Prison CATEGORISATION AND

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1 I PSO Categorisation and Allocation Page 1 of 43 m PRISON SER TCE Prison CATEGORISATION AND Service Order ALLOCATION ORDER NUMBER 0900 Date of Click on Number for link to reference Amendment 24/0,7/2000 Amendments can be tracked by clicking here PSIAmendmentsshouldbe readbeforeandin conjunctionwithpso Replaces chapter7 of PSO 2200 and CI 2/91 05/01/2004 PSI47/2003DoctorsDuties(amendsparagraph1.7,4) 18707/2002 PSI35/2002 Allocationofdeporteesto openconditions 04/09/2001 PSI43/2001Categorisation&Allocation INTRODUCTION FROM THE DIRECTOR OF SECURITY 1. This Order provides instructionson; the categorisation & allocation of adult male prisoners the recategorisation of adult male prisoners categorisation & allocation arrangements for male young offenders categorisation & allocation arrangements for all juveniles the arrangements for male & female section 53 juveniles the categorisation and allocation of female prisoners the recategorisation of female prisoners Categorisation & allocation of Category A prisoners 2. It introduces two amended forms: ICA1 ICA _ Vo20-Yo20Categorisation _20and _20Allocation.ht 06/06/05

2 I PSO Categorisation and Allocation Page 2 of 43 and introduces two new forms: RC1 RC3 These other forms are not affected.: ICA2 ICA4 PURPOSE Copies of all forms are at Annex A of this Order 3. Categorisation and allocation of prisoners is a critical task. Effectively assigning prisoners to the correct security categoryand allocating them to an appropriate prison helps to ensure that they do not escape or abscond or threaten the control of establishments. It also means that prisoners are not held in conditions of security higher than are necessary. 4. Categorisation, recategorisation and allocation are also vital to the sentence management of prisoners. The correct categorisation and allocation, balancing security issues and the needs of the prisoner, helps prisoners to use their sentences constructively, to tackle their offending behaviour and to prepare for release. PERFORMANCE STANDARD 5. This Order underpins the Performance Standard 'Categorisation & Allocation'. BACKGROUND 6. This Order represents the culmination of work on categorisation commissioned by the Executive Committee in January The main changes introduced in this Order are: the facility to override the categorisation of a male prisoner as a result of control concerns; new recategorisation forms and guidance for use for male prisoners; revised categorisation procedures and a new recategorisation process for female prisoners. The new procedures will help OCA Units place prisoners in conditions of security commensurate with the risks they pose. RESOURCES 7. The procedures described in the following chapters replace existing arrangements and do not require staff to do any extra work. The cost of the changes will be minimal. MANDATORY ACTIONS 8. PSO 0900 replaces Chapter 7 of PSO 2200 'Sentence Management & Planning'. This Chapter must be removed from the Manual. 9. CI 2/91 'Allocation of female offenders' is replaced by this Order. 10. Revised forms ICA1 and ICA3 and new forms RC1 and RC3 must be ordered immediately on implementation of this Order. Existing forms ICA 1 and ICA3 and Vo _20- _20Categorisation %20and %20Allocation.ht 06/06/05

3 1 PSO Categorisation and Allocation Page 3 of 43 any local recategorisation are available. forms must be disp,osed of as soon as the new forms 11. Governors of all estabfishments must ensure that all staff working in OCA Units or involved in the recategorisation process have access to this Order. 12. This Order must be available to prisoners and members of the Board of Visitors on request. IMPLEMENTATION DATE 13. This order comes into effect on 1 September REVIEW ARRANGEMENTS 14. Amendments to this Order will be made with immediate effect if issues arise as a result of which the secure detention of prisoners is affected. It will otherwise be monitored throughout its first year of use and will be formally reviewed in June ADVICE & INFORMATION 15. Copies of the new forms can be obtained from Supply & Transport in Branston. The vocab numbers are as follows: ICA1 BF016 ICA2 BF006 ICA3 BF007 ICA4 BF008, RC1 BF031 RC3 BF The principles contained within extant Circular Instructions and Instructions to Governors still apply, 17. Certain parts of the Security Manual are affected by this Order: 9.7; 9.10; 9.16; 9.23; 9.24 and Temporary amendments are attached to the Order at Annex B. The Security Manual will be formally amended in due course. 18. This Order does not attempt to provide advice for every case or situation that might arise. When in doubt over general policy issues (rather than categorisation of individual prisoners) staff should seek advice from Security Policy Unit on the following numbers: Security Policy Unit Brodie Clark % %20- %20Categorisation%20and%20Allocation.ht 06/06/05

4 I PSO Categorisation and Allocation Page 4 of 43 7 Director of Security ELOs must record the receipt of the Prison Service Order -Categorisation & Allocation in their registers as issue 99 as set out below. The PSO must be placed I NOTE with those FORsets ESTABLISHMENT of orders mandatorily LIAISON required OFFICERS in Chapter 4 of PSO Issue Date Order Title and / or Date entered ELO signature no. no. description in set 99 24/ Categorisation & Allocation CONTENTS 1. CATEGORISATION AND ALLOCATION OF ADULT MALES 1.1 Security Categories - Definitions 1.2 The principles of categorisation 1.3 Responsibility for the process of categorisation 1.4 The process of categorisation - Unsentenced prisoners 1.5 The process of categorisation - sentenced prisoners 1.6 Allocation procedures 1.7 Allocation documentation 1.8 Guidance on completing the ICA1 2. RECATEGORISATION OF ADULT MALES 2.1 The principles of recategorisation 2.2 Responsibility for the process of recategorisation 2.3 Completing the recategorisation form 2.4 Informing the prisoner and appeals 2.5 Upgrading a prisoner's security category 3. MALE YOUNG OFFENDERS 3.1 Security categories - definitions 3.2 The principles of categorisation 3.3 Responsibility for the process of categorisation 3.4 The process of categorisation for unsentenced Young Offenders 3.5 The process of categorisation - for sentenced Young Offenders 3.6 Using form ICA2 3.7 Allocation procedures 3.8 Allocation documentation 3.9 Guidance on completing the ICA2 4. JUVENILES 4.1 Initial Allocation procedures 4.2 Subsequent allocation 5. PROCEDURES FOR MALE AND FEMALE SECTION 53 JUVENILES 06/06/05

5 I PSO Categorisation and Allocation Page 5 of General 5.2 Sentence Planning 5.3 Procedures for HMP and Indeterminate sentences under section CATEGORISATION & ALLOCATION OF FEMALE PRISONERS 6.1 Securitycategories- definitions 6.2 The principlesof securitycategorisation 6.3 Assessmentof suitability 6.4 Principlesof allocation 6.5 Responsibilityfor the categorisation& allocationprocess 6.6 The processof categorisationand allocation- unsentencedprisoners 6.7 The process of categorisation& allocation- sentencedprisoners 6.8 Guidanceon completingthe ICA3 7. RECATEGORiSATION OF FEMALE PRISONERS 7.1 Principlesof recategorisation 7.2 Responsibilityfor the recategorisationprocess 7.3 Recategorisationprocedures 7.4 Guidanceon completingthe recategorisationform - Recategorisation from closed Conditions 7.5 Guidance on completingthe recategorisationform - Recategorisation from semi-open conditions 7.6 Guidance on completing the recategorisation form - Recategorisation from open conditions 7.7 Informingthe prisonerand appeals 8. CATEGORISATION & ALLOCATION OF CATEGORY A PRISONERS 8.1 Categorisationof CategoryA prisoners 8.2 Allocationof CategoryA prisoners 8.3 Sentence Planningfor CategoryA prisoners Chapter I CATEGORISATION AND ALLOCATION OF ADULT MALES KEY POINTS This chapter sets out the procedures and documentation for the categorisation and allocation of all adult male prisoners, other than those for whom responsibility lies with Headquarters. They do not apply to either Category A or Life sentenced prisoners. The chapter describes : the definitions of each security category; the principles that must underpin the categorisation and allocation of adult male prisoners; how categorisation and allocation must be conducted, and how the Forms must be completed and which staff should be responsible for the process. O%200900%20-%20Categorisation%20and%20Allocation.ht 06/06/05

6 I PSO Categorisation and Allocation Page 6 of 43 I" The categorisation Form is an open document (but see1.5.2) ] 1.1 Security Categories - Definitions The security categories are as follows: Category A Prisoners whose escape would be highlydangerous to the public or the police or the security of the state, no matter how unlikely that escape might be, and for whom the aim must be to make escape impossible. Category B Prisoners for whom the very highest conditions of security are not necessary, but for whom escape must be made very difficult. Category C Prisoners who cannot be trusted in open conditions, but who do not have the resources and will to make a determined escape attempt. Category D Prisoners who can be reasonably trusted in open conditions 1.2 The Principles of Categorisation Prisoners must be categorised objectively according to the likelihood that they will seek to escape and the risk that they would pose should they do so. In the majority of cases, consideration of these two factors alone will be sufficient to determine the prisoner's security category. However, a small number of prisoners while presenting little risk of escape or risk to the public, and who would ordinarily be assigned to a low security category will, because of their custodial behaviour, require a higher category so that they may be sent to a prison with levels of supervision commensurate with the risk they pose to control. The categorisation Forms therefore permit consideration of control to influence the final security category. The security category must take account of the above considerations alone. Separate instructions in the Security Manual describe the criteria against which eligibilityfor Category A must be considered Although consideration of control factors is permitted, factors such as ability to mix with other prisoners, educational, training or medical needs, and the availability of vacancies at suitable establishments must not be taken into account at this stage. They are for consideration during allocation. The allocation process may immediately follow, but will be distinct from security categorisation Every prisoner must be placed in the lowest security category consistent with the needs of security and control. A prisoner must be assigned to the correct security category even if it is clear that it will not be possible to allocate him to a particular establishment for prisoners in that category _ Yo20-Yo20Categorisation Yo20andYo20Allocation.ht 06/06/05

7 I PSO Categorisation and Allocation Page 7 of All prisoners must be regarded as probably suitable for Category D on first categorisation unless they: are sentenced to over 12 months for any offence of violence; are convicted of any but the most minor sex offence; have a previous sentence of over 12 months for any violent or sexual offence and did not successfully serve part of that sentence in an open prison; have current or previous convictions for arson or any drugs offence involving importation and dealing; or have a recent history of escape or absconds When these criteria have been applied, all prisoners not then placed in Category D should be regarded as probably suitable for Category C on first categorisation, unless they: are sentenced to over 7 years for any violent or sexual offence; have a previous sentence of over 7 years for any violent or sexual offence and did not successfully serve part of that sentence in a Category C prison; have a current sentence exceeding 10 years; or have a recent history of escape from closed conditions or have significant external resources which they might use to assist an escape attempt Consideration of the factors above will determine provisionally in which security category the prisoner should be placed The facility to override this provisional categorisation as a result of control factors, must be used only where there is clear evidence that the prisoner will require higher levels of supervision than available in prisons for which the initial criteria have indicated he is suitable The criteria explained above must not be seen as either exhaustive or inflexible. There will be cases where a higher or lower security category will be right for an individual prisoner. However, every instance of departure from the prescribed criteria must be justified and documented, on security and, in rare cases, on control grounds alone. An entry must be made in Section 5 of of the ICA1 (Initial Categorisation and Allocation document), and be countersigned by a Senior Officer rank or above (or equivalent grades in contracted out establishments). 1.3 Responsibility for the process of Categorisation Arrangements for recommending prisoners for Category A status are detailed in Chapter 9 of the Security Manual and are not dealt with here The principles governing the categorisation and allocation of Life Sentenced prisoners are set out in the Lifer Manual (PSO 4700). 06/06/05

8 I PSO Categorisation and Allocation Page 8 of The initial categorisation and allocation of all adult males, as well as the allocation allocation of those prisoners downgraded from Category A after conviction, must be carried out by the OCA Units of local prisons, using the guidance contained in these orders and ICA 1 documentation. Procedures must be completed by staff specifically trained and able to competently fulfil the OCA role. 1.4 The Process of Categorisation - Unsentenced prisoners All prisoners on remand awaiting trial, or convicted and awaiting sentence, other than those provisionally categorised A, are to be placed in Category U (Unclassified). Category U prisoners will normally require Category B accommodation, but there is no reason, in principle, why an unconvicted or unsentenced prisoner (other than potential or provisional Category A prisoners) could not be held in a Category C establishment if suitable facilities exist, and if adequate information is available to suggest that Category B accommodation is not needed for that prisoner. Such decisions must be made by governors and approved by Area Managers Prisoners must remain in Category U, wherever accommodated, until they have been given a definitive category, after which they may be allocated. 1.5 The Process of Categorisation - Sentenced Prisoners The process of categorisation should take place in two stages: a provisional assessment on paper following the process and algorithm contained in section 5 of the ICA1 must be completed ; and will be followed by " consideration of any issues that might override the provisional category suggested by the algorithm Information contained within this part of the Form may come from sources within the prison, or from external agencies such as the police. Although such information must be considered, care must be taken when entering it on the Form. The Form is open and may be disclosed to prisoners. Where intelligence has come from sources that do not wish to be revealed (e.g. prisoner informants) or where disclosure of the source could jeopardise the safety of persons, the nature and reliability of the information should be discussed without identifying its source. Similarly, where identification of the source or nature of the information could jeopardise ongoing investigations by the prison Service or External Agencies, it may be appropriate to withhold temporarily from the prisoner the full details of the allegation or information against him. Where staff believe this is appropriate, a governor grade or equivalent grade within contracted out establishments, must decide whether whether the withholding of the information from the prisoner is appropriate given the individual case of the prisoner. Where information has been withheld so as not to compromise ongoing investigations, the manager responsible for the OCA/recategorisation must ensure that the investigation is completed as quickly as possible so that the prisoner can be told, in detail, of the information allegations about him and the reasons for any decisions subsequently made. 06/06/05

9 I PSO Categorisation and Allocation Page 9 of Collection of information - both categorisation, allocation and further sentence planning depend or} the prompt collection of information about the prisoner concerned. For the process of categorisation and allocation the following documents are required as a minimum: current custodial records (F2050) and previous records where available; Schedule of Previous Convictions (obtained from the Police National Computer); the details of charge(s), plea(s), finding(s) and sentence(s) relating to to current offences; and the PER Form, where comments about the risk the prisoner poses have been entered by police, escort contractors or others Section 4 of the ICA1 also directs the collection of other documents. The collection of information must be completed as soon as possible after sentence. Where available, information must be used to inform the categorisation and allocation process The OCA Unit has the responsibility for ensuring external reports are obtained, but local arrangements may be made for the Custody Office/Discipline Office to collect the reports on behalf of the OCA The Custody Office must immediately inform the OCA Unit of any changes in the prisoner's circumstances (such as a change in release date following appeal), as well as updating the entries on the Local Inmate Database System (LIDS). 1.5_7 The OCA Unit must decide in each case flit requires intemal reports e.g., from the the Medical Officer, Psychologist, Personal Officer, Probation Officer or Chaplain, These reports should not duplicate material already in the prisoner's current or any previous F2050 that will be referred to by the OCA Unit during the categorisation and allocation process. Arrangements for obtaining internal reports will be similar to the contribution system for sentence planning adopted locally. The reports must be kept with the ICA 1 document and be filed with the Sentence Planning file. All of these documents must eventually be filed in the prisoner's F2050 record, and accompany the prisoner on transfer Categorisation of all adult male prisoners, other than those provisionally categorised A and Life sentenced prisoners, is completed using the ICA 1. This Form must be raised in all cases, as it forms the basis for allocation and the early stages of the sentence planning process The categorisation section consists of an algorithm, using as its database brief details of the current offence, sentence, previous convictions and custodial sentences (especially for sexual offences and/or violence) and previous escapes, escape attempts or absconds Having recorded the base data by marking a series of boxes, the OCA Unit Officer Officer must then complete the algorithm.. This will indicate a provisional security 06/06/05

10 [ PSO Categorisation and Allocation Page 10 of 43 7 category The Officer must then either indicate that the provisional security category applies, applies, or recommend that it be overridden as a result of control considerations or other factors. The officer must record in writing on the ICA 1 Form reasons for any recommended override, referring as necessary to the attached reports. These reasons could relate either to matters not covered by the algorithm (e.g., a previous sentence successfully served in an open prison, or a known tendency to violence by an apparently minor offender), or to an unusual combination of factors which produces an obviously unreasonable result from the algorithm. Where this is the case, the officer must tick, in the override box, those control factors that are relevant and give details - before recommending a new security category. Any decision to override the security category must be countersigned by by a Senior Officer or above. 1.6 Allocation Procedures The allocation of prisoners to training establishments following conviction must form a process distinct from categorisation. While the two procedures will normally be completed by the same OCA unit, conducted by the same officer, this need not be on the same day. Indeed, if the information necessary for categorisation is available, there is no reason why this process should be delayed merely because information that may be required for allocation (e.g., a psychologist's report) has not arrived. In practice however, it will often be more convenient to undertake both on the same day. An interview with the prisoner should take place prior to the final allocation decision to ensure that all relevant allocation issues have been identified. The interview may normally be dispensed with for prisoners sentenced to less than 6 months unless the OCA Unit considers an interview necessary. OCA officers must be alert to the danger of allowing his or her conclusions on allocation to influence those on categorisation. 1.6:2 Because of the need to start sentence planning at an early stage for those sentenced to 12 months or over (ACR plans should be completed within 8 weeks of sentence,.dcr plans within 12 weeks of sentence), allocation must be completed as soon after sentence as practical. Of equal importance is the requirement to enable Home Detention Curfew risk assessments to commence as soon as possible for eligible prisoners. Prisons should agree arrangements locally in order to adopt the most efficient approach. Whenever it is recognised that, for any reason, early allocation and transfer will not be possible, action must be taken taken to ensure that ACR, DCR or HDC documents are started or completed at the local prison, so that risks can be assessed, needs identified and realistic targets set Three priorities, which are not always compatible, must govern allocation of prisoners to training establishments: the needs of security, including control; the need to make maximum use of available spaces in training prisons; and the needs of individual prisoners. 06/06/05

11 r PSO 0900,- Categorisation and Allocation Page 11 of While the main factor to be considered in determining a prisoner's allocation must always be his security category, and a prisoner who has been assigned to a particular security category should initially be considered for allocation to a prison designed for that category, account must also be taken of." his suitability for particular types of accommodation (factors such as vulnerability, age, etc.); his medical and/or psychiatric needs that may require a particular type of level or care; need for identified offence related behavioural programmes to confront assessed risk; his home area, or that of his likely visitors; his educational or training needs or potential; the published allocation criteria for individual establishments resettlement needs [ in line with procedures set out in PSO 2300] The allocation of a prisoner must be decided carefully, bearing in mind the considerations above. The decision reached must be justifiable and must be recorded, along with the reasons for it, on Section 6.21 of the prisoner's ICAI. Allocation of prisoners to a semi-open prison will also be governed by the provisions for selection and allocation for the resettlement estate generally, set out in PSO These provisions include a police check by the Police Liaison Officer attached to the prospective semi-open prison, because of the particular potential risk to the community presented by frequent by frequent temporary.. release, which is characteristic of stage 2 of a resettlement regime Any allocation to a prison of a higher security category than that of the prisoner himself must be referred to an officer of Senior Officer rank or above for confirmation. The reasons for such a recommended allocation must be recorded at section 6.21 on the completed ICA 1 Form There may be occasions when the OCA Unit will be unable to allocate a prisoner to the establishment for which he is most suited in terms of category and needs. This may arise either because the prison concerned lacks vacancies, or because certain acceptance criteria are imposed. Such criteria typically preclude open prisons from accepting prisoners with certain offences or sentence lengths. There may also exist restrictions within certain Category B and C prisons that have some deficiencies in their physical security features which prohibit acceptance of some of the more dangerous prisoners within that category OCA Units must refer to all available guidance on allocation. Spaces available throughout the prison estate are co-ordinated by the National Operations Unit (NOU), Security Group It is not acceptable, under any circumstances, to modify the process or outcome of prisoners' security categorisation in order to achieve a better match between prisoners and available spaces. To maximise the use of the 06/06/05

12 PSO Categorisation and Allocation Page 12 of 43 prison estate, in the last resort only, a prisoner may be allocated to a higher category prison solely on the grounds that no alternative space is available in prisons of the correct category. Where this is done the fact must be specifically recorded on section 6.21 of the prisoner's ICA 1 Form Some maximum security, local, Category B and C establishments will need to retain low category prisoners to form working parties. Where this is the case the the number of prisoners retained must be kept to a minimum. The numbers of such prisoners that may be kept at the prison must be determined in consultation between governors and Area Managers and recorded in the annual Business Plan. When population pressures are acute however, there may still be a need to transfer such prisoners at short notice. 1.7 Allocation Documentation All Category B, C and D prisoners would normally be allocated by the OCA Unit which has been responsible for their security categorisation. Allocations are controlled by the National Operations Unit Allocation must be informed by available documentation relating to current and previous offending and custodial behaviour. Section 4 of the ICA 1 Form indicates the sources of information that may be necessary and provides a record of those Which are available to the OCA Unit. As with the categorisation process, the OCA Unit must decide in each case whether internal reports are are required Section 6.3 of the ICA 1 refers to the scoring system for prisoners categorised C prior to their allocation to Category C prisons. The system aims to control the concentration of prisoners more likely to prove a risk to good order in Category C prisons which offer varying degrees of control capacity depending on their design. Each Category C prison is authorised to hold a maximum number of prisoners who score 3 using this system. The allocation of Category C prisoners must be dealt with in accordance with IG 55/ A doctor, registered nurse or healthcare officer must advise on the level of healthcare required by individual prisoners. This advice must be recorded at at section 6.9 of the/ca 1. The need for confidentiality must be respected. Reference must be limited to fitness category and any special needs that may require special consideration when deciding on appropriate allocation. [Updated 6/1/04 in accordance with PSI 47/2003] For prisoners serving over 6 months, and where otherwise appropriate, the security assessment will normally be followed by an interview. Any personal comments the prisoner may wish to make in relation to his allocation should be recorded at Having completed this process, the officer must then decide which establishment is suitable for the prisoner. The reasons for the decision must must be explained to the prisoner and, where appropriate, any reasons why specific representations made by the prisoner could not be acceded to. The prisoner must be allowed to see the ICA 1 if he wishes Care must be taken to ensure that the final decision is informed by the specific allocation criteria agreed for each prison between governors, Area Managers and Strategic Planning Section in Headquarters. 06/06/05

13 r PSO Categorisation and Allocation Page 13 of The officer must then provisionally allocate the prisoner to the waiting list for a particular establishment and record the recommended allocation in section If this is a higher security category than the prisoner himself the reason for this decision must be recorded. Decisions must be confirmed by the counter-signing officer of Senior Officer grade or above (or equivalent grades in contracted out establishments) at section If the officer overrules the recommendation, the reasons must be recorded and an alternative prison identified and recorded. 1.8 Guidance on completing the ICA I (Initial Categorisation and Allocation Form) The Form must be used for all male prisoners other than Category A and Life Sentenced prisoners. The Form is for categorisation and allocation, and for prisoners serving 12 months or more, forms the first stage of sentence planning Completion of sections 1-4 needs no explanation. Section 5 must be completed following the guidance and instructions given in this Order. If it is completed on LIDS, the printout must be stapled to the ICA1 Form. Tick the box which indicates whether the prisoner has been recommended for deportation. It does not matter whether this is as a result of a court order, or on direction of the Home Secretary. If the prisoner's status is unclear, the Discipline Office must be asked to pursue the matter Section 6 must be completed before a final allocation decision is made. Guidance on the main principles of allocation are contained in this Order. Chapter 2 RECATEGORISATION OF ADULT MALES KEY POINTS With the passage of time or changes in circumstances, prisoners may become more or less of a risk to the public, and / or more or less likely to escape. Regular reviews of prisoners' security categorisation help ensure that prisoners are held in conditions of security commensurate with the risks they pose. All prisoners, other than those serving less than 12 months, must have their security category reviewed at regular intervals, or whenever there is a significant change in their circumstances (e.g., attempted escape, reduction of sentence on appeal, removal of a deportation order, etc.). Except for Category A prisoners, who are considered by the Category A Committee, and Life Sentenced prisoners, whose cases are considered by the Lifer Management Unit, the first recategorisation review must take place no later than 12 months after sentence. Category B or C ACR prisoners (those serving over 12 months but less than 4 years) must have their security category reviewed at 6 monthly intervals. Category B or C DCR prisoners (those serving more than 4 years) must be considered annually. 06/06/05

14 r PSO Categorisation and Allocation Page 14 of 43? Regular recategorisation reviews for Category D prisoners are not required. Such prisoners may however, be recategorised to a higher security category at any time, if there is an increase in the risk they pose. This is an open document (but see 2.3.7) 2.1 The Principles of Recategorisation By the time a prisoner is eligible for review, staff will know much more about him than when he was first categorised by OCA staff in the local prison. However, while his circumstances may have changed, the matters which are relevant to a recategorisation are the same as those for an initial categorisation. The aim of recategorisation is to use this information to establish whether there has been any clear change in the risk the prisoner poses. More specifically, staff must answer two important questions: (1), is the prisoner more or less of a risk to the pubfic than than when he was first categorised; and (2), is he now more or less likely to escape or abscond. It is not necessary to prove continued or increased risk in both areas to retain the prisoner in his present category or upgrade him. There will be prisoners who pose less risk of escape than they once did, but who present such a serious threat to public safety that we cannot accept even the smallest chance that they will abscond or escape Having balanced the risk of the prisoner escaping or absconding against the likely risk to the public were he to do so, governors (or equivalent grades in contracted out establishments) must decide, provisionally, whether the prisoner should remain in his current category, or whether he should be upgraded or downgraded. Where the provisional decision is to retain the current category or to downgrade it the governor must consider whether any control factors point to a different categorisation. For instance there will be some prisoners who, while posing lees risk and therefore being eligible for downgrading, may be unsuitable in other ways for transfer to conditions of lesser security. Staff must complete the suitability Assessment at the end of the Recategorisation form, after which the prisoner's new security category can be finally decided. 2.2 Responsibility for the Process of Recategorisation The review of a prisoner's security category may be conducted by a board or by a single manager. In either case: the Recategorisation Form (RC1) must be used; the panel board or governor must consult the following documents before making a decision - the completed RC1, F2050, Warrants and any Pre- Sentence Reports, OASys form where available, F2058 Security File and any information held in the Security Intelligence System, Sentence Plan, and any end of course reports completed after offending behaviour programmes such as SO TP; and the decision must be approved by a Governor 4 or above (or at least the third in charge in smaller prisons), or equivalent grades in contracted out establishments. 2.3 Completing the Recategorisation Form 06/06/05

15 PSO Categorisation and Allocation Page 15 of 'Assessment of Escape or Abscond Risk' -This section of the Form must be completed by someone with full access to the prison Security Intelligence system. Such staff are most likely to work in the Security Department, but governors may direct that this base information is recorded by another department in the prison. All facts and items of analysed intelligence that might help determine whether the likelihood of the prisoner attempting to escape or abscond has been reduced, must must be recorded Question 1 requires the recording of the prisoner's escape or abscond history (if he has one). The method of any escape attempt must be described. Some examples illustrate why this is important. Examples [i] if the prisoner escaped from prison by scaling the perimeter, this will be of greater significance when deciding whether he should be downgraded and re-allocated to a prison with lesser physical security. [ii] conversely, that he escaped on escort whilst a remand prisoner may be of less significance Similarly, the dates of any escape (attempts) or absconds must be recorded as they will help governors or Boards determine how relevant these events are to the review In Question 3, the member of staff must record facts that might indicate whether the likelihood of the prisoner escaping has been reduced in any way. A number of factors might indicate this. Some examples are given below: Examples [i] a prisoner's domestic circumstances might have become more stable, giving him less cause to escape; [ii] a prisoner whose sentence has been dramatically reduced on appeal, may nowhave less reason to escape; [iii] if a prisoner was subject to enforcement action under the Immigration Act, and this order was removed it might suggest that he could more reasonably be trusted in open conditions; [iv] if a prisoner has worked well in a position of trust without supervision it may mean that he is more likely to cope in open prison without absconding. (V) a prisoner has successfully completed any period of temporary release In Question 4, staff must record any outstanding charges the prisoner may have. Here some charges will be more pertinent to the risk assessment than others. The more serious the nature of the charge, then the more likely it is that the prisoner may have a reason for wanting to escape. 06/06/05

16 - t PSO Categorisation and Allocation Page 16 of Similarly, in Question 4 the longer the prisoner has left to serve then the greater the risk that he will attempt to escape or abscond In Question 6, staff must note any other information that suggests the prisoner might attempt to escape or abscond. This intelligence may come from sources within the prison, or from external agencies such as the Police or Customs and Excise. Although such information must be considered, care must be taken when entering it on the Form. The Form is open and may be disclosed to prisoners. Where intelligence has come from sources that do not wish to be revealed (e.g. prisoner informants) or where disclosure of the source could jeopardise the safety of the informant, the nature and reliability of the information should be discussed without identifying its source. Similarly, where identification of the source or nature of the information could jeopardise ongoing investigations by the Prison Service or external agencies, it may be appropriate to withhold temporarily from the prisoner, the full details of the allegation or information against against him. Where staff believe this is appropriate a governor grade, or equivalent grade in contracted out establishments, must decide whether the withholding of the information from the prisoner is appropriate given the individual case of the prisoner. Where information has been withheld so as not to compromise ongoing investigations, the manager responsible for the OCA /recategorisation must ensure that the investigation is completed as quickly as possible so that the prisoner can be told, in detail of the information/allegations about him and the reasons for any decisions subsequently made 'Assessment of Risk to the Public' - In this section of the Form, the risk the prisoner poses to the public must be assessed. In particular the seriousness of the prisoner's 'index offence must be considered against the likelihood of the prisoner repeating the offence, or committing a more serious crime were he to escape or abscond Questions 7 and 8 require the recording of the prisoner's current offences and any previous offences. When looking at Previous Convictions staff must record not only serious offences that have considerably threatened public safety, but also long patterns of minor offending that might indicate: (a), the prisoner's long-term recidivism; or (b), that the prisoner's offending is growing more serious. Below are some examples: Examples [i]. serious offences that have considerably threatened public safety might include: manslaughter, GBH, wounding, robbery with violence, sexual offences (excluding USI or indecency between males), arson, or the importation of supply of controlled drugs. [ii]. a prisoner who had committed a long string of burglaries, but on his last couple of offences had committed aggravated burglary, would be an example of a prisoner whose offending is becoming more serious When confronted by a prisoner who has committed serious offences or whose offending appears to be growing more serious, governors must seek clear evidence that the prisoner's risk to the public has been mitigated during the current current sentence. The data that must be recorded in Questions 10 and 11 will inform this decision. 06/06/05

17 f PSO Categorisation and Allocation Page 17 of 'Provisional Decision'. Once pages 1&2 of the Form have been completed # must be passed to the governor or board to decide whether the prisoner should be recategorised up or down or retained in his current category. The board or governor must weigh all the information both on the Form, and from other sources (such as the F2050) if necessary. The reasons for the provisional decision must be be fully recorded in the box provided 'Consideration should then be given to any factors which might override the provisional assessment. Where it has been decided provisionally that the prisoner should be downgraded or retained in his current category, governors must consider other factors that might indicate that the prisoner still needs the supervision or security levels of the higher category. In Question 12 any evidence that the prisoner presents a serious threat to order order must be recorded. Evidence recorded here might lead the governor or board to decide that the prisoner could not be trusted in conditions of lesser security or needs the supervision levels of a higher security. Examples [i], [ii], activity where there is reliable evidence from various sources that a Category C prisoner is involved in bullying other prisoners, it would not be appropriate to send him to Category D dormitory conditions where such activities might go unchecked; where there is intelligence from good sources indicating that the prisoner is involved in the importation of drugs into prison, it would not be appropriate to transfer him to open conditions where such criminal could be more easily be committed; or " [iii], where a Category B prisoner has consistently been involved in violent incidents with either staff or prisoners it would be unreasonable to transfer him to Category C non-cellular accommodation 'Final Decision" Having assessed (I), the risk of the prisoner escaping (ii), the likely consequences to the public were he to do so; and (iii), any relevant control factors which might impact on the prisoner's suitability suitability for establishments with less security and facilities; govemors or boards must now decide finally in which category the prisoner should be placed Once the final recategorisation decision has been made consideration should then be given to the prisoner's reallocation. In general, the factors to be considered here are the same as for an initial allocation. In Question 13, governors or boards must consider any medical factors that might prevent the prisoner being sent to an establishment with less supervision or facilities. Instances where it might be appropriate to retain the prisoner in his current category and prison could include : where the prisoner has ongoing appointments that have been booked with local medical services; where the prisoner is at risk of harming himself and needs continuous supervision; or where a prisoner needs the care provided by a Healthcare Centre staffed 24hrs a day In the final question, governors and boards must consider any other factors that should prevent the prisoner moving from his current establishment, such as the 06/06/05

18 r PSO Categorisation and Allocation Page 18 of 43 7 need to complete an offending behaviour course that he has already begun. 2.4 Informing the Prisoner and Appeals The prisoner should be informed of the decision made and of the reasons for it Should the prisoner wish to appeal against the decision, he should do so using the Requests and Complaints Form to the line manager of the assessor or Board chair. 2.5 Non - Routine Recategorisation Reviews Some prisoners may need to have their security category reviewed outside the normal review cycle, and often at short notice, because of a sudden change in their circumstances. For example, a successful appeal and reduction in sentence length could mean that the level of risk posed had been markedly reduced and transfer conditions of lesser security were now appropriate. Alternatively, some prisoners may need to be recategorised upwards at short notice because they now pose a greater risk; their behaviour makes them unsuitable for open, or lower security conditions or, for other reasons, they are felt to require closer supervision In recategorising a prisoner upwards the establishment must bear in mind the categorisation/allocation criteria contained within ICA 1 and their own acceptance criteria signed by the Governor and the Area Manager and ensure that any recategorisations are based on genuine risk or allocation issues. The RC1 must clearly state how the prisoner's circumstances have changed In all cases the form RC1 must be used to record in full detail how the prisoners circumstances have changed since his last review and why his current security category and allocation are no longer appropriate. If the prisoner needs to be transferred to conditions of greater security at very short notice then the sending prison must complete the RCl and forward it to the prisoner's new establishment as soon as possible.. Chapter 3 MALE YOUNG OFFENDERS KEY POINTS These orders set out the procedures and documentation for the classification and allocation of male Young Offenders, other than those for whom responsibility lies with Headquarters.They do not apply to those in Category A ; those classified Restricted Status; those serving a life sentence or those sentenced to HMP. When completing the initial classification and allocation documents, all the procedures detailed in this chapter must be followed. Sections of these orders describe : the definition of security categories; the principles of classification responsibility for the process; guidance on completing the Forms and the principles and procedures for allocation. This is an open document Yo Yo20-Yo20Categorisation _20and _20Allocation.ht 06/06/05

19 r PSO Categorisation and Allocation Page 19 of Security Categories - Definitions The security categories are as follows: Cateqory A Prisoners whose escape would be highly dangerous to the public, or the police, or the security of the state, no matter how unlikely that escape might be, and for whom the aim Imust be to make escape impossible. Restricted Status Offenders sentenced to detention in a Young Offender Institution whose escape would present a serious risk to the public and who are required to be held in designated secure accommodation. Closed conditions Young Offenders for whom the very highest conditions of Security are not necessary but who present too high a risk for open conditions or cannot be trusted in open conditions. Open conditions Young Offenders who present a low risk and can reasonably be trusted in open conditions. 3.2 The Principles of Categorisation Young Offenders must be categorised objectively according to the likelihood that they will abscond and the risk that they would pose should they do so.the algorithm in Section 5 of ICA 2 provides a prediction of these risks by taking account of the offender's current offending, previous history of offending and any history of escape or abscond Factors such as the ability to mix with other prisoners, educational or training needs etc., must not be taken into account at this stage. They are for consideration during allocation, a Young Offender must be assigned to the correct security category. The allocation process may immediately follow, but will be distinct from security categorisation Every Young Offender must be placed in the lowest security category consistent with the needs of security It follows therefore, that all Young Offenders must be regarded as probably suitable for open conditions unless the algorithm indicates that closed conditions are appropriate or there are justifiable grounds for overriding the algorithm Application of the algorithm will determine provisionally whether the Young Offender should be placed in closed or open conditions of security. The criteria used in the algorithm must not be seen as either exhaustive or inflexible..there will be cases where a higher or lower security category will be right for an individual Young Offender. However, every instance of departure from the prescribed criteria must be justified and documented by an entry in Section 5 of 06/06/05

20 f PSO Categorisation and Allocation Page 20 of 43 the ICA 2 which must be countersigned by a Senior Officer rank or above, (or equivalent grades in contracted out establishments). 3.3 Responsibility for the Process of Categorisation Arrangements for recommending Young Offenders for Category A status are detailed in Chapter 9 of the Security Manual and are not dealt with here Arrangements for recommending Young Offenders for Restricted Status are detailed in Chapter 9 of the Security Manual and are not dealt with here The principles governing the categorisation and allocation of life Sentence prisoners are set out in the Lifer Manual (PSO 4700) The initial categorisation and allocation of all male juveniles and male Young Offenders, plus the allocation of those Young Offenders downgraded from Category A after conviction, must be carried out by the OCA Units of Young Offender Institutions, using the guidance contained in these orders and ICA 2 documentation. Procedures must be completed by staff specially trained and able to competently fulfil the OCA role. 3.4 The process of categorisation for unsentenced Young Offenders All Young Offenders on remand awaiting trial, or convicted and awaiting sentence, sentence, other than those provisionally categorised A, are to be placed in Category U (Unclassified) Young Offenders must remain in Category U until they have been given a definitive category, after which they may be allocated The process of categorisation - for sentenced Young Offenders The process of categorisation should take place in two stages: a provisional assessment on paper following the process and algorithm contained in section 5 of the ICA 2 must be completed; and in most cases will be followed by: an interview with the prisoner Collection of information - both categorisation, allocation and further sentence planning depend on the prompt collection of information about the prisoner concerned. For the process of categorisation and allocation the following documents are required as a minimum: current custodial records (F2050) and previous records where available; Schedule of Previous Convictions (obtained from the Police National Computer); the details of charge(s), plea(s), findings(s), and sentence relating to current offences; and 06/06/05

21 r PSO Categorisation and Allocation Page 21 of 43 the PER Form, where comments about the risk the prisoner poses have been entered by the police, escort contractors or others Section 4 of the ICA 2 also directs the collection of other documents. The collection of information must be completed as soon as possible after sentence. Where available, information must be used to inform the categorisation and allocation process The OCA Unit will have responsibility for ensuring external reports are obtained, but local arrangements may be made for the Custody Office/Discipline Office to collect the reports on behalf of the OCA Unit The Custody Office must immediately inform the OCA Unit of any changes in the Young Offender's circumstances (such as a change in release date following appeal) as well as updating the entries on the Local Inmate Database System (LIDS) The OCA Unit must decide in each case whether it requires internal reports, e.g. from the Medical Officer, Psychologist, Personal Officer, Probation Officer or Chaplain. These reports should not duplicate material already in the Young Offender's current or previous F2050 that will be referred to by the OCA Unit during the categorisation and allocation process. Arrangements for obtaining internal reports will be similar to the contribution system for sentence planning adopted locally. The reports must be kept with the ICA 2 Form which should be filed with the sentence planning file. All of these documents must eventually be filed in the juvenile's or Young Offender's F2050 record. 3.6 Using Form ICA Categorisation of all male Young Offenders, other than those provisionally categorised A; those categorised Restricted Status; those sentenced to life imprisonment or those sentenced to HMP, is completed using the ICA 2. This Form must be raised in all cases, as it is the basis for allocation and the early stages of the sentence management process The categorisation section consists of an algorithm, using as its database brief details of the current offence, sentence, previous convictions and custodial sentences (especially for sexual offences and/or violence) and previous escapes, escape attempts or absconds Having recorded the base data by marking a series of boxes, the OCA Unit officer must then complete the algorithm. This will indicate a provisional security category The officer must then either indicate that the provisional security category applies, or recommend that it be overridden as a result of considerations of other factors. The officer must record in writing in part 2 of section 5 of the ICA 2 Form, reasons for any recommended override, referring as necessary to the attached reports. These reasons could relate either to matters not covered by the algorithm (e.g., demonstration of trustworthiness, or a known tendency to violence by an apparently minor offender), or to an unusual combination of factors that produces an obviously unreasonable result from the algorithm. Where this is the case, the officer must specify those factors that are relevant and give details - before overriding the security category. Any decision to override a security category must 06/06/05

22 r PSO Categorisation and Allocation Page 22 of 43 7 must be countersigned by a Senior Officer or above ( or equivalent grades in contracted out establishments) at the end of Section Allocation Procedures The allocation of Young Offenders following conviction must form a process.distinct from categorisation. While the two procedures will normally be completed by the same OCA Unit, and be conducted by the same officer, this need not be on the same day. Indeed, if the information necessary for categorisation is available, there is no reason why this process should be delayed merely because information which may be required for allocation (e.g., a psychologist's report) has not arrived. In practice however, it will often be more convenient to undertake both on the same day following a single interview with a Young Offender. In such such cases the officer responsible must be alert to the danger of allowing his or her conclusions on allocation to influence those on categorisation Sentence planning is required for all Young Offenders with at least 4 weeks left to serve and consequently must begin promptly, with allocation being completed as soon after sentence as practical. Home Detention Curfew risk assessments for Young Offenders should also commence as soon as possible. Young Offender Institutions should agree arrangements locally in order to adopt the most efficient approach. Whenever # is recognised that, for any reason, early allocation and transfer will not be possible, action must be taken to ensure that A CR, DCR or HDC documents are started or completed at the YOI, so that risks can be assessed, needs identified and realistic targets set. This is of particular importance in the case of Young Offenders who must have their sentence plan reviewed at least 3 monthly Two, often conflicting, priorities must govern the allocation of Young Offenders: the needs of security; and the needs of individual Young Offenders While the main factor to be considered in determining a Young Offender's allocation must always be his security category, and a young prisoner who has been assigned to a particular security category should be considered for allocation allocation to a Young Offender Institution of that category, account must also be taken of: his suitability for particular types of accommodation (factors such as vulnerability, immaturity etc.); his medical and/or psychiatric needs that may require a particular level of care; need for identified offence related behavioural programmes to confront assessed risk; his home area, or that of his visitors, maintenance of family ties; his educational or training needs; and 06/06/05

23 t PSO Categorisation and Allocation Page 23 of 43 any restrictions on allocation criteria agreed with local authorities, governors, Area Managers or Estate Planning Section in Headquarters., All receiving YOIs must have a published list of acceptance criteria which is signed by the Governor and the Area Manager and which is reviewed at least every 12 months There may be occasions when the OCA Unit will be unable to allocate a Young Offender to the establishment for which he is most suited in terms of category and needs. This may arise either because the Young Offender Institution concerned lacks vacancies, or because certain acceptance criteria are imposed CA Units must maintain a comprehensive directory of receiving Young Offender Institutions' criteria for transfer to ensure that Young Offenders are suitable prior to allocation being confirmed. Spaces available throughout the estate are coordinated by the National Operations Unit (NOU), Security Group It is not acceptable, under any circumstances, to modify the process or outcome of a Young Offender's security categorisation in order to achieve a better match between offenders and available spaces. In the last resort only, a Young Offender categorised as suitable for open conditions may be allocated to a closed Young Offender institution solely on the grounds that no alternative space is available in the open estate. Where this is done, the fact must be specifically recorded in section 11 of his ICA 2 document. A Young Offender categorised for closed conditions must not, however, be allocated to an open Young Offender Institution. 3.8 Allocation Documentation Juveniles and Young Offenders are allocated by the OCA Unit which has been responsible for their security categorisation. Allocations are controlled by the - National Operations Unit Allocation must be informed by available documentation relating to current and previous offending and custodial behaviour. Section 4 of the ICA 2 Form indicates the sources of information that may be necessary and provides a record of those which are available to the OCA Unit. As with the categorisation process, the OCA Unit must decide in each case whether internal reports are required The Medical Officer must advise on the level of healthcare required by individual Young Offenders. Any advice must be recorded at section 5 of the ICA 2. The need for confidentiality must be respected. Reference must be limited to fitness category and any health needs that may require special consideration when deciding an appropriate allocation An initial allocation assessment on paper will normally be followed by an interview. The interview should inform the completion of the various parts of Sections 5 and 6 of the ICA 2 Form. Any personal comments the offender may wish to make in relation to his allocation should be recorded at section 6. Having completed this process, the officer must then decide which establishment is suitable, giving reasons for the decision. Those Young Offenders for whom the algorithm indicates conditions of "long term closed" must be allocated to an appropriate establishment. 06/06/05

24 - - r PSO Categorisation and Allocation Page 24 of Care must be taken to ensure that the final decision is informed by the specific allocation criteria agreed between the governor and Area Manager for each prison The officer must then provisionally allocate the Young Offender to the waiting list for a particular establishment and record the recommended allocation in section If this is to a closed Young Offender Institution and the Young Offender has a security categorisation of open, the reasons for this decision must be recorded. 3.9 Guidance on completing the ICA 2 (Initial Categorisation and Allocation Form) The Form must be used for all male Young Offenders other than those in Category A, Restricted Status, Life Sentence prisoners or those sentenced to HMP. The Form is for categorisation and allocation, and for all Young Offenders, forms the first stage of sentence planning Completion of sections 1, 2, 3, 4 and most of section 6 need no explanation. Section 5 and part 11 of section 6 must be completed following the guidance and instructions given in paragraphs 3.6 and 3. 7 of this Order. If it is completed on LIDS, the printout must be stapled to the ICA 2 Form. Tick the box which indicates indicates whether the young prisoner has been recommended for deportation. It does not matter whether this is as a result of a court order, or a direction of the Home Secretary. If the young prisoner's status is unclear, the Discipline Office must be asked to pursue the matter All policy and principles contained in previously issued IGs still apply except where this documentation replaces previous documents. Chapter 4 ALLOCATION OF JUVENILES 4.1 Initial Allocation procedures The Youth Justice Board has prime responsibility for the allocation of juveniles sentenced to a Detention training Order (DTO). Those whom it is determined will serve their DTO in a Prison Service establishment will invariably be allocated initially to a closed Young Offender Institution. 4.2 Subsequent allocation Any subsequent transfer to an open establishment must be assessed in line with the process of risk classification set out in ICA2 (for male juveniles) and ICA3 (for female juveniles). Chapter 5 PROCEDURES FOR MALE AND FEMALE SECTION 53 JUVENILES AND YOUNG OFFENDERS 5.1 General Juveniles (aged between 15 and 17 years of age), sentenced under Section 53 of the Children and Young Persons Act 1933 may be allocated to a YOI, local authority Child Care Establishment or Glenthorne Youth Training Centre run by the Department of Health. Those allocated to local authority care are in most 06/06/05

25 - r PSO Categorisation and Allocation Page 25 of 43? cases transferred to a YOI at the age of 18 years. Allocation decisions are made on a case by case basis by the Section 53 Unit in Abell House. In some cases the Section 53 offender will be allocated to the catchment YOI direct from court without prior knowledge of the Section 53 Unit In all cases : ICA 2 must be completed in respect of all male Section 53s. ICA 3 must be completed in respect of all female Section 53s. The relevant Form must be completed by the OCA Unff The completed ICA 2 or ICA 3, with a recommendation for the juvenile or Young Offender to remain in the allocating Young Offender Institution or to be transferred to another Young Offender Institution, must be sent to the Section 53 Caseworking Unff in Room 312D, Abell House. Only if there are any special circumstances or particular issues for consideration is it necessary to send any relevant supplementary information In cases where a juvenile offender is allocated direct from court and the OCA recommends the juvenile be allocated to a Local Authority Secure Unit, the completed ICA 2 or 3 Forms plus all relevant background reports must be sent to Section 53 Caseworking Unff in Room 312D, Abell House. 5.2 Sentence Planning All Section 53 determinate sentence juveniles and YO's who are in Prison Service Service establishments must be sentence planned on the national system using ACR/DCR documents as appropriate Procedures for HMP and Indeterminate Sentences under Section 53 (male and female) Allocation - Juveniles sentenced to detention during Her Majesty's Pleasure or Detention for Life are generally allocated by the Lifer Section in Abell House. ICA2 should be completed and sent with all relevant background information and supplementary reports to Lifers Allocation in Abell House. However, there are a small number of very young juveniles (usually under the age of 16) who have been sentenced to detention during Her Majesty's Pleasure or for life where the responsibility for their allocation rests with the Section 53 Caseworking Section in Abell House. This section will generally have been given prior warning of their court appearances and the detainees would, in most cases, have already been held in a secure unit on remand Sentence Planning - the life sentence plan system (and documents) applies to juveniles and YO's sentenced to HMP, and to indeterminate sentences under Section 53. Chapter 6 CATEGORISATION AND ALLOCATION OF FEMALE PRISONERS EY POINTS These orders set out the procedures and documentation for the initial 06/06/05

26 r PSO Categorisation and Allocation Page 26 of 43 for categorisation and allocation of all sentenced female prisoners other than those whom responsibility lies with headquarters. They do not apply to Category A or to life sentenced prisoners or to male young offenders or adult males. When completing the initial categorisation and allocation document (ICA 3), 3), all the procedures detailed in this chapter must be followed, Sections of these orders describe: the definition of security categories; the principles of categorisation and allocation; responsibility for the categorisation and allocation process; procedures for allocation to establishments; and guidance on completing the form. For females this should be a three-stage process security categorisation; suitability assessment; and consideration of allocation issues. This is an open document ( but see 6.7.3) 6.1 Security Categories - Definitions The security categories for female prisoners are as follows: Category A Prisoners whose escape would be highly dangerous to the public or the police or the security of the state, no matter how unlikelythat escape might be, and for whom the aim must be to make escape impossible. Closed Conditions Prisoners for whom the very highest conditions of security are not necessary but who present too high a risk for open conditions; cannot be trusted in open conditions or for whom open conditions are not appropriate. Semi-Open Conditions Prisoners who present a low risk to the public but who require a level of physical )erimeter security to deter abscond. )pen Conditions Prisoners who present a low risk; can reasonably be trusted in open conditions and for whom open conditions are appropriate _ %20- _20Categorisation Yo20and_20Allocation.ht 06/06/05

27 [ PSO Categorisation and Allocation Page 27 of The Principles of Security Categorisation All prisoners must be categorised objectively according to the likelihood that they will abscond and the risk that they would pose should they abscond Factors such as ability to mix with other prisoners, educational, training or medical medical needs, and the availability of vacancies at suitable establishments must not be taken into account at this stage. They are for consideration dudng allocation. /f eligible, a prisoner must be assigned to a semi- open or an open security category even if it is clear that it will not be possible to allocate her to a semi-open or an open prison immediately. The suitability and allocation process may immediately follow, but will be distinct from security categorisation The criteria applied at initial allocation to the assessment of risk to the public and risk of abscond are set out at (i) to (ix) below. I. the current sentence is 3 years or more; Ii. the current offence is a serious offence of: actual or threatened violence or harm; a sexual nature; drug dealing or importation; III. the prisoner has previously received a sentence of 3 years or more within the past 5 years; has a previous conviction within the past 5 years for a serious offence of actual or threatened violence or harm, a sexual nature, drug dealing or importation or the pattern of previous offending gives cause for concern; IV. the nature of Schedule 1 status gives cause for concern; V. there are concerns about the prisoner's association with serious criminals; VI. the prisoner is diagnosed or is suspected of suffering from any psychiatric or psychological problems; VII.there are further charges outstanding or the prisoner is awaiting further sentencing ; VIII.there is concern about any escape or abscond from any form of custody, breach of licence, community service order or community sentence during the past 3 years; IX.the prisoner is subject to enforcement action under the Immigration Act (1971) If none of the criteria in paragraph apply, categorisation to open conditions must be regarded as proving an appropriate level of security on initial categorisation If only either viii or ix at paragraph apply: there is concern about any escape or abscond from any form of custody, breach of licence, community service or community sentence during the past 3 years or, the prisoner is subject to enforcement action under the Immigration Act (1971) categorisation to semi-open conditions must be regarded as providing an appropariate 06/06/05

28 r PSO Categorisation and Allocation Page 28 of 43 level of security on initial categorisation Categorisation to closed conditions must otherwise be applied. 6.3 Assessment of Suitability For those prisoners given a 'closed' security category there is no need to complete the suitability section of the ICA 3. However, those prisoners who are categorised as not requiring closed conditions must now be assessed for suitability for semi-open or open conditions. The suitability assessment takes account of the fact that (i) not all prisoners will be suitable for semi-open or open conditions or (ii) semi-open or open conditions might not be appropriate for certain prisoners Prisoners categorised for semi-open or open must probably be regarded as suitable for semi-open or open conditions unless any one of the following criteria applies: there are issues of control which warrant close levels of supervision; there is a genuine need for 24 hour medical oversight; the prisoner is considered likely to be unable to cope in semi-open or open conditions; there is an open F2052SH and the case conference has decided that a transfer to semi-open or open conditions would not be in the prisoner's. best interest; or the prisoner is known or suspected of currently using drugs; is undergoing a detoxification programme or has recently completed a detoxification programme. Those prisoners found unsuitable for semi-open or open conditions must now be allocated to a closed establishment Principles of Allocation A prisoner with a "closed' security category must be allocated to a closed establishment. A prisoner categorised as semi-open but who is deemed unsuitable for semi-open conditions must be allocated to a closed establishment. A prisoner who is categorised open but who is deemed unsuitable unsuitable for open conditions must initially be allocated to a closed establishment The allocation assessment should recognise that there may be significant factors which influence the prisoner's allocation. These may sometimes override a semi-open or an open categorisation and suitability assessment and result in the prisoner being retained in closed conditions if a closed is the most appropriate. Care must be taken however, to ensure that the allocation of such 06/06/05

29 I PSO Categorisation and Allocation Page 29 of 43 prisoners is kept under regular review and they are not retained in conditions of higher security longer than is necessary or appropriate. Examples of significant allocation issues which may need to be considered include: to facilitate visits from children, or other family members: to enable child-care arrangements to be sorted out; to complete any necessary offending behaviour work ; and to facilitate any resettlement needs Prisoners categorised and suitable for semi-open conditions must be transferred to a semi-open prison as soon as possible. Those prisoners who have been categorised and are suitable for open prisons, and have no circumstances that warrant their retention in a closed prison, must be transferred to an open prison as soon as possible. 6.5 Responsibility for the Categorisation and Allocation Process Arrangements for recommending prisoners for Category A status are detailed in Chapter 9 of the Security Manual The principles governing the categorisation and allocation of life sentence prisoners are set out in the Lifer Manual (PSO 4200) The initial categorisation and allocation of all other female prisoners plus the allocation of those downgraded from Category A after conviction, must be carried out by the OCA unit, using guidance contained in these orders and /CA3 documentation. Procedures must be completed by staff specially trained and able to competently fulfil the OCA role Staff completing the form must be responsible to a senior manager as designated by the governor. The form must be countersigned by an officer at/east one grade higher than the member of staff completing the form. 6.6 The Process of Categorisation and Allocation - Unsentenced Prisoners All prisoners on remand awaiting trial, or convicted and awaiting sentence, other than those provisionally placed in Category A, are to be placed in Category U (Unclassified). 6.7 The Process of Categorisation and Allocation - Sentenced Prisoners Both categorisation and allocation and further sentence planning depend upon the prompt collection of information about the prisoner concerned. For the process of categorisation and allocation the following documents are required as a minimum: current custodial records (F2050) and previous records, where available Schedule of Previous Convictions (obtained from the Police National 06/06/05

30 PSO Categorisation and Allocation Page 30 of 43 Computer); the details of charge(s), pleas(s), finding(s) and sentence(s) relating to current offences (Crown Court form 5089), where applicable; and the PER form, where comments about the risk the prisoner poses have been entered by the police, escort contractors or others Section 3 of the ICA 3 Form also directs the collection of other documents. These must be collected as soon as possible after sentence. Where available, the information will be used to inform the categorisation and allocation process The OCA unit will have responsibility for ensuring external reports are obtained, but local arrangements may be made for the custody officer to collect the reports on behalf of the OCA unff. The OCA unit must decide in each case if it requires intemal reports, e.g., from the medical officer, psychologist, personal officer, probation officer or chaplain. Arrangements for obtaining internal reports will be similar to the contribution system for sentence planning adopted locally. Where intelligence or information has come from sources that do not wish to be revealed (e.g. prisoner informants) or where disclosure of the source could jeopardise the safety of persons, the nature and reliability of the information should be discussed without identifying its source. Similarly, where identification of the source or nature of the information could jeopardise ongoing investigations by the Prison Service or external agencies, it may be appropriate to withhold temporarily from the prisoner the full details of the allegation or information against her. Where staff staff believe this is appropriate, a governor grade or equivalent grade within contracted out establishments, must decide whether the withholding of the information from the prisoner is appropriate given the individual case of the prisoner. Where information has been withheld so as not to compromise ongoing investigations, the manager responsible for the OCA/recategorisation must ensure ensure that the investigation is completed as quickly as possible so that the prisoner can be told, in detail, of the information about her and the reasons for any decisions subsequently made The custody/discipline office must immediately inform the OCA unit of any changes in the prisoner's circumstances (such as a change in the release date following appeal), as well as updating the entries on the local Inmate Database System (LIDS) Reports used for section 3 of the ICA 3 are also used for ongoing sentence planning and possible recategorisation. Copies must be included in the sentence planning file with the ICA3. Eventually all of these forms must be filed in the prisoner's F2050, and must accompany the prisoner on transfer. Any reports received after the transfer of the prisoner to another establishment must be forwarded immediately to the custody office of that establishment Because of the need to begin sentence planning at an early stage for those sentenced to 12 months or over, allocation must be completed as soon after sentence as is practical Of equal importance is the requirement to enable Home Detention Curfew risk assessments to commence as soon as possible for eligible prisoners. Prisons should agree arrangements locally in order to adopt the most efficient approach. Whenever it is recognised that for any reason, early allocation and transfer will not be possible, action must be taken to ensure that ACR, DCR or HDC documents are started or completed at the local prison. 06/06/05

31 r PSO Categorisation and Allocation Page 31 of In those cases where the prisoner is categorised to closed conditions allocation must be to a closed establishment a In cases where the prisoner is categorised to semi-open conditions there must be a presumption that allocation will be to a semi-open prison unless the prisoner is assessed as unsuitbale for semi-open conditions or where there are significant reasons for the prisoner to be allocated to a closed prison. With regard to the above, the prisoner must, where possible, be allocated to an establishment to which she is most suited in terms of category and needs. A prisoner categorised semi-open must not be allocated to an open prison /n cases where the prisoner is categorised to open conditions there must be a presumption that allocation will be to an open establishment unless the prisoner is assessed as unsuitable for open conditions or there are significant reasons for the the prisoner to be allocated to a closed establishment. With regard to the above, the prisoner must, where possible, be allocated to an establishment to which she is most suited in terms of category and needs. If a prisoner categorised and allocated to an open prison is unable to be allocated a place immediately because of lack of vacancies, she may be held temporarily in a semi-open prison until a suitable vacancy arises OCA units must refer to any guidance on allocation and must maintain a comprehensive directory of receiving prisons' criteria for transfer to ensure that prisoners are suitable prior to allocation being confirmed Receiving prisons must have published acceptance criteria that have been agreed agreed by the governor and the Operational Manager - Women's Prisons and that have been recorded in the annual business plan. Any deviation from the fist must be agreed between the sending prison and the receiving prison. 6.8 Guidance on Completing Form ICA The form is essentially in two parts. Pages 1 & 2 record the prisoner's personal, domestic and sentence details. Pages 3 & 4 form the categorisation & allocation process. The information for the completion of the form can be obtained from: current custodial record - F2050; previous records, where available; OASys form, where available; Schedule of Previous Convictions; the details of charge(s), plea(s), finding(s), and sentence(s) relating to current offences; any comments made on the PER Form; any pre-sentence reports; 06/06/05

32 r PSO Categorisation and Allocation Page 32 of 43? judges' remarks; police post-trial report; and interviews with the prisoner Completion of pages 1 and 2 are self-explanatory. These do not"form part of the categorisation process and may be completed by staff other than those working in the OCA unit. The following Instructions, however are pertinent to the completion of pages 1 and 2: IG 54/94 (Schedule 1 status); IG 36/95 (Calculation of FLED & RLED) Pages 3 and 4 determine the categorisation and allocation of the prisoner and must be completed by OCA staff. The boxes in this half of the form should be ticked only if the criteria apply, ff a box is ticked, details must be given alongside. In some cases this will be straightforward, factual information. Some criteria however, require a brief note indicating why the issue is regarded as of concern. Generally, prisoners to whom any one of the nine criteria apply should, on initial categorisation, be categorised as requiring closed conditions unless only (viii) or (ix) applies in which ease categorisation may be to semi-open conditions. Below is some further guidance for staff completing these boxes. Length of sentence All prisoners serving a sentence of 3 years or more must be categorised 'closed'. This reflects the seriousness of the offence and the fact that prisoners at the beginning of a long sentence may be more tempted to abscond. Nature of offence The box must be ticked where the nature of offence causes concem. There may be concern over the offence type itself. However, staff must consider not just the type of offence, but also its nature. Pre-sentence reports, OASys forms where available, judges' remarks and police post- trial reports should provide details of the circumstances of the offence. Previous Convictions When looking at previous convictions staff must not only look for serious offences that have considerably threatened public safety; but also at long pattems of minor offending that might indicate :(a), the prisoner's long term recidivism; or (b), that the prisoner's offending is growing more serious. Schedule 1 offences Schedule 1 status should not automatically bar a prisoner from a semi-open or an open prison, but staff must consider fully the circumstances of any Schedule 1 offence before any female is categorised semi-open or open. Some cases will cause little concern. For example, where the Schedule 1 status resulted from a teenage fight with a peer occurring some years ago and where there has been no instances of violence since, categorisation as semi-open or open should not be ruled out. However, in cases where the offence was more serious, very recent, or 06/06/05

33 r PSO Categorisation and Allocation Page 33 of 43 involved the targeting of a specific victim, staff must comply with the procedures detailed in IG54/94, (in particular obtaining input from probation and contacting Social Services to obtain details of the whereabouts of the victim/victim issues) before proceeding with the categorisation. Serious criminal association Known or suspected association with serious criminals must not in itself bar prisoners from being categorised as semi-open or open. However, if there are concerns about this association (e.g., it means that the prisoner is more of a risk to the public, or more likely to abscond), the prisoner must be categorised as 'closed'. Mental illness Prisoners diagnosed as suffering from any psychiatric or psychological problems must be categorised initially to closed conditions, until they can be properly assessed by medical staff. There may on occasions be prisoners in this category who do not pose a risk to the public, do not need close supervision and who might benefit from allocation to a semi-open or an open establishment. Nevertheless initial categorisation in such cases must still be to closed conditions (for assessment), but early recategorisation may be appropriate following a suitable period of assessment. Further charges Prisoners with further charges, outstanding confiscation orders, or who are awaiting further sentencing must be categorised "closed" until the outstanding charges have been dealt with. Previous history of escape, abscond or other breach of trust The weight that should be given to any breach of trust is a matter of judgement, and must take into account the circumstances and the frequency of any incidents. Escape must be regarded as more serious than any other breach of trust. Any demonstration of trustworthiness (e.g., successful ROTL) must be considered in mitigation. Subject to enforcement action under the Immigration Act (1971) Prisoners subject to such action must not be allocated to open conditions unless highly exceptional circumstances arise (e.g., to enable a mother and baby to stay together when the only suitable establishment is an open prison). Governors must seek the approval of the Operational Manager - Women's Prisons for such a transfer to open conditions Where staff have completed page 3 of the form and have categorised a prisoner as semi-open or open, they must now complete the suitability assessment on page 4. Here they are asked to consider the following factors: (a), the prisoner's http ://home.ps.gov.uld.../pso%200900%20-%20categorisation%20and%20allocation.ht 06/06/05

34 [ PSO Categorisation and Allocation Page 34 of 43 custodial behaviour; (b), the prisoner's medical requirements; (c), the prisoner's ability to cope, vulnerability; (d), the risk of self-harm or suicide; and (e), any drug use history that the prisoner might have. Fuller guidance is given below. Persistent control problems Prisoners who pose a consistent control problem will not be suitable for semiopen or open conditions. The lower inmate:staff ratio in these establishments and the inappropriate use of segregation facilities for any length of time in semiopen and open conditions makes it more difficult to enforce proper control of the behaviour of difficult prisoners. It is a matter of judgement which prisoners will be assessed as persistent control problems, but particular attention must be paid to prisoners with a record of assaults against staff or other prisoners; prisoners charged with or suspected of bullying; prisoners with a record of MDT failures; prisoners on closed visits; prisoners displaying persistently disruptive behaviour; or those where reliable security information highlights areas of concern. Medical Issues Every prison in the country has a medical officer on duty full-time and the presence or absence of a '_ull-time doctor" must not automatically impact on a prisoner's allocation. A prisoner's unsuitability for allocation to semi-open or open conditions on medical grounds must be based solely on clinical need. For example, a small number of prisoners will require allocation to an establishment with a HCC staffed 24 hours a day because of their medical or psychiatric condition (e.g., a pregnant diabetic who is refusing treatment). In such cases, the reason and duration of this restriction must be certified on the form by the prison medical officer. Other prisoners may be on medication which is unsuitable for in possession use, or the prisoner herself may be unsuited to having medication in possession, in which case she should be allocated to an establishment with an evening treatment round. Normal pregnancy must not be a bar to allocation to a semiopen or an open prison, as all female prisons should be able to provide antenatal services up to and including 32 weeks of pregnancy. Thereafter the mother-to-be should be transferred to the Mother and Baby Unit for which she has been accepted (if applicable). Stable diabetics, women using tranquillisers, women with non-urgent or routine hospital appointments must also be allocated in the usual way unless the medical officer confirms a clinical need for closed conditions. Women with an urgent outpatient appointment or in-patient admission must remain at the establishment at which the appointment was made. Vulnerability Prisoners may be vulnerable for a number of reasons: their personality, inability to cope with custody, the nature of their offence etc. Some prisoners may be vulnerable due to their inability to cope with prison life to the extent that closed conditions, with closer oversight and cellular accommodation, may be appropriate. Other prisoners may, due to the notoriety or the nature of their offence, need protection from other prisoners or from intrusive media attention. At risk of self harm/suicide 06/06/05

35 PSO Categorisation and Allocation Page 35 of 43 Not all prisoners considered to be at risk of self-harm or at risk of suicide will require closed conditions, but great care should be taken when allocating such prisoners to the semi-open or open estate. An F2052SH must not be closed purely to enable a prisoner's transfer to the semi-open or open estate as prisoners with an open F2052SH are not precluded from semi-open or open conditions. Prisoners should not be transferred within 72 hours of an F2052SH being closed. The only exception to this should be where the risk of suicide or self-harm is directly attributable to the fact of the prisoner being held in closed conditions. Drug user/undergoing drug treatment/recently completed drug treatment Prisoners using drugs or undergoing detoxification present the biggest risk of abscond and must not be allocated to semi-open or open prison. Prisoners undergoing detoxification in a closed establishment must not be reallocated to the semi-open or open estate immediately following completion of the programme The allocation assessment should follow an interview with the prisoner and is designed to identify the most suitable prison for the prisoner, taking account of : (i) security requirements (ii) sentence planning needs (iii) personal circumstances. In some cases, (ii) and (iii) may override a semi-open or open security and suitability assessment. For example, prisoners may need to be retained in closed conditions to maintain closeness to home, particularly to enable ease of visits from young children. Other examples of where retention in a closed prison might be appropriate include: to enable the prisoner to meet sentence planning targets; to enable completion of a detoxification programme; to enable access to legal advisers where there are ongoing court proceedings: to facilitate completion of a resettlement programme; to enable non-english speakers to be located together; or to enable prisoners to attend urgent outpatient appointment or an inpatient admission (e.g., for a malignant or life threatening condition), or to enable them to resolve urgent domestic issues. Early recategorisation may be appropriate once such issues have been resolved Chapter 7 RECATEGORISATION OF FEMALE PRISONERS KEY POINTS i With the passage of time or changes in circumstances, prisoners may become more or less of a risk to the public, and more or less likely to abscond. For those prisoners held in closed and in semi-open conditions, the recategorisation process serves as a regular review of their circumstances and of any progress made in meeting sentence planning targets. For those prisoners held in open conditions, it provides an opportunity for their transfer to closed or to semi-open conditions if there is a significant change of risk to the public or of abscond; they are no longer suitable for open conditions or there are other signifcant reasons for their transfer to closed conditions. These orders set out the procedures and documentation for the recategorisation http ://home.ps.gov.uk/.../p SO%200900%20-%20Categorisation%20and%20Allocation.ht 06/06/05

36 r PSO Categorisation and Allocation Page 36 of 43 and allocation of all sentenced female prisoners other than those for whom the responsibility lies with headquarters. They do not apply to Category A or to life sentence prisoners or to male young offenders or adult males. ACR prisoners (those serving over 12 months but less than 4 years) held in closed and in semi-open prisons must have a recategorisation reviewevery 6 months. DCR prisoners (those serving more than 4 years) must have their security security category reviewed annually. These orders introduce form RC3: recategorisation of female prisoners. When completing this document all procedures detailed in this chapter must be followed. Sections of these orders describe: the principles of recategorisation responsibility for the recategorisation process; procedures for recategorisation; and guidance on completion of the form. This is an open document (but see 7.4.1) 7.1 Principles of Recategorisation By the time a prisoner is eligible for review, staff will know much more about her than when she was first categorised by OCA staff in the local prison. The aim of recategorisation is to use this information to establish whether there has been any clear change in the risk the prisoner poses. More specifically staff must answer two important questions: (i), is the prisoner more or less of a risk to the public than when she was first categorised; and (ii), is she now more or less likely to escape or or abscond. It is not necessary to prove continued or increased risk in both areas to retain the prisoner in her present category or upgrade her. There will be prisoners who pose less risk of escape than they once did, but who present such a serious threat to public safety that we cannot accept even the smallest chance that they will abscond or escape Having balanced the risk of the prisoner escaping or absconding against the likely risk to the public were she to do so, governors (or equivalent grades in contracted out establishments) must decide, provisionally, whether the prisoner should remain remain in her current category, or whether she should be upgraded or downgraded. However, there will be some prisoners who, while posing less risk and therefore being eligible for downgrading, may be unsuitable in other ways for transfer to conditions of lesser security. Staff must complete the suitability assessment at the end of the recategorisation form, after which the prisoner's new security category can be finally decided. 7.2 Responsibility for the Recategorisation Process The recategorisation of Category A prisoners is dealt with in headquarters by the Category A Committee The recategorisation of life sentence prisoners is dealt with in headquarters by the Lifer Management Unit Recategorisation of all other female prisoners may be carried out by the OCA unit, 06/06/05

37 r PSO Categorisation and Allocation Page 37 of 43 or by other suitably trained staff as designated by the govemor or director, using guidance contained in these Orders and RC3 documentation. Recategorisation decisions may be made by a board or by a single manager Procedures must be completed by staff specially trained and able to competently fulfil the OCA role. Staff completing the form must be responsible to a senior manager as designated by the Governor. The form must be countersigned by an officer at least one grade higher than the member of staff completing it. 7.3 Recategorisation Procedures At the time of recategorisation there may be a number of additional reports available, that were not available during initial categorisation. These might include: reports of successfully completed offending behaviour courses; sentence planning documentation including OASys form where available; parole documentation; HDC risk assessment reports; reports from the workplace; copies of adjudication reports; details of any temporary releases; security information; and.. letters from the prisoner's friends/family Account must be taken of all relevant documentation. A copy of the completed RC3 must be included in the sentence planning file alongside the ICA3. All these forms must eventually be placed in the prisoner's F2050, and accompany her on transfer All prisoners held in closed and semi-open conditions, other than those serving less than 12 months, must have their security category and allocation reviewed at regular intervals, or whenever there is a significant change in their circumstances. Except for Category A prisoners, who are considered by the Category A Committee and life sentence prisoners, whose cases are considered by the Lifer Management Unit, the first review must take place no later than 12 months after sentence and thereafter at least every 12 months ACR prisoners (those serving over 12 months but less than 4 years) held in closed closed and semi-open prisons must have a recategorisation review every six months. DCR prisoners (those serving more than 4 years) must have their security category reviewed annually All prisoners may have a review outside this, and must be reviewed as soon as possible if any of the following apply: 06/06/05

38 [ PSO Categorisation and Allocation Page 38 of 43 deportation order lifted; reduction of sentence following appeal; or outstanding charges/sentencing dealt with Early reviews might otherwise be appropriate if, for example: a detoxification programme has been successfully completed; a F2052SH has been closed or a prisoner with an open F2052SH would benefit from semi-open or open conditions; or outpatient treatment has ended Routine recategorisation reviews of prisoners held in open conditions are not required. Such prisoners may, however, be recategorised to closed or to semiopen conditions at any time if there is an increase in the risk they pose The recategorisation form is an open document and may be disclosed to prisoners. Where intelligence, of relevance to the recategorisation review, has come from sources that do not wish to be revealed (e.g. prisoner informants) or where disclosure of the source could jeopardise the safety of the informant; the nature and reliability of the information should be discussed without identifying its source. Similarly where identification of the source or nature of the information could jeopardise ongoing investigations by the Prison Service or external agencies, it may be appropriate to withhold temporarily from the prisoner, the full details of the allegation or information against her. Where staff believe this is appropriate a governor grade, or equivalent grade in contracted out. establishments, must decide whether the withholding of the information from the prisoner is appropriate given the individual case of the prisoner. Where information has been withheld so as not to compromise ongoing investigations, the manager responsible for the recategorisation must ensure that the investigation is completed as quickly as possible so that the prisoner can be told, in detail, of the information/allegations about her and the reasons for any decisions subsequently made 7.4 Guidance on Completing the Recategorisation Form - Recategorisation from Closed Conditions Part 1 of RC3 must be completed. At initial categorisation a prisoner may have been allocated to closed conditions for one of three reasons: (i) her security categorisation was closed (ii) she was assessed as being unsuitable for semiopen or open conditions or (iii) there were other significant issues which indicated that location in a closed establishment was in the prisoner's own interests When considering recategorisation from closed conditions, reference must be 06/06/05

39 F PSO Categorisation and Allocation Page 39 of 43 made to the original ICA3; documentation on which completion of the ICA3 was based and all subsequent relevant reports. The RC3 requires the officer completing it to consider any progress made by the prisoner or change in the prisoner's circumstances since the initial categorisation or the previous recategorisation. The officer must then assess whether this is sufficient to warrant recategorisation and reallocation to semi-open or open conditions Those prisoners considered for recategorisation from closed to semi-open prisons must have demonstrated a clear change in risk to the public and, although perhaps at risk of absconding from an open prison, are considered unlikely to breach the perimeter at a semi-open prison. Prisoners must also be suitable for semi-open conditions Prisoners may be recategorised from directly from closed to open conditions: there no requirement to progress via the semi-open estate. Such Such prisoners must have demonstrated a clear change in risk to the public and be considered unlikely to abscond Although most of the initial security categorisation criteria are static, a change in circumstances or progress made by the prisoner during her sentence may mitigate these sufficiently to indicate that risk has been reduced. The areas that must be considered during recategorisation are detailed below LENGTH OF SENTENCE - Prisoners serving a long sentence may pose a risk of absconding and/or a risk to the public. For some prisoners however, the length of sentence may have been the only factor which prevented their initial allocation to semi-open or an open prison. For these prisoners, recategorisation may be appropriate irrespective of the time left to serve. In assessing whether or not prisoners serving a long sentence are suitable for semi-open or open conditions, staff must consider whether the prisoner has spent a period in closed conditions - sufficient to enable her to come to terms with her sentence; to sort out appropriate domestic arrangements and to establish sentence planning priorities. Risk of abscond must be weighed carefully, particularly if the prisoner has a long time left to serve or has family who may find it difficult to visit were she to be allocated to a semi-open or an open prison NATURE OF OFFENCE - In assessing whether sufficient progress has been made by the prisoner in reducing the risk to the public, account should be taken of: (i) any offending behaviour work; (ii) other work on offending completed with probation (iii) successful completion of other courses which may impact on risk i.e.: literacy; financial management (iv) change in attitude (v) maturity Whether the progress made has been sufficient to lessen the risk the prisoner posed to the public on initial categorisation, depends on the individual circumstances of the case. Staff must assess: whether the prisoner has addressed the cause of her offending; whether she has developed any skills which will help her to avoid offending in the future; and whether she has been genuinely motivated to change her behaviour. The more serious the offence the greater the need for compensating factors. Some offences may be so serious that the prisoner may never be suitable for recategorisation to semi-open or open conditions PREVIOUS CONVICTIONS - As noted above, work may have been completed 06/06/05