Professional Documents
Culture Documents
Circular
The creation of NOMS has led to the decision to improve the links between research and policy development by
embedding staff from the former RDS within the NOMS directorate. RDS NOMS is the part of the Research Development
and Statistics Directorate (RDS) in the Home Office which leads on research and analysis for the National Offender
Management Service (NOMS). It consists of two teams dealing with research and evaluation, and statistics and analysis
(see Annex A for a breakdown of the individual work of the teams). The team is led by Dr Chloë Chitty who is located
within the Directorate of Quality and Standards and reports to Peter Wrench. RDS NOMS goals are to:
• Develop, maintain and report on a high-quality knowledge base to inform policy making and practice, to help the
National Offender Management Service and the Home Office in England and Wales to achieve their objectives.
• To provide the public and Parliament with information necessary for informed debate.
Quality of Research
As part of the drive to raise the quality of research throughout the Criminal Justice System, a framework (comprising an
approval process and set of standards) for evaluating research has been devised by RDS NOMS (see National Offender
Management Service ‘What Works’ Briefing 3/05: Understanding research methods and findings
http://www.homeoffice.gov.uk/rds/noms/html). This applies to all delivery units including National Probation Service,
HMPS (Prison Service) and the Youth Justice Boards.
From September 16th areas are asked to note that any research or evaluation that they wish to embark upon should be
considered using this framework, and a proposal put to RDS using the documents attached at Annex B. As specified in
the attached paper, ‘Stimulating Good Quality Local Analysis’, all Band 4 projects should be cleared through the new
RDS NOMS process. Where a project is Band 3 and does not meet the criteria specified below, it should not be submitted
for approval. If a Band 3 project does meet one of the criteria outlined below, it should be submitted for approval.
With the new framework areas will be required to have a quality review on any piece of work which is either
• over 30 days staff time (1) or
• over £10K in external costs or
• outcome research (2) or
• for publication or submission to the Minister
Notes
(1) an equivalent measure is 200 hours time; this may be more appropriate to smaller areas
(2) Outcome research is defined as work which is designed to establish whether there is an impact on reoffending,
reconviction or any related outcome measure (e.g. maintaining employment, drug testing) . It does not include
qualitative research e.g. offender feedback, staff review
Areas need not advise RDS NOMS of other work but should report to NPD annually as part of the annual report on any
studies that they have conducted locally. Where staff wish to publish work which was not formally agreed at the time of
commissioning they should either publish in a journal or publication where there is a process of peer review in place, or
should seek advice from RDS.
Research that is already commissioned is not covered by this requirement, although areas may wish to seek advice from
RDS NOMS over any piece of work currently underway in order to be able to obtain the “kite mark” if appropriate.
RDS NOMS will provide advice on research design questions from areas.
Action: Areas are asked to note the pro-forma (at appendix B) and fill them in for any newly commissioned work which
meets the criteria (i.e. is an outcome study, or will take more than 30 days staff time, or will cost more than £10K or will be
published or submitted to Ministers).
Under the new guidelines for NOMS, Probation areas are asked to identify what research or evaluation is currently
underway (see Annex C). This information will also be helpful in developing the framework for the staff seminar.
This annex also asks areas to identify the resource that is available to them for
Action: Annex C should be filled in and returned to the Nina Marvan OBP Team, Interventions Unit NPD by
16th September 2005
As part of helping to introduce the new pro-forma and arrangements RDS NOMS will be running a seminar for all staff to
attend, where possible. This will take place in the last two weeks of September; full details on the seminar will be
circulated in due course. It is expected that the seminar will cover different types of research, research standards and
briefing on how to complete the attached PQAB documents, using both presentations and workshops to help familiarise
staff with the process.
Training Analysis
RDS organise training for research staff within their team. They are able to offer a limited amount of training to areas to
help support the personal development of research and information staff. A training needs analysis will be circulated to
areas later in the year, to help identify the sorts of opportunities that would be useful. RDS staff would also hope to learn
from areas, e.g. to understand the skills needed for routine data collection and analysis.
Gemma Harper
Programme Director
Pat Dowdeswell
Programme Director
Reconviction Analysis
Functions:
1. Convictions database development and methodology
2. Reconviction rates: Adult offenders for PSA 5
3. Reconviction rates: Young offenders for PSA 5
4. Reconviction rates: other studies, special projects
5. Offenders Index Analysis
6. Police National Computer Analysis
7. Offender Group Reeconviction scale/predicted reconviction rates
Natasha Garnham
Head of O-DEAT
Functions:
1. Offending history and offence analysis
2. Accommodation, ETE and financial management
3. Relationships and lifestyle
4. Alcohol and drug misuse
5. Emotional wellbeing, thinking and behaviour, and attitudes
6. Risk of harm analysis
7. Sentence plan and targeting
8. Self assessment
9. PSRs and sentencing
10. Offender management and CJA 2003
11. Mentally disorders offenders
12. Low risk offenders
13. High risk offenders
14. Persistent offenders
15. Young offenders
16. Reconviction analysis and interim change analysis
Project Approval Record for Home Office Research1 Issue date: 20 July 2005
OR
Director of RDS
Minister
OR
RDS Assistant Director
(see Introductory Notes)
1
Please read the guidance notes before completing the form. Make sure you are using the current versions of the form and guidance. If in
doubt, check the RDS pages on Horizon or call the PQAB secretariat on 020 7035 3285.
Guidance on completing the Project Approval Record (PAR) Page 1 Issue date: 20 7 05
Annex B
Guidance on completing the Project Approval Record (PAR) Issue date: 20 July 2005
The PAR records the “triple key” agreement to conduct a Home Office social research project. The three
keys are held by (a) the Home Office Group Executive Board (GEB) lead for the area in which the project
falls, (b) Research, Development and Statistics Directorate (RDS) and (c) the appropriate Minister. PQAB
(Project Quality Approval Board) approval is the means to secure RDS agreement to the project design.
Please read this guidance before completing the form. Make sure you are using the current
versions of the forms and guidance. If in doubt, check the RDS pages on Horizon or call the PQAB
secretariat on 020 7035 3285.
Introduction
Do I need a PAR for my project?
A PAR should be completed for all social research projects (including impact evaluations) that are
conducted or funded (wholly or partly) by the Home Office.
A project may be exempted by the Director of RDS or by the RDS Assistant Director (AD) who is
responsible for the research area, if the work will be carried out entirely by Home Office staff and will
require a maximum of 10 staff days to complete. Alternatively, in such small projects, the AD may request
that a PAR be produced, to be signed off by him/herself and/or the policy lead (SCS level). Any exemption
is not automatic and must be allowed only after considering the project risks: a small project can entail
large risks, e.g. it might produce results that are counterintuitive, contentious or have major operational
resource implications but might nevertheless be liable to public disclosure.
In some cases, RDS staff will be advising another party on a project (e.g. a policy colleague letting a
research contract). In such cases, the other party would normally be responsible for producing the PAR,
consulting with the relevant RDS Programme Director (PD) and other RDS staff as appropriate. Where
responsibility for producing a PAR sits outside of RDS, RDS staff should not decline to provide advice on
a project solely because a PAR has not yet been approved, so long as there is a request in writing from
the relevant policy/operations lead. The extent of such advice should be determined by local RDS
management.
Who completes the form?
The form will generally be drafted by the project leader, liaising with line management and
policy/operations lead as appropriate. The correct completion of the PAR is the responsibility of the RDS
PD in whose programme the project falls. In submitting the PAR for signature, including Project Quality
Approval Board (PQAB) approval, the PD signifies that s/he:
• understands the policy/operational requirement for the project;
• is content with the proposed design of the project and its links to related past, current or planned work;
• has identified any diversity issues in the project design and made the policy/operations lead aware;
• can deliver the project to the required timescale and quality, with the available resources.
This will normally follow discussion with the staff who are directly involved with the project design, and the
policy/operations lead. The PAR would generally need to be accompanied by other documents, at the
various steps in the approval process, to inform signatories in more detail about the proposed project.
Because of differing requirements and expectations across the Home Office, and different roles and types
of research, there will inevitably be variation in the formal and informal elements in the process leading to
approval by policy/operations lead and Minister. Nevertheless, the discussion will need to cover at least
the feasibility and likely value of the research, a suggested design, how the results are to be used, a cost
estimate and an estimated timescale. Whatever the contributing processes, the PAR is used to record
approval, thus promoting consistency of approach and avoiding confusion as to what has been agreed.
GEB approval
The first “key” is agreement that the project is required for policy/operational purposes. For this, the PD
passes the PAR to the GEB-designated signatory (Grade 3 equivalent or above) for the relevant Group
(e.g. NOMS, IND) to agree. There should be one designated signatory for each Group – someone who
Guidance on completing the Project Approval Record (PAR) Page 2 Issue date: 20 7 05
Annex B
can assign priority to projects for the Group as a whole. In the temporary absence of the designated
signatory, a GEB-designated deputy may sign.
Signature indicates that:
• there is policy/operational need for the project;
• diversity issues relating to the project have been appropriately addressed;
• the project has the required output, in terms of the knowledge that it proposes to generate and the form
in which that knowledge will be made available;
• the project takes priority over other projects that might alternatively be funded (i.e. either it is in the
business plan and remains a priority, or it has been developed since the agreement of the business
plan and is now a priority).
RDS approval
The second “key” is agreement that the project has the required level of quality, i.e. it can be expected to
produce the knowledge required by the Group in a sufficiently precise, reliable and useful form. This
agreement requires signature by the RDS AD representing PQAB or the Director of RDS. Submission to
PQAB will require completion of an additional form to accompany the proposal itself.
Ministerial approval
The third “key” is the Minister’s approval, to confirm that the project is required and that there is an
appropriate route for using the outcome from the work. Where (a) the work is part of the RDS business
plan, previously agreed by the Minister and (b) the project is not one that the Minister has required to see
for individual approval, the RDS Director or AD may sign to indicate Minister’s approval. PDs need to be
aware of the requirements for their Minister.
Project identifiers
1. This is the reference number of your file for the project. If a file number has been requested but not yet
provided, write “Number requested”.
2. Provide a short descriptive title that clearly identifies the project and distinguished it from other
projects. Avoid:
• starting with phrases that could apply to most projects, such as “Research to ……” or “A study of
…….”;
• using a title that implies a wider scope than the project actually has.
Responsible staff
3. This is the person who will take responsibility for the execution of the project. The project leader is not
necessarily in RDS but there should always be an RDS contact.
4. Within RDS, this would normally mean a team managed at Grade 7 level.
Expected output
16. This is what the project is intended to produce: the new knowledge and the form in which it is to be
presented. Describe the output, not the method.
17. The submission must make it sufficiently clear to all parties what is expected from the research, and
what cannot be expected: both the research team and the policy/operations colleagues must be clear
about what the project will and will not deliver, what is achievable and what is not.
18. If there is pressure of time or finance on a project, it is generally better to limit the objectives and use
the best method to meet those objectives, rather than maintain unrealistic objectives by using a weak
method.
19. It is particularly important to note any intention to publish and the expected form of publication (e.g.
RDS Online Report, journal paper). If a report will be for internal use only, consider stating here that
the report will be produced to a technical and presentational quality that would be acceptable for
release under FOIA. Remember that, if the work is carried out under contract, the contractor will
normally be allowed to publish the work if the Home Office decides not to do so.
20. As far as possible, indicate what kind of conclusions the project is intended to lead to, based on the
research questions (e.g. evidence on which of three possible interventions is most effective).
Make sure you are using the current versions of the form and guidance. If in doubt, check the RDS pages on
Horizon or call the PQAB secretariat on 020 7035 3285.
2. Project description
PQAB reference: Note 1
Project title (from PAR)
Background
Notes 2-6
Method
Design type
Literature review
Evaluation
Other quantitative research
Qualitative research
Other (state below)
Notes 7-15
Notes 16-19
Put one X on each row of the following table to indicate whether each of the potential ethical issues is (a) not an
issue for this project, (b) an issue that has been considered and dealt with or (c) not dealt with. If there are additional
ethical issues for this project, please add rows to the table to cover them
Not an Issue Issue not
issue dealt with dealt with
Assignment of potentially beneficial treatments is influenced by the research
Medical interventions
Honesty to researchers and subjects about the purpose, methods and uses
of the research
Informed consent
Participant confidentiality and anonymity
Data protection
The independence and impartiality of researchers in relation to the subject
of research
Risks to researchers and subjects (e.g. health and safety)
Working with vulnerable groups
If the responses on the checklist indicate that any ethical issues are not adequately covered in the proposal, state
how this will be resolved.
Note 20
Specify which professional code(s) of conduct (e.g. GSR, SRA, BPS) has been or will be referred to in addressing
ethical questions during the course of the research.
Diversity issues
Will the research address any of the following diversity issues in the sampling, data collection or analysis?
Yes No Yes No Yes No
Gender Religion Other (stated below)
Ethnicity Sexuality
Disability Specific age groups
If the answer is yes to any of these, answer the three following questions.
What procedures are in place to ensure that the research is undertaken in a way that is sensitive to the needs of
participants from different backgrounds/cultures?
Notes 21-23
To what extent is the research aiming to use a sampling procedure that would be expected to produce a sample that
is representative in terms of sex, age, ethnicity, religion and sexual orientation?
Note 24
Project plan
Date (MM/YY) Target
Project start
PQAB submission
Contract start (delete row if no contract)
Draft final report from contractor (delete row if no contract)
Note 33
Contract completion (delete row if no contract)
Publication draft to CDU or other publisher (delete row if no publication)
Project completion
Notes 34-36
Resource plan
Other information
Notes 37-41
Project Skills
Note 42
After completion up to this point, the RDS Programme Director should email this form to Mark Greenhorn
and Mike Taylor in CMU, RDS.
If urgent response is needed, explain and give deadline.
2
Including overheads and all non-contract costs.
3
Right click on total and update field.
PQAB AD
1.
4
The PD and Project Leader do not have to accept PQAB comments without question but would need to argue the case for not taking on board
all the comments.
Other points, e.g. stylistic, English, points to take into account as the project progresses5
1.
Compulsory points
1.
Further actions
1.
If there is more than one round of comments and response, duplicate Section 2 as necessary.
5
If appropriate, comments in this category may be provided as comments/tracked changes added electronically to the proposal document.
6
Also list any additional information or provide this in annexes.
Please read this guidance before completing the form. Make sure you are using the current
versions of the forms and guidance. If in doubt, check the RDS pages on Horizon or call the PQAB
secretariat on 020 7035 3285.
Introduction managed by the Research, Development and
Statistics Directorate (RDS) and aims to:
Do I need PQAB approval for my project?
• ensure that any research undertaken has a
PQAB approval is required for all social research good likelihood of achieving its stated aims;
projects (including impact evaluations) that are • clarify to policy/operations colleagues what is
conducted or funded (wholly or partly) by the and is not achievable by a particular approach
Home Office unless one or more of the following to a project;
exemptions applies.
• thus, ensure that more robust and valid
• The project has already been exempted from
research is undertaken.
requiring a Project Approval Record (PAR).
• The project has been exempted by the Director
Although set in a context of formal approval, the
of RDS or by the RDS Assistant Director (AD) aim of PQAB is to improve research designs and
who is responsible for the research area, on the assist the Home Office in developing better
grounds that the work will be carried out entirely research capability.
by Home Office staff and will require a The relevant RDS Programme Director (PD) has
maximum of 20 staff days to complete. the dual role of obtaining signatures on the PAR
Alternatively, for such small projects, the AD and approving submissions to PQAB. The PD, in
may request that a PQAB submission be both cases, signals a belief that the project is
produced, to be signed off by him/herself. Any sufficiently well designed for its purpose, can be
such exemption is not automatic and must be expected to produce the required result and all
allowed only after considering the project risks: parties should sign up to it.
a small project can entail large risks, e.g. it
Where a proposal originates outside RDS, the
might produce results that are counterintuitive,
PD may forward it to PQAB with a note of any
contentious or have major operational resource
concerns, if these have not been adequately
implications but might nevertheless be liable to
addressed by the project leader in response to
public disclosure.
the PD’s comments on drafts.
• Where there is any doubt as to whether PQAB
approval is needed, the PAR should be signed Linking the PQAB submission to an
by the policy/operations lead and then either (a) invitation to tender (ITT)
signed off by the relevant AD to confirm that There is a certain amount of duplication between
PQAB approval is not needed or (b) sent to the the information required in the PQAB submission
PQAB secretary (via the AD) to assess whether and in ITTs. Ideally project leaders should have
PQAB approval is needed. to record this information only once. To this end,
As a minimum, PQAB approval is needed for all the following options are available to the project
social research and impact evaluation to which leader.
one or more of the following applies: (a) Complete the ITT (or at least the parts that
• national in scope; overlap with the PQAB submission and
• intended to be published; provide the ITT as Attachment(s) A1, A2 etc.
• results to be sent to Ministers; To the PQAB submission. In this case, the
PQAB submission need provide only a
• a study of outcomes of policy or operational
summary of what is in the ITT or only the
changes;
information that is not included in the ITT (but
• a project of a type specified by Home Office should refer to the specific parts of the ITT
GEB areas (e.g. in the case of NOMS, outcome where the required information is to be found).
studies). This would include, for example:
The role of PQAB • aspects of the work that is to be carried out
by Home Office staff;
PQAB reviews and approves Home Office social
research (including evaluation) projects. It is
• provide a copy of the decision arising from • problems with access to respondents;
that procedure before commencing the part • unsatisfactory response rates;
of the work that was subject to concern. • non-availability of records, materials or
legal problems should be referred by the RDS contractors, data providers, OGDs,
PD for legal advice. PQAB may wish to note agencies, NGOs);
any concerns it has, but these remain the • changes of legislation, processes or
responsibility of the PD. administrative systems;
1. Area Name
This form should be returned to Nina Marvan, Interventions Unit, Horseferry House, Tel 0207 217
0676 (email Nina.marvan@homeoffice.gsi.gov.uk) by 16th of September 2005.
1
See also attached PC.
2
Studies which may be used to inform policy on a national basis or which reports on outcomes (including
interim outcomes) of work with offenders.
3
Identify how many staff at each grade and the time allocated to undertaking research using FTE e.g. 0.2 FTE
for each identified staff member.
4
Identify using FTE. If more than one member of staff, please identify for each staff member.
5
Routinely collected data used for operational purposes and for reporting as part of the business plan to the
centre.
6
Data collection initiated locally and used to support local performance or to improve implementation. Data
used for contract management.
Annex D RDS/NOMs Research Seminar September 2005
As part of helping to introduce the new pro-forma and arrangements RDS NOMS will
be running a seminar for all staff to attend, where possible. This will take place in the
last two weeks of September, in London and will be a day event . Full details on the
seminar will be circulated in due course. It is expected that the seminar will cover
different types of research, research standards and briefing on how to complete the
attached PQAB documents, using both presentations and workshops to help
familiarise staff with the process. The seminar is directed at research and
information staff or staff who manage or commission research.
Please complete the form below indicating which members of staff wish to attend
the seminar . This form should be returned to Nina Marvan, Interventions Unit,
Horseferry House, Tel 0207 217 0676 (email Nina.marvan@homeoffice.gsi.gov.uk)
by 1st of September 2005.
Probation Area
The following members of staff wish to attend the RDS Research Seminar
Name Position Contact details (tel , email ) Dietary or other
special
requirements