UNCLASSIFIED

Probation Circular
PC08/2007 – IMPLEMENTATION OF ACCREDITED OFFENDING BEHAVIOUR PROGRAMME PERFORMANCE IMPROVEMENT STANDARDS
IMPLEMENTATION DATE: 17 April 2007 EXPIRY DATE: April 2012

TO: Chairs of Probation Boards, Chief Officers of Probation, Secretaries of Probation Boards CC: Board Treasurers, Regional Managers AUTHORISED BY: Sarah Mann, Head of Interventions and Substance Abuse Unit, NOMS ATTACHED: Annex A – Performance Improvement Standards Manual Annex B – Report Form Annex C – Equality Impact Assessment Form RELEVANT PREVIOUS PROBATION CIRCULARS PC03/2004, PC23/2004 CONTACT FOR ENQUIRIES jo.day@homeoffice.gsi.gov.uk or 02072178999 Philip.mcnerney2@homeoffice.gsi.gov.uk or 02072170674 Lesley.smith@homeoffice.gsi.gov.uk or 0207217833

PURPOSE
To require Chief Officers of Probation to implement the performance standards for accredited offending Behaviour Programmes

ACTION
Chief Officers are asked to: ensure that the performance improvement standards manual is disseminated to relevant senior managers; to undertake an audit using the standards; and submit the results of the audits to the address below by 30th May 2007

SUMMARY
The performance standards provide for an interim audit of programmes. This audit is best described as a ‘snapshot’ and its future use will be dependant on the progress of the joint NPS/HMPS audit development Project. It is envisaged that the new arrangements for audit will be in place in 2007/08.

UNCLASSIFIED

ISSUE DATE – 3 April 2007 1 of 3

UNCLASSIFIED

Introduction There has been no formal Accredited Programme audit since 2004 and consequently there is an urgent need to address the audit process and framework. Work is currently being developed on an audit framework which covers all accredited programmes across custody and community and this work is due for completion in 2007/08. Following discussions with the Delivery and Quality Unit NOMS we have agreed an interim approach which will ask probation areas to evaluate current performance and identify areas for improvement. There are two persuasive arguments for this approach: 1) Robust and credible information is central to the planned mock contestability of programmes in 2007/08. 2) ROMs will want to commission effective programmes. This audit document will enable areas to demonstrate programme integrity which is crucial to an effective programme. Ultimately a weak programme which is unable to demonstrate the standards will undermine integrity and have an impact on completions. Standards The standards will align with work being undertaken in the joint NPS/HMPS audit project described above. This particular audit will establish the critical factors in delivering quality programmes and it should be noted that they are primarily intended as improvement standards and will not provide a comprehensive audit tool for all aspects of accredited programmes. The audit aims to be ‘light touch’ with the themes being based on the critical factors that research shows are necessary for delivering effective programmes. Audit process The Attitude Thinking and Behaviour Team NOMS have developed the attached framework of self audit of performance for accredited programmes. Areas are required to undertake an audit of programmes for the period April 2006 – March 2007 using the standards set out in the manual. It may prove helpful when establishing the audit process to consider using colleagues across the region to undertake and validate the scoring. Senior managers are expected to identify a named person to link with Lesley Smith Lesley.smith@homeoffice.gsi.gov.uk and sign off the completed report by 30th May 2007. If required an action plan focussing on areas for improvements should also be completed and sent to the above address. Details of the scores and plan should be recorded on the form (Annex A) with one copy submitted to Lesley Smith at ATB team NOMS and one to the relevant regional manager by 30th May 2007. A national audit report will be produced once we have received a report from all areas. This will summarise the strengths and areas for improvement within a national context.

The standards and rating system used are also consistent with the performance management approach being developed for NPS by the NOMS Performance and Improvement Directorate. It will be a requirement for Areas to submit their OBP standards audit score to the NOMS Interventions and Substance Misuse Unit. The Unit will band the audit scores using the formula presented in the Rating Approach Section of the Performance Improvement Standards manual. Once the OBP bands have been created the information will be communicated to the NOMS Performance and Improvement Directorate for inclusion within the Integrated Probation Performance Framework and the weighted scorecard. PC08/2007 Implementation of Accredited Offending Behaviour Programme Performance Improvement Standards

UNCLASSIFIED

ISSUE DATE – 3 April 2007 2 of 3

UNCLASSIFIED

Proposed Timetable

April May 30th June 30th September

2007 2007 2007 2007

PC published outlining purpose of exercise Audit completed in areas Area Report to NPD National summary report completed with analysis and Areas contacted re: validation exercise

PC08/2007 Implementation of Accredited Offending Behaviour Programme Performance Improvement Standards

UNCLASSIFIED

ISSUE DATE – 3 April 2007 3 of 3

Annex A

Accredited Offending Behaviour Programmes Performance Improvement Standards Manual

March 2007
© Crown Copyright February 2007

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CONTENTS:

PAGE No:

Introduction

Page 3

How to use this manual

Page 4

Section A: Committed Leadership and Organisational Support

Page 5

Section B: Programme and Treatment Integrity

Page 11

Section C: Staff Training, Supervision and Effective Communication

Page 22

Section D: Evaluation, Monitoring and Administration Systems

Page 32

Rating Approach

Page 37

Appendix 1 Audit Report Proforma

Page 39

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INTRODUCTION: The Correctional Services Accreditation Panel (CSAP) has worked closely with Her Majesty’s Prison Service (HMPS) and the National Probation Service (NPS) in developing a suite of internationally recognised programmes designed to aid the reduction of reoffending which forms a key part of the National Offender Management Service (NOMS) strategy vision and aims. To achieve accredited status programmes have gone through a rigorous process of design, development and scrutiny to ensure that they have the maximum impact on offenders. As well ensuring rigorous design criteria are met it is essential that programmes are also delivered to a high standard to ensure that they have the desired effect of addressing the key criminogenic needs they are designed to target and contribute to the overarching strategy to lower reconviction rates. In order to ensure the delivery side of programmes is as high quality as possible, the CSAP, in conjunction with NOMS, asked HMPS and NPS to set up a project to jointly develop the next generation of programme quality assessment. This requires the production of a clear set of standards against which deliverers can be assessed in terms of the quality and level commitment they achieve in their delivery of accredited programmes. The Joint HMPS and NPS Audit Development Project is currently due to be completed in January 2008. In the interim, until the above project is complete, there is a lack of a dedicated audit resource for accredited offending behaviour programmes (OBPs) in the National Probation Service (NPS). This manual provides a basis for a snapshot self or peer assessment approach and is informed by the development work for the aforementioned project and the previous quality assurance system delivered by HMIP. Its aim is to focus on the quality of implementation at site level, and will not consider at this time the supportive function of Headquarters. The items selected for inclusion in this manual 1 represent specific performance improvement standards related to compliance to the minimum operating conditions required to deliver programmes as well as a few items to assess in greater depth the quality of delivery in the area of treatment management. It will not provide a comprehensive validated audit tool for all aspects of work in delivering high quality offending behaviour programmes. The standards included are informed by a review of the evidence of those factors that are critical to well implemented and maintained delivery of programmes. The standards and rating system used are also consistent with the performance management approach being developed for NPS by the NOMS Performance and Improvement Directorate. It will be a requirement for Areas to submit their OBP standards audit score to the NOMS Interventions Unit. The Interventions Unit will band the audit scores using the formula presented in the Rating Approach Section of this manual. Once the OBP bands have been created the information will be communicated to the NOMS Performance and Improvement Directorate for inclusion within the Integrated Probation Performance Framework and the weighted scorecard. This Performance Improvement Standards Manual aims to focus the audit process on continuous quality improvement. The standards identified in the manual promote the development of practice that are critical to supporting effective programme delivery and therefore some items are noted as mandatory. The standards address the proper resourcing of practice, setting standards for the physical environment in which programmes are delivered and ensuring that integrity of the programme delivery and ongoing evaluation and monitoring processes are maintained. This manual provides transparency in how all deliverers are to assess and be assessed in their delivery of programmes and how ratings are awarded. The audit reports will provide valuable information to CSAP, NOMS, ROMS, and NPS about areas where improvements need to be made as well as identifying and acknowledging strengths in the delivery of accredited offending behaviour programmes.

1

The current manual is an adaptation of the HMIP Performance Standards Manual 2002 and the Quality Management of Accredited Programmes Probation Circular 23/2004. It is also informed by a draft version of a Joint Performance Standards Manual, produced for the Joint HMPS and NPS Audit Development Project in October 2006.

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HOW TO USE THIS MANUAL: This manual sets out: • • The Performance Improvement Standard and its description The evidence to assess how the standard is met. The examples provided in the manual are intended to be illustrative and they are not exhaustive. The methods for local area senior managers and programme staff to check and verify how the standard is currently being met. The rating approach and the link to the Integrated Probation Performance Framework and the weighted scorecard. The template for the self or peer audit report and action plan report to assist the continuous improvement of performance.

The performance improvement standards have been organised into four sections: Section A: Committed Leadership and Organisational Support which includes supportive leadership and management, effective communications with other parts of the organisation, appropriate allocation and effective management of resources. This section can be applied across all programmes. Programme and Treatment Integrity which includes standards related to the quality delivery of the programme including adherence to programme design, appropriate and effective offender assessment, targeting and selection, management of attrition rates, appropriate resources and facilities. This section is applied to specific individual accredited offending behaviour programmes. Staff Training, Supervision and Effective Communication includes trained and supervised staff who are developed and seen as credible by others. Appropriate marketing of the programme to other staff in the organisation and externally. This section can be applied across all programmes. Evaluation, Monitoring and Administration systems which include good administration and management information systems set up and key evaluation data is collated and recorded as set out in the relevant manuals and guidance. This section can be applied across all programmes.

Section B:

Section C:

Section D:

The evidence for rating each standard predominantly focuses on those available at site through access to local site information and records, databases and IAPS or local equivalent as well as by assessing the clinical products generated by the individual programmes. The ratings based on these sources of information will lead to an overall quality rating of how well the programmes are being implemented and maintained.

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Section A
________________________________________________________________________

Committed Leadership and Organisational Support
Senior management and other parts of the organisation are actively committed to the proper resourcing, management and delivery of the intervention, and to ensuring a supportive organisational environment

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A1 Committed Leadership and Senior Management actively supportive of programmes
Description
Senior management should be openly and explicitly committed to the proper running of the programme through policy and public statements.

Evidence of how the standard will be met
• • • • • • • • Specific objectives in the area annual business plan about the importance assigned to the delivery of the chosen accredited programme(s). Specific targets set in line with NPD targets. Strategy to reduce offending detailing targets and running of accredited programmes. Attendance by senior managers at staff awareness/context setting days for accredited programmes. Middle managers, offender managers and PSR authors attended context setting days. New staff had a briefing on accredited programmes. Communication with all staff in support of service delivery e.g. team meeting minutes, newsletters, emails. Evidence of regular constructive and pro-active discussion in senior management meetings about the effective delivery of the accredited programme, e.g. evidence in meeting minutes, memos or e-mails of discussion of operational issues and guidance issued to staff, decisions made on the basis of evidence.

Method for managers/staff to check and local area senior managers to audit and verify
• • • • • • • • Area documentation, including annual business plan, training strategy, policy statements and relevant senior management/divisional management minutes. Other documentation, including copies of presentations made by senior managers to staff groups and guidance issued to staff. Check with senior management, operational managers and practitioners. Attendance list for new staff with dates of events. Dates of context setting days with attendance lists and job titles. Minutes of meeting during the last 12 months. Copies of internal bulletins, global e-mails. Evidence of public statements and resource allocations for the current financial year.

MANDATORY

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A2 Management Structures and Time allocated to manage programmes
Effective line management structures exist for the proper operation of the programme, integrating this within offender management structures. Adequate time should be set aside for the effective management of the programme.

Description

Evidence of how the standard will be met
• • • • • Organisational chart outlines the management structures for the delivery of accredited programmes. There is a representative/’programme champion’ for accredited programmes on the senior management team for the area. There are sufficient Treatment Managers/Monitors/supervisors and Programme Managers for the number and suite of programmes delivered by the area. Competency-based job descriptions exist for all staff involved in programme delivery, case management and in support roles. Minutes of relevant divisional/functional management meetings demonstrate the integration of programme delivery within the offender management process and effective communication across the area. Minutes indicating Treatment Managers regular input at team meeting Mechanism for interaction of programme delivery staff and offender managers. Regular minuted programme management meetings.

• • •

Method for managers/staff to check and local area senior managers to audit and verify
• • • • Area documentation, including organisational charts, job descriptions and minutes of meetings. Interviews with senior and middle managers, programme staff and offender managers to check how line management systems operate. Interview with programme manager to ensure adequate time is allocated for the effective management of the programme. Describe the number of Treatment Managers/Monitors and Programme Managers for the number and suite of programmes delivered.

IMPORTANT

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A3 Staff ownership of the accredited programme in the organisational culture
Description
There is full ownership of the programme by managers, programme tutors/facilitators and other relevant staff, e.g. court personnel and offender managers.

Evidence of how the standard will be met
• • • Evidence of consistent allocation and use of accredited programmes across the area. Regular offender manager attendance at programme review meetings as specified in the appropriate programme management manual. Offender managers, PSR authors and other relevant personnel to attend context setting or other accredited training courses.

Method for managers/staff to check and local area senior managers to audit and verify
• • • • • • IAPS database or local equivalent for allocations to the programme. Case records to verify attendance by offender managers at programme review meetings. Area statistics. Check with offender managers, court personnel, programme tutors and other relevant staff. Numbers and percentage of offender managers, PSR authors and other relevant personnel who attended context setting and/or offender manager training. Date of meeting and attendance list/training record.

IMPORTANT

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A4 Adequate provision of budget, room and space to deliver the programme
Description
Adequate accommodation, budget and space allocated and available to deliver relevant suite of programmes.

Evidence of how the standard will be met
• • • • • • • • Group rooms/Interview rooms are of sufficient size to conduct the work required for the programmes including enough space for all people and relevant equipment. The room is well lit and well ventilated, with minimum outside noise/disruption. When required a separate area/room is available to allow sub-group work to take place and is of a sufficient size to accommodate the number of people and any equipment. Comfortable chairs in each room (padded, fairly upright chairs with arms may be most appropriate). A desk/table to enable an offender to complete written work when needed (as a minimum a participant should be supplied with a clipboard or hard cover file to work on). A flipchart and stand, whiteboard, OHP and screen and other aids to enhance responsivity are available when needed. Audio/video monitoring equipment of sufficient quality to enable sessions to be assessed by treatment managers. Secure tape storage facilities for the cataloguing and storage of all sessions of the accredited programme. Video/audio tapes must be retained for treatment management and audit purposes. Refer to NPS Data Protection Policy April 2005 for guidance.

Method for managers/staff to check and local area senior managers to audit and verify
• • • • Physical check and description of the accommodation at each location, including size, equipment and facilities. Check with programme tutors to ensure that they are adequately resourced to run the programme. Random sampling of a few minutes of video/audio tapes to ensure that the recordings are of sufficient quality for monitoring and reviews to take place. Plans which outline details of how any deficiencies are to be addressed to bring room, facilities and equipment up to standard.

IMPORTANT

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A5 Effective arrangements with offender manager to support offender and the programme
Description

Effective arrangements for liaison handover and communication and offender manager understands the aims and objectives of the programme. This includes timely completions of pre and post programme work, the three way meeting at the end of the programme, supporting and motivating the offender during participation in the programme, resolving obstacles to attendance and reinforcing learning.

Evidence of how the standard will be met
• • • Evidence of consistent attendance at three way meetings by offender managers, programme tutors and offenders. Records (IAPS or local equivalent and case records) demonstrate that the required preprogramme work is completed in timely fashion. Records (IAPS or local equivalent and case records) show when there has been problems with an offender participation or attendance it reflects attempts to address this by offender manager working with programme staff. Attendance at any awareness/context setting training. Evidence of communication or minutes of meetings with offender manager.

• •

Method for managers/staff to check and local area senior managers to audit and verify
• • • • IAPS or local equivalent. Check with staff and offenders. Case records. Attendance at relevant training by offender managers.

MANDATORY

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Section B
________________________________________________________________________

Programme and Treatment Integrity
The programme is delivered as intended and with appropriate treatment style and high quality facilitation, with appropriate selection of offenders, management of non-completion and adequate resources

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B1

Managing attendance and risk of non-completion

Description

Offender attendance and absence are managed to achieve the required National Performance Management target for offender completions. Attendance is managed to achieve coherent delivery with full impact for all undertaking the programme and reducing the likelihood of non-completion. The maximum number of absences by an offender is consistent with the requirements of the programme manual for the specific accredited programme. Offenders attend the requisite pre and post programme sessions. Any deviations for reasons of risk of harm are clearly recorded. Offenders are returned to court when there are too many absences.

Evidence of how the standard will be met
• • • • • • • Area policy document on offender attendance/enforcement. Area documentation outlining how completion rates will be enhanced over time. Including any analysis of non-completion rates and subsequent action. Attendance registers and case records demonstrate that participants’ attendance conforms to the requirements of the programme and national standards. IAPS database or local equivalent confirming offender attendance and completion rates. Evidence of communication between offender manager and programme staff when an offender has missed sessions for acceptable or unacceptable reasons. Record of action taken by offender manager or programme staff when an offender is absent. Including return to court when appropriate. Pre and post programme sessions are recorded as complete.

Method for managers/staff to check and local area senior managers to audit and verify
• • • • • • Area documentation on enforcement of attendance and enhancing completion rates. IAPS database or local equivalent show reasons for non-completion and non-attendance and any action taken. IAPS database or equivalent shows where pre and post programme sessions have been recorded as attended for offenders. Attendance registers showing starters, non-attendance, non-completion and completions rates. Reasons for non-completions and non-attendance are recorded. Case records showing prompt return to court when appropriate. Reasons where exceptional circumstances have been considered to allow completion where offender has missed sessions are recorded.

MANDATORY

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B2

Avoidance of cancellation or disruption to sessions

Description

Sessions are not cancelled or disrupted owing to offender crises, high workload or other pressures, and arrangements exist to deal with crises outside of the programme session. Sessions are delivered at the frequency defined in the programme manual.

Evidence of how the standard will be met
• • Frequency of sessions conforms to requirements of the accredited programme manual. Arrangements are made to deal with offenders’ problems outside of the programmed session (usually with the offender manager). This should be outlined in briefing meetings to offenders prior to their participation in the programme, e.g. covered in information leaflet. Workload or other pressures are seen to be resolved by the programme manager to enable consistent tutor attendance.

Method for managers/staff to check and local area senior managers to audit and verify
• • Review post-session and post-programme reports. Check with programme staff and offenders to check whether any sessions have been cancelled or disrupted.

IMPORTANT

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B.3

Timely commencement and completion of the programme by offenders

Description

All offenders commence the programme as soon as possible and within 12 weeks, and for GOBPs, no later than 6 weeks after sentence or release on licence (where there is more than one programme requirement at least one will commence no later than 6 weeks). A start is defined as attendance at session one of the core programme. A delay in commencement is acceptable if other structured work is undertaken (e.g. motivational work, resolving accommodation issues). The programme is completed within the period specified in the appropriate programme management manual.

Evidence of how the standard will be met
• • Written evidence of offenders commencing and completing the programme within the required timescale. Case records evidence other preliminary work that needs to be completed prior to the offender’s participation in the programme where he/she is assessed as not being ready to commence the programme. Record start and completion dates on IAPS or local equivalent.

Method for managers/staff to check and local area senior managers to audit and verify
• • • Check timeliness of commencements and completions via IAPS database or local equivalent. Review case records. Interviews with offenders, programme staff and case managers to check on the timeliness of programme commencements and pre-programme work.

MANDATORY

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B4

Offender selection and assessment

Description

Routine monitoring results confirm the profile of those entering the programme are consistent with the criminogenic needs addressed by the programme, the level of likelihood of reoffending and the level of risk of harm/dangerousness.

Evidence of how the standard will be met
• Use of approved targeting matrix (PC38/2004) for the accredited programme that measures: offenders’ criminogenic needs against the treatment targets of the accredited programme using OASys , e.g. identified cognitive deficits for a general offending cognitive behavioural programme. offenders’ likelihood of reoffending and ensures that only those offenders who fall within the correct risk profile are allowed to enter the programme. • • • Use of IAPS which records OGRS and OASys scores. Written guidance on grounds for exclusion relating to the approved targeting matrix. Meeting minutes, e-mails, letters or other evidence of liaison between programme staff and PSR authors and offender managers concerning an offender’s eligibility/suitability for the programme.

Method for managers/staff to check and local area senior managers to audit and verify
• • • Check IAPS database or local equivalent to ensure profile is consistent with offenders’ needs, level of likelihood of reoffending and risk of harm/dangerousness. Random sampling of allocations to ensure offenders are selected appropriately. Area documentation, including targeting matrix and OASys. Area documentation should also include written statements about exclusion criteria.

MANDATORY

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B5

Offender knowledge and understanding of the programme requirements

Description

The requirements of the programme are clearly communicated on at least two occasions to each participant verbally and in writing, and there is evidence from signed consent forms or interview that offenders know and understand the requirements.

Evidence of how the standard will be met
• • • Signed ‘contracts’ or statement of understanding explaining the requirements of the programme. Evidence that the programme requirements have been explained to the offender verbally by the tutor and/or the case manager. Leaflets for offenders include information on requirements.

Method for managers/staff to check and local area senior managers to audit and verify
• • • • • IAPS database or local equivalent to confirm that offenders have signed the letter of understanding. Random sample of actual signed statement of understanding. Check with programme tutors, offender managers and offenders to confirm that the requirements of the programme have been explained verbally. Case records confirm that requirements of the programme have been explained to the offender on at least two occasions. Leaflets available to offenders that include information on the requirements of the programme.

IMPORTANT

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B6

Accessibility of individual programmes

Description

Careful consideration is given to the allocation of tutors to women or minority ethnic offenders and consideration has been given to diversity and equality issues. Appropriate support arrangements should be provided and evidenced for these offenders and for those who may have difficulties with literacy and disabilities.

Evidence of how the standard will be met
• • Written area policy outlining criteria to be considered when assigning a tutor to a female or minority ethnic offender. Evidence where there are diversity issues (e.g. age, gender, sexuality, minority ethnic offenders, offenders with literacy difficulties or physical disabilities) attention has been paid to arrangements to support their attendance. Area guidance on the use of interpreters. Consideration of the use of a CD-ROM with offenders who might find written material problematic.

• •

Method for managers/staff to check and local area senior managers to audit and verify
• • • • IAPS database or local equivalent to check which tutors ran the programme against the offender composition of the group. Area policy/practice documents. Notes of programme planning meetings demonstrating attention has been given in advance to staff profile and to the arrangements to support offenders. Feedback from offenders (e.g. women or minority ethnic offenders, those with literacy difficulties and disabilities) who have participated in the accredited programme.

IMPORTANT

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B7

Adherence to programme, treatment style, group work/facilitation skills and responsivity skills in delivery of programme sessions

Description

All sessions of the programme should be delivered in line with the instructions of the programme manual and demonstrate close adherence to the aims and objectives. Programme tutors make competent and appropriate use of the techniques of the treatment style specified in the theory and programme manual. Programme tutors demonstrate effective delivery skills, including particular attention to managing the group and working with individuals to relate to and apply the programme material to themselves and effective coworking between tutors.

Evidence of how the standard will be met
• • • • • • • • • • • • • • • • • Exercises set up, explained and run correctly. Timing and pace. Checking out learning related to aims and objectives and encouraging group members to make links between sessions and exercises. Out of session work and assignments. Use of open questions. Listening, reflecting and summarising skills. Effectively challenges offence- supporting, anti-social or discriminatory views. Motivational skills. Appropriate use of praise and reinforcement. Warm, genuine and empathic style. Clear and engaging verbal style and use of appropriate language. Effective co-working (not applicable for one to one programme). Group/session facilitation skills. Group/session management skills. Flexible delivery style responding to the needs of group members/participants. Adaptation of the material to reflect culture, ethnicity, gender, age, sexual orientation, social background, and life experiences of participants. Paying attention to external responsivity factors; room layout, seating, plans, use of wall space.

Method for managers/staff to check and local area senior managers to audit and verify
• • Random sample of treatment manager review forms and tutor session review forms. IAPS database or equivalent on offender engagement and understanding of programme sessions.

MANDATORY

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B8

Programme delivered addressing race, gender equality and wider diversity issues

Description

From audio/video evidence notes, issues of racism and sexism are effectively addressed whether arising within programme delivery or offender response. Staff are alert to race and gender equality and wider diversity issues, they always respond appropriately and show that they have considered and developed strategies for responding, e.g. relevant resources and arguments, clarity about boundaries, and approaches that may promote perspective taking.

Evidence of how the standard will be met
• Examples within programme sessions of tutors challenging racist, sexist or other inappropriate attitudes or behaviour noted in treatment manager review forms and tutor session review forms. Programme managers, treatment managers and tutors alert to issues of race and gender equality and diversity, e.g. tutors ensuring cultural relevance of exercises, managers considering staff/offender match on basis of gender, race and other relevant factors. Evidence of policy/practice documents about promoting diversity within programme delivery, e.g. relevant section of race action plan, equal opportunities policy.

Method for managers/staff to check and local area senior managers to audit and verify
• • Random sample of completed treatment manager review forms and tutor session review forms to check that diversity issues are effectively addressed if arisen in programme. Check with programme staff that they are alert to race and gender equality and diversity issues. Seek specific examples which demonstrate their understanding of the issues and commitment to take appropriate action. Policy/practice documents promoting diversity issues in the delivery of accredited programmes. Check with offenders, including those from minority ethnic groups and women offenders, to seek their experience of how well the programme and the programme tutor addressed race and gender equality and diversity issues. Review post-course feedback forms by offenders to check if diversity issues are raised.

• •

MANDATORY

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B9

Post-programme reports

Description

The case record shows that at the end of the programme staff prepare a timely and good quality postprogramme report conforming to the national pro forma (Probation Circular 03/2004). Post programme reports should be completed within two weeks of the completion of the core session of the programme to allow for timely handover to the offender manager and enable OASys review of likelihood of reoffending and risk of harm.

Evidence of how the standard will be met
• • • Post-programme reports for the staff member in the role of offender manager, demonstrate the sections have been completed to a good quality standard. Record of when report completed. Check with offender managers how useful the post-programme case summaries have been to inform future planning/interventions for the offender.

Method for managers/staff to check and local area senior managers to audit and verify
• • • Sample post-programme reports to assess quality and timeliness of completion. IAPS or local equivalent. Check with programme tutors and offender managers.

MANDATORY

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B10

Post-programme review

Description

The post-programme review for each offender shows that at the end of the programme appropriate individual objectives are identified to strengthen and build on the progress made, and to achieve successful community reintegration. This should take place within three weeks of completing groupwork to enable proper and timely handover to offender manager.

Evidence of how the standard will be met
• Evidence that the post-programme report influences the post-programme review, especially in respect of areas of work not sufficiently covered by the programme that the offender needs to address. SMART objectives set in the post-programme review document. These should be incorporated in revised sentence plan. Attention paid to community reintegration issues in the post-programme phase and reflected in the revised sentence plan. Review held and recorded at a reasonable timescale (within 3 weeks) after completion of the programme.

• • •

Method for managers/staff to check and local area senior managers to audit and verify
• • • Read random sample of post programme reviews and compare with the post-programme reports. Review treatment/operational manager quality assurance of post programme reviews. IAPS or local equivalent.

IMPORTANT

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Section C
________________________________________________________________________

Staff Training, Supervision and Effective Communication
The programme is delivered by trained and supervised staff that are provided with opportunities to develop and are seen as credible. Appropriate marketing of the programmes to staff and other agencies and sentencers

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C1

Staff selection, roles and competences

Description

Skilled and competent staff are selected and involved in the delivery of programmes. A staff selection procedure meeting the requirements of the programme manual is in place and only staff meeting the defined criteria are selected to deliver the programme. A defined set of competencies exist for each staff role involved in the programme, using those specified in the programme manuals and the national management manual.

Evidence of how the standard will be met
• • • • • • • • Potential tutors receive written and oral information about what is involved in running the accredited programme from the programme manager and/or the treatment manager. Assessment centre procedures exist and are followed. Written policy confirming that only those staff who meet the defined criteria, e.g. fully trained by accredited trainers, deliver the programme. Written policy outlining how staff not selected as tutors will be assisted. Job descriptions are available for all programme staff. Evidence that staff roles have been discussed and that people understand their areas of responsibility. Published list of core competencies consistent with the requirements of the programme manual. The core competencies outlined by the area are a ‘close match’ with the tasks outlined in section 1 of the National Management Manual for the Effective Delivery of Accredited Programmes in the Community, the Treatment Managers Strategy (Probation Circular 57/2002) and in the individual programme management manuals.

Method for managers/staff to check and local area senior managers to audit and verify
• • • • • • • Area training documentation, e.g. information for potential tutors, selection/deselection policies and procedures. IAPS database or local equivalent or personnel and training documents confirm assessment centre and training dates for each tutor and outcomes. Job descriptions. Check with programme staff that they have job descriptions and understand their role. Area documentation outlining the core competencies for each staff role. Cross-referencing the competencies against the programme manual and national management manual where appropriate. Appraisal/supervision notes.

MANDATORY

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C2

Preparation and post-session activity by tutors

Description:

Tutors are allowed a minimum of 1½ hours for preparation and debriefing in addition to the programme delivery time.

Evidence of how the standard will be met
• • IAPS database or local equivalent completed following each session of the programme. Delivery schedules and plans build in time for preparation and debriefing.

Method for managers/staff to check and local area senior managers to audit and verify
• • • • IAPS database or local equivalent indicating time spent on preparation and debriefing. Notes made during preparation. Check with programme staff the time allocated for preparation and debriefing. Check schedules and delivery plans.

IMPORTANT

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C3

Staff continuity

Description

Three tutors should normally be assigned to each accredited group programmes to allow for leave, sickness and other contingencies. All sessions are delivered by at least 2 of the 3 assigned staff. Continuity is maintained by at least 1 of the staff members having run the previous session.

Evidence of how the standard will be met
• • • Published staff rotas/delivery schedules to ensure that two trained programme staff are available to run each session of the programme. Session reports demonstrate continuity of staff. Planning meetings discussing staffing for each group/programme, including contingency arrangements and cover for scheduled leave.

Method for managers/staff to check and local area senior managers to audit and verify
• • • IAPS database or local equivalent to confirm names of tutors for each programme. IAPS database or local equivalent to check tutor attendance against the session evaluation forms. Check with programme staff contingency arrangements exist and are followed.

IMPORTANT

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C4

Training and delivery arrangements for new staff

Description

Training courses exist for all grades and roles involved in delivering the programme and all staff newly assigned to the programme receive specified required training before running their first programme. Staff newly trained are paired with a more experienced colleague when running their first group/programme.

Evidence of how the standard will be met
• • • There is a record of all relevant training and other staff development work undertaken by programme staff, including the core training for the accredited programme. Supervision notes/appraisal documents demonstrate an ongoing attention to staff development needs for each member of staff involved in delivering the programme. Delivery schedule and records of tutors.

Method for managers/staff to check and local area senior managers to audit and verify
• • • • • IAPS database or local equivalent confirms that programme specific training has taken place and enables random check of tutors delivering programme/group and experience level. Area documentation listing the training undertaken by programme staff in the last 12 months. Check with programme tutors. Attendance list for training events during the last 12 months. Dates of training events during the last 12 months.

MANDATORY

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C5

Training arrangements for experienced staff

Description

Competency-based accreditation and developmental training arrangements exist for all staff experienced in delivering the programme. All programme delivery staff are required to attend such training when they have demonstrated their competence to do so. (This will include delivering a stipulated minimum number of programmes.)

Evidence of how the standard will be met
• Staff development plan for each member of the delivery team includes dates when accreditation and developmental training events arranged/attended as part of the appraisal process. Dates when booster and developmental training events arranged (if available). List of team members for training.

• •

Method for managers/staff to check and local area senior managers to audit and verify
• • • • IAPS database or local equivalent lists training undertaken by delivery staff. Area training records and plans. Check with programme staff. Dates of anticipated training.

IMPORTANT

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C6

Staff knowledge of the methods, theory and evidential basis of the programme

Description

All relevant staff have a knowledge of the programme’s theoretical and evidential base and methods sufficient for effective delivery of the programme.

Evidence of how the standard will be met
• • Tutors have been assessed as competent at the point of training by the national trainers. Programme manuals are readily available to all programme staff for reference and updating knowledge.

Method for managers/staff to check and local area senior managers to audit and verify
• • • Confirmation that tutors have passed relevant training programme courses. Check with programme staff, referrers, offender managers and other managers the level of understanding of the programme theoretical model, evidence base and methods used. Check all programme manuals are readily available and accessible to programme staff.

IMPORTANT

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C7

Staff supervision and quality of practice

Description

All staff involved in the programme receive support and supervision at a frequency specified in the national management manual. This will enable tutor skills to be developed and problems resolved within the lifetime of the current programme by supervisors familiar with the programme. The treatment manager to have observed staff in the delivery of the programme either directly or through the use of audio/video recordings prior to each supervision session.

Evidence of how the standard will be met
• Treatment manager review forms completed after observing a video, listening to audio tape or after direct observation as per the guidance in Probation Circular 30/2005 (observe and rate one session in 10) or as per the programme specific management manual guidance which takes precedence over the national management manual. Supervision provided and informed by audio/video monitoring and direct observation. Supervision focuses on skills development, coaching, identification of good practice and resolution of problems encountered by tutors in delivering the programme. Supervision notes are provided at frequency and notes of the meeting are made and retained. Where a programme specifies the frequency and duration of supervision, these instructions should be followed in all cases. Where these arrangements are not specified, it is recommended that one hour’s supervision be provided each month. Tutors make use of the sessions review forms (use of the scores are optional) and they are made use of in supervision sessions and linked to the treatment manager review forms where relevant.

Method for managers/staff to check and local area senior managers to audit and verify
• • • • Required amount of review forms completed as recommended per programme. Sample treatment manager review forms ensure follow the guidance notes and that they outline the areas of strength and developmental needs for each member of staff. Supervision dates and notes are recorded. Sample of treatment manager review forms and supervision notes to assess match between strengths and areas for improvement notes in review forms and the feedback or issues addressed in supervision. Sample supervision notes to ensure cover skills development, identification of good practice and resolution of problems in delivery of the programme. Check number and quality of tutor session review forms. Check with programme staff.

• • •

MANDATORY

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C8

Staff appraisal

Description

All members of staff involved with the programme have their competence to perform their assigned role assessed annually through the appraisal process. Staff whose performance is assessed as below the acceptable standard but making progress should be given further training and other assistance to improve their performance and a date set for review. Staff who are not making progress in achieving the required standard of performance should not take any further part in running the programme.

Evidence of how the standard will be met
• • • Appraisal documents clearly record an assessment of the competency of programme tutors to deliver the programme. Treatment manager review forms completed identify strengths and areas where performance needs to be improved. A plan of remedial action is recorded by the treatment or programme manager, including a date to review progress for staff whose performance is assessed as below the acceptable standard. There is a written policy on deselection or capability procedures if tutors do not improve their performance. Routine collection of information on staff who have been deselected as tutors and the reasons for deselection are recorded.

• •

Method for managers/staff to check and local area senior managers to audit and verify
• • • • • Appraisal documents. Sample of supervision notes and treatment manager review forms. Plans for remedial action. Policy document on selection/deselection of tutors, consistent with the guidance given in the national management manual. Review information collected and recorded on deselection of tutors.

IMPORTANT

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C9

Effective Communication and Promotion

Description

There is high quality, pro-active communication with sentencers, offender managers and other agencies relevant members of staff about the programme including briefings and presentations and written information. Staff are viewed as credible and promote the programme positively within and outside of the organisation and the effects of programmes are not oversold.

Evidence of how the standard will be met
• Communications with sentencers, offender managers, PSR writers, other relevant agencies about programmes. E.g. letters, presentations, input into training, briefings, awareness training. Minutes of liaison with meetings with staff. Information leaflets for staff explaining the programme.

• •

Method for managers/staff to check and local area senior managers to audit and verify
• • • • • • Date of meetings and manager who attended. Programme of training/awareness events or presentations. Information leaflets. Information provided is realistic and accurately promotes the programme without overselling it. Relevant minutes of meetings during the last 12 months. Check with other members of staff how programme staff are perceived in promoting the work of programmes.

IMPORTANT

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Section D
________________________________________________________________________

Evaluation, Monitoring and Administration Systems
Good administration and management information systems set up and key evaluation data is collated and recorded as set out in the relevant manuals and guidance

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D1

Implementation of monitoring and evaluation design

Description

Monitoring and evaluation arrangements are working as intended and are understood and supported by all staff involved. This should include both input and feedback of data to managers and practitioners at local level.

Evidence of how the standard will be met
• An area document explains the local monitoring and evaluation arrangements and outlines the responsibilities of relevant staff to accurately record data and provide individual and summary reports. There are area guidelines for local administration and management of psychometric data, programme Session Review forms and other IAPS database or local equivalent information. Evaluation manuals for specific individual programmes are used for reference. There are guidelines regarding systems, processes, roles and responsibilities for the retrieval of individual and summary performance data for reporting to practitioners and managers, e.g. process for recording ongoing attendance and completion rates, periodic reporting of concordance data to managers. IAPS database or local equivalent working in ‘real time’ rather than ‘back office’.

• • •

Method for managers/staff to check and local area senior managers to audit and verify
• • • • • • Area documents and relevant guidelines on local arrangements for evaluation and monitoring of programme information. Check quality of information input into IAPS database and how the reports generated are used by managers and practitioners. Check if IAPS database or local equivalent is working in ‘real time’ or as ‘back office’. Individual and summary reports from the database have been circulated to relevant managers and practitioners. Check with staff that they understand and comply with the monitoring and evaluation arrangements. Check with programme staff confirm that monitoring and evaluation arrangements are working as intended.

MANDATORY

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D2

Practice is informed by monitoring and evaluation evidence

Description

Consistent use is made of evaluation information as it becomes available by those with most direct responsibility, e.g. managers giving regular consideration to attendance and completion information, and practitioners to offender feedback and attitude/behaviour change scores. Awareness/knowledge about evaluation results from the same programme operating elsewhere will be relevant.

Evidence of how the standard will be met
• The supporting programme conditions in response to monitoring and evaluation information, e.g. pre-course preparation when it is shown that other areas have consistently performed better in terms of reduced attrition rates or greater offender ‘programme readiness’. Evidence of regular discussion by senior and middle managers, e.g. of attendance and completion information and record of actions taken as a consequence. Evidence of routine discussion by programme staff and actions taken as a consequence.

• •

Method for managers/staff to check and local area senior managers to audit and verify
• • • • Minutes of senior managers meetings held during the last 12 months. Minutes of operational managers meetings held during the last 12 months. Minutes of programme staff meetings held during the last 12 months. Local policy guidance informed by monitoring and evaluation evidence from within the area and from information gained nationally and from other areas operating the same programme elsewhere. Check with senior managers and programme staff.

IMPORTANT

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D3

Programme integrity documentation

Description

The programme integrity documentation for programmes is completed in line with national guidance (Probation circular 30/2005, 57/2002). E.g. session review form, treatment manager review form, levels of offender engagement and understanding.

Evidence of how the standard will be met
• • Evidence that the programme staff have completed the programme integrity documentation. Accurate recording, e.g. levels of offender engagement and of particular issues affecting individual participants.

Method for managers/staff to check and local area senior managers to audit and verify
• • • • IAPS database or local equivalent. Supervision notes refer to programme integrity information. Check local use of the session review form by tutors. Check the use of the treatment managers/supervisors/monitors. manager review form by treatment

IMPORTANT

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D4

Completion of Evaluation Measures

Description

Pre and post evaluation measures have been completed and are entered on to IAPS or local equivalent or sent to Offending Behaviour Programmes Team in NPD. This is in line with National Standards.

Evidence of how the standard will be met
• • • There is close match between the number of offender starts and the number of pre test psychometric booklets. There is a close match between the number of offender completions and the number of post test psychometric booklets. The number of pre test and matching post test psychometric booklets allowing for a 10% tolerance for missing post test booklets.

Method for managers/staff to check and local area senior managers to audit and verify
• • • Check on IAPS database or local equivalent the match between the number of offender starts and pre test booklets. Check on IAPS database or local equivalent the match between the number of completions and post test booklets. Check on IAPS database or local equivalent the number of matching offender pre test psychometric and post test psychometric booklets allowing for tolerance of missing post test booklets.

MANDATORY

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Rating Approach
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Rating Each Section
Sections A, C and D are rated in evidence across the delivery of all of programmes. Section B is rated for each individual accredited offending behaviour programmes delivered in a Probation Area.

Scoring of Each Standard
Each standard will be rated using the following scoring: Score 0 1 2 3 4 Evidence for Standard There is no available evidence to indicate that the standard has been met There is a small amount to evidence to indicate that the standard has been met There is some evidence that the standard has been met There is considerable evidence that the standard has been met. There is substantial evidence that that standard has been fully met

Link to the Integrated Probation Performance Framework
This is a three step process. Step One: There will be a score for each section which will be added together to provide the overall score. Step Two: The overall percentage is calculated. Step Three: The percentage will then be transformed into a band marking as used by the Integrated Probation Performance Framework. The band markings will be communicated by NOMS Interventions Unit to the NOMS Performance and Improvement Directorate and will inform the weighted scorecard. Overall Score on Audit 81% and above excellent 71 to 80% Good 61 to 70% satisfactory 60% and below unsatisfactory Band Rating on QSP Band 1 Band 2 Band 3 Band 4

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Annex B

Area Self/Peer Audit Report
Name of Area: Peer or Self Audit: Name(s) of manager/staff completing audit:

Date audit started: Date audit completed: Name of senior manager signed off audit: Date signed off: To be completed by NOMS administrator: Date report received at NOMS Interventions & Substance Abuse Unit: Date receipt sent to Area:

Rating Approach: Each standard in each section must be rated using the following scoring: Score 0 1 2 3 4 Evidence for Standard There is no available evidence that the standard has been met There is a small amount of evidence that the standard has been met There is some evidence that the standard has been met There is considerable evidence that the standard has been met. There is substantial evidence that that standard has been fully met

*Sections A, C and D can be rated using evidence across the delivery of all programmes* *Section B must be rated for each individual accredited offending behaviour programme delivered in a Probation Area* Section A: Committed Leadership and Organisational Support Standard Summary of Evidence from Checking Item A1 A2 A3 A4 A5 Total Score: Maximum Potential Score:

Rating

20

Section B: Programme and Treatment Integrity 1 Name of Programme: Standard No. Summary of Evidence from Checking B1 B2 B3 B4 B5 B6 B7 B8 B9 B10 Total Score: Maximum Potential Score:

Rating

40

Section C: Staff Training, Supervision and Effective Communication Standard Summary of Evidence from Checking Item C1 C2 C3 C4 C5 C6 C7 C8 C9 Total Score: Maximum Potential Score: Section D: Evaluation, Monitoring and Administration Systems Standard Summary of Evidence from Checking Item D1 D2 D3 D4 Total Score: Maximum Potential Score: Overall and Score and Percentage: Overall Score: Overall Maximum Potential Score: Overall Percentage: Overall Band Rating: Band 1 (81% and above) Band 2 (71% to 80%) Band 3 (61% to 70%) Band 4 (60% and below)

Rating

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Rating

16

1

There needs to be a Section B table for each individual accredited offending behaviour programme delivered in each Probation Area. Copy and paste the blank Section B table as needed for individual accredited OBP.

Areas of Specific Strength

Areas for Improvement

Action Plan to Address Areas for Improvement Area for Improvement Action to be taken By Whom By When Review Date(s)

Annex C

A. INITIAL SCREENING 1. Title of function, policy or practice (including common practice) PC instructing areas to undertake an Audit on Performance standards in accredited programmes

2. Aims, purpose and outcomes of function, policy or practice The aim is through the auspices of a PC to direct areas to undertake a snapshot audit of all accredited programmes to ensure that delivery meets the accreditation requirements agreed by CSAP.

3. Target groups Who is the policy aimed at? Which specific groups are likely to be affected by its implementation? This could be staff, service users, partners, contractors. For each equality target group, think about possible positive or negative impact, benefits or disadvantages, and if negative impact is this at a high medium or low level. Give reasons for your assessment. This could be existing knowledge or monitoring, national research, through talking to the groups concerned, etc. If there is possible negative impact a full impact assessment is needed. The high, medium or low impact will indicate level of priority to give the full assessment. Please use the table below to do this.

Equality target group Women

Positive impact – could benefit yes

Men Asian/Asian British people Black/Black British people Chinese people or other groups People of mixed race White people (inc.Irish people) Travellers or Gypsies Disabled people Lesbians, gay men ,bisexual people Transgender people Older people over 60 Young people (17-25) and children Faith groups

yes yes yes yes yes yes yes yes yes yes yes Yes

Negative impact Reason for assessment - could and explanation of disadvantage possible impact H/M/L Designed to provide a health check of all programmes to ensure delivery as agreed by accreditation standards. As Above As Above As Above As Above As Above As Above As Above As Above As Above As Above As Above As Above – programme for those 18 or above only. As above

4.

Further research/questions to answer

As a result of the above, indicate what questions might need to be answered in the full impact assessment and what additional research or evidence might be needed to do this. An ongoing evaluation strategy within the team is looking at all programmes – findings from this evaluation will be incorporated in to future developments of this programme. A more detailed audit structure is being developed in conjunction with HMPS and NDPDU which will have a further impact assessment.

Initial screening done by: Name/position Philip McNerney Audit and Quality Assurance Project Manager ABT Team NOMS Date. 14th February 2007