Prison CATEGORISATION AND Service ALLOCATION...

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PSO 0900 - Categorisation and Allocation of 43

mPRISON

SER TCE

Prison CATEGORISATION ANDService ALLOCATIONOrder

ORDERNUMBER

0900

Date of Click on Number for link to referenceAmendment

24/0,7/2000Amendments can be tracked by clicking here

PSIAmendmentsshouldbe readbeforeandin conjunctionwithPSO

Replaceschapter7 of PSO 2200 andCI 2/91

05/01/2004 PSI47/2003DoctorsDuties(amendsparagraph1.7,4)18707/2002 PSI35/2002 Allocationofdeporteesto openconditions04/09/2001 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:

ICA1ICA3

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and introduces two new forms:

RC1RC3

These other forms are not affected.:

ICA2ICA4

Copies of all forms are at Annex A of this Order

PURPOSE

3. Categorisation and allocation of prisoners is a critical task. Effectively assigningprisoners to the correct security categoryand allocating them to an appropriateprison helps to ensure that they do not escape or abscond or threaten the controlof establishments. It also means that prisoners are not held in conditions ofsecurity higher than are necessary.

4. Categorisation, recategorisation and allocation are also vital to the sentencemanagement of prisoners. The correct categorisation and allocation, balancingsecurity issues and the needs of the prisoner, helps prisoners to use theirsentences constructively, to tackle their offending behaviour and to prepare forrelease.

PERFORMANCE STANDARD

5. This Order underpins the Performance Standard 'Categorisation & Allocation'.

BACKGROUND

6. This Order represents the culmination of work on categorisation commissionedby the Executive Committee in January 1998. The main changes introduced inthis Order are: the facility to override the categorisation of a male prisoner as aresult of control concerns; new recategorisation forms and guidance for use formale prisoners; revised categorisation procedures and a new recategorisationprocess for female prisoners. The new procedures will help OCA Units placeprisoners in conditions of security commensurate with the risks they pose.

RESOURCES

7. The procedures described in the following chapters replace existingarrangements and do not require staff to do any extra work. The cost of thechanges 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

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any local recategorisation forms must be disp,osed of as soon as the new formsare available.

11. Governors of all estabfishments must ensure that all staff working in OCA Unitsor involved in the recategorisation process have access to this Order.

12. This Order must be available to prisoners and members of the Board of Visitorson request.

IMPLEMENTATION DATE

13. This order comes into effect on 1 September 2000.

REVIEW ARRANGEMENTS

14. Amendments to this Order will be made with immediate effect if issues arise as aresult of which the secure detention of prisoners is affected. It will otherwise bemonitored throughout its first year of use and will be formally reviewed in June2001.

ADVICE & INFORMATION

15. Copies of the new forms can be obtained from Supply & Transport in Branston.The vocab numbers are as follows:

ICA1 BF016ICA2 BF006ICA3 BF007ICA4 BF008

, RC1 BF031RC3 BF037

16. The principles contained within extant Circular Instructions and Instructions toGovernors 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 9.26. Temporary amendments are attached to the Order at AnnexB. The Security Manual will be formally amended in due course.

18. This Order does not attempt to provide advice for every case or situation thatmight arise. When in doubt over general policy issues (rather than categorisationof individual prisoners) staff should seek advice from Security Policy Unit on thefollowing numbers:

Security Policy Unit 0207 217 20150207 217 5474

Brodie Clark

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Director of Security

I NOTE FOR ESTABLISHMENT LIAISON OFFICERS

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 placedwith those sets of orders mandatorily required in Chapter 4 of PSO 0001.

Issue Date Order Title and / or Date entered ELO signatureno. no. description in set99 24/07100 0900 Categorisation &

Allocation

CONTENTS

1. CATEGORISATION AND ALLOCATION OF ADULT MALES

1.1 Security Categories - Definitions1.2 The principles of categorisation1.3 Responsibility for the process of categorisation1.4 The process of categorisation - Unsentenced prisoners1.5 The process of categorisation - sentenced prisoners1.6 Allocation procedures1.7 Allocation documentation

1.8 Guidance on completing the ICA1

2. RECATEGORISATION OF ADULT MALES

2.1 The principles of recategorisation2.2 Responsibility for the process of recategorisation2.3 Completing the recategorisation form2.4 Informing the prisoner and appeals2.5 Upgrading a prisoner's security category

3. MALE YOUNG OFFENDERS

3.1 Security categories - definitions3.2 The principles of categorisation3.3 Responsibility for the process of categorisation3.4 The process of categorisation for unsentenced Young Offenders3.5 The process of categorisation - for sentenced Young Offenders3.6 Using form ICA23.7 Allocation procedures3.8 Allocation documentation

3.9 Guidance on completing the ICA2

4. JUVENILES

4.1 Initial Allocation procedures4.2 Subsequent allocation

5. PROCEDURES FOR MALE AND FEMALE SECTION 53 JUVENILES

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5.1 General5.2 Sentence Planning5.3 Procedures for HMP and Indeterminate sentences under section 53

6. CATEGORISATION & ALLOCATION OF FEMALE PRISONERS

6.1 Securitycategories- definitions6.2 The principlesof securitycategorisation6.3 Assessmentof suitability6.4 Principlesof allocation6.5 Responsibilityfor the categorisation& allocationprocess6.6 The processof categorisationand allocation- unsentencedprisoners6.7 The processof categorisation& allocation- sentencedprisoners6.8 Guidanceon completingthe ICA3

7. RECATEGORiSATION OF FEMALE PRISONERS

7.1 Principlesof recategorisation7.2 Responsibilityfor the recategorisationprocess7.3 Recategorisationprocedures7.4 Guidanceon completingthe recategorisationform - Recategorisation

from closed Conditions7.5 Guidance on completingthe recategorisationform - Recategorisation

from semi-open conditions7.6 Guidance on completing the recategorisation form -

Recategorisation from open conditions7.7 Informingthe prisonerand appeals

8. CATEGORISATION & ALLOCATION OF CATEGORY A PRISONERS

8.1 Categorisationof CategoryA prisoners8.2 Allocationof CategoryA prisoners

8.3 SentencePlanningfor CategoryA prisoners

Chapter I CATEGORISATION AND ALLOCATION OF ADULT MALES

KEY POINTS

• This chapter sets out the procedures and documentation for the categorisationand allocation of all adult male prisoners, other than those for whom

responsibilitylies with Headquarters. They do not apply to either Category A or Lifesentenced prisoners.

• The chapter describes : the definitions of each security category; the principlesthat must underpin the categorisation and allocation of adult male prisoners;how categorisation and allocation must be conducted, and how the Formsmust be completed and which staff should be responsible for the process.

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I" The categorisation Form is an open document (but see1.5.2) ]

1.1 Security Categories - Definitions

1.1.1 The security categories are as follows:

Category A

Prisoners whose escape would be highlydangerous to the public or the policeor the security of the state, no matter how unlikely that escape might be, andfor 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 theresources 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

1.2.1 Prisoners must be categorised objectively according to the likelihood thatthey will seek to escape and the risk that they would pose should they doso. In the majority of cases, consideration of these two factors alone will besufficient to determine the prisoner's security category. However, a small numberof prisoners while presenting little risk of escape or risk to the public, and whowould ordinarily be assigned to a low security category will, because of theircustodial behaviour, require a higher category so that they may be sent to aprison with levels of supervision commensurate with the risk they pose to control.The categorisation Forms therefore permit consideration of control to influencethe final security category. The security category must take account of theabove considerations alone. Separate instructions in the Security Manualdescribe the criteria against which eligibilityfor Category A must be considered.

1.2.2 Although consideration of control factors is permitted, factors such asability to mix with other prisoners, educational, training or medical needs,and the availability of vacancies at suitable establishments must not betaken into account at this stage. They are for consideration duringallocation. The allocation process may immediately follow, but will bedistinct from security categorisation.

1.2.3 Every prisoner must be placed in the lowest security category consistentwith the needs of security and control. A prisoner must be assigned to thecorrect security category even if it is clear that it will not be possible toallocate him to a particular establishment for prisoners in that category.

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1.2.4 All prisoners must be regarded as probably suitable for Category D on firstcategorisation 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 sexualoffence and did not successfully serve part of that sentence in an openprison;

• have current or previous convictions for arson or any drugs offenceinvolving importation and dealing; or

• have a recent history of escape or absconds.

1.2.5 When these criteria have been applied, all prisoners not then placed inCategory D should be regarded as probably suitable for Category C on firstcategorisation, 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 offenceand did not successfully serve part of that sentence in a Category Cprison;

• have a current sentence exceeding 10 years; or

• have a recent history of escape from closed conditions or have significantexternal resources which they might use to assist an escape attempt.

1.2.6 Consideration of the factors above will determine provisionally in which securitycategory the prisoner should be placed The facility to override thisprovisional categorisation as a result of control factors, must be used onlywhere there is clear evidence that the prisoner will require higher levels ofsupervision than available in prisons for which the initial criteria haveindicated he is suitable.

1.2.7 The criteria explained above must not be seen as either exhaustive orinflexible. There will be cases where a higher or lower security category will beright for an individual prisoner. However, every instance of departure from theprescribed criteria must be justified and documented, on security and, inrare cases, on control grounds alone. An entry must be made in Section 5 ofof the ICA1 (Initial Categorisation and Allocation document), and becountersigned by a Senior Officer rank or above (or equivalent grades incontracted out establishments).

1.3 Responsibility for the process of Categorisation

1.3.1 Arrangements for recommending prisoners for Category A status are detailed inChapter 9 of the Security Manual and are not dealt with here.

1.3.2 The principles governing the categorisation and allocation of Life Sentencedprisoners are set out in the Lifer Manual (PSO 4700).


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1.3.3 The initial categorisation and allocation of all adult males, as well as the allocationallocation of those prisoners downgraded from Category A after conviction, mustbe carried out by the OCA Units of local prisons, using the guidance contained inthese orders and ICA 1 documentation. Procedures must be completed by staffspecifically trained and able to competently fulfil the OCA role.

1.4 The Process of Categorisation - Unsentenced prisoners

1.4.1 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 Baccommodation , but there is no reason, in principle, why an unconvicted orunsentenced prisoner (other than potential or provisional Category A prisoners)could not be held in a Category C establishment if suitable facilities exist, and ifadequate information is available to suggest that Category B accommodation isnot needed for that prisoner. Such decisions must be made by governors andapproved by Area Managers.

1.4.2 Prisoners must remain in Category U, wherever accommodated, until theyhave been given a definitive category, after which they may be allocated.

1.5 The Process of Categorisation - Sentenced Prisoners

1.5.1 The process of categorisation should take place in two stages:

• a provisional assessment on paper following the process andalgorithm 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

1.5.2 Information contained within this part of the Form may come from sources withinthe prison, or from external agencies such as the police. Although suchinformation must be considered, care must be taken when entering it on theForm. The Form is open and may be disclosed to prisoners. Where intelligencehas come from sources that do not wish to be revealed (e.g. prisonerinformants) or where disclosure of the source could jeopardise the safety ofpersons, the nature and reliability of the information should be discussedwithout identifying its source. Similarly, where identification of the sourceor nature of the information could jeopardise ongoing investigations by theprison Service or External Agencies, it may be appropriate to withholdtemporarily from the prisoner the full details of the allegation or informationagainst him. Where staff believe this is appropriate, a governor grade orequivalent grade within contracted out establishments, must decide whetherwhether the withholding of the information from the prisoner is appropriategiven the individual case of the prisoner. Where information has beenwithheld so as not to compromise ongoing investigations, the managerresponsible for the OCA/recategorisation must ensure that the investigationis completed as quickly as possible so that the prisoner can be told, indetail, of the information�allegations about him and the reasons for anydecisions subsequently made.

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1.5.3 Collection of information - both categorisation, allocation and further sentenceplanning depend or} the prompt collection of information about the prisonerconcerned. For the process of categorisation and allocation the followingdocuments are required as a minimum:

• current custodial records (F2050) and previous records whereavailable;

• Schedule of Previous Convictions (obtained from the Police NationalComputer);

• the details of charge(s), plea(s), finding(s) and sentence(s) relating toto current offences; and

• the PER Form, where comments about the risk the prisoner poseshave been entered by police, escort contractors or others.

1.5.4 Section 4 of the ICA1 also directs the collection of other documents. Thecollection of information must be completed as soon as possible aftersentence. Where available, information must be used to inform thecategorisation and allocation process.

1.5.5 The OCA Unit has the responsibility for ensuring external reports are obtained,but local arrangements may be made for the Custody Office/Discipline Office tocollect the reports on behalf of the OCA.

1.5.6 The Custody Office must immediately inform the OCA Unit of any changes in theprisoner's circumstances (such as a change in release date following appeal), aswell 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 thethe Medical Officer, Psychologist, Personal Officer, Probation Officer or Chaplain,These reports should not duplicate material already in the prisoner's current orany previous F2050 that will be referred to by the OCA Unit during thecategorisation and allocation process. Arrangements for obtaining internal reportswill 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 SentencePlanning file. All of these documents must eventually be filed in theprisoner's F2050 record, and accompany the prisoner on transfer.

1.5.8 Categorisation of all adult male prisoners, other than those provisionallycategorised A and Life sentenced prisoners, is completed using the ICA 1. ThisForm must be raised in all cases, as it forms the basis for allocation and the earlystages of the sentence planning process.

1.5.9 The categorisation section consists of an algorithm, using as its database briefdetails of the current offence, sentence, previous convictions and custodialsentences (especially for sexual offences and/or violence) and previous escapes,escape attempts or absconds.

1.5.10 Having recorded the base data by marking a series of boxes, the OCA Unit OfficerOfficer must then complete the algorithm.. This will indicate a provisional security


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category.

1.5.11 The Officer must then either indicate that the provisional security category applies,applies, or recommend that it be overridden as a result of control considerationsor other factors. The officer must record in writing on the ICA 1 Form reasons forany recommended override, referring as necessary to the attached reports.These reasons could relate either to matters not covered by the algorithm (e.g., aprevious sentence successfully served in an open prison, or a known tendency toviolence by an apparently minor offender), or to an unusual combination offactors which produces an obviously unreasonable result from the algorithm.Where this is the case, the officer must tick, in the override box, those controlfactors that are relevant and give details - before recommending a new securitycategory. Any decision to override the security category must be countersigned byby a Senior Officer or above.

1.6 Allocation Procedures

1.6.1 The allocation of prisoners to training establishments following conviction mustform a process distinct from categorisation. While the two procedures willnormally be completed by the same OCA unit, conducted by the same officer, thisneed not be on the same day. Indeed, if the information necessary forcategorisation is available, there is no reason why this process should be delayedmerely because information that may be required for allocation (e.g., apsychologist's report) has not arrived. In practice however, it will often be moreconvenient to undertake both on the same day. An interview with the prisonershould take place prior to the final allocation decision to ensure that all relevantallocation issues have been identified. The interview may normally be dispensedwith for prisoners sentenced to less than 6 months unless the OCA Unit considersan interview necessary. OCA officers must be alert to the danger of allowing hisor 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 thosesentenced to 12 months or over (ACR plans should be completed within 8 weeksof sentence, .DCR plans within 12 weeks of sentence), allocation must becompleted as soon after sentence as practical. Of equal importance is therequirement to enable Home Detention Curfew risk assessments to commence assoon as possible for eligible prisoners. Prisons should agree arrangements locallyin order to adopt the most efficient approach. Whenever it is recognised that, forany reason, early allocation and transfer will not be possible, action must be takentaken to ensure that ACR, DCR or HDC documents are started or completed atthe local prison, so that risks can be assessed, needs identified and realistictargets set.

1.6.3 Three priorities, which are not always compatible, must govern allocation ofprisoners to training establishments:

• the needs of security, including control;

• the need to make maximum use of available spaces in trainingprisons; and

• the needs of individual prisoners.


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1.6.4 While the main factor to be considered in determining a prisoner's allocation mustalways be his security category, and a prisoner who has been assigned to aparticular security category should initially be considered for allocation to a prisondesigned for that category, account must also be taken of."

• his suitability for particular types of accommodation (factors such asvulnerability, age, etc.);

• his medical and/or psychiatric needs that may require a particular type oflevel or care;

• need for identified offence related behavioural programmes to confrontassessed risk;

• his home area, or that of his likely visitors;

• his educational or training needs or potential;

• the published allocation criteria for individual establishments resettlementneeds [ in line with procedures set out in PSO 2300]

1.6.5 The allocation of a prisoner must be decided carefully, bearing in mind theconsiderations above. The decision reached must be justifiable and must berecorded, 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 theprovisions for selection and allocation for the resettlement estate generally, setout in PSO 2300. These provisions include a police check by the Police LiaisonOfficer attached to the prospective semi-open prison, because of the particularpotential risk to the community presented by frequent by frequent temporary

.. release, which is characteristic of stage 2 of a resettlement regime.

1.6.6. Any allocation to a prison of a higher security category than that of the prisonerhimself must be referred to an officer of Senior Officer rank or above forconfirmation. The reasons for such a recommended allocation must be recordedat section 6.21 on the completed ICA 1 Form.

1.6.7 There may be occasions when the OCA Unit will be unable to allocate a prisonerto 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 becausecertain acceptance criteria are imposed. Such criteria typically preclude openprisons from accepting prisoners with certain offences or sentence lengths. Theremay also exist restrictions within certain Category B and C prisons that havesome deficiencies in their physical security features which prohibit acceptance ofsome of the more dangerous prisoners within that category.

1.6.8 OCA Units must refer to all available guidance on allocation. Spaces availablethroughout the prison estate are co-ordinated by the National Operations Unit(NOU), Security Group.

1.6.9 It is not acceptable, under any circumstances, to modify the process oroutcome of prisoners' security categorisation in order to achieve a bettermatch between prisoners and available spaces. To maximise the use of the

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prison estate, in the last resort only, a prisoner may be allocated to a highercategory prison solely on the grounds that no alternative space is available inprisons of the correct category. Where this is done the fact must bespecifically recorded on section 6.21 of the prisoner's ICA 1 Form.

1.6.10 Some maximum security, local, Category B and C establishments will need toretain low category prisoners to form working parties. Where this is the case thethe number of prisoners retained must be kept to a minimum. The numbersof such prisoners that may be kept at the prison must be determined inconsultation between governors and Area Managers and recorded in theannual Business Plan. When population pressures are acute however, theremay still be a need to transfer such prisoners at short notice.

1.7 Allocation Documentation

1.7.1 All Category B, C and D prisoners would normally be allocated by the OCA Unitwhich has been responsible for their security categorisation. Allocations arecontrolled by the National Operations Unit.

1.7.2 Allocation must be informed by available documentation relating to currentand previous offending and custodial behaviour. Section 4 of the ICA 1Form indicates the sources of information that may be necessary and provides arecord of those Which are available to the OCA Unit. As with the categorisationprocess, the OCA Unit must decide in each case whether internal reports areare required.

1.7.3 Section 6.3 of the ICA 1 refers to the scoring system for prisoners categorised Cprior to their allocation to Category C prisons. The system aims to control theconcentration of prisoners more likely to prove a risk to good order in Category Cprisons which offer varying degrees of control capacity depending on their design.Each Category C prison is authorised to hold a maximum number of prisonerswho score 3 using this system. The allocation of Category C prisoners mustbe dealt with in accordance with IG 55/1994.

1.7.4 A doctor, registered nurse or healthcare officer must advise on the level ofhealthcare required by individual prisoners. This advice must be recorded atat 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 thatmay require special consideration when deciding on appropriate allocation.[Updated 6/1/04 in accordance with PSI 47/2003]

1.7.5 For prisoners serving over 6 months, and where otherwise appropriate, thesecurity assessment will normally be followed by an interview. Any personalcomments the prisoner may wish to make in relation to his allocation should berecorded at 6.20. Having completed this process, the officer must then decidewhich establishment is suitable for the prisoner. The reasons for the decision mustmust be explained to the prisoner and, where appropriate, any reasons whyspecific representations made by the prisoner could not be acceded to. Theprisoner must be allowed to see the ICA 1 if he wishes.

1.7.6 Care must be taken to ensure that the final decision is informed by the specificallocation criteria agreed for each prison between governors, Area Managersand Strategic Planning Section in Headquarters.

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1.7.7 The officer must then provisionally allocate the prisoner to the waiting list for aparticular establishment and record the recommended allocation in section 6.21.If this is a higher security category than the prisoner himself the reason for thisdecision must be recorded. Decisions must be confirmed by the counter-signingofficer of Senior Officer grade or above (or equivalent grades in contracted outestablishments) at section 6.22. If the officer overrules the recommendation, thereasons must be recorded and an alternative prison identified and recorded.

1.8 Guidance on completing the ICA I (Initial Categorisation and AllocationForm)

1.8.1. The Form must be used for all male prisoners other than Category A and LifeSentenced prisoners. The Form is for categorisation and allocation, and forprisoners serving 12 months or more, forms the first stage of sentence planning.

1.8.2 Completion of sections 1-4 needs no explanation. Section 5 must be completedfollowing the guidance and instructions given in this Order. If it is completed onLIDS, the printout must be stapled to the ICA1 Form. Tick the box whichindicates whether the prisoner has been recommended for deportation. It doesnot matter whether this is as a result of a court order, or on direction of the HomeSecretary. If the prisoner's status is unclear, the Discipline Office must be askedto pursue the matter.

1.8.3. 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 areheld in conditions of security commensurate with the risks they pose.

• All prisoners, other than those serving less than 12 months, musthave their security category reviewed at regular intervals, or whenever

there is a significant change in their circumstances (e.g., attemptedescape, reduction of sentence on appeal, removal of a deportationorder, etc.). Except for Category A prisoners, who are consideredby the Category A Committee, and Life Sentenced prisoners, whosecases are considered by the Lifer Management Unit, the firstrecategorisation review must take place no later than 12 months

after sentence.

Category B or C ACR prisoners (those serving over 12 months but lessthan 4 years) must have their security category reviewed at 6

monthlyintervals. Category B or C DCR prisoners (those serving more than 4

years) must beconsidered annually.


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• Regular recategorisation reviews for Category D prisoners are not required.

Such prisoners may however, be recategorised to a higher security categoryat 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

2.1.1 By the time a prisoner is eligible for review, staff will know much more about himthan 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 arecategorisation are the same as those for an initial categorisation. The aim ofrecategorisation is to use this information to establish whether there has been anyclear change in the risk the prisoner poses. More specifically, staff must answertwo important questions: (1), is the prisoner more or less of a risk to the pubfic thanthan when he was first categorised; and (2), is he now more or less likely toescape or abscond. It is not necessary to prove continued or increased risk inboth areas to retain the prisoner in his present category or upgrade him. There willbe prisoners who pose less risk of escape than they once did, but who presentsuch a serious threat to public safety that we cannot accept even the smallestchance that they will abscond or escape.

2.1.2 Having balanced the risk of the prisoner escaping or absconding against the likelyrisk to the public were he to do so, governors (or equivalent grades in contractedout establishments) must decide, provisionally, whether the prisoner shouldremain 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 itthe governor must consider whether any control factors point to a differentcategorisation. For instance there will be some prisoners who, while posing leesrisk and therefore being eligible for downgrading, may be unsuitable in other waysfor transfer to conditions of lesser security. Staff must complete the suitabilityAssessment at the end of the Recategorisation form, after which theprisoner's new security category can be finally decided.

2.2 Responsibility for the Process of Recategorisation

2.2.1 The review of a prisoner's security category may be conducted by a board or by asingle manager. In either case:

• the Recategorisation Form (RC1) must be used;

• the panel board or governor must consult the following documents beforemaking a decision - the completed RC1, F2050, Warrants and any Pre-Sentence Reports, OASys form where available, F2058 Security File andany information held in the Security Intelligence System, Sentence Plan,and any end of course reports completed after offending behaviourprogrammes such as SO TP; and

• the decision must be approved by a Governor 4 or above (or at least thethird in charge in smaller prisons), or equivalent grades in contracted outestablishments.

2.3 Completing the Recategorisation Form



2.3.1 'Assessment of Escape or Abscond Risk' -This section of the Form must becompleted by someone with full access to the prison Security Intelligence system.Such staff are most likely to work in the Security Department, but governors maydirect that this base information is recorded by another department in the prison.All facts and items of analysed intelligence that might help determine whether thelikelihood of the prisoner attempting to escape or abscond has been reduced, mustmust be recorded.

2.3.2 Question 1 requires the recording of the prisoner's escape or abscond history (ifhe has one). The method of any escape attempt must be described. Someexamples illustrate why this is important.

Examples

[i] if the prisoner escaped from prison by scaling the perimeter, this will be ofgreater significance when deciding whether he should be downgradedand re-allocated to a prison with lesser physical security.

[ii] conversely, that he escaped on escort whilst a remand prisoner may beof less significance.

2.3.3 Similarly, the dates of any escape (attempts) or absconds must be recorded asthey will help governors or Boards determine how relevant these events are to thereview.

2.3.4 In Question 3, the member of staff must record facts that might indicate whetherthe likelihood of the prisoner escaping has been reduced in any way. A number offactors 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

reasonablybe trusted in open conditions;

[iv] if a prisoner has worked well in a position of trust without supervision itmay mean that he is more likely to cope in open prison withoutabsconding.

(V) a prisoner has successfully completed any period of temporary release

2.3.5 In Question 4, staff must record any outstanding charges the prisoner mayhave. Here some charges will be more pertinent to the risk assessment thanothers. The more serious the nature of the charge, then the more likely it is thatthe prisoner may have a reason for wanting to escape.


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2.3.6 Similarly, in Question 4 the longer the prisoner has left to serve then the greaterthe risk that he will attempt to escape or abscond.

2.3.7 In Question 6, staff must note any other information that suggests theprisoner might attempt to escape or abscond. This intelligence may come fromsources within the prison, or from external agencies such as the Police orCustoms and Excise. Although such information must be considered, care mustbe taken when entering it on the Form. The Form is open and may be disclosedto prisoners. Where intelligence has come from sources that do not wish to berevealed (e.g. prisoner informants) or where disclosure of the source couldjeopardise the safety of the informant, the nature and reliability of the informationshould be discussed without identifying its source. Similarly, where identification ofthe source or nature of the information could jeopardise ongoing investigations bythe Prison Service or external agencies, it may be appropriate to withholdtemporarily from the prisoner, the full details of the allegation or information againstagainst him. Where staff believe this is appropriate a governor grade , orequivalent grade in contracted out establishments, must decide whether thewithholding of the information from the prisoner is appropriate given the individualcase of the prisoner. Where information has been withheld so as not tocompromise ongoing investigations, the manager responsible for theOCA /recategorisation must ensure that the investigation is completed as quicklyas possible so that the prisoner can be told, in detail of the information/allegationsabout him and the reasons for any decisions subsequently made.

2.3.8 'Assessment of Risk to the Public' - In this section of the Form, the risk theprisoner poses to the public must be assessed. In particular the seriousness of theprisoner's 'index offence must be considered against the likelihood of the prisonerrepeating the offence, or committing a more serious crime were he to escape orabscond.

2.319 Questions 7 and 8 require the recording of the prisoner's current offences and anyprevious offences. When looking at Previous Convictions staff must record notonly serious offences that have considerably threatened public safety, but alsolong patterns of minor offending that might indicate: (a), the prisoner's long-termrecidivism; or (b), that the prisoner's offending is growing more serious. Below aresome examples:

Examples

[i]. serious offences that have considerably threatened public safety mightinclude: manslaughter, GBH, wounding, robbery with violence, sexualoffences (excluding USI or indecency between males), arson, or theimportation of supply of controlled drugs.

[ii]. a prisoner who had committed a long string of burglaries, but on his lastcouple of offences had committed aggravated burglary, would be anexample of a prisoner whose offending is becoming more serious.

2.3.10 When confronted by a prisoner who has committed serious offences or whoseoffending appears to be growing more serious, governors must seek clearevidence that the prisoner's risk to the public has been mitigated during the currentcurrent sentence. The data that must be recorded in Questions 10 and 11 willinform this decision.

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2.3.11 'Provisional Decision'. Once pages 1&2 of the Form have been completed # mustbe passed to the governor or board to decide whether the prisoner should berecategorised up or down or retained in his current category. The board orgovernor 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 bebe fully recorded in the box provided.

2.3.12 'Consideration should then be given to any factors which might override theprovisional assessment. Where it has been decided provisionally that theprisoner should be downgraded or retained in his current category,governors must consider other factors that might indicate that the prisonerstill needs the supervision or security levels of the higher category. InQuestion 12 any evidence that the prisoner presents a serious threat to orderorder must be recorded. Evidence recorded here might lead the governor orboard to decide that the prisoner could not be trusted in conditions of lessersecurity or needs the supervision levels of a higher security.

Examples

[i], where there is reliable evidence from various sources that a CategoryC prisoner is involved in bullying other prisoners, it would not beappropriate to send him to Category D dormitory conditions where suchactivities might go unchecked;

[ii], where there is intelligence from good sources indicating that the prisoneris involved in the importation of drugs into prison, it would not beappropriate to transfer him to open conditions where such criminal

activitycould be more easily be committed; or

" [iii], where a Category B prisoner has consistently been involved in violentincidents with either staff or prisoners it would be unreasonable to transferhim to Category C non-cellular accommodation.

2.3.13 'Final Decision" Having assessed (I) , the risk of the prisonerescaping (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 suitabilitysuitability for establishments with less security and facilities; govemors or boardsmust now decide finally in which category the prisoner should be placed.

2.3.14 Once the final recategorisation decision has been made consideration shouldthen be given to the prisoner's reallocation. In general, the factors to beconsidered here are the same as for an initial allocation. In Question 13,governors or boards must consider any medical factors that might prevent theprisoner being sent to an establishment with less supervision or facilities.Instances where it might be appropriate to retain the prisoner in his currentcategory and prison could include : where the prisoner has ongoing appointmentsthat have been booked with local medical services; where the prisoner is at risk ofharming himself and needs continuous supervision; or where a prisoner needs thecare provided by a Healthcare Centre staffed 24hrs a day.

2.3.15 In the final question, governors and boards must consider any other factors thatshould prevent the prisoner moving from his current establishment, such as the

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need to complete an offending behaviour course that he has already begun.

2.4 Informing the Prisoner and Appeals

2.4.1. The prisoner should be informed of the decision made and of the reasons for it.

2.4.2 Should the prisoner wish to appeal against the decision, he should do so usingthe Requests and Complaints Form to the line manager of the assessor or Boardchair.

2.5 Non - Routine Recategorisation Reviews

2.5.1 Some prisoners may need to have their security category reviewed outside thenormal review cycle, and often at short notice, because of a sudden change intheir circumstances. For example, a successful appeal and reduction in sentencelength could mean that the level of risk posed had been markedly reduced andtransfer conditions of lesser security were now appropriate. Alternatively, someprisoners may need to be recategorised upwards at short notice because theynow pose a greater risk; their behaviour makes them unsuitable for open, or lowersecurity conditions or, for other reasons, they are felt to require closer supervision.

2.5.2 In recategorising a prisoner upwards the establishment must bear in mind thecategorisation/allocation criteria contained within ICA 1 and their own acceptancecriteria signed by the Governor and the Area Manager and ensure that anyrecategorisations are based on genuine risk or allocation issues. The RC1 mustclearly state how the prisoner's circumstances have changed.

2.5.3 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 hiscurrent security category and allocation are no longer appropriate. If theprisoner needs to be transferred to conditions of greater security at veryshort notice then the sending prison must complete the RCl and forward itto 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 responsibilitylies with Headquarters.They do not apply to those in Category A ; those classifiedRestricted Status; those serving a life sentence or those sentenced to HMP.

• When completing the initial classification and allocation documents, all theprocedures detailed in this chapter must be followed.

Sections of these orders describe : the definition of security categories; theprinciples of classification responsibility for the process; guidance on completing theForms and the principles and procedures for allocation.This is an open document.

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3.1 Security Categories - DefinitionsThe security categories are as follows:

Cateqory APrisoners whose escape would be highly dangerous to the public, or the police, or thesecurity of the state, no matter how unlikely that escape might be, and for whom the aimImust be to make escape impossible.

Restricted Status

Offenders sentenced to detention in a Young Offender Institution whose escape wouldpresent a serious risk to the public and who are required to be held in designatedsecure accommodation.

Closed conditions

Young Offenders for whom the very highest conditions of Security are not necessarybut who present too high a risk for open conditions or cannot be trusted in openconditions.

Open conditions

Young Offenders who present a low risk and can reasonably be trusted inopen conditions.

3.2 The Principles of Categorisation

3.2.1 Young Offenders must be categorised objectively according to the likelihood thatthey will abscond and the risk that they would pose should they do so .Thealgorithm in Section 5 of ICA 2 provides a prediction of these risks by takingaccount of the offender's current offending, previous history of offending and anyhistory of escape or abscond

3.2.2 Factors such as the ability to mix with other prisoners, educational or trainingneeds etc., must not be taken into account at this stage. They are forconsideration during allocation, a Young Offender must be assigned to the correctsecurity category. The allocation process may immediately follow, but will bedistinct from security categorisation.

3.2.3 Every Young Offender must be placed in the lowest security category consistentwith the needs of security.

3.2.4 It follows therefore, that all Young Offenders must be regarded as probablysuitable for open conditions unless the algorithm indicates that closed conditionsare appropriate or there are justifiable grounds for overriding the algorithm.

3.2.5 Application of the algorithm will determine provisionally whether the YoungOffender should be placed in closed or open conditions of security. The criteriaused in the algorithm must not be seen as either exhaustive or inflexible..Therewill be cases where a higher or lower security category will be right for anindividual Young Offender. However, every instance of departure from theprescribed criteria must be justified and documented by an entry in Section 5 of


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the ICA 2 which must be countersigned by a Senior Officer rank or above, (orequivalent grades in contracted out establishments).

3.3 Responsibility for the Process of Categorisation

3.3.1 Arrangements for recommending Young Offenders for Category A status aredetailed in Chapter 9 of the Security Manual and are not dealt with here.

3.3.2 Arrangements for recommending Young Offenders for Restricted Status aredetailed in Chapter 9 of the Security Manual and are not dealt with here.

3.3.3 The principles governing the categorisation and allocation of life Sentenceprisoners are set out in the Lifer Manual (PSO 4700).

3.3.4 The initial categorisation and allocation of all male juveniles and male YoungOffenders, plus the allocation of those Young Offenders downgraded fromCategory A after conviction, must be carried out by the OCA Units of YoungOffender Institutions, using the guidance contained in these orders and ICA 2documentation. Procedures must be completed by staff specially trained and ableto competently fulfil the OCA role.

3.4 The process of categorisation for unsentenced Young Offenders

3.4.1 All Young Offenders on remand awaiting trial, or convicted and awaiting sentence,sentence, other than those provisionally categorised A, are to be placed inCategory U (Unclassified).

3.4.2 Young Offenders must remain in Category U until they have been given adefinitive category, after which they may be allocated.

3.5. The process of categorisation - for sentenced Young Offenders

3.5.1 The process of categorisation should take place in two stages:

• a provisional assessment on paper following the process and algorithmcontained in section 5 of the ICA 2 must be completed; and in most caseswill be followed by:

• an interview with the prisoner

3.5.2 Collection of information - both categorisation, allocation and further sentenceplanning depend on the prompt collection of information about the prisonerconcerned. For the process of categorisation and allocation the followingdocuments are required as a minimum:

• current custodial records (F2050) and previous records where available;

• Schedule of Previous Convictions (obtained from the Police NationalComputer);

• the details of charge(s), plea(s), findings(s), and sentence relating tocurrent offences; and

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• the PER Form, where comments about the risk the prisoner poses havebeen entered by the police, escort contractors or others.

3.5.3 Section 4 of the ICA 2 also directs the collection of other documents. Thecollection of information must be completed as soon as possible after sentence.Where available, information must be used to inform the categorisation andallocation process.

3.5.4 The OCA Unit will have responsibility for ensuring external reports are obtained,but local arrangements may be made for the Custody Office/Discipline Office tocollect the reports on behalf of the OCA Unit.

3.5.5 The Custody Office must immediately inform the OCA Unit of any changes in theYoung Offender's circumstances (such as a change in release date followingappeal) as well as updating the entries on the Local Inmate Database System(LIDS).

3.5.6 The OCA Unit must decide in each case whether it requires internal reports, e.g.from the Medical Officer, Psychologist, Personal Officer, Probation Officer orChaplain. These reports should not duplicate material already in the YoungOffender's current or previous F2050 that will be referred to by the OCA Unitduring the categorisation and allocation process. Arrangements for obtaininginternal reports will be similar to the contribution system for sentence planningadopted locally. The reports must be kept with the ICA 2 Form which should befiled with the sentence planning file. All of these documents must eventually befiled in the juvenile's or Young Offender's F2050 record.

3.6 Using Form ICA2

3.6.1 Categorisation of all male Young Offenders, other than those provisionallycategorised A; those categorised Restricted Status; those sentenced to lifeimprisonment or those sentenced to HMP, is completed using the ICA 2. ThisForm must be raised in all cases, as it is the basis for allocation and the earlystages of the sentence management process.

3.6.2 The categorisation section consists of an algorithm, using as its database briefdetails of the current offence, sentence, previous convictions and custodialsentences (especially for sexual offences and/or violence) and previous escapes,escape attempts or absconds.

3.6.3 Having recorded the base data by marking a series of boxes, the OCA Unit officermust then complete the algorithm. This will indicate a provisional securitycategory.

3.6.4 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, reasonsfor 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 anapparently minor offender), or to an unusual combination of factors that producesan obviously unreasonable result from the algorithm. Where this is the case, theofficer must specify those factors that are relevant and give details - beforeoverriding the security category. Any decision to override a security category must


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must be countersigned by a Senior Officer or above ( or equivalent grades incontracted out establishments) at the end of Section 5.

3.7 Allocation Procedures

3.7.1 The allocation of Young Offenders following conviction must form a process.distinct from categorisation. While the two procedures will normally be completedby the same OCA Unit, and be conducted by the same officer, this need not beon the same day. Indeed, if the information necessary for categorisation isavailable, there is no reason why this process should be delayed merely becauseinformation which may be required for allocation (e.g., a psychologist's report) hasnot arrived. In practice however, it will often be more convenient to undertakeboth on the same day following a single interview with a Young Offender. In suchsuch cases the officer responsible must be alert to the danger of allowing his orher conclusions on allocation to influence those on categorisation.

3.7.2 Sentence planning is required for all Young Offenders with at least 4 weeks left toserve and consequently must begin promptly, with allocation being completed assoon after sentence as practical. Home Detention Curfew risk assessments forYoung Offenders should also commence as soon as possible. Young OffenderInstitutions should agree arrangements locally in order to adopt the most efficientapproach. Whenever # is recognised that, for any reason, early allocation andtransfer will not be possible, action must be taken to ensure that A CR, DCR orHDC documents are started or completed at the YOI, so that risks can beassessed, needs identified and realistic targets set. This is of particularimportance in the case of Young Offenders who must have their sentence planreviewed at least 3 monthly.

3.7.3 Two, often conflicting, priorities must govern the allocation of Young Offenders:

• the needs of security; and

• the needs of individual Young Offenders.

3.7.4 While the main factor to be considered in determining a Young Offender'sallocation must always be his security category, and a young prisoner who hasbeen assigned to a particular security category should be considered for allocationallocation to a Young Offender Institution of that category, account must also betaken of:

• his suitability for particular types of accommodation (factors such asvulnerability, immaturity etc.);

• his medical and/or psychiatric needs that may require a particular level ofcare;

• need for identified offence related behavioural programmes to confrontassessed risk;

• his home area, or that of his visitors, maintenance of family ties;

• his educational or training needs; and

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any restrictions on allocation criteria agreed with local authorities, governors, AreaManagers or Estate Planning Section in Headquarters.,

3.7.5 All receiving YOIs must have a published list of acceptance criteria which issigned by the Governor and the Area Manager and which is reviewed at leastevery 12 months.

3.7.6 There may be occasions when the OCA Unit will be unable to allocate a YoungOffender to the establishment for which he is most suited in terms of categoryand needs. This may arise either because the Young Offender Institutionconcerned lacks vacancies, or because certain acceptance criteria are imposed.

3.7.70CA Units must maintain a comprehensive directory of receiving Young OffenderInstitutions' criteria for transfer to ensure that Young Offenders are suitable priorto allocation being confirmed. Spaces available throughout the estate are co-ordinated by the National Operations Unit (NOU), Security Group.

3.7.8 It is not acceptable, under any circumstances, to modify the process or outcomeof a Young Offender's security categorisation in order to achieve a better matchbetween offenders and available spaces. In the last resort only, a YoungOffender categorised as suitable for open conditions may be allocated to a closedYoung Offender institution solely on the grounds that no alternative space isavailable in the open estate. Where this is done, the fact must be specificallyrecorded in section 11 of his ICA 2 document. A Young Offender categorised forclosed conditions must not, however, be allocated to an open Young OffenderInstitution.

3.8 Allocation Documentation

3.8.1 Juveniles and Young Offenders are allocated by the OCA Unit which has beenresponsible for their security categorisation. Allocations are controlled by the

- National Operations Unit.

3.8.2 Allocation must be informed by available documentation relating to current andprevious offending and custodial behaviour. Section 4 of the ICA 2 Formindicates the sources of information that may be necessary and provides a recordof 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.

3.8.3 The Medical Officer must advise on the level of healthcare required by individualYoung Offenders. Any advice must be recorded at section 5 of the ICA 2. Theneed for confidentiality must be respected. Reference must be limited to fitnesscategory and any health needs that may require special consideration whendeciding an appropriate allocation.

3.8.4 An initial allocation assessment on paper will normally be followed by aninterview. The interview should inform the completion of the various parts ofSections 5 and 6 of the ICA 2 Form. Any personal comments the offender maywish to make in relation to his allocation should be recorded at section 6. Havingcompleted this process, the officer must then decide which establishment issuitable, giving reasons for the decision. Those Young Offenders for whom thealgorithm indicates conditions of "long term closed" must be allocated to anappropriate establishment.


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3.8.5 Care must be taken to ensure that the final decision is informed by the specificallocation criteria agreed between the governor and Area Manager for eachprison.

3.8.6 The officer must then provisionally allocate the Young Offender to the waiting listfor a particular establishment and record the recommended allocation in section 6.6. If this is to a closed Young Offender Institution and the Young Offender has asecurity categorisation of open, the reasons for this decision must be recorded.

3.9 Guidance on completing the ICA 2 (Initial Categorisation and AllocationForm)

3.9.1 The Form must be used for all male Young Offenders other than those inCategory A, Restricted Status, Life Sentence prisoners or those sentenced toHMP. The Form is for categorisation and allocation, and for all Young Offenders,forms the first stage of sentence planning.

3.9.2 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 andinstructions given in paragraphs 3.6 and 3. 7 of this Order. If it is completed onLIDS, the printout must be stapled to the ICA 2 Form. Tick the box which indicatesindicates whether the young prisoner has been recommended for deportation. Itdoes not matter whether this is as a result of a court order, or a direction of theHome Secretary. If the young prisoner's status is unclear, the Discipline Officemust be asked to pursue the matter.

3.9.3 All policy and principles contained in previously issued IGs still apply exceptwhere this documentation replaces previous documents.

Chapter 4 ALLOCATION OF JUVENILES

4.1 Initial Allocation procedures

4.1.1 The Youth Justice Board has prime responsibility for the allocation of juvenilessentenced to a Detention training Order (DTO). Those whom it is determined willserve their DTO in a Prison Service establishment will invariably be allocatedinitially to a closed Young Offender Institution.

4.2 Subsequent allocation

4.2.1 Any subsequent transfer to an open establishment must be assessed in line withthe process of risk classification set out in ICA2 (for male juveniles) and ICA3 (forfemale juveniles).

Chapter 5 PROCEDURES FOR MALE AND FEMALE SECTION 53 JUVENILESAND YOUNG OFFENDERS

5.1 General

5.1.1 Juveniles (aged between 15 and 17 years of age), sentenced under Section 53of the Children and Young Persons Act 1933 may be allocated to a YOI, localauthority Child Care Establishment or Glenthorne Youth Training Centre run bythe Department of Health. Those allocated to local authority care are in most


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cases transferred to a YOI at the age of 18 years. Allocation decisions are madeon a case by case basis by the Section 53 Unit in Abell House. In some cases theSection 53 offender will be allocated to the catchment YOI direct from court

without prior knowledge of the Section 53 Unit.

5.1.2 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.

5.1.3 The completed ICA 2 or ICA 3, with a recommendation for the juvenile or YoungOffender to remain in the allocating Young Offender Institution or to betransferred to another Young Offender Institution, must be sent to the Section 53Caseworking Unff in Room 312D, Abell House. Only if there are any specialcircumstances or particular issues for consideration is it necessary to send anyrelevant supplementary information.

5.1.4 In cases where a juvenile offender is allocated direct from court and the OCArecommends the juvenile be allocated to a Local Authority Secure Unit, thecompleted ICA 2 or 3 Forms plus all relevant background reports must be sent toSection 53 Caseworking Unff in Room 312D, Abell House.

5.2 Sentence Planning

5.2.1 All Section 53 determinate sentence juveniles and YO's who are in Prison ServiceService establishments must be sentence planned on the national system usingACR/DCR documents as appropriate.

5.3- Procedures for HMP and Indeterminate Sentences under Section 53 (maleand female)

5.3.1. Allocation - Juveniles sentenced to detention during Her Majesty's Pleasure orDetention for Life are generally allocated by the Lifer Section in Abell House.ICA2 should be completed and sent with all relevant background information andsupplementary reports to Lifers Allocation in Abell House. However, there are asmall number of very young juveniles (usually under the age of 16) who havebeen sentenced to detention during Her Majesty's Pleasure or for life where theresponsibility for their allocation rests with the Section 53 Caseworking Section inAbell House. This section will generally have been given prior warning of theircourt appearances and the detainees would, in most cases, have already beenheld in a secure unit on remand.

5.3.2 Sentence Planning - the life sentence plan system (and documents) applies tojuveniles and YO's sentenced to HMP, and to indeterminate sentences underSection 53.

Chapter 6 CATEGORISATION AND ALLOCATION OF FEMALE PRISONERS

EY POINTSThese orders set out the procedures and documentation for the initial


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categorisation and allocation of all sentenced female prisoners other than thosefor

whom responsibility lies with headquarters. They do not apply to Category A or tolife 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 categorisationand

allocation process; procedures for allocation to establishments; and guidanceon

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 thesecurity of the state, no matter how unlikelythat escape might be, and for whom the aimmust be to make escape impossible.

Closed Conditions

Prisoners for whom the very highest conditions of security are not necessary but whopresent too high a risk for open conditions; cannot be trusted in open conditions or forwhom open conditionsare 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 forwhom open conditions are appropriate.

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6.2 The Principles of Security Categorisation

6.2.1 All prisoners must be categorised objectively according to the likelihood that theywill abscond and the risk that they would pose should they abscond.

6.2.2 Factors such as ability to mix with other prisoners, educational, training or medicalmedical needs, and the availability of vacancies at suitable establishments mustnot be taken into account at this stage. They are for consideration dudngallocation. /f eligible, a prisoner must be assigned to a semi- open or an opensecurity category even if it is clear that it will not be possible to allocate her to asemi-open or an open prison immediately. The suitability and allocation processmay immediately follow, but will be distinct from security categorisation.

6.2.3 The criteria applied at initial allocation to the assessment of risk to thepublic 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 thepast 5 years; has a previous conviction within the past 5 years for a seriousoffence of actual or threatened violence or harm, a sexual nature, drug dealingor 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 orpsychological problems;

VII.there are further charges outstanding or the prisoner is awaiting furthersentencing ;

VIII.there is concern about any escape or abscond from any form of custody,breach of licence, community service order or community sentence during thepast 3 years;

IX.the prisoner is subject to enforcement action under the Immigration Act (1971)

6.2.4 If none of the criteria in paragraph 6.2.3 apply, categorisation to open conditionsmust be regarded as proving an appropriate level of security on initial categorisation.

6.2.5 If only either viii or ix at paragraph 6.2.3 apply:

• there is concern about any escape or abscond from any form of custody, breach oflicence, community service or community sentence during the past 3 years or,

• the prisoner is subject to enforcement action under the Immigration Act (1971)

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level of security on initial categorisation.

6.2.6 Categorisation to closed conditions must otherwise be applied.

6.3 Assessment of Suitability

6.3.1 For those prisoners given a 'closed' security category there is no need tocomplete the suitability section of the ICA 3. However, those prisoners who arecategorised as not requiring closed conditions must now be assessed forsuitability for semi-open or open conditions. The suitability assessment takesaccount of the fact that (i) not all prisoners will be suitable for semi-open or openconditions or (ii) semi-open or open conditions might not be appropriate forcertain prisoners.

6.3.2 Prisoners categorised for semi-open or open must probably be regarded assuitable for semi-open or open conditions unless any one of the following criteriaapplies:

• 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 oropen conditions;

• there is an open F2052SH and the case conference has decided that atransfer 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 undergoinga detoxification programme or has recently completed a detoxificationprogramme.

Those prisoners found unsuitable for semi-open or open conditions must now beallocated to a closed establishment.

6.4. Principles of Allocation

6.4.1 A prisoner with a "closed' security category must be allocated to a closedestablishment. A prisoner categorised as semi-open but who is deemedunsuitable for semi-open conditions must be allocated to a closedestablishment. A prisoner who is categorised open but who is deemed unsuitableunsuitable for open conditions must initially be allocated to a closedestablishment.

6.4.2. The allocation assessment should recognise that there may be significantfactors which influence the prisoner's allocation. These may sometimes overridea semi-open or an open categorisation and suitability assessment and result inthe prisoner being retained in closed conditions if a closed is the mostappropriate. Care must be taken however, to ensure that the allocation of such

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prisoners is kept under regular review and they are not retained in conditions ofhigher security longer than is necessary or appropriate. Examples of significantallocation 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

6.4.3 Prisoners categorised and suitable for semi-open conditions must betransferred to a semi-open prison as soon as possible. Those prisoners whohave been categorised and are suitable for open prisons, and have nocircumstances that warrant their retention in a closed prison, must be transferredto an open prison as soon as possible.

6.5 Responsibility for the Categorisation and Allocation Process

6.5.1 Arrangements for recommending prisoners for Category A status are detailed inChapter 9 of the Security Manual.

6.5.2 The principles governing the categorisation and allocation of life sentenceprisoners are set out in the Lifer Manual (PSO 4200).

6.5.3 The initial categorisation and allocation of all other female prisoners plus theallocation of those downgraded from Category A after conviction, must be carriedout by the OCA unit, using guidance contained in these orders and /CA3documentation. Procedures must be completed by staff specially trained and ableto competently fulfil the OCA role.

6.5.4 Staff completing the form must be responsible to a senior manager as designatedby the governor. The form must be countersigned by an officer at/east one gradehigher than the member of staff completing the form.

6.6 The Process of Categorisation and Allocation - Unsentenced Prisoners

6.6.1 All prisoners on remand awaiting trial, or convicted and awaiting sentence, otherthan those provisionally placed in Category A, are to be placed in Category U(Unclassified).

6.7 The Process of Categorisation and Allocation - Sentenced Prisoners

6.7.1 Both categorisation and allocation and further sentence planning depend uponthe prompt collection of information about the prisoner concerned. For theprocess of categorisation and allocation the following documents are required asa 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), pleas(s), finding(s) and sentence(s) relating tocurrent offences (Crown Court form 5089), where applicable; and

• the PER form, where comments about the risk the prisoner poses havebeen entered by the police, escort contractors or others.

6.7.2 Section 3 of the ICA 3 Form also directs the collection of other documents. Thesemust be collected as soon as possible after sentence . Where available, theinformation will be used to inform the categorisation and allocation process.

6.7.3 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 reportson behalf of the OCA unff. The OCA unit must decide in each case if it requiresintemal reports, e.g., from the medical officer, psychologist, personal officer,probation officer or chaplain. Arrangements for obtaining internal reports will besimilar to the contribution system for sentence planning adopted locally. Whereintelligence 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 thesafety of persons, the nature and reliability of the information should be discussedwithout identifying its source. Similarly, where identification of the source ornature of the information could jeopardise ongoing investigations by the PrisonService or external agencies, it may be appropriate to withhold temporarily fromthe prisoner the full details of the allegation or information against her. Where staffstaff believe this is appropriate, a governor grade or equivalent grade withincontracted out establishments, must decide whether the withholding of theinformation from the prisoner is appropriate given the individual case of theprisoner. Where information has been withheld so as not to compromise ongoinginvestigations, the manager responsible for the OCA/recategorisation must ensureensure that the investigation is completed as quickly as possible so that theprisoner can be told, in detail, of the information about her and thereasons for any decisions subsequently made.

6.7.4 The custody/discipline office must immediately inform the OCA unit of anychanges in the prisoner's circumstances (such as a change in the release datefollowing appeal), as well as updating the entries on the local Inmate DatabaseSystem (LIDS).

6.7.5 Reports used for section 3 of the ICA 3 are also used for ongoing sentenceplanning and possible recategorisation. Copies must be included in the sentenceplanning file with the ICA3. Eventually all of these forms must be filed in theprisoner's F2050, and must accompany the prisoner on transfer. Any reportsreceived after the transfer of the prisoner to another establishment must beforwarded immediately to the custody office of that establishment.

6.7.6 Because of the need to begin sentence planning at an early stage for thosesentenced to 12 months or over, allocation must be completed as soon aftersentence as is practical Of equal importance is the requirement to enable HomeDetention Curfew risk assessments to commence as soon as possible for eligibleprisoners. Prisons should agree arrangements locally in order to adopt the mostefficient approach. Whenever it is recognised that for any reason, early allocationand transfer will not be possible, action must be taken to ensure that ACR, DCRor HDC documents are started or completed at the local prison.


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6.7.7 In those cases where the prisoner is categorised to closed conditions allocationmust be to a closed establishment.

6.7.7a In cases where the prisoner is categorised to semi-open conditions theremust be a

presumption that allocation will be to a semi-open prison unless the prisoner isassessed as unsuitbale for semi-open conditions or where there are significantreasons for the prisoner to be allocated to a closed prison. With regard to theabove, the prisoner must, where possible, be allocated to an establishment towhich she is most suited in terms of category and needs. A prisoner categorisedsemi-open must not be allocated to an open prison.

6.7.8 /n cases where the prisoner is categorised to open conditions there must be apresumption that allocation will be to an open establishment unless the prisoner isassessed as unsuitable for open conditions or there are significant reasons for thethe 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 sheis most suited in terms of category and needs. If a prisoner categorised andallocated to an open prison is unable to be allocated a place immediatelybecause of lack of vacancies, she may be held temporarily in a semi-openprison until a suitable vacancy arises.

6.7.9 OCA units must refer to any guidance on allocation and must maintain acomprehensive directory of receiving prisons' criteria for transfer to ensure thatprisoners are suitable prior to allocation being confirmed.

6.7.10 Receiving prisons must have published acceptance criteria that have been agreedagreed by the governor and the Operational Manager - Women's Prisons andthat have been recorded in the annual business plan. Any deviation from the fistmust be agreed between the sending prison and the receiving prison.

6.8 Guidance on Completing Form ICA 3

6.8.1 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 & allocationprocess. 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 tocurrent offences;

• any comments made on the PER Form;

• any pre-sentence reports;


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• judges' remarks;

• police post-trial report; and

• interviews with the prisoner.

6.8.2 Completion of pages 1 and 2 are self-explanatory. These do not"form part of thecategorisation process and may be completed by staff other than those working inthe OCA unit. The following Instructions, however are pertinent to the completionof pages 1 and 2: IG 54/94 (Schedule 1 status); IG 36/95 (Calculation of FLED &RLED)

6.8.3 Pages 3 and 4 determine the categorisation and allocation of the prisoner andmust be completed by OCA staff. The boxes in this half of the form should beticked 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 criteriahowever, 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 initialcategorisation, be categorised as requiring closed conditions unless only (viii)or (ix) applies in which ease categorisation may be to semi-openconditions. 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 thebeginning 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 maybe concern over the offence type itself. However, staff must consider not just thetype of offence, but also its nature. Pre-sentence reports, OASys forms whereavailable, judges' remarks and police post- trial reports should provide details ofthe circumstances of the offence.

• Previous Convictions

When looking at previous convictions staff must not only look for serious offencesthat have considerably threatened public safety; but also at long pattems of minoroffending that might indicate :(a), the prisoner's long term recidivism; or (b), thatthe prisoner's offending is growing more serious.

• Schedule 1 offences

Schedule 1 status should not automatically bar a prisoner from a semi-open oran open prison, but staff must consider fully the circumstances of any Schedule 1offence before any female is categorised semi-open or open. Some cases willcause little concern. For example, where the Schedule 1 status resulted from ateenage fight with a peer occurring some years ago and where there has been noinstances of violence since, categorisation as semi-open or open should not beruled out. However, in cases where the offence was more serious, very recent, or

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involved the targeting of a specific victim, staff must comply with the proceduresdetailed in IG54/94, (in particular obtaining input from probation and contactingSocial 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 barprisoners from being categorised as semi-open or open. However, if there areconcerns about this association (e.g., it means that the prisoner is more of a riskto 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 problemsmust be categorised initially to closed conditions, until they can be properlyassessed by medical staff. There may on occasions be prisoners in this categorywho do not pose a risk to the public, do not need close supervision and whomight 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 asuitable period of assessment.

• Further charges

Prisoners with further charges, outstanding confiscation orders, or who areawaiting further sentencing must be categorised "closed" until the outstandingcharges 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. Anydemonstration of trustworthiness (e.g., successful ROTL) must be considered inmitigation.

• Subject to enforcement action under the Immigration Act (1971)

Prisoners subject to such action must not be allocated to open conditions unlesshighly exceptional circumstances arise (e.g., to enable a mother and baby to staytogether when the only suitable establishment is an open prison). Governors mustseek the approval of the Operational Manager - Women's Prisons for such atransfer to open conditions.

6.8.4 Where staff have completed page 3 of the form and have categorised a prisoneras semi-open or open, they must now complete the suitability assessment onpage 4. Here they are asked to consider the following factors: (a), the prisoner's

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custodial behaviour; (b), the prisoner's medical requirements; (c), the prisoner'sability to cope, vulnerability; (d), the risk of self-harm or suicide; and (e), any druguse 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 semi-open or open conditions. The lower inmate:staff ratio in these establishmentsand the inappropriate use of segregation facilities for any length of time in semi-open and open conditions makes it more difficult to enforce proper control of thebehaviour of difficult prisoners. It is a matter of judgement which prisoners will beassessed as persistent control problems, but particular attention must be paid toprisoners with a record of assaults against staff or other prisoners; prisonerscharged 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 thepresence or absence of a '_ull-time doctor" must not automatically impact on aprisoner's allocation. A prisoner's unsuitability for allocation to semi-open oropen conditions on medical grounds must be based solely on clinical need. Forexample, a small number of prisoners will require allocation to an establishmentwith a HCC staffed 24 hours a day because of their medical or psychiatriccondition (e.g., a pregnant diabetic who is refusing treatment). In such cases, thereason and duration of this restriction must be certified on the form by the prisonmedical 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, inwhich case she should be allocated to an establishment with an eveningtreatment round. Normal pregnancy must not be a bar to allocation to a semi-open or an open prison, as all female prisons should be able to provide antenatalservices up to and including 32 weeks of pregnancy. Thereafter the mother-to-beshould be transferred to the Mother and Baby Unit for which she has beenaccepted (if applicable). Stable diabetics, women using tranquillisers, women withnon-urgent or routine hospital appointments must also be allocated in the usualway unless the medical officer confirms a clinical need for closed conditions.Women with an urgent outpatient appointment or in-patient admission mustremain at the establishment at which the appointment was made.

• Vulnerability

Prisoners may be vulnerable for a number of reasons: their personality, inability tocope with custody, the nature of their offence etc. Some prisoners may bevulnerable due to their inability to cope with prison life to the extent that closedconditions, with closer oversight and cellular accommodation, may beappropriate. Other prisoners may, due to the notoriety or the nature of theiroffence, need protection from other prisoners or from intrusive media attention.

• At risk of self harm/suicide



Not all prisoners considered to be at risk of self-harm or at risk of suicide willrequire closed conditions, but great care should be taken when allocating suchprisoners to the semi-open or open estate.

An F2052SH must not be closed purely to enable a prisoner's transfer to thesemi-open or open estate as prisoners with an open F2052SH are not precludedfrom semi-open or open conditions. Prisoners should not be transferred within72 hours of an F2052SH being closed. The only exception to this should bewhere the risk of suicide or self-harm is directly attributable to the fact of theprisoner being held in closed conditions.

• Drug user/undergoing drug treatment/recently completed drug treatment

Prisoners using drugs or undergoing detoxification present the biggest risk ofabscond and must not be allocated to semi-open or open prison. Prisonersundergoing detoxification in a closed establishment must not be reallocated to thesemi-open or open estate immediately following completion of the programme.

6.8.5 The allocation assessment should follow an interview with the prisoner and isdesigned 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 andsuitability assessment. For example, prisoners may need to be retained in closedconditions to maintain closeness to home, particularly to enable ease of visitsfrom young children. Other examples of where retention in a closed prison mightbe appropriate include: to enable the prisoner to meet sentence planning targets;to enable completion of a detoxification programme; to enable access to legaladvisers where there are ongoing court proceedings: to facilitate completion ofa resettlement programme; to enable non-English speakers to be locatedtogether; or to enable prisoners to attend urgent outpatient appointment or an

• inpatient admission (e.g., for a malignant or life threatening condition), or toenable them to resolve urgent domestic issues. Early recategorisation may beappropriate 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 becomemore 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, therecategorisation process

serves as a regular review of their circumstances and of any progress made inmeeting 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 nolonger suitable for open conditions or there are other signifcant reasons for theirtransfer to closed conditions.

• These orders set out the procedures and documentation for therecategorisation

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and allocation of all sentenced female prisoners other than those for whom theresponsibility lies with headquarters. They do not apply to Category A or to lifesentence prisoners or to male young offenders or adult males.

ACR prisoners (those serving over 12 months but less than 4 years) held inclosed and in semi-open prisons must have a recategorisation reviewevery 6months. DCR prisoners (those serving more than 4 years) must have their securitysecurity 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 recategorisationresponsibility

for the recategorisation process; procedures for recategorisation; and guidanceon completion of the form.

• This is an open document (but see 7.4.1)

7.1 Principles of Recategorisation

7.1.1 By the time a prisoner is eligible for review, staff will know much more about herthan when she was first categorised by OCA staff in the local prison. The aim ofrecategorisation is to use this information to establish whether there has been anyclear change in the risk the prisoner poses. More specifically staff must answertwo important questions: (i), is the prisoner more or less of a risk to the public thanwhen she was first categorised; and (ii), is she now more or less likely to escape oror abscond. It is not necessary to prove continued or increased risk in both areasto retain the prisoner in her present category or upgrade her. There will beprisoners who pose less risk of escape than they once did, but who present sucha serious threat to public safety that we cannot accept even the smallest chancethat they will abscond or escape.

7.1.2 Having balanced the risk of the prisoner escaping or absconding against the likelyrisk to the public were she to do so, governors (or equivalent grades in contractedout establishments) must decide, provisionally, whether the prisoner should remainremain in her current category, or whether she should be upgraded ordowngraded. However, there will be some prisoners who, while posing less riskand therefore being eligible for downgrading, may be unsuitable in other ways fortransfer to conditions of lesser security. Staff must complete the suitabilityassessment at the end of the recategorisation form, after which the prisoner's newsecurity category can be finally decided.

7.2 Responsibility for the Recategorisation Process

7.2.1 The recategorisation of Category A prisoners is dealt with in headquarters by theCategory A Committee.

7.2.2 The recategorisation of life sentence prisoners is dealt with in headquarters by theLifer Management Unit.

7.2.3 Recategorisation of all other female prisoners may be carried out by the OCA unit,


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or by other suitably trained staff as designated by the govemor or director, usingguidance contained in these Orders and RC3 documentation. Recategorisationdecisions may be made by a board or by a single manager.

7.2.4 Procedures must be completed by staff specially trained and able to competentlyfulfil the OCA role. Staff completing the form must be responsible to a seniormanager as designated by the Governor. The form must be countersigned by anofficer at least one grade higher than the member of staff completing it.

7.3 Recategorisation Procedures

7.3.1 At the time of recategorisation there may be a number of additional reportsavailable, 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

7.3.2 Account must be taken of all relevant documentation. A copy of the completedRC3 must be included in the sentence planning file alongside the ICA3. All theseforms must eventually be placed in the prisoner's F2050, and accompany her ontransfer.

7.3.3 All prisoners held in closed and semi-open conditions, other than those servingless than 12 months, must have their security category and allocation reviewed atregular intervals, or whenever there is a significant change in their circumstances.Except for Category A prisoners, who are considered by the Category ACommittee and life sentence prisoners, whose cases are considered by the LiferManagement Unit, the first review must take place no later than 12 months aftersentence and thereafter at least every 12 months.

7.3.4 ACR prisoners (those serving over 12 months but less than 4 years) held in closedclosed and semi-open prisons must have a recategorisation review every sixmonths. DCR prisoners (those serving more than 4 years) must have their securitycategory reviewed annually.

7.3.5 All prisoners may have a review outside this, and must be reviewed as soon aspossible if any of the following apply:

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• deportation order lifted;

• reduction of sentence following appeal; or

• outstanding charges/sentencing dealt with.

7.3.6 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 wouldbenefit from semi-open or open conditions; or

• outpatient treatment has ended.

7.3.7 Routine recategorisation reviews of prisoners held in open conditions are notrequired. Such prisoners may, however, be recategorised to closed or to semi-open conditions at any time if there is an increase in the risk they pose.

7.3.8 The recategorisation form is an open document and may be disclosed toprisoners. Where intelligence, of relevance to the recategorisation review, hascome from sources that do not wish to be revealed (e.g. prisoner informants) orwhere disclosure of the source could jeopardise the safety of the informant; thenature and reliability of the information should be discussed without identifying itssource. Similarly where identification of the source or nature of the informationcould jeopardise ongoing investigations by the Prison Service or externalagencies, it may be appropriate to withhold temporarily from the prisoner, the fulldetails of the allegation or information against her. Where staff believe this isappropriate a governor grade, or equivalent grade in contracted out

. establishments, must decide whether the withholding of the information from theprisoner is appropriate given the individual case of the prisoner. Whereinformation has been withheld so as not to compromise ongoing investigations,the manager responsible for the recategorisation must ensure that theinvestigation 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 anydecisions subsequently made

7.4 Guidance on Completing the Recategorisation Form - Recategorisationfrom Closed Conditions

7.4.1 Part 1 of RC3 must be completed. At initial categorisation a prisoner may havebeen allocated to closed conditions for one of three reasons: (i) her securitycategorisation was closed (ii) she was assessed as being unsuitable for semi-open or open conditions or (iii) there were other significant issues which indicatedthat location in a closed establishment was in the prisoner's own interests.

7.4.2 When considering recategorisation from closed conditions, reference must be


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made to the original ICA3; documentation on which completion of the ICA3 wasbased and all subsequent relevant reports. The RC3 requires the officercompleting it to consider any progress made by the prisoner or change in theprisoner's circumstances since the initial categorisation or the previousrecategorisation. The officer must then assess whether this is sufficient to warrantrecategorisation and reallocation to semi-open or open conditions.

7.4.3 Those prisoners considered for recategorisation from closed to semi-openprisons must have demonstrated a clear change in risk to the public and,although perhaps at risk of absconding from an open prison, areconsidered unlikely to breach the perimeter at a semi-open prison.Prisoners must also be suitable for semi-open conditions.

7.4.4 Prisoners may be recategorised from directly from closed to openconditions: there no requirement to progress via the semi-open estate. SuchSuch prisoners must have demonstrated a clear change in risk to the publicand be considered unlikely to abscond.

7.4.5 Although most of the initial security categorisation criteria are static, a change incircumstances or progress made by the prisoner during her sentence maymitigate these sufficiently to indicate that risk has been reduced. The areas thatmust be considered during recategorisation are detailed below.

7.4.6 LENGTH OF SENTENCE - Prisoners serving a long sentence may pose a riskofabsconding and/or a risk to the public. For some prisoners however, the length ofsentence may have been the only factor which prevented their initial allocation tosemi-open or an open prison. For these prisoners, recategorisation may beappropriate irrespective of the time left to serve. In assessing whether or notprisoners 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 outappropriate domestic arrangements and to establish sentence planning priorities.Risk of abscond must be weighed carefully, particularly if the prisoner has a longtime left to serve or has family who may find it difficult to visit were she to beallocated to a semi-open or an open prison.

7.4.7 NATURE OF OFFENCE - In assessing whether sufficient progress has beenmade by the prisoner in reducing the risk to the public, account should be takenof: (i) any offending behaviour work; (ii) other work on offending completed withprobation (iii) successful completion of other courses which may impact on riski.e.: literacy; financial management (iv) change in attitude (v) maturity.

7.4.8 Whether the progress made has been sufficient to lessen the risk the prisonerposed to the public on initial categorisation, depends on the individualcircumstances of the case. Staff must assess: whether the prisoner hasaddressed the cause of her offending; whether she has developed any skillswhich will help her to avoid offending in the future; and whether she has beengenuinely motivated to change her behaviour. The more serious the offence thegreater the need for compensating factors. Some offences may be so serious thatthe prisoner may never be suitable for recategorisation to semi-open or openconditions.

7.4.9 PREVIOUS CONVICTIONS - As noted above, work may have been completed


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during the current sentence which has reduced the risk the prisoner poses to thepublic to an acceptable level. When assessing risk to the public, staff mustconsider the types of offence the prisoner has committed, the pattern of offending,offending, and whether the prisoner's offending is growing more serious.

7.4.10 SCHEDULE 1 OFFENDER - Schedule 1 status should not automatically bar aprisoner from being reallocated to a semi-open or an open prison, but staff mustconsider fully the circumstances of any Schedule 1 offence before any female isrecategorised. Some cases will cause little concern. For example, where theSchedule 1 status resulted from a teenage fight with a peer occurring some yearsago and where there has been no instances of violence since, recategorisationshould not be ruled out. However, in cases where the offence was more serious,very recent, or involved the targeting of a specific victim, staff must comply withthe procedures detailed in IG54/94, (in particular obtaining input from probationand contacting Social Services to obtain details of the whereabouts of thevictim/victim issues) before proceeding with the recategorisation.

7.4.11 SERIOUS CRIMINAL ASSOCIATION - The nature of the semi-open and theopen estate must be borne in mind when assessing this risk. For example is theprisoner associated with a drug dealer who might see her location in an openprison as a means of dealing in drugs? Or would the prisoner be placed underpressure from associates to abscond or be assisted in breaching theperimeter at a semi-open prison ?

7.4.12 MENTAL ILLNESS - Semi-open or open conditions must be considered if theprisoner is not seriously disturbed; her offences do not involve violence orotherwise dangerous behaviour; she does not require a health care centre staffed24 hours a day ; she does not require close observation by uniformed staff for herown safety and she would actively benefit from semi-open or open conditions.

7.4.13 FURTHER CHARGES OUTSTANDING/AWAITING FURTHER SENTENCING -

If, on initial categorisation the prisoner was categorised 'closed' only as a result ofhaving further charges, she may be suitable for recategorisation once thesecharges have been dealt with. Much will depend on the nature of these otheroffences and any sentence, or court award that was imposed for them.

7.4.14 PREVIOUS HISTORY OF ESCAPETABSCOND/BREACH OF TRUST- A

prisoner who has breached trust in the past may since have demonstratedtrustworthiness by successfully completing periods of release on temporarylicence or by holding positions of trust within the prison. Prisoners with a previousbreach of trust within the relevant timescale but who have successfully completeda sentence in open conditions, or have successfully returned from ROTL, must beconsidered for semi-open or open conditions.

7.4.15 PRISONERS SUBJECT TO ENFORCEMENT ACTION UNDER THEIMMIGRATION ACT (1971)- Prisoners subject to such action must not bereallocated to open conditions unless highly exceptional circumstances arise (e.g.,(e.g., to enable a mother and baby to stay together when the only suitableestablishment is an open prison). Governors must seek the approval of theOperational Manager- Women's Prisons for such a transfer to open conditions.


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7.4.16 The criteria used to assess initial suitability for semi-open and open conditionsare not static factors and may apply only for a short time. Regularrecategorisation reviews will serve to consider any changes in the prisoner'scircumstances or behaviour. For example, a prisoner who initially presented acontrol problem may have displayed such a sustained and appreciableimprovement in behaviour to warrant a reallocation to semi-open or openconditions. In reassessing such prisoners, account must be taken of the nature ofthe semi-open and open estate: a prisoner whose behaviour is marginallyacceptable in closed conditions may be too disruptive in semi-open or open.Alternatively, continued location in closed conditions may be adversely affecting aprisoner's behaviour.

7.4.17 Similarly medical issues may have been resolved, as might issues surroundingthe prisoner's mental well-being. Staff must consider any changes in the prisonerprisoner's circumstances. For example, on initial reception the prisoner may haveappeared vulnerable or likely to harm herself. Some prisoners however, havinghad time to settle down in closed conditions might benefit from reallocation tosemi-open or open conditions after a short period.

7.4.18 As with the suitability issues above, allocation issues that prevented the prisonerfrom being (re)categorised semi-open or open on previous occasions may havechanged.

7.4.19 Care must be taken to ensure that there are no new issues of security toconsider (i.e. new charges; breach of trust during sentence) in the case of thoseprisoners originally precluded from semi-open or open conditions on grounds ofsuitability or allocation issues.

7.5 Guidance on Completing the Recategorisation Form - Recategorisationfrom Semi-Open Conditions

7.5.1 For recategorisation from semi-open conditions to open conditions, Part 1of RC3 must be completed. For recategorisation from semi-open to closedconditions, Part 2 of RC3 must be completed.

7.5.2 Prisoners in semi-open prisons may need to be recategorised because theynow pose a greater risk to the public or are considered at risk of breachingthe perimeter; their behaviour makes them unsuitable for semi-openconditions or, for other reasons, they are felt to require the closersupervision of the closed estate.

7.5.3 Prisoners recategorised from semi-open to open conditions must be able todemonstrate a continued low risk to the public, a low risk of abscond andsuitability for open conditions.

7.6 Guidance on Completing the Recategorisation Form Recategorisationfrom Open Conditions

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7.6.1 Some prisoners in open conditions may need to be recategorised to closedconditions after a period of time because they now pose a greater risk; theirbehaviour makes them unsuitable for open conditions or, for other reasons, theyare felt to require the closer supervision of the closed estate. Part 2 of the RCAmust be completed.

7.6.2 Some prisoners in open conditions may need to be recategorised to semi-open conditions. Such recategorisations must be based solely on anincreased risk of abscond or on allocation needs. Prisoners posing anincreased risk to the public or who are deemed unsuitable for openconditions, must be recategorised to closed conditions. Part 2 of RCA mustbe completed.

7.6.2 In recategorising a prisoner from open conditions the establishment must bear inmind the categorisation criteria contained within ICA3 and their ownacceptance criteria agreed by the Governor and the Operational Manager -Women's Prisons, and ensure that any recategorisations are based on genuinerisk or allocation issues. The RC3 must clearly state how the prisonerscircumstances have changed.

7.6.3 Sometimes a prisoner may need to be recategorised to conditions of highersecurity after only a day or two at an open prison. In recategorising theseprisoners the open prison is essentially challenging the validity of the originalallocation and RC3 must make it clear why open conditions are not consideredappropriate, particularly if recategorisation is based on fresh information orinformation not previously acknowledged in the ICA3.

77.6.4 A copy of the RC3 must accompany the prisoner on transfer

7.7 Informing the Prisoner and Appeals

7.7.1 Once a decision has been made, the prisoner should be informed in writing of thedecision made and the reasons for it.

7.7.2 Should the prisoner wish to appeal against the decision, she should do so usingthe requests and complaints form to the line manager of the assessor or boardchair.

Chapter 8 CATEGORISATION AND ALLOCATION OF CATEGORY A PRISONERS

8.1 Categorisation of Category A prisoners

8.1.1 The responsibility for provisionally placing unconvicted prisoners or YoungOffenders in Category A and deciding the appropriate escape risk classificationlies with the Prisoner Management Section of the Directorate of High SecurityPrisons at Headquarters. Chapter 9 of the Security Manual deals with thereporting in of those cases where Category A appears necessary.

8.1.2 The decision to confirm a sentenced prisoner or Young Offender as Category Aor Restricted Status is taken by Prisoner Management Sections at Headquarters.

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8.2 Allocation of Category A prisoners

8.2.1 The allocation of prisoners and Young Offenders confirmed as Category A orRestricted Status is carried out by the Category A Section at Prison ServiceHeadquarters.

8.3 Sentence Planning for Category A prisoners

8.3.1 4 forms the first stage of sentence p/anning for Category A prisoners andmust be comp/eted for a// Category A prisoners and Restricted Status YoungOffenders, both ma/e and fema/e.

8.3.2 /f staff comp/eting the Form are unab/e to verify Schedu/e 1 status, due tocircumstances beyond their contro/, or where the prisoners is appearing againstSchedu/e 1 status this must be c/eady indicated on the Form.

8.3.3 /f any of the documents/isted at Section 4 of 4 are not avai/ab/e, the memberof staff comp/eting the Form must either take steps to obtain them or ensure thatthe re/evant member of staff does so.

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