Inspecting and Monitoring: Standard 4: Effective, Courteous and Humane Exercise of Authority
ISBN 978 1 78851 723 2
PPDAS 344066
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Contents
Introduction To Standard 4: Effective, Courteous And Humane Exercise Of Authority
Protected Characteristics Must Be Considered And Referenced Throughout
Introduction To Standard 4: Effective, Courteous And Humane Exercise Of Authority
Questions which may be helpful in monitoring and inspecting the PANEL principles:
| P |
Participation:
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| A |
Accountability:
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| N | Non-discrimination and equality:
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| E |
Empowerment:
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| L | Legality:
HMIPS expect that all approaches to Effective, Courteous and Humane Exercise of Authority are grounded in human rights law and in conformity with the Scottish Prison Rules. This standard is underpinned by the Prohibition of Torture, Inhuman or Degrading Treatment or Punishment (Article 3 ECHR) which is relevant to the Quality Indicators concerned with the use of force, physical restraints, the segregation of prisoners and searching of the prisoner. Other rights include the Right to a Fair Trial (Article 6 ECHR) relevant to the operation of the disciplinary system and the Right to Family and Private Life (Article 8 ECHR) which relates to cell searches and access to personal property and cash. |
Protected Characteristics Must Be Considered And Referenced Throughout
The prison performs the duties both to protect the public by detaining prisoners in custody and to respect the individual circumstances of each prisoner by maintaining order effectively, with courtesy and humanity
The prison ensures that the thorough implementation of security and supervisory duties is balanced by courteous and humane treatment of prisoners and visitors to the prison. Procedures relating to perimeter, entry and exit security, and the personal safety, searching, supervision and escorting of prisoners are implemented effectively. The level of security and supervision
is not excessive.
Quality Indicators (QI)
4.3 he prison disciplinary system is used appropriately and in accordance with the law.
4.5 The law concerning the searching of prisoners and their property is implemented thoroughly.
4.1 Force or physical restraints are only used when necessary and strictly in accordance with the law.
Features
- Proportionate use of force
- Thorough paperwork
- Review and monitoring of incidences
- Staff understanding of procedure
Specification
The use of force or restraint is always proportionate to the risk posed and is no more than necessary for the situation.
In the event of a planned or unplanned use of force or restraint, the procedure is followed meticulously and all accompanying paperwork is filled out to a high standard.
A review of incidences involving use of force or restraint is regularly undertaken to observe and analyse any trends that may be appearing. The prison is proactive in combating concerns raised by their analysis.
Management are able to talk through the incidences of the use of force or restraint documented.
4.2 Powers to confine prisoners to their cell, to segregate them or limit their opportunities to associate with others are exercised appropriately, and their management is effected with humanity and in accordance with the law. The focus is on reintegration as well as the continuing need for access to regime and social contact.
Features
- Robust rationale for formal isolation
- Recognition and identification of informal and self-isolation
- Continuous monitoring and review of all isolation
Specification
This QI requires the examination of both formal and informal isolation of prisoners.
In situations of formal isolation (according to a Rule) the correct procedure has been followed and the paperwork completed with review dates in place.
Any restriction in place is proportionate and assessed as strictly necessary with all factors considered. Multi-disciplinary input is sought for assessing the reintegration needs of the prisoner and the prisoner participates in the development of their individualised plan which is based upon the prisoner’s individual needs and requirements. Inter-prison co-operation occurs where necessary.
Where the prisoner requires support to participate in the development of their plan, the prison identifies this and assists the prisoner where necessary.
The prison establishment is aware of incidences of informal isolation and gathers information on the prisoners or population groups involved, any information about specific times or days the isolation is occurring and whether it occurs in any specific location.
Any situation of informal isolation is investigated and initiative is taken to tackle its occurrence in any way possible. The steps to be taken are recorded and reviewed regularly to ensure their efficacy. Trends are identified and analysed by the prison.
Where there is evidence of self-isolation by prisoners, a record is kept which clearly articulates the causes for this, the steps taken to assist the prisoner and a plan is established which focuses on reintegrating the prisoner back into prison life, based on their individual needs and requirements.
4.3 The prison disciplinary system is used appropriately and in accordance with the law.
Features
- Emphasis on care element
- Prisoner understanding of offence and process
- Provision of assistance where necessary
- Staff involvement
Specification
There is an emphasis on the care element of the Orderly Room process. One-to-one time with the prisoner is maximised and staff are able to provide input for the benefit of the prisoner. This includes the environment in the Orderly Room itself.
The prisoner involved understands the disciplinary system and where extra assistance is required to enable the prisoner to understand, the prison is proactive in providing it. This extra support may include, but is not exclusive to, foreign language translation, further time taken to explain, large print documentation or advocacy.
Information as to the offence committed and the process undertaken is provided to the prisoner in advance, and the prisoner is assisted to understand the documentation where necessary. Prisoners are also aware of their entitlements including calling witnesses and receiving legal assistance. The paperwork is completed correctly and the Orderly Room guidance is available for all prisoners to access. A process for challenging a decision made exists and prisoners are able to challenge a limitation against them or appeal for a second opinion where they feel they have been unduly restricted.
Time is allowed for questions and concerns to be raised by the prisoner. Mitigating circumstances are considered by the prison staff before the final decision is made and sanctions are applied.
4.4 Powers to impose enhanced security measures on a prisoner are exercised appropriately and in accordance with the law.
Features
- Special Security Measures (SSMs) are proportionate and applied fairly
- Prisoner understanding of measures and entitlements
- Provision of support where necessary
Specification
This QI applies specifically to SSMs.
The correct procedure is followed and paperwork is recorded accurately with clear explanations of the reasons why certain measures have been applied. These reasons are understood by staff and the prisoner involved.
Prisoners understand the measures applied to them. They know that they are permitted to represent themselves at stages during the process and are supported to do so by the prison.
Where extra assistance is required for the prisoner to understand the SSM itself or the reasons for its application, the prison provides this. Assistance may include foreign language translation, large print documentation or further time taken to explain verbally.
Staff are regularly updated on the security restrictions of prisoners in their area.
4.5 The law concerning the searching of prisoners and their property is implemented thoroughly.
Features
- Searches follow procedures
- Protection of human dignity
Specification
When searching the prisoner or their cell, human dignity is absolutely maintained at all times. All searches are carried out in strict conformity with the Prison Rules and other relevant legislation.
For instance, the prisoner must never be fully naked at any time, and cell searches occur with the prisoner and property card present unless in exceptional circumstances. The cell is not left in an overturned state once the search is completed.
4.6 Prisoners’ personal property and cash are recorded and, where appropriate, stored. The systems for regulating prisoners’ access to their own money and property allow for the exercise of personal choice.
Features
- All prisoners receive access to property
- Appropriate recording and storage of property
- Compensation available for loss or mishandling
Specification
Both staff and prisoners are aware of what is allowed to be kept in the prisoners’ cell, what must be stored and what is classed as a valuable possession.
The Standard Operating Procedure (SOP) for access to property was created with input from prisoners, and is robust and exercised appropriately. The rules are clearly and fairly applied to ensure all prisoners are able to access their property in accordance with the SOP. This includes the proforma system for property received from outside of the prison.
Any prisoners who face barriers in accessing their property are assisted by the prison to gain access. The prison is proactive in assessing potential barriers and mitigating them or removing them where possible.
The storage facilities are appropriate for the property stored, for example, valuable property is stored properly with safeguards. Facilities are adequate for storing the amount of property required.
The recording of property is well completed and there is a compensation system in place in the event of mishandling of property or loss.
4.7 The risk assessment procedure for any prisoner leaving the prison under escort is thorough and implemented appropriately. Any restraint imposed upon the prisoner is the minimum required for the risk presented.
Features
- Comprehensive risk assessments
- Minimum restraint imposed
- Compassionate leave is permitted
Specification
This does not include risk assessment relating to release, prison leave or Risk Management Team. It includes hospitalisation, attending funerals and escorts generally (either planned or emergency).
The risk assessment procedure is individualised for the person involved and takes into consideration their needs.
The full range of risk is assessed, including the risks presented by the prisoner and potential risks from others against the prisoner.
Risk assessments for frequently used local locations are available but regularly reviewed, monitored and updated.
Any restraint used is the minimum required for the risk posed both on transfer and when at the destination. Maintaining human dignity is a paramount consideration, particularly where there are compassionate grounds.
4.8 The law concerning the testing of prisoners for alcohol and controlled drugs is implemented thoroughly.
Features
- Targeted intelligence driven approach
- Analysis of trends and data
- Consistency of approach
Specification
Alcohol testing occurs when there is a reasonable suspicion. The procedure in place is followed correctly and the accompanying paperwork is filled out properly.
Drug testing occurs on a risk and intelligence informed basis or as directed by SPS HQ. Results are analysed to understand where the drugs are coming from, locations they appear in the prison and the reasons for this.
The prison is vigilant in tackling any instance of discriminatory practice.
The manner in which testing is carried out is consistent across all population groups, and staff involved are ideally not from the prisoner’s residential area. The process is as discreet as possible within the required security procedures.
4.9 The systems and procedures for monitoring, supervising and tracking the movements and activities of prisoners inside the prison are implemented effectively and thoroughly.
Features
- Established and well understood process
- Staff understanding
- Mechanism for post-incident review
Specification
There are clearly defined procedures in place for key activities, for example the route movement, time in the open air, recreation and visits.
There is a senior staff member responsible for the operation of a specific procedure.
Procedures in the SOPs are followed on the ground as detailed and expected.
Technology available is used to its full potential but staff are able to complement the procedures by using their own developed skills.
4.10 The procedures for monitoring the prison perimeter, activity through the vehicle gate and for searching of buildings and grounds are effective.
Features
- Structured and systematic approach
- Equipment operated and maintained
- Staff awareness
Specification
There is a structured and systematic approach to physical security that clearly identifies risk and responds to it effectively.
This includes the access of people, mail, goods and vehicles to the prison.
In dealing with all people who come to the prison with regard to delivering goods for prisoners or the prison generally, prison staff always behave in a humane and professional manner.
Staff understand their roles in terms of the systematic approach to security, and if this changes for any reason, this is communicated to them.
| QI Additional Legal Standards | Section |
| 4.1 CoE Recommendation on Juvenile Offenders Subject to Sanctions or Measures 2008 CoE Recommendation on the Code of Ethics for Prison Staff 2012 Code of Conduct for Law Enforcement Officials 1979 Basic Principles on the Use of Force and Firearms by Law Enforcement Officials 1990 CoE Guidelines Regarding Radicalisation and Violent Extremism 2016 |
Section 90.1-91.3
Section 16; 18 Article 3 Principle 4; 5; 15 Section 10 |
| 4.2 CoE Recommendation on Juvenile Offenders Subject to Sanctions or Measures 2008 CoE Recommendation on the Management by Prison Administrations Basic Principles for the Treatment of Prisoners 1990 Scottish Prison Rules (Cellular Confinement) Direction 2011 |
Section 91.4; 93.1; 93.2 95.3; 95.4
Section 19(c); 26 Principle 7 As a whole |
| 4.3 CoE Recommendation on Juvenile Offenders Subject to Sanctions or Measures 2008 CoE Recommendation Concerning Foreign Prisoners 2012 Body of Principles for the Protection of All Persons under Any Form CoE Recommendation on Prison Leave 1982 CoE Recommendation on the Use of Remand in Custody 2006 Scottish Prison Rules (Disciplinary Appeals) (No 2) Direction 2013 |
Section 94.2; 94.4; 95.1; 95.6
Section 21.5 Principle 30 Section 8 Section 41; 42 As a whole |
| 4.4 CoE Guidelines Regarding Radicalisation and Violent Extremism 2016 Scottish Prison Rules (Special Security Measures) Direction 2011 |
Section 21
As a whole |
| 4.5 CoE Recommendation on Juvenile Offenders Subject to Sanctions or Measures 2008 Scottish Prison Rules (Storage of Property) Direction 2016 |
Section 89.1-89.4
As a whole |
| 4.6 CoE Recommendation on Juvenile Offenders Subject to Sanctions or Measures 2008 CoE Recommendation on the Code of Ethics for Prison Staff 2012 |
62.2(d)
Section 17 |
| 4.7 CoE Recommendation Concerning Dangerous Offenders 2014 CoE Recommendation on Prison Leave 1982 CoE Recommendation on the Management by Prison Administrations CoE Recommendation on Juvenile Offenders Subject to Sanctions Scottish Prison Rules (Escorted Day Release) Direction 2011 Scottish Prison Rules (Special Escorted Leave) Direction 2016 |
Section 33
Section 1-3 Section 23(b) Section 86.1 As a whole As a whole |
| 4.8 No additional rules | |
| 4.9 No additional rules | |
| 4.10 No additional rules |