Section V

1. Section V Emergency Preparedness

2. Chapter 42 Causes of Institutional Unrest

3. 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

4. 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

5. 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

6. 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

7. 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

8. 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

9. 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.

10. 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

11. 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

12. 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.

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

14. Chapter 43 Emergency Management

15. 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

16. 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

17. 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

18. 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

19. 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

20. 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

21. 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

22. 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

23. 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

24. 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

25. 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

26. 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

27. 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

28. 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

29. 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

30. 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

31. 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

32. 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

33. 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

34. Chapter 44 Hostage Situations

35. 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

36. Responding to Hostage Situations • Four ways to respond: • Assault of the location • Selected sniper fire • Use of chemical agents • Containment and negotiation

37. 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

38. 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

39. 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

40. 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

41. 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

42. 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

43. 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

44. 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

45. 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

46. 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

47. 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

48. 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

49. 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

50. Chapter 45 Use of Force