« Previous | Contents | Next »
Listen
National Objectives for Social Work Services in the Criminal Justice System: Standards - Social Enquiry Reports and associated Court Services
CHAPTER 2: GATHERING INFORMATION FOR A REPORT
Essential Background Information
2.1When the clerk of court requests a report, the request should be accompanied by the following information:
2.1.1the offender's name, sex, age, address and employment status (if known);
2.1.2a copy of the complaint/indictment with any amendments or deletions noted;
2.1.3whether the offender has been ordained or bailed to appear or remanded in custody;
2.1.4where applicable, whether the offender is currently serving a custodial sentence or is remanded on another matter;
2.1.5when the report is required and the address to which it should be sent;
2.1.6a note of whether any other reports were requested eg a medical or psychiatric report;
2.1.7a note of any relevant comments made by the bench;
2.1.8the list of any previous convictions of which the Procurator Fiscal thinks the sentencer should be aware when sentencing;
2.1.9the offender's unique reference number so that the report writer can access the offender's complete criminal record up to the date of the request from the Criminal Convictions Enquiry Unit;
2.1.10information about any outstanding charges, warrants, fines or compensation orders (the criminal record may also contain information about any outstanding matters).
2.2The report writer must check whether there is any information about the offender or his or her family in the authority's records.
2.3The extent of the information about current and previous offending may vary but should normally include a copy of the complaint/indictment, the list of any previous convictions libelled by the procurator fiscal and the offender's criminal record. Social work service records may contain information about the offender's response to any current or previous court disposals involving social work and this information can be supplemented by discussions with the staff involved. These records may also contain information about the outcome of any offending dealt with by the Children's Hearings.
Using this Information
2.4This information forms a backcloth for information obtained from contact with the offender and his or her family and from requests for information from third parties. Its value lies in what it tells the report writer about:-
2.4.1the seriousness and circumstances of the current offence;
2.4.2the pattern of any previous offending;
2.4.3whether, at this stage, there is any information about other outstanding matters with which the court will have to deal;
2.4.4any requests from the bench for particular issues to be investigated;
2.4.5the nature and outcomes of any previous contact with the social work department.
2.5Whilst this information is important background to interviewing the offender, social workers should take care not to pre-judge any issues before they have interviewed the offender and filled out the picture with information from other sources.
Interviewing the Offender
2.6Interviewing the offender and, where appropriate, members of his or her family is the next step in gathering the information necessary to make an assessment and prepare a report. Key areas for investigation at first hand are the subject's offending, his or her personal and social circumstances and the subject's suitability for the full range of available disposals and in particular those involving local authority supervision.
2.7The offender should be given a leaflet explaining the purpose of the report before the first interview. The leaflet should set out the responsibilities of the report writer and the responsibilities and rights of the offender. It should also explain the limits to confidentiality and deal with any practical issues. At the first interview it is important to check that the offender has received this leaflet and that the purposes of providing a report are understood. Because it may not always be clear to offenders and any others who may be interviewed why they are asked particular questions eg about their health or family relationships, it is important to explain the reasons why as simply and clearly as possible.
Investigating Offending Behaviour
2.8Report writers will have information about the current offence and any previous offending (at least, a copy of the complaint/indictment and any previous convictions libelled by the procurator fiscal; at best the full Scottish Criminal Records Office record and any additional information about the current offence or previous offences provided by the procurator fiscal, police or other sources). In interviewing the offender, the report writer is seeking additional information which, together with other available information, will help to assess the risk of re-offending and in more serious cases the risk of possible harm to others and whether the offender can be dealt with in the community, if necessary under supervision. The interview must therefore be used to explore:
2.8.1the offender's attitude to and explanation for his or her offending including his or her perceptions of its seriousness and its consequences for others including any victim;
2.8.2whether there are any discrepancies between the information available about the offence and his or her account of events;
2.8.3the extent to which the offender thinks about the behaviour which leads to offending. Is the offending pre-meditated?;
2.8.4how the offender feels about the offending. Does he or she express any genuine remorse or concern for the victims?;
2.8.5whether the offender sees any pattern to his or her offending;
2.8.6the extent to which the offender is or could be motivated to try and change his or her behaviour.
Investigating Personal and Social Circumstances
2.9In investigating the offender's personal and social circumstances, report writers are seeking information which puts the subject's offending in context, which points up factors which the court may wish to take into account when sentencing and which may help to explain why the offender has become criminally involved and what needs to change in order to prevent or reduce future offending. Key areas to investigate are the offender's finances, family relationships, education and training, employment, accommodation, health, use of drugs and alcohol and lifestyle.
Finance
2.10Investigating the offender's financial means, commitments, patterns of expenditure, and overall capacity for financial management is important both for exploring possible reasons for offending and for helping the court decide whether the offender can pay a financial penalty. Report writers should seek to establish:
2.10.1current income and expenditure;
2.10.2whether offending may be related to:
i.any change in financial circumstances;
ii.indebtedness, including any outstanding fines;
iii.funding a habit/addiction;
iv.poverty.
2.10.3Whether the offender is aware of the consequences of failing to maintain any payment schedule.
2.11Report writers will need to consider whether the offender is in a position to pay a financial penalty, whether paying a fine is likely to impact on future offending and whether help with any identified financial problems or issues related to them could help to prevent future offending. It greatly assists the court if verified factual information about the offender's inescapable financial commitments can be provided, particularly where financial compensation or a fine is a possible sentencing option.
Family Relationships
2.12Beyond establishing essential contextual information about the offender's family history and current relationships and responsibilities to include in the report, the emphasis should be on investigating:
2.12.1the significance of previous and current relationships and whether there is anything to suggest that family disruptions, attitudes or tensions may be contributing to the subject's offending;
2.12.2the degree of active support within the family for pro-social behaviour and for helping the offender to change his or her behaviour.
Education and Training
2.13Whilst establishing some basic facts about the offender's education provides the necessary context, it is important to investigate the offender's experience of formal education/ training and attitudes to it with the aim of identifying strengths which could be built on or deficits which could be addressed through learning opportunities to raise attainments and improve employment prospects.
Employment
2.14Whilst unemployment does not necessarily lead to offending in individual cases, those who have been unable to establish themselves in employment are more likely to be at risk of offending. It is helpful therefore to:
2.14.1review the offender's experience in employment, including the type and length of any job held and the reasons for any discontinuation;
2.14.2explore the impact of any periods of unemployment for the offender and his or her family;
2.14.3review the offender's experience in looking for employment;
2.14.4establish what experience, if any, the offender has of undertaking training for employment. Where a service is available, the author should consider obtaining an employment assessment.
2.14.5review with the offender his or her aspirations for employment and what steps might be taken to help realise them.
Accommodation
2.15The lack of accommodation or unsatisfactory accommodation can create instability and place individuals at risk of offending. Relevant questions to explore are:
2.15.1how satisfactory is the current accommodation? Could he or she return to it if remanded in custody while the report is being prepared?
2.15.2is the position regarding accommodation inherently unstable? (An indicator here is the frequency of moves);
2.15.3could the offender, if sentenced to custody, return to the accommodation? (particularly relevant for sex offenders.)
2.16When the court is considering a community based disposal it may require an assurance about the satisfactoriness of the accommodation available and the degree of support and oversight which can be provided, and the extent to which any risks could be minimised.
Lifestyle
2.17The way offenders use their time and who they choose to spend it with may contribute to the reasons for their offending. Information about the offender's use of time may therefore be important. The offender may also have interests in and aptitudes for recreational activities which have lapsed or which they have not been able or encouraged to pursue. These could be followed-up as part of an action plan for community based supervision as a way of encouraging the positive use of leisure time and the offender's integration with the community.
Physical and Mental Health
2.18Information about the offender's physical and mental health is relevant to a range of possible disposals, including Community Service and custody. With regard to physical health, report writers should seek information from the offender about any serious illness or disability with which he or she has had to contend. With regard to mental health, report writers should establish from the offender whether he or she has received or is receiving medical or psychological treatment for any identified illnesses or behavioural problems; whether the offender has a learning disability and whether there is any recent experience of trauma. This information should then be reviewed to identify any specific factors which the court should know about when sentencing. Where report writers have any concerns about the offender's mental state, the accuracy of the medical information provided by the offender or its implications, they should, wherever possible, check the information with a health professional or suggest that the court obtains a medical, psychiatric or psychological report.
The Risk of Self Harm
2.19The following indicators may help in considering the possible vulnerability of the offender to self harm (the risk is likely to be greater if the report writer identifies clusters of indicators):
2.19.1any previous history of self harm and the degree of suicidal intent involved;
2.19.2any history of psychiatric disturbance, including anxiety states, depression or schizophrenia/psychosis and any psychiatric follow up;
2.19.3any recent catastrophic event e.g. the loss of a close relative or friend;
2.19.4any history of suicide or self-injurious behaviour by close relatives or friends;
2.19.5any history of chronic drug abuse, including solvent abuse;
2.19.6any evidence of the subject's previous inability to cope with custody;
2.19.7any evidence of individual isolation and of the absence of any network of social support in the community;
2.19.8any evidence of the extent to which the offender could be alienated and stigmatised if sentenced to imprisonment;
2.19.9any history of systematic abuse.
Substance Misuse
2.20Report writers need to find ways to establish with offenders what their patterns of usage are and to obtain as clear a picture as possible about whether substance misuse may be associated with the offending and, if so, whether any steps could be taken to deal with this. The following checklist may be helpful in investigating this area with offenders at interview. It is recognised that, unless the offender is charged with a drugs related offence or wishes to offer drug misuse as mitigation for offences committed, it may be unrealistic to expect full disclosure during the preparation of a report for the court.
Present/Recent Drug/Alcohol Use
- types of drug/alcohol used;
- quantities of drug/alcohol used;
- primary drug/alcohol of choice;
- frequency/pattern of use;
- method of use;
- knowledge of physiological effects of use;
- consequences of use;
- method of finance;
- extent of dependency;
- triggers to drug/alcohol use;
- relationship to offending;
- whether other agencies involved;
History of Drug/Alcohol Abuse
- first use of drugs/alcohol and context;
- development of use;
- changes in method/style of use;
- chaotic or poly-drug use;
- periods of heavier/lighter use;
- relationship of usage to life events;
- health problems associated with use;
- risks associated with use;
- treatment received.
Information from Third Parties
2.21Third parties can also provide relevant information about the offender and his or her circumstances. They can confirm information supplied by the offender or a member of the offender's family; they can provide additional information e.g. about the availability of resources or the success of previous efforts to work with the offender. Examples of third parties are medical practitioners; employers; the police; Scottish Prison Service; other local authority services; other statutory and voluntary agencies. (See paras 3.2 3.9 for discussion of issues of confidentiality).
« Previous | Contents | Next »