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IMPLEMENTATION OF THE DELIVER SUPERVISION ON LICENCE SPECIFICATION
This instruction applies to : / Reference :
Probation Trusts / PI 09/2012
Issue date / Effective Date / Expiry Date
11 April 2012 / 1 April 2012 / 1 April 2016
Issued on the authority of / NOMS Agency Board
For action by / Contract Managers in Probation Trusts
Relevant to all staff responsible for the commissioning and provision of supervision on licence.
For information / Chairs of Probation Trusts
Chief Executives of Probation Trusts
Contact / Miranda Wilkinson

Associated documents
Audit/monitoring :
Where there is an existing Probation Trust contract in place Probation Trusts are expected to comply with all aspects of that contract but actively work with the NOMS Agency to amend it in line with emerging new policy and mandatory actions and performance measures.

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CONTENTS

Section / Subject / For reference by:
1 / Executive summary
Background
Desired outcomes
Mandatory actions
Resource impact / All Staff
1.1, 1.2, 1.3, 1.4, 1.5
1.6
1.7
1.8
2 / Operational guidance
Guidance for staff
EIA / All Staff
2.1, 2.2, 2.3

1.Executive summary

Background

1.1 This instruction supports the implementation of the requirements and outputs set out in the service specification for Deliver Supervision on Licence. This instruction should be read in conjunction with the instruction and service specification for Manage the Custodial Sentence – Manage the Sentence Pre and Post Release from Custody.

1.2 The specification for Deliver Supervision on Licence defines outputs that must be delivered and is underpinned by an operating model and direct service cost model. The specification sets out the mandatory outputs which must be achieved, following implementation from April 2012, and are included in this instruction for ease of reference. The operating model is not mandatory but is provided as an example of an efficient and effective model for delivery.

1.3 The offender manager is responsible for proposing licence conditions, assessing the offender, agreeing a sentence plan, monitoring and promoting the offender’s compliance. This includes enforcing the licence where necessary. Under the standard licence conditions, they are able to require the offender to attend appointments which may be to address their offending behaviour. These roles have traditionally been carried out as one, with delivery of supervision indistinguishable from the duties required of the offender manager in managing the licence. The publication of the service specifications for ‘Manage the Sentence Pre and Post Release from Custody’ and ‘Deliver Supervision on Licence’ provides for a separation of these two components, so that, for example, the person delivering the supervision elements could be another member of staff from the same probation provider, reporting back to the offender manager on attendance and progress.

1.4 Judgement about the level of supervision required and what it should consist of falls to the offender manager, as the person responsible for managing the licence.

Desired outcomes

1.5 That supervision on licence is delivered throughout England and Wales in accordance with this specification under existing contracts.

  • Providers of probation services understand their responsibilities in delivering the specification and understand its relationship with the specification ‘Manage the Sentence Pre and Post Release from Custody’;
  • Staff responsible for delivering supervision understand and act upon the mandatory requirements set out in the service specification;
  • Commissioners and providers monitor performance against the specification.

Mandatory actions

1.6 Contract Managers in Probation Trusts must ensure that supervision on licence is delivered in accordance with the service specification as mandated by the Trust Contract. Staff commissioning and delivering supervision therefore must ensure that the outputs and outcomes in the service specification are met.

Resource Impact

1.7 This Instruction relates to a series of service outputs which have been specified and costed using an operating model. The outputs and operating model largely reflect existing practice; some additional ‘transactional’ costs have been identified where supervision could be provided by a separate provider. Commissioners also have the option to commission an additional level of enhanced supervision for offenders with particular vulnerabilities or needs. The costs of delivering these additional services, on the basis of delivery in line with the operating model, are also provided in the local cost spreadsheet.

Contacts

For further information contact:

Offender Assessment & Management Section

Offender Management and Public Protection Group

(signed)

Digby Griffith

Director of National Operational Services, NOMS

2.Guidance for staff

2.1 This PI should be read in conjunction with PI 08/2012 relating to Implementation of the Service Specification for ‘Manage the Sentence Pre and Post Release from Custody’ (transitional version), as supervision on licence cannot be effectively delivered without understanding the requirements in relation to the overall management of the order and licence. This Instruction and associated specification relate only to the supervision element of the licence, which we define as activity for the purposes of rehabilitation and protection of the public. This may entail one-to-one sessions between the offender and either offender manager or another party, e.g. key worker, to focus on addressing factors relating to offending behaviour.

2.2 Activities such as assessment, sentence planning, referring to service providers and addressing compliance and enforcing the licence are the responsibility of the offender manager and fall under the remit of the Service Specification and Instruction relating to ‘Manage the Sentence Pre and Post Release from Custody’.

3.Service Elements

3.1The following service elements apply to all cases where the offender is subject to a licence:

  • Contact with the offender to promote rehabilitation

Where supervision is being delivered by a person other than the Offender Manager, the following service element also applies:

  • The Offender Manager is supported in the discharge of his/her functions

3.2 Contact with the offender to promote rehabilitation

The following outputs apply to this service element:

  1. Reporting instructions are given in line with National Standards at times, dates and locations which maximise the likelihood of compliance. Appointments are re-arranged as required.

The person delivering supervision will be responsible for making arrangements with the offender for supervision appointments.

  1. The timing and location of appointments and the conduct of interviews take account of the diverse needs and circumstances of offenders.

Appointment timing and location may need to be arranged to avoid conflict with curfews, exclusion zones or the offender’s other legitimate commitments, such as employment or childcare, in order to maximise the potential for compliance.

  1. Women offenders are offered the option of being interviewed in a women-only environment.

Trusts should ensure appropriate provision is made available to enable women to be interviewed in a women-only environment.

  1. Women offenders are given the option of being interviewed by a female interviewer.

For women offenders they should be given the choice of whether the person to be responsible for their supervision is female.

  1. The person delivering supervision must obtain an account of the offender’s movements and behaviour to inform the exercise of addressing needs and changing behaviour.

This should be corroborated from other sources as necessary, e.g. checking with the police domestic abuse units. Where the person delivering supervision is not the offender manager, they should ensure they pass this information on to the offender manager as required. (See also outputs 13-17 below.)

  1. The offender’s motivation to comply and achieve positive change is sustained or increased to meet the objectives of the sentence plan.

The offender’s level of motivation is considered and managed to encourage the offender to engage and comply with their sentence plan. Progress against sentence plan objectives should be acknowledged and built upon. Similarly, any obstacles to compliance and engagement are identified and resolved, or fed back to the offender manager, where appropriate.

  1. Positive changes in the offender’s attitudes, thinking and behaviour are achieved.

During the delivery of supervision, work is completed with the offender to promote positive changes in the offender’s attitudes, thinking and behaviour which will reduce the likelihood of further offending. Progress is demonstrated through the review of sentence plan outcomes.

  1. The offender’s awareness of the impact of his/her offending behaviour upon his/her victim(s) is increased (where applicable).

The offender is encouraged to understand the perspective of the victim or other people affected by their behaviour. Where the case requires statutory victim contact or liaison the person delivering supervision should be aware of any personal impact statements or other documentation detailing the victim’s perspective and use this information sensitively to develop work to increase the offender’s awareness and empathy.

  1. The offender’s problem solving skills are improved.

There is evidence of offenders successfully applying tools and techniques gained from supervision to problem-solve. This is recorded and reflected in the sentence planning review process.

  1. The offender’s risk of serious harm is managed, and reduced.

Risk is managed through the risk management plan (where appropriate), which the offender manager is responsible for producing. Where the person delivering supervision is not the offender manager, they should ensure they are familiar with the risk management plan and take action where risk is increased, in accordance with that plan.

  1. The offender’s likelihood of re-offending is reduced through addressing associated needs, as defined by the sentence plan.

The sentence plan will be drawn up collaboratively between the offender manager, the offender, key workers and the person delivering supervision (if not the offender manager). It will take into account other agencies’ roles such as under MAPPA, MARAC or treatment providers. The person delivering supervision should ensure they address the relevant objectives in the sentence plan to reduce reoffending. Where they are not the offender manager, they will also need to provide feedback on progress when the plan is reviewed or terminated at the end of the licence period.

  1. The level of contact provided is in line with the assessed likelihood of reoffending and risk of serious harm to others.

The NOMS National Standards for the Management of Offenders provide flexibility for probation providers to tailor supervision to the individual case, with the exception of high and very high risk of harm offenders where a minimum level is set. The offender manager will determine the frequency of appointments, in conjunction with the person delivering supervision (where this is not the same person). The offender’s assessed likelihood of reoffending and risk of serious harm will be reviewed by the offender manager prior to the offender beginning their licence period to inform this decision.

3.3 The Offender Manager is supported in the discharge of his/her functions

The following outputs apply to this service element, where the offender manager is not the person delivering supervision:

  1. A record of all activity related to delivery of the sentence plan is kept in an approved format.

Where the person supervising the offender has access to the same case management system as the offender manager, they should record information in this system. Where they do not, this should be covered in the SLA with the provider of supervision. It should also be clear who is responsible for maintaining the ViSOR record or updating other records where appropriate

  1. Timely contributions are made as required to assessment, sentence planning and review.

Changes in attitudes and motivation, and progress against sentence plan objectives will be particularly important to report to the offender manager in order to inform the assessment and review processes. Where the provider of supervision is a separate organisation, the SLA between the Trust and the provider should cover how feedback and contributions should be made.

  1. The offender manager is provided with timely information regarding the offender’s attendance, behaviour, response and risk indicators.

The offender manager is responsible for managing the licence, and enforcing it where necessary. Any failure to attend should therefore be reported to the offender manager immediately. Similarly, any concerns in relation to risk should be communicated in line with any arrangements set out in the SLA between the Trust and provider, where supervision is delivered by another organisation.

  1. Data is provided as required for performance and statistical returns.

This may relate to offender attendance for example, or include information relevant for contributing to inspections.

  1. Contributions are made, as required by the offender manager, to the inter-agency management of the offender, his/her actual or potential victim(s) or any child(ren) whose wellbeing may be affected by or associated with him/her.

This may relate to contributions to MAPPA meetings and actions, liaising with the Victim Liaison Officer, Safeguarding Children’s Boards and other arrangements.

3.4 Option available for Commissioners to commission

  1. An enhanced level of contact is provided to address higher levels of need.

This may be applied to offenders who have additional needs or vulnerability. For example, this may include some women, young adults or those with learning difficulties. It is an option for Commissioners to decide whether they wish to commission and is not a mandatory minimum requirement.

PI 09/2012UNCLASSIFIEDIssue date 11/04/2012

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HQ policy
Equality Impact Assessment –
Policy
/ Implementation of the Deliver Supervision on Licence Service Specification
Policy lead / Miranda Wilkinson
Group / Offender Management Public Protection Group
Directorate / National Operational Services Directorate

What is an Equality Impact Assessment (EIA)?......

Your Equalities team......

The EIA process......

Stage 1 – initial screening......

Aims......

Effects......

Evidence......

Stakeholders and feedback......

Impact......

Local discretion......

Summary of relevance to equalities issues......

Monitoring and review arrangements......

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

 Service delivery issues relating to gender and younger offenders – Women and Young People’s Group – 020 7217 5048 or

 All other service delivery issues – Race and Equalities Action Group – 020 7217 2521 or

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 Deliver Supervision on Licence.
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 commissioning decisions made by NOMS. Use of the Service Specification will help to ensure the delivery of a more consistent, efficient and cost effective offender management service in the community, for offenders released on licence. This should support continuous improvement in the quality of service delivered nationally and locally.
The specification formalises existing practice in relation to the delivery of supervision on licence, and makes clear the requirements on the person delivering supervision, including in relation to liaison with the offender manager, where this is not the same person. It does not include areas of significant change in practice.
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?