18 March 1991

Dear Sir/Madam

SOCIAL WORK SERVICES IN THE CRIMINAL JUSTICE SYSTEM: 100% FUNDING, NATIONAL OBJECTIVES AND STANDARDS

Summary

1. This Circular notifes local authorities of revised funding procedures for social work criminal justice services and introduces National Objectives and Standards for these services.

100% Funding

2. From 1 April 1991, the Government will meet 100% of approved expenditure incurred by local authorities in the management and operation of social work services in the criminal justice system in accordance with the enclosed National Objectives and Standards. Local authorities will continue to have the responsibility of managing, running and developing the services. The arrangements for 100% funding apply to community service, probation, provision of social enquiry and related reports, court based social work, and parole and other aspects of throughcare. The National Objectives and Standards are currently being revised and will be issued before the end of 1995.

3. Financial guidelines setting out the procedure for submitting grant applications and enclosing a supply of appropriate forms are being sent to Directors of Finance under separate cover.

4. SWSG will formally advise Directors of Social Work of the amount of grant offered each year. Grant figures have already been notified in respect of 1991-92. SWSG will discuss the expenditure profile with local authorities during the course of the financial year. Adjustments to grant will be considered where required, subject to the overall availability of funds. Authorities may switch funds within categories of their total grant (probation, court services, throughcare and community service) subject to prior SWSG approval.

Timetable

5. Local authorities are expected to have completed by 1 April 1992 the setting in place of the required infrastructure for the delivery of services in accordance with National Standards and to have provided induction training for all the staff involved. All new work commenced after 31 March 1992 must therefore be carried out in accordance with the

National Standards. Every effort should however be made, within the resource and other practical constraints which apply, to achieve earlier compliance with the Standards wherever possible.

National Objectives and Standards

6. The National Objectives and Standards have been drawn up after wide consultation with COSLA and other interested parties. Their operation will be monitored and kept under review by SWSG. Local authorities will require to submit returns to SWSG with regard to probation, social enquiry reports, parole and throughcare services and to continue to do so in respect of community service. They will also be required to submit periodic returns in relation to prison based social work and court based social work. The new returns will be introduced during the course of 1991-92 and will be subject to consultation with COSLA.

7. Particular attention is drawn to the following sections of the National Objectives and Standards which have altered since the consultation version was issued in November 1990.

7.1 A Strategy for Education and Training (Part 1, paragraphs 57-79): this section has been expanded to take account of concerns expressed by some consultees.

7.2 The Young Offender and Relations with the Children’s Hearings (Part 1, paragraphs 102-106) emphasises the need for local authorities to develop programmes targeted specifically at 16 and 17 year old offenders.

7.3 Finance (Part 1, paragraphs 115-151) has been amended to meet the concerns of some consultees, particularly in relation to supported accommodation.

8. Attention is also drawn to amendments made to the National Objectives and Standards for Community Service by Offenders Schemes. The main aspects are detailed in the annex attached to this circular.

Review of Scope of these Arrangements

9. During the consultations on the National Standards, a number of consultees expressed concern about the future of those components of social work services in the criminal justice system which will remain outside the scope of 100% central government funding. These include diversion from prosecution to social work, bail services, work with offenders on deferred sentence, fine supervision and other services related to financial penalties. In the light of these concerns, Ministers have decided to review these services with a view to their possibility being brought within the 100% funding and national standards arrangements at a future date. The review is expected to be completed by March 1992.

Contact Point

10. If you have any queries about the contents of this circular, please contact Susan Malcolm, Social Work Services Group, Room 16A, James Craig Walk, Edinburgh EH1 3BA (telephone 0131-244-5439).

Yours faithfully

LESLEY CLARE

ANNEX

AMENDMENTS TO NATIONAL STANDARDS FOR COMMUNITY SERVICE BY OFFENDERS SCHEMES

WORKING ARRANGEMENTS

Pre-sentence

In the guidelines for pre-sentencing, the undernoted paragraph has been added after "It is the responsibility of Community Service Schemes to offer a view on:-

"The National Standards for SER’s require that "reports should be written clearly" and that "care should be taken to distinguish clearly fact from opinion". The application of these requirements to Community Service implies that a clear distinction should normally be made between the assessment of suitability of offenders for Community Service (Section 1(2)(c)) and the ability and capacity of schemes to make arrangements for offenders to perform Community Service work (Section 1(2)(d)). An assessment that an offender is unsuitable to undertake Community Service should not therefore in itself imply that the scheme is unable to accommodate that offender, on Community Service. In such circumstances, the SER author will doubtless wish to indicate the court (a) the likely consequences of placing an offender assessed as being unsuitable onto Community Service notwithstanding the fact that a vacancy could be made available on the Scheme, and (b) an alternative community based disposal".

Travel Costs

The section on Travel Costs has been amended to:-

Community Service Schemes should provide suitable work placements within the offender’s home locality wherever possible. Offenders should generally be responsible for meeting any costs which arise in travelling from their home to the place which they are required to report. In certain circumstances and where the reporting point is further than 3 miles from the offender’s home travel expenses may be reimbursed by authorities. The Scottish Office will advise authorities from time to time of the circumstances determining the payment of travel expenses to offenders and the specific amount payable. The written information given to the offenders prior to sentence must include information about the likely associated costs of undertaking community service.

Insurance

The section on insurance has been amended as follows:-

The Secretary of State will meet in full approved costs of insurance against any claims arising as a result of an offender carrying out a community service order.

Local authorities must have a clearly defined Health and Safety policy. This should be drawn up in association with the Regional Health and Safety Officer and must take account of 1988 COSHH regulations. Both employees and offenders need to be covered by this policy.

The following minimum standards of insurance provision must be agreed between the local authority and their insurers. The premium costs involved will attract grant.

a. All Community Service Order schemes should be covered by a local authority for Public and Employers Liability Insurance policies. This may be accomplished by the extension of existing local authority Public and Employers Liability Insurance policies to cover the Community Service by Offenders Schemes.

b. These policies cover the local authority’s legal liability arising out of any injury, loss, illness or damage occasioned by negligence.

c. The policies must cover against claims arising out of negligence on the part of the offender, placement agency, recipient of service or the local authority officer.

d. The policies must cover the local authority’s legal liability arising out of its own negligence and indemnify all third parties against any claim arising out of their negligence. Third parties in this context are the offender, placement agency, recipient of service, officer of the local authority.

e. The level of Insurance cover provided for offenders undertaking Community Service should be no less than the cover provided to the local authorities’ own employees.

It will be a requirement for each local authority to intimate formally to SWSG that the Insurance arrangements outlined in these Standards have been met in full.

To avoid unnecessary delay in settling small claims and to ensure premiums are kept as low as possible, local authorities should not insure against third part claims below £2,000 in value. Any legal liability arising from claims below £2,000 should be advised immediately to SWSG by local authorities. The circumstances of the claim should be detailed and SWSG will authorise any payments and refund the local authority in the normal manner. SWSG will require full details of the circumstances giving rise to the incident from which the claim arises.

Where a claim exceeds £2,000 then the whole cost will fall to be dealt with by the insurers not just the part in excess of £2,000.

The Secretary of State accepts responsibility for determining the outcome in respect of all uninsured losses exceeding £2,000 in value arising from the period when an offender is engaged in undertaking part of the specified number of hours stated in the Community Service Order. Any resultant offer of compensation will be of an ex-gratia nature. SWSG must be notified in writing immediately circumstances arise which could result in such a loss.

DISCIPLINE

Formal Disciplinary Action for Failure to Attend for Work

The regulations for failure to attend due to ill health have been amended to:

"All absences due to ill health must be medically certified. Self certifying certificates are not acceptable. Current procedures are detailed in SWSG Circular DSW 2/1989".

The number of formal warnings for failing to comply with the Order prior to the initiation of breach proceedings has been reduced from three to two.

BREACH PROCEEDINGS

The paragraph on Evidence has been amended to:

"Any breach which is presented to the court may be challenged and must therefore be supported by satisfactory evidence. The evidence of one witness shall be sufficient to establish a failure to comply with the requirements of section 3 of the Community Service by Offenders (Scotland) Act 1978".

Punctuality

The paragraph on Punctuality has been amended to:

"The standards of evidence required to prove a lack of punctuality are the same as those for failure to attend and the procedures are similar".

Unsatisfactory Performance at Work

This paragraph has been amended to:

"Where procedures for breach are being considered it is necessary to ensure that the conduct complained of is witnessed by a community service member of staff".