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UNCLASSIFIED

Probation
Circular

PC08/2007 – IMPLEMENTATION OF ACCREDITED


OFFENDING BEHAVIOUR PROGRAMME
PERFORMANCE IMPROVEMENT STANDARDS

IMPLEMENTATION DATE: 17 April 2007 EXPIRY DATE: April 2012

TO: Chairs of Probation Boards, Chief Officers of Probation, Secretaries of Probation Boards
CC: Board Treasurers, Regional Managers

AUTHORISED BY: Sarah Mann, Head of Interventions and Substance Abuse Unit, NOMS

ATTACHED: Annex A – Performance Improvement Standards Manual


Annex B – Report Form
Annex C – Equality Impact Assessment Form

RELEVANT PREVIOUS PROBATION CIRCULARS


PC03/2004, PC23/2004

CONTACT FOR ENQUIRIES


jo.day@homeoffice.gsi.gov.uk or 02072178999
Philip.mcnerney2@homeoffice.gsi.gov.uk or 02072170674
Lesley.smith@homeoffice.gsi.gov.uk or 0207217833

PURPOSE
To require Chief Officers of Probation to implement the performance standards for accredited
offending Behaviour Programmes

ACTION
Chief Officers are asked to: ensure that the performance improvement standards manual is
disseminated to relevant senior managers; to undertake an audit using the standards; and
submit the results of the audits to the address below by 30th May 2007

SUMMARY
The performance standards provide for an interim audit of programmes. This audit is best
described as a ‘snapshot’ and its future use will be dependant on the progress of the joint
NPS/HMPS audit development Project. It is envisaged that the new arrangements for audit will
be in place in 2007/08.

ISSUE DATE – 3 April 2007


UNCLASSIFIED 1 of 3
UNCLASSIFIED

Introduction

There has been no formal Accredited Programme audit since 2004 and consequently there is
an urgent need to address the audit process and framework. Work is currently being developed
on an audit framework which covers all accredited programmes across custody and community
and this work is due for completion in 2007/08.

Following discussions with the Delivery and Quality Unit NOMS we have agreed an interim
approach which will ask probation areas to evaluate current performance and identify areas for
improvement. There are two persuasive arguments for this approach:

1) Robust and credible information is central to the planned mock contestability of


programmes in 2007/08.

2) ROMs will want to commission effective programmes. This audit document will enable
areas to demonstrate programme integrity which is crucial to an effective programme.
Ultimately a weak programme which is unable to demonstrate the standards will
undermine integrity and have an impact on completions.

Standards

The standards will align with work being undertaken in the joint NPS/HMPS audit project
described above. This particular audit will establish the critical factors in delivering quality
programmes and it should be noted that they are primarily intended as improvement standards
and will not provide a comprehensive audit tool for all aspects of accredited programmes. The
audit aims to be ‘light touch’ with the themes being based on the critical factors that research
shows are necessary for delivering effective programmes.

Audit process

The Attitude Thinking and Behaviour Team NOMS have developed the attached framework of
self audit of performance for accredited programmes. Areas are required to undertake an audit
of programmes for the period April 2006 – March 2007 using the standards set out in the
manual. It may prove helpful when establishing the audit process to consider using colleagues
across the region to undertake and validate the scoring. Senior managers are expected to
identify a named person to link with Lesley Smith Lesley.smith@homeoffice.gsi.gov.uk and sign
off the completed report by 30th May 2007. If required an action plan focussing on areas for
improvements should also be completed and sent to the above address. Details of the scores
and plan should be recorded on the form (Annex A) with one copy submitted to Lesley Smith at
ATB team NOMS and one to the relevant regional manager by 30th May 2007. A national audit
report will be produced once we have received a report from all areas. This will summarise the
strengths and areas for improvement within a national context.

The standards and rating system used are also consistent with the performance management
approach being developed for NPS by the NOMS Performance and Improvement Directorate. It
will be a requirement for Areas to submit their OBP standards audit score to the NOMS
Interventions and Substance Misuse Unit. The Unit will band the audit scores using the formula
presented in the Rating Approach Section of the Performance Improvement Standards manual.
Once the OBP bands have been created the information will be communicated to the NOMS
Performance and Improvement Directorate for inclusion within the Integrated Probation
Performance Framework and the weighted scorecard.
PC08/2007
Implementation of Accredited
Offending Behaviour Programme
Performance Improvement ISSUE DATE – 3 April 2007
Standards UNCLASSIFIED 2 of 3
UNCLASSIFIED

Proposed Timetable

April 2007 PC published outlining purpose of exercise


May 30th 2007 Audit completed in areas
June 30th 2007 Area Report to NPD
September 2007 National summary report completed with analysis
and Areas contacted re: validation exercise

PC08/2007
Implementation of Accredited
Offending Behaviour Programme
Performance Improvement ISSUE DATE – 3 April 2007
Standards UNCLASSIFIED 3 of 3
Annex A

Accredited Offending
Behaviour Programmes

Performance Improvement
Standards Manual

March 2007

© Crown Copyright February 2007

Accredited OBPs Performance Improvement Standards Manual © Crown Copyright 2007 1


CONTENTS: PAGE No:

Introduction Page 3

How to use this manual Page 4

Section A: Committed Leadership and Organisational Support Page 5

Section B: Programme and Treatment Integrity Page 11

Section C: Staff Training, Supervision and Effective Communication Page 22

Section D: Evaluation, Monitoring and Administration Systems Page 32

Rating Approach Page 37

Appendix 1 Audit Report Proforma Page 39

Accredited OBPs Performance Improvement Standards Manual © Crown Copyright 2007 2


INTRODUCTION:

The Correctional Services Accreditation Panel (CSAP) has worked closely with Her Majesty’s Prison
Service (HMPS) and the National Probation Service (NPS) in developing a suite of internationally
recognised programmes designed to aid the reduction of reoffending which forms a key part of the
National Offender Management Service (NOMS) strategy vision and aims. To achieve accredited status
programmes have gone through a rigorous process of design, development and scrutiny to ensure that
they have the maximum impact on offenders. As well ensuring rigorous design criteria are met it is
essential that programmes are also delivered to a high standard to ensure that they have the desired
effect of addressing the key criminogenic needs they are designed to target and contribute to the
overarching strategy to lower reconviction rates.

In order to ensure the delivery side of programmes is as high quality as possible, the CSAP, in
conjunction with NOMS, asked HMPS and NPS to set up a project to jointly develop the next generation
of programme quality assessment. This requires the production of a clear set of standards against which
deliverers can be assessed in terms of the quality and level commitment they achieve in their delivery of
accredited programmes. The Joint HMPS and NPS Audit Development Project is currently due to be
completed in January 2008.

In the interim, until the above project is complete, there is a lack of a dedicated audit resource for
accredited offending behaviour programmes (OBPs) in the National Probation Service (NPS). This
manual provides a basis for a snapshot self or peer assessment approach and is informed by the
development work for the aforementioned project and the previous quality assurance system delivered
by HMIP. Its aim is to focus on the quality of implementation at site level, and will not consider at this
time the supportive function of Headquarters.

The items selected for inclusion in this manual 1 represent specific performance improvement standards
related to compliance to the minimum operating conditions required to deliver programmes as well as a
few items to assess in greater depth the quality of delivery in the area of treatment management. It will
not provide a comprehensive validated audit tool for all aspects of work in delivering high quality
offending behaviour programmes. The standards included are informed by a review of the evidence of
those factors that are critical to well implemented and maintained delivery of programmes.

The standards and rating system used are also consistent with the performance management approach
being developed for NPS by the NOMS Performance and Improvement Directorate. It will be a
requirement for Areas to submit their OBP standards audit score to the NOMS Interventions Unit. The
Interventions Unit will band the audit scores using the formula presented in the Rating Approach Section
of this manual. Once the OBP bands have been created the information will be communicated to the
NOMS Performance and Improvement Directorate for inclusion within the Integrated Probation
Performance Framework and the weighted scorecard.

This Performance Improvement Standards Manual aims to focus the audit process on continuous quality
improvement. The standards identified in the manual promote the development of practice that are
critical to supporting effective programme delivery and therefore some items are noted as mandatory.
The standards address the proper resourcing of practice, setting standards for the physical environment
in which programmes are delivered and ensuring that integrity of the programme delivery and ongoing
evaluation and monitoring processes are maintained.

This manual provides transparency in how all deliverers are to assess and be assessed in their delivery
of programmes and how ratings are awarded. The audit reports will provide valuable information to
CSAP, NOMS, ROMS, and NPS about areas where improvements need to be made as well as identifying
and acknowledging strengths in the delivery of accredited offending behaviour programmes.

1
The current manual is an adaptation of the HMIP Performance Standards Manual 2002 and the Quality
Management of Accredited Programmes Probation Circular 23/2004. It is also informed by a draft version of a Joint
Performance Standards Manual, produced for the Joint HMPS and NPS Audit Development Project in October 2006.

Accredited OBPs Performance Improvement Standards Manual © Crown Copyright 2007 3


HOW TO USE THIS MANUAL:

This manual sets out:

• The Performance Improvement Standard and its description

• The evidence to assess how the standard is met. The examples provided in the manual are intended
to be illustrative and they are not exhaustive.

• The methods for local area senior managers and programme staff to check and verify how the
standard is currently being met.

• The rating approach and the link to the Integrated Probation Performance Framework and the
weighted scorecard.

• The template for the self or peer audit report and action plan report to assist the continuous
improvement of performance.

The performance improvement standards have been organised into four sections:

Section A: Committed Leadership and Organisational Support which includes supportive


leadership and management, effective communications with other parts of the organisation,
appropriate allocation and effective management of resources. This section can be applied
across all programmes.

Section B: Programme and Treatment Integrity which includes standards related to the quality
delivery of the programme including adherence to programme design, appropriate and
effective offender assessment, targeting and selection, management of attrition rates,
appropriate resources and facilities. This section is applied to specific individual accredited
offending behaviour programmes.

Section C: Staff Training, Supervision and Effective Communication includes trained and
supervised staff who are developed and seen as credible by others. Appropriate marketing
of the programme to other staff in the organisation and externally. This section can be
applied across all programmes.

Section D: Evaluation, Monitoring and Administration systems which include good


administration and management information systems set up and key evaluation data is
collated and recorded as set out in the relevant manuals and guidance. This section can be
applied across all programmes.

The evidence for rating each standard predominantly focuses on those available at site through access to
local site information and records, databases and IAPS or local equivalent as well as by assessing the clinical
products generated by the individual programmes. The ratings based on these sources of information will
lead to an overall quality rating of how well the programmes are being implemented and maintained.

Accredited OBPs Performance Improvement Standards Manual © Crown Copyright 2007 4


Section A
________________________________________________________________________

Committed Leadership and Organisational Support


Senior management and other parts of the organisation are actively committed
to the proper resourcing, management and delivery of the intervention, and to
ensuring a supportive organisational environment

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A1 Committed Leadership and Senior Management actively supportive of
programmes

Description
Senior management should be openly and explicitly committed to the proper running of the programme
through policy and public statements.

Evidence of how the standard will be met


• Specific objectives in the area annual business plan about the importance assigned to the delivery of the
chosen accredited programme(s).
• Specific targets set in line with NPD targets.
• Strategy to reduce offending detailing targets and running of accredited programmes.
• Attendance by senior managers at staff awareness/context setting days for accredited programmes.
• Middle managers, offender managers and PSR authors attended context setting days.
• New staff had a briefing on accredited programmes.
• Communication with all staff in support of service delivery e.g. team meeting minutes, newsletters, e-
mails.
• Evidence of regular constructive and pro-active discussion in senior management meetings about the
effective delivery of the accredited programme, e.g. evidence in meeting minutes, memos or e-mails of
discussion of operational issues and guidance issued to staff, decisions made on the basis of evidence.

Method for managers/staff to check and local area senior managers to audit and verify
• Area documentation, including annual business plan, training strategy, policy statements and relevant
senior management/divisional management minutes.
• Other documentation, including copies of presentations made by senior managers to staff groups and
guidance issued to staff.
• Check with senior management, operational managers and practitioners.
• Attendance list for new staff with dates of events.
• Dates of context setting days with attendance lists and job titles.
• Minutes of meeting during the last 12 months.
• Copies of internal bulletins, global e-mails.
• Evidence of public statements and resource allocations for the current financial year.

MANDATORY

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A2 Management Structures and Time allocated to manage programmes

Description
Effective line management structures exist for the proper operation of the programme, integrating this
within offender management structures. Adequate time should be set aside for the effective management of
the programme.

Evidence of how the standard will be met


• Organisational chart outlines the management structures for the delivery of accredited programmes.
• There is a representative/’programme champion’ for accredited programmes on the senior management
team for the area.
• There are sufficient Treatment Managers/Monitors/supervisors and Programme Managers for the
number and suite of programmes delivered by the area.
• Competency-based job descriptions exist for all staff involved in programme delivery, case management
and in support roles.
• Minutes of relevant divisional/functional management meetings demonstrate the integration of
programme delivery within the offender management process and effective communication across the
area.
• Minutes indicating Treatment Managers regular input at team meeting
• Mechanism for interaction of programme delivery staff and offender managers.
• Regular minuted programme management meetings.

Method for managers/staff to check and local area senior managers to audit and verify
• Area documentation, including organisational charts, job descriptions and minutes of meetings.
• Interviews with senior and middle managers, programme staff and offender managers to check how line
management systems operate.
• Interview with programme manager to ensure adequate time is allocated for the effective management
of the programme.
• Describe the number of Treatment Managers/Monitors and Programme Managers for the number and
suite of programmes delivered.

IMPORTANT

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A3 Staff ownership of the accredited programme in the organisational culture

Description
There is full ownership of the programme by managers, programme tutors/facilitators and other relevant
staff, e.g. court personnel and offender managers.

Evidence of how the standard will be met


• Evidence of consistent allocation and use of accredited programmes across the area.
• Regular offender manager attendance at programme review meetings as specified in the appropriate
programme management manual.
• Offender managers, PSR authors and other relevant personnel to attend context setting or other
accredited training courses.

Method for managers/staff to check and local area senior managers to audit and verify
• IAPS database or local equivalent for allocations to the programme.
• Case records to verify attendance by offender managers at programme review meetings.
• Area statistics.
• Check with offender managers, court personnel, programme tutors and other relevant staff.
• Numbers and percentage of offender managers, PSR authors and other relevant personnel who
attended context setting and/or offender manager training.
• Date of meeting and attendance list/training record.

IMPORTANT

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A4 Adequate provision of budget, room and space to deliver the programme

Description
Adequate accommodation, budget and space allocated and available to deliver relevant suite of
programmes.

Evidence of how the standard will be met


• Group rooms/Interview rooms are of sufficient size to conduct the work required for the
programmes including enough space for all people and relevant equipment.
• The room is well lit and well ventilated, with minimum outside noise/disruption.
• When required a separate area/room is available to allow sub-group work to take place and
is of a sufficient size to accommodate the number of people and any equipment.
• Comfortable chairs in each room (padded, fairly upright chairs with arms may be most
appropriate).
• A desk/table to enable an offender to complete written work when needed (as a minimum a
participant should be supplied with a clipboard or hard cover file to work on).
• A flipchart and stand, whiteboard, OHP and screen and other aids to enhance responsivity
are available when needed.
• Audio/video monitoring equipment of sufficient quality to enable sessions to be assessed by
treatment managers.
• Secure tape storage facilities for the cataloguing and storage of all sessions of the accredited
programme. Video/audio tapes must be retained for treatment management and audit
purposes. Refer to NPS Data Protection Policy April 2005 for guidance.

Method for managers/staff to check and local area senior managers to audit and verify
• Physical check and description of the accommodation at each location, including size,
equipment and facilities.
• Check with programme tutors to ensure that they are adequately resourced to run the
programme.
• Random sampling of a few minutes of video/audio tapes to ensure that the recordings are of
sufficient quality for monitoring and reviews to take place.
• Plans which outline details of how any deficiencies are to be addressed to bring room,
facilities and equipment up to standard.

IMPORTANT

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A5 Effective arrangements with offender manager to support offender and the
programme

Description
Effective arrangements for liaison handover and communication and offender manager understands the aims
and objectives of the programme. This includes timely completions of pre and post programme work, the
three way meeting at the end of the programme, supporting and motivating the offender during
participation in the programme, resolving obstacles to attendance and reinforcing learning.

Evidence of how the standard will be met

• Evidence of consistent attendance at three way meetings by offender managers, programme


tutors and offenders.

• Records (IAPS or local equivalent and case records) demonstrate that the required pre-
programme work is completed in timely fashion.

• Records (IAPS or local equivalent and case records) show when there has been problems
with an offender participation or attendance it reflects attempts to address this by offender
manager working with programme staff.

• Attendance at any awareness/context setting training.

• Evidence of communication or minutes of meetings with offender manager.

Method for managers/staff to check and local area senior managers to audit and verify

• IAPS or local equivalent.

• Check with staff and offenders.

• Case records.

• Attendance at relevant training by offender managers.

MANDATORY

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Section B
________________________________________________________________________

Programme and Treatment Integrity


The programme is delivered as intended and with appropriate treatment style
and high quality facilitation, with appropriate selection of offenders,
management of non-completion and adequate resources

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B1 Managing attendance and risk of non-completion

Description
Offender attendance and absence are managed to achieve the required National Performance Management
target for offender completions. Attendance is managed to achieve coherent delivery with full impact for all
undertaking the programme and reducing the likelihood of non-completion. The maximum number of
absences by an offender is consistent with the requirements of the programme manual for the specific
accredited programme. Offenders attend the requisite pre and post programme sessions. Any deviations for
reasons of risk of harm are clearly recorded. Offenders are returned to court when there are too many
absences.

Evidence of how the standard will be met


• Area policy document on offender attendance/enforcement.
• Area documentation outlining how completion rates will be enhanced over time. Including
any analysis of non-completion rates and subsequent action.
• Attendance registers and case records demonstrate that participants’ attendance conforms
to the requirements of the programme and national standards.
• IAPS database or local equivalent confirming offender attendance and completion rates.
• Evidence of communication between offender manager and programme staff when an
offender has missed sessions for acceptable or unacceptable reasons.
• Record of action taken by offender manager or programme staff when an offender is absent.
Including return to court when appropriate.
• Pre and post programme sessions are recorded as complete.

Method for managers/staff to check and local area senior managers to audit and verify
• Area documentation on enforcement of attendance and enhancing completion rates.
• IAPS database or local equivalent show reasons for non-completion and non-attendance and
any action taken.
• IAPS database or equivalent shows where pre and post programme sessions have been
recorded as attended for offenders.
• Attendance registers showing starters, non-attendance, non-completion and completions
rates. Reasons for non-completions and non-attendance are recorded.
• Case records showing prompt return to court when appropriate.
• Reasons where exceptional circumstances have been considered to allow completion where
offender has missed sessions are recorded.

MANDATORY

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B2 Avoidance of cancellation or disruption to sessions

Description
Sessions are not cancelled or disrupted owing to offender crises, high workload or other pressures, and
arrangements exist to deal with crises outside of the programme session. Sessions are delivered at the
frequency defined in the programme manual.

Evidence of how the standard will be met


• Frequency of sessions conforms to requirements of the accredited programme manual.
• Arrangements are made to deal with offenders’ problems outside of the programmed session
(usually with the offender manager). This should be outlined in briefing meetings to
offenders prior to their participation in the programme, e.g. covered in information leaflet.
• Workload or other pressures are seen to be resolved by the programme manager to enable
consistent tutor attendance.

Method for managers/staff to check and local area senior managers to audit and verify
• Review post-session and post-programme reports.
• Check with programme staff and offenders to check whether any sessions have been
cancelled or disrupted.

IMPORTANT

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B.3 Timely commencement and completion of the programme by offenders

Description
All offenders commence the programme as soon as possible and within 12 weeks, and for GOBPs, no later
than 6 weeks after sentence or release on licence (where there is more than one programme requirement at
least one will commence no later than 6 weeks). A start is defined as attendance at session one of the core
programme. A delay in commencement is acceptable if other structured work is undertaken (e.g.
motivational work, resolving accommodation issues). The programme is completed within the period
specified in the appropriate programme management manual.

Evidence of how the standard will be met


• Written evidence of offenders commencing and completing the programme within the
required timescale.
• Case records evidence other preliminary work that needs to be completed prior to the
offender’s participation in the programme where he/she is assessed as not being ready to
commence the programme.
• Record start and completion dates on IAPS or local equivalent.

Method for managers/staff to check and local area senior managers to audit and verify
• Check timeliness of commencements and completions via IAPS database or local equivalent.
• Review case records.
• Interviews with offenders, programme staff and case managers to check on the timeliness of
programme commencements and pre-programme work.

MANDATORY

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B4 Offender selection and assessment

Description
Routine monitoring results confirm the profile of those entering the programme are consistent with the
criminogenic needs addressed by the programme, the level of likelihood of reoffending and the level of risk
of harm/dangerousness.

Evidence of how the standard will be met


• Use of approved targeting matrix (PC38/2004) for the accredited programme that measures:
offenders’ criminogenic needs against the treatment targets of the accredited programme
using OASys , e.g. identified cognitive deficits for a general offending cognitive behavioural
programme.
offenders’ likelihood of reoffending and ensures that only those offenders who fall within the
correct risk profile are allowed to enter the programme.
• Use of IAPS which records OGRS and OASys scores.
• Written guidance on grounds for exclusion relating to the approved targeting matrix.
• Meeting minutes, e-mails, letters or other evidence of liaison between programme staff and
PSR authors and offender managers concerning an offender’s eligibility/suitability for the
programme.

Method for managers/staff to check and local area senior managers to audit and verify
• Check IAPS database or local equivalent to ensure profile is consistent with offenders’ needs,
level of likelihood of reoffending and risk of harm/dangerousness.
• Random sampling of allocations to ensure offenders are selected appropriately.
• Area documentation, including targeting matrix and OASys. Area documentation should also
include written statements about exclusion criteria.

MANDATORY

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B5 Offender knowledge and understanding of the programme requirements

Description
The requirements of the programme are clearly communicated on at least two occasions to each participant
verbally and in writing, and there is evidence from signed consent forms or interview that offenders know
and understand the requirements.

Evidence of how the standard will be met


• Signed ‘contracts’ or statement of understanding explaining the requirements of the
programme.
• Evidence that the programme requirements have been explained to the offender verbally by
the tutor and/or the case manager.
• Leaflets for offenders include information on requirements.

Method for managers/staff to check and local area senior managers to audit and verify
• IAPS database or local equivalent to confirm that offenders have signed the letter of
understanding.
• Random sample of actual signed statement of understanding.
• Check with programme tutors, offender managers and offenders to confirm that the
requirements of the programme have been explained verbally.
• Case records confirm that requirements of the programme have been explained to the
offender on at least two occasions.
• Leaflets available to offenders that include information on the requirements of the
programme.

IMPORTANT

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B6 Accessibility of individual programmes

Description
Careful consideration is given to the allocation of tutors to women or minority ethnic offenders and
consideration has been given to diversity and equality issues. Appropriate support arrangements should be
provided and evidenced for these offenders and for those who may have difficulties with literacy and
disabilities.

Evidence of how the standard will be met


• Written area policy outlining criteria to be considered when assigning a tutor to a female or
minority ethnic offender.
• Evidence where there are diversity issues (e.g. age, gender, sexuality, minority ethnic
offenders, offenders with literacy difficulties or physical disabilities) attention has been paid
to arrangements to support their attendance.
• Area guidance on the use of interpreters.
• Consideration of the use of a CD-ROM with offenders who might find written material
problematic.

Method for managers/staff to check and local area senior managers to audit and verify
• IAPS database or local equivalent to check which tutors ran the programme against the
offender composition of the group.
• Area policy/practice documents.
• Notes of programme planning meetings demonstrating attention has been given in advance
to staff profile and to the arrangements to support offenders.
• Feedback from offenders (e.g. women or minority ethnic offenders, those with literacy
difficulties and disabilities) who have participated in the accredited programme.

IMPORTANT

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B7 Adherence to programme, treatment style, group work/facilitation skills
and responsivity skills in delivery of programme sessions

Description
All sessions of the programme should be delivered in line with the instructions of the programme manual
and demonstrate close adherence to the aims and objectives. Programme tutors make competent and
appropriate use of the techniques of the treatment style specified in the theory and programme manual.
Programme tutors demonstrate effective delivery skills, including particular attention to managing the group
and working with individuals to relate to and apply the programme material to themselves and effective co-
working between tutors.

Evidence of how the standard will be met


• Exercises set up, explained and run correctly.
• Timing and pace.
• Checking out learning related to aims and objectives and encouraging group members to
make links between sessions and exercises.
• Out of session work and assignments.
• Use of open questions.
• Listening, reflecting and summarising skills.
• Effectively challenges offence- supporting, anti-social or discriminatory views.
• Motivational skills.
• Appropriate use of praise and reinforcement.
• Warm, genuine and empathic style.
• Clear and engaging verbal style and use of appropriate language.
• Effective co-working (not applicable for one to one programme).
• Group/session facilitation skills.
• Group/session management skills.
• Flexible delivery style responding to the needs of group members/participants.
• Adaptation of the material to reflect culture, ethnicity, gender, age, sexual orientation, social
background, and life experiences of participants.
• Paying attention to external responsivity factors; room layout, seating, plans, use of wall
space.

Method for managers/staff to check and local area senior managers to audit and verify

• Random sample of treatment manager review forms and tutor session review forms.
• IAPS database or equivalent on offender engagement and understanding of programme
sessions.

MANDATORY

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B8 Programme delivered addressing race, gender equality and wider
diversity issues

Description
From audio/video evidence notes, issues of racism and sexism are effectively addressed whether arising
within programme delivery or offender response. Staff are alert to race and gender equality and wider
diversity issues, they always respond appropriately and show that they have considered and developed
strategies for responding, e.g. relevant resources and arguments, clarity about boundaries, and approaches
that may promote perspective taking.

Evidence of how the standard will be met


• Examples within programme sessions of tutors challenging racist, sexist or other
inappropriate attitudes or behaviour noted in treatment manager review forms and tutor
session review forms.
• Programme managers, treatment managers and tutors alert to issues of race and gender
equality and diversity, e.g. tutors ensuring cultural relevance of exercises, managers
considering staff/offender match on basis of gender, race and other relevant factors.
• Evidence of policy/practice documents about promoting diversity within programme delivery,
e.g. relevant section of race action plan, equal opportunities policy.

Method for managers/staff to check and local area senior managers to audit and verify
• Random sample of completed treatment manager review forms and tutor session review
forms to check that diversity issues are effectively addressed if arisen in programme.
• Check with programme staff that they are alert to race and gender equality and diversity
issues. Seek specific examples which demonstrate their understanding of the issues and
commitment to take appropriate action.
• Policy/practice documents promoting diversity issues in the delivery of accredited
programmes.
• Check with offenders, including those from minority ethnic groups and women offenders, to
seek their experience of how well the programme and the programme tutor addressed race
and gender equality and diversity issues.
• Review post-course feedback forms by offenders to check if diversity issues are raised.

MANDATORY

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B9 Post-programme reports

Description
The case record shows that at the end of the programme staff prepare a timely and good quality post-
programme report conforming to the national pro forma (Probation Circular 03/2004). Post programme
reports should be completed within two weeks of the completion of the core session of the programme to
allow for timely handover to the offender manager and enable OASys review of likelihood of reoffending and
risk of harm.

Evidence of how the standard will be met


• Post-programme reports for the staff member in the role of offender manager, demonstrate
the sections have been completed to a good quality standard.
• Record of when report completed.
• Check with offender managers how useful the post-programme case summaries have been
to inform future planning/interventions for the offender.

Method for managers/staff to check and local area senior managers to audit and verify
• Sample post-programme reports to assess quality and timeliness of completion.
• IAPS or local equivalent.
• Check with programme tutors and offender managers.

MANDATORY

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B10 Post-programme review

Description
The post-programme review for each offender shows that at the end of the programme appropriate
individual objectives are identified to strengthen and build on the progress made, and to achieve successful
community reintegration. This should take place within three weeks of completing groupwork to enable
proper and timely handover to offender manager.

Evidence of how the standard will be met


• Evidence that the post-programme report influences the post-programme review, especially
in respect of areas of work not sufficiently covered by the programme that the offender
needs to address.
• SMART objectives set in the post-programme review document. These should be
incorporated in revised sentence plan.
• Attention paid to community reintegration issues in the post-programme phase and reflected
in the revised sentence plan.
• Review held and recorded at a reasonable timescale (within 3 weeks) after completion of the
programme.

Method for managers/staff to check and local area senior managers to audit and verify
• Read random sample of post programme reviews and compare with the post-programme
reports.
• Review treatment/operational manager quality assurance of post programme reviews.
• IAPS or local equivalent.

IMPORTANT

Accredited OBPs Performance Improvement Standards Manual © Crown Copyright 2007 21


Section C
________________________________________________________________________

Staff Training, Supervision and Effective Communication


The programme is delivered by trained and supervised staff that are provided
with opportunities to develop and are seen as credible. Appropriate marketing
of the programmes to staff and other agencies and sentencers

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C1 Staff selection, roles and competences

Description
Skilled and competent staff are selected and involved in the delivery of programmes. A staff selection
procedure meeting the requirements of the programme manual is in place and only staff meeting the
defined criteria are selected to deliver the programme. A defined set of competencies exist for each staff
role involved in the programme, using those specified in the programme manuals and the national
management manual.

Evidence of how the standard will be met


• Potential tutors receive written and oral information about what is involved in running the
accredited programme from the programme manager and/or the treatment manager.
• Assessment centre procedures exist and are followed.
• Written policy confirming that only those staff who meet the defined criteria, e.g. fully
trained by accredited trainers, deliver the programme.
• Written policy outlining how staff not selected as tutors will be assisted.
• Job descriptions are available for all programme staff.
• Evidence that staff roles have been discussed and that people understand their areas of
responsibility.
• Published list of core competencies consistent with the requirements of the programme
manual.
• The core competencies outlined by the area are a ‘close match’ with the tasks outlined in
section 1 of the National Management Manual for the Effective Delivery of Accredited
Programmes in the Community, the Treatment Managers Strategy (Probation Circular
57/2002) and in the individual programme management manuals.

Method for managers/staff to check and local area senior managers to audit and verify
• Area training documentation, e.g. information for potential tutors, selection/deselection
policies and procedures.
• IAPS database or local equivalent or personnel and training documents confirm assessment
centre and training dates for each tutor and outcomes.
• Job descriptions.
• Check with programme staff that they have job descriptions and understand their role.
• Area documentation outlining the core competencies for each staff role.
• Cross-referencing the competencies against the programme manual and national
management manual where appropriate.
• Appraisal/supervision notes.

MANDATORY

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C2 Preparation and post-session activity by tutors

Description:
Tutors are allowed a minimum of 1½ hours for preparation and debriefing in addition to the programme
delivery time.

Evidence of how the standard will be met


• IAPS database or local equivalent completed following each session of the programme.
• Delivery schedules and plans build in time for preparation and debriefing.

Method for managers/staff to check and local area senior managers to audit and verify
• IAPS database or local equivalent indicating time spent on preparation and debriefing.
• Notes made during preparation.
• Check with programme staff the time allocated for preparation and debriefing.
• Check schedules and delivery plans.

IMPORTANT

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C3 Staff continuity

Description
Three tutors should normally be assigned to each accredited group programmes to allow for leave, sickness
and other contingencies. All sessions are delivered by at least 2 of the 3 assigned staff. Continuity is
maintained by at least 1 of the staff members having run the previous session.

Evidence of how the standard will be met


• Published staff rotas/delivery schedules to ensure that two trained programme staff are
available to run each session of the programme.
• Session reports demonstrate continuity of staff.
• Planning meetings discussing staffing for each group/programme, including contingency
arrangements and cover for scheduled leave.

Method for managers/staff to check and local area senior managers to audit and verify
• IAPS database or local equivalent to confirm names of tutors for each programme.
• IAPS database or local equivalent to check tutor attendance against the session evaluation
forms.
• Check with programme staff contingency arrangements exist and are followed.

IMPORTANT

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C4 Training and delivery arrangements for new staff

Description
Training courses exist for all grades and roles involved in delivering the programme and all staff newly
assigned to the programme receive specified required training before running their first programme. Staff
newly trained are paired with a more experienced colleague when running their first group/programme.

Evidence of how the standard will be met


• There is a record of all relevant training and other staff development work undertaken by
programme staff, including the core training for the accredited programme.
• Supervision notes/appraisal documents demonstrate an ongoing attention to staff
development needs for each member of staff involved in delivering the programme.
• Delivery schedule and records of tutors.

Method for managers/staff to check and local area senior managers to audit and verify
• IAPS database or local equivalent confirms that programme specific training has taken place
and enables random check of tutors delivering programme/group and experience level.
• Area documentation listing the training undertaken by programme staff in the last 12
months.
• Check with programme tutors.
• Attendance list for training events during the last 12 months.
• Dates of training events during the last 12 months.

MANDATORY

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C5 Training arrangements for experienced staff

Description
Competency-based accreditation and developmental training arrangements exist for all staff experienced in
delivering the programme. All programme delivery staff are required to attend such training when they have
demonstrated their competence to do so. (This will include delivering a stipulated minimum number of
programmes.)

Evidence of how the standard will be met


• Staff development plan for each member of the delivery team includes dates when
accreditation and developmental training events arranged/attended as part of the appraisal
process.
• Dates when booster and developmental training events arranged (if available).
• List of team members for training.

Method for managers/staff to check and local area senior managers to audit and verify
• IAPS database or local equivalent lists training undertaken by delivery staff.
• Area training records and plans.
• Check with programme staff.
• Dates of anticipated training.

IMPORTANT

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C6 Staff knowledge of the methods, theory and evidential basis of the
programme

Description
All relevant staff have a knowledge of the programme’s theoretical and evidential base and methods
sufficient for effective delivery of the programme.

Evidence of how the standard will be met


• Tutors have been assessed as competent at the point of training by the national trainers.
• Programme manuals are readily available to all programme staff for reference and updating
knowledge.

Method for managers/staff to check and local area senior managers to audit and verify
• Confirmation that tutors have passed relevant training programme courses.
• Check with programme staff, referrers, offender managers and other managers the level of
understanding of the programme theoretical model, evidence base and methods used.
• Check all programme manuals are readily available and accessible to programme staff.

IMPORTANT

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C7 Staff supervision and quality of practice

Description
All staff involved in the programme receive support and supervision at a frequency specified in the national
management manual. This will enable tutor skills to be developed and problems resolved within the lifetime
of the current programme by supervisors familiar with the programme. The treatment manager to have
observed staff in the delivery of the programme either directly or through the use of audio/video recordings
prior to each supervision session.

Evidence of how the standard will be met


• Treatment manager review forms completed after observing a video, listening to audio tape
or after direct observation as per the guidance in Probation Circular 30/2005 (observe and
rate one session in 10) or as per the programme specific management manual guidance
which takes precedence over the national management manual.
• Supervision provided and informed by audio/video monitoring and direct observation.
Supervision focuses on skills development, coaching, identification of good practice and
resolution of problems encountered by tutors in delivering the programme.
• Supervision notes are provided at frequency and notes of the meeting are made and
retained. Where a programme specifies the frequency and duration of supervision, these
instructions should be followed in all cases. Where these arrangements are not specified, it
is recommended that one hour’s supervision be provided each month.
• Tutors make use of the sessions review forms (use of the scores are optional) and they are
made use of in supervision sessions and linked to the treatment manager review forms
where relevant.

Method for managers/staff to check and local area senior managers to audit and verify
• Required amount of review forms completed as recommended per programme.
• Sample treatment manager review forms ensure follow the guidance notes and that they
outline the areas of strength and developmental needs for each member of staff.
• Supervision dates and notes are recorded.
• Sample of treatment manager review forms and supervision notes to assess match between
strengths and areas for improvement notes in review forms and the feedback or issues
addressed in supervision.
• Sample supervision notes to ensure cover skills development, identification of good practice
and resolution of problems in delivery of the programme.
• Check number and quality of tutor session review forms.
• Check with programme staff.

MANDATORY

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C8 Staff appraisal

Description
All members of staff involved with the programme have their competence to perform their assigned role
assessed annually through the appraisal process. Staff whose performance is assessed as below the
acceptable standard but making progress should be given further training and other assistance to improve
their performance and a date set for review. Staff who are not making progress in achieving the required
standard of performance should not take any further part in running the programme.

Evidence of how the standard will be met


• Appraisal documents clearly record an assessment of the competency of programme tutors
to deliver the programme.
• Treatment manager review forms completed identify strengths and areas where
performance needs to be improved.
• A plan of remedial action is recorded by the treatment or programme manager, including a
date to review progress for staff whose performance is assessed as below the acceptable
standard.
• There is a written policy on deselection or capability procedures if tutors do not improve
their performance.
• Routine collection of information on staff who have been deselected as tutors and the
reasons for deselection are recorded.

Method for managers/staff to check and local area senior managers to audit and verify
• Appraisal documents.
• Sample of supervision notes and treatment manager review forms.
• Plans for remedial action.
• Policy document on selection/deselection of tutors, consistent with the guidance given in the
national management manual.
• Review information collected and recorded on deselection of tutors.

IMPORTANT

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C9 Effective Communication and Promotion

Description
There is high quality, pro-active communication with sentencers, offender managers and other agencies
relevant members of staff about the programme including briefings and presentations and written
information. Staff are viewed as credible and promote the programme positively within and outside of the
organisation and the effects of programmes are not oversold.

Evidence of how the standard will be met


• Communications with sentencers, offender managers, PSR writers, other relevant agencies
about programmes. E.g. letters, presentations, input into training, briefings, awareness
training.
• Minutes of liaison with meetings with staff.
• Information leaflets for staff explaining the programme.

Method for managers/staff to check and local area senior managers to audit and verify

• Date of meetings and manager who attended.


• Programme of training/awareness events or presentations.
• Information leaflets.
• Information provided is realistic and accurately promotes the programme without overselling
it.
• Relevant minutes of meetings during the last 12 months.
• Check with other members of staff how programme staff are perceived in promoting the
work of programmes.

IMPORTANT

Accredited OBPs Performance Improvement Standards Manual © Crown Copyright 2007 31


Section D
________________________________________________________________________

Evaluation, Monitoring and Administration Systems

Good administration and management information systems set up and key


evaluation data is collated and recorded as set out in the relevant manuals and
guidance

Accredited OBPs Performance Improvement Standards Manual © Crown Copyright 2007 32


D1 Implementation of monitoring and evaluation design

Description
Monitoring and evaluation arrangements are working as intended and are understood and supported by all
staff involved. This should include both input and feedback of data to managers and practitioners at local
level.

Evidence of how the standard will be met


• An area document explains the local monitoring and evaluation arrangements and outlines
the responsibilities of relevant staff to accurately record data and provide individual and
summary reports.
• There are area guidelines for local administration and management of psychometric data,
programme Session Review forms and other IAPS database or local equivalent information.
• Evaluation manuals for specific individual programmes are used for reference.
• There are guidelines regarding systems, processes, roles and responsibilities for the retrieval
of individual and summary performance data for reporting to practitioners and managers,
e.g. process for recording ongoing attendance and completion rates, periodic reporting of
concordance data to managers.
• IAPS database or local equivalent working in ‘real time’ rather than ‘back office’.

Method for managers/staff to check and local area senior managers to audit and verify
• Area documents and relevant guidelines on local arrangements for evaluation and
monitoring of programme information.
• Check quality of information input into IAPS database and how the reports generated are
used by managers and practitioners.
• Check if IAPS database or local equivalent is working in ‘real time’ or as ‘back office’.
• Individual and summary reports from the database have been circulated to relevant
managers and practitioners.
• Check with staff that they understand and comply with the monitoring and evaluation
arrangements.
• Check with programme staff confirm that monitoring and evaluation arrangements are
working as intended.

MANDATORY

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D2 Practice is informed by monitoring and evaluation evidence

Description
Consistent use is made of evaluation information as it becomes available by those with most direct
responsibility, e.g. managers giving regular consideration to attendance and completion information, and
practitioners to offender feedback and attitude/behaviour change scores. Awareness/knowledge about
evaluation results from the same programme operating elsewhere will be relevant.

Evidence of how the standard will be met


• The supporting programme conditions in response to monitoring and evaluation information,
e.g. pre-course preparation when it is shown that other areas have consistently performed
better in terms of reduced attrition rates or greater offender ‘programme readiness’.
• Evidence of regular discussion by senior and middle managers, e.g. of attendance and
completion information and record of actions taken as a consequence.
• Evidence of routine discussion by programme staff and actions taken as a consequence.

Method for managers/staff to check and local area senior managers to audit and verify
• Minutes of senior managers meetings held during the last 12 months.
• Minutes of operational managers meetings held during the last 12 months.
• Minutes of programme staff meetings held during the last 12 months.
• Local policy guidance informed by monitoring and evaluation evidence from within the area
and from information gained nationally and from other areas operating the same programme
elsewhere.
• Check with senior managers and programme staff.

IMPORTANT

Accredited OBPs Performance Improvement Standards Manual © Crown Copyright 2007 34


D3 Programme integrity documentation

Description
The programme integrity documentation for programmes is completed in line with national guidance
(Probation circular 30/2005, 57/2002). E.g. session review form, treatment manager review form, levels of
offender engagement and understanding.

Evidence of how the standard will be met


• Evidence that the programme staff have completed the programme integrity documentation.
• Accurate recording, e.g. levels of offender engagement and of particular issues affecting
individual participants.

Method for managers/staff to check and local area senior managers to audit and verify
• IAPS database or local equivalent.
• Supervision notes refer to programme integrity information.
• Check local use of the session review form by tutors.
• Check the use of the treatment manager review form by treatment
managers/supervisors/monitors.

IMPORTANT

Accredited OBPs Performance Improvement Standards Manual © Crown Copyright 2007 35


D4 Completion of Evaluation Measures

Description
Pre and post evaluation measures have been completed and are entered on to IAPS or local equivalent or
sent to Offending Behaviour Programmes Team in NPD. This is in line with National Standards.

Evidence of how the standard will be met


• There is close match between the number of offender starts and the number of pre test
psychometric booklets.
• There is a close match between the number of offender completions and the number of post
test psychometric booklets.
• The number of pre test and matching post test psychometric booklets allowing for a 10%
tolerance for missing post test booklets.

Method for managers/staff to check and local area senior managers to audit and verify
• Check on IAPS database or local equivalent the match between the number of offender
starts and pre test booklets.
• Check on IAPS database or local equivalent the match between the number of completions
and post test booklets.
• Check on IAPS database or local equivalent the number of matching offender pre test
psychometric and post test psychometric booklets allowing for tolerance of missing post test
booklets.

MANDATORY

Accredited OBPs Performance Improvement Standards Manual © Crown Copyright 2007 36


Rating Approach
________________________________________________________________________

Accredited OBPs Performance Improvement Standards Manual © Crown Copyright 2007 37


Rating Each Section

Sections A, C and D are rated in evidence across the delivery of all of programmes.

Section B is rated for each individual accredited offending behaviour programmes


delivered in a Probation Area.

Scoring of Each Standard

Each standard will be rated using the following scoring:

Score Evidence for Standard


0 There is no available evidence to indicate
that the standard has been met
1 There is a small amount to evidence to
indicate that the standard has been met
2 There is some evidence that the standard
has been met
3 There is considerable evidence that the
standard has been met.
4 There is substantial evidence that that
standard has been fully met

Link to the Integrated Probation Performance Framework

This is a three step process.

Step One:
There will be a score for each section which will be added together to provide the overall
score.

Step Two:
The overall percentage is calculated.

Step Three:
The percentage will then be transformed into a band marking as used by the Integrated
Probation Performance Framework. The band markings will be communicated by NOMS
Interventions Unit to the NOMS Performance and Improvement Directorate and will inform
the weighted scorecard.

Overall Score on Audit Band Rating on QSP


81% and above excellent Band 1
71 to 80% Good Band 2
61 to 70% satisfactory Band 3
60% and below unsatisfactory Band 4

Accredited OBPs Performance Improvement Standards Manual © Crown Copyright 2007 38


Annex B

Area Self/Peer Audit Report

Name of Area:

Peer or Self Audit:

Name(s) of manager/staff
completing audit:

Date audit started:

Date audit completed:

Name of senior manager signed off


audit:

Date signed off:

To be completed by NOMS administrator:


Date report received at NOMS
Interventions & Substance Abuse
Unit:
Date receipt sent to Area:

Rating Approach: Each standard in each section must be rated using the following scoring:

Score Evidence for Standard


0 There is no available evidence that the standard has been met
1 There is a small amount of evidence that the standard has been met
2 There is some evidence that the standard has been met
3 There is considerable evidence that the standard has been met.
4 There is substantial evidence that that standard has been fully met

*Sections A, C and D can be rated using evidence across the delivery of all
programmes*

*Section B must be rated for each individual accredited offending behaviour


programme delivered in a Probation Area*

Section A: Committed Leadership and Organisational Support


Standard Summary of Evidence from Checking Rating
Item
A1
A2
A3
A4
A5
Total Score:
Maximum Potential Score: 20
Section B: Programme and Treatment Integrity 1
Name of Programme:
Standard No. Summary of Evidence from Checking Rating
B1
B2
B3
B4
B5
B6
B7
B8
B9
B10
Total Score:
Maximum Potential Score: 40

Section C: Staff Training, Supervision and Effective Communication


Standard Summary of Evidence from Checking Rating
Item
C1
C2
C3
C4
C5
C6
C7
C8
C9
Total Score:
Maximum Potential Score: 36

Section D: Evaluation, Monitoring and Administration Systems


Standard Summary of Evidence from Checking Rating
Item
D1
D2
D3
D4
Total Score:
Maximum Potential Score: 16

Overall and Score and Percentage:


Overall Score:
Overall Maximum Potential
Score:
Overall Percentage:
Overall Band Rating:
Band 1 (81% and
above)
Band 2 (71% to 80%)
Band 3 (61% to 70%)
Band 4 (60% and
below)

1
There needs to be a Section B table for each individual accredited offending behaviour
programme delivered in each Probation Area. Copy and paste the blank Section B table as
needed for individual accredited OBP.
Areas of Specific
Strength

Areas for Improvement

Action Plan to Address Areas for Improvement

Area for Action to be taken By Whom By Review


Improvement When Date(s)
Annex C

A. INITIAL SCREENING

1. Title of function, policy or practice (including common practice)

PC instructing areas to undertake an Audit on Performance standards in accredited


programmes

2. Aims, purpose and outcomes of function, policy or practice

The aim is through the auspices of a PC to direct areas to undertake a snapshot


audit of all accredited programmes to ensure that delivery meets the accreditation
requirements agreed by CSAP.

3. Target groups
Who is the policy aimed at? Which specific groups are likely to be affected by its
implementation? This could be staff, service users, partners, contractors.

For each equality target group, think about possible positive or negative impact,
benefits or disadvantages, and if negative impact is this at a high medium or low
level. Give reasons for your assessment. This could be existing knowledge or
monitoring, national research, through talking to the groups concerned, etc. If there
is possible negative impact a full impact assessment is needed. The high, medium or
low impact will indicate level of priority to give the full assessment. Please use the
table below to do this.
Equality Positive impact Negative impact Reason for assessment
target group – could benefit - could and explanation of
disadvantage possible impact
H/M/L
Women yes Designed to provide a
health check of all
programmes to ensure
delivery as agreed by
accreditation standards.
Men yes As Above
Asian/Asian yes As Above
British people
Black/Black yes As Above
British people
Chinese yes As Above
people or
other groups
People of yes As Above
mixed race
White people yes As Above
(inc.Irish
people)
Travellers or yes As Above
Gypsies
Disabled yes As Above
people
Lesbians, gay yes As Above
men ,bisexual
people
Transgender yes As Above
people
Older people yes As Above
over 60
Young people Yes As Above – programme for
(17-25) and those 18 or above only.
children
Faith groups As above
4. Further research/questions to answer

As a result of the above, indicate what questions might need to be answered in the
full impact assessment and what additional research or evidence might be needed to
do this.

An ongoing evaluation strategy within the team is looking at all programmes –


findings from this evaluation will be incorporated in to future developments of
this programme.

A more detailed audit structure is being developed in conjunction with HMPS


and NDPDU which will have a further impact assessment.

Initial screening done by:

Name/position

Philip McNerney
Audit and Quality Assurance Project Manager
ABT Team
NOMS
Date. 14th February 2007