(1)
Offender Health, Nottinghamshire Healthcare NHS Trust, The Wells Road, Nottingham, UK
(2)
Section of Forensic Psychiatry, Division of Psychiatry, University of Nottingham, Triumph Rd, Nottingham, NG7 2TU, UK
(3)
Rampton Hospital, Nottinghamshire Healthcare NHS Trust, Woodbeck, UK
Abstract
As has been reported for most European countries (Salize et al. 2007), the prison population in England and Wales has increased dramatically in the last decade and currently stands at 85,117 (Ministry of Justice 2010b). Consequently, the number of mentally disordered offenders (MDOs) incarcerated within the prison system has also risen. At the same time, we have seen enormous changes in both the legal and policy context and the organisation of prison health care. Changes in criminal law have demonstrated a shift from a retributive to a preventive detention model leading to an increase in longer and indeterminate sentences (Völlm 2009). Policy developments have placed more emphasis on the treatment and management of personality disordered offenders both in prison and in psychiatric settings (National Institute of Mental Health for England 2003). The organisation of prison health care has recently undergone a major transformation owing to the move of ministerial responsibility from the Home Office (now Ministry of Justice) to the Ministry of Health in 2006. These changes have added additional ethical challenges to those inherent in working in a prison environment. This chapter describes the legal context of psychiatric care for MDOs in England and Wales, the different settings in which such care is provided, the organisation of the prison system and of healthcare provision within prisons as well as the main ethical challenges mental health care practitioners working in prisons face. We will consider ethical challenges encountered through recent legal and policy developments, those related to working in a custodial setting, challenges associated with providing healthcare to mentally disordered prisoners and specific ethical issues such as food refusal.
22.1 Introduction
As has been reported for most European countries (Salize et al. 2007), the prison population in England and Wales has increased dramatically in the last decade and currently stands at 85,117 (Ministry of Justice 2010b). Consequently, the number of mentally disordered offenders (MDOs) incarcerated within the prison system has also risen. At the same time, we have seen enormous changes in both the legal and policy context and the organisation of prison health care. Changes in criminal law have demonstrated a shift from a retributive to a preventive detention model leading to an increase in longer and indeterminate sentences (Völlm 2009). Policy developments have placed more emphasis on the treatment and management of personality disordered offenders both in prison and in psychiatric settings (National Institute of Mental Health for England 2003). The organisation of prison health care has recently undergone a major transformation owing to the move of ministerial responsibility from the Home Office (now Ministry of Justice) to the Ministry of Health in 2006. These changes have added additional ethical challenges to those inherent in working in a prison environment. This chapter describes the legal context of psychiatric care for MDOs in England and Wales, the different settings in which such care is provided, the organisation of the prison system and of healthcare provision within prisons as well as the main ethical challenges mental health care practitioners working in prisons face. We will consider ethical challenges encountered through recent legal and policy developments, those related to working in a custodial setting, challenges associated with providing healthcare to mentally disordered prisoners and specific ethical issues such as food refusal.
Unlike in other countries, English mental health legislation does not require an offender to be found not guilty by reason of insanity or of diminished responsibility in order to enter the hospital (as opposed to the prison) system (Salize et al. 2007). The concept of ‘diminished responsibility’ only applies to cases of murder; a positive finding reduces the charge to manslaughter but this does not have any direct implications for disposal (prison or hospital). According to the Mental Health Act 1983 (as amended in 2007), a Hospital Order can be given if “the offender is suffering from a mental disorder… of a nature or degree which makes it appropriate for him to be detained in a hospital for medical treatment and appropriate medical treatment is available”. Thus emphasis is placed upon the need for treatment at the time of sentencing allowing for the diversion of MDOs to the healthcare system. Individuals on Hospital Orders are rehabilitated through forensic-psychiatric services; there is no transfer back to prison at a later stage and the courts are no longer involved in decisions regarding discharge or transfer to less secure settings. Continued detention within the hospital system is determined on the basis of risk posed and therefore the success or otherwise of any interventions offered to the MDO.
English mental health legislation also allows for the later transfer of MDOs from prison to hospital at any time of their sentence if the individual fulfills criteria for detention in hospital. This ‘Prison Transfer’ enables provision for mental health needs not identified at the sentencing stage or indeed developing during the course of imprisonment; however, it is also used for late transfers owing to considerations of risk to the public by offenders close to release, a practise that has attracted considerable criticism and legal challenges (Mental Health Act Commission 2009). Transfer orders are made on the recommendation of two psychiatrists without involvement of a court placing significant responsibility onto the medical profession. Individuals on prison transfer orders may be returned to prison during the course of their sentence but can, and usually are, detained in hospital beyond the term of their prison sentence.
The English model of hospital orders and prison transfer for MDOs has distinct advantages but also raises important ethical issues such as identification of the ‘right’ individuals for diversion to the hospital system, the balance between consideration of mental health needs of the offender and public protection, deprivation of liberty, etc. as will be discussed in more detail below.
Legislation relating to criminal law has seen significant changes recently. Of particular importance has been the new Criminal Justice Act 2003 which introduced far reaching changes in police and court procedures and in sentencing. Compulsory life sentences have been introduced for more than 150 offences. The Act also introduced a new sentence, ‘imprisonment for public protection (IPP)’. IPPs are indeterminate sentences for offenders identified as ‘dangerous’ but who do not qualify for a compulsory life sentence. These offenders are given a minimum term they must serve in prison (the ‘tariff’) after which time they can be considered for parole by the Parole Board if they are able to demonstrate they no longer pose a risk to the public. Following release they remain on ‘licence’ for life allowing for recall to prison if licence conditions are breached. IPPs have been used by judges much more frequently than anticipated (Sainsbury Centre for Mental Health 2008) – 2,000 IPPs alone were passed in the first year following implementation of the legislation, resulting in a dramatic increase in prisoners serving sentences without a specified release date and further burdening already stretched resources. Compared to the previous year the number of prisoners serving indeterminate sentences (life sentences and IPPs) had increased by 8 % (up 930) to reach 13,000 in May 2010 (Ministry of Justice 2010b).
22.2 The Prison System in England and Wales
The prison system in England and Wales in its current form, i.e. managed by the central Government, came into being following the 1877 Prison Act. Before that the prisons were locally managed and were generally under the control of local Magistrates. However, following the 1877 Prison Act the Secretary of State took over all the powers of prison administration and a new body, the Prison Commission, was established to manage prisons on his/her behalf. The Prison Commission lasted until 1963 when the Prison Service was absorbed into the Home Office as a separate department. However, these measures had very little impact on how prisons were run in that prison Governors managed the prisons as they saw fit whilst observing the prison rules and standing orders. In the early 1990s following riots in some prisons and the subsequent report by Lord Justice Woolf, the prison service was redefined as an agency of the Home Office in 1993. This was an attempt to separate the policy making arm which was to remain in the main Home Office from the new agency which was to be responsible for the operational management of prisons and to be headed by the Director General of the prison service. In 2004, the National Offender Management Service (NOMS) was created along with 10 Regional Offender Managers (ROMS) with NOMS being designated as an overarching body covering prisons and probation. The Chief Executive of NOMS now runs public prisons and manages performance across the whole system through service level agreements and contracts with private prisons, probation boards, etc.
Prisons in England and Wales are organised based on security classification and function. The security classification is from Cat A to Cat D with the former being high security prisons and the latter open prisons (Home Office 1966). In terms of their function the prisons are divided into local prisons, training prisons and open/resettlement prisons. Local prisons are there to serve the Courts, are often based in the centre of towns and cities and have a mixture of remand and sentenced prisoners. The role of these local prisons for remand prisoners is that of assuring that they appear before the courts and once they are convicted and sentenced to allocate them to appropriate prisons depending on their length of sentence and sentence planning needs. Local prisons also house those who have been recalled to prison whilst being on licence in the community. More recently some local prisons have been moving in the direction of becoming ‘community prisons’ in order to enhance the rehabilitation and resettlement of prisoners who may either have been serving short sentences or for those serving long sentences to bring them back to these community prisons towards the end of their sentences. The training prisons provide a variety of opportunities for education, vocational training and a host of offending behaviour programmes that enable the prisoners to address their offending and reduce the risk of the re-offending. These short and long term training prisons are usually for prisoners of category B and C. Category A prisoners are mainly located within the high security estate until their risks are considered to be adequately reduced. Lower risk prisoners move onto open prisons, particularly those nearing release on licence from a life sentence. Whilst at these open prisons prisoners are able to spend a considerable period of time every day out of the prison engaged in various educational and vocational pursuits. In addition to these standard prisons there are also some prisons with very specific roles for instance prisons such as Grendon Underwood which is a therapeutic prison and Whatton which is exclusively for sex offenders.
The prisons have a fairly robust system of independent monitoring and inspection. An independent inspectorate was set up in 1981. The inspectorate is able to visit all parts of every prison either through a programme of announced visits but also through unannounced visits. Reports of these visits are published in their entirety and over the years have established a fairly high degree of credibility and authority. As a result, although the inspectorate has no powers to order implementation of their recommendations, the system takes serious note of these recommendations and their implementation. In addition to Her Majesty’s Inspectorate of Prisons, under the provisions of the Prison Act 1898 boards of visitors were established which were renamed Independent Monitoring Boards (IMBs) in 2003. These IMBs deal with complaints from individual prisoners and work much more closely with individual prisons and their management in order to maintain a degree of transparency and openness which is required to counter the potential abuses in any closed system. In addition to these systems of inspection and monitoring prisons in England and Wales, in common with other member states of the Council of Europe, all places in which people are deprived of their liberty are subject to independent monitoring by the European Committee for the Prevention of Torture and Inhuman or Degrading Treatment or Punishment (CPT).
22.3 Psychiatric Services for Mentally Disordered Offenders
Health care for MDOs is provided in a number of settings. Some of this care is given in the community, either as diversion from custodial sentences or following release. MDOs who require hospital treatment may be admitted to a forensic-psychiatric unit. However, given the large number of prisoners and the high psychiatric morbidity within the prison population (Fazel and Danesh 2002), the bulk of mental health care for MDOs is provided within a prison setting.
22.3.1 Community Care
People with mental disorders in the community come into contact with the Criminal Justice System in a variety of ways. These may include at the point of arrest, whilst they are on bail facing criminal charges or whilst they are serving a community sentence with or without a requirement to undergo mental health or substance misuse treatment. Equally there are those who are released on licence who are liable to be recalled to prison if they do not keep up the conditions of their licence or if they re-offend.
The prevalence of mental disorder for those in the community who in some way or another have come in contact with the Criminal Justice System is high. For instance, 7–15 % of arrestees are identified by custody officers as having a mental disorder. Thirty-three percent of OASys (Offender Assessment System) assessments, which is a system of risk assessment, completed at presentence report or during supervision in the community, revealed a psychological or psychiatric diagnosis (Home Office 2006). Hatfield et al. (2004) undertook a cohort study of 467 individuals in Probation approved premises. Staff members reported that 25.1 % of offenders had a known psychiatric diagnosis, 34.3 % had drug misuse and 30.6 % had alcohol abuse problems. Similarly, Keen et al. (2003) identified that 13.6 % of the total probation population were in contact with the local Mental Health Trust. Finally, a study by Brooker C, Fox C, Barrett P, Syson – Nibbs L (2008, Assessment of offenders on probation caseloads in Nottinghamshire and Derbyshire. Report of a pilot study, unpublished) of two probation areas in England using a health needs assessment approach using a variety of structured assessment tools in a sample of offenders (N = 183) indicated that 15 % of the sample had contact with mental health services in the preceding 12 months and 27 % had been seen at some point in their lives by mental health services. The majority of diagnoses reported by offenders was depression and/or anxiety, 44 % were identified as being at risk of alcohol abuse or dependence and 39 % of the sample was identified as being at risk of substance abuse.
In principal mentally disordered offenders in the community have access to mental health services similar to the rest of the population. This arrangement is that of a tiered provision with General Practitioners providing treatment for common mental health problems, Secondary Mental Health Care Services providing treatment for enduring mental illness and complex personality disorders as well as substance abuse and inpatient services for those who require psychiatric hospitalisation. However there are two problems. Firstly, many of the mental disordered offenders have a complex mixture of social disadvantage as well as psychiatric problems and in common with other such socially and psychiatrically disadvantaged populations they either do not access available services or if they do so such access is intermittent and crisis driven such as them seeing a mental health professional at an accident and emergency department following an overdose or injuries received in a fight or at the police station following arrest when concerns are raised about presence of mental health problems. Even those who do access some services do not do so in a sustained manner and often dip in and out of treatment. For instance, Brooker C, Fox C, Barrett P, Syson – Nibbs L (2008, Assessment of offenders on probation caseloads in Nottinghamshire and Derbyshire. Report of a pilot study, unpublished) found that nearly 39 % of offenders had visited an accident and emergency department or an National Health Service (NHS) walk in centre at least once in the previous 12 months. Secondly, the mentally disordered offenders often have a range of sub-threshold pathologies which may not meet the service criteria for individual services. For instance, they may have had brief psychotic episodes which may or may not be related to use of illicit drugs but these are not considered to amount to an enduring mental illness and hence do not cross the threshold for acceptance by a Community Mental Health Team. Similarly, they may have borderline intelligence or mild learning disability and hence may not be considered to have severe enough problems to require treatment and support from a learning disability service. The same is the case for substance abuse in that they may be poly substance abusers but not dependant on opiates or not considered to meet the access threshold of substance misuse services. Hence, although combination of complex social problems and sub threshold psychiatric pathologies may result in a very poor psychosocial functioning, they are not accepted by diagnostically defined services or the motivation or resources required to engage such a difficult population are not forthcoming. Consequently, those mentally disordered offenders in the community who have a severe mental illness such as Schizophrenia, do indeed receive a reasonable package of treatment but those who fail to reach that threshold, despite overall very poor psychosocial functioning, do not do so. Whilst treatment for patients with personality disorder exists in the community, unfortunately due to their impulsivity, poor motivation and lack of overall stability offenders are often not considered suitable to receive such treatment. Hence, the ethical challenge is that of MDOs in the community being denied access to the appropriate service because they do not meet the criteria when marked against service provision that is by and large structured based on diagnosis rather than overall level of psychosocial dysfunction and disorder. There is also of course the question of how much of this acceptance/rejection by services is consciously or otherwise as a result of MDOs being considered to be ‘not nice’ and deserving and who would have been described by Herschel Prins as the unloved, unloving and unlovable.
22.3.2 Forensic-Psychiatric Care
Forensic-psychiatric care in England and Wales is provided in hospitals of different levels of security (Sainsbury Centre for Mental Health 2007). While it is possible for MDOs on a Hospital or Prison Transfer Order to be treated in a general psychiatric setting, most MDOs are admitted to high or medium secure settings. There are currently three high secure hospitals and in excess of 50 medium secure units. Service provision in secure hospitals has undergone numerous changes since the inception of medium secure services in the 1970s in terms of capacity, organisation, patient composition, length of stay, etc. While we have seen a decrease in capacity in high secure beds of about 20 % over the past 5 years, the overall number of MDOs detained in secure psychiatric settings has risen annually for more than a decade (Ministry of Justice 2010a). Between 1996 and 2006 the forensic patient population has increased by 45 % (Sainsbury Centre for Mental Health 2007). Length of stay has also risen with about a quarter of patients being detained for over 10 years. At the end of 2008 there were just under 4,000 patients detained, about 700 of those in high secure settings. A significant proportion of the expansion of medium secure beds can be attributed to the growth of private sector provision. Those service may be under particular pressures, e.g. in terms of bed occupancy, which may impact upon overall length of stay.
Of particular relevance for prison psychiatrists is the fact that transfers of sentenced prisoners have increased representing now over 60 % of annual admissions to secure forensic settings. Significant changes have also occurred in the provision of services for MDOs with personality disorders (PD). Three hundred places for treatment of individuals with so-called Dangerous and Severe Personality Disorders (DSPD) have been established in recent years, about half in prison and half in high secure hospitals (Völlm 2009) although the future to these services is currently uncertain. Nevertheless there is an increased expectation that psychiatrists provide care for those with PD while traditionally individuals with a primary diagnosis of PD have often been excluded from medium secure settings.
22.3.3 Prison Mental Health Care
Historically health services in prisons were provided by prison medical officers and nurses employed by prison services. Although they provided a reasonable degree of physical and mental healthcare to prisoners including a screening of all offenders coming to prison within 24 h by the prison doctor, they were nevertheless subjected to a fair degree of criticism. A number of problems were considered to be responsible for this including professional isolation, lack of clinical leadership, etc. Concerns about issues such as death in prisons led to the publication of a thematic report on healthcare in prisons, Patient or Prisoner? (HM Inspectorate of Prisons 1996). This report was clear in stating that healthcare in prisons was not being provided to the same standard as in the wider community and a joint working group was set up between the Department of Health and the Home Office resulting in The Future Organisation of Prison Healthcare paper (HM Prison Service, NHS Executive 1999). Following this report the commissioning responsibility for prison healthcare was transferred from prisons to Primary Care Trusts which then triggered a significant change in the commissioning and provision of healthcare in prisons. In 2001 Changing the Outlook, a Department of Health policy document, advocated a more specific policy for modernising of mental health services in prison. It recommended the establishment of multi disciplinary mental health in-reach teams to provide specialist services for prisoners in the same way as Community Mental Health Teams do in the wider community. These in-reach teams were to follow the principals of mental healthcare recommended in the National Service Framework (Department of Health 1999) and as such they by and large concentrated on prisoners suffering from enduring mental illness. Prison appointed mental health nurses and doctors provide the primary mental health care for common mental health problems such as anxiety and mild depression. Integrated drug treatment services and other voluntary sector as well as prison appointment professionals provide treatment for substance abuse. In addition there are some prisons such as Grendon Underwood, Dovegate, Frankland and Whitemore which provide psychological treatment, along therapeutic community and CBT lines for patients with Personality Disorder and treatment of offending behaviours. Some of the prisons have inpatient units which have 24 h supervision by nurses and/or healthcare officers. These healthcare centres often house patients who are severely disturbed either as a result of a psychotic illness or those who are at a very high risk of self harm, many of them awaiting transfer to National Health Service secure hospitals. Psychiatrists, other medical specialists and healthcare professionals often visit the prisons either to provide regular sessions or on request.
However, despite the above, challenges remain in mental health care provision for prisoners, and whilst progress has been made, the hope and expectation of equivalent care similar to the wider community has not been consistently achieved. This is for a variety of reasons which include lack of appropriate integration between primary and secondary mental healthcare and substance misuse services in prisons, poor resourcing of prison mental healthcare in comparison to the needs of this population and lack of high quality clinical leadership and management across the board.
22.4 Ethical Issues Related to the Legal Context
Here we will discuss ethical issues specific to the legal context in England and Wales considering mental health as well as criminal justice legislation.
As outlined above, admission to the hospital system under mental health legislation is determined on the basis of the individual’s need for treatment at the time regardless of questions of culpability. Consequently, psychiatrists have an important role to play in such diversions and transfers. This might be seen as an advantage in cases of, for example, acutely unwell psychotic offenders for whom most would argue hospital treatment is necessary and appropriate and should be provided whenever this need arises during a person’s sentence. More complex issues often arise with personality disordered offenders who are not infrequently transferred from prison to hospital at a time close to their expected release date due to concerns regarding their risk (Mental Health Act Commission 2009). They may have been relatively settled during their sentence with no input from mental health professionals. They may or may not have engaged in behavioural programmes – those with high psychopathy scores, e.g., are often excluded from such programmes. Offender managers responsible for community follow up may only highlight public protection concerns in the context of release planning and then put considerable pressure on psychiatrists to use mental health legislation to prolong detention in a psychiatric institution, a request sadly often granted. These ethical dilemmas have been amplified since the changes in mental health legislation in 2007 (Mental Health Act 2007), abolishing the so-called ‘treatability clause’. This clause stipulated that personality disordered individuals could only be detained in hospital if treatment was “likely to alleviate or prevent a deterioration of their condition”. Since the changes in the Mental Health Act it has merely been necessary that medical treatment is “available” regardless of whether or not the individual makes use of or benefits from it. In any case, given the often lengthy stay in forensic-psychiatric treatment settings, incarceration of MDOs with full criminal responsibility is potentially extended significantly without the involvement of a court. This raises issues of discrimination (differential length of incarceration compared to offenders without disorder) and potentially infringes an individual’s right to have a sentence imposed by an independent court.

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