OASys Reports

What is an OASys Report?

OASys, Offender Assessment System, is an IT based system used within the Prison Service and by the Probation Service.

An OASys report is a risk and needs assessment tool. All the information is stored on a database and can be printed out to form a report. It seeks to identify the offender's needs, risk factors and protective factors and classify these needs accordingly. 

OASys reports can be very lengthy documents indeed, and will typically contain the following information:

• Personal information (name, date of birth etc);
• Case identification (e.g. date of sentence, sentence length, court name and type);
• Sources of information which have been used to created the report (e.g. Pre-Sentence Report; Judge's comments/ sentencing remarks; previous OASys reports; victim statements; prison records; probation files; psychiatric/ psychological services);
• Release date;
• Home Detention Curfew date;
• Licence expiry date;
• Offending information (e.g. previous record; previous convictions);
• Analysis of offences (brief summary; whether the offence involved violence or had a sexual element etc);
• Details of the victim (age, ethnicity, relationship with offender);
• Evidence of motivations and triggers to the offending (e.g. sexual/ financial motivation);
• Whether the offending was part of a pattern of offending;
• Whether the offender accepts responsibility for the current offence, and if so, how much;
• Accommodation;
• Education, training and employability;
• Financial management and income;
• Relationships;
• Lifestyle and associates;
• Substance misuse;
• Emotional well-being;
• Thinking and behaviour;
• Attitudes;
• Risk to children;
• Risk to himself (e.g. risk of suicide, self-harm).

It is an open process, so the individual who is the subject of the report will often be aware of its content. If an individual refuses to engage in the OASys process, he is still entitled to a copy of it.

What kinds of needs may an offender have?

• Homelessness;
• Thinking skills;
• Relationship problems;
• Substance misuse.

Why is OASys significant?

OASys assesses risk. Risk is central to the question of release when an offender comes before the PArole Board. Sentence plans are drawn up based on the results of the OASys assessments. Many decisions relating to the individual's sentence plan are based on the accuracy of the OASys assment.

What decisions does OASys affect?

The OASys report will impact on:

• Categoratisation;
• Allocation;
• Incentives and Earned Privileges;
• Resettlement;
• Release;
• Parole review;
• Release on licence;
• Release on temporary licence;
• Drug and alcohol treatment;
• Work and education;
• Offending behaviour programmes.

It is therefore central to an individual's sentence plan.

Who has to undergo an OASys assessment?

The following individuals must undergo an OASys assessment:

• Young offenders with at least four weeks left on their sentence;
• Prisoners with sentences of four years or more;
• Lifers;
• Extended recall offenders (if their recall is for more than one year);
• Licence recall offenders (if their recall is for more than one year);
• All offenders sentenced under the Criminal Justice Act 2003.

Will the OASys report be reviewed?

Yes. It must be reviewed annually.

Can the content of the OASys/ sentence plan be challenged?

Yes. Firstly, the prisoner should attempt to resolve the matter internally through the complaints procedure. Alternatively, the sentence plan may be challenged via Judicial Review. Legal advice must be sought.

Life Sentences

What is a "lifer"?

A lifer is an individual in prison who is serving an indeterminate sentence (but NOT an IPP). Individuals who are serving indeterminate sentences, in contrast with those serving determinate sentences, have no automatic right to be released from prison.

Relevant statutes (click to view):

Murder (Abolition of Death Penalty) Act 1965;

Criminal Justice Act 2003;

Power of Criminal Courts (Sentencing) Act 2000.

How does the sentence work?

The lifer, like those servings IPPs, is required to serve a punitive period (also known as the minimum term, or the tariff) before they are eligible for parole on licence.

What happens when a lifer is released on parole?

He will be released on a life licence, meaning that he is liable to recall to prison at any time.

What types of life sentence are there?

There are several.

Life imprisonment

• Applies to adults convicted of murder and individuals aged 21 or over when the offence was committed;
• For the offence of murder, the convicted automatically receives a mandatory life sentence (Murder (Abolition of Death Penalty) Act 1965);
• The sentencing judge now sets the minimum term (sentenced imposed on or after 18th December 2003).

Discretionary life sentence

• Offenders aged 18 or over where the maximum sentence which can be imposed is life imprisonment;
• The offender must meet the criteria for risk and dangerous set out in s. 225 Criminal Justice Act 2003.

IPP

See the previous blog post: http://prison-law.blogspot.co.uk/2013/03/imprisonment-for-public-protection-ipp.html

Custody for life

• Applies to offenders aged 18 or over but under 21 on the date of conviction;
• It applies only to those offenders convicted of murder;
• It is an automatic/ mandatory sentence;
• It may be imposed as a discretionary sentence for offences other than murder. It can only be imposed under these circumstances if the offender was over 18 and meets the criteria for dangerousness, as set out in s. 225 CJA 2003.

Detention at Her Majesty's Pleasure

• For individuals over the age of 10 (which is the age of criminal responsibility in England and Wales), but under the age of 18 when the offence was committed;
• Reserved only for the offence of murder;
• Relevant legislation: s. 90 Power of Criminal Courts (Sentencing) Act 2000.

Can prisoners appeal the length of their tariff/ minimum term?

Yes.  Section 271 of the Criminal Justice Act 2003 provides defendants with a right of appeal against the duration of the minimum term. Legal advice must be sought by those wishing to appeal. It should be borne in mind that the test for the Court of Appeal when looking at appeals against sentence is whether or not the sentence (minimum term) imposed by the sentencing judge is excessive.

Imprisonment for Public Protection ("IPP")

What are IPPs?

IPPs are a form of indeterminate custodial sentence which has now been abolished courtesy of the Legal Aid, Sentencing and Punishment of Offenders Act 2012.

What is an indeterminate sentence?

An indeterminate sentence is a type of custodial sentence (i.e. one which is to be served in prison) where the court (i.e. sentencing judge) sets the minimum term of imprisonment an individual must serve before becoming eligible for release by the Parole Board.

Example of an IPP:

Sentencing judge sentences individual to an "IPP with a minimum term of 5 years" = prisoner must serve 5 years in custody before being eligible to come before the Parole Board. The Parole Board then decide whether the individual still poses a significant risk of serious harm to the public. 

What categories of offenders were eligible for IPP?

Sentencing judges had the power to impose IPPs for the following categories of offenders:

• Offenders convicted of serious sexual or violent offences which is punishable by imprisonment for life or a determinate period of 10 years or more;
• in the court’s opinion the offender poses a significant risk to the public of serious harm by the commission of further specified offences;
• the offence is punishable with life imprisonment and the court is satisfied that the seriousness of the offence justifies such a sentence; and
• If the offender had a previous conviction for an offence listed in Schedule 15A CJA 2003, or the current offence warrants a notional minimum term of at least two years.

Incentives and Earned Privileges

EDIT: 19 NOVEMBER 2013

A NEW PSI RELATING TO IEP HAS BEEN ISSUED WITH EFFECT FROM 1 NOVEMBER 2013. THIS PAGE IS THEREFORE TO BE READ IN CONJUNCTION WITH THAT PSI, PSI 30/2013, WHICH CAN BE FOUND HERE.

What are Incentives and Earned Privileges?

IEP is a scheme which aims to encourage responsible behaviour by prisoners. In addition, the scheme aims to;

• Encourage effort and achievement in work and other constructive activities (this is also in accordance with Rule 3 of the Prison Rules 1999, which states that "The purpose of the training and treatment of convicted prisoners shall be to encourage and assist them to lead a good and useful life.");
• To encourage sentenced prisoners to engage in OASys and sentence planning;
• To benefit from activities designed to reduce re-offending;
• To create a more disciplined, better controlled and safer environment for prisoners and staff.

IEP is governed by PSI 11/2011.

Is it mandatory for every prison to have some form of IEP scheme?

Yes. Rule 8 of the Prison Rules states the following:

"There shall be established at every prison systems of privileges approved by the Secretary of State and appropriate to the classes of prisoners there, which shall include arrangements under which money earned by prisoners in prison may be spent by them within the prison."

In short, all prisons and Young Offenders Institutes must have a system of incentives and privileges in place. 

How exactly does it work?

There are three different levels of privilege; basic, standard and enhanced. The idea is that prisoners earn privileges according to their behaviour and performance.

Basic

• Participation in normal regime activities, e.g. work, education, treatment programmes;
• Minimum entitlements to visits, letters, phone calls and canteen allowances.

Standard

• All prisoners on reception are placed in this level;
• Prisoners receive all facilities of Basic, plus;
• More frequent visits;
• More time for association;
• Access to an in-cell TV;
• Higher rates of pay and more attractive jobs;
• Increased access to private cash.

Enhanced

• All Basic and Standard level privileges, plus;
• More visits;
• More time for association;
• Priority for higher rates of pay.

Governors must ensure that the scheme is fair and consistent. At least two members of staff need to be involved in the decision making process.

What kind of privileges can be earned?

• 
  
• A television in cell;
• Permission to wear own clothes;
• Access to private cash;
• Time out of cell;
• Extra visits;
• Enhanced prisoners' earning schemes.

Is it a form of discipline?

No. Although prisoners may feel as though they are being punished if they are downgraded, the IEP scheme is not punitive in nature. Rather, it is supposed to reflect the consequences of unacceptable behaviour (R (on the application of Potter) v Secretary of State for the Home Departmentt [2001] EWHC Admin 1401).

I've just had an adjudication. Does this mean I'll automatically have my privileges taken from me?

Not necessarily. The IEP scheme is completely separate from the adjudication process.  

Can I be downgraded if I haven't been put on report?

Yes, since the two processes are separate, and being put on report is not a condition of downgrade. 

What if I'm put on Basic?

This must be reviewed within seven days, and you must be informed of the steps you must take to return to standard level (PSI 11/2011, 4.3).

How is behaviour assessed?

The determination behaviour of a prisoner’s privilege level must be based on patterns of behaviour rather than a single incident, unless the incident is especially serious. An incident which may fall into that category  of serious one-off incidents that may be, for example, a the commission of a disciplinary offence.

Can decisions relating to IEP be challenged?

Yes, and there are two main methods;

1. Written representations;
2. Judicial Review.

The significance of Shutt & Tetley for individuals who deny their offending

You can read the judgement here, and I suggest you do so: http://www.prisons.org.uk/sandt.pdf

It was held in R (on the application of Shutt & Tetley) v Secretary of State for Justice [2012] EWHC 851 that a local IEP policy which precluded individuals who maintained their innocence from ever achieving "Enhanced" level on the IEP scheme was unlawful.

Home Detention Curfew

What is Home Detention Curfew? ("HDC")

HDC is the means by which some prisoners may spend a period of their sentence confined to their home rather than in prison. It is also known as "tagging". It is governed by Prison Service Order 6700.

What does HDC involve?

The individual must remain in their home for a specified period of the day, and will wear an electronic tag for the duration of the curfew. The tag works by means of electronic signal, which is monitored, thus ensuring the individual does not breach the curfew.

Which prisoners are eligible for the HDC scheme?

• Prisoners serving sentences of 3 months or over, but less than 4 years under the Criminal Justice Act 1991;
• Prisoners serving standard determinate sentences of any length under the Criminal Justice Act 2003.

If a prisoner falls within the above categories, will he automatically be considered for HDC?

Not necessarily. Some individuals may be presumed unsuitable and may only receive a HDC if there are "exceptional circumstances" which warrant it.

Which prisoners are not eligible for HDC?

• Those convicted of a violent offence and currently serving a sentence which requires extended supervision;
• Those serving a sentence for failing to return to custody following a temporary release;
• Those who have failed to comply with a requirement of a curfew order;
• Those who have at any time been recalled to prison from a HDC (unless an appeal has been successful);
• Those with less than 14 days left before the halfway point in their sentence;
• Those who have at any time been recalled to custody for committing an offence before the at risk period of the sentence has expired.

Are there any other restrictions?

Yes. HDC only applies to offenders aged 18 and over.

Are there any risk assessments which must be completed before commencement of HDC?

Yes. Prisoners must pass a risk assessment and have suitable accommodation approved by the Probation Service before they can be granted Home Detention Curfew.

What are the licence conditions attached to the HDC?

All prisoners released on Home Detention Curfew must be released on licence. For prisoners serving sentences of under one year the licence will expire at the halfway point of sentence. For prisoners serving sentences of one year or over the curfew condition will expire at the halfway point of sentence and the licence itself will expire at the three quarter point of sentence less the period spent on curfew

The curfew hours should normally be for 12 hours. Curfews must never last for less than nine hours a day except on the initial day of release.

Prisoners must not be released on Home Detention Curfew unless they sign the licence to agree that they consent to the conditions imposed.

What happens if an individual breaches his HDC?

His licence will be revoked and he will be recalled back to custody.


What sorts of prison law issues may arise in the context of HDC?

If the prison fails apply the correct procedure following a prisoner's request for HDC (i.e applies the policy incorrectly, or does not consider an eligible prisoner's request).

Handcuffs in court

In criminal proceedings in England and Wales, there is a general presumption that the defendant will not be handcuffed in court unless there are reasonable grounds for doing so. The judge will consider if there are less intrusive methods of maintaining security.

 

Why is this so?

It is considered prejudicial against the defendant for the jury to see a handcuffed defendant.

 

Which side has to demonstrate that handcuffs are necessary/ not necessary?

The prosecution must show that there are reasonable grounds to warrant a defendant being handcuffed.

 

What are those reasonable grounds?

• Risk of violence;
• Risk of escape.

What about defendants who are already serving custodial terms in prison?

A warning from a prison to prison escort and dock security contractors that there might be some risk of escape does not automatically mean that the risk is great enough to justify handcuffing in court (R v Horden [2009] 2 Cr. App. R. 24).

 

Who decides whether or not the use of handcuffs is appropriate?

It is for the court, not the police to decide.

 

Who makes the application for handcuffs?

The prosecutor.

 

What about hearings in camera?

Judges rarely consider the use of handcuffs necessary for those hearings which are conducted in private, without the public or jury.

Faith and belief

The Prison Service recognises and respects the right of prisoners to register and practise their faith whilst in custody.

The national policy which deals with faith and pastoral care for prisoners is PSI 50/2011.

The Prison Rules 1999, rule 19, states that:

"There shall, so far as reasonably practicable, be available for the personal use of every prisoner such religious books recognised by his denomination as are approved by the Secretary of State for use in prisons."


Furthermore, religion or belief is a protected characteristic, protected under s. 10 Equality Act 2010. Therefore, it is unlawful for a public authority to discriminate against an individual on the basis of religion or belief. It should be noted that this encompasses the choice to not prescribe to any belief.


PSI 51/ 2011, 2.3 states:

"A prisoner must not be subject to any form of discrimination or infringement of their human rights by declaring themselves of any faith or religion or as belonging to none."


When an individual first enters the prison establishment, he must have access to a member of the Chaplaincy Team. If his faith is not represented, arrangements are made for them to have access to a minister of their own faith (PSI 51/2011, 2)


Are prisoners compelled to undertake activity which is contrary to their religious beliefs?

No. A prisoner must not be required to undertake such work that is unsuitable or offensive to their religion (PSI 51/2011, 2.4)


Are prisoners allowed to wear religious artifacts and dress in prison?

Prisoners must be allowed to possess or have access to artifacts and religious texts that are required by their faith (PSI 51/2-11, 8.1). Similarly, prisoners must be allowed to wear dress, including headdress, that accords with the requirements of their registered faith as agreed by the Faith Adviser and the Prison Service (PSI 51/2011, 8.2)

Escape risk prisoners

The national policy which deals with Escape Risk prisoners and their management is PSI 56/ 2011.

There are six main reasons for having a framework which identifies and manages individuals who are deemed an escape risk:

• To prevent escapes and absconds;
• To detect and deter threats to the security, safety, order and control of the prison establishment;
• To detect, report and deter criminal activity;
• To facilitate lawful information exchange with prison staff;
• To facilitate effective and lawful information exchange with other agencies;
• To ensure security measures are applied lawfully, safely, fairly, proportionately and decently.

The prison must have in place a system to identity prisoners who pose a potential escape risk.

What must be considered when deciding whether to place a prisoner on the Escape List?

PSI 56/2011, 2.2 lists the following:

• Is there reliable intelligence that the prisoner is planning to escape?
• Has the prisoner escaped or made a credible attempt to escape during their current sentence?
• Has the prisoner escaped or made a concerted effort to escape during a previous period in custody or sentence, from prison, from Court, or from escort transport, and what were the circumstances?
• Do similar circumstances or security concerns apply now?
• Is the prison’s physical and procedural security sufficient to deal with the perceived threat without placing the prisoner on the E-List or moving them to more secure conditions?
• Does the prisoner’s security category need to be reviewed immediately?

What happens if the prisoner is assessed as an escape risk and therefore needs to be placed on the Escape List?

1. The AUTHORISATION TO PLACE PRISONER ON ESCAPE LIST form must be completed fully;
2. The prisoner must be informed of the decision to place him on E-List.
3. If the prisoner is in Category C, or D/ open conditions then the prisoner’s security category must be reviewed immediately and the prisoner transferred to more appropriately     secure conditions as soon as possible. In the meantime, the Governor/Director must make arrangements to ensure that the prisoner is held in as secure conditions as possible to prevent an escape;
4. A standard risk Category A prisoner who presents a high risk of escape must be reported to the Directorate of High Security(DHS) for consideration of reclassification to high risk category A. The prisoner must be placed on the E-List pending the outcome of the DHS decision.

How are E-List prisoners to be distinguished from other prisoners?

• When outside their cell, E-list prisoners must wear distinctive E-List clothing which clearly distinguishes them from other prisoners (PSI 56/ 2011, 2.4).
• An up-to-date photograph of each E-List prisoner must always be on display in the residential unit office. Copies of all photographs MUST be provided to the local police in case of an escape (PSI 56/ 2011, 3.2).
• The Security Department must be notified immediately of any change in appearance and a new photograph taken within 24 hours (PSI 56/ 2011, 3.2).

Can E-List prisoners' telephone calls be monitored?

Yes. In fact, E-List prisoners must be subject to simultaneous listening of all telephone calls (excluding legal and confidential calls or those to the Samaritans) unless the operational manager appointed as Authorising Officer (AO) for the interception of communications authorises less frequent monitoring. This decision must be based on an assessment of the risk posed by the prisoner and the totality of the measures in place to stop him/her from escaping. 

PSI 56/ 2011, 4.1 provides:

"Local instruction must set out the arrangements for recording and monitoring the  telephone conversations of E-List prisoners. Prisoners must be informed that their calls will be subject to routine listening when they are placed on the E-List or are a potential Category A prisoner who is transferring as an E-List prisoner." 

The frequency of monitoring must be reviewed regularly during the time the prisoner is on the E-List.

Will an E-List prisoner be told that his communications are being monitored?

 Yes, he must be informed so (PSI 56/ 2011, 4.2). He must be informed that his communications will be monitored for one or  more of the reasons allowed for by rule 35A(4) of the Prison Rules, namely:

• in the interests of national security;
• the prevention, detection, investigation, or prosecution of crime;
• the interests of public safety;
• securing or maintaining prison security or good order and discipline in prison;
• the protection of health or morals; and,
• the protection of the rights and freedoms of any person.

What about confidential communications?

Confidential communications must not be monitored except where authorised by the Chief Executive Officer, NOMS, This decision and any such authorisation must be reviewed on at least a monthly basis (PSI 56/ 2011, 4.4).

Is there routine monitoring of mail?

Yes. All correspondence, both incoming and outgoing, (except confidential communications) will be subject to routine monitoring. The relevant policy is PSI 06/2011, Prisoner Communication Correspondence.

Will the decision to be placed on E-List be reviewed?

Yes. If a prisoner has been placed on the E List the position MUST be reviewed by a manager at least every 28 days (PSI 56/ 2011, 5.1).

When will a prisoner be removed from E-List?

The prisoner must be removed from the E-list as soon as they no longer present a risk of escape (PSI 56/ 2011, 5.2).

Discrimination and Equality

What is discrimination?

The Equality Act 2010, which can be found here http://www.legislation.gov.uk/ukpga/2010/15/contents defines discrimination as follows:

"A person (A) discriminates against another (B) if, because of a protected characteristic, A treats B less favourably than A treats or would treat others." (s. 13 (1) EA 2010).

The Act provides that certain personal characteristics are "protected characteristics". This means that they are afforded a level of protection, and an individual must not be discriminated against because of any of these characteristics which they may have.

What are protected characteristics?

Section 4 lists the protected characteristics as follows, before further defining them in subsequent sections:

• age;
• disability;
• gender reassignment;
• marriage and civil partnership;
• pregnancy and maternity;
• race;
• religion or belief;
• sex;
• sexual orientation.

Further action prohibited by the act is harassment related to a protected characteristic (s. 26) and victimisation (s. 27).

It is unlawful for a public authority, such as the National Offender Management Service, to discriminate against individuals. PSI 32/ 2011, A14 gives further weight to this:"As a public authority, it is unlawful for NOMS in the exercise of its public function to do anything that constitutes discrimination, harassment and victimisation. This covers the treatment of prisoners and others..."

What is the prison's duty in relation to protected characteristics?

The prison has a duty not to  discriminate against any individual on the basis of a protected characteristic.

If a prisoner has a disability, the prison has a duty to make adjustments, taking this into account (s. 20)

What should a prisoner do if he feels he is being treated unfairly discriminated against?

Seek legal advice from a solicitor.