M.04.01 Prisoner escorts / transfers general

  1. The purpose of this section is to manage prisoners' escorts safely, humanely and securely moved, escorted or transferred while minimising risk to prisoners, staff and general public.

M.04.01.01 Escort / transfers preparation

  1. Prior to the escort / transfer occurring by vehicle, aircraft or ferry, prisoners must have a predefine destination.
  2. Staff must ensure that prisoners are being escorted / transferred are separated as per M.04.01.Res.01 Prisoner's Separation Matrix.
  3. The reception/movements manager must determine, based on a risk assessment, the number of officers required for the escort / transfers. An officer who has achieved National Certificate of Offender Management Level Three NZQA Unit Standard Escort Prisoners must be assigned as the Officer In Charge (OIC) of the escort. Even though the Level Three accreditation is no longer an NZQA Standard, Prison Directors must still ensure sufficient staff are assessed (by a GTE Assessor) and pass the Level Three standard. The OIC’s name must be written on the Escort Instructions form after printing off the form and before the escort departs.
  4. The recommended minimum number of staff for the following security classifications are:

    Security classification Movement and supervision requirements
    Maximum Generally 3 officers
    High Generally 2 officers
    Remand accused / convicted and unclassified, are managed as high security Generally 2 officers
  5. All prisoners escorted by Corrections Services or a security contractor must have a risk assessment and Prisoner transportation (IOMS) documentation completed prior to the escort occurring.
  6. Unit staff must, at least one hour prior to departure ask the prisoner if he / she requires motion / travel sickness medication and provide, when necessary, the appropriate dose.
    (See M.04.01.Res.07 Managing over the counter motion sickness medication under Related Links / Resources.)
  7. Prior to the escort / transfer staff must:
    1. read and familiarise themselves with the standard and special instructions on Prisoner transportation (IOMS) forms
    2. consider compliance with the Driving Hours Policy and duty time
    3. if the escort is to occur in a single-cell vehicle, read and familiarise themselves with instructions contained in M.04.01.Res.04 Instructions for using a single-cell escort vehicle.
  8. All relevant risk information is passed onto those officers and agencies involved in the escort / transfer (IOMS - C.02.01.F1, (manual version M.04.01.Form.01 Instructions for Escorts)).
  9. The form M.04.01.Form.01 Instructions for Escorts is used for all escorts when IOMS is not available.
  10. On occasion, staff will be required to receive prisoners directly from the Police at Court. The Police use a similar ‘Instructions for Escorts’ form and are required to provide a completed copy for each prisoner being handed over. The form should be attached to the warrant to detain. The Officer in Charge of the escort must:
    1. sign the form acknowledging the information about the prisoner
    2. develop risk mitigations for any risks identified (e.g. if at risk of harm to themselves or others)
    3. advise other escort staff of the new information and strategies for the escort (while at Court and on the return journey)
    4. give the form to the Receiving Office with the warrant/s on return to the prison
    5. advise the Receiving Office of any identified risks for the prisoner/s.
  11. If prisoners are being transporting by way of chartered aircraft staff must comply with M.04.01.Res.02 Transfer of prisoners via charter aircraft, and if by way of a Commercial aircraft must comply with M.04.01.Res.03 Transfer of prisoners via commercial aircraft.
  12. The transportation of offenders detained under the Mental Health Act 1992 and / or the Intellectual Disability Act 2003 for the duration of their stay in a regional forensic service or care facility, is managed by Department of Corrections, Prison Services.

    For more details see M.04.01.09 Transporting a prisoner detained under the Mental Health Act and / or Intellectual Disability Act and the MOU between Ministry of Health and Department of Corrections under Related Links / Resources.

M.04.01.02 Managing maximum security classified prisoners pending transfer

  1. Staff must complete M.04.01.Form.07 Maximum security prisoner interim management plan, within 24 hours, for all prisoners:
    1. with a maximum security classification, and
    2. to be transferred to Auckland Prison, or
    3. Auckland Region Women’s Corrections Facility.
  2. The components of the management plan reflect the level of risk posed by that prisoner. Not all maximum security prisoner pose the same level of risk. A prisoner recently sentenced on serious violent / sexual assaults charges, with an extensive history of similar offending, is assessed as maximum security classification, due to their high external risk to the community, but has no history of violence in prison, may pose less of a risk than a prisoner who has previously seriously assaulted a staff member.
  3. In developing the management plan staff must consider the prisoner’s history, risk posed, current behaviour and whether the activity (i.e. unlocking for a phone call) needs to be undertaken, and if so, how it will be managed to ensure any risks to staff, the prisoner, or other are minimised. As it is individually based, each management plan will consist of different elements designed to mitigate the risks identified. For example, staff managing a prisoner who is agitated and has a history of assaulting staff, represents a risk to staff or to others. Therefore, staff may determine that to mitigate the risk that the prisoner is not unlocked at that time, or more staff are required to conduct the unlock, or the prisoner is to be handcuffed (if possible through food hatch), or is positioned at the back of the cell, while the door is being unlocked and then placed in mechanical restraints prior to exiting the cell.
  4. To assist staff in determining the appropriate components of the management plan to mitigate the potential risk related to the prisoner pending their transfer to Auckland Prison, or Auckland Region Women’s Corrections Facility they should use the M.04.01.Res.05 Management plan component risk guidance.
  5. Maximum security prisoners held in a non maximum security facility are to be transferred to Auckland Prison or Auckland Region Women’s Corrections Facility, as soon as reasonably practicable (preferably within 48 hours), and only after the prison director has:
    1. confirmed the prisoner’s security classification as maximum, and
    2. approved the journey plan to transfer the prisoner.
  6. A prisoner may be held at their current prison for longer, if:
    1. it is in the interest of justice (e.g. scheduled court hearing), or
    2. it is for external medical treatment, or
    3. the senior advisor to regional commissioner has approved the prisoner’s transfer be delayed:
      1. it is to meet scheduled escort services (i.e. the National Escort Bus and the scheduled interisland prisoner charter), and
      2. where the prison has adequate facilities to manage the prisoner temporarily (i.e. management unit).
  7. The senior advisor to regional commissioner may approve the immediate transfer of a maximum security from a prison that does not have adequate facilities to manage a maximum security prisoner to a facility that does, pending the prisoner’s transfer to Auckland Prison or Auckland Region Women’s Corrections Facility.

M.04.01.03 Prisoner and vehicle search requirements

  1. Prisoners must be strip searched in accordance with section 98(6) (d) and section 98(7) (b) of the Corrections Act 2004:
    1. Based on the risk assessment in the Prisoner transportation (IOMS) form, if a prisoner is deemed to be at risk of self harm, belts and clothing with drawstrings (e.g. jerseys and jackets) must be removed and placed in the prisoner's property for transportation.
    2. Escort vehicles are searched and security checked:
      1. immediately before and immediately after each day's travel
      2. on every occasion at which the prisoner(s) leaves the vehicle
      3. ensure prisoners and their property is loaded into the vehicle.

M.04.01.04 Seat squabs

  1. Escorting staff must ensure prior to escorting a prisoner that the escort vehicles have seat squabs, which are:
    1. provided for the safety and comfort of prisoners during all external escorts.
    2. to be placed in each vehicle compartment regardless of whether a prisoner is restrained or unrestrained.
    3. should not be fixed to the vehicle seating, unless deemed necessary to do so.
    4. staff must ensure that each seat squab is checked for damage or soiling and is cleaned before being securely stored.

M.04.01.05 Advise prisoners of transfer / escort

  1. A prisoner must be informed of an impending transfer, and the destination, at least seven days in advance, and provided with a reasonable opportunity to inform his or her next of kin of the impending transfer, and the destination, before the transfer is made.
  2. The instruction above does not apply if the prisoner to be transferred is expected to create a management difficulty before the transfer is made or as a result of the transfer; or the transfer is being made:
    1. because there are reasonable grounds to believe that the safety of the prisoner or others at the prison within which the prisoner currently resides is at-risk; or
    2. to restore or maintain the security and order of the prison from which the prisoner is being transferred; or
    3. to allow for the effective management of the national prisoner muster.
  3. On arrival at the destination, the prisoner must be allowed one free phone call within New Zealand to advise his or her next of kin of that destination.
  4. A prisoner that has been informed of the transfer before departure and, the prisoner does not have a reasonable opportunity to inform his or her next of kin before the transfer is made, then on arrival at the destination, the prisoner must be allowed one free phone call within New Zealand to advise his or her next of kin of that destination.
  5. If the prisoner has requested a transfer he / she must be informed of the reasons for any delay that may occur.

M.04.01.06 Journey plan

  1. A journey plan is required for:
    1. escorts requiring a rest break.
    2. escorts out of the local metropolitan area requiring one or more planned stop(s) on the way to the destination or one or more planned stop(s) on the way back.
    3. escorting high profile prisoners requiring intense security oversight.
  2. Prior to an escort, the PCO / delegated staff in charge of the escort must list a brief plan of the route to be taken, on the M.04.01.Form.03 Prison escort journey plan.
    1. list the stops and rest break sites with expected arrival times on the M.04.01.Form.03 Prison escort journey plan.
    2. record names of prisoners, their destinations and the quantity of property (e.g. No. of boxes and penal files) for each prisoner.
    3. consider adherence to the policy on Airline transfers in regards to total property weight (if applicable).
    4. brief the escorting staff of the above.
    5. ensure staff are aware of the obligations as per the National Protocol should the rest break be at a Police Station.
    6. ensure that the required amount of food and water for any intended rest break is supplied.
    7. ensure that the escorting staff are supplied with the necessary equipment e.g. cell phones.
    8. check escorting staff’s identification cards and driver licence.
  3. During the escort, the escorting staff must:
    1. adhere to transport conditions from the vehicle folder at all times.
    2. radio hourly to control or base of dispatching prison, and record this on the M.04.01.Form.03 Prison escort journey plan.
    3. phone the rest break site or intended stop site with the expected time of arrival approximately 30 minutes before arriving, and record this on the M.04.01.Form.03 Prison escort journey plan.
    4. in case of an emergency, adhere to the contingency plan in the vehicle folder at all times.
  4. At the completion of the escort / transfer, escorting staff must return the signed copy of the M.04.01.Form.03 Prison escort journey plan to the PCO / delegated staff in charge of escorts. These forms must be filed and kept for at least 12 months for audit purposes.

Note: An Operational Order is not a requirement for escorts / transfer requiring a journey plan. However prisons may create an Operational Order if they feel the risks have not been sufficiently met through the movement process.

M.04.01.07 Escort / transfer administration requirements

  1. As far as practicable a prisoner on escort / transfer does not communicate with any member of the public or is exposed to public view.
  2. Escorting officers must ensure all documents to be taken off-site are held in a covered folder, satchel or box within the possession or control of staff.

M.04.01.08 Prisoner is medically unfit to attend Court

  1. The medical officer / registered nurse must advise the reception/movements manager when a prisoner who has a scheduled Court appearance is medically unfit to attend.
  2. The reception/movements manager must complete section A of M.04.01.Form.05 Advise court of medically unfit prisoner, and deliver the form to the medical officer or the health centre manager.
  3. Upon receipt of the form, the medical officer or the health centre manager must:
    1. complete section B;
    2. sign the form and print their full name and occupation beneath their signature;
    3. return the completed form to the reception/movements manager.
  4. The reception/movements manager must deliver the completed form to the prison director, who signs the form confirming that the information contained therein is accurate.
  5. The reception/movements manager must deliver the completed M.04.01.Form.05 Advise court of medically unfit prisoner to the receiving office.
  6. Upon receipt of the completed form, receiving office staff must immediately fax the appropriate Court a copy of the completed form.
  7. Receiving office staff must retain the facsimile acknowledgement printout, and attach it to the completed form, (this is the recorded confirmation that the form has been forwarded to the Court).
  8. The completed form, with the attached fax acknowledgement, is to be placed on the prisoner's file.
  9. When a new warrant (or facsimile copy) is received at the receiving office, staff must check that the future remand (appearance) date exceeds the time the medical officer advised the prisoner would be medically unfit, and complete the POM I.01.03 Validation of Warrant(s) received from Court.

M.04.01.09 Request to the Court for appearance to be by way of Audio Visual Link

  1. If unit staff have concerns that a prisoner may pose an undue risk to the safety of the community or security (escape) during an upcoming escort to the court, they are to advise the prison director of their concerns and the reasons.
    Note: These procedures only relate to court appearances where the prisoner is the defendant in criminal procedures. For all other court appearances (e.g. as a witness, or civil and family procedures) the prison director must contact the Legal Services in National Office, who will manage the AVL requests with the Court in consultation with the prison director.
  2. The prison director must consider (refer M.04.01.Res.08 Considerations when making a request to the court for appearance by Audio Visual Link) the risk and determine whether a request for the prisoner appearance should be by way of Audio Visual Link (AVL).
  3. If the prison director determines a request for the prisoner’s court appearance is necessary to mitigate the risk posed by the prisoner they must complete the M.04.01.Form.08 Request to presiding Judge / Registrar for appearance by Audio Visual Link, and fax to the court to consider.
  4. Receiving office staff must retain the facsimile acknowledgement printout, and attach it to the completed form, (this is the recorded confirmation that the form has been forwarded to the Court).
  5. The completed form, with the attached fax acknowledgement, is to be placed on the prisoner's file.
  6. If the Court approves the request the AVL facilitator must be advised of the AVL hearing.
    Note: The court may adjourn the hearing to a date that exceeds the date on the remand warrant to accommodate the AVL hearing. In this event it is necessary to request the Court provide a new warrant.
  7. If the court declines the request the prisoner’s risk must be mitigated in the escort instructions.

M.04.01.10 Escorting a prisoner who is in a wheel chair

  1. These procedures apply to prisoners who are in a wheel chair and need to be escorted while seated in the wheel chair.
  2. The officer in-charge of escorts must confirm with the prison medical team that the prisoner needs to be transported in a wheel chair.
  3. The officer in-charge of escorts must advise the prison director that a vehicle capable of carrying a paraplegic passenger is needed for the escort.
  4. The officer in-charge of escorts must make arrangements with a local taxi company for a vehicle with the capability of transporting a passenger in a wheel chair at a fixed cost.
  5. The taxi company needs to be informed:
    1. the purpose for which the vehicle is required
    2. of the time of pick up
    3. the destination
    4. the time of pick up for coming back (if applicable)
    5. the number of corrections officers that will accompany the prisoner.
  6. Normal Prisoner transportation (IOMS) form needs to be completed and approved.
  7. Restraint requirements will be determined via the Prisoner transportation (IOMS) risk assessment process.
  8. The escort needs to be carried out as per the Prisoner transportation (IOMS) approved instructions.
  9. At least two Corrections officers are required to carry out escorts where a prisoner needs to remain seated in a wheel chair during escort.
  10. Apart from driving, the taxi driver must not be used for any other duties of the escort.

M.04.01.11 Transporting a prisoner detained under Mental Health Act and / or Intellectual Disability Act

The criteria and protocol for the legal custody of prisoners with mental health issues and / or intellectual disabilities, while being transported by Department of Corrections staff or a contractor on behalf of the Department, are derived from the following Acts:

  • MH(CAT) Act - Mental Health (Compulsory Assessment and Treatment) Act 1992
  • ID(CCR) Act - Intellectual Disability (Compulsory and Care and Rehabilitation) Act 2003
  • CP(MIP) Act - Criminal Procedure (Mentally Impaired Persons) Act 2003

While in transit the legal custody of the patient / offender remains with the Department of Corrections.

Corrections staff must receive the signed delegation of power from person in charge of hospitals (MH-CAT-Act 1992) or co-ordinator or care manager (IDCCR-Act 2003) before any and each transportation occurs.

Type of offender and destination Criteria Protocol for warrants / orders / applications
1 Special Patients under s45 of the MH(CAT) Act.

Travelling from prison to RFMHS
Prisoners who are subject to assessment for mental disorder, including those who have been assessed as mentally disordered under s11 of the MH(CAT) Act. Regional Forensic Mental Health Services (RFMHS) will not deliver the s11 assessment notice until after the patient is received in the Forensic Unit.
2 Special Patients under s46 of the MH(CAT) Act.

Travelling from prison to RFMHS
Prisoners who are identified as able to benefit from psychiatric treatment in RFMHS and who consent to being admitted to the RFMHS. The prison director will deliver the s46 consent letter to RFMHS before the patient is transported to the Forensic Service.
3 Special Care Recipients under s35(1) of the ID(CCR) Act.

Travelling between prison and secure care facility
Prisoners who are sent to a hospital or to a Care Facility for assessment and / or are awaiting a compulsory care order from the court. The co-ordinator will specify a period under s35(1) which excludes the dates and times of travel between prison and care facility.
4 Special Patients under s34(1)(a)(i) of the CP(MIP) Act.

Travelling to prison
Convicted offenders who are ordered by the court to be detained as a special patient under the MH(CAT) Act in addition to a prison sentence ('Hybrid order'). RFMHS will deliver the s34(1)(a)(i) letter to attending officers before the patient is transported to prison.
5 Special Care Recipients under s34(1)(a)(ii) of the CP(MIP) Act.

Travelling to prison
Convicted offenders who are ordered by the court to be detained as a special care recipient under the ID(CCR) Act in addition to a prison sentence ('Hybrid order'). RFMHS will deliver the s34(1)(a)(ii) letter to attending officers before the patient is transported to prison.
6 Prisoners taken to hospitals etc. for examination under s41 of the CP(MIP) Act.

Travelling between hospital and prison
A person detained under s38(2)(b) in a prison, who is taken to a hospital, facility, or other appropriate place for examination. Section 41 (3) states that the person 'continues to be in the legal custody of the manager' (of the prison) throughout his or her absence.
7 Removal of certain special patients to prisons under s 47 of the MH(CAT) Act.

Travelling from RFMHS to prison
A person detained under s 46 who is taken to a prison to undergo the remainder of his / her sentence. RFMHS will deliver the s47 authorising letter to the attending officers before the patient is transported.
  Custodial remands (as locally agreed).

Custodial remand from court
People who have been remanded by the court to the RFMHS or secure facility (for instance under sections 23 (2)(b) ,42 or 44(1) or 38(2)(c) of the CP(MIP) Act) Prisoners will be transported to the RFMHS or Care facility in accordance with the instructions of the Court-issued Warrant or Order to Produce. This may place the responsibility with Police, with Corrections or with the RFMHS.

The destinations for transportations are:

  • Secure transport to and from Regional Forensic Mental Health Service (RFMHS) or Care Facility to and from Court.
  • Secure transport, (if agreed by both agencies), as necessary to and from RFMHS or Care Facility to and from medical or dental appointments.
  • Secure transport, as necessary, to and from prison to and from RFMHS or Care Facility.

Trip plan

Prior to the escort occurring Corrections staff must:

  • complete M.04.01.Form 03 Prisoner escort journey plan as per POM M.04 External Movements and
  • negotiate (with attending forensic staff member and input from the local Health centre staff, as applicable) the completion of M.04.01.Form 03a Trip plan.

Note: Forms can be found under Related Links / Forms.

When developing journey / trip plan, Corrections and Forensic staff must give consideration to:

  • Length of Journey
  • Type of Vehicle
  • Restraint
  • Response to emergencies
  • Hydration requirements, temperatures
  • Should Police be aware of journey
  • Location of suitable secure stops
  • If offender has been medicated the likely demeanour of offender during the trip and appropriate contingency plan.

In the event of an emergency

while being transported the offender / patient: Corrections staff will:
attempts escape, threatens or attempts violence restrain or secure patient and provide advice to health staff
threatens self-harm, harms self, attempts suicide, becomes mentally unstable restrain or secure patient on advice of health staff and call for emergency support on advice of health staff
becomes physically unwell assist health staff and call for emergency support on advice of health staff

In the event of an emergency, Health staff will determine the appropriate clinical response and in consultation with Custodial staff, source the appropriate support such as driving to the nearest Police station or Corrections facility.

Other appropriate sources of support may include ringing 111 for an ambulance to meet the vehicle at a secure location or driving to an emergency department, regional forensic unit, or other clinic.

Officers should advise on the proximity and feasibility of reaching nearby medical facilities.

Notifications (Corrections Regulations 2005 regulation 8)

In the event of the transfer of a prisoner:

  • from a prison to a psychiatric hospital or secure facility, or
  • a psychiatric hospital or secure facility to a prison.

The manager of the prison concerned must ensure that notice is given promptly to:

  1. the prisoner next of kin or a person nominated by the prisoner* and
  2. if the prisoner is a service prisoner, the prisoner’s commanding officer.

*Note: If the prisoner asks the manager not to notify his / her next of kin, the prison director must comply with the request.

Where VNR prisoners are transported, the local prison VNR coordinator must be informed.