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Annual Report & Accounts 2001-02 committed to correctional committed excellence to correctional committed committed to cor
Scottish Prison Service Annual Report & Accounts 2001-02
Presented to the Scottish Parliament in pursuance of the Prisons (Scotland) Act 1989
Laid before the Scottish Parliament by the Scottish Ministers
11 July 2002
SE/2002/178 Edinburgh: The Stationery Office £13.80 PreviousPrevious ReportsReports
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ISBN 0 10 888071 0
2 Scottish Prison Service Annual Report & Accounts 2001-02 ContentsContents
Vision and Mission Statement 4 The Scottish Prison Service Board 5 Foreword 6 SPS Key Results 7 Leaders in Prison Correctional Work 10 Highest Standards of Service 22 Scottish Prisons’ Staff 24 An Estate Fit for Purpose 28 Value for Money 30 A year in the Scottish Prison Service 32
AppendicesAppendices
1. Location of Establishments 34 2. Establishments: Population, 2001-02 35 3. Average Daily Population in Establishments 36 4. Receptions to Penal Establishments 36 5. Escapes and Absconds from Custody 37 6. Prison Discipline: Offences and Punishments 38 7. Prison Industries 39 8. Staff Numbers and Recruitment 40 9. Staff Training 41 10. Parliamentary Accountability 42 11. Accounts 43
Scottish Prison Service Annual Report & Accounts 2001-02 3 SPSSPS Vision Vision
Correctional Excellence e will be recognised as the leader in prisons’ correctional work which W helps reduce recidivism and thereby offers value for money for the taxpayer. Mission We will maintain secure custody and good order; and we will care for prisoners with humanity and provide them with appropriate opportunities. Action We will aim to ensure that: • Scotland’s prisons can fairly be viewed as the leaders in correctional services, delivering effective prisoner opportunities which help reduce recidivism; • the prison estate is fit for the 21st century; • Scotland’s prisons are acknowledged as providing the highest standards of service delivery across their full range of activities; • Scottish prisons’ staff will be respected by the nation for their professionalism, their wide range of skills and the difficult job they do on behalf of society; and • in the necessary pursuit of demonstrating value for money to the taxpayer, public sector costs will be competitive. Values The values of the Scottish Prison Service are: • integrity, frankness, and honesty in dealing with people; • fairness and justice, respecting the needs and rights of prisoners and staff; • mutual support, encouraging teamwork and commitment; • caring for the safety and wellbeing of prisoners and staff; and • openness about our aspirations, our successes and our failures, coupled with the willingness to learn.
A total of £5 million is spent on SPS staff training and over 1000 recruits have achieved the now-mandatory fact Scottish Vocational Qualification in custodial care.
4 Scottish Prison Service Annual Report & Accounts 2001-02 TheThe ScottishScottish Prison Service Board pri
TONY CAMERON Chief Executive
BARBARA ALLISON ALEC SPENCER PETER RUSSELL WILLIE PRETSWELL Director of Strategy Director of Rehabilitation Director of Director of Finance & Business Performance & Care Human Resources and Business Systems May 2001 May 2001
PETER WITHERS MIKE DUFFY JOHN MCNEILL Operations Director, Operations Director, Acting Director of North and East South and West Rehabilitation & Care To end April 2001
CHRISTINE CARLIN MALCOLM WISHART ALISDAIR MACINTYRE JOHN DURNO Director, Estates Review Non-Executive Director Non-Executive Director Director of Strategy & Business Performance Retired end April 2001
Scottish Prison Service Annual Report & Accounts 2001-02 5 ForewordForeword
uring the last 12 months, the Scottish Prison Service has had to respond to a variety of challenges, not least of which has been the continuing growth in the D number of people imprisoned in Scotland. 2001-2002 saw record numbers of people incarcerated in Scotland’s prisons, adding to the considerable pressure already on the facilities available and underlining the necessity for further investment in additional accommodation.
An analysis of the figures of prisoners in Scotland’s prisons provides very interesting reading. Whilst the number of prisoners on remand has risen considerably for adults, and slightly for young offenders, there has been virtually no growth in the number of short-term prisoners over the last 5 years, either for adults, or in terms of young offenders, where the number has actually declined. The main area of growth in the prison population has been long-term adult prisoners, where increases towards 15% have been seen.
2001-2002 also saw the launch by the Scottish Executive of their consultation exercise into the prison Estates Review. The rationale of the Estates Review was to provide “an estate fit for purpose in the 21st century”. The consultation period was still underway as the year ended.
SPS has continued to develop our correctional agenda and work has begun which will allow us to have information systems in place to accurately measure the success of our interventions in challenging offending behaviour. “We achieved As you will see from the section on key performance results, 2001-2002 was a or bettered good year. We achieved or bettered 9 of our targets. When set against record prisoner 9 of our numbers, this was no mean feat and I congratulate staff at all levels and our partners for their efforts. As was mentioned in last year’s report, the Justice Minister had targets. introduced additional targets focusing on the delivery of our Vision for Correctional When set Excellence. These additions to the key performance indicators included delivery and against record completion of programmes aimed at ending offending behaviour and the percentage of those programmes which received full accreditation. In addition, we were required prisoner to achieve targets in terms of prisoner education and the number of learning hours numbers, this delivered to prisoners. It is a source of some considerable satisfaction that we have achieved or bettered these targets in 2001-2002. was no mean feat and I 2001 also saw the Justice Minister’s reception in Edinburgh Castle in recognition of the achievements of SPS staff. Over 150guests attended the reception held in congratulate Edinburgh Castle in October 2001. I was delighted that the Minister decided to honour staff at all the commitment and courage of our staff in this way. I hope this is an event that will levels” be repeated in future years. TONY CAMERON As I have said in previous reports, the SPS has set itself a series of ambitious Chief Executive targets for making a real contribution to reducing re-offending and playing its full part in making Scotland a safer place for all of us. I believe strongly that we can make a real difference and assure you of the continued efforts of the Scottish Prison Service to tackle offending behaviour, to build on best practice and rise to the challenges that confront us.
TONY CAMERON Chief Executive
6 Scottish Prison Service Annual Report & Accounts 2001-02 SPS KeySPS Key Results:Results : Performance against Ministerial Targets
s an Executive Agency of the Scottish Executive, the Justice Minister sets the Scottish Prison Service key performance targets. These have normally been A set for one year ahead only, but next year nearly all our targets have helpfully been extended to cover a three-year period to 2004-5.
Targets set are designed to measure the economy, efficiency and effectiveness of the SPS in delivering its business. These key results reflect our contribution to the delivery of Scottish Executive policies and commitments.
Thus we aim to make a significant contribution to a safer Scotland by helping to reduce crime and consequently the fear of crime. To achieve this we are required to maintain secure custody and good order within each prison, to provide proper standards of care for prisoners and to provide challenging opportunities and interventions, aimed at reducing offending behaviour. Additionally we need to work with our partners in supporting health, social justice and inclusion priorities that will help prisoners to reintegrate successfully within the community on release. Finally, like all Agencies, we are required to ensure the provision of a modern public service, delivering proper standards of service, continual improvement and value for money.
Our performance overall in 2001-2002 was good. We achieved or bettered 9 of our targets. This was a significant achievement set against the rise in prisoner numbers during the year. The average daily population of 6138 was 1% higher than our previous peak numbers in 1997 and 4.6% higher than 2000-2001.
The SPS over the years, has had an excellent custodial record and our performance in this reporting year has continued to provide public assurance regarding the security of our prisons. The number of escapes was well below target and none of the incidents were from within the secure perimeter of a prison.
The number of serious assaults are used as a measure of good order and safety within our prisons. In 2000-2001 we experienced an unprecedented reduction in the number of serious prisoner on prisoner assaults. Accordingly the target for this year was set at an equally challenging level. Unfortunately the number of prisoner on prisoner assaults rose again and consequently we breached our target for 2001-2002. That said the figure remained below those in the years prior to the significant downturn in 2000-2001. The target for the number of serious assaults on staff was bettered, a welcome result that continued the positive trend of the last five The Scottish Prison Service SPS has the capacity for around 6,000 years. Reducing the numbers of serious assaults on prisoners who are housed in a staff and prisoners remains a priority for the SPS, fact wide range of cells. however, high and rising prisoner numbers make these targets particularly challenging.
For this year the Justice Minister introduced additional targets focussing on the delivery of our correctional agenda. These additions included the delivery and completion of programmes aimed at ending offending behaviour, with a targeted percentage of these programmes being accredited (i.e. quality controlled) and a measure of prisoner education (prisoner learning hours delivered). We are pleased to report that our performance was excellent against both these measures with the targets for delivery, being significantly bettered. The delivery of programmes that reduce offending behaviour and the provision of opportunities for prisoners to develop new educational, employment and life skills are central to the correctional agenda. These results are evidence of our commitment to our Vision and provide a stable platform for developing a wider menu of interventions and new methods of measuring of the effectiveness of our work with prisoners.
Scottish Prison Service Annual Report & Accounts 2001-02 7 SPS KeySPS Key Results: Results Performance against Ministerial Targets (continued)
In support of the Scottish Executive’s commitment to tackling drug abuse a further measure was introduced last year recording the percentage of prisoners clear of in- prison drug misuse. Regrettably we have to report that our results showed that we achieved an 83% clear figure against a target of 85%. What we also observed however, was a rise in the proportion of prisoners testing positive for drugs on entry to prison. We estimate that around 85% of over 30,000 prisoners admitted into our prisons last year, had been using illegal drugs prior to reception. We managed that into 83% clear after the effects of drug taking in the community were discounted. As in the community, drugs remain a significant challenge within prison. This will continue to be a demanding target that will require us to balance improved security measures with the provision of real opportunities for prisoners to change their drug taking behaviour, improve their health and to live in supportive, drug free environments. Recent developments, including the introduction of improved assessment and throughcare arrangements, will help us to achieve this target.
The provision of a prison estate fit for purpose Healthcare is allocated £8.5 million and the ending of the practice of “slopping out” SPS in the SPS each year. This covers remain high priorities for the Service. During the such initiatives as giving all year we achieved our target of 78% of available fact prisoners the opportunity to be prisoner places having access to night sanitation. immunised against hepatitis B. This was achieved through the completion of a number of refurbishment exercises.
Finally the average cost per prisoner place was well within target. The target set included a supplementary investment target to make savings of up to £12.5 million in current expenditure in order to fund the building of houseblocks and to improve the SPS Estate. This was also achieved.
Overall this has been a successful year for the SPS. Next year our performance targets will be set over a three-year period. The format of the table will change to reflect changes to targets made by the Justice Minister. These include changes to the escapes targets to embrace the new prisoner supervision system and the inclusion of shorter prisoner interventions known as Approved Activities within the programmes target. This will enable us to account for our work with short-term prisoners. These targets will be published in the SPS Business Plan 2002-2003.
Reducing reoffending is a key aim of any prison service. Delivering on targets set will contribute toward that outcome. However reoffending is the product of a range of complex factors, many of which are beyond the control or influence of any prison service. Understanding the impact of prison and specifically the success of our interventions in reducing offending behaviour is however, fundamental to the delivery of an efficient prison service that makes a real contribution to public safety. Accordingly we have published two Research Bulletins that examined the return to custody figures for 1997 and 1998 (based upon those released in each year and returned to custody within 2 years). This research suggested that under half of our prisoners returned to custody within two years. The respective percentage rates of return to custody for 1997 and 1998 were 46% and 48%. A further Bulletin covering 1999 will be issued shortly. Further research will be conducted on the measurement of returns to custody and reoffending during the course of the year.
8 Scottish Prison Service Annual Report & Accounts 2001-02 : PerformancePerformance against a g Key Ministerial Targets
1998-99 1999-00 2000-01 2001-02 The Number of Escapes1
Category A prisoners Target 0 0 0 0 Outturn 0 0 0 0
Category B prisoners Target 1.7 per 1000 1.4 per 1000 1.1 per 1000 0.9 per 1000 cat Bs cat Bs cat Bs cat Bs = 6 = 5 = 4 = 3 Outturn 2 2 1 1
Category C prisoners Target 5.2 per 1000 4.5 per 1000 3.4 per 1000 2.9 per 1000 cat Cs cat Cs cat Cs cat Cs = 10 = 8 = 6 = 5 Outturn 0 3 0 2
The number of serious Target 3 per 1000 2.8 per 1000 2.7 per 1000 2.7 per 1000 assaults on staff2 = 14 = 15 = 143 = 13 Outturn 17 13 14 12
The number of serious Target <108 <129 <15 per 1000 <10 per 1000 assaults on prisoners2 = 91 = 56 Outturn 129 91 69 85
x programmes will be delivered of Target 850 850 700 (50%) which y% will be fully accredited5 Outturn 7974 890 773 871 (64%)
Education. Number of Target - - - 250,000 prisoner learning hours6 Outturn 7 7 225,000 307,222
% of available prisoner places Target 71 76 76 78 with access to night sanitation Outturn 71 75 76 78
Of those tested under random MDT Target - - - 85 procedures x % will be clear of in- Outturn 82 85 85 83 prison drug use8
Average annual cost per prisoner Target 27,904 28,761 29,500 32,600 place 9&10 Cash Outturn 26,912 28,375 28,114 Resource Outturn 28,240 30,172
Number of injuries reportable to Target 124 100 the Health and Safety Executive Outturn 131 112 136 173
1Category ‘A’: prisoners who would place national security at risk, or be highly dangerous to the public, or to prison staff and their families, or to the police in the event of an escape and who must be kept in conditions of maximum security. Category ‘B’: prisoners who are considered likely to be a danger to the public and who must be kept in secure conditions to prevent their escape. Category ‘C’: prisoners who are considered unlikely to be a danger to the public and who can be given the opportunity to serve their sentence with the minimum of restrictions. An escape is defined as having taken place when a prisoner breaches a perimeter security barrier or evades a secure escort. Up to and including 2000-2001 the targets for category B and C escapes were set on the basis of the whole prisoner population: with effect for 2001-2002 these targets relate to each 1000 prisoners who are in the relevant security category. 2A serious assault is defined as when the victim has sustained an injury resulting in detention in hospital as an in-patient, or any of the following injuries, whether or not the victim was detained in hospital: fractures, concussion, internal injuries, crushings, severe cuts or lacerations, severe bruising, scaulds or burns, or severe general shock requiring medical treatment. 3At current staff levels target becomes 13. 4Total for cognitive skills and sex offending programmes only. 5Percentage of programmes to be accredited was not part of the target before 2001-2002. 6New target, key element in the correctional agenda. 7Figures not available – previously based on teaching hours. 8New target, showing our commitment to address the issue of drug abuse. 9Up to £12.5m will be directed into capital investment for 2001-2002 (£12.5m target achieved). 102001-2002 saw the introduction of Resource Budgeting. Targets and outturn are shown on this basis from that point and a prior year resource outturn for 2000-2001 has been shown as a comparator.
Scottish Prison Service Annual Report & Accounts 2001-02 9 LeadersLeaders in Prison Correctionalin Priso Work
e will be recognised as the leader in prisons’ correctional work which helps W reduce recidivism and thereby offers value for money to the taxpayer. Correctional Excellence is outstanding prison practice in protecting the public and reducing the risk of reoffending. It is about continually improving performance, achieving the highest standards of service delivery and evidencing the exceptional added value of the work we do. We need to satisfy the public and other stakeholders that our service makes a real difference and that it provides real value for money.
The fulfilment of our Vision of Correctional Excellence will be dependent upon our ability to reliably deliver and improve our performance against the first three elements of our mission: custody, order and care. Failure to deliver these will not only make the pursuit of excellence illusory but will prevent us from providing meaningful and challenging opportunities for prisoners to exercise responsibility, acquire new skills and to reintegrate successfully into the community on release. Correctional Excellence is about measuring our performance against the delivery of all these elements. Each of our 5 Directorates, 16 Prison Establishments, SPS College and Central Stores have a significant contribution to make to the delivery our Vision. The Correctional Agenda cotland’s prisons can fairly be viewed as the leaders in correctional services, delivering effective prisoner opportunities which will help reduce recidivism. “Improving S The Scottish Executive has set out an inclusive agenda for criminal justice performance, which sets out to tackle the twin challenges of crime: achieving the • Providing and promoting effective ways of dealing with those that commit crime; and highest • Tackling economic, educational and social factors that create the standards of environment in which crime flourishes. service, delivery The SPS has a central role to play in contributing to the successful delivery of this and evidencing agenda however this will only be achieved by engaging in constructive partnerships the exceptional with other agencies and the community. In delivering the correctional agenda we aim to: added value of the work we do” • Work with partners to maintain and include the offender in the community; (INCLUSION) ALEC SPENCER • Motivate prisoners to develop their skills and to effectively achieve and Director of Rehabilitation & Care sustain positive changes in their behaviour; (OPPORTUNITY) • Maintain a safe, secure and caring environment; (CUSTODY, ORDER, CARE) and • Deliver results that show the value of our work.
Custody and Order The SPS aims to keep in custody those committed by the courts and to maintain good order in each prison.
The average cell is seven SPS feet by 10 feet and can accommodate up to fact three prisoners.
10 Scottish Prison Service Annual Report & Accounts 2001-02 n Correctional W
Keeping prisoners in safe and secure custody must be the first priority of any prison service. The SPS is therefore committed to minimising the number of prisoners who escape and to continually improve on standards of security, safety and good order. Central to this is the work of Operations Directorate.
Operations Directorate The Directorate provides the SPS Board and establishments with a service of operational support, general procedural guidance, including the development of corporate contingency plans and the delivery of operational competence frameworks, which facilitate effective incident responses. It also provides an efficient line management service to establishments, along with operational and procedural advice to other Directorates. The Directorate provides a responsive administration service through which the SPS interacts with Ministers, statutory bodies, criminal justice agencies and other prison jurisdictions on operational and individual prisoner casework matters.
Key objectives and improvements in 2001-02 • Work commenced on the development of Local Security Manuals for each prison. We are on target to have such documents in all establishments during 2002. • The year saw the launch of an Intelligence Management Software Project which has a planned completion date of November 2003. • A new Prisoner Supervision System, specifically designed to assist the effective management of prisoners and to enhance public safety was developed during the year and implemented on 1 April 2002. • An access database was created to manage effectively the implementation of the Convention Rights (Compliance) (Scotland) Act 2001. • We developed new arrangements for liaising between Parole and Life Sentence Review Division of the Justice Department, Operations Directorate and establishments, which facilitates meaningful partnership working. • We increased by 100% our number of drug dogs in December 2001. • We reviewed our Operating Standards to create a better performance management tool.
Scottish Prison Service Annual Report & Accounts 2001-02 11 LeadersLeaders in Prison Correctionalin Priso Work (continued)
SPS Establishments Operations Directorate provide this support for our 15 prison establishments in Scotland and the one in the Netherlands, each of which plays a crucial role in the delivery of the correctional agenda.
HM Prison Aberdeen Aberdeen is the local prison serving the North East of Scotland and the Northern Isles. PETER WITHERS It accommodates remand prisoners, persons awaiting deportation and male adults Operations Director, serving sentences of up to 4 years and female adults serving sentences of up to 2 North and East years. Female prisoners are housed in separate accommodation – adult females sentenced to less than 6 months stay in Aberdeen, whilst those serving between 6 months and 2 years have the option to transfer to Cornton Vale. Other prisoners outwith these classifications received from court are housed and prepared for transfer to appropriate establishments, although some prisoners are held out of classification where this meets the operational needs of the SPS.
Developments and significant events: • The establishment continued to operate effectively despite the effects of increased overcrowding; • New electronic control room and fire alarm system commissioned which will MIKE DUFFY enhance the overall security of the prison. New female supervision cell Operations Director, completed; and South and West • Visit from the Moderator of the Church of Scotland and the Bishop of Aberdeen.
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HM Prison Barlinnie Barlinnie receives all male prisoners from the courts in the West of Scotland. It retains adult remand prisoners, and prisoners serving less than 4 years for the duration of their sentence. It allocates suitable prisoners from its convicted population to a range of lower security prisons, and manages prisoners serving sentences of 4 years or more in the initial phases of their sentence, until places become available for them in the long-term prisoner system.
Developments and significant events: • The establishment continued to operate effectively despite the effects of increased overcrowding; • ‘B’ Hall opened after refurbishment, which included integral sanitation and electric power in cells; • In conjunction with APEX the Rough Sleepers Initiative, funded through the New Deal Innovation Fund and Employment Services, was launched formally by the Deputy Justice Minister Dr Richard Simpson; and • The First Minister Jack McConnell visited the establishment.
HM Prison Castle Huntly Castle Huntly is an open prison providing accommodation for low supervision male adults, serving sentences from 18 months to life. Those convicted of all types of offence other than those of a sexual nature are considered for acceptance.
Developments and significant events: • Governor Moira McAlpine retired and new Governor Ian Whitehead appointed as Governor in charge of both Castle Huntly and Noranside; • HMCIP carried out a full establishment inspection in November 2001; and • The establishment, in conjunction with HMP Noranside, hosted a charity event for children from Chernobyl.
HM Prison and Young Offenders Institution Cornton Vale Cornton Vale provides custodial facilities and services for remanded and convicted females (including young offenders) in all sentence ranges and supervision levels.
Developments and significant events: • The establishment continued to operate effectively despite the effects of increased overcrowding; • A charity Christmas event raised £2,500 and involved both prisoners and staff, with local charities benefiting; • The Multicultural Group hosted a very successful lunch as a celebration of diversity. Each of the cultural groups produced representative foods. The recipes were collated into a book which was recognised by the Koestler Award Scheme; • Skye House was refurbished in November 2001 and all rooms have in-cell electric power TV point and access to night sanitation. The accommodation is used specifically for young offenders; and • Official visits included the Deputy First SPS Approximately 85 per cent of Minister and Minister for Justice, Jim prisoners test positive for drugs Wallace on 18th January 2002. when they are tested on fact admission to prison. Delegations from Sweden, Israel and Turkey also visited Cornton Vale.
Scottish Prison Service Annual Report & Accounts 2001-02 13 LeadersLeaders in Prison Correctionalin Priso Work (continued)
HM Prison and Young Offenders Institution Dumfries Dumfries Prison serves the courts of Dumfries and Galloway. It holds male and female prisoners (segregated) who are remanded in custody for trial and those convicted awaiting sentence. Female prisoners from the Dumfries catchment area sentenced to 6 months or less remain at Dumfries, while those serving over 6 months and up to 2 years have the option of staying at Dumfries or moving to Cornton Vale.
Dumfries Young Offenders Institution also provides secure accommodation for long-term young offenders.
Developments and significant events: • HRH the Princess Royal, in her capacity as Patron of the Butler Trust, visited the establishment on 21st March 2002; • The ‘Prison! Me! No Way!’ Team organised a Crime and Safety Awareness Day, the first in Scotland, at a local High School in May 2001. This involved a multi-agency approach to crime and its consequences. As a result of the success three similar events are planned for next year; • A multi-agency approach has also been adopted in delivering risk and needs assessment including Employment Services, Cranstoun Drug Services and Local Housing Liaison; and • Refurbishment work in C Hall has resulted in the creation of a dedicated Chaplaincy area. Windows in D Hall, C Hall and the Female Unit have been replaced.
HM Prison Edinburgh Edinburgh serves the Sheriffdom of Lothian and Borders and also courts in part of Fife. It holds adult male and under 21 prisoners who are untried, convicted but awaiting sentence, and those serving up to 4 years. It also provides national facilities in Pentland Hall and in a Training for Freedom hostel for prisoners at the top end of the long-term system.
Developments and significant events: • The establishment continued to operate effectively despite the effects of increased overcrowding; • The establishment was awarded Scotland’s Health at Work ‘SHAW’ Bronze Award as recognition of the work in supporting staff health awareness; • The Throughcare Centre team’s work was rewarded with a Butler Trust Certificate which was presented by HRH the Princess Royal at Buckingham Palace in March 2002. The centre provides in partnership with external agencies services including employment, literacy programmes, housing, drugs and alcohol advice; and • Enabling work for a new 224 place house block commenced in April 2002, with a target completion date of July 2003.
HM Prison and Young Offenders Institution Glenochil Glenochil provides a safe and secure national facility to accommodate long-term adult male prisoners. A separate facility accommodates medium supervision male young offenders, serving sentences of up to 24 months. There are no direct admissions from court: all admissions are transferred from other prison establishments.
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Developments and significant events: • During the course of the year we were happy to welcome to the establishment, the Justice Minister and Deputy Justice Minister; • An interim inspection report in March made particularly positive comment in respect of sentence management and additionally in programme delivery. Glenochil was the first establishment to be awarded site accreditation for all four accredited SPS programmes. A new programmes area to support delivery was completed during the year; and • We were particularly proud of the outstanding achievements of our staff, with 2 receiving Certificates of Meritorious Conduct from the Minister for Justice, presented during a reception at Edinburgh Castle and our Education Co- ordinator was also recognised by HRH the Princess Royal at a Butler Trust Award ceremony in London.
HM Prison Greenock Greenock serves designated courts in the West of Scotland by holding male prisoners (both adult and under 21s) on remand and selected short-term convicted prisoners. It also provides a national facility for selected prisoners serving 12 years or over, affording them the opportunity for progression towards release. In addition, it accommodates a small number of prisoners (including persons awaiting deportation) for a range of management and operational reasons.
Developments and significant events: • The establishment continued to operate effectively despite the effects of increased overcrowding; • The prison received the Bronze SHAW Award and are actively pursuing the Silver Award in recognition of our continued development of health at work options for staff; • An alcohol programme developed by local staff achieved approved status and is now available to 15 other sites across the SPS; • Enabling work commenced for the development of a Work Unit, which is scheduled for completion June 2002. A second phase will commence providing a new Stores Area and Learning Resource Area; and • We trebled the numbers of prisoners on community placements from 12 to 36 per day. Such placements provide an opportunity to assess the progress of life sentence prisoners prior to their transfer to open establishments.
HM Prison Inverness Inverness serves the courts of the Highlands, Western Isles, Orkney Isles and Moray, holding remand prisoners and short-term adult prisoners, both male and female (segregated). It also holds a small number of long-term prisoners, prior to supervision classification, on accumulated visits or to meet operational needs.
Developments and significant events: • The establishment continued to operate effectively despite the effects of increased overcrowding; • The Addictions Team in partnership with Cranstoun Drug Services is now providing a more comprehensive service for any prisoner with a dependency problem, including transitional care in the community upon release; • A fully integrated gas and fire detection system has been installed. This ensures compliance with current legislation; and • Cell windows in the main convicted and remand halls were upgraded to a more modern, secure design.
Scottish Prison Service Annual Report & Accounts 2001-02 15 LeadersLeaders in Prison Correctionalin Priso Work (continued)
HM Prison Kilmarnock The privately managed prison near Kilmarnock takes local male remand prisoners and local male adult convicted, both short and long-term. Other selected long-term prisoners are taken to meet SPS operational needs. 2001–2002 saw the prison moving from opening to development phase.
Developments and significant events: • Establishment of an accredited vocational workshop in partnership with local college; • Anger Management Course received SPS accreditation; • Electronic monitoring of prisoner movements has been fully commissioned, a first in Scotland; and • HRH the Princess Royal visited 23rd January 2002.
HM Prison Low Moss Low Moss is a short-term, medium to low level supervision prison for male adult prisoners serving sentences of up to 4 years. The prison does not receive from court but takes selected prisoners from Barlinnie, Edinburgh, Greenock and Kilmarnock. Low Moss contributes to the Scottish Executive’s Community Safety and Social Inclusion policies by facilitating prisoner throughcare, via partnerships with Community Agencies.
Developments and significant events: • The establishment continued to operate effectively despite the effects of working in poor and inadequate accommodation; • HMP Low Moss exceeded both its Education and Cognitive Skills targets for the year 2001-02, by 2,501 prisoner learning hours and 4 programmes respectively; and • Work has commenced on upgrading the prisons gate area, visit room, work storage areas and throughcare facilities.
HM Prison Noranside Noranside is an open prison which holds adult male prisoners serving 18 months and over, including life sentence prisoners who have been assessed as suitable to serve part of their sentence in open conditions. The regime opportunities are focused on preparation for reintegration into society.
Developments and significant events: • The Governor-in-Charge posts at Noranside and Castle Huntly were amalgamated as the initial step in the integration of these two open prisons; • We achieved the SHAW Bronze Award through the combined efforts of staff and prisoners, Noranside will now seek to achieve the Silver Award in 2002; and • A new partnership with Angus Council will result in selected prisoners being employed on project work for the Council in the local community.
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HM Prison Perth Perth holds adult male prisoners serving sentences of less than 4 years and those remanded from the courts of Angus, City of Dundee, Perth and Kinross and the northern part of Fife. The prison also accommodates in secure conditions long-term adult male prisoners, serving sentences up to and including life imprisonment. Over the next few years it will concentrate on taking its long-term prisoners from the North and East of Scotland. It also provides a national top end facility for long-term prisoners approaching the end of their sentence.
Developments and significant events: • The refurbishment of ‘A Hall’ was completed in summer of 2001 and now provides high quality accommodation for remand prisoners; • A new pilot course was launched at the prison in February as part of a pre- release process; it is designed to improve prisoners’ self-employment and career prospects. The programme, called ‘Think’, was run over a period of five weeks and as a result three prisoners were presented with certificates from the Small Business Gateway; • In January 2002 Perth became the first prison in Scotland to deliver an Approved Activity Programme on health choices for prisoners. The aim of the programme is to encourage and promote the benefits of a healthier lifestyle; and • In March 2002 staff and took part in a charity ‘Weight a Thon’ held in the Sports and Fitness Centre. In total they lifted 1 million kg in weight using the bench press, squat and deadlift. The event was a great success and funds raised went to Childrens First and the Corbenic Camphill Community.
HM Prison Peterhead Peterhead is a national resource for convicted, long-term male sex offenders, offering a range of programmes designed to challenge offending behaviour in order to reduce the risk of reoffending on return to the community. It also holds some other long-term male prisoners who require to be segregated from mainstream prisoners.
Developments and significant events: • HMP Peterhead was awarded Scotland Health at Work Gold Award in April 2001 having previously attained Bronze and Silver Awards; • In October 2001 HMP Peterhead was SPS Over 30,000 prisoners are awarded Beacon Site Status – the first checked in and out of SPS establishments every year. prison in Scotland to achieve this fact distinguished accreditation under the Central Government Beacon Scheme.
Scottish Prison Service Annual Report & Accounts 2001-02 17 LeadersLeaders in Prison Correctionalin Priso Work (continued)
HM Young Offenders Institution Polmont Polmont is Scotland’s largest young offenders institution. Male young offenders given a custodial sentence are assessed as to their suitability for transfer to other young offenders institutions. Secure custody in a safe environment is provided for male young offenders, generally serving sentences of less than 4 years.
Developments and significant events: • The construction of a new houseblock began with an expected completion in early 2003; • HRH Princess Royal visited the establishment in September 2001 as Patron of the Butler Trust; • Youth Worker Lisa Hogg was awarded the Butler Trust Achievement Certificate; • Polmont Health Centre was awarded the Charter Mark, a first for a UK Prison; and • In January 2002, Polmont hosted a conference to promote the ‘Opening Doors’ youth worker project. The keynote speaker was Cathy Jamieson MSP, Minister for Education.
18 Scottish Prison Service Annual Report & Accounts 2001-02 n Correctional W
HM Prison Shotts Shotts is a maximum-security prison for long-term adult male prisoners who are transferred from other establishments and require to be kept in secure conditions. Shotts also houses the National Induction Centre (NIC) and the Shotts Unit, which were formerly independent units.
The NIC offers a supportive and responsive regime for prisoners (excluding sex offenders) normally serving 10 years or more during the first SPS Only seven per cent of prisoners who serve time in a prison 6-12 months of their sentence. The regime is fact segregation unit re-offend. intended to assist prisoners in coping with the personal consequences of their offending behaviour and the impact of sentencing, with particular emphasis on maintaining family contact and the needs of families. Its work is founded on the role of the personal officer within a multi-disciplinary framework, intended to prepare each prisoner for transfer to the mainstream within the context of the Sentence Management model. That process is informed by risk and needs assessment carried out with the prisoners' involvement.
Shotts Unit assists male adult mainstream establishments by housing, for a limited period, prisoners identified as management problems because of unacceptable behaviour brought about by unwillingness, or inability, to cope with prison life. After intensive interaction with staff to address personal problems and issues, prisoners should be able to continue serving their sentences in mainstream prisons.
Developments and significant events: • Our new staff facility was opened in June 2001. As well as providing appropriate rest areas, it has excellent locker space and a well equipped and well used gymnasium; • In April 2001 a new custom built Health Centre was opened. HMCIP commented that he was pleased to see such a well designed Health Centre facility and commended all those involved in its design and operation; • In January 2002 HMCIP carried out an intermediate inspection of the full establishment and commented favourably on the progress being made in such a complex environment; • An audit of our Addiction Services was carried out in November 2001 using internal and external personnel. An action plan to improve services has been developed and is now being implemented; and • Two officers from Shotts, Tom Gallagher and Philip Strachan attended a reception at Edinburgh Castle, hosted by the Justice Minister, to celebrate their meritorious conduct award.
HM Prison Zeist This establishment in the Netherlands was built specifically to accommodate the two defendants in the Lockerbie trial, and was managed and staffed by SPS personnel. The establishment closed following the conclusion of the trial and appeal process in March 2002.
Scottish Prison Service Annual Report & Accounts 2001-02 19 LeadersLeaders in Prison Correctionalin Priso Work (continued)
Care and Opportunity The SPS aims to care for prisoners with humanity; and to provide prisoners with a range of opportunities to exercise personal responsibility and to prepare for release.
We endeavour to provide prisoners with regimes that enable them to access essential services, maintain family links, to remain active and motivated and to use their time in a purposeful and constructive manner. We are developing a robust Risk and Needs assessment process that fully supports the delivery of appropriate opportunities to prisoners which will help them to address their offending behaviour, tackle addiction problems, acquire new skills and access support in the community on release. Central to developing this approach is the work of Rehabilitation and Care Directorate.
Rehabilitation and Care Directorate The work of this Directorate enables establishments to maximise opportunities for prisoners to address their offending behaviours and to access inclusion opportunities. It develops policies and implements strategies to improve standards of delivery. It also provides advice and manages contracts in key areas.
This year the Directorate was restructured into three groups to strengthen both the delivery of services to establishments and our work with external agencies; Healthcare, which includes primary medical services, nursing, pharmacy and dietary advice; Assessments and Interventions (Sentence Management); and Inclusion including addiction services, education, skills training, prison industries and social work.
The appointment of a Head of Inclusion confirmed our commitment to partnership working and recognised the importance of this area. Psychologists lead on assessments and support the delivery of core (accredited) programmes. They also provide an appropriate range of mental health interventions. All of our services are aimed at ‘Making a Difference’, protecting the public and reducing re-offending.
Key objectives and improvements in 2001-02
Healthcare • Completed a research project into our suicide risk management strategy and national standards were developed. In addition, an Inter-Agency document was distributed. • The monitoring of the medical services contract is ongoing, with a Clinical Governance framework published and distributed during the year. • A Health Care Conference titled ‘Health Care and Integrated Approach’ was held in February 2002. • The development of a system of computerised healthcare records commenced and a framework for prisoner healthcare needs assessment was developed. • The monitoring of the contract for the pharmacy service continued and discussions to extend the contract duration commenced. • Healthcare advisers and staff contributed to the development of a draft Mental Health Policy, to be implemented in 2002/3.
Assessments and Interventions: • Improvements were made to the operation of Sentence Management, with the development of a range of risk assessments endorsed by external agencies.
20 Scottish Prison Service Annual Report & Accounts 2001-02 n Correctional W
• The range of structured interventions was extended, with appropriate sex offender programmes introduced at Peterhead and Polmont, an addictions programme (Lifeline) introduced at Polmont and the range of approved activities widened to include health choices, relationships, insomnia and anxiety, and alcohol. • Training of psychologists in Cognitive Behavioural Therapy increased the support available to establishments’ Mental Health Teams. • Initial work commenced on developing standards for staff selection, certification and delivery in relation to prisoner programmes.
Inclusion • Work commenced on a policy for inclusion, to be completed in 2002-2003. A more formal approach to partnership working was undertaken, with priority being given to short-term prisoners, female and young offenders. • In respect of prisoner learning, some 307,000 hours of learning opportunities were provided, with 6,000 prisoners and young offenders gaining over 2000 Scottish Qualification Authority awards. • A three year Literacy Pathfinder Project was awarded by the Scottish Executive Enterprise and Lifelong Learning Department. • Information relating to prison industries is shown in Appendix 7. • We worked with establishments and local authorities to pilot contracts for the provision of social work services to four establishments. Two contracts were agreed with work ongoing for the two others. • Accommodation services have been provided for prisoners by a number of agencies funded under the Rough Sleepers Initiative. • SPS established a new addictions contract with Cranstoun Drug Services for the provision of addictions services. This new facility aims to offer assessments to over 23,000 prisoners each year, with over 10,000 accessing post release support for up to 12 weeks in the community.
Evaluation of Interventions • Work has commenced, in conjunction with Research Branch on evaluating the effectiveness of our various interventions. • The Directorate contributed to the ongoing development of new specifications for data management and collection.
Prisoner Complaints Prisoner complaints statistics have traditionally been collected using a combination of manual and computerised records. However, for some time we have had concerns about the accuracy of the data. In light of this, data will not be available for inclusion in the SPS Annual Report for 2001-2002. We have, however, put in place an interim system which will provide us with meaningful management information and provide accurate data for the SPS Annual Report for 2002-2003.
Race Relations Policy The SPS is committed to the promotion of positive race relations in Scottish Prisons. That commitment was further underlined in March 2002 by the extension of the SPS’s Race Relations Policy, to specifically include staff in addition to prisoners and visitors. Developments this year included:
• The introduction of translation packs in 6 languages; and • The establishment of a multi-lingual website.
Scottish Prison Service Annual Report & Accounts 2001-02 21 HighestHighest Standards Standard of Service
Scotland’s prisons are acknowledged as providing the highest standards of S service delivery across their full range of activities. As a public service, we are committed to ensuring that we are focused on the consistent delivery of high quality services and that our practice reflects the highest standards of governance. It is therefore important that if we are to succeed in achieving Correctional Excellence, we measure our performance against standards and research the effectiveness of what we do. Established performance indicators, monitored through time, offer the public the chance to see how well we, as a correctional service, are delivering. To these ends we are committed to continually improving, reviewing, monitoring and assessing our performance against robust standards and indicators.
Strategy and Business Performance Directorate The Directorate of Strategy and Business Performance is responsible for advising Ministers on prisons policy and for translating Government policy into a strategy for the future direction of the service. It is responsible for the development of the Service’s planning system, policy development and performance measurement, research and evaluation services (including prisoner programme accreditation), statistics, matters of legal policy, communications, operational audit and financial audit. It also services the Scottish Prison Service Board. The aim of the directorate is to provide corporate assurance, to promote and support the management of change and the delivery of a high quality service.
“As a public Key objectives and improvements in 2001-02: A review of the Directorate functions resulted in a number of changes being made service, we are during the financial year. September saw the creation of Business Performance committed to Branch and the disbanding of Planning and Development. Other changes included the ensuring that transfer of Financial Audit from Finance and Business Services Directorate. we are focused Business Performance on the • The development and review of the Business Planning process, saw the introduction of the EFQM Excellence Model as the SPS’s strategic and consistent business planning tool. The Excellence Model provides a platform for delivery of high improving the Service’s ability to plan, achieve its objectives and ultimately deliver its Vision; quality services • In September 2001, the Branch organised the SPS Management Conference and that our which focused on the delivery of the SPS Vision; • The Branch also took the first steps to develop a Corporate Management practice reflects Information System which supports continuous improvement and the delivery the highest of key results. standards of Research and Evaluation Services governance.” • The Branch completed the fourth prisoner survey which is a survey of all prisoners in Scotland; BARBARA ALLISON Director of Strategy • Managed visits to the SPS by a number of foreign delegations, which included & Business Performance the Swedish Prisons Board; and • For the first time we published bulletins regarding returns to custody in Scottish Prisons.
Women make up only four SPS per cent of the average prison population of 6,000 prisoners. fact Most women prisoners are housed at Cornton Vale.
22 Scottish Prison Service Annual Report & Accounts 2001-02 s of Service
Communications • The Branch produced Ministerial briefing and responded to media attention and publicity surrounding the Estates Review; • In January 2002 we launched the SPS Intranet pilot in Headquarters; • We commissioned and produced a staff training and induction video for Human Resources in March 2002.
Internal Audit • We completed our approved programme of audit activity and gave positive assurance to the Chief Executive, as the Agency accountable officer, on the adequacy of Internal Financial Control; • We continue to provide support and advice to the Risk Monitoring Audit Committee; and • During the year, Audit Scotland performed an overview of the Service's internal audit arrangements. The review concluded that many aspects of good practice are in place, and that Audit Scotland are able to place reliance on the internal audit work, thus reducing the scope of their own activity in certain areas.
Legal Policy • Published in October 2001, the ‘Scottish Strategy for Victims – the SPS Action Plan’; • The Prisons and YOI (Scotland) amendment rules 2002 which included the new prisoner supervision system was laid before the Scottish Parliament on the 8 March 2002 and came into force 1 April 2002; and • Work completed to ensure compliance with the Data Protection Act 1998.
Statistics • Produced the Statistical Appendix presenting the projections of the prison population for the Estates Review; • Support the Ministerial Group on Women’s Offending; and • Provided statistical information for the Tri-Partite Group on Throughcare.
Scottish Prison Service Annual Report & Accounts 2001-02 23 ScottishScottish Prisons’ Prisons Staff Respected by Society
cottish prison staff will be respected by the nation for their professionalism, S their wide range of skills and the difficult job they do on behalf of society. Delivering the highest standards of service requires a highly professional and competent staff. Working in prisons can be both demanding and rewarding, requiring staff to have a wide range of skills and specialisms. Central to success is the management of our people in line with the values of the SPS. We recognise that our staff are our most valuable resource and are crucial to making a real difference to the lives of prisoners and in helping us to achieve our Vision.
Human Resources Directorate Our Human Resources Directorate supports the Scottish Prison Service in: • recruiting, developing and retaining quality staff who can perform effectively and efficiently; • making sure that our staff are rewarded and managed fairly and consistently; and • developing strategies by which we can maximise the contribution from our people ensuring maximum efficiency.
It provides services in the areas of employee resourcing, employee relations, welfare, pay and associated matters, and advice on health and safety. Through the Scottish Prison Service College it also provides appropriate elements of training, supports the development of the organisation and increasingly it accredits local delivery of standard “Our staff are courses. Appendix 9 details all training delivered by SPSC over the period of this report. To provide this corporate service Human Resource Directorate develops and our most maintains appropriate policies, promulgates corporate standards, procedures and valuable systems where appropriate, provides advice, and monitors performance.
resource and Key objectives and Improvements in 2001-2002: are crucial to • New attendance patterns were introduced throughout the estate to help making a real improve our competitiveness; • Introduced part time and flexible working pattern arrangements; difference to the • Developed and introduced new procedure for performance management and lives of delivered training for the new system across the service; • Signed a new Voluntary Industrial Relations Agreement with the Trade prisoners and in Unions and secured commitment to achieving a Partnership Agreement; helping us to • We achieved, by negotiation, a 3 year pay deal with a significant element of performance pay; achieve our • We introduced 4 key documents which supported our commitment to Vision.” improving Health and Safety; and • We continued to drive a behavioural change programme in support of the PETER RUSSELL SPS Values and reflected this in our new Personal Performance Director of Human Resources Management System.
Scottish Prison Service College • Delivered 30,000 training days during the year; • 191 recruits completed their initial training; • A new Custodial Care vocational qualification at level III was launched; • A mandatory Middle Management Programme was launched, with 34 participants through the year; • Continued to deliver the First Line Manager Programme, launched in September 1999 and to date 50% of first line managers have completed the course; • Supported training in the EFQM Excellence Model and new planning process.
24 Scottish Prison Service Annual Report & Accounts 2001-02 ’ Staff
All Directorates and half of our establishments have now carried out a self assessment against the model; • Over 85% of staff have now completed appropriate competence based Health & Safety training; and • Prince2 project management training commenced with 40 staff trained to date.
Recognising our Staff The SPS is proud of its people and is keen to recognise some of the exceptional work and commitment shown by our staff in carrying out their often difficult job. The following is an account of the many awards received by its staff over the reporting period.
Honours Queen’s Birthday Honours – 2001 State Nomination: Mrs Mary Young MBE
New Year Honours - 2002 State Nomination: Ian Bannatyne CBE Non State Nomination: John Thomson MBE
Awards and Commendations Minister for Justice Certificate of Meritorious Conduct awarded to: Clinical Manager Heather Keir, HMP & YOI Cornton Vale, who prevented two prisoners from committing suicide.
Officers Derek Adie and Trevor Gillott, HMP & YOI Glenochil, who prevented a potential hostage situation. The second of two similar incidents which they were involved in within the last year.
Practitioner Nurse Ronnie Batt, HMP Edinburgh, under very difficult circumstances, faced a hostage situation. Mr Batt’s actions helped to defuse the situation.
Scottish Prison Service Annual Report & Accounts 2001-02 25 ScottishScottish Prisons’ Prisons Staff Respected by Society (continued)
Chief Executive’s Certificate of Meritorious Conduct awarded to: Officer Pamela Nicholls, HMP & YOI Cornton Vale, who prevented a prisoner from committing suicide.
Officer Kenny Goodwin, HMP Barlinnie, intervened in an incident between two prisoners involving a knife.
Officer John Canning and Practitioner Nurse Patricia Lee-Campbell, HM YOI Polmont, intervened in an incident when a prisoner had committed a serious act of self-harm.
Officer Linda Buist, HMP & YOI Cornton Vale, who prevented a prisoner from committing suicide.
C & R Co-ordinator David McRitchie, HMP Edinburgh, who helped to diffuse a hostage situation.
Officer John Logan, HMP Barlinnie, who rescued a prisoner from a cell fire.
Officers Brian Doyle, Gordon Ewen, Mark Ellis and Alex Haxton, HMP Edinburgh, who prevented a prisoner from committing suicide.
Officers Phil Strachan and Tom Gallagher, HMP Shotts, who assisted a member of the Justice Minister’s Reception, public during severe snowdrifts. October 2001. Officers David Hill, Gordon Morris, Peter McNicol, Mark Stapleton and Neil Thomson, HMP Noranside, who assisted a member of the public during severe snowdrifts.
Officers William Logan, George Ferguson and Kevin Hill, HMP & YOI Glenochil, who helped to prevent a potential hostage situation.
Officer Neil Cameron, HMP Noranside, who prevented a prisoner escaping from custody.
Residential Manager Paul Yarwood and Officer Craig Nixon, HMP Perth, who rescued a prisoner from a cell fire.
Officer John Gribbin, HMP Barlinnie, who rescued a prisoner from a burning cell, which was barricaded.
Officer Graham Bingham, HMP Barlinnie, who rescued a prisoner from a cell fire and then assisted to evacuate the area.
Practitioner Nurses Fiona Graham and Jennifer Young and Systems and Strategy Manager Frank Main, HMP & YOI Glenochil, who prevented a prisoner from committing suicide.
Student Nurse Linda Johnson, HMP Edinburgh, was involved in a hostage situation.
Officer Faye Watt, HMP Aberdeen, who spotted and then later assisted police officers in re-capturing a prisoner who had earlier absconded from the prison.
First Line Manager Colin Gregory, HMP Edinburgh, who prevented a prisoner from attempting to commit suicide.
26 Scottish Prison Service Annual Report & Accounts 2001-02 ’ Staff
Governor’s Commendation for Meritorious Conduct awarded to: HMP Edinburgh Hall Manager Joanne McKinlay, Segregation Unit Manager John O’Para and Officers James Ewan, Cliff McVeigh and John Nicol, who helped to defuse a hostage situation.
HMP & YOI Cornton Vale Officer Mandy Black for dealing with a violent Prisoner and preserving the safety of both the prisoner and her colleagues. Officers Amanda Martin and Pauline Fitzpatrick who saved the life of a prisoner who had attempted suicide. Officer Graeme Forrest who saved the life of a prisoner who had attempted suicide.
Imperial Service Medals The following staff retired from the Scottish Prison Service during the year and were eligible for the award of an Imperial Service Medal.
Douglas Horton Barlinnie Andrena Lamb Headquarters John Reidpath Barlinnie George Rarity Headquarters Kenneth Roddick Dumfries Roderick MacRae Inverness John Irving Dumfries David Horn Low Moss David White Edinburgh Robert MacNamara Low Moss Francis Hutchison Edinburgh Ronald Laing Perth William Sutherland Glenochil Richard Gray Perth Robert Forrest Glenochil John McArthur Peterhead William Drummond Glenochil John MacMillan Polmont Alexander Melville Glenochil Mary Young Polmont John Reid Glenochil
Butler Trust The following individuals were presented with Butler Trust Awards at the Annual Awards Ceremony in March 2002, at Buckingham Palace.
Keith Stewart, Alfie (Arthur) Smyth, Stuart Wright, Heather Archibald Throughcare Centre Team, HMP Edinburgh.
Ann Barr, Learning Centre Manager, HMP&YOI Glenochil
Lisa Hogg, Youth Worker, HM YOI Polmont
Scottish Prison Service Annual Report & Accounts 2001-02 27 An EstateAn Estate Fit for PurposeFit for
T he prison estate is “fit for purpose” for the 21st century. A Review was carried out to identify the likely pressures on the prison estate over the next 10 years and to come up with options for meeting those pressures. The overall objective of the SPS Estates Review was to secure by the end of the 10-year period an estate that is fit for purpose and which supports achievement of our Vision of Correctional Excellence. Following the work, advice was given to Ministers.
Ministers have now obtained an independent verification of the costs identified by the Review and the Executive has set out the proposals in a consultation paper. These proposals were announced by the Deputy First Minister to the Scottish Parliament on 21 March 2002. At the same time as publication of the consultation paper itself, the Executive published the report of the SPS Estates Review. The consultation period of twelve weeks closed on 12 June 2002, and all responses will be taken into account before decisions are taken.
The Scottish Executive’s proposals have three main aims: • to provide enough places for the prisoner population; • to end the practice of slopping out in our prisons as quickly as possible; and • to find the option which represents the best value for money to the taxpayer. “An Estate that In order to achieve this, the Executive proposes the creation of around 3,300 is fit for prisoner places to provide additional accommodation and enable replacement of purpose and substandard, existing accommodation. which supports achievement of our Vision of Correctional Excellence.” WILLIE PRETSWELL Director of Finance and Business Systems
A new houseblock for Polmont.
28 Scottish Prison Service Annual Report & Accounts 2001-02 Purpose
Estates Development Key objectives and Improvements in 2001-2002: A number of major projects were progressed or completed during the year. These included: • The completion of three major projects in Perth ‘A’ Hall, Barlinnie ‘B’ Hall and SPIN server area as part of the ongoing estates strategy; • Introducing design and other standards to complement the SPS Security Standards. Standards have been revised and updated in CAD format and work is ongoing on the production of Design Guidance Data Sheets and in producing a standard design for a houseblock; • Negotiating the disposal of the remaining surplus land at Longriggend; • Progressing the successful execution of construction projects, principally involving additional houseblock accommodation for Edinburgh and Polmont which are due for completion in 2002-03; • Following the conclusion of the Lockerbie trial, Kamp Zeist was successfully closed and returned to the Government of the Netherlands; and • The target of increasing the number of available prisoner places with access to night sanitation to 78% by 31 March 2002 was achieved.
SPS Environmental Policy The SPS Board has committed our organisation to environmental improvement across the estate. Genuine savings will be obtained in both environmental and financial terms where the appropriate changes are integrated into our every day business. We aim to become more energy and resource efficient. Developments this year included: • Significant improvements being made in implementing the findings of the Environmental review completed in April ’01 by Cordah (Environmental Management Consultants); and • Environmental improvements being incorporated into the design of the new Houseblocks being built.
The SPS cooks around 18,000 SPS meals a day – including 12,000 slices of toast using 600 loaves – fact from an annual catering budget of £3.5 million.
Scottish Prison Service Annual Report & Accounts 2001-02 29 ValueValue for for Money Money
n the necessary pursuit of demonstrating value for money to the taxpayer, I public sector costs will be competitive. As a public service we need to clearly demonstrate that we deliver high standards and provide good value for money. The introduction of alternative providers has focused the SPS on raising standards, improving efficiency and achieving results.
Finance and Business Services Directorate The Directorate provides a range of business services – finance, information systems, procurement, contract management and estates development and is responsible for providing policy and procedural advice for each function. Contract Management is responsible for ensuring that Kilmarnock Prison Services Ltd perform in accordance with the terms of the contract for HMP Kilmarnock. Estates Development are responsible for ensuring the delivery of the Estates Strategy for the development of the prison estate, managing the Capital Building Programme and providing professional advice on all construction and related matters.
Key objectives and Improvements in 2001-2002: Finance • Annual Accounts for 2001-2002 were prepared and subsequently audited by Audit Scotland and published as part of this Annual Report. The Annual “Raising Accounts can be found at Appendix 11; standards, • The revised Financial Policy and Guidance Manual continually monitored to ensure that all policies and processes are kept up-to-date and relevant; improving and efficiency and • Developed, in liaison with SPS College, the scope and content of the financial application reporting courses and provided workshops detailing achieving responsibilities to Accountable Officers. results.” WILLIE PRETSWELL Director of Finance and Business Systems
30 Scottish Prison Service Annual Report & Accounts 2001-02 Procurement • Coverage of corporate contracts for 2001-02 was approximately £26m; • Creation of Estates Procurement Team to combine expert knowledge from both Branches to undertake development projects; liaison with appropriate personnel in order to create SPS framework contracts; and • Continued maintenance and review of SPS Procurement Manual with a revision of Delegated Procurement Authorities conducted.
Information Systems • ISS moved to a purpose-built area in order to better support the IT strategy; a desktop and printer upgrade was successfully rolled out in the year; a planned upgrade to the existing network infrastructure was commenced; and
• ISS staff were involved in project groups to assist in the process of software upgrade and replacement for the Human Resource and Prisoner Records applications. They also supported Strategy and Business Performance in their implementation of the SPS Intranet/Extranet currently available within Calton House with a further rollout still to be scheduled.
Contract Management Peterhead wins • Kilmarnock Prison contract monitored on an on-going basis and regular Beacon status. performance reviews held; and • Published Kilmarnock Prison Contract as agreed with Kilmarnock Prison Services Limited and made available on SPS website.
Two thousand prisoners are SPS educated each month in SPS establishments, which translates to fact over 300,000 learning hours being delivered every year.
Scottish Prison Service Annual Report & Accounts 2001-02 31 A Ayear year in the Scottish in Prison the Service Scottish Prison S e
32 Scottish Prison Service Annual Report & Accounts 2001-02 Scottish Prison Service Annual Report & Accounts 2001-02 33 Appendix 1 LocationLocation of Establishments of Est a
34 Scottish Prison Service Annual Report & Accounts 2001-02 Appendix 2 EstablishmentEstablishments: Population, 2001-02 s :
Average daily number Maximum number of of prisoners or prisoners or young young offenders offenders at any time
Establishments Total(1) Male Female Total(4) Male(4) Female(4)
Prisons: Aberdeen 197 189 8 240229 11 Barlinnie 1,089 1,089 - 1,199 1,199 - Castle Huntly 136 136 - 152 152 - Cornton Vale 201 - 201 225 - 225 Dumfries 51 47 4 69 62 7 Edinburgh 688 688 - 755 755 - Glenochil 485 485 - 498 498 - Greenock 317 317 - 353 353 - Inverness 133 127 6 160154 6 Kilmarnock 535 535 - 570570 - Low Moss 325 325 - 375 375 - Noranside 102 102 - 132 132 - Perth 492 492 - 579 579 - Peterhead 291 291 - 296 296 - Shotts 512 512 - 525 525 - Zeist(2) 11- 11-
Young Offenders Institutions: Cornton Vale 35 - 35 44 - 44 Dumfries 74 73 2 76 72 4 Glenochil 89 89 - 132 132 - Polmont 430430 - 468 468 -
Legalised Police Cells(3) 11*
TOTAL(1) 6,185 5,929 257 6,849(4) 6,552 297
Symbols used: - denotes nil * denotes less than 0.5 but not nil. (1) Components may not add to totals due to rounding. (2) Temporary Scottish Prison created in Holland to house prisoners awaiting trail for alleged involvement in the Lockerbie bombing (3) The maximum number of prisoners or young offenders at any time are not available as statistical information is collected on a monthly basis and not daily as with establishments. (4) The figures in the column cannot be added to produce a total “maximum number” since the individual establishment figures relate to different days within the financial year 2001-02. However, the maximum number of prisoners held within the SPS estate, on a particular day in 2001-02, was 6,385. The maximum number of male prisoners was 6,126 on 27 June 2001 and the maximum number of female prisoners was 291 on 19 July 2001.
Scottish Prison Service Annual Report & Accounts 2001-02 35 Appendix 3 AverageAverage DailyDaily Population P o in Establishments by Type of Custody
Type of Custody 1996-97 1997-98 1998-99 1999-00 2000-01 2001-02
Remand 1,021 927 971 975 880 1,018
Persons under sentence: Adult prisoners 4,173 4,359 4,348 4,3204,347 4,539 Less than 4 years(1) 2,183 2,141 2,036 1,987 2,024 2,108 4 years or over (including life)(2) 1,9902,218 2,312 2,333 2,323 2,431 Young offenders 798 773 710679 656 629 Less than 4 years 623 574 518 502 481 460 4 years or over (including life)(2) 175 200 191 176 175 168
Persons under sentence: total(3) 4,971 5,133 5,057 4,999 5,003 5,168
TOTAL(3) 5,992 6,059 6,029 5,974 5,883 6,185
(1) Includes those prisoners sentenced by court martial, civil prisoners and others. (2) Includes those persons recalled by supervision/licence. (3) Components may not add to totals due to rounding.
Appendix 4 ReceptionsReceptions to Penal Establishments to P e by Type of Custody(1)
1997-98 1998-99(2) 1999-00 2000-01 2001-02
Remand Untried 11,711 12,834 11,580 10,959 12,306 Convicted awaiting sentence 3,012 2,911 3,049 3,158 3,492 Remand: total 14,723 15,745 14,629 14,117 15,798
Adult prisoners under sentence: Direct sentence (including life) 9,733 9,879 9,200 8,967 9,469 In default of fine(3) 7,173 7,676 6,281 6,455 5,884 Adult prisoners under sentence: sub total 16,906 17,555 15,481 15,422 15,353
Young offenders under sentence: Direct sentence (including life) 2,829 2,823 2,581 2,437 2,311 In default of fine(3) 1,604 1,551 1,228 1,115 1,110 Young offenders under sentence: sub total 4,433 4,374 3,809 3,552 3,421
Persons recalled from SRO supervision/licence 13 6 3 0 0
Persons under sentence: Total 21,352 21,935 19,293 18,974 18,774
Persons sentenced by court martial 623 22
Civil prisoners 21 10 17 10 8
(1)Total receptions cannot be calculated by adding together receptions in each category because there is double counting. This arises because a person received on remand and then under sentence in relation to the same set of charges is counted in both categories. (2)The 1998-1999 figures were revised in 2000 as a result of an improved method of dealing with missing data. (3)Includes those prisoners received in default of a compensation order.
36 Scottish Prison Service Annual Report & Accounts 2001-02 Appendix 5 EscapesEscapes and Absconds fromand Custody Ab s
Escapes Absconds Establishment Security Security Security Total From From From Non Total Category A Category B Category C Escapes Work Within Outside Return Party Estab. P.ment From Licence Within Escort Within Escort Within Escort Aberdeen 00000 0001 03 4 Barlinnie 00000 0000000 Castle Huntly 00000 00011 2 3 16 Cornton Vale 00000 0000000 Dumfries 00000 0000000 Edinburgh 00000 00001 1 2 Glenochil 00000 0000000 Greenock 0001 0 01 1 0001 Inverness 00000 000001 1 Low Moss 00000 2 2 00000 Noranside 00000 0001008 18 Perth 00000 002 001 3 Peterhead 00000 0000000 Polmont 00000 0002 05 7 Shotts 00000 0000000 Zeist 00000 0000000
TOTAL 0 0 0 1 0 2 3 3 24 3 22 52
YearYear onon Year Comparison Year C o
1997-98 1998-99 1999-2000 2000-2001 2001-2002 Escapes Absconds Escapes Absconds Escapes Absconds Escapes Absconds Escapes Absconds
Male Adult 1 55 1 38 4 51 052 3 45 Young Person 03 1 5 00 1 007 Female Adult 000000 0000 Young Person 000000 0000
TOTAL 1 58 2 43 4 51 1 52 3 52
Scottish Prison Service Annual Report & Accounts 2001-02 37 Appendix 6 PrisonPrison Discipl Discipline: i n Offences and Punishments
This appendix details the number and type of breaches of discipline and punishments awarded in Scottish penal establishments during 2001 - 2002. The breaches and punishments listed below are based solely on the categories set out in The Prisons and Young Offenders Institutions (Scotland) Rules 1994 as amended, although some of the categories have been aggregated. Other disciplinary actions taken were:- mandatory drug testing where a re-test was required (238), prisoner warned (51) and remanded for police (338). Additionally 1,358 cases were dismissed and a further 11 cases rescinded in 2001 - 2002.
Breaches of discipline committed and punishments awarded in establishments, 2001 - 2002
Prisons Young Offenders All Institutions Establishments Male Female Male Female Male Female Population: Average daily number of prisoners and young offenders 5,337 220592 37 5,929 257 Breaches of discipline committed by type: Assault 386 51 234 2062071 Detention of a person against his will 203 0 5 0 Denying any officer or any person (other than a prisoner) access to 104 11 7 21 11 any part of the prison Fighting 763 91 521 38 1,284 129 Intentionally endangering the health or personal safety of others 315 31 245 28 56059 Intentionally obstructing any officer or any person (other than a 139 2027 17 166 37 prisoner) in the execution of his duty Escaping or absconding from custody 12 2 1 013 2 Failure to return from temporary release or to comply with a 68 4 14 1 82 5 condition of such release Possession of an unauthorised article or quantity of an article 1,267 92 268 18 1,535 110 Sale or delivery of an unauthorised article 32 3 6 028 3 Sale or delivery of an article allowed only for prisoner's own use 18 1 11 029 1 Taking (improperly) any article 58 17 22 5 8022 Setting fire to any part of a prison or any other property 704 21 1 91 5 Destroying or damaging any part of a prison or any other property 649 48 267 51 916 99 Unauthorised absence from or presence in any part of the 1,831 64 56 34 1,887 98 establishment Being disrespectful to any officer, worker or visitor 164 33 77 13 241 46 Using threatening, abusive or insulting words or behaviour 912 115 321 95 1,233 210 Intentionally refusing to work or failing to work properly 684 63 386 18 1,052 81 Disobeying a lawful order 7,108 447 442 153 7,550 600 Disobeying a rule or regulation 300 117 90 27 390 144 Inhaling a prohibited or unauthorised substance 16 8 3 3 19 11 Consuming, taking, injecting, ingesting or concealing a prohibited 201 14 15 7 216 21 substance Committing any indecent or obscene act 14 5 4 3 18 8 Administering, or allowing to be administered, a controlled drug to 2,333 207 271 33 2,604 240 himself Failing without reasonable excuse to open mouth for a visual 91 00 9 1 examination Attempting, or inciting or assisting to commit or to attempt to 89 18 47 11 136 29 commit, any of the above Breaches of discipline committed by type : TOTAL 17,450 1,460 3,345 583 20,795 2,043 Punishments awarded(2) Caution 2,514 86 266 25 2,780111 Forfeiture of privileges 10,692 886 2,690 382 13,382 1,268 Stoppage or deduction from earnings 7,876 778 2,133 348 10,009 1,126 Cellular confinement 1,318 178 356 100 1,674 278 Award of additional days 221 9 100 2 321 11 Forfeiture of remission 302 0 5 0 Forfeiture of other entitlements, e.g. to wear own clothes 94 35 12 11 66 46 Punishments awarded : TOTAL 22,718 1,972 5,559 868 28,277 2,840 Breaches of discipline committed per head of average population 3.3 6.6 5.7 15.8 3.5 8
(1)Components do not add to total due to rounding. (2)It is possible for more than one punishment to be awarded for one breach of discipline; conversely one punishment may be given for several breaches of discipline.
38 Scottish Prison Service Annual Report & Accounts 2001-02 Appendix 7 PrisonPrison Industriesindustr i e
Graph 1: Graph 2: Total Prison Activity Market Sectors 10% 48.3% Industries Consumed Training by SPS Domestic Commercial Estates Government Maintenance 28%
61% 0.17%
1% 51.53%
Average daily number of prisoners employed Total Sales Value of = 3,614 (69.2% of convicted population) Production 2001/2002: £4,465K Note: Excludes civil & untried prisoners who are not required to work, prisoners who are sick or unfit to work, and prisoners who are outwith normal circulation for disciplinary reasons.
Graph 3: 600 Industries 500 1999/00 2000/01 Employment 400 2001/02 Categories 300 Average Daily Number 200 of Prisoners Employed = 3,614 100 0
Other Timber Textiles Laundry OutsideWork FarmsGardens and Services Occupational Industries Engineering
Graph 4: 1800 Value of 1600 1999/00 1400 2000/01 Production 1200 2001/02 £000’s 1000 800 Total Sales Value 600 Of Production: 400 = £4,465k 200 0
Other Timber Textiles Laundry OutsideWork FarmsGardens and Services Occupational Industries Engineering
Scottish Prison Service Annual Report & Accounts 2001-02 39 Appendix 8 StaffStaff NumbersNumbers and Recruitment a
Staff in Post As at 31 March 2002 there were 4,594 staff in post.
Recruitment
Appointed Male Female Ethnic Minority Registered Part-time/ Origin Disabled Job Share
379 194 185 1 1 23
Scottish Prison Service Recruitment Policy The Scottish Prison Service manages its recruitment in accordance with the Civil Service Commissioners’ Recruitment Code. This ensures that recruitment is carried out on the basis of fair and open competition and selection on merit. The recruitment arrangements in place are subject to internal management checks and were audited by the Civil Service Commissioners in 2001.
Exceptions (The exceptions permitted are set out in the Civil Service Commissioners Recruitment Code Part II – Exceptions to the Recruitment Principles)
Pay Short Term Secondments Reappointment Transfers into Surplus Disabled Band Appointment of former Civil the Civil acceptable candidates Servants Service candidates
Total 68 2 11 - 3 -
40 Scottish Prison Service Annual Report & Accounts 2001-02 Appendix 9 StaffStaff TrainingTraining
Total Numbers Total Staff Attended Training Days Custody & Order 2,116 6,952 eg, Incident Command, Control & Restraint, Security Awareness, Officer Initial Training, Transition Training
Care & Opportunity 574 1,938 eg, Prisoner Programmes, Cognitive Skills, Sentence Management, Drug Relapse, Groupwork, Interpersonal Skills, Counselling.
Quality & Development 577 904 eg, SVQs, Suicide Risk Management, Human Rights, Race Relations, Investigations Training, Operational Auditing, Orderly Room
Change Management Training 531 745 (including, Evaluation Training, Business Improvement and Process Identification Workshops and Correctional Excellence Awareness and Self Assessment Sessions)
Management & Organisational Development NEBSM Certificate/Diploma 330323 Team Effectiveness 39 68 Assessor Training 1010 Institute of Management Studies (IMS) and AMED Seminars 45 45
Integrated Management Development Programmes Individual Management Development Programme (IMDP) 1010 Middle Management Programme 236 392 First Line Managers Programme 177 1,059 Senior Managers (Institute of Directors) 416
Health & Safety Training Working Safely 333 333 Managing Safely 63 315 Safety Awareness for Senior Executives 66 Health & Safety for First Line Managers 123 246 NEBOSH General Certificate 36 108 Health & Safety Co-ordinators 12 12 Fire Safety Officers 28 32 First Aid 33 140
IT Training 817 970
Specialist Training 193 368 eg Fatal Accident Inquiry Training, GC Works, Customer Care, PRINCE 2 Project Management, Chubb Locking Maintenance
Sub Totals 6,293 14,992
Training at Establishments --- 15,318 Total --- 30,310 Average days per member of staff 6.7
Scottish Prison Service Annual Report & Accounts 2001-02 41 Appendix 10 ParliamentaryParliamentary Accountability A c
Ministerial Correspondence Category of No. of Replies issued No. of Replies issued No. Received Correspondence within 17 working days outwith target date MP’s letters for 47 38 (81%) 9 (19%) Ministerial reply
MP’s letters for Chief 196 166 (85%) 30 (15%) Executive’s reply
Total 243 204 (84%) 39 (16%)
Year on Year Comparison
Year ended 31 March 2001 244 208 (85%) 36 (15%)
Year ended 31 March 2000 176 160 (91%) 16 (9%)
Year ended 31 March 1999 181 160 (88%) 21 (12%)
Year ended 31 March 1998 281 222 (79%) 59 (21%)
Year ended 31 March 1997 191 161 (84%) 30 (16%)
Parliamentary Questions
Ministerial Replies Chief Executives Replies
Year ended 31 March 2002 29 305
Year ended 31 March 2001 7 120
Year ended 31 March 2000 85 0
Year ended 31 March 1999 24 0
Year ended 31 March 1998 54 0
42 Scottish Prison Service Annual Report & Accounts 2001-02 Appendix 11 Scottish Prison Service
AnnualAnnual AccountsAccounts 2001-02
Scottish Prison Service Annual Report & Accounts 2001-02 43 APPENDIX 13
Annual Accounts 2001–2002
Foreword to the Accounts
The accounts have been prepared in accordance with a direction given by the Scottish Ministers in accordance with Article 19(4) of The Public Finance and Accountability (Scotland) Act 2000. The direction is reproduced as an Appendix to the accounts.
History
The Scottish Prison Service (SPS) was established as an Executive Agency of the Scottish Office Home Department in April 1993 (now the Scottish Executive Justice Department). In accordance with the Prisons (Scotland) Act 1989 and the Scotland Act 1998 responsibility for SPS transferred to Scottish Ministers. As a supply-financed Agency, SPS is funded by the Scottish Executive Justice Department’s Resource Account, Budget document 6, Scottish Prison Service.
Principal Activities
The principal activities of the Agency are as outlined on page 4 of the Annual Report.
Research and Development
The Agency is currently carrying out research into a range of prisoner and staff-related issues. The current main areas of work include the Fifth Prison Survey, an evaluation of the Suicide Prevention Strategy, a review of preparation for release for long term prisoners, and evaluation of the Throughcare Centre in HMP Edinburgh and work on high-risk violent offenders. Research work informs policy development.
Changes in Fixed Assets
During the year the Agency made improvements to Buildings, and purchased Plant and Equipment, Fixtures and Fittings, Computer Equipment and Software at a cost of £24,359k.
Directorate
The Directors of the Scottish Prison Service Board are as listed on page 5 of the Annual Report.
Disabled Employees
The Agency has recently achieved membership of the Department of Employment Disability Symbol User Scheme. As an agency we are committed to the retention of individuals who become disabled whilst in our employment and in addition we positively welcome applications by disabled people for employment or promotion.
Equal Opportunities
SPS is an equal opportunities employer, and is committed to the most effective use of all available human resources, valuing everyone’s contribution irrespective of race, gender, age, disability or sexual orientation, through a programme of equal opportunities, which ensures the avoidance of discrimination, victimisation and harassment. The operation of the policy is monitored to make sure the Code of Practice is implemented.
44 Scottish Prison Service Annual Report & Accounts 2001-02 Employee Consultation
The Agency recognises the importance of good employee relations and is committed to effective employee communications. Regular meetings are held with representatives of the trade unions in line with Civil Service Whitley Council arrangements. The recognised trade unions have recently expressed their agreement with the Agency’s Vision Statement. Following this, both parties are resolved to develop a modern Partnership Agreement that will further improve employee relations with the aim of achieving our Vision.
Payment of Creditors
The Agency's policy is to pay all invoices not in dispute in 30 days or the agreed contractual terms if otherwise specified. The Agency aims to pay 100% of invoices, including disputed invoices once the dispute has been settled, on time in these terms.
During the year ended 31 March 2002 the Agency paid 98.9% (2000-01 97.9%) of all invoices received within the terms of its payment policy.
The Agency observes the principles of the CBI Code - Prompt Payers.
Audit
The accounts for 2001-2002 are audited by auditors appointed by the Auditor General for Scotland.
TONY CAMERON Chief Executive 25 June 2002
Scottish Prison Service Annual Report & Accounts 2001-02 45 Statement of Agency’s and Chief Executive’s Responsibilities
1. Accounts
i. In accordance with Article 19(4) of Public Finance and Accountability (Scotland) Act 2000 the Scottish Ministers have directed the Scottish Prison Service to prepare a statement of accounts for each financial year in the form and on the basis set out in the Accounts Direction on page 68. The accounts are prepared on an accrual basis and must give a true and fair view of the Agency's state of affairs at the year-end and of its income and expenditure, recognised gains and losses and cash flows for the financial year.
ii. In preparing the accounts the Agency is required to:
- observe the Accounts Direction issued by the Scottish Ministers, including the relevant accounting and disclosure requirements, and apply suitable accounting policies on a consistent basis;
- make judgements and estimates on a reasonable basis;
- state whether applicable accounting standards have been followed, and disclose and explain any material departures in the accounts;
- prepare the accounts on the going concern basis, unless it is inappropriate to presume that the Agency will continue in operation.
iii. The Accountable Officer of the Scottish Executive Justice Department has designated the Chief Executive of the Scottish Prison Service as the Accountable Officer for the Agency. The relevant responsibilities as Agency Accountable Officer, including responsibility for the propriety and regularity of the public finances and for the keeping of proper records, are set out in the Accountable Officer's Memorandum issued by the Scottish Executive.
iv. Costs incurred by the Scottish Prison Service for the Lockerbie Trial in the Netherlands are separately provided for and are reported, on an accrual basis, in the accounts. Responsibility for all aspects of the operation of this project lay with the Scottish Executive Lockerbie Trial Steering Group. The trial facility at Camp Zeist was closed in March 2002. The whole site was formally handed back to the Netherlands Government in April 2002.
2. Statement of Internal Control
i. As Accountable Officer, I have responsibility for maintaining a sound system of internal control that supports the achievement of the organisation’s policies, aims and objectives, set by Scottish Ministers, whilst safeguarding the public funds and assets for which I am personally responsible, in accordance with the responsibilities assigned to me.
46 Scottish Prison Service Annual Report & Accounts 2001-02 ii. The system of internal control is designed to manage rather than eliminate the risk of failure to achieve the organisation’s policies, aims and objectives; it can therefore only provide reasonable and not absolute assurance of effectiveness.
iii. The system of internal control is based on an ongoing process designed to identify the principal risks to the achievement of the organisation’s policies, aims and objectives, to evaluate the nature and extent of those risks and to manage them efficiently, effectively and economically. I expect to have the procedures in place by March 2003 necessary to implement guidance from Scottish Executive Finance which takes account of the time needed to fully embed the processes that the organisation has agreed should be established, and to improve their robustness.
iv. We have held a risk management workshop, during which we identified the organisation’s objectives and risks and determined a control strategy for each of the significant risks.
v. The Board has changed its meeting calendar and agenda so that risk management and internal control will be considered on a regular basis during the year and there will be a full risk and control assessment before reporting on the year ending 31 March 2003. Risk management has been incorporated into the corporate planning and decision-making processes of the organisation and will be fully embedded by December 2002.
vi. The Board receives periodic reports from the chairman of the organisation’s Risk Monitoring and Audit Committee concerning internal control. We require regular reports from managers on the steps that they are taking to manage risks in their areas of responsibility, including progress reports on key projects.
vii. In addition to the actions mentioned above, in the coming year the organisation plans to:
• maintain the record of risks facing the organisation;
• develop and maintain organisation-wide risk indicators and risk register.
viii. The organisation’s internal auditors submit regular reports, which include the Head of Internal Audit’s independent opinion on the adequacy and effectiveness of the organisation’s system of internal financial control together with recommendations for improvement.
ix. My review of the effectiveness of the system of internal financial control is informed by the work of the internal auditors and the executive managers within the organisation, who have responsibility for the development and maintenance of the internal control framework, and comments made by the external auditors in their management letters and other reports.
TONY CAMERON Chief Executive 25 June 2002
Scottish Prison Service Annual Report & Accounts 2001-02 47 Agency Operating Cost Statement for the year ended 31 March 2002
2001-02 2000-01 £’000s £’000s
Income
Income from all sources (2) (2,374) (2,268)
Expenditure
Staff Costs (3) 122,228 115,460 Running Costs (4) 55,983 91,597 Other Current Expenditure (5) 20,903 19,944
Total Expenditure 199,114 227,001
Operating Cost 196,740 224,733
Cost of capital charges (21) 21,671 22,844 Interest payable and similar charges 11 6 Interest receivable (6) (110) (164)
Net Cost of Operations after Interest 218,312 247,419
Lockerbie Trial Costs 2,810 3,199
Cost for Financial Year 221,122 250,618
All income and expenditure is derived from continuing operations.
The notes on pages 53 to 65 form part of these accounts.
48 Scottish Prison Service Annual Report & Accounts 2001-02 Statement of Recognised Gains and Losses for the year ended 31 March 2002
2001-02 2000-01 £’000s £’000s
Unrealised gain/(loss) on revaluation of tangible fixed assets less supplementary depreciation 15,488 (48,838)
Receipt/Revaluation of Donated Assets 29 (309)
Total recognised gains and losses for the financial year 15,517 (49,147)
The notes on pages 53 to 65 form part of these accounts.
Scottish Prison Service Annual Report & Accounts 2001-02 49 Balance Sheet as at 31 March 2002
2001-02 2000-01 Notes £’000s £’000s
Fixed Assets
Tangible Assets (7) 380,517 355,550 Intangible Assets (8) 558 792
381,075 356,342
Current Assets
Stock and Work In Progress (9) 4,061 3,908 Debtors (10) 5,052 6,154 Cash at Bank and in Hand (11) 401 266
9,514 10,328
Current Liabilities
Creditors: amounts falling due within one year (12) 11,257 9,886
Net Current (Liabilities)/Assets (1,743) 442
Total Assets Less Current Liabilities 379,332 356,784
Creditors: amounts falling due after more than one year (12) 4,339 4,095 Provisions for Liabilities and Charges (13) 3,023 2,342
Net Assets 371,970 350,347
Taxpayer’s Equity
General Fund (14) 336,700 325,276 Donated Assets Reserve (15) 687 680 Revaluation Reserve (16) 34,583 24,391
371,970 350,347
TONY CAMERON Chief Executive 25 June 2002
The notes on pages 53 to 65 form part of these accounts.
50 Scottish Prison Service Annual Report & Accounts 2001-02 Cash Flow Statement for the year ended 31 March 2002
2001-02 2000-01 Notes £’000s £’000s
Operating Activities
Net Cash outflow from operating activities (I) (186,164) (176,203)
Capital Expenditure & Financial Investment
Purchase of fixed assets (24,605) (23,461) Proceeds of disposal of fixed assets 23 760
Net Cash outflow from investment activities (24,582) (22,701)
Payments to the Scottish 0 0 Consolidated Fund
Financing from the Scottish Consolidated Fund
From the Scottish Consolidated Fund 210,881 198,874
Increase/(Decrease) in Cash (II) 135 (30)
The notes on pages 53 to 65 form part of these accounts.
Scottish Prison Service Annual Report & Accounts 2001-02 4351 Notes to the Cash Flow Statement 2001-02
(I) Reconciliation of Operating Cost to Operating Cash Flows:
2001-02 2000-01 £’000s £’000s
Costs for the financial year (221,122) (250,618) Notional charges 21,786 22,954 Release of Donated Asset Reserve (22) (20) Depreciation and impairment on tangible assets 9,626 50,220 Loss on sale of tangible assets 43 282 (Increase)/Decrease in stock (153) 129 Decrease in debtors 1,116 1,991 Increase/(Decrease) in creditors/provisions 2,562 (1,141)
Net Cash Flow from Operating Activities (186,164) (176,203)
(II) Reconciliation of Net Cash Flow to movement in Net Funds:
2001-02 2000-01 £’000s £’000s
Increase/(Decrease) in cash in the year 135 (30)
Change in net funds 135 (30)
Operating net funds 266 296
Closing net funds 401 266
The notes on pages 53 to 65 form part of these accounts.
52 Scottish Prison Service Annual Report & Accounts 2001-02 Notes to the Accounts
1. Accounting Policies
The financial statements have been prepared in accordance with the 2001-02 Resource Accounting Manual (RAM). The accounting policies contained in the RAM follow UK generally accepted accounting practice for companies (UK GAAP) to the extent that it is meaningful and appropriate to the public sector. Where the RAM permits a choice of accounting policy, the accounting policy which has been judged to be most appropriate to the particular circumstances of the Agency for the purpose of giving a true and fair view has been selected. The Agency’s accounting policies have been applied consistently in dealing with items considered material in relation to the accounts.
Accounting Convention The accounts have been prepared under the historic cost convention modified to account for the revaluation of fixed assets, and stocks where material, at their value to the Agency by reference to their current costs.
Continuing Activities The results of the Agency Operating Statement derive from operating activities, all of which are continuing.
Tangible Fixed Assets Title to the freehold land and buildings shown in the Accounts is held in the name of the Scottish Ministers.
Tangible fixed assets are stated at their purchase price, together with any incidental expenses of acquisition and, with the exception of computer equipment, are revalued each year using either Business Monitor Producer Price Indices to take account of specific price changes, or as described below. Computer equipment is not indexed, in line with Scottish Executive guidance.
All the freehold properties were valued as at 31 March 1995 by District Valuers (DVs) of the Valuation Office Agency. Over the following 5 years, a rolling programme of revaluations and reassessments of remaining life was undertaken by DVs, in the capacity of External Valuers, revaluing on average 4 establishments each year since 1995. In accordance with Financial Reporting Standard 15, a full revaluation of the SPS Estate was carried out for 2000/2001 at 31 August 2000. Subsequently, the 5 year rolling programme has re-commenced with HMP and YOI Dumfries, HMP Edinburgh, HMP Greenock and HMP Inverness being revalued as at 31 August 2001. Properties are now valued as at 31 August, in order that information on the new valuations will be available by the end of September in accordance with Resource Accounting Manual requirements. All the valuations have been undertaken on the undernoted basis in accordance with the Appraisal and Valuation Manual of the Royal Institution of Chartered Surveyors and subject to SPS instructions that re-inspections were limited to those alterations and improvements carried out subsequent to 31 March 1995.
Properties regarded by SPS as operational were valued on the basis of Existing Use Value or, where this could not be assessed because there was no market for the subject asset, the Depreciated Replacement Cost (DRC), subject to the prospect and viability of the occupation and use.
Properties regarded by SPS as non-operational were valued on the basis of Open Market Value.
Where a Depreciated Replacement Cost figure has been provided, the Valuation Certificate also provides an open market valuation (allowing for alternative uses) and these produce amounts significantly lower than the DRC figures.
Scottish Prison Service Annual Report & Accounts 2001-02 53 The sources of information and assumptions made in producing the various valuations are set out in the Valuation Certificate, which is not published within the Annual Report and Accounts.
The valuation figures incorporated in the accounts are the aggregate of separate valuations of parts of the portfolio and not a valuation or apportioned valuation of the portfolio valued as a whole. SPS property valued on a DRC basis made use of Home Office Reference Cost Data (RCD). The source of this data has changed from historical cost data established in the 1980’s, as updated with indices, to a more appropriate basis using current cost data. The impact of this change is reflected in notes 4 and 7.
Provision for depreciation is made to write off the cost of fixed assets on a straight-line basis over the expected useful lives of the assets concerned. The expected useful lives are as follows, in compliance with Financial Reporting Standard 15:
Buildings Not exceeding 80 years Fixed Plant and Equipment Not exceeding 40 years Computers 2 years Motor Vehicles 5 years Moveable Plant & Equipment 5 years Fixtures & Fittings 5 years
Minor works and furniture are written off in the year of purchase as are all other items costing less than £1,000.
Donated tangible fixed assets are capitalised at their current value on receipt, and this value is credited to the donated assets reserve. Subsequent revaluations are also taken to this reserve. Each year, an amount equal to the depreciation charge on the asset is released from the donated asset reserve to the operating cost statement.
Intangible Fixed Assets Purchased computer software is capitalised as intangible fixed assets where expenditure of £1,000 or more is incurred. Intangible fixed assets are stated at their purchase price, together with any incidental expenses of acquisition. Intangible fixed assets are amortised on a straight-line basis over the expected useful lives of the assets concerned. The expected useful life of purchased computer software is 2 years.
Realised element of depreciation from revaluation reserve Depreciation is charged to expenditure on the revalued amount of assets. An element of the depreciation therefore arises due to the increase in valuation and is in excess of the depreciation that would be charged on the historical cost of assets. The amount relating to this excess is a realised gain on revaluation and is transferred from the Revaluation Reserve to the General Fund.
Private Finance Initiative Contract The accounting treatment for the contract under the Private Finance Initiative has been prepared under the guidance contained in paragraph 5.19 of Treasury Task Force, Private Finance, Technical Note (Revised). The annual commitment is included within Leasing Commitments while reversionary interest is included under Land and Buildings. The prepayment relating to the land and the deferred residual value of the building are released to the Income and Expenditure Account over the period of the contract.
54 Scottish Prison Service Annual Report & Accounts 2001-02 Stocks and Work-In-Progress Stocks and work-in-progress are valued as follows:
– Finished goods are valued at the lower of cost or, where materially different, current replacement cost and net realisable value;
– Work in progress is valued at the lower of cost, including appropriate overheads, and net realisable value.
Value Added Tax The majority of services provided by the Scottish Prison Service fall outwith the scope of Value Added Tax (VAT). However, the manufacturing and sale of goods to external bodies is subject to VAT on both inputs and outputs. The Agency can recover this input VAT and also recovers VAT on certain contracted- out services.
Income is shown in the accounts net of VAT.
Pension Costs and other post retirement benefits The total liability for early retirement costs has been recognised in full in the year in which the prepayment is made and charged against the Operating Cost Statement. The difference between the reduction in the net present value of the prepayment and the reduction in the liability each year is credited to the Operating Cost Statement. Early severance payment obligations are expensed in the year in which the employee leaves SPS.
Capital Charge A charge, reflecting the cost of capital utilised by SPS, is included in the operating costs. The charge is calculated at the government’s standard rate of 6% in real terms on all assets less liabilities, except for donated assets and cash balances with the Office of HM Paymaster General where the charge is nil.
Operating Leases Rentals applicable to operating leases are charged to the Operating Cost Statement as incurred.
Insurance No outside insurance is effected against fire, explosion, common law, third party and similar risks, except where there is a statutory requirement to do so.
Research and Development Expenditure on research and development is treated as an operating cost in the year in which it is incurred.
Scottish Prison Service Annual Report & Accounts 2001-02 55 2. Income from all sources
2001-02 2000-01 £’000s £’000s
Income from sales 1,938 2,165 Loss on sale of assets (43) (282) Rental income - garages 12 14 - quarters 15 17 Release of donated asset reserve 22 20 General revenue 430 334
2,374 2,268
3. Staff Costs
Staff costs during the year were:
2001-02 2000-01 £’000s £’000s
Wages and salaries 100,251 94,333 Social security costs 7,301 6,789 Other pension costs 14,084 14,202 Early departure costs (see Note 22) 592 136
Total employment costs 122,228 115,460
Employees
Number of Employees 2001-02 2000-01
The average number of persons employed during the year was: 4,536 4,702
Pensions Past and present employees are covered by the provisions of the Principal Civil Service Pension Scheme (PCSPS) which is a defined benefit scheme and is unfunded and non-contributory. The Agency recognises the expected costs of providing pensions on a systematic and rational basis over the period during which it benefits from employees’ services by payment to the PCSPS of amounts calculated on an accruing basis. Liability for payment of future benefits is a charge on the PCSPS.
The PCSPS is an unfunded multi-employer defined benefit scheme but the Agency is unable to identify its share of the underlying assets and liabilities. A full actuarial valuation was carried out at 31 March 2000 and details can be found in the separate scheme statement of the PCSPS. For 2001-02, normal employer contributions of £14,084,066 were payable to the PCSPS (2000-01 £14,201,836) at rates in the range 12 to 20.5 per cent of pensionable pay. It has been agreed that contributions will remain at that level for the next two years. Employer contribution rates are reviewed every three years following a scheme valuation by the Government Actuary. The contribution rates reflect benefits as they are accrued, not when the costs are actually incurred, and they reflect past experience of the scheme.
56 Scottish Prison Service Annual Report & Accounts 2001-02 The salary and pension entitlements of the Board Members were:
Real increase Total accrued Salary (as in pension pension at age 60 Salary defined below) at age 60 at 31 March 2002 2000-01 Name and Title Age £’000s £’000s £’000s £’000s
T CAMERON 55 100-105 5-7.5 45-50 90-95 Chief Executive
B ALLISON* 40 50-55 0-2.5 5-10 n/a Director
C CARLIN 38 45-50 0-2.5 10-15 10-15 Director
M DUFFY 53 60-65 0-2.5 20-25 55-60 Director
J MCNEILL* 56 0-5 0-2.5 0-5 20-25 Acting Director
W PRETSWELL 45 65-700-2.5 5-1065-70 Director
P RUSSELL 51 60-65 0-2.5 20-25 55-60 Director
A SPENCER* 55 50-55 0-2.5 20-25 n/a Director
P WITHERS 55 60-65 0-2.5 20-25 60-65 Director
A MACINTYRE 64 5-10- - 5-10 Non-exec. Director
M WISHART 54 5-10- - 5-10 Non-exec. Director
*The salary range reflects remuneration for the months in office. B Allison and A Spencer became Board Members on 1/05/01. J McNeill ceased to be a Board Member on 30/04/01.
Salary includes gross salary, performance pay or bonuses, overtime, recruitment and retention allowances, and any other allowance to the extent that it is subject to UK taxation. None of the above received benefits in kind.
Scottish Prison Service Annual Report & Accounts 2001-02 4957 4. Running Costs
These comprise: 2001-02 2000-01 £’000s £’000s
Repairs and Maintenance 10,326 9,986 Depreciation and impairment 9,626 50,220 Other Staff Related Costs 8,976 5,870 Heat, Light, Telephone etc. 6,425 5,973 Non-Domestic Rates 3,392 3,100 Rentals in operating leases - hire of plant and machinery 110 75 - other operating leases 13,431 13,767 General Expenditure 3,618 2,534 Notional Charges (see Note 21) 79 72
55,983 91,597
Depreciation includes a credit of £5,451k relating to the partial reversal of a previous impairment (£33,794k in 2000-01) arising upon revaluation of land and buildings. Included within Other Operating Leases is an amount of £12,104k (£12,363k in 2000-01) in relation to Private Finance Initiative Expenditure.
5. Other Current Expenditure
These comprise: 2001-02 2000-01 £’000s £’000s
Victualling and Other Supplies 10,092 8,629 Prisoner Earnings 2,066 1,819 Other Costs 8,745 9,496
20,903 19,944
6. Interest Receivable
2001-02 2000-01 £’000s £’000s
Interest on early retirement prepayment 110 164
58 Scottish Prison Service Annual Report & Accounts 2001-02 7. Tangible Fixed Assets
Land & Motor Plant & Comp Fixtures Assets under Buildings Vehicles Equip Equip & Fittings Construction Total
Excluding Donated Assets Cost or Valuation £’000s £’000s £’000s £’000s £’000s £’000s £’000s Opening Balance 347,323 92012,109 9,710 491 7,798 378,351 Additions 7,149 01,858 437 29 14,615 24,088 Completed Assets under Construction 5,692 000 0(5,692) 0 Revaluation Valued 2,191 000 0 02,191 Indexed 11,090 (33) (63) 0 (4) 0 10,990
Disposals (59) (89) (334) (413) (13) 0(908)
Closing Balance 373,386 798 13,570 9,734 503 16,721 414,712
Depreciation Opening Balance 6,669 5806,786 9,097 349 023,481 Charge 12,021 91 1,714 568 150 0 14,544 Reval Adj (2,630) 0 0 0 0 0 (2,630) Backlog 379 (20) (34) 0 (2) 0 323 Disposals (12) (89) (304) (418) (13) 0 (836)
Closing Balance 16,427 562 8,162 9,247 484 0 34,882
NBV at 31/3/2002 356,959 236 5,408 487 19 16,721 379,830
Donated Assets Opening Balance 684 010 0 0 0694 Additions 001 0 0 01 Revaluation 28 000 0 028
Closing Balance 712 0 11 0 0 0 723
Depreciation Opening Balance 11 03 0 0 014 Charge 19 02 0 0 021 Revaluation 1 000 0 01
Closing Balance 31 0 5 0 0 0 36
NBV at 31/3/2002 681 0 6 0 0 0 687
Total Net Book Value At 31/3/2002 357,640 236 5,414 487 19 16,721 380,517
At 31/3/2001 341,327 340 5,330 613 142 7,798 355,550
Scottish Prison Service Annual Report & Accounts 2001-02 59 Tangible Fixed Asset opening balances and prior year Net Book Value have been restated to exclude Intangible Fixed Assets which are shown in Note 8.
The establishments which were revalued by the Chief Valuer of Scotland at 31 August 2001 were HMP and YOI Dumfries, HMP Edinburgh, HMP Greenock and HMP Inverness. The total value of these properties at that date was £98,971,570.
Included within Land and Building is an amount of £6,147,158, representing an increase of £887,592 in the reversionary interest in the Private Finance Initiative prison HMP Kilmarnock.
Donated Assets include a Visitor Reception Centre at Edinburgh provided to the Scottish Prison Service in March 2000 with the restriction that it be leased to the developer, for a peppercorn rent for a period of 35 years, to be used solely as a Visitors Reception Centre.
8. Intangible Fixed Assets The Agency’s intangible fixed assets comprise purchased computer software.
Cost or Valuation £’000s
Opening Balance 2,886 Additions 271 Revaluation 0 Disposals (6)
Closing Balance 3,151
Amortisation
Opening Balance 2,094 Charge 499 Revaluation 0 Disposals 0
Closing Balance 2,593
Net Book Value at 31/3/2002 558
At 31/3/2001 792
9. Stocks 2001-02 2000-01 The main categories of stock held are: £’000s £’000s
Consumables 1,732 2,038 Works, Estates and Locks 606 551 Industries raw materials, work in progress and finished goods for resale 2,160 1,805 Provision for obsolete stock (437) (486)
4,061 3,908
60 Scottish Prison Service Annual Report & Accounts 2001-02 10. Debtors 2001-02 2000-01 £’000s £’000s Amounts due within one year: Trade Debtors 582 722 Provision for Bad Debts (55) (75) Other Debtors 334 223 Prepayments and Accrued Income 842 1,328 Recoverable VAT 1,603 1,539
3,306 3,737
Amounts due after more than one year: Prepayment 1,364 1,938 Other Debtors 382 479
1,746 2,417
5,052 6,154
11. Cash at Bank and in Hand 2001-02 2000-01 £’000s £’000s
Accounts at the Office of HM Paymaster General 315 203 Other Bank Accounts 45 10 Cash in Hand 41 53
401 266
In addition the Scottish Prison Service holds £174,299 (2000-01 £188,713) in respect of Common Good Fund balances on behalf of prisoners.
12. Creditors 2001-02 2000-01 £’000s £’000s Amounts due within one year: Trade Creditors 4,782 4,347 Accruals 5,153 4,340 Other Creditors 357 213 Deferred Income 135 156 Excess Receipts due to the Scottish Consolidated Fund 830 830
11,257 9,886 Amounts due after more than one year: Deferred Residual Interest 4,339 4,095
15,596 13,981
Deferred Income is based on the accounting conventions adopted for resource-based supply.
Scottish Prison Service Annual Report & Accounts 2001-02 5361 13. Movement in Provision and Charges
The provision for future pension payments and other charges is as follows:
Other Charges Pension Total 2001-02 2001-02 2001-02 2000-01 £’000s £’000s £’000s £’000s
Balance at 1 April 2001 145 2,197 2,342 3,615 Provided in the year 1,921 0 1,921 34 Amounts utilised in the year (326) (864) (1,190) (1,097) Released in the year (50) 0 (50) (210)
Balance at 31 March 2002 1,690 1,333 3,023 2,342
14. Movement in General Fund 2001-02 2000-01 £’000s £’000s
Balance at 1 April 2001 325,276 353,526 Deficit for financial year (221,122) (250,618) Exchequer Contribution 210,881 198,874 Transfer from/(to) Deferred Income 20 (58) Transfer of realised element from Revaluation Reserve (Note 16) (141) 598 Notional Charges (Note 21) 21,786 22,954
Balance at 31 March 2002 336,700 325,276
15. Donated Asset Reserve 2001-02 2001-02 2001-02 2000-01 £’000s £’000s £’000s £’000s Land & Plant & Building Equipment Total Total
Balance at 1 April 2001 673 7 680 1,009 Donated during year 0110 Revaluation 28 0 28 (309) Release of Reserve Operating Statement (20) (2) (22) (20)
Balance at 31 March 2002 681 6 687 680
62 Scottish Prison Service Annual Report & Accounts 2001-02 16. Movement in Revaluation Reserve 2001-02 2000-01 £’000s £’000s
Balance at 1 April 2001 24,391 40,162 Net Revaluation surplus/(deficit) 8,661 (56,251) Revaluation Adjustment 1,709 41,221 Backlog depreciation (319) (143) Permanent Diminution in Assets 0 0 Realised elements transferred (to)/ from General Fund 141 (598)
Balance at 31 March 2002 34,583 24,391
17. Leasing Commitments
At 31 March 2002 the Agency had annual commitments for operating lease rentals as follows:
2001-02 2001-02 2000-01 £’000s £’000s £’000s Land & Buildings Other Leases All Leases
Expiring within 1 year 09430 Expiring between 1 and 5 years 0 566 60 Expiring between 6 and 10 years 959 0 959 Expiring between 21 and 25 years 0 12,446 12,326
959 13,021 13,775
Included within other leases is the annual commitment for a contract, which SPS awarded under the Private Finance Initiative to design, construct, manage and finance a prison at Kilmarnock. This contract commenced in March 1999 and was let for a period of 25 years. The annual commitments vary each year with more significant variations in later years, with a reduction of approximately £5m over years 18 to 25. The estimated capital value of the project is approximately £34m.
In the event of termination of the PFI contract, the SPS has committed to pay certain amounts to the contractor according to defined formulae. In the case of voluntary termination by SPS, a sum will be payable based on the equity value of the contract and certain other costs. In the event of termination due to contractor default, a sum will be payable based on lender liabilities less full rectification and any additional costs incurred by SPS as a result of executing this option.
Scottish Prison Service Annual Report & Accounts 2001-02 0063 18. Capital Commitments
The Scottish Prison Service is committed to the following: 2001-02 2000-01 £’000s £’000s
Committed at 31 March 2002 27,231 6,046
This figure includes the amount contracted at 31 March 2002 with additional amounts committed in order to fulfil the capital programme.
19. Contingent Liabilities
At 31 March 2002 the Agency had outstanding contingent liabilities totalling: 2001-02 2000-01 £’000s £’000s
1,043 1,701
20. Resource Account and Losses
Receipts and payments of the Scottish Prison Service will be recorded in the Scottish Executive Resource Account for 2001-02. The Scottish Prison Service is a supply-financed agency of the Scottish Executive. The Agency's expenditure forms a section within the Scottish Executive Justice Department.
2001-02 2000-01 Losses Statement Cases £’000s Cases £’000s
Total 595 419 498 176
Notes Special Payments Total 351 302 250210
Special payments include one case amounting to £103,006, which was a compensation claim for personal injury.
64 Scottish Prison Service Annual Report & Accounts 2001-02 21. Notional Charges
The following notional charges have been included in the accounts:
2001-02 2000-01 £’000s £’000s
Cost of capital charges 21,671 22,844 Scottish Executive Services 36 38 Auditors remuneration 79 72
21,786 22,954
The Cost of Capital charge is calculated as 6% of all assets less liabilities over the year, except for donated assets and cash balances with the Office of HM Paymaster General where the charge is nil.
22. Early Departure Costs
The cost of early departures to the Scottish Prison Service in 2001-02 was £592k (£136k in 2000-01) and represents the cost of early departure decisions made in the current and earlier years.
23. Key Financial Target
The Agency’s key financial target was to keep the cost per available prisoner place within £32,600. The actual annual average cost per prisoner place, calculated on a resource accounting basis (excluding capital charges), in 2001-02 was £30,172 (restated 2000-01 £28,240).
No financial target has been set inclusive of capital charges. However, for information purposes, the actual annual average cost per prisoner place, calculated on a resource accounting basis (including capital charges), in 2001-02 was £35,226 (2000-01 £40,102).
24. Related Party Transactions
The Scottish Prison Service is an Executive Agency of the Scottish Executive. The Scottish Executive is regarded as a related party with which the Agency has various material transactions during the year. During the year, none of the Board Members, members of key management staff or other related parties has undertaken any material transactions with the Agency.
Scottish Prison Service Annual Report & Accounts 2001-02 65 Independent Auditor’s Report to the Scottish Parliament and the Auditor General for Scotland
I have audited the financial statements on pages 48 to 65 under the Public Finance and Accountability (Scotland) Act 2000. These financial statements have been prepared under the historical cost convention as modified by the revaluation of certain fixed assets and the accounting policies set out on pages 53 to 55 .
Respective responsibilities of the Agency, the Chief Executive and Auditor
As described on pages 46 and 47 the Agency and Chief Executive are responsible for the preparation of the financial statements and for ensuring the regularity of financial transactions. The Agency and Chief Executive are also responsible for the preparation of the other contents of the Annual Report. My responsibilities, as independent auditor, are established by the Public Finance and Accountability (Scotland) Act 2000 and the Code of Audit Practice approved by the Auditor General for Scotland, and guided by the auditing profession’s ethical guidance.
I report my opinion as to whether the financial statements give a true and fair view and are properly prepared in accordance with the Public Finance and Accountability (Scotland) Act 2000 and directions made thereunder by the Scottish Ministers and whether, in all material respects:
• the expenditure and receipts shown in the financial statements were incurred or applied in accordance with any applicable enactments and guidance issued by the Scottish Ministers, the Budget (Scotland) Act covering the financial year and sections 4 to 7 of the Public Finance and Accountability (Scotland) Act 2000;
• the sums paid out of the Scottish Consolidated Fund for the purpose of meeting the expenditure shown in the financial statements were applied in accordance with section 65 of the Scotland Act 1998.
I also report if, in my opinion, the Foreword is not consistent with the audited financial statements, if the Agency has not kept proper accounting records, or if I have not received all the information and explanations I require for my audit.
I read the other information contained in the Annual Report, and consider whether it is consistent with the audited financial statements. I consider the implications for my report if I become aware of any apparent misstatements or material inconsistencies with the financial statements.
I review whether the statement on pages 46 and 47 complies with Scottish Executive guidance on statements on the system of internal control. I report if the statement does not comply with the guidance, or if the statement is misleading or inconsistent with other information I am aware of from my audit.
Basis of Audit Opinions
I conducted my audit in accordance with the Public Finance and Accountability (Scotland) Act 2000 and the Code of Audit Practice, which requires compliance with relevant United Kingdom Auditing Standards issued by the Auditing Practices Board.
An audit includes examination, on a test basis, of evidence relevant to the amounts, disclosures and regularity of expenditure and receipts shown in the financial statements. It also includes an assessment of the significant estimates and judgements made by the Agency and Chief Executive in the preparation of the financial statements, and of whether the accounting policies are appropriate to the Agency’s circumstances, consistently applied and adequately disclosed.
66 Scottish Prison Service Annual Report & Accounts 2001-02 I planned and performed my audit so as to obtain all the information and explanations which I considered necessary in order to provide me with sufficient evidence to give reasonable assurance that the financial statements are free from material misstatement, whether caused by fraud or other irregularity or error, and that, in all material respects, the expenditure and receipts shown in the financial statements were incurred or applied in accordance with any applicable enactments and guidance issued by the Scottish Ministers. In forming my opinion I also evaluated the overall adequacy of the presentation of information in the financial statements.
Opinion
Financial statements In my opinion the financial statements give a true and fair view of the state of affairs of the Scottish Prison Service Executive Agency at 31 March 2002 and of the net cost for the financial year, recognised gains and losses and cash flows for the year then ended and have been properly prepared in accordance with the Public Finance and Accountability (Scotland) Act 2000 and directions made thereunder by the Scottish Ministers.
Regularity In my opinion, in all material respects: • the expenditure and receipts shown in the financial statements were incurred or applied in accordance with any applicable enactments and guidance issued by the Scottish Ministers, the Budget (Scotland) Act covering the financial year and sections 4 to 7 of the Public Finance and Accountability (Scotland) Act 2000;
• the sums paid out of the Scottish Consolidated Fund for the purpose of meeting the expenditure shown in the financial statements were applied in accordance with section 65 of the Scotland Act 1998.
Fiona Kordiak CPFA, Chief Auditor Audit Scotland (Edinburgh Area) Osborne House, 1/5 Osborne Terrace Edinburgh EH12 5HG
27 June 2002
Scottish Prison Service Annual Report & Accounts 2001-02 67 Appendix to the Accounts
Scottish Prison Service Direction by the Scottish Ministers in accordance with Article 19(4) of The Public Finance and Accountability (Scotland) Act 2000
1. The statement of accounts for the financial year ended 31 March 2001 and subsequent financial years shall comply with the accounting principles and disclosure requirements of the edition of the Resource Accounting Manual which is in force for the year for which the statement of accounts are prepared.
2. The statement of accounts shall give a true and fair view of the income and expenditure and cash flows for the financial year, and the state of affairs as at the end of the financial year.
3. In addition to the requirements of the Manual:
3.1. When preparing its income and expenditure account, the Scottish Prison Service shall have regard to the profit and loss account format 2 prescribed in Schedule 4 to the Companies Act 1985 to the extent that such requirements are appropriate to the Scottish Prison Service.
4. This direction shall be reproduced as an appendix to the statement of accounts. This direction supersedes the one dated 25th April 2000.
P S Collings Signed by the authority of the Scottish Ministers
Dated 29th March 2001
Printed in the UK for The Stationery Office Limited on behalf of the Queen’s Printer for Scotland c5 7/02
68 Scottish Prison Service Annual Report & Accounts 2001-02
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