NPS Service Level Agreement 2014-15 SOUTH WEST/SOUTH CENTRAL
OFFICIAL
Page 1 of 50
OFFICIAL
Version Control TableVersion No. / Reason for Issue / Changes / Date Issued / Amended
P1.0 / Published / 01-06-2014
P1.1 / Tables 11.2, 11.3 and 11.6 populated following the release of figures. Wording changed throughout to make the document compliant with ORA. / 09-01-15
Table of Contents
Page
1.Glossary
2.Form of Agreement
2.1Purpose and Scope of this Document
2.2.Agreement
3.TERMS AND CONDITIONS
3.1.Responsibilities
3.2.Delivery partners
4.Service requirements
4.1.Responsibilities
5.Key operational interfaces between NPS and CRCs and between NPS and EM Providers
6.Performance Management
6.9.Audit, Inspection and Quality Assurance Arrangements
7.Governance
7.1.Commissioning and delivery assurance
7.2.SLA Review Process
7.3.SLA Delivery Issues and Failures
7.4.Issue Resolution Process
8.Notice of Change Process
8.1.Discretionary and Mandatory Changes
8.2.Documenting changes
9.Financial Protocol
9.1.Financial Framework
9.2.Principles of the Annual Operating Price and Funding Arrangements
9.3.Charges for Services
10.Annex: Key operational interfaces between NPS and CRCs/EM Providers to support the new system design
10.1.Explanatory note
10.2.Sentencing, Case Allocation and Court Reviews
10.3.Alleged breach of a Community Order, Suspended Sentence Order or Post Sentence Supervision period
10.4.Applications to revoke or amend the requirements of a Community Order or Suspended Sentence Order
10.5.Revocation of Licence
10.6.Parole Board Release
10.7.Increase in the Risk of Serious Harm and Case Transfer from the CRC to the NPS
10.8.Interventions for Retained Persons
10.9.Case Transfers
10.10.Serious Further Offences
10.11.NPS Approved Premises
10.12.Independent Approved Premises
10.13.Through the Gate services
10.14.Foreign National Offenders and Prisoners
10.15.Victims
10.16.MAPPA
11.Divisional Annexes
11.1.The South West and South Central Division
11.2.Divisional Strategic Needs Analysis and Segmentation Data
11.3.Divisional Accredited Programme Provision
11.4.A Divisional Response to 6 overarching Commissioning Intentions
11.5.Divisional Development Objectives
11.6.Divisional NPS Service Delivery Requirements for the interim period
11.7.Notice of Change and Business Case templates
11.8.Business Case template / checklist
11.9.Mandatory Service Specifications applicable under this SLA
1.Glossary
Throughout this SLA, the use of the singular includes the plural. The following terms are identified in the document in bold text and have the following meanings, except where the context requires otherwise:
Allocated Person / A person allocated to receive probation services from a Community Rehabilitation Company.Annual Operating Price / Price to be paid for the Services under the terms of this SLA. In effect, the NOMS-funded annual budget for the Division.
Accredited/offending behaviour programmes / A structured programme that is evidence-based. Programmes are designed to address specific offending related factors which are identified as leading to offending behaviour.
Commencement / The delivery of the first session of a service following sentencing.
Commencement of Community Payback / The arranging of the first work session of Unpaid Work for an Offender in accordance with the Community Payback Operating Manual.
Commissioning Authority / The NOMS Agency Board (NAB) is the NOMS Commissioning Authority with corporate responsibility for all of the Agency’s commissioning activity.
Where this SLA refers to the Commissioning Authority, this reference includes anyone acting on behalf of the Commissioning Authority. This could include commissioners, Operational Services personnel and others.
Community Rehabilitation Companies (CRC) / The organisations covering the 21 Contract Package Areas who will deliver offender management services in the community.
Contract Package Area (CPA) / The individual geographic area under which new services will be commissioned nationally. There will be a total of 21 areas.
Designated Retained Person / A Retained Person in respect of whom the Authority requires certain of the Services;
Division / The business unit of operational delivery, with a single point of accountability, for which NPS has agreed to provide services under the terms of this SLA.
Her Majesty’s Prison Service (HMPS) / Public sector provider of prison and high-security prison services.
Privately managed prisons / Prisons managed by the private sector.
HMI Probation / An independent Inspectorate, funded by the Ministry of Justice, and reporting directly to the Secretary of State on the effectiveness of work with adults, children and young people who have offended.
Improvement / The Performance Remedy
Improvement Plan / A plan delivered by the NPS to the Commissioning Authority.
Interim Period / The period between 1st June 2014 and point of share sale.
In-Year Change / A material change to the Service Requirements or Annual Operating Price of the SLA.
Liaison and Diversion / Liaison and Diversion services identify, assess and refer people of all ages with a wide range of mental health, learning disability and substance misuse vulnerabilities when they first come into contact with the youth and adult criminal justice systems.
Local Delivery Unit (LDUs) / The core unit of delivery for probation services.
Legislation / Any Act of Parliament or subordinate legislation.
LDU Cluster / A grouping of LDUs, several of which make up a Division.
Management Information / Information available to support the management and monitoring of service delivery.
Monthly Performance Report / A report delivered by the NPS to the Commissioning Authority in respect of its Actual Performance in the month to which it relates.
National Delius / National case management system for the National Probation Service.
National Probation Service (NPS) / Public sector provider of specified probation activities.
NOMS / National Offender Management Service Agency, or its designated representative, acting in a corporate capacity. NOMS is both commissioner and provider of services, being responsible for the direct management of the public sector prison service (HMPS) and the National Probation Service (NPS).
NOMS Directory of Services / The list of NOMS-funded services delivered to offenders, defendants, victims and courts.
Notice of Change (NoC) / Mechanism by which an In-Year Change is effected.
OASys / The national system for recording a structured assessment of offending risk and needs and of risk of serious harm.
Offender Manager / The Offender Manager is responsible for the overall management of the offender and discharges this by; determining and implementing the sentence plan and liaising with all agencies involved in delivering the requirements of the sentence to ensure it is delivered effectively and public protection is maximised. NOMS Offender Management Model 2005.
Offender Management Act 2007 (OMA 2007) / The relevant legislation in relation to the provision of probation services.
Officer of a Provider of Probation Services / An individual authorised under section 9 of the OMA 2007.
Performance Remedy / The remedy applicable in of the event that Actual Performance does not meet the applicable Service Level.
Probation Instructions (PI) / Formal process produced by NOMS for communicating mandatory actions that implement service specifications and policy.
Provider of Probation Services / In accordance with section 3(6) OMA 2007, a person or organisation who has entered into an arrangement or contract with the Secretary of State for the provision of pro probation services, or, the Secretary of State, where he provides such services directly.
Resettlement Person / This is a person who:
(a) has been remanded, sentenced or committed, to custody in a Resettlement Prison; and
(b) has been assigned to the Contractor or a Community Rehabilitation Company, as the case may be, by the Authority to receive Resettlement Services
Restriced Probation Provision / Provision, as defined in section 4(2) of the Offender Management Act 2007, which may only be provided by a public body.
Retained Person / A person retained by the National Probation Services for the purpose of receiving probation services.
Services Agreement / The agreements pursuant to which the Authority (NOMS) appointed each Contractor (CRC) pursuant to section 3(2) of the Offender Management Act 2007 as a provider of the Services.
Service Level Agreement (SLA) / This Service Level Agreement between the Commissioning Authority and NPS.
Service Delivery Requirement(s) / The requirement(s) for service delivery under this SLA, as set out at Section Four and relevant Annexes.
Service / A service to be provided by the NPS,as detailed in the Service Specification and/or other documents referenced under the Service Requirement.
Service Options / An option above the national minimum, available to commission, in some Service Specifications.
Service Specification / A document specifying, for each service in the NOMS Directory of Services, the outcomes and outputs to be delivered.
SLA Delivery Requirement / A specific, commissioned output delivered by the NPS Division or on behalf of the Division.
SLA Delivery Requirement Level / The agreed level at which the output is expected to be delivered. The Division’s performance will be monitored and assessed against this level.
Technical Notes / Describe the rationale for the measure and what behaviour the measure is expected to drive, data sources, frequency, targets, any calculations, detailed definitions, exceptions etc.
Treatment Requirement / Any or all of an Alcohol Treatment Requirement (as defined in section 212 of the CJA), a Drug Rehabilitation Requirement (as defined in section 209 of the CJA) or a Mental Health Treatment Requirement (as defined in section 207 of the CJA).
- Form of Agreement
2.1Purpose and Scope of this Document
2.1.1This Service Level Agreement (SLA) sets out an agreement pursuant to section 3(5) of the OMA 2007 between NOMS as the Commissioning Authority and the NPS for the provision of probation services commissioned and funded by NOMS within the control of the NPS Director.
2.1.2This SLA is designed to reflect the full range of NPS services provided to NOMS and others, and recognises the importance of providing a joined-up system of community provision which supports offender management, rehabilitation, resettlement, and victims. 2014-15 will be a year of transition for probation services and this SLA will be updated as necessary during the year, through the Notice of Change process (see section 8). In particular, the current annexes 11.6 and 11.3 are applicable only during the interim period and will be updated at the point when the new performance framework takes effect.
2.1.3This SLA does not include within its scope probation services delivered by CRCs under contract to the Commissioning Authority, but does include requirements for joint / collaborative working between the NPS and CRCs, and the NPS and EM Providers (see examples in Section 10).
2.1.4This SLA has been produced as part of the NOMS commissioning cycle. The commissioning cycle sets out the high level commissioning priorities for NOMS (taking into account service need and demand, resources, government policy and the priorities of other commissioners and funders of offender services) and securing services under SLAs and contracts to meet these priorities.Specific divisional information is contained in the annexes.
2.1.5Support services will be provided by NOMS to enable the NPS to deliver the requirements of the SLA. The NPS will use the existing support structures within NOMS, including HR, Finance, Procurement, ICT, Estates, Communicationsand Legal Services, and willcomply with all relevant NOMS instructions and policies in relation to these services. Separate internal agreements and protocols for the delivery of specific ancillary and operational support services may be agreed and will remain in force until cancelled in writing.
2.1.6For the avoidance of doubt, the Parties do not intend this SLA to be legally binding.
2.1.7To support transparency, this SLA will be published on the Ministry of Justice website().
2.1.8Further information on responsibilities, terms and conditions are outlined in Section 3.
2.2.
Agreement
2.2.1Commencement date for this Divisional Service Level Agreement will be 1 June 2014 and it shall remain in place until 31 March 2015, inclusive, unless otherwise agreed by the Parties.This Divisional SLA will be reviewed on an annual basis and subject to change under the Notice of Change process.
Signed for the Commissioning Authority by [title of individual to be added]:
Name (Print): Lucy Bogue
Signature:
Position: Deputy Director Rehabilitation Services
Date:28 May 2014
Signed for the representative of the NPS in respect of the services commissioned by Commissioning Authority under the terms of this SLA [title of individual to be added]:
Name (Print):Angela Cossins
Signature:
Position: Deputy Director SWSC
Date:28 May 2014
- TERMS AND CONDITIONS
3.1.Responsibilities
3.1.1The NPS agrees to provide the Services in accordance with the terms of this SLA and the applicable NOMS Service Specifications. This SLAis supported by the NOMS Directory of Services, which sets out the services for which NOMS is funded to commission for offenders, defendants, victims and to the courts on behalf of the Secretary of State for Justice.
3.1.2In delivering the requirements of this SLA, the NPS shall comply with all relevant legislation, statutory and regulatory requirements and NOMS policies, and any subsequent amendments, additions or deletions to such.This includes compliance with the mandatory content in applicable Probation Instructions / Circulars and Prison Service Instructions, and National Standards for the Management of Offenders published under section 7 of the OMA 2007.
3.1.3In delivering the requirements of this SLA, the NPS agrees to co-operate fully with the Commissioning Authority to promote and exchange effective practice and continuous improvement.
3.1.4During the interim period the NPS will provide certain agreed services to, and receive certain services from, the CRCs, as provisioned in Schedule 28 of the Interim Contract (which will be publically available). It is expected that during this period every effort will be made for both the CRCs and NPS to move towards autonomous arrangements in readiness for share sale, except where interdependency is stipulated by the final Target Operating Model.
3.1.5The Secretary of State has complied with his duty under Section 149 of the Equality Act 2010, in particular as relates to female offenders and that the specifications listed in table 11.9 are intended to meet the particular needs of female offenders.
3.1.6If, at any time after the commencement of this SLA, the NPS believes that it will not be able to meet the Service Requirements for whatever reason, it shall notify the Commissioning Authorityas soon as possible, providing details of the issue. Any material changes required as a result of the issue will be managed in accordance with the Notice of Change process set out at Section 8.
3.1.7The NPS agrees that it will in good faith and for the purposes of maximising career development opportunities for employees of the NPS, consider offering to any of its employees who wish to do so the opportunity to be seconded to a CRC on such terms as may be agreed from time to time and to do so under the Agreed Form Secondment Framework Agreement wherever possible. Copies of the Agreed Form Secondment Framework Agreement may be obtained from Human Resources.
3.2.Delivery partners
3.2.1The NPS shall work with all relevant partners to deliver the requirements of this SLA and to further both NOMS objectives and the objectives of partners. These can include but are not limited to: national statutory partners, the voluntary and community sector, social enterprises, faith groups, private organisations, CRCs and agencies [and, in Wales, the Welsh Government], as well as local Liaison and Diversion services (where they exist).
3.2.2The NPS shall work to meet any requirements and obligations agreed and supported by the Commissioning Authority under joint working arrangements with NOMS partners and providers of probation services (other than the Secretary of State). This includes the sharing of information, under the powers set out in section 14 of the OMA 2007 and compliance with the Data Protection Act 1998.
3.2.3The principal statutory partnership working arrangements in which mandatory participation is required from the NPS are shown below. Further information can be found at:- .:-
•Safeguarding Children Boards
•Safeguarding Adults Board
•Community Safety Partnerships
•Youth Offending Partnership Boards
•Elected Local Policing Body (PCCs and the Mayor of London)
3.2.4The NPS will be the relevant provider of probation services for the purpose of acting jointly with the police and prisons as the responsible authority in relation to MAPPA in each criminal justice area. There are a number of other relevant non-statutory public protection partnerships that the NPS are expected to participate in line with their public protection duties, these include but are not limited to PREVENT and MARACwhere they exist. The NPS will also engage and work collaboratively with reducing re-offending partnerships where they exist, for example IOM initiatives, and local Gang partnerships.
3.2.5The NPS will also be expected to work in partnership with service providers not commissioned by NOMS but which support delivery of services specified in the SLA.
3.2.6In delivering the requirements of the SLA, the NPS shouldseek toagree arrangements with CRCs in relation to their own participation in, and information sharing with, statutory and non-statutory partnerships. The purpose of establishing such an agreement is to ensure effective offender management and risk management of offenders, and to avoid duplication.
3.2.7The NPSand CRCs havea shared responsibilityfor advocacy with local agencies about the needsof offenders in specific localities for the purposes of informing the commissioning of mainstream services for offenders. For example, by providing evidence of need as part of Joint Strategic Needs Assessments (JSNA) or contributing to local consultations.The NPS will co-operate with CRCs to ensure that these joint responsibilities are discharged effectively. As part of the consultation concerning developing JSNAs and Health and Wellbeing Strategies by Health and Wellbeing Boards, the NPS will have primary responsibility to promote the substance misuse and mental health needs of offenders. Nevertheless the NPS and CRCs are both required to co-operate and provide information in relation to the health needs of offenders. Availability of, and access to, thesetreatmentsforms an essential part of Court Ordertreatment requirements andstatutory licence condition options.
3.2.8The NPS may make arrangements with another organisation or enter into joint commissioning arrangements such as resource pooling to deliver the Services as specified in the NOMS Service Specifications. Restricted probation provision cannot, under legislation, be delegated to non-public sector organisations. The NPS will remain accountable for the delivery of any Services and must notify the Commissioning Authority of any delivery partners, under arrangements such as joint commissioning proposals.