Scottish Prison Service: 
Correctional opportunities for prisoners

Prepared for the Auditor General for Scotland – January 2005

Auditor General for Scotland
The Auditor General for Scotland is the Parliament’s watchdog for ensuring propriety and value for money in the spending of public funds.

He is responsible for investigating whether public spending bodies achieve the best possible value for money and adhere to the highest standards of financial management.

He is independent and not subject to the control of any member of the Scottish Executive or the Parliament.

The Auditor General is responsible for securing the audit of the Scottish Executive and most other public sector bodies (except local authorities and fire and police boards).

The following bodies fall within the remit of the Auditor General:

• departments of the Scottish Executive eg, the Health Department

• executive agencies eg, the Prison Service, Historic Scotland

• NHS boards

• further education colleges

• Scottish Water

• NDPBs and others eg, Scottish Enterprise.

Audit Scotland is a statutory body set up in April 2000 under the Public Finance and Accountability (Scotland) Act 2000. It provides services to the Auditor General for Scotland and the Accounts Commission. Together they ensure that the Scottish Executive and public sector bodies in Scotland are held to account for the proper, efficient and effective use of public funds.

Part 1. Introduction

We will be recognised as the leader in prisons’ correctional work which helps reduce recidivism and thereby offers value for money for the taxpayer.

SPS Vision for Correctional Excellence.

1. 1 A prison sentence has a number of purposes: it protects the public (for the duration of the sentence); it signals strong public disapproval of an offence; it acts as a punishment; and it has a potential role in reducing re-offending. This report looks at the correctional opportunities which the Scottish Prison Service (SPS) provides to reduce the risk of re-offending by improving prisoners’ skills, addressing their offending behaviour, tackling addictions and preparing prisoners for release.

The Scottish Prison Service operates as an Executive Agency

1.2 The SPS was established as an Executive Agency of the (then) Scottish Office in 1993. The agency operates within the terms of a Framework Document that sets out the policy and resources within which SPS will operate and the matters delegated to the chief executive for decision. The SPS chief executive is responsible and accountable for operational and contractual matters involving the agency, including a duty as accountable officer to ensure its resources are used economically, efficiently and effectively. The cost of operating SPS in 2003-04 was around £260 million and the average cost per prisoner place was £33,244.

1.3 The primary role of SPS is to protect the public by holding prisoners securely in a safe, decent and healthy environment. SPS has no statutory duty to rehabilitate prisoners but it has recognised the importance of rehabilitation. Following publication in 1990 of Opportunity and Responsibility, in which SPS outlined its approach to the rehabilitation of long-term offenders, SPS adopted the ‘mission’ to maintain secure custody and good order, and to care for prisoners with humanity and provide them with appropriate opportunities. In 2000 SPS published its ‘Vision for Correctional Excellence’ to provide ‘outstanding prison practice in protecting the public and reducing the risk of re-offending’.

1.4 There are 16 prison establishments in Scotland. They range in size and type from HMP Barlinnie in Glasgow, with a capacity of over 800 places to HMP Inverness, which can hold just over 100 prisoners. HMP Cornton Vale near Stirling is the main establishment for female prisoners, and HMYOI Polmont is a dedicated establishment solely for male young offenders. HMP Castle Huntly and HMP Noranside together comprise the ‘Open Estate’, and HMP Kilmarnock is privately managed by Premier Prisons under contract to SPS. Some prisons, such as HMP Perth, HMP Barlinnie and HMP Peterhead were built in the 19th century and are being upgraded to provide the modern facilities offered in new build establishments such as HMP Kilmarnock. 

1.5 SPS has a statutory obligation to accommodate everyone sent by the courts, whether on remand or on conviction. During 2003-04, SPS dealt with around 30,000 individual prisoners and an average daily prison population exceeding 6,600. Prisoners are generally classified by gender, age (those aged 21 and under are classified as young offenders) and length of sentence (those sentenced to four years or more are long-term and others short-term). Prisoners are also assessed for their risk to the public, with those in higher risk categories being held in higher security conditions. A breakdown of the 2003-04 prison population is set out in Exhibit 3.

Re-offending by ex-prisoners is a major problem in Scotland and its reduction would offer benefits to society

1.6 Re-offending by ex-prisoners is a major problem facing the Scottish Criminal Justice System. In its 2002 report, Reducing re-offending by ex-prisoners, the Social Exclusion Unit (part of the Office of the Deputy Prime Minister) estimated that ex-prisoners in England and Wales are responsible for around one in five of all crimes. An analysis of prisoners released from Scottish prisons in 19991 showed that just under half (47%) returned to prison within two years. The analysis also found that re-imprisonment rates were particularly high among those who had served prison sentences of less than 12 months, young offenders, and those with a history of criminal convictions.

1.7 The costs of re-offending are likely to be high. The report by the Social Exclusion Unit estimated that recorded crime committed by ex-prisoners in England and Wales cost at least £11 billion per year. This figure took no account of the amount of unrecorded crime committed by ex-prisoners or the unquantifiable costs of re-offending by ex-prisoners, such as the impact on victims and communities. No similar research has been undertaken in Scotland but Scottish Ministers have recognised the need to take action to address re-offending and rising prison populations, and improve how offenders are managed through their sentences to their reintegration into a law-abiding lifestyle.2

Many prisoners have significant problems which correctional opportunities seek to address

1.8 A high proportion of prisoners display problems that make it difficult for them to participate in society.  The report by the Social Exclusion Unit found that high proportions of the prison population in England and Wales were poorly educated, had limited work experience, suffered problems with alcohol or drugs and had little family support.  Prisoners may also have physical or mental health problems, including behavioural difficulties which are directly linked to their offences. SPS recognises that a significant proportion of its prisoner population displays similar problems.

1.9 Correctional opportunities can address some of the problems commonly displayed by prisoners.  Prisons cannot be expected to cure all prisoners’ problems, and a prison sentence can exacerbate problems as skills or personal circumstances deteriorate. However, research evidence suggests that access to correctional opportunities can be effective in improving basic skills and reducing re-offending.

SPS provides a wide range of opportunities to address prisoners’ problems

1.10 Since its inception as an Executive Agency, SPS has adopted a strategic approach to improving Scotland’s prisons. Initially, it focused on tackling problems associated with custody (fewer escapes) and order (less disorder). As these improvements were implemented, the focus changed to place greater emphasis on improving the standard of care (for example, healthcare) and on providing structured correctional opportunities.  

1.11 The SPS ‘Vision for Correctional Excellence’ is supported by five ‘pillars’. The first of these, which has become known as ‘the Correctional Agenda’, emphasises SPS’ commitment to providing correctional services which compare well with those delivered elsewhere in the world and deliver opportunities which will help reduce re-offending. SPS recognises, however, that this important aspect of its work cannot be delivered unless the right resources (covered by the other four ‘pillars’) are in place.

1.12 SPS provides a range of opportunities which aim to improve prisoners’ skills, address their offending behaviour and help to reduce re-offending. The provision of these opportunities offers the twin benefits of helping to maintain order in prisons and contributing to a reduction in the risk of re-offending, thereby contributing to the SPS ‘Vision for Correctional Excellence’. SPS estimated that some £30 million was spent on the correctional opportunities during 2003-04 – some 12 per cent of the total cost of prison operations. This includes £13.7 million for employment opportunities of which some £2.2 million comprises work-related training. 

SPS has recently introduced a number of initiatives to improve correctional opportunities

1.13 During 2004, SPS introduced a range of initiatives designed, at least in part, to improve the provision of correctional opportunities for prisoners in SPS-managed prisons. These initiatives are discussed more fully in Parts 2 and 3.

SPS faces a number of constraints in providing correctional opportunities

1.14 There are a number of factors which will affect the ability of SPS to provide correctional opportunities. These include: 

• Increases in prisoner numbers and subsequent overcrowding
Prisoner numbers in Scotland have increased from an average daily population of 5,400 in 1992-93 to a corresponding figure of 6,620 in 2003-04 (an increase of 23 per cent). The prison population reached a peak of 7,072 in March 2004. 

Based on observed trends in sentencing behaviour over the last 30 years, the prison population is projected to exceed 8,000 by 2012-13. Increases in the prisoner population have led to pockets of overcrowding, for example, at the time of our visit (June 2004), HMP Barlinnie held 1,156 prisoners against a design capacity of 850. In his 2003-04 annual report, HM Chief Inspector of Prisons in Scotland wrote:

‘It was in last year’s annual 
report that I said “Addressing offending behaviour is perhaps the greatest casualty of prison overcrowding.”  One year later overcrowding is worse.’

• Current condition of the prison estate in Scotland	
SPS has a number of buildings and prisons which are inadequate for purpose, for example, some prisons still require a number of prisoners to ‘slop out.’ These conditions undermine the efficiency and effectiveness of SPS correctional activities.  

• Budget savings in 2003-04 and 2004-05	
One aim of the SPS ‘Vision for Correctional Excellence’ is to demonstrate value for money to the taxpayer by making costs competitive. To this end, every SPS-managed prison has been required to make a five per cent budget saving during 2003-04, and again in 2004-05. In his 2003-04 annual report, HM Chief Inspector of Prisons in Scotland expressed concern at the effect of these savings on prisons’ capacity to reduce re-offending.

Audit Scotland study

1.15 We carried out this study to evaluate the economy, efficiency and effectiveness of the SPS correctional opportunities for prisoners. We used a range of methods to obtain evidence about SPS correctional activities, including:

• a review of SPS objectives, targets and achievements relating to correctional opportunities, including evidence of effectiveness

• a survey of the correctional opportunities provided in each prison in Scotland

• a review of relevant literature

• visits to seven prisons to examine individual prisoner records and interview a number of prisoners and SPS staff

• a survey of other relevant organisations.

1 Return to custody in Scottish prisons, SPS Research Bulletin Issue 8.
2 Ministerial foreword to the Scottish Executive consultation on Reducing Re-offending in Scotland, March 2004.

Part 2. SPS’ objectives and reported performance

2.1 This part of the report looks at the management arrangements used to monitor SPS performance in providing correctional opportunities for prisoners in terms of:

• objectives
• business planning
• achievements
• comparisons with other prison services.

Objectives 

Statute and ministerial objectives do not set clear goals for the delivery of correctional opportunities
2.2 Statutes governing the operation of prisons in Scotland, dating back to the Prisons (Scotland) Act 1877, relate to duties to safeguard prisoners and to the care and welfare of prisoners. There is no statutory duty to undertake rehabilitation, or to offer correctional opportunities.

2.3 SPS is expected to meet objectives set by ministers, including plans set out in the Scottish Executive Budget 2004-05 to reduce re-offending. In addition, SPS produces a periodic business plan which is agreed by ministers. The 2003-04 Business Plan included a series of key objectives covering all the correctional opportunities we looked at with the exception of employment opportunities. SPS is currently revising its approach to prisoner employment to provide a greater focus on vocational training to replace a previous emphasis on production.

2.4 However, both ministerial objectives and business plans lack the detail necessary to assess SPS performance. Although the SPS Business Plan includes targets for the number of prisoners completing rehabilitation programmes and the number of prisoner learning hours delivered, there are no targets or any other detail in either the Scottish Executive Budget or the SPS Business Plan on the level of input, output or outcomes expected from the correctional opportunities covering employment opportunities, addiction treatments or Link services – which may contribute to the overall objective of reducing re-offending. 

SPS has no defined budget for correctional opportunities
2.5 Within SPS headquarters, the Rehabilitation and Care Directorate is responsible for coordinating the development of a range of services for prisoners, including correctional opportunities. Of the total cost of operating SPS in 2003-04 (£260 million), around £50 million was spent on activities developed and managed by the Rehabilitation and Care Directorate. This figure covers centrally held contracts for external service providers, but the majority is spent by prisons as part of their devolved budgets. The figure covers correctional opportunities (programmes, approved activities, education, employment opportunities, addiction treatments) and a range of other services such as healthcare, catering, social work, physical education and chaplaincy. The total figure is not, however, broken down to specific services.

2.6 Similarly, although correctional opportunities involve a significant element of staff time, prison budgets focus on staff costs and other expenditure in overall terms, with limited detailed budget information for specific activities such as correctional opportunities.

Reported performance shows that SPS has provided increasing levels of correctional opportunities
2.7 Scottish ministers set key performance indicators (KPIs) and targets for the delivery of SPS aims and objectives. These targets are designed to measure the efficiency, effectiveness and economy of SPS.  SPS monitors the performance of each prison against these targets at monthly intervals, and the results are reported to the Justice Minister.

2.8 For 2003-04 ministers set SPS seven key performance targets. Two of these related to the provision of correctional opportunities – the number of prisoners completing accredited programmes and approved activities, and the number of prisoner learning hours delivered through education activity in prisons.
  
2.9 SPS has consistently exceeded these targets. Since 2001-02 the target for numbers of prisoners completing programmes has increased from 700 to 1,300 while the actual number rose from 871 to 2,137. The target for prisoner learning hours rose from 250,000 to 325,000 while actual numbers rose from 307,222 to 429,465.

Recent developments should provide a wider base for monitoring performance

Inclusion policy 
2.10 During the 1990s, the development of correctional opportunities focused primarily on long-term prisoners. In 2000, in recognition of the needs of other types of prisoner, SPS published Intervention and Integration for a Safer Society as a base for developing a range of opportunities available to all prisoners.  

2.11 In 2002, SPS introduced the concept of ‘Inclusion’ in specific recognition of the needs of short-term prisoners (with sentences up to four years). Inclusion sits alongside other SPS rehabilitation work, such as healthcare and accredited programmes, which together should offer a range of research-based opportunities to address offending behaviour, improve health and prepare for release. The Inclusion concept is underpinned by four key principles:

• Evidence-based assessment of need.

• Meaningful and appropriate interventions and activities.

• Seamless transitions from custody to community by fostering effective partnerships.

• Information sharing with partners to maximise the impact of community integration and support on release.

2.12 Further guidance on the implementation of the Inclusion policy was issued in an Inclusion Manual in April 2004. This sought to ensure a consistent approach by addressing the opportunities to be provided in three areas: social care, addictions and learning, skills and employability. The manual included a set of policy objectives through which Inclusion would be pursued.

2.13 The Inclusion objectives cover the full range of correctional opportunities provided by SPS. They highlight factors important to the link between correctional opportunities and reducing re-offending, such as the need for opportunities to be based on evidence about what works, and a targeted approach to education and employment opportunities. The objectives also include links with external agencies to promote integration with the community after release. The SPS Rehabilitation and Care Directorate business plan includes corporate targets and timescales for the Inclusion objectives, and each prison’s performance will be monitored via the performance contracts.

Business planning
2.14 HMP Kilmarnock, opened in 1999, is privately managed by Premier Prisons under contract to SPS. The contract between SPS and HMP Kilmarnock includes over 70 performance measures and targets to monitor the performance of the prison, including a requirement for all prisoners to be involved in ‘constructive activity’ (industries, education, programmes, approved activities, physical education) for at least 35 hours per week. Prisoner activity at Kilmarnock is monitored by SPS and the prison faces financial penalties if the overall performance falls short of expectation.

2.15 In September 2002, the Deputy First Minister challenged SPS to ‘bridge the gap’ between the private and public sectors and to introduce a performance measurement system which would bring clarity, focus and transparency to how the performance in all publicly managed prisons in Scotland is measured. SPS has addressed ministerial demands by developing performance contracts for all SPS-run prisons from April 2004.

2.16 The performance contracts are designed to reflect the SPS corporate plan and monitor each establishment’s compliance with SPS security standards, operating standards, ACT (Action, Care and Teamwork) standards for suicide prevention, and healthcare standards. The operating standards include a set of performance indicators to measure each prison’s progress in assessing prisoners’ needs and delivering a number of correctional opportunities in addition to those covered by SPS KPIs. These performance indicators include targets for Link services, addictions assessments and work skills qualifications. New performance measures may be developed as information becomes available.

2.17 An individual prison’s performance contract may include a number of waivers which have been agreed between the SPS Director of Prison Services and the establishment. These waivers may be for standards which are not applicable for a given establishment, or where a prison is currently unable to implement a standard but has a plan to do so.

2.18 The refined SPS business planning process, and the introduction of performance contracts, provide a clearer link between the SPS ‘Vision for Correctional Excellence’ and the delivery of correctional opportunities within prisons. The contracts clearly list the standards and services which each prison is expected to provide; each performance measure in the contract has a target to allow monitoring within each establishment; and the contracts include performance measures and targets for correctional opportunities not covered by the KPIs.

New contracts with external providers
2.19 With the exception of HMP Kilmarnock (which employs its own tutors), learning opportunities within Scotland’s prisons are delivered under contract by a number of Further Education colleges (Motherwell, Lauder, Aberdeen) for their local prisons and by Highland Council for HMP Inverness. The delivery of education within each prison is monitored by SPS to ensure activity matches contractual expectations. The contract to provide education in SPS-managed prisons is due for renewal from April 2005.  The new education contract is expected to specify greater links between education and work-based (vocational) skills training (in line with the Inclusion policy), and to include outcome measures to monitor the effectiveness of the education opportunities provided.

2.20 SPS has a contract with Cranstoun Drug Services (a not-for-profit, non-governmental organisation) to assess prisoners’ addictions problems, develop care plans, and refer prisoners to appropriate services and agencies inside and outside prison to address identified needs. Cranstoun also provide a 12-week post-release transitional care service which helps prisoners access a range of community services such as housing, benefits, education and employment. SPS is currently inviting tenders to provide these services from July 2005.  

Developing international comparisons
2.21 Prison services in different countries vary widely in their priorities and approaches towards the rehabilitation of offenders. It is therefore difficult to make international comparisons and to benchmark SPS performance in providing correctional opportunities against other countries. To date, there have been no readily available data to allow such comparisons.

2.22 The SPS vision includes an objective to ‘be recognised as the leader in prisons’ correctional work, helping to reduce re-offending and thereby offering better value for money for the taxpayer’. As a measure of its international standing, SPS has taken a lead in developing benchmarking information by coordinating the work of an international group which also includes prison services from Belgium, Canada, Denmark, Ireland, Finland, the Netherlands, New Zealand, Norway and Sweden. The group is currently developing a set of benchmarking data relating to prisoner costs.

Recommendations

Scottish Executive

• To improve the range of objectives and targets for reducing re-offending to provide a clearer link to the correctional opportunities provided by SPS.

SPS should:

• consider developing better budgeting information for services such as correctional opportunities to strengthen the management of financial resources

• use information being developed through recent initiatives to:

• monitor the timescale for implementing the Inclusion policies

• further develop performance information in performance contracts to provide a clear view of each prison’s contribution to the correctional agenda

• continue to develop international benchmarking as a means of monitoring progress towards the ‘Vision for Correctional Excellence’.

Part 3. The opportunities provided 
in prisons

3.1 SPS expects prisons to deliver correctional opportunities based on evidence of what works and which deliver value for money. To achieve this, it is important that services are targeted towards those prisoners who are likely to benefit most and that opportunities are delivered consistently. This part of the report examines the extent to which prisons are delivering against those expectations in terms of:

• prisoners’ access to correctional opportunities

• matching prisoners to opportunities

• costs of correctional opportunities

• prisoners’ views on correctional opportunities.

The level of correctional opportunities available at individual prisons varies

3.2 Before the introduction of performance contracts in April 2004, the level and nature of the correctional opportunities provided by each prison (with the exception of the KPI measures) were decided locally. The way in which each prison uses its resources to meet SPS strategic objectives, including the type and level of correctional opportunities provided, are now detailed in each prison’s performance contract.
 
3.3 In 2003-04, the SPS’ KPI results showed that a total of 2,137 prisoners had completed offending behaviour programmes and approved activities, and that a total of 429,465 prisoner learning hours had been delivered. These total figures mask significant variations in the level of activity at individual establishments in terms of both the numbers of prisoners involved and the types of opportunity available.
  
• Offending behaviour programmes and approved activities
The number of prisoners completing programmes varied from 125 (26% of the average daily number of prisoners in custody) at Glenochil to none in the Open Estate and in Inverness; while the number completing approved activities ranged from 213 (32%) in Perth to 20 (9%) in Aberdeen.

Prisons also offered different ranges of opportunities; Barlinnie offered places on five of six accredited offending behaviour programmes while none was on offer in either the Open Estate or in Inverness. For approved activities Perth offered places on nine different activities, while prisons such as Aberdeen, Barlinnie and Low Moss offered places on only one. 

Programmes may last up to a year, and are targeted primarily at long-term prisoners. Therefore, the availability of programmes partly reflects the differences between individual prison populations, for example, programmes are not considered appropriate at HMP Inverness as it has a short-term prisoner population. No programmes are available at the Open Estate, as prisoners are expected to have completed all relevant programmes before transfer.
	
Our analysis shows that, generally, prisons with higher proportions of long-term prisoners appear to offer most places on programmes. However, the variation is not uniform and some prisons with mixed sentence-length populations (such as HMP Cornton Vale) appear to offer relatively high numbers of programme places while others with significant proportions of long-term prisoners (such as HMP Greenock) appear to offer relatively few programme places.

• Education
The number of prisoner learning hours delivered at each establishment in 2003-04 ranged from 112 hours per prisoner in HMP Kilmarnock to 35 hours per prisoner in HMP Barlinnie. From 2004-05, SPS set a target that 75% of all prisoner learning hours should relate to basic skills.

3.4 There is no central record of activity for opportunities which are not covered by the KPIs (number of prisoners completing offending behaviour programmes and approved activities, number of prisoner learning hours delivered). However, during our visits to seven prisons we found examples of significant variation in the services on offer to prisoners under each of the opportunities we looked at.

• Employment opportunities and addiction treatments
Prisoners’ access to employment opportunities and addiction treatments varied between establishments due to a lack of resources (staff and facilities). The absence of facilities resulted in waiting lists for access to employment opportunities and restrictions on the access available to certain types of prisoner at six prisons. At HMP Glenochil vacancies for counsellors had resulted in a waiting list of up to a year for one-to-one support treatment for addictions. 

• Links centres
SPS recognises the need to develop clear links with outside agencies to ensure prisoners have access to other factors important in reducing re-offending on release such as accommodation, access to a job or employment benefits and healthcare (particularly addiction treatment). Links centres improve access to agencies delivering these services after release but we found that the provision and quality of the centres varied across prisons. Prisons such as HMP Low Moss and HMP Inverness were currently developing Links centres, whereas at HMP Edinburgh, where the initiative was piloted, a full range of pre-release services was offered in a dedicated facility. Although waiting lists and waiting times for the various services were generally short, in some cases (for example, if many prisoners are referred) prisoners may be released without receiving the appropriate services. 

• Family Contact Development Officers
A stable home life is an important factor in reducing the risk of a prisoner re-offending, and supporting family contact is a core service available to all prisoners. SPS encourages family contact through the provision of Family Contact Development Officers (FCDOs). Each prison had at least one FCDO. The number varied between one (HMP Peterhead) and six (HMP Kilmarnock). In some prisons FCDOs were full-time, while in others they also had residential or other duties. SPS holds quarterly meetings with FCDOs to encourage communication and share good practice. However, attendance at these meetings is variable and FCDOs at one of the prisons we visited (HMP Barlinnie) were unaware of the meetings. In addition, in a study on the effects of imprisonment on prisoners’ families in Tayside, there was little awareness among families of FCDOs or where to obtain information.5

3.5 HM Inspectorate of Prisons examines each establishment's range of opportunities for prisoners (including offending behaviour programmes, work and education), and prisoners' access to them. In his 2003-04 annual report, HM Chief Inspector of Prisons in Scotland noted that:

• few prisons can provide enough work or education for prisoners

• addressing prisoners’ addiction problems and delivering offending behaviour programmes were hindered by overcrowding and budget savings

• Links centres were proving useful both during induction and in establishing links with the community before release

• preparation for release should be improved in certain establishments containing long-term prisoners.

SPS plans to provide consistent access to opportunities depending on the length of a prisoner's sentence

3.6 One of the aims of SPS’ Inclusion policies is to improve the range of opportunities available to address the social and criminogenic needs of short-term prisoners. As a first step in that process, SPS introduced the ‘Core Plus’ initiative in April 2004. This initiative provides a clear statement of all care and rehabilitation services available to different categories of prisoner, based on sentence length. The introduction of Core Plus aims to ensure that all prisoners receive a basic service, with additional services and opportunities available to meet individual prisoners’ needs.

3.7 Core Plus will help to prioritise the use of resources based on prisoners’ needs through appropriate targeting of interventions and opportunities, although it is not clear how it will address the needs of repeat short-term offenders or remand prisoners.

Systems linking provision of correctional opportunities to prisoners’ assessed needs are applied inconsistently 

3.8 Correctional opportunities will provide greatest value if they address the attributes that make an individual prisoner more likely to re-offend.  SPS has therefore developed systems to assess prisoners’ needs in order to develop Action Plans likely to be of greatest benefit to individual prisoners.

Long-term prisoners
3.9 Correctional opportunities for long-term prisoners are managed through a Sentence Management system. Each prisoner is given an opportunity to have an annual risk and needs assessment involving various professionals, including psychologists. The assessment includes gathering information on static factors (prisoners’ sex, age, offence history, offence type, family details), and dynamic factors – which may change with time or treatment – such as attitudes and values, problem solving, substance abuse, education level, employability, hostility and anger. Dynamic factors are better for predicting re-offending.
  
3.10 We examined Sentence Management files for 79 prisoners in the seven prisons we visited. At HMP Kilmarnock (six files examined), which operates a different Sentence Management system to SPS-managed prisons, prisoners’ risks and needs were assessed consistently, and information on subsequent referrals and opportunities was included. In the 73 files from SPS-run establishments, we found inconsistencies between individual establishments’ assessments of prisoners’ needs, and the extent to which these needs resulted in appropriate referrals to correctional opportunities or agencies. In 62 of the 73 files prisoners’ needs were recorded in the most recent Action Plans (ranging from 20% in Barlinnie to 100% in Cornton Vale, Peterhead and Polmont), and in 50 of the 73 files prisoners received appropriate referrals (ranging from 77% in Edinburgh to 100% in Barlinnie).

Short-term prisoners
3.11 In April 2003, SPS introduced a Short Term Offender Needs Assessment (STONA) for remand prisoners and convicted prisoners serving sentences less than four years. The STONA, which is compiled by prison officers following interviews with prisoners shortly after admission to prison, records social rather than criminogenic or offence-related needs. This information, along with appropriate referrals, is transferred to a Community Integration Plan (CIP) for each prisoner.

3.12 Our examination of 150 STONA files across five prisons showed that completion of the forms was variable, both within and between establishments. In a number of cases information on prisoners’ needs had not been transferred to the CIP. In addition, where prisoners had been referred to opportunities in prison or to external organisations for services after release, there was variable information on outcomes in the CIP. We could not therefore assess the extent to which opportunities appropriate to short-term prisoners was being delivered. 

3.13 Sentence planning systems were most efficient (in terms of documentation being up-to-date, and appropriate referrals made) in prisons with staff dedicated to this purpose (for example, HMP Peterhead) or where staff were offered incentives to maintain the system to a required standard (HMP Kilmarnock).

3.14 In June 2004, SPS introduced ‘Core Screening’ to replace the STONA and the initial assessment of Sentence Management. This unified system assesses the immediate needs of all prisoners regardless of sentence length, and is intended to improve the consistency of the initial assessment of prisoners’ risks and needs.

SPS has introduced systems to improve access to information on correctional opportunities 
3.15 Establishments use different systems to track prisoners’ access to correctional opportunities. At HMP Cornton Vale, for example, we found that each prisoner had a number of assessment files. This dispersal of information about prisoners’ assessed needs across various systems may hinder the sentence planning process if assessments do not result in appropriate referrals or delivery of opportunities or services for prisoners.

3.16 SPS introduced a new IT system (PR2) for prisoner records in July 2004.  This system is designed to improve the consistency of documentation and ensure improvements in the transfer of individual prisoners’ information within and between prisons, and between SPS and outside agencies. Instead of recording information in a Community Integration Plan, Core Screening will record referrals for short-term prisoners directly into PR2. The aim is to allow better tracking by prison staff and external organisations of prisoners’ assessments, referrals and outcomes.

Limited cost information may inhibit assessments of value for money
3.17 Based on staff resources allocated to correctional work and the direct cost of services delivered through contract, SPS estimates the total cost of correctional opportunities during 2003-04 was £30 million. Costs varied significantly among SPS prisons, and the average spending per prisoner place in 2003-04 ranged from £3,660 at HMP Greenock to £6,589 at HMP Cornton Vale. The HMP Kilmarnock contractor estimated the cost per prisoner place in 2003-04 was £3,564.

3.18 Expenditure was greatest on opportunities not covered by SPS KPIs. Link services (£5.2 million) and employment opportunities and skills  (£13.7 million) cost more than activities covered by KPIs – education and skills (monitored through the prisoner learning hours KPI) cost £3.6 million and offending behaviour programmes and approved activities (covered by KPIs for numbers of prisoners completing courses) cost £3.0 million. This reinforces the need for better performance management.

3.19 Benchmarking unit costs is a useful method of monitoring expenditure to identify examples of good and poor efficiency which can be used to improve performance. In the absence of robust local records of costs incurred and levels of activity we could not undertake a complete benchmarking exercise for all correctional opportunities across all prisons. However, in the area where information was most reliable – education and skills – the cost per prisoner learning hour varied from £5.30 (in HMP Kilmarnock) to £12.35 (in HMP Edinburgh).

Prisoners had mixed views on Sentence Management and the correctional opportunities provided
3.20 SPS conduct an annual survey of all prisoners in all establishments, seeking their views on a number of aspects of prison life. The most recent survey results (2003) showed that 60 per cent of convicted prisoners reported that they understood how Sentence Management worked, were clear about what Sentence Management meant, that the activities offered would help them on release, and that Sentence Management was of value.
  
3.21 The 2003 survey showed that prisoners’ attitudes towards offending behaviour programmes varied:

• 70% knew what programmes were available in their prison.

• 56% saw attending programmes as a vital part of their time in prison.

• 54% would not give up a good job or wage to attend a programme.

• 50% thought that attending programmes would help stop re-offending.

• 51% thought prisoners attend programmes just for show.

• 47% saw improvements in prisoners who attended programmes.

3.22 Fewer than half (46%) the prisoners who reported that they had used illegal drugs in prison had received help in prison for drug use (for example, prescriptions, counselling). The survey does not seek prisoners’ views on other correctional opportunities, such as education or employment opportunities.

3.23 Our interviews with 42 prisoners showed that most were positive about the offending behaviour programmes provided. For long-term prisoners, the provision of programmes had improved over the last ten years.  Prisoners stated that assessment procedures to gain access to programmes varied widely, and a number of prisoners appeared to attend the programmes primarily to fulfil parole requirements rather than to change their offending behaviour.  There were mixed views on whether prison officers should deliver programmes – a number of prisoners commended the officers whereas others would prefer the programmes to be delivered by psychologists.  Prisoners appeared to use the skills learned on programmes during their sentences, but stated that the long-term effectiveness of the programmes would only be apparent after release.

3.24 The prisoners we interviewed had varying views on the education opportunities provided. Prisoners were largely critical of the content of vocational training courses and their applicability to employment opportunities after release.

3.25 Most prisoners were content with visiting arrangements with few problems noted. The exception to this was the Open Estate because of the distances many families have to travel. However, this was offset by monthly weekend home-leave for these prisoners, which was seen as being more beneficial than regular visits.

Recommendations

SPS should:

• investigate further the variation in correctional opportunities currently available with a view to 	reviewing resource allocation

• monitor the implementation of Core Plus to ensure benefits are achieved across all relevant 	prison establishments

• ensure that correctional opportunities are best targeted towards reducing the risk of individual prisoners re-offending

• ensure systems in place for assessing prisoners’ needs are applied consistently

• develop appropriate measures for benchmarking performance 

• use information being developed under PR2 to monitor the extent to which identified needs are met; provide robust information supporting assessments of aggregated need; and improve information sharing with external organisations.

5 The Tayside Family Project, report by Dr Nancy Loucks on behalf of the Tayside Criminal Justice Partnership and Families Outside (2004)

Part 4. Effectiveness

4.1 This section considers the effectiveness of correctional opportunities by looking at:

• SPS approach to monitoring effectiveness 

• the importance of joint working between SPS and external organisations.

SPS has carried out limited evaluation of the effectiveness of its correctional opportunities

4.2 Preventing or reducing re-offending is a test of whether correctional opportunities are effective, although using re-offending or reconviction data as a measure of effectiveness may fail to account for changes in the nature of offending or improved life skills. In addition, whether a released prisoner re-offends will depend on a range of factors, including accommodation, employment, addictions and family contact, so that the effectiveness of any correctional opportunity delivered in custody is difficult to assess. Research indicates that ‘proxy’ measures of the effectiveness of correctional opportunities (such as behavioural and attitudinal changes following offending behaviour programmes) can predict changes in criminal behaviour.

4.3 The ministerial KPIs and targets relating to the correctional agenda are restricted to the delivery of opportunities (input) in that they monitor the numbers of prisoners completing accredited programmes and approved activities and the number of prisoner learning hours delivered across the prison estate. There are no KPIs or targets on the outcomes of SPS correctional opportunities.

4.4 International research has identified a range of standards for effective correctional opportunities.  In 2002, SPS published Making A Difference which included a commitment to deliver correctional opportunities which can be demonstrated to be effective through comprehensive monitoring and researched evaluation.

4.5 SPS has established a research group to undertake detailed evaluation of the opportunities it provides. Although SPS efforts to evaluate correctional opportunities have been hindered by the lack of information within prisons, several studies have been carried out on the effectiveness – assessed by psychometric testing and proxy measures such as Governors’ Reports – of various offending behaviour programmes (annual cost £2.2 million).
  
4.6 SPS study results indicate that prisoners completing these programmes showed improvements in certain skills (such as problem solving) and shifts in attitudes and behaviours linked to offending behaviour (such as anger management). However, SPS have not yet evaluated the effectiveness of their offending behaviour programmes on reducing re-offending after release. SPS is currently liaising with the Scottish Criminal Record Office and the Scottish Executive to secure reconviction data on prisoners who have completed accredited programmes.

4.7 For the other correctional opportunities provided in Scotland’s prisons, there has been little systematic assessment of the effectiveness – either short term or in reducing re-offending. SPS spends around £5.2 million per year on Links centres, and early evaluation of their effectiveness has been carried out. SPS also collects information on qualifications gained to measure the effectiveness of employment opportunities (annual cost: £13.7 million) and education courses (annual cost: £3.6 million). There has, however, been no systematic evaluation of addiction treatments (annual cost: £4.4 million) or approved activities (annual cost: £0.9 million).  

4.8 SPS evaluation of offending behaviour programmes should provide a robust basis for evaluating other correctional opportunities, but there are no specific plans or timescales for the development of these evaluations.

Joint working between SPS and external organisations is important to ensuring long-term outcomes

4.9 Research literature emphasises the need for continued support for offenders after release to promote the effectiveness of the opportunities provided in custody. SPS’ correctional work is intended to make a significant contribution to the Scottish Executive’s commitment to ‘building a safer Scotland’. To this end, SPS works with a number of organisations involved in the rehabilitation of offenders. 

4.10 We found that there were few formal partnerships and limited information sharing between SPS and other organisations, and no uniform systematic way of tracking prisoners’ progress after release. Some prisons, had, however, introduced local tracking systems. At HMP Cornton Vale, for example, if a prisoner takes up a job after release, the prison may contact the employer to monitor the offender’s progress.

4.11 SPS has recently introduced several initiatives to improve the way it works with external organisations involved in the rehabilitation of offenders. These initiatives include:

• Initiating contracts in four establishments for prisons 
social work.

• The setting up of an External Advisory Panel for SPS correctional activities.

• Membership of the Tripartite Group (along with the Scottish Executive and Local Authority Criminal Justice Services) which encourages an integrated approach to protecting the public.

• The introduction of Links centres to all prisons (see paragraph 3.4).

• Improved information sharing with external organisations.

• Expanding the links with external organisations.

4.12 Information sharing among the various criminal justice organisations is recognised by SPS as being unsatisfactory. An objective of the SPS Inclusion policy is to share relevant prisoner information with external organisations to allow ongoing support after release. The revised sentence planning system includes pre-release assessments which identify prisoners’ needs (such as housing, benefits and social work) which will be delivered by other agencies on release. The introduction of PR2 (July 2004) is intended to facilitate such information sharing. 
 
4.13 A number of prisons in Scotland have links with employers in the community which enable some prisoners to participate in external work placements. As part of the Inclusion policy, SPS is expanding these links in order to allow prisoners to demonstrate their work skills in the community and secure employment opportunities on release. This initiative is already under way at several prisons, for example HMP Edinburgh.

4.14 Following its commitment to reform the criminal justice system in Scotland, the Scottish Executive consulted in early 2004 on ‘Reducing Re-offending in Scotland’. This sought views on a merger between SPS and community-based criminal justice services. In December 2004 the Scottish Executive published Supporting Safer, Stronger Communities: Scotland’s Criminal Justice Plan which proposed, instead, closer working links between SPS and community-based criminal justice services.

Recommendations

SPS should:

• develop a plan with specific objectives and timescales to extend its evaluation process to all prison-based correctional opportunities

• where possible, use reconviction data to assess the effectiveness of its correctional opportunities on subsequent re-offending

• continue to establish links with relevant external organisations to promote the effectiveness of the opportunities provided in custody

• monitor the effectiveness of the revised sentence planning system in achieving the SPS objective to 	share prisoners’ information with external organisations.

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