Categorisation

 What is categorisation?

Categorisation is the process by which a prisoner is assigned an appropriate security category.

This post will focus on the categorisation process as it stands for adult males. It is governed by PSI 40/ 2011. It can be found here: http://www.justice.gov.uk/offenders/psis/prison-service-instructions-2011

The rules are slightly different for the categorisation of young male prisoners and for women prisoners. These are governed by PSI 41/ 2011 and 39/2011 respectivley. These can be found here: http://www.justice.gov.uk/offenders/psis/prison-service-instructions-2011

Why is it important that prisoners are categorised correctly?

Assigning prisoners to the corret security category helps to ensure that they do not escape or threaten the control of prisons. In addition, it also means that prisoners are not housed in higher security conditions than is necessary.

Categorisation (and re-categorisation) are also central to sentence management. Correct categorisation enables prisoners to use their sentences constructively, to address offending behaviour and ultimately prepare for release.

Being re-categorised to lower security categories allows the prisoner to progress throughout the prison estate. It demonstrates a reduction and risk which is at the heart of the issue of release when the prisoner is eligible for parole.

The security categories for adult males

There are four security categories for adult males;

• Category A;
• Category B;
• Category C;
• Category D.

Category A

These are prisoners "whose escape would be highly dangerous to the public or the police or the security of the State and for whom the aim must be to make escape impossible." (PSI 40/2011, 2.1)

Category B

These are prisoners "for whom the very highest conditions of security are not necessary but for whom escape must be made very difficult." (PSI 40/2011, 2.1)

Category C

These are prisoners "who cannot be trusted in open conditions but who do not have the resources and will to make a determined escape attempt." (PSI 40/2011, 2.1)

Category D

These are prisoners "who present a low risk; can reasonably trusted in open conditions and for whom open conditions are appropriate." (PSI 40/2011, 2.1)

Category A prisoners

Category A prisoners will be discussed in a subsequent post, but in short, Category A prisoners have some special rules. The policy relating to Category A security reviews are contained in PSI 003/2010, which can be accessed here: http://www.justice.gov.uk/offenders/psis/prison-service-instructions-2010

Reviews for Category A prisoners are determined by the Director of High Security and the Category A Review team.

Prisoners must be assigned the lowest security category possible

PSI 40/2011, 3.1 stipulates:

"All prisoners must have assigned to them the lowest security category consistent with managing their needs in terms of security and control and must meet all the criteria of the category for which they are being assessed."

This means that if a prisoner meets the requirements say, for example, Category D status, he must be categorised accordingly, regardless of whether there are enough spaces in Category D. PSI 40/2011, 3.1.1 makes this clear:

"A prisoner's security category must never be adjusted to achieve a better match with available spaces within the estate."

However, PSI 40/2011, 3.1.1 qualifies this point:

"...it should be noted that where population pressures exist or where it is in the prisoner's own best interests (for example, to access or complete an offender behaviour programme), he may be allocated to or retained in a prison of a higher security than that assigned to him."

Therefore, if a prisoner meets the criteria for Category D status, but needs to be allocated to a place where he can complete a certain programme, he can remain allocated to that area in a higher security category.

How is categorisation decided?

The test for categorisation is set out in PSI 40/2011, 1.1:

"The purpose of categorisation is to assess the risks posed by a prisoner in terms of: likelihood of escape or abscond; the risk of harm to the public in the event of an escape or abscond; any control issues that impact on the security and good order of the prison and the safety of those within it and then to assign the prisoner the lowest security category consistent with managing those risks."

Caselaw suggests that there is flexibility in this policy. Each case must be considered on its own merits (R (John Smith & John Mullally) v The Governor of HMP Lindholme [2010] EWHC 1356.)

Initial categorisation

All convicted and sentenced prisoners, including ISPs (other than those report into headquarters as potentially Category A) must be categorised within 4 working days of all essential documents being received (PSI 40/ 2011).

What documents are pertinent to the initial categorisation process?

• Details of previous convictions;
• Details of current offence(s);
• Current custodial record;
• Previous record, if available;
• Prisoner's security file;
• Public Protection Information;
• PER form;
• OASys report (if opened prior to sentence);
• Request for information form from UK Border Agency.

If any other documents are referred to as part of the initial categorisation assessment, these must be listed on the form. This is to ensure that the prisoner is aware of the information which has been considered in his initial categorisation. It is also relevant if the decision is challenged at a later date.


Re-categorisation

Re-categorisation reviews are conducted to assess whether or not a different category would be more appropriate.

PSI 40/2011, 5.1 provides:

"The purpose of the re-categorisation process is to determine whether, and to what extent, there has been a cleat change in the risks a prisoner presented at his last review and to ensure that he continues to be held in the most appropriate conditions of security."

Do prisoners have a right to re-categorisation?

PSI 40/2011, 5.1 says:

"Re-categorisation to a lower security category is not an automatic progression or right but must be based on clear evidence of reduction in previously identified risk levels to a level that is manageable in an establishment of the lower security category."

Allocation after re-categorisation

PSI 40/2011, 5.1 states:

"Allocation often follows immediately after categorisation but us a separate process, the purpose of which is to assign the prisoner to a suitably secure establishment which best meets his needs insofar as pressures on the estate allow."

Forms used in the categorisation process

PSI 40/2011, 3.3 states that the same forms must be used nationwide.

ICA1 Form

The ICA1 form is used for initial categorisation. A copy of this can be found at Annex A of PSI 40/2011.

RC1 Form

The RC1 form is used for recategorisation. A copy of this can be found at Annex C of PSI 40/2011.

The reason for this uniform national approach is to ensure consistency in the categorisation process and provide an "auditable account of the prisoner's categorisation assessment."

The forms must not be adapted. However, if additional information is required to support the documentation, local forms may be attached to the national form.

Copies of the forms must be kept in the prisoner's record.

The forms must be completed fully, with all relevant issues addressed and explanations given for the decisions made.

Must a prisoner be given all the information relevant to the categorisation decision?

Yes. PSI 40/2011, 3.4 states:

"The categorisation process is an open one and the prisoner must be able to understand why he has been placed in a particular category. A copy of the categorisation form must be disclosed to the prisoner if he requests it. If the prisoner has difficulty understanding the form, the reasons for the decision must be explained to him verbally."

Can information relating to a prisoner's categorisation be withheld from him?

Yes, under certain circumstances. PSI 40/2011, 3.5 provides what those circumstances are:

• In the interests of national security;
• For the prevention of crime or disorder, including information relevant to prison security;
• For the protection of a third party who may be put at risk if the information is disclosed;
• If, on medical or psychiatric grounds, it is felt necessary to witholf information where the mental and/ or physical health of the prisoner could be impaired;
• Where the source of the information is a victim, and disclosure without their consent would breach any duty of confidence owed to that victim, or would generally prejudice the future supply or such information.

What should happen if information is withheld from a prisoner?

Firstly, the withheld information must be recorded separately to the main form. If possible, a summary of the withheld information may be provided if the anonymity of the informant can be protected.

If the information has impacted on the categorisation of the prisoner, the form must record that other information has be considered, with a brief description of the type of information, so far as is compatible with maintaining security and protecting other persons.

What should a prisoner do if he believes information about his categorisation has wrongfully been withheld?

He should seek legal advice from a solicitor.

What should a prisoner do if he believes he has been categorised incorrectly?

PSI 40/2011, 3.6 provides some guidance. Firstly, the prisoner should raise his concerns with his personal officer, who may be able to clarify the process and explain why the particular decision was reached. If the prisoner wants to pursue the matter, he can make a complaint through the request complaints procedure. The categorisation decision must then be reviewed by a person senior to the countersigning officer as a de novo review of all the facts. If the prisoner is dissatisfied with the review, he may pursue the matter with the Governor or Director or the Prisons and Probation Ombudsman.

It should be noted that an Ombudsman's recommendation is not binding. The Ombudsman cannot compel the prison to remedy the situation. However, it could be relevant if the issue of whether the decision was irrelevant is considered later on.

What if a prisoner is not given adequate reasons for his categorisation?

If he has exhausted all avenues of appeal, he may have grounds for a Judicial Review. Failing to provide an RC1 containing adequate reasons for a re-categorisation decision is an error of law and renders the re-categorisation decision liable to being quashed.

The duty to give adequate reasons for a re-categorisation decision is crystallised in national policy (PSI 40/2011) and also in caselaw, per Newman J (R (Angle and Angle) v The Governor of HMP Ford & SSD (unreported) CO/4741/01).


Category D prisoners

PSI 40/2011, 5.3 states:

"Because of the particular characteristics of the open estate, re-categorisation to Category D must be based on the prisoner's proven trustworthiness and manageable risks."

Prisoners should not usually spend longer than 2 years in open conditions before their release date unless there are exceptional circumstances justifying their allocation to open conditions. Such cases must have the reasons for categorisation fully documented and confirmed in writing by the Governing Governor.

What about indeterminate sentence prisoners?

Indeterminate sentence prisoners ("ISPs") are considered for categorisation to open condition in accordance with the provisions of PSI 36/2010.

Prisoners in the last 24 months of their sentence

Prisoners in the last 24 months of their sentence are entitled to re-categorisation reviews every 6 months (PSI 40/2011, 5.5).