Introduction
This topic covers the records that must be kept regarding each offender. An offender file is a collection of records about an offender, including IOMS records.
Note: It maybe necessary to have more than one paper file.
Examples:
Situations where it may be necessary to have more than one paper file include if:
- different staff are managing different sentences, or
- there is an active prosecution and a file is required for the court team.
Policy
As far as possible only one paper file should be kept. If there is no alternative to having more than one file, this should be referenced in the IOMS casenotes. The location of each file should also be noted in the casenotes.
The information contained in the file must be as accurate and up to date as possible at all times.
Purpose of file
The purpose of keeping an offender file is to:
- maintain offender information showing the offence and sentence/order details, to enable CPPS to comply with the court order in managing the sentence
- allow CPPS to clearly demonstrate action taken in relation to standard and special conditions
- hold appropriate information for staff to make any decisions necessary regarding the offender
- provide a sentence administration audit trail, enhancing credibility and accountability
- provide information for the court servicing team in the case of further offending
- enable, sustain and support enforcement action, and
- allow any staff member to identify all key information quickly and accurately.
Note: All of the information pertaining to an offender's file is maintained in IOMS.
Storage of files
Each offender file is confidential and must be stored in a secure place, where only authorised staff can access it. Authorised staff may be from any part of the Department of Corrections.
If a paper file is to be accessed by someone other than those using the file for day to day management of the offender, care must be taken to ensure that:
- only the particular file can be accessed
- the file remains in the local office, or is returned to that office immediately after the necessary work has been completed, and
- the file remains confidential to the authorised person during the access.
Who has access to files
The following people and organisations can have access to sentence files:
- Departmental staff can access sentence files at any time for the purpose of managing sentences, or for the purposes of review/quality assurance/audit etc.
- An offender has the right to request access to their offender file. Some information, e.g. a psychiatric report or victim information should be withheld if it is considered a risk to the offender's well-being or to the safety of any other person. Information held on the file about any other individual(s) must not be released to the offender.
- Other individuals or organisations allowed access under the Official Information Act 1982 can access a sentence file as governed by that Act.
References:
- Volume 4, Part I, Chapter 9, Official Information.
- Volume 4, Part I, Chapter 8, Privacy.
Reviewing of files
Offender files may be reviewed as part of:
- the quality assurance system
- manager's review
- case reviews and investigations, and/or
- auditing.
