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UK Home Office: OM National Standards 2007
UK Home Office: OM National Standards 2007
2007
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OVERVIEW OF MINIMUM REQUIREMENTS
TIER 1 TIER 2 TIER 3 TIER 4
IN THE COMMUNITY IN CUSTODY IN THE COMMUNITY IN CUSTODY IN THE COMMUNITY IN CUSTODY IN THE COMMUNITY IN CUSTODY
Allocation At PSR stage or within Offender Supervisor At PSR stage or within OS assigned within At PSR stage or within OS assigned within At PSR stage or within OS assigned within
three working days of (OS) assigned within three working days of two working days three working days of two working days one working day of two working days
sentence or release two working days sentence or release sentence or release sentence or release
First contact Within five working OS contact within Within five working OS contact within Within five working OS contact within Within two working OS contact within
with OM days of sentence 10 working days days of sentence 10 working days days of sentence 10 working days days of sentence 10 working days
or release or release or release or release
Sentence Plan Within 15 working Custodial sentence of Within 15 working Custodial sentence of Within 15 working Custodial sentence of Within five days of Custodial sentence of
days of sentence 12 months + – within days of sentence 12 months + – within days of sentence 12 months + – within sentence or release 12 months + – within
or release eight weeks if less or release eight weeks if less or release eight weeks if less eight weeks if less
than two years to than two years to than two years to than two years to
release or tariff date, release or tariff date, release or tariff date, release or tariff date,
16 weeks if two years 16 weeks if two years 16 weeks if two years 16 weeks if two years
or more to release or or more to release or or more to release or or more to release or
tariff date tariff date tariff date tariff date
Ongoing OM As required Offender Manager As required to ensure OM – at least As required to ensure OM – at least As required to ensure OM – at least
contacts to implement (OM) – at least implementation of annually for purposes implementation of annually for purposes implementation of annually for purposes
requirements, review annually for purposes Sentence Plan and of review Sentence Plan and of review Sentence Plan and of review
and enforce of review protect the public OS – not defined protect the public OS – not defined protect the public OS – not defined
OS – not defined
Supervision Two contacts plus No standard set Weekly for first four No standard set Weekly for first 16 No standard set Weekly No standard set
Requirement initial contact, plus as weeks, fortnightly for weeks, then every High or very high risk
or licence required to implement next 12 weeks, then four weeks of serious harm –
requirements, review every four weeks High or very high risk home visit within
and enforce High or very high risk of serious harm – 10 working days
of serious harm – home visit within
home visit within 10 working days
10 working days
Enforcement Immediately if failure Not applicable Immediately if failure Not applicable Immediately if failure Not applicable Immediately if failure Not applicable
to comply indicates to comply indicates to comply indicates to comply indicates
heightened risk heightened risk heightened risk heightened risk
Otherwise, within Otherwise, within Otherwise, within Otherwise, within
10 days 10 days 10 days 10 days
Review If significant change in When Parole Board If significant change in When Parole Board If significant change in When Parole Board If significant change in When Parole Board
risk factors considering release risk factors considering release risk factors considering release risk factors considering release
Within 15 days of Within 14 days Within 15 days of Within 14 days Within 15 days Within 14 days Within five days Within 14 days
release of recall release of recall of release of recall of release of recall
Every four months Otherwise annually Every four months Otherwise annually Every four months Otherwise annually Every four months Otherwise annually
At termination At termination At termination At termination
OVERVIEW OF MINIMUM REQUIREMENTS
STANDARD FOR
SENTENCE COMPONENT STD PAGE
COMMENCEMENT ONGOING CONTACT
Custody Immediately at point of sentence Not specified numerically; sufficient to secure engagement with 2c.10 27
assessment, plans and reviews
Licence Effective from point of release T1 T2 T3 T4
One contact per Eight hours per 15 hours per week 2d.9 35
week week
Alcohol treatment Treatment to commence as specified by sentencing court As specified in PSR proposal 2d.10 37
Supervision T1 T2 T3 T4 T1 T2 T3 T4
Within five working days Within two Minimum Weekly x 4 Weekly x 16 Weekly 2c.16 30
working days two contacts
and reviews, Fortnightly Then every
etc for 12 weeks four weeks
Then every
four weeks
Attendance Centre First attendance within 15 working days of sentence At least fortnightly, to maximum of three hours per session 2d.6 34
CONTENTS
Section Page Standards
INTRODUCTION Context 3
Scope 3
Model 5
NOTES
INTRODUCTION
INTRODUCTION
Context They are complemented by Service Level
Agreements between commissioners and
These standards have been developed and are providers, setting out the targets that
issued by the National Offender Management providers are required to meet.
Service (NOMS). They have been approved
by the Secretary of State for Justice. They Through specifying and commissioning
apply equally to all providers of offender offender management, associated
management services commissioned by NOMS. interventions and partnership activities,
NOMS aims to:
The standards will evolve over time and will
need to change periodically to reflect changes implement sentences of the court in
in duties, expectations and the environment. accordance with the expectations of
the courts and the public
They are focused upon the front-line work
to be done with offenders under supervision.
protect the public
They reflect a model in which that work punish offenders
is conceptually split into two functions secure reform and rehabilitation, and
– an underlying end-to-end process of effect reparation to those affected
offender management, and the delivery by offences.
of interventions. The NOMS Offender
Management Model provides the framework NOMS expects that this will be done with
for the offender management process, and due regard to the human rights, dignity and
the national and regional Reducing safety of offenders, victims and partners, and
Re-Offending Action Plans provide the that services will be respectful and responsive
framework for the development of an to the diverse needs and circumstances
appropriate range of interventions. encountered in correctional work.
The functions of these standards are: The mix of aims varies from case to case, but
managing the risk of harm posed by offenders
to make clear NOMS’ expectations as and protecting of the public is always
to how providers will manage offenders paramount. These objectives and priorities are
to make those expectations explicit, not repeated throughout the standards.
clear and transparent to all parties
Scope
to ensure that offender management
is designed and delivered by its The standards apply to the management
different providers in an integrated of offenders aged 18 years and over, and to
way, incorporating a baseline level of those aged 16 and 17 who are the subject of
national consistency and predictability. adult orders being managed by the National
Probation Service. Offenders subject to
other Youth Court provisions are managed in
accordance with standards published by the
Youth Justice Board.
INTRODUCTION
Those standards that relate directly to the within the Ministry of Justice and maintains
implementation of the NOMS Offender its own suite of instructions and guidance,
Management Model become applicable as which is fully aligned with these standards.
each phase of the roll-out of the model
takes effect. While the principle is that the NOMS’ approach to standards
Offender Management Model will, in time,
This document incorporates two columns in
cover all sentenced offenders for whom
the main body of its text.
NOMS has responsibility, there is currently
no firm timescale for achieving this, nor for
the inclusion of those remanded in custody
The first column lists the standards.
These are drafted as positive,
or on bail. measurable, benchmarking statements.
They follow the timeline of the
The standards apply to foreign nationals who
offender management process. They
are the subject of Community Orders and
avoid the imperative “must”, “shall”
qualifying custodial sentences.
and “will”, the normative “should”
The standards cover the underlying offender and “ought”, and unquantifiable
management process which is applicable to qualifications like “as soon as possible”
all offenders. They also incorporate those or “whenever feasible”. They also aim
standards for specific interventions which to keep the level of detail included
were previously covered by the Probation in the standard itself to a necessary
Service’s National Standards. They do not minimum.
cover the wider specification for the regime The second column, headed
in prisons. “Implementation Guidance (2007)”,
includes further definition of the scope
NOMS recognises that there are infinite of any individual standard, points
combinations of sentence, offender of emphasis, reminders arising from
characteristics and circumstances. It expects research or inspection, and some
these standards will be met in all but second-order operational detail.
exceptional individual circumstances, and
that any decision to depart from them in any As NOMS continues to develop, the standards
case will be endorsed, with reasons, by and guidance will need to be updated from
the relevant line manager on the individual time to time. Any substantive revisions
offender case record. will need formal approval by the Secretary
of State.
These standards now integrate and replace
the previous Probation Service National
Standards and the NOMS Offender
Management Standards. The Prison Service
continues to function as a separate agency
INTRODUCTION
Tiering and the Offender Tiering is a universal framework for prioritising
NOMS resources to the higher risk, more
Management Model
complex cases. The Offender Management
These standards make reference to the Model describes a different case management
tier allocation of a case and, to a certain approach for each tier (the Form Description)
extent, define differential standards for cases and a typical profile of a case suitable for that
assigned to those different tiers. approach (the Offender Profile). These are
reproduced from the Offender Management
Model1 below.
4 Tier 3 plus
Intrusive, assertive, intensive programme
In-house, partnership and other agency staff delivering interventions contained within
tight teamwork arrangements with high levels of communication and teamwork
Formal multi-agency teamwork approaches (e.g. as in Multi-Agency Public Protection
Arrangement (MAPPA) and Prolific and other Priority Offender (PPO) schemes)
Face-to-face work by the Offender Manager forms integral part of the intervention
programme
Management and supervision likely to be contained within same person
Frequent line management monitoring and guidance
1
The Form Description and Offender Profile tables are slightly amended from those published in the Offender Management
Model to take account of the re-drafting of Chapter 8 of the OASys Manual in 2006; see page 8 of OASys Manual.
5
National Standards for the Management of Offenders
INTRODUCTION
INTRODUCTION
OASys risk of serious harm OASys (the Offender Assessment System).
To a certain extent, differential standards
definitions
apply depending upon those categorisations.
These standards make reference to the The OASys risk of serious harm definitions
categorisation of an offender’s risk of causing from the revised OASys Manual are
serious harm using the definitions within reproduced below.
From NOMS OASys Manual – Chapter 8, page 129 (revised October 2006: see Probation
Circular 36/2006).
7
National Standards for the Management of Offenders
TIER 1 TIER 2
OVERVIEW OF MINIMUM REQUIREMENTS
TIER 3 TIER 4
STANDARD FOR
SENTENCE COMPONENT
COMMENCEMENT
STANDARD FOR
STD PAGE
ONGOING CONTACT
2d.4 33
2d.2 33
No requirement for ongoing contact
2d.5 34
2d.3 33
While in residential treatment, only as necessary for revocation 2d.11 37
or amendment
LOW BAND MEDIUM BAND HIGH BAND 37
One contact per Eight hours per 15 hours per week 2d.9 35
week week
As specified in PSR proposal 2d.10 37
T1 T2 T3 T4
THE STANDARDS
THE STANDARDS
12
THE STANDARDS
ASSIGNMENT AND CONTINUITY OF KEY ROLES IMPLEMENTATION GUIDANCE (2007)
1.2 Continuity of Offender Manager is An Offender Manager leaving or
maintained, except where a change is: the offender moving to a place that
renders continued involvement of the
necessitated by factors beyond the existing Offender Manager impractical
control of the provider organisation, or
would be good examples of matters
authorised and recorded by a line beyond the control of the provider
manager as being in the best interests
of the effective and safe management Changes of Offender Manager in
of the case the best interests of the case would
include circumstances where the
Offender Manager was under threat
or intimidated, or where a change
is necessary to maintain objectivity
in the context of a long-term
relationship. This list is not exhaustive
Where continuity of Offender Manager
cannot be maintained, it is vital that
there is continuity in the offender
management process
1.3 An Offender Supervisor is assigned to a This standard applies only to those
sentenced offender within two working days covered by the roll-out of the
of arrival into any prison establishment Offender Management Model
Where an offender comes into scope
while serving a prison sentence,
as the result, perhaps, of a review
of the current assessment, or new
information coming to light, this
standard applies from that point
as though the offender had just
been received
1.4 Continuity of Offender Supervisor is See guidance under Standards 1.2 and
maintained while the offender remains 1.3 above
in the same establishment, except where
a change is:
necessitated by factors beyond the
control of the provider organisation, or
appropriately authorised and recorded
as being in the interests of the effective
and safe management of the case
13
THE STANDARDS
1.6 Key events are recorded in chronological In particular, when an offender fails
order using designated recording systems. to comply, there is a record of:
Entries are made on the day of the event,
or, where this is not possible, immediately every apparent failure to comply
thereafter whether or not and when any
Records are full, clear and accurate explanation was received and
by whom
the details of any such
explanation
the Offender Manager’s decision
about the acceptability of any
such explanation
a copy of any warning
issued, and
the offender’s comment/response
Entries on paper records should
be legibly signed by the person
responsible for the entry
1.7 Records are accessible to appropriate staff The core, day-to-day case record
for an offender is accessible to
each member of the Offender
Management Team for that offender,
including those from organisations
other than the core statutory service,
unless there are overriding issues of
safety and/or confidentiality which
limit that access
14
THE STANDARDS
2. The End-to-End ASPIRE Process
2a. Assessment and Assessment Reports
The Offender Manager makes an accurate and thorough assessment of the circumstances,
risks and needs of each offender, using approved tools and methodology, focused upon the
objectives to be met for that offender.
Assessment reports, when required and to the required specification, are provided to support
decision making in the criminal justice process.
15
THE STANDARDS
16
THE STANDARDS
THE INITIAL ASSESSMENT IMPLEMENTATION GUIDANCE (2007)
2a.5 A full initial assessment draws upon, as The personal interview may be
appropriate: conducted face to face in an office
or prison, or through a home visit or
a personal interview with the offender video link, or any combination of these
the offender’s self-assessment A home visit is mandatory within 10
information about the circumstances working days of sentence or release for
and nature of the offence committed, an offender assessed as representing a
and about previous offences high or very high risk of serious harm.
Consideration is given in all other cases
any perspective from a victim of as to whether a purposeful home visit
an offence obtained from Crown
Prosecution Service (CPS) papers would provide valuable additional
or a Victim Personal Statement information to inform the assessment.
This is particularly important in
relevant current or previous NOMS or relation to factors associated with
third party information or assessments risk of serious harm. Child protection
information obtained from the work concerns may indicate the need for
of the Offender Supervisor and Key a home visit. This should be done in
Workers providing learning and consultation with the social services
interventions department of the local authority in
order to ensure appropriate sharing of
information and avoid any confusion
of agency roles
Reasonable efforts are made to
obtain information from previous
agency records, Youth Offending
Team or prison records, or the records
maintained by other agencies
17
THE STANDARDS
18
THE STANDARDS
ASSESSMENT REPORTS IMPLEMENTATION GUIDANCE (2007)
2a.8 The Offender Manager prepares an
Assessment Report to the approved
specification, using the approved format
and to the timescale required, when:
a PSR is required by a court
a review court is considering the
offender’s progress
a post-sentence interview has been
conducted following a sentence of
imprisonment
the Parole Board is considering the
offender for release
the Secretary of State for Justice is
considering revocation of an offender’s
release licence
release on temporary licence or Home
Detention Curfew is being considered
a level 2 or 3 Multi-Agency Public
Protection Arrangement (MAPPA)
meeting is undertaking a multi-agency
assessment and formulating a plan,
or reviewing an existing assessment
and plan
2a.9 An assessment report is: If the time allowed by the court only
permits the preparation of an oral
written report (e.g. for bail information or oral
objective, factual and impartial PSRs), a record of the report should be
free from discriminatory language and made after it has been presented to
the use of stereotypes the court
It is clear from a PSR if it has been
balanced prepared without access to the CPS
clear as to the sources of information advance disclosure documentation
used and extent to which that
information has been verified
19
THE STANDARDS
The overall approach and resources to be deployed reflect the sentence requirements and the
Offender Manager’s assessment of the risks and needs presented by the offender.
2b.2 Prior to preparing the Sentence Plan, the The process and criteria for making
case is assigned to a tier of service as the tiering decision are published in
defined by the Offender Management Probation Circular 65/2005
Model The current tier allocation of
The assignment to a tier is reviewed the offender is recorded on the
and confirmed or revised whenever the appropriate case management system
assessment and plan are reviewed
20
THE STANDARDS
THE SENTENCE PLAN IMPLEMENTATION GUIDANCE (2007)
2b.3 Following sentence, the Offender Manager For Community Orders, the prescribed
prepares a written Sentence Plan using the format for a Sentence Plan is
prescribed format, within: integrated into e-OASys, for all
except tier 1 cases, and tier 2 cases
five working days for a tier 4 case or with a stand-alone Unpaid Work
PPO sentenced to a Community Order
Requirement. There is no prescribed
15 working days for any other case Sentence Plan format for these cases
sentenced to a Community Order or (see A Manual on the Delivery of
to Custody Plus Unpaid Work), J4 and Appendix 12
eight weeks for custodial sentences of The prescribed format for custody
12 months or more where the offender cases is the e-OASys format
has less than two years to serve to The implementation of specific
release or tariff date requirements may have commenced
16 weeks for custodial sentences of before the post-sentence assessment
12 months or more where the offender and Sentence Plan are finalised. The
has two years or more to serve in Offender Manager should obtain
custody to release or tariff date and take account of feedback
from an Offender Supervisor and/
or Key Workers when finalising the
assessment and plan
The provisions related to Custody
Plus are pending the introduction of
Custody Plus
2b.4 The Sentence Plan specifies: Sentence Plans covering custodial
periods may specify that placement in
how the requirements of the sentence a particular prison is sought in order to
are to be met
reduce the risk the offender is likely to
how the risks identified in the pose post-release
assessment are to be managed
The contact level specified may
how needs identified in the assessment need to be well above the minimum
as being associated with the likelihood required by these standards
of offending are to be tackled
the contact schedule with which the
offender is required to comply
21
THE STANDARDS
22
THE STANDARDS
THE SENTENCE PLAN IMPLEMENTATION GUIDANCE (2007)
2b.6 The Sentence Plan is framed so as to enable An offender who is the subject of
the offender to: a community-based Sex Offender
Programme and/or certain residential
seek, take up or retain suitable treatment regimes need not be
employment or education
available to take up employment
retain any eligibility for benefits during any period when the
practise his/her religion and participate intervention is operative
in cultural activities
discharge his/her parental or family
commitments
2b.7 For offenders who fall under MAPPA, a The MAPPA level for an offender
MAPPA management level is established covered by MAPPA is established in
and integrated with the sentence planning accordance with the MAPPA guidance
process
For offenders in custody, this is done
six months prior to eligibility for release, or
is integrated with the first post-sentence
Sentence Plan for cases with less than
six months to serve at the point of sentence
2b.8 Sentence planning is conducted as a
significant event for the offender
2b.9 Key Workers who will be delivering learning This may be achieved through formal
and interventions, and any Offender or informal meetings or dialogue
Supervisor, are involved in developing the
Sentence Plan
23
THE STANDARDS
2c.2 An Offender Management Team for the The roles of Offender Manager,
offender is established to deliver the Offender Supervisor, Key Workers
Sentence Plan and Case Administrator are clearly
assigned. Each member of the
Offender Management Team is
provided with the name, role and
contact details of the others
Role profiles for these roles are
available in the Offender Management
Model (Section 12 and Appendix 3)
2c.3 For sentences that include an element of
custody, or residence in approved premises,
the identity and contact details of the
Offender Manager and Offender Supervisor
are communicated to one another within
five working days of sentence, transfer
between prison establishments or recall
24
THE STANDARDS
ESTABLISHING THE OFFENDER
IMPLEMENTATION GUIDANCE (2007)
MANAGEMENT TEAM
2c.4 Those responsible for implementing any The general principle is that persons
aspect of the Sentence Plan are provided with delegated authority for
with a copy of it within two working days implementing aspects of the Sentence
of its preparation Plan should have a copy of the plan.
This applies equally to members of
the Offender Management Team
(most likely to be Key Workers) who
are employed outside of the main
statutory correctional services. The
distribution of the entire plan may
be limited in specific cases by
overriding confidentiality or safety
issues, in which case a summary or
selected sections of the plan should
be shared
2c.5 In the case of a custodial sentence, a Pre- Wherever possible, a copy of the PSR
Sentence Report (PSR), when prepared, is should be forwarded to the receiving
forwarded to the receiving prison within prison on the day of sentence via the
five working days of the sentence Prison Escort and Custody Service
(PECS)
If an assessment has been made
that an offender poses an immediate
risk of causing harm to him/herself
or others, including other prisoners,
documentation conveying information
about acute risks will always be
forwarded to the receiving prison
with the offender via PECS – see
Standard 2a.6
25
THE STANDARDS
2c.6 For a Community Order, the first meeting In order to ensure that the standard
between the Offender Manager and the is met, it is recommended that
offender is arranged so as to occur within: arrangements are made to provide
offenders made the subject of
two working days of sentence for Community Orders with a first
an offender who has already been
assigned to tier 4 of the Offender appointment at the sentencing court.
Management Model In the event that a post-sentence
interview was conducted at court
five working days of sentence for an by the Offender Manager allocated
offender already assigned to tiers to manage the sentence, this
1–3, or sentenced without a PSR interview will satisfy the First Contact
unless the specification for any particular Requirement
requirement of the sentence requires an The Drug Rehabilitation Requirement
earlier contact (DRR) is an example of a requirement
that requires first contact sooner
than the general standard (within one
working day of sentence)
INDUCTION IMPLEMENTATION GUIDANCE (2007)
2c.7 The offender is inducted into the sentence It is best practice for the induction
Commitments, obligations and rights, process to begin at court, wherever
including the consequences of failing this is possible
to comply, are clearly explained and The offender’s obligations and
supported by relevant documentation commitments should be periodically
reinforced, especially after periods
with no contact (benchmark – four
weeks), or where there is a transfer of
area or change of Offender Manager
2c.8 The requirements of the Sentence Plan The Sentence Plan covering a custodial
are taken into account in the offender’s period may specify a preference for
custodial allocation; moves between placement in a particular prison where
establishments, for operational or security this is considered to be able to make
reasons, are communicated within an important contribution to the
two working days to the Offender Manager reduction of risk post-release
26
THE STANDARDS
REQUIREMENTS AND CONDITIONS IMPLEMENTATION GUIDANCE (2007)
2c.11 When discretionary release has been For detailed procedures and templates,
approved by the Parole Board, the see Probation Circular 15/2006
Offender Manager notifies the Parole
Board, together with a recommendation,
when new information comes to light
or circumstances change, such that the
original release plan cannot be safely
followed
27
THE STANDARDS
28
THE STANDARDS
RELEASE ON LICENCE IMPLEMENTATION GUIDANCE (2007)
2c.14 For custodial sentences, within 10 working In establishing contact with the
days of arrival into any establishment, offender, the Offender Supervisor:
the assigned Offender Supervisor has
established face-to-face contact with
helps the offender to understand
the Offender Supervisor’s role
the offender
ensures that appropriate action
has been commenced, as
required, to secure continuity of
accommodation, employment,
domestic and family relationships
reports back to the Offender
Manager on the offender’s
orientation toward custody, and
issues being addressed
29
THE STANDARDS
30
THE STANDARDS
SUPERVISION IMPLEMENTATION GUIDANCE (2007)
2c.18 The Offender Manager ensures that: The duty to ensure that appropriate
action is taken to make interventions
the provider of each intervention effective and integrate them with
has sufficient information about the
offender to deliver the intervention the offender management process
safely and effectively rests with the Offender Manager,
but may be delivered by delegation
the offender is effectively prepared to other members of the Offender
for attending at and engaging with Management Team
interventions
Where the requirement for contact
mandatory content to be delivered with the offender throughout the
outside the environment of the core delivery of a programme is specified
intervention is completed to the in the criteria for the accreditation of
required standard that programme, compliance with that
schedule is necessary to meet this
the offender is supported through standard
his/her involvement with interventions
Explicit reference should be made in
the offender is helped to acquire new the case record to the completion of
skills
formal pre- and post-programme work
the offender is helped to consolidate related to an accredited programme,
learning in order to satisfy the audit criteria for
such interventions
the offender is helped to apply
learning and knowledge gained in
his/her family, domestic, community,
peer and employment environment
31
THE STANDARDS
The providers of interventions inform the Offender Manager regularly about the offender’s
progress and any issues requiring attention.
32
THE STANDARDS
2d.1 UNPAID WORK IMPLEMENTATION GUIDANCE (2007)
2d.1.6 Time related to travel, breaks, education Travel of over 30 minutes each way is
or training related to the unpaid work credited up to a maximum of 10% of
and weather interruptions is credited in the unpaid work hours ordered
line with the regulations applicable at Up to 20% of the hours ordered
the time may be credited for time used for
education and training
2d.1.7 The offender is provided with a record The record provides details of the
of progress, which is updated on each hours worked or credited, the total
occasion that work is completed or hours worked to date, the balance
hours credited outstanding to be worked and an
assessment of the offender’s standard
of work and behaviour
2d.2 CURFEWS IMPLEMENTATION GUIDANCE (2007)
2d.2.1 An offender who is made the subject The responsibility for enforcement
of a Curfew Requirement is advised of a Curfew Requirement rests with
at court that the Curfew Requirement the Offender Manager in all cases
takes immediate effect, for how long it except those in which the Curfew
is effective, and what it requires of the Requirement is the only requirement
offender in the order. In these cases,
enforcement responsibility rests
with the provider of the electronic
monitoring
2d.3 RESIDENCE REQUIREMENT IMPLEMENTATION GUIDANCE (2007)
33
THE STANDARDS
2d.5.1 An offender who is made the subject of a The responsibility for enforcement of
Exclusion Requirement is advised at court an Exclusion Requirement rests with
when the Exclusion Requirement takes the Offender Manager in all cases
effect, for how long it is effective, and except those where the Exclusion
what it requires of the offender Requirement is electronically
monitored and is the only
requirement in the order. In these
cases, enforcement responsibility rests
with the provider of the electronic
monitoring
2d.7.1 The offender is given instructions to The activity may commence at a later
commence the activity within 15 working date than specified here when such
days of sentence, unless a later date was later commencement was specified in
proposed to and agreed by the sentencing the proposal
court
34
THE STANDARDS
2d.8 OFFENDING BEHAVIOUR PROGRAMMES IMPLEMENTATION GUIDANCE (2007)
35
THE STANDARDS
2d.9.4 In total, all of the contacts required under The offence seriousness (within the
an order that includes a DRR amount to community sentence band) should
at least: be indicated by the court, but where
it is not the PSR author needs to
15 hours per week for an offender form a view about the seriousness
where the offence seriousness is
high within the community sentence and propose a contact level
band commensurate with that view
Beyond the minimum required,
eight hours per week for an offender the contact schedule for the DRR
where the offence seriousness is
for the period after the first 16
medium within the community
weeks is at the discretion of the
sentence band
Offender Manager
one contact per week for an offender
where the offence seriousness is
low within the community sentence
band
for the first 16 weeks, and at least
one contact per week thereafter
2d.9.5 The Offender Manager prepares a Review The Offender Manager includes
Report to the required specification at a copy of the original PSR with a
the frequency specified by the court Review Report for a DRR
TESTING
36
THE STANDARDS
2d.10 ALCOHOL TREATMENT REQUIREMENT IMPLEMENTATION GUIDANCE (2007)
2d.10.1 The Offender Manager makes
arrangements for the offender to
commence the specified alcohol
treatment, within the timescales
indicated to the court at the time of
sentence
2d.10.2 The offender is instructed to attend
for treatment in accordance with the
treatment schedule
MENTAL HEALTH TREATMENT IMPLEMENTATION GUIDANCE (2007)
2d.11
REQUIREMENT
37
THE STANDARDS
GENERAL PROVISIONS
2d.12.3 Places in approved premises are The offender’s risk of serious harm
prioritised for offenders representing category is established using OASys
a high risk of causing serious harm to
the public and who are in need of an
enhanced level of supervision
INDIVIDUAL RESIDENTS
38
THE STANDARDS
INDIVIDUAL RESIDENTS
2d.12.9 Recorded cautions are issued for
infringements of the approved premises’
rules, where such infringements are not
so serious that the place is withdrawn
The Offender Manager is notified of
recorded cautions
39
THE STANDARDS
Assessments and Sentence Plans are kept under continuous review. A formal review is
conducted periodically.
At the end of the sentence, an evaluation is made of the extent to which the Sentence Plan has
been implemented and the objectives have been met.
2e.1 Information about progress and changing In the case of accredited Offending
circumstances is shared promptly and Behaviour Programmes, this may
routinely between the Offender Manager involve compliance with a specified
and others involved in delivering the schedule of contact
Sentence Plan In qualifying cases, the Offender
Manager shares sufficient information
with the Victim Contact Officer to
enable the Victim Contact Officer to
contribute to the management of the
risks in the case
REVIEW OF THE ASSESSMENT AND THE
IMPLEMENTATION GUIDANCE (2007)
SENTENCE PLAN
2e.2 The Offender Manager keeps the Particular attention is paid to:
assessment and Sentence Plan under
continuous review any factor which indicates
a change in the risk of harm
presented by the offender
the impact of the completion of
requirements or interventions
(in custody and in the
community)
40
THE STANDARDS
REVIEW OF THE ASSESSMENT AND THE
IMPLEMENTATION GUIDANCE (2007)
SENTENCE PLAN
2e.3 The assessment and Sentence Plan are
reviewed and revised immediately if new
information arises which may significantly
affect the validity of the existing
assessment and/or plan
2e.4 Assessment and Sentence Plan reviews take The report prepared following
account of: completion of an accredited Offending
Behaviour Programme is considered as
changes in the offender’s part of the next scheduled review
circumstances
monitoring of the offender by the
Offender Manager and Offender
Supervisor
the record of progress on achieving the
objectives of the Sentence Plan
new third party information arising
since the last assessment or review
41
THE STANDARDS
42
THE STANDARDS
EARLY REVOCATION OR SUSPENSION IMPLEMENTATION GUIDANCE (2007)
2e.8 By the end of the sentence, the Offender The evaluation of outcomes may be
Manager undertakes and records an completed up to eight weeks ahead of
evaluation of the extent to which separate the sentence termination date
elements of the sentence, and the sentence The OASys termination review is the
as a whole, has achieved its objectives required format for those cases where
the use of OASys is required
2e.9 The Offender Manager notifies those who The MAPPA Co-ordinator is notified
will continue to have contact with the when an offender subject to MAPPA
offender of the termination of his/her completes his/her sentence
statutory involvement, and reflects this It is particularly important to notify
continued involvement in the evaluation other agencies of the termination
of NOMS’ involvement when drug,
alcohol or mental health treatment
is to continue beyond the period of
the sentence
43
THE STANDARDS
2f.1 The Offender Supervisor in custody uses Offenders with drug misuse problems
the Incentives and Earned Privileges (IEP) are encouraged to engage with
Scheme to encourage co-operation with the voluntary drug-testing programmes if
Sentence Plan and reward achievement of its these are not already integrated into
objectives the IEP Scheme
2f.2 The Offender Supervisor informs the
Offender Manager of incidents resulting
in adjudications, changes to the offender’s
IEP status, re-categorisation or a change
in release date. Account is taken of these
when regular reviews of the assessment and
Sentence Plan are conducted
44
THE STANDARDS
MISSED APPOINTMENTS AND
IMPLEMENTATION GUIDANCE (2007)
FAILURES TO COMPLY
2f.3 When an offender who has not provided an For higher-risk cases, where it is not
acceptable explanation in advance does not clear whether an apparent failure to
keep an appointment or otherwise does not comply is indicative of a rise in risk
comply with a requirement of the sentence, to the public or not, the Offender
and if the failure to comply indicates that Manager adopts an investigative
the public is at substantially greater risk, the approach, utilising protocols and
Offender Manager initiates expedited and agreements about shared risk
urgent enforcement action immediately, management through MAPPA and
through a court or the Post Release Section including, where appropriate, a
of the Ministry of Justice, whichever is home visit
appropriate For a licence, immediate initiation
of enforcement proceedings consists
of making an immediate application
for recall of the offender; for a
Community Order, it consists of
making an immediate application
for a warrant or other “fast track”
enforcement process
45
THE STANDARDS
2f.4 When an offender who has not provided an Any unacceptable failure to comply
acceptable explanation in advance does not with any appointment or requirement
keep an appointment or otherwise does not constitutes a failure to comply with
comply with a requirement of the sentence, the whole sentence
and if Standard 2f.3 does not apply and The Offender Manager forms a view
an acceptable explanation has not been about the reasonableness or otherwise
received, a written warning in the prescribed of any excuse provided by an offender
format is issued by the end of the tenth for any apparent failure to comply.
working day following the failure to comply Judgements as to reasonableness
unless: take account of the nature of the
the failure to comply is indicative of: failure, the circumstances of it and the
– a serious, gross, wilful or fundamental circumstances of the offender
refusal to comply or breakdown of the A failure to comply with more than
order/licence, or one appointment or requirement
– a significant rise in the risk of serious on any single day is treated as a
harm or likelihood of re-offending single failure to comply, although an
presented by the offender, or explanation is sought for each single,
separate failure
in relation to a Community Order, there For a DRR, a failure to provide a
has already been one written warning
issued to the offender within the test sample is dealt with as an
preceding 12 months, or unacceptable failure to comply
46
THE STANDARDS
TAKING ENFORCEMENT ACTION
47
THE STANDARDS
48
THE STANDARDS
TAKING ENFORCEMENT ACTION
2f.6 For breaches of Community Orders, Criminal justice agencies are working
enforcement documentation, to the required in partnership to ensure that,
specification, is made available to the whenever possible, enforcement
relevant court in time to enable the breach proceedings are concluded within 25
to be heard within 20 working days of the working days of the relevant failure
last failure to comply to comply. The standard here refers
to the preparation and submission of
enforcement documentation, not to
the actual hearing of the case
2f.7 The Offender Manager writes to an offender Where it is necessary to explain the
recalled for breach of a licence within five reasons for recall to an offender,
working days of notification of his/her although this is the Offender
reception into custody, confirming how the Manager’s responsibility, it may be
offender may make contact to raise any discharged in liaison with the Offender
issues, including those related to the licence Supervisor
requirements and the circumstances of
the recall
49
THE STANDARDS
He or she is actively engaged both in arriving at and implementing the assessment and the
Sentence Plan.
Relationships with all staff are experienced as professional and supportive of rehabilitation and
resettlement.
3.1 The offender understands fully the This is particularly important for
obligations and sanctions involved in any those provisions where the offender’s
proposal for sentence or licence conditions informed consent is required before
to be made to a court, the Parole Board or the provision can be enacted
the Prison Governor
3.2 As soon as practicable after sentence, and at The offender is advised that it is
key stages of the sentence, the offender is his/her responsibility to contact the
helped to understand: Offender Manager immediately with
an explanation in the event of any
the legal requirements, constraints and failure to comply, and with evidence
procedures applicable, including that
any licence period forms part of the to support that explanation
original sentence
what is required of him/her and the
sanctions for failing to comply
that requirements remain in force while
any appeal is pending
what he/she can expect from NOMS
his/her rights, and how to complain
if he/she is dissatisfied with his/her
treatment
his/her right of access to assessments,
plans and records, and how to secure
that access
50
THE STANDARDS
ACTIVE ENGAGEMENT IMPLEMENTATION GUIDANCE (2007)
51
THE STANDARDS
52
THE STANDARDS
4. Working with Victims
In accordance with their statutory rights, victims are kept informed about the progress
of relevant offenders through their sentences and enabled to express their views at key
decision points.
2
Throughout this section, the term “victim” means the actual victim of an offence, or, in the case of murder or manslaughter or
where the victim is a child, the victim’s family. The breadth of the term “family” will be covered in supplementary guidance.
53
National Standards for the Management of Offenders
THE STANDARDS
4.5 In qualifying cases, the victim(s) is informed This will include information provided
about any condition of the offender’s release by the Parole Board about any
which relates to contact with him/her condition proposed by the victim but
not included in the release conditions
4.6 Information obtained by a Victim Contact Information related to victims and
Officer through their contact with a their families is kept securely and
victim which is relevant to the Offender separately from the offender’s
Manager’s assessment and management of case record
risk is passed immediately to the Offender A reciprocal duty to share information,
Manager placed upon the Offender Manager, is
The passage of any such information is done included at Standard 2e.1
in a way which safeguards the victim from
any potential harm that may arise therefrom
54
THE STANDARDS
5. Supporting Management and Infrastructure
Providers have in place organisational structures, systems and processes that promote and
support the delivery of offender management.
55
THE STANDARDS
56
THE STANDARDS
QUALITY ASSURANCE IMPLEMENTATION GUIDANCE (2007)
5.11 Individuals with a key role in delivering
offender management are clear about their
role in relation to any case, possess and
deploy the appropriate competences and are
properly supported
5.12 Providers monitor their performance
against these standards as required and take
remedial action when necessary to
improve performance
In particular, they monitor performance to
ensure that outcomes across ethnic origin,
age, gender, disability, sexual orientation and
other diversity characteristics are broadly
proportional to their representation in the
offender population
57
APPENDIX
APPENDIX
Report Specifications
58
APPENDIX
A2 PRE-SENTENCE REPORTS IMPLEMENTATION GUIDANCE (2007)
A2.2 A standard delivery PSR: A standard delivery PSR is prepared
using the standard report template
is a written document which is mandated by NOMS which can be
objective, impartial, free from
discriminatory language and the found within e-OASys
use of stereotypes, balanced, In cases where the PSR proposes
verified and factually accurate a Community Order with a Drug
Rehabilitation Requirement (DRR), in
is focused on the risk of serious circumstances where the court has
harm posed by the offender, the
likelihood of re-offending and the not indicated its view of the level of
factors which need to be addressed seriousness, the PSR should indicate at
to support desistance from what level it is proposed that the DRR
further offending should take effect
Any proposal for a DRR includes details
includes information from the of the assessing provider, the first
victim, only where this is drawn
from the CPS advance disclosures contact required with the provider,
or a Victim Personal Statement how the contact schedule required by
these standards is to be met and the
proposed review schedule, and confirms
that the offender is suitable for and has
consented to the treatment proposed
A PSR for a prolific and other priority
offender (PPO) is structured as specified
in Probation Circular 33A/2005; the
report makes no reference to the
offender’s status as a PPO
A2.3 A copy of a standard delivery PSR is
provided to the defendant, the Defence
Advocate (where appointed) and, where
required by section 159 of the Criminal
Justice Act 2003, the prosecution
In the case of any offender remanded
in or sentenced to custody, a copy is
provided to the receiving prison within
five working days of the hearing
A2.4 In cases where it has not been possible This includes non-attendance by the
to prepare a PSR as requested, the offender at interview
Offender Manager notifies the court in
writing of the reason(s) for this
59
APPENDIX
60
APPENDIX
A4 REPORTING TO THE PAROLE BOARD IMPLEMENTATION GUIDANCE (2007)
PAROLE REPORTS
A4.1 A Parole Report includes: A Parole Report conforms to the
guidance in Probation Circulars 34/2004
relevant information about the and 04/2007or to any superseding
offender and the index offence
guidance issued by NOMS
victim information
a risk assessment
a Sentence and Risk Management
Plan, identifying how the risks
will be managed should release
be agreed
a conclusion and recommendation
A4.2 A Parole Report is provided to the
required timescale
61
APPENDIX
RECALL REPORTS
A4.3 A report requesting recall includes Offender Managers should note the
details of: high incidence of self-harm/suicide
immediately after recall and specifically
the nature of the breach and consider this issue in preparing
which licence condition(s) has
been broken Recall Reports
Recall actions and reports follow
any earlier breaches/infringements guidance in Probation Circular 16/2005
and the action taken
or as superseded by any later guidance
whether the offender is subject to: from NOMS
– Sex Offender Registration
requirements
– a Sex Offender Order or
Restriction Order
– multi-agency risk management
the offender’s general response
to supervision
the level and immediacy of risk
of re-offending and/or of harm
or serious harm to others and/or
self presented by the offender
at the point the recall request is
being made
A5 REPORTS FOR APPLICATIONS FOR RELEASE
IMPLEMENTATION GUIDANCE (2007)
ON TEMPORARY LICENCE
A5.1 The prison considering an offender for
release on temporary licence seeks a
report from the Offender Manager at
least four weeks before the point at
which a decision is to be made
A5.2 The Offender Manager provides a The report draws on a current OASys
report as to the suitability of the assessment where one is in existence
offender for release on temporary
licence, within four weeks of a request
for such a report
62
APPENDIX
A5 REPORTS FOR APPLICATIONS FOR RELEASE
IMPLEMENTATION GUIDANCE (2007)
ON TEMPORARY LICENCE
A5.3 The Offender Manager contacts the
release address after the first night and
provides the prison with a report on the
success or otherwise of the placement
A6 REPORTS FOR HOME DETENTION
IMPLEMENTATION GUIDANCE (2007)
CURFEW APPLICATIONS
A6.1 The Offender Manager provides an Probation Circular 44/1998 and Prison
assessment of: Service Order 6700 require Form HDC3
to be returned to the prison within
the suitability of the proposed 10 working days
address for Home Detention
Curfew
the suitability of the offender
for the Home Detention Curfew
regime within the prescribed
timescales
63
INTERPRETATION NOTES
INTERPRETATION NOTES
1 Some of the current providers of offender 5 The term “Offender Manager” is applied
management have their own internal in these standards to whoever is allocated
standards which cover aspects of the overall responsibility for an offender, at
offender management process. Reference any one time. It is recognised that there
is not made to these in the NOMS will be occasions when the tenure of
Standards, although it may be in the this role is relatively short (e.g. an officer
guidance. Since it is NOMS’ intention allocated a fast delivery Report who will
to move, over time, to a greater variety not be responsible for the management
of providers, it is not appropriate to of any resulting sentence).
cross-refer within the NOMS Standards
to suites of other standards which can 6 The term “licence” or “release on licence”
only apply to a particular provider. refers only to those licences where
These standards will, therefore, apply there is a management/supervisory
to any provider. responsibility placed upon NOMS during
the licence period. To which licences
2 By contrast, reference is made to OASys this refers will be the subject of further
(the Offender Assessment System) since detailed definition. It also includes the
this is a universal part of the offender “Notice of Supervision” under which
management infrastructure supplied to those detained in a Young Offender
providers by NOMS. Institution are released.
3 When timescales are related to the point 7 The term “sentence” applies to any
of sentence, or sentences are otherwise single sentence, or any combination of
referred to generally, the term applies concurrent or consecutive sentences.
only to those sentences for which NOMS
has an implementation responsibility; 8 Those standards applying to the
it does not apply to fines, conditional Community Order apply equally to the
discharges, etc. Suspended Sentence Order, although this
is not repeated throughout the text.
4 In these standards, where responsibilities
are placed upon individuals in roles, 9 Timescales are all expressed in “working
e.g. the Offender Manager, this will days”. Working days are calculated
always mean “the Offender Manager designating the day upon which the
or any other person acting on his/her relevant occurrence takes place (i.e.
behalf” in those circumstances where sentence, release, previous review) as
the designated role holder is temporarily day zero. Days are calculated against
unavailable for reasons, for example, of a standard Monday to Friday working-
annual leave, sickness absence, training day week, excluding statutory bank
or overriding urgent priorities. It does holidays. This does not apply to urgent
not permit the routine assignment of or emergency action which is required
responsibility to another person. to be taken on the same day as
information arises.
64
NOTES