Section V

Emergency Preparedness

Chapter 42

Causes of Institutional Unrest

Objectives• Describe the basic mission of a prison

under a confinement model.

• Give examples of the varied sources of unrest in correctional facilities

• Explain the relationship of prison management practices to prison unrest

Cause of Unrest• Major causes of prison unrest:

– Inmates– Conditions of confinement– Correctional management

• Examples:– Crowding– Insufficient funding– Gang activity– Racial and cultural conflict– Changes in policy

Cause of Unrest (cont.)

• Inmates– Inmates are often angry and antisocial and

seek immediate gratification– Presence and influence of gangs can

contribute to inmate-created unrest– Staff can control this threat by installing

mechanism to gather intelligence and to identify gang members

– Unrest also results when predators are not separated from vulnerable inmates

Cause of Unrest (cont.)• Conditions of Confinement

– Some unrest appears to be rooted in conditions of confinement such as sanitation, food, idleness, inadequate facility maintenance, cell space, access to medical or mental health care, work, school, or addiction programs

– Crowding has been the most explosive condition in recent correctional history

– Overcrowding reduces the quality of life in a facility, burdens its physical plant, and increases staff stress

Cause of Unrest (cont.)• Correctional Management

– Consistent policies that govern inmate conduct and accountability are the foundation of facility security, order, and safety

– To be effective, disciplinary, grievance, and classification appeal processes must be easily understood by inmates and supported by staff

– By investigating and reviewing incidents, an administrator can evaluate circumstances leading to unrest

Prison Management

• Security audits help ensure compliance with established standards and will offer managers a method to improve operations and security

• Operations manual outlines several key areas:– Essential plans, systems, and post orders– Proper reporting procedures– Practices for issuing and controlling keys, tools,

and weapons– Techniques for conducting routine and random

searches for contraband– Methods for conducting urinalysis, inspections,

tours, and visiting – Systems for maintaining inmate documentation

Prison Management (cont.)• Clear chain of command with clear lines of

authority reduces inmate unrest• Change always heightens tension in a prison• Accessible and responsive administrators lead

inmates to feel free to communicate concerns and know they will receive feedback

• Effective managers also recognize that agency and facility stability results from recruiting quality applicants and maintaining high-quality pre-service and in-service training.

Actively Gauging the Climate

• Dedicated and vigilant correctional professionals are the linchpin in the effort to achieve institutional safety and security

• All employees should conduct area inspections and evaluate trends in incident and disciplinary reports, offender grievances, confiscated contraband, recreational groupings, and commissary activity

• Effective management depends on rumor control

Management by Walking Around

• Unannounced or random walks help administrators check on the eight dimensions of criminal justice performance measures for prisons: security, order, activity, conditions, safety, care, justice, and management

• Commissioner and warden ensure public protection, safety, and maintenance of a safe and secure facility by promoting high standards of professionalism, respect, integrity, and excellence

Interpreting the Indicators and Achieving Performance

• Assessment is crucial to the effective and active management of a prison climate

• All such data are linked and, together, provide a valid overview of the institutional environment.

Conclusion

• An agency attuned to detecting problems can identify a problem in its early stages and resolve it before it becomes a crisis

Chapter 43

Emergency Management

Objectives

• Describe the role a prison administrator plays in emergency preparedness

• Explain the stages of response: planning, active management, and aftermath

• Differentiate between emergency response and emergency preparedness

Introduction

• Any number of small, isolated, and seemingly unimportant events that occur frequently can mushroom into full-blown emergencies.

• Disturbances range from passive demonstrations by inmates to violent acts against property, staff, or other inmates

Planning

• Development of established, specific emergency response plans, training, and assignment of resources

• Emergency Preparedness – preparation, planning, training, and budgeting

• Emergency Response – active management, intervention, containment, and resolution

• First step is development of site specific plans for each type of emergency

Planning (cont.)

• Internal Cooperative Contingency Planning– Communication of the initial alarm– Securing the scene and initial containment of

the incident– Command structure– Notification and call back procedures– Command center location and operation– Preparation of emergency response teams

Planning (cont.)

• Traditional Disturbance Control Teams– Trained in riot control formation and use of

defensive equipment– Trained to control and contain both large and

small groups of inmates

• Armed DCTs– Use should be limited to situations where staff

or inmate lives are in imminent danger– Use implies that management has accepted

that lethal force may be used

Planning (cont.)

• Tactical Response Teams– Most highly trained and skilled team– Similar to traditional special weapons and

tactics teams– Require advanced levels of training in

barricade breaching, hostage rescue tactics, and precision marksmanship

Planning (cont.)

• External Cooperative Contingency Planning– Managers must ensure that institution

emergency plans include mutually agreed-upon cooperative contingency plans with outside agencies

– Will reduce confusion and delay in the event of an emergency

– Achieves role definition and limits of assistance among agencies

Planning (cont.)

• Training and Mock Exercises– Management must evaluate emergency plans,

devise training scenarios, and analyze staff performance

– Small, internal training exercises should test communication devices, staff recalls, command center set-up, and area containment

– One of the most important aspects of emergency preparedness is knowing the capabilities and limitations of response teams

Planning (cont.)

• Testing emergency response plans should include the following steps:– Identify those staff who are to respond and those to

be used as role players– Ensure that staff are cross-trained– Ensure that staff know how to assume their various

roles– Assign monitors to evaluate and criticize the exercise– Provide a method of terminating the exercise should a

real incident occur– Establish a code word or signal to alert staff should an

actual emergency occur– Conduct a debriefing with all staff participants

Planning (cont.)

• Meeting Legal Requirements– Ensure that all prearranged agreements

with other agencies have been reviewed by the respective legal representatives

• Tactical Options– Three options to resolve major incidents:

• Negotiation• DCTs• Use of deadly force

Planning (cont.)• Tactical Options

– Preestablished breaching plans should include:• Identification of a staging area• Plan of approach• Preparation for entry• Required physical hardware and equipment

necessary to effect entry• Identification of the method-of-entry options

for opening or removing by force• Assignment of primary entry teams

Prediction

• Emergencies can often be predicted if disturbance factors can be identified and evaluated properly

• Administrators should develop a risk analysis mechanism designed to predict the degree of possibility for an emergency

• Should include intelligence information, assessment of inmate grievances and complaints, and review of common ground discovered

Prevention

• Phase of emergency preparedness that enables the prison administrator and staff to maintain or restore safe, humane, and professional conditions of confinement

• Appropriate programs for inmates and effective safety, security, and sanitation programs

• Most important factor is consistent enforcement of rules, policies, and directives

Prevention (cont.)

• New and Additional Emergency Preparedness Elements– Intense scrutiny following a disturbance will

require utilization of outside resources

• Continuity of Operations Plan– Designed to ensure continuing facility

operations of personnel and technical infrastructure

Prevention (cont.)

• National Incident Management System– Enable responders to work together more

quickly and effectively when responding to natural disasters and other large scale emergencies

• National Response Plan– Establishes protocols for state and local

jurisdictions and the private sector to coordinate responses with the federal government

Prevention (cont.)

• Goals of the National Response Plan – To save lives and protect the health and

safety of the public, responders, and recovery workers

– To ensure security of the homeland– To prevent an imminent incident, including

acts of terrorism, from occurring– To protect and restore critical infrastructure

and key resources

Prevention (cont.)

• Goals of the National Response Plan– To conduct law enforcement investigations to

resolve the incident, apprehend the perpetrators, and collect and preserve evidence for prosecution and/or attribution

– To protect property and mitigate damages and impacts to individuals, communities, and the environment

– To facilitate recovery of individuals, families, businesses, governments, and the environment

Dealing with the Aftermath

• Returning the institution to normal will be a unique challenge for administrators

• Feelings of guilt, disbelief, and failure are common among staff following a major incident

• Support functions will be critical for staff and inmates

Conclusion

• Emergency preparedness plans require utilization of all available resources to ensure an effective and practical system of response that can also be implemented in concert with outside resources

Chapter 44

Hostage Situations

Objectives

• Describe the goals of hostage negotiation and outline characteristics of successful hostage negotiators

• Identify what characteristics drive the use of negotiation

• Explain the importance of intelligence gathering in a hostage situation

Responding to Hostage Situations

• Four ways to respond:– Assault of the location– Selected sniper fire– Use of chemical agents– Containment and negotiation

Purpose and Theory of Hostage Negotiations

• Basic purposes are to preserve lives and regain control of the correctional facility

• Objectives of negotiator:– Attempt to save lives– Regain control of the prison environment– Prevent escape– Minimize casualties– Apprehend the hostage takers– Recover property

Purpose and Theory of Hostage Negotiations (cont.)

• Characteristics for an event to be negotiable:– Hostage taker must want to live– Authorities must threaten to use force– Hostage taker must have clear demands– Negotiator must be viewed as one who can hurt or

help the captor– Must be time to negotiate and a reliable channel of

communication– Location and communication of the incident must

be contained– All communication must be channeled to and

through the negotiator– Negotiator must be able to deal with the captor who

is the decision maker

Purpose and Theory of Hostage Negotiations (cont.)

• One of the main benefits of the negotiation process is that it takes time

• Stockholm syndrome – captors and hostages identify with each other – captor is less likely to harm hostages

Structure and Role of Response Teams

• Tactical team should establish a command post in a quiet area between perimeters

• On-scene commander will direct all activities from this site

• Second-in-command supervises interaction with outside entities

• Negotiation team leader briefs commander on negotiation process and intelligence

• SWAT team leader informs commander about readiness of team members and likely success of assault options

Structure and Role of Response Teams (cont.)

• Responsibilities of negotiation team:– Gathering intelligence– Formulating tactics to defuse an incident– Communicating with hostage takers– Recording intelligence– Tracking negotiations– Coordinating with the commander and tactical

team

Structure and Role of Response Teams (cont.)

• Hostage negotiators should have:– Emotional maturity– Good listening and interviewing skills– Ability to make logical arguments and be

persuasive– “Street smarts”– Experience– Ability to communicate well with many different

types of people– Ability to take responsibility for the negotiations

Structure and Role of Response Teams (cont.)

• Hostage negotiators should have:– Understanding of the key principles of

negotiation– Ability to cope with uncertainty– Flexibility– Commitment to the negotiation approach– Ability to plan and support an assault

Structure and Role of Response Teams (cont.)

• Hostage takers are generally categorized into three main groups:– Mentally unstable– Criminals– Crusaders

• Victims’ Assistance Teams– Communicates with hostages’ families to

disseminate information and intelligence and shield them from the news media

Negotiation Strategies

• Goals of hostage negotiation are to:– Open lines of communication– Reduce stress and tension– Build rapport– Obtain intelligence– Stall for time– Allow hostage takers to express emotion and

ventilate– Establish a problem-solving atmosphere

Negotiation Strategies (cont.)

• Negotiations must hold the following principles inviolate:– No hostage should be exchanged for release

or reduction in sentence for any inmate– No weapons should be supplied to hostage

takers– No intoxicating substances should be

exchanged for the release of hostages– No hostage should be exchanged for a

different hostage

Return to Normal Operations

• Short-term responsibilities – searching for contraband, securing inmates, assessing damages, providing medical care

• Medium-term efforts – support and counseling for employees, repairing damages, investigating the crisis

• Long-term solutions – developing policy reflecting what was learned from the disturbance

The Importance of Training

• Administrators should give training a high priority

• People in each component need to understand clearly the functions of people in other components

• Administrators should develop policies and procedures that document training and records to show who participated

Conclusion

• Many disturbances can be avoided or minimized by taking appropriate and proactive measures

• In addition, all correctional facilities should have a coordinated emergency response plan

Chapter 45

Use of Force

Objectives

• Describe circumstances in which an officer may use force in a correctional setting

• Discuss critical elements of an agency’s use of force policy

• Identify relevant constitutional amendments and how they have been applied to cases involving the use of force

Introduction

• Legitimate power – prisoners accept that staff have the authority to give reasonable instructions related to inmates’ daily activities

• Coercive power – always available, but seldom used – ever present resource that can be mobilized to provide the force necessary to support legitimate power

• Lethal force is a rarely used type of coercive power

• Officers routinely rely on direct physical contact to maintain control and security

Incidence of the Use of Force

• In prisons, the incidence of the use of force is greater within larger facilities and within maximum security facilities

• Force may be used more frequently in jails• Lethal force is most likely to be used against

escaping inmates and to control group disturbances

• Nonlethal force is most likely to be used when officers become involved in inmate-on-inmate fights or when an inmate refuses to comply with lawful orders

Use and Effectiveness of Nonlethal Weapons

• Chemical irritants and batons were available for use in nearly all prisons studied, but less than half of jails

• Prison and jail administrators considered all of the following options to be effective: projectile gun, chemical irritants, stun devices, batons, and other weapons

• Research has demonstrated that nonlethal weapons are effective in gaining control over noncompliant inmates except when used against inmates with a mental or substance impairment

Officer Attitudes Toward the Use of Force

• Detention officers with increased levels of punitive and custodial orientation, greater satisfaction with the quality of supervision, or more concerns about role conflict, fear of victimization, and personal authority reported an increased readiness to use force

• Both correctional training and policy emphasize that officers should be prepared to use legitimate force to gain the compliance of or maintain control over inmates

Civil Liability of Lethal Force

• Civil liability for correctional officers is defined in terms of the 8th amendment

• Courts use assumption that all escaping prisoners are dangerous

• Warning shots and shooting to maim can be justified and may even be preferred

• Only the unnecessary and wanton infliction of pain constitutes cruel and unusual punishment

Civil Liability of Nonlethal Force

• May use force lawfully in defense of self or others or to enforce prisoners rules and regulations, prevent a crime from occurring, or prevent escape

• Litigation typically occurs under:• Cases that assert that an officer reacted

improperly to an inmate• Negligent use of nonlethal weapons contrary

to the manufacturer’s recommendation• Failure to provide timely medical aid to an

inmate• Administrators’ failure to intervene, failure to

train, or failure to investigate misuse of weapons

Policies and Training• Use of Force Policy

– Clarify levels of force appropriate for various situations, usually on a continuum

– Indicate which weapons are authorized for use, which officers are authorized to use them, and when officers will be trained

– Locate weapon on continuum of force– Give specific directions or limitations for use– Define situations when weapons are not to be

used– Deadly force policies should address use of

warning shots and shooing to maim

Policies and Training (cont.)

• Use of Force Training– All officers should receive entry-level and in-

service training in use of force– Should include technical information and

physical training regarding use of techniques and weapons

– Also receive information on rendering temporary medical care following use of force

– Train for de-escalation of force and emphasize use of verbal communication skills

Policies and Training (cont.)

• Systematic Institutional Review– Agencies should develop and maintain a

process by which all instances of the use of force are systematically recorded and reviewed

Utility and Costs

• No single model fits all institutions• No consensus about what defines use of

force or what is an appropriate response in a given situation

• Question of utility revolves around what level of force is most useful in maintaining safety and control

• Data suggests that nonlethal weapons can be used effectively

Utility and Costs (cont.)

• Use of force involves many potential costs

• Direct financial cost associated with injuries that occur to inmates or officers

• Indirect financial costs accrue in the form of the time and money spent to process grievances, respond to lawsuits, and address investigations into the misuse of force

Conclusion

• Lethal force is restricted to use against escaping inmates and in response to group disturbances

• Nonlethal force is applied to individual inmates as a means of control

• Appropriate nonlethal force must generally meet the tests of reasonableness, non-negligence, timely medical aid for injuries, provisions for adequate training, and clear policies regarding the use of force