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Chapter One- Introduction
Research Context and Objectives
1.1 Antisocial Behaviour Orders ( ASBOs) are civil orders, introduced by the Crime and Disorder Act 1998 to prevent behaviour that causes or would be likely to cause alarm or distress to others. Breach of an Order is a criminal offence punishable by up to five years imprisonment and a fine on indictment. The concept was further developed under the Criminal Justice (Scotland) Act 2003, which extended the option to Registered Social Landlords ( RSLs), as well as introducing interim ASBOs. The Antisocial Behaviour etc (Scotland) Act 2004 extends the ASBO regime to cover 12-15 year olds. Although breach of Orders by these young people is a criminal offence, it cannot be punished through imprisonment.
1.2 The Antisocial Behaviour etc (Scotland) Act 2004 also gave the courts powers to impose an ASBO as a penalty for criminal offences, so-called Criminal Antisocial Behaviour Orders (or CRASBOs). In this case, the Order is 'instead of or in addition to imposing any sentence which [the court] could [otherwise] impose'. CRASBOs, therefore, differ from (civil) ASBOs because the latter can be granted in respect of non-criminal offences. This report focuses solely on civil ASBOs and the figures cited for ASBOs granted do not include Orders imposed by the courts as penalties for criminal offences.
1.3 While 1998 saw the introduction of ASBO powers in England and Wales, as well as in Scotland, it is important to recognise that the two regimes differ in certain significant respects. Somewhat in contrast to England and Wales, local authorities ( LAs) are clearly the lead agencies in seeking ASBOs in Scotland, with the police playing an essentially supportive role, e.g. through assisting in evidence collection. Importantly, the scope of ASBO powers in the two jurisdictions has also differed in that, until October 2004, Orders could be sought for young people only in England and Wales, and not in Scotland. While ASBOs can now be obtained for 12-15 year olds in Scotland, the framework remains distinct from that south of the border in terms of the ASBO application process and the consequences of ASBO breach. Other significant differences in the regimes in Scotland and in England and Wales have included the more recent introduction of interim ASBO powers and the scope for ASBOs to be granted to be granted to Registered Social Landlords ( RSLs) including housing associations.
1.4 Despite these differences, the basic ASBO concept remains common across Great Britain. Therefore, in broad terms, comparisons between ASBO use in Scotland, on the one hand, and England and Wales on the other, remain legitimate.
1.5 The central aim of this study, which has run since September 2004, is to update the existing research, and to examine in more depth the key issues around the use of ASBOs in Scotland. Specifically, the key objectives of the study are to:
- collect up-to-date data on the use of ASBOs by both LAs and housing associations (or RSLs);
- collect data about the ASBO application process and about ASBO prohibitions, together with an analysis of the circumstances in which the Orders are used;
- investigate LA and RSL experience of using ASBOs to gain a fuller understanding about their effectiveness in resolving antisocial behaviour ( ASB);
- collect information about the use and effectiveness of other measures used before, instead of, and alongside ASBOs; and
- examine the effectiveness of new measures introduced by part 2 of the Antisocial Behaviour etc (Scotland) Act 2004, in particular its extension of ASBOs to 12-15 year olds.
Study Methodology
1.6 This report presents findings from all of the phases of the research. This involved the following elements.
- Policy and literature review
- Three annual email surveys issued to all social landlords operating in Scotland
- Analysis of secondary data on ASBO use
- Case studies in four LAs that involved focus group sessions with LA staff, RSL staff and representatives of national stakeholder organisations
- Case file review
Policy and literature review
1.7 The policy and literature review covered a review of the legislation and guidance on ASBOs as well as existing research the use of ASBOs in England and Wales, as well as in Scotland. The review incorporated findings from academic research, as well as official publications.
Email survey
1.8 To develop a full understanding of both the extent and nature of ASBO use across Scotland, an email survey of social landlords in Scotland was undertaken on an annual basis. Using a survey previously carried out by the Chartered Institute of Housing (Scotland) ( CIHS) as a starting point, the survey collected statistical information on ASBO applications and Orders granted in 2003/04, 2004/05 and 2005/06. The 2003/04 survey was issued to a total of 180 LAs and RSLs operating across Scotland. Responses were received from 114 organisations, an overall response rate of 63% (100% for LAs and 55% for RSLs).
1.9 In response to suggestions from the project's Research Advisory Group ( RAG) and from practitioners, some additional questions were added to the 2004/05 survey. Although the survey focused mainly on activity in 2004/05, it also sought statistics on ASBO applications and Orders granted in 2003/04 to validate the data collected in the previous survey. Following a pilot exercise with two organisations, the survey was issued by e-mail to 32 local authorities and 150 RSLs. Responses were received from 137 organisations, an overall response rate of 76% (100% for LAs and 71% for RSLs) 6.
1.10 Data collected for the 2005/06 survey was broadly similar to that in the previous surveys, enabling us to examine trends in activity. Following a pilot exercise with two organisations, the survey was issued by e-mail to 32 local authorities and 153 RSLs. Responses were received from 132 organisations, an overall response rate of 71% (100% for LAs and 65% for RSLs).
1.11 The survey forms are attached as Annex 2.
Analysis of secondary data
1.12 To supplement the email survey, and provide historical and national trends, data was extracted from the previous CIHS report, as well as Home Office statistics for England and Wales.
1.13 We cross-referenced our survey data with figures for RSLs as collected by Communities Scotland ( CS) through CS Annual Performance Statistical Returns ( APSR).
Case studies
1.14 During 2004-05 and 2005/06, we carried out four in-depth case studies to examine the context, process and outcomes of ASBO usage. These case studies were focused on Dumfries and Galloway, Dundee, Edinburgh and North Lanarkshire. These LAs were chosen as a geographically diverse group of councils with an existing record of significant ASBO use. This work was completed in two phases.
1.15 During the first phase, the research team examined a number of LA case files relating to individuals being considered for an ASBO or where an ASBO had been granted either on an interim or full basis. This work was primarily desk based and involved the research team completing a pro forma for each case.
1.16 To ensure that the case files reviewed were representative of the workload within each LA area, our sample consisted of the most recently opened cases. Approximately 30 cases were reviewed within each area, with 113 cases being reviewed in all.
1.17 In addition to copies of the actual Orders granted, the research team examined files maintained by staff (housing officers, ASB team, legal staff), witness diaries / statements, details of referrals to other agencies and general correspondence relating to the case. Through this process we were able to collect a range of common data, e.g. on the nature of the incident(s) prompting action, the characteristics of the individual subject to the Order and the other remedies deployed either before or alongside the ASBO application.
1.18 While the information collected during phase one was informative in its own right, we felt it would be illuminating to look at the progress of cases over the project's duration. Therefore, the second phase of fieldwork tracked a sample of ASBO cases to determine the case outcome and the extent to which staff felt the Order had been effective. This second phase of research also focused on breaches of Orders, how (and to whom) such breaches are reported and how they are monitored.
1.19 Through the first phase of research it was determined that outcome data of this type could not be sourced entirely through paper files. The second stage of work therefore involved: (a) further examination of paper files; and (b) interviews with the key agencies involved in each case. In most instances, this involved input from the investigating officer or housing officer (i.e. the person originally responsible for referring the case for a possible ASBO application). Police officers and support agencies were also consulted where appropriate.
1.20 During the second phase of the research, it became apparent that not all the cases originally examined had proceeded to an actual ASBO application. It was also observed that many of the cases had originated some time previously and reflected dated practices. To ensure that the review included an adequate amount of up-to-date information, a selection of new cases was added to the sample at this stage. For these, the original pro forma was completed, followed by agency interviews.
1.21 The table below details the final sample examined, broken down by LA area. A total of 128 cases were reviewed in the course of the research. More than half of these (68) were tracked, i.e. revisited the following year for further information on the outcome of the case.
Table 1.1. Sample breakdown
Local authority | Dumfries & Galloway | Dundee | Edinburgh | North Lanarkshire | Total |
|---|
Original cases reviewed in 2005 | 30 | 28 | 26 | 29 | 113 |
|---|
Of which tracked in 2006 | 20 | 16 | 17 | 15 | 68 |
|---|
New cases reviewed in 2006 | 4 | 5 | 3 | 3 | 15 |
|---|
Total cases examined | 34 | 33 | 29 | 32 | 128 |
|---|
Focus groups
1.22 To help interpret the output from the statistical analysis and to draw on the informed views of practitioners and others, we held three focus group sessions, described below.
- A local authority focus group with twelve attendees from different councils. This group bought together participants from housing departments, specialist ASB teams, legal departments and the police.
- A national stakeholder organisation focus group involving eight attendees from a wide range of organisations including the Scottish Retail Consortium, Chair of a Scottish Tenants' Organisation, Scottish Children's Reporter and the Edinburgh Chair of Justices Committee (which oversees the operation of the District Court).
- A Registered Social Landlord focus group drawing eight participants from different organizations, mainly from a housing management background, although some dedicated ASB staff were also involved.
1.23 The findings from all of these phases of work are summarised throughout this report.
Structure of the report
1.24 Throughout the rest of this report, we produce our findings thematically, with reference to the particular survey instrument from which the findings are derived. Where possible, we seek to triangulate our findings to ensure robustness. The rest of this report is structured as follows:
1.25 Chapter 2 sets out statistics on the use of ASBOs between April 1999 and March 2006, drawing on evidence from the annual e-mail surveys, as well as secondary data. It also considers the strategic and organisational practices in place for handling ASBO applications, using data from the case study research.
1.26 Chapter 3 sets out the legal and administrative framework for the use of ASBOs in respect of young people i.e. persons aged 12 - 15. It goes on to review the policies and procedures developed by LAs to take forward possible ASBO applications where these concern young people. Finally, we analyse the emerging evidence on the actual use of ASBOs with respect to young people.
1.27 Chapter 4 considers the types of offences that have led to applications for ASBOs, including their location. It also provides an analysis of ASB perpetrators on whom ASBOs have been served in terms of variables such as housing tenure, gender, age and whether they acted on their own or in a group. Much of this is taken from the surveys of LAs that were conducted, but evidence from the case study areas has also been included where appropriate.
1.28 Chapter 5 considers outcome measures for ASBOs and attempts to ascertain their effectiveness. It considers legal aid and appeals, as well as breaches (using a variety of data from a number of sources) and examines instances in which ASBOs have had successful as well as unsuccessful outcomes.
1.29 Chapter 6 examines the extent to which, in tackling ASB, LAs and RSLs use other legal and enforcement type measures in conjunction with ASBOs. It draws on the annual email survey of LAs and RSLs undertaken in the course of the research, as well as on Scottish Executive data and case study material.
1.30 Chapter 7 sets out our main conclusions and recommendations, including our suggestions for future monitoring of ASBOs and for further research.
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