C182810 Appendix One Redacted.pdf

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8
Performance against KPIs is graded in bands ranging from Service Failure Level 0 (best performance)
to Service Failure Level 4 (poorest performance). ASCF is currently in Service Failure Level 1 as a
result of the Charge Event (unnatural death of a person in prison – suspected suicide) that occurred in
June 2021. Service Failure Level 1 entitles Corrections to receive additional performance reporting from
ASCF. Additional reporting is not required in respect of the Charge Event, but the entitlement may be
exercised later in the year if Corrections has performance concerns.
In December 2021, ASCF was placed under Stage 2 of the COVID-19 Custodial
Environments Operating Procedures
9
With the country moving to the Traffic Light COVID-19 Protection Framework on 3 December 2021
(Auckland being in the Red setting), the site transitioned from the High-level Guidance for Alert Level 3
to the COVID-19 Custodial Environments Operating Procedures (CCEOP).
10
On 3 December 2021, ASCF was placed under Stage 2 of 3 of the CCEOP framework, along with the
Northern Region Prisons and Spring Hill Corrections Facility. Despite the Auckland Region moving from
Red to Orange on 30 December 2021, ASCF remained at Stage 2.
2
Gateway Review findings and recommendations are being assessed
11
On the week of 22 to 26 November 2021, the ASCF PPP Project underwent a Treasury Gateway
Review (Targeted Investment Review). The initial findings and recommendations of the review were
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provided to your office in the previous ASCF update (B4271 refers). The Organisational Performance
Committee at Corrections is reviewing the Gateway Report in the next Quarter and creating a workplan
i
to implement the recommendations.
Progress in the Review/Reset of the ASCF PPP Agreement
Informa
12
In November 2021, Serco submitted a business case to Corrections to address cost pressures in
relation to the provision of health services at ASCF. The business case seeks funding to address the
shortfall in full-time equivalent resources required currently in the provision of primary healthcare to
people in prison against the resources initially estimated at project signing in September 2012. It also
e Officia
seeks to align services in mental health and addictions between ASCF and other Corrections sites as
well as with the Hōkai Rangi Strategy. The PPP Contracts Team is reviewing the business case
r
collaboratively with Corrections’ Health team. The cost of the business case is approximately $2-3
million per annum.
un
13
The role of ASCF in the wider Corrections network continues to be considered as a part of Enterprise
Planning Framework. This includes reviewing network configuration and placement of people in prison
at ASCF. A key consideration is ensuring Corrections maximises the use of the available capacity at
l ased
ASCF, and the programme and industry capability of the facility. The key issue that remains is the
facility continues to operate below capacity, with the self-care Residences at 65 percent occupancy and
the Houseblocks at 95 percent occupancy, resulting in an overall vacancy of around 115 men on any
given day3.
Work is continuing to address concerns raised by the Chair of the New Zealand
Parole Board
14
The issues outlined by the Chair of the New Zealand Parole Board regarding ASCF’s quality of
psychological reporting to the Parole Board and phsychological evaluation of people in prison, are
continuing to be worked through. ASCF is working closely with Corrections’ psychology teams to
ensure the quality of ASCF reports remain up to standard.

3 As at 31 December 2021.
Briefing: B4316
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Overall, annual staff turnover at ASCF is consistent with the previous Quarter, decreasing slightly to
21.1 percent1 at 31 March 2022 from 22.2 percent at 31 December 2021.
Incidents and Assaults
8
The number of incidents continues to decrease at ASCF, especial y incidents related to prisoner
behaviour and prisoner management. ASCF had a total of 182 incidents during this Quarter, a decrease
from 202 incidents in the previous Quarter. The number of incidents continues to be materially lower
than the average of 565  incidents across the comparator sites2 this Quarter.
9
The occurrence of assaults at ASCF remains low with a total of 17 prisoner on prisoner and prisoner on
staff assaults for this Quarter compared to 25 last Quarter. The number of assaults continues to be
materially lower than the average of 56  assaults across the comparator sites.
Complaints and Misconducts
10
There were a total of 323 complaints made by people in prison for this Quarter, up from 258 in the
previous Quarter with resolution timeliness remaining above 90 percent. The uplift is attributable to an
increase in complaints related to prisoner conditions and prisoner personal matters
2 . The number of
complaints is high compared to the quarterly average  of 230 at comparator sites.
11
The number of misconducts continues to decrease. Over this Quarter, ASCF had a total of 165
misconducts, down from 211 in the previous Quarter.
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Charge Event
12
On 1 March 2022, a Charge Event (Unnatural Death of a Prisoner – apparent suicide) occurred in the
Residences at ASCF. ASCF followed Corrections’ Death in Custody Protocols to manage the incident.
This is the second Unnatural Death at ASCF since Service Comm
Informa encement in May 2015. Over the
same seven year period, the comparator sites have had four Unnatural Death events on average.3
13
ASCF is investigating the facts of the incident and will outline the findings to Corrections in a report. The
Office of the Inspectorate wil  also investigate this incident and provide a summary report to the Chief
e Officia
Executive.
r
ASCF received the equal lowest KPI Breaches in a Quarter since service
commencement in May 2015 un
14
Deductions for seven KPI Breaches totalled $11,462, with one Serious Assault incident occurring during
the Quarter, Table 1 refers. This is a continuation of good performance with the number of KPI
Breaches being the equ
l ased
al lowest in a Quarter since Service Commencement.

1 Note that this percentage is not directly comparable to Corrections’ turnover figures reported in the 2019/20 Annual
Report. Corrections’ turnover does not include transfers between sites, whereas any transfer from ASCF to a Corrections
site would be classed as turnover for ASCF/Serco.
2 Christchurch Men’s Prison, Rimutaka Prison, and Spring Hil  Corrections Facility.
3 Christchurch Men’s Prison: 5, Rimutaka Prison: 3, Spring Hil  Corrections Facility: 4
Briefing: B4330
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In Confidence

Aide Memoire: Auckland South Corrections Facility PPP – Quarterly
Update (April 2022 – June 2022)
To  Hon Kelvin Davis, Minister of Corrections
Date
27 July 2022
Decision and Timing

B number
B4364
Priority
Low
Alastair Turrel ,
Key contact
Deputy Chief Executive,
Contact number
S 9(2)(a)

Infrastructure & Digital
Assets
2
Peter Mitchell,
Second contact
Contact number
S 9(2)(a)

Director PPP Contracts
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Purpose
i
1
This aide memoire provides an overview of matters of interest that have occurred in the operation and
management of Auckland South Corrections Facility (ASCF) for the period April 2022 to June 2022 (the
Quarter).
Informa
ASCF is performing well against key custodial measures
Incidents and Assaults
e Officia
2
ASCF had a total of 218 incidents during the Quarter, an increase from 182 incidents in the previous
Quarter. The number of incidents contin
r ues to be significantly lower than the average number of
incidents across the comparator sites1 (574 this Quarter).
un
3
The occurrence of assaults at ASCF remains low, with a total of 19 assaults for the Quarter (total of
prisoner on prisoner and prisoner on staff) compared to 17 last Quarter. The number of assaults
continues to be significantly lower than the average number of assaults across the comparator sites (48
l ased
for the Quarter).
Complaints and Misconducts
4
There was a total of 274 complaints made by people in prison for the Quarter, down from 323 in the
previous Quarter, with resolution timeliness remaining above 90 percent. The number of complaints is
high compared to the Quarterly average (225) of the comparator sites.
5
The number of misconducts increased slightly to 187 from 165 in the previous Quarter. This is lower
than the Quarterly average (364) of the comparator sites.

1 Christchurch Men’s Prison, Rimutaka Prison, and Spring Hil  Corrections Facility.

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Next Steps
23
Corrections wil provide the next ASCF Quarterly Performance Update to your office in October 2022.

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Aide Memoire: B4364
4

In Confidence

Aide Memoire: Auckland South Corrections Facility PPP – Quarterly
Update (July 2022 – September 2022)
To  Hon Kelvin Davis, Minister of Corrections
Date
19 October 2022
Decision and Timing
N/A
B number
B4438
Priority
Low
Alastair Turrel ,
Deputy Chief Executive,
Key contact
Contact number
S 9(2)(a)

Infrastructure & Digital
Assets
2
Peter Mitchell,
Second contact
Contact number
S 9(2)(a)

Director PPP Contracts
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Purpose
i
1
This aide memoire provides an overview of matters of interest that have occurred in the operation and
management of Auckland South Corrections Facility (ASCF) for the period July 2022 to
September 2022 (the Quarter).
Informa
ASCF continues to perform well against key custodial measures
Incidents and Assaults
e Officia
2
ASCF had a total of 250 incidents during
r   the Quarter, an increase from 218 incidents in the previous
Quarter. The number of incidents continues to be significantly lower than the average number of
incidents across the comparator sites1 (581 this Quarter).
un
3
The occurrence of assaults at ASCF remains low, with a total of 18 assaults for the Quarter (total of
prisoner on prisoner and prisoner on staff) compared to 19 last Quarter. The number of assaults
continues to be significl ased
antly lower than the average number of assaults across the comparator sites (46
for the Quarter).2
Complaints and Misconducts
4
There was a total of 363 complaints made by people in prison for the Quarter, up from 274 in the
previous Quarter, with resolution timeliness remaining above 90 percent. The number of complaints is
high compared to the Quarterly average (199) of the comparator sites.
5
The number of misconducts increased slightly to 233 from 187 in the previous Quarter. This is lower
than the Quarterly average (343) of the comparator sites.

1 Christchurch Men’s Prison, Rimutaka Prison, and Spring Hil  Corrections Facility.
2 Assault figures are a total of Serious Assaults, Non-Serious Assaults, and Assault No Injury data. Serious and Non-
Serious Assaults are also KPIs under the Project Agreement, with the Quarterly figures detailed in Table 2.

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Performance against KPIs and Charge Events is graded in bands ranging from Service Failure Level 0
(best performance) to Service Failure Level 4 (poorest performance). ASCF is currently in Service
Failure Level 1, as a result of the Charge Event (unnatural death of a prisoner) on 1 March 2022.
Service Failure Level 1 entitles Corrections to receive additional performance reporting from ASCF.
Additional reporting is not required in respect of the Charge Event, but the entitlement may be exercised
later in the year if Corrections has performance concerns.
Refinancing of the Senior Debt of the Project occurred in September 2022
13
In April 2022, the Contractor commenced the process to refinance the Senior Debt of the Project (the
funding used to design and build ASCF). The refinancing was original y scheduled for December 2022,
however, due to favourable market conditions the refinancing took place in September 2022 [B4401
refers].
14
The refinancing reached Financial Close on 23 September 2022, and resulted in a gain to Corrections
of approximately $0.35 mil ion.
Progress in the Review/Reset of the ASCF PPP Agreement
15
The role of ASCF in the wider Corrections network continues to be considered. Corrections’ immediate
2
focus has shifted to tactical consolidation as a response to COVID-19 and frontline staffing pressures.
To assist Corrections’ Northern Region sites, additional prisoners were moved to ASCF during the
Quarter, as well as frontline ASCF staff providing assistance to MECF.
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16
Corrections is focused on ensuring operational capacity is met at ASCF to relieve the strain across the
prison network. ASCF continues to operate below capacity, with the
i  self-care Residences at 70 percent
occupancy and the Houseblocks at 94 percent occupancy, resulting in an overall vacancy of around
103 men (as at 30 September 2022).
17
Corrections wil  be finalising a number of Change Notices with the Contractor in the fol owing Quarter.
Informa
The Change Notices are a result of changes in the custodial operating environment since Service
Commencement in 2015. The changes relate to the delivery of health services, on-body cameras,
electronic monitoring, and changes to the Site Emergency Response Team (SERT).
18
Following finalisation of the Change Notices above, th
e Officia e PPP Project Agreement wil be restated to
incorporate the contract amendments. r
Next Steps
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19
Corrections wil  provide the next Quarterly Performance Update on ASCF to your office in January
2023.

l ased
Aide Memoire: B4438
3

In Confidence

Aide Memoire: Auckland South Corrections Facility PPP – Quarterly
Update (October 2022 – December 2022)
To  Hon Kelvin Davis, Minister of Corrections
Date
9 February 2023
Decision and Timing
No decision required
B number
B4490
Priority
Low
Alastair Turrel ,
Key contact
Deputy Chief Executive,
Infrastructure & Digital
Contact number
S 9(2)(a)

Assets
2
Peter Mitchell,
Second contact
Contact number
S 9(2)(a)

Director PPP Contracts
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Purpose
i
1
This aide memoire provides an overview of matters of interest that have occurred in the operation and
management of Auckland South Corrections Facility (ASCF) for the period October 2022 to
December 2022 (the Quarter).
Informa
ASCF is nearing operational capacity
2
Corrections’ recent focus has shifted to tactical consolidation as a response to COVID-19 impacts and
low frontline Corrections staffing levels. To assist Corrections’ Northern Region sites, additional
e Officia
prisoners have been moved into ASCF during the Quarter, with the majority arriving from Mount Eden
Corrections Facility and Spring Hil  Corr
r ections Facility.
3
The prison population at ASCF has continued to increase throughout 2022, reaching 894 men (as at 31
un
December 2022) out of a 960-bed capacity, up from 708 men in March 2022.
ASCF continues to perform well against key custodial measures
l ased
Incidents and Assaults
4
ASCF had a total of 272 incidents during the Quarter, an increase from 250 incidents in the previous
Quarter. The number of incidents continues to be significantly lower than the average number of
incidents across the comparator sites1 (579 this Quarter).
5
The occurrence of assaults at ASCF remains low, with a total of 20 assaults for the Quarter (total of
prisoner on prisoner and prisoner on staff) compared to 18 last Quarter. The number of assaults
continues to be significantly lower than the average number of assaults across the comparator sites (40
for the Quarter).2

1 Christchurch Men’s Prison, Rimutaka Prison, and Spring Hil  Corrections Facility.
2 Assault figures are a total of Serious Assaults, Non-Serious Assaults, and Assault No Injury data. Serious and Non-
Serious Assaults are also KPIs under the Project Agreement, with the Quarterly figures detailed in Table 1.

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Corrections has finalised Change Notices with the Contractor
13
Corrections has finalised three Change Notices with the Contractor during the Quarter, including:
-  Body-Worn Cameras (BWC): ASCF has transitioned to the new Axon BWC along with the rest of
the prison estate. The new cameras are designed to be easier to operate, with a longer battery life
and footage quality.
-  Site Emergency Response Team (SERT): an uplift to the number of SERT staff at ASCF in order to
meet the operational needs of the prison and Corrections.
-  Primary Health: an uplift to the number of staff (predominately nurses) that deliver primary health
services at ASCF as a result of the increasing health needs of people in our care and multiple
policy changes since Service Commencement of ASCF in 2015.
14
Several Change Notices are under discussion with the Contractor relating to Electronic Monitoring,
Mental Health and Addictions, and reporting to the Parole Board. Corrections is aiming to finalise these
Change Notices in the next Quarter.
Next Steps
15
Corrections wil  provide the next Quarterly Performance Update on ASCF to your office in April 2023.
2

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Aide Memoire: B4490
3

In Confidence

Aide Memoire: Auckland South Corrections Facility PPP – Quarterly
Update (January 2023 – March 2023)
To  Hon Kelvin Davis, Minister of Corrections
Date
4 May 2023
Decision and Timing
No decision required
B number
B4531
Priority
Low
Alastair Turrel ,
Deputy Chief Executive,
Key contact
Contact number
S 9(2)(a)

Infrastructure & Digital
Assets
2
Peter Mitchell,
Second contact
Contact number
S 9(2)(a)

Director PPP Contracts
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Purpose
i
1
This aide memoire provides an overview of matters of interest that have occurred in the operation and
management of Auckland South Corrections Facility (ASCF) for the period January 2023 to March 2023
(the Quarter).
Informa
ASCF has reached operational capacity during the Quarter
2
Corrections’ recent focus has shifted to consolidating the prison population fol owing COVID-19
e Officia
measures being lifted and in response to our low custodial staffing levels. To assist the Northern Region
sites, additional prisoners have been mov
r  ed to ASCF during the Quarter, with the majority arriving from
Mt Eden Corrections Facility and Spring Hil  Corrections Facility.
un
3
The prison population at ASCF has continued to increase throughout 2022 and 2023, reaching 954 men
(as at 31 March 2023) out of a 960-bed capacity, up from a low of 708 men in March 2022. ASCF now
houses 12 percent of all male prisoners and 21 percent of all sentenced male prisoners nationally. With
the increase of men on-site, and several internal transfers to accommodate these men, there has been
l ased
an increase in overall incidents and assaults this Quarter.
4
A large proportion of the men housed at ASCF are under voluntary protective segregation (435) or are
high security (225 men or 34 percent of all high security sentenced prisoners national y).
Although the number of assaults and incidents have increased, ASCF continues to
perform well against comparator sites
Incidents and Assaults
5
ASCF had a total of 283 incidents during the Quarter, an increase from 272 incidents in the previous
Quarter. The number of incidents continues to be significantly lower than the average number of
incidents across the comparator sites1 (566 this Quarter).

1 Christchurch Men’s Prison, Rimutaka Prison, and Spring Hil  Corrections Facility.

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In Confidence

Aide Memoire: Auckland South Corrections Facility PPP – Quarterly
Update (April 2023 – June 2023)
To  Hon Kelvin Davis, Minister of Corrections
Date
3 August 2023
Decision and Timing
No decision required
B number
B4580
Priority
Low
Alastair Turrel ,
Deputy Chief Executive,
Key contact
Contact number
S 9(2)(a)

Infrastructure & Digital
Assets
2
Peter Mitchell,
Second contact
Contact number
S 9(2)(a)

Director PPP Contracts
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Purpose
i
1
This aide memoire provides an overview of matters of interest that have occurred in the operation and
management of Auckland South Corrections Facility (ASCF) for the period April 2023 to June 2023 (the
Quarter).
Informa
The prison population at ASCF remains near capacity
2
The prison population at ASCF has continued to increase throughout 2022 and 2023, reaching 946 men
e Officia
(as at 30 June 2023) out of a 960-bed capacity. This is up from a low of 708 men in March 2022. ASCF
now houses 12 percent of all male prison
r  ers and 21 percent of all sentenced male prisoners nationally.
3
A large proportion of the men housed at ASCF are under voluntary protective segregation (434) or are
un
high security (186 men or 27 percent of all high security sentenced prisoners national y).
ASCF continues to perform well against key custodial measures
l ased
Incidents and Assaults
4
ASCF had a total of 283 incidents during the Quarter, which is the same number of incidents as the
previous Quarter. The number of incidents continues to be significantly lower than the average number
of incidents across the comparator sites1 (601 this Quarter).
5
The occurrence of assaults at ASCF decreased significantly this Quarter, with a total of 21 assaults,
comprised of one serious, seven non-serious and 13 no injury (total of prisoner on prisoner and prisoner
on staff) compared to 33 last Quarter. The number of assaults continues to be significantly lower than
the average number of assaults across the comparator sites (48 for the Quarter).2

1 Christchurch Men’s Prison, Rimutaka Prison, and Spring Hil  Corrections Facility.
2 Assault figures are a total of Serious Assaults (includes Sexual Assaults), Non-Serious Assaults, and Assault No Injury
data. Serious and Non-Serious Assaults are also KPIs under the ASCF PPP Project Agreement, with the Quarterly figures
detailed in Table 2.

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12
Performance against KPIs and Charge Events is graded in bands ranging from Service Failure Level 0
(best performance) to Service Failure Level 4 (poorest performance) under the Project Agreement. The
Contractor is currently in Service Failure Level 0.
Other Items of Note
13
Serco have appointed Gerry Smith, who is currently acting ASCF Prison Director, as the permanent
Prison Director of ASCF. The Chief Executive of Corrections approved this appointment as required
under the Corrections Act 2004.
14
Two Change Notices are under discussion relating to reporting to the New Zealand Parole Board and
mental health and addiction services provided at ASCF. Corrections is aiming to finalise these in the
next Quarter.
15
During the Quarter, Serco submitted a discussion paper seeking funding for an additional 45 frontline
officers employed at ASCF since Service Commencement in 2015. Given the potential cost impact, this
wil  require significant review and discussion.
Next Steps
2
16
Corrections wil  provide the next Quarterly Performance Update on ASCF to your office in October
2023.

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Aide Memoire: B4580
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15
A Charge Event (unnatural death of a prisoner) occurred at ASCF during the period (21 December
2023). This is the third Charge Event since service commencement and the first in 2023. The resulting
charge payable by SecureFuture to Corrections for this event wil  be $99,820.
16
Performance against KPIs and Charge Events is graded in bands ranging from Service Failure Level 0
(best performance) to Service Failure Level 4 (poorest performance) under the Project Agreement. The
SecureFuture is currently in Service Failure Level 1 due to the December 2023 Charge Event.
Other items of note
17
A change notice relating to the provision of mental health and addiction services provided at ASCF was
finalised in October 2023. The change notice provides ASCF with an additional eight staff at an ongoing
cost of approximately $940,000 per annum.
18
Corrections and Serco are currently negotiating a change notice relating to the provision of an alcohol
and other drug (AoD) programme at ASCF. The programme is intended to be for high security prisoners
assessed as having moderate to high AoD treatment needs. The parties expect to finalise this in the
next quarter.
2
Next steps
19
Corrections wil  provide an ASCF Quarterly Performance Update (January to March 2024) to your office
in April 2024.
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Aide Memoire: [B4660]
3