INDEX

PRISONER MANAGEMENT AND CONTROL

Factors in prisoner unrest

Handling emergencies

Improvement of correctional programmes

Introduction

Personnel administration

Preface

Preventive measures

Report to the Minister by the Commissioner of Corrective Services -September 1970

Section 7 of the Prisons Act

RIOTS AND DISTURBANCES

Causes of riots and disturbances in

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25

23

6

13

12

3

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correctional institutions 34

Conclusion 67

Introduction 34

Methods of controlling riots and disturbances in correctional institutions 57

Prevention of riots and disturbances 46

LAW OF EVIDENCE

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DEPARTMENT OF CORRECTIVE SERVICES

Manual of General Information

Custodial Division

PRISONER MANAGEMENT AND CONTROL

Preface

The responsibility for effective prisoner administrative-management and control is a difficult problem for all concerned with correctional administration.

The penal/correctional administrator lives with the ever-present potentials of prisoner disorder and its consequences. He is aware that correctional objectives are vaguely, if at all, understood, and that they may even be in conflict with each other. He is ah;o ncutely aware that he is expected to achieve the desirable levels of security without the imposition of adverse restrictions on the inherent ;:ights of the individual, prisoner notwithstanding, and without restricting the expanding programmes and services for prison inmates. He is constantly reminded that the levels of expectation and social demands a;:e increetsing more rapidly than the traditionally accepted theories, policies and procedures can be mol1ified, and before corrections and the crimi~nal justice system may be exnmined from a common viewpoint.

Prisoner management nnd control is an area of the correctional administration for Hhich there are a few generally accepted principles and standards (i.e. both of and for practice). Policies and procedures have been dictated by deep-seated t~radi tions (a better word may be habits) which have simply not kept pace with the times. Certain so-called principles have been based on the equivalent of folk lore and non-verified or verifiable conclusions initially based on false premise and non-supported theories.

Pressures, with the accompanying effort and demands on the correctional system, come from a great many sources - social, legislation, areas of human endeavour (e.g. United Nations), to name but a few of the identifiable focal points. Of course, changes brought about as the result of identified and identifiable pressures may ultimately produce concepts and procedures adopted for reasons other than valid ones. The development of an administrative task. based on this sort of planning mm;t ultimately be disruptive or, at best, poorly conceived and organised.

The material that follows is not intended to be exhaustive but is intended to assist in a rational approach to the task of penal/correction and its

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accompanying problems. An analysis is made of a number of major factors in prisoner unrest. The appropriate preventive measures are discussed with special attention being given to prisoner management, poli·cies and operating procedures, together with suggested improvements for correctional programmes. Attention is given to the outlines of handling an emergency, in which emphasis is given to the development of plans for escapes, riots and disturbances. The material moves in the area of first principles only and is the area in which the supervising officer may assess conditions as they are, establish plans and formulate policies that are both coherent and consistent with the longer term objectives.

W. McGeechan

Commissioner of Corrective Services

(

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Report to the Minister by b'>.e Commissioner of Corrective Services . September. 19/0.

Mr. Minister,

In relatively contemporary times the need for an educated and sophisticated plan of social defence was both evolved and adopted by your policy decision.

Throughout the world, various elements of the law enforcement process, with their personal and respective crime control mechanisms, have become conscious of the need for an overall re~evaluation of the demands to be met by an evolving society, with its diverse cultures and requirements peculiar to the times. This need was manifest throughout the proceedings of the recent United Nations Congress.

The diagnostic approach in a social defence plan is a challenging task, but one, which by world~wide standards, is neither unattractive nor lacking in feasibility.

The social re~education concept provides an enormous demand on the traditional establishment structures, philosophies and doctrines. It is only by the recognition of the concept as a convention, associated with the involvement of society that the programme will become attainable.

The elected course of this administration has been taxed on a number of different fronts but this too is evolutionary. In terms of efficiency and attitudes towards duty and the peace and welfare of the community at large, a great many officers have made a magnificent contribution. It would be lacking on my part to allow the contributions by these officers to the community to be passed without specific recognition.

It is symptomatic that society needs a developing and growing plan for a more sophisticated social defence scheme than has been accepted in the past. It is anticipated that additional emphasis will need to be placed into the aspect of crime control as an integral part of the plan for social defence.

It is obvious that the.re is an increasing awareness within the community to the evolving programmes within this Service. Clearly, the interest of the community at large will be a controlling influence in the successful implementation of the overall plan of this Service.

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It is considered that, within the confines of its three major functions of supervised liberty, detention and conditional liberty, the Department of Corrective Services is making a definite contribution to the recognised areas of social defence. It is hoped that this contribution will benefit the desirable but, obviously, unattainable ideal of a community free from crime.

~~~u)\OM ~_.j, ' "·~,.

Commissioner of Corrective Services

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Section 7 of the Prisons Act

The Commissioner of Corrective Services shall, subject to this Act and subject to the direction of the Minister, have the care, direction, control and management of all prisons.

The Commissioner of Corrective Services may, subject to this Act and subject to the direction of the Minister, either alone or in conjunction with other persons or organisations make provision for the training, welfare and aftercare of prisoners.

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Introduction

This Manual is issued for the guidance of officers. It includes the Prisons Act, 1952-1968, and the Regulations and Rules made thereunder. It contains reference to and summaries of other legislations which affect the work of prison officers and it embodies instructions in greater or less detail to cover the situations arising in the day-to-day operation of the prison.

This Manual is a confidential document, which remains the property of the Government, and must be kept secured when not in use.

The main purposes of the Department of Corrective Services are:

1. to hold in custody for prescribed periods those persons sentenced by the court to its jurisdiction;

2. to attempt to modify the attitudes of those in its care to such an extent that their actions upon release will be essentially law-abiding rather than law-breaking; and

3. to provide them with the kind of treatment and training that will afford them better opportunities for successful personal and social adjustment.

Any programme within the Department must be designed with prime emphasis on these three purposes and be carried out in such a way that they are in accordance with each other.

A departmental organisation chart accompanies this publication and the full range of activities of the Department of Corrective Services is demonstrated by this chart.

The line of authority in the Department of Corrective Services is from the Commissioner to the Superintendents of each institution (who are responsible to the Commissioner for its proper function) and from the Superintendents through the various ranks to the most junior officer, each of whom is fully responsible that he carries out the duties of the position he occupies and obeys the more general directions of the Rules and Instructions. Policy is determined at the highest level and it is the responsibility of each Superintendent to see that the policy is put into effect at his institution. This he can do only with the full co-operation of his officers. For this reason, if for no other, it is essential that all officers should act strictly in accordance with instructions.

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Consistency is one of the most valuable tools of an officer, and this applies most particularly to the consistent enforcement of the rules and regulations on the part of all officers. It is easily seen that inconsistency in the enforcement of regulations among prisoners will lead to confusion, frustration and bitterness and to the most undesirable accusation of favouritism and discrimination. Only through the exercise of consistency in enforcement can officers build for themselves a reputation for impartial fairness, and at the same time, foster in the prisoners confidence and reliance on the integrity of all officers.

While officers are required to adopt a humane and friendly attitude towards prisoners, they must remain apart from them and in no circumstances have dealings with them or their relatives or friends, other than that which au·thorises in the performance of their normal duties.

An officer should at all times refrain from the use of indecent, abusive or profane language.

The basis of all prison treatment is discipline, by which is meant the insistence upon each man respecting the rights of others and behaving consistently in an orderly, decorous and co-operative manner.

Factors in prisoner unrest

The obligation is on every custodial service to keep a specific person in safe custody. Whether directly expressed or not, this principle is the universal mandate that accompanies every order of commitment to a prison or corrective centre. Ultimate responsibility for this rests upon the administrator of the facility, together with responsibilities for the training, use and efficiency of personnel. He also bears stewardship responsibilities for the proper care and use of government property and the wise expenditure of public monies. For these reasons, if no other, the institution administrator is very much concerned over the ever-present potentials of prisoner disorder.

The possible consequences of prisoner unrest, whether expressed in misconduct, escape or riot, can be serious. At the least, disorder of any significant magnitude can interfere with the efficient operation of the institution. For example, staff time and energies that are devoted to handling an excessive number of misconduct reports detracts from more productive pursuits of the personnel involved. Escapes not only can be disruptive of normal

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operations but require the deployment of personnel who have other primary duties to perform. In extreme degree, a major riot which results in extensive property damage can cripple an institution for months. Beyond this, disorder can produce negative reactions in officials and the general public by undermining confidence in the management of the institution and by reinforcing existing rejective attitudes toward offenders and employees as classes of people.

It is generally true that the potentials for disorder within an institution are in inverse ratio to the effectiveness of institutional management and control. But this explains nothing and any attempt either to apply preventive measures or to cope successfully with incidents as they occur can fall short unless there is, first, some understanding of the many factors which figure prominently in prisoner unrest. In the discussion that follows, an arbitrary distinction is made between "external" and "internal" factors. This distinction may not appear in real life. Likewise, the discussion deals with a number of separate items when, in reality, all may be interrelated.

External factors:

Indifference. It is entirely possible that what appears as indifference is actually a perfectly "natural" reaction of people who look upon irrational, irresponsible and, at times, unpredictable and threatening behaviour with a mixture of fear, frustration and frank bewilderment. Rather than indifference, the reaction may be outright rejection. The term "offender", alone, expresses an attitude of rejection. Certainly imprisonment is a form of rejection or banishment, however brief.

Whatever the reasons for it, the most visible evidence of indifference is withholding support. The expenditure of public money for the operation of prisons is unpopular under ordinary circumstances. Hospitals, schools, highways, aid to needy children and other competing demands on the Treasury have far more appeal than the correctional needs of offenders. Hand-to-mouth budget practices and deficit financing can account heavily for the inadequacies of personnel, facili tie_s and programmes.

Unwise aommitment and release proaedures. Prisoners; like other people, tend to excuse and rationalize their own behaviour. Unfortunately, many of the excuses are easily found in the machinery of criminal justice where there are all too obvious inequities and injustices. Problems in this area are numerous.

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Disparity in sentencing practices is a prime source of prisoner discontent. All judges do not think alike about how the law should be administered. Legislatures may impose unwise limits on judicial discretion, as when laws are enacted that require long minimum sentences or which establish ineligibility for probation or parole. In addition, decisions to release from gaol are_often viewed by prisoners as having been based on prejudice, caprice, or the "right connections".

Overcrowding. Emotional tensions are developed by the irritations of people upon each other. The more congested the conditions under which they must live, the greater the risks of frustration, anger and open conflict. All too frequently institutions have to operate over capacity.

Emotional tone of the community. Prisoners are not nearly so isolated from the free community as may be supposed. They are aware of the attitudes of employees and visitors who live .in the outside world. They have access to newspapers, radio, television and other means of communication with the outside. It .is widely believed by institution people that the emotional tone of the free community is reflected inside the walls as truly as upon other groups. In fact, there are many who believe that the tone is magnified because prisoners are held in confinement under duress and they tend to seek support for their own reactions to real or fancied wrongs.

Internal factors:

Seeds of discontent abound in the very nature of life in a prison or correctional facility. An institution is a co®nun.ity of people set apart. It has its society of inmates, its society of personnel, and .its own peculiar culture of many conflicts.

The society of prisoners. Of the thousands of offenders who pass through correctional institutions in the course of a year, some are committed irrevocably to criminal careers while others subscribe to quite conventional values or are aimless and uncommitted to goals of any kind. Some are alcoholics, some narcotic addicts, some sexual deviates and so on through the catalogue of human frailties and personal problems. Behind the visible few who are conspicuous by their offences are nameless numbers of nondescript human beings, more characterised by_imprudence and .inability to cope with the demands of a complex society than by any pattern of malicious wilfulness.

Many offenders are members of minority groups whose values and objectives may be quite different from the middle class standards to which members of the

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staff subscribe and upon which correctional goals are based. Poverty may be a common denominator among them. They may have a language barrier. A sense of low status may lie at the root of the frustration and hostility that often mark minority attitudes toward the dominant society. Almost all minority groups will have had some bad experiences with authority.

Confinement is a stressful experience under the best of circumstances. Under the worst, it can become intolerable. There are many sources of stress for the prisoner. The closing of the front gate behind him is a denial of his freedom, a frustration of his accustomed ways of life, a humiliation and a label of being an undesirable member of society. Isolation, inflexible routine and monotony are characteristic of most correctional institutions. Its most visible feature is enforced idleness which imposes a heavy burden on all concerned and may produce deterioration in once able people who leave with neither the ability nor the will to earn an honest living.

The soeiety of personnel. Not all institutional problems of management and control are generated by the society of prisoners. A second set of problems can be created by the s·taff.

Without question, the greatest single resource for correctional management and control is personnel. Prisons are run by people. The quality of the operation depends directly upon the skills, experience, performance standards and morale of the staff. Well qualified and promising recruits can be attracted to correctional work only as they are offered appropriate salaries and conditions of service which encourage life-time rather than casual, periods of employment. Lack of a sufficient number of employees to provide adequate supervision for safety, to say nothing of correctional programmes, is too often the rule rather than the exception. In many jurisdictions, the number of positions allowed is usually far below an acceptable level of efficient service and safe coverage.

Employees who are expected to promote the aims of the institution in keeping with philosophies and procedures laid down for them, and who are the first to bear the brunt of inmate pressures, are human beings too. To a great extent, their effectiveness is determined by what they and the administration perceive their roles to be.

There are many factors which may result in a curious combination of laxity and harshness. One is insensitivity to the legitimate needs and rights of prisoners. Another is inattention to bona fide

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complaints and grievances. Laxity may result from the necessity of using prisoners to perform work which should be done by personnel. Compensation for these services may be in the form of unwarranted trust or special and unusual privileges. Laxity can be found where personnel are unqualified for the jobs they perform.

Staff failure to recognise the existence of cultural differences among offenders or to understand why people who are shaped by them fail to respond "like everybody else" can interfere seriously with working relationships between inmates and staff. When intolerance and lack of understanding foster beliefs among members of the staff that prisoners are possessed of traits that are unacceptable, inferior or repugnant, effective working relationships are impossible. Personnel are subject to emotional stress too and when this happens they are inclined to be less tolerant of beliefs which they consider to be different from their own. This may result in their unwillingness to accept policies and programmes established by the administration, as well as the philosophies upon which they are based. They may become intolerant of anything that disturbs their own perceptions, their sense of knowing where they stand. They tend to resent challenges to the familiar signposts of values upon which they have counted.

SoaiaZ aaste in institutions. Life in a correctional institution is actually a caste system in which prisoners and personnel are divided into two distinctly separate groups. The prisoner caste is at the bottom of the ladder and even though some inmates may share some of the same values and ways of behaving as staff members, they cannot enjoy the same status and rewards. As a result, communication and collaboration between inmates and staff are hindered. The pressures upon inmates to adapt themselves to social relationships within their own caste may be greater than pressures for them to identify with the upper caste.

Traditional prisons and other correctional institutions are highly authoritarian communities. Mass handling, countless ways of making inmates subservient to rules and orders and special forms of "etiquette" have the effect of creating and maintaining social distance between keepers and prisoners. Frisking of inmates and regimented movement about the institution tend to depersonalize prisoners and make their stance toward authority increasingly obdurate. The admonition "do your own time" is a slogan which endorses alienation and indifference to the interests of both staff and other inmates.

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Preventive Measures

Many of the factors in prisoner unrest - forces that influence the environment in which prisoner management and control takes place - cannot be changed immediately or directly. The establishment Superintendent by himself can do little about public indifference, overcrowding, meddling or unwise commitments and releases. These are matters for which responsibility must be shared with others outside the institution. There are, however, many things that can be done to improve the climate within the institution.

Borrowing from military experience, it is too easy to think of the problems of prisoner management and control as being represented by good morale or poor morale among inmates and personnel. Not only is this a dangerous over-simplification of the problems involved but, like the military formula of command -organise, deputise, supervise, it is not particularly instructive. A short-sighted resolve to improve morale, alone, can result in misspent effort and a further complication of the underlying problems that contributed to poor morale in the first place. For example, an unwise supervisor may be tempted to accede to demands (real or anticipated) for more privileges. Unless the privileges sought will contribute directly to operational and programme objectives, to grant them would risk strengthening the supervisor's own position at the expense of the total responsibilities he holds. Moreover, by pursuing such a course of action long enough he might discover one day that he had no more privileges to offer. The basic error in such an approach, however, is that the symptoms, rather than the causes, become the object of attention. It is not unlike taking aspirin for the temporary relief of a headache which may have serious unrelieved causes.

Obviously, the immediate purposes of prisoner management and control arc security and the protection of persons and property. But there are additional concerns that arc consistent with the broad objectives of imprisonment and that contain the clues to the manner in which management and control is achieved. These involve (a) reducing the damaging effects of confinement, (b) minimizing the offender's alienation from the rest of society, (c) maintaining human dignity and self-respect and (d) developing a sense of constructive purpose.

These concerns do not stem from maudlin sympathy toward offenders at all. They are based on facts. One fact is that there is nothing in the language or intent of existing statutes that says prisoners should be subjected to degradation, humiliation,

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privation or that confinement should be a debilitating, handicapping experience. On the contrary, there is a growing body of court decisions which state that, while prison administrators must be accorded wide latitude in their actions, this shall not be disproportionate to the latitude accorded officials at every other point along the process of criminal justice. The thrust of these decisions is that prisoners do have rights, including rights to humane and equitable treatment, and that it is incumbent upon institution administrators to achieve essential security without imposing adverse restrictions.

The other basic fact is that with few exceptions every person committed to a prison is released sooner or later. A large percentage of awaiting trial prisoners are released on bail within days and many others do not return from court because they were acquitted or have been fined or their sentences were suspended. Most of the sentenced prisoners committed to prison are released in a matter of days, weeks or months. If released prisoners are bitter, hostile or further incapacitated by the experience of confinement, the institution has done nothing to contribute to the control of crime - to say the least.

The manner in which prisoner management and control is achieved is largely in the hands of the administrator and his staff. For the administrator this becomes a matter of applying philosophies and techniques to personnel management, the formulation of policies and operating procedures and the improvement of correctional programmes.

Personnel Administration

The preceding chapter identified a number of personnel problems. There is another that should be mentioned here. According to a recent survey, correctional \vorkers feel that their programmes must be improved. Their concern over existing programme results causes frustration and can lead to apathy or cynicism. Competent personnel faced with system shortcomings they cannot overcome will resign rather than continue their association with an organisation which appears to them to be prone to failure. \vhile dissatisfaction with the ineffectiveness of programmes is general among correctional personnel, the higher the educational.achievement of employees, the greater is their dissatisfaction. The field of corrections, which has always found it·difficult to recruit highly trained personnel, can ill afford to suffer steady loss of those it succeeds in hiring. Moreover, when a sizable group of workers in an institution or agency holds views opposed to those of the administration, disruptions in correctional

·operations can be expected.

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Development of oorreotionaZ oareers. It is an established fact that careers in correctional work are not well defined. The manner and conditions of entry into this work differ widely from one jurisdiction to another. The circumstances also differ considerably from entry into education, social welfare and other government programmes or private industry. Job dissatisfaction soon arises from an awareness that promotions are slow in coming and may bear little apparent relationship to experience and ability.

The need to provide real career opportunities in correctional work is obvious. Career officers must begin the development of such careers by taking the initiative in aggressive recruitment of qualified people, as industry, education and other public services have done for a long time. In recruitment areas vie must begin to compete seriously for qualified or trainable people if they are not to continue to be second and third career choices for applicants years after graduation from school and probably on the heels of dissatisfactions in other jobs.

Young people must be attracted to career job possibilities. Education and training must be recognised in the corrections career ladder. Trainee posts should be established. Young people today are attracted to jobs which offer challenge and some potential for personal success. Once a person starts in correctional work, he should be able to look upon his choice as a career matching others in prestige, salary and opportunity for advancement.

Support of staff deve Zopmen-t programmes. In today' s world, knowledge increases so rapidly that the need for continuing education and training for most occupations is generally acknowledged. There is no reason to dispute this need in corrections. While few correctional systems now offer well-developed training programmes, many have the capability for this, either by utilizing their own resources or in collaboration with nearby industries and institutions of higher learning. These progranwes should include training in principles of management and supervision, as well as in the dynamics of human behaviour, community relations, law and correctional methods.

If staff development is to be improved in both quality and quantity, correctional leaders will need to provide the necessary funds and other forms of support required. Legislators and government officials must be impressed with the urgency of the need for staff development. This is a broader need than training alone. It includes exchange of personnel, tuition support for employees who wish to take academic courses, opportunities to conduct research, visits to other agencies and involvement in professional organisations.

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RemovaZ of job dissatisfaotions. Since administrators are responsible for the establishment of policy, they must be continually alert to employees' dissatisfactions with this work. Aggressive efforts should be made to provide opportunities for upward mobility. Other sources of dissatisfaction are no less important. Understaffing is more than a matter of overwork for the employees on duty. The necessity of dealing with excessive numbers of offenders may result in less than adequate supervision and control, gross inefficiency and inability to help any of them. There is need to re-examine traditional utilisation of personnel in the light of techniques which will improve programme effectiveness. Even the nature of the services themselves should be studied carefully.

Much more than this needs to be said about personnel. But personnel administration is not the only area which can contribute to reduction of management and control problems.

Policies and operating procedures

There is an old prison saying to the effect that an institution is but the lengthened shadow of the prison officer. In a l1teral sense, this is only a part truth since the shadow is actually a composite of many. However, it is meant to imply that institutional programmes and policies and the operating procedures which dictate the ways in which things are done reflect an underlying administrative philosophy of correctional treatment and control. There is also the accurate inference that this philosophy pervades all ac·ti vi ties throughout the entire institution, as well as the relationships which exist between the institution and other agencies, organisations and the public. Broadly, the physical, appearance of the institution and every regulation, activity and personal contact has a bearing on prisoner management and control. Four representative situations have been singled out for attention here.

Prisoner rights and attention to aompZaints. It has long been established that lawful imprisonment necessarily causes the withdrawal or limitation of many rights to which the average citizen is fully entitled. This does not mean that the custodial officer can do as he wishes ~i~1out fear of criticism, censure or judicial intervention. Neither does it mean that a prisoner is without rights. One of the great problems for the administrator is determination of what restrictions and conditions may appropriately be imposed upon prisoners when the guidelines seem to be ever-changing. Yesterday's preposterous expectations can well be today's

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privileges and tomorrow's rights. It is nearly impossible to predict which administrative decisions will become the subject of judicial disapproval or new legislation, but there are many indications to be found. The trick is to utilize these indications to insure that reasonable rules are established which will insure fair treatment of prisoners and, at the same time, allow the administrator to do his job without undue hindrance. Prisoner rights comprise only one point of view from which the new administrator should carefully study the rules and policy decisions which he inherits. 1'his is only one reason why all regulations and procedures should be re~examined frequently.

Food service is an example of the importance of other reasons. It is assumed that every prisoner has the legal right to be adequately nourished throughout his confinement. Presumably, this means that his food intake for an average day will be in ample quantity and nutritive value to sustain him. From a nutritional point of view this amounts simply to meeting needs based on such factors as age, weight, size, sex, physical activity and conditions of health. But in prisons, as elsewhere, adequate food service depends upon budgetary allowance, procurement, storage, preparation, the manner in which meals are served, sanitation, appearance and many other considerations. Not the least of them is menu planning. Menus can be effective substitutes for calendars in determining the day of the week, or they can provide variety and reflect the particular tastes of the people being fed.

Numerous similar examples can be found in the day~to­day operation of any institution. Take clothing. A prisoner's right to human dignity demands that his nakedness be covered. His right to humane treatment requires that this covering be appropriate to the climate and circumstances in which he finds himself. Health standards dictate that clothing shall be free from vermin and reasonably clean. But these are not the only considerations. If an institution is to furnish clothing, it should also be reasonably well­fitting and in an acceptable state of repair.

Beyond the issue of rights, the problems underlying the examples given are less a matter of what policies and rules may require than of how they are carried out. Thus, the administrator should be concerned both with the substance or content of programmes, policies and rules and with the ways of implementing them. In part, this becomes a matter of sensitizing personne·l to the fact that they deal with fellow human beings, even though they be prisoners. To illustrate further: every correctional institution conducts a "count" several times a day. This can be done promptly, accurately and with a minimum of confusion, or it can be a

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recurring aggravation and unnecessarily harrassing inconvenience to ~1e inmates. A strip search for contraband can be conducted efficiently, privately and with as much dignity as circumstances permit. A cell search can accomplish its purpose and leave authorized personal belongings in good order, or it can make a shambles of the cell with ruthless destruction of "junk" items which the prisoner happens to value highly.

The kinds of sensitivity and good judgment that apply to operating procedures and daily activities are equally applicable to the attention given prisoner complaints. Inattention to prisoner complaints can lead from uncertainty and dismay to distrust and rebellion that may produce an incident to attract attention. This is particularly likely to happen if the prisoner believes that his problem would be solved if it reached the proper officials. Areas in which complaints and grievances are most often expressed are: food, handling of mail and visits, disciplinary procedures and punishments, and work or quarters assignments which are thought to be inappropriate for some reason.

It goes without saying that legitimate complaints should be heard and the condition corrected as soon as possible. Not all situations can be corrected. In this event, the matter should be discussed with the complaining prisoner and dealt with openly.

Communications. It is probable that maintaining effective communications in a prison is more of a problem than in other organisations. In addition to

communications between management and staff, there must be communication between prisoners, staff and management.

There are many ways in which communication occurs. The choice of method may well depend upon circumstances, but it should also be considered in terms of why communication is necessary. Obviously one purpose is to instruct personnel. This can be accomplished by staff training, whether formal or informal, the issuance of policies and rules, written post orders which contain a detailed listing of duties, staff meetings, roll-call announcements and conversations with supervisors. Another purpose is to keep management informed of what is going on. There is· no good substitute for day-to-day personal observations of management personnel, but these can be augmented by personal interviews, whether scheduled or casual, staff meetings, reports and reviews of records. Communication is an inevitable part of effective planning. various techniques of utilizing subordinate personnel in planning assignments claim the advantages of employing staff knowledge skills and, at the same time, insuring a sense of involvement on the part of staff in the solution of problems, programme development or other planning purpose.

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Adaptations of these methods are equally applicable to communications between prisoners and staff. It is just as important that prisoners know from official sources, rather than from rumours, what is expected of them and what management is doing or planning that affects their welfare. Similarly, management needs to know what the prisoners are thinking and how they feel about things in general. Beyond this, it is only by increasing communications between staff and inmates that correctional programmes, such as counselling, can be introduced or improved. Additional benefits are that loosening of inmate-to­staff and inmate-to-inmate communication tends to reduce the inmate politicians' power and to minimize the traditional stigma and physical danger of co-operating with the staff.

CoPPespondenae regulations. Correspondence with members of the family and with close friends and associates is essential to the morale of all confined persons and may form the basis for both present and future good adjustment.

Traditionally, inmate correspondence has been surrounded by restrictions designed to limit the number of letters which could be posted or received, including elaborate record-keeping systems to assure that quotas were not violated. Close scrutiny of both outgoing and incoming mails was considered essential to the security of the institution and for the maintenance of prisoner discipline and control. Censorship was thought to be necessary to prevent the introduction of contraband, to minimize involvement in criminal activities and to prevent correspondence becoming a tool for planning escapes or plots of violence. Experience in a number of jurisdictions has demonstrated that some of these restrictions can be eliminated with safety in certain areas and substantially revised in others, without loss of essential control and with important savings in time, expense and inconvenience.

The size and complexity of each institution, the status and degree of sophistication of the inmates confined, along with other variables, will determine the extent of regulations required. Generally, they should include the following:

Ordinarily there should be no question about the propriety of correspondence with members of the immediate family. Friends, former business associates and others may be considered whenever it appears that the proposed correspondence will not be detrimental to the inmate or the correspondent. Inmates should be permitted correspondence with legal representatives without limitation. Such correspondence should be regarded as privileged

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in that it should be subjected to inspection only to prevent the introduction of contraband or other threat to the good order and security of the institution.

A number of institutions have demonstrated that it may not be necessary to limit the number of persons on the approved correspondence list.

Recognising the importance of maintaining family and community contacts, the institution should expect to pay postage on a "reasonable" number of letters if the inmate is substantially lacking in funds.

While all mail of a particular inmate may need to be subjected to close scrutiny, more flexible procedures for reading, scanning or otherwise spot-checking incoming and outgoing mail will suffice for most prisoners. This should be done frequently enough to maintain security, to learn about any particular problem confronting the inmate or to alert other members of the staff to any matter that may help in evaluating the inmate. "Censorship'' of mail for any purpose is indefensible. That which violates postal regulations can be referred for possible prosecution. The establishment cannot assume responsibility for the content of incoming or outgoing letters.

Prisoners should be informed of the reasons for which incoming and outgoing mail will be rejected and they should understand that they and their correspondents are responsible for the contents of their letters.

Petitions, motions, appeals and other legal papers related to a prisoner's commitment or sentence, or touching upon some legal question affecting his status in the institution, should be forwarded promptly to the appropriate court.

Visiting regulations. The formulation and administration of visiting regulations should encourage as much visiting as personnel and facilities will permit. The setting in which visits take place should also be as informal and attractive as facilities will permit with due regard for necessary controls. Visits should be conducted and supervised in such manner that an atmosphere of friendliness and lack of tension is achieved.

The following general principles underly the reasons for granting visits:

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Like correspondence, visits are a means of maintaining family ties and wholesome personal relationships with relatives and friends.

These ties and relationships are important factors in prisoner morale and future adjustment.

Visits by family and friends provide an opportunity for closer relationships with staff members for the purpose of more effective programme planning.

Properly handled, visits can contribute to good public relations and a better understanding of the institutions' objectives.

The practical considerations which impose limits on visits include the size of visiting facilities, the time and expense of supervision and the need for maintaining other important institutional activities without unnecessary or extended interference.

Generally, persons who can be approved as correspondents are suitable as visitors. While it is reasonable to expect that most of the essential legal work which a recognised attorney performs for an inmate will be handled on the basis of correspondence between the attorney and his client, personal visits will be necessary when pending legal problems require, especially with persons awaiting trial and sentence. Such visits should be supervised by observation only for the purpose of contraband control and good order. The attorney and his client should be permitted to converse privately.

As with correspondence, both the prisoners and their visitors should clearly understand what the visiting regulations are.

Prisoner disaipZine, There probably is no aspect of correctional institution management more filled with emotion and less open to calm appraisal than that of discipline. Yet, there is no activity more in need of objective study and complete overhauling than the traditional ways of handling prisoners who misbehave and violate institution rules. Not only does tradition exact a double standard of behaviour but frequently it may ignore guarantees of civil rights and due process.

The objectives of prisoner discipline and control should be fully consistent with the correctional objectives of the institution, the focus being on (a) individual adjustment to the programmes, behaviour standards and limitations imposed by the administration and {b) the general welfare of the

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institution co~unity. Disciplinary policy and methods should reflect this statement of purpose and recognise that disciplinary sanction is but one factor in correctional treatment and control. As applied to a prisoner who has misbehaved, this means that the sole objective is his future voluntary acceptance of certain limitations which are being imposed upon him.

Following are essential principles in acceptable and effective disciplinary policy and procedures.

(1) Disciplinary action shall be taken only at such times and in such measures and degree as is necessary to regulate a prisoner's behaviour within acceptable limits.

(2) Prisoner behaviour must be controlled in a completely impersonal, impartial and consistent manner.

(3) Disciplinary action shall not be capricious nor in the nature of retaliation or revenge.

(4) Programme assignments and changes are made to achieve treatment goals, not as punishment or reward.

(5) Corporal punishment of any kind is strictly prohibited.

(6) The initiation of disciplinary measures against any prisoner is the responsibility only of staff members (preferably a committee) to v1hom this authority has been defined and delegated.

(7) Disciplinary action should be taken as soon after the occurrence of misconduct as circumstances permit.

(8) Case records should include misconduct reports, their dispositions and should also include evaluative staff statements regarding them.

Delegation of disciplinary authority: Basic authority for the administration of prisoner discipline should be delegated by the chief executive officer of the institution. Where circumstances permit, this delegation should be to a committee of at least three staff members who are competent and who broadly represent the primary areas of correctional treatment. Such delegation should be accompanied by a specific charge which outlines duties and responsibilities.

In addition to receiving reports of misconduct, conducting hearings, making findings and imposing disciplinary actions, the adjustment committee should

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make referralp for diagnosis and special handling, make programme changes indicated and otherwise have authoritative concern over institutional policies and operating procedures which affect discipline. The committee should also be concerned with evaluating the effectiveness of its decisions and other factors Hhich have a bearing upon prisoner discipline and morale.

The adjustment committee should be given a broad range of dispositional alternatives. Its choice of alternatives in the disposition of each case should be consistent with the objectives of disciplinary policy. Committee action should be a composite group judgment which takes cognizance of the reasons for the adverse behaviour, the setting and circumstances in v1hich it occurred, the involved prisoner's accountability and the correctional programme goals set for him. The choice of disposition goes far beyond mere compliance with regulations. To be fully effective, the prisoner must understand and accept the reasonableness of the limitations being imposed upon him. A system should be devised to provide follow-up of at least the more serious and persistent behaviour problems dealt with.

Use of segregation: In most institutions there is a separate housing unit for prisoners who, at times, need to be segregated from the regular population. In keeping with the statement of disciplinary policy, above, this unit should be operated in accordance with the following basic requirements of control and supervision:

(1) Segregation conditions. The quarters used for segregation should be well ventilated, adequately lighted, appropriately heated and maintained in a sanitary condition at all times.

(2) Cell occupancy. Except in emergencies, the number of prisoners confined to each cell or room should not exceed the number for which the space was designed. Whenever an emergency arises which indicates that excess occupancy may be needed temporarily, an immediate report should be made to the head of the institution and his approval obtained.

(3) Clothing and bedding. All prisoners should be admitted to segregation (after thorough search for contraband) dressed in normal institution clothing and should be furnished a mattress and bedding. In no circumstance should a prisoner be segregated without clothing except when prescribed by the medical officer for medical or psychiatric reasons. If a prisoner is so seriously disturbed that he is likely to destroy his clothing or bedding, the medical officer should be notified immediately and a regimen of treatment and control instituted with his concurrence.

(4) Food. three times menu of the

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Segregated prisoners should be fed a day on the standard ration and day for the institution.

(5) Personal hygiene. Segregated prisoners should have the same opportunities to maintain the level of personal hygiene available to all other prisoners. This should include the availability of toilet paper, wash basin, drinking water, comb, eye glasses, dentures and opportunities for shaving and brushing teeth.

(6) Duration of segregation. Consistent with ~1e need for segregation, no prisoner should be held in this statu" longer than necessary. Special care should be taken that segregation does not become a haven for those who persistently fail to face their problems. The adjustment committee should be responsible for the programme needs of prisoners who require or demand long­term segregation. The committee should conduct a formal review of such cases at lee1st once each month cmd make recommendat:Lons to the head of the institution.

(7) Supervision. In addition to the direct supervision afforded by the unit officer, each segregated prisoner should be seen daily by one or more other responsible officers designated by the head of the institution.

(8) Correspondence and visits. In the absence of direct and compelling reasons to the contrary, prisoners in segregation should not be required to forfeit correspondence and visiting privileges.

(9) Records. A permanent log should be maintained in the segregation unit. All admissions should be recorded indicating date, reason for admission and the authorizing official. All releases from the unit should be similarly recorded. Officials required to visit the unit should sign the log, indicating time, date and purpose of visit. Unusual activity or behaviour of individual prisoners should be recorded in the log with a follow-up memorandum to the head of the institution.

Improvement of Correctional Programmes

The third general ax·ea in which the administrator can effect improvements in prisoner management and control is programme. While this is not the place to attempt a blueprint of programme design, it is appropriate to examine the philosophy of correctional treatment and cel:tain programme premises.

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To a great extent, many of the problems of correctional institution management are based on philosophical conflicts and controversies. Foremost among them, of course, is the argument of punishment versus treatment. Most administrators today tend to believe that correctional institutions serve to protect the public by keeping offenders locked up, as ordered by the Courts, and by making an effort to at least reduce the future threat of offenders through correctional treatment. This is not a universal point of view. Thus, some of the problems of management relate to false ideas that punishment and treatment are inconsistent objectives. This may help account for the fact that, despite the belief of administrators, the' vast majority of correctional institutions still operate in traditional ways, in which the motive force is punishment, vengeful in character and expression.

Thoughtful observation has produced another point of view. While the philosophy of individualism has done much to advance correctional treatment, it has also produced a number of distortions. For example, both the law and operation of the criminal justice system tend to focus responsibility for crime and guilt on the individual offender. Thus the courts and correctional agencies become preoccupied with reforming the individual offender as an isolated problem. By channeling resources exclusively on the reformation of the offender, attention is diverted from correcting conditions in the community which encourage development of criminal behaviour. Moreover, the treatment preoccupation with individual offenders has tended to obscure the fact that they do not function as unrelated individuals. As prisoners they are members of a social system, as they were in the conoounity, and they are subject to the heavy impact of the total confinement experience.

The framework within which programme planning and development are beginning to occur consists of a number of assumptions, because the state of the art of correctional treatment is still not very far advanced. Other than the theories that have been advanced, very little is known about the direct causes of criminal behaviour. More discriminating selection factors with which to classify offenders are needed. Much more must be learned about the character types which can make the most and least effective use of correctional programmes and services. There is a basic need for knowledge with which to train staff and prisoners in the specific behaviours which are required to master the specific tasks for successful adjustment in the community. In the meantime, primary programme assumptions are:

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(1) The focus of corrections is intervention in delinquent and criminal careers, through management and control of crises and programmes and services designed to overcome handicapping deficiencies.

(2) The deeper an offender has to be plunged into correctional processes and the longer he has to be locked up, however humanely, the greater the cost and the more difficult the road ' back to the point of socialization that will permit successful re~entry in the community.

(3) A person's needs for control or for help are not necessarily related to his legal status.

These assumptions have lead to a number of alternatives to confinement that are being tried in a number of jurisdictions and they suggest new functions and new programme directions which open the possibility of more efficient and constructive uses of correctional institutions. As realistic programmes are developed, the majority of prisoners will be eager to participate in them, both because of the opportunities they afford and because their mere existence is evidence that somebody cares.

Handling Emergencies

In the first chapter a number of factors in prisoner unrest were discussed. Whether any of these, singly or in combination, can be identified as causing a particular problem or incident is another matter. Similarly, inattention to the control of locks and keys, arms and ammunition, tools, items of contraband and security inspections may well contribute to problems of management and control or, in a particular situation, become the cause of a particular emergency. The preceding chapter dealt with a number of preventive measures. Not all problems and incidents can be prevented and not all of them occur as emergencies. Being prepared is both a form of prevention, among others, and a means of minimizing the magnitude of disorder when it occurs.

The kinds of emergencies with which correctional institutions are most likely to deal are escapes and riots or disturbances. This chapter will be devoted mainly to the handling of these problems. But in these days of mass social protest and challenge of authority, correctional institutions, especially, are likely to be involved in the control of civil disorder in the community. For this reason, attention will be given to the problem of emergency detention occasioned by mass arrests. Fire and civil disaster are emergency situations which will be mentioned.

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Escape plans':

Although escapes or attempted escapes are comparatively rare in well-managed institutions, the entire staff must be constantly alert to prevent them. It is possible to reduce successful escapes to a minimum only through co-operative and co-ordinated planning. While the methods and circumstances of an escape will vary, certain basic policies and procedures are applicable to all of them. Every correctional institution should maintain a carefully developed and detailed plan for the prevention of escapes and apprehension of escapees. It is important that the plan be reviewed frequently and kept up to date. A copy should be furnished to each employee with the requirement that all become thoroughly familiar with its contents.

In developing a comprehensive plan, an escape should be viewed as an incident which must be assessed in phases or series of action steps.

(1) The alert - a period of time in which it may be possible to prevent the incident or to prepare for it.

(2) Sounding the alarm - a brief interval for decision that an incident has occurred and for notifying others.

(3) Mobilizing resources - final preparation for coMnand and action.

(4) Establishing control - thwarting the attempt or apprehending the escapee and assuring security of the institution.

(5) Returning to normal operations - including investigations, reports and necessary repairs.

The elements of a comprehensive escape plan will establish policy, define responsibility and outline procedures to be followed in each of these phases. The plan itself should be developed around the following action steps.

Prevention. The plan statement should indicate the most common and immediate ways of preventing escapes. This should include reference to such items as: alertness to detect and report signs of unrest or tension; observation of anything unusual about participation in programmes and activities; expression of complaints and requests for change; prompt and decisive action when the occasion demands; thorough security inspections and counts; and effective methods of selecting prisoners for work and quarters assignments.

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Sounding the alarm. The plan should provide that any unauthorized absence from a work detail, living quarters or other location will be reported immediately to the supervisor in chargR. When it is determined from the infonnation at hand that an escape has occurred, prearranged signals should be sounded to notify all employees. 'l'he plan should distinguish the kinds of signals and the circwnstances of their use as the sounding of a general alarm can create unnecessary tension and excitement.

Mobilization of resources. A list of all employees with addresses and telephone numbers should be maintained and arranged so that a maximum nwnber of employees may be contacted with a minimum nwnber of calls. As soon as an escape occurs, an employee should be designated to contact the off-duty employees required and have them report for duty immediately.

The security posts and maintenance operations essential to continued functioning of the institution during an escape emergency should be identified. All other posts should be vacated and non-essential activities shut dmvn so that all available personnel can report promvtly to a central place for special duty assignments. Personnel in charge of non-essential activities should place all tools in a convenient, safe place, secure the area and check their prisoners in. The officer assigned to the armory, with whatever additional help may be needed, should prepare immediately to issue arms, ammunition and other equipmen·t that may be requisitioned. The record clerk should be prepared to issue escape notices, including identification pictures, for prompt distribution and mailing.

Concurrent with the initial assignment of personnel to escape posts and duties, one employee should be designated to notify all law enforcement agencies in the surrounding area by telephone or radio. Addresses and telephone numbers of the agencies to be notified should be part of the escape and apprehension plan. The possibility of asking nearby rad10 and television stations to assist by spot announcements of escape essentials should not be overlooked.

EstabZishing aontrol. A complete list of all posts to be covered during a search should be maintained. These may be divided into various categories. The posts to be manned will depend on the information available as to the time the escape occurred, means of departure, direction of travel and other factors that will help insure that the search effort can be pinpointed as closely as possible. An instruction kit should be prepared for each post and handed to

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the officer at the time he is assigned. For posts located beyond the inooediate vicinity of the institution, the instruction kit should include a map of the area, directions for transportation, the duties to be performed and other information, such as location of the nearest telephone, and anticipated relief schedule, that will be helpful to the officer assigned to the post ..

The establishment of a special communications centre, apart from the command post, can be most useful in conducting an orderly, efficient search. The person in charge of this centre is usually authorized to issue press releases, answer numerous inquiries, receive and place telephone or radio calls and otherwise process and record messages and information incidental to the search.

While task forces are being deployed, the plan should establish procedures for starting the investigation. This may include the assignment of an employee to search the personal locker and effects of the escapee for evidence that may provide clues for the hunt. At this time, too, the preliminary investigation should be organised, starting with interviev1s with both staff members and prisoners who were in a position to know the escapee well and who might be able to shed some light on the escape.

It should be clearly established in policy that if a hostage is taken in an attempt to escape, all personnel should have clear instructions that orders given by any person under duress, including executive officers, are not valid and under no circumstances should the prisoner be permitted to escape from the institution.

The plan should make clear what authority is granted for the use of firearms and in what circumstances these should be used. Generally, firearms should be used as a last resort to prevent escape, prevent injury or loss of life to pe.csonnel or prisoners not involved and to protect property. Orders to halt or desist should be given first and, if ignored, a warning shot should be fired. Should this be ignored, subsequent shots should be aimed to disable rather than kill.

Also, the plan should include instructions to all personnel on all posts regarding the importance of tact and good judgment in contacts with other people, the authority granted for stop and search and the tasks that are to be performed in collo.boration with representatives of other law enforcement agencies.

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Returning to normal. As soon as the decision is made to discontinue the initial search effort, all law enforcement agencies, news media and other persons who were notified of the escape should be informed.

When an escape involves cutting of bars, window sash or other property damage, a careful record, both photographic and written, should be made and arrangements made for repairs. Attention should be given to the gathering and safekeeping of other evidence that may be important to prosecution. Particular care must be taken in interviewing the apprehended escapee and other suspects. It is best that this be done only with the advice of the prosecuting attorney.

One of the important concluding steps in handling an escape incident is assessment and report of the experience. The adoption of a general reporting format will facilitate the process involved and provide clues to the lessons that can be learned from the incident.

Plans for riots and disturbances:

Prisoner disturbances are of two basic types: (a) a disturbance of a riotous nature between two or more prisoner factions which is related to animosities between prisoner groups and may not be well organized; and (b) a more general disturbance directed against the institution because of some real or fancied grievance or other objective, such as mass escape. Whenever prisoners or personnel are under great stress "spontaneous" disturbances can erupt for any reason. Once a disturbance starts, the measures taken to regain control may be the same, regardless of its type or precipitating causes. Yet, it is important that distinctions be made among them because of the few moments of decision as to how to proceed and because of the critical importance of keeping the disorder as isolated and as small as possible.

While it is impossible to detail the procedures that should be followed for the effective handling of all kinds of disturbances in all institutions, experience has shown that the following guidelines are generally applicable.

That each corrective establishment should maintain a carefully developed plan for handling group disturbances of all kinds, that the plan be kept up to date and that all employees be familiar with its contents is evident enough. The steps involved in handling a riot or disturbance, as with an escape, must be thought through. These are: the interval of alert, sounding the alarm, mobilizing

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resources, establishing control and returning to normal. The same basic policies and principles expressed in the preceding discussion of an escape plan are applicable to plans for riots and disturbances.

As with escapes, there usually are signs of tensions among prisoners which portend a group disturbance. It is known that precipitating factors may be unresolved racial problems, complaints over food, dissatisfaction 'Vlith the performance or attitudes of personnel, complaints over recreation, visiting or mail privileges, complaints over medical treatment,· gang problems and misinformation. With this knmvledge, promptness in detecting and reporting unusual activity or bad "climate" may enable getting at the root of the trouble and possibly forestalling incidents that. could result in a riot.

An action plan should be developed from ti1e primary responsibilities of institution management and in this order: public safety, safety and welfare of hostages; prevention of loss of life or injury to other personnel; prisoner welfare; protection of property.

When, despite all efforts to prevent them, riots or disturbances do occur, they begin with startling suddenness, spread rapidly and can cause major damage. Prompt activation of the riot plan, in which the following elements are incorporated, is absolutely necessary.

Containmen-t. Immediate steps to close any possible avenues of escape are mandatory. The trouble should be localized and access to other areas cut off to prevent the disorder from spreading. Careful appraisal of the situation should be made before rushing in or committing personnel to a situation that might result in their being taken hostage. The immediate objective should be determined, the necessa:cy reinforcements called and equipment required assembled. The safety of employees and prisoners must be considered if it becomes apparent that force and the use of defensive equipment should be used only when ordered by the head of the institution or his representative. Any person held hostage has no authority while under duress, regardless of rank.

It is noteworthy that even in the worst prison riots only a relatively small percentage of the total prisoner population has been actively involved. It is important that prisoners not wishing to participate be given an opportunity to wi thdravr from three area of disturbance. They should be provided safe conduct to secure quarters.

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Employees should be instructed to observe the activity closely to identify ringleaders and subsequently report their participation. Recurring efforts should be made to determine the cause of the disturbance and participants should be urged to select one or more spokesmen to confer with the head of the institution or his representative. No promises should be made to demands other than assurance of fair hearing.

Use of forae and defensive equipment. When the decision has been made to use force or defensive equipment, the kind and amount will be dictated by the situation but only for the purposes of control and protection.

Riot squads. As part of a basic riot control plan, it is assumed that a number of personnel will have been selected, o;:ganized and trained both in the proper use of special equipment and in the tactics to be used in various situations. When it is necessary to use riot squads, their members should be properly equipped. Injury should not be risked unnecessarily. Each squad should be instructed in the specific tasks it is to perform. Squads should enter the area of disturbance simultaneously from as many ent·,·ances as are available.

Water. A r1ot can often be brought under control by the effective use of water. The riot control plan should identify the location of hydrants and other water outlets, the availability of hose and other fire fighting equipment. Further, the plan should afford protection of hydrants, valves and exposed water pipes during a disturbance. Water may be used to disperse participants, to bring sporadic fires under control and to create dampness necessary to the most effective concentrations of gas should its use be required.

Gas. Gas of various types may be useful in situations where it would otherwise be hazardous to b:o.·eak up a rioting group. Sufficient gas should be used in the first attempt. (Minimum and maximum amounts that can be used safely under various circumstances should be computed in advance and this information should be incorporated in the riot plan.) P:o:ovisions must be made for follow-up. Gas will b;:eak resistance, but participating prisoners may have to be removed forcibly. A squad equipped with gas masks should be ass~gned this task. The gas should be permitted to develop fully, but not to dissipate, before the squad enters the area. Sometimes a single gas shell or grenade will break up a large group so that smaller groups can be split off. When this tactic is used, the group will quickly reform unless the follow-up is properly timed. Whenever gas is to be used in an enclosed area, it should be determined in advance that dispersed participants can exit easily.

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Firearms. As with escapes, firearms should be used only as a last resort to prevent escapes, injury or loss of life of personnel or prisoners held hostage and to protect property. Orders to halt or desist should be given first and, if these are ignored, a warning shot should be fired. Subsequent shots should be aimed to disable rather than kill.

Post-riot procedures. Steps should be taken as soon as the disturbance is under control to ensure that nobody has escaped and that the institution is physically secure. Initially, all participants in the disturbance should be confined and supervision augmented to ensure that the disturbance will not break out anew. Extra help should also be assigned to all living quarters and other areas where it is necessary for groups of prisoners to congregate until it is certain that the disorder has completely subsided. If necessary, all non-essential activities can be suspended and feeding schedules re-arranged to provide supervision over smaller groups and to meet supervision needs elsewhere.

The remaining steps are similar to those identified for escapes in the preceding section: photographic and written reports of damage, repair of damage, collection and preservation of evidence, noti.flcation of persons and agencies that had been informed of the disturbance and,. finally, assessment and report of the experienceo

Plans for civil disorder:

It is possible that situations may arise in which trained personnel of the correctional institution will be called upon to assist l2.w enforcement agencies in controlling civil disturbances in the community.

Fire plans:

That the Superintendent bears responsibility for the protection of lives and property goes without saying. It is equally evident that this responsibility cannot be bo; ne wi tt'•out planning for fire prevention and fire fighting. Fire marshals and other officials can assist greatly in the developmont of such plans, in training personnel and prisoners in fire fighting techniques and in making periodic inspections and investigations"

Conclusion

Disorder, including violent and destructive behaviour of prisoners, is not unknown to correctional institutions. Mass demonstrations, organized social protest and natural disasters not only can cause institutions to operate under emergency conditions but they can contribute directly to emotional stress in prisoner populations.

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The potential dangers inherent in these situations are sobering, indeed, especially when it is realized that so many of the basic causes, and even the triggering incidents, are beyond the immediate control of institution managers and personnel. Yet, there need be no feeling of alarm. On the contrary, institution managers and personnel can draw much self-assurance from the knowledge that they can acquire the capability of handling disorder and are prepared for it.

The preceding discussions have emphasized the importance of planning for emergency conditions. This is a difficult, time-consuming and continuing task. Yet, only in this way can the unnecessary handicaps of surprise, confusion and costly indecision be avoided.

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RIOTS AND DISTURBANCES

Introduction

The material following mentions causes, corrective measures and control methods for riots and disturbances in secured establishments.

Studies on a world-wide basis suggest that it is not possible to isolate conclusively the causes of riotous behaviour in either ·~'he penal atmosphere or the community atmosphere. Riots are a complex phenomena for which simple, rational explanations do not, in fact, exist.

The present studies have shown that competent custodial administrators may operate their establishments in relative calm and with ever-increasing effectiveness.

One point I would stress, and that is that there have been instances in the past in which custodial administrators have over-react.ed to relatively minor disturbances in their institutions. Such over­reaction, usually in the form of excessive restrictions, punishments and security measures, has led to open rebellion among the prison population which resulted in large-scale damage and destruction of property as well as injury to staff and inmate personnel.

Causes of riots and disturbances in correctional institutions

Riots and disturbances in correctional institutions are too complex and varied to be attributed to any one cause or group of causes; however, there does appear to be an identifiable causal relationship between one or more of the following variables and most major disturbances in correctional institutions. These causative factors are divided into three basic categories for convenience and to facilitate discussion - general causes, institution-related causes, and non-institution-related causes.

General causes:

(a) Unnatural institutional environment (b) Anti-social characteristics of inmates

Institution-related causes:

-(a) Inept management (b) Inadequate personnel practices ~c) Inadequate facilities (d) Insufficient constructive, meaningful activity ~e) Insufficient legitimate rewards

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Non-institution-related causes:

/(a) '(b) (c) (d)

,,(e)

Basic social attitudes Unrest in the larger community Inadequate finances Lack of meaningful rewards Inequities and complexities in the criminal justice system

This listing is not intended to be comprehensive and there are obvious redundancies among the causes. Many of the causes were drawn from studies and others were gleaned from the growing body of literature related to riots and disturbances in correctional institutions. It should be understood from the beginning that it is not possible to identify a cause or a set of causes, the presence of which will always precipitate a riot or major disturbance and the absence of which will always prevent a riot or major disturbance. Conditions which exist or incidents which occur in one institution may foment a riot. In another institution, these same conditions may exist or the same incidents may occur without appearing to have any significance.

General Causes

There are two basic general causes of riots and disturbances in correctional institutions which cannot be directly attributed to either institutional or non-institutional variables. These general causes are: The unnatural nature of the environment in a correctional institution and the anti-social characteristics of inmates.

Unnatural environment. A correctional institution is an unnatural environment which almost invariably contributes to the emotional stress of those incarcerated. There is limited personal freedom, monotony and boredom, regimentation, a sense of injustice and frustration, hopelessness, sexual deprivation, anxietyi about family and friends, and many similar sources of emotional stress. The tensions which develop as a result of this ever-present stress may become intolerable; consequently, an open rebellion or major disturbance may be sparked by some more visible and obvious cause; such as bad food, brutality, unfair or capricious treatment, racial conflicts, staff disharmony, inept and vacillating management, inadequate facilities,.or some other similar emotion-laden condition.

Charaeteristics of the inmate population. The characteristics of the inmate population cannot be overlooked as a basic general cause of riots and disturbances in correctional institutions. The correctional institutions are populated primarily by young, unmarried males who are from the lower economic strata of society. They are frequently the products of a broken home, who are poorly educated, unskilled, and have unstable work records. Also, they

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are apt to have a prior criminal record, low self­esteem, and be uncommitted to any major goals in life. Material failure in a culture firmly oriented toward material success is the most common denominator of offenders.

Further consideration of the characteristics of incarcerated individuals leads to the obvious conclusion that correctional institutions have a disproportionate share of individuals who are mentally deficient, emotionally unstable, and prone to violent and other socially deviant behaviour. To say the least, this is certainly not the type of population which correctional administrators would select if they had a choice in the matter.

Institutional Causes

The grievances which are enumerated by inmate participants in riots and major disturbances within correctional institutions are almost invariably related to the institution itself. The institution­related causes which underlie the majority of these grievances can be grouped under five basic headings; inept management; inadequate personnel practices; inadequate facilities; insufficient constructive, meaningful activity; and insufficient legitimate rewards. While many of the underlying causes of riots and disturbances in correctional institutions can be ultimately traced to circumstances which are beyond the control of correctional administrators, a significant number of the conditions and practices which precipitate riots and disturbances can be directly attributed to inept management practices within the correctional institutions.

A correctional institution, like any other business, industry or agency of government, must have competent, professional management if it is to be operated successfully. This does not imply that all correctional administrators should hold advance degrees in business administration, because many of the characteristics of a successful correctional administrator cannot be necessarily taught at an institution of higher education. Among the many characteristics of an effective correctional administrator are: intelligence, self-confidence and emotional stability, flexibility; a strong personal commitment to corrections; a high level of supervisory and interpersonal relationship skills; aggressiveness; sensitivity to the needs and legitimate grievances of both staff and inmates; ab~lity to establish and maintain effective communications with staff, inmates and the public; ability to evaluate objectively individuals, institutional policies and practices, and situations and to act decisively; skill in the development and implementation of immediate and long-term plans; and the ability to use available resources and facilities wisely and to the best advantage.

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Within a correctional institution some of the symptoms of inept administrative practices which may spark a riot or major disturbance are: vague lines of authority and administrative responsibility, absence of clearly defined and easily understood rules and regulations, poor communications, partiality in dealing with inmates and staff, and indecisive action on legitimate grievances.

A vague line of authority and administrative responsibility is a basic symptom of inept administration. This results in a lack of credibility in the administrator's ability, inefficient management of the correctional institution, staff conflicts, and inmate frustrations and hostility. The effective and efficient correctional administrator will have logically developed, clearly defined lines of authority and administrative responsibility; and he will take appropriate steps to ensure that inmates and staff understand and follow the chain of command. The correctional administrator will, of course, take whatever actions are necessary to ensure that compliance with the established lines of authority and administrative responsibility does not stifle creativity or repress criticism from either the staff or the inmates. If the correctional administrator expects to have the support of his staff and the co-operation of the inmates, he must be able to demonstrate his competence as an organizer and leader. A correctional institution that is poorly organized and inefficiently administered is not likely to facilitate staff harmony and support and inmate co-operation.

There are potentially three basic power groups within a correctional institution: administrative personnel, line personnel, and the inmate population. Discord between administrative and line personnel within a correctional institution, whether it results from a lack of clear understanding of lines of authority and administrative responsibilities or from some other cause, will diminish the effectiveness of treatment programmes as well as increase the level of emotional stress and discontentment among the inmate population. Either a diminished effectiveness of the treatment programmes or an increased level of emotional stress and discontentment among the inmate population can strengthen the power base of inmate dissidents and result in a riot or major disturbance within the correctional institution. The perceptive administrator will be cognizant of staff conflicts in their early stages and take decisive action to resolve the conflicts before they can have a detrimental effect upon the institution's programmes or upon the inmates.

Poor communications within the correctional institution is another indication of inept administration. The effective correctional administrator makes a concerted effort to ensure that the staff and inmate population

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have adequate information on matters affecting their welfare. To accomplish this, it is essential to have open lines of communication between the correctional administrator and his staff, between staff and inmates, and between correctional administrators and inmates. Informal channels of communication are extremely important; however, they are not sufficient. There must also be formal channels of communication between staff and inmates as well as between staff and administrators and administrators and inmates. An informed staff is likely :to have higher morale and to have a higher degree of success in gaining the confidence and co-operation of inmates. To the fullest extent possible, the correctional administrator should deal openly and honestly with matters brought to his attention by either the staff or the inmates. It is important that the correctional administrator communicate to the staff and to the inmates his understanding of their needs and their areas of concern or grievances. When a need or area of concern or grievance merits administrative action, the action should be taken as quickly as possible and the appropriate persons notified. If no action is merited, then the administrator should explain his reasons for not acting. It may be that the action required is beyond the purview of the correctional administrator. If this is the case, an explanation should be given which would include the alternatives available for having the matter acted upon.

Inmates often react violently to unexpected or sudden changes in institutional routine or practices. Except in extreme circumstances, both the staff and the inmates should be properly prepared for forth­coming changes. When the necessity for the changes can be clearly understood before they are initiated, the likelihood of hostile reaction to these changes will be significantly diminished. In extreme circumstances where it is necessary to make immediate changes without proper notification of the staff and inmates, the correctional administrator should provide explanations at the earliest possible date in order to alleviate the anxieties which the changes produce.

While there is strong disagreement among correctional administrators regarding the use of inmate councils, some administrators believe that it is necessary to develop a formal structure for corrununications between inmates and administrative personnel. The most feasible approach appears to be the formation of ad hoc inmate advisory groups to deal with particular problems or issues. These groups would serve in an advisory capacity only, and the advisory group would be dissolved as soon as the particular problem or issue had been resolved. This practice should ensure inmate involvement and at the same time prevent selected inmates from capitalizing on their tenure on an advisory panel to exploit other inmates.

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The news media have a responsibility to keep the public informed of newsworthy events and correctional administrators have a responsibility to keep the media informed of the activities within their institutions. Regrettably, many correctional administrators have overlooked this administrative responsibility. The correctional administrator should be diligent in his efforts to establish an honest and constructive relationship with members of the mass media. Members of the press are morally obligated to treat mat·ters within a correctional institution in such a way as not to impede the administrator in his efforts to deal with the incarcerated or to sabotage his efforts to prevent or control a riot or disturbance. In addition,' the news media can be invaluable allies to the correctional administrator in his efforts to gain public support for his institution and its programmes. Inept administration is frequently reflected in partiality being shown to some members of the staff as well as to some inmates. To show favouritism to some members of t.he staff or to some members of the inmate population means that others are being discriminated against. This discrimination can produce discontentment which may erupt into rebellious behaviour. A cardinal rule of the correctional administrator must be to deal firmly, fairly, and consistently with both inmates and staff. The impartial treatment of inmates and staff may not prevent grievances; however, if the staff and inmates are convinced that they are being dealt with impartially, their grievances are less likely to result in a dist.urbance within the correctional institution.

The failure to act decisively on legitimate grievances is a reflection of inept administration which may have disastrous consequences. On the other hand, the administrator who takes immediate and decisive action on legitimate grievances, whether they be related to unfair or unnecessary institutional practices, inferior personnel, or conflicts between inmates, is likely to have the support and co-operation of both his supporting staff and the inmate population. An able administrator can do much to overcome the anxiety and stress vlhich are normal concomitants of the environment of a correctional institution by making optimal use of all available resources. The inept administrator, on the other hand, can be provided with idealistic conditions and still be unable to operate an effective correctional institution which is free of riots and major disturbances.

While proficient management is of prime importance for a correctional institution, the quality of the operation depends heavily on the personnel and their ability to transform administrative policies into actual practice. Many of the causes for riots and disturbances in correctional institutions stem

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directly from lack of staff training and experience, inadequate professional standards, and conflicts of philosophy and goals of the overall staff of the institution.

Of primary importance in obtaining qualified personnel is a well-structured programme of recruiting and hiring. Personnel must be recruited on the basis of realistic standards ·Of qualifications, and all should be screened by competitive examinations. In order to attract the quality personnel that are necessary in a correctional institution, heavy emphasis must be placed on adequate salaries and satisfactory working conditions. Incorporated in this, there should be a sound merit system for promotion, attractive employee benefits, and an adequate number of positions for efficient and safe service. This emphasis on selectivity and improved personnel benefits will assure a sound foundation for developing a well­trained, professional staff. All too often, correctional personnel enter service wi·th little or no training. This lack of training together with no prior experience can be a volatile combination in a correctional institution. A comprehensive, well­organized training programme is an essential part of every correctional institution. The training programme should give special consideration to pre­assignment training programmes for new employees. To place new personnel who have not received appropriate orientation training on duty in a correctional institution is a grave error. A riot or major disturbance may not result if pre-assignment training is omitted; however, the ultimate result is likely to be the voluntary termination of many employees with excellent potential. In addition to pre-assignment training for new personnel, an on-going staff-development programme for personnel at all levels should be a requirement for all correctional systems. Such a programme should provide for the continuing personal and professional improvement of all personnel.

Formal academic training in programmes in corrections, management, and the behavioural and social sciences are also important for corrections personnel. Correctional administrators should encourage their personnel to enroll in formal programmes whenever possible.

The ability to act and react to problems immediately and appropriately can mean the difference between preventing a disturbance and quelling a riot. Correctional officers are the members of the staff who have the most contact with the inmates; consequently, their knowledge and competence is of utmost importance. Since line personnel are relied upon by inmates for interpretation of administrative directives, it is imperative that correctional officers be well informed and able to fulfil this responsibility.

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The link between administrative and line personnel cannot be over-emphasized when considering deterrents to major disturbances in correctional institutions. The entire staff of an institution should be able to work together as a solidly unified body. Uniformity of the goals and philosophies of the staff is of utmost importance. This theme should pervade all recruiting and training of personnel in order to prevent possible schisms and disagreements within the staff of an institution. There does appear to be an identifiable causal relationship between inmate disturbances and staff conflict. There must be a consistent policy throughout the institution in dealing with the inmates, and the philosophy and goals of the institution must be reflected by all staff members. This can be accomplished by having well-structured training programmes for new personnel, in-service training for all personnel and open lines of communications between administrative and line personnel.

The personnel of the correctional institutions are the foundation upon which a programme can be established and administered. If the personnel practices of the institution are inadequate, the quality of the operation as well as the order of the institution will be adversely affected.

The emphasis on personnel inadequacies is of fundamental importance in reviewing the causes of disturbances in correctional institutions. However, it should not overshadow the importance of physical facilities or the lack of facilities as a cause for disturbances. Often, we find that our institutions are outmoded, poorly designed, and overcrowded. These conditions can be very important causative factors in disturbances in correctional institutions and are often voiced by inmates as complaints about the institution. It cannot be stated that outmoded facilities cause riots and that all disturbances occur in old, inadequate institutions. Obviously, disturbances occur in some of our most modern facilities; however, the physical inadequacy of an institution is a contributing factor which can lead to disturbances.

Many of our correctional institutions today are poorly designed, with inadequate or non-existent facilities for treatment and training. To a large degree, these institutions were built prior to 190·0 and their repressive atmosphere affects both staff and inmates. These outmoded facilities and the concomitant lack of treatment programmes can cause an increase in the emotional tensions of the inmates and staff and result in major disturbances. Antiquated facilities which are large, drab, overcrowded and isolated from the community are

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conducive to the development of frustration and anger. As the institutions increase in size, the ability of management to control the population is often decreased; and the result is obvious. Small, well~designed institutions with individual cells are much more effective in reducing disturbances and tension within the institution.

Correctional administrators must be constantly aware of innovative methods for improving institutional facilities. Population and institutional size should be maintained at optimal levels if possible; however, large, overcrowded, poorly designed correctional institutions are the realities which most correctional administrators must attempt to counteract. Constructive programmes and meaningful activity are methods which have proved successful in many institutions. It has long been recognized that interesting and satisfying work is an important factor in maintaining emotional stability. Programmes for constructive, meaningful activities for the institutional population can be justified for many reasons. Primarily, as stated above, they provide an alternative for enforced idleness and the resultant rise in tensions. However, they can go much further and offer a sound treatment programme for the inmate and, at the same time, reduce the taxpayer's financial burden. In order to develop constructive programmes we must utilize the services of professional support ·personnel. We often find a lack of these support personnel in our correctional institutions today; and, without them, programme development will be extremely difficult. Therefore, correctional administrators must intensify their efforts to employ an adequate complement of support personnel to combat the idleness and boredom in our institutions which breed dissent and disturbance.

Constructive programme planning should be a carefully devised combination of control and treatment. Incorporated in programme planning should be a legitimate system of rewards for the inmates who will be participating in these programmes. All too often, insufficient legitimate rewards are offered to inmates in correctional institutions resulting in a lack of motivation and a sense of hopelessness and despair. This results in a heightening of tension and is the breeding ground for riots and major disturbances. A successful correctional institution must be a place filled with purposeful activity. Participating in planned treatment programmes in an institution can be a powerful reward for inmates who otherwise are faced with enforced idleness. If participation in programmes is used as a reward for good behaviour this constructive activity will serve as a stronger deterrent to disturbances in the institution.

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A correctional administrator must constantly be aware of the causes of disturbances in the institutions which are within his realm of control. There are many underlying causes of riots and disturbances in correctional institutions which are beyond his control; but if he can overcome the institution-related causes, the possibility of a major disturbance occurring in his institution will be substantially reduced.

Non-institutional Causes

Correctional administrators must be aware of all causes of riots and disturbances. While they find it within their power to implement reform within their institution, they often find themselves helpless in the face of non-institutional causes of riots and disturbances. This is often a perplexing and frustrating position; and yet these causes are often underlying the unrest in the overall system and, therefore, must be understood and dealt with by the administrator. The correctional administrator who tries to understand these non-institutional causes and impart his knowledge and understanding to his staff will have strengthened the very important lines of communication between the inmates and the staff of the correctional institution.

Underlying many inmate grievances about correctional institutions are social attitudes which are basic to men both in the institution and in the outside community. One of these attitudes which is perhaps the most difficult for the correctional administrator to understand is apathy. The staff of a correctional institution cannot be apathetic about their roles in the overall treatment plan if it is to be successful; and, yet, they often find little support for their position from the community. The public is often only concerned with having the offender committed, thus removing the disruptive agent from society, and there is little concern for treatment methods and policies of the correctional institution. This apathy often pervades the institution and the inmates react to this feeling in a variety of ways. The result is often apathy within the institutional population, with little motivation or enthusiasm to participate in planned treatment programmes. The correctional institution staff can also be affected by the community apathy. With little or no support from the community, it is a continuous challenge for the correctional administrator to mai~tain morale and implement realistic programmes of correction.

The punitive attitude of a large segment of society is another basic prepossession that permeates the correctional institution and underlies many major disturbances. Often line personnel reflect this

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attitude of punishment as opposed tp treatment, and the correctional administrator must use in-service training to educate the staff as to his philosophy and the goals of the institution. There must be an established policy affecting some balance between these two philosophies. It is the job of the correctional administrator to understand the punitive attitude of the community and to recruit and train a staff which is committed to the positive values of correctional treatment. The administrator must be able to identify punitive attitudes among his staff and take positive· actions to alleviate them if he is to prevent unrest and disruption within the institution.

Today, as never before, the correctional institutions are feeling the impact of unrest in the larger community. Correctional administrators must be constantly aware of the disruptive influence of social strife, militant movements, and civil disorder on the offenders in the institution. The impact of this unrest is related to several variables. One of these is the location of the institution. Even though an institution is physically remote, it is not insulated from this unrest. Reports in the press and on radio and television keep inmates well informed on unrest in the larger community. Also, leaders of community protest actions are being sentenced to correctional institutions and as a result the correctional institution is likely to be affected. Also, there is reason to believe that correctional institutions may be the object of community protest movements in the near future.

The correctional institution cannot isolate itself completely from the larger community; and, in fact, isolation is not desirable. Communication today is such that community unrest rapidly pervades the correctional institution. Parole violators and newly admitted inmates are constantly bringing community attitudes to the institution, and this coupled with news media coverage keeps the offenders well informed about the unrest in the community. Coverage by the news media is particularly important as we often find that riots and disturbances can be sparked by their reports. Unrest in the larger community is a particularly explosive area today. Correctional personnel must be well aware of its impact on the institution. It must be understood that this unrest offers a model and suggestions for disturbances within the institution.

All institutional and non-institutional causes of riots and disturbances in correctional institutions are important; but inadequate financing is an underlying cause in many, if not most, of them. Most deficiencies are of economic origin and the present need to make up, in the short-run, years of inadequate preparation. These problems can directly

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relate to disturbances in the institution; yet there is often very little the correctional administrator can do to increase the institution's financial support. The relationship between inadequate facilities and actual or potential disturbances is obvious. When correctional institutions become large and overcrowded the propensity to violent eruption increases dramatically. It was stated earlier that as a possible counter-measure for overcrowding, constructive treatment programmes should be initiated; however, if financing is inadequate, the necessary professional support personnel cannot be hired. It becomes clear that insufficient financing is a critical area that must be reckoned with or the result may be riots and disturbances. This is illustrated dramatically by the correctional institutions which cannot attract a sufficient number of qualified personnel to staff adequately their security and treatment programmes because of lack of finances. The result is a system in which there is very little constructive treatment and a potential for the eruption of violence and disorder.

Another, less obvious, non-institutional cause of disturbances in correctional institutions is the lack of meaningful rewards for the entire institutional population. This lack of rewards is often subtely imposed by the basic social attitudes of the general public. Their imposed restrictions placed on the correctional programme often deny any reward for the offender as well as for the correctional staff. A good example of this is the difficulty the ex-offender faces in securing employment with legitimate businesses even though he may have completed a comprehensive training programme in a correctional institution. Another example is the amount of restrictions placed on correctional programmes by the community. They can only utilize institutional industries for specified purposes and the marketing of the commodities produced are often severely restricted. These restrictions severely impair the efforts of the correctional system to offer meaningful rewards in the form of either financial remuneration or meaningful work opportunities. This lack of reward can be subtly or glaringly apparent but impossible for the correctional administrator to change. However, the administrator must face these realities, understand them, and strive to counteract their possible consequences within his institution.

Summary

Just as the correctional administrator must be aware of the conditions and practices within the institution which precipitate riots and disturbances, he must be aware of those causes outside the institution that may lie beneath the tension and hostility in the institution. Whereas he may take steps to remedy

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institutional causes through proper management, he is severely handicapped in his ability to manage causes arising in the larger community. At best he can maintain a constant awareness and understanding of these conditions and educate his correctional staff as to their meaning and possible consequences.

The causes of riots and disturbances in correctional institutions are varied and complex. They should not be reviewed individually but as complex, inter­related variables which contribute to the total problem. It is an accepted fact that there is a direct causal relationship between these variables and riots and disturbances in correctional institutions. It is the nature of this relationship that has been the central theme of this chapter. Conditions that exist at one institution without significance may foment a riot in another. This inconsistency is inherent in our review of the relationship of the causes and disturbances in correctional institutions. The system must be viewed in its totality if we are to understand the full impact of these variables on the correctional system.

PREVENTION OF RIOTS AND DISTURBANCES

As long as men have grievances that they feel powerless to resolve, the possibility exists that they will erupt into irrational and destructive behaviour. Administrators of correctional institutions can reduce but not eliminate this possibility by diligent and concerned attention to all of the innumerable facets of correctional institution operation which affect the stability and morale of the institutional community. Many factors are beyond the control of the administrators -overcrowding, lack of funds, public attitudes - but these can be recognized and their effects on the institutional population understood.

With few exceptions, the factors discussed in this segment apply to both inmates and line employees. Unwillingness to consider the feelings and viewpoints of either group can lead to the same disastrous end.

Open and effective communication with inmates, staff and the news media

Disturbances can be prevented if both the staff and inmates know exactly what the other thinks and feels. Correctional administrators must deem it important to know what inmates think and how they feel about every aspect of the institution. This requires a climate where inmates and employees alike can express constructive opinions and feelings without meeting defensiveness, ridicule or later reprisal. Numerous informal contacts will give management a better idea of the general institutional tone than will any number of formal reports.

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Administrative and management personnel should circulate about the institution maintaining as much contact as possible with inmates and employees. This contact will serve to answer questions and relieve the anxieties and tensions of both the inmates and line employees. Even though this is an invaluable method for the administrative personnel to use in staying well informed about the general state of the institutional population, there are some limits. The officials must maintain a well-defined balance between circulating and carrying on the administrative duties of their office. By maintaining this balance, the administrative personnel will be well informed about the general state of the institutional population and better able to handle any institutional problems.

Open channels of communication, both formal and informal, will ensure that valuable information is available to top-level staff for evaluation and planning. Traditionally hierarchical and authoritarian correctional institutions often place restrictions on inmate-employee relations in order to prevent fraternization. While these restrictions define authority, they impair the free flow of communication and should be modified by thorough training of employees at all levels in the elements of good communication and constructive human relations.

Very useful two-way communication channels can be established by utilizing well-structured inmate group projects. Projects such as Jaycees, Alcoholics Anonymous, and group-study clubs have been found to be useful communicative devices. When they are well­defined and well-supervised, these projects provide a direct channel for communication between inmates and officials with proper emphasis on constructive plans and ideas.

Line employees can be valuable in the informal communications network. There are always certain employees who can develop a special rapport with particular inmate groups and who as a consequence become aware of tensions and dissatisfactions in their early stages of development.

A well-defined system of communication between line employees and administration is a necessity. It should be designed and maintained so that this com­munication link is always open and active. This communication should not be only in one direction, but must be used to transmit information to the institutional population. It is important that line employees and, subsequently, inmates learn from official sources, and not from rumours, of plans and changes in operations that will affect their welfare. In addition to informal channels, talks over the institutional radio, articles in the institutional newspaper and bulletin boards can be used to provide factual information.

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The news media - radio, television and the press -are important means by which the public is informed about the institutions their taxes support. Corrective establishments need to maintain good press relationships. The press needs to be informed of significant events of both a positive and negative nature. An air of secrecy lends credence to irresponsible inmate allegations.

Sensitivity to signs of tension and early identification of problem areas

Disturbances in correctional institutions can be prevented by being able to interpret and act on change in institutional atmosphere and behaviour patterns. For every form of behaviour there is a reason. Every person, whether he is an employee or inmate, has a method of behaving. When this method of ~ehaving changes, find out why. Act on, rather than react to, behaviour which can be eruptive.

Experienced institutional personnel can sense in most cases any change in the general climate of the institution. Among the signs looked for are: unusually quiet or subdued actions by inmate groups; reluctance to communicate with employees; increased purchases of foodstuffs at inmate canteens; unusual inmate gatherings or increased self­segregation by racial or ethnic groups; appearance of inflammatory written material; an increase in voluntary lockups; a drop in attendance at movies or other popular functions; an inq_rease in complaints about some operation of the institution. Each institution will have its own particular early­warning signs and training programmes should instruct new employees concerning these indicators.

When tensions are still relatively low, employees must use restraint and discretion so as not to aggravate the situation. Neither threats nor pleading can help at this stage. Even well-experienced employees have increased institutional tensions by showing anxiety or by discussing the possibilities of an impending disturbance in the presence of inmates. It should be noted that during these tense times an appearance of assured control and confidence reduces tension more effectively than anything else. Line personnel not capable of doing this should be temporarily placed in less sensitive areas or given supportive assistance and encouragement.

Line personnel are the first to hear complaints about food, mail delays, and unpopular management actions, providing inmates feel free to talk to them. If the employee's lines of communication with his supervisors are open, these complaints can be transmitted upward so that corrective action can be taken. It is most important not to rebuff employees who are trying to be helpful. If new employees report

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foolish information or become unduly alarmed about a routine matter, this can be an opportunity for constructive on-the-job training, instead of demeaning their effort with ridicule or indifference. Prevention obviously involves placing the most alert and effective employees in areas of the institution that are most critical, not only those involving security, but involving inmate morale as well.

Good preventive actions are possible only when employees and inmates alike feel that management is confident, competent, and really cares what happens to people in the institution.

Positive action on legitimate 9rievances

Prompt and positive handling of inmates' complaints and grievances is essential in maintaining good morale. A firm "no'' answer can be as effective as granting his request in reducing an individual inmate's tensions, particularly if he feels his problem has been given genuine consideration by appropriate officials and if given a reason for the denial. Equivocation and vague answers create false hopes and thus increase the man's anger when nothing is done. A most dangerous situation arises however when inmates have grievances they feel can be corrected if only the proper officials are made aware of their problems. Inmates know that disturbances are certain to give their complaints wide publicity when less drastic measures fail.

Again, it is important for employees to seek authoritative answers to the questions raised, or to refer the inmate to the proper officials.

Administrators must ensure that fair and just practices are used in the management of inmates, and they must pay particular attention to areas of basic concern to all inmates. Palatable food, adequate clothing, good sanitation and medical care, prompt mail service and fair assignment practices must be provided for in a manner that a reasonable man can accept. What is reasonable is subject to redefinition in this era of rising expectations and managers must be flexible enough to change with the change in social perspectives. Access to courts and lawyers and the inmate's rights to prepare legal appeals, for example, are basic rights today whereas ten years ago these were reluctantly granted 9rivileges.

·L·nere are some significant grievances about which institution staff can do little or nothing. These will usually involve feelings of injustice concerning the man's original conviction, or the manner in which the paroling authority has handled the setting of his term of confinement or his parole violation. The institutional management can explain policies or

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get representatives of the paroling authority to do so and inform inmates of the proper channels of appeal.

The administrator who confuses redress of just grievances with the granting of undue privileges to gain favour with the inmates will find himself in an untenable position eventually. Privileges granted soon become a "right" and any future curtailment creates a serious risk.

Identification, neutralization and removal of agitators

Institutional disturbances can be prevented by the recognition and neutralization of the influence of inmate agitators. An alert staff can identify the sources of agitation by observing which inmates are contacted by known hoodlums and enforcers. Prompt removal of key inmates to other institutions or to segregation has been an effective means of blunting a demonstration. However, potential leaders and agitators are always present in institutions, often waiting patiently for an opportunity for ego-gratifying leadership roles; and they cannot all be removed. They can be neutralized to a considerable extent by prompt management attention to widespread correctable grievances. The most effective agitators are the most difficult to identify since, like good double agents, they can appear to conform to the expectations of both the staff and groups of disgruntled inmates. Usually intelligent, and often assigned to jobs of considerable responsibility, they manipulate less intelligent inmates into taking all the risks and sometimes are never identified, even after having created a widespread disorder. A more difficult situation involves the increased militancy of various revolutionary, ethnic and racial minorities, both in and out of correctional institutions. Great restraint and good judgement must be used by staff to ensure that expressed needs are neither ignored nor allowed to build into a confrontation situation.

The correctional system must have facilities available for the effective handling of these inmate agitators. One of the most desirable and effective methods available is for the system to have a multiplicity of facilities for the difficult agitators. Having alternate facilities provides a means for the inmate to re-establish himself and remove his negative influence in regard to his original peer group. It is a standard practice to separate routinely large groups of co-defendants.

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Inmates must be informed on matters affecting their welfare

An essential procedure in the prevention of institutional disturbances is having the inmates informed of their status, rights, and opportunities for self-improvement. From entrance orientation on, informative and explanatory guidelines and procedural policies should be on-going to negate erroneous preconceptions gained from other inmates.

Among the many trends in our rapidly changing society is an increased insistence that people have a right to know about actions that affect their welfare and that they have a right to participate in any planning that affects their daily lives.

Few will argue the fact that inmates should receive reliable, official information about programmes and policies, particularly when changes are made or new policies instituted. When inmates lack facts, the rumour-mongers start to work and misinformation is spread throughout the institution. Often the rumour spreaders are those who like to disturb others, who seek to agitate or who want to strengthen their leadership by pretending to have secret information.

In order to prevent misunderstanding, management should use all the institution's communication media to transmit factual information: the institution radio, newspaper, bulletin boards, ·meetings with inmate groups. Any media that are traditionally used in a particular institution for news of great urgency or importance should not have its effectiveness reduced by over-use for trivial matters.

Prevention can best be attained by constantly having fully informed employees. Inmates characteristically half-hear announcements and many do not read the institution paper, so they will check their partial information with an employee they respect. Too often, employees are not informed promptly and are thus placed in an embarrassing position which creates hostili·ty in them toward management and reduces their helpfulness in implementing new projects. Thus, we see the similarities between the importance of fully informed employees and the importance of communication. However, good communication is not the only method by which we have fully informed employees." An informed employee becomes that wav, not only by communication, but also by training, education, and by being a part of an efficiently managed insti tu·tion which works as an integrated, trained, and knowledgeable team.

Informed, efficient and fair personnel

Informed personnel are those who have been treated as though they are really part of the correctional team. Not only have they been instructed in the details of programmes and policies but they have had an opportunity to discuss their questions and concerns and to receive answers from management as to the reasons for changes. The best informed employee is, of course, the man who has been involved in developing new programmes or whose opinion has been sought. Informed employees are prepared to carry out operational programmes and they can give inmates reliable, anxiety-reducing information about such programmes.

One important factor in reducing the potential of a riot or disturbance is in having efficient personnel who can handle their responsibilities and the emergencies they will inevitably meet in a calm, confident manner because they have been thoroughly trained in the necessary technical and inter­personal skills. A trained employee will respond to urgent situations quickly, without emotionalism and with a minimum of wasted motions. Training combined with experience will enable him to react appropriately to the many kinds of situations which will confront him; to be authoritarian where this is called for, or to be concerned or less authoritarian at the proper time.

To prevent and inhibit causes of disturbances, personnel need to be fair in their dealings with inmates. It no longer suffices for them to be "firm but fair" in applying the book of rules. While this remains a sound and time-tested principle, the complexities of modern society place additional requirements on employees. To be fair and effective in managing inmates now means that the employee must understand differences in points of view and motivations that arise from differing life experiences or from membership in particular racial or cultural groups. The employee, likewise, must have knowledge of the intrinsic value systems to which all inmates are exposed in being institutionalized. Training programmes should include courses in human behaviour, inter-personal relationships, group dynamics, and the effects of cultural differences on behaviour. In order for an employee to be fair and objective he must have a thorough understanding of the following.

1. Causes of criminal or deviant behaviour: If employees understand the reasons why people act in anti-social or deviant ways, they are better prepared to manage difficult prisoners and they can be more objective in their actions, particularly in respect to those crimes which most people find personally repugnant.

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2. Cultural, racial or ethnic differences: There must be an awareness that people reared in different environments may have different values and may see events in quite different lights than the institutional management does. Too often, customs and values of other cultures are interpreted as inferior or unacceptable rather than being merely different from our own. Staff should be aware that unspoken attitudes reflected in mannerisms, facial expressions or other gestures can communicate bias and ignorance fully as much as direct verbalization.

3. Legitimate rights of inmates: Various state and federal court decisions and actions have extended into the area of the offender's constitutional rights and equal protection under the law. These actions are in regard not only to litigation relative to the offender's commitment but also what rights he has after being committed. Courts have demonstrated they will not tolerate official actions that unnecessarily humiliate, degrade or dehumanize the incarcerated and most inmates are well aware of this. Personnel properly instructed regarding basic human rights of inmates - decent food, housekeeping as well as legal rights ~ are less apt to create tensions and exe less likely to promote court decisions against the correctional administrator.

The importance of staff and line personnel training cannot be overstressed. Budgets should include, besides the personal services allotment for operational needs, allotment for training and re-training and required resources. This staff training should be both thorough and varied.

In addition to regular in-service training programmes, consultants from the communities, knowledgeable staff members and the resources of local colleges are available for instruction in the field of human relations and the understanding of human behaviour. Sponsorship of voluntary inmate activity groups -group counselling, public speaking groups, religious or ethnic organiza'cions - is another means whereby employees can learn to deal with inmates as individuals.

Positive J'rogrammes of disciplinary control

A constructive programme in maintaining discipline is essential in preventing unrest and/or disturbances. The immediate goal of disciplinary procedures is conformance to those rules and modes of behaviour that are necessary for the safe and orderly operation

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of the institution. Good disciplinary programmes maintain order and conformance to the rules with the least friction, emotionalism or punishment for its own sake. They cannot be either vacillating or unjust; neither can they be based entirely on a negative "do it or else" basis. Self-discipline is the goal or objective which should direct all disciplinary procedures; namely, the inmate's ability to live and work with other inmates and staff by his own self discipline. Discipline is based on respect. The individual being disciplined must respect authority. Likewise, the individual in the position of authority must respect the offender. Respect for law and order and rights of an individual are mutual concerns. Rewards and incentives for constructive behaviour must be the other side of the punishment coin. The final objectives of disciplinary procedures are to teach self-control and, hence, self-discipline. Careful consideration by institutional administrators should be given to the danger of maintaining disciplinary control by an over-proliferation of rules - a whole list of don'ts and a very few do's deter and tend to inhibit development of self­discipline. Rules and rule enforcement should be constant, updated, current to existing policy and revised when major policy changes occur. Good judgement exercised by well-trained staff is essential in carrying out disciplinary procedures. In well-run institutions, line employees can prevent many infractions from becoming serious through counselling and verbal reprimands rather than involving disciplinary committees or administrators. With these basic concepts in mind, it remains an ever­present high priority responsibility of management to restrain undisciplined individuals from the disruption of the entire group. Agitators, strong-arm men, sexual aggressors, and those who deal in serious contraband must be rigidly controlled and segregated if necessary. Disturbances in correctional institutions have resulted when the majority of the inmates felt that management was not providing sufficient control of predatory inmates.

The stern action prescribed for the aggressive predatory inmate is of utmost importance. However, a method of discipline must be devised for amenable inmates who violate minor institutional rules. One method found to be most effective in controlling this type of inmate is loss of programme privileges. This type of discipline as well as that prescribed for the predatory inmate should have a common factor, and that is the involvement of all institutional personneL This total involvement by all personnel will guarantee the effectiveness of the discipline.

Proper supervision of employees must include the same just objective procedures for discipline. Both the employees who are doing their job properly and the inmates watch closely the actions of management tmvard negligent employees.

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Comprehensive, diversified and carefully supervised programmes for the inmate population

Low morale often becomes a starting point of a disturbance. A wide range of institutional activity has a positive effect on morale. Besides offsetting brooding, discontent, and increasing morale, they also can aid in the preparation of an inmate for his return to society. When inmates have a wide choice of self-improvement activities or constructive leisure time programmes in which they can become involved, tensions are reduced and the individual inmate is less inclined toward disruptive behaviour which would prevent his participation in these activities.

In addition to structured programmes such as academic education, vocational training, organized athletics and handicraft, small voluntary groups in public speaking, drama, creative writing, chess, music, and other special interests can be provided. Benefits from such activities include reduction of boredom and idleness, improved physical well-being, increased ability to function in a constructive social group, and acquisition of skills to increase the person's sense of self-worth. Formal, budgeted programmes such as education will be organized according to accepted guidelines. Inmate voluntary groups should be organized in some orderly fashion which includes submission of a statement of purpose, rules or procedure, and meeting times, etc., to be approved by a staff member. These groups should always be sponsored by an employee who will be present at all group activities. This prevents use of the group as a power base by predatory inmates or for the planning of disruptive activities. Where citizens from the community wish to assist in an activity, they should be carefully supervised and indoctrinated in the pitfalls of correctional work. While the use of volunteers in correctional institutions has many dangers, it is one way in which administrations with restricted financial budgets can provide a wide range of programmes. Not only should activities of citizen volunteers, students and outside groups working in correctional areas be thoroughly oriented, but also the scope and limits of their activities should be specified in written agreements with the outside organization or agency involved.

Finally, ideas for voluntary programmes can come from inmates in response to their own interests and should be considered and evaluated as well as those programmes originating from the staff.

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Awareness of community groups outside the correctional institution which foment unrest

There are many in our society who feel that the correction of social evils is too slow through normal parliamentary channels and who would speed up reform through strikes, demonstra·tions, property destruction, or violent confrontations. The publicity value of such activities is apparent to inmates. In contrast to social upheavals of previous years, dissident leaders are now keenly interested in promoting participation of inmates in similar protests against the Establishment. Overseas studies suggest that these restless and sometimes disruptive groups can be considered in three broad categories.

1. Racial and ethnic organizations: The majority of such groups seek by generally peaceful means to change specific considerations that prevent members of their groups from achieving financial, educational, and vocational status equal to that enjoyed by the majority of the community. Only relatively small groups of extremists within each minority would destroy the whole system.

2. Revolutionary groups: These groups not only focus on specific evils in society but seek to discredit or destroy the Establishment in general. To these groups, correctional institutions along with the police represent the ultimate in domestic repression and, hence are highly desirable targets. However, such groups jump from one cause to another and rarely understand the problems involved or propose usable solutions. Examples of their activities have been to enlist inmate families to picket institutions and legislatures, organize typical radical demonstrations complete with placards, and in the guise of volunteer workers to infiltrate the correctional institution actually to help organize inmate rebellions.

3. Community and professional groups: These established organizations render service in the community and sometimes become interested in helping inmates and in operating their programmes in correctional institutions. While they do not intend to be disruptive, such groups or individuals within the groups may create problems through ignorance or over­enthusiasm. For example, an organization may assure an inmate group that a desired programme can be instituted without checking its feasibility with the institution's administration. The subsequent disappointment and frustration may then precipitate a disturbance. Good orientation and supervision is necessary to

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direct the energies of community organizations in constructive and helpful directions.

Preventive efforts would include these major areas:

1. The management should maintain awareness of trends in the radical community. Regular reading of "underground" newspapers will give warning when areas of interest shift to inmates or parolees.

2. Injustices, particularly in radically sensitive areas, must have high priority with management for corrective efforts. Knowledge of constructive achievements in the outside community can give clues as to what may be the expectations of the inmate community.

3. Training programmes for new employees must include an awareness that young candidates for correctional careers may share many of the anti-Establishment attitudes of the extremists. Increasingly, they will demand and should receive reasonable explanations of the reasons for particular policies and procedures.

4. Disturbance control plans should include the handling of demonstrations, or even assaults on the correctional institution from outside the walls.

METHODS OF CONTROLLING RIOTS AND DISTURBANCES IN CORRECTIONAL INSTITUTIONS

Types of disturbances

Institutional disturbances may range from an outburst among several inmates to a major riot involving a large portion of the population. These disturbances may range from a passive ''sit-down'' demonstration in the yard of a correctional institution to a large­scale, random, senseless destruction of life and property. Disturbances may arise from spontaneous reactions to some critical incident such as a stabbing. Also they may be organized, calculated movements of massive resistance supported and assisted by outside groups and led by intelligent inmates using revolutionary tactics. Each type of disturbance requires distinctly different control tactics. Therefore, it is essential that any master riot plan be sufficiently flexible so that each response can be tailored to the situation.

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Spontaneous and massive outbursts

The more serious massive disturbances in our correctional institutions in recent years resulted from spontaneous incidents erupting in such areas as the dining room or in the recreational facilities. The catalyst in such situations could be the use of undue force when removing an inmate from one of these areas or ignoring warning signs of impending trouble. Such actions, when divorced of sound judgement and tact, could conceivably result in an ''instantaneous'' reaction from his sympathetic followers.

Proper evaluation of the situation is of paramount importance when dealing with such incidents. We must keep in mind that often when handling such incidents, it could be far more important to effect an orderly dispersal of the entire group, and wait for a more appropriate time to deal with individual inmate behaviour. Incidents of this nature, once out of hand, tend to be contagious and conceivably could lead to a massive insurrection involving the entire institution. Remember, a spontaneous incident could trigger an instantaneous riot. We must recognize and accept the fact that we are working with an unpredictable, unstable element prone to act without thinking. Some have little or no regard for authority, and if given any excuse will vent their feelings under the cloak of anonymity.

Pre-planned bid for control and/or publicity

This type of disturbance is likely to be more intensive and dangerous than the spontaneous one because of the elements of deliberate inmate manipulation, strategic planning and intent to prolong the disorder, which are inherent in the planned situation. A certain disunity in the plan may result from emotionally unstable inmates who inject themselves with unco-ordinated enthusiasm into the tide of events. There may be an actual aim of ''take-over" of the institution, though more often the objective is to obtain publicity in order to enlist outside sympathy for grievances, either real or fancied, or to pressure the administration into embarrassing concessions.

A pre-arranged passive demonstration takes on the politics of confrontation where the inmate leaders are hoping for an inappropriate response from the. administration. In this situation either excessive harshness or impotent indecisiveness will serve the purpose of the demonstrators. In such instances, however, time is on the side of administration and the hasty use of force is ill-advised. Any repressive action affecting the uninvolved inmates may serve to strengthen the support of the demonstrators.

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Planned sabotage or kidnapping of hostages is calculated to obtain publicity and/or create conditions under which other inmates can be encouraged to riot. Hostages tend to negate the power of the administration by limiting its alternatives. When a kidnapping occurs, the administration must avoid triggering further disturbances throughout the institution while attempting to protect the welfare of the hostages. No arbitrary position can be decided upon in advance. In some instances it may be imperative to secure the remainder of the inmate population for an indefinite period of time while in other circumstances it may be wisest to allow normal institutional routines to continue uninterrupted.

Confined to institution: A full-scale riot, threatening life and property, must be suppressed as quickly as possible, and under these conditions the riot plan must provide for t:he full mobilization of personnel in conjunction with the availability of supporting emergency equipment: Tear gas, helmets, batons, auxiliary power systems, and weapons. Proper deployment and action by riot squads will usually succeed in splitting up the rioters into manageable groups.

Although not always readily or easily identified, somewhere in the organized disturbance there is leadership. The earlier it is identified, the sooner it, can be eliminated or rendered ineffective. When and to remove the leaders is always a crucial decision. In order to neutralize a planned disturbance, the insurgents must be known and, when deemed appropriate, removed and isolated from the general population before an opportunity to carry out their plans presents itself. This requires an alert and closely knit staff capable of evaluating information and trained to act upon sound judgement and cultivated instincts - not on impulse.

Assisted and supported by outside groups: News media can conceivably contribute to general unrest and conflict within correctional institutions. Editorial opinions and reflections regarding social change can be exploited by the inmates in the hope of gaining sympathy for their cause. When this is the case, it behooves all administrators to be aware of the sociological climate and pulse of their institutions. Problems related to food, clothing, housing and treatment lend themselves to general discontent and unrest. When such conditions do exist the inmates will use community publicity, centered around social unrest and change, as a vehicle to bring their own so-called problems to the public eye. A well­informed and alert staff with bilateral communications between staff and inmates is a built-in safeguard that can be effective in prevention. Proper rapport with key news media representatives can often mitigate or negate unfavourable publicity.

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InstitutionaZ response to community tensions and disorder: This has a double-edged application. First, tensions and disorders in the community can create emotional reactions when some inmates identify themselves in sympathy with the particular community, or as an excuse to agitate. Second, institutions have a responsibility to the community in times of disaster and civil disorders. The range of services available at the institution varies with its size, mission and the nature of the disorder. A pre­arranged plan of action for dealing with such emergencies should be. concluded between the institution administrator and local police, fire and civil defence officials. However, administrators must remember the so-called "uninvolved inmate audience" when community tensions are running high, and civil disorders are in process. The potential dangers of these incidents taking root in our institutions are ominous, but with effective preparation, administrators will be capable of handling these situations in such a manner that conwunity tensions will not precipitate a major institutional disturbance.

General rreparedness

Each institution must maintain a comprehensive and objective riot control plan which is clearly understood by its staff. Segments of the plan including use of gas and other emergency equipment should be simulated during personnel training sessionse

Custodial practices such as tool control, contraband and weapon control, accepted security precautions and housekeeping and sanitation must be maintained at effective levels. Laxity in these areas provide sources of discontent to the rebellious elements among the inmates, creates an atmosphere conducive to disturbances, and presents additional hazards for the staff during suppression of riots.

A riot plan, per se, has little value unless line supervisors and staff have been trained in the mechanics of activating basic procedures at the onset. The correctional staff, from the Superintendent down, must be sensitive to inmate grievances and discontent, and be capable of recognizing both obvious and subtle signs of situations which breed general unrest and riots.

The riot-Elan

The objective of the plan should be to provide for deployment of all personnel, equipment and material resources.of the institution into the problem areas as quickly and efficiently as possible. This will avoid confusion and delay which may give rioters time to organize and consolidate.

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A riot control plan must be carefully developed by the staff of each institution, so that it is tailored to the unique needs and characteristics of the facility. The plan must provide administrators with sufficient flexibility of response but it must also be developed in a clear and concise style that is easily understood.

Emergency Personnel and E'quipmen t: The mobilization of personnel should be described generally in three phases:

' a. Mobilization of on-duty personnel b. The call-up of off-duty personnel c. If deemed necessary, the mobilization of

supportive personnel.

Only trained institutional personnel should be assigned inside an institution during a disturbance, unless a situation is so totally out of control that other supportive personnel be called. Law enforcement personnel can appropriately be used for perimeter security, gate control, or any other areas where they will not be in direct contact with the inmates or be required to have a comprehensive understanding of institutional problems. Special equipment, available only for riot use, should be in constant readiness. It should include such items as riot helmets, batons, communication equipment, shields, emergency keys, cutting torches, wrenches, wrecking bars, ladders, ropes and portable lights. These items should be stored in the armoury.

Instructions to all Employees: All employees should be thoroughly familiar with the riot plan and be required to review it frequently. They should be trained in the proper use of emergency equipment and be required to maintain proficiency in the use of firearms. They should clearly understand what will be expected of them in cases of emergency and what they can expect and be prepared to face.

Standing Orders: Concise standing orders must be maintained at strategic locations throughout the institutions outlining the specific functions of each unit, as it relates to the overall riot plan. It should also be clearly understood that certain sets of keys, which are routinely drawn by certain employees, will become restricted keys during such emergencies. These would include keys to knife cabinets, central tool room, armoury, drug storage and administrative offices. The riot plan, and standing orders must be treated confidentially so they are not available to the general public, or accessible to the inmate population.

Analysis of the physical plant: Riot planning should include a comprehensive analysis of all buildings, tunnels, attics, catwalks, emergency power supply , fire hydrants or any other piece of equipment

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relative to riot prevention and control. For example, every building in which inmates could barricade themselves should be studied with the thought of executing a quick emergency entrance by the use of axes, cutting torches, wrecking bars or by any other practical means. The riot plan should spell out automatic precautions to be taken by staff to protect critical areas, such as the powerhouse, hospitals and infirmaries, culinary service areas and any special problem areas particularly vulnerable to arson or physical damage. Also, the additional responsibilities of tower officers should be clearly defined in regard to the protection they will provide for all inner division fences, fire hydrants, fire-fighting equipment, buildings, and any other equipment or facility within their line of visibility.

Floor plans or sketches of buildings should be instantly available to command personnel during such emergencies.

Keeping the plan updated: After developing and implementing a plan for dealing with disturbances, it is essential to follow-up with frequent inspections to ensure that procedures and equipment are in good order. Emergency training for line staff is of utmost importance. Their proficiency in the use of equipment and overall knowledge of the plan is mandatory.

A check list should include, but not necessarily be limited to:

a. Firearms and ammunition (ammunition should be kept updated)

b. Gas supply and equipment (gas supply should be updated - old gas may be used for training purposes)

c. Activating emergency lighting equipment and facilities; including those available from outside agencies

d. Fire-fighting equipment and personnel

e. Shut-off valves for water, electricity, gas, heat, and ventilation

f. Emergency entrances to all buildings

g. Emergency keys

h. General alarm system

i. Availability of emergency personnel (current telephone lists)

j. Amplifiers, public aderress system, communication equipment

k. Supplies, especially those which can be burned or used as weapons, i.e. gasoline, poisons, ladders, torches, etc.

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Policies of command: The administrator of each institution should have a prepared plan clearly defining the command duty officers and their alternates for each 24 hour period with particular emphasis on off-duty hours.

Risk priorities: Each administrator must develop the order of priorities which he must meet within the framework of applicable laws and policies of his department. Six basic priorities recommended by studies are ranked as follows:

a. Safety of the general public

b. Safety and welfare of hostages

c. Prevention of death or serious injury to staff personnel

d. Inmate welfare

e. Protection of property

f. Restoration of order

g. Identification of participants, arrest, and legal prosecution

Hostages: There has been much discussion and difference of opinion as to how much risk should be imposed upon a hostage or hostages in the process of bringing barricaded mutineers to submission. Certainly, a reckless disregard for a hostage's life would not be excused by the public or by his fellow employees. On the other hand, his very employment in a correctional institution is an acceptance of the risks that traditionally go with his job, just as is the case with the policeman or the soldier. Employees should be aware of the fact that no one retains his authority when taken hostage, regardless of his rank or position within the institution. To say that the emergency force should move in with gas and gunfire, irrespective of risk, would be foolhardy unless the risk to the public and other innocent persons was so great and so imminent as to demand it. Sound judgement and moral courage of a high order are obviously required, and no brief statement here can produce a simple solution for all cases.

Negotiations and ringleaders: Is it proper to negotiate with mutineers? In theory, the answer is obviously "No!" Inmates, in defying the authority of the government, are in the act of committing a crime and, in addition, any agreements reached under duress would have neither legal nor moral force. This does not imply that some appropriate official should not attempt to talk to the ringleaders in an effort to regain control by a peaceful means. This

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course of action would be particularly germane if hostages were involved, or if the inmates have gained control of some critical point. However, should such discussions fail, the administrator should be prepared to use force in the protection of life or property. It is the bargaining and the indiscreet giving of promises which should be avoided. Demands of inmates that they be permitted to negotiate only with the head of the State or some well-known news commentator, should be bluntly refused. The wisdom of permitting anyone who is not well acquainted with life in the correctional institution to negotiate with mutinous inmates is seriously questioned. To allow a prominent but non­associated official to enter into discussions with inmates inflates the rioters' egos and lends encouragement to a repetition of the same show on another stage. Conditions and practices forming a valid basis for inmate grievances should be corrected as soon as possible, even though one violently disagrees with the methods taken by the rioters to bring them to official attention. Many of these conditions cannot be corrected, of course, until the institution has been returned to normal.

Public relations: Except for occasional efforts at mass escape, ringleaders of correctional riots usually direct their efforts toward getting publicity which will embarrass the administration. At the same time, riots in correctional institutions are major news events. Understandably, correctional administrators are often apprehensive of the manner in which the news media will treat these occurrences. A correctional institution, as a public institution, is obligated to keep the news media informed with respect to newsworthy events so long as this information is not harmful to the security of the institution or to the efforts to regain control.

The news media should be informed as soon as it is apparent that a riot or a major disturbance is taking place.

The public itself should be kept out of the security area of the institution and, if possible, away from its immediate environs as long as there is active rioting taking place. This should be done in the interest of public protection and also in the interest of preventing the rioters from taking advantage of the "Roman Holiday" atmosphere created by an excited public audience.

If the disturbance continues for a number of hours, it is common for representatives of the news media to wish to come to the institution and to be permitted to talk to inmates. Representatives of the news media should not be allowed to talk to or photograph any inmates while they are resisting authority, or within the riot area. To do so is

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usually an irritant to the situation and an interference with the management's orderly discharge of its duties. When the riot is over and the institution is again under control, there should be no objection to the news media being admitted. It is unwise to use inmates' names in connection with riot publicity, or to allow them to be publicized by personal photographs, television or news film. Such publicity could stimulate psychopathic personalities to repeat the performance elsewhere.

Good relations with the news media should be a normal objective of any good institutional administration. Mutual confidence and understanding between the local representatives of the news media and the administrator and his staff, as a continuing condition, are the best insurance against bad press relations during a time of crisis.

Criminal prosecution: Rioting inmates usually violate a number of criminal statutes. With this in mind, institutional management should be gathering facts, preserving evidence, taking photographs and making reports that will be useful to the prosecutor. The prosecutor, within whose jurisdiction the institution is located, should be brought into the institution early enough to avoid prejudicing his prosecution. This policy of prosecution should be well known to the inmate body, and repeated whenever the proper opportunity arises during a disturbance. No bargains should be made or offered by the administration to the effect that the rioters will not be prosecuted for their offences.

The plan of action

a. The Alarm: Immediate communications by staff members observing a disturbance should be made to the supervisor of the watch, who will activate the first steps of the plan on the basis of standing orders. Caution should be exercised to avoid involving inmates in other areas who are not implicated. Immediately thereafter, the institutional administrator and other staff members should be notified, if possible.

b. Mobilization of resources: From this point on, the plan should proceed under the command of the highest ranking officer on the premises. The disturbance should be confined to the smallest possible area at the earliest time. Precautions should be taken in the rest of the institution to avoid spread of the disorder. If necessary, as many inmates as possible should be locked in their cells until the situation can be evaluated and brought under control.

Normal operations should be resumed in areas other than the affected ones as soon as possible, for sudden unjustified custodial restrictions may

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cause a spread of tension rather than lessening it. This is a delicate matter for sound judgement by the administrator and his top staff in deciding on the lesser of the two risks.

c. Establishing control: The objective of the action is to gain first, limited, and then full control.

Often it is possible for the emergency staff to determine who the ringleaders are. 'rhey should immediately be taken from the scene and locked into cells as far apart as possible. If it is not possible to determine the leaders of the riot, inmates should be given the opportunity to leave the scene. This will generally result in departure of those who want no part in the trouble. When an emergency alarm is sounded all available staff should not rush to the scene. A reserve force should remain away from the scene to take action after the situation has been observed and evaluated. Staff who rush unguarded, unwarned, and unprepared into a spontaneous or planned group disorder are frequen·tly overpowered and injured.

Control is established for emergency reasons when hostages, if any, are released, rioters disarmed, and all inmates accounted for and locked up securely under adequate guard. Under favourable conditions this may be done in a very few hours; under the worst situation, control may not be achi.eved for days~

d .. Returning to normal: Nervous tensions of both inmates and personnel will be in a delicate state for some time after a major disturbance. It is obvious that the sooner a relatively normal atmosphere can be restored, the better. In some jurisdictions, an ad hoc inmate committee selected by and meeting with administrative personnel has proved useful in alleviating post-disorder tensions and restoring normalcy. The committee should not be allowed to develop a power-base or to engage in bargaining. The function of the committee is restricted to facilitating understanding and communica·tion.

A detailed evaluation of the situation is made by interrogation of inmates and staff participants and a thorough inspection of facilities to determine ext.ent of damages. If possible, have a photographic record made of the damage before making immediate repairs.

Additional custodial supervision should be provided in all quarters and the dining room until the disorder is completely subdued. Re-arrange the dining room schedule to provide for supervision of small groups of inmates during meals, or feed

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If the disturbance is general, or threatens to become general, caution should be the watchword. Most of the work and other programmes may be suspended for a brief time. Isolation of the actual ringleaders and segregation of others on grounds of circumstantial suspicion will remove the focal points of agitation from the rest of the inmate group and lower the emotional temperature. Just as soon as it seems safe to do so, the cautious return to work and other programmes can then begin with the objective of restoring the whole institution to normal. As a last word, principles of good management dictate that an objective critique be held for the staff after full control has been restored.

CONCLUSION

Riots and disturbances in correctional institutions occur as spontaneous outbursts, as pre-planned bids for public attention and sympathy, and as distractions for attempted escapes. The underlying causes for the destruction and/or disruptive behaviour rna¥ be related directly to the unnatural nature of the institutional environment, the typical characteristics of the inmate population, the management practices of the correctional administrator, or some policy or procedure within the institution which promotes dissension. By being alert and sensitive, the institutional administrator can .identify issues which have potential for provocation as well as the individuals - staff and inmates ·· who, inadvertently or intentionally, are agitators. Immediate and decisive action on legitimate grievances and the removal of agitators will do much to prevent major outbreaks of violence and destruction.

At times, however, riots and disturbances may result from matters which cannot be prevented or controlled by the administrator; consequently, it is imperative that each correctional institution maintain a comprehensive, detailed riot-control plan which is clearly understood and to which all emnloyees adhere in the event a riot or disturbance occurs. The administrator and the supervisory staff of the institution should review the riot control plan on a regular basis to ensure that it remains current and that every employee knows exactly what is expected of him in the event a riot or disturbance erupts.

An important consideration which must not be overlooked by the correctional administrator is his responsibility to representatives of the news media. Correctional institutions are publically supported institutions, and the administrator has the responsibility for keeping the public informed on all matters of interest. However, every precaution should be taken which will ensure that representatives

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of the media are aware of the facts as well as the potential of their reports for encouraging recurrences of similar episodes in the same institution and in other institutions.

The correctional administrator should maintain an awareness of the changing standard of living and the rising expectations in the community. Every effort to make appropriate adjustments within the correctional institution should be made. Such adjustments in the incentive pay or allowances and living conditions of inmates are important factors in the prevention of riots and disturbances. Finally, correctional administrators must maintain a constant awareness of the changing characteristics and expectations of the inmates who populate their institutions. With the increasing use of probation and parole, the percentage of hard-core offenders who are prone to violence will increase. Also, the arrest and conviction of the leaders of dissident groups will no doubt result in the incarceration of individuals who have been well trained in the techniques of organizing and agitating riots and disturbances. Unless administrators have planned for the effective neutralization of these individuals, their impact upon the corrections community may be disastrous.

Riots are complex phenomena for which simple explanations do not exist.

It is not possible to identify a cause or set of causes which will always precipitate a riot.

A correctional institution is an unnatural environment which is conducive to frustrations that may precipitate rebellion.

An inept administrator who is insensitive to frustrations among staff and inmates is a standing invitation for a riot.

Sudden or unexpected changes in institutional routines or policies may result in a major disturbance.

Discord among the institutional staff will increase the level of frustration and anxiety among inmates.

Inmates are often emotionally unhealthy individuals who may be more prone to violence and rebellion than the emotionally stable individual.

Unrest in the community is pervasive and may result in disturbances in correctional institutions.

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A written statement of institutional policy containing both the WHAT and WHY is imperative.

Rules or policies which are not or cannot be enforced and those for which there is no justification should be eliminated.

A wide variety of constructive and meaningful programmes - educational, vocational, recreational, psychological, and religious -will reduce the probability of a riot or major disturbance.

Decisive action on legitimate grievances is essential to inmate and staff morale.

A system which provides for both formal and informal communications between administrative and line personnel as well as between staff and inmates Ls an important deterrent to rebellion.

The administrator who is decisive, firm, fair and consistent demands respect from both inmates and staff.

A comprehensive staff-training programme which provides pre-service and in-service training for personnel at all levels is essential.

Relatively small sums wisely spent can result in vast improvements in the physical appearance of an institution, and this will have a positive effect on all personnel.

Each institution must maintain a comprehensive and objectively written riot plan which is clearly understood by all administrative and security personnel.

RULES NADE IN ACCORDANCE WITH THE PROVlSIONS OF SECTION 49 OF THE PRlSONS ACT, 1952

Rule 1

In t.hese Rules, unless the context othenvise requires:

"Officer" includes any person whomsoever, other than a prisoner, employed in a prison.

"Prison Officer" includes every disciplinary officer below the rank of Deputy Superintendent, a:nd every female officer below the rank of Deputy Superintendent.

''Officers of the industrial branch'' include the Assistant Supervisor of Industries, Principal Industries Officers, Chief Overseers, Senior Overseers, Engineers, Overseers and other persons appointed to supervise the labour of prisoners.

'11 Works n means any place where prisoners are or: may be employed~

!!Examining Board 11 means the Storekeeper and the Principal Industries Officer or the Chief Overseer at the principal prisons, and the Superintendent and officer acting as Storekeeper at other prisons.

"Principal Prisons" shall be the Central Industrial Prison, I•1etropolitan Remand Centre, Met.ropolitan Reception Prison, Goulburn Training Centre, Bathurst Gaol, Maitland Gaol and Parramatta Gaol.

"The Act" where appearing in these rules means the Prisons Act, 1952 (as amended) unless a contrary intention appears.

Rule 2

There shall be kept at each prison an Order Book in which shall be set out orders and instructions issued by the Superintendent of the prison. The orders shall include the specific duties of the positions in the prison and other matters affecting the administration of the prison. An officer is required t.o make himself conversant with the contents of the order book.

Rule 3

An officer shall assist the Superintendent in maintaining order and discipline in the prison. He shall obey the directions of the Superintendent and be subject to the prison rules and shall perform such duties as may be directed by the Superintendent, in addition to the duties, if any, herein prescribed to be performed by him~

\

Rule 4

An officer shall not strike a prisoner, unless compelled to do so in self-defence. In any case in which application of force to a prisoner is required, no more force than is necessary shall be used.

Rule 5 (a)

An officer who sees, hears or otherwise becomes aware of an offence against prison discipline by a prisoner shall forthwith report the offence, on the form designed for the purpose, to the Superintendent of the prison. Such first mentioned officer may lock the prisoner in a cell or otherwise restrain his communication with other prisoners prior to making such report.

Rule 5 (b)

Upon receipt of such report, the Superintendent of the prison shall carry out such investigation as he may desire as to the truth of the report and the gravity of the offence. If he is not satisfied that an offence was committed, he may return the prisoner to the ordinary routine of the prison. If he be satisfied that an offence was committed but that such offence is not of sufficient gravity to warrant charging the prisoner, he may deprive him of participation in the amenities of the prison for such period as the Superintendent deems appropriate, provided that such period shall not exceed one month without the Commissioner's concurrence.

Rule 5 (c)

If, in the opinion of the Superintendent, the report discloses an offence against prison discipline, as set out in Section 23A of the Act, he may determine the matter in accordance with the provisions of Section 23A of the Act.

Rule 5 (d)

If the Superintendent of the prison be satisfied that the complaint of offence should be determined by the Visiting Justice, he shall charge the prisoner with the offence, inform the prisoner of the charge and bring the matter before the Visiting Justice upon his next visit to the prison.

Rule 6

An officer shall, without delay, inform the Superintendent of any prisoner who desires to see him, or to make any complaint or prefer any request to him or to any superior authority.

()

Rule 7

An officer shall not use unseemly words towards prisoners or in their presence, or in or about the prison.

Rule 8

An officer shall not gossip with a prisoner, nor allow any familiarity on the part of a prisoner towards himself or any other officer of the prison, nor shall he on any account speak of his duties or of any matter of discipline or prison arrangements within the hearing of a prisoner.

Rule 9

An officer shall not speak to a prisoner unnecessarily nor shall he by word, gesture or~ demeanour do anything which may tend to aggravate or excite any prisoner, except so far as may be necessary for the proper discharge of the officer's duties.

Rule 10

An officer shall not receive any present from, nor traffic, nor have any dealings with a prisoner or the relatives or friends of a prisoner, nor shall he associate or communicate with discharged prisoners or their friends, except in so far as the proper performance of his duty requires.

Rule 11

An officer shall report for duty in a sober condition and shall not be in any way nor to any degree under the influence of liquor while on duty.

Rule 12

An officer shall not have any pecuniary or other dealing whatsoever with or on behalf of any prisoner or employ any prisoner on his private account.

Rule 13

An officer shall not knowingly allow to be brought in or carried out, to or for any prisoner, any money, clothing, provisions, tobacco, pipes, lettrers, papers, or other articles whatsoever, except in so far as the proper performance of his duty requires.

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Rule 14

An officer shall not allow any prisoner under his charge to be employed directly or indirectly for the private benefit or advantage of any person, or in any way not in conformity to the prison rules.

Rule 15

No prisoner shall be employed at or in an officer's quarters or on the grounds thereof other than in accordance with local Orders approved by the Commissioner.

No prisoner shall enter an officer's quarters except for employment.

Rule 16

An officer shall not make use or attempt to make use, for his own purposes of any Government property or material.

Rule 17

An officer shall not take a prisoner outside the walls of a prison for the purpose of labour, unless pursuant to authority issued by the Commissioner.

Rule 18

An officer of a prison shall not at any time receive any money, fee or gTatuity of any kind for the admission of any visitors to the prison or to prisoners, or from or on behalf" of any prisoner, on any pretext whatsoever.

Rule 19

A male officer or person shall uot en·ter into or remain in any of the yards, workrooms, wards, cells, hospital, or other portions of the prison allotted to females, except in the company of a female officer and while one is in attendance.

Rule 20

An officer shall use every precaution and the utmost vigilance to ensure the safe custody of the prisoners, and to prevent prisoners from holding communications with unauthorised persons.

74.

21

An officer entrusted wioch keys shall not t.ake them out of the prison, leave them lying about, or dispose of them otherwise than in accordance with rules, orders or the specific instruction of a superior officer,

RD.le 22

An officer shall observe the strictest punctuality in his hours of attendance, and shall not absent himself from duty without leave. In case of inability to attend for dutvr he shall cause a messaqe to be conveyed to the Sup;rintendent of the prison-before tbe time of which he rostered to corcunence duty~

3 * * * * * * * * * * * * * * * * * * * * * * * * * ~-'-~~=~

Rule 24

An officer shall not seek attention directly from the ~1edical Officer but shall notify tlw Superintendent, or other officer designated by the Superintendent to receive such notifications, who, in turn will inform ·the !v:ledical Officer,

Rule 25

An officer shall occupy such quarters as may be assigned to hirn1 and shall vacate such quarters at any time required by the Commissioner~

Rule 26

An officer dismissed from the Service, or transferred, or granted leave of absence prio:c to resignation or retirement shall vacate the quarters upon ceasing to perform duty at the prison to which the quarters are attached when required to do so,

Rule 27 <-~-~.

An officer occupying Government quarters shall not let lodgings in such quarte-rs on any pretext.,

Rule 28

An officer occupying Government quarters shall see that care is taken to keep the same in good order and condition and in a thorough state of cleanliness, both inside and in -t-.he yards and offices attached$ Any damage over normal wear and tear will render the officer occupying such quarters liable tD be charged with the Cost of repairs or renovations.,

Rule 29

An officer shall v1hile on duty wear the uniform of his rank provided in terms of Public Service Regulation 271.

Rule 30

All uniform, clothing, boots, and other Government St.ores issued to an officer shall remain the property of the Government 1 and sh;:1ll be produced at any time when required, or satisfactorily accounted for. An officer shall not neglect or refuse to deliver up any Government property in his possession at the time of ceasing duty.

Rule 31

An officer shall at all times carefully watch the prisoners in their various movemen-ts and employments, shall give the necessary directions thereon, and shall use the utmost vigilance to promote industry and to maintain order among them.

Rule 32

An officer shall observe the character, habits, and industry of the prisoners under his charge, carefully and impartially keep such records ordered, and shall afford at all times to h unreserved information on such subjects,

Rule 33

and shall as may be

superiors

An officer shall direct the attention of the Superintendent, to any prisoner who appears to be out of health, although he does not complain, or whose state of mind appears to be deserving of special notice or care, in order that the opinion and instructions of the Medical Officer may be taken on the case.

Rule 34

An officer shall t:ake "che utmost care to guard against accidents by fire. An officer shall report immediately any dange:c of such acciden-ts that he may observe in any part of the prison 1 and use all possible means to prevent the same. No lights or fires are to be kept burning unnecessarily or unattended.

Rule 35

An officer shall be held responsible for the proper use and preservation of all stores and public property in his custody or care. Strict economy shall. be observed in the use-of stores supplied, and ;o article shall be condemned or disposed of except in accordance wi-th the routine of the prison~

76.

Rule 36

An officer shall report to the Superintendent any breach of the Regulations, or Rules or other irregularity that may occur. Such reports, whether containing a charge against other officers or not, must be made in writing and as soon as practicable after the alleged occurrence.

Rule 37

An officer shall not make frivolous or vexatious complaints nor allow private differences to interfere with the working of the prison.

Rule 38

An officer having any request, complaint or application may approach the Superintendent in connection therewith and shall be permitted to state his case in writing to the Commissioner.

Rule 39

An officer shall not address the Commissioner except through the Superintendent, nor shall he be permitted to interview the Commissioner unless he first obtains the permission of the Superintendent.

Rule 40

An officer shall not use the institutional telephone for private purposes without approval of his senior officer.

Rule 41

Members of the family of an officer shall not have access to the officer while he is on duty unless the approval of the Superintendent be first obtained.

Rule 42

A male officer may bring into the prison any bag or parcel only as an act of grace and may be required to reveal what he has in his possession.

Rule 43

An officer shall carry out his duties with vigilance and zeal and shall, in the discharge of his duties, be liable to be called on by day or night to perform such duties as the exigencies of the Service may require.

Rule 44

An officer while on duty shall devote his whole attention to the performance of his duties and shall not do anything which would tend to distract his attention from his duties. He shall not smoke while on duty. He shall not leave his post until duly relieved, or by permission. On being relieved from any particular duty, or transferred to another, he shall point out to his successor all matters of special importance connected with his duties and explain any directions of the Superintendent, or other superior officer, affecting the duties of the post or any particular prisoner.

Rule 45

An officer in charge of a labour party shall be responsible that the prisoners are industrious and orderly, and that the work is properly executed.

Rule 46

An officer shall have charge of and be responsible for all tools and implements of any kind which are in use by the party or for the works which he supervises and shall keep proper account of the same.

Rule 47

An officer shall not allow any unauthorised person to interfere in any way with the working party under his control, nor to hold communication with or give or pass anything to a prisoner. He shall promptly order away any person apparently loitering about the gaol or working party. (See also Section 38 of the Act).

Rule 48

An officer shall prevent all improper communications between prisoners themselves or between prisoners and civilians. On proceeding with prisoners given into his charge, the officer in charge of each party shall count the number of prisoners therein, as they are told off. Such officer shall be held responsible for the safe custody of such prisoners. The officer in charge of parties of prisoners working outside the prison walls shall properly search the prisoners on returning into the prison to ascertain that they have not prohibited articles in their possession.

Rule 49

An officer shall exercise the utmost vigilance in the custody and surveillance of the prisoners under his charge. He shall use every precaution to prevent prisoners from escaping and shall not part with the custody of a prisoner, unless by disposing of him according to

78.

Orders, or handing him over to another officer. No prisoner shall be allowed to leave his fixed working place and go to another part of the prison without a pass signed by the officer in charge of such prisoner, and stating the place to which, or person to whom, he is sent, and no officer shall allow any prisoner beyond his post without examining and initialling the pass.

Rule 50

An officer shall take all steps within his power to ensure observance of the Act, Regulations, Rules and Orders.

Rule 51

An officer shall be watchful to detect and prevent any person secreting articles for the prisoners on the works or elsewhere about the prison, and shall immediately report any such occurrence. He shall especially guard against clothing being left about in places accessible to the prisoners, and shall report at the earliest opportunity any suspicious circumstances of this kind, or the loitering of suspicious persons about the prison or the works that they may have observed. He shall seize all unauthorised articles and deliver them to the Superintenden-t forthwith.

Rule 52

An officer shall see that no ladders, planks, ropes, chains, tools, iron, implements, articles or material of any kind likely to facilitate escape are secreted, left unsecured, or unattended at any time in any part of the prison. He shall report immediately to the superior officer when keys, knives, loose tools or similar articles are missing.

Rule 53

When a prisoner enters a lavatory, the officer in charge of him shall take care that the prisoner is not absent for an unreasonable time.

Rule 54

An officer shall, on completion of duty each day, complete the record of attendance and duty for that day.

OFFICERS ON ARMED DUTY

Rule 55

When an officer is on an armed post, he shall carry such arms as the Superintendent may direct and no other; at no other time will he carry arms within the prison or in the presence of prisoners.

Rule 56

An officer on armed duty shall at all times be alert. While he shall abstain from using his arms without sufficient occasion, he shall understand i·t to be his duty to prevent escape, either by individual a·ttempts of prisnners, or by general riot leading to such attempts, and to protect the unarmed officers.

Rule 57

An officer on an armed post shall not go among the prisoners nor allow a prisoner ·to approach him within ten paces, nor to get behind him, nor out of his sight, nor shall he in any way place himself in a position to be attacked.

Rule 58

An officer on duty on a tower or wall shall keep a look out over the prison generally and must give notice of any irregularity he may observe on the part of any prisoner or other person within his range of vision. He shall give assistance to other officers but without leaving his post, except when ordered by a superior officer.

Rule 59

An officer on tower duty, before entering the Tower House, shall signal to the sentry on the adjacent tower and notify the officer or officers on the ground posts in the vicinity, and shall place a red flag in position.

Rule 60

An officer on armed duty shall be responsible that his arms and ammunition are in proper order and ready for use, and shall be careful in handling them that no accidents may occur. He shall not deface arms or equipmen·t, nor make any al t.erations in them without authority.

Rule 61

An officer commencing armed du'cy shall examine his arms and ammunition in the presence of the officer from >vhom he receives them and shall bring to the attention of such officer, any weapon or ammunition, which, in his opinion, is defective. Upon return of arms and ammunition after duty they shall be examined by the Gatekeeper.

80.

The Superintendent ... (which jncluaes the gaoler, or officer in chargeY ·

Rule 62

The Superintendent is responsible to the Commissioner for the conducting and supervising of the entire service of the prison within the policies of the Department.

Rule 63

The Superintendent shall report promptly to the Commissioner any escapes, attempts or preparations to escape, assaults, serious acts of misconduct, discovery of a plot, or dangerous tools in the possession of a prisoner, fire, accidents, or any other occurrence of importance.

Rule 64

The Superintendent shall report to the Commissioner any irregularity on the part of an officer of the prison. Such report shall be in writing and accompanied by a statement in reply by the officer concerned,.

Rule 65

The Superintendent shall report in writing, the circumstances to the Commissioner where any subordinate officer is found to be unfit for the full duties of his office.

Rule 66

The Superintendent's powers of suspension of officers are l•aid down in Section 56 of the Public Service Act, 1902, and apply only to permanent officers whose appointments have been confirmed.

Rule 67

The Superintendent shall enter in a book all his orders relative to the management and discipline of the prison, and shall cause such orders to be communicated to the proper officers. He shall place the book before the Commissioner at each visit of inspection.

8L

Rule 68

The Superintendent shall keep a Journal in the form prescribed in which he shall personally record any occurrence of importance and any departure from the Rules, Regulations and Instructions and the particulars and cause thereof. He shall also set forth periods and reasons of his absence from the gaol during ordinary working hours. If he omits to perform any duty or routine prescribed, he shall record the omission in his Journal with the cause thereof. He shall place his Journal before the Commissioner on his visits to the prison.

Rule 69

The Superintendent shall afford to all authorised inspecting officers, full information on matters connected with the prison, and shall give them free access to all parts of the prison, and shall submit the prison books and records for their examination.

Rule 70

The Superintendent shall inform the Minister of Justice, the Visiting Justice, the Commissioner and the Deputy Commissioner, when they visit the gaol, of the desire of any prisoner or officer to interview them.

Rule 71

The Superintendent shall not, except with the approval of ·the Commissioner, be absent from the prison at the same time as the Deputy Superintendent. When absent, except by leave, he shall arrange with and notify the Deputy Superintendent before leaving the prison where he may be found, should an emergency arise requiring his attention. He shall, before leaving the prison at any time, give over the charge of it to the Deputy Superintendent, or the officer acting as Deputy Superintendent, but the omission of such delivery shall not justify the officer concerned in neglecting the charge if he is aware that the Superintendent is actually absent from the prison.

Rule 72

The Superintendent shall daily hear all reports, requests, or complaints that may be made to him. He shall take care that every prisoner having a complaint or request to make, shall have facilities for doing so.

(_)

Rule 73

The Superintendent shall be the medium of communication between the superior authority and the officers and prisoners under his charge, and shall forward without delay to the Commissioner, any report, petition or complaint he may receive, with his remarks and recommendations thereon.

Rule 74

The Superintendent shall take the best means at his disposal to make foreign prisoners acquainted with the Regulations for prisoners.

Rule 75

The Superintendent shall, without delay, call the attention of the Medical Officer to any prisoner whose state of mind or body appears to require attention.

Rule 76

The Superintendent shall see, when a prisoner is suffering from injury or severe illness likely to terminate fatally, that proper steps are taken to secure the prisoner visits from the Minister of the religious persuasion to which such prisoner may belong, and corrununicate his condition to his relatives if their addresses are known or can be ascertained.

Rule 77

The Superintendent shall, without delay, report to the Commissioner:

(a) any case of insanity occurring among the prisoners,

(b) any case in which the Medical Officer is of the opinion -

(i) that the life of any prisoner will be endangered by further imprisonment;

(ii) that any prisoner is totally and permanently unLit for prison discipline, or any case in which the medical officer has reason

Rule 78

to believe that the mental state of any prisoner is becoming impaired or enfeebled by continued imprisonment.

The Superintendent shall, on the death of a prisoner in addition to complying with Section 43 of the Act, immediately give notice to the Police and the Commissioner and, if practicable, to the friends and relatives of the prisoner, and shall report to the Commissioner in respect of any inquest of a prisoner, the finding of ·the Coroner or other circumstances which may occur at the inquest.

83.

Rule 79

The Superintendent shall at least once during the week, go through the prison at an uncertain hour of the night, which visits, with the hour and state of the prison at the time, he shall record in his Journal.

Rule 80

The Superintendent shall require reports to be made to him accounting for all prisoners in his cusotdy, night and morning, at the opening and closing of the prison, at such hours as they go to and return from labour, and at such other times as may be necessary.

Rule 81

The Superintendent shall permit visi t·s to the prisoners in accordance with the Regulations and Rules, and shall see that proper entries concerning the visitors are made in the book provided for that purpose.

Rule 82

The Superintendent may ask visitors to prisoners to submit to being searched if he has good grounds to suspect an attempt to introduce prohibited articles. In the event of any visitor to a prisoner refusing to be searched, the Superintendent may deny his admission, recording the fact in his Journal. If he has reasonable grounds for suspecting that any visitor who has been admitted within the prison for the purpose of seeing a prisoner has committed or purposes to commit any act subversive of law and order, he may suspend the visit of such person, recording the fact in his Journal and reporting it to the Commissioner.

Rule 83

The Superintendent may examine or cause to be examined all persons and vehicles going in or out of the prison and may exclude any person who refuses to be examined.

Rule 84

The Superintendent may, where there is improper conduct, cause to be removed from the prison any visitor to the prison, or to a prisoner.

Rule 85

The Superintendent shall take measures that every prisoner who is discharged from prison under the provisions of the Crimes Act, the Habitual Criminals Act, the Maintenance Act or the Parole of Prisoners Act, shall be made fully acquainted with his obligations and liabilities under these Acts, and any special conditions imposed 1n connection with such discharge.

The Superintendent shall report immediately to the Police and the Commissioner the escape of any prisoner, giving a description of the prisoner, and such other information as may from time to time be directed by the Commissioner.

Rule 87

The Superintendent shall co-operate fully with other officers in putting into effect training programmes approved by the Commissione:t· and, by the exercise of his authority, assist the part-time officers in the proper carrying out of their functions.

THE DEPUTY SUPERINTENDENT OR OFFICER NEXT IN RANK TO THE SUPERINTENDENT

Rule 88

The Deputy Superintendent or officer next in rank to the Superintendent shall, in the absence of the Superintendent, have the charge of the prison and be responsible in like manner as the Superintendent .. Upon the Superintendent's return after absence he shall promptly inform him of all matters affecting the management of the prison which have occurred during such absence.

Rule 89

The Deputy Superintendent shall reside in the quarters provided and shall not be away from communication with the orison during the absence of the Superintendent. ~ithout the sanction of the Commissioner. P.ule 90

The Deputy Superintendent shall be responsible to the Superintendent for the due order and discipline of the prison, and shall report to the Superintendent any irregularity that may come under his notice, or any other matter that requires attention by the Superintendent.

P.ule 91

The Deputy Superintendent shall, under the Superintendent, have charge of the subordinate officers, and shall take care that they are properly instructed in their duties and in the use of their arms.

Pule 92

The Deputy Superintendent shall be present at all staff parades each day and before permitting the officers to take up their respective posts shall assure himself that they are fitted in all respects for the duties required of them.

P.ule 93

The Deputy Superintendent shall keep a Journal in which he shall enter any breach of Regulations, Rules or Orders and particulars of any unusual occurrence.

8 5.

Rule 94

The Deputy Superintendent shall, at least once during the week, go through the prison at an uncertain hour of the night, which visits, with the hour and state of the prison at the time, he shall record in his Journal.

Rule 95

The Deputy Superintendent or the Roster Clerk shall prepare the duty roster and place a list in the gate lodge for the information of the prison officers as early as is practicable in the light of local conditions.

Rule 96

The Deputy Superintendent shall keep a daily duty book in which the duty performed by each prison officer is to be duly entered.

Rule 97

The Deputy Superintendent shall receive all applications for leave and other reports from officers and transmit them with his report to the Superintendent.

Rule 98

The Deputy Superintendent shall visit frequently, all parts of the prison without notice and see that the prisoners are orderly and industrious and the officers are alert.

Rule 99

The Deputy Superintendent shall be present at and conduct musters, unless otherwise directed by the Superintendent.

Rule 100

The Deputy Superintendent shall superintend the arrival and departure of prisoners, and shall see that all prisoners' property is duly accounted for. He shall see that all warrants, papers, and like documents, are correct, and that prisoners for escort are handcuffed and clothed as required by the Regulations, Rules and Orders.

CJ

86~

Rule 101

The Deputy Superintendent shall prepare daily and submit to the Superintendent, a statement of all prisoners in the prison.

RulP 102

The Deputy Superintendent~ shall take care that no prisoner is employed outside the prison unless the Commissioner approved and the prisoner is employed at labour for which approval has been qiven,

He shall see that a proper and sufficient guard is furnished to every gang sent to labourt and that the officers are acquainted with the special orders appertaining to each post.

Rule 103

The Deputy Superintendent shall initial or cause to be initialled, each letter received for or written by a prisoner and shall ensure that the prescribed records are kept. In case of doubt as to the admissibility of any kind of mail matter for prisoners he shall apply to the Superintendent for instructions~

Rule 104

The Deputy Superintenden'c shall at the parades of officers see that the keys of the prison are duly issued, collected, or accounted for by the Principal Prison Officer, and shall report to the Superintendent, whether the key delivery is correct or otherwise.

THE PRINCIPAL PRISON OFFICER

105

The Principal Prison Officer shall be the officer next in authority to the Superintendent and Deputy Superintendent, and during their absence shall have charge of the prison.

Rule 106

The Principal Prison Officer shall, under the Deputy Superintendent 1 have char9e of Jche prison officers and the maintenance or order, discipline, and efficiency of the prison officers devolved upon him~

u

8 7.

Rule 107

The Principal Prison Officer shall see that the prisoners are searched in accordance with the Rules and Orders.

Rule 108

The Principal Prison Officer shall pay particular attention to order, discipline, security and cleanliness of the prison.

Rule 109

The Principal Prison Officer shall frequently visit all parts of the prison and satisfy himself by inquiry and examination as to the security and good order of the prison.

Rule 110

The Principal Prison Officer shall check the musters and roll calls of prisoners as required by local arrangement and report to the Deputy Superintendent.

Rule 111

The Principal Prison Officer shall see that immediately after unlocking each morning and at other times when necessary, the names are taken of prisoners who desire or require medical attention, and shall, on the visit of the Medical Officer, attend with such prisoners.

Rule 112

The Principal Prison Officer shall see that the Superintendent's directions in connection with the prisoners' requests and complain·ts are duly attended to.

Rule 113

The Principal Prison Officer shall accompany the Superintendent on his rounds of the prison and carry out instruction received from the Superintendent.

Hule 114

In the temporary absence of the Deputy Superintendent, the Principal Prison Officer shall personally attend to all duti(eS usually performed by the Deputy

r rint-Pn _,-r rl "<;rill HIT-, lik !PS)Onf-1i 1 i<l._v~

Rule 115

The Principal Prison Officer shall, at the morning parade of officers, issue the keys of the various posts to the officers concerned, and shall, at the evening parade, collect the keys and report the result to the Superintendent.

Rule 116

The Principal Prison Officer shall assist the Deputy Superintendent and perform such other duties as the Superintendent may direct.

Rule 117

The Principal Prison Officer shall, after the prisoners have been locked up for the night, make a careful examination of the prison, and shall assure himself that all wings, cells, and other doors are locked. He shall report the result of his examination to the Superintendent.

THE CHIEF PRISON OFFICER

Rule 118

At any principal prison at which a Principal Prison Officer is not stationed, the Chief Prison Officer shall carry out the duties provided herein for a Principal Prison Officer and shall have like responsibilities.

Rule 119

At prisons where both a Principal Prison Officer and a Chief Prison Officer are stationed, the Chief Prison Officer shall collaborate with the Principal Prison Officer in the supervision of the prison and shall have like duties and responsibilities but shall be subordinate to the Principal Prison Officer.

THE SENIOR PRISON OFFICER

Rule 120

A Senior Prison Officer on day duty shall perform such duties as are laid down in Orders for the post upon which he is rostered.

Rule 121

A Senior Prison Officer, on night duty, shall have charge of the watch. At the time of taking charge

!- "\

~)

8 9.

of the prison he shall examine all locks, bolts and doors. During the watch he shall frequently visit all parts of the prison and see that the prison is quiet and orderly and the sentries are alert and attentive to their duties.

Rule 122

A Senior Prison Officer on night duty shall keep a Log Book in which he shall enter at or shortly after the time of occurrence, particulars of the duties performed during the watch, the names of officers and other persons who visit the prison during the watch and the time of such visits, the numbers or names of any prisoners whose cells he visited for the purpose of attending to a prisoner therein and full particulars of any unusual or suspicious occurrence, or of any departure from the ordinary routine during the watch.

Rule 123

The Senior Prison Officer in charge of the night watch shall, each morning, obtain the keys of the prison from their authorised pla,ce and hand them over to the care of the prison officer in charge of the gate for delivery to the appropriate officer at 7.00 a.m. The Senior Prison Officer in charge of the night watch shall obtain the prison keys at 5.00 p.m. each day and shall lock them, with the exception of the night keys, away in the approved place.

The Senior Prison Officer shall retain the night keys in his possession until relieved by the Senior Prison Officer on the next watch. Provided that when there is occasion to enter a wing, hospital or other place where prisoners are confined, he shall hand the keys to another officer who shall, after the Senior Prison Officer has entered the building, lock the grille door on the outer side and remain in position to protect the Senior Prison Officer during the time that such officer is within the building.

Rule 124 -~-~

The Senior Prison Officer shall, before permitting the officers of the watch to take up their posts, assure himself that they are fit in all respects for the duties required of them.

Rule 125

During the watch, he shall visit each sentry at least once every half hour, or at such other intervals as the Superintendent directs, unless prevented by other duties. His visits shall not be evenly spaced but at irregular intervals and he shall record the

(

( \ v

times of such visits in the Log Book.

PRISON OFFICERS ON NIGHT DUTY

Rule 126

A Prison Officer performing night duty is an armed officer. A Prison Officer on duty on night watch shall patrol his allotted post and carry out the duties assigned to him. He shall signal the Senior Prison Officer and report at once all suspicious moves and occurrences. He shall challenge anyone approaching his post after sundown and ascertain who the person may be before allowing such person to pass. He shall test all locks on his post to see that they are secure. When another officer enters a wing, hospital or other building where prisoners are confined, he shall protect such officer in accordance with the routine laid down in Rule 123.

Rule 127

A Prison Officer on duty during prisoners' meal hours shall perform the duties and have the responsibilities provided in Rule 126 for a Prison Officer performing night duty.

PRISON OFFICERS IN CHARGE OF \'VINGS, \'lARDS, HALLS OR RANGES

Rule 128

A Prison Officer in charge of a wing, ward, hall, or range, shall be held responsible for the cleanliness of the wing, ward, hall or range, and exercise yards adjacent thereto and the cleanliness, good order, sufficiency and laundering of the bedding, clothing and utensils and the safe custody of all property under his care. He shall attend as directed to the searching of cells and to the good order and security of the prisoners. He shall keep under strict supervision, all prisoners working under his control, or entering or leaving the wing, ward, hall or range. He shall see that the wing store cells are not accessible to prisoners withou·t supervision and that the wing register, prisoners' muster roll and muster book are correctly maintained and securely locked avmy, except \vhen in his personal possession and required for use.

Rule 129

A Prison Officer in charge of a wing, ward, hall or range shall, at each let~go, check all prisoners under his control and immediately repor-t any

()

irregularity to the Deputy Superint.endent.

Rule 130

A Prison Officer in charge of a wing, ward, hall or range shall submit his "Wing Sta·te" to the Deputy Superintendent at the nominated time.

Rul,c' 131

A Prison Officer in charge of a wing, ward, hall or range, shall lock the door of his wing, ward, hall or range on any occasion upon which he leaves the wing, ward, hall or range.

Rule 132

A Prison Officer in charge of a wing, ward, hall or range, shall at the time of inspection of his wing, \vard, hall or range, report on its condition and the number of prisoners actually in the cells at the time of inspection.

Rule 133

A Prison Officer in charge of a wing, ward, hall or range, shall display in the appropriate form, lists of the amenities to which each prisoner in that wing, ward, hall or range is entitled.

PRISON OFFICERS ON GATE DUTY

Rule 134

The Prison Officer on gate duty shall not admit any person at any time \vho is not properly authorised, unless by direction of the Superintendent, and shall not permit any unofficial visitor to pass into the prison unless accompanied by an officer. He shall not allow to pass out of the prison, any subordinate officer who has entered upon duty, without. the sanction of the Superintendent.. He shall keep a record daily of all persons, other than the officers of the prison, who may pass through the gate. He shall see that an officer accompanies each vehicle which enters the prison, and shall carefully search all vehicles before allowing them to enter or leave the prison and shall record the registration number of each such vehicle. He shall see that no articles are passed out other than those mentioned in gate passes, and shall examine all articles left for prisoners. He shall refer, without delay, all enquiries by visitors and prisoners' friends to a superior officer unless he can deal with them himself

/' -~~

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and shall treat all visitors with courtesy.

Rule 135

The Prison Officer on gate duty shall be responsible for the custody and care of the arms, ammunition, handcuffs and other contents of the prison armoury. He shall ensure that arms in daily use are securely kept separately from the reserve of arms. He shall check daily, the arms in daily use as to identification and ammunition and shall check the reserve of arms at monthly intervals. He shall maintain records of arms in stock and of arms in use.

Rule 136

The Prison Officer on gate duty shall check that the prisoners who pass through the gate for employment outside the prison, return into the prison upon completion of such employment. He shall arrange that such prisoners, after they have been admitted between the gates, shall be searched for unauthorised articles.

Rule 137

The Prison Officer on gate duty shall be responsible for cleanliness and good order at the gate and in its immediate vicinity. He shall examine all articles carried into or out of the prison and may stop any person suspected of bringing in spirits or other prohibited articles, or of carrying out any property belonging to the prison, giving immediate notice thereof to the Superintendent.

The attention of the Prison Officer on gate duty is particularly directed to Sections 37 and 38 of the Act.

Rule 138

The Prison Officer on gate duty shall not open the gate between the hours of 5.00 p.m. and 7.00 a.m. until he shall have ascertained the identity of the person seeking admission, and have satisfied himself as to his right to be admitted.

PRISON OFF'ICER IN CHARGE OF PRISON HOSPITAL

Rule 139

The Prison Officer in charge of the hospital shall be responsible for the discipline and security of the inmates in the hospital. He shall, at prisons other than those where permanent nursing staff is in attendance, attend to all instructions that may be C!iven him as to their medicine, diet and treatment.

)

0

93.

Rule 140

The officer in charge of the hospital shall see that the hospital patients are washed, that their bedding and clothing is clean and ample, and that the hospital generally is tidy and in proper order. Should the symptoms of any patient appear to him to become aggravated, he shall at once report to the Superintendent.

Rule 141

The Prison Officer in charge of the hospital shall keep a record of prisoners in general or base hospitals.

PRISON OFFICER IN CHARGE OF KITCHEN

Rule 142

The Prison Officer in charge of the kitchen shall see that the kitchen is maintained in the highest state of cleanliness, that all utensils used in the kitchen are in a clean and sanitary condition and that the prisoners employed therein are clean, orderly and diligent.

Rule 143

The Prison Officer in charge of the kitchen shall be responsible for the safe keeping of all provisions, cutlery, crockery and utensils issued to the kitchen.

Rule 144

The Prison Officer in charge of the kitchen shall ensure that the food is wholesome, carefully prepared, thoroughly cooked, properly served and equitably distributed in accordance with the ration scales.

Rule 145

The Prison Officer in charge of the kitchen shall take steps to prevent any food being passed out of the kitchen in any unauthorised or irregular manner.

Rule 146

The Prison Officer in charge of the kitchen shall have general responsibility as to the adequacy and maintenance of the plant and utensils in the kitchen.

•

94.

Rule 147

'rhe Prison Officer in charge of the kitchen shall see that all prisoners employed in the kitchen are at all times properly dressed as directed by the Commissioner from time to time.

Rule 148

The Prison Officer in charge of the kitchen shall be responsible that the refuse from the kitchen is dealt with in accordance with local arrangements approved by the Superintendent.

Rule 149

The Prison Officer in charge of the kitchen shall keep a Ration Book in which the numbers and names of prisoners shall be entered with the ration allowed by the Regulations.

OFFICERS OF THE INDUSTRIAL BRANCH

Rule 150

Officers of the Industrial Branch, in like manner as other officers, shall be subject to instructions and orders and have the like powers and responsibilities as to safe custody and maintaining discipline. They shall observe the rules laid down for the guidance of officers in general and shall carry out all orders received from superior officers.

Rule 151

An officer of the Industrial Branch shall use his endeavours to train prisoners in habits of industry and in occupational skills.

Rule 152

An officer of the Industrial Branch shall examine carefully the work performed by the prisoners under his charge and shall be held responsible that faulty work is not passed.

Rule 153

An officer of the Industrial Branch shall be responsible for the discipline and good order of the prisoners under his charge, and that the work allotted them is properly and expeditiously performed, and that prisoners do not loiter about the shops or cease work before the proper time.

0

95.

Rule 154

An officer of the Industrial Branch shall keep account of all work performed as well as of the conduct of the prisoners and shall make such returns and reports as may be required by the Superintendent. He shall furnish work sheets and indulgence sheets to the Superintendent at weekly intervals.

Rule 155

An officer of the Industrial Branch shall strictly adhere to the rules, rates and conditions in the Labour Schedule approved by the Commissioner as to earnings and indulgence for prisoners under his charge, and he shall be responsible that a prisoner is not given monetary credit for work actually performed by such prisoner.

Rule 156

An officer of the Industrial Branch shall attend all labour musters when he shall check the prisoners told off to his charge. He shall conduct such prisoners to their place of labour as ordered and shall remain with them during the day, unless duly relieved. He shall see that all prisoners u6der his charge are present at the labour musters on cessation of work or shall immediately report any absentees.

Rule 157

An officer of the Industrial Branch shall accurately keep the prescribed records and shall be responsible for the safe keeping and preservation of all tools, machinery and equipment, provided and issued for his use.

Rule 158

An officer of the Industrial Branch shall keep a correct record of the quantity of material received and expended in the manufacture of the various articles under his supervision.

Rule 159

An officer of the Industrial Branch shall be held responsible for the proper use of the material issued to him and for any want of economy which he may permit to take place in connection with his department.

Rule 160

An officer of the Industrial Branch shall not permit any article to be manufactured, altered or repaired without an order issued by the Storekeeper, signed by the Superintendent, and initialled by the Chief Overseer.

Rule 161

An officer of the Industrial Branch shall suggest any improvements or alterations that may tend to promote the industries under his direction.

Rule 162

An officer of the Industrial Branch shall comply with all instructions issued in relation to stores accounting and shop stocks.

Rule 163

An officer of the Industrial Branch shall on each working day before the commencement of work examine the machinery under his charge to ensure that all safety guards and equipment are operative and properly maintained.

Rule 164

An officer of the Industrial Branch shall at, or after, the cessation of work at midday and evening daily, pay particular attention to the possibility of fire and ensure that everything in the shop is secured and in order.

THE PRINCIPAL INDUSTRIES OFFICER

Rule 165

The Principal Industries Officer shall, under the Superintendent and the Depu·ty Superintendent, have control of the officers of the Industrial Branch of the Prison. He shall direct the work in the shops and on the agricultural area, and when required to do so, shall supervise the works of construction and repair.

Rule 166

The Principal Industries Officer shall be responsible to the Superintendent for the allocation of prisoners to employment in accordance with the Act and Regulations. He shall keep adequate records of the placement and location of all inmates of the institution.

'\

Rule 167 --~.~~. ~~

The Principal Industries Officer shall receive from the Superintendent. all order> for prison manufactures. He shall examine and initial such orders as an indication that he has seen them. He shall forthwith transmit them to the appropriate shop overseer and where necessary, confer with him in regard to manufacture. He shall promptly advise the Superintendent of any defect in any order or any difficulties experienced with labour, materials or plant and should take whatever steps are necessary to overcome such difficulties in order to ensure the efficient execution of the order.

Rule 168

The Principal Industries Officer shall keep such books and records as are necessary to properly account for stores and shop stocks. He shall comply with instructions as are issued from time to time in regard to same and furnish estimates, returns or reports as may be required by the Superintendent.

Rule 169

The Principal Industries Officer shall report to the Superintendent any neglect of duty or inefficiency on the part: of the officers under his charge. He shall be responsible to bring to the notice of the Superintendent any staff matter considered likely to affect the smooth and efficient operation of works under his control.

Rule 170

The Principal Industries Officer shall report to the Superintendent if, in his view, there is necessity for changes or improvements in the works under his controL

Rule 17

'fhc Principal Industries Officer shall check all work sheel:s and indulgence sheets before submitting them to the Superintendent for approval. He shall see that all credit:s of earnings and indulgence are accurately computed, and are credited in accordance with Labour Schedule or special approval of the Commissioner. He shall exercise supervision over the allocation of work and shall investigate any marked fluctuations of "a:cnings. He shall be responsible t.o ensure that articles listed on the work sheets have been actually manufactured and sent ·t:o the Store. He shall rccocommend the ration ·to which each prisoner is entitled under the Regulations by reason of the nat:u:ce and type of his employment.

Eule 172

The Principal Industries Officer shall take stock in the various >vorkshops in the manner for the time being prescribed and shall report promptly in writing to the Superintendent the result of his examination. He shall so arrange his stoektaking that he shall have checked each line in each shop a'c least twice in each period of twelve months at intervals of not less than five months. He shall be careful to prevent waste of material in any branch of work in the prison.

Hule 173

The Principal Industries Officer shall supervise the handing over of shop stocks when there is any change in the officer in the shop and shall satisfy himself that all lines are checked and the card balances initialled.

Rule 174

The Principal Industries Officer shall frequently and at uncertain t,imes visit the shops, works and agricultural areas under his control and see that prisoners are orderly and diligent and that the supervising officers are performing their duties in a proper manner.

Rule 175

The Principal Industries Officer shall supervise all works, musters and after all prisoners have left the workshops at noon and at 4.00 p.m., satisfy himself by inquiry of the Overseer in charge of each workshop, and, if necessary, by investigation, that every'ching is secured and in order. (See Rule 164)

RulR 176

A.t any principal prison at which a Principal Industries Officer is not stationed, the Chief Overseer shall carry out the duties provided herein for a Principal Industries Officer and shall have like responsibilities.

Rule 177

A.t prisons where both a Principal Industries Officer and a Chief Overseer are stationed, the Chief Overseer shall collaborate with the Principal Industries Offieer in the control and supervision of the officers of the Industrial Branch of the Prison, and shall have like duties and responsibilities, but shall be subordinate to the Principal Industries Officer.

THE ENGINEER

Rule 178

The Engineer shall be responsible for the proper supervision and maintenance of the cooking, heating, lighting, water sanitary and washing and other like services of the prison.

Rule 179

The Engineer shall have charge of all boilers and engineering equipment and shall be held responsible for their proper care and condition and that they are properly accounted for, protected and used.

Rule 180

The Engineer shall have charge of the fire fighting appliances and shall see that fire hoses and buckets and extinguishers in different stations in the prison are serviceable and in good condition.

Rule 181

The Engineer shall perform such other duties as may be assigned to him from time ·to time.

Rule 182

The Engineer shall have general responsibilities as to security and the maintenance of order in respect of prisoners employed under his charge.

THE OFFICER IN CHARGE OF THE FARM

Rule 183

The Officer in Charge of the farm shall have general supervision of the farm, garden, livestock and crops. He shall supervise all work on the farm under the direction of the Superintendent, make proper requisition for all materials and food for the farm and stock, keep records of vegetables, forage, stock and milk and be responsible for the maintenance and safekeeping of all farming tools and implements in his charge.

Rule 184

The Officer in Charge of the farm shall be responsible for the planting of the crops to be grown and for the breeding programme of livestock.

100.

Rule 185

The Officer in Charge of the farm shall have general responsibilities in relation to security and to the maintenance of order in respect of prisoners employed under his charge.

FEMALE OFFICERS

Rule 186

The Rules relating to male officers shall apply mutatis mutandis to female officers in so far as the circumstances of a prison or section of a prison for female prisoners permits.

THE VISITING JUSTICE

Rule 187

The Visiting Justice is required to visit the prison at specified intervals to hear and determine all complaints awaiting adjudication, and, where the character of any reported offence may involve punishment beyond his power to inflict, to obtain the assistance of another Justice.

Rule 188

The Visiting Justice shall permit no publicity to be given to cases adjudicated upon within the prison.

Rule 189

The Visiting Justice shall from time to time inspect the prison and interview such prisoners as have expressed their desire to see him.

Rule 190

While the Visiting Justice shall see that discipline is strictly enforced, and shall support the officers in the exercise of their authority, he shall take care that the prisoners are not subjected to any partial, harsh or tyrannical treatment.

Rule 191

The Visiting Justice shall, on the first day of each month, make a report in writing to the Minister of Justice and he shall accompany his report with a return of all punishments inflicted by him in the prison for the preceding month.

L'\ ;

101.

THE MEDICAL OFFICER

Rule 192

The Medical Officer shall attend the prison regularly and as frequently as necessary. He shall attend at once whenever called upon by the Superintendent of the prison.

Rule 193

The Medical Officer shall examine every prisoner as soon after reception as possible and record the state of health and such other circumstances connected therewith as may be necessary.

Rule 194

The Medical Officer or any member of the Medical Staff shall give immediate notice to the Superintendent when the sickness of any prisoner appears to him to assume an aspect of danger to life or to the welfare of officers or other prisoners.

Rule 195

Whenever the Medical Officer is of opinion that the life of any prisoner will be endangered by his continuance in prison, or that any sick prisoner 1vill not survive his sent,ence, or is totally and permanently unfit for prison discipline, he shall state the opinion and the grounds thereof, in writing, to the Superintendent, who shall immediately fonvard the same to the Commissioner.

Rule 196

The Medical Officer shall inform the Superintendent of the case of any prisoner who should not, on medical grounds be employed at work of a particular nature.

Rule 197

The Medical Officer shall enter, day by day, on a prisoners' medical history card to be kept in the prison, an account of the state of every sick prisoner, the name of his disease, a description of the medicine and diet, and any other treatment which he orders for such prisoner. T'he prisoners' medical history card should accompany him upon transfer to another prison.

()

Rule 198

When required, the Medical Officer shall inspect the food, cooked and uncooked, of prisoners and shall report to the Superintendent as teo· the quality of the provisions. He shall, upon his own initiative or upon request, report also as to the sufficiency of clothing, bedding, the quantity and quality of the water, or any other cause which may affect the health of the prisoners.

Rule 199

When the Medical Officer has any reason to suspect that the mental state of any prisoner is impaired or enfeebled, he shall place the prisoner under his special observation, and should there be good reason to believe that, either from the conduct of the prisoner, or from his manner and habits, there are signs of incipient insanity, he shall report the circumstances to the Superintendent icor the information of the Commissioner.

Rule 200

~ehe Nedical Officer shall closely observe and frequently examine all prisoners who may be placed in observation cells or wards and those separately confined in terms of Section 22 of the Act.

Rule 201

The Medical Officer shall, on the death of a prisoner, enter in his journal at what time deceased was taken ill, when the illness was first reported to him, the nature of the disease, when death occurred, appearances after death (where post~mortem examination is made) ,together wi ·th other remarks required to be noted, and report the same to the Snperintendent.

Rule 202

The Medical Officer shall provide medical attention, free of cost, to all officers who are sick on duty. Such medical attention will only be provided to enable an officer to remain on duty.

Rule 203

The Iv1edical Officer shall report, as required by the Superintendent, on the health of any officer or prisoner or any other matter.

Rule 204

The JV!edieal Officer, if prevented from attending to his duties by illness or any other cause, shall communica"ce the circumstances without delay to the Superintendent., and shall submit the name and address of a substitute for approval, and shall in like manner, when applying for leave of absence, submit the name of a substitute who shall perform

'1 ' '

103.

Rule 205

Where the Medical Officer is also appointed Dispenser, he shall conform to the rules prescribed for the guidance of Dispensers.

Rule 206

The Medical Officer shall keep such statistical records and furnish such returns as may be directed, relative to the medical treatment of officers and prisoners.

Rule 207

The Medical Officer shall hand to the Superintendent for attachment to the papers of any prisoner in bad health, transferred from the prison, a memorandum of the particulars of his diagnosis and treatment.

Rule 208

The Medical Officer shall conform to the Prisons 1\.c·t Hules and Regulations.

Ru 209

No serious operation shall be performed by the Medical Officer without a previous consultation with another medical practitioner, except under urgent circumstances not admitting of delay; provided that no operation shall be performed without the prisoner 1 s consent, or in the case of a minor, that of his relatives, subject always to the terms of Section 16 of the Act~

Rule 210

The Medical Officer shall give directions in writing for separating from the other prisoners any prisoner labouring under any infectious or contagious disease, or suspected thereof, and shall take steps to prevent the spread of any such disease.

THE DISPENSEH

Pule 211

The Dispenser shall attend at the prison during such hours as may be directed by the Superintendent.

104.

Rule 212

The Dispenser shall be responsible for the cleanliness and general order of the Dispensary.

Rule 21

The Dispenser shall have charge of all drugs, medicines and surgical appliances and shall requisition for the drugs and instruments required. He shall check and correct all invoices of goods received for use or distribution in the Dispensary and enter all articles received or issued in the Stock records. All requisitions for pharmaceutical materials shall be approved by the Medical Officer.

Eule 2

The Dispenser shall dispense, record in a book (if not already done by the Medical Officer) and hand over to the authorised officers for administration to the patients, all drugs, medicines and medical comforts ordered by the Medical Officer.

Rule 215

~Phe Dispenser or any member of t:b.e Pr.ison Medical Service shall in the event of his supplying any officer or prisoner with medicine, without -the prior authority of the !"!edical Officer, make a copy of the prescrip~lon in tl1e proper book and submit t.he same to the Medical Officer on his next visit~

Rule 216 -~~-~-

The Dispenser shall ensure that all drugs stock and equipment received on requisition by him are secured when not in use.

Rule 217

The Dispenser shall keep such books and records as may be directed by the Conunissioner, and shall afford evr0ry fac:Llit:y t.o officers deputed by the Commissioner to examine such books and records and to i:ake stock.

Rule 218

The Dispenser shall comply with the Pharmacy Act, Poisons Act and other legislation in relatj_on to poisons and dangerous drugs and like articles.

105~

~L'.HE DENTAL OF'F'

Rule 219

The Dental Officer shall have his headquarters at the Metropolitan Reception Prison and shall visit other prisons in acco.rdance with a prepared roster~

Rule 220

The Dental Officer's hours of attendances shall be in accordance with Public Service Regul.ation N(L 4

The Dental Officer may receive such assistance from t~he insti tut:ion st~1ff as he may require and. as is practicable, the Superintendent of the p1::-·ison ·to be the arbiter~

•rhe work to be undertaken by the Dentdl Officer shall include the dental examination and performance of all requisite treatment as may be d.iJ.:>:::cted from t::..irne to t.:Lme ~

Rule 223

The Dental Officer shall record dates and details of examination and t~eatment on dental. charts.

Rule 224

The Dental Offi.cer shall keep a daily record of work in the Dental Case Book and shall. keep such other records as mav be directed.

:th:d e 2 2 5 ' ~----~~-·-

T'Lc: Dental Off.icc,:r: shall be subject to the professLonal direction of the DirPctor of Dental f:Jc:cv

'T:'hc~ Dc?:nt:al Officc~r shu11 conform to t:he Rules of LhE? prison e

106.

VISITS TO PRISONERS

Rule 227 -~~~~~--

Unless otherwise stated, a visit by whatever number of persons shall be of thirty minutes duration, but where .good cause is shown, this time may be extended by the Superintendent.

Rule 228

Visits may be allowed on week-days and Saturdays between 9.00 a.m. to 11.00 a.m. and between 1.30 p.m. and 3.25 p.m. Unless for exceptional reasons, no visits will be permitted on Sundays.

Rule 229

Excepting where these Rules otherwise provide or where special permission has been given by the Commissioner or Superintendent, the subject of conversation shall be confined to matters personally concerning the prisoner and his relatives and friends; shall be clear in meaning and not contain improper, abusive or threatening expressions; shall not refer to other prisoners, prison officers or matters connected with the prison, and shall not refer to petitions or matters respecting representations to be made in regard to the prisoner's case. Prisoners may, however, be permitted ~to explain their position and the circumstances of their conviction.

Rule 230

Physical contact by the parties to the visit shall not be permitted.

Rule 231

If at any visit any communication shall be made which is at variance with the prison rules or is likely to lead t.o a breach of the prison rules or if any party to the visit 1 act in an offensive or unseemly manner, the visit shall be terminated and the facts reported to the Superintendent.

Rule 232

A prisoner shall have the option of refusing to see a visitor.

107.

Rule 233 -~--~~~

':'Phere shall be kept a:t each prison a book in which shall be recorded the date of each visitr the name and sentence of the prisoner visited, the name and address of each visitor, the relationship of each visitor to the prisoner, the authority for the visit and the name of the officer who supervised the visit~

Rule 234

A barrister or solicitor conducting any legal proceedings, cj_vil or criminal, in which the - saner is a party, or bona fide acting as

1 advisor to the prisoner in any legal business, will be allowed to see the prisoner 1n reference to such business in the sight but not in the hearing of an officer. It shall be

to such barrister or solicitor that the comrnunication bet:wecn him and t:he prisoner at the interview shall be confined solely to legal business in which the prisoner is interested.

Rule; 235

In bankruptcy matters, the Official Receiver will issue a_ cc:~cLif:Lcate to the Comrnissioner where it is des rable for a particular solicitor to visit any pri.soner regarding ba11kruptcy matters, and soli_citors seoking visits on such grounds shall be informed accordingly. Where such visits are allowed

shall be within sj_ght but not in hearing of an er.

Rule 236

Such vis as are in sight but not in hearing of an officer shall be a place with table and seating acc~orrrmodation a:nd facilit-ies for writing 1 but \-Yritten matter or notes by the prisoner shall not be taken from the prison unless authorised by the Superintendent or officer designated in that behalf by the Superintendent.

Eul 237

Members of the Police Force may be allowed to visit prisoners upon production of a statement from their Inspector that they are authorised to seek such a visit. Such visits may be in sight but not in hearing of a prison offj.cer as the Superintendent dt:t.<::-~rrnines ~

108.

Rule 238

Other Government officials may be allowed t.o visit prisoners where it is established that the request is for bona fide official purposes. The nature of the visit shall be in the discretion of the Superintendent.

Rule 239

In cases of prisoners who have not previously served a term of imprisonment, visits may be allowed in a room \vith seating accommodation where a table or other barrier is available to prevent physical contact by parties to the visit.

Rule 240

Near relatives will be permitted liberal visits to any prisoner who is reported by the Medical Officer to be dangerously ill.

Rule 41

Visits to prisoners Afforestation Camps or at Bathurst Gaol

at the Oberon and Glen Innes may take place and the Police

Glen Innes respectively, and shall special application by the visitor Commissioner~

Rule 242

at the Camps StaU.on at be granted on to the

Visits to prisoners at Emu Plains and Berrima Training Centres and Cooma Prison may be allowed each Sat.urday afternoon.

CREDIT OF EARNINGS TO PRISONERS

Rule 243

Pursuant to the provisions of Regulation No. 50 made under the Prisons Act, 1952, convicted prisoners who are serving sentences of, or exceeding, fourteen days may be credited '•Ji th earnings in accordance with scales determined by the Commissioner. The moneys shall be credited to them weekly in accounts opened at the prison, and shall not become payable until the time of discharge, provided that payments may be made therefrom in accordance with Rules 253, 254, 255 and 256.

u

Hule 244

A gratuity computed at the :r_'ate of thirty cents for each completed week of servitude shall be payable to all convicted prisoners upon discharge and not earlier, subject to the following conditions;

(a) in respect of a prisoner who has served a pe~ciod not exceeding seven yt~ars 1 the amount of gratuity payable shall not exceed thirty dollars;

(b) in respect of a pr1soner who has served

of forty dollars;

seven yecu:-:s, the amount e shall not exceed

(c) in respect of those prisoners, who on lst May, 1966 have served a period such as would en~~i tle them to }Jayment Of grat.ui t_y in excess of forty dollars if they were to be released on that date, such prisoners are to conti11Ue to be eligible for gratuity computed at the rate of ten cents per week without restriction.

(The rate of thirty cents is operative only in respect of s tude after lst May, 1966)

P.ule 2 45

The Cornmissioner shall have cnrthori-t:y to make payments, as a special gratuity, in addition to that prov j_n Rule 241 and to those provided in the scales of earnings, to an amount not exceedinq thi dollars where he considc~rs such action to be justified.

Rule 246

All ear11inqs shall be subject to good conduct and industry and where no specific approval is made herein in this regard, a general discretion will vest in the Superintendent, provided that earnings shall not be credited in of defective work, unless and untiJ. the defects l1ave been remedied by the prisorvc:.~r.

Rule 247

Subject to the terms of Rule 243, a prisoner shall not suffer any reduction of earnings by reason of:

(a) the occurrence of J qaol hal or gaol holidays dur Lnq a \cVOrK.inq week; or

(1_;) absence frcnn \dork for the purpose of acting as cookhouse delegate; or

(c) other good and sufficient reason authorised by the Commissioner.

Rule 248

During any week in which a prisoner is unemployed or partially employed solely because of a shortage of material or a lack of orders, he shall be credited with an amount equivalent to the minimum rate applicable or the average of his weekly earnings during the preceding four weeks, whichever is the less, provided that in any week of partial employment during which a prisoner earns more than such minimum rate, he shall be credited with the amount actually earned.

Rule 249

Earnings will not be credited to prisoners who are unemployed by reason of illnE,ss.

Rule 250

No earnings shall be credi t.ed during any week during which a prisoner has undergone cellular confinement.

Rule 251

The working week of prisoners, who by reason of the nature of their employment are required to work seven days weekly will be from noon on Saturday of each week to noon on Saturday of the succeeding week.

In all other cases, the working week shall be from Monday to Friday, inclusive.

Rule 252

In cases in which, during the currency of a vmrking week, a prisoner:

(a) is first placed at work after reception at a prison;

(b) is transferred to another prison or released from custody;

(c) is transferred from one class of employment to another, the prisoner shall be credited with earnings for all work completed. Where a weekly rate is earnable, the amount to be credited will be the equivalent of one-fifth of such weekly rates for each day worked.

/~----

u

Rule 253

The earnings of a prisoner absent from work during a working week for any of the reasons specified in Rule 247 shall be proportionately increased - such increase to be computed on the following principle:

The earnings at schedule rates in respect of work performed shall be increased in the proportion that the number of working days (5) bear to the number of days worked, e~g~

If one day not worked

If two days not worked

-~ five fourths 5/4ths

-- five-thirds (5/3rds)

If three days not worked ~ five-halves (5/2)

EXPENDITURE OF EARNINGS

Rule 254

Expenditure on foodstuffs shall not be permitted to an extent which \·muld reduce ·the amount of earnings to credit to less than two dollars.

Rule 255

A prisoner may expend from his earnings on the purchase of foodstuffs:

(a) an amount weekly not greater than the value of his total earnings during the preceding week; provided that the amount of such expenditure in any one week shall not exceed two dollars;

(b) an amount not exceeding five dollars at Christmas, Easter and Bank Holiday, provided that the prisoner is not undergoing punishment for misconduct.

''Foodstuffs'' shall comprise such items as the Com.missioner may authorise from time to time.

Rule 256

A prisoner may expend an amount not exceeding one dollar and fifty cents per month on the purchase of such toilet and shaving articles as the Commissioner may authorise.

Rule 257

A prisoner may expend an amount on ·the purchase of newspapers on the conditions provided in Rule 259.

Rule 258

A prisoner shall not expend or remit earnings for any other purpose without ·the specific approval of the Commissioner.

Rule 259

A prisoner who is not employed by reason of illness will not be permitted to expend any amount from earnings on the purchase of foodstuffs in terms of Rule 256 (a) provided that the Superintendent of the prison may authorise such e~penditure when he considers that the circumstances of a particular case justify such authorisation.

PURCHASE OF NEWSPAPERS BY PRISONERS

Rule 260

Approved newspapers may be purchased by prisoners.

Rule 261

Any prisoner may participate in this amenity subject to the general provision that it may be forfeited in the event of misconduct 1 whe'cher or not the misconduct results in punishment by the Visiting Justice 1 or Superintendent.

Rule 262

Newspapers shall invariably be purchased through the local newsagent 1 or direct from the publisher and 1 unless otherwise directed, shall be paid for in advance.

Rule 263

The money may be expended from private cash or from earnings and shall not form part of any ordinary weekly expenditure.

Rule 264

The newspapers may be censored by the excision or obliteration of:

Rule 264 (Cont'd)

(a) articles critical of the administration of J·ustice; and

(b) articles which might in the opinion of the Superintendent be inflammatory or otherwise undesirable.

Rul 265

All newspapers are to be out of cells or huts and returned to the Wing Officer or other designated officer not later -than one week after the date of issue. Saturday papers shall be returned to such officer not later than the Saturday following the date of issue.

ISSUES OF INDULGENCE TO PRISONERS

Rule 266 ~~~-~~-~--

Convicted prisoners may be issued with tobacco, cigarette papers, matches and sugar and other foodstuffs of such types and in such quantities as are determined from ·time to time by the Commissioner and under the conditions provided herein.

Such issues shall be known as 1'Indulgence'' and shall be subject to satisfactory conduct and industry ..

Rule 267

A prisoner shall not suffer any loss or reduction of indulgence solely by reason of:

(a) the occurrence of a prison holiday or prison holidays during working week;

(b) absence from vJOrk for the purpose of acting as cookhouse delegate.

Rule 268

Indulgence shall, subject to the approval of the Medical Officer, be issued to prisoners unemployed by reason of illness.

Rule 269

Indulgence shall not be issued to prisoners who are unemployed on account of reasons other than il1ness nor to those in separa-te confinemen"'c

Rule 269 (cont'd)

ordered by the Superintendent or Visiting Justice.

Rule 270

Indulgence shall not be issued to prisoners during any period of cellular confinement imposed by the Superintendent or Visiting Justice. Prisoners shall become eligible for an indulgence issue one full week after the date of completion of their confine­ment.

Rule 271 * * *

Rule 272

Where the Visiting Jus·tice finds a charge preferred against a prisoner to be proved but does not impose a sentence of cellular confinement, indulgence shall not be issued in respect of the week during which the appearance before the Visiting Justice occurred.

Rule 273

Indulgence must be used within the week immediately following the issue thereof : any accommodation beyond a full week's issue may be confiscated.

Rule 274

Any indulgence in the possession of a prisoner at the time of his conviction by the Visiting Justice shall be taken from him and shall not be restored to him until he is again eligible for indulgence.

Rule 275

A prisoner charged with misconduct may, at the discretion of the Superintendent, retain his privileges in respect to indulgence during the period he is awaiting the hearing of the charge by the Visiting Justice.

Rule 276

Prisoners released prior to the day on which indulgence is normally issued are eligible to receive indulgence in respect of that week.

Rule 277

A prisoner who is received from another prison during the currency of a working week and whose transfer was not in consequence of misconduct,

(

may on the first indulgence issue day after reception be issued with indulgence on the same scale as the preceding transfer.

Rule 278

A prisoner who is awaiting transfer to another prison for any reason other than misconduct, and thereby is unable to continue at employment in respect of which he received an indulgence of tobacco and cigarette papers, may be issued with indulgence un'cil he reaches his final destination.

Rule 279

'I'o enable effect to be given to the provisions of the two preceding rules, the "Indulgence Issue" sheet should disclose the indulgence received by each prisoner in respect of the working week immediately preceding transfer.

PART PAYMENT OF FINES

Rule 280

Payment of any sum referred to in paragraph (b) of subsection one of section 94 of the Justices Act, 1902, as subsequently amended, will be accepted at any ·time between 8.00 a.m. and 12 noon and 1.00 p.m. and 9.00 p.m. on any day. These payments may be made at other times dependent on the exigencies of the prison.

ENTRY OF RECOGNIZANCES

Rule 281

Recognizances shall be hours of 8.00 a.m. and 9.00 p.m. on any day. entered at other times of the prison.

entered into between the 12 noon and 1.00 p.m. and Recognizances may be dependent on the exigencies

THE ASSISTANT SUPERINTENDEN'l' OF INDUSTRIES, COMPLEX OF PRISONS,-LONG BAY . . . ~-~~-~

Rule 282

The Assistant Superintendent of Industries shall, under the Chief Superintendent, have control of the Industrial Services operating within the Complex of Prisons, Long Bay. He shall direct the work in the workshops, Allocation Shops, and the agricultural area.

0

Rule 283

The Assistant Superintendent of Industries shall be responsible for quality control of all products produced within the Complex including those of the agricultural areas and the Allocation Shops.

Rule 284

The Assistant Superintendent of Industries shall receive from the Chief Superintendent all orders for prison manufacture. He shall examine and initial such orders as an indication that he has seen them and as an authority for the officer-in­charge of the shop concerned to proceed wi'ch manufacture. Where necessary, he shall confer with the appropriate shop overseer in regard to manufacture. He shall promptly advise the Chief Superintendent of any defect in any order or any difficulties experienced with labour, materials or plant. Through the Chief Superintendent he shall confer with the Production Manager, Prison Industrial Service and take whatever steps are necesaary to overcome such difficulties and ensure the rapid and efficient execution of the order.

Rule 285

The Assistant Superintendent of Industries shall keep such books and records as are necessary to properly account for s·tores and shop stocks. He shall comply with instructions which are issued from time-to-time in regard to same and furnish estimates, returns or reports as may be required by the Chief Superintendent.

Rule 286

The Assistant Superintendent of Industries shall. report to the Chief Superintendent any neglect of duty or inefficiency on the part of the officers under his charge. He shall bring to the notice of the Chief Superintendent any staff matter considered likely to affect the smooth and efficient operation of works under his control.

Rule 287

The Assistant Superintendent of Industries shall report to the Chief Superintendent if, in his view, there is necessity for changes or improvements in the works under his control.

Rule 288

The Assistant Superintendent of Industries shall take stocks in the various workshops in the manner for the time being prescribed and shall report promptly in writing to the Chief Superintendent the result of his examination. He shall so arrange his stocktaking that he will have checked each line in each shop at lE,as·t twice in a period of twelve months at intervals of not less than five months. He shall prevent waste of material in any branch of work in the Complex of Prisons~

Rule 289

The Assistant Superintendent of Industries shall supervise the handing over of shop stocks when there is a permanent change in the officer-in-charge of the shop and shall ensure all lines are checked and card balances initialled.

Rule 290

The Assistant Superintendent of Industries shall frequently and at uncertain times visit the shops, works and agricultural areas under his control and see that prisoners are orderly and diligent and that the supervising officers are performing their duties in a proper manner.

291

The Assistant Superintendent of Industries shall ensure the proper supervision of works musters and after all prisoners have left the workshops at noon and at 4.00 p.m. shall ensure everything is in order, either by inquiry of the officer-in-charge of each workshop or \Vork area, or by personal investigation~

THE PHINCIPATJ INDUSTRIES OFFICER, COMPLEX OF PHTSONS, LONG BAY

Hu 292

The Principal Industries Officer, through the Assistant Superintendent of Industries, shall be responsible 'co the Chief Superintendent for the allocat:ion of prisoners t.o employment throughout the Complex in accordance wi·th the Act and Regulations. He shall. keep adequate records of the placement and location of all inmates within the Complex. He will ensure that all rolls for the works musters are accurat.e ~

Hule 293

The Principal Industries Officer will act as a member of the Classification Committee and as a member of the Reception Board. He will prepare for the Committee and the Board, information relevant to the employment of prisoners as may be

118.

required and shall advise the Committee and the Board in the matter of employment of prisoners.

Rule 294

He shall personally examine and investigat.e all applications for the employment of prisoners outside the prison walls. He shall submit all such applications to the Chief Superintendent, through the Assistant Superintendent of Industries, together with his recownendation and comments.

Rule 295

The Principal Industries Officer shall compile and submit Section 6 Comprehensive Reports for parole purposes as required. He shall prepare work cards and reports for sub~classification committees as required. He shall provide information on inmates transferred to other institutions for parole and other purposes. He shall keep records of inmates' appeals, dates and results. He shall be responsible for all labour adjust.:ments throughout the complex.

Rule 296

The Principal Industries Officer shall check all work sheets and indulgence sheets before submittlng them, through the Assistant Superintendent of Industries, to the Chief Superintendent. He shall ensure that all earnings and indulgences are credited in accordance with the Labour Schedule or special approval of the Commissioner. He shall supervise the allocation of work and shall investigate any marked fluctuations in earnings. He shall ensure that the articles listed on the work sheets have been actually manufactured and delivered to the store. He shall inspect, check and instruct upon the proper keeping of Bonus Books in shops. He shall recormnend the ration to which each prisoner is entitled under the Regulations by reason of the type and nature of his employment.

Rule 297

The Principal Industries Officer shall otherwise assist the Assistant Superintendent of Industries as may be directed or, in an emergency, as may be necessary.

Evidence.

The subject matter of this paper is concerned firstly, with the rules of evidence and secondly,

with the role of the prosecutor applicable to the areas of this administration involving the

Visiting Justice and lower Courts. It is directed primarily to those officers who presently

act in the role of prosecutor before the Visiting Justice and, of course, to those officers who

may act in this role in the future.

The term "evidence" is used in a number of meanings of which it is only necessary to consider

three. The first is the actual technical procedure whereby facts in issue are sought to be

established to the satisfaction of the Court. In this sense, evidence includes not merely the

testimony of witnesses, the production of documents and the inspection of things, but also

presumptions, estoppels, admissions and confessions and judicial notice. Secondly, when the

admissibility of facts is in question. And thirdly, the word evidence is used to denote the

testimony of witne<ses and the production of documents and thin[S \\hich may be us<d for

the purpose of proof in legal proceedings.

The rules of evidence are of a technical nature and often seem to pre\ent tf.e asce;tainment

of the truth, rather than the opposite, so that it is important to understand the rules.

Often facts which are known to be true according to the ordinary judgment of persons

acting on evidence sufficient for every day affairs may not be provable at all in a Court

because of the technical nature of the rules of evidence.

The testimony of witnesses is obtained by question and answer; by examination-in-chief, cross

examination, re-examination and to a limited extent by the Court. The testimony in general

must be the direct sense observation of the witness, although refreshment of memory from

certain documents may be allowed. A witness must narrate facts as directly observed by one

of his senses. A witness is entitled to aid his memory by referring to writing made by him

at the time or shortly after the event of which he speaks; if another person makes it and

1

the witness saw it within such ·time he may also refresh his memory by it. The witness

may thus refresh his memory and may say that he is certain of the fact in question even

though he has no independent recollection of it. The opposing party may call for the

document and cross-examine the witness upon it. He is not obliged to tender it as part of

his own case, as is the case with other documents called for from the opposing party, unless

he cross-examines on parts other than those used to refresh memory.

EXAMINATION-IN-CHIEF

The object of the exammation-m-chief of a witness is to elicit from the witness all such facts

as tend to prove that party's case and are within the personal knowledge of the witness.

These may be facts in issue or relevant to the issue, and in certain cases hearsay and opinions

as to such facts.

In examination-in-chief, the following are not allowed :

( l ) Leading questions .

( 2) Cross-examining or otherwise discrediting the witness ,

( 3 ) Accrediting the witness or tendering prior consistent statements .

In examination-in-chief and in re-examination leading questions may not be asked, whilst in

cross-examination they may. Leading questions are usually described as questions which

suggest the answer which the questioner desires, or more shortly as prompting the witness. They

also probably include questions which assume the existence of disputed facts.

There are a number of qualifications to the principle -

(a ) introductory and undisputed material (e.g. witness's name, address and occupation,

and the part of the story that is common ground) ;

(b) questions to lead the witness's mind to the subject matter required of him ;

(c) questions to obtain a contradiction of the opposition's material ;

(d) there is an area of judicial discretion (e.g. as to identification and jogging memory).

2.

Section 53 of the Evidence Act, 1898, as amended, provides as follows :

"A party producing a witness shall not be allowed to impeach his credit by general

evidence of bad character, but he may if the witness in the opinion of the Court

proves adverse -

(a) contradict him by other evidence ; or

(b) by leave of the Court prove that he has made at other times a statement

inconsistent with his present testimony ;

but before such last-mentioned proof can be given, the circumstances of the supposed

statement sufficient to designate the particular occasion must be mentioned to the

witness, and he must be asked whether or not he has made such statement . "

There is no authority for the artificial rule that a party calling a witness must accept as an

established fact every statement that the witness makes .

This section is confined to evidence with which a party can impeach his own witness. It

does not deal with the limits of cross-examination of a witness who proves adverse .

The party who calls a witness cannot cross-examine him .

A witness is not adverse merely because his evidence is not favourable to the case of the

party calling him. "Adverse" was held to mean "hostile" and not merely "unfavourable" .

It is a question for the Court whether the witness is adverse. In determining whether a

witness is adverse the Court is not confined to the demeanour of the witness in the witness

box, but may consider previous inconsistent statements made by the witness. If a witness

is proved to have made a statement, though unsworn, in conflict with his evidence on oath,

his evidence is negligible .

3.

CROSS-EXAMINATION

All witnesses sworn are subject to cross-examination except a witness called by mistake .

Cross-examination may be used either to attack the opponent's case or to get material in

support of the cross-examiner's case. Cross-examination is riot limited to the material given

by the witness in examination-in-chief. He may be cross-examined on all relevant matters .

The cross-examiner tests the witness's evidence in a number of ways by asking questions

as to relevant facts, e.g. by questions testing the accuracy of his memory or observation

or by putting to him inconsistent facts or equally consistent facts. Leading questions are

allowed in cross-examination.

If it is proposed to submit that the version of a witness should not be accepted, the prosecutor

has a duty to cross-examine that witness. If an opposing version is to be put to the Court,

in general that must be put to the witness. A witness should be cross-examined on all

disputed matters .

In cross-examination the witness's credit may be tested by attacking his character, not merely

in the legal sense of reputation but also in the sense of his actual conduct . His credit may

be attacked by questions to show that he is biassed or that he has made previous inconsistent

statements .

There are important limits to cross-examination which are concerned mainly, but not solely,

with cross-examination as to credit . A witness is not bound to answer questions which

tend to incriminate himself. A witness must not be misled or trapped by questions which

make false assumptions or actual mis-statements . Three sections of the Evidence Act restrict

cross~exatnination as to credit .

Section 56 provides -

"When any question put to a witness in cross-examination is not relevant to the

case or proceeding, except so far as the truth of the matter suggested by the

4.

question affects the credit of the witness by injuring his character, the Court shall

have a discretion to disallow the question, if in its opinion the matter is so remote

in time, or of such a nature that an admission of its truth would not materially

affect the credibility of the witness . "

Section 57 provides -

"The Court may forbid any question or inquiry which it regards as indecent or

scandalous, although the question or inquiry may have some bearing on the

questions before the Court, unless they relate to facts in issue or to matters

necessary to be known in order to determine whether or not the facts in issue

existed . "

Section 58 provides -·

"The Court may forbid any question which appears to it to be intended to insult

or annoy, or which, though proper in itself, appears to the Court to be needlessly

offensive in form . "

Once a witness has in cross-examination answered a question which is relevant only insofar

as it tends to shake his credit, that is, the question is not relevant to an issue, he cannot

be contradicted by other evidence . The cross-examiner is bound by his answer .

Under Section 55 of the Evidence Act, a witness may be cross-examined as to previous state­

ments made by him in writing or of evidence given before any Justice, without such writing

or the deposition of such witness, being shown to him . If it is intended to contradict him

by such writing or deposition, his attention must be drawn to those parts which are to be

used, before contradictory proof can be given . The Court may require the production of

the writing or deposition for inspection .

5.

The contents of a written document, if they are to be proved, should be proved by production

of the document and not by oral testimony . It must not be suggested that the writing is

capable of being produced if it is not.

RE-EXAMINATION

The purpose of re-examination is to repair damage which may have been done in cross­

examination as by giving explanations of facts elicited in cross-examination which may put a

different complexion on them . Leading questions may not be asked . Re-examination

must be confined to the matters arising out of cross-examination . However, the Court

may allow questions to be put although they may not arise out of cross-examination, provided

they are relevant, and in practice this is usually done if the matter could have been lead in

chief but was overlooked . If such fresh matter is allowed then further cross-examination has

to be allowed in respect of it .

The Court may ask questions of a witness but should not become one-sided, unduly interfere

with the prosecutor's conduct of the case, or take command of the case himself.

COMPETENCE & COMPELLABILITY OF WITNESSES

The only persons who are incompetent to give evidence, are those who either by mental

disease or youth are considered by the Court to be of insufficient understanding to justify

the reception of their evidence . It is necessary to distinguish between incompetence to give

evidence and incompetence to take an oath . Competence to give evidence depends upon

sufficiency of understanding, whereas competence to take an oath depends on understanding

the nature of the oath and on being of such religious belief as to be bound by it •

In general all competent witnesses are compellable .

METHOD OF PROOF OF DOCUMENTS

Once the identity of a document is proved its contents are immediately available . This is

subject to the general principles of the law of evidence in the same way as oral evidence is,

in that the contents must be relevant and must not be excluded by the hearsay rule •

6.

It is not sufficient merely to produce a document and tender it to the Court . It must be

identified and this may be done in a number of ways according to its nature . The document

may be proved in one of the various ways within the principle as to direct sense observation .

A person who signed a document could prove it, but this would not of itself make it

admissible against another party to the document unless he saw that other party sign or

could identify the signature thereon from prior acquaintance with it . Attesting witnesses

may prove documents against those whose signatures they witnessed, as indeed can any person

who saw the particular party sign or who is able to swear as to his signature . A document

can be proved by proving that a party had orally admitted that it was his document .

PHYSICAL OBJECTS, VIEWS OF SCENES & PLACES

Physical objects may be produced and tendered in evidence, but they must be properly

identified by somebody who can speak from direct sense observation (e.g. a knife found near

a stabbed body). It is not essential to produce the actual object or account for its absence.

It may be described or a photograph of it may be tendered

produced if practicable .

It should, however, be

With regard to views of scenes they are not to take the place of evidence but merely to

enable an understanding, although this principle does not seem to have been applied to objects

(e.g. blood stains on clothing) .

The High Court of Australia held that "a view is for the purpose of enabling the tribunal to

understand the questions that are being raised, to follow the evidence and to apply it, but not

to put the result of the view in place of evidence " .

JUDICIAL NOTICE

Judicial notice is the cognizance taken by Courts of certain matters that are so notorious, or

clearly established, that evidence of their existence is unnecessary . Judicial notice is taken

of matters which are common knowledge (e.g. the law and practice of Parliament, the ordinary

7.

course of nature) . It would be absurd if it were necessary to prove matters which are

common knowledge .

WHAT FACTS MAY OR MAY NOT BE PROVED - ADMISSIBILITY OF EVIDENCE.

RELEVANCE

A fact is said to be relevant to another fact, when either taken by itself or in connection

with other facts, it renders probable or tends to prove the existence or non-existence of that

other fact.

The question of relevance, as of all questions of admissibility, is for the Court to decide .

To be relevant a fact does not have to tend to prove every aspect of the fact to be proved .

Constantly, in assault cases medical evidence as to injuries is tendered. Yet this only tends

to prove that an assault took place and not that a particular person committed the assault .

The facts in issue are the facts in dispute between the parties which must be proved m

establishing a case or in establishing some particular defence .

Subject to certain exceptions, facts that may be proved (or are admissible) are (a) facts in

issue (b) facts relevant to facts in issue, and (c) facts relevant to questions of admissibility of

evidence or weight of evidence .

There is a problem as to where a fact in issue or a relevant fact begins and ends . How

much detail may be given in evidence in describing an assault? The solution is a practical one.

The exceptions to facts that are admissible are :

( a) Facts in issue or facts relevant thereto are inadmissible in evidence if forbidden by one

of the exclusionary rules, public or private privilege, hearsay, primary evidence in

respect of documents, or estoppel . These are all examples of matters that would be

8.

regarded as relevant in the judgment of ordinary men in their everyday affairs but

which are kept out of evidence by policy .

(b) There are facts which in the ordinary judgment of men would be regarded as relevant

( similar fact evidence, character evidence and opinion evidence ) which are held

inadmissible by established principles or rules of law . However, there are wide

exceptions to these rules . Thus the law holds these forms of evidence to be some­

times irrelevant! sometimes relevant and, of course, when relevant admissible .

RES GESTAE

If a transaction be in issue, all facts, whether they be acts or omissions or declarations,

which either are part of the transaction, or accompany and explain it, are admissible and

are usually called the res gestae In testifying to matters in issue, witnesses are required

to state them, not in their barest possible form, but with reasonable fullness cf accompanying

and explanatory detail and circumstance .

COMMONLY ARISING SITUATIONS OF RELEVANCE

MOTIVE

The fact that a person stood to gain an advantage by doing an act is relevant to show that

he did it . It is also relevant to show that he did it intentionally .

SUBSEQUENT CONDUCT

Evidence is admissible to show that after the crime was committed, the offender fled or hid

or attempted to dispose of clues to the discovery of the crime or the criminal .

RECENT POSSESSION OF STOLEN GOODS

Possession of stolen goods is relevant to prove that the possessor stole them or received them

knowing them to have been stolen . If there is added the factor that the goods were

recently stolen, then there is constituted by those facts alone a prima facie case of either

crime against the possessor

9.

OPINION

In general it is inadmissible to tender evidence of opinion or belief that a fact exists . The

principle is probably based on the requirement that evidence be of direct sense observation .

Evidence involving opinion or inference is nevertheless admitted in a wide field of

matters of common experience, e.g. whether a person was under the influence of intoxicating

liquor. Experts in a specialised field of study or practice are allowed to give in evidence

their opinion as to matter in that field, e.g. opinions by doctors as to cause of injuries,

finger-print experts .

HEARSAY RULE

A witness may not give evidence of what anyone ( including the witness himself on a prior

occasion) asserted about a fact nor may a written assertion about a fact be tendered in order

to prove the fact so asserted . This is the most far-reaching exclusionary rule - it excludes

rumour, or summarised evidence gathered by inquiry . Evidence cannot be given of matters,

which would be relevant and probative, only known to the witness as a result of hearsay .

Though the rule hinders the proof of truth, a worse feature is the wide spread misunder­

standing of the rule, whereby the rule becomes a rule of thumb that everything said away

from the presence of the opposite party is inadmissible and everything said in his presence

is admissible . Evidence of a statement made to a witness by a person who is not himself

called as a witness may or may not be hearsay . It is hearsay and inadmissible when the

object of the evidence is to establish the truth of what is contained in the statement . It

is not hearsay and is admissible when it is proposed to establish by evidence, not the truth

of the statement, but the fact that it was made . The fact that the statement was made,

quite apart from its truth, is frequently relevant in considering the mental state and conduct

thereafter of the wituess or of some other person in whose presence the statement was made .

(Subramaniam v. P.P.C. 178).

The statement must be a fact in issue or relevant to a fact in issue . Exceptions to the

hearsay rule are informal admissions including confessions, and admissions by silence, denials

10.

or other relevant reaction to allegations or statements . Because of the hearsay rule the

allegation made or things said to the other party are not themselves evidence of the assertions

made in them but are merely tendered so as to show whether the other party by conduct,

by his answer, or by refraining from answering when the occasion was one on which he

might reasonably be expected to make some answer, acknowledged the truth of either the

whole or part of the statement, or did something from which the Court could infer such

acknowledgement or from which it could infer some other relevant matter . Even a denial

may be "relevant" or rather probative, where, for instance, a person is charged with a violent

assault and he denies that he committed it, that fact might be distinctly relevant if at the

hearing his defence was that he did commit the act, but that it was in self-defence . The

essential objections to hearsay evidence are the absence of an oath and of cross-examination.

Statements substantially contemporaneous with and tending to explain actions which are in

issue or relevant to issues are admissible .

THE BURDEN AND STANDARD OF PROOF - both commonly called the

ONUS OF PROOF.

Each of these matters is commonly referred to in practice as the onus of proof, but it is

important to keep them distinct .

BURDEN OF PROOF -

The burden of proof rests upon the party who seeks to have an issue established to persuade

or convince the Court that it is established . Failure to discharge the legal burden must

mean that the party fails in his case . The general principle is that he who asserts must

prove.

STANDARD OF PROOF-

In criminal cases it is necessary for the prosecution to prove its case beyond reasonable doubt .

This standard applies to hearing of complaints before the Visiting Justice.

11.

CORROBORATION

It is not mandatory to call more than one witness of any fact . In most instances it will

be highly desirable and advisable to have corroborating evidence before the Court. The

Court may consider as a matter of common sense whether in any case there is only oath

against oath, or a number of witnesses who support a particular matter, or the failure to

call someone who could be a witness .

To the general principle in relation to corroboration there are both statutory and common

law exceptions - these exceptions are not relevant to appearances before the Visiting Justice.

MEANING OF CORROBORATION

In general corroboration means the testimony of another witness or some other form of

evidential material which confirms in some material circumstance (or particular) the crime

or matter alleged and which implicates or identifies the person charged with that crime or

matter.

The corroboration need not be direct evidence that the person committed the crime, but may

be circumstantial evidence . It must be independent evidence, that is, not merely coming

from the complainant himself.

DIRECT EVIDENCE AND CIRCUMSTANTIAL EVIDENCE.

Direct evidence consists either of the testimony of the witness who perceived the fact or the

production of the thing which constitutes the fact . A witness who says that he saw the

incident which is the subject of the charge is giving direct evidence .

Circumstantial evidence is evidence which, although not directly establishing the existence or

non-existence of the fact required to be proved, is admissible in order to enable the Court

12.

to decide whether that fact did or did not exist . It is the proof of circumstances from

which the commission of the act may be inferred . The same piece of evidence may come

under either class, as regard must be had to the fact to be proved . A witness who swears

that he saw a bloodstained knife in the possession of the prisoner is giving direct evidence

as to his possession of the knife but only circumstantial evidence as to the use to which it

had been put .

PRESUMPTIONS

In English law there is, in all cases, a presumption of innocence, that is, a person is presumed

to be innocent of a crime until proved guilty . This is merely a way of saying that the

burden of proof of the crime lies on the prosecution .

PRESENTING YOUR CASE

At the hearing of any charge against a prisoner it is your duty to assist the presiding Visiting

Justice in coming to the correct conclusion and for that purpose you should ensure that all

necessary evidence is placed before him . It will be to your advantage when presenting your

case to have a complete knowledge of the case that you are prosecuting. You should be

ready to answer any relevant query addressed to you by the Visiting Justice .

When giving evidence, you should ensure that the witness speaks slowly and clearly, as the

evidence in most instances will be recorded by typewriter by a deposition clerk . The witness

should therefore, speak at such a pace as will enable a correct record to be taken .

As a prosecutor you should speak in a clear voice throughout the proceedings .

You must not allow yourself to become heated, even in the face of lying evidence by the

prisoner, or of personal or offensive remarks, or reflections or imputations as to you or your

13.

conduct made by the prisoner. The Visiting Justice may be trusted to intervene in those

matters . If he does not, you should object to the question, the words, or the tone of the

voice . You must not engage in argument with the witness .

If a witness refuses to answer a question put by you, or attempts to give an evasive answer,

persist with your question, and insist upon an answer to the question you put, unless that

question has been disallowed by the Visiting Justice.

If you think any question put to your witness is unfair, or improper, or that your witness is

not being allowed time to answer it fully or completely, you should raise an objection .

The cross-examiner of your witness is entitled to an answer to the exact question put by him,

without additional evidence or explanation . If explanation of the answer is desirable, in

re-examination you may gain the explanation or the full answer .

In describing details of an offence, do not do so in general terms, or by giving your opinion,

state the facts, so that the Visiting Justice may Jearn what you actually learnt through one

of your senses.

A GUIDE TO PROSECUTING.

Before the Court commences, the prosecutor should have all the documents which contain the

information upon which the charge against the prisoner is based .

The responsibility of the prosecutor is to ensure that :

(a) on pleas of "guilty" the Court is given a correct and full summary of the facts that

support the charge and the prisoner's history - this is usually done before the Visiting

Justice by tendering statements ;

( b) on pleas of "not guilty", that the evidence is adduced fully from the witnesses to be

called and the exhibits to be produced .

14.

fhe responsibility of the prosecutor is the presentation of the case at Court, and for this

purpose he should ensure that all witnesses to be called are in attendance and that the state­

ments are properly prepared for presentation . When a plea of "guilty" is entered very

little preparation is required . In defended cases more careful attention is required .

Nothing must be omitted that may prejudice the success of the prosecution . Ensure that

the evidence available is clearly put before the Court.

As types of charges differ, so does the evidence required to prove various charges . Avoid

bringing evidence that is not necessary . A concise, clear chain of evidence is always super­

ior to a ponderous succession of facts that are mere repetition .

When corroboration is required, it need not be overdone as there is the ever-present possib­

ility of damage being done to any case where several unnecessary witnesses testify to the

same matters that could best have been covered by one corroborating witness . There may

be occasions when more than one corroborating witness is necessary but in general, one

suffices.

A knowledge of tbe inquiry is important to the prosecutor who has the responsibility of

presenting the case . He should know and understand the circumstances of the issue, the

localities involved, as well as knowing what each prospective witness can tell .

A clear picture results if the evidence is given in proper chronological sequence . Minor

exceptions are sometimes unavoidable .

To ensure that the ingredients necessary to prove the offence are known and provable a close

look should be given to the wording of the charge and to the relevant section of the Act,

Regulations or Rules .

15.

TESTIFYING IN COURT.

In considering the topic of testifying in Court, it is important to remember that every offence

by a prisoner against prison discipline can lead eventually to a hearing before the Visiting

Justice, whose duty it will be to evaluate the circumstances of the offence to determine

whether or not the prisoner did in fact commit the offence as charged . For this reason

it is important that the officer's report should be factual and the evidence complete, concise,

relevant, accurate and unambiguous, regardless of the apparent chances of a subsequent

hearing . If the report is sufficiently comprehensive, its use in Court will be an asset rather

than a liability .

Officers, including Police Officers, too often are reluctant to admit, in cross-examination by

the defence, that they have discussed their testimony with the prosecutor . This reluctance

should be abandoned since it is an acceptable procedure. Whether in uniform or in civilian

clothes officers on the witness stand should present an appearance marked by cleanliness and

neatness.

When called to give evidence in a defended matter, it is necessary for the witness to take the

oath on the Bible before commencing to give evidence .

The more familiar the witness is with courtroom procedure and the rules of evidence the

better witness he will be . Objections to certain portions of evidence, based on the rules of

evidence, can become disconcerting especially if you are not familiar with some of the technical

reasons for the objection, e.g. hearsay evidence .

When an objection is made, the witness must stop his testimony, until the Court has ruled

on the objection or instructs the witness to continue . A question which is objected to must

not be answered unless the Court overrules the objection .

16.

After being sworn, the witness will be asked his full name and rank . He should answer

all questions in a polite and courteous manner . Carefully consider the question and then

give a deliberate answer . If a question is not heard or not understood, the witness should

ask that it be repeated . The witness should speak in a conversational tone of voice but

loud enough to be heard . Answers to questions should be directed to the person asking

the question.

Rarely should a witness volunteer information . The prosecutor must be relied upon to ask

the questions he wants answered and at the time he wants them answered . If an important

point has been omitted the witness should draw it to the prosecutor's attention after he has

left the witness stand . If it is of sufficient importance the witness will be recalled to the

stand.

A witness should never guess the answer to a question . If the answer is not known the

witness should simply say, "I don't know" .

Unless a witness is called as a qualified expert witness, he may not testify as to conclusions

or opinions . His testimony must be in reference to facts which he possesses regarding the

complaint. It is not permissible to use terms such as "I think", "I believe", "In my opin-

ion", "I meant", "I thought" and so on .

Finally, a witness should always strive to become a better witness . This requires practice

and self-evaluation .

As a prison officer you may be called upon to give evidence before the Visiting Justice, and

to a lesser extent before a Public Service Board inquiry and any appeal from the decision of

the Public Service Board to the Crown Employees Appeal Board. You may also be required

to give evidence before a Stipendiary Magistrate in Petty Sessions, and a Judge in the Court

of Quarter Sessions

17.

Testifying in Court.

BRIEF REVIEW OF COMMON TACf!CS OF CROSS-EXAMINATION

Counsel's Tactic Rapid fire questions

Condescending counsel

Friendly counsel

Badgering, belligerent

Mispronouncing officer's name; using wrong rank

Suggestive question (tends to be a leading question allowable on crossftexamin~ ation)

Demanding a "yes" or "no" answer to a question that needs explanation

Reversing witnesses words

Repetitious questions

Conflicting answers

Staring

Example One question after another with little time to answer

Benevolent in his approach, over-sympathetic in his questions to the point of ridicule.

Very courteous, polite; ques­tions tend to take witness into his confidence.

Counsel staring you right in the face, shouts "That is so isn't it, officer?"

Officer's name is Jansen, counsel calls him Johnson.

Was the colour of the car blue?

Did you strike the defend­ant with your club?

Witness answers, "The accin dent occurred 27 feet from the intersection." Counsel says, "You say the accident occurred 72 feet from the intersection?"

The same questions asked several times slightly ren phrased.

But, Officer Smith, Detect­ive Brown just said. etc ....

After the witness has ann swered, counsel just stares as though there were more to come.

18.

Purpose To confuse the witness; an attempt to force inconsistent answers.

To give the impression that the witness is inept, lacks confidence or may not be a reliable witness,

To lull the witness into a false sense of security where he will give answers in favour of the defence.

Tv make the witness angry so that he loses his sense of logic and calmness. Genern ally, rapid questions will also be included in this apn proach.

To draw the witness's attenn tion to the error in pron nunciation rather than en­abling him to concentrate on the question asked so that the witness will make inadvertent errors in testi­mony.

To suggest an answer to his question in an attempt to confuse or to lead the wit­ness.

To prevent all pertinent and mitigating details from being considered by the jury.

To confuse the witness and demonstrate a lack of conn fidence in the witness.

To obtain inconsistent or conflicting answers from the witness.

To show inconsistency in the investigation. This tactic is normally used on measurements, times, etc.

To have a long pause that one normally feels must be filled thus saying more than necessary. To provoke the witness into offering more than the question called for.

Officer's response Take time to consider the question; be deliberate in answering. ask to have the question repeated, remain calm.

Firm decisive answers, ask­ing for the question to be repeated if improperly phrased.

Stay alert; bear in mind that purpose of defence is to dis­credit or diminish the effect of your testimony.

Stay calm, speak in a den liberate voice giving prosen cutor time to make appro­priate objections.

Ignore the mispronouncen ment and concentrate on the question counsel is asking.

Concentrate carefully on the facts, disregard the sug­gestion. Answer the ques~ tion.

Explain the answer to the question; if stopped by counsel demanding a "yes" or "no" answer, pause until the court instructs you to answer in your own words.

Listen intently whenever counsel repeats back some­thing you have said. If he makes an error, correct him.

Listen carefully to the ques~ tion and state, "I have just answered that question".

Remain calm. Conflicting statements have a tendency to make a witness extremely nervous. Be guarded in your answers on meastlre­ments, times, etc. Unle<>s you have exact knowledge, use the term "approxi­mately". Refer to your notes.

Wait for the next question.