Definition This is a requirement for offenders assessed as being Tier 3 or 4, subject to a Applicable to the following offenders: sentence of 12 months or more. Tier 3 and 4 offenders sentenced to 12 months or more. Output 45: Women offenders are offered the option of being allocated a female offender manager. Custody N o Community Y e s Definition The community provider must pro-actively offer this to women offenders. Applicable to the following offenders:

Women offenders

Output 46: Women offenders are offered the option of being interviewed in a women-only environment. Custody N o Community Y e s Definition The community provider must pro-actively offer this to women offenders. Applicable to the following offenders: Women offenders Output 47: Where appropriate an enhanced assessment is completed including a contribution from a specialist provider. Custody N o Community Y e s Definition In some cases, offenders who are particularly vulnerable or with complex needs Applicable to the following offenders: and issues to be addressed may need a more detailed assessment, which may Offenders deemed to require an enhanced include a contribution from a specialist agency, for example in the case of some assessment women offenders, or those with learning difficulties.

Output 48: Compliance with local and national inter-agency procedures and protocols contributes to the protection of the public: Custody N - Multi-Agency Public Protection Arrangements (MAPPA) – (MAPPA eligible offenders) o - ViSOR (database for violent and sexual offenders) – (MAPPA eligible offenders) Community Y e - Safeguarding children – (offenders living with or having significant contact with a child) s - Multi-agency Risk Assessment Conference (MARAC) – (offenders who represent a risk to victims of domestic abuse) - Mental Health Act Care Programme – (offenders subject to a MH Act Care Programme)

Definition This includes offenders eligible for Multi-Agency Public Protection Arrangements Applicable to the following offenders: (MAPPA), Multi-Agency Risk Assessment Conference (MARAC), safeguarding children procedures and Mental Health Act Care Programme. See output description for eligibility. The local Children’s Social Care service must be notified of any new information which may indicate that the wellbeing of a child is at risk, including, in particular, information related to alcohol or drug abuse, mental ill health or a propensity to domestic abuse. All information about the risks posed by sexual and violence offender must be inputted and stored on ViSOR. Output 49: Non-English speaking offenders are enabled to communicate effectively for the purposes of induction, assessment, Custody N planning, review and evaluation o Community Y e s Definition Approved translation services must be used where necessary. Applicable to the following offenders:

Non English speaking offenders

An Assessment and Sentence Plan are Prepared

Output 50: The assessment and plan are reviewed when there is a significant change of circumstance including transfers. Custody N o

Community Y e s

Definition Aside from the transfer of a case, professional judgement should be used to Applicable to the following offenders: consider if an event or new information represents a significant change of All offenders subject to licence management and circumstance. supervision

Output 51: Post-release lifer reports are completed as required Custody N o Community Y e s Definition This only applies to offenders subject to a life or IPP licence. Applicable to the following offenders:

Lifers

The Sentence Plan is Implemented

Output 52: The offender’s ability to access and maximise use of community-based resources is increased. Custody N o Community Y e s Definition Offender managers work proactively to support an offender’s access to Applicable to the following offenders: mainstream services. Offender managers provide offenders with up-to-date All offenders subject to licence management and information on available community resources and make necessary referrals ‘to supervision support rehabilitation. The Offender is Monitored and Compliance is Promoted

Output 53: Jurisdiction is transferred out to the offender’s new probation trust area when an offender moves area. Continuity of Custody N offender management is maintained. o Community Y e

s Definition Transfer of cases between Trusts must be managed effectively to ensure Applicable to the following offenders: appropriate information exchange and continuity of case. All offenders subject to licence management and supervision Output 54: Jurisdiction is accepted into the offender’s new probation trust area when an offender moves area. Continuity of Custody N offender management is maintained. o

Community Y e s Definition The receiving Trust has a responsibility to support the smooth transfer of a case. Applicable to the following offenders:

All offenders subject to licence management and supervision Output 55: Assessment, progress and statutory enforcement action is taken for failure to comply. Custody N o Community Y e s Definition Recall should be instigated if the offender’s behaviour gives cause for concern that Applicable to the following offenders: he/she presents an increased risk of re-offending – in such circumstances there is no requirement to wait for three failures. All offenders subject to licence management and supervision For other compliance issues, if an offender fails to comply with their licence and does not provide a reasonable excuse, a maximum of two written warnings can be issued within the preceding 12 months. In the event of a third instance of failure to comply without reasonable excuse in the preceding 12 months, the offender manager must initiate enforcement action to recall the offender to custody.

For detailed recall guidance, please refer to PC 14/2008 Post Release Enforcement – Recall and Further Release. Also, refer to National Standards. Output 56: The offender manager is informed of return to custody for recalled offenders in sufficient time to prepare information Custody Y for first Parole Board review (held 28 days after return to custody). e s Community N PSI 14/2012 – PI 08/2012 UNCLASSIFIED ISSUE DATE 11/04/2012 UNCLASSIFIED PAGE 29

o Definition Where an offender has been returned to custody, following a request to recall by Applicable to the following offenders: the offender manager (which has been approved by NOMS HQ), the offender supervisor should inform the offender manager immediately (no later than 2 days Offenders subject to ‘Standard’ recall processes following return to custody), so that they are able to complete the report for consideration of re-release in time for the Parole Board review (within 28 days for indeterminate sentence offenders). For detailed recall guidance, please refer to PC 14/2008 Post Release Enforcement – Recall and Further Release.

Output 57: Recalled offenders are motivated and supported to engage with the re-release plan. Custody Y e s

Community Y e s Definition Offender Supervisors should seek to improve the chances of a recalled offender Applicable to the following offenders: being re-released. Where the offender is in scope for Phase 2/3 of the original offender management model, the Offender Manager should also support the Offender subject to licence management and offender in preparing for re-release. supervision Output 58: An application for the suspension of the supervision element of the licence is made in relevant cases. Custody N o Community Y e s Definition For offenders subject to a life or IPP licence, the OM may apply for the supervision Applicable to the following offenders: element of the licence to be suspended after a minimum of four years, where the offender has complied with their licence and there is evidence of a stable lifestyle, Indeterminate sentence offenders good integration and other factors. For sex offenders released on life/indeterminate sentence for public protection (IPP) licence, suspension will not generally be considered before 10 years have elapsed. In the case of those released after serving a sentence of IPP the Criminal Justice Act 2003 (Schedule 18) provides for the release licence to be terminated by the Parole Board, on application from the offender, after 10 years in the community (and if not terminated, may be PSI 14/2012 – PI 08/2012 UNCLASSIFIED ISSUE DATE 11/04/2012 UNCLASSIFIED PAGE 30

considered again at yearly intervals thereafter). If the IPP licensee is still under supervision at the 10 year stage a full risk assessment from the supervising officer will be required.

Output 59: A final review of outcomes is completed at the end of the licence period. Custody N o Community Y e s Definition An evaluation of the progress made to achieve sentence plan outcomes is Applicable to the following offenders: undertaken and recorded in prescribed tools prior to the termination of the All offenders subject to licence management and sentence supervision

Output 60: Third parties are informed of the termination of NOMS involvement as required. Custody N o

Community Y e s Definition Any third parties involved in the rehabilitation, management or risk reduction of the Applicable to the following offenders: offender during the licence period must be informed of the termination of the All offenders subject to licence management and licence period and that supervision by NOMS of that individual in the community supervision has ended Output 61: The case is closed down on systems Custody N o Community Y e s Definition Information systems, electronic or paper-based, are closed down and archived or Applicable to the following offenders: transferred to the OM in the community depending on whether offender is subject to statutory supervision All offenders subject to licence management and supervision

HQ policy

Equality Impact Assessment –

Implementation of the “Manage the Sentence: Pre Policy and Post Release from Custody (transitional version)” Service Specification Gareth Mercer Policy lead Offender Management and Public Protection Group Group National Operational Services Directorate

What is an Equality Impact Assessment (EIA)?...... 2 Your Equalities team...... 2 The EIA process...... 2 Stage 1 – initial screening...... 2 Aims...... 2 Effects...... 3 Evidence...... 3 Stakeholders and feedback...... 4 Impact...... 4 Local discretion...... 5 Summary of relevance to equalities issues...... 5 Monitoring and review arrangements...... 5

PSI 14/2012 – PI 08/2012 UNCLASSIFIED ISSUE DATE 11/04/2012 UNCLASSIFIED PAGE 2 What is an Equality Impact Assessment (EIA)? An EIA is a systematic appraisal of the (actual or potential) effects of a function or policy on different groups of people. It is conducted to ensure compliance with public duties on equality issues (which in some areas go beyond a requirement to eliminate discrimination and encompass a duty to promote equality), but more importantly to ensure effective policy making that meets the needs of all groups. Like all other public bodies, the National Offender Management Service is required by law to conduct impact assessments of all functions and policies that are considered relevant to the public duties and to publish the results.

An Equality Impact Assessment must be completed when developing a new function, policy or practice, or when revising an existing one. In this context a function is any activity of the Probation Service, a policy is any prescription about how such a function is carried out, for instance an order, instruction or manual, and a practice is the way in which something is done, including key decisions and common practice in areas not covered by formal policy.

If you are completing this document as part of the OPG process, you must complete and return it together with the final Business case for OPG approval and publication alongside the PI/PSI/PSO. Your Equalities team It is important that all policies are informed by the knowledge of the impact of equalities issues accumulated across the organisation. Early in the policy development process, and before commencing the EIA, please contact the relevant equalities team to discuss the issues arising in your policy area.  HR issues – Staff Diversity and Equality Team – 020 7217 6090 or [email protected]  Service delivery issues relating to gender and younger offenders – Women and Young People’s Group – 020 7217 5048 or [email protected]  All other service delivery issues – Race and Equalities Action Group – 020 7217 2521 or [email protected] The EIA process The EIA has been constructed as a two-stage process in order to reduce the amount of work involved where a policy proves not to be relevant to any of the equalities issues. The initial screening tool should be completed in all cases, but duplication of material between it and the full EIA should be avoided. For instance, where relevance to an equalities issue is self-evident or quickly identified this can be briefly noted on the initial screening and detailed consideration of that issue reserved for the full EIA. Further guidance on this will be given by the relevant equalities team. Stage 1 – initial screening The first stage of conducting an EIA is to screen the policy to determine its relevance to the various equalities issues. This will indicate whether or not a full impact assessment is required and which issues should be considered in it. The equalities issues that you should consider in completing this screening are:  Race  Gender  Gender identity  Disability  Religion or belief  Sexual orientation  Age (including younger and older offenders).

Aims What are the aims of the policy? The Instruction supports the Service Specification for the implementation of the “OM in Transition” Manage the Custodial Sentence; Pre and Post Release Specification. The aim of this specification is to extend Offender Management practice to all

PSI 14/2012 – PI 08/2012 UNCLASSIFIED ISSUE DATE 11/04/2012 UNCLASSIFIED PAGE 3 sentenced offenders.

Effects What effects will the policy have on staff, offenders or other stakeholders? The Service Specification forms part of the NOMS Directory of Services and will underpin regional commissioning by Deputy Directors of Custody, and Probation and Contracted Services Directorate. Use of the Service Specification will help to ensure the delivery of a more consistent, efficient and cost effective service by prison and probation providers. This should support continuous improvement in the quality of service delivered nationally and locally.

This Service Specification extends a model of offender management to all sentenced offenders, removing the previous limited eligibility for the service. This specification offers a degree of flexibility to commissioners, whilst ensuring that the core required outputs are delivered to all sentenced offenders.

It is suggested that Equality Impact Assessments are completed as part of Best Value exercises and the equality impact of service is regularly reviewed by commissioners of services.

Evidence Is there any existing evidence of this policy area being relevant to any equalities issue?

Identify existing sources of information about the operation and outcomes of the policy, such as operational feedback (including local monitoring and impact assessments)/Inspectorate and other relevant reports/complaints and litigation/relevant research publications etc. Does any of this evidence point towards relevance to any of the equalities issues?

Evidence will be captured through the programme of inspections run by HM Inspectorates on offender management and thematic issues as they arise. Monitoring of implementation will be undertaken by Deputy Directors of Custody, private prisons lead and the Probation and Contracted Services Directorate.

However, this policy refers to a “transitional” service specification for Manage the Custodial Sentence. It is expected to be an interim policy/spec whilst development work on tools to support an “end-state” specification takes place. As a result, a more detailed Equality Impact Assessment will be carried out in support of the final specification.

Stakeholders and feedback Describe the target group for the policy and list any other interested parties. What contact have you had with these groups? The policy applies to offenders sentenced to a period of custody. It impacts on staff across NOMS (custody and community) who are involved in the management and delivery of custodial sentences and the appropriate aims. Consultation on the policy has involved a range of internal NOMS colleagues and PSI 14/2012 – PI 08/2012 UNCLASSIFIED ISSUE DATE 11/04/2012 UNCLASSIFIED PAGE 4 partners as part of the development of the specifications and has included a range of operational staff, practitioners and managers in prisons and probation trusts across England and Wales.

Do you have any feedback from stakeholders, particularly from groups representative of the various issues, that this policy is relevant to them? Feedback was obtained from: - Women’s Team - Young People’s Team - Staff Associations - Operational staff in custody and community - Key policy leads within NOMS HQ

During the development of the specification itself, feedback led to the inclusion of specific outputs for female offenders to ensure they were always offered the option of a female Offender Manager, and also offered the option of being interviewed in a female only environment. Also, Young Peoples Team feedback led to the inclusion of a costed option within the specification to allow additional time within the operating model for work with vulnerable prisoners, including some young offenders.

Feedback has been incorporated into the final specification and Prison and Probation Instruction as submitted to the NOMS Operational Policy Group.

More detailed feedback will be collated from April 2012 in the build up towards publication and implementation of the end-state specification.

Impact Could the policy have a differential impact on staff, prisoners, visitors or other stakeholders on the basis of any of the equalities issues? The policy applies equally to all offenders subject to a custodial sentence. OM provision is based solely on a “resources follow risk” principle, to ensure those with the highest risk of serious harm, or highest likelihood of reoffending, have the higher level of OM resource applied. By providing a more consistent and better quality service, the policy will benefit a wide range of offenders, including those from different groups, or with specific needs. Existing national guidance on preventing discrimination on the basis of race, gender, disability or other factors will ensure that providers will apply the policy appropriately. Recommendations from thematic and other inspections referring to equality issues have been incorporated in this specification.

Local discretion Does the policy allow local discretion in the way in which it is implemented? If so, what safeguards are there to prevent inconsistent outcomes and/or differential treatment of different groups of people? There is a costed operating model for service delivery that provides consistency, however this is not a mandatory model. The outputs within the specification, which are mandatory ensure providers apply the appropriate service to all offenders, including some additional requirements unique to female offenders. DDCs and Probation leads

PSI 14/2012 – PI 08/2012 UNCLASSIFIED ISSUE DATE 11/04/2012 UNCLASSIFIED PAGE 5 should therefore ensure that local Equality Impact Assessments and reviews of service delivery are undertaken regularly.

The instruction is drafted to avoid, as far as possible, local discretion leading to inconsistent outcomes, by providing a clear definition of each output within the specification.

Summary of relevance to equalities issues

Strand Yes/No Rationale

NO See below. Race NO See below. Gender (including gender identity) NO See below. Disability NO See below. Religion or belief NO See below. Sexual orientation NO See below. Age (younger offenders) NO See below. Age (older offenders)

The policy will apply consistently across NOMS. If you have answered ‘Yes’ to any of the equalities issues, a full impact assessment must be completed. Please proceed to STAGE 2 of the document.

If you have answered ‘No’ to all of the equalities issues, a full impact assessment will not be required, and this assessment can be signed off at this stage. You will, however, need to put in place monitoring arrangements to ensure that any future impact on any of the equalities issues is identified.

Monitoring and review arrangements Describe the systems that you are putting in place to manage the policy and to monitor its operation and outcomes in terms of the various equalities issues. Existing national guidance on monitoring equality issues (PSI 32/2011) on the basis of race, gender, disability or other factors will ensure that providers will apply the policy appropriately.

State when a review will take place and how it will be conducted. The service specification is a time limited, transitional specification, so a full review and assessment will take place in support of publication and implementation of the end-state specification.

Name and signature Date Gareth Mercer Policy lead

Name and signature Date Gordon Davison Head of group

PSI 14/2012 – PI 08/2012 UNCLASSIFIED ISSUE DATE 11/04/2012