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Probation

Circular

OFFENDER MANAGEMENT FOR CUSTODIAL


SENTENCES REFERENCE NO:
PC09/2006
PURPOSE
This PC covers a guidance pack designed to help prisons prepare for the ISSUE DATE:
phased introduction of offender management for custodial sentences which 27 March 2006
begins later this year. Offender Management Units (OMUs) are to be in place
in every prison by September 2006. IMPLEMENTATION DATE:
10 April 2006
ACTION
Chief Officers should ensure that staff in their areas with the lead on offender EXPIRY DATE:
management and Custody Plus receive the guidance pack and assist prisons 10/04/2011
in carrying out its requirements. Every prison will have an offender
management lead and areas should make early contact with them. TO:
Chairs of Probation Boards
Regional Managers are asked to send a report to Richard Mason (details Chief Officers of Probation
below), by the end of May, setting out any implications for the NPS that have Secretaries of Probation Boards
emerged from their areas’ work with prisons on the guidance pack. There is Regional Managers
no set format but it would be helpful if these reports could address such HMI Probation
issues as the impact on existing staff contracts with the Prison Service; Regional Offender Managers
achieving continuity of offender management; sentence planning and pre-
release work (for example prisoners having access to their offender manager CC:
prior to release, and arrangements for those prisoners held outside their own Board Treasurers
area/region).
AUTHORISED BY:
SUMMARY Richard Mason, Head of Offender
The guidance pack has already gone to the Prison Service. Its contents Management Unit, NPD.
include a summary of the principles of offender management; material on
ATTACHED:
roles and responsibilities in the Offender Management Model; a timetable for
Annex A – H
implementing offender management for custodial sentences; and a workbook
that will enable prisons to undertake a desktop exercise, a report of which
they are required to submit to prisons Headquarters by the end of May. The
desktop exercise will help prisons gauge the resource implications of the
introduction of offender management. A probation input is needed to assist
prisons with this work and will also help identify consequential impacts in
areas.

RELEVANT PREVIOUS PROBATION CIRCULARS


N/A

CONTACTS FOR ENQUIRIES


Richard.mason3@homeoffice.gsi.gov.uk or 020 7217 0727

National Probation Directorate


Horseferry House, Dean Ryle Street, London, SW1P 2AW
Introduction

This Guidance pack is for use by individual prisons, in collaboration with the relevant Probation areas, to support the
implementation of Offender Management for sentences with a custodial element.

The information provided will help to plan the key elements of Offender Management for sentences with a custodial
element including:

• Developing Offender Management Units in prisons


• Assessing the resource implications for the key roles in Offender Management (prison and probation)
• Understanding the responsibilities (decision making and delivery) of roles within prisons, probation areas, and key
partner agencies.
• Following the key steps towards implementation

The guidance should be used by individual prisons and the relevant Probation areas to effectively plan for implementation
in accordance with the implementation timetable (see section 5 for information).

Section six is a workbook, providing clear steps to take in completing a desk top exercise in support of implementation.
There are three key stages to the Offender Management Desk Top exercises. They are as follows:

1. Planning Meeting

Described within section 6 of the contents below, this meeting ensures a suitable date and venue are fixed along with an
expected attendance list. It is also important at this stage to nominate someone to be responsible for collating all the
necessary information to be used for the exercise. Attendance at this meeting need not be wide. As long as the key areas
are represented the meeting can achieve what is necessary (see section 6 of the contents list below for information).

2. Desk Top Exercise

The actual exercise itself can be run according to the guidance at section 6 of the contents list below. A suggested
agenda is included and ensures all key areas of work are covered during the exercise. The chairperson for the day will
have been decided at the planning stage.

3. Exercise Write-Up

After the exercise the key issues, facts and figures need to be turned into a report. The report must be in a format that is
easily useable by the prison, probation and ROM to take steps towards implementation.

PC09/2006 – Offender Management for Custodial Sentences (from NOMS guidance pack for prisons) 2
Contents

Contents Relevant Section


Message from the National Offender Manager Message from the NOM
Introduction to the key principles of Offender Management applying to sentences Section 1
with a custodial element
Outline role descriptions for members of the Offender Management Team Section 2
Offender Management Unit – Description of Function/ Responsibilities Section 3
Table of responsibilities/ decision making authority for members of the Offender Section 4
Management team and Governors
Implementation timetable and Offender Management expectations at key phases. Section 5
Workbook covering steps towards implementing Offender Management and setting Section 6
up a prison Offender Management Unit

Annexes:

Annex A - Offender Management desktop exercise – planning meeting


Annex B - Schedule of information to be collated before the desktop exercise
Annex C - Checklist for current activities related to offender management
Annex D - An illustration of the output of step 4 of the desktop exercise process
Annex E - An illustration of the output of step 3 of the desktop exercise process
Annex F - High Security Prisons spreadsheet
Annex G - Local prisons spreadsheet
Annex H - Training prisons spreadsheet

PC09/2006 – Offender Management for Custodial Sentences (from NOMS guidance pack for prisons) 3
A message from Christine Knott, National Offender Manager

This guidance pack represents the outcome of a programme of joint development work commissioned by the NOMS
Board in order to provide some practical tools to support the implementation of offender management, with a particular
focus on how offender management will work for offenders whose sentence includes a period in prison custody.

The pack contains summary information on the NOMS Offender Management Model itself but also provides practical
guidance on an approach to setting up offender management units in prisons. The process of preparing this guidance has
benefited from the input and ideas of operational managers and staff in prisons, probation areas, and partner
organisations. On behalf of the NOMS Offender Management Team, I acknowledge the valuable assistance of all those
involved in this development process, especially the North West Pathfinder team and all those involved in the prison
desktop exercises at Hull, Drake Hall, Altcourse, Full Sutton and Wandsworth.

The guidance pack is being made available to all prisons in the public and private sectors, probation areas and Regional
Offender Managers. It is being issued to support work by provider organisations to meet the agreed implementation
timetable for offender management for sentences with a custodial element. This implementation plan sets a target that an
offender management unit should be in place for each prison by September 2006. This will then form a foundation for
delivery of offender management across the full range of sentences as the implementation programme progresses
between September 2006 and March 2009.

An early step in the implementation programme will be the new Custody Plus sentence. The structure of this sentence will
require sound offender management arrangements to be in place to manage the transition from prison to the community
element of the sentence, and the timetable for implementation is designed to ensure that prisons and probation will have
systems and structures in place to support the delivery of Custody Plus.

The purpose of the pack is to provide a common set of tools which each prison should use, in collaboration with the
relevant probation areas, to work through the main issues in setting up a prison offender management unit, to assess
using national templates the implications for staffing and prison regimes, and to form the basis for establishment and Area
action plans for approval by the Regional Offender Manager. More detailed requirements for the timetable and content of
action plans will be issued through line management in due course.

As National Offender Manager, I am convinced of the potential of offender management to deliver effective, high quality
services, to achieve our overall goal of reducing reoffending. Offender management presents us with an opportunity to
work in partnership to deliver “joined up” services, based on an assessment of risks and the requirements of the courts for
each offender, the accountability of the offender manager for the whole sentence plan and targeted provision of effective
interventions to reduce reoffending. Planning and implementing the detail of how effective offender management will be
delivered is a task for provider organisations within the framework set by NOMS, and this guidance pack sets out the
framework within which prisons, probation areas and partner organisations can address the practical operational detail of
how offender management will be organised at local, area and regional level.

Christine Knott

February 2006

PC09/2006 – Offender Management for Custodial Sentences (from NOMS guidance pack for prisons) 4
Section 1 – Outline of key principles of the Offender Management Model

What is Offender Management?

Offender management describes an integrated approach to the assessment, sentence planning and delivery of sentence
requirements for offenders. The concept of offender management applies to offenders serving sentences in the
community and those in custody and provides a “joined up” approach between the prison and probation services, working
within NOMS.
A feature of offender management is that each offender will have a nominated offender manager who is responsible for
their whole sentence plan, including both periods in custody and in the community. The offender management model
includes roles for staff acting as offender supervisors and case administrators to ensure that the assessment, sentence
planning, implementation and review processes operate effectively and that offenders are engaged and motivated to work
towards their sentence plan targets.
The NOMS corporate plan includes a commitment to implement integrated offender management for all sentences, and
this has already started for sentences served in the community.

Key Principles

1. Offender Management provides continuity across a whole sentence through both custody and community. This
is achieved through retaining a single Offender Manager for each sentence. The Offender Manager is based in
the community in all cases. Whilst an offender is in custody, an Offender Supervisor within the prison is
responsible for the day-to-day delivery of the sentence plan (see role descriptions at Section 2).
2. Offender Management demands commitment from those involved in order to effectively deliver the requirements
of the sentence in a way that helps the offender to engage with the process. Staff involved must not simply “go
through the motions”, and will have to support, coach and motivate the offenders to engage.
3. Offender Management ensures that there is consistency of messages and approach through a whole sentence.
All staff involved are aware of the aims of the sentence plan, where they fit into supporting the delivery of those
aims, and what other staff involved are responsible for.
4. Offender Management demands the consolidation of learning during a sentence. Responsibility for coaching
and support prior to interventions will also be backed up by post-intervention work on consolidating the learning
and putting it into practice where possible.

Teamwork
In delivering Offender Management, a team work approach is essential, with the Offender Manager being the central
point for communication and information. In delivering a consistent whole sentence, all staff must know what the other is
doing, and share information:
NOMS Offender Management Model
The Offender Management Team

Key
Worker(s)
Delivering
Interventions
N

CO
IO
AT

MM
C

UN
NI
U

IC
MM

AT

Offender
CO

IO
N

Manager
Responsible for
overall plan and direction

Offender
Case Supervisor
Administrator Actively
implementing the plan
Keeping things on
on a day-to-day basis
course and on time
COMMUNICATION

PC09/2006 – Offender Management for Custodial Sentences (from NOMS guidance pack for prisons) 5
Sequencing Interventions

The delivery of interventions must follow a logical sequence to ensure they have maximum impact. The Offender
Manager would take account of the whole sentence rather than use custody and community elements as two separate
periods. In custody, the Offender Supervisor would broker interventions in accordance with the sequence of the plan, and
not arrange interventions because no others are available.

The diagram below outlines the types of interventions and where in sentence they are appropriately delivered.

Sequencing Interventions
A Universal Whole Sentence Approach

Punitive Interventions

Interventions to Support Protective Factors

Interventions Personal Change Programmes


to Reduce
Barrier Factors Interventions Promoting
Community Re-integration
Restrictive Interventions

Community Custody Community

Commence Terminate

Resource Tiering Framework

Offender Management uses the principle that resources follow risk. Therefore, the high risk offenders will receive the
highest level of resource.

It is the responsibility of the Offender Manager to match an offender to the appropriate tier. This will inform the level of
resource used to deliver the aims of the sentence plan. The basic structure of the tiers is:

Tier 1 – Punishment only


Tier 2 – Punishment and Help
Tier 3 – Punishment, Help and Change
Tier 4 – Punishment, Help, Change and Control

Tier 4 will relate to MAPPA Level 3 cases and Prolific and Priority Offenders, and attract the most resources.

The Full Offender Management Model

Version 1.1 of the NOMS Offender Management model is available, and will provide the full detail of the model and a
valuable point of reference. A copy should be available to all Governing Governors, Directors and Controllers, and to
Probation Areas.

PC09/2006 – Offender Management for Custodial Sentences (from NOMS guidance pack for prisons) 6
Section 2 – Notes on key roles in the Offender Management Model

These notes give a broad outline of what is expected within each role in the context of a prison OMU. They are not an
exhaustive list of tasks and responsibilities.

Offender Manager

The role of the Offender Manager is relevant to convicted offenders serving sentences in the community or in custody, but
excludes juvenile offenders covered by processes within the Youth Justice Board. The Offender Manager provides
accountability, consistency and continuity throughout the offender’s sentence and will be based in the offender’s home
area. He/she is responsible for:

• Assessment using OASys [The Offender Supervisor will also contribute to this]. Commissioning specialist
assessments on the offender as triggered by OASys.
• Producing a sentence plan in accordance with the assessment
• Co-ordinating implementation of the sentence plan and monitoring its delivery
• Reviewing the offender’s progress and updating the sentence plan as necessary
• Implementing enforcement procedures if required (e.g. for breach of licence conditions)
• Ensuring that offenders subject to special requirements (e.g. MAPPA) are managed appropriately
• Evaluating the outcomes of the sentence

The Offender Manager will be a named individual; appointment will depend on the arrangements in the offender’s home
probation area and will be influenced by the risk tier the offender occupies within the model.
The Offender Manager may also, in some cases, fulfil the role of Offender Supervisor or deliver interventions for some or
all of the offenders they manage. Where offenders are serving the custodial part of a sentence, there will be a person
based in the prison who fulfils the role of offender supervisor.

Offender Supervisor

The Offender Supervisor role is relevant to convicted offenders serving sentences in the community or in custody, but
excludes juvenile offenders covered by processes within the Youth Justice Board. There is likely to be more than one
person acting in this role as the offender progresses through his/her sentence. For example, the Offender Supervisor will
change if a prisoner is transferred to another establishment, or is released on licence, but the Offender Manager will
remain the same.
The role of the Offender Supervisor is to provide day-to-day implementation of the sentence plan. The roles of Offender
Manager and Offender Supervisor are distinct but complementary in delivering the model. The Offender Supervisor’s role
includes:

• Being the first point of contact for the offender in the sentence management process
• Forming a trusting working relationship with the offender in order to support him/her in achieving their sentence
plan goals
• Motivating the offender and helping them consolidate learning from the different interventions included in their
sentence plan
• Brokering arrangements for the offender to attend activities and interventions identified in their sentence plan
• Preparing the offender for attendance at such activities and supporting their learning through coaching and
example
• Contributing knowledge of the offender to reviews, reports and assessments
• Identifying any new problems or issues, which may affect the risk posed by the offender or their achievement of
their sentence plan goals, and working with the Offender Manager to review and re-plan accordingly.

PC09/2006 – Offender Management for Custodial Sentences (from NOMS guidance pack for prisons) 7
Case Administration

In prisons, this role mirrors a similar role in the community. The Case Administrator provides administrative support to the
offender supervisors and OMU team leader, taking responsibility for programming routine interviews and reviews,
handling exchange of information between offender managers and offender supervisors and maintaining records. This
role will incorporate existing administrative work, which may be located in probation or resettlement teams (e.g. OASys
and sentence planning clerks) and possibly in custody offices (e.g. HDC clerk, ROTL administration, licence preparation,
parole clerk). It will, both before and after the full implementation of C-NOMIS, be an essential role for ensuring that
Offender Management systems operate effectively and that communications are maintained between members of the
offender management team, both inside the prison and in the community, and the offender.

Interventions/Service provider

The interventions/service provider’s task is to deliver an intervention, service or programme for an individual offender or
group of offenders as part of the sentence plan. In the prison context, offending behaviour programme managers,
workshop staff, CARATS workers, resettlement project workers and many others will fulfil this role. It is recommended
that the offender should have a named single point of contact or key worker within the service provider’s team. The key
contact would also have a clear understanding of the overall aims of the offender’s sentence plan, and how those aims
will be achieved.

Service providers will report to the Offender Manager on the offender’s attendance and progress and will contribute to the
evaluation process.

Managerial issues

In addition to the roles defined within the Offender Management model, there are organisational aspects of the prison
OMU that will have to be considered.

Every prison establishment will need an identified manager/team leader for the offender management unit whose role will
include:

• Setting up and regulating systems for offender supervision


• Uphold quality and ensure staff have adequate training
• Dealing with organisational/regime issues such as ensuring offenders attend courses, specialist assessments are
organised, liaison with health services
• Line managing/organising staff/hours to deliver the work
• Ensuring that administrative and information systems are working to support offender management processes
• To ensure that there are adequate local facilities for offender managers to carry out their responsibilities for
sentence planning
• Implementing improvements and developments to the offender supervision arrangements
• Be accountable for the unit’s performance against relevant standards/SLA requirements
• Allocating cases to Offender Supervisors, taking into account the risk tier and the experience of the Offender
Supervisors.

Both organisational and professional/technical (e.g. MAPPA requirements) aspects of management accountability need to
be considered.

PC09/2006 – Offender Management for Custodial Sentences (from NOMS guidance pack for prisons) 8
Section 3 – The Prison Offender Management Unit (OMU)

1. What is a prison offender management unit?

The term “offender management unit” is used to describe the team of people working in an individual prison (or cluster of
prisons) to deliver the elements of the end-to-end offender management process for which the prison is responsible. The
prison offender management unit works closely with offender managers based in the community to ensure that offenders
receive an integrated and consistent approach to their assessment, sentence planning and implementation of sentence
plans across both custodial and community elements of their sentence.

2. What functions does the OMU in a prison perform?

The OMU’s detailed functions will develop as the offender management model is implemented across each group of
offenders.

The key work of the unit is about supporting the end-to-end offender management process for offenders whilst they are in
custody and the face-to –face work with offenders that ensures that their sentence plans are in place and acted on. The
unit’s functions will include:

• Facilitating contact between Offender Managers and the offenders for whom they are responsible, and effective
communication with community based OMUs.
• Completing OASys assessments /reviews for those groups of offenders who are not yet covered by the roll-out of
Offender Management arrangements, and assisting Offender Managers in assessing and reviewing offenders for
whom they are responsible
• Providing offender supervision for individual offenders to ensure that their sentence plans are implemented, risks
are managed, interventions are delivered and followed up, and reviews are held
• Providing motivation and support for offenders towards achieving reduced reoffending
• Liaison with providers of interventions and other departments within the prison to ensure that offenders are given
access to the interventions set out in their sentence plans at the appropriate time
• Administering processes within the prison and liaison with offender managers from the community for sentence
plan review meetings, temporary release, release on licence, parole reviews and recalls etc.
• Co-ordination of MAPPA activities for which the prison holds responsibility
• Specialist offender supervision functions such as lifer liaison and foreign national’s liaison where applicable.

3. Who is part of the OMU?

The unit is intended to include all staff/resources within the prison that are delivering aspects of the offender management
model or directly support the core offender management processes of assessment and sentence planning. The OMU will
always include those people who are performing the role of offender supervisors and case administrators within the
prison. Section 6, Annex C gives more details.

4. Management of the OMU

The management arrangements for the OMU should provide clear lines of accountability. The Guidance pack lists in
Section 2 an outline of the duties of the manager responsible for the OMU. It is expected that within prisons, as in the
community, there should be a clear distinction between the part of the organisation that delivers offender management,
and the organisation for delivery of interventions. The management of the OMU should retain responsibility for quality
assurance of sentence management processes including maintenance of offender records and oversight of access to and
sequencing of appropriate interventions.

PC09/2006 – Offender Management for Custodial Sentences (from NOMS guidance pack for prisons) 9
5. What standards will be applied to the OMU’s work and what quality assurance arrangements will be expected
locally?

The framework of standards will be set by NOMS at a national level, and its standard for Offender Management will cover
the whole process of offender management across custody and the community. The Prison Service and National
Probation Service will issue their own operational instructions and standards as necessary in line with NOMS
requirements. The NOMS standard for offender management is expected to be issued in April 2006.

Individual prisons will need to consider how they would ensure that quality assurance arrangements operate effectively at
establishment level and may be given further guidance from the Prison Service on standards audit requirements.

The development of SLAs with the Regional Offender Managers will provide a mechanism for setting out the delivery
requirements for offender management arrangements and interventions within prisons.

6. Links with other functions and processes

OCA

Offender supervisors will be expected to engage with the offenders for whom they are responsible as soon as possible
after their arrival at the prison. Establishments will wish to consider how this will affect the content and delivery of
induction programmes.

Induction

Offender supervisors will be expected to engage with the offenders for whom they are responsible as soon as possible
after their arrival at the prison. Establishments will wish to consider how this will affect the content and delivery of
induction programmes.

MAPPA, Public Protection and PPO arrangements

The individual Offender Supervisors have a key role in these processes and would be expected to attend appropriate
case conferences and meetings; to update the individual case file appropriately; and to brief the Offender Managers.

Self-harm, safer custody, IEP etc

Wing based staff would retain their responsibility for these areas of work. Offender Supervisors may have inputs in
providing quality additional information.

HDC, ROTL, Parole

The input of the OMU is vital in these processes. Offender Supervisors may be required to attend assessment boards or
to contribute to or prepare written reports to support the decision-making process.

Personal Officers

The Creation of the OMU does not imply that residential–based personal officer schemes are no longer required. A two-
way flow of information between wing or unit staff/Personal Officers and the OMU is vital for the efficient functioning of
integrated offender management. Both the Offender Supervisor and/or Personal Officer provide a focal point for offenders
and a personal relationship through which constructive work can be developed and progress can be discussed. In
addition, the Offender Supervisor facilitates and maintains the vital relationship between the offender and the Offender
Manager

PC09/2006 – Offender Management for Custodial Sentences (from NOMS guidance pack for prisons) 10
The interaction between a Prison Officer and an offender is a central and essential element of security within any prison
establishment. It establishes positive staff/prisoner relationships and thus by “knowing what is going on” helps to
maintain effective security whilst at the same time maximising sentence effectiveness.

Offender Supervisors and Personal Officers should aim to influence offenders’ behaviour through staff example (pro-
social modelling) and guidance, encouraging them to face up to, and address, their offending behaviour or lifestyle. In
doing so, the principles of “Dynamic Security” will be embraced and a high level of establishment security maintained.

Interventions

The central importance of the sentence plan in driving access to interventions may highlight a need for individual
establishments to review their policies and procedures for placing offenders on education courses, work parties and
offending behaviour groups.

It may be advantageous to convene regular meetings involving OMU management and Interventions management in
order to monitor access to identified interventions, assess and overcome any difficulties, collate evidence of gaps in
provision and quality assure processes.

7. How much local flexibility is there in the way the OMU is organised?

There is no prescription from NOMS on the way the OMU must be organised at local level, or the numbers or grades of
staff that should be deployed in the OMU function. The desktop exercise process set out in the guidance pack (Annex D
& E) is designed to give a common baseline process for looking at what work the OMU will have to deliver and an
indication of the resources required. Governor/ Directors will be expected to take into account local circumstances in
designing the structures for delivery of the OMU’s function, and local proposals will be open to challenge through the
line/contract management process.

PC09/2006 – Offender Management for Custodial Sentences (from NOMS guidance pack for prisons) 11
Section 4 – Offender Management in prisons – table of responsibilities

This table sets out some of the detailed responsibilities/decision making authority for members of the OM team and Governors.

The roll-out of offender management is being phased according to sentence type. This table sets out responsibilities after Offender Management arrangements have
been rolled out fully. There will be an interim position where existing arrangements apply to some sentences/individuals, alongside new arrangements for others (see
implementation plan for details).

This table was prepared in December 2005 and reflects the legal framework at that time, plus known changes arising from the implementation of the 2003 CJA.

Activity Primary responsibility lies with: Responsibility for contributing information: Authority for decision-making lies
with:
Pre-sentence report • Offender Manager • Specialists as directed by the Court
Setting initial licence • The court • Offender Manager makes • The court (custody + and
conditions(custody + and recommendations to court where intermittent custody only)
intermittent custody) applicable
Recommending initial licence
conditions (determinate,
indeterminate, extended
sentences)
Initial OASys assessment (pre • Offender Manager • Offender Supervisor (if applicable) • Offender Manager
or post sentence) • Case administrators (collating information
on previous offences/sentences)
Immediate action to protect • Induction/resettlement staff • Offender Manager via pre-sentence
accommodation/employment on • Offender Supervisor assessment if completed
initial reception into custody
Depending on local arrangements
and SLA details.
Matching of case to risk tier • Offender Manager (and • Case administrators (collating information • Offender Manager (except where
using national guidance his/her line manager where on previous offences/sentences) business rules require line
necessary) management confirmation)

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Activity Primary responsibility lies with: Responsibility for contributing information: Authority for decision-making lies
with:
Commissioning specialised • Offender Manager • Specialist/service providers as appropriate. • Offender Manager
assessments/reports to inform E.g. CARATS team, mental health team,
sentence plan (except where therapeutic community representative,
such reports are automatically psychologists
• Offender Supervisor
part of the prison service’s
agreed regime for all prisoners,
e.g. basic skills assessments)
Allocating an offender • Head of prison offender • Case Administrator • Governor/Director
supervisor in custody management unit
Security categorisation • Prison OCA unit • Offender Manager (by entry of relevant • Governor/Director
information on offender record )
• Offender Supervisor (if applicable)
• Other prison / agency staff where
appropriate

Allocation to prison in • OCA unit • Offender manager (by completion of • Governor/Director (within any
accordance with sentence plan sentence plan) requirements of SLA)
Preparing sentence plan • Offender Manager • Offender Supervisor • Offender Manager
including interviewing offender • Other prison staff with knowledge of the
offender
Allocation of prisoners to • Head of prison offender • Offender Supervisor • Governor/Director (subject to
activities/interventions to meet management unit SLA)
sentence plan requirements as
far as possible
Ensuring offender understands • Offender Supervisor • Offender Manager (through sentence
sentence plan and what is plan)
expected of them
Scheduling and organising • Case administrator (in prison • Case administrator (in community)
sentence plan review according team)
to service standards

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Activity Primary responsibility lies with: Responsibility for contributing information: Authority for decision-making lies
with:
Operation of • Residential staff (incorporating • Offender Supervisor • Governor/Director
routines/procedures to promote personal officers)
decency, care and good order
in custody including application
of IEP schemes, suicide
prevention procedures, anti-
bullying and wing applications
Monitoring offender’s progress • Offender Supervisor • Key workers (e.g. workshop staff, • Offender Manager– Changing
against the sentence plan and teachers) the sentence plan in the light of
providing • Residential staff (particularly information re incoming monitoring information
motivation/encouragement custodial behaviour)
Updating factual information in The member of staff receiving the • MAPPA partners where applicable • Offender Manager to authorise
offender record information, including: any resulting change in risk
• Offender manager assessment/sentence plan
• Offender supervisor
• Key workers
• Case administrators

Scheduling sentence • Case administrator • Offender manager


planning/review boards in • Offender supervisor
accordance with
standards/Offender Manager
decisions
Attending/chairing sentence • Offender Manager • Offender Supervisor (attends) • Offender Manager (updated
plan reviews • Offender (attends) sentence plan)
• Key workers as appropriate
• Other staff/family members as appropriate
Contribution to inter-agency risk • Offender Manager ( and line • Offender supervisor • As set out in MAPPA protocols
management manager where applicable) • specialist service providers
processes and procedures • wing based residential staff
(MAPPA, PPO, CPA)

PC09/2006 – Offender Management for Custodial Sentences (from NOMS guidance pack for prisons) 14
Activity Primary responsibility lies with: Responsibility for contributing information: Authority for decision-making lies
with:
Preparing parole reports (detail • Offender Manager • Offender Supervisor
may be subject to amendment • Offender Supervisor or head • Key Workers
as agreed with Parole Board) of prison offender • Residential staff/Personal Officer
management unit
• Others as agreed with Parole
Board
• Case administrator – collation
Setting licence conditions prior • Court at time of sentence • Court (recommended conditions for • Court (Custody + and intermittent
to release (Custody + and intermittent determinate sentences) custody )
custody ) • MAPPP in certain cases • Secretary of State (additional
• Governor/Controller (unless • Offender Manager conditions for above sentences,
legislation transfers this all conditions for other types of
authority to the Offender sentence)
Manager)
Temporary release risk • Offender Manager (initial • Offender Supervisor • Governor/Controller
assessments (planned and assessment only in case of
HDC) regular ROTL for
resettlement)
• Prison security team
• Case administrator – collation
Temporary release risk • Head of prison offender • Offender Supervisor on request • Governor
assessments (emergency) management unit, using • Prison OMU to inform Offender Manager of
information from any such short-notice assessments.
records/telephone calls
• Prison security team
Managing offender on licence • Offender Manager • Offender supervisor in community (if • Offender manager, within legal
according to sentence plan applicable) framework
• Key workers in community
• MAPPA partners (where applicable)
Requesting recall to prison • Offender Manager (through • Offender supervisor in community (if • Executive decision by Early
where necessary line management if applicable) Release And Recall Unit
necessary) • Key workers in community subject to appeal to Parole
• MAPPA partners (where applicable) Board
Local administration of recall • Case administrator in prison • Early Release And Recall Unit
and appeal processes including
arrangement of oral hearings
against recall

PC09/2006 – Offender Management for Custodial Sentences (from NOMS guidance pack for prisons) 15
Activity Primary responsibility lies with: Responsibility for contributing information: Authority for decision-making lies
with:
Participation in oral hearing on • Early Release And Recall Unit • Staff whose evidence is relevant to the • Parole Board
appeal against recall • Offender Manager decision to recall
• Case administrators

PC09/2006 – Offender Management for Custodial Sentences (from NOMS guidance pack for prisons) 16
Section 5 – Offender Management Implementation Timetable for Sentences with
a Custodial Element and Transitional Work Responsibilities

Date Sentence/Offender Type/Actions


From April 2006 Setting up of Offender Management Units in all prisons.
Responsibilities: - Prisons to configure staffing and facilities in order to have an OMU able
to deliver Offender Management from September 2006.

September 2006 Introduction of Offender Management for those offenders in custody who
are high/very high risk or PPOs.
Responsibilities: - Offender Management implemented for offenders assessed as a High /
Very High risk of Harm (on OASys) or subject to PPO arrangements.
- Offender Managers allocated to all relevant offenders and responsible
for OASys assessments and sentence planning for all such cases.
- Offender Supervisors allocated to all relevant offenders.
- Prison OMU to maintain business as usual (Sentence Planning and
OASys) for all offenders serving other sentence types.

September 2006 Introduction of Offender Management arrangements for offenders serving


intermittent custody sentences, to be in place.

Responsibilities: - Offender Management implemented for offenders subject to an


Intermittent Custody sentence.
- Offender Managers allocated to all relevant offenders and responsible
for OASys assessments for all cases.
- Offender Supervisors allocated to all relevant offenders.
- Prison OMU to maintain business as usual (Sentence Planning and
OASys) for all offenders serving other sentence types

November 2006 Introduction of Offender Management arrangements for offenders


sentenced to Custody Plus.
Responsibilities: - Offender Management implemented for offenders subject to Custody
Plus sentence.
- Offender Managers allocated to all relevant offenders and responsible
for OASys assessments for all cases.
- Offender Supervisors allocated to all relevant offenders.
- Prison OMU to maintain business as usual (Sentence Planning and
OASys) for all offenders serving indeterminate and determinate
sentences.

September 2007 Completion of transitional period during which offenders sentenced to


under 12 months under pre-CJA 03 sentences are in the system but not
subject to Offender Management.

- No more offenders in custody who are serving pre-CJA 03 short


sentences.

PC09/2006 – Offender Management for Custodial Sentences (from NOMS guidance pack for prisons) 17
September 2007 Introduction of Offender Management for determinate sentence offenders.
Responsibilities: - Offender Management implemented for offenders subject to determinate
sentences.
- Offender Managers allocated to all relevant offenders and responsible
for OASys assessments for all cases.
- Offender Supervisors allocated to all relevant offenders.

September 2007 Introduction of Offender Management for indeterminate sentence


offenders and existing lifers in custody.
Responsibilities: - Offender Management implemented for offenders subject to
indeterminate sentences.
- Offender Managers allocated to all relevant offenders and responsible
for OASys assessments for all cases.
- Offender Supervisors allocated to all relevant offenders.
- Prison OMU to maintain business as usual (Sentence Planning and
OASys) for all offenders still serving pre-CJA 03 determinate sentences.

September 2008 Transfer of all offenders with a determinate sentence not currently
managed through the Offender Management process to the Offender
Management Model.
Responsibilities: - Offender Management implemented for offenders subject to
indeterminate sentences.
- Offender Managers allocated to all sentences with a custodial element,
and responsible for OASys assessments for all offenders.
- Offender Supervisors allocated to all relevant offenders.

April 2009 Signing off of completion of work under the plan by April 2009.

Questions and answers on the implementation timetable

Q: My prison/probation area is going to be ready to deliver offender management arrangements more


quickly than the timetable set out above. Will we be allowed to move forward at a faster pace?

A: Establishment/ Area action plans for delivering offender management arrangements need to be co-ordinated
nationally in order for us to use our resources efficiently. Senior line managers and ROMs will be looking at
proposed action plans across whole Prison Service areas and Regions to make sure that this is the case. As
offender management will only work effectively if it is in place for the full duration of an offender’s sentence across
custody and the community, it will not generally be beneficial to develop localised plans which mean that an
individual could fall into and out of offender management arrangements as they move through their sentence.

Q: The definition of High/Very High Risk of Harm cases and PPO cases is often problematic in practice. How
will we be sure that we are covering the right cases in the phase of implementation that starts in
September 2006?

A: It is important that the current OASys is referred to and if there is any uncertainty the Offender Manager is
contacted. Ref Prison Service Public Protection Manual on intranet, the OASys Manual Chapter 8 Guidance

PC09/2006 – Offender Management for Custodial Sentences (from NOMS guidance pack for prisons) 18
on Risk of Harm, Probation Circular PC10/2005- Public Protection Framework, Risk of Harm and MAPPA
Thresholds. Further specific guidance will be issued nearer the implementation date.

Q: If we have our prison offender management unit set up and ready to deliver offender supervision, can we
implement this for a larger group of offenders than the target group at each stage, rather than waiting for
the trigger dates in the national timetable?

A: This is a matter for local consideration and discussion through line management, but action plans must be in
place to ensure that the target groups of offenders at each stage are covered adequately by offender supervision
arrangements before considering any extra provision. Managers should bear in mind that in the transitional period
some groups of offenders will not yet be covered by an Offender Manager and that for these offenders the
offender supervisor would not be performing the full role. Action plan proposals will be expected to explain any
proposed variations from the national timetable.

Q: What about OASys completion targets for prisons in 2006-7?

A: The targets are set to reflect the importance of OASys assessment as the basis for sentence planning. In 2006-7,
prisoners serving over 12 month sentences will in general not yet be covered by the roll-out of offender
management arrangements. It is important that, in this interim period, prisons maintain their existing OASys and
sentence planning function for such offenders. Such functions are closely linked with the offender supervision and
case administration aspects of offender management, and are logically placed within the new prison OMUs.

Q: Does the offender management implementation timetable rely on the roll-out of the C-NOMIS system?

: The C-NOMIS system has been designed to provide the single case record to support the information needs of
staff working with offenders in the community and custody. Once C-NOMIS is rolled out, it will simplify the
exchange of information between offender managers, offender supervisors, case administrators and providers of
interventions. The implementation timetable for offender management does not however depend on the C-
NOMIS roll-out.

Administrative arrangements for prison offender management units and case administration arrangements in the
community will have to be thought through in some detail at local level to ensure that they deliver the required
level of team working and communications to support effective offender management, using existing technology
until C-NOMIS is in place. A further review of case administration processes will be advisable once C-NOMIS is
delivered in order to gain maximum benefits from the new system.

Q: What is the scope for using video links to support offender management?

A: Experience from the NW Pathfinder has shown the value of using video links to support the sentence plan and
review meetings between offender manager, offender supervisor and the offender in custody, and to promote
effective communications in general. The workbook in this pack encourages establishments to think through the
local implications and priorities for video links to support offender management. A national review of options is
currently in progress and further guidance on the procurement options and operation of video links will be issued
when available.

PC09/2006 – Offender Management for Custodial Sentences (from NOMS guidance pack for prisons) 19
Section 6 – Setting up a Prison Offender Management Unit – a Workbook

This workbook forms part of the guidance pack prepared by the NOMS Offender Management Team for use by prisons,
probation areas and Regional Offender Managers in preparing for the implementation of offender management across all
sentences.

It sets out a series of steps covering issues that should be addressed in the arrangements for providing the elements of
offender management located in the prison, principally offender supervision and case administration.

By working through the sequence of steps and documenting the results, establishments will obtain an outline of the level
of offender management activity that will be required in the prison, and an indication of the resources needed to deliver
this level of activity.

The format for the activities in this workbook is based on the offender management desktop exercises held from August-
November 2005. These exercises consisted of a planning meeting, a period of information collation and a one day
exercise involving a range of key stakeholders, followed by a written report setting out the exercise findings. It is
suggested that establishments follow a similar sequence of activities to reach an assessment of their own offender
management unit requirements.

It is recommended that the steps set out below are worked through with a team representing at least the following areas
within the prison:

• Governor/Director and Controller


• Head of Resettlement or equivalent
• Senior Probation Officer and senior representative of local Probation Area (Assistant Chief Officer or above)
• Staff involved in OASys, sentence planning and related activities, including administration
• Staff associations as appropriate

The Governor/Director may invite other key stakeholders to take part.

A planning meeting will ensure that the right people and information are available for the exercise and that the objectives
for the process are clear. A model agenda for a planning meeting is included as Annex A. It is recommended that about 2
weeks are allowed for preparations between the planning meeting and the desktop exercise itself.

A lead person should be allocated to ensure arrangements are made for the planning meeting and exercise itself, in good
time for the information coming from it to be used in preparation for implementation (refer to implementation timetable at
Section 5 of Guidance Pack).

Steps in the desktop exercise process

Step 1
Collate information about the current prisoner population and regime. This will be used to construct a model of the future
population mix and in later steps of the exercise.

The establishment should provide a snapshot of its population, regime and resources. This should be based on a
common baseline date of (31 March 2006), with information on prisoner throughput for the 12 month period (1 April 2005
to 31 March 2006).

PC09/2006 – Offender Management for Custodial Sentences (from NOMS guidance pack for prisons) 20
Note: the offender management arrangements under NOMS apply only to prisoners aged 18 and over. Prison
establishments occupied entirely by juvenile offenders or sections of prison establishments occupied by juvenile offenders
should not be included in this exercise, nor should any resources allocated specifically to ASSET sentence planning and
management for juveniles. Current YOIs and parts of prisons designated for YOs aged 18 and over should be included.

A schedule of the information required is available as Annex B in the toolkit. Within this document there is a further
proforma at section 1, identifying the specific population data required for the exercise. It is important to collate all of the
data required at this section.

It is recommended that this information is collated in advance as a pack for use during the desktop exercise and as part
of the record of the process for future reference.

Step 2
This step uses data about the current prisoner population to create a projection of the future population mix and the
offender management work that they would generate whilst they are in prison. It can be done in advance of the main
desktop exercise, with the results made available on the day.

Select appropriate worksheet for the type of prison:

Annex F for training prisons in the High Security estate.


Annex G for local prisons (or any with a mixed local/training role)
Annex H for training prisons (excluding High Security estate)

Open the spreadsheet and find the first page, called “Inputs and assumptions”.

Enter the population data collected at Step 1, in the yellow shaded boxes on the first sheet. An example is given below,
indicating which figures should be entered. There are 10 figures to be entered in all.

Worksheet for translating population projections into volume of offender management activity

For use in desktop exercise


Input information into yellow boxes only

Population information

Projected
Type of sentence Number of annual new Number in population
receptions
Custody plus Enter in this box the annual number Enter in this box the “snapshot” figure for
of new receptions for sentences of the number of prisoners in the population
up to and including12 months serving a sentence of up to or including 12
months
Determinate sentence Enter in this box the annual number Enter in this box the “snapshot” figure for
of new receptions for sentences of the number of prisoners in the population
over 12 months serving a sentence of over 12 months
(excluding lifers) (excluding lifers)
Indeterminate sentence Enter in this box the annual number Enter in this box the “snapshot” figure for
of receptions for lifers the number of life sentenced prisoners in
the population

PC09/2006 – Offender Management for Custodial Sentences (from NOMS guidance pack for prisons) 21
Additional factors
PPOs in population Enter the number obtained from the
population “snapshot”
Offenders assessed on OASys as a Enter the number obtained from the
high/very High risk of harm population “snapshot”
HDC cases considered per year Enter the number for the year
Parole reviews per year Enter the number for the year

Do not change any of the entries in other sections of the worksheet.

The spreadsheet will automatically calculate population projections and offender management work requirements
associated with the projected population. Save the resulting file as a new document. Note that the full spreadsheet
includes several pages, all of which will be used in later steps of the exercise.

Step 3
This step involves participation from key people involved in the current OASys/sentence planning provision in the
establishment. Its purpose is to identify and list existing work in the prison that would become part of the prison’s offender
management function when this is set up, and the resources attached to that work. It is recommended that this and the
following steps are worked through by the desktop exercise team as a group.

List the existing work that is related to offender management/supervision and is currently performed by directly employed
staff (e.g. Prison Officers/PCOs, administrative staff) and the resources associated with the work. See Annex C for a list
of common job titles/work activities and whether to include them in the list for your prison. See Annex E for an illustration
of how the findings of this section could be presented.

Refer to the role descriptions from Section 2 of the Guidance Pack as required

Step 4
This step involves participation from key people involved in the current probation contract and concerns work performed
by staff employed by the Probation Service.

Working from the probation contract for 2005-6, analyse the information on existing probation service activities and
resources deployed in the prison1 to identify those that:

a. Are classed as interventions in the Offender Management model


b. Would become community-based in implementing the Offender Management model (i.e. these are to become
tasks or responsibilities of the Offender Manager in the community and his/her case administrators)
c. Would be work located within the prison’s offender supervision team (OMU)

The whole of the service and resources provided under the contract should be split between these headings.
Refer to the role descriptions from the OM model as required.
List the work covered by the contract under the three headings, and apportion the total resources covered by the
probation contract between them, using either actual figures from the probation contract or an estimate informed by the
people who do the work. (e.g. a full-time PSO post may consist of 50% delivery of interventions and 50% offender
supervision for PPOs).

As a general guide, where administration is included in the contract, this should be placed in the exercise under the same
heading as the work it supports (e.g. offending behaviour programme administration would go with delivery of
interventions under a).

1 Normally, this would be done on the basis of the probation contract. The exercise will work on informal information where the contract
is not available.
PC09/2006 – Offender Management for Custodial Sentences (from NOMS guidance pack for prisons) 22
An illustration of the format and content of output from this step is given at Annex D. Once this step is completed, check
that the totals for the different elements of work add up to the total provided in the contract.

Step 5

This step is an opportunity to identify of any other activity/resource currently deployed in the prison (e.g. voluntary sector,
project work) that delivers elements of offender management, and discuss how this would translate to the new
arrangements.

In most prisons, there will be little or nothing identified under this step. The majority of resettlement activities will relate to
provision of interventions rather than offender management/supervision. Refer back to Annex C at Step 3 for list of
common job titles/work activities and whether to include them in the list for your prison.

There may however be some services that provide a case management/supervision function that covers work that will in
future become the responsibility of the offender manager or be encompassed in the prison offender management unit. An
example might be the provision of foreign nationals liaison services provided under contract with a voluntary organisation.

Where such work exists, provide a brief description of the work and resources used (including expiry dates for any
contracts/short term funding and source of any ring-fenced funding).

Step 6

In this step, the meeting has the opportunity to review and discuss the results of the population and work projections
created in Step 2. It is important for participants to have copies of the Excel worksheets available.

The worksheets have taken information provided about the prison’s population and applied assumptions about the
application of offender management processes to these prisoners in order to calculate the resources that would be
required to deliver offender management once the roll-out to all sentences is complete. There are slightly different
versions of the worksheet to reflect the fact that not all prisons accept prisoners direct from court, and to reflect the
different balance of involvement between offender managers and prison offender supervisors for long-term prisoners in
the high security estate. The assumptions on which the work calculations are based are set nationally to reflect the
expected standards we will be working to and are informed by the findings of the pathfinder team.

The key points are:

• The first worksheet contains the population information put in by the prison and a summary of the assumptions.
• The second worksheet presents the work calculations (figures are in hours’ work per week). The columns represent
work for offender managers in the community and for offender supervisors in the prison. The final row of this sheet
gives a full-time equivalent number of staff required to deliver this work, where staff have an effective working week of
31.2 hours.
• The third worksheet presents meetings calculations. This sheet is discussed in later steps of the process.

The group should review and discuss the outcomes of the calculations and note main points of the discussion: is the
outcome more or less as expected, and if not, why?

The figures presented in the worksheets do not cover case administration. It is expected that the administrative resources
identified in Step 3 and Step 4 will be sufficient to cover the custody-based aspects of case administration as part of the
OMU. The group should note any reasons why they think there might be significant local variations (+ or -) in the level of
case administration needed.

PC09/2006 – Offender Management for Custodial Sentences (from NOMS guidance pack for prisons) 23
Step 7

This step is an opportunity to consider any specialist knowledge or skills that may be required within the Offender
Management Unit. Discuss any specific offender supervision/case administration needs of the prisons population.

There are a number factors for certain offenders that may require a degree of specialist knowledge in carrying out the
offender supervision/case administration function. Examples of these factors are:

• Offenders who are Foreign Nationals


• Offenders serving indeterminate sentences, requiring a more enhanced supervision function
• Younger or older offenders
• Offender with disabilities
• Offenders with mental health problems/personality disorder
• Child protection procedures
• PPOs
• Offenders assessed as High / Very High risk of harm on OASys

This is not an exhaustive list. It is important to justify any agreed need for specialist knowledge/skills based on the
population breakdown at the prison.

Step 8

In this step, the meeting has the opportunity to consider the existing facilities to support the Offender Management Unit.

The figures used at Step 6 to identify the resource required to deliver offender supervision will outline the level of facilities
required in the prison. In reviewing the required facilities for the Offender Management Unit, consideration is necessary of
any existing accommodation used for related areas such as OASys, Sentence Planning and seconded Probation Teams.

The meeting must identify any local issues that may demand additional facilities to service the Offender Management
Team.

Step 9

Calculation and discussion of weekly numbers of interviews/reviews involving Offender Managers

As referred to at Step 6, the third spreadsheet calculation outlines the total numbers of interviews/reviews involving
Offender Managers per week. This, again, is based on the stated assumptions for the number of reviews/interviews per
year for the different types of sentence.

The meeting must discuss what the local options are for hosting these meetings. Consideration of existing interview/visits
space will identify whether there is an issue about how to facilitate them. Options to consider would include:

• Accommodating Offender Manager visits within the Offender Management Unit


• Whether Offender Managers would all be escorted or if regular visitors can be supplied keys and given the
appropriate training.
• If escorted, whether the relevant Offender Supervisor would be best placed to pick up the Offender Manager from
the gate so they can begin to discuss the case prior to the interview/review.
• Whether Offender Manager interviews/reviews could feasibly be scheduled at times beyond the basic core day, to
ease the management of the additional visits by spacing them out further.

PC09/2006 – Offender Management for Custodial Sentences (from NOMS guidance pack for prisons) 24
Step 10

In this step, the meeting has the opportunity to discuss the potential for and implications of video link technology for
Offender Manager communication with the prison.

The use of video links in place of some Offender Manager visits is being pursued, although it is still considered crucial
that the Offender Manager physically attends the prison for key reviews/interviews. The video links approach will not use
existing links for court hearings. This would be a separate system.

The meeting has an opportunity to discuss the benefits of video link technology in the prison, and whether there may be
specific requirements of any procured system, for example, there may be some benefit in having a mobile system that
could be moved throughout the prison and plugged into any telephone socket. If there are any constraints to the use of
video links in the prison, then these should be noted also.

Step 11

In this step, consider the discharge areas for offenders at the prison, and whether certain areas have a greater priority for
video link technology than others.

Should video link technology not be available in all Probation areas, there may be certain discharge areas for the
offenders where the technology would be preferred. These areas are likely to be where a reasonable number of offenders
are discharged to but where distance from the prison would be a major issue for travelling Offender Managers.

Step 12

In this step, the meeting has the opportunity to consider management accountability of the offender supervision function
and co-ordination with the prison regime.

The management accountability of the offender supervision function needs to be carefully considered to ensure there is
some quality assurance in delivery. The meeting would consider options as to where in the current management structure
the function best fits, and whether this maintains the balance of the management of the prison regime more widely.

The management accountability of the function may depend on whether the meeting decided to deliver the Offender
Management Unit’s Offender Supervision function as a central dedicated team or as a devolved function on the various
wings.

Step 13

In this step, a review and recording of the issues raised during the course of the exercise can take place.

In spending a short amount of time going through the key issues raised, the meeting can be sure that all necessary
information is available to take away and begin drafting a report of the exercise. Following this, the drafting of an action
plan for implementation can be started.

PC09/2006 – Offender Management for Custodial Sentences (from NOMS guidance pack for prisons) 25
ANNEX A

Offender Management desktop exercise – planning meeting

Attendance:

AGENDA

1. Introductions
2. Background and purpose of the exercise
3. Planning for the desktop exercise

3.1. Agreeing a date for the exercise


3.2. Identification of establishment/population data required in advance of
the exercise and how this is to be obtained
3.3. Communication with the local management team (and staff
representatives) about the exercise
3.4. Understanding the procedures and tools to be used in collating
information and modelling the offender management/supervision unit
requirements
3.5. Timetable for the exercise itself; agreeing who will be involved on the
day and facilities necessary to support the process
3.6. Reporting the outcomes of the exercise
4. Summary of action points
5. Date for further planning meeting / sub-meeting if required
ANNEX B

Schedule of information to be collated before the desktop exercise

Document or Why we need it for the desktop Who will collate


information exercise this?
description
1. Prisoner • To provide a context for current
population information on performance and
profile for HMP resource allocations
……… (current) • To be able to describe the expected
– see summary population in terms of sentence type
and length, security category and
home area.
• To give an indication of the numbers
of receptions by sentence length
• Information on the expected numbers
of PPOs , High or Very High risk of
harm cases and foreign nationals
• To be used as a basis for calculating
the expected type and volume of
offender management/supervision
work in the establishment.
2. Key statistics • Number of HDC applications
processed
• Number of parole reviews processed
• Number of offenders released direct to
the community (and whether on
licence)
• To inform likely offender
management/supervision
requirements
3. Brief regime • Context
description • Identification of any external
partnerships/voluntary input that
contributes towards sentence
plans/resettlement services
Document or Why we need it for the desktop Who will collate
information exercise this?
description
4. Staffing • To be able to identify work and
information and resources currently involved in OASys
work profiles assessment, sentence planning and
(Prison Service related activities
grades) • To show what work relevant to
offender management processes is
included in existing job descriptions
[OASys assessment, sentence
planning, lifer liaison, HDC, parole,
personal officer if applicable]
• To inform transition to offender
management/supervision
arrangements
5. Probation • To describe work completed by
Contract/SLA seconded staff and enable this to be
analysed in Offender Management
terms
• To ensure that the proposed offender
management arrangements take into
account all relevant work/resources
6. Organisation • Understanding of current lines of
chart accountability
• Inform options for future organisation
of offender supervision/management
7. Performance • To indicate how well existing
and delivery resources deliver their targets
against targets
8. Self-audit As above
and/or
standards audit
findings on
sentence
planning
9. Latest HMCIP As above
findings on
sentence
planning and
related activity
ANNEX C

Checklist for current activities related to offender management


Use this checklist to help you consider current work activities and resources
that are part of your prison regime that would become part of the prison
offender management unit’s function when it is set up.

The audit of current activities will need to cover both dedicated posts (e.g. full-
time OASys assessors) and relevant work that forms part of a wider current
job description (e.g. where personal officers have responsibility for writing
sentence plans).

Current work Include in list of Comments


description Offender Management-
related work?
OASys assessor Yes
OASys Yes
clerk/administrator
Sentence planning Yes
Management/supervision Yes
of OASys/sentence
planning unit
Lifer management/liaison Yes
Sentence plan review Yes
boards (including YOs)
MAPPA work Yes
(contribution to risk
assessment and
meetings)
PPO mentoring/liaison Yes
Parole administration Yes
HDC and ROTL Yes
assessments
HDC and ROTL Yes
administration
Administration for release Yes
on licence
Foreign nationals liaison Yes
Personal officer No- in most Only include any
establishments personal officers’ hours
allocated to cover
OASys/sentence
planning. Other
personal officer work is
regarded as a
residential function.
Induction No Offender supervisors
will have work to do in
the induction period but
will not run the
programme.
IEP procedures No This is part of the
residential function
OCA No This function is very
closely linked with
offender management
processes and this may
be reflected in the
management structure
Tutors, administrators No This work is part of the
and programme “interventions” function
managers for nationally
accredited or locally run
offending behaviour
programmes
One-to one work on No This work is part of the
offending behaviour (e.g. “interventions” function
where there is no
suitable group
programme in place)
Psychology Possibly, for all or part Consider in more detail
of the service provided the range of services
actually provided and
distinguish between
those related to initial
assessment/sentence
planning (included) and
those that deliver
treatment/interventions
(excluded). Count
specialised assessment
work as an
“intervention” linked to
the sentence plan
process rather than
part of the OMU’s
function.
Seconded probation staff Consider work under the probation contract as a
separate step (see guidance pack)
Resettlement services No Specialist services e.g.
for housing advice,
debt counselling,
employment advice etc
are all treated as
“interventions”. Any
element of case
management currently
provided under
resettlement projects
will be unnecessary
once offender
management applies to
all offenders.
CARATS No Included in
“interventions”
Education/basic skills No
Healthcare No
Resettlement projects No Typically, these
with fixed-term or ring- projects are concerned
fenced funding e.g. PS+, with providing access
PASSPORT to interventions to
support resettlement
and do not need to be
included. The
establishment will
however need to
consider the interface
between such projects
and the roll-out of
Offender Management
arrangements.

Not all of these heading will apply to every prison, and there may be other
locally defined jobs that need to be considered for inclusion in the OMU.

The relevant work activities and resources for the individual establishment
should be listed along with their resource allocations in current work
profiles/contracts as part of steps 3 and 4 in the desktop exercise.

Examples of how information can be set out to show the results of the
analysis for the individual prison are given in Section 6 - Annexes D and E.
ANNEX D

An illustration of the output of step 4 of the desktop exercise process for


a training prison

The table splits the activity and resources covered by the current probation
contract into work which:

a) is classed as interventions in the Offender Management model


b) would become community-based in implementing the Offender
Management model
c) would initially become work located within the prison’s offender supervision
team (OMU)
The resource column sets out the present resources used to deliver this work.

HMP …….. probation contract work and resources 2005-6

A: Interventions
Description Resource
One to one work with offenders 1 x Probation Officer
B: Community-based Offender Management Work
Description Resource
Parole Reports 0.5 x Probation Officer
Supervision of Probation staff 0.1 x SPO
C: Prison Offender Management Unit
Description Resources
Lifer work (offender supervision) 0.2 x Probation Officer
MAPPA meetings/risk 0.1 x Probation Officer
OASys Supervision 0.2 x Probation Officer
Post-transfer induction and problem 0.5 x Probation Officer
resolution
ROTL & HDC collation of information, 0.5 x Probation Officer
family liaison
Administrative support 25 hours per week – Typist grade
TOTAL RESOURCE:
Senior Probation Officer x 0.1
Probation Officers x 3
Typist x 1 (P/T 25hrs pw)
ANNEX E

An illustration of the output of step 3 of the desktop exercise process


for a local prison

Important note: this is an illustration of how the information can be presented,


not a template. Each establishment will have to use its own work profiles and
descriptions of work/resources allocated to complete this step adequately.

OASys (Offender Assessment System)


Officer Hours (pw) (figure from work profiles)
Duties include: Interviews/ SAQ (PC)
OASys – computer time
Referrals
Collate information/ searches
Recent Assessments (PC)
DFBIs (PC)
Sentence Plan Boards (PC)
T&Ts (PC)
Queries/ Applications (PC)
Mental Health Referrals (PC)
Parole Reviews (PC)
MAPPP Attendance/ contributions
Licence recall reviews (PC)
OASys Training
RF1s (PC) – Personal Officer profile
Admin Hours (pw) (figure from staff numbers)
Duties include: Chase up ICAs and Sentence Plans (Transfer ins)
Send out RF1s and chase up
Allocate to assessors
Organise Sentence Planning Boards and minute them
Lock off OASys
Review log
Correspondence with external Probation
Process applications
MAPPA co-ordination
PPO updates
T&Ts
DFBIs
Filing
Record Keeping
HDC (Home Detention Curfew)
Officer Hours (pw) (figure from work profiles)
Duties include: Officer interviews
Licence explanation
Contact with external Probation
Report writing
Video explanation
Admin Hours (pw) (from staffing figures)
Duties include: Printing pre-cons
Printing OASys
Printing HDC forms
Checking eligibility
Faxes/emails to external probation
Liaise with Tagging contractors
Parole/ DCR (Discretional Conditional Release) Recalls
Admin Hours (pw) (from staffing figures)
Additional: x hours per month of un-profiled officer work includes:
supervising oral hearings/panels, getting dossiers
signed/reps, and getting panel members from the gate
etc.
Additional: y hours per month of un-profiled officer time to supervise
oral hearings.
ACRs (Automatic Conditional Releases)
Admin Hours (pw) (figure calculated from staffing figures)
ROTL (Release On Temporary Licence)
Admin Hours (pw) (figure calculated from staffing figures)
PASSPORT
Officer Hours (pw) (figure calculated from staffing figures)
Includes: Custody Plans for unconvicted prisoners and sentenced
offenders serving less than 12 months.
Admin Hours (pw) (figure calculated from staffing figures)
TOTAL HOURS:

Officer (effective hours): XXXX per week


Administrative hours: YYYY per week
Worksheet for translating population projections into volume of offender
management activity - High Security Prisons
For use in desktop exercise

Input information into yellow boxes only

Population information
Projected
Number of annual Number in
Type of sentence new receptions population
Custody plus
Determinate sentence
Indeterminate sentence

Additional factors
PPOs in population
Offenders assessed as High/Very High
Risk of Harm
HDC cases considered per year
Parole reviews per year

Assumptions used in calculating work


Offender manager
(inc travelling time Offender
as stated) supervisor
Determinate sentences
Determinate sentence plan (initial)** 7 0.5
Sentence plan follow-up per week 0 0.5
Sentence plan formal review* 5.5 1

Indeterminate sentences
Indeterminate sentence plan (initial)** 7 0.5
Sentence plan follow-up per week 0 0.5
Sentence plan formal review * 5.5 1

Determinate and indeterminate sentences


PPO mentoring per month 0 1
Contribution to pre release MAPPA
Meetings (per case per month) 0 0.5
Induction, familiarisation with offender and
plan-per reception on transfer 0 0.5

Additional work on detail of


assessment/sentence plan on arrival in
dispersal system 5.5 0

**Initial sentence plans are completed in the local prison


*Formal sentence plan reviews scheduled annually in dispersal system. The
calculations in this spreadsheet assume the offender manager will attend every review.
Participation by video link would be acceptable for most review meetings and result in
a saving in travelling time.
Projected work from inputs and assumptions
Do not input into this sheet-figures are calculated automatically from
information already given in previous worksheet

All figures are presented as weekly average hours' work


Offender manager
(inc travelling time
as stated) Offender supervisor
TOTALS FOR CUSTODY
PLUS (WEEKLY AVERAGE
HOURS) 0.00 0.00

Additional work on detail of


assessment/sentence plan
on arrival in dispersal system 0.00 0.00
Sentence plan follow-up per
week 0.00 0.00

Sentence plan formal review-


weekly average hours 0.00 0.00
Induction, familiarisation with
offender and sentence plan
on transfer 0.00 0.00
TOTALS FOR
DETERMINATE
SENTENCES (WEEKLY
AVERAGE HOURS) 0.00 0.00

Additional work on detail of


assessment/sentence plan
on arrival in dispersal system 0.00 0.00
Sentence plan follow-up per
week 0.00 0.00

Sentence plan formal review-


weekly average hours 0.00 0.00
Induction, familiarisation with
offender and sentence plan
on transfer 0.00 0.00
TOTALS FOR
INDETERMINATE
SENTENCES (WEEKLY
AVERAGE HOURS) 0.00 0.00

Additional activities
PPO mentoring per week 0.00 0.00
MAPPA pre-release work per
week 0.00 0.00

TOTALS IN HOURS PER


WEEK 0.00 0.00
Offender manager Offender supervisor
Divisor to calculate full time
staff equivalent (indicative
only for non-Prison Officer
grades) 31.2 31.2
FTE staff for this role 0.00 0.00
Number of meetings to be held to support offender management processes
for which offender managers will visit the prison. This is based on the assumption that the OM will
attend the annual sentence plan review once during the offender's stay at Full Sutton

Do not input into this sheet-figures are calculated automatically from information already given
in previous worksheet

Type of meeting/interview Number per year Average number per week

Determinate sentence plan review 0 0

Indeterminate sentence plan review 0 0


Additional Offender Manager meeting
for further assessment on arrival in
dispersal system 0 0
TOTAL 0 0
Worksheet for translating population projections into volume of
offender management activity - Local Prisons
For use in desktop exercise

Input information into yellow boxes only

Population information
Projected
Number of annual Number in
Type of sentence new receptions population
Custody plus
Determinate sentence
Indeterminate sentence

Additional factors
PPOs in population
Offenders assessed as High/Very
High Risk of Harm
HDC cases considered per year
Parole reviews per year

Assumptions used in calculating work


Offender manager
(inc travelling time Offender
as stated) supervisor
Custody plus sentence plan 6 0.5
Custody plus sentence plan
follow-up per week 0 0.25

Determinate sentence plan 7 0.5


Sentence plan follow-up per
week 0 0.5
Sentence plan formal review 5.5 0.5

Indeterminate sentence plan 7 0.5


Sentence plan follow-up per
week 0 0.5
Sentence plan formal review 6 1

PPO mentoring per month 0 1


Contribution to pre release
MAPPA Meetings (per case per
month) 0 0.5
Induction, familiarisation with
offender and plan-per reception
on transfer 0 0

Note: items shaded in grey are used only for training prisons
Projected work from inputs and assumptions
Do not input into this sheet-figures are calculated automatically from
information already given in previous worksheet

Note: items shaded in grey are used only for training prisons
Offender manager
(inc travelling time
as stated) Offender supervisor
Custody plus sentence
planning- weekly average
hours 0.00 0.00

Custody plus sentence plan


follow-up per week 0.00 0.00
Induction, familiarisation with
offender and sentence plan
on transfer 0.00 0.00
TOTALS FOR CUSTODY
PLUS (WEEKLY AVERAGE
HOURS) 0.00 0.00

Determinate sentence plan-


weekly average hours 0.00 0.00
Sentence plan follow-up per
week 0.00 0.00

Sentence plan formal review-


weekly average hours 0.00 0.00
Induction, familiarisation with
offender and sentence plan
on transfer 0.00 0.00
TOTALS FOR
DETERMINATE
SENTENCES (WEEKLY
AVERAGE HOURS) 0.00 0.00

Indeterminate sentence
planning -weekly average
hours 0.00 0.00
Sentence plan follow-up per
week 0.00 0.00

Sentence plan formal review-


weekly average hours 0.00 0.00
Induction, familiarisation with
offender and sentence plan
on transfer 0.00 0.00
TOTALS FOR
INDETERMINATE
SENTENCES (WEEKLY
AVERAGE HOURS) 0.00 0.00

Additional activities
PPO mentoring per week 0.00 0.00
MAPPA pre-release work per
week 0.00 0.00

TOTALS IN HOURS PER


WEEK 0.00 0.00
Offender manager Offender supervisor
Divisor to calculate full time
staff equivalent (indicative
only for non-Prison Officer
grades) 31.2 31.2
FTE staff for this role 0.00 0.00
Number of meetings to be held to support offender management processes
for which offender managers will visit the prison

Do not input into this sheet-figures are calculated automatically from information already given
in previous worksheet

Type of meeting/interview Number per year Average number per week

Custody plus sentence plan -initial 0 0

Determinate sentence plan -initial 0 0

Determinate sentence plan review 0 0

Indeterminate sentence plan -initial 0 0

Indeterminate sentence plan review 0 0


TOTAL 0 0

Note: items shaded in grey are used only for local prisons
Worksheet for translating population projections into volume of
offender management activity - Training Prisons
For use in desktop exercise

Input information into yellow boxes only

Population information
Projected
Number of annual Number in
Type of sentence new receptions population
Custody plus
Determinate sentence
Indeterminate sentence

Additional factors
PPOs in population
Offenders assessed as High/Very
High Risk of Harm
HDC cases considered per year
Parole reviews per year

Assumptions used in calculating work


Offender manager
(inc travelling time Offender
as stated) supervisor
Custody plus sentence plan 6 0.5
Custody plus sentence plan
follow-up per week 0 0.25

Determinate sentence plan 7 0.5


Sentence plan follow-up per
week 0 0.5
Sentence plan formal review 5.5 0.5

Indeterminate sentence plan 7 0.5


Sentence plan follow-up per
week 0 0.5
Sentence plan formal review 6 1

PPO mentoring per month 0 1


Contribution to pre release
MAPPA Meetings (per case per
month) 0 0.5
Induction, familiarisation with
offender and plan-per reception
on transfer 0 0.5

Note: items shaded in grey are used only for local prisons
Projected work from inputs and assumptions
Do not input into this sheet-figures are calculated automatically from
information already given in previous worksheet

Note: items shaded in grey are used only for local prisons
Offender manager
(inc travelling time
as stated) Offender supervisor
Custody plus sentence
planning- weekly average
hours

Custody plus sentence plan


follow-up per week 0.00 0.00
Induction, familiarisation with
offender and sentence plan
on transfer 0.00 0.00
TOTALS FOR CUSTODY
PLUS (WEEKLY AVERAGE
HOURS) 0.00 0.00

Determinate sentence plan-


weekly average hours
Sentence plan follow-up per
week 0.00 0.00

Sentence plan formal review-


weekly average hours 0.00 0.00
Induction, familiarisation with
offender and sentence plan
on transfer 0.00 0.00
TOTALS FOR
DETERMINATE
SENTENCES (WEEKLY
AVERAGE HOURS) 0.00 0.00

Indeterminate sentence
planning -weekly average
hours
Sentence plan follow-up per
week 0.00 0.00

Sentence plan formal review-


weekly average hours 0.00 0.00
Induction, familiarisation with
offender and sentence plan
on transfer 0.00 0.00
TOTALS FOR
INDETERMINATE
SENTENCES (WEEKLY
AVERAGE HOURS) 0.00 0.00

Additional activities
PPO mentoring per week 0.00 0.00
MAPPA pre-release work per
week 0.00 0.00

TOTALS IN HOURS PER


WEEK 0.00 0.00
Offender manager Offender supervisor
Divisor to calculate full time
staff equivalent 31.2 31.2
FTE staff for this role 0.00 0.00
Number of meetings to be held to support offender management processes
for which offender managers will visit the prison

Do not input into this sheet-figures are calculated automatically from information already given
in previous worksheet

Type of meeting/interview Number per year Average number per week

Custody plus sentence plan -initial 0 0

Determinate sentence plan -initial 0 0

Determinate sentence plan review 0 0

Indeterminate sentence plan -initial 0 0

Indeterminate sentence plan review 0 0


TOTAL 0 0

Note: items shaded in grey are used only for local prisons