Prison Service Order

ORDER NUMBER

0900

CATEGORISATION AND ALLOCATION

Date of Amendment

24/07/2000 Amendments can be tracked in the Numerical Index. PSI Amendments should be read before and in conjunction with PSO Replaces chapter 7 of PSO 2200 and CI 2/91 05/01/2004 PSI 47/2003 Doctors Duties (amends paragraph 1.7.4) 18/07/2002 PSI 35/2002 Allocation of deportees to open conditions 04/09/2001 PSI 43/2001 Categorisation & Allocation INTRODUCTION FROM THE DIRECTOR OF SECURITY 1. This Order provides instructions on;

• the categorisation & allocation of adult male prisoners • the recategorisation of adult male prisoners • categorisation & allocation arrangements for male young

offenders • categorisation & allocation arrangements for all juveniles • the arrangements for male & female section 53 juveniles • the categorisation and allocation of female prisoners • the recategorisation of female prisoners • Categorisation & allocation of Category A prisoners

2. It introduces two amended forms:

ICA1 ICA3 and introduces two new forms: RC1 RC3 These other forms are not affected.: ICA2 ICA4 Copies of all forms are at Annex A of this Order PURPOSE 3. Categorisation and allocation of prisoners is a critical task. Effectively

assigning prisoners to the correct security category and allocating them to an appropriate prison helps to ensure that they do not escape or abscond or threaten the control of establishments. It also means that prisoners are not held in conditions of security higher than are necessary.

4. Categorisation, recategorisation and allocation are also vital to the

sentence management of prisoners. The correct categorisation and allocation, balancing security issues and the needs of the prisoner, helps prisoners to use their sentences constructively, to tackle their offending behaviour and to prepare for release.

PERFORMANCE STANDARD 5. This Order underpins the Performance Standard ‘Categorisation & Allocation’. BACKGROUND 6. This Order represents the culmination of work on categorisation

commissioned by the Executive Committee in January 1998. The main changes introduced in this Order are: the facility to override the categorisation of a male prisoner as a result of control concerns; new recategorisation forms and guidance for use for male prisoners; revised categorisation procedures and a new recategorisation process for female prisoners. The new procedures will help OCA Units place prisoners in conditions of security commensurate with the risks they pose.

RESOURCES

7. The procedures described in the following chapters replace existing arrangements and do not require staff to do any extra work. The cost of the changes will be minimal.

MANDATORY ACTIONS 8. PSO 0900 replaces Chapter 7 of PSO 2200 ‘Sentence Management &

Planning’. This Chapter must be removed from the Manual. 9. CI 2/91 ‘Allocation of female offenders’ is replaced by this Order. 10. Revised forms ICA1 and ICA3 and new forms RC1 and RC3 must be

ordered immediately on implementation of this Order. Existing forms ICA1 and ICA3 and any local recategorisation forms must be disposed of as soon as the new forms are available.

11. Governors of all establishments must ensure that all staff working in

OCA Units or involved in the recategorisation process have access to this Order.

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

Visitors on request. IMPLEMENTATION DATE 13. This order comes into effect on 1 September 2000. REVIEW ARRANGEMENTS 14. Amendments to this Order will be made with immediate effect if issues

arise as a result of which the secure detention of prisoners is affected. It will otherwise be monitored throughout its first year of use and will be formally reviewed in June 2001.

ADVICE & INFORMATION 15. Copies of the new forms can be obtained from Supply & Transport in

Branston. The vocab numbers are as follows: ICA1 BF016 ICA2 BF006 ICA3 BF007 ICA4 BF008 RC1 BF031 RC3 BF037 16. The principles contained within extant Circular Instructions and

Instructions to Governors still apply. 17. Certain parts of the Security Manual are affected by this Order: 9.7;

9.10; 9.16; 9.23; 9.24 and 9.26. Temporary amendments are attached to the Order at Annex B. The Security Manual will be formally amended in due course.

18. This Order does not attempt to provide advice for every case or situation

that might arise. When in doubt over general policy issues (rather than categorisation of individual prisoners) staff should seek advice from Security Policy Unit on the following numbers:

Security Policy Unit 0207 217 2015 0207 217 5474 Brodie Clark Director of Security 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 placed with those sets of orders mandatorily required in Chapter 4 of PSO 0001. Issu

e no.

Date Order no.

Title and / or description

Date entered in set

ELO signature

99 24/07/0 0900 Categorisation

0 & Allocation

CONTENTS 1. CATEGORISATION AND ALLOCATION OF ADULT MALES 1.1 Security Categories - Definitions 1.2 The principles of categorisation 1.3 Responsibility for the process of categorisation 1.4 The process of categorisation - Unsentenced prisoners 1.5 The process of categorisation - sentenced prisoners 1.6 Allocation procedures 1.7 Allocation documentation 1.8 Guidance on completing the ICA1 2. RECATEGORISATION OF ADULT MALES 2.1 The principles of recategorisation 2.2 Responsibility for the process of recategorisation 2.3 Completing the recategorisation form 2.4 Informing the prisoner and appeals 2.5 Upgrading a prisoner’s security category 3. MALE YOUNG OFFENDERS 3.1 Security categories - definitions 3.2 The principles of categorisation 3.3 Responsibility for the process of categorisation 3.4 The process of categorisation for unsentenced Young Offenders 3.5 The process of categorisation - for sentenced Young Offenders 3.6 Using form ICA2 3.7 Allocation procedures 3.8 Allocation documentation 3.9 Guidance on completing the ICA2 4. JUVENILES 4.1 Initial Allocation procedures 4.2 Subsequent allocation 5. PROCEDURES FOR MALE AND FEMALE SECTION 53 JUVENILES 5.1 General 5.2 Sentence Planning 5.3 Procedures for HMP and Indeterminate sentences under section 53 6. CATEGORISATION & ALLOCATION OF FEMALE PRISONERS

6.1 Security categories - definitions 6.2 The principles of security categorisation 6.3 Assessment of suitability 6.4 Principles of allocation 6.5 Responsibility for the categorisation & allocation process 6.6 The process of categorisation and allocation - unsentenced prisoners 6.7 The process of categorisation & allocation - sentenced prisoners 6.8 Guidance on completing the ICA3 7. RECATEGORISATION OF FEMALE PRISONERS 7.1 Principles of recategorisation 7.2 Responsibility for the recategorisation process 7.3 Recategorisation procedures 7.4 Guidance on completing the recategorisation form -

Recategorisation from closed Conditions 7.5 Guidance on completing the recategorisation form -

Recategorisation from semi-open conditions 7.6 Guidance on completing the recategorisation form -

Recategorisation from open conditions 7.7 Informing the prisoner and appeals

8. CATEGORISATION & ALLOCATION OF CATEGORY A PRISONERS 8.1 Categorisation of Category A prisoners 8.2 Allocation of Category A prisoners

8.3 Sentence Planning for Category A prisoners

Chapter 1 CATEGORISATION AND ALLOCATION OF ADULT MALES KEY POINTS • This chapter sets out the procedures and documentation for the

categorisation and allocation of all adult male prisoners, other than those for whom responsibility lies with Headquarters. They do not apply to either Category A or Life sentenced prisoners.

• The chapter describes the definitions of each security category; the

principles that must underpin the categorisation and allocation of adult male prisoners; how categorisation and allocation must be conducted, and how the Forms must be completed and which staff should be responsible for the process.

• 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 highly dangerous to the public or the police or the security of the state, no matter how unlikely that escape might be, and for whom the aim must be to make escape impossible. Category B Prisoners for whom the very highest conditions of security are not necessary, but for whom escape must be made very difficult. Category C Prisoners who cannot be trusted in open conditions, but who do not have the resources and will to make a determined escape attempt. Category D Prisoners who can be reasonably trusted in open conditions 1.2 The Principles of Categorisation 1.2.1 Prisoners must be categorised objectively according to the likelihood

that they will seek to escape and the risk that they would pose should

they do so. In the majority of cases, consideration of these two factors alone will be sufficient to determine the prisoner’s security category. However, a small number of prisoners while presenting little risk of escape or risk to the public, and who would ordinarily be assigned to a low security category will, because of their custodial behaviour, require a higher category so that they may be sent to a prison with levels of supervision commensurate with the risk they pose to control. The categorisation Forms therefore permit consideration of control to influence the final security category. The security category must take account of the above considerations alone. Separate instructions in the Security Manual describe the criteria against which eligibility for Category A must be considered.

1.2.2 Although consideration of control factors is permitted, factors such as

ability to mix with other prisoners, educational, training or medical needs, and the availability of vacancies at suitable establishments must not be taken into account at this stage. They are for consideration during allocation. The allocation process may immediately follow, but will be distinct from security categorisation.

1.2.3 Every prisoner must be placed in the lowest security category

consistent with the needs of security and control. A prisoner must be assigned to the correct security category even if it is clear that it will not be possible to allocate him to a particular establishment for prisoners in that category.

1.2.4 All prisoners must be regarded as probably suitable for Category D on

first categorisation unless they:

o are sentenced to over 12 months for any offence of violence;

o are convicted of any but the most minor sex offence;

o have a previous sentence of over 12 months for any violent or sexual offence and did not successfully serve part of that sentence in an open prison;

o have current or previous convictions for arson or any drugs offence

involving importation and dealing; or

o have a recent history of escape or absconds. 1.2.5 When these criteria have been applied, all prisoners not then placed in

Category D should be regarded as probably suitable for Category C on first categorisation, unless they:

o are sentenced to over 7 years for any violent or sexual offence;

o have a previous sentence of over 7 years for any violent or sexual offence and did not successfully serve part of that sentence in a Category C prison;

o have a current sentence exceeding 10 years; or

o have a recent history of escape from closed conditions or have

significant external resources which they might use to assist an escape attempt.

1.2.6 Consideration of the factors above will determine provisionally in which

security category the prisoner should be placed. The facility to override this provisional categorisation as a result of control factors must be used only where there is clear evidence that the prisoner will require higher levels of supervision than available in prisons for which the initial criteria have indicated he is suitable.

1.2.7 The criteria explained above must not be seen as either exhaustive or

inflexible. There will be cases where a higher or lower security category will be right for an individual prisoner. However, every instance of departure from the prescribed criteria must be justified and documented, on security and, in rare cases, on control grounds alone. An entry must be made in Section 5 of the ICA1 (Initial Categorisation and Allocation document), and be countersigned by a Senior Officer rank or above (or equivalent grades in contracted out establishments).

1.3 Responsibility for the process of Categorisation 1.3.1 Arrangements for recommending prisoners for Category A status are

detailed in Chapter 9 of the Security Manual and are not dealt with here. 1.3.2 The principles governing the categorisation and allocation of Life Sentenced

prisoners are set out in the Lifer Manual (PSO 4700). 1.3.3 The initial categorisation and allocation of all adult males, as well as the

allocation of those prisoners downgraded from Category A after conviction, must be carried out by the OCA Units of local prisons, using the guidance contained in these orders and ICA1 documentation. Procedures must be completed by staff specifically trained and able to competently fulfil the OCA role.

1.4 The Process of Categorisation - Unsentenced prisoners 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 B accommodation, but there is no reason, in principle, why an unconvicted or unsentenced prisoner (other than potential or provisional Category A prisoners) could not be held in a Category C establishment if suitable facilities exist, and if adequate information is available to suggest that Category B accommodation is not needed for that prisoner. Such decisions must be made by governors and approved by Area Managers.

1.4.2 Prisoners must remain in Category U, wherever accommodated, until

they have been given a definitive category, after which they may be allocated.

1.5 The Process of Categorisation - Sentenced Prisoners 1.5.1 The process of categorisation should take place in two stages:

o a provisional assessment on paper following the process and algorithm contained in section 5 of the ICA1 must be completed; and will be followed by

o 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

within the prison, or from external agencies such as the police. Although such information must be considered, care must be taken when entering it on the Form. The Form is open and may be disclosed to prisoners. Where intelligence has come from sources that do not wish to be revealed (e.g. prisoner informants) or where disclosure of the source could jeopardise the safety of persons, the nature and reliability of the information should be discussed without identifying its source. Similarly, where identification of the source or nature of the information could jeopardise ongoing investigations by the prison Service or External Agencies, it may be appropriate to withhold temporarily from the prisoner the full details of the allegation or information against him. Where staff believe this is appropriate, a governor grade or equivalent grade within contracted out establishments, must decide whether the withholding of the information from the prisoner is appropriate given the individual case of the prisoner. Where information has been withheld so as not to compromise ongoing investigations, the manager responsible for the OCA/recategorisation must ensure that the investigation is completed as quickly as possible so that the prisoner can be told, in detail, of the information/allegations about him and the reasons for any decisions subsequently made.

1.5.3 Collection of information - both categorisation, allocation and further

sentence planning depend on the prompt collection of information about the prisoner concerned. For the process of categorisation and allocation the following documents are required as a minimum:

o current custodial records (F2050) and previous records where

available;

o Schedule of Previous Convictions (obtained from the Police National Computer);

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

o the PER Form, where comments about the risk the prisoner poses have been entered by police, escort contractors or others.

1.5.4 Section 4 of the ICA1 also directs the collection of other documents. The

collection of information must be completed as soon as possible after sentence. Where available, information must be used to inform the categorisation and allocation process.

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 to collect the reports on behalf of the OCA.

1.5.6 The Custody Office must immediately inform the OCA Unit of any changes

in the prisoner’s circumstances (such as a change in release date following appeal), as well as updating the entries on the Local Inmate Database System (LIDS).

1.5.7 The OCA Unit must decide in each case if it requires internal reports e.g.,

from the Medical Officer, Psychologist, Personal Officer, Probation Officer or Chaplain. These reports should not duplicate material already in the prisoner’s current or any previous F2050 that will be referred to by the OCA Unit during the categorisation and allocation process. Arrangements for obtaining internal reports will be similar to the contribution system for sentence planning adopted locally. The reports must be kept with the ICA1 document and be filed with the Sentence Planning file. All of these documents must eventually be filed in the prisoner’s F2050 record, and accompany the prisoner on transfer.

1.5.8 Categorisation of all adult male prisoners, other than those provisionally

categorised A and Life sentenced prisoners, is completed using the ICA1.

This Form must be raised in all cases, as it forms the basis for allocation and the early stages of the sentence planning process.

1.5.9 The categorisation section consists of an algorithm, using as its database

brief details of the current offence, sentence, previous convictions and custodial sentences (especially for sexual offences and/or violence) and previous escapes, escape attempts or absconds.

1.5.10 Having recorded the base data by marking a series of boxes, the OCA Unit

Officer must then complete the algorithm. This will indicate a provisional security category.

1.5.11 The Officer must then either indicate that the provisional security category

applies, or recommend that it be overridden as a result of control considerations or other factors. The officer must record in writing on the ICA1 Form reasons for any recommended override, referring as necessary to the attached reports. These reasons could relate either to matters not covered by the algorithm (e.g., a previous sentence successfully served in an open prison, or a known tendency to violence by an apparently minor offender), or to an unusual combination of factors which produces an obviously unreasonable result from the algorithm. Where this is the case, the officer must tick, in the override box, those control factors that are relevant and give details - before recommending a new security category. Any decision to override the security category must be countersigned by a Senior Officer or above.

1.6 Allocation Procedures 1.6.1 The allocation of prisoners to training establishments following conviction

must form a process distinct from categorisation. While the two procedures will normally be completed by the same OCA unit, conducted by the same officer, this need not be on the same day. Indeed, if the information necessary for categorisation is available, there is no reason why this process should be delayed merely because information that may be required for allocation (e.g., a psychologist’s report) has not arrived. In practice however, it will often be more convenient to undertake both on the same day. An interview with the prisoner should take place prior to the final allocation decision to ensure that all relevant allocation issues have been identified. The interview may normally be dispensed with for prisoners sentenced to less than 6 months unless the OCA Unit considers an interview necessary. OCA officers must be alert to the danger of allowing his or her conclusions on allocation to influence those on categorisation.

1.6.2 Because of the need to start sentence planning at an early stage for those

sentenced to 12 months or over (ACR plans should be completed within 8 weeks of sentence, DCR plans within 12 weeks of sentence), allocation

must be completed as soon after sentence as practical. Of equal importance is the requirement to enable Home Detention Curfew risk assessments to commence as soon as possible for eligible prisoners. Prisons should agree arrangements locally in order to adopt the most efficient approach. Whenever it is recognised that, for any reason, early allocation and transfer will not be possible, action must be taken to ensure that ACR, DCR or HDC documents are started or completed at the local prison, so that risks can be assessed, needs identified and realistic targets set.

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

o the needs of security, including control;

o the need to make maximum use of available spaces in training

prisons; and

o the needs of individual prisoners. 1.6.4 While the main factor to be considered in determining a prisoner’s allocation

must always be his security category, and a prisoner who has been assigned to a particular security category should initially be considered for allocation to a prison designed for that category, account must also be taken of:

o his suitability for particular types of accommodation (factors such as

vulnerability, age, etc.);

o his medical and/or psychiatric needs that may require a particular type of level or care;

o need for identified offence related behavioural programmes to

confront assessed risk;

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

o his educational or training needs or potential;

o the published allocation criteria for individual establishments resettlement needs [in line with procedures set out in PSO 2300]

1.6.5 The allocation of a prisoner must be decided carefully, bearing in mind the

considerations above. The decision reached must be justifiable and must be recorded, along with the reasons for it, on Section 6.21 of the prisoner’s ICA1. Allocation of prisoners to a semi-open prison will also be governed by the provisions for selection and allocation for the resettlement estate generally, set out in PSO 2300. These provisions include a police check by the Police Liaison Officer attached to the prospective semi-open prison, because of the particular potential risk to the community presented by frequent by frequent temporary release, which is characteristic of stage 2 of a resettlement regime.

1.6.6. Any allocation to a prison of a higher security category than that of the

prisoner himself must be referred to an officer of Senior Officer rank or

above for confirmation. The reasons for such a recommended allocation must be recorded at section 6.21 on the completed ICA 1 Form.

1.6.7 There may be occasions when the OCA Unit will be unable to allocate a

prisoner to the establishment for which he is most suited in terms of category and needs. This may arise either because the prison concerned lacks vacancies, or because certain acceptance criteria are imposed. Such criteria typically preclude open prisons from accepting prisoners with certain offences or sentence lengths. There may also exist restrictions within certain Category B and C prisons that have some deficiencies in their physical security features which prohibit acceptance of some of the more dangerous prisoners within that category.

1.6.8 OCA Units must refer to all available guidance on allocation. Spaces

available throughout the prison estate are co-ordinated by the National Operations Unit (NOU), Security Group.

1.6.9 It is not acceptable, under any circumstances, to modify the process

or outcome of prisoners’ security categorisation in order to achieve a better match between prisoners and available spaces. To maximise the use of the prison estate, in the last resort only, a prisoner may be allocated to a higher category prison solely on the grounds that no alternative space is available in prisons of the correct category. Where this is done the fact must be specifically recorded on section 6.21 of the prisoner’s ICA 1 Form.

1.6.10 Some maximum security, local, Category B and C establishments will need

to retain low category prisoners to form working parties. Where this is the case the number of prisoners retained must be kept to a minimum. The numbers of such prisoners that may be kept at the prison must be determined in consultation between governors and Area Managers and recorded in the annual Business Plan. When population pressures are acute however, there may still be a need to transfer such prisoners at short notice.

1.7 Allocation Documentation 1.7.1 All Category B, C and D prisoners would normally be allocated by the OCA

Unit which has been responsible for their security categorisation. Allocations are controlled by the National Operations Unit.

1.7.2 Allocation must be informed by available documentation relating to

current and previous offending and custodial behaviour. Section 4 of the ICA 1 Form indicates the sources of information that may be necessary and provides a record of those which are available to the OCA Unit. As

with the categorisation process, the OCA Unit must decide in each case whether internal reports are required.

1.7.3 Section 6.3 of the ICA 1 refers to the scoring system for prisoners

categorised C prior to their allocation to Category C prisons. The system aims to control the concentration of prisoners more likely to prove a risk to good order in Category C prisons which offer varying degrees of control capacity depending on their design. Each Category C prison is authorised to hold a maximum number of prisoners who score 3 using this system. The allocation of Category C prisoners must be dealt with in accordance with IG 55/1994.

1.7.4 A doctor, registered nurse or healthcare officer must advise on the

level of healthcare required by individual prisoners. This advice must be recorded at section 6.9 of the ICA 1. The need for confidentiality must be respected. Reference must be limited to fitness category and any special needs that may require special consideration when deciding on appropriate allocation. [Updated 6/1/04 in accordance with PSI 47/2003]

1.7.5 For prisoners serving over 6 months, and where otherwise appropriate, the

security assessment will normally be followed by an interview. Any personal comments the prisoner may wish to make in relation to his allocation should be recorded at 6.20. Having completed this process, the officer must then decide which establishment is suitable for the prisoner. The reasons for the decision must be explained to the prisoner and, where appropriate, any reasons why specific representations made by the prisoner could not be acceded to. The prisoner must be allowed to see the ICA1 if he wishes.

1.7.6 Care must be taken to ensure that the final decision is informed by the

specific allocation criteria agreed for each prison between governors, Area Managers and Strategic Planning Section in Headquarters.

1.7.7 The officer must then provisionally allocate the prisoner to the waiting list for

a particular establishment and record the recommended allocation in section 6.21. If this is a higher security category than the prisoner himself the reason for this decision must be recorded. Decisions must be confirmed by the counter-signing officer of Senior Officer grade or above (or equivalent grades in contracted out establishments) at section 6.22. If the officer overrules the recommendation, the reasons must be recorded and an alternative prison identified and recorded.

1.8 Guidance on completing the ICA 1 (Initial Categorisation and Allocation Form) 1.8.1. The Form must be used for all male prisoners other than Category A and

Life Sentenced prisoners. The Form is for categorisation and allocation, and for prisoners serving 12 months or more, forms the first stage of sentence planning.

1.8.2 Completion of sections 1-4 needs no explanation. Section 5 must be

completed following the guidance and instructions given in this Order. If it is completed on LIDS, the printout must be stapled to the ICA1 Form. Tick the box which indicates whether the prisoner has been recommended for deportation. It does not matter whether this is as a result of a court order, or on direction of the Home Secretary. If the prisoner’s status is unclear, the Discipline Office must be asked to pursue the matter.

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 are held in conditions of security commensurate with the risks they pose. • All prisoners, other than those serving less than 12 months, must have their security category reviewed at regular intervals, or whenever there is a significant change in their circumstances (e.g., attempted escape, reduction of sentence on appeal, removal of a deportation order, etc.). Except for Category A prisoners, who are considered by the Category A Committee, and Life Sentenced prisoners, whose cases are considered by the Lifer Management Unit, the first recategorisation review must take place no later than 12 months after sentence. • Category B or C ACR prisoners (those serving over 12 months but less than 4 years) must have their security category reviewed at 6 monthly intervals. Category B or C DCR prisoners (those serving more than 4 years) must be considered annually. • Regular recategorisation reviews for Category D prisoners are not required. Such prisoners may however, be recategorised to a higher security category at any time, if there is an increase in the risk they pose. This is an open document (but see 2.3.7) 2.1 The Principles of Recategorisation 2.1.1 By the time a prisoner is eligible for review, staff will know much more about

him than when he was first categorised by OCA staff in the local prison. However, while his circumstances may have changed, the matters which are relevant to a recategorisation are the same as those for an initial categorisation. The aim of recategorisation is to use this information to establish whether there has been any clear change in the risk the prisoner poses. More specifically, staff must answer two important questions: (1), is the prisoner more or less of a risk to the public than when he was first categorised; and (2), is he now more or less likely to escape or abscond. It is not necessary to prove continued or increased risk in both areas to retain the prisoner in his present category or upgrade him. There will be prisoners who pose less risk of escape than they once did, but who present such a serious threat to public safety that we cannot accept even the smallest chance that they will abscond or escape.

2.1.2 Having balanced the risk of the prisoner escaping or absconding against the likely risk to the public were he to do so, governors (or equivalent grades in contracted out establishments) must decide, provisionally, whether the prisoner should remain in his current category, or whether he should be upgraded or downgraded. Where the provisional decision is to retain the current category or to downgrade it the governor must consider whether any control factors point to a different categorisation. For instance there will be some prisoners who, while posing lees risk and therefore being eligible for downgrading, may be unsuitable in other ways for transfer to conditions of lesser security. Staff must complete the suitability Assessment at the end of the Recategorisation form, after which the prisoner’s new security category can be finally decided.

2.2 Responsibility for the Process of Recategorisation 2.2.1 The review of a prisoner’s security category may be conducted by a board or by a single manager. In either case:

• the Recategorisation Form (RC1) must be used; • the panel, board or governor must consult the following documents

before making a decision - the completed RC1, F2050, Warrants and any Pre-Sentence Reports, OASys form where available, F2058 Security File and any information held in the Security Intelligence System, Sentence Plan, and any end of course reports completed after offending behaviour programmes such as SOTP; and

• the decision must be approved by a Governor 4 or above (or at least

the third in charge in smaller prisons), or equivalent grades in contracted out establishments.

2.3 Completing the Recategorisation Form 2.3.1 ‘Assessment of Escape or Abscond Risk’ -This section of the Form must be

completed by someone with full access to the prison Security Intelligence system. Such staff are most likely to work in the Security Department, but governors may direct that this base information is recorded by another department in the prison. All facts and items of analysed intelligence that might help determine whether the likelihood of the prisoner attempting to escape or abscond has been reduced, must be recorded.

2.3.2 Question 1 requires the recording of the prisoner’s escape or abscond

history (if he has one). The method of any escape attempt must be described. Some examples illustrate why this is important.

Examples

[i] if the prisoner escaped from prison by scaling the perimeter, this will be of greater significance when deciding whether he should be downgraded and re-allocated to a prison with lesser physical security. [ii] conversely, that he escaped on escort whilst a remand prisoner may be of less significance.

2.3.3 Similarly, the dates of any escape (attempts) or absconds must be recorded

as they will help governors or Boards determine how relevant these events are to the review.

2.3.4 In Question 3, the member of staff must record facts that might indicate

whether the likelihood of the prisoner escaping has been reduced in any way. A number of factors might indicate this. Some examples are given below:

Examples [i] a prisoner’s domestic circumstances might have become more stable,

giving him less cause to escape; [ii] a prisoner whose sentence has been dramatically reduced on appeal,

may now have less reason to escape; [iii] if a prisoner was subject to enforcement action under the

Immigration Act, and this order was removed it might suggest that he could more reasonably be trusted in open conditions;

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

[v] a prisoner has successfully completed any period of temporary release

2.3.5 In Question 4, staff must record any outstanding charges the prisoner

may have. Here some charges will be more pertinent to the risk assessment than others. The more serious the nature of the charge, then the more likely it is that the prisoner may have a reason for wanting to escape.

2.3.6 Similarly, in Question 4 the longer the prisoner has left to serve then the

greater the risk that he will attempt to escape or abscond.

2.3.7 In Question 6, staff must note any other information that suggests the prisoner might attempt to escape or abscond. This intelligence may come from sources within the prison, or from external agencies such as the Police or Customs and Excise. Although such information must be considered, care must be taken when entering it on the Form. The Form is open and may be disclosed to prisoners. Where intelligence has come from

sources that do not wish to be revealed (e.g. prisoner informants) or where disclosure of the source could jeopardise the safety of the informant, the nature and reliability of the information should be discussed without identifying its source. Similarly, where identification of the source or nature of the information could jeopardise ongoing investigations by the Prison Service or external agencies, it may be appropriate to withhold temporarily from the prisoner, the full details of the allegation or information against him. Where staff believe this is appropriate a governor grade, or equivalent grade in contracted out establishments, must decide whether the withholding of the information from the prisoner is appropriate given the individual case of the prisoner. Where information has been withheld so as not to compromise ongoing investigations, the manager responsible for the OCA /recategorisation must ensure that the investigation is completed as quickly as possible so that the prisoner can be told, in detail, of the information/allegations about him and the reasons for any decisions subsequently made.

2.3.8 ‘Assessment of Risk to the Public’ - In this section of the Form, the risk the

prisoner poses to the public must be assessed. In particular the seriousness of the prisoner’s index offence must be considered against the likelihood of the prisoner repeating the offence, or committing a more serious crime were he to escape or abscond.

2.3.9 Questions 7 and 8 require the recording of the prisoner’s current offences

and any previous offences. When looking at Previous Convictions staff must record not only serious offences that have considerably threatened public safety, but also long patterns of minor offending that might indicate: (a), the prisoner’s long-term recidivism; or (b), that the prisoner’s offending is growing more serious. Below are some examples:

Examples [i]. serious offences that have considerably threatened public safety might include: manslaughter, GBH, wounding, robbery with violence, sexual offences (excluding USI or indecency between males), arson, or the importation of supply of controlled drugs. [ii]. a prisoner who had committed a long string of burglaries, but on his last couple of offences had committed aggravated burglary, would be an example of a prisoner whose offending is becoming more serious.

2.3.10 When confronted by a prisoner who has committed serious offences or whose offending appears to be growing more serious, governors must seek clear evidence that the prisoner’s risk to the public has been mitigated during the current sentence. The data that must be recorded in Questions 10 and 11 will inform this decision.

2.3.11 ‘Provisional Decision’-. Once pages 1&2 of the Form have been completed it

must be passed to the governor or board to decide whether the prisoner should be recategorised up or down or retained in his current category. The board or governor must weigh all the information both on the Form, and from other sources (such as the F2050) if necessary. The reasons for the provisional decision must be fully recorded in the box provided.

2.3.12 ‘Consideration should then be given to any factors which might override the

provisional assessment. Where it has been decided provisionally that the prisoner should be downgraded or retained in his current category, governors must consider other factors that might indicate that the prisoner still needs the supervision or security levels of the higher category. In Question 12 any evidence that the prisoner presents a serious threat to order must be recorded. Evidence recorded here might lead the governor or board to decide that the prisoner could not be trusted in conditions of lesser security or needs the supervision levels of a higher security.

Examples [i], where there is reliable evidence from various sources that a Category C prisoner is involved in bullying other prisoners, it would not be appropriate to send him to Category D dormitory conditions where such activities might go unchecked; [ii], where there is intelligence from good sources indicating that the prisoner is involved in the importation of drugs into prison, it would not be appropriate to transfer him to open conditions where such criminal activity could be more easily be committed; or [iii], where a Category B prisoner has consistently been involved in

violent incidents with either staff or prisoners it would be unreasonable to transfer him to Category C non-cellular accommodation.

2.3.13 ‘Final Decision’- Having assessed (I) , the risk of the prisoner

escaping/absconding; (ii), the likely consequences to the public were he to do so; and (iii), any relevant control factors which might impact on the prisoner’s suitability for establishments with less security and facilities; governors or boards must now decide finally in which category the prisoner should be placed.

2.3.14 Once the final recategorisation decision has been made consideration

should then be given to the prisoner’s reallocation. In general, the factors to be considered here are the same as for an initial allocation. In Question 13,

governors or boards must consider any medical factors that might prevent the prisoner being sent to an establishment with less supervision or facilities. Instances where it might be appropriate to retain the prisoner in his current category and prison could include : where the prisoner has ongoing appointments that have been booked with local medical services; where the prisoner is at risk of harming himself and needs continuous supervision; or where a prisoner needs the care provided by a Healthcare Centre staffed 24hrs a day.

2.3.15 In the final question, governors and boards must consider any other factors

that should prevent the prisoner moving from his current establishment, such as the 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

using the Requests and Complaints Form to the line manager of the assessor or Board chair.

2.5 Non - Routine Recategorisation Reviews 2.5.1 Some prisoners may need to have their security category reviewed outside

the normal review cycle, and often at short notice, because of a sudden change in their circumstances. For example, a successful appeal and reduction in sentence length could mean that the level of risk posed had been markedly reduced and transfer conditions of lesser security were now appropriate. Alternatively, some prisoners may need to be recategorised upwards at short notice because they now pose a greater risk; their behaviour makes them unsuitable for open, or lower security conditions or, for other reasons, they are felt to require closer supervision.

2.5.2 In recategorising a prisoner upwards the establishment must bear in mind

the categorisation/allocation criteria contained within ICA1 and their own acceptance criteria signed by the Governor and the Area Manager and ensure that any recategorisations are based on genuine risk or allocation issues. The RC1 must clearly state how the prisoner’s circumstances have changed.

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 his current security category and allocation are no longer appropriate. If the prisoner needs to be transferred to conditions of greater security

at very short notice then the sending prison must complete the RC1 and forward it to the prisoner’s new establishment as soon as possible..

Chapter 3 MALE YOUNG OFFENDERS KEY POINTS These orders set out the procedures and documentation for the classification

and allocation of male Young Offenders, other than those for whom responsibility lies with Headquarters. They do not apply to those in Category A; those classified Restricted Status; those serving a life sentence or those sentenced to HMP.

When completing the initial classification and allocation documents,

all the procedures detailed in this chapter must be followed. Sections of these orders describe: the definition of security categories; the

principles of classification responsibility for the process; guidance on completing the Forms and the principles and procedures for allocation. This is an open document.

3.1 Security Categories - Definitions The security categories are as follows:

Category A Prisoners whose escape would be highly dangerous to the public, or the police, or the security of the state, no matter how unlikely that escape might be, and for whom the aim must be to make escape impossible. Restricted Status Offenders sentenced to detention in a Young Offender Institution whose escape would present a serious risk to the public and who are required to be held in designated secure accommodation. Closed conditions Young Offenders for whom the very highest conditions of security are not necessary but who present too high a risk for open conditions or cannot be trusted in open conditions. Open conditions Young Offenders who present a low risk and can reasonably be trusted in open conditions.

3.2 The Principles of Categorisation 3.2.1 Young Offenders must be categorised objectively according to the

likelihood that they will abscond and the risk that they would pose should they do so .The algorithm in Section 5 of ICA 2 provides a prediction of these risks by taking account of the offender’s current offending, previous history of offending and any history of escape or abscond

3.2.2 Factors such as the ability to mix with other prisoners, educational or

training needs etc., must not be taken into account at this stage. They are for consideration during allocation. a Young Offender must be assigned to the correct security category. The allocation process may immediately follow, but will be distinct from security categorisation.

3.2.3 Every Young Offender must be placed in the lowest security category

consistent with the needs of security. 3.2.4 It follows therefore, that all Young Offenders must be regarded as probably

suitable for open conditions unless the algorithm indicates that closed conditions are appropriate or there are justifiable grounds for overriding the algorithm.

3.2.5 Application of the algorithm will determine provisionally whether the Young

Offender should be placed in closed or open conditions of security. The criteria used in the algorithm must not be seen as either exhaustive or inflexible. . There will be cases where a higher or lower security category will be right for an individual Young Offender. However, every instance of departure from the prescribed criteria must be justified and documented by an entry in Section 5 of the ICA 2 which must be countersigned by a Senior Officer rank or above, (or equivalent grades in contracted out establishments).

3.3 Responsibility for the Process of Categorisation 3.3.1 Arrangements for recommending Young Offenders for Category A status

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

detailed 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 Sentence

prisoners are set out in the Lifer Manual (PSO 4700). 3.3.4 The initial categorisation and allocation of all male juveniles and male

Young Offenders, plus the allocation of those Young Offenders

downgraded from Category A after conviction, must be carried out by the OCA Units of Young Offender Institutions, using the guidance contained in these orders and ICA 2 documentation. Procedures must be completed by staff specially trained and able to competently fulfil the OCA role.

3.4 The process of categorisation for unsentenced Young Offenders 3.4.1 All Young Offenders on remand awaiting trial, or convicted and awaiting

sentence, other than those provisionally categorised A, are to be placed in Category U (Unclassified).

3.4.2 Young Offenders must remain in Category U until they have been given a

definitive 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:

o a provisional assessment on paper following the process and algorithm contained in section 5 of the ICA 2 must be completed; and in most cases will be followed by:

o an interview with the prisoner

3.5.2 Collection of information - both categorisation, allocation and further

sentence planning depend on the prompt collection of information about the prisoner concerned. For the process of categorisation and allocation the following documents are required as a minimum:

o current custodial records (F2050) and previous records where

available;

o Schedule of Previous Convictions (obtained from the Police National Computer);

o the details of charge(s), plea(s), findings(s), and sentence relating to current offences; and

o the PER Form, where comments about the risk the prisoner poses have been entered by the police, escort contractors or others.

3.5.3 Section 4 of the ICA 2 also directs the collection of other documents. The

collection of information must be completed as soon as possible after sentence. Where available, information must be used to inform the categorisation and allocation process.

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 to collect the reports on behalf of the OCA Unit.

3.5.5 The Custody Office must immediately inform the OCA Unit of any changes

in the Young Offender’s circumstances (such as a change in release date following appeal) as well as updating the entries on the Local Inmate Database System (LIDS).

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 or Chaplain. These reports should not duplicate material already in the Young Offender’s current or previous F2050 that will be referred to by the OCA Unit during the categorisation and allocation process. Arrangements for obtaining internal reports will be similar to the contribution system for sentence planning adopted locally. The reports must be kept with the ICA 2 Form which should be filed with the sentence planning file. All of these documents must eventually be filed in the juvenile’s or Young Offender’s F2050 record.

3.6 Using Form ICA2 3.6.1 Categorisation of all male Young Offenders, other than those provisionally

categorised A; those categorised Restricted Status; those sentenced to life imprisonment or those sentenced to HMP, is completed using the ICA 2. This Form must be raised in all cases, as it is the basis for allocation and the early stages of the sentence management process.

3.6.2 The categorisation section consists of an algorithm, using as its database

brief details of the current offence, sentence, previous convictions and custodial sentences (especially for sexual offences and/or violence) and previous escapes, escape attempts or absconds.

3.6.3 Having recorded the base data by marking a series of boxes, the OCA Unit

officer must then complete the algorithm. This will indicate a provisional security category.

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, reasons for any recommended override, referring as necessary to the attached reports. These reasons could relate either to matters not covered by the algorithm (e.g., demonstration of trustworthiness, or a known tendency to violence by an apparently minor offender), or to an unusual combination of factors that produces an obviously unreasonable result from the algorithm. Where this is the case, the officer must specify

those factors that are relevant and give details - before overriding the security category. Any decision to override a security category must be countersigned by a Senior Officer or above (or equivalent grades in contracted 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 completed by the same OCA Unit, and be conducted by the same officer, this need not be on the same day. Indeed, if the information necessary for categorisation is available, there is no reason why this process should be delayed merely because information which may be required for allocation (e.g., a psychologist’s report) has not arrived. In practice however, it will often be more convenient to undertake both on the same day following a single interview with a Young Offender. In such cases the officer responsible must be alert to the danger of allowing his or her 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 to serve and consequently must begin promptly, with allocation being completed as soon after sentence as practical. Home Detention Curfew risk assessments for Young Offenders should also commence as soon as possible. Young Offender Institutions should agree arrangements locally in order to adopt the most efficient approach. Whenever it is recognised that, for any reason, early allocation and transfer will not be possible, action must be taken to ensure that ACR, DCR or HDC documents are started or completed at the YOI, so that risks can be assessed, needs identified and realistic targets set. This is of particular importance in the case of Young Offenders who must have their sentence plan reviewed at least 3 monthly.

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

o the needs of security; and o the needs of individual Young Offenders.

3.7.4 While the main factor to be considered in determining a Young Offender’s

allocation must always be his security category, and a young prisoner who has been assigned to a particular security category should be considered for allocation to a Young Offender Institution of that category, account must also be taken of:

o his suitability for particular types of accommodation (factors such as

vulnerability, immaturity etc.);

o his medical and /or psychiatric needs that may require a particular level of care;

o need for identified offence related behavioural programmes to confront assessed risk;

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

o his educational or training needs; and any restrictions on allocation criteria agreed with local authorities, governors, Area Managers or Estate Planning Section in Headquarters., 3.7.5 All receiving YOIs must have a published list of acceptance criteria which is

signed by the Governor and the Area Manager and which is reviewed at least every 12 months.

3.7.6 There may be occasions when the OCA Unit will be unable to allocate a

Young Offender to the establishment for which he is most suited in terms of category and needs. This may arise either because the Young Offender Institution concerned lacks vacancies, or because certain acceptance criteria are imposed.

3.7.7 OCA Units must maintain a comprehensive directory of receiving Young

Offender Institutions’ criteria for transfer to ensure that Young Offenders are suitable prior to allocation being confirmed. Spaces available throughout the estate are 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

outcome of a Young Offender’s security categorisation in order to achieve a better match between offenders and available spaces. In the last resort only, a Young Offender categorised as suitable for open conditions may be allocated to a closed Young Offender institution solely on the grounds that no alternative space is available in the open estate. Where this is done, the fact must be specifically recorded in section 11 of his ICA 2 document. A Young Offender categorised for closed conditions must not, however, be allocated to an open Young Offender Institution.

3.8 Allocation Documentation 3.8.1 Juveniles and Young Offenders are allocated by the OCA Unit which has

been responsible for their security categorisation. Allocations are controlled by the National Operations Unit.

3.8.2 Allocation must be informed by available documentation relating to current and previous offending and custodial behaviour. Section 4 of the ICA 2 Form indicates the sources of information that may be necessary and provides a record of those which are available to the OCA Unit. As with the categorisation process, the OCA Unit must decide in each case whether internal reports are required.

3.8.3 The Medical Officer must advise on the level of healthcare required by

individual Young Offenders. Any advice must be recorded at section 5 of the ICA 2. The need for confidentiality must be respected. Reference must be limited to fitness category and any health needs that may require special consideration when deciding an appropriate allocation.

3.8.4 An initial allocation assessment on paper will normally be followed by an

interview. The interview should inform the completion of the various parts of Sections 5 and 6 of the ICA 2 Form. Any personal comments the offender may wish to make in relation to his allocation should be recorded at section 6. Having completed this process, the officer must then decide which establishment is suitable, giving reasons for the decision. Those Young Offenders for whom the algorithm indicates conditions of “long term closed” must be allocated to an appropriate establishment.

3.8.5 Care must be taken to ensure that the final decision is informed by the

specific allocation criteria agreed between the governor and Area Manager for each prison.

3.8.6 The officer must then provisionally allocate the Young Offender to the

waiting list for a particular establishment and record the recommended allocation in section 6. If this is to a closed Young Offender Institution and the Young Offender has a security categorisation of open, the reasons for this decision must be recorded.

3.9 Guidance on completing the ICA 2 (Initial Categorisation and Allocation Form) 3.9.1 The Form must be used for all male Young Offenders other than those in

Category A, Restricted Status, Life Sentence prisoners or those sentenced to HMP. The Form is for categorisation and allocation, and for all Young Offenders, forms the first stage of sentence planning.

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 and instructions given in paragraphs 3.6 and 3.7 of this Order. If it is completed on LIDS, the printout must be stapled to the ICA 2 Form. Tick the box which indicates whether the young prisoner has been recommended for deportation. It does not matter whether this is as a result

of a court order, or a direction of the Home Secretary. If the young prisoner’s status is unclear, the Discipline Office must be asked to pursue the matter.

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

Chapter 4 ALLOCATION OF JUVENILES 4.1 Initial Allocation procedures 4.1.1 The Youth Justice Board has prime responsibility for the allocation of

juveniles sentenced to a Detention training Order (DTO). Those whom it is determined will serve their DTO in a Prison Service establishment will invariably be allocated initially to a closed Young Offender Institution.

4.2 Subsequent allocation 4.2.1 Any subsequent transfer to an open establishment must be assessed in line

with the process of risk classification set out in ICA2 (for male juveniles) and ICA3 (for female juveniles).

Chapter 5 PROCEDURES FOR MALE AND FEMALE SECTION 53 JUVENILES AND YOUNG OFFENDERS 5.1 General 5.1.1 Juveniles (aged between 15 and 17 years of age), sentenced under

Section 53 of the Children and Young Persons Act 1933 may be allocated to a YOI, local authority Child Care Establishment or Glenthorne Youth Training Centre run by the Department of Health. Those allocated to local authority care are in most cases transferred to a YOI at the age of 18 years. Allocation decisions are made on a case by case basis by the Section 53 Unit in Abell House. In some cases the Section 53 offender will be allocated to the catchment YOI direct from court without prior knowledge of the Section 53 Unit.

5.1.2 In all cases :

o ICA 2 must be completed in respect of all male Section 53s.

o ICA 3 must be completed in respect of all female Section 53s.

o The relevant Form must be completed by the OCA Unit. 5.1.3 The completed ICA 2 or ICA 3, with a recommendation for the juvenile or

Young Offender to remain in the allocating Young Offender Institution or to be transferred to another Young Offender Institution, must be sent to the Section 53 Caseworking Unit in Room 312D, Abell House. Only if there are any special circumstances or particular issues for consideration is it necessary to send any relevant supplementary information.

5.1.4 In cases where a juvenile offender is allocated direct from court and the

OCA recommends the juvenile be allocated to a Local Authority Secure Unit, the completed ICA 2 or 3 Forms plus all relevant background reports must be sent to Section 53 Caseworking Unit 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

Service establishments must be sentence planned on the national system using ACR/DCR documents as appropriate.

5.3. Procedures for HMP and Indeterminate Sentences under Section 53 (male and female) 5.3.1. Allocation - Juveniles sentenced to detention during Her Majesty’s

Pleasure or Detention for Life are generally allocated by the Lifer Section in

Abell House. ICA2 should be completed and sent with all relevant background information and supplementary reports to Lifers Allocation in Abell House. However, there are a small number of very young juveniles (usually under the age of 16) who have been sentenced to detention during Her Majesty’s Pleasure or for life where the responsibility for their allocation rests with the Section 53 Caseworking Section in Abell House. This section will generally have been given prior warning of their court appearances and the detainees would, in most cases, have already been held in a secure unit on remand.

5.3.2 Sentence Planning - the life sentence plan system (and documents) applies

to juveniles and YO’s sentenced to HMP, and to indeterminate sentences under Section 53.

Chapter 6 CATEGORISATION AND ALLOCATION OF FEMALE PRISONERS

KEY POINTS

• These orders set out the procedures and documentation for the initial categorisation and allocation of all sentenced female prisoners other than those for whom responsibility lies with headquarters. They do not apply to Category A or to life sentenced prisoners or to male young offenders or adult males.

• When completing the initial categorisation and allocation document (ICA

3), all the procedures detailed in this chapter must be followed. • Sections of these orders describe: the definition of security categories; the

principles of categorisation and allocation; responsibility for the categorisation and allocation process; procedures for allocation to establishments; and guidance on completing the form.

• For females this should be a three-stage process: security categorisation;

suitability assessment; and consideration of allocation issues.

This is an open document (but see 6.7.3) 6.1 Security Categories - Definitions The security categories for female prisoners are as follows: Category A Prisoners whose escape would be highly dangerous to the public or the police or the security of the state, no matter how unlikely that escape might be, and for whom the aim must be to make escape impossible. Closed Conditions Prisoners for whom the very highest conditions of security are not necessary but who present too high a risk for open conditions; cannot be trusted in open conditions or for whom open conditions are not appropriate. Semi-Open Conditions Prisoners who present a low risk to the public but who require a level of physical perimeter security to deter abscond.

Open Conditions Prisoners who present a low risk; can reasonably be trusted in open conditions and for whom open conditions are appropriate. 6.2 The Principles of Security Categorisation 6.2.1 All prisoners must be categorised objectively according to the likelihood that

they will 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

medical needs, and the availability of vacancies at suitable establishments must not be taken into account at this stage. They are for consideration during allocation. If eligible, a prisoner must be assigned to a semi- open or an open security category even if it is clear that it will not be possible to allocate her to a semi-open or an open prison immediately. The suitability and allocation process may immediately follow, but will be distinct from security categorisation.

6.2.3 The criteria applied at initial allocation to the assessment of risk to the

public and risk of abscond are set out at (i) to (ix) below.

I. the current sentence is 3 years or more;

II. the current offence is a serious offence of: actual or threatened violence or harm; a sexual nature; drug dealing or importation;

III. the prisoner has previously received a sentence of 3 years or more

within the past 5 years; has a previous conviction within the past 5 years for a serious offence of actual or threatened violence or harm, a sexual nature, drug dealing or importation or the pattern of previous offending gives cause for concern;

IV. the nature of Schedule 1 status gives cause for concern;

V. there are concerns about the prisoner’s association with serious

criminals;

VI. the prisoner is diagnosed or is suspected of suffering from any psychiatric or psychological problems;

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

VIII. there is concern about any escape or abscond from any form of

custody, breach of licence, community service order or community sentence during the past 3 years;

IX. the prisoner is subject to enforcement action under the Immigration

Act (1971) 6.2.4 If none of the criteria in paragraph 6.2.3 apply, categorisation to open conditions must 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 of licence, community service or community sentence during the past 3 years or,

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

categorisation to semi-open conditions must be regarded as providing an appropriate 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 to

complete the suitability section of the ICA 3. However, those prisoners who are categorised as not requiring closed conditions must now be assessed for suitability for semi-open or open conditions. The suitability assessment takes account of the fact that (i) not all prisoners will be suitable for semi-open or open conditions or (ii) semi-open or open conditions might not be appropriate for certain prisoners.

6.3.2 Prisoners categorised for semi-open or open must probably be regarded as suitable for semi-open or open conditions unless any one of the following criteria applies:

o there are issues of control which warrant close levels of supervision;

o there is a genuine need for 24 hour medical oversight;

o the prisoner is considered likely to be unable to cope in semi-open or

open conditions;

o there is an open F2052SH and the case conference has decided that a transfer to semi-open or open conditions would not be in the prisoner’s best interest; or

o the prisoner is known or suspected of currently using drugs; is

undergoing a detoxification programme or has recently completed a detoxification programme.

Those prisoners found unsuitable for semi-open or open conditions must now be allocated to a closed establishment. 6.4. Principles of Allocation 6.4.1 A prisoner with a ‘closed’ security category must be allocated to a closed

establishment. A prisoner categorised as semi-open but who is deemed unsuitable for semi-open conditions must be allocated to a closed establishment. A prisoner who is categorised open but who is deemed unsuitable for open conditions must initially be allocated to a closed establishment.

6.4.2. The allocation assessment should recognise that there may be significant

factors which influence the prisoner’s allocation. These may sometimes override a semi-open or an open categorisation and suitability assessment and result in the prisoner being retained in closed conditions if a closed is the most appropriate. Care must be taken however, to ensure that the allocation of such prisoners is kept under regular review and they are not retained in conditions of higher security longer than is necessary or appropriate. Examples of significant allocation issues which may need to be considered include:

o to facilitate visits from children, or other family members:

o to enable child-care arrangements to be sorted out;

o 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 be transferred to a semi-open prison as soon as possible. Those prisoners who have been categorised and are suitable for open prisons, and have no circumstances that warrant their retention in a closed prison, must be transferred to an open prison as soon as possible.

6.5 Responsibility for the Categorisation and Allocation Process 6.5.1 Arrangements for recommending prisoners for Category A status are

detailed in Chapter 9 of the Security Manual. 6.5.2 The principles governing the categorisation and allocation of life sentence

prisoners are set out in the Lifer Manual (PSO 4200). 6.5.3 The initial categorisation and allocation of all other female prisoners plus the

allocation of those downgraded from Category A after conviction, must be carried out by the OCA unit, using guidance contained in these orders and ICA3 documentation. Procedures must be completed by staff specially trained and able to competently fulfil the OCA role.

6.5.4 Staff completing the form must be responsible to a senior manager as

designated by the governor. The form must be countersigned by an officer at least one grade higher than the member of staff completing 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,

other than those provisionally placed in Category A, are to be placed in Category U (Unclassified).

6.7 The Process of Categorisation and Allocation - Sentenced Prisoners 6.7.1 Both categorisation and allocation and further sentence planning depend

upon the prompt collection of information about the prisoner concerned. For the process of categorisation and allocation the following documents are required as a minimum:

o current custodial records (F2050) and previous records, where

available

o Schedule of Previous Convictions (obtained from the Police National Computer);

o the details of charge(s), pleas(s), finding(s) and sentence(s) relating

to current offences (Crown Court form 5089), where applicable; and

o the PER form, where comments about the risk the prisoner poses

have been 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. These must be collected as soon as possible after sentence. Where available, the information 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 reports on behalf of the OCA unit. The OCA unit must decide in each case if it requires internal reports, e.g., from the medical officer, psychologist, personal officer, probation officer or chaplain. Arrangements for obtaining internal reports will be similar to the contribution system for sentence planning adopted locally. Where intelligence or information has come from sources that do not wish to be revealed (e.g. prisoner informants) or where disclosure of the source could jeopardise the safety of persons, the nature and reliability of the information should be discussed without identifying its source. Similarly, where identification of the source or nature of the information could jeopardise ongoing investigations by the Prison Service or external agencies, it may be appropriate to withhold temporarily from the prisoner the full details of the allegation or information against her. Where staff believe this is appropriate, a governor grade or equivalent grade within contracted out establishments, must decide whether the withholding of the information from the prisoner is appropriate given the individual case of the prisoner. Where information has been withheld so as not to compromise ongoing investigations, the manager responsible for the OCA/recategorisation must ensure that the investigation is completed as quickly as possible so that the prisoner can be told, in detail, of the information/allegations about her and the reasons for any decisions subsequently made.

6.7.4 The custody/discipline office must immediately inform the OCA unit of any

changes in the prisoner’s circumstances (such as a change in the release date following appeal), as well as updating the entries on the local Inmate Database System (LIDS).

6.7.5 Reports used for section 3 of the ICA 3 are also used for ongoing sentence

planning and possible recategorisation. Copies must be included in the sentence planning file with the ICA3. Eventually all of these forms must be filed in the prisoner’s F2050, and must accompany the prisoner on transfer. Any reports received after the transfer of the prisoner to another establishment must be forwarded immediately to the custody office of that establishment.

6.7.6 Because of the need to begin sentence planning at an early stage for those sentenced to 12 months or over, allocation must be completed as soon after sentence as is practical. Of equal importance is the requirement to enable Home Detention Curfew risk assessments to commence as soon as possible for eligible prisoners. Prisons should agree arrangements locally in order to adopt the most efficient approach. Whenever it is recognised that for any reason, early allocation and transfer will not be possible, action must be taken to ensure that ACR, DCR or HDC documents are started or completed at the local prison.

6.7.7 In those cases where the prisoner is categorised to closed conditions

allocation must be to a closed establishment. 6.7.7a In cases where the prisoner is categorised to semi-open conditions there must be a presumption that allocation will be to a semi-open prison unless the prisoner is assessed as unsuitable for semi-open conditions or where there are significant reasons for the prisoner to be allocated to a closed prison. With regard to the above, the prisoner must, where possible, be allocated to an establishment to which she is most suited in terms of category and needs. A prisoner categorised semi-open must not be allocated to an open prison. 6.7.8 In cases where the prisoner is categorised to open conditions there must be

a presumption that allocation will be to an open establishment unless the prisoner is assessed as unsuitable for open conditions or there are significant reasons for the prisoner to be allocated to a closed establishment. With regard to the above, the prisoner must, where possible, be allocated to an establishment to which she is most suited in terms of category and needs. If a prisoner categorised and allocated to an open prison is unable to be allocated a place immediately because of lack of vacancies, she may be held temporarily in a semi-open prison until a suitable vacancy arises.

6.7.9 OCA units must refer to any guidance on allocation and must maintain a

comprehensive directory of receiving prisons’ criteria for transfer to ensure that prisoners are suitable prior to allocation being confirmed.

6.7.10 Receiving prisons must have published acceptance criteria that have been

agreed by the governor and the Operational Manager - Women’s Prisons and that have been recorded in the annual business plan. Any deviation from the list must 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 & allocation process. The information for the completion of the form can be obtained from:

o current custodial record - F2050;

o previous records, where available;

o OASys form, where available;

o Schedule of Previous Convictions;

o the details of charge(s), plea(s), finding(s), and sentence(s) relating

to current offences;

o any comments made on the PER Form;

o any pre-sentence reports;

o judges’ remarks;

o police post-trial report; and

o interviews with the prisoner. 6.8.2 Completion of pages 1 and 2 are self-explanatory. These do not form part

of the categorisation process and may be completed by staff other than those working in the OCA unit. The following Instructions, however are pertinent to the completion of pages 1 and 2: IG 54/94 (Schedule 1 status); IG 36/95 (Calculation of FLED & RLED)

6.8.3 Pages 3 and 4 determine the categorisation and allocation of the prisoner

and must be completed by OCA staff. The boxes in this half of the form should be ticked only if the criteria apply. If a box is ticked, details must be given alongside. In some cases this will be straightforward, factual information. Some criteria however, require a brief note indicating why the issue is regarded as of concern. Generally, prisoners to whom any one of the nine criteria apply should, on initial categorisation, be categorised as requiring closed conditions unless only (viii) or (ix) applies in which case categorisation may be to semi-open conditions. Below is some further guidance for staff completing these boxes.

• Length of sentence

All prisoners serving a sentence of 3 years or more must be categorised ‘closed’. This reflects the seriousness of the offence and the fact that prisoners at the beginning of a long sentence may be more tempted to abscond.

• Nature of offence The box must be ticked where the nature of offence causes concern. There may be concern over the offence type itself. However, staff must consider not just the type of offence, but also its nature. Pre-sentence reports, OASys forms where available, judges’ remarks and police post- trial reports should provide details of the circumstances of the offence.

• Previous Convictions When looking at previous convictions staff must not only look for serious offences that have considerably threatened public safety; but also at long patterns of minor offending that might indicate :(a), the prisoner’s long term recidivism; or (b), that the prisoner’s offending is growing more serious.

• Schedule 1 offences

Schedule 1 status should not automatically bar a prisoner from a semi-open or an open prison, but staff must consider fully the circumstances of any Schedule 1 offence before any female is categorised semi-open or open. Some cases will cause little concern. For example, where the Schedule 1 status resulted from a teenage fight with a peer occurring some years ago and where there has been no instances of violence since, categorisation as semi-open or open should not be ruled out. However, in cases where the offence was more serious, very recent, or involved the targeting of a specific victim, staff must comply with the procedures detailed in IG54/94, (in particular obtaining input from probation and contacting Social Services to obtain details of the whereabouts of the victim/victim issues) before proceeding with the categorisation.

• Serious criminal association

Known or suspected association with serious criminals must not in itself bar prisoners from being categorised as semi-open or open. However, if there are concerns about this association (e.g., it means that the prisoner is more of a risk to the public, or more likely to abscond), the prisoner must be categorised as ‘closed’.

• Mental illness

Prisoners diagnosed as suffering from any psychiatric or psychological problems must be categorised initially to closed conditions, until they can be properly assessed by medical staff. There may on occasions be prisoners in this category who do not pose a risk to the public, do not need close supervision and who might benefit from allocation to a semi-open or an open establishment. Nevertheless initial categorisation in such cases must still be to closed conditions (for assessment), but early recategorisation may be appropriate following a suitable period of assessment.

• Further charges

Prisoners with further charges, outstanding confiscation orders, or who are awaiting further sentencing must be categorised ‘closed’, until the outstanding charges have been dealt with.

• Previous history of escape, abscond or other breach of trust

The weight that should be given to any breach of trust is a matter of judgement, and must take into account the circumstances and the frequency of any incidents. Escape must be regarded as more serious than any other breach of trust. Any demonstration of trustworthiness (e.g., successful ROTL) must be considered in mitigation.

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

Prisoners subject to such action must not be allocated to open conditions unless highly exceptional circumstances arise (e.g., to enable a mother and baby to stay together when the only suitable establishment is an open prison). Governors must seek the approval of the Operational Manager - Women’s Prisons for such a transfer to open conditions.

6.8.4 Where staff have completed page 3 of the form and have categorised a

prisoner as semi-open or open, they must now complete the suitability assessment on page 4. Here they are asked to consider the following factors: (a), the prisoner’s custodial behaviour; (b), the prisoner’s medical requirements; (c), the prisoner’s ability to cope, vulnerability; (d), the risk of self-harm or suicide; and (e), any drug use history that the prisoner might have. Fuller guidance is given below.

• Persistent control problems

Prisoners who pose a consistent control problem will not be suitable for semi-open or open conditions. The lower inmate:staff ratio in these establishments and 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 the behaviour of difficult prisoners. It is a matter of judgement which prisoners will be assessed as persistent control problems, but particular attention must be paid to prisoners with a record of assaults against staff or other prisoners; prisoners charged with or suspected of bullying; prisoners with a record of MDT failures; prisoners on closed visits; prisoners displaying persistently disruptive behaviour; or those where reliable security information highlights areas of concern.

• Medical Issues

Every prison in the country has a medical officer on duty full-time and the presence or absence of a “full-time doctor” must not automatically impact on a prisoner’s allocation. A prisoner’s unsuitability for allocation to semi-open or open conditions on medical grounds must be based solely on clinical need. For example, a small number of prisoners will require allocation to an establishment with a HCC staffed 24 hours a day because of their medical or psychiatric condition (e.g., a pregnant diabetic who is refusing treatment). In such cases, the reason and duration of this restriction must be certified on the form by the prison medical officer.

Other prisoners may be on medication which is unsuitable for in possession use, or the prisoner herself may be unsuited to having medication in possession, in which case she should be allocated to an establishment with an evening treatment round. Normal pregnancy must not be a bar to allocation to a semi-open or an open prison, as all female prisons should be able to provide antenatal services up to and including 32 weeks of pregnancy. Thereafter the mother-to-be should be transferred to the Mother and Baby Unit for which she has been accepted (if applicable). Stable diabetics, women using tranquillisers, women with non-urgent or routine hospital appointments must also be allocated in the usual way unless the medical officer confirms a clinical need for closed conditions. Women with an urgent outpatient appointment or in-patient admission must remain at the establishment at which the appointment was made.

• Vulnerability

Prisoners may be vulnerable for a number of reasons: their personality, inability to cope with custody, the nature of their offence etc. Some prisoners may be vulnerable due to their inability to cope with prison life to the extent that closed conditions, with closer oversight and cellular accommodation, may be appropriate. Other prisoners may, due to the

notoriety or the nature of their offence, need protection from other prisoners or from intrusive media attention.

• At risk of self harm/suicide

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

An F2052SH must not be closed purely to enable a prisoner’s transfer to the semi-open or open estate as prisoners with an open F2052SH are not precluded from semi-open or open conditions. Prisoners should not be transferred within 72 hours of an F2052SH being closed. The only exception to this should be where the risk of suicide or self-harm is directly attributable to the fact of the prisoner being held in closed conditions. • Drug user/undergoing drug treatment/recently completed drug treatment

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

6.8.5 The allocation assessment should follow an interview with the prisoner and

is designed to identify the most suitable prison for the prisoner, taking account of : (i) security requirements (ii) sentence planning needs (iii) personal circumstances. In some cases, (ii) and (iii) may override a semi-open or open security and suitability assessment. For example, prisoners may need to be retained in closed conditions to maintain closeness to home, particularly to enable ease of visits from young children. Other examples of where retention in a closed prison might be appropriate include: to enable the prisoner to meet sentence planning targets; to enable completion of a detoxification programme; to enable access to legal advisers where there are ongoing court proceedings: to facilitate completion of a resettlement programme; to enable non-English speakers to be located together; or to enable prisoners to attend urgent outpatient appointment or an inpatient admission (e.g., for a malignant or life threatening condition), or to enable them to resolve urgent domestic issues. Early recategorisation may be appropriate once such issues have been resolved

Chapter 7 RECATEGORISATION OF FEMALE PRISONERS KEY POINTS • With the passage of time or changes in circumstances, prisoners may

become more or less of a risk to the public, and more or less likely to abscond. For those prisoners held in closed and in semi-open conditions, the recategorisation process serves as a regular review of their circumstances and of any progress made in meeting sentence planning targets. For those prisoners held in open conditions, it provides an opportunity for their transfer to closed or to semi-open conditions if there is a significant change of risk to the public or of abscond; they are no longer suitable for open conditions or there are other significant reasons for their transfer to closed conditions.

• These orders set out the procedures and documentation for the

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

ACR prisoners (those serving over 12 months but less than 4 years)

held in closed and in semi-open prisons must have a recategorisation review every 6 months. DCR prisoners (those serving more than 4 years) must have their security category reviewed annually. These orders introduce form RC3: recategorisation of female prisoners. When completing this document all procedures detailed in this chapter must be followed. • Sections of these orders describe: the principles of recategorisation;

responsibility for the recategorisation process; procedures for recategorisation; and guidance on completion of the form.

• This is an open document (but see 7.4.1) 7.1 Principles of Recategorisation 7.1.1 By the time a prisoner is eligible for review, staff will know much more about

her than when she was first categorised by OCA staff in the local prison. The aim of recategorisation is to use this information to establish whether there has been any clear change in the risk the prisoner poses. More specifically staff must answer two important questions: (i), is the prisoner more or less of a risk to the public than when she was first categorised; and (ii), is she now more or less likely to escape or abscond. It is not necessary

to prove continued or increased risk in both areas to retain the prisoner in her present category or upgrade her. There will be prisoners who pose less risk of escape than they once did, but who present such a serious threat to public safety that we cannot accept even the smallest chance that they will abscond or escape.

7.1.2 Having balanced the risk of the prisoner escaping or absconding against the

likely risk to the public were she to do so, governors (or equivalent grades in contracted out establishments) must decide, provisionally, whether the prisoner should remain in her current category, or whether she should be upgraded or downgraded. However, there will be some prisoners who, while posing less risk and therefore being eligible for downgrading, may be unsuitable in other ways for transfer to conditions of lesser security. Staff must complete the suitability assessment at the end of the recategorisation form, after which the prisoner’s new security category can be finally decided.

7.2 Responsibility for the Recategorisation Process 7.2.1 The recategorisation of Category A prisoners is dealt with in headquarters

by the Category A Committee. 7.2.2 The recategorisation of life sentence prisoners is dealt with in headquarters

by the Lifer Management Unit. 7.2.3 Recategorisation of all other female prisoners may be carried out by the

OCA unit, or by other suitably trained staff as designated by the governor or director, using guidance contained in these Orders and RC3 documentation. Recategorisation decisions 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

competently fulfil the OCA role. Staff completing the form must be responsible to a senior manager as designated by the Governor. The form must be countersigned by an officer at least one grade higher than the member of staff completing it.

7.3 Recategorisation Procedures 7.3.1 At the time of recategorisation there may be a number of additional reports

available, that were not available during initial categorisation. These might include:

• reports of successfully completed offending behaviour courses;

• sentence planning documentation including OASys form where

available;

• parole documentation;

• HDC risk assessment reports;

• reports from the workplace;

• copies of adjudication reports;

• details of any temporary releases;

• security information; and

• letters from the prisoner’s friends/family

7.3.2 Account must be taken of all relevant documentation. A copy of the

completed RC3 must be included in the sentence planning file alongside the ICA3. All these forms must eventually be placed in the prisoner’s F2050, and accompany her on transfer.

7.3.3 All prisoners held in closed and semi-open conditions, other than those

serving less than 12 months, must have their security category and allocation reviewed at regular intervals, or whenever there is a significant change in their circumstances. Except for Category A prisoners, who are considered by the Category A Committee and life sentence prisoners, whose cases are considered by the Lifer Management Unit, the first review must take place no later than 12 months after sentence and thereafter at least every 12 months.

7.3.4 ACR prisoners (those serving over 12 months but less than 4 years) held in

closed and semi-open prisons must have a recategorisation review every six months. DCR prisoners (those serving more than 4 years) must have their security category reviewed annually.

7.3.5 All prisoners may have a review outside this, and must be reviewed as soon

as possible if any of the following apply:

o deportation order lifted;

o reduction of sentence following appeal; or

o outstanding charges/sentencing dealt with. 7.3.6 Early reviews might otherwise be appropriate if, for example:

o a detoxification programme has been successfully completed;

o a F2052SH has been closed or a prisoner with an open F2052SH

would benefit from semi-open or open conditions; or

o outpatient treatment has ended. 7.3.7 Routine recategorisation reviews of prisoners held in open conditions are

not required. 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 to

prisoners. Where intelligence, of relevance to the recategorisation review, has come from sources that do not wish to be revealed (e.g. prisoner informants) or where disclosure of the source could jeopardise the safety of the informant; the nature and reliability of the information should be discussed without identifying its source. Similarly where identification of the source or nature of the information could jeopardise ongoing investigations by the Prison Service or external agencies, it may be appropriate to withhold temporarily from the prisoner, the full details of the allegation or information against her. Where staff believe this is appropriate a governor grade, or equivalent grade in contracted out establishments, must decide whether the withholding of the information from the prisoner is appropriate given the individual case of the prisoner. Where information has been withheld so as not to compromise ongoing investigations, the manager responsible for the recategorisation must ensure that the investigation is completed as quickly as possible so that the prisoner can be told, in detail, of the information/allegations about her and the reasons for any decisions subsequently made

7.4 Guidance on Completing the Recategorisation Form - Recategorisation from Closed Conditions 7.4.1 Part 1 of RC3 must be completed. At initial categorisation a prisoner may

have been allocated to closed conditions for one of three reasons: (i) her security categorisation was closed (ii) she was assessed as being unsuitable for semi-open or open conditions or (iii) there were other significant issues which indicated that location in a closed establishment was in the prisoner’s own interests.

7.4.2 When considering recategorisation from closed conditions, reference

must be made to the original ICA3; documentation on which completion of

the ICA3 was based and all subsequent relevant reports. The RC3 requires the officer completing it to consider any progress made by the prisoner or change in the prisoner’s circumstances since the initial categorisation or the previous recategorisation. The officer must then assess whether this is sufficient to warrant recategorisation and reallocation to semi-open or open conditions.

7.4.3 Those prisoners considered for recategorisation from closed to semi-

open prisons must have demonstrated a clear change in risk to the public and, although perhaps at risk of absconding from an open prison, are considered unlikely to breach the perimeter at a semi-open prison. Prisoners must also be suitable for semi-open conditions.

7.4.4 Prisoners may be recategorised from directly from closed to open

conditions: there are no requirements to progress via the semi-open estate. Such prisoners must have demonstrated a clear change in risk to the public and be considered unlikely to abscond.

7.4.5 Although most of the initial security categorisation criteria are static, a

change in circumstances or progress made by the prisoner during her sentence may mitigate these sufficiently to indicate that risk has been reduced. The areas that must be considered during recategorisation are detailed below.

7.4.6 LENGTH OF SENTENCE - Prisoners serving a long sentence may pose a

risk of absconding and/or a risk to the public. For some prisoners however, the length of sentence may have been the only factor which prevented their initial allocation to semi-open or an open prison. For these prisoners, recategorisation may be appropriate irrespective of the time left to serve. In assessing whether or not prisoners serving a long sentence are suitable for semi-open or open conditions, staff must consider whether the prisoner has spent a period in closed conditions sufficient to enable her to come to terms with her sentence; to sort out appropriate domestic arrangements and to establish sentence planning priorities. Risk of abscond must be weighed carefully, particularly if the prisoner has a long time left to serve or has family who may find it difficult to visit were she to be allocated to a semi-open or an open prison.

7.4.7 NATURE OF OFFENCE - In assessing whether sufficient progress has

been made by the prisoner in reducing the risk to the public, account should be taken of: (i) any offending behaviour work; (ii) other work on offending completed with probation (iii) successful completion of other courses which may impact on risk i.e.: literacy; financial management (iv) change in attitude (v) maturity.

7.4.8 Whether the progress made has been sufficient to lessen the risk the prisoner posed to the public on initial categorisation, depends on the individual circumstances of the case. Staff must assess: whether the prisoner has addressed the cause of her offending; whether she has developed any skills which will help her to avoid offending in the future; and whether she has been genuinely motivated to change her behaviour. The more serious the offence the greater the need for compensating factors. Some offences may be so serious that the prisoner may never be suitable for recategorisation to semi-open or open conditions.

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

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

7.4.10 SCHEDULE 1 OFFENDER - Schedule 1 status should not automatically

bar a prisoner from being reallocated to a semi-open or an open prison, but staff must consider fully the circumstances of any Schedule 1 offence before any female is recategorised. Some cases will cause little concern. For example, where the Schedule 1 status resulted from a teenage fight with a peer occurring some years ago and where there has been no instances of violence since, recategorisation should 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 with the procedures detailed in IG54/94, (in particular obtaining input from probation and contacting Social Services to obtain details of the whereabouts of the victim/victim issues) before proceeding with the recategorisation.

7.4.11 SERIOUS CRIMINAL ASSOCIATION - The nature of the semi-open and

the open estate must be borne in mind when assessing this risk. For example is the prisoner associated with a drug dealer who might see her location in an open prison as a means of dealing in drugs? Or would the prisoner be placed under pressure from associates to abscond or be assisted in breaching the perimeter at a semi-open prison?

7.4.12 MENTAL ILLNESS - Semi-open or open conditions must be considered if

the prisoner is not seriously disturbed; her offences do not involve violence or otherwise dangerous behaviour; she does not require a health care centre staffed 24 hours a day ; she does not require close observation by uniformed staff for her own 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 of having further charges, she may be suitable for recategorisation once these charges have been dealt with. Much will depend on the nature of these other offences and any sentence, or court award that was imposed for them.

7.4.14 PREVIOUS HISTORY OF ESCAPE/ABSCOND/BREACH OF TRUST- A

prisoner who has breached trust in the past may since have demonstrated trustworthiness by successfully completing periods of release on temporary licence or by holding positions of trust within the prison. Prisoners with a previous breach of trust within the relevant timescale but who have successfully completed a sentence in open conditions, or have successfully returned from ROTL, must be considered for semi-open or open conditions.

7.4.15 PRISONERS SUBJECT TO ENFORCEMENT ACTION UNDER THE

IMMIGRATION ACT (1971)- Prisoners subject to such action must not be reallocated to open conditions unless highly exceptional circumstances arise (e.g., to enable a mother and baby to stay together when the only suitable establishment is an open prison). Governors must seek the approval of the Operational Manager - Women’s Prisons for such a transfer to open conditions.

7.4.16 The criteria used to assess initial suitability for semi-open and open

conditions are not static factors and may apply only for a short time. Regular recategorisation reviews will serve to consider any changes in the prisoner’s circumstances or behaviour. For example, a prisoner who initially presented a control problem may have displayed such a sustained and appreciable improvement in behaviour to warrant a reallocation to semi-open or open conditions. In reassessing such prisoners, account must be taken of the nature of the semi-open and open estate: a prisoner whose behaviour is marginally acceptable in closed conditions may be too disruptive in semi-open or open. Alternatively, continued location in closed conditions may be adversely affecting a prisoner’s behaviour.

7.4.17 Similarly medical issues may have been resolved, as might issues

surrounding the prisoner’s mental well-being. Staff must consider any changes in the prisoner’s circumstances. For example, on initial reception the prisoner may have appeared vulnerable or likely to harm herself. Some prisoners however, having had time to settle down in closed conditions might benefit from reallocation to semi-open or open conditions after a short period.

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

7.4.19 Care must be taken to ensure that there are no new issues of security to

consider (i.e. new charges; breach of trust during sentence) in the case of those prisoners originally precluded from semi-open or open conditions on grounds of suitability or allocation issues.

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

7.5.1 For recategorisation from semi-open conditions to open conditions,

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

7.5.2 Prisoners in semi-open prisons may need to be recategorised

because they now pose a greater risk to the public or are considered at risk of breaching the perimeter; their behaviour makes them unsuitable for semi-open conditions or, for other reasons, they are felt to require the closer supervision of the closed estate.

7.5.3 Prisoners recategorised from semi-open to open conditions must be

able to demonstrate a continued low risk to the public, a low risk of abscond and suitability for open conditions.

7.6 Guidance on Completing the Recategorisation Form -

Recategorisation from Open Conditions 7.6.1 Some prisoners in open conditions may need to be recategorised to closed

conditions after a period of time because they now pose a greater risk; their behaviour makes them unsuitable for open conditions or, for other reasons, they are felt to require the closer supervision of the closed estate. Part 2 of the RCA must 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 an increased risk of abscond or on allocation needs. Prisoners posing an increased risk to the public or who are deemed unsuitable for open conditions, must be recategorised to closed conditions. Part 2 of RCA must be completed.

7.6.2 In recategorising a prisoner from open conditions the establishment must

bear in mind the categorisation/allocation criteria contained within ICA3 and their own acceptance criteria agreed by the Governor and the Operational Manager - Women’s Prisons, and ensure that any recategorisations are based on genuine risk or allocation issues. The RC3 must clearly state how the prisoners circumstances have changed.

7.6.3 Sometimes a prisoner may need to be recategorised to conditions of

higher security after only a day or two at an open prison. In recategorising these prisoners the open prison is essentially challenging the validity of the

original allocation and RC3 must make it clear why open conditions are not considered appropriate, particularly if recategorisation is based on fresh information or information not previously acknowledged in the ICA3.

7.6.4 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 the decision made and the reasons for it. 7.7.2 Should the prisoner wish to appeal against the decision, she should do so

using the requests and complaints form to the line manager of the assessor or board chair.

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 Young

Offenders in Category A and deciding the appropriate escape risk classification lies with the Prisoner Management Section of the Directorate of High Security Prisons at Headquarters. Chapter 9 of the Security Manual deals with the reporting in of those cases where Category A appears necessary.

8.1.2 The decision to confirm a sentenced prisoner or Young Offender as

Category A or Restricted Status is taken by Prisoner Management Sections at Headquarters.

8.2 Allocation of Category A prisoners 8.2.1 The allocation of prisoners and Young Offenders confirmed as Category A

or Restricted Status is carried out by the Category A Section at Prison Service Headquarters.

8.3 Sentence Planning for Category A prisoners 8.3.1 ICA 4 forms the first stage of sentence planning for Category A prisoners

and must be completed for all Category A prisoners and Restricted Status Young Offenders, both male and female.

8.3.2 If staff completing the Form are unable to verify Schedule 1 status, due to

circumstances beyond their control, or where the prisoners is appealing against Schedule 1 status this must be clearly indicated on the Form.

8.3.3 If any of the documents listed at Section 4 of ICA 4 are not available, the

member of staff completing the Form must either take steps to obtain them or ensure that the relevant member of staff does so.