Justice Social Work Services: national throughcare guidance

5. Role of Prison-Based Social Worker (PBSW)

5.1 PBSW should ensure all those who will become subject to statutory supervision understand the role of social work services in the custodial setting and how they can contact a PBSW. A member of the PBSW team should have a meeting with the person within 10 working days of the information of the sentence being received from Court. This induction meeting should include:

a) establishing whether there are any immediate problems of a personal or family nature to be addressed (e.g. mental health, learning disability or vulnerable adult issues);

b) discussing if they wish a family member to be involved in the ICM process and, if so, identifying whom. It should be explained to the person that this will be subject to approval by SPS and social work staff;

c) informing the person of the role of social work during the sentence and the different services available in the prison and how to access these. This will include an indication of what contact to expect from both PBSW and CBSW;

d) ensuring the person understands the parole process, where applicable, including that the person will be subject to statutory supervision post-release even if they are not released on parole and explain what statutory supervision will mean, taking into account the particular licence or order to which the person will be subject.

5.2 Within 10 working days of receiving notification of the person’s sentence, PBSW send a designation letter to the local authority JSW service where the person resided prior to sentencing. The designation letter advises that the person will be subject to post-custodial supervision when they are released from custody and outlines the length of sentence. The receiving authority must reply in writing within 10 working days confirming or declining throughcare responsibility. Should the person wish to return to another local authority other than the one resided in prior to sentencing then the process outlined in section 8 should be followed.

5.3 PBSW should have access to relevant information (complaint/indictment, previous convictions, sentencing reports, copies of risk assessment(s) and the trial judge’s report where applicable).

5.4 PBSW should provide SPS with information on the risk posed by a person with convictions for a schedule 1 offence (serious crimes against children and young people as defined under the Criminal Procedure (Scotland) Act 1995) so that information is available to inform sentence planning and decision making.

5.5 PBSW are responsible for the use and application of the Level of Service/ Case Management Inventory (LS/CMI) and have sole responsibility for creating and updating LS/CMI records. For more information, please refer to Using the LS/CMI in Prison and Throughcare Guidance. Relevant SPS staff have access to LS/CMI but on a read only basis. Where an LS/CMI record exists; for example, the person has been subject to supervision in the community, or initial assessment completed for the JSW report, a request for transfer should be made. CBSW should transfer the LS/CMI record no later than 10 working days after this request.

5.6 Where no community LS/CMI record exists, a new LS/CMI record should be created. The case management plan should be updated within the first 5 months of the person’s sentence so that it is available for the initial ICM

5.7 PBSW must discuss the outcome of the assessment with the person and evidence that the person has fully understood the risk and needs.

Risk of Serious Harm Assessment (RoSH)

5.8 Risk of Serious Harm (RoSH) is defined as the ‘likelihood of harmful behaviour of a violent or sexual nature which is life threatening and/or traumatic, and from which recovery, whether physical or psychological, may reasonably be expected to be difficult or impossible’. This agreed definition is key when considering whether a full RoSH assessment is required.

5.9 Whenever the conclusion at Section 7.3.2 of the LS/CMI is that fuller assessment is merited, a full RoSH assessment should be completed. This includes completing it, where required, in advance of the initial ICMCC.

5.10 PBSW and CBSW should collaborate on the decision making on the assessment of RoSH. If there is disagreement between PBSW and CBSW this should be escalated to managers or senior social workers within each team. The final decision lies with the local authority (i.e. the Responsible Authority) who will manage the risk(s) in the community.

Preparation for ICM

5.11 Preparation for all ICMCC involves interviewing the person, consultation with key staff and with CBSW to ensure that all information is considered and assessments accurately reflect progress within custody.

5.12 For the initial ICMCC, PBSW must ensure a full LS/CMI has been completed. If a full RoSH assessment is not required, PBSW will draft a case management plan (section 9.2 of the LS/CMI). Completion of a RMP is not usually required until the person reaches progression/parole stage in their sentence. However, subject to agreement between PBSW and SPS there may be some limited instances, where the case requires complex management arrangements, when an RMP will be required to be documented using LS/CMI prior to progression/parole and as part of management within custody.

5.13 This includes engagement in accredited programmes and PBSW should also share post-programme reports with CBSW. PBSW adds this information to the progress record within LS/CMI.

5.14 PBSW provides information to Programmes Case Management Board within SPS to support assessment of suitability for programmes.

Progression, Community Access and Pre-release

5.15 Throughout the ICM process the sharing of information and review of risk assessments is a continuous process which informs sentence planning and progression. At all stages of the progression journey, PBSW must be able to evidence that they have collaborated with SPS, CBSW and other agencies to assess the person’s readiness to progress.

5.16 Dependant on the type and length of sentence, progression can be transferring to less secure conditions (NTE or Open Estate), or preparation for release and will be informed by ongoing assessment of risk and completion of formal reports. PBSW must refer to the relevant guidance and procedures for the completion of all reports completed for SPS or the PBS.

5.17 The standard progression criteria for a long term sentence is where a person:

a) wishes to be considered suitable for less secure conditions and/or wishes to have unescorted access to the community;

b) has been assigned low supervision status (decision made by SPS);

c) is free from misconduct reports which resulted in an award greater than a warning, for the preceding 3 months;

d) is not subject to a deportation order, unless they have been granted temporary release within the previous 3 months (rule 134);

e) has no outstanding criminal charges;

f) has had no positive tests, and at least one negative tests for illicit substances within the last three-month period;

g) has served an appropriate part of their sentence in closed conditions (at least six months for long term sentence);

h) is being assessed for unescorted community access has already progressed to more open conditions.

5.18 The standard progression criteria for a short term sentence is where a person:

a) has been assigned low supervision status (decision made by SPS);

b) is free of misconduct reports, which resulted in an award greater than a caution, within the preceding 3 months;

c) is not subject to a deportation order, unless they have been granted temporary release within the previous 3 months (rule 134);

d) has no outstanding criminal charges;

e) has had no positive tests, and at least one negative tests for illicit substances within the last three-month period;

f) has served the appropriate period of their sentence in closed conditions as per the Progression Pathway;

g) has served a minimum period of 3 months in custody to allow sufficient time for adequate assessments to be carried out; and

h) must be serving at least 12 months (and less than 4 years) to be considered for community access, regardless of location/establishment.

5.19 Home leave can only be accessed from the open estate.

5.20 The LS/CMI is reassessed when progression is being considered (e.g. transfer to less secure conditions, open estate or prior to release) or whenever a significant event^[1] occurs before any scheduled ICMCC. PBSW should liaise with CBSW and key stakeholders to ensure that all relevant information is available.

5.21 Where a person requires active and alert multi-agency risk management, a RMP is to be developed by the PBSW (section 9.3 of the LS/CMI). This will be in collaboration with CBSW and other key partners, if required, such as psychology. The RMP will then be ratified by the RMT, prior to progression to less secure conditions and unescorted community access.

5.22 If the person is being considered for progression to a less secure environment, PBSW from the closed establishment should arrange to meet with PBSW from National Top End (NTE) or Open Estate and CBSW to discuss the risk assessments and recommendations. This will allow PBSW from NTE/Open Estate to highlight any concerns they have in relation the risk assessment or RMP. This meeting should be held in advance of the RMT meeting, to address any issues that could result in the person being assessed as unsuitable for progression after they have been transferred.

5.23 If applicable PBSW should ensure that the person in custody understands the parole process, including their rights.

5.24 Where a person in custody indicates that they wish to nominate a home leave or Parole address that is out with their designated local authority, PBSW should advise the allocated CBSW at an early stage.

5.25 PBSW notify relevant local authorities and personnel from Scottish Children’s Reporters Administration (SCRA) of the impending release of a person with a schedule 1 conviction (Circular SEJD18/2003), providing copies of relevant reports and risk assessments.

5.26 PBSW should meet with the person before their release to ensure they fully understand their licence conditions, and what is required to comply. The person should be clear on expected behaviours to meet licence conditions, and the consequences of breaching them. They should also be made aware of support options, including who to contact and what to do if facing difficulties in the community. PBSW should also take into account a person’s neurodiversity, communication needs, and any past trauma, ensuring they receive information in a way that is accessible and clear to them.

5.27 PBSW should attend the PBS oral hearings when cited to give evidence.

5.28 Prior to release PBSW should ensure that the LS/CMI is up-to-date and ready for transfer to CBSW. The LS/CMI record should be transferred to the community no later than the day the person is released from custody.

5.29 PBSW and CBSW should work in consultation and were applicable, in collaboration, to complete formal reports and assessments. These reports will be requested for community access and home leave purposes. Please refer to relevant guidance for the specific report requested. Timescale of completion of the reports will be included within the request.