UNCLASSIFIED SENTENCE PLANNING THIS INSTRUCTION APPLIES TO REFERENCE

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Sentence Planning

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UNCLASSIFIED SENTENCE PLANNING THIS INSTRUCTION APPLIES TO  REFERENCE





SENTENCE PLANNING


This instruction applies to :-


Reference :-

Prisons

Providers of Community Services

Probation Trusts

PSI 41/2012

AI 10/2012

PI 21/2012

Issue Date

Effective Date


Expiry Date

17 December 2012

17 December 2012

16 December 2016


Issued on the authority of

NOMS Agency Board

For action by

All staff responsible for the sentence planning and management of offenders

All prisons

Contracted Prisons*

Probation Trusts

Contract Managers in Probation Trusts

NOMS managed services

Providers of community services

* If this box is marked, then in this document the term Governor also applies to Directors of Contracted Prisons

Instruction type

Service specification support/service improvement

For information

Offender Managers, Offender Supervisors

Provide a summary of the policy aim and the reason for its development / revision

This Instruction sets out the expectations for staff with regard to sentence planning and highlights the mandatory nature of these processes for all offenders, and particularly those offenders subject to indeterminate sentences or the new extended determinate sentence, introduced by the Legal Aid, Sentencing and Punishment of Offenders (LASPO) Act 2012.

Contact

Miranda Wilkinson - Offender Assessment and Management Section , Offender Management and Public Protection Group

[email protected] - Tel 0300 047 5580

Associated documents

PSI 14/2012 – PI 09/2012 - Implementation of the Service Specification for “Manage the Sentence: Pre and Post Release from Custody” (transitional version)

National Standards for the Management of Offenders (2011)

Audit/monitoring: Deputy Directors of Custody, Controllers and NOMS Senior Community Managers will monitor compliance with the mandatory actions set out in this Instruction.


For NOMS managed Attendance Centres the Directorate of Probation and Contracted Services will monitor compliance with the mandatory actions set out in this Instruction.


Providers of community services must demonstrate compliance with these actions when required by contract managers from the Directorate of Probation and Contracted Services.


CONTENTS


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Section

Subject

For reference by:

1

Executive Summary

Probation and prison staff, and providers of community services, involved in the sentence planning and management of offenders.

1.2

Background

1.7

Desired outcomes

1.8

Application

1.9

Mandatory actions

1.11

Resource impact

2

Sentence Planning

2.3

Foreign national offenders

Probation and prison staff involved in the sentence planning and management of offenders.

2.4

Offender engagement

2.6

Setting objectives and activities

2.11

Sequencing

2.14

Appropriate activities

2.16

Sentence plan reviews

2.21

Termination


1. Executive Summary


    1. This Instruction sets out the expectations for staff with regard to sentence planning. It provides clarity regarding requirements in relation to the sentence planning process, and highlights the mandatory nature of these processes particularly as they apply to offenders subject to indeterminate sentences or the new extended determinate sentence, introduced by the Legal Aid, Sentencing and Punishment of Offenders (LASPO) Act 2012.


Background


    1. All offenders subject to a community order or a custodial sentence (where the offender will be supervised on licence on release) are required to have an assessment of their criminogenic needs and associated risks, and a sentence plan, constructed to address the identified needs and risks. These must be reviewed throughout the sentence. Since the introduction of the service specifications for ‘Manage the Community Order/Suspended Sentence Order’, and ‘Manage the Custodial Sentence’, the responsibilities and requirements of this process have been clarified. Depending on the type of sentence the offender is serving, the person responsible for overseeing the process and producing and reviewing the assessment and sentence plan will either be the community-based Offender Manager or the custody-based Offender Supervisor. For establishments holding young people, training plans will be developed and will be carried out by a person deemed appropriate by the Governor. Paragraph 1.9 explains further below.

    1. Whenever this Instruction refers to a ‘plan’ or a ‘review’ it is referring to the process of information gathering and discussion, involving the offender and others, as well as the written plan or review that has resulted, as part of an OASys update. In cases where the offender is assessed as posing a risk of serious harm that is medium or higher, a risk management plan will also be required and should be reviewed.


    1. It is essential that this process involves the offender him/herself, so that the offender is engaged in the process and therefore involved in considering what actions might be needed to reduce the risk s/he poses, both in terms of causing serious harm and further offending.1


    1. The LASPO Act introduces two new extended determinate sentences, one for those aged 18 or over at conviction and one for those under 18 at conviction. Those sentences replace the Sentence of Imprisonment for Public Protection (IPP) and existing extended sentences (EPP). Depending on the offence committed and/or the length of the sentence imposed, offenders sentenced to the extended determinate sentence will either be released automatically at the two-thirds point of the custodial term or subject to parole board review. For this second group, the offender will be able to apply to the Parole Board for release on licence at the two-thirds point of the custodial term. Release may be granted at this stage or following further review by the Parole Board. It is important to note, however, that the offender will automatically be released at the end of their custodial term if they have not been released previously.


    1. It is therefore particularly important for this group of offenders, and others subject to discretionary release, to engage with the sentence planning and review process. This is in order to demonstrate their understanding of what they will be required to undertake, their willingness or ability to change and show they have taken steps to reduce their risk of causing serious harm through reoffending during their sentence.




Desired outcomes


    1. This Instruction has been issued to ensure that staff are aware of:





Application


    1. Section 2 of this Instruction provides guidance on the sentence planning process.


Mandatory actions


    1. Contract Managers in Probation Trusts and NOMS and Governors in prisons must ensure that staff are aware of, and comply with, the mandatory requirements which are summarised below:





  1. Those subject to life sentences

  2. Those subject to a determinate sentence of 12 months or more, where the offender is assessed as posing a low or medium risk of causing serious harm to others





    1. Attendance Centre regional managers must ensure that that staff are aware of, and comply with, the mandatory requirements which are summarised below:





Resource Impact


    1. The arrangements set out in this instruction are already in place and defined in the National Standards for the Management of Offenders (2011) Practice Framework and Prison Service Instruction 14/2012. This instruction re-affirms the existing requirements and draws attention to the particular requirement for comprehensive sentence plans for those subject to the extended determinate sentence and those who received an IPP under the previous legislation.






(signed)



Digby Griffith

Director of National Operational Services, NOMS


2. Sentence Planning


    1. The sentence plan is the key tool for identifying what an offender will do during their sentence, based on an assessment of the factors associated with their offending, to achieve the aims of the sentence. Alongside reducing the likelihood of reoffending and promoting resettlement, one of the key aims of the sentence plan is to reduce the risk of serious harm the offender poses, particularly for offenders subject to an extended determinate or indeterminate sentence, as they have received this sentence based on an assessment of their ‘dangerousness’. Whether it can be demonstrated that the offender has been directed to and engaged with appropriate activities and interventions, in order to reduce the risk s/he poses, is a key consideration for the Parole Board in determining whether to direct release. However, the main consideration will be whether there is clear evidence that the offender has demonstrated positive changes in his/her behaviour, thinking and attitudes, and that there is a clear plan in place to manage any residual risk the offender poses when determining whether to direct the offender’s release from custody.


    1. The focus of sentence planning should be on achieving outcomes supported by defined actions or activity. The plan should cover the whole of the sentence, and define clearly:





Foreign national offenders


    1. Sentence planning for foreign national offenders can be complex, especially if the offender is likely to be removed from the United Kingdom at the end of the custodial period of their sentence. Although not all foreign national offenders will be so removed, it is important that they have a realistic understanding of their position from the outset. A foreign national offender who is likely to be removed from the United Kingdom by the United Kingdom Border Agency should be encouraged to consider actions aimed at preparing for their release in the home country as a consequence of their removal from the UK. They should be made aware of the availability of early removal under the Early Removal Scheme, the availability of assistance under the Facilitated Returns Scheme, and the possibility for transfer to their country of origin to serve their sentence under prisoner transfer arrangements (see PSI 52/2011 – Immigration, Repatriation and Removal Services). Establishing links with appropriate charities or organisations representing their communities in the United Kingdom may also support effective resettlement.


Offender engagement


    1. An offender should be engaged as an active participant in preparing the plan. Research evidence suggests that, if the offender feels engaged in their sentence, and the sentence plan is drawn up collaboratively, they will be more likely to identify, and take responsibility for, actions they need to undertake to address their offending behaviour. This may include asking the offender to identify what factors would support successful resettlement, where they are in custody, and what may need to be put in place to prevent protective factors being disrupted, such as family relationships, housing and employment. The offender manager and offender supervisor should encourage the offender to have a direct investment in their sentence plan and in achieving its outcomes, in order to promote compliance.


    1. Where the offender is subject to an IPP, life or extended sentence with discretionary release, s/he must demonstrate to the Parole Board that his/her risk is manageable in the community, in order to obtain release on licence. If s/he is not fully engaged with the sentence plan, the offender manager or offender supervisor must ensure the offender is aware that if s/he does not comply with the sentence plan, and does not demonstrate a change in behaviour or attitudes associated with offending and work towards identified objectives, this may affect his/her chances of being released.


Setting objectives and actions


    1. Sentence plans must be realistic and attainable in order to be effective in providing offenders with an opportunity to address offending related factors and reduce risk. Objectives should be specific, measurable, achievable, realistic, and time-bound (SMART) and actions to support these should be set out in order of priority.


    1. It is important that plans do not simply contain a list of interventions, programmes or activities that the offender may be suitable for or are available, but that they comprise activities which are directly related to the outcomes or objectives to be achieved, based on the assessed risks and offending-relating needs. Actions and objectives should be prioritised according to the level of risk the offender poses and in line with the areas most strongly associated with their offending. They should balance personal risk factors such as drug dependency or poor problem solving with social risk factors such as housing, employment and strengthening relationships and community ties.


    1. It is also important that activities are not included in an offender’s sentence plan that are unachievable, either because the offender does not meet the suitability criteria for particular interventions, or where they are suitable but no intervention can be delivered within the timescale of the sentence. In both cases, it will be essential to look for alternative activities or interventions that are achievable and that best target the risks and needs of the offender.


    1. Throughout the course of a sentence it is likely that the actions will change, but the overall outcomes are likely to remain the same. Staff should consider setting incremental actions that will allow an offender to demonstrate change, and, therefore an impact on the risk they pose, over a period of time. This has the added value of setting out clear expectations for the offender.


    1. Where an offender is not motivated to change it may only be possible to set limited outcomes and actions; in these instances, the focus may be on monitoring and risk management, although it is important to note that motivation may increase and decrease over time and that offender managers and offender supervisors should seek to enhance motivation to change wherever possible. However, where the offender is subject to release at the discretion of the Parole Board, it will be important to ensure the offender is aware that unwillingness to engage with the sentence plan is likely to affect the Board’s decision on his/her suitability for release.


Sequencing


    1. Actions required of the offender should be sequenced logically, according to what must take priority, bearing in mind both the offender’s own priorities and the need to cross-reference with the risk management plan and parole eligibility and review dates. It may be important to provide services which stabilise and motivate an individual before providing an intervention targeted at reducing their risk of reoffending or causing serious harm. For example, an offender with a chronic substance misuse problem may need to address this before they are in a position to address their offending behaviour.


    1. Actions should be set out in manageable steps for the offender, offender manager, offender supervisor and service providers. Where an offender is serving a custodial sentence, there may be some objectives and activities which could suitably be undertaken following release, and should be planned to follow on from earlier supporting activity. This must be planned in consultation with the community based offender manager to ensure appropriate provision can be put in place.


    1. Adequate sequencing also involves ensuring sufficient continuity of services and support, in particular with regards to the transition from custody to community. Where resources are limited, it will be important to consider where and when such activities could take place. For example, where an offender is suitable for a particular accredited programme but this is not available within the establishment the offender is currently placed in, or there is a long waiting list, this may be set as an activity to be undertaken following transfer to a relevant establishment. It will then be essential to plan activities prior to the programme work commencing, in order to maximise the impact on the main risk factors. This will be especially important for demonstrating that the offender is addressing and reducing the risk they pose, where the Parole Board will be considering their suitability for release.


Appropriate activities


    1. Education, employment and accommodation are prevalent problems for a high proportion of offenders. These are likely to be essential elements for the majority of sentence plans. However, not all offenders will be suitable for or need offending behaviour programmes, even if they have committed a serious offence and they have been sentenced to an indeterminate prison sentence or an extended determinate sentence. These types of interventions may be more suitable for medium and higher risk offenders, while lower risk offenders will benefit from access to services available within the ‘core offer’ as described in PSI 12/2012 – Rehabilitation Services Specification - Custody. In these circumstances, the offender manager, offender supervisor, and key workers should work together with the offender to review the assessment and available activities and interventions and come to a joint agreement on how the objectives in the plan will be achieved. All alternative avenues for meeting recorded objectives and encouraging sentence progression should be considered. This is particularly important for offenders whose release is at the discretion of the Parole Board.


    1. Most of NOMS accredited programmes require a certain level of cognitive functioning, or literacy/comprehension of English for offenders to gain fully from participation, although a sex offender programme has been adapted to be suitable for those with a lower IQ, and there is a currently a pilot for an adapted Thinking Skills Programme. Where adapted programmes are not available, and appropriate activity is being considered for offenders with a learning disability or difficulty, a more individualised approach may be needed. Some offence-focused work to reduce risk of serious harm can be undertaken on a one-to-one basis using specially developed materials. Where English is not the offender’s first language, consideration should be given to delivering such material through an interpreter. Offender managers and offender supervisors and psychology staff should discuss the full range of available options that will support offenders to address identified offending related factors and record this in the sentence plan.


Sentence planning reviews


    1. The assessment and sentence plan must be reviewed whenever there is a significant change that impacts on the risk of re-offending and/or serious harm posed by the offender. This will include where a transfer has taken place, the offender is due to be released or approaching a parole review, and/or one or more objectives in the sentence plan has been achieved or conversely where progress is not being made and alternative options need to be considered.


    1. Where the offender is in custody, offender managers and offender supervisors are required to participate in sentence plan reviews for all ‘in scope’ offenders. In addition, where the prisoner is low or medium risk of serious harm but will be released on licence, while the offender supervisor has the primary role, offender managers are required to take part in pre-release activity to support effective planning for release. This may not require attendance in person, but could be managed by video/telephone conference or by written contribution.


    1. The sentence planning review process should be used to: review information (including information from other staff and agencies) that builds on existing assessments; verify changes in an offender’s behaviour; adapt or change actions that are completed or no longer appropriate; and to explore the full range of available resources to meet outstanding offending related factors. It is also a critical opportunity to recognise and record progress, which is important for both the offender and for the Parole Board when assessing the prisoner’s suitability for release.


    1. Offender Management staff should work with colleagues in partner organisations and/or prisons to ensure that relevant services are made available to support the aims of the sentence plan.


    1. A review of the sentence plan must be accurately recorded and documented. Where activities and interventions are no longer appropriate to address risk of serious harm and offending they must be removed from the plan at the earliest convenience.


Termination


    1. A review of the sentence plan on termination of sentence must always take place, assessing the progress that has been made over the course of the sentence, drawing on the views of the offender and the judgement of the offender manager, offender supervisor and, where relevant, key workers. This provides an opportunity to commend progress such as compliance with interventions and particularly changes in behaviour and attitudes. It must also consider what actions the offender could take in the future to maintain and develop any progress they have made or, where insufficient progress has been made, to take steps in future to avoid reoffending.



EQUALITY IMPACT ASSESSMENT



PSI 41 / 2012 - AI 10/2012 - PI 21/2012 – SENTENCE PLANNING


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:


Aims

What are the aims of the policy?

This Instruction sets out the expectations for staff with regard to sentence planning and highlights the mandatory nature of these processes for all offenders, and particularly those offenders subject to indeterminate sentences or the new extended determinate sentence, introduced by the Legal Aid, Sentencing and Punishment of Offenders (LASPO) Act 2012. The aim is to set out clear expectations in relation to the sentence planning process, and to emphasise the centrality of effective sentence planning and delivery for ensuring the offender progresses through his/her sentence. This is particularly important for those whose release, or early release, is at the discretion of the Parole Board, as the Board will want evidence that the offender has actively attempted to address their behaviour in order to reduce the risk they pose. One way in which this may be demonstrated is through engagement with the sentence plan.


Effects

What effects will the policy have on staff, offenders or other stakeholders?

The effect of the policy will be to ensure staff are clear on the requirements with regard to sentence planning, in terms of the need for clear collaboration and communication between staff and the offender, the need for setting and reviewing realistic goals, and the need to make changes where activities are no longer achievable or progress is not being made.


The effect on offenders will be to re-emphasise the need to engage with the sentence planning process and make clear that, where their release is subject to a Parole Board decision, if they are seen to be failing to comply with the sentence plan, this may have a detrimental affect on their release prospects. This is in keeping with existing policy, but is set out in an instruction here for the first time.

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?

The recent HMI Probation report on Offender Management highlighted that, while sentence planning has improved, plans were often focused on process driven targets (e.g. ‘complete programme’) rather than objectives based upon the changes need in behaviour, attitudes or lifestyle (e.g. ‘improved anger management’). It did not highlight any particular issues relating to equalities, rather it highlighted the need for greater clarity on sentence planning expectations for staff involved in the work.


A judicial review was previously brought against NOMS by an offender who had a learning disability. NOMS lost the case because it was found that, although the sentence plan outlined interventions that may have addressed the risks associated with his offending, due to the offender’s learning disability, he was unable to fully participate in the intervention and no amendments were made to the sentence plan to take account of this. The instruction has been drafted using this and other similar cases as a basis for providing clearer guidance on the process to follow and the considerations to be borne in mind.


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 target group is offender managers and offender supervisors who will be working with offenders sentenced to community orders or custodial sentences, for whom a sentence plan is required. We have consulted with representative of these groups in producing this instruction and had no adverse feedback. Feedback was that the instruction was clear and logical.


The secondary group is the offenders themselves. There is a body of desistance literature underpinning NOMS’ Offender Engagement Programme, which emphasises the importance of engaging with offenders to help them to move away from offending. Part of that evidence supports the need for individualised sentence planning, which engages the offender in that process. We can extrapolate from the research evidence that that this policy is likely to have a beneficial impact.


The development of this instruction has been informed by feedback received over a period of time, highlighting the need for clearer guidance on what is required in the sentence planning process, its purpose, and how to tailor plans according to individual needs or sentence type. The two key groups that have been identified as needing particular attention are those subject to indeterminate sentences, and those with learning disabilities. In writing this instruction, legal advice has been sought to ensure that the policy is appropriate and suitable for these groups of offenders, as well as others. No specific feedback was received with regard to other protected characteristics, but existing NOMS policies and service specifications underline the need to ensure appropriate support is provided to other groups. Women offenders may request a female offender manager or supervisor, and where English is not an offender’s first language, arrangements should be made to ensure they can access appropriate interventions, e.g. through the use of an interpreter. Prisons and probation trusts should ensure such provision is available

Do you have any feedback from stakeholders, particularly from groups representative of the various issues, that this policy is relevant to them?

There have been a number of judicial reviews brought against NOMS in which we have lost or had to concede. These were where sentence plans set out a suitable and necessary intervention but the offender was incapable of benefitting or engaging in the intervention due to physical or learning disabilities, and the plan had not been adapted to be suitable for his needs. This effectively set the offender up to fail. The instruction has been drafted with the learning from these cases firmly in mind.


Feedback from similar challenges by indeterminate sentence prisoners has also been taken into account, including the recent ruling by the European Court of Human Rights in the cases of three prisoners subject to IPP sentences (Brett James, Nicholas Wells and Jeffrey Lee).These cases make clear that sentence plans must be realistic and highlight the importance not only of appropriate interventions being available, but also the need to target activities appropriately and not solely rely on accredited programmes where these are unavailable or even unsuitable for an individual.

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 is not intended to have a differential impact on any group on the basis of the equalities issues, and we do not anticipate it doing so. We expect it will have the positive effective of ensuring that each plan is tailored to the each offender’s assessed risks and individual needs.

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?

Local discretion applies in that each sentence plan should be tailored to each individual. However, the requirement that all offenders should have a sentence plan, and be actively encouraged to engage with the process, and involved in setting their own targets, should counter any potential to differential treatment.

Summary of relevance to equalities issues

Strand

Yes/No

Rationale

Race

No

While it may be harder for an offender whose first language is not English to engage with the sentence planning process and any subsequent interventions, this instruction is not introducing a new set of practice requirements; rather, it confirms previous expectations. As such, the issue is more one of offenders being able to access suitable support such as interpreters. This is covered by existing policies and associated equality impact assessments.

Gender (including gender identity)

No

Any targets or activities on a sentence plan should be identified in collaboration with the offender, and tailored to his/her risk factors and individual needs

Disability

No

While offenders with learning disabilities may be positively affected by publication of this instruction, the issue for this group is more relevant for eligibility criteria for particular programmes or interventions, which are covered by their own set of guidance and impact assessments. This instruction simply emphasises the need to ensure offenders are not set up to fail by referring them to programmes in which they will be unable to engage.

Religion or belief

No

Any targets or activities on a sentence plan should be identified in collaboration with the offender, and tailored to his/her risk factors and individual needs

Sexual orientation

No

As above.

Age (younger offenders)

No

As above.

Age (older offenders)

No

As above.


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.

Sentence planning forms part of two existing programmes of work: the Offender Engagement Programme and the Offender Management Change Programme. There is work underway through these programmes to develop monitoring and quality assurance measures in relation to work to engage with offenders, particularly on sentence planning, and on the delivery of offender management more widely. These will provide information on the way in which sentence planning is being carried out and the effect of the policy.


State when a review will take place and how it will be conducted.

A review will be undertaken after the policy has been in place for 12 months. This will take account of any learning from the above-mentioned programmes, as well as learning from the implementation of the new Extended Determinate Sentence.



Name and signature

Date

Policy lead

Miranda Wilkinson

10 Oct 2012

Head of group

Gordon Davison

17 Oct 2012


1 There is a body of research literature related to desistance from offending which provides evidence in support of this approach. For further reference see McNeil & Weaver, 2010

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