GUIDANCE FOR THE INSPECTION OF PENAL
ESTABLISHMENTS INSCOTLAND
Contents
Introduction
Status, Role and Functions of HM Inspectorate of
Prisons
Terms of Reference
Inspection of Establishments
The Inspection Programme
The Conduct of Inspections
Thematic Inspections
Investigation of Incidents
The Inspection Team
Consideration and Publication of Reports
Annual Reports
Reports on Individual Establishments
Thematic Inspection Reports
Reports on Investigations of Serious Incidents at the
request of the Minister for Justice
News Releases and Press Conferences
Post-Inspection Feedback and Dissemination to
Establishments
Correspondence with Prisoners and Prisoners'
Complaints
Correspondence with Members of Parliament (Scottish,
UKand European), Members of the Public and External
Organisations
Criticism of Staff
Right of Reply
Liaison with Scottish Prison Service
Utilisation of Research Evidence
Review of the Guidance
Introduction
1. The purpose of this Guidance
is to set out the principles and processes for the
inspection of prison establishments and legalised police
cells in Scotland. It outlines the responsibilities of the
Scottish Executive and the Scottish Prison Service in
facilitating the inspection process and in responding to
reports produced by HMCIP. This Guidance supersedes SHHD
Circular No. 21/1981.
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Status, Role and Functions of HM Inspectorate of
Prisons
2. Section 7 of the Prisons (Scotland)
Act 1989 (as amended by the Scotland Act 1998) provides the
statutory basis for Her Majesty's Inspectorate of Prisons
in Scotland. HMIP operates independently and impartially
from the Scottish Prison Service. HM Chief Inspector of
Prisons is responsible for ensuring that a systematic
programme of inspection is carried out and that findings
are reported to the Minister for Justice. The Chief
Inspector shall in particular report on the treatment of
prisoners and conditions in prisons. The Chief Inspector is
directly accountable to the Scottish Ministers, which
guarantees independence of inspection, review and
reporting.
3. HM Inspectorate of Prisons is
required to undertake the following functions:
· Inspection of all prison establishments in
Scotland;
· Inspection of legalised police cells;
·Inspection of escorts;
· Thematic inspections and reviews as necessary;
· Report on any matter connected with Scottish
prisons as directed by the Minister for Justice;
· Production of an Annual Report.
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Terms of Reference
4. HM Chief Inspector is a member of
the Scottish Executive Justice Department and as such
operates within the Scottish Executive's Aim, Vision, and
Values. HMCIP reports to the Minister for Justice.
5. HM Chief Inspector will conduct
regular inspections of individual prison establishments and
legalised police cells in Scotland. The scope, focus and
content of any inspection will be decided by HMCIP, taking
into consideration the particular circumstances relating to
any given establishment at the time of inspection. It is
expected that any inspection and subsequent report will
cover:
·Physical conditions prevailing in an
establishment;
·Treatment of prisoners;
·Facilities, services and opportunities available to
address offending behaviour and the accessibility of
these;
·Preparations in place for returning prisoners to the
community;
·Any other relevant matter as the Minister for
Justice may direct or HMCIP may choose.
6. HMCIP will submit an Annual Report
to the Minister for Justice which will be laid before
Parliament and published. There will be no requirement for
a Ministerial foreword. Reports on individual
establishments will also be published without Ministerial
forewords, as will thematic reports when these arise.
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Inspection of Establishments
7. The principal concern of the Chief
Inspector is the regular and rigorous inspection of
individual establishments within the Scottish penal estate.
While HMCIP sets his own agenda for any inspection, it is
expected that this will reflect the prisoner population,
operational practice and regime in the establishment
concerned, as well as reflecting Service-wide initiatives.
Wherever possible HMCIP should draw upon and use
standardised indicators and management information measures
available from individual prisons and from SPS
Headquarters, while retaining the right to have access to
any
ad hoc data as may be necessary to complete an
inspection.
8. The general principles of
inspection may be summarised as follows:
· In carrying out inspections and in preparing
reports, HMCIP will be independent of political influence,
the Scottish Executive Justice Department, the Scottish
Prison Service and Governors-in-Charge of
establishments;
·Inspections and the reports resulting from them will
be balanced, fair and open;
·In inspecting and reporting upon the treatment of
prisoners and the conditions within prisons, inspections
will make assessments against standards which have been
clearly defined;
·Strategic and relevant documentation will be
provided by Governor-in-Charge and SPS Headquarters to
HMCIP on request;
·Confidential information supplied will be treated as
such;
·Each inspection should be responsive to an
establishment's individual circumstances;
·HMCIP will attempt to keep disruption to normal
regime activities to a minimum;
·The inspection team will give clear oral feedback to
senior management;
·A report to the Minister for Justice will be
produced which will identify main points for action by the
individual establishment and/or SPS, and highlight areas of
good practice.
9. The Chief Inspector will be
responsible for the inspection of legalised police cells
and will apply the same considerations to these inspections
as to penal establishments. Arrangements for conducting
inspections of legalised police cells will be made directly
with the appropriate Chief Constable.
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The Inspection Programme
10. HMCIP will be responsible for
drawing up his own inspection programme which will be
consistent with the wishes of the Minister for Justice. He
may also wish to take into account any expressions of
topical interest or any contemporary indication of public
concern on penal matters when framing the inspection
programme.
11. While the independence of HM
Inspectorate of Prisons ensures the freedom to inspect
establishments, advice should be taken from SPS Senior
Management when setting the agenda regarding any prevailing
operational circumstances (e.g. incidents, public health
issues etc.)
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The Conduct of Inspections
12. The method of conducting
inspections will be a matter for the Chief Inspector. HMCIP
is entitled to delegate the conduct of a particular
inspection (or if appropriate, investigation of an
incident) or part of an inspection to the Deputy Chief
Inspector or to another member of the inspection team.
13. Prior to an Inspection, HMCIP or a
member of the inspection team should make contact with the
Governor-in-Charge of the establishment to be inspected and
with SPS Headquarters regarding the range and content of
pre-inspection data. Other types of preliminary briefing
and specialised information which is non-routine and
requires bespoke preparation ought to be outlined at the
same time.
14. The Chief Inspector and members of
the inspection team are entitled to access any part of an
establishment, to see any relevant papers or records held
in the establishment or at SPS Headquarters and to speak to
any staff member or prisoner privately and in
confidence.
15. Statements made by prisoners to
Inspectorate staff will be treated anonymously and in
confidence except when there are disclosures relating to
potential self-harm or to the potential harm of others.
Prisoners should be advised that if such disclosures were
made, these would be brought to the attention of the
appropriate authorities and welfare services.
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Thematic Inspections
16. Thematic Inspections have been
carried out periodically since 1986 and have covered a
range of substantive topics. It will be at the discretion
of HMCIP to assess whether there is an identifiable need or
reason to conduct a Thematic Inspection at any given time.
The arrangements for the publication of Thematic
Inspections will be the same as those for Reports on
individual Establishments.
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Investigation of Incidents
17. There are well established
procedures within SPS for the internal investigation of
major incidents in establishments. Where there is evidence
that a criminal offence has been committed during the
course of an incident, the matter would also be referred to
the police for further investigation and for onward
referral to the Procurator Fiscal if appropriate. If the
incident has been of sufficient seriousness, the decision
as to whether an independent investigation by HMCIP is
required will be one for the Minister for Justice to take
in light of the circumstances prevailing at the time.
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The Inspection Team
18. HMCIP receives professional
support from two senior SPS governors seconded to HMIP and
an official from the Scottish Executive. Secretarial and
administrative support is also provided by the Scottish
Executive to facilitate the inspection programme. In
addition to the staff, HMCIP can recruit relevant
personnel, particularly those who have recognised
specialist skills which would benefit the inspection
process. Personnel recruited by HMCIP to assist with one or
more inspection will have the status of Associate Inspector
and will require, if not already security cleared, to be
checked and passed by Disclosure Scotland at Basic Level.
HMCIP may recruit specialist inspection advice from other
sources including SPS, other Prison Services, other
Inspectorates, and specialist organisations in the fields
of criminal justice, health, education and social work.
19. From time to time, HMCIP may wish
at his discretion to invite others to attend and observe,
but not to participate in, the inspection process. Such
personnel will be considered guest observers and will
require appropriate security clearance. They will also
comply with all Health and Safety regulations applying to
penal establishments. Guest observers will be required to
hold what is witnessed in confidence until such times as
HMCIP's report on the establishment is published.
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Consideration and Publication of Reports
Annual Reports
20. There is a statutory obligation
for HMCIP to produce an Annual Report which is laid before
the Scottish Parliament by the Minister for Justice and
published. HMCIP determines the form and content of the
Annual Report. There will be no requirement for a
Ministerial foreword to be included in the Annual
Report.
21. The Scottish Prison Service and
the Minister for Justice will be given advance sight of the
Annual Report in order that responses can be prepared
regarding any formal recommendations or suggestions
emanating from it. A minimum of 25 working days in advance
of publication would allow a considered response from SPS
to be collated and a Ministerial response (if required) to
be prepared and cleared.
22. The SPS response and Ministerial
response (if required) may be published at the same time
as, but separate from, HMCIP's Annual Report.
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Reports on Individual Establishments
23. Reports on individual
establishments will be published. HMCIP will determine the
form and content of Reports. Such Reports will not contain
a Ministerial foreword. The consideration of, and response
to (if necessary), HMCIP reports on individual
establishments by SPS and the Minister for Justice, will be
as described above.
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Thematic Inspection Reports
24. The publication of, and response
to, reports on Thematic Inspections will be as above.
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Reports on Investigations of Serious Incidents at the
request of the
Minister for Justice
25. The presumption will be in favour
of full publication of any report by HMCIP on a Serious
Incident in prison requested by the Minister for Justice.
However, if material facts emerge in the course of an
investigation, the publication of which would a) prejudice
any pending or continuing criminal investigations or court
proceedings; or b) compromise SPS operational security in
any way, then these findings may be submitted to the
Minister for Justice by means of a confidential annex or
separate private letter.
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News Releases and Press Conferences
26. HMCIP will advise the Minister for
Justice on a case by case basis as to whether the
publication of any Inspectorate Report is to be accompanied
by a News Release (released through SE Press Office), or a
Press Conference, or nothing. Although the decision
regarding Press involvement is formally one for the
Minister for Justice to take, the presumption is that such
requests will normally be approved. The Minister, however,
will retain control over the timing.
27. The Scottish Prison Service should
have reasonable notice of any News Release or Press
Conference in order to prepare any Agency or Ministerial
response required.
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Post-Inspection Feedback and Dissemination to
Establishments
28. HMCIP will offer summary oral
feedback to GICs and Senior Management in establishments
within a reasonable time period following the completion of
the inspection process, outlining the critical findings and
key points for action. Such feedback will allow management
teams to begin to address timeously areas identified as
being in need of improvement.
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Correspondence with Prisoners and Prisoners'
Complaints
29. HM Inspectorate of Prisons does
not deal with the investigation or pursuit of individual
prisoners' grievances. A prisoner who writes to HMCIP, or
speaks to a member of the Inspectorate during the course of
an inspection on such a matter, should be advised of the
normal channels through which grievances can be pursued.
Prisoners should be referred to SPS's own Grievance
Procedures as well as the Office of the Scottish Prisons
Complaints Commissioner. Letters written to HMCIP from
outwith prison on matters relating to the circumstances of
an individual prisoner's case should be referred to the
Scottish Prison Service.
30. There is, of course, nothing to
prevent HMCIP or any member of the inspection team from
gathering oral evidence from prisoners during a normal
inspection or special investigation or from prisoners
freely volunteering such points of view, provided the
caveat expressed above is observed.
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Correspondence with Members of Parliament (Scottish,
UKand European), Members of the Public and External
Organisations
31. HMCIP will normally refer to SPS
any correspondence which deals with prison service
administration. Correspondence on issues surrounding
individual cases will be dealt with by the Scottish Prison
Complaints Commissioner. When HMCIP does engage in
correspondence in relation to prison conditions or the
treatment of prisoners he will do so on the basis of
judgements reached after inspection.
32. Any correspondence from MSPs, MPs
or MEPs will be answered by Ministers in the usual way.
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Criticism of Staff
33. HMCIP may from time to time find
it necessary to comment critically on the running of an
establishment or on the handling of an incident. The
process by which the Chief Inspector reaches such a
conclusion will be a matter for his own judgement.
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Right of Reply
34. Personal criticism of named
individuals should not normally appear in a published
report. However, criticism of an establishment or of a
service within an establishment may sometimes be taken
personally and it will usually be clear to those who know
the establishment that a particular individual has some
responsibility for the shortcomings criticised. The
individual concerned will normally have had an opportunity
to discuss and refute any unfair criticism, but
nevertheless the individual may want to justify or defend a
position after the report has been published. It would be
open to the individual to express views orally or in
writing to the Chief Executive of the Scottish Prison
Service and/or HMCIP and it would also be open to the
appropriate staff association to make a public statement on
behalf of the individual.
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Liaison with Scottish Prison Service
35. SPS will supply information as
asked by HMCIP unless there are security reasons for
withholding it. The Inspectorate will keep abreast of
developments in SPS policy and stay informed of current
issues affecting the Service. SPS Annual Reports, Business
Plans, Occasional Paper Research Series Reports, policy
statements and relevant communications issued to
establishments will be forwarded to HMCIP as a matter of
routine.
36. Regular formal contact should be
maintained between HMCIP and SPS. In addition to this
contact, SPS will nominate a dedicated liaison officer at
Senior Management level who will act as a focal point and
co-ordinating link for dialogue between the two
agencies.
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Utilisation of Research Evidence
37. SPS Research has a Service Level
Agreement with HMCIP for the delivery of research based
evidence which can inform the inspection process.
Successive annual Prison Survey results will be made
available to HMCIP to enable the inspection team to focus
on particular issues of interest or concern raised in a
given establishment at the time of survey. Specific
substantive research reports published as part of the SPS
Occasional Paper Research Series will also be forwarded to
HMCIP for information.
38. To support the inspection process
SPS Research will also provide, as resources permit, an
ad hoc service to supply and/or analyse further
existing survey data as required.
39. Should HMCIP wish to initiate
primary pre-inspection surveys, a member of the
Inspectorate should notify in advance SPS Research
regarding the content and timing of its conduct. This is to
avoid duplication of effort and research overload, since
both original research projects and routine data gathering
for research and policy purposes are widespread across the
estate.
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Review of the Guidance
40. This Guidance should be reviewed
every five years or as necessary.
14 July 2004
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