resource manual for transition to a new jailmerge their new operational plans with the new buildings...

R E S O U R C E M A N U A L F O R

TRANSITION TO A NEW JAIL

U.S. Department of Justice

National Institute of Corrections

U.S. Department of JusticeNational Institute of Corrections

320 First Street, NWWashington, DC 20534

Morris L. ThigpenDirector

Larry SolomonDeputy Director

Virginia A. HutchinsonChief, Jails Division

Alan RichardsonProject Manager

Vicci PersonsProject Manager

National Institute of CorrectionsWorld Wide Web Site

http://www.nicic.org

Gail Elias

John Milosovich

Voorhis Associates, Inc.

March 2005

NIC Accession Number 020159

R E S O U R C E M A N U A L F O R

TRANSITION TO A NEW JAIL

This publication was prepared under cooperative agreement 02J19GIV8 from the National Institute of Corrections,U.S. Department of Justice. Points of view stated in this publication are those of the authors and do not necessarilyrepresent the official position or policies of the U.S. Department of Justice.

© Voorhis Associates, Inc.

The National Institute of Corrections reserves the right to reproduce, publish, translate, or otherwise use and toauthorize others to publish and use all or any part of the copyrighted material contained in this publication.

R e s o u r c e M a n u a l f o r T r a n s i t i o n t o a N e w J a i l iii

The Resource Manual for Transition to a New Jail describes a process formoving into a new detention facility and introduces different philosophicalapproaches to the facility’s operations. It provides guidelines for developinga transition team and details the tasks associated with a successful transitioneffort.

Transition is not simply a matter of moving inmates and staff to a new facility.It is a complex set of tasks that requires staff and other resources working toensure the move is successful. The transition process described includes stepsfor transition management; construction coordination; staffing; documentdevelopment; training; purchase of furniture, fixtures, equipment, and supplies;and the actual logistics of the move to the new facility.

The process outlined in this document is the culmination of many years ofexperience and study. Practitioners who participated in their own agency tran-sitions provided original materials and information that have allowed theNational Institute of Corrections (NIC) to conduct training in the transitionprocess (How To Open a New Institution). The information contained hereinprovides a foundation for agencies to plan properly their transition to a newfacility.

We hope this resource document will assist agencies starting the process ofplanning for a successful transition to a new detention facility. We invite agen-cies to contact the NIC Jails Division for additional assistance, if needed.

Morris L. ThigpenDirectorNational Institute of Corrections

F o r ewo rd

R e s o u r c e M a n u a l f o r T r a n s i t i o n t o a N e w J a i l v

When a jurisdiction decides to make a major change to its jail facility, it com-mits to one of the most significant planning and construction projects it willever undertake. Many jurisdictions focus on the capital aspects of these proj-ects; they miss the essential operational aspects. It is not enough to “build thebuilding.” Jurisdictions must also “build” their new operations as the buildingscome out of the ground. When the buildings are complete, jurisdictions mustmerge their new operational plans with the new buildings to create a smoothtransition into the new jail.

The dictionary defines “transition” as “the act of passing from one stage to thenext,” “an event that results in a transformation,” and a “change from oneplace, state, subject, or stage to another.” In this manual, transition means allof the above. It is far more than a move from one building to another. Becausejails are constructed infrequently and because their operational style tends tobe driven by their design, a new jail almost always means a significant shift inhow the agency operates the facility. This transformation is the heart of transi-tion. These changes do not occur in and of themselves; they are consciouschoices that are planned, developed, implemented, and nurtured through thetransition process.

Transition is often presented as “the step in the planning process that followsconstruction.” In reality, transition begins as the project begins. During plan-ning and programming, the operational philosophy is defined and new opera-tional practices are identified. These are actually the first steps of transition.Then, many jurisdictions begin transition in a more significant way at aboutthe time construction begins.

Regardless of where you are in your facility development process, in spite ofhow much—or how little—time remains until you occupy your new jail facili-ty, this manual will be useful. Although the transition tasks are described for afully staffed transition team with enough time to complete the work prior tooccupancy, we have also attempted to offer strategies for transition in a less

P r e f a c e

R e s o u r c e M a n u a l f o r T r a n s i t i o n t o a N e w J a i lvi

than perfect world. We recognize that each jurisdiction is unique and that projectscan be structured in many ways. These differences influence who does what in anyspecific project. They can shape the tasks the transition team completes and its rolein the process.

As you develop and implement your transition project, recognize that this timeoffers a unique potential for positive change and for addressing issues within yourorganization. What is done to construct the new facility and develop the new oper-ations will shape the environment for both staff and inmates. It will have a signifi-cant impact on your organization and your jurisdiction. Transition is both a challengeand an opportunity worth taking.

Gail Elias

R e s o u r c e M a n u a l f o r T r a n s i t i o n t o a N e w J a i l vii

The National Institute of Corrections (NIC) wishes to acknowledge all of thosewho have contributed to the development of this manual and the associatedcurriculum:

Terry Moran (Inspector, New York Commission on Corrections), Cheryl Paul(Retired Lieutenant, Sonoma County Sheriff’s Department), and Butch Reynolds(Retired Major, Lexington County Sheriff’s Office) for their assistance in devel-oping the foundation for this document and reviewing the draft, and for the use-ful suggestions they provided.

John Milosovich and Gail Elias who took the ideas and some of their own, andformed them into this manual.

And last but not least, the many practitioners in the corrections and criminaljustice planning fields who have shared their transition experiences, bothpositive and negative, with NIC and with other agencies undergoing the sameprocess.

A c know l edgmen t s

R e s o u r c e M a n u a l f o r T r a n s i t i o n t o a N e w J a i l ix

Foreword . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .iii

Preface . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .v

Acknowledgments . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .vii

Chapter 1. Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .1-1How To Use This ManualWhat Is Transition?What Is Transition Meant To Do?What Principles Guide Transition?Why Is Transition Essential?How Does Transition Fit in the Facility Development Process? What Are the Outcomes of Transition?What Comes Next?

Chapter 2. Transition Management . . . . . . . . . . . . . . . . . . . . . . . .2–1Transition TasksOrganizing the Transition ProcessWhat Comes Next?

Appendix 2–1. Action Plan

Chapter 3. Construction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .3–1OverviewConstruction MonitoringConstruction CompletionConstruction Coordination After Facility TurnoverRenovations/AdditionsFinal Thoughts

Appendix 3–1. Construction Terminology

Con t en t s

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Chapter 4. Staff/Human Resources . . . . . . . . . . . . . . . . . . . . . . . . . . .4–1Overview Staffing AnalysisRecruitment and SelectionPersonnel Management ResourcesFinal Thoughts

Chapter 5. Document Development . . . . . . . . . . . . . . . . . . . . . . . . . . .5–1OverviewBefore You WriteDeveloping Individual DocumentsFinal Thoughts

Appendix 5–1. Document Coordinator Position DescriptionAppendix 5–2. Sample Tracking LogAppendix 5–3. Sample Operational ScenariosAppendix 5–4. Sample Policy and Procedure Tables of ContentsAppendix 5–5. Sample Policy and Procedure FormatsAppendix 5–6. Sample List of FormsAppendix 5–7. Sample Post Order FormatAppendix 5–8. Sample Master Schedules

Chapter 6. Training and Orientation . . . . . . . . . . . . . . . . . . . . . . . . . .6–1OverviewTypes of TrainingTraining Challenges

Appendix 6–1. Sample Lesson Plan

Chapter 7. Furniture, Fixtures, Equipment, and Supplies . . . . . . . . . .7–1OverviewDefining FF&E NeedsBidding and Acquiring the ItemsFinal Thoughts

Appendix 7–1. Sample List of FF&E

Chapter 8. Move Logistics . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .8–1OverviewPre-Move ActivitiesThe MovePost-Move ActivitiesAnd Everything Else

Appendix 8–1. Sample Inmate Move PlanAppendix 8–2. Sample Inmate Move Checklist

Chapter 9. Transition Themes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .9–1Managing ChangeCommunity RelationsConclusion

I n t r odu c t i o n

C H A P T E R O N E

How To Use This Manual . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .1–3

What Is Transition? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .1–4

What Is Transition Meant To Do? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .1–5

What Principles Guide Transition? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .1–5

Why Is Transition Essential? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .1–6

How Does Transition Fit in the Facility Development Process? . . . . . .1–6

What Are the Outcomes of Transition? . . . . . . . . . . . . . . . . . . . . . . . . . .1–8

What Comes Next? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .1–8

R e s o u r c e M a n u a l f o r T r a n s i t i o n t o a N e w J a i l 1–3

I n t r odu c t i o n

C H A P T E R O N E

How To Use This ManualThe Resource Manual for Transition to a New Jail was created to assist users/owners of correctional facilities and transition teams who oversee building,opening, and moving into a new jail facility. This manual will help you withevery aspect of the transition process from construction to staffing, training,and orientation to acquiring furniture, fixtures, equipment, and supplies(FF&E) to moving into the new jail.

The manual is divided into nine chapters, each of which provides detailedinformation that will help the user/owner with each function necessary for asuccessful transition:

■ Chapter one, Introduction, provides an overview of the transition process,including the purpose of transition, the principles that guide transition, theneed for transition, how transition fits with the other steps in the facilitydevelopment process, and the goals and outcomes of transition.

■ Chapter two, Transition Management, discusses how to organize the tran-sition process, including selecting a transition coordinator and transitionteam, developing a transition budget, and creating an action plan for accom-plishing each of the tasks detailed in the succeeding chapters.

■ Chapter three, Construction, describes transition duties related to facilityconstruction.

■ Chapter four, Staff/Human Resources, reviews staffing and other personnelissues.

■ Chapter five, Document Development, analyzes both general and individualrequirements for documents (e.g., policies and procedures, post orders,schedules) that must be developed during transition.

■ Chapter six, Training and Orientation, details typical transition trainingactivities, including training and orientation for staff, inmates, and otherusers of the jail.

R e s o u r c e M a n u a l f o r T r a n s i t i o n t o a N e w J a i l1–4

■ Chapter seven, Furniture, Fixtures,Equipment, and Supplies, outlinestransition tasks related to acquiringFF&E, including selection, purchas-ing, receipt, and installation.

■ Chapter eight, Move Logistics,identifies the tasks associated withthe actual move, including pre-move activities, the move itself, andactivities related to the continuedoperation or shutdown of the oldfacility and closing the transitionoffice.

■ Chapter nine, Transition Themes,discusses strategies for managingchange and building communityrelations.

Appendixes to the chapters can befound at the end of the individual chap-ters. These appendixes include termslists; sample forms, checklists, andworksheets for the transition team touse in planning and organizing thetransition; and sample formats forselected documentation that the tran-sition team will need to prepare.

This manual uses the term “jurisdic-tion” to refer to the governmentalentity, i.e., a city, county, or state, thatoperates the facility. The term “de-partment” refers to the agency thatoversees the facility, i.e., the sheriff’sdepartment or department ofcorrections.

To help users get started, the remainderof this chapter discusses what transi-tion is, what it is designed to accom-plish, what principles underlie it, whytransition is essential, and where it fitsinto the facility development and thecontributions that the other steps in theprocess make to transition, and what itsoutcomes are.

What Is Transition?During the marathon process of plan-ning and designing a new jail orprison, jurisdictions focus their finan-cial, political, and human resources onone goal—a new building. Althoughthis focus is natural, it is equally essen-tial for jurisdictions to “build” the newfacility’s operations. “Building the newoperation” is the task of “transition.”

Most jurisdictions build new facilitiesinfrequently. As a result, they do notknow what to expect when they beginplanning for a new building, except byway of “war stories” from other juris-dictions that have gone through theprocess. Jurisdictions tend to think oftransition as moving to the new facility,like moving to a new home. Althoughmoving to a new jail is similar in someways to moving into a new home—both involve moving a lot of posses-sions and fixing last-minute details thatthe contractor didn’t get quite right—the differences are great. Many ofthese differences stem from the factthat operations must continue in theold jail during the move. Correctionspersonnel must still receive and releaseinmates, serve meals, and respond tomedical emergencies. For most of us,a move doesn’t significantly changehow we perform the basic functionswe carry out in our homes. We don’tsupervise our children or cook differ-ently. We don’t have a host of newfamily members who are joining us forthe first time and who don’t know howwe do things, and we don’t typicallyhave family members who are intenton exploiting the situation to their ownadvantage with potentially dangerousresults.

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What Is Transition Meant To Do?Transition involves a complex set oftasks that must begin before the moveand often continue for some time after-ward. It is both the anticipation andpreparation that will make the newfacility effective when it opens.

Transition has three main purposes:

■ To develop and implement anoperational plan.

■ To teach staff how to operate thenew facility.

■ To anticipate and resolve buildingproblems before occupancy.

Imagine you are starting a totally newinstitution. If you had never operateda jail before, what would you need toopen the doors and start accepting pris-oners? Although the building in whichyou will operate is essential, think ofall the other things you would need.Those other things are the products oftransition. It is essential that all of thetasks necessary for a smooth transitionbe identified and completed. To do sorequires a tremendous amount of coor-dination among those who work in,use, service, and visit the jail.

Transition implies change. Many peo-ple in corrections think of it only as achange from an old to a new facility.However, it is as much a change ofoperations as a change of building,even if the jurisdiction has essentiallyreplicated its current building. The newfacility will incorporate new technolo-gy and equipment, and it is likely thatits components and spaces will bearranged differently. Therefore, facilityoperations will change even if thejurisdiction’s basic philosophy andapproach to inmate management

remain constant. More likely, both thephilosophy and style of inmatemanagement will change to somedegree, making the operational changeseven more significant.

What Principles GuideTransition?Transition is based on underlying prin-ciples about change, human behavior,and good correctional practice thatinclude the following:

■ People support what they help cre-ate. Considerable evidence showsthat people resist change, but sup-port for change increases when theyhave an opportunity to participate inthe process. Transition helps buildsupport by involving a variety ofindividuals and groups in thechange.

■ A new building is only a part of thesolution. A principle of jail opera-tions is that safety and securitycome from the effective interactionof three components: a strong phys-ical plant, well-trained staff, andeffective and appropriately usedtechnology. In older facilities, tech-nology is seldom current and thephysical plant has weaknesses. Acompetent well-trained staff pro-vides much of the security. Peopleoften assume that replacing thephysical plant will somehow elim-inate the need for the other twocomponents. Nothing could be fur-ther from the truth. All three willbe necessary for effective futureoperations.

■ Transition provides jurisdictionswith a “once in a lifetime” opportu-nity to shape the future and signifi-cantly improve jail operations.

Transition

provides

jurisdictions

with a “once

in a life-

time” oppor-

tunity to

shape the

future and

significantly

improve jail

operations.


Why Is Transition Essential?Transition is essential for many reasons:

■ No matter how skilled in currentoperations staff are, they will notknow where everything is and howit works in the new facility. Beyondthat, other users, e.g., other lawenforcement agencies, bondingagencies, and the public, will needto know how those parts of thefacility they interact with will work.

■ No matter how good the architectand the contractor are, some thingswill not work as anticipated whenthe facility is finished and will needfine-tuning. You need to know whatthese are before you move into thenew jail. It’s not good to discoverafter the prisoners are moved inthat the electronic security systemisn’t working. Adequate testingof all building systems (calledshakedowns in this manual) andsearching the facility will minimizethe potential for escapes and otherpotentially dangerous and embar-rassing incidents.

■ Rumors about the new facility willarise among staff and inmates. Theunknown can create anxiety foreveryone. Part of the transitionprocess is to provide the rightamount (and kind) of informationto the right people to reduce thelevel of tension associated with themove.

■ Opening a new facility oftenrequires hiring new staff. This newstaff has to be integrated with cur-rent employees in a way that makesthem all competent in the new oper-ation and promotes consistency.

■ Finally, like much of what is donein corrections, a good transition

process should minimize future lia-bility, not only during the transitionand initial occupancy but also forthe life of the facility. The workdone during transition to developpolicies and procedures, create postorders, and train staff goes a longway in protecting long-terminterests.

How Does Transition Fit in theFacility Development Process?Transition is one of the five stages ofthe facility development process, asillustrated by the flowchart (exhibit1–1):

■ Planning. This comprises all theactivities that occur before design.These typically include needsassessment, economic feasibilityanalysis, and architectural program-ming and planning.

■ Site analysis. This comprises allthe activities involved with eval-uating and selecting a site.

■ Design. This comprises all theactivities required to translate thefunctions and spaces defined in theprevious steps into a physical form.It creates the documents fromwhich the contractor bids the job.

■ Construction. This is the processof building the facility.

■ Transition. This is the process ofplanning, developing, and integrat-ing the new operation with thebuilding.

Facility development is often presentedas a linear, multistep process in whichone activity occurs after the other.Although many later steps depend onthe results of previous steps, at leastsome of this process must be concur-rent. Transition cannot wait until

No matter

how skilled

in current

operations

staff are,

they will not

know where

everything is

and how it

works in the

new facility.


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construction is complete. Activities thatoccur during the planning and designstages are the foundation on whichtransition is built.

To some degree, the arrows in the firstrow of exhibit 1–1 represent the facilitydevelopment process and the arrowsin the second row represent the opera-tional development process.

As exhibit 1–1 illustrates, transition islinked to all of the previous (andconcurrent) activities in the facilitydevelopment process. These links areparticularly important for generatingthe documentation that the transitionteam must rely on to perform its func-tions and develop its own documenta-tion for the facility’s operations (seechapter five):

■ Planning produces a mission state-ment for the facility that directs itsdesign and operating philosophy.Materials developed during transi-tion should be consistent with thisphilosophy.

■ Programming provides a statementof the functions carried out in thenew facility and a staffing analysis.Statements of how various func-tions should be carried out form thebasis of detailed scenarios to bedeveloped.

■ Design provides the floor plans,specifications, and other construc-tion documents, which define inwords and drawings how the facilitywill be constructed and what equip-ment and materials will be required.

■ Construction produces other typesof drawings that will be importantresources for transition as well asthe facility itself.

Ideally, transition is a 12- to 18-monthprocess. However, many jurisdictionsmust complete the transition process infar less time. If that is the case, thereare three key issues for transition:

■ How can tasks be prioritized intothose that must be done beforeoccupancy and those that can be

Exhibit 1–1. Facility Development Process

ConstructionDesignSite AnalysisPlanning

Transition

Planning

produces a

mission

statement

for the

facility that

directs its

design and

operating

philosophy.


deferred without jeopardizing thesafety, security, and integrity of theinstitution?

■ How can more resources be madeavailable for transition to accom-plish as much as possible beforeoccupancy?

■ Is the situation so acute that occu-pancy should be deferred until thejurisdiction is better prepared?

Decisions about each of these keyissues must be made by the depart-ment, preferably with the support ofthe county administration.

What Are the Outcomes of Transition?As mentioned earlier, the desired out-comes of the transition process fall intothree categories:

■ To develop and implement anoperational plan.

■ To teach staff how to operate thenew facility.

■ To anticipate and resolve buildingproblems before occupancy.

In addition to the specific outcomesrelated to the operation of the new jail,a well-designed and well-executedtransition process realizes goals andbyproducts that improve the operationof the department as a whole. The fol-lowing are the goals of a typical transi-tion process:

■ To develop the skills and knowl-edge of the new jail’s staff.

■ To re-create and improve opera-tions, starting with a clean slate.

■ To anticipate and solve buildingand operational problems prior toopening.

■ To include a wide range of users topromote ownership.

■ To enhance the credibility of thejail as an equal partner within thedepartment.

■ To use individual skills needed fortransition without regard to title,position, or rank.

■ To recognize and plan for a smoothtransition to the new facility for allinmates and staff, whether the staffis full time or part time.

Beneficial byproducts of transition forthe department include the following:

■ A cadre of highly skilled and moreknowledgeable employees who arecapable of taking on a variety ofchallenging assignments.

■ Improved working relationshipswith a variety of agencies bothinside and outside of government.

Because most communities construct acounty jail only once every 50 to 100years, transition provides a uniqueopportunity to do it right. Transitiongives the criminal justice and correc-tions community a new opportunity tomeet the needs of inmates, enhancepublic safety, and improve the entirecriminal justice system.

What Comes Next?Now that you’ve had a brief exposureto transition, you may wonder howyou’re going to put together yourdepartment’s approach to this challeng-ing task. Chapter two, Transition Man-agement, offers some suggestions onhow to get started.

Use individ-

ual skills

needed for

transition

without

regard to

title,

position,

or rank.

Tr a n s i t i o nManagemen t

C H A P T E R T W O

Transition Tasks . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .2–3Organizing the Transition Team . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .2–3Monitoring the Construction Process . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .2–4Hiring Staff . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .2–5Developing Documents . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .2–6Training . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .2–6Acquiring FF&E . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .2–7Planning Move Logistics . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .2–8Miscellaneous Tasks . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .2–9

Organizing the Transition Process . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .2–9Organizing the Transition Team . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .2–10Transition Budgeting and Its Relationship to Project and Operating Budgets . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .2–14Developing the Action Plan . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .2–16

What Comes Next? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .2–17

Appendix 2–1. Action Plan . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .2–19


This chapter begins with an overview of the individual transition tasks that willbe discussed in greater detail in the remaining chapters of this manual.Following this general overview, the remainder of the chapter discusses theorganization of the transition process in more detail, including organizing andhousing the transition team, developing and following a transition budget, anddeveloping an action plan.

Transition TasksTransition tasks can be organized in various ways, but tend to fall into theseseven groups:

■ Organizing the transition team.

■ Monitoring the construction process.

■ Acquiring staff for the new operation.

■ Developing the documents needed for the new operation.

■ Training the staff in how to operate the new facility.

■ Acquiring the furniture, fixtures, equipment, and supplies (FF&E) that arenot part of the general contract.

■ Planning the logistics of the move.

All of these tasks play a significant part in a successful transition, and a num-ber are related to or depend on successful completion of previous tasks. Theywill not all take an equal amount of time and it is likely that each will haveperiods of ebb and flow. This chapter and each of the following chaptersfocuses on one of these primary tasks following the brief description below.

Organizing the Transition TeamAt a minimum, organizing the transition team involves the following tasks:

■ Selecting the transition coordinator and transition team members.

■ Requesting and obtaining the transition budget.

Tr a n s i t i o n Managemen t

C H A P T E R T W O


■ Locating the transition office.

■ Developing an overall transitionplan and schedule.

■ Identifying transition team trainingneeds.

■ Establishing a reporting structure.

■ Identifying transition tasks.

■ Prioritizing and assigning tasks.

The first group of transition tasks areabout getting organized. This involvesnot only selecting the team members,but also developing the resources tosupport the team—such as a budgetand office space. Because transitionteams rarely come with the necessaryskill sets fully developed, some train-ing will likely be required. The individ-uals on the transition team will workclosely together over an intense period,which can lead to difficulties if teammembers do not understand eachother’s work styles and have no mecha-nism to resolve issues that arise. There-fore, it may be a good idea to kick offtransition with a team-building activity.

Once the transition team is organized,the next series of tasks is to develop anoverall transition plan, including aschedule. This often takes the form ofaction planning to identify all requiredtasks and their time sequence and duedates, the resources needed to completethe tasks, and who has overall respon-sibility for completing the tasks.

In the best of all possible worlds, tran-sition teams would have all the timethey need to do all of the transitiontasks before occupancy of the building.However, sometimes reality divergesfrom the ideal. As a result, transitionteams need to focus first on those tasksthat must be done before occupancyand defer those that can occur after the

building is operational. In prioritizingtasks, it is important to focus on thosetasks that have implications for train-ing, affect the safety and security ofthe facility and its staff, or require longlead times for acquiring essentialequipment and supplies.

Monitoring the ConstructionProcessAt a minimum, monitoring the con-struction process involves the followingtasks:

■ Determining/clarifying the roles ofthe transition team’s constructionspecialist, the owner’s representa-tive or project manager, and thecontractor. The scope of this tran-sition task can vary widely fromjurisdiction to jurisdiction, depend-ing on how the project is beingmanaged. Even if the jurisdictionhas a totally separate project man-agement structure, the transitionteam will still play a role in moni-toring construction activities. It isimportant to be very clear on whatthe transition team’s role will be inmonitoring the construction processand how input from the team can beintegrated to enhance the construc-tion process.

■ Clarifying when and how thetransition team will gain accessto the site. One of the givens isthat the transition team will needaccess to the site, not only forwalkthroughs, but also for testingtransition work products, such asscenarios and policies and proce-dures. Transition team membersmust learn how to behave while onthe site to ensure that they do notcreate conflicts or safety issues.

In the best

of all possi-

ble worlds,

transition

teams would

have all the

time they

need.


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■ Establishing a plan to gain accessto shop drawings. The transitionteam will need to put in place aprocess that will allow them to getshop drawings that are of particularinterest to them. These will typical-ly involve security-related items. Insome cases, the team may want acopy of all shop drawings, particu-larly if it is not familiar enoughwith the project to determine whichare important to them.

■ Securing and maintaining as-builtdrawings. The transition teamneeds to ensure that the buildingcontractor’s drawings that describehow the facility is actually built areprovided, stored, and secured forfuture use.

■ Preparing for the facility to beturned over to the jurisdiction. Asoccupancy draws nearer, the transi-tion team will be increasingly in-volved with construction. Teammembers typically participate inpunchlists (a list of work to be cor-rected or completed by the contrac-tor after substantial completion),walkthroughs, and the shakedownof equipment and systems in thefacility.

■ Coordinating post-constructionactivities. After the general contrac-tor is finished, transition teammembers will need to coordinatevarious activities, including tele-phone and computer installation.The team also will likely be in-volved in followup warranty work.

Hiring StaffJurisdictions sometimes underestimatethe impact of transition on their per-sonnel departments, and they differsignificantly in how they approachcompleting the tasks that are discussed

in this section. Team members arelikely to play a supporting role in thisarea—their participation will beessential. At a minimum, acquiringhuman resources to operate the newfacility involves the following tasks:

■ Developing or updating a staffinganalysis for the new facility. If nostaffing analysis has been complet-ed, this will be the team’s first orderof business to ensure that the facili-ty will have the necessary staff tooperate. If a staffing study has beendone, team members need to ensurethat it is updated and verified basedon the final design. Team membersmay need to develop several staff-ing studies: an initial occupancystudy as well as a full-occupancystaffing analysis.

■ Developing a hiring plan.Transition team members need tofamiliarize themselves with the nor-mal hiring process and work withthe department’s and/or jurisdic-tion’s human resource staff to iden-tify the impact on the normalrecruitment and selection processof the numbers of people who willhave to be hired. Jurisdictions oftenfind that the number of individualsto be screened and taken throughthe selection process can over-whelm normal resources. This maylead to either an increased role forthe transition team in the recruit-ment and selection process or amodification of the process.

■ Modifying the recruitment andselection process, if required.Together with human resource offi-cials at both the department andjurisdiction levels, team membersmay need to modify the selectionprocess to recruit, select, and hire


the number of personnel requiredfor the new facility within theestablished timeline.

■ Participating in recruitment andselection activities. Transition teammembers may be called on to takepart in recruiting and selecting stafffor the new facility.

■ Coordinating hiring and trainingactivities. The recruitment processmust be coordinated with training.Transition team members whofocus on training often discoverchallenges involved in providing thenecessary training to current staff.As a result, one strategy involveshiring new staff early enough thatthey can fill in at the existing facili-ty, which, in turn, increases thetraining that the new staff mayrequire.

Developing DocumentsProbably the most time-consumingtask in the transition process is devel-oping the documents that are necessaryfor the new facility. Each of these doc-uments fills a different need, but all areessential and all are related. At a mini-mum, developing transition documentsinvolves the following tasks:

■ Developing scenarios for jailoperations. Scenarios are the firstdocuments developed; they describehow different functions, such asreceiving inmates, serving meals,and moving inmates for services,will occur in the new facility.Although scenarios are often writtenduring pre-architectural planning,during transition they become moredetailed.

■ Developing policies and proce-dures. Policies and procedures aredeveloped next. They are derived

from a variety of sources: the sce-narios, existing policies and proce-dures, and standards. These docu-ments form the basic way in whichnew operations are taught. Not allpolicies and procedures are equallyimportant—and not all will changefrom your previous operations.Procedures that have strong links tothe physical plant, such as those forreceiving inmates, are more likelyto change with the move to a newfacility than those that do not, suchas those for conducting a discipli-nary hearing. This allows some pri-oritization, but does not eliminatethe need to review all policies andprocedures.

■ Developing post orders. Postorders tell staff all the things theymust do at a specific post assign-ment. They summarize the activitiesthat have been identified for thatpost in all of the policies andprocedures.

■ Developing an inmate handbook.The inmate handbook is the pri-mary means of informing inmatesabout facility rules and procedures.Like the post orders, the inmatehandbook is derived from policiesand procedures.

■ Developing a master schedule.The master schedule documentsfacility operations based on time ofday and day of the week. It identi-fies when all inmate and staff activ-ities occur and is a good way to testassumptions about when and wherethings will happen.

TrainingJurisdictions often underestimate tran-sition training needs, particularly whenmultiple sessions of the same training

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must be provided to accommodate allthose who need the training. Ultimatelythe training effort will involve thedepartment and, potentially, the juris-diction’s training personnel, teammembers, and (frequently) supervisorsin the new facility. Given the amountof training that will be needed, thejurisdiction may want to consider pro-viding a training-for-trainers programto ensure staff will succeed in theirtraining assignments. At a minimum,training involves the following tasks:

■ Identifying training types.Potentially five different types oftraining may be needed:

– Facility orientation focuses onteaching a broad spectrum ofindividuals what they need toknow about the facility. Trainingneeds will vary by group, buteveryone needs some basic orien-tation to the facility.

– Document training uses the poli-cies and procedures developed bythe transition team as a way ofteaching the new operations.

– Post order training focuses onteaching staff who will work at apost how to use all of the equip-ment, access all of the spaces, andfunction effectively in their newarea.

– Simulations provide an opportuni-ty to test the effectiveness ofprocedures that require the inter-action of inmates and staff; theseactivities typically involve consid-erable movement on the part ofstaff and inmates. Simulationsalso provide an opportunity to testthe operational readiness of build-ing systems and equipment.

– Basic academy training will benecessary for new hires.

■ Identifying groups requiringtraining. The transition team needsto identify all of the groups that willneed training. The facility has manyusers besides staff; these includeinmates, user agencies, vendors,and visitors.

■ Developing a training schedule.The team must develop a scheduleof training events that takes intoaccount when both new and oldstaff will be available for training.

■ Developing curriculums. Althoughthe team may draw on existing cur-riculums for some types of training,such as academy training, a greatdeal of facility-specific curriculumwill need to be developed.

■ Identifying trainers. The amountof training that typically must occurwill exceed the resources of eitherthe training division and/or the tran-sition team. The team may need toidentify potential trainers, such assupervisors, to teach other staff.These individuals may require“train-the-trainer” workshops to beeffective. The team may also lookoutside the division or the depart-ment for some types of training.

■ Conducting training. Trainingmust be both conducted anddocumented.

Acquiring FF&ECorrectional officials and staff oftenassume that they will be able to walkinto the new facility after the contrac-tor leaves and find everything theyneed to start operating. This is typical-ly not the case. The contractor isresponsible for building the facility andacquiring everything that is attached to


it. Unfortunately, many other thingswill be necessary. If you could turnyour existing jail upside down andshake it, the items that would fall outare in the category of furniture, fix-tures, and equipment. They are mov-able items, and the jurisdiction istypically responsible for acquiringthem along with supplies. This becomesone of the specialized tasks of the tran-sition team.

At a minimum, acquiring FF&Einvolves the following tasks:

■ Defining which items are needed,the budget from which they will bepurchased, and how they will beacquired.

■ Evaluating, testing, and selecting(or recommending the selection of)FF&E items.

■ Assisting in acquiring these itemseither through a bid process or bypurchasing them directly through agovernment contract.

■ Scheduling delivery to avoid orlessen the need for storage, receivingitems, and either placing or super-vising the placement of these items.

■ Checking the condition of FF&Eitems and inventorying them.

■ Identifying warranty start andend dates and maintaining thewarranties.

This workload is not evenly distributedduring transition. Initially, a significantamount of time must be invested inselecting items, and items that have along lead time must be ordered earlyenough to ensure that they are at thenew facility when needed. Team mem-bers will also be responsible for thesecurity of these items if other arrange-ments have not been made withvendors.

Planning Move LogisticsIn transition, even “moving” is morethan just getting from one place toanother. Various activities must occurafter the building is substantially com-plete but before the move. At a mini-mum, planning the logistics of themove involves the following tasks:

■ Developing a plan for the move.Transition teams need to develop anoverall plan for the move. Will itoccur at one time or in phases?Who will move first and where? Allof these relatively simple questionscan be complicated by the need tokeep both facilities operational fora period of time. Some transitionteams may believe that they willhave less to do if the old facilitycontinues in operation after the newone is opened. However, that is notnecessarily the case. For example,a significant renovation of the oldfacility may occur after the move tothe new facility. Therefore, a goodplan for the sequence of the move isessential to deal with this or othercontingencies that may affect opera-tions in the new facility.

■ Testing the building systems andequipment. Transition team mem-bers will be involved in the shake-down (and possibly commissioning)of building systems and equipment,testing not only the operation ofindividual systems, but also howsystems interact under normal andemergency conditions.

■ Cleaning the facility before publicevents. “Contractor clean” is notthe same as “correctional clean.”Team members will need to ensurethat the facility meets the depart-ment’s standards of cleanliness andneatness before public events.

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■ Holding public events. Team mem-bers will be involved in a variety ofpublic events—particularly toursand open houses for a broad spec-trum of groups and individuals.

■ Searching the building for safetyand security items. Once the pub-lic events are over, the transitionteam must conduct a thoroughshakedown to ensure that all itemsthat should not be in the jail areremoved and to make sure that allsystems are operating as intended.

■ Managing the move of staff,inmates, and services. Finally, themove itself involves a great dealmore than just the inmates and theirproperty. Staff and their equipmentand supplies must also be moved,including files and items stored inall of the “nooks and crannies” ofthe current jail. This is an excellenttime to determine which itemsmust be moved and which canbe disposed of.

■ Coordinating move activities withother agencies. The team needs todetermine when operations willshift from one facility to anotherand convey that information tothose agencies and other entitieswho need to know, such as locallaw enforcement and vendors.

Miscellaneous TasksAs if these tasks were not enough, avariety of miscellaneous tasks must bedone both throughout the transitionprocess and at specific times. Thesetasks are likely to include—

■ Community relations. The transi-tion team is often involved withcommunity relations as its membersare likely to be the most visible rep-resentatives of the department at the

new facility. This is an ideal oppor-tunity to develop good relationswith the surrounding community,and handling these tasks becomesthe transition team’s responsibility.

■ Internal communication andinformation management. Staffwho are not involved with transitionneed to get accurate informationabout the new facility and opera-tions—in the absence of some typeof regular information exchange,rumors can take hold.

■ Post-move activities. The transitionteam will also be responsible for avariety of activities after the move.Policies and procedures will need tobe fine-tuned. The old jail may beclosed and must be secured if it willbe renovated and/or abandoned.

■ Post-occupancy evaluation. After6 months or a year, the facilityshould be evaluated to determine ifit is operating as intended.

■ Transition closeout. Finally, thetransition team must close itselfdown and move to new assignmentsafter making appropriate dispositionof equipment, furnishings, and files.

Organizing the TransitionProcessGood management principles shouldbe used throughout the transitionprocess to establish a model that canbe applied later to other aspects of jailoperations. The transition process is aunique opportunity to create teamwork,develop new systems, prepare new jailoperations, and provide for personaland professional development. The fol-lowing section looks at the three majorsubtasks associated with organizing thetransition process: determining themakeup, structure, and housing of the


transition team; budgeting for transi-tion and analyzing how the transitionbudget relates to the facility’s projectand operating budgets; and developingthe action plan.

Organizing the Transition TeamThis section discusses several crucialaspects of organizing the transitionteam:

■ Determining who the transitioncoordinator and the members of thetransition team should be and howmany team members are needed;what skills, characteristics, andexperience they must possess; andwhat level of commitment theyshould be prepared to devote to thetransition process.

■ Determining how the transitionteam should be structured (teamapproach vs. task force approach).

■ Determining where the transitionteam should be located.

Who Should Do Transition?

Because most jurisdictions have littleexperience with either facility con-struction or transition, considerableuncertainty often exists about whoshould actually do the work associatedwith transition. This situation is com-plicated by the lack of adequate stafffor current operations in many jails.As a result, transition activities maybecome just one more collateral dutyassigned to the jail administrator or akey staff person.

However, transition—even for a smallfacility—is not a part-time job. Toomany tasks must be completed with ahigh degree of accuracy for anythingless than a full-time commitment. Inmost cases, the window of opportunityfor transition activities is short, and

failures that occur as a result of inade-quate attention to transition activitiescan be too serious and last for too longa time. Transition has to be someone’stop priority. It is equally important tounderstand that at certain periods tran-sition will be more than an 8-hour-a-day, 5-day-a-week job. Team membersneed to be prepared to devote the nec-essary time to the project, and agenciesmust be prepared for the implicationsof longer workdays and fewer days off.

Team Approach

Jurisdictions that have had the greatestsuccess with transition have used afull-time dedicated transition team. Thesize of the team will vary based on anumber of factors:

■ The quality of the current operation,especially in relation to its docu-ments and training.

■ The resources of the jail, depart-ment, and jurisdiction.

■ The level of staff involvement inearlier phases of the project.

■ The size of the facility.

■ The degree of change in operations,i.e., moving from “no programs” to“program intensive” or from a “lin-ear intermittent” style of inmatemanagement (one that requiresguards to walk the corridors andlook into cells) to “direct supervi-sion” (one that places staff in thehousing units with no barriersbetween them and the inmates).

■ The level of community resourcesavailable for the project.

The length of time available for transi-tion is the critical factor to considerwhen determining how many people toassign to transition duties. When juris-dictions begin transition relatively

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early, many begin with a smaller coregroup of transition team members andadd people to the team as occupancynears. This can result in the need toeducate new team members about deci-sions and actions that occurred beforethey became involved. Jurisdictionsthat have a shorter lead time may needall their resources immediately. Afteryou have determined the tasks thatmust be done, estimated how manylabor hours it will take to do them, anddecided when occupancy will occur,make an initial—or second—assessment of the resources you willrequire.

Most jurisdictions also find that thework of transition is not evenly distrib-uted among the primary tasks. Someare more labor intensive than others;in addition, some groups of tasks havetime-intensive periods followed bydowntime. This may allow for dividinglabor among team members, so that asingle member can wear two hats. Itmay also allow some tasks to be con-sidered collateral duties.

Role of the Transition Coordinator

Although there is no single rightanswer to the question of how toorganize staff for the transitionprocess, experience has shown thattransition is neither a second nor apart-time job. The role of transitioncoordinator is pivotal, because thecoordinator will be accountable for theoverall transition process. Even in thesmallest facilities, a great deal of workis required to get ready to start opera-tions in the new facility. It is importantto understand that these tasks really arethe jurisdiction’s responsibility.Although the architect, contractor,and/or consultant can help with the

process and some of the tasks inspecific areas, much of the work has tobe done by the jurisdiction.

The transition coordinator will routine-ly and systematically evaluate theprogress of the transition process. Heor she is responsible for establishingand meeting transition goals and timeand cost objectives. The transitioncoordinator must be able to managemany tasks at once, set and monitordeadlines, delegate effectively, andidentify and track the thousands oftasks required in transition.

We noted earlier how important theteam leader or transition coordinatorwill be, and we also indicated that thisis not the jail administrator’s part-timejob. However, if the jurisdiction assignssomeone as acting jail administrator,then the jail administrator can serve astransition coordinator. Regardless ofwho this person is, he or she needs avariety of skills, experience, and per-sonal characteristics.

Skills. This is a major planning proj-ect. Although the transition coordinatorneeds to be able to deal with thedetails, it is critical that he or she alsobe able to see the overall picture. Thisindividual will have to make somedecisions, but he or she will also haveto manage the decisionmaking processof others, often those who do not nec-essarily work for the coordinator.Because transition is challenging, andbecause many others—both on andoutside the transition team—will donecessary transition work, the leaderhas to motivate and coach others whileholding them accountable. Good writ-ten and oral communication skills areessential. The transition coordinatordoes not need to be the best writer on

Experience

has shown

that tran-

sition is

neither a

second nor

a part-time

job.


the team, but his or her communicationsmust be clear and easy to understand.

Experience. The transition coordinatorneeds to have a broad spectrum ofdetention experience. It will be helpfulfor the transition coordinator to haveled a team and/or worked on specialprojects. Certainly an understanding ofplanning and construction will be help-ful, but typically many of the substan-tive aspects of the transition coordina-tor’s job can be learned. Furthermore,in the transition process, a number ofdeadlines will have to be met, many ofwhich will be beyond the coordinator’sor team leader’s control. The transitioncoordinator has to know how to get thejob done and to see that others get thejob done within the time allotted.Finally, because this process has a greatmany unknowns, it is not a good spotfor someone who is uncomfortable withuncertainties.

Characteristics. Transition is a criticalactivity for the department, the juris-diction, and its elected officials. Thetransition coordinator has to have theconfidence of top management if he orshe is to get the job done. The coordi-nator needs to be empowered to makedecisions and then allowed to do so.The transition coordinator needs tounderstand clearly which decisions heor she can make on his or her own andwhich ones will require consultationand/or approval at the administrative orexecutive level. When the transitioncoordinator does not have the authorityto make the decision, he or she needsto be able to facilitate decisionmaking.It is equally important that the coordi-nator be respected by staff. Withoutrespect from other personnel, transitioncoordinators will encounter high levels

of resistance and may find it difficultto get things done.

Team Members

Ideally, transition team members willmonitor and/or coordinate each of themajor aspects of transition that are dis-cussed in detail in this resource manual:

■ Construction.

■ Staff/human resources.

■ Document development.

■ Training and orientation.

■ Furniture, fixtures, equipment, andsupplies.

■ Move logistics.

Team members also need special skills,experience, and characteristics. Being amember of the transition team hassome characteristics in common withbeing part of a regular work group, likea shift, but it also has significant differ-ences. Transition is a temporary workgroup that typically is outside the for-mal chain of command. Line staff maysee it as an “easy” assignment, but it isfar more challenging than most jobsthey have held. For most people, thework of transition is unlike anythingthey have done in the past.

Skills. Team members must be able todo more than one thing at a time andstay organized. All of the team mem-bers need to be able to communicatewell, but individuals with strong writ-ing skills are a must for the team.Team members will encounter prob-lems that will often differ significantlyfrom those they have experienced inday-to-day operations. As a result, theyneed to be good at identifying, analyz-ing, and developing solutions.

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Experience. Team members needexperience using a wide variety of soft-ware applications. Nearly all aspects oftransition benefit from automation.Team members also need to know howto read and use drawings and specifica-tions. They need to be knowledgeableabout jail operations—not just theirown operation, but how other jailsoperate, and not just their own area,but other areas of the operation as well.Finally, they need to know and supportthe new jail philosophy.

Characteristics. Team members needto be able to work well with others.They will represent the department toa broad spectrum of people. Teammembers need to be assertive but flexi-ble. They can’t be “my way or thehighway” kinds of people, but theyneed to know how to represent theirneeds and perspectives strongly.

It is unlikely that you will find all ofthese skills represented in each teammember; members will exhibit a vari-ety of characteristics and will have anumber of potentially useful experi-ences outside their work life that maybe helpful in transition. Look for ateam that achieves balance within theseskills—and don’t assume that all of theteam members must be experiencedsecurity staff. Teams that includeclerical, maintenance, and/or programpersonnel may incorporate a widerbreadth of experience and skills. Ifyou widen your search parameters,you may find resources you did notanticipate.

How Can the Transition Team BeStructured?

Transition personnel resources proba-bly can be organized in an infinitenumber of ways. All of them require a

transition coordinator or team leader.However, transition staff are generallyorganized in one of two basic ways.The team approach assumes that themajority of team members are full-timestaff; the task force approach does notassume full-time staffing.

Teams can be structured in one of sev-eral ways. A team of specialists—inwhich work is assigned by task—mightinclude one or more specialists in con-struction, writing, training, equipment,move logistics, and so on. A team ofgeneralists might be assigned responsi-bility for all tasks within a specific areaof the facility. Both of these approach-es have pros and cons. A team of spe-cialists will build a high level ofexpertise in a specific task and can berecruited for interest and ability in aspecific area. Because they will see allof the materials related to that task,there is less potential for inconsisten-cies and duplication of effort.However, a team of generalists willlearn a specific area of the facility bet-ter and may see an interaction betweentasks such as a potential conflictbetween policies and procedures andthe equipment that will be used tocarry out those procedures.

When NIC first began providing transi-tion training, a task force approach wasused. The task forces might includeone or more full-time members, butcould also include operational special-ists. Task forces were often organizedby a combination of tasks, i.e., movelogistics, and by function, i.e., programservices or security. The task forceapproach has the potential to involvemore individuals, but it also may resultin inconsistencies, such as when twotask forces write policies or procedures

Teams that

include cleri-

cal, mainte-

nance, and/

or program

personnel

may incorpo-

rate a wider

breadth of

experience

and skills.


that are inconsistent. Those inconsis-tencies may go undetected for a con-siderable time until an activity thatlooks at the interaction of multiplepolicies and procedures, such as thedevelopment of post orders, occurs. Bythen, major revisions to the policiesand procedures may be necessary.

Although there is no single answer tothe question of how the transition teamshould be structured, a key factor forsuccess is to clearly define who is todo what during the transition processand to put in place a method of qualitycontrol that identifies and resolvesinconsistencies.

Where Should the Transition TeamBe Located?

One of the least considered questionsis where the transition team should belocated. Ideally, it should be located atthe site of the new facility. Because thenew facility has not yet been construct-ed, this is likely to mean that the teamwill need one or more trailers on thesite.

If locating the team onsite is not anoption, the team will still need separateoffice space in a single location. It isimportant that the team not get drawninto current operational situations. Ifthe team’s offices are in the existingjail, it may be tempting for the team tocontinue to be involved in jail opera-tions and for managers to look at theteam as a potential resource when ashift is running short.

Regardless of where the team ultimate-ly ends up, they will need—

■ Adequate space for all members ofthe team and their materials.

■ Adequate space for all equipment,including telephones, computers,copiers, files, and lots of paper.

■ Access to e-mail and both intranetand Internet.

■ Access to the facility constructionsite as negotiated with the contractor.

Transition Budgeting and ItsRelationship to Project andOperating BudgetsTransition activities require a variety ofresources—personnel, equipment, andsupplies. Although many departmentsinitially believe they can support tran-sition activities out of their existingoperating budgets, they soon learnthat transition activities require moreresources. This section identifiesresources that may be required fortransition activities and differentiatesthe transition budget from both theproject budget and the department’soperating budget.

Transition staff will be involved with anumber of activities that relate to boththe project budget and the department’soperating budget. Team members needa broad understanding of both projectbudgeting and their department’s ownbudget process to carry out transitionactivities in a timely and fiscallyresponsible manner.

Transition team members may dealwith three different budgets: the projectbudget, the department’s operatingbudget, and the transition budget. Thesethree budgets may have different re-quirements, may be on different budgetcycles (it is rare that construction budg-ets coincide with the department’sbudget cycle), and may be controlledby different stakeholders. As a result,transition team members must—

■ Identify and become familiar withtheir budget resources andrequirements.

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■ Determine lines of authority andbudget procedures.

■ Clarify their role with regard tobudget requests.

■ Educate themselves regarding thelead time for budget requests.

Project Budget

The project budget “builds” the facilityand is typically controlled by the des-ignated project manager. It has twodistinct components: the constructioncontract and the other budgetedexpenses, usually called project costs.The construction contract is awarded tothe building contractor. Of more inter-est to the transition team are the otherbudgeted expenses, which fund whatare sometimes called the project’s “softcosts.” To understand these two budg-ets, think what would happen if thebuilding were turned upside down.Everything that stayed attached to thebuilding would be paid for from theconstruction contract; everything elsewould be paid for from the funds setaside for soft costs. These soft costsinclude fees, permits, administrativecosts, and two budget categories thatare particularly important to the transi-tion team: the contingency fund, whichdeals with project “unknowns,” and thebudget set-aside for FF&E.

Contingency Funding

The transition team needs to know thestatus of the contingency budget. Thesize of this budget is typically based onthe size of the construction project andthe stage of the planning process.Contingency costs are typically calcu-lated as a percentage of the construc-tion cost; this percentage is highestduring planning and decreases through-out the design process. Jurisdictions

often carry different contingencypercentages based on the type of con-struction. The contingency budget in arenovation may be as high as 25 per-cent, while contingency funds in newconstruction average 10 percent or less.The transition team needs to know howmuch money remains in the contin-gency budget and what it can be usedfor. Contingency budgets are managedas part of the project budget. Thismeans that the transition team willneed to meet with the designated proj-ect manager to determine if and whenthey can expect to have access to anycontingency dollars.

FF&E Budgeting

The FF&E budget is most often usedfor furniture and equipment. This caninclude computers and software andsuch specialized equipment as digitalmugshot and fingerprint systems. TheFF&E budget is often developedduring design as a percentage of theconstruction cost. However, duringtransition, the actual number and costof each item must be identified.Several of these items can have rela-tively long acquisition lead times andtheir storage can be problematic. Thisissue is discussed in more detail inchapter seven, Furniture, Fixtures,Equipment, and Supplies.

Operating Budget and Startup Budget

The operating budget is the depart-ment’s normal budget. However,during a new facility’s first year ofoperation the department often incursone-time expenses that require a start-up budget. The startup budget is typi-cally used for supplies that are requiredto open the facility but do not costenough to be considered capital expendi-tures, such as inmate and staff uniforms,

Transition

team mem-

bers may

deal with

three differ-

ent budgets:

the project

budget, the

department’s

operating

budget, and

the transi-

tion budget.


property bags, inmate bedding, andwastebaskets. In some cases, however,they can be capital items, such as vehi-cles, that are required but typically arenot funded from the project budget. Asa result, most jurisdictions do not buildthese items into the department’s per-manent budget.

A major challenge for transition is fig-uring out the timing of budget requests.Most jurisdictions have budget submis-sion times 6 to 12 months in advanceof the budget award. This means thattransition staff often must figure outand submit operating and startup budg-ets just as they are beginning the tran-sition process, when there are stillcountless unknowns. Worse yet, staffmay discover that the submission peri-od has passed and a special requestmust be justified.

Transition Budget

The transition budget is a budget estab-lished to support transition activities. Itcan include all of the normal budgetcategories within the department’soperating budget. Initially, many juris-dictions believe that they can supporttransition with normal operating funds.However, as time passes, transitionteams often need to purchase comput-ers, software, office supplies, cameras,and other items. Transition needs abudget of its own.

Developing the Action PlanA daunting aspect of transition is theneed to complete thousands of tasks onan extremely tight timeline in a waythat allows the new facility to openwithout a hitch. Team members areoften selected for their operationalexpertise, but few have been chal-lenged to organize as many new and

related activities as they face in thetransition process. Action planningallows the transition team to organize,divide, and monitor the status ofnumerous complex transition tasks.

An action plan differs from the long-term planning process that was used todevelop the new facility. It is shorter induration and much more specific in itsintent. The action plan focuses on theintended outcome. It clearly identifiesall of the tasks that will be required tocreate that outcome, breaking themdown into discrete and manageablepieces of work that can be dividedamong team members.

The action plan identifies who isresponsible for each activity or task, aswell as who has overall responsibilityfor overseeing the completion of theentire plan. This person must use theaction plan to hold transition teammembers accountable for completingtheir tasks. Also, he or she must beaware of task interdependencies notonly within the individual action planbut between action plans as well. Taskinterdependencies occur when onetask, such as policy and proceduretraining, depends on another, such aswriting policies and procedures. Theseinterdependencies must be closelymonitored to ensure that the transitionprocess stays on track.

The action plan also identifies requiredresources, when applicable, andassigns a specific date for completionof each task. The action plan shouldidentify the specific task, the due date,the person responsible, the resourcesrequired, and the status of the task,such as “in process” or “completed.”Due dates should be developed in con-junction with the transition schedule.

Action

planning is

sometimes

like figuring

out the

opening sen-

tence for a

100-page

essay.


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Many of the activities need to be care-fully coordinated to achieve a smoothtransition. Action plans can guide thetransition process and the work of thetransition staff. The transition coordi-nator can use the action plans to moni-tor the status and progress of transition.After the action plans are initiallydeveloped, they should be dynamic,constantly changing in response to theproject. A list of possible action plansfor each topic has been included inchapters three through eight of thismanual. Appendix 2–1 shows a sampleaction plan format.

What Comes Next?Often the first task is the hardest.Action planning is sometimes like fig-uring out the opening sentence for a100-page essay. If you approach thistask with the attitude that the actionplan will be a living document thatgrows and evolves with transition, youwill be less likely to avoid this task andmore likely to create a useful tool thatcan help throughout transition. Onceyou have a clear idea of your transitionroadmap, it is time to begin workingon the details. The next seven chapterswill help you fill in the details for yourproject.


AP

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2–19

APPEND IX 2–1.ACTION PLAN

Any Community, Any State, Any Project—Transition Action Plans

Action Plan No.: 1.1 Area: Transition Management Sub Area: Overall Plan

Task/Objective: Develop an overall strategy for the transition process.

Person Responsible: Due Date:

Person Completion ResourcesActivities Responsible Date Required Status

1.1.1 Review/update mission statement and goals established for the project.

1.1.2 Develop goals for transition.

1.1.3 Approve transition goals.

1.1.4 Draft overview transition flowcharts with due dates.

1.1.5 Obtain consensus of draft flowcharts.

1.1.6 Develop transition assumptions. (Assumptions are items you believe will happen but which are beyond your control.)

1.1.7 Obtain construction project schedules and receive updates.

1.1.8 Determine desired earliest and latest occupancy/move date consideringoperational budget.

1.1.9 Identify other key dates relative to the project, transition and operations, i.e., budget dates, construction completion.

1.1.10 Develop process to update/modify flowcharts and due dates.

1.1.11 Implement process to update/modify flowcharts.


AP

PEN

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2–1


Action Plan No.: 1.2 Area: Transition Management Sub Area: Action Plans

Task/Objective: To implement transition action plans.



1.2.1 Review activities and modify these transition action plans, plus develop other needed action plans.

1.2.2 Update transition action plans.

1.2.3 Identify person responsible, due date, and resources required to complete each action plan and for each activity.

1.2.4 Develop system to monitor status of each action plan on a weekly basis.

1.2.5 Implement action plans.

1.2.6 Update flowcharts based on action plans.

1.2.7 Establish tentative move dates.

ACTION PLAN (continued)


AP

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7–1

AP

PEN

DIX

2–1


Action Plan No.: 1.3 Area: Transition Management Sub Area: Transition Staffing

Task/Objective: To develop a transition staffing plan.



1.3.1 Identify transition staffing needs.

1.3.2 Designate a staff member as coordinator for each major transition function, considering current and future job assignments:

• Transition management

• Facility construction

• Personnel

• Program development

• Document development

• Orientation and training

• Furnishings and equipment

• Move logistics

1.3.3 Designate staff for each transition functional team as either full-time or part-time staff.

ACTION PLAN (continued)

Con s t r u c t i o n

C H A P T E R T H R E E

Overview . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .3–3Role of the Transition Team . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .3–3Construction Terminology . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .3–4Guidelines for Getting Started . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .3–4

Construction Monitoring . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .3–9Walkthroughs/Operational Inspections . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .3–9Shop Drawings . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .3–10

Construction Completion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .3–10Punchlist . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .3–10Substantial Completion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .3–11Certificate of Occupancy . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .3–12Warranties . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .3–12Keying . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .3–12Material Turnover . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .3–13Contractor Training . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .3–13Utilities . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .3–13As-Built Drawings . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .3–13Operating and Maintenance Manuals . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .3–13Phased Occupancy . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .3–13

Construction Coordination After Facility Turnover . . . . . . . . . . . . . . .3–14Security/Facility Turnover . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .3–14Telephone Installation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .3–14Computer Installation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .3–14FF&E Installation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .3–15Startup Tasks . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .3–15

Renovations/Additions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .3–15

Final Thoughts . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .3–15

Appendix 3–1. Construction Terminology . . . . . . . . . . . . . . . . . . . . . . .3–17


Con s t r u c t i o n

C H A P T E R T H R E E

Overview Construction is the most expensive item in the project budget and receivesmost of the attention from project stakeholders. Sometimes those involved inthe project forget that the ultimate purpose of the construction project is tosupport the jail’s operation. Therefore, transition staff must constantly keepoperations in focus as they monitor construction.

Role of the Transition TeamThe role of the transition team in monitoring construction activities varies sig-nificantly; it generally depends on what other community resources are allocat-ed to the project. Let’s look at how everyone is involved:

■ Architect/engineer. The firm that is responsible for design and generallyfor construction administration. This designation is reserved, usually bylaw, for a person or organization that is professionally qualified andlicensed to perform design services.

■ Contractor. The firm that is responsible for constructing the jail. In con-struction terminology, the contractor is the person or entity that has ultimateresponsibility for performing the work under the contract. The contractormay retain a number of subcontractors to build certain elements of the jail.

■ Construction manager. This firm may provide construction managementservices either as an adviser or as a general contractor.

■ Project manager. This agency, firm, or individual may manage the con-struction project and coordinate or supervise the work of the architect/engineer and contractor/construction manager. In some communities,project management is provided by a public works department or by acontracted firm or individual.

■ Project inspector. Two inspectors potentially may be involved during con-struction: (1) a building inspector who is an employee of the jurisdictionresponsible for code enforcement, and (2) an onsite inspector who is

Action plans forconstruction-related tasksmay include—• Construction

monitoring.

• Maintenance.

• Housekeeping.

• Utilities.

• Release of construc-tion information tothe public.

• Keying.

• Punchlist.

A C T I O NP L A N S


retained by the owner (i.e., the de-partment) to oversee the contractor’swork and ensure that the building isbuilt as designed and specified.

■ Owner’s representative. This firmor individual represents the ownerand performs the owner’s functions.This person frequently becomes thetransition team leader when theteam is established.

Construction TerminologyAppendix 3–1 is a construction termi-nology list that can be used as a refer-ence. It is important to understand howthese terms are used on your projectand how they are incorporated into thecontracts with the architect and thecontractor. The following terms areamong those most commonly used todescribe products and stages of thedesign and construction process.

■ Contract documents. These are thedrawings and specifications that setforth in detail the requirements forthe construction of the project.

■ Drawings. The contract documentsinclude various types of drawings.The following are the mostimportant:

– Elevations. An elevation is a two-dimensional graphic representa-tion of the design, location, andcertain dimensions of the projectas seen in a vertical plane viewedfrom a given direction. Elevationsmay be of exterior or interior(wall) surfaces.

– Sections. A section is a drawingof a surface revealed by an imagi-nary plane as if it were cutthrough the building. Generallyspeaking, a section refers to a ver-tical cut. The locations at which

sections are cut should be indicat-ed on both plans and elevations.

– Plans. A plan is a two-dimensional graphic representa-tion of the design, location, anddimensions as seen in a horizontalplane viewed from above. Noteson the plans should cross-reference sections and details,and materials should be indicatedto the maximum extent feasible.

■ Specifications. These are the narra-tives that describe how the projectis to be built and the requirementsfor all systems and equipment.Most specifications written for con-struction today are in the “16 divi-sions” format (see appendix 3–1under the definition for “specifica-tions division” for a list of the 16divisions). For correctional facili-ties, a 17th division is sometimesused for the security electronicssystem. Many specifications alsofurther break down the divisionsinto sections. Divisions group relat-ed sections into a standard frame-work without conflicting with thenormal bidding procedures of localtrade jurisdictions.

Guidelines for Getting Started As you get started, one member of thetransition team should take the lead incoordinating with construction person-nel. In this manual, the term “construc-tion specialist” is used to describe thisrole. This individual may also beinvolved in other aspects of transition.

The construction flowchart (exhibit3–1) illustrates the major elements ofthe construction project as they relateto transition.

One member

of the transi-

tion team

should take

the lead in

coordinating

with

construction

personnel.


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The construction specialist should firstidentify the individuals who have beeninvolved in the project from the startand ask them to describe the projectstructure and help define the transitionteam’s role regarding construction.Some project managers are anxious toreceive user input. In other cases, yourinput may not be welcome, but it isstill needed to achieve a user-friendlyjail.

The next step is to find written docu-mentation about the project. Some ofthese documents may have been writ-ten at the very beginning of the project.The pre-architectural program is agood source of information about howthe jail is intended to operate. It shouldinclude descriptions of typical func-tions that will be useful as you begin tofigure out the building. You may, how-ever, find that things have changedsomewhat during design. You may alsofind minutes of the design meetings tobe helpful sources of information aboutchanges that impact operations.

Next, because the contract documentsdefine what the contractor is to do,transition team members must becomefamiliar with these documents andlearn how to interpret them. The transi-tion team needs to obtain plans/drawings and specifications to learnabout the facility and how it is plannedto operate. If the project is alreadyunder construction, you will also needto get copies of addenda, changeorders, selected shop drawings andsubmittals, requests for information(RFIs) from the contractor and/or sub-contractor, and the architect’s supple-mentary instructions (defined on page3–8). With all of this documentation,you will have the information thecontractor is using to construct the

building. The documents need to beavailable to the entire team, so youshould set up a system for checkingout and returning them.

The following suggestions provideguidelines for using these documents:

■ Obtain a set of the plans andspecifications used to constructthe facility. Learn the contents ofthese documents—both plans andspecifications. The plans provideonly part of the picture of how thefacility and systems are to be con-structed and installed. To help youlearn the plans, color code majorsystems and the secure perimeter.Also obtain a half-size set of plansfor each team member so they areeasy to carry onsite. Insert or attachtabs to sections of the plans for easyreference.

■ Stay current with the project byupdating your plans and specifi-cations as changes are made.Changes will be made in a numberof the following documents andmay be used to solicit input fromthe transition team:

– Application for payment. In somejurisdictions, the transition con-struction specialist may be askedto approve or provide input on thecontractor pay applications. Thiswill be determined before theconstruction contract is awarded.If the transition team has someresponsibility in this area, meetwith the project manager tounderstand your role and how toperform this task in a manner con-sistent with the contract.

Yes


MakePeriodic

Payments

Revise

OK?

No

Exhibit 3–1. Construction Flowchart

= Task is part of another chapter, but is critical to completion of this flowchart.

Go to A

Go to A

STARTConduct

PreconstructionMeeting

MaintainPlans and

SpecificationsSecurity

SelectConstruction

Specialist

Review/Approve Shop

Drawings

DocumentAll Answers

DevelopProject/Facility

Fact Sheets

ImplementChangeOrders

ApprovePeriodicPaymentRequests

DevelopPreliminary

Service ContractBudget

ImplementSite AccessProtocol

ObserveSystems

ApproveShop Drawing

Protocol

DevelopProtocol for

Questions andAnswers

CollectPlans and

Specifications

ApproveProtocol for

Change Orders

ReviewPeriodicPaymentRequests

DocumentConstruction

Activities

IdentifyPossible Service

Contracts

DevelopProtocol forSite Access

MonitorSchedule/

Coordinate WithTransition

DevelopUtilitiesBudget

Go to A

LearnTechnicalSystems

DevelopPublic

InformationProgram

Color CodePlans

ImplementPublic

InformationProgram

AttendConstruction

Meetings

Monitor Construction• Test Systems• Learn Systems• Check for Program,

Plan, Operation, andSecurity Efficiency

• Conduct Pre-Punchlist


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3–7

MakeFinal

Payment

Revise

OK?Yes

No

A

ConductPunchlist

DevelopWarrantyProcess

EstablishProcess forSubstantialCompletion

CompletePunchlist

SearchBuilding forContraband

AcceptBuilding

DevelopService

Contracts

DevelopMaintenance

Plan

DevelopPreventive

MaintenancePlan

ApproveFinal Payment

Requests

ReviewFinal Payment

Requests

Move

ImplementWarranty

Procedures

Hold OpenHouse

DedicateFacility

ImplementMaintenance

Plan

ShakedownBuilding

ImplementService

Contracts

ImplementPreventive

MaintenancePlan

ActivateUtilities

ConductContractor

Training

ObtainApproval of

Facility Budget

StartOperation

END


– Architectural supplementaryinformation. This is additionalclarification issued by the archi-tect during the constructionprocess, typically as a result of anRFI.

– Change order. A change order isan amendment to the constructioncontract (signed by the owner,architect, and contractor) thatauthorizes a change in the work,an adjustment in the contract sumor the contract time, or both.Change orders assume that thecontract documents are correct aspublished but a change is neces-sary. The change can have a posi-tive or negative cost impact or nocost impact at all. One of the firsttasks for the transition team willbe to clarify their role in thechange order process and deter-mine how to deal with items thatshould be changed. Change ordersdiffer from errors in work inwhich the project has not beenbuilt as specified. If you see itemsthat should be changed or thatindicate errors, notify the projectmanager immediately.

– Proposal request. An architectmay submit this document aftercontract award to solicit a propos-al for a change in the work. It isalso called a request for change orbulletin, and may include draw-ings and other information.

– Request for information. The con-tractor will periodically issue anRFI for clarification on an issue.The architect’s job is to researchthe issue and provide a response.However, the architect’s responsemay change the original intent ofthe design. One way to protect

against this is to have the con-struction specialist receive copiesof all RFIs and let the architectknow if the transition team needsto be consulted in formulating theresponse.

– Supplementary instructions. Thetransition construction specialistmay be consulted before thearchitect issues any architect’ssupplementary instructions inresponse to comments from thetransition team to see that theoperational intent is maintained.

– Shop drawings. Shop drawingsare drawings, diagrams, sched-ules, and other documentationprepared by the contractor, sub-contractor, manufacturer, supplier,or distributor to illustrate someportion of the work. Shop draw-ings may be particularly usefulwhen they relate to jail opera-tions, such as the electronic secu-rity system, keying, glazing, anddetention equipment.

At a minimum, the transition teamshould have a presence on the projectthat includes participation in construc-tion meetings and regular jail walk-throughs by the construction specialistor another designated transition teammember. When doing a walkthrough,do it with a particular purpose, e.g., toobserve wall construction. To observethe project, work with the project teamto develop a protocol for site access.This protocol may include a sign-in/sign-out sheet, dress standards (e.g., ahardhat, sturdy hard-soled shoes), andhow to document issues and concerns.It is important that jail staff do not pro-vide direction to the contractor. Alldirection should come through theestablished channels of communication


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for the project unless there are com-pelling reasons for an exception to bemade.

Construction Monitoring In monitoring construction, the transi-tion team must be able to both inspectthe physical construction site andreview the shop drawings for the por-tions of jail construction that willdirectly affect jail operations.

Walkthroughs/OperationalInspectionsThe usefulness of walkthroughsdepends on the degree to which transi-tion staff are prepared and whetherthey know what to look for and how tobehave. Initially walking through thefacility to become familiar with theoverall layout is helpful, but will teachyou little about the systems. The bestwalkthroughs are those done with apurpose. The following are guidelinesfor walkthroughs:

■ Site visits. Work with the contractorand architect to identify the besttimes to visit the site (times thatwill cause the least disruption in theconstruction).

■ Hardhats. Obtain your own hard-hats or make arrangements to gethardhats while onsite.

■ Clothing. To do good walk-throughs, be prepared to climbladders and scaffolding and tomaneuver around other obstacles;realize that the construction areawill have a lot of dust, dirt, wetsurfaces, and loose items. Clothingshould include hard-soled, low-heeled, closed shoes, no looseitems, and pants.

■ Corrections and changes. Learnhow to document items that need to

be changed. Correcting errors (non-compliance with plans and specifi-cations) requires a different processand has different financial implica-tions from change orders (neededchanges). Change orders and cor-rections must be handled throughthe project manager consistent withestablished procedures.

■ Onsite resources. When you goonsite, take paper (pad and/or notecards), a personal digital assistant(PDA), a pen, a camera, a flash-light, a hardhat, half-size plans,and/or a ladder (or arrange to usethe contractor’s ladders onsite).

■ Documenting the project. Workwith the inspection agency, archi-tect, and/or contractor to documentthe project through photographs,slides, and/or video recording. Asconstruction progresses, many areasthat you may later need access towill become hidden by structuressuch as walls or ceilings. It isimportant to organize this documen-tation so it is readily available whenneeded.

■ Site. Become familiar with theentire site, not just the building. Todo this, you will need access to thesite, the area around the site, andthe building.

■ Perspective. Remember that thefacility is being built according tothe contract documents (e.g., plans,specifications, change orders, andshop drawings). When you goonsite, your job is to observe thatthe work is being completed asspecified in these documents; this isnot the time to rethink your design.If you see something that just willnot work, develop an appropriateresponse that describes what you

Become

familiar with

the entire

site, not

just the

building.


saw, what you believe is needed,and any options you see and presentthem through the proper channels.This may result in a change order.

Hundreds of decisions are being madethroughout the construction phase.Regardless of your role in monitoringthe construction process, it is importantfor the transition team to be in thecommunication loop and, ideally, partof the decisionmaking process.Whatever your role in the decision-making process, it is critical that thesedecisions be documented in a systemat-ic manner that allows the transitionteam to find information quickly andefficiently.

Shop DrawingsTo know what selected shop drawingsand/or submittals to receive, ask thearchitect for a copy of the shop draw-ing and submittal log. Identify theitems on the log that you want toreview and those for which you wantto be part of the decisionmakingprocess. For example, you may notwant to review the submittals for struc-tural steel, roofing supplies, and othermaterials. However, you will want toreview submittals for the electronicsecurity systems, keying, glazing, andother aspects of construction that relatedirectly to jail operations and security.

You may wonder why you need to lookat a submittal if the design is alreadyapproved. A good example is the label-ing of a door control graphic panel ortouch screen that staff will use to openand close doors. The only room namesand numbers a supplier/subcontractorknows are those on the plans. Althoughthe names and numbers on the plansare good for construction purposes,they are probably not how you want to

refer to specific areas in your facility. You will want to develop anoperations-friendly name and number-ing system for graphic panels andtouchscreen controls, signage, andother elements that need labels. Anotherexample is determining which keysopen which doors and what areas canbe keyed alike.

Construction Completion A construction project includes numer-ous tasks and can take months tocomplete. Coordination and goodcommunication are essential in moni-toring and enforcing the terms of thecontractor’s agreement. It is not unusu-al to experience conflict at this stageof the project. Working together collab-oratively will help alleviate problems.

Punchlist Many of us are used to doing a walk-through inspection before buying orrenting a home. For a constructionproject this is referred to as a punchlist.The purpose of the punchlist is to doc-ument where construction is not com-pliant with the construction documents.Generally, the development of thepunchlist is the responsibility of thearchitect and contractor. But you, thetransition staff, should also be part ofthis process because you offer a uniqueperspective. If you are asked to devel-op your own punchlist, or if you arepart of a team effort, the punchlistshould include the following:

■ Project name.

■ Date punchlist was made.

■ Area of the project.

■ Room name and/or number accord-ing to the plans (not how you intendto use the space).


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■ Specific area, i.e., north wall.

■ Description of the problem(s) thatis as specific as possible.

Remember that different areas of thefacility require different security levels.What may be appropriate for one areamay not be appropriate in another area.

When conducting a punchlist, establisha routine to conduct consistent andcomplete reviews. For example, inevery room, start with the ceilings,then the walls, then the floor. Developa set pattern. Start in the same cornerof every room and move around theroom in the same direction. Yourobservations need to be documented.Good strategies for doing this includeentering the comments directly onto alaptop or PDA, dictating them to anassistant, or following and filling outroom sheets or plans with elevations.To confirm that the comments havebeen recorded correctly, have the per-son making the entries read back eachcomment as it is entered.

The following areas need to be inspect-ed while doing the punchlist:

■ Casework and millwork.

■ Ceilings.

■ Chase (pipe).

■ Closed circuit television (CCTV).

■ Communications.

■ Consoles.

■ Doors.

■ Electrical.

■ Elevators.

■ Emergency generator.

■ Fire safety.

■ Floors.

■ Furniture.

■ Guardrails.

■ Hardware/doors.

■ Heating, ventilation, and airconditioning (HVAC).

■ Kitchen equipment.

■ Lights (facility, site, and exit).

■ Plumbing.

■ Roof.

■ Security electronics.

■ Showers.

■ Sinks.

■ Site (such as exterior fencing andgates, bollards, vehicle barriers,landscaping, sprinkler systems,parking lot striping, signage,location of exterior outlets, andhose bibs).

■ Sprinkler heads.

■ Stairs.

■ Toilets.

■ Walls.

■ Windows/frames.

Develop a transmittal letter for thepunchlist, send it to the architect andcontractor, and keep a copy. Theprocess does not end with the punch-list. You will need to develop a moni-toring system to see that all issues areaddressed.

Substantial CompletionThe term “substantial completion” isusually defined in the contractor’sagreement and is therefore binding.Generally, the term means the buildingis substantially ready for occupancy forthe facility’s intended purpose.However, just because the building issubstantially complete, it does notautomatically mean that you are readyto move in. Many tasks must be done

Just because

the building

is substan-

tially com-

plete, it does

not auto-

matically

mean that

you are

ready to

move in.


between the substantial completion ofthe building and your move. The tran-sition staff may be in the best positionto determine if you can operate thefacility as it currently exists. Rememberthat if numerous issues have to beresolved after the facility is occupied,your staff will have to sign construc-tion workers in and out and escortthem throughout the facility. Mostjails do not have staff available forthis function.

Certificate of Occupancy The community’s building and fireinspectors usually have to provide acertificate of occupancy before you canmove into and begin using the facility.It is important to understand your com-munity’s certification process and howit may impact occupancy.

WarrantiesMost of the systems will be warrantiedfor a period of time. You will want toreceive a list of all warranties and theirstart and end dates. A warranty imple-mentation process needs to be devel-oped with input from the architect,contractor, and maintenance staff. Thisprocess should include a tracking logto monitor when repair requests aremade and how long it has taken tomake the repair. In the best of allpossible worlds, warranties will startat the time of substantial completion.However, the warranty may begin at adifferent time, i.e., the time of deliveryto the site or the time that the item isinstalled. Be sure to flag these itemsfor special attention.

Keying Although most jails operate with a sig-nificant number of electric locks, keysare essential for successful, safe opera-tion. The facility will use many keys

during normal operations as well as inoverride or emergency situations. Thekeying process is complex and timeconsuming; you should develop yourkeying schedule early in the construc-tion process. As construction is com-pleted, you should make sure all of thekeys work properly and as planned. Aswith most tasks related to construction,review the specifications to see whatthe project requires.

Keying requires a minimum of threebasic tasks:

■ Keying testing. This involves test-ing the door key and master key tosee that they work as intended.

■ Development of the key box. Thisinvolves tagging all of the keys insome user-friendly manner, hangingthem in a key box, and developing amaster inventory.

■ Development of key logs. Key logsmay be created as follows:

– Master Key Log by Key Number.

– Master Key Log by DoorNumber.

– Master Key Log by Key BoxNumber.

– Master Key Log by Key Ring.

Throughout this documented process,keys should be formally transferredfrom the contractor to the user. Often,the user does not receive all of thekeys. Sometimes keys are left hangingin access panels, service panels, or justoverlooked. Transition staff need toinventory each lock by room and verifythat they have a key.

In some situations, the owner may havethe contractor install temporary lockswith keys for use only during the con-struction process. When the facility is


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turned over to the jurisdiction at thetime of substantial completion, thedepartment can install the permanentlocks. This has advantages from asecurity perspective, but it also increas-es costs—and the department may nothave personnel who are qualified toinstall the permanent locks.

Material Turnover Most construction contracts call forextra materials to be turned over to theowner at the end of the project. Youwill need to determine if receivingthese extra materials will be the re-sponsibility of the transition team oranother agency in your jurisdiction.To know what you should receive, seeeach section of the specifications.Whoever you designate to receive thesematerials will need to inventory, signfor, and store them.

Contractor Training The contractor is generally required toprovide staff training; these trainingrequirements are described in the spec-ifications. Months before the project isto be completed, request a list from thearchitect of the type and length oftraining to be provided and who shouldattend. The training should be sched-uled with several weeks’ notice andwith your approval in order to havethe right staff attend. It is appropriateto request a lesson outline and coursematerials in advance of the training.Often the contractor is required tovideotape the training. Ask for a copyof the tape shortly after the training isconducted and carefully review it toverify its quality. If the contractor isnot required to videotape the training,the transition staff should do so.

Utilities With the funding agency, determine ifutilities are in your budget or whatbudget they are in. Switch the billingof utilities to the proper agency.

As-Built Drawings With the architect, determine if as-builtor record drawings are to be providedand if you are to receive them. If youreceive these, review them as best youcan to determine if they are correct.Ideally, one copy goes to maintenanceand one stays with the facility.

Operating and MaintenanceManuals Receive the operating and maintenancemanuals per the contractor agreement.Review the manuals to see that theyare complete, and determine wherethey will be kept. Ideally, one copygoes to maintenance and one stayswith the facility.

Phased OccupancyFor a variety of reasons, the facilitymay be turned over to the user in phas-es. If this is done, consider the impacton the warranties for central systems(e.g., HVAC) and the amount of workthat may take place in the occupiedareas. Most important, consider theimpact on essential operations suchas food, laundry, programs, and staffservices.

There is no one correct approach tophased occupancy. One good approachis to develop a pros and cons issuespaper to see if phased occupancy isgood for your jurisdiction. Benefits ofa phased occupancy, regardless ofphased turnover for the facility,include—


■ Building staff confidence.

■ Making resources available totroubleshoot problems.

■ Enhancing implementation ofpolicies and procedures.

■ Allowing for training of staff whohave not yet been trained.

■ Allowing several days at the start totrain inmate workers.

■ Starting up services such as healthcare, food, and visitation gradually.

Disadvantages associated with phasedoccupancy include—

■ Potential disputes regarding dam-aged items.

■ Increased complexity.

■ Potential presence of constructionpersonnel in areas occupied byinmates.

■ Need for multiple shakedowns andsearches.

■ Impact on staff who have toescort/move workers through thefacility.

■ Noise disruptions.

■ Warranty issues.

■ Long-term duplicate operations.

Construction CoordinationAfter Facility TurnoverUp to this point, the facility is general-ly under the contractor’s control. Thecontractor has the keys and grantsaccess to the facility. This sectionaddresses tasks and procedures thatgenerally take place after the owner/user assumes responsibility for thefacility.

Security/Facility Turnover Because you are now the owner/user,the jail staff will be responsible for

building security. This is an awesomeresponsibility for the staff becausemany construction workers will still bein the facility. You will need to imple-ment your check-in/check-out policyand procedure, control access to thefacility, staff the entry points to meetcontractor needs, and probably escortworkers. Before assuming this respon-sibility, however, determine the statusof construction and whether your staffresources are sufficient to perform theabove tasks in addition to the staff’sother duties.

Telephone InstallationThe jail has probably already beenwired for telephone installation, butyou will need to direct the final place-ment of instruments, activation ofphones, and testing of the system.Phone directories also will need to bedeveloped and distributed. Telephonesare often one of the user-supplied sys-tems, which puts them in the categoryof FF&E. When you plan the telephonesystem, you should discuss thefollowing:

■ Telephone numbers (new or cur-rent). If current numbers will beused, determine when they can beactivated in the new building.

■ Functions required and callingaccess levels at each telephonelocation.

■ Changeover from the currentfacility, if it is to be closed.

Computer InstallationLike the telephone system, wiring forthe facility’s computer network isprobably already in place. This net-work is not for the computers that areassociated with the new security sys-tem or the building systems; this

[Building

security] is

an awesome

responsibility

for the staff

because

many con-

struction

workers will

still be in

the facility.


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network is for the computers that aretypically used for business functionsand would include the department’sintranet. This task involves placingequipment and checking the connectiv-ity and functionality of all operatingsystems. The transition team needs todetermine which aspects of this will betheir responsibility and which will bedone by the jurisdiction’s informationtechnology department.

FF&E InstallationThis task refers to owner-purchasedand -installed items (see chapter seven,Furniture, Fixtures, Equipment, andSupplies).

Startup Tasks Startup tasks may include—

■ Obtaining a facility address (if notrequired early in the project).

■ Assigning parking spaces—a big-ger issue than you might think!

■ Initiating maintenance, includingwarranty work.

■ Initiating housekeeping, includingtrash removal.

Renovations/Additions Most people think of constructionprojects as new construction. However,many jail projects are expansionsand/or renovations. These projectspresent special challenges during bothconstruction and transition because thejurisdiction must continue operationswhile construction occurs.

The best time to address renovation/addition issues is when the specifica-tions are being developed. In additionto the items normally included, thespecifications should address the fol-lowing issues: estimated length of time

under construction; estimated length oftime of service interruption, includingdays and times; work hours; levels ofsecurity required and erection of safe-ty/security barriers; hours that con-struction workers will need access tooccupied areas and related securityrequirements; background checks,identification, and searches of con-struction workers; tool control; con-struction worker contact with inmates;emergency aid; parking; weapons; andintoxicants.

Transition team members should lookfor a phasing plan that will identify thetiming of construction in differentareas of the facility. The phasing planshould also address the basic renova-tion strategy, e.g., shutting down onefloor or unit at a time; the need forconstruction of any temporary facili-ties; and completion of any new con-struction for a specific use, such ashousing, while renovating the old facil-ity. The team needs to ensure that theplan adequately addresses safety andsecurity items. In complex renovations,you may have to balance the need forspeed with the need for space—especially housing space. It may beworth the effort to identify the differ-ence in cost between boarding inmatesat another location, which allows thecontractor greater access to the facility,versus a slower process in whichinmates remain in all or part of thefacility while the renovation occurs.

Final ThoughtsIn a perfect world, construction of thefacility would proceed at a consistentand steady pace. Unfortunately, thereal world is often quite different.Construction activity may be excep-tionally busy for a time, followed by a

Construction

activity may

be excep-

tionally busy

for a time,

followed by

a period of

inactivity.


period of inactivity. The transitioncoordinator should review the contrac-tor’s schedule, looking for periodswhen activity will be intense and whenproject work will be slower, as he orshe makes decisions about the con-struction specialist’s availability to

work on other aspects of transition. Itis also important to monitor changeslike labor issues and incentives forearly completion that could result insignificant, unexpected variation inconstruction activities.


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APPEND IX 3–1.CONSTRUCTION TERMINOLOGY

Addendum (pl. addenda): A written graphic instrument issued by the architect before executionof the construction contract that modifies or interprets the bidding documents by additions,deletions, clarifications, or corrections.

Allowance: See cash allowance, contingency allowance.

Application for payment: Contractor’s certified request for payment for completed portions of thework and, if the contract so provides, for materials or equipment suitably stored pending theirincorporation into the work.

Architect: Designation reserved, usually by law, for a person or organization professionally quali-fied and duly licensed to perform architectural services.

As-built drawings: Drawings based on field measurements for an existing building. The level anddetail of measurements included in the drawings will depend on how the drawings will be used.

Bid opening: The physical opening and tabulation of sealed bids following the time specified inthe bidding requirements. This term is preferable to “bid letting.”

Bidding documents: Collectively, the bidding requirements and the proposed contract documents,including any addenda issued prior to receipt of bids.

Building inspector: See code enforcement official.

CAD (or CADD): See computer-aided design.

Cash allowance: An amount established in the contract documents for inclusion in the contractsum to cover the cost of prescribed items not specified in detail, with provision that variationsbetween such amount and the finally determined cost of the prescribed items will be reflected inchange orders that appropriately adjust the contract sum.

Certificate for payment: A statement from the architect to the owner confirming the amount ofmoney due the contractor for work accomplished, or materials and equipment suitably stored, orboth during a specific period.

Certificate of substantial completion: A certificate prepared by the architect on the basis of aninspection (a) stating that the work or a designated portion thereof is substantially complete; (b)establishing the date of substantial completion; (c) stating the responsibilities of the owner and thecontractor for security, maintenance, heat, utilities, damage to the work, and insurance; and (d) fix-ing the time within which the contractor shall complete the items listed therein.

Change order: An amendment to the construction contract signed by the owner, architect, andcontractor that authorizes a change in the work, an adjustment in the contract sum or the contracttime, or both.


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CONSTRUCTION TERMINOLOGY (continued)

Code enforcement official: A representative of a governmental authority employed to inspect con-struction for compliance with applicable codes, regulations, ordinances, and permit requirements.

Computer-aided design: A term applied to systems or techniques for design and drafting that useintegrated computer hardware and software systems to produce graphic images.

Construction budget: The sum established by the owner as available for construction of the proj-ect, including contingency allowances for bidding and for changes during construction. See alsoproject budget.

Construction documents: Drawings and specifications that set forth in detail requirements for theconstruction of the project.

Construction manager: An individual or entity who provides construction management services.This entity may remain as advisor (CMa) during construction or become the construction contractor(CMc).

Contingency allowance: A sum included in the project budget to cover unpredictable or unfore-seen items of work or changes in the work. The amount of the contingency allowance will varywith the stage and type of project.

Contract award: A communication from an owner accepting a bid or negotiated proposal. Anaward creates legal obligations between parties.

Contract documents: These include the agreement between owner and contractor; conditions ofthe contract (general, supplementary, and other conditions); drawings, specifications, and addendaissued prior to execution of the contract; other documents listed in the agreement; and modifica-tions issued after execution of the contract.

Critical path method (CPM): A schedule or diagram of all events expected to occur and operationsto be performed in completing a given process, rendered in a form that permits determination ofthe optimum sequence and duration of each operation.

Design development documents: Drawings and other documents that fix and describe the size andcharacter of the entire project regarding architectural, structural, mechanical, and electrical sys-tems; materials; and such other elements as may be appropriate.

Design development services: Services in which the architect prepares the design developmentdocuments from the approved schematic design studies for submission to the owner for approval.Design development is the middle stage of design, between schematic design and constructiondocuments.

Detail: A detail is a drawing at a larger scale of part of another drawing, indicating in detail thedesign, location, composition, and correlation of the elements and materials shown.

Dimensions: Numbers that indicate the quantity or measure of items shown on the drawings.Building dimensions are normally given in feet, inches, and fractions of inches, and should be ori-ented on the drawings for reading from either the lower or right-hand side of the sheet.Dimensions should never be determined by measuring drawings with a scale; in the event of a dis-crepancy between a scaled dimension and the figures given for that dimension, the figures willgovern.


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Drawings: Graphic and pictorial documents depicting the design, location, and dimensions of theelements of a project. Drawings generally include plans, elevations, sections, details, schedules, anddiagrams. When capitalized, the term refers to the graphic and pictorial portions of the contractdocuments.

Elevations: Two-dimensional, graphic representations of the design, location, and certain dimen-sions of the project, seen in a vertical plane viewed from a given direction. Elevations may be ofexterior or interior (wall) surfaces.

Fast track: A process in which certain portions of the architect’s design services overlap with con-struction activities in order to expedite the owner’s occupancy of all or a portion of the project.

Feasibility study: A detailed investigation and analysis conducted to determine the financial,economic, technical, or other advisability of a proposed project.

Final acceptance: The owner’s acceptance of the project from the contractor upon certification bythe architect of final completion. Final acceptance is confirmed by making final payment unlessotherwise stipulated at the time this payment is made.

Final completion: Term denoting that the work has been completed in accordance with the termsand conditions of the contract documents.

Inspection: (1) Examination of work completed or in progress to determine whether it conformswith the requirements of the contract documents. Distinguished from the more general observa-tions made by the architect from time to time on visits to the site during the progress of the work.(2) Examination of the work by a public official, owner’s representative, or others.

Low bid: Bid stating the lowest price proposed by two or more bidders for performing the work,including selected alternates. Must conform with the bidding documents.

Lowest responsive bid: The lowest bid that is responsive to and complies with the requirements ofthe bidding documents.

Plan: A two-dimensional, graphic representation of the design, location, and dimensions seen in ahorizontal plane viewed from above. Notes given on the plans should cross-reference sections anddetails, and materials should be indicated to the maximum extent feasible.

Program (architectural or facilities): A written statement setting forth design objectives, con-straints, and criteria for a project, including space requirements and relationships, flexibility andexpandability, special equipment and systems, and site requirements.

Project budget: The sum established by the owner as available for the entire project, which forbuilding projects includes the construction budget; land costs; costs of furniture, furnishings, andequipment; financing costs; compensation for professional services; costs of owner-furnished goodsand services; contingency allowance; and similar established or estimated costs.

Project closeout: Requirements established in the contract documents for final inspection, submis-sion of necessary documentation, final acceptance, and final payment on a construction project.

Project manager: (1) Term often used interchangeably with “project architect” to identify the indi-vidual designated to manage the firm’s services related to a given project. Normally, these servicesinclude administrative responsibilities as well as technical responsibilities. (2) Regarding the con-tractor or construction manager, the term may refer to the individual designated by that entity tomanage that entity’s activities.


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Proposal request: A document issued by the architect after contract award that may include draw-ings and other information used to solicit a proposal for a change in the work; sometimes called a“request for change” or “bulletin.”

Punchlist: A list of work to be completed or corrected by the contractor after substantial comple-tion; sometimes referred to as “punch list.”

Schedules: Tabulations of items of information of a similar nature that are used to limit repetitivedrafting and notes. Schedules may be developed containing data for room finishes, hardware,laboratory equipment, columns, footings, lintels, plumbing fixtures, lighting fixtures, etc.

Schedule of values: A statement furnished by the contractor to the architect reflecting the portionsof the contract sum allocated to the various portions of the work and used as the basis for review-ing the contractor’s applications for payment.

Schematic design: Services in which the architect consults with the owner to ascertain the require-ments of the building project and prepares studies consisting of drawings and other documentsthat illustrate the scale and relationships of the building components for approval by the owner.The architect also submits to the owner a preliminary estimate of construction costs based on cur-rent area, volume, or similar conceptual estimating techniques.

Section: A drawing of a surface revealed by an imaginary plane as if it were cut through the build-ing. Generally speaking, a section refers to a vertical cut. The locations at which sections are cutshould be indicated on both plans and elevations.

Shop drawings: Drawings, diagrams, schedules, and other data specially prepared for the work bythe contractor or a subcontractor, sub-subcontractor, manufacturer, supplier, or distributor to illus-trate some portion of the work.

Specifications: The specifications, together with the agreement, the conditions of the contract(general, supplementary, and other conditions), the drawings, all addenda issued prior to the exe-cution of the agreement and all modifications thereto, compose the contract documents for mostconstruction projects.

Specifications division: A format for writing construction specifications. A great majority of thespecifications written for construction today in the United States and Canada use a standard “16divisions” format. A respectable majority of them also break down the “divisions” into “sections.”Divisions group related “sections” into a standard framework without conflicting with the normalbidding procedures or local trade jurisdictions. The 16 divisions are currently titled as follows:

Division 1—General Requirements

Division 2—Site Work

Division 3—Concrete

Division 4—Masonry

Division 5—Metals

Division 6—Wood and Plastics

Division 7—Thermal and Moisture Protection


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Division 8—Doors and Windows

Division 9—Finishes

Division 10—Specialties

Division 11—Equipment

Division 12—Furnishings

Division 13—Special Construction

Division 14—Conveying Systems

Division 15—Mechanical

Division 16—Electrical

Sometimes in correctional work, a 17th division, Security Electronics, is also used.

Substantial completion: The stage in the progress of the work when the work or designated por-tion thereof is sufficiently complete in accordance with the contract documents that the owner canoccupy or use the structure for its intended use.

Sub-subcontractor: A person or entity who has a direct or indirect contract with a subcontractor toperform any of the work at the site.

Superintendent: The contractor’s representative at the site who is responsible for continuous fieldsupervision, coordination, completion of the work, and, unless another person is designated inwriting by the contractor to the owner and the architect, the prevention of accidents.

Unit price: Amount stated in the bid as a price per unit of measurement for materials or services asdescribed in the bidding documents or in the proposed contract documents.

Value-enhanced design: The process of analyzing the elements of a building design in terms of itscost-effectiveness, including the proposed substitution of less expensive materials or systems forthose initially suggested (this is also referred to as “value engineering”).

Warranty: Legally enforceable assurance of quality or performance of a product or work or of theduration of satisfactory performance.

Source: Adapted from American Institute of Architects, The Architect’s Handbook of ProfessionalPractice, 13th ed., New York: John Wiley & Sons, 2001.

S t a f f /HumanRe sou r c e s

C H A P T E R F O U R

Overview . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .4–3Importance of Staffing to Transition . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .4–3General Staffing Issues . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .4–3

Staffing Analysis . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .4–4When Should Staffing Analysis Be Done? . . . . . . . . . . . . . . . . . . . . . . . . . . . . .4–5Staffing Analysis Terminology . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .4–6What Is the Staffing Analysis Process? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .4–6What Factors Influence the Staffing Pattern? . . . . . . . . . . . . . . . . . . . . . . . . . . .4–7What Is Adequate Staffing? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .4–8Staffing Report . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .4–9

Recruitment and Selection . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .4–9Position Descriptions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .4–9Recruitment Strategies . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .4–9Selection Process . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .4–10

Personnel Management Resources . . . . . . . . . . . . . . . . . . . . . . . . . . . .4–10

Final Thoughts . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .4–11


STA F F/HUMAN RESOURCES

C H A P T E R F O U R

OverviewSuccessful occupation of the new jail will require adequate staffing. The roleof the transition team will vary depending on the personnel/human resources ofthe department and/or jurisdiction and the work done during the planningprocess. These tasks may include creating a staffing analysis and obtaining theneeded funds as well as recruitment and selection of personnel.

Importance of Staffing to TransitionIdeally, the new facility’s staffing requirements will have been determined aspart of the initial planning process. In this case, staffing tasks during transitionwill focus on ensuring that initial staffing assumptions remain valid and assist-ing in the recruitment and selection process. Early in transition, transition teammembers must meet with the jail administrator and/or chief executive to seewhat actions have been taken to date and determine the transition team’s rolein this process. It can be politically devastating to have a new facility that iscomplete and not have the staff to operate it. Although the transition team maynot have control over these issues, it needs to take all reasonable actions toensure that adequate human resources are available and ready to work whenthe new facility opens.

General Staffing IssuesJail staff is one of three essential resources that can help the institution achieveits mission of safety and security for the public, staff, and inmates. Along withthe physical plant and technology, staff members make the jail and its pro-grams work. Staff is also the largest operating cost. In any given year, mostjails spend between 70 and 80 percent of their budgets on staff salaries andbenefits. Unlike capital costs, staffing costs are not onetime expenditures. Theycontinue year after year.

Because of the expense, the importance of adequate and appropriate staffing,and competition for scarce resources both inside and outside the department,

Action plans forstaffing and humanresource tasks mayinclude—• Staffing plan.

• Recruitment/selectionplan.

• New staff.


Exhibit 4–1. Staffing/Recruitment Flowchart


ConductReference

ChecksOK?

Yes

No

ScreenApplications*A


* = Your organization may complete these tasks in a different order.

Go to ENDRejectApplicant

OK?Yes

No

RejectApplicant

STARTUpdate/ApproveStaffing Planand Budget

DevelopHiring

Schedule/Plan

Advertise/RecruitStaff

DevelopJob

Descriptions

ReviewCurrent Hiring

Process

DevelopRecruitment/

Selection Policiesand Procedures

ConductAssessment

Center/Interview

OK?Yes

NoConduct

SpecializedTesting

B


OK?Yes

No

RejectApplicant

MakeShift

AssignmentOK?

Yes

NoConduct

Physical andSpecialized

TestingC


ConductTraining

staffing costs are likely to be a sourceof conflict. Jail administrators oftenexperience difficulty when they want toincrease facility staffing levels. Thetransition process provides an idealopportunity to educate public policy-makers and the chief executive officeron staffing issues.

Exhibit 4–1 illustrates the major ele-ments of staffing as they relate totransition.

Staffing Analysis Staffing analysis is a process thatallows you to identify, justify, and doc-ument the number of staff required tooperate a facility. Staffing analysis can


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be done in various ways. Regardless ofthe method used, the goal of theprocess is to develop a responsible andreasonable justification for the numberof staff required to operate the facility.

When Should Staffing AnalysisBe Done?Ideally, each jurisdiction will have ana-lyzed staffing requirements duringplanning and programming andobtained agreement with the fundingagency at that time. The jurisdiction

will also have taken pains to ensurethat the agreed-upon staffing level con-tinues to be valid during the designprocess. However, sometimes jurisdic-tions are less cognizant of the impor-tance of determining and reachingagreement on staffing levels early inthe planning process. For these juris-dictions, completing a first staffinganalysis will be a critical transitiontask that must be linked with thebudget process.

OK?Yes

No

RejectApplicant

ConductFirst

InterviewOK?

Yes

No

ConductCriminalHistory

RejectApplicant

B

ReceiveApplications

(TrackingSystem)

Go to END Go to END Go to END

A

OK?Yes

No

RejectApplicant

OfferJob

(Conditional)OK?

Yes

NoConduct

Administrator’sInterview

RejectApplicant

C

Go to END Go to END Go to END

ImplementStaffing

Plan

ConductTraining END


If a staffing analysis was not complet-ed during the planning and/or designprocess, you will need more detail thanthis resource manual can provide. TheNational Institute of Corrections’Staffing Analysis Workbook for Jails,Second Edition, provides detailedinformation about how to do a staffinganalysis. Usually the architect willhave worked with the county represen-tatives to develop a preliminary staff-ing analysis so the jurisdiction wouldbe aware of staffing implications, butarchitects should not do the final staff-ing analysis for the facility. They donot have the knowledge of the jail’soperation that is required to do a com-plete analysis.

For many jurisdictions, the key staffinganalysis that must be developed duringtransition is a startup staffing analysis.This is particularly true if the ultimatecapacity of the new facility is greaterthan the number of inmates who willbe moved from the old institution.

Staffing Analysis TerminologyStaffing analysis uses the followingterms:

■ Post. A staff assignment to a specif-ic place or a specific function.

■ Staffing pattern. The relationshipof posts over time.

■ Schedule. Days and times staff areexpected to work.

■ Net annual work hours. A calcula-tion of the number of hours staff areavailable to work based on the con-tracted number of hours per yearminus the number of hours off perstaff person per year.

What Is the Staffing AnalysisProcess?Most staffing analysis is built aroundan analysis of the posts required tooperate a facility. Posts are related toeither a place or a function and applyto all types of staff. Common examplesof posts include control officer, floorofficer, and shift supervisor. However,posts also include assignments such asfacility administrator, program coordi-nator, food service manager, and clerk.Posts can be filled by one or more staffmembers, typically within one job clas-sification. The staffing pattern deter-mines when these posts are needed.The staffing pattern is different from aschedule because it considers all shiftsand all times of the day.

About 60 percent of the jail’s person-nel resources come directly from thestaffing pattern. If staff were alwaysavailable to work, then the staffing pat-tern by itself would provide a goodestimate of the number of staff requiredto operate the facility. However, staffare not always available. They havescheduled time off and various types ofleave. A number of processes are usedto determine the impact of leave. The“net annual work hours” method is described in the Staffing AnalysisWorkbook for Jails, Second Edition.Regardless of the method used, theprocess uses historical data to calculatehow much time the average staff mem-ber within a job classification is avail-able to work, dividing that into thetotal number of hours that the agencyneeds to have the posts filled.


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The staffing analysis process typicallyconsists of four steps but, for transi-tion, a fifth is recommended:

1. Identify all of the staff postsrequired to staff the building wheninmate capacity is reached.

2. Identify when each post needs to bestaffed.

3. Identify which posts must bestaffed, which posts could be col-lapsed or combined, and when eachmandatory post is needed.

4. Calculate and apply the net annualwork hours factor to identify thetotal number of staff required.

5. Repeat the process for startupstaffing requirements.

The staffing analysis process itself isquite straightforward and basicallyconsists of the first four steps. Thechallenge for transition teams is toavoid replicating the staffing pattern oftheir existing jail if it does not apply tothe new facility. The fifth step is oftencritical for transition teams. In manycases, the population that will bemoved to the new facility is signifi-cantly less than the facility’s ultimatecapacity. As a result, the team willneed to look for strategies that willallow them to move into the new facili-ty with an appropriately sized staff.One strategy might be to considerhousing inmates in one area of thefacility, leaving other areas—and otherfull-time posts—vacant until they arerequired. This approach is clearlyrelated to the department’s operatingbudget.

What Factors Influence theStaffing Pattern?Three primary factors influence thestaffing pattern:

■ Mission. Defines the purpose of thefacility. The facility’s mission influ-ences staffing through the opera-tional philosophy it articulatesand/or implies and its statement ofwhat the facility is to accomplish.Together these factors, along withprofessional standards, help definethe type and level of programs andservices provided in the facility.

■ Physical plant. Provides the envi-ronment in which corrections oper-ations occur; the physical plant canfunction as both an asset and a lia-bility. The design and layout of thephysical structure directly affect thestaffing level. The physical plantdictates staff members ability tomaintain sight and sound contactwith the inmates, and their abilityto classify inmates, and determineflow patterns and, to some degree,the method of supervision.Analyzing the facility for staffingneeds provides the transition staffwith an excellent opportunity tolearn about the jail.

■ Operations and activities.Determine the frequency withwhich activities are carried outtogether with schedules and theenvironment. The number, frequen-cy, and schedule of inmate pro-grams and services, as well as thenumber and type of individualsbeing detained, dictate the staffinglevel in part. Jail management cancontrol the level of some activitiesbut can do little to regulate others.For example, management staff cantypically determine when it willpermit family visitation, but canrarely define when it will admitprisoners.

Jail manage-

ment can

control the

level of

some activi-

ties but can

do little to

regulate

others.


As the transition team develops scenar-ios and drafts policies and procedures,those documents influence operationsand activities; as a result, work affectsstaffing. It is essential that transitionteam members understand the basicassumptions that were made aboutstaffing levels when the facility wasplanned and designed and that theirwork remain consistent with the basicintent of earlier staffing efforts.Transition teams that do not have thebenefit of previous work have a farmore challenging task. They mustdevelop a staffing plan that is respon-sive to both design and operations andfits within the resources allocated.

What Is Adequate Staffing?Ultimately, the outcome of the staffinganalysis is to ensure that the jail has anadequate level of staffing to operatesafely and securely. At the most basiclevel, adequate staffing is a matter ofnumbers. This concept is best illustrat-ed by looking at how many people ittakes to provide 24-hour coverage of asingle assigned post 365 days a year. A24-hour-a-day post must be staffed8,760 hours a year; an employee worksapproximately 40 hours a week—approximately 2,080 hours if thatemployee were available to work 5days a week, every week of the year.Divide the total number of hours thatmust be worked by the total numberof hours that the typical staff membercould work, and basic math shows youthat you need at least 4.2 officers tocover that post.

The problem is that the averageemployee is not available 2,080 hours ayear. Staff take vacation, get sick, useother types of leave, and go to training,among any number of other activities—all of which make them unavailable to

work at the post where you need them.When you include staff members’ typi-cal use of leave in the equation, youactually need five staff members tocover a post. No factor is more criticalin determining the number of staff thannet annual work hours.

If adequate staffing were just a ques-tion of having the right number ofstaff, then the only possible response tostaffing needs would be to add morestaff; however, adequate staffing ismuch more than numbers. Staff mustwork when and where you need them.The work of jails is not alwaysdistributed evenly. Some hours of theday and week tend to be busier thanothers. Sometimes the day shift, espe-cially Monday–Friday, has a dispropor-tionate amount of the activity; it mayalso have a disproportionate amount ofstaffing. Sometimes this is the result ofmeeting staff’s desire for “more typicalschedules.” Staff members want week-ends off; they want vacations in thesummer; and many do not like workingnight shifts. As a result, jail administra-tors have to weigh the value of givingstaff members the time off they preferagainst having the facility staffed con-sistent with workload. This does notchange during transition.

Finally, maintaining an adequatestaffing level also means ensuring thatthe staff is doing the right things.Unfortunately, in both day-to-day oper-ations and critical situations, it does lit-tle good if staff members fail to followpolicies and procedures or fail to dowhat they have been trained to do. Thetransition team has a unique oppor-tunity to influence this component bythe quality of the training providedduring transition.

At the most

basic level,

adequate

staffing is a

matter of

numbers. . . .

however,

adequate

staffing

is much

more than

numbers.


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Staffing Report Transition teams frequently have todocument staffing requests, particularlyif no staffing analysis was completedduring planning. If the jail requiresadditional staff, the request for person-nel generally needs to be initiated ayear in advance. It is important for thetransition team to understand the budg-et cycle and when budgets are due. Thetransition coordinator should initiatethis task by reviewing planning docu-ments that may have addressed staf-fing. Also, the training coordinatorshould meet with the jail administratorand the chief executive officer toreceive their input. It is not unusual tohear “We promised not to increase staffif ‘they’ built us a new jail.” This maybe in spite of doubling the inmatecapacity. At the onset, understandwhat is expected of the transition teamregarding staffing levels.

Overcoming unrealistic staffing expec-tations is a serious problem for thetransition team. First, the team needs tounderstand the assumptions on whichprior staffing levels were established,and then determine if any of theseassumptions have changed. If theyhave, then clear analysis of the differ-ences should resolve some of theissues. As part of this process, the tran-sition team must make certain that it isnot importing the old jail’s view ofstaffing into the new. Situations inwhich design failed to allow thestaffing levels identified during plan-ning, or in which no staffing levelswere established, are more difficult. Inthese situations, the transition teammay need to look for strategies, such asnot opening all of the housing units,that will allow the facility to start oper-ating safely and securely while somestaffing issues are resolved or deferred.

Recruitment and Selection The role of transition regarding recruit-ment and selection will depend on theresources of the department and juris-diction. Possible tasks may include—

■ Developing and writing positiondescriptions.

■ Developing and assisting with therecruitment strategy.

■ Developing and assisting with theselection strategy.

Position Descriptions Position descriptions may need to bedeveloped or rewritten to be consistentwith the operations of the new jail.New positions that are not in the cur-rent job classification system mayrequire research. Abilities to considerare hand/eye coordination to operateelectrical control panels and touch-screens, verbal communication skillsfor direct supervision facilities, andphysical conditioning for jails thatrequire staff to move continuouslythrough housing units that often havesteps.

Recruitment Strategies Current recruitment strategies shouldbe reviewed to determine if you aregetting the number and types of staffmembers you need. If not, the transi-tion staff should identify the problemsand share these with the appropriatestaff in either your department or thejurisdiction. A new recruitment strate-gy may need to be developed to ensurethat the pool of qualified applicants islarge enough for the number of person-nel who will be recruited during thisshort period of time. Recruitmentstrategies may include—

■ Advertising—radio, television,print.

Overcoming

unrealistic

staffing

expectations

is a serious

problem for

the transi-

tion team.


■ Colleges and universities.

■ Direct mailings.

■ Hiring incentives.

■ Internships.

■ Job fairs.

■ Military bases.

■ Newsletters (neighborhood, civicgroups).

■ Online services and the Internet.

■ Open houses.

■ Professional journals.

■ Professional agency meetings.

■ Public service announcements.

■ Recruiting firms/headhunters.

■ Speaker bureaus.

■ Volunteers.

■ Word of mouth.

Selection Process Just as you may revisit the currentrecruitment strategy, this may be thetime to review your selection process.Start by analyzing the current selectionpolicies and procedures and determin-ing if you are getting the intendedresults. If your department has a per-sonnel officer, you two should meet toclarify your respective roles and anylegal requirements that relate torecruiting and selecting personnel; ifno one in your department is involvedin this process, meet with the jailadministrator and the jurisdiction’spersonnel officer.

New instruments, forms, tests,brochures, and other materials may berequired to implement the new selec-tion process. The selection processmay include evaluation of the applica-tion, an initial interview, a referencecheck, a criminal history check, a tour

of the facility, an aptitude test, finalinterviews, psychological screening,and a physical examination. Applicantsshould be evaluated after each activityto determine if they should continuewith the process.

Comprehensive screening has associat-ed upfront costs, not only in staff tomanage the process, but also in thepurchase and/or development of instru-ments and the use of specialists, i.e.psychologists. However, the costs spenton screening may help reduce bothstaff turnover and the costs of recruit-ing, selecting, and training new staff. Ifyou decide to enhance the hiring pro-cess, make that decision early in theprocess so you can budget for anyassociated costs.

Personnel ManagementResources The tasks discussed in this chapterindicate that the staff/human resourcesactivities may require more resourcesthan the jail and/or the jurisdiction isused to using. Just consider the timethat will be required for more com-prehensive testing and backgroundinvestigations; this time crunch can becompounded by the need to bring anumber of new staff on at the sametime to facilitate training. At a mini-mum, consider using the followingresources:

■ Human resources coordinator.Designate one staff member tocoordinate with the department andjurisdiction. For most agencies, thiswill be a collateral assignment.

■ Human resources budget. In addi-tion to the budget for new staff, youwill need a separate human re-sources budget to support recruit-ment, selection, and testing

Just as you

may revisit

the current

recruitment

strategy, this

may be the

time to

review your

selection

process.


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activities. These dollars may not bein the jail budget, but rather inanother department’s budget. It isin the jail’s best interest to see thatmoney is allocated for this purpose,regardless of the budget in whichthe funds are located. Jail adminis-trators may want to actively supportthe jurisdiction’s human resourcesbudget request to enhance the jailrecruitment/selection process.

■ Staff scheduling. Assuming thebudgets have been approved andstaff employed, the jail administra-tor or designated staff will need todevelop a staff schedule. It isimportant that the schedule reflecta balanced approach to integratingnew and old staff while meetingboth the needs of the jail and anycontractual obligations.

The degree to which transition person-nel will be involved in staffing andhuman resource issues varies widely.As a transition assignment, staffing andhuman resource tasks will have periodsof intense activity that may be fol-lowed by periods of relative inaction.Regardless of the degree to which tran-sition team members are involved inthe recruitment and selection process,one of their most critical tasks—train-ing—depends on the individuals whoare responsible for selecting personnelcompleting their tasks on schedule. At

a minimum, this suggests a strong needfor frequent communication and coor-dination; it presents an excellentopportunity to enhance relationshipsamong the divisions of the departmentand/or between the department and thejurisdiction’s human resources agency.

Final Thoughts The transition team needs to develop ahuman resources timeline that clearlyidentifies the relationships among thehiring process, training requirements,and the budget cycle. Many jurisdic-tions defer hiring until the latest possi-ble moment because of its impact onthe budget. However, deferred hiringoften creates unrealistic expectationsfor training. During the early phases oftransition, encourage development of arealistic timeline for this task.

This transition task has discrete periodsof activity. Relatively early in transi-tion, the human resources specialistmay spend a considerable amount oftime on staffing issues; this activitymust be coordinated with the budgetprocess. Depending on the length oftransition, a significant lull may occurbefore the intense activity of recruit-ment and selection begins. This mayallow the human resources specialist tohelp develop the documents associatedwith the middle stages of transition.

Documen tDe v e l opmen t

C H A P T E R F I V E

Overview . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5–3How Are the Documents Related? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5–4How Do Documents Benefit Transition and New Operations? . . . . . . . . . . . . .5–4What Resources Are Required for Document Development? . . . . . . . . . . . . . .5–5When Should Documents Be Developed? . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5–6

Before You Write . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5–7General Suggestions About the Writing Process . . . . . . . . . . . . . . . . . . . . . . . .5–8Suggestions About Terminology . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5–12Suggestions About Format . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5–13Suggestions About Style . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5–13

Developing Individual Documents . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5–15Mission Statement . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5–15Operational Philosophy . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5–17Scenarios for Jail Operations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5–19Policies and Procedures . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5–21Forms/Forms Manual . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5–25Post Orders . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5–26Inmate Handbook . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5–28Master Schedule . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5–30

Final Thoughts . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5–31

Appendix 5–1. Document Coordinator Position Description . . . . . . . .5–33

Appendix 5–2. Sample Tracking Log . . . . . . . . . . . . . . . . . . . . . . . . . . .5–35

Appendix 5–3. Sample Operational Scenarios . . . . . . . . . . . . . . . . . . .5–39

Appendix 5–4. Sample Policy and Procedure Tables of Contents . . . .5–41

Appendix 5–5. Sample Policy and Procedure Formats . . . . . . . . . . . . .5–47

Appendix 5–6. Sample List of Forms . . . . . . . . . . . . . . . . . . . . . . . . . . .5–65

Appendix 5–7. Sample Post Order Format . . . . . . . . . . . . . . . . . . . . . .5–67

Appendix 5–8. Sample Master Schedules . . . . . . . . . . . . . . . . . . . . . . .5–69


DOCUMENT DEVELOPMENT

C H A P T E R F I V E

Overview Developing written documents is the most detailed and time-consuming transi-tion task. This chapter discusses the principles and mechanics of documentdevelopment. It begins with a discussion of the sources of and the relationshipsamong the documents, the operational benefits of well-prepared documentationto both transition and new jail operations, and the staff and other resourcesneeded to prepare the documentation. The second section provides a set ofgeneral writing guidelines, including document terminology and suggestionsfor getting started with the writing process and for formatting and style. Therest of the chapter provides detailed directions on how to develop each relateddocument type, including the—

■ Mission statement.

■ Operational philosophy.

■ Scenarios.

■ Policies and procedures.

■ Forms.

■ Post orders.

■ Inmate handbook.

■ Master schedule.

Before you begin, it is important to understand how these documents fit togeth-er. This helps to establish the sequence in which it is easiest to write them. It isalso important to spend time determining formats, writing style, and terminolo-gy. Everyone who will be involved in writing documents needs to be veryfamiliar with these suggestions and the resources that your team identifies.

Action plans fordocument develop-ment mayinclude—■ Document

management.

■ Mission statement/operational philosophy.

■ Operational scenarios.

■ Policy statements.

■ Policies and procedures.

■ Forms.

■ Post orders.

■ Inmate handbook.

■ Activity schedule.



How Are the DocumentsRelated?Documents related to jail operationsfall into three main categories:

■ External and internal source docu-ments that set forth the legalrequirements that the jail mustmeet.

■ Working documents that set forththe jail’s general operating philoso-phy and operating scenarios.

■ Documents that govern day-to-dayoperations, including policies andprocedures and the documents thatflow from them.

Sources

Two categories of sources shape thedocuments that are updated and/or cre-ated during transition. The first catego-ry comprises laws, regulations, andlegal precedents that define what thejail must do. These include correctionalstandards, statutes, case law, and con-sent judgments/decrees. The second isthe mission statement, which definesthe jail’s statutory role and the jurisdic-tion’s and the department’s values andbeliefs. It begins to shape how thingswill be done. The mission statementsometimes includes a statement of cor-rectional philosophy. Ideally, a missionstatement has already been developedand used to shape facility design. Thephilosophy of operations is the pointfrom which transition work begins.

Working Documents for Transition

A statement of operational philosophyfor the jail division and a description ofoperational scenarios are two workingdocuments for transition. The state-ment of operational philosophy is re-lated to the mission statement, butit defines more clearly how the

department believes the facility shouldbe operated and summarizes depart-mental values and beliefs. It definesthe inmate management strategy andgeneral beliefs about the role of pro-grams and services in the facility.Scenarios describe in detail how facili-ty functions will be performed in thenew facility. They are the foundationon which policies and procedures arebased. Scenarios should be retainedaccording to the document retentionschedule used by your jurisdiction.

Final Document Products

Policies and procedures are the primarydocuments developed during transition.Policy statements are derived from acombination of standards and opera-tional philosophy, while proceduresflow from the scenarios. All of theother documents—forms, the inmatehandbook, post orders, and the masterschedule—are derived from the policiesand procedures.

How Do Documents BenefitTransition and New Operations? Well-written, consistent, current docu-ments have positive effects on bothtransition and new jail operations:

■ Documents can be useful in hir-ing staff. Policies and procedurescan be used to determine an appli-cant’s reading and comprehensionskills. Forms and form descriptionscan be used to see if the applicantcan follow written instructions.

■ Documents are the foundation oftraining. Policies and procedurescan be the principal training docu-ments; forms are often used in sim-ulation training. Many lesson plansuse policies and procedures as thebasis for the training curriculum.

The philoso-

phy of oper-

ations is the

point from

which transi-

tion work

begins.


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■ Documents may be used as thebasis for testing. Promotionalexams to assess competency levelmay test the employee’s knowledgeof policies and procedures.

■ Documents are essential for staffsupervision. Without good docu-ments to provide direction to staff,staff disciplinary action may beunproductive and unfair.

■ Consistency in documents pro-motes consistency in operations.Consistency is essential to a suc-cessful operation.

What Resources Are Required forDocument Development? The primary resources needed to devel-op documents are—

■ Staff.

■ Computers.

■ Project documents.

■ Standards.

The use of standards and existing proj-ect documents as sources for the docu-ments to be created in transition hasbeen discussed briefly above under“Sources,” and will be dealt with inmore detail on page 5–8 under“General Suggestions About theWriting Process.” The following dis-cussion deals primarily with staffresources, with emphasis on the docu-ment coordinator, and briefly toucheson the need for computer literacyamong staff.

Staff

The key staff person is the documentcoordinator, who manages the entireprocess. The document coordinatorshould—

■ Have a good level of knowledgeabout corrections.

■ Be a good writer.

■ Be extremely organized; the docu-ment manager must coordinate thewriting of numerous drafts of hun-dreds of documents.

■ Be detail oriented; the documentmanager must make sure that alldocuments are consistent in content,format, and terminology.

■ Be able to see how all of the docu-ments relate to one another.

The document coordinator is a full-time position for at least a year beforeoccupancy of the new jail and for sev-eral months after occupancy. If youintend to pursue accreditation, thisposition may become your accredita-tion manager. In addition to the docu-ment coordinator, you will need—

■ Writers for the various documents.

■ Review teams of “operationalexperts” (such as cooks, mainte-nance personnel, support staff, andofficers) to provide input to thewriters and to review their work.

Because many of the operationalexperts may not have been involved inearlier planning tasks, it is essentialthat you help them learn about the newfacility’s operational philosophy andbasic operating assumptions. By bring-ing these experts up to speed on thesetopics, you avoid dealing with groupsof experts in the old operation whiletransition team members are develop-ing the new one. Although this maytake a little more time, it can preventlater misunderstandings. Bringingbroad-based input to the process ulti-mately will help to create ownership inthe transition process, the documentswhich will be developed, and the new


operation. A sample document coordi-nator position description is includedas appendix 5–1.

Computers

Because of the volume of materials tobe generated, all writers need to be (orquickly become) computer literate.Consider training not only in theappropriate software programs, but alsoin effective writing.

When Should Documents BeDeveloped?Ideally, documents should be written ina specific, systematic order. Some doc-uments are derived almost completelyfrom others. As a result, starting all ofthe documents at the same time willprobably create inconsistencies andduplication of effort. Unfortunately,few departments have time to finalizeall of one type of document before

Exhibit 5–1. Document Development Flowchart


Develop/ReviseProcess/Formats

ReviewDocuments

DevelopPolicies andProcedures

DevelopScenarios

PrioritizePolicies andProcedures

Needs

SelectWriters/

Reviewers

IdentifyWriter/Reviewer

Knowledge,Skills, andAbilities

TrainWriters/

Reviewers

Collect AllResources

EstablishFacility Access

Protocol

CollectPlans/

Specifications

UpdateMission

Statement

EstablishFacility

Terminology

IdentifyResourcesRequired

SelectDocument

Coordinator

ReviewProgram

Documents

START

SelectStandards

Revise

OK?Yes

No

ApproveDocuments

DevelopInmate

Handbook

DevelopPost Orders

DevelopForms, Logs,

etc.

DevelopOperationalSchedules

DevelopPlans, etc.

ConductTraining

A BPrint/

DistributeDocuments

UpdateDocuments

CreateForms

Storage

B StartOperationMove

Review/Update

DocumentsEND


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proceeding to the next. Even if thedepartment has this time, informationdeveloped in later documents mayresult in the modification of earlierones.

The linear document developmentflowchart (exhibit 5–1) illustrates thegeneral relationship among the docu-ments. Many documents will be startedwhile preceding documents are still indraft form. Items in boxes with dottedlines are tasks discussed in other chap-ters of this manual that are critical tocompleting this task.

Before You Write Because document development is oneof the largest and most familiar tasks,transition teams tend to leap into thistask. However, team members can savethemselves a significant amount oftime and aggravation by resisting thisimpulse and focusing on some of themore tedious aspects of writing first.The suggestions in this manual fall intofour areas:

■ The writing process in general.

■ Terminology.

A


■ Format.

■ Style.

General Suggestions About theWriting Process These general suggestions focus onhow to get ready to write and how toreview the products the team develops.

Assemble a Resource Library

Put together copies of all the docu-ments that relate to the project and tospecific transition tasks. At a mini-mum, this should include the newfacility’s mission statement, the pre-architectural program, the contractdocuments (plans and specifications),design notes, copies of all relevantstandards, and a complete set of yourexisting policies and procedures,forms, and schedules. Relevant stan-dards will include your state standards(if applicable) and the appropriate setof standards of the American Correc-tional Association (ACA) and theNational Commission on CorrectionalHealth Care (NCCHC). You may alsoinclude copies of policy and proceduremanuals from other facilities and mate-rials you find through the NationalInstitute of Corrections (NIC) Informa-tion Center. You could also includeinformation on relevant jail opera-tional, program, and/or constructiontopics. Significant portions of thisresource library should be both inhardcopy and electronic format.

Use Standards as a Foundation

Read the relevant standards beforeundertaking any writing task. As youwrite, you will need to reference thestandard. The level of reference willvary based on what you are writing.For example, in policies and proce-dures, you may elect to include the text

from the standard in the document. Inscenarios, you may elect only to refer-ence the standard by name and number.

Be sure you follow the standards whenyou write, and if the standard requiresdocumenting an activity, make sure theprocedure that is ultimately developedincludes the method of documentationto be used. If it is impossible to meet astandard for specific reasons, indicateso in a “Note” after the standard. Youmay not need to write a procedure atthis time. For example, if the jail doesnot have an inmate work program, youwill not need to write procedures for it.However, if the jail cannot meet thestandard for the frequency of outdoorrecreation because the recreation areais too small, you still need to write theprocedure for outdoor recreation.

Select and Train Writers

It is important to select staff memberswho have good writing skills. Considerthe reports that the staff member typi-cally produces in his or her current job.Are they clear and easy to understand?Are they thorough? Writing ability isprobably more important than jailexperience because the writers shouldhave operational experts available tothem. To test writing skills, have appli-cants use the writing format you selectto describe how they arrived at work.This chapter of the manual could beused to train writers.

Develop Clear Expectations About theFinal Product

Team members need to have a clearpicture of what the final product willlook like. Although most departmentswill have some form of policy and pro-cedure document, transition is a timewhen many departments update their

Read the

relevant

standards

before

undertaking

any writing

task.


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policies and procedures manual so thatit reflects current thinking and content.In addition, with the advent of automa-tion, many departments use this oppor-tunity not only to change the format ofthe manual but also to change howthey make the manual available tostaff. These approaches include search-able automated documents as well aswritten copies.

Use the New Jail as Your Frame ofReference

When you start writing, it’s easy to gettrapped into thinking of your currentjail. Think about how the new buildingis designed to operate. Think about thechange in philosophy that is occurring.Ask yourself as you begin to write, “Isthis consistent with new jail operations?Or is it based on what we do in theexisting facility?”

Consider the Impact on Staffing

When writing, consider all shifts,including weekends and holidays, andthe staffing level associated with thoseshifts. Do not write policies and proce-dures that create busywork for jailstaff. Write what is necessary to com-ply with the policy and standards andto eliminate current problems. Askyourself why you are requiring a par-ticular step. Is it consistent with the jailand proposed operations?

Stay Organized

How many policies and procedures arein a good manual? If standards providea clue, there are likely to be at least100. Each policy and procedure will gothrough several drafts. You will proba-bly have multiple writers working onthese. Multiply the number of policiesby an average of three drafts and youcan quickly see just how much paper

can be generated for just one docu-ment. Organization is key to knowingthe status of each of these documents.Each document should have a cleartitle and associated name or numberingscheme. It should also include thewriter, the date and the number of thedraft, and page numbers. If it’s an elec-tronic document, include a directorylocation for the electronic file.

As you write, you may find changesthat will be required in other docu-ments. A change in a policy and pro-cedure can result in a change in theinmate handbook. You may find achange that will also need to be madein a related procedure. While writingone policy, you may discover thatanother needs to be written. Develop alist of these changes and new tasks. Itmay be very helpful to other writersand to the trainers who will use yourwork to identify known operationalchanges and any training implicationsthat you identify. This will be a signifi-cant help as you develop the later doc-uments and lesson plans.

Don’t Get Stuck

As you begin writing, you will dis-cover a great number of unknowns.Perhaps you don’t know the correcttitle for the new staff person involvedwith programs or the number on a spe-cific door. Develop a list of questionsthat need answers, insert a blank spacewhere the information is missing, andgo on. Then, don’t forget to update thedocument as information becomesavailable.

Track Your Progress

The documents you develop will havemultiple drafts. If you do not note thedraft number and the document’sreview status on each, it will be very


difficult to know the status of any par-ticular document by just looking at it.Labeling documents appropriately isespecially important when developingpolicies and procedures.

Develop a tracking log for each type ofdocument after you’ve developed thereview process, especially if it includesvarious individuals or groups. This logcan be generated using either projectmanagement software or a databaseapplication. The tracking log should—

■ List all documents by number andtitle.

■ Provide columns for the number ofanticipated drafts and the variousreviewing groups in the order ofreview.

■ Note the date and the draft numberof the document in the column thatidentifies where the document is inthe writing process.

Appendix 5–2 is an example of atracking log.

The document coordinator shouldmaintain the tracking log. This allowsone person to see the overall status ofthe policies and procedures and initiatefollowup if necessary. Regardless ofthe exact review process that youdevelop, the last two columns shouldbe “Quality Control” and “Approved.”For quality control, the document coor-dinator should review all documentsfor consistency, formatting, and theirrelation to/conflicts with other policiesand procedures. Writers should do thisas they draft their documents, but thedocument coordinator should do onefinal check. In the “Approved” column,write the date the document wasapproved. The date on the documentshould match this date until the entireprocess is complete. This column will

show quickly how many documents areapproved, while the rest of the trackinglog will show how many are inprogress or need to be started.

Use Team Members To Test Your Work

Most people understand what theyhave written when they read it becausethey know what they intended to say.However, jail document writing mustbe clear to everyone. Use transitionteam members to review and ask ques-tions about your work. These ques-tions, particularly when raised early,can avoid lots of corrections later on.Remember, this isn’t personal—it’sabout the final product.

Establish a Writing Sequence

Not all documents are equally impor-tant, but some have the ability to influ-ence others strongly. For example, ascenario or policy that deals withinmate movement has the potential toinfluence many others. It’s a good ideato identify the key scenarios and writethem first. This approach will save youfrom having several variations of howto move inmates from one place toanother attached to another scenario,policy, or procedure; minimize writingtime; and decrease the potential fordocuments that conflict with eachother. You also should identify whichdocuments must be in place for train-ing and operations; do these first.

In general, the writing sequence paral-lels the relationship among the docu-ments: scenarios have to precedepolicies and procedures. But you maywant to consider whether all docu-ments of one type should be developedcompletely before moving on to thenext type or if it would be more appro-priate, given time and manpower con-straints, to develop all the documents


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related to a particular set of functionstogether. The documents should not bewritten randomly. Develop an order inwhich to complete them.

Establish a Review Process

All documents require multiple levelsof review. The review process general-ly falls into the following sequence:

■ Walkthrough with the blueprints.“Walk through” or test each draft ofa document against the blueprints atthe conclusion of each draft toensure that the document providessufficient detail.

■ Format and detail check. Reviewthe document for consistency withthe established style and format;check all references to standards,policies, and procedures; and checkspelling, grammar, and punctuation.

■ Walkthrough in the building.Now walk through the document(either in the actual building, or as astep-by-step “talkthrough” withother staff members who have notworked on it). Have staff follow thedirections in the document, demon-strating what it tells them to do. Ifyou have to answer questions orcorrect staff’s actions, then the doc-ument needs more detail. Beforedoing this walkthrough, however,consider that doors, gates, and otherentrances will be locked and getany equipment that will be needed.The walkthrough should be as realas possible.

■ Transition team review. Transitionteam members should review therevised document to provide theirinput, check for agreement withother documents, and learn aboutthe new jail and its operations.

■ Operational expert review.Although the transition team willnot need an operational expert toreview all documents, it is impor-tant to develop a team of supervi-sors and subject matter experts forareas such as food service, healthcare, and maintenance to reviewdocuments that affect their area ofresponsibility.

■ Staff review and comment. Thetransition team should provideopportunities for all staff to readdocuments as drafts are developed.All staff are not required to read thematerials at this time, but offeringthese items—even if just by postingthe policies and procedures—canhelp reduce resistance to change.This step tends to increase owner-ship, provide for a high degree ofinput, and start the staff orientationprocess.

■ Final review and approval. Thetransition team must determine ifjail or department administrativestaff need to review the documents.It also needs to determine whoshould approve the documents andwhat the approval process will be. Itis important to define clearly whohas what level of authority to draftand revise documents. Consider therole of the transition staff, transitioncoordinator, jail administrator, andchief executive officer of theagency. Decisionmaking may varyby subject, i.e., the CEO may notwant to decide on trash removal butmay want to on booking. A meetingwith the department’s and/or juris-diction’s attorneys may be neededto determine their role in theprocess. Regardless of the approvalprocess chosen, it is extremely

If you have

to answer

questions or

correct

staff’s

actions, then

the docu-

ment needs

more detail.


important for the reviewers to com-plete their review and forward theircomments and/or approval within ashort period of time. Delays in thisprocess could result in the facilityopening without a working set ofpolicies and procedures.

Suggestions About Terminology Decide from the outset what terms touse for people, places, and things inthe jail; make those terms clear andconcise; and make sure that all writersknow about and consistently use thoseterms. This will reduce the time andcost of writing documents, and willmake those documents easier to useand understand.

Establish Naming Protocols

Name areas, staff, forms, and otherthings as you want them to be called,which may be different from what ison the plans. Keep names simple andeasy to remember. Make sure this com-mon language is consistent with yourjail’s current and future philosophy.What you name areas will have long-term impact. But don’t let uncertaintyabout a room or position name bogdown your writing process; leaveblanks and go on. Just make sure thatyou fill in the blanks as soon as possi-ble. Maintain a list of these terms inboth hardcopy and electronic formatsto ensure that all writers have access toit and use it consistently.

Use Clear, Concise Titles

Develop brief titles when possible, i.e.,“trash detail” instead of “support serv-ice staff and two inmate workers.” Youwill, however, need to describe “trashdetail” in the background section orinclude it as a definition. It’s easier toconsistently use short, clear terms.

When a lengthy term is the most accu-rate, e.g., “qualified health profession-al,” consider using an acronym, “QHP.”However, use the entire term the firsttime it is mentioned with the acronymfollowing in parentheses so that thereader understands what the acronymmeans. When referencing forms, useshort, descriptive form names. Addform names to a style sheet or list ofdefinitions to ensure that they are refer-enced correctly and consistently.

Develop Consistent Styles forReferences to People

Consider how easy your style choicewill be to read and use in the future.

■ Decide on a consistent style forreferring to men and women. Doyou use “s/he, his/hers, him/her,” orsimply “he, his, him”? Considerusing the simpler form of “he” andindicate in the introduction to thepolicy and procedure manual that“he” applies to both he and she.

■ Decide how to address singularand plural. Some have used“inmate(s),” but this can make forawkward reading.

■ Consider how you refer to thosebeing held, e.g., arrestees,inmates, prisoners, and beconsistent throughout.

■ Consider capitalizing positiontitles, forms, and names of roomsand areas to make them stand outfrom the text.

Document all of the above decisions ona central terminology list in both hard-copy and electronic formats. All writ-ers and reviewers should have the listand use it while writing and reviewing.As new terminology develops, update


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and redistribute the list; it will changefrequently during the process. Thisapproach involves considerable disci-pline, but will result in consistent doc-uments that are easier to understandand use.

Suggestions About FormatAlthough each type of document willhave a format of its own, considerthese global suggestions about formats.Formats for specific documents are dis-cussed in more detail in the appropriateportion of this chapter.

Be Consistent

Standardize the format before youbegin writing and create a documenttemplate (a model document that iscorrectly formatted). Use the same for-mat for each type of document. Beaware of the need for consistencyamong all writers. Because some docu-ments are related, their formats shouldbe consistent to reduce the time neededto reformat text. For example, the sce-nario format should be consistent withthe general format of policies and pro-cedures. Use a style sheet to documentyour format choices.

Organize the Format so ComponentsCan Be Identified Quickly

How this is done will vary from docu-ment to document. For scenarios, acolumn format often works well,although it does not allow for a signifi-cant amount of detail and will not lenditself to a format closely related to thefinal policy and procedure format. Forpolicies and procedures, headings andsubheadings with a change in font, i.e.,bold and italics, and good titles make iteasy for staff to find what they arelooking for.

Use an Attractive, Easy-To-ReadFormat

Make the document (typing and pagelayout) attractive, with good spacing.Make it easy to read by consideringfont size and style. Maintain consistentmargins for each document and useconsistent headings, number formats,and so forth. Avoid excessive use ofthe outline format and its descendingsubcategories within procedural steps.If you use the outline method, maintaingood sentence structure and a logicalthought process.

Refer to Standards Consistently

As writers develop documents, theywill need to refer to standards. Howmuch of each standard is included inthe document is a matter of preferenceand potentially of technology. If youdon’t include the text of the standard,make it easy for staff to look at thestandard itself. If your manual is auto-mated, you may be able to include alookup feature for standards.

Suggestions About Style Clear and effective writing requiresclear and effective thinking. Followingthe general suggestions about writingstyle presented below will not onlygive your writing more clarity, but alsohelp you organize how you look at thetasks you are writing about before youwrite. The key to writing proceduresthat are easy to understand and to fol-low is to break each task down into itscomponent steps, identify who isresponsible for performing each step,and present each step in order.

Write Clearly and Concisely

These suggestions will help you definethe writing style you need for yourdocuments:


■ Use clear, brief statements. Avoidlong sentences and paragraphs,which are likely to include multipletasks that require separate steps. Tryto limit each step to a single activi-ty. Numbering each step will helpto separate each activity.

■ Avoid extra verbiage. Minimizethe use of phrases like “beforereleasing inmate from unit . . . .” Ifreleasing the inmate occurs later,list it as a separate step.

■ Use the active voice. This focusesthe reader first on the who or theperson, and then on the what or theaction. Writers often use the passivevoice, which describes what is hap-pening, but not who is doing it.Using the active voice ensures thatthe person responsible will be iden-tified. Examples:

Passive: “The Incident Report iscompleted and forwarded to theShift Supervisor.”

Active: “The involved workerwrites an Incident Report andhand-delivers it to the ShiftSupervisor no later than the endof the shift.”

■ Use the present tense. This short-ens sentences, is easier to read, andmakes steps clearer. Whatever tenseyou use, be consistent in all docu-ments.

■ Use correct and descriptive verbs.Select your verbs carefully andspecifically, e.g., how do you“check” a door? You need to “pullon,” “push,” or “shake the handleof” a door. Choose verbs thatdescribe what is really being done.

Specify the Sequence of Steps forEach Task

For scenarios and procedures, much ofthe writing involves putting a series oftasks in the correct order and specify-ing who performs these tasks. The fol-lowing suggestions can help youorganize your writing:

■ Write the typical sequence first.As you begin to write, approach thetypical sequence first—what usuallyhappens in most cases, i.e., lock-down, not refusal to lock down.Continue this sequence from begin-ning to end. Then analyze the sce-nario for variances or problems inthe typical activity or service and, ifnecessary, add relevant informationto explain the variance or, if thereare significant differences, considerwriting a second scenario.

■ Keep the steps in order. Keepsteps in the correct sequence for theprocess being described. Avoidsteps like “The Control RoomWorker maintains the log of allequipment issued, logging time outand in . . . .” You generally do notlog things out and in at the sametime. When you issue an item, yourecord that on the proper form.Later in the process you log itemsback in. Steps must always besequential.

■ Group related steps. After the firstdraft, look at grouping related steps.For instance, Inmate Mail couldevolve into procedures or scenarioson Incoming Mail, DistributingMail, Collecting Mail, OutgoingMail, Legal Mail, and Packages.

For scenarios

and proce-

dures, much

of the writ-

ing involves

putting a

series of

tasks in the

correct order

and specify-

ing who per-

forms these

tasks.


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■ Identify who performs each step.Indicate who is doing each task inevery step. Name positions asspecifically as possible. Then usethese titles consistently in each stepand from scenario to scenario.Remember that telling someone todo something requires a step for theactivity to be done and that separatesteps are usually required whenmore than one staff member carriesout different functions related to thesame step.

■ Identify when tasks must be com-pleted. Be specific. Does “. . . clos-ing the same day” mean the end ofthe shift, a 24-hour period, or a cal-endar day?

■ Specify the means of communica-tion. When uncertain, leave a blankin first drafts or indicate possibleoptions. “The worker notifies theShift Supervisor via ________ . . .”or “The worker notifies the ShiftSupervisor via ?phone or intercom.”

■ Always complete a task. Forexample, if you write procedures tofollow when allowing inmates toleave the unit, you need to write thesteps needed to return the inmatesto the unit. Stating that inmatesreturn “in the reverse order” is notsufficient and may be inaccurate.

■ Write background or generalinformation last. Statements of factthat do not reflect action go in thebackground section, not in a sce-nario or procedure. Develop thegeneral information or backgroundafter you’ve written steps or duringthe process, but not before writingaction steps. This will help youavoid including information in thebackground section that should bewritten as descriptive action steps.

Keep background information to theabsolute minimum.

■ Eliminate duplication. Eliminateduplication between the backgroundand procedural steps.

Now that you’ve reviewed these gener-al writing suggestions, it’s time toexplore the different types of docu-ments in greater detail.

Developing IndividualDocumentsThe remainder of this chapter discussesthe preparation of individual docu-ments in greater detail. This discussionproceeds from the higher level docu-ments that are prepared first (themission statement and operatingphilosophy) to scenarios (generaldescriptions of day-to-day activities),then to the policies and proceduresmanual, and, finally, to the documentsthat govern specific duties and respon-sibilities of staff and inmates (postorders, inmate handbook, and masterschedule).

Mission StatementMission statements are often developedat the beginning of a planning processby individuals at the highest level ofthe organization and jurisdiction. Thedevelopers frequently include stake-holders from other agencies, countygovernment, and the community. Asa result, staff at lower levels of theorganization may not be familiar withthe new mission statement, its implica-tions, and its inherent values.

When jurisdictions develop a new jail,they often change their missionbecause the project represents a shift incorrectional philosophy. Hopefully,management personnel in your depart-ment will have helped to define that


shift. The new mission statement setsa new direction, which is then carriedout by policies and procedures that thetransition team is responsible for devel-oping. The process of moving from themission statement to policies and pro-cedures begins with understandingwhat the mission statement should beand how it relates to operational phi-losophy, and what both ideas imply forthe department’s preferences in carry-ing out the requirements of profession-al standards.

What Are the Elements of a MissionStatement?

Transition team members need to begintheir work by locating and analyzingthe new mission statement. The mis-sion statement should contain three keyingredients: purpose, responsibilities,and philosophical direction.

Purpose

The purpose of the jail shouldinclude—

■ The legal mandate for its operation.

■ The role of the jail within the localcriminal justice system and, in ageneral sense, the community.

■ The types of inmates who will beheld.

By asking the following questions, thetransition team may uncover transitionresponsibilities:

■ Is the operation of the jail mandatedby state and/or local statutes?

■ Who is ultimately responsible forthe jail’s operation?

■ What law enforcement agencies andcourts are served by the jail, andhow does the jail help them fulfilltheir responsibilities?

■ Whom will this jail hold and why?

Responsibilities

The mission statement must define thejail’s primary responsibilities to itsclients/users and other major con-stituencies. In the broadest sense,those responsibilities are—

■ Security. Making sure that thoseindividuals incarcerated remain sountil legally released.

■ Safety. Making sure the staff,inmates, and visitors to the jail arenot subjected to physical, emotion-al, or psychological abuse or dangerwhile in the jail.

■ Service. Providing for the basichuman needs of the inmate popula-tion and offering program opportu-nities for those inmates who chooseto participate in them.

By asking itself the following ques-tions, the transition team will begin toidentify the department’s operationalphilosophy:

■ What makes a jail secure?

■ What makes a jail safe?

■ What are the responsibilities of thejail to its constituencies, i.e., staff,inmates, visitors, and the public?

Philosophical Direction

Determining the philosophical direc-tion of the new jail requires puttingaside current perceptions of the jail’smission, and trying to conceptualizethe mission 5, 10, or 20 years into thefuture. There are many correctionalphilosophies. Most jails operate with amixture of the following:

■ Punitive. The jail’s mission is topunish inmates and to house themto fulfill their “debt to society,” andto deter them from future criminalactivity.

The mission

statement

should

contain

three key

ingredients:

purpose,

responsibili-

ties, and

philosophical

direction.


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■ Reform. The jail’s mission is toprovide inmates with vocational andeducational skills, and instill inthem contemporary communitystandards, to make them productivemembers of society when they arereleased.

■ Rehabilitation. The jail’s missionis to treat the inmates’ social andpsychological problems and changetheir attitudes so they can better“cope” with society on release.

■ Reintegration. The jail’s mission isto develop a cooperative relation-ship between the inmates and thecommunity in order to reduce thestigma of criminality and enhancethe inmate’s ability to successfullyreenter the community on release.

■ Restraint. The jail’s mission is tooperate in a smooth and efficientmanner and to tightly control thebehavior of inmates throughrewards and punishments in orderto keep the environment of the jailcalm.

By asking themselves some of the fol-lowing questions, transition teams willbegin to identify the underlying correc-tional philosophy:

■ Does the facility provide for inter-action with the community throughprograms, such as work details?

■ Does the mission statement suggestanything about the role that inmateprograms play in jail operations?

■ Is there an emphasis on inmates’responsibility to repay the commu-nity in some way for their offenses?

Getting Started

The tasks of the transition team willvary based on whether or not a missionstatement has already been developed.

If a mission statement has been devel-oped for the project, the transition teammust—

■ Locate it.

■ Determine the philosophy and val-ues that are inherent in the mission(this may require additional discus-sion with those who drafted themission statement).

■ Identify the implications of thesevalues for both the jail’s operationalphilosophy and the transition team’sspecific tasks.

If no mission statement was developed,it is critical that the transition teamraise the issue with individuals whoparticipated in planning and designingthe facility and document theirassumptions about the jail’s mission ina draft mission statement. Additionalinformation about developing a mis-sion statement is available throughNIC’s Information Center.

Operational Philosophy

What Is an Operational Philosophy?

Community expectations about whatthe jail should and shouldn’t do varywidely based on local and regional cul-ture. The department also has clearbeliefs about how the jail should oper-ate and what its responsibilities to itsvarious constituencies are. These havebeen known to change with the chiefexecutive. Research and evaluationabout “best practices” also providestrong direction about what works injails and what jails should be doing tocarry out their mission. The U.S.Constitution, state constitutions, feder-al and state statutes, standards, and caselaw also define what jails must do.Sometimes these expectations conflictwith each other. Transition teams need

Research and

evaluation

about “best

practices”

also provide

strong direc-

tion about

what works

in jails and

what jails

should be

doing to

carry out

their

mission.


to sort through these expectations todefine the underlying principles thatwill define their future operations.

Getting Started

These suggestions can help the transi-tion team put their operational philoso-phy into words:

■ Review and analyze the jail’s mis-sion statement. Team members canreview the new jail’s mission state-ment and, as a group, identify theresponsibilities that it defines andits underlying philosophicalapproach. Ideally, this approach hasdriven the design philosophy, sothinking about what makes the newbuilding “different” from the oldmay help with this process. Teammembers also can talk with individ-uals in the department who helpeddraft the new mission statement.

■ Review and analyze the depart-ment’s mission statement. Thejail’s operating philosophy must beconsistent with the department’sphilosophy. Transition team mem-bers can review their department’smission statement—which mayinclude statements of values, vision,and goals. They can then compare itwith the new jail’s mission state-ment and identify the implicationsof the department’s mission state-ment for jail operations.

■ Review standards. By now, teammembers should have reviewed thestandards with which the facilitywill comply. In addition to examin-ing their state’s standards (if theirstate has standards for jail opera-tions), team members should reviewprofessional standards, most likelythe appropriate set of ACA stan-dards. If no standards have been

selected, team members should rec-ommend a set of standards to jailadministrators and request confir-mation of the standards to be usedfor future operations.

■ Consider best practices. Thedegree to which team members arefamiliar with best practices will alsoshape their expectations for the newjail. In the past 20 years, the correc-tions profession has developed asignificant body of informationabout how to improve our business.These changes, identified as bestpractices, provide a vision of whatcan be done in your jail. If teammembers are not familiar with theseconcepts, consider obtaining addi-tional information from NIC’sInformation Center.

■ Draft a statement of operationalphilosophy. Transition team mem-bers can begin to draft their opera-tional philosophy by identifying theoperating principles that will guidehow they will do business. Theseare brief statements that providedirection. Like the mission state-ment, the operating philosophyshould be a clear statement that pro-vides direction about both the intentand the quality of future jail opera-tions. Sample operating principlesmight include the following:

– People in the facility are safefrom abuse.

– Communication between staff andinmates demonstrates mutualrespect.

– Inmates are encouraged to changethe behavior that led to theirincarceration.

– Staff members treat inmates justly and fairly.


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– The jail holds inmates account-able for their behavior both in thefacility and in the community.

■ Obtain approval. After team mem-bers have drafted their statement ofoperating philosophy, the teamneeds to confirm with both jail anddepartment administrations thatthese will be the basic principles ofoperations.

In conjunction with the standards,these operating principles will be thefoundation on which the new jail oper-ations will be built.

Scenarios for Jail OperationsThe scenario development process isthe foundation for other transitionactivities that follow; it is an essentialactivity. Skills learned here will makelater transition tasks easier. Scenariosoutline the sequence of activities need-ed to perform a particular function orservice, i.e., meal service, visiting, orlockdown. Establishing scenariosallows transition team members todetermine jail operations before thebuilding is complete. Scenarios facili-tate the development of policies andprocedures.

What Are Scenarios?

A scenario is a written description ofhow a specific function is to occur.Scenarios are written when there issubstantial movement of people(inmates, staff, other jail users),information, and/or things (e.g., food,laundry). Scenarios are used to—

■ Develop an overview of how the jailwill operate.

■ Assist the writers in learning thejail’s physical and electronic layout,including systems such as intercoms,

door controls, and closed-circuittelevision.

■ Develop consistent terminology foreach space, group of spaces, andsystem.

■ Identify staff posts and agreed-uponpost titles.

■ Establish a consistent writing style.

■ Make policy decisions that willaffect daily operations, e.g., whichinmates can move escorted orunescorted in the jail.

■ Initiate daily activity schedules.

Each scenario should include the fol-lowing components:

■ Name or title of the scenario.

■ Date of the current draft.

■ Background information thatexplains elements of the scenario.

■ Each step or activity in the scenarioand the following associatedinformation:

– Who performs each step.

– What resources or equipment arerequired for that step.

– What signage is required at thatstep.

– What behaviors are desired oranticipated at that step.

– What policy decisions are madeat that step.

– What case law and correctionalstandards apply to that step.

Getting Started

These guidelines provide directionabout how to begin developingscenarios:


■ Identify global scenarios. Globalscenarios describe activities that seta pattern for other activities andwould commonly be referenced inmany other scenarios. They wouldinclude scenarios such as DoorControls, Inmate Movement,Lockdown, Perimeter Security,Programs (Centralized and Decen-tralized), and Reporting to Work.Developing these first minimizesduplication of effort and conflictbetween scenarios.

■ Determine scenarios to be writ-ten. Typically, about 25 to 50 majortopics require scenarios. Theseinclude, but are not limited to, thefollowing:

– Booking.

– Commissary.

– Door Controls.

– Housekeeping.

– Housing Transfer.

– Inmate Counts.

– Inmate Dressout.

– Inmate Release.

– Inmate Showers.

– Inmate Telephone Use.

– Laundry.

– Library.

– Mail.

– Meal Delivery Service.

– Medical Intake.

– Medications.

– Natural Disasters.

– Perimeter Security.

– Personal Property.

– Personal Visits.

– Pest Control.

– Professional Visits.

– Recreation.

– Religious Programs.

– Shift Briefings/Reporting toWork.

– Sick Call.

– Special Visits.

– Staff Meal Service.

– Total Facility Evacuation.

– Waste Disposal.

Many of these can be broken downinto more specific scenarios, e.g.,Booking a Cooperative Inmate andBooking an Uncooperative Inmate.Creating scenarios for each major topicwill likely lead to developing otherscenarios, frequently resulting in a totalof 100 to 150 or more.

Scenario Formats

Scenarios may be developed usingeither a column (table) or a narrativeformat. In the column format, thelargest column, “Activity,” is used torecord the sequential steps of the pro-cess; smaller columns may be usedfor information such as Resources/Equipment, Signage, and Notes. Otherareas to consider including in the col-umn format may be Behaviors (ofPeople Involved) and Policy Decisions.The narrative format presents thesame information in a list. Because alist lends itself to more detail than acolumn format, the narrative formatmay take longer to develop. Samplescenario formats are provided inappendix 5–3.

Global

scenarios

describe

activities

that set a

pattern for

other activi-

ties and

would

commonly

be refer-

enced in

many other

scenarios.


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Policies and Procedures The third type of document to be writ-ten is the most familiar: the policiesand procedures manual. Other docu-ments that govern day-to-day opera-tions flow from this, including theforms/forms manual, post orders, andinmate handbook. If time is very limit-ed, you might start with writing poli-cies and procedures. If this is the case,it is still advisable to write scenariosfor the critical policies and proceduresfirst and then draft the policies andprocedures.

What Are Policies and Procedures?

A policy statement is often the firstelement of a policy and procedure tobe written. It should be a concise state-ment that explains the organization’sposition on an operational issue. Itindicates what is to be done and why.Some jurisdictions divide this into astatement of policy (what) and a state-ment of purpose (why). In this manual,policy refers to both. The policy state-ment should relate directly to the stan-dard that it implements (the what) andan operating principle (the rationale forthe policy or the why). Keeping thepolicy statement simple and brief is achallenge; it is tempting to try to fit allthe information into the statementinstead of keeping it more general.

Procedures are detailed, step-by-stepdescriptions of the sequence of activi-ties needed to achieve the related poli-cy. Procedures are the who, when, how,and where statements. They tell peoplewhat to do and are a primary trainingtool.

Getting Started

This section provides guidelines forgetting started on policy and proceduredevelopment:

■ Develop a table of contents. Tobegin, develop a table of contentsthat references the policy and pro-cedure subjects to the applicablestandards. Appendix 5–4 listspotential topics for tables of con-tents and gives several examples offormats for them, including multi-level numeric formats and an alpha-betical labeling system.

■ Finalize terminology. Finalize alist of accepted terminology forrooms, areas, doors, systems, andtitles and groupings of staff posts ifthis was not done during scenariodevelopment.

■ Establish a format. Establish aconsistent format for all policy andprocedure statements. Althoughmost departments have a currentpolicies and procedures manual,during transition many agencieschange both the format of themanual and the way in which it isdistributed. Word processing hascreated a number of options for for-matting headings and footers, inte-grating tables, generating tables ofcontents and automatic numberingsystems, and otherwise enhancingthe general appearance and useful-ness of these documents. Duringtransition, many departments electto automate their policies and pro-cedures manual. Some even add asearch feature to make it easier touse. The manual can be posted on adepartment intranet or made avail-able on CD–ROM.

■ Draft the policy statement first.Remember, the policy statementtells the what and why. It providesthe “big picture,” so write it first toensure that the writer is clear aboutwhat is to be accomplished and whyit is to be done.

Policies are

the what

and why

statements;

procedures

are the who,

when, how,

and where

statements.


■ Stay focused. Don’t stray from thepolicy subject when writing the pro-cedure. If you find yourself needingto explain more and more items,consider adding another policy andprocedure. Add the new policystatement to the list of documentsto be developed. At the same time,be sure that all information pre-sented in the policy statement isimplemented completely in theprocedures.

Policy and Procedure Formats

These are guidelines for policy andprocedure formats (see examples inappendix 5–5):

■ Develop a numbering and label-ing system. Number the pages ofeach policy and procedure withinthat statement. You may want to usea numbering system that uses multi-ple digits to relate a single policystatement to a chapter or section ofthe manual (see Guideline, “SampleNumbering System” and examplesin appendix 5–5). Each page shouldhave the number in a consistentlocation. Using an outline formatwithin the procedure sections workswell. You may also want to list thepolicy and procedure chaptersalphabetically by subject rather thanby the number of a large categorysuch as Administration (for exam-ple, look under “B” for a bookingpolicy and procedure).

■ Develop and use consistent head-ings. Write all policy and procedureelements (headings) consistently. Ifa policy and procedure elementdoes not contain text, enter theword “None,” except for the“Authorizing Signature” line.

Consider using the following policyand procedure headings:

Subject. The subject is the title ofthe policy and procedure. It statesthe main topic that the policy andprocedure covers.

Number or chapter title. The num-ber or chapter title relates one poli-cy to others. The chapters in themanual may be arranged in thesame chapter format as your statestandards, other professional stan-dards you may follow, or alphabeti-cally by subject.

Effective date. The date that a poli-cy becomes effective is specifiedhere. When developing drafts, showthe date and draft number, e.g.,11/08/03 (Draft #1). Distribute poli-cies on a set date approximately 4days before they go into effect.

Version number. Each version typi-cally is numbered in conjunctionwith the date, e.g., 01.04.03 wouldindicate that 01 is the version num-ber, 04 is the month, and 03 is theyear.

Authorizing signature. Before apolicy goes into effect, it must beapproved and signed by the author-izing official. Decide who will signeach statement, e.g., the jail admin-istrator or another official. If themanual is automated, a signaturemay be necessary on the copy ofrecord, but not on the electroniccopy.

Distribution. The group of individ-uals and posts to which the docu-ment will be distributed.

Policy. A policy is a brief statementthat defines the organization’s posi-tion on an operational issue. Policydevelopment criteria—

SampleNumberingSystem

Numbering SystemExample1—Denotes the chapter(Use of Force).

2—Indicates the sectionof that chapter(Restraints).

3—Indicates the subject(Handcuffing).

Alpha TitleNumbering SystemAdministration—Denotes the chapter.

PersonnelManagement—Indicatesthe section of thatchapter.

Off-Duty Employment—Indicates the subject.

Page x is the pagenumber.

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– Use complete sentences.

– Reflect action.

– Provide a rationale for why some-thing is done.

– Are general but directive.

– Are concise (one or twosentences).

– Are clear and unmistakable.

Source. The source identifies thelegal and professional basis for thepolicy and procedure. (This sectionmay also be called References orResources.) Sources generally arestandards and statutes.

Background or GeneralInformation. This section containsinformation that helps the readerunderstand something, such as anoperating system or the location ofequipment. These items are state-ments of fact; each should be num-bered. (This section may also becalled General Information.)

Definitions. Carefully define spe-cific terms used in the policies andprocedures so that the terminologyis clear to the reader. A term notused in the text of the policy andprocedure should not be defined inthis section; if it is worth defining,figure out where it belongs in thesequence of the procedures and addthe term there. List items alphabeti-cally (and not numbered) andunderline and/or boldface them.

Forms. List the forms used in eachpolicy and procedure.

Related Procedures. List any relat-ed policies and procedures.

Procedure letter, name, and steps.Procedures are detailed, step-by-step descriptions of the sequence of

activities needed to achieve thedesired policy. Procedures shouldbe given a number or letter andshould have a subject heading, e.g.,Procedure 1 or A: Preplanning theTransport. Often, multiple proce-dures are needed to implement apolicy. Use the following criteria indeveloping procedures:

– Each procedure requires a policystatement (there is no procedurewithout a policy).

– Steps are in sequence.

– Each procedure indicates respon-sible individuals/functional units.

– Each procedure indicates timesand locations to completeactivities.

– Each procedure identifies formsby name and number.

– Each procedure specifies themode of communication.

– Each procedure identifies areaswhere staff may use their discre-tion in carrying out the procedure.

■ Develop a consistent method ofreferencing other policies andprocedures. When referencingother policies and procedures, use aconsistent style to give the policyand procedure number and the sub-ject name. (See Guideline, “SampleReference Strategy,” for how tocross-reference policies and proce-dures. See also the format examplesin appendix 5–5.)

■ Check the reference. When refer-encing another policy and proce-dure, the writer needs to confirmthe accuracy of that reference, i.e.,that the additional informationreferred to in the other policy and

SampleReferenceStrategy

To refer to another poli-cy and procedure: (e.g., see 3.1.10 InmateSearches).

To refer specifically toone procedure ofanother policy andprocedure: (e.g., see Procedure B of3.1.10 Inmate Searches).

To refer back to a pro-cedure, or to steps of aprocedure, in the samepolicy and procedure:

■ The worker searchesthe inmate (accordingto steps in) or (follow-ing) Procedure A ofthis policy.

■ The worker escortsthe inmate accordingto Procedure A, steps3–9, of this policy.

If the manual is auto-mated and the agencyhas staff with computerexpertise, it may be pos-sible to link referencesso that when a refer-ence is selected, it willtake the reader directlyto that reference inanother section of theprocedure or anotherpolicy and procedurechapter.

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procedure has actually been writtenthere. Read through the other policyand procedure. If it hasn’t beenwritten yet, check the table of con-tents for suggested procedures to becovered in that policy, talk with theassigned writer, and/or establish a“tickler file” for memos about suchreferences to unwritten policies andprocedures. Writers should thenroutinely check through that file forany memos regarding policies andprocedures they are writing.

Document Coordination/Management

As you develop policies and proce-dures, you will need to create andmaintain several resource documentsfor writers. These can actually be initi-ated during scenario development.Although it takes time and discipline todo these, in the long run, they willmake everyone’s job easier.

Table of Contents

One of the first steps listed in this sec-tion was to develop an initial table ofcontents. Throughout the documenta-tion process the titles of policies andprocedures may change, the policiesand procedures themselves maychange, and some policies and proce-dures may be deleted or merged withothers. Maintain a central/master tableof contents in a location accessible toall writers. Update the table of contentseither manually or on the computer aspolicies and procedures are completed.Simple database programs are veryuseful for this function. Keep this doc-ument current so that all writers knowthe current policy and procedure num-bers, and titles. Doing this allows forproper referencing of policies and pro-cedures. It is also suggested that thetable of contents include the current

date and draft number of the policyand procedure. This is an easy way toknow the status of the policies and pro-cedures. This information should beupdated as each draft is completed.

Forms List

This document works well in a columnformat. The first column lists alphabet-ically the forms that you identifiedwhile writing policies and procedures.The second column lists the policiesand procedures in which the form wasused. This will be a blank documentuntil the first policies and proceduresare written. Update the forms list eithermanually or on the computer when thefirst draft of a policy and procedure iscompleted. Maintaining this list createsa master list of all the forms that willneed to be developed.

The forms list also ensures consistencyamong policies and procedures so thata form that serves the same function isnot called different things in differentpolicies and procedures (see appendix5–6 for a sample list of forms). If aform title changes in the documenta-tion process, the forms list provides aneasy way to see all of the policies andprocedures that reference the form sothat the title can be changed through-out all of the documentation. If theforms list includes the policies andprocedures in which each form is used,it will make it easier for the formsdeveloper to make sure what he or shedesigns meets the documentation needsof the policies and procedures. Forexample, if the policy and proceduresays that the supervisor signs and datesthe incident report, then the incidentreport form must have a place for thesupervisor to sign and date the form.


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Definitions List

This document lists alphabetically allthe definitions used in all the policiesand procedures and which policies andprocedures the definition was used in.Update the definitions list either manu-ally or in automated form as drafts ofpolicies and procedures are completed.The definitions list promotes consisten-cy throughout the writing process. Thesame term should be defined the sameway in all policies and procedures.Writers should consult the definitionslist to see if a definition they need hasalready been developed. If a currentdefinition must be modified based onnew information, the previously writ-ten policies and procedures can easilybe updated.

If you are disciplined about updatingthe definitions list throughout theprocess, you will not need to create acomprehensive definitions list whenthe policies and procedures manual iscomplete.

Form of the Manual

The policies and procedures manualshould be easy to update, particularlywhile it is being developed and tested.Put hard copies of the draft materialsin a three-ring binder and make themavailable electronically to staff on aninternal management information sys-tem. Develop and implement a processto document that staff have read andunderstand the new policy and proce-dure statement and determine wheredocumentation of this step will be kept.Develop a system so the documentcoordinator is available to develop,review, print, and issue statements afterthe initial manuals are issued. Remem-ber, the policies and procedures needto be reviewed and updated constantly

as staff are trained and as the jail oper-ates. As updates are made, the docu-ment coordinator needs to check forconsistency in format and content withother documents. This individual isresponsible for overall quality control.

Forms/Forms Manual

What Is a Forms Manual and Why IsIt Needed?

Even if a jail has an exceptional strate-gy for documenting information,during transition some changes indocumentation will need to occur. As aresult, the transition team is likely toneed to develop and revise either paperor automated forms. In this sense, therole of the transition team is similar tothat of the accreditation manager, whoensures that the jail is not only in com-pliance with all standards, but also candocument that compliance. It may besurprising that existing forms maychange during transition. Some formsinclude information such as locationsand titles that will change in the newinstitution. Even if the information onexisting forms doesn’t change, it maybe appropriate to put the forms in thenew format.

A forms manual is typically used toorganize and explain all the forms thatare developed during transition. It con-tains all the forms and reports neededto implement the policies and proce-dures manual. In the forms manual,forms may be organized by the chap-ters of the policies and proceduresmanual or alphabetically by form titles.The forms manual should explain thepurpose of each form and how it is tobe used. A one-page form could be putin the forms manual as a left-handpage so that users will see the form’sdescription on the right. A form with


several pages should be placed on aright-hand page and followed by theform description. The form descriptionincludes a concise explanation of whento use the form and what informationto enter in each blank.

The forms manual includes an alpha-betical index. Along with the name ofthe form, the index lists the namesand/or numbers of the policies and pro-cedures that require using the form.Theoretically, this list could be main-tained as a database, allowing the listto be sorted and printed by name inalphabetical order or by chapter or pol-icy and procedure number.

Forms should be consistent with thepolicy and procedure statements. Usethe same style (i.e., terminology, titles,and verb tense) to make it easier torelate the forms to the procedures.Make the forms easy to use.

Getting Started

The following guidelines will help youcreate forms that are easy to use:

■ Give the form a brief, descriptivetitle that clearly indicates itspurpose.

■ Use distinct, descriptive, and briefsubtitles when they add clarity.

■ Use wide enough margins on boththe left and right sides of forms ofseveral pages to allow for double-sided copying and to provide roomfor punching holes for notebooks.

■ Include the date the form wasdeveloped in the footer at thebottom right (or left) corner.

■ Show the form’s assigned numbereither under the title or in the footerat the bottom left (or right) corner.

■ Use an open, block-style textarrangement by grouping relatedinformation and leaving an ade-quate amount of white space to cre-ate an “open” image that separatessections, or use a double line toseparate areas of the form.

■ Use checklists where appropriateand where consistency of informa-tion is desired.

■ Number the items of informationrequested, where appropriate.

■ Allow adequate space for the infor-mation requested, i.e., do not pro-vide just one line to describe anincident. The amount of space pro-vided sets an expectation.

■ Request information in the samebasic order on all forms, fromspecifics (names, dates, locations)to check-off lists, to fill-in-the-blanks sections, to narrative parts(what happened, details).

■ Use boldface, underlining, or typesize to emphasize/bring out sectiontitles on the form. Avoid abbrevia-tions and WORDS IN ALL CAPS,which can be hard to read.

■ Determine which forms can becomputer generated, which must becompleted by hand, and whichshould be printed on no-carbon-required (NCR) paper (identify thenumber of copies required).

■ Consider the reproduction budgetand available equipment/expertisewhen designing forms.

■ Develop a forms table of contents.

Post Orders

What Are Post Orders?

Post orders are a direct outgrowth ofpolicies and procedures and become amajor component of staff training. Post

Use check-

lists where

appropriate

and where

consistency

of informa-

tion is

desired.


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orders differ from policies and proce-dures in that a post order informs a sin-gle employee of all the tasks for whichhe or she is responsible while assignedto a specific post.

Getting Started

These guidelines can help you getstarted in developing post orders.

■ Organization of post orders. Postorders should be assigned either anumber or an alphabetical name,consistent with agreed-upon termi-nology and previously completedstaffing analyses. The post ordersshould be organized in alphabeticalor numerical order in a post ordermanual that has an index.

■ Relationship to policy and proce-dure development. Post orderdevelopment may begin when thepolicy and procedure developmentprocess is well underway, but postorders cannot be finalized until afterthe policies and procedures arefinalized. The date and draft num-ber of the policy and procedureused to develop the post order couldbe added after the policy and proce-dure reference so you can trackwhich version of the policy andprocedure was used to develop thepost order. The dates and draftnumbers can be removed after thepost orders are finalized. Whenpolicies and procedures are rewrit-ten, the post orders should bereviewed to determine if changesare required.

Format

The transition team needs to adopt astandard format for post orders. Thisformat should include the followingitems (see appendix 5–7 for a samplepost order):

■ Post. This is the name/title of thepost from the policy and procedure,e.g., Booking Officer.

■ Hours of post. The shifts and timesthat the post is staffed are listedhere.

■ Identifier. This is the number orname assigned to the particular postorder.

■ Effective date. The date when apost order becomes effective isspecified here. When developingdrafts, show the date and draft num-ber (e.g., 11/08/02 Draft #1). Postorders should be distributed on a setdate approximately 4 days beforethey go into effect.

■ Version number. The version anddate of the draft of the post order.

■ Authorizing signatures. Before itgoes into effect, each post ordermay be signed by the authorizingofficial to confirm its approval. Theauthorizing official may be the jailadministrator or another appropriatedepartment official. Alternatively,an authorizing signature may not benecessary.

■ Post overview. The overview is abrief description of the post outlin-ing staff’s major responsibilities.

■ Chronological or scheduledduties. This briefly describes tasksthat must be done on a regularbasis, which may be daily, weekly,monthly, annually, or on anotherdesignated schedule. The support-ing policy and procedure numbersand titles are referenced, and staffrefer to the policy and procedurestatements for how to undertake thetask. These tasks must occur at aspecific time during the shift,potentially on a specific day of the

A post order

informs a

single

employee of

all the tasks

for which he

or she is

responsible

while

assigned to

a specific

post.


week or at a designated frequency.Indicate this time in the same styleused in the policy and procedurestatement, e.g., military time ora.m./p.m. The post order task state-ment may be written in differentstyles (see Guideline, “Sample TaskStatements”).

■ Random or non-time-specificduties. Random tasks are those thatmay occur at any time during theshift. The word “random” appearsin the column where specific timeshave been listed for other tasks orthe random tasks may be listed in adifferent section of the post order.

■ General duties. These duties arethose performed by staff on an as-needed basis but governed by poli-cies and procedures. They mayinclude duties such as disciplinaryaction, emergency situations, house-keeping, and movement.

Inmate Handbook

What Is the Role of the InmateHandbook in Transition?

Transition staff members may be sofocused on the tasks they need toaccomplish for staff that they lose sightof the needs of another significant pop-ulation—the inmates. The attentionpaid to preparing the inmate populationfor transition by providing appropriatekinds and amounts of information andby using this opportunity to establishbehavioral expectations can help makeoccupancy a positive change. Thischange begins with inmate orientation.

The revised inmate handbook is theprimary vehicle for inmate orientation.Inmate orientation represents a micro-cosm of the transition process; in anumber of ways, it is similar to theorientation process for staff. Preparing

for the staff orientation includes devel-oping written materials, which areconverted to various forms of training.The same process applies for inmates,although there may be less informationto convey.

An inmate handbook is written andprovided to inmates to inform them ofthe rules and regulations, behaviorexpectations, their rights and privi-leges, policies and procedures, servic-es, and programs of the jail—in otherwords, to assist them in learning whatthey need to know about the operationof the jail, what is expected of them,and what they can expect from staff.Inmates are held responsible for know-ing and following the contents of theinmate handbook. Sharing informationand requirements with inmates canhelp to create an environment ofcooperation and respect. A copy of thehandbook may be given to each inmateat orientation, or copies for inmates’use can be maintained in each housingunit. The inmate handbook should bereviewed with inmates in detail duringtheir orientation.

Getting Started

The following guidelines should beused when developing or modifying aninmate handbook:

■ Identify information-sharingmethods. Consider how you willprovide information to inmates asyou begin this project. Will thehandbook be printed or videotapedor audiotaped? Will it be presentedby staff? Or will it be presented bysome combination of these meth-ods? The amount of informationand style of the handbook will beinfluenced by its anticipated sizeand form. Will it be in booklet form

Sample TaskStatements

Time-Specific TaskStatementsThis style uses a title forquick reference, and abrief one- or two- sentence summary/explanation of theduties.

0730 Shift Briefing(1.3.18 ShiftBriefing). All housingworkers attend shiftbriefings.

The style below elimi-nates the title and usesthe brief summary:

0745 The housingworker conducts ashift count at thebeginning of theshift (See 3.1.5Inmate Counts).

Random TaskStatement

Welfare Checks,3.1.6 WelfareChecks. All housingworkers conductand documentwelfare checks on arandom hourly basis.

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(81/2” x 51/2”) or on 81/2” x 11”pages? A smaller document may bedifficult to read and much easier tomisplace. The amount of informa-tion included may also be influ-enced by whether your jail will usevideotapes or audiotapes along withthe handbook.

■ Make it easy to use and easy toread. Include a simple table of con-tents and an index. The indexshould include terms that inmateswould look for in addition to thoseused by jail personnel. Consider thereading level of most inmates andprovide strategies to deal with peo-ple who have learning disabilities.You can use the grammar functionsof most word processing programsto identify the reading level of whatyou’ve developed.

■ Set the right tone. The introduc-tion can set the tone of the entiredocument. One strategy is to beginwith the purpose of the handbookand explain the inmate’s responsi-bility to know the information inthe handbook and to retain it.Consider whether you will use amatter-of-fact approach to sharinginformation; a more personal, help-ful approach; or an authoritativetone. Generally set expectations bystating what you want rather thanwhat you don’t want. The handbookshould support the principles anddynamics of your operatingphilosophy.

■ Provide the right level of informa-tion. Decide how much informationthe inmates need on each topic. Youcould provide lots of details in aconversational style (which may

reduce inmates’ requests for clarifi-cation from staff, but may make themanual appear too long to read). Oryou could present the informationin an outline or with numberedsteps of short sentences (which mayencourage inmates to read it, butmay require staff to answer manyquestions).

■ Decide how to deal with theunknown. When you begin to writethe inmate handbook, some detailsof the jail’s operation may not havebeen decided, e.g., how often thecommissary will be available. Youmay decide not to include detailsabout some complicated processes,such as bonding out. In either case,you may simply use the phrase,“For more information, ask yourUnit Officer.” If you use this phrasetemporarily, until specific informa-tion is available, create a runninglist of such questions with possibleanswers for the Unit Officers. Asyou finalize your operation, poten-tially after transition, revise theinmate handbook to provide theappropriate information.

■ Consider translating the hand-book. Determine if the handbookalso needs to be provided in lan-guages other than English, anddevelop a strategy to address thisneed as the final draft of the hand-book is completed.

■ Consider timing. The inmate hand-book may be initiated when the pol-icy and procedure process is wellunderway but cannot be completeduntil the policies and procedures arefinalized.

Sharing

information

and require-

ments with

inmates [via

an inmate

handbook]

can help to

create an

environment

of coopera-

tion and

respect.


Format

Decide on a logical, easy-to-under-stand, and consistent way of organizingall the information an inmate needs.You can—

■ Alphabetize key topics.

■ Group information into sections ofrelated topics, such as the samechapters used in the policies andprocedures manual.

■ Write these sections in a somewhatsequential order, the same as theinmate is likely to encounter them.

■ Write the sections in their order ofimportance to the administration(rules and regulations/behavior).

■ Write the sections in their order ofimportance to inmates (what theywill want to know first, i.e., food,safety, visiting).

Master Schedule

Why Create a Master Schedule?

All jail staff know how the current jailoperates, whether there is a masterschedule or not. Generally, jails haveschedules for program activities, suchas visiting, and for staff activities, suchas briefings and counts. But a compre-hensive schedule for all jail programsand services for staff, inmates, andother jail users is rare. Typically, famil-iar routines change when the move tothe new jail occurs, and the new jailoften has more places in which activi-ties can occur, so schedules maychange. Because operations in the newjail have not begun, a daily schedule isneeded.

It is best not to include times in thepolicies and procedures because sched-ules are highly likely to change overtime. By making schedules separatedocuments, it is easier to makechanges, keep the information current,and post revised schedules in appropri-ate staff and inmate locations.

The daily schedule lists all staff,inmate, and other user activities; thedays and times the activities occur; andwhere they occur, if applicable. Thedaily schedule has a powerful impacton staffing requirements. Think care-fully about who will supervise theactivity you are scheduling and ensurethat you have adequate coverage on theshift to allow the activity to happenwhen all other activities for that timeperiod are considered.

Getting Started

These guidelines can help you begin todevelop the master schedule:

■ Research other documents. Themaster schedule is closely related toother documents that are developedduring the facility construction andtransition process:

– Some pre-architectural programsinclude information about sched-uled activities.

– Scenarios may reference timeswhen some activities occur.

– Post orders indicate times whenactivities occur at a specific post.

■ Identify activities. Develop a list ofall of your current programs andservices regardless of how basic

The daily

schedule has

a powerful

impact on

staffing

requirements.


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they may seem. Develop a masterlist of activities from the previoussteps and from the other documents.

■ Plot typical day activities. Using awhite board, easel pad, Post-ItNotes, or other means, create adaily schedule for a 24-hour period.This can start at midnight or withyour first shift. Plot all of the serv-ices on a master schedule with inputfrom all divisions, i.e., security,food, programs, and health, amongothers. This will create the bestschedule in the quickest way andwill avoid later conflicts.

■ Refine the typical day. After creat-ing a typical day, create a typicalweekday and weekend day. Thencreate the daily schedules.

■ Update the schedule. Distributethe draft daily schedule to all transi-tion staff member. They should use

it as they develop their documents.On a regular basis, the various sec-tions of your organization shouldcome together to revise the sched-ule. Sample schedules are includedin appendix 5–8.

Final Thoughts Developing the documents takes muchof the time involved in transition. It isalso one of the most critical tasksbecause the documents should be inplace before training begins. However,if time is short, team members will needto prioritize document development.The team should focus on the criticaldocuments—typically a group of high-priority policies and procedures—andcomplete these thoroughly and accurate-ly before beginning training.


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Append i x 5–1.DOCUMENT COORDINATOR POSITION DESCRIPTION

Document coordinator (DC): A staff person designated by the jail administrator or transition coor-dinator to coordinate the development of and revisions to policies and procedures (P&Ps), forms,post orders, and the inmate handbook and the distribution of these documents.

Duties may include the following:

1. The DC maintains a filing system with hard copies of P&Ps in the file folders set up for eachP&P. The file should be chronological with the latest draft on top.

2. The DC maintains a computer filing system for the facility documents, particularly the P&Ps,because there will be 200+ P&Ps.

3. The DC works with the human resource specialist and the training staff to see that they havethe latest P&Ps and to meet the training staff’s schedule.

4. The DC knows the basic organization of the P&P manual (i.e., chapter numbers and titles,section numbers and titles).

5. The DC develops a standards compliance system.

6. The DC develops new P&Ps consistent with the established format and writing style.

7. The DC reviews new P&Ps for elements such as proper writing style, format, and terminology,consistent with the P&P manual.

8. The DC reviews new P&Ps for consistency of content with other P&Ps and how the P&P mayaffect other P&Ps and other documents. The DC updates the necessary documents.

9. The DC reviews updated P&Ps to determine if changes will affect document/activity lessonplans and any tests required in training.

10. The DC notifies training staff of the changes needed to the lesson plan and test.

11. The DC updates/revises current P&Ps.

12. The DC attends command staff meetings to monitor P&P changes and obtain direction.

13. The DC coordinates the printing and distribution of new and updated P&Ps.

14. The DC updates the P&P table of contents and definitions list as necessary.

15. The DC develops a system for ensuring that all staff receive the P&Ps and sign a statement acknowledging that they have read them.

16. The DC develops a system to keep track of all documentation/forms.

17. The DC develops and/or reviews forms for consistency with P&Ps.

18. The DC coordinates the inventorying, printing, and distribution of the forms.


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DOCUMENT COORDINATOR POSITION DESCRIPTION (continued)

19. The DC revises or updates the forms manual table of contents, definitions list, index, and forms storage list.

20. The DC coordinates the printing and distribution of post orders.

21. The DC provides a link to the policies and procedures manual or post order manual on anynetworked computer.

22. Only the DC monitors the use of facility manuals, including removal from designated locationsand checkout of manuals to staff.

23. Each month, the DC reviews the manual to identify statements that require annual review (2 months in advance of the review date) and gives the list to the superintendent for reviewand action.

24. The DC may become the standards accreditation manager.

25. The DC participates in the annual review of P&Ps.


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Draft #1* Draft #2 Draft #3

Priority Writer Number Subject Out In Out In Out In Approved

1.1.2. Mission Statement and Goals

1.1.3. Adult and Youth Separation – – 10/1010/16 H† 11/7

1.1.4. Facility Reports

1.1.5. Facility Manuals – – 10/10 10/29 11/7

1.1.8. Organizational Structure‡ – – 10/1 10/13 H 10/27

1.1.10. Communication Channels§ – – 10/1 10/13 H 10/28 10/29

1.1.13. Legal Counsel

1.1.14. Internal Affairs

1.1.16. Facility Tours 10/1 10/13H 10/24 10/29 10/31

1.2.13. Receiving and Documenting Deliveries – – 11/5 11/24 12/3

1.3.4. Code of Ethics/Conduct – – 9/23H 9/24 9/26 10/3

1.3.19. Shift Briefings/Reporting to Work – – 10/8 10/16 H 10/31

1.3.27. Staff Breaks – – 10/2 10/13 H 10/28

1.5.1. Inmate Records

1.5.2. Information Release

2.3.1. Environmental Conditions – – 10/8 10/29 11/5 11/25

2.3.2. Tobacco-Free Workplace – – 10/7 10/10 10/29 10/31

2.4.2. Routine and Emergency Repairs – – 9/23H 9/23 H 10/2 10/13H

2.4.4. Housekeeping – – 10/30 11/24 12/1

2.5.1. Safety and Sanitation – – 11/5 11/24 12/3

Append i x 5–2.SAMPLE TRACKING LOG

* Policies and procedures (P&Ps) that have dashes in the Draft #1 columns were provided earlier on disk.

† All P&Ps sent via e-mail unless otherwise noted. F = fax. FE = Federal Express. H = hand delivered.

‡ Rows with lighter shading indicate P&Ps that are final pending decisions or feedback.

§ Rows with darker shading indicate final P&Ps.

QualityControl


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Draft #1* Draft #2 Draft #3


2.5.2. Waste Disposal – – 10/10H 10/16H 10/23 10/29

3.1.1. Central Control

3.1.2. Inmate Control or Authority – – 9/23H 9/24 9/26

3.1.3. Housing Unit Supervision – – 10/30 11/24 12/2

3.1.4. Shift Reports – – 10/8 10/16H 10/28 10/29

3.1.6. Inmate Counts – – 12/10

3.1.7. Inmate Movement – – 11/10

3.1.8. Inmate Transports – – 11/14

3.1.10. Incident Report – – 9/23H 9/24 10/2 10/13 H

3.1.11. Inmate Searches – – 10/10 10/29 11/10

3.1.12. Control of Contraband – – 10/10 10/29 11/3

3.1.13. Key Control – – 11/7

3.1.15. Facility Radios – – 11/21

3.1.16. Door Controls

3.1.17. Lockdown/Unlock 10/8 10/16H 10/23 10/29 11/5

3.1.18. Perimeter Security 10/8 10/29 11/4

3.1.19. Crime Scene

3.1.20. Restraints 11/10

3.1.22. Firearms 10/2 10/15H 10/24

3.2.1. Fire Safety Officer/Inspections 11/4 11/24 12/2

3.2.2. Fire Emergency Plan 11/4 11/24 12/2

3.2.3. Total Facility Evacuation 11/4 11/24 12/3

3.2.11. Escapes 10/30 11/24 12/2

3.3.1. Inmate Handbook 10/2 10/13H 10/28

3.3.2. Inmate Rights 10/8 10/29 11/3

SAMPLE TRACKING LOG (continued)

QualityControl


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Draft #1 Draft #2 Draft #3


3.3.3. Inmate Grievance 10/8 10/16H 10/27

3.3.4. Inmate Rules and Discipline 11/19

3.3.5. Minor Violations 11/19

3.3.6. Major Violations Disciplinary Hearing 11/19

3.5.1 Booking

3.5.2. Personal Property 11/12

3.5.3. Housing Transfer and Orientation 11/12

3.5.4. Inmate Release 12/4

4.1.8. Meal Delivery Service – – 9/23 H 9/24 10/2 10/13H

4.2.5. Medical Intake

4.2.7. Sick Call

4.2.13. Suicide Prevention/Intervention

4.2.14. Serious and Infectious Diseases

4.2.19. Medications 11/11

4.3.2. Inmate Showers – – 9/23H 9/23H 9/26 10/3

4.3.4. Laundry – – 10/7 10/15H 10/24 10/29

5.6.1 Recreation 11/7

5.7.1. Mail – – 10/13 10/29 F 11/510/15H

5.7.2. Inmate Telephone Use – – 10/2 10/13H 10/29

5.7.3. Personal Visits – – 10/15 H 10/15H 10/30 11/24

5.7.4. Professional Visits – – 12/5

5.7.7 Staff/Inmate Communication – – 9/23 H 9/23H 10/8 10/29

SAMPLE TRACKING LOG (continued)

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Append i x 5–3.SAMPLE OPERATIONAL SCENARIOS

Sample Operational Scenario (Column Format)

Title:

Date:

Activity Resources/Equipment Signage Notes

1

2

3

4

5

6

7

8

9


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Sample Operational Scenario (Narrative Format)

FUNCTION/ACTIVITY

Inmate Counts—Housing Units

APPLICABLE POLICIES, STANDARDS, AND STATUTES

ACA: 4–ALDF–

NARRATIVE

1. At the designated time, the Unit Officer (UO) tells the inmates via the paging system that it iscount time.

2. All inmates go to their designated area, which is inside the cell at the cell door, or remain intheir program area, ceasing movement.

3. The UO uses the Housing Notebook and conducts a physical count of all the inmates in theHousing Unit by looking at the inmate. He or she will compare each inmate to the bookingphoto in the notebook.

4. If an inmate’s appearance has changed so significantly that a new identification photo is needed, the UO will arrange for a new photo to be taken.

5. The UO compares his or her count to the Unit Roster and the Movement Log to account for allinmates present in and outside of the Housing Unit.

6. If the Movement Log indicates the inmate is at a program, the UO goes to that area to makethe count or asks the Shift Supervisor to go to the area to conduct the count, taking theHousing Notebook with him.

7. If an inmate cannot be accounted for and there is a discrepancy, the UO implements the CountDiscrepancy Procedure.

8. If no count discrepancy is discovered, the UO calls the count to the Control Officer.

9. The Control Officer compares the counts called in from the UOs to the Unit Roster count.

10. If the Control Officer determines that the numbers match, he or she clears the count byannouncing such over the paging system.

11. If the Control Officer determines that the numbers do not match, he or she announces arecount and the UOs do so.

12. The UO records the count on the Post Log indicating the location of all inmates.

13. When the count is cleared by the Control Officer, the Shift Supervisor documents the count onthe Shift Report (see 3.1.4 Shift Reports).

ANTICIPATED BEHAVIORS/VARIATIONS

Count discrepancy.Inmate shown out to program is in Housing Unit and vice versa.Inmates refuse to go to designated count areas.

EQUIPMENT/SUPPLIES/FORMS

Housing Notebook (will have identification pictures of all inmates in unit).Unit Roster (printed from computer system at the beginning of each shift).Movement Log (need to develop form).

SAMPLE OPERATIONAL SCENARIOS (continued)


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APPEND IX 5–4.SAMPLE POLICY AND PROCEDURE TABLES OF CONTENTS

Table of Contents Topics Items in a table of contents may include, but are not limited to, the following topics:

Administration and Management

General Administration, which includes policies on Legal Authority, Mission Statement andGoals, Adult and Juvenile Separation, Facility Reports, Facility Manuals, CriminalJustice/Community Coordination, Jail Administrator, Organizational Structure, ContractAgencies/Services, Communication Channels, Public Information, Staff Visitors, Legal Counsel,Internal Affairs, Staff Mail, Facility Tours.

Fiscal Management, which includes policies on Budget, Petty Cash, Bonding—Staff, FiscalAudits/Accountability, Cash Management, Independent Audit, Inventory Control,Procurement, Inmate Per Diem Rate, Payroll, Insurance Coverage, Inmate Account, Receivingand Documenting Deliveries.

Personnel, which includes policies on Personnel Policy Manual, Staffing Plan, Drug-FreeWorkplace, Code of Ethics, Equal Employment Opportunity, Staff Selection, Staff Assignments,Part-Time Appointments, Staff Probationary Period, Staff Promotion, Staff PerformanceReviews, Reimbursements, Staff Discipline, Compensation and Benefits, Personnel Files,Wellness Program, Employee Assistance Program, Staff Out-Processing, ShiftBriefings/Reporting to Work, Staff Accident and/or Injury, Staff Medical Conditions andMedication Usage, Outside Employment, Staff Grievances, Posttrauma Assistance, SexualHarassment, Political Practices, Staff Breaks.

Training and Staff Development, which includes policies on Training Plan, Training Resources,Orientation Training, First-Year Training, Inservice Training, Specialized Training,Nondepartmental Training, On-the-Job Training, Physical Fitness Training, Reimbursement,Evacuation Drills, Continuing Education.

Records/Information Management, which includes policies on Inmate Records, InformationRelease, Daily Report, Information Management System, Research.

Citizen Involvement and Volunteers, which includes policies on Volunteers.

Physical Plant

Building and Safety Codes, which includes policies on Building, Fire Safety, and Life SafetyCodes.

Size, Organization, and Location, which includes policies on Facility Capacity, Living AreaObservation.


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SAMPLE POLICY AND PROCEDURE TABLES OF CONTENTS (continued)

Environmental Conditions, which includes policies on Environmental Conditions, Tobacco-FreeWorkplace.

Maintenance/Janitorial, which includes policies on Preventive Maintenance, Routine andEmergency Repairs, Emergency Equipment Testing, Housekeeping.

Safety and Sanitation, which includes policies on Safety and Sanitation; Waste Disposal;Flammable, Toxic, and Caustic Materials; Noncombustible Receptacles; Water Supply; PestControl.

Institutional Operations

Security and Control, which includes policies on Central Control, Inmate Control or Authority,Pod Area Supervision, Shift Reports, Security Inspections, Inmate Counts, Inmate Movement,Inmate Transports, Facility Vehicle Use, Incident Report, Inmate Searches, Control ofContraband, Key Control, Equipment Control, Facility Radios, Door Controls, Lockdown/Unlock, Perimeter Security, Crime Scene, Restraints, Use of Force, Firearms, Duress Alarms.

Safety and Emergency Procedures, which includes policies on Fire Safety Officer/Inspections,Automatic Fire Alarm and Sprinkler Detection System, Fire Emergency Plan, Total FacilityEvacuation, Emergency Power Generator, Bomb Threats, Natural Disasters, Work Stoppage,Disturbances and Riots, Hostage Situations, Escapes, Hunger Strikes, Mass Arrests/CivilDisturbances, Emergency Treatment of Injuries, Use of Chemical Agents.

Rules, Discipline, and Rights, which includes policies on Inmate Handbook, Inmate Rights,Inmate Grievance, Inmate Rules and Discipline, Minor Violations, Major Violations DisciplinaryHearing, Criminal Violations.

Special Management Inmates, which includes policies on Special Management (Cell)Placement, Special Management Review, Special Management Observation.

Inmate Processing In/Out, which includes policies on Booking, Personal Property, Orientation,Housing Transfer, Inmate Dress Out, Inmate Release.

Classification, which includes policies on Classification.

Inmate Services

Food Service, which includes policies on Food Purchase and Accounting, Meal Costs, DietaryAllowance, Menu Planning, Special Diets, Food Storage, Meal Preparation, Meal DeliveryService, Staff Meal Service, Food Service Staff, Sanitation and Cleanliness Inspections, FoodUtensil Control and Use, Food Poisoning.

Health Service, which includes policies on Health Service Management, Continuity of Care,Health Service Staff, Administration of Treatment, Medical Intake, Emergency MedicalTreatment, Sick Call, Dental Screening and Evaluation, Mental Health Services, Mental Illnessand Retardation, Detoxification, Chemical Dependency Management, Suicide Prevention/Intervention, Serious and Infectious Diseases, Urine Analysis, Prosthesis and Orthosis Services,Pregnancy Management, Hospitalization, Medications, First Aid Kits, Health Record Files,Designated Individual Notification, Health Education, Experimentation and Research.

Hygiene, which includes policies on Personal Hygiene Items, Inmate Showers, Hair CareServices, Laundry.


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Inmate Programs

Program Scope, which includes policies on Inmate Programs, Individual Treatment Plans, Electronic Monitoring.

Commissary, which includes policies on the Commissary.

Social Services, which includes policies on Counseling Services.

Work Programs, which includes policies on Inmate Work Program, Inmate Worker Supervision,Inmate Worker Compensation, Community Service, Industry, Work Release.

Education, which includes policies on the Education Program.

Recreation and Activities, which includes policies on Recreation.

Mail, Telephone, and Visiting, which includes policies on Mail, Inmate Telephone Use, PersonalVisits, Professional Visits, Special Visits, Notary Services, Staff Inmate Communication.

Library, which includes policies on the Library.

Religious Programs, which includes policies on Religious Programs.


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Three-Level Numerical Table of Contents The three-level numbering system assigns the first number to the chapter, the second number tothe section, and the third number to the policy. Procedures are assigned a letter. A fourth numbercan be used for the specific page number.

1.0. CHAPTER: Administration and Management

1.1. SECTION: General Administration

1.1.1. Legal Authority

1.1.2. Mission Statement and Goals

1.1.3. Adult and Juvenile Separation

1.1.4. Facility Reports

1.1.5. Facility Manuals

1.1.6. Criminal Justice/Community Coordination

1.1.7. Jail Administrator

1.1.8. Organizational Structure

1.1.9. Contract Agencies/Services

1.1.10. Communication Channels

1.1.11. Public Information

1.1.12. Staff Visitors

1.1.13. Legal Counsel

1.1.14. Internal Affairs

1.1.15. Staff Mail

1.1.16. Facility Tours

1.0. CHAPTER: Administration and Management

1.2. SECTION: Fiscal Management

1.2.1. Budget

1.2.2. Petty Cash

1.2.3. Bonding—Staff

1.2.4. Fiscal Audits/Accountability

1.2.5. Cash Management

1.2.6. Independent Audit

1.2.7. Inventory Control

1.2.8. Procurement

1.2.9. Inmate Per Diem Rate

1.2.10. Payroll

1.2.11. Insurance Coverage

1.2.12. Inmate Account

1.2.13. Receiving and Documenting Deliveries


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Two-Level Numbering System

Chapters and policies are numbered sequentially. Procedures may be assigned a letter or a number,i.e., 1.1.A or 1.1.1. A page number may be added.

1. Administration and Management

1.1 Policies and Procedures

1.2 Facility Administration

1.3 Goals and Purposes

1.4 Staff Communications

1.5 Public Information

1.6 Legal Assistance

1.7 Outside Resources

2. Fiscal Management

2.1 Budget

2.2 Accounting

2.3 Inmate Accounts

2.4 Storeroom

2.5 Insurance Coverage

Alphabetical Labeling System

Access—Staff

Access Passes

Accident Reporting—On Duty Injuries

Accounting—Inmate Cash Handling

Activity Logging

Administrative Relationships

Affirmative Action

Association

Bail Bonds

Bilingual Premium Pay

Booking—Bail Bond Surrender

Booking—Book, Print, Release (BPR)

Booking—CDC/Warrant Self-Surrenders

Booking—Detainee

Booking—Dress In

Booking—Federal Charges

Booking—General Procedures

Booking—Hospitalized Arrestees


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Booking—Inmates From Mental Health Facilities

Booking—John Doe Identification

Booking—Mass Arrests

Booking—Mugs and Prints

Booking—Prebooking Medical/Mental Health Screening

Booking—Remands/Court Arrests

Booking—Return From Temporary Release

Booking—Supplemental Charges


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Append i x 5–5.SAMPLE POLICY AND PROCEDURE FORMATS

Three-Level Numeric Format

Chapter: 3 Institutional Operations 3.1.6

Section: 1 Security and Control Effective Date: 12/2/02

Subject: 6 INMATE COUNTS Revision Date:

Superintendent Approval: Date:

Commissioner Approval: Date:

I. POLICY

Inmates are counted at designated intervals and on an irregular schedule.

II. PURPOSE

Inmates are counted to confirm their presence and well-being, to ensure the safety and securityof the Facility, and to maintain control of inmates during regular operations and emergencysituations.

III. STANDARDS

ACA Adult Local Detention Facilities, 4th Edition (4–ALDF)

2A–17 Inmate Counts: The Facility has a system for physically counting inmates. The systemincludes strict accountability for inmates assigned to work and educational release, furloughs, andother approved temporary absences.

IV. DEFINITIONS

Alpha Roster: The Alpha Roster is a computerized Excel form that alphabetically lists all of theinmates in the Facility and their unit and cell/bed. This form may be used to check for availablebeds in the Housing Units. The Alpha Roster is sorted to get the Unit Roster.

Emergency Count: A formal headcount conducted during situations including, but not limited to,disturbances, escapes, escape attempts, hostage situations, extreme weather conditions, and dis-crepancy in count.

Formal Headcount: A documented inmate count conducted by calling an inmate’s name while mak-ing eye contact with the inmate, receiving a verbal response, and comparing the inmate to a copyof the booking photo, unless the inmate is well known to the Detention Officer.


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SAMPLE POLICY AND PROCEDURE FORMATS (continued)

Informal Counts: Counts made while inmates are engaged in various activities during the dutyshift, conducted at specified intervals on an irregular schedule, and recorded on the Post Log.

Lockdown Status: Inmates are placed in a designated area to conduct an emergency count.

Standup Count: A formal headcount during which staff stand face to face with the inmate toobserve the inmate’s physical condition.

Unit Roster: The Unit Roster is a computerized Excel form that shows all the inmates in the Facilityby Housing Unit. This form may be used to check for available beds and for counts. The Unit Rosteris created by sorting the Alpha Roster.

V. GENERAL INFORMATION

1. During shift changes, staff members lock down inmates if they are in the Housing Unit.

2. All movement stops during inmate counts.

3. Formal headcounts occur as shown on the daily schedule.

4. Detention Officers have 5 minutes to complete their formal headcounts and call them into the Shift Supervisor.

5. The booking photo referred to in this policy and procedure is a duplicate of the photo taken atBooking.

6. The Housing Notebook contains copies of the booking photos to be used during formal head-counts.

VI. FORMS

The following forms are included within this policy and procedure:

Alpha Roster

Movement Log

Post Log

Shift Report

Unit Roster

VII. PROCEDURES

A. Formal Headcounts—Shift Change (Day and Evening Shifts)

Upon arriving at the assigned post, the Detention Officer coming on duty walks through theHousing Unit before the off-going Detention Officer leaves the post.

1. The oncoming Detention Officer announces via the paging system “COUNT TIME,” and allinmates stand at their cell door.

2. The Detention Officer obtains the Housing Notebook with the booking photos and conducts aphysical count of all the inmates in the Housing Unit by comparing the inmate to the bookingphoto, unless the inmate is well known to the Detention Officer.


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3. The oncoming Detention Officer compares his count to the Unit Roster and the Movement Logto account for all inmates present and out of the Housing Unit.

4. If the Movement Log indicates the inmate is in the Adult Detention Center, the oncomingDetention Officer goes to that area to make the count or asks the Shift Supervisor to go thereto conduct the count.

5. If an inmate cannot be accounted for, the Detention Officer implements Procedure E.

6. If all inmates are accounted for, the Detention Officer coming on duty calls the count to theControl Officer.

7. The Control Officer verifies the offsite count following Procedure H (Procedure H is notincluded in the sample procedure).

8. The Control Officer compares the counts with the Unit Roster count.

9. If the Control Officer determines that the numbers match, he clears the count by announcing the match over the paging system.

10. If the Control Officer determines that the numbers do not match, he announces a recount andthe Detention Officers conduct it.

11. The Detention Officer coming on duty records the count on the Post Log indicating thelocation of all inmates.

12. After the count is cleared by the Control Officer, the Shift Supervisor documents the count onthe Shift Report (see 3.1.4 Shift Reports).

B. Formal Headcounts—During Shift

1. The Detention Officer announces via the paging system “COUNT TIME,” and all inmates go totheir designated area, which is inside the cell at the cell door, or remain in their program area,ceasing movement.

2. The Detention Officer obtains the Housing Notebook with the booking photos and conducts aphysical count of all the inmates in the Housing Unit by comparing the inmate to the bookingphoto, unless the inmate is well known to the Detention Officer.

3. If the Detention Officer finds that the inmate’s appearance has changed so significantly that anew identification photo is needed, he will arrange to have a new photo taken.

4. The Detention Officer compares the count to the Unit Roster and the Movement Log toaccount for all inmates present and out of the Housing Unit.

5. If the Movement Log indicates the inmate is in the Adult Detention Center, the DetentionOfficer goes to that area to make the count or asks the Shift Supervisor to go there to conductthe count, taking the Housing Notebook with him or her.

6. If inmates cannot be accounted for, the Detention Officer implements Procedure E.

7. If all inmates are accounted for, the Detention Officer calls the count to the Control Officer.


9. If the Control Officer determines that the numbers match, he clears the count by announcingthe match over the paging system.


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11. The Detention Officer records the count on the Post Log indicating the location of all inmates.

12. After the count is cleared by the Control Officer, the Shift Supervisor documents the count onthe Shift Report (see 3.1.4 Shift Reports).

C. Standup Counts

1. The Detention Officer announces via the paging system “STANDUP COUNT TIME,” and allinmates go to their designated area, which is outside of their cell against the cell door forgeneral population inmates or at the cell door inside the cell for special management inmates.

2. The Detention Officer obtains the Housing Notebook with the booking photos and conducts aphysical count of all the inmates in the Housing Unit by comparing the inmate with the book-ing photo, unless the inmate is well known to the Detention Officer.


4. The Detention Officer observes each inmate for signs of injury, assault, unusual behavior, etc.

5. The Detention Officer compares the count with the Unit Roster and the Movement Log toaccount for all inmates present and out-count. If inmates cannot be accounted for, seeProcedure E.


7. If no count discrepancy is discovered, the Detention Officer calls the count to the ControlOfficer.

8. The Control Officer compares the counts called in from the Detention Officers to the UnitRoster count.

9. If the numbers match, the Control Officer clears the count by announcing the match over the paging system.

10. If the numbers do not match, the Control Officer announces a recount and the DetentionOfficers conduct it.

11. The Detention Officer coming on duty records the count on the Post Log indicating the loca-tion of all inmates.

12. After the Control Officer clears the count, the Shift Supervisor documents the count on theShift Report (see 3.1.4 Shift Reports).

D. Informal Counts

1. Detention Officers account for all inmates under their supervision at all times.

2. The Detention Officer conducts informal counts in the Housing Unit for each wellness check completed as follows:


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a. At least every hour on an irregular schedule for general population inmates whether intheir cells, in the Housing Unit, or in programs.

b. At least every 30 minutes on an irregular schedule for special management inmates.

c. At least every 15 minutes on an irregular schedule for inmates who are mentally disorderedor who demonstrate unusual or bizarre behavior.

d. Continuous observation of suicidal inmates (see 4.2.13 Suicide Prevention/Intervention).

3. The Detention Officer records the count in the Post Log.

E. Count Discrepancies

1. When a Detention Officer discovers a count discrepancy that cannot be rectified by eitherrecounting the inmates or by checking the Movement Log, he explains the situation to theShift Supervisor.

2. The Shift Supervisor proceeds to the Housing Unit.

3. The Detention Officer and the Shift Supervisor determine the name of the inmate notaccounted for.

4. The Shift Supervisor notifies the Control Officer of the situation and the Shift Supervisorverifies if the inmate was released or is an out-count.

5. If the Shift Supervisor confirms that the inmate was released, the Shift Supervisor confirms withthe Releasing Officer that the inmate was released correctly and appropriately.

6. If the Releasing Officer confirms that the inmate was released and the numbers balance, theShift Supervisor reports that the count is cleared.

7. If the comparison shows that the inmate has not been released, the Shift Supervisor notifiesthe Control Officer that the Facility is on “LOCKDOWN STATUS.”

8. The Control Officer verbally notifies the Housing Units that the Facility is on “LOCKDOWNSTATUS” and orders a recount, and staff conduct it.

9. If the recount still indicates a discrepancy, the Shift Supervisor verbally orders all staff in theFacility to inspect their immediate area for the inmate not accounted for by checking areaswithin the Housing Unit, including showers, closets, under beds, and anyplace where theinmate may hide.

10. The Shift Supervisor assigns a staff member to check all other areas of the Facility, e.g.,classrooms, restrooms, Booking, Outdoor Recreation, Gym.

11. If the inmate is found, the staff contacts the Shift Supervisor via telephone or in person (notvia radio) with the inmate’s name.

12. The Shift Supervisor contacts the Control Officer via telephone with the inmate’s name.

13. The Control Officer balances the count with the new name.


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14. The Control Officer notifies the Shift Supervisor that the count is clear. If the inmate is found inan unauthorized area, the discovering staff prepares a Disciplinary Report (see 3.3.4 InmateRules and Discipline).

15. The Shift Supervisor notifies the Housing Unit Detention Officer that the count is clear.

16. If the count cannot be confirmed in this way, the Shift Supervisor determines whether or notan escape has occurred (see 3.2.11 Escapes).

F. Emergency Counts

1. If an emergency occurs that requires that a count take place immediately, the Shift Supervisornotifies all staff via radio to secure all inmates in the closest available area or contacts theControl Officer to make the announcement via the paging system.

2. The Detention Officer directs all inmates to enter their cells and stand at the doors for anemergency count.

3. The Shift Supervisor may order that the count take place as is or may have inmates moved backto their Housing Units in controlled groups for count.

4. If any inmates are out of the Facility, the Shift Supervisor instructs the staff to immediatelyreturn them to the Facility until the count is clear.

5. When the Shift Supervisor determines that the emergency situation has passed and normaloperations may resume, he advises staff and the Control Officer.

6. The Detention Officer has the inmates who were locked down taken off lockdown status.


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Two-Level Numbering System

Chapter: 3. Institutional Operations No: 3.1.6

Subject: Inmate Counts Date: 12/2/03

Policy

Inmates are counted at designated intervals and on an irregular schedule to confirm their presenceand well-being, to ensure the safety and security of the Facility, and to maintain control of inmatesduring regular operations and emergency situations.

Standards

ACA Adult Detention Facilities, 4th Edition (4–ALDF)

2A–17 Inmate Counts: The Facility has a system for physically counting inmates. The system includesstrict accountability for inmates assigned to work and educational release, furloughs, and otherapproved temporary absences.

Definitions


Emergency Count: A formal headcount conducted during situations including, but not limited to,disturbances, escapes, escape attempts, hostage situations, extreme weather conditions, anddiscrepancy in count.

Formal Headcount: A documented inmate count conducted by calling an inmate’s name whilemaking eye contact with the inmate, receiving a verbal response, and comparing the inmate toa copy of the booking photo, unless the inmate is well known to the Detention Officer.




Unit Roster: The Unit Roster is a computerized Excel form that shows all the inmates in the Facilityby Housing Unit. This form may be used to check for available beds in the Housing Units and isused for counts. The Unit Roster is created by sorting the Alpha Roster.

Background

1. During shift changes, staff members lock down inmates if they are in the Housing Unit.

2. All movement stops during inmate counts.

3. Formal headcounts occur as shown on the daily schedule.

4. Detention Officers have 5 minutes to complete their formal headcounts and call them into the Shift Supervisor.


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5. The booking photo referred to in this policy and procedure is a duplicate of the photo taken atBooking.

6. The Housing Notebook contains copies of the booking photos to be used during the formalheadcounts.

Forms

Alpha Roster

Movement Log

Post Log

Shift Report

Unit Roster

Procedures

A. Formal Headcounts—Shift Change (Day and Evening Shifts)

1. Upon arriving at his assigned post, the Detention Officer coming on duty walks through theHousing Unit prior to the off-going Detention Officer leaving the post.

2. The oncoming Detention Officer announces via the paging system “COUNT TIME,” and allinmates stand at their cell door.


4. The oncoming Detention Officer compares his count to the Unit Roster and the Movement Logto account for all inmates present and out of the Housing Unit.

5. If the Movement Log indicates the inmate is in the Adult Detention Center, the oncomingDetention Officer goes to that area to make the count or asks the Shift Supervisor to go thereto conduct the count.

6. If an inmate cannot be accounted for the Detention Officer implements Procedure E.

7. If all inmates are accounted for, the Detention Officer coming on duty calls the count to the Control Officer.

8. The Control Officer verifies the offsite count following Procedure H (Procedure H is notincluded in the sample procedure).


10. If the Control Officer determines that the numbers match, he clears the count by announcingthe match over the paging system.


12. The Detention Officer coming on duty records the count on the Post Log indicating the loca-tion of all inmates.


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B. Formal Headcounts—During Shift

1. The Detention Officer announces via the paging system “COUNT TIME” and all inmates go totheir designated area, which is inside the cell at the cell door, or remain in their program area,ceasing movement.


3. The Detention Officer compares his count to the Unit Roster and the Movement Log to accountfor all inmates present and out of the Housing Unit.


5. If an inmate cannot be accounted for, the Detention Officer implements Procedure E.

6. If all inmates are accounted for, the Detention Officer calls the count to the Control Officer.

7. The Control Officer compares the Detention Officers’ counts with the Unit Roster count.

8. If the numbers match, the Control Officer clears the count by announcing the match over the paging system.


10. The Detention Officer records the count on the Post Log indicating the location of all inmates.


C. Standup Counts

1. The Detention Officer announces via the paging system “STANDUP COUNT TIME,” and allinmates go to their designated area, which is outside of their cell against the cell door for gen-eral population inmates or at the cell door inside the cell for special management inmates.

2. The Detention Officer obtains the Housing Notebook with the booking photos and conducts aphysical count of all the inmates in the Housing Unit by looking at the inmate and comparingthe inmate to the booking photo, unless the inmate is well known to the Detention Officer.


4. The Detention Officer observes each inmate for signs of injury, assault, unusual behavior, etc.

5. The Detention Officer compares his count with the Unit Roster and the Movement Log toaccount for all inmates present and the out-count. If inmates cannot be accounted for andthere is a discrepancy, see Procedure E.


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7. If no count discrepancy is discovered, the Detention Officer calls the count to the ControlOfficer.

8. The Control Officer compares the counts called in from the Detention Officers with the UnitRoster count.

9. If the numbers match, the Control Officer clears the count by announcing the match over thepaging system.


11. The Detention Officer coming on duty records the count on the Post Log indicating thelocation of all inmates.


D. Informal Counts

1. Detention Officers account for all inmates under their supervision at all times.

2. The Detention Officer conducts informal counts in the Housing Unit for each wellness checkcompleted as follows:

a. At least every hour on an irregular schedule for general population inmates whether intheir cells, in the housing unit, or in programs.

b. At least every 30 minutes on an irregular schedule for special management inmates.

c. At least every 15 minutes on an irregular schedule for inmates who are mentally disorderedor who demonstrate unusual or bizarre behavior.

d. Continuous observation of suicidal inmates (see 4.2.13 Suicide Prevention/Intervention).

3. The Detention Officer records the count in the Post Log.

E. Count Discrepancies

1. When a Detention Officer discovers a count discrepancy that cannot be rectified by eitherrecounting the inmates or by checking the Movement Log, he explains the situation to theShift Supervisor.

2. The Shift Supervisor proceeds to the Housing Unit.

3. The Detention Officer and the Shift Supervisor determine the name of the inmate not account-ed for.

4. The Shift Supervisor notifies the Control Officer of the situation and the Shift Supervisor veri-fies if the inmate was released or is an out-count.


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5. If the Shift Supervisor confirms that the inmate was released, the Shift Supervisor confirms withthe Releasing Officer that the inmate was released correctly and appropriately.

6. If the Releasing Officer confirms that the inmate was released and the numbers balance, theShift Supervisor reports that the count is cleared.

7. If the comparison shows that the inmate has not been released, the Shift Supervisor notifiesthe Control Officer that the Facility is on “LOCKDOWN STATUS.”

8. The Control Officer verbally notifies the Housing Units that the Facility is on “LOCKDOWNSTATUS” and orders a recount, and staff conduct it.

9. If the recount still indicates a discrepancy, the Shift Supervisor verbally orders all staff in theFacility to inspect their immediate area for the inmate not accounted for by checking areaswithin the Housing Unit, including showers, closets, under beds, and anyplace where theinmate may hide.

10. The Shift Supervisor assigns a staff member to check all other areas of the Facility, e.g., class-rooms, restrooms, Booking, Outdoor Recreation, Gym.

11. If the inmate is found, the staff contacts the Shift Supervisor via telephone or in person (not viaradio) with the inmate’s name.

12. The Shift Supervisor contacts the Control Officer via telephone with the inmate’s name.

13. The Control Officer balances the count with the new names.

14. The Control Officer notifies the Shift Supervisor that the count is clear. If the inmate is foundin an unauthorized area, the discovering staff prepares a Disciplinary Report (see 3.3.4 InmateRules and Discipline).

15. The Shift Supervisor notifies the Housing Unit Detention Officer that the count is clear.

16. If the count cannot be confirmed in this way, the Shift Supervisor determines whether or notan escape has occurred (see 3.2.11 Escapes).

F. Emergency Counts

1. If an emergency occurs that requires that a count take place immediately, the Shift Supervisornotifies all staff via radio to secure all inmates in the closest available area or contacts theControl Officer to make the announcement via the paging system.

2. The Detention Officer directs all inmates to enter their cell and stand at the door for an emer-gency count.

3. The Shift Supervisor may order that the count take place as is or may have inmates moved backto their Housing Units in controlled groups for the count.

4. If any inmates are out of the Facility, the Shift Supervisor instructs the staff to immediatelyreturn them to the Facility until the count is cleared.

5. When the Shift Supervisor determines that the emergency situation has passed and normaloperations may resume, he advises staff and the Control Officer.

6. The Detention Officer has the inmates who were locked down taken off lockdown status.


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Alphabetical Labeling System (Automated—Underlined headings are hyperlinked and will take youdirectly to the section selected)

Any County Detention Facility

Inmate Counts

1.0 POLICY

2.0 DEFINITIONS

3.0 STANDARDS

4.0 GENERAL INFORMATION

5.0 FORMS

6.0 PROCEDURES

6.1 FORMAL HEADCOUNTS—SHIFT CHANGE (DAY AND EVENING SHIFTS)

6.2 FORMAL HEADCOUNTS—DURING SHIFT

6.3 STANDUP COUNTS

6.4 INFORMAL COUNTS

6.5 COUNT DISCREPANCIES

6.6 EMERGENCY COUNTS

7.0 REVISION HISTORY

Title: Inmate Counts ACDF Version: 5.09.03

1.0 POLICY

Inmates are counted at designated intervals and on an irregular schedule to confirm their presenceand well-being, to ensure the safety and security of the Facility, and to maintain control of inmatesduring regular operations and emergency situations.

2.0 DEFINITIONS


Emergency Count: A formal headcount conducted during situations including, but not limited to,disturbances, escapes, escape attempts, hostage situations, extreme weather conditions, and dis-crepancy in count.

Formal Headcount: A documented inmate count conducted by calling an inmate’s name while mak-ing eye contact with the inmate, receiving a verbal response, and comparing the inmate to a copyof the booking photo, unless the inmate is well known to the Detention Officer.





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Unit Roster: The Unit Roster is a computerized form that shows all the inmates in the Facility byHousing Unit. This form may be used to check for available beds in the Housing Units and is usedfor counts. The Unit Roster is created by sorting the Alpha Roster.

3.0 STANDARDS

ACA Adult Local Detention Facilities, 4th Edition (4–ALDF)

2A–17 Inmate Counts: The Facility has a system for physically counting inmates. The system includesstrict accountability for inmates assigned to work and educational release, furloughs, and otherapproved temporary absences.

4.0 GENERAL INFORMATION

A. During shift changes, staff members lock down inmates if they are in the Housing Unit.

B. All movement stops during inmate counts.

C. Formal headcounts occur as shown on the daily schedule.

D. Detention Officers have 5 minutes to complete their formal headcounts and call them into theShift Supervisor.

E. The booking photo referred to in this policy and procedure is a duplicate of the photo takenat Booking.

F. The Housing Notebook contains copies of the booking photos to be used during the formalheadcounts.

5.0 FORMS

Alpha Roster

Movement Log

Post Log

Shift Report

Unit Roster

6.0 PROCEDURES

6.1 Formal Headcounts—Shift Change (Day and Evening Shifts)

A. Upon arriving at his assigned post, the Detention Officer coming on duty walks through theHousing Unit prior to the off-going Detention Officer leaving the post.

B. The oncoming Detention Officer announces via the paging system “COUNT TIME,” and allinmates stand at their cell door.

C. The Detention Officer obtains the Housing Notebook with the booking photos and conducts aphysical count of all the inmates in the Housing Unit by comparing the inmate with the book-ing photo, unless the inmate is well known to the Detention Officer.

D. The oncoming Detention Officer compares the count to the Unit Roster and the Movement Logto account for all inmates present and out of the Housing Unit.


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E. If the Movement Log indicates the inmate is in the Adult Detention Center, the oncomingDetention Officer goes to that area to make the count or asks the Shift Supervisor to go thereto conduct the count.

F. If an inmate cannot be accounted for, the Detention Officer implements Procedure 6.5.

G. If all inmates are accounted for, the Detention Officer coming on duty calls the count to theControl Officer.

H. The Control Officer verifies the offsite count.

I. The Control Officer compares the counts with the Unit Roster count.

J. If the Control Officer determines that the numbers match, he clears the count by announcingthe match over the paging system.

K. If the Control Officer determines that the numbers do not match, he announces a recount andthe Detention Officers conduct it.

L. The Detention Officer coming on duty records the count on the Post Log indicating thelocation of all inmates.

M. After the count is cleared by the Control Officer, the Shift Supervisor documents the count onthe Shift Report (see Shift Reports chapter).

6.2 Formal Headcounts—During Shift

A. The Detention Officer calls out “COUNT TIME” and all inmates go to their designated area,which is inside the cell at the cell door, or remain in their program area, ceasing movement.

B. The Detention Officer obtains the Housing Notebook with the booking photos and conducts aphysical count of all the inmates in the Housing Unit by comparing the inmate with the book-ing photo, unless the inmate is well known to the Detention Officer.

C. The Detention Officer compares his count to the Unit Roster and the Movement Log to accountfor all inmates present and out of the Housing Unit.

D. If the Movement Log indicates the inmate is in the Adult Detention Center, the DetentionOfficer goes to that area to make the count or asks the Shift Supervisor to go there to conductthe count, taking the Housing Notebook with him or her.

E. If an inmate cannot be accounted for, the Detention Officer implements Procedure 6.5.

F. If all inmates are accounted for, the Detention Officer calls the count to the Control Officer.

G. The Control Officer compares the counts with the Unit Roster count.

H. If the Control Officer determines that the numbers match, he clears the count by announcingthe match over the paging system.

I. If the Control Officer determines that the numbers do not match, he announces a recount andthe Detention Officers conduct it.

J. The Detention Officer records the count on the Post Log indicating the location of all inmates.

K. After the count is cleared by the Control Officer, the Shift Supervisor documents the count onthe Shift Report (see Shift Reports chapter).


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6.3. Standup Counts

A. The Detention Officer announces via the paging system “STANDUP COUNT TIME,” and allinmates go to their designated area, which is outside of their cell against the cell door for gen-eral population inmates or at the cell door inside the cell for special management inmates.

B. The Detention Officer obtains the Housing Notebook with the booking photos and conducts aphysical count of all the inmates in the Housing Unit by comparing the inmate with the book-ing photo, unless the inmate is well known to the Detention Officer.

C. If the Detention Officer finds that the inmate’s appearance has changed so significantly that anew identification photo is needed, he will arrange for a new photo to be taken.

D. The Detention Officer observes each inmate for signs of injury, assault, unusual behavior, etc.

E. The Detention Officer compares his count with the Unit Roster and the Movement Log toaccount for all inmates present and the out-count. If inmates cannot be accounted for, seeProcedure 6.5.

F. If the Movement Log indicates the inmate is in the Adult Detention Center, the DetentionOfficer goes to that area to make the count or asks the Shift Supervisor to go there to conductthe count, taking the Housing Notebook with him or her.

G. If all inmates are accounted for, the Detention Officer calls the count to the Control Officer.

H. The Control Officer compares the counts with the Unit Roster count.

I. If the Control Officer determines that the numbers match, he clears the count by announcingthe match over the paging system.

J. If the Control Officer determines that the numbers do not match, he announces a recount andthe Detention Officers conduct it.

K. The Detention Officer coming on duty records the count on the Post Log indicating the loca-tion of all inmates.

L. After the count is cleared by the Control Officer, the Shift Supervisor documents the count onthe Shift Report (see Shift Reports chapter).

6.4 Informal Counts

A. Detention Officers account for all inmates under their supervision at all times.

B. The Detention Officer conducts informal counts in the Housing Unit for each wellness check completed as follows:

1. At least every hour on an irregular schedule for general population inmates whether intheir cells, in the housing unit, or in programs.

2. At least every 30 minutes on an irregular schedule for special management inmates.

3. At least every 15 minutes on an irregular schedule for inmates who are mentally disorderedor who demonstrate unusual or bizarre behavior.

4. Continuous observation of suicidal inmates (see Suicide Prevention/Intervention chapter)

C. The Detention Officer records the count in the Post Log.


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6.5 Count Discrepancies

A. When a Detention Officer discovers a count discrepancy that cannot be rectified by eitherrecounting the inmates or by checking the Movement Log, he explains the situation to theShift Supervisor.

B. The Shift Supervisor proceeds to the Housing Unit.

C. The Detention Officer and the Shift Supervisor determine the name of the inmate notaccounted for.

D. The Shift Supervisor notifies the Control Officer of the situation and the Shift Supervisorverifies if the inmate was released or is an out-count.

E. If the Shift Supervisor confirms that the inmate was released, the Shift Supervisor confirms withthe Releasing Officer that the inmate was released correctly and appropriately.

F. If the Releasing Officer confirms that the inmate was released and the numbers balance, theShift Supervisor reports that the count is cleared.

G. If the comparison shows that the inmate has not been released, the Shift Supervisor notifiesthe Control Officer that the Facility is on “LOCKDOWN STATUS.”

H. The Control Officer verbally notifies the Housing Units that the Facility is on “LOCKDOWNSTATUS” and orders a recount, and staff conduct it.

I. If the recount still indicates a discrepancy, the Shift Supervisor verbally orders all staff in theFacility to inspect their immediate area for the inmate not accounted for by checking areaswithin the Housing Unit, including showers, closets, under beds, and anyplace where theinmate may hide.

J. The Shift Supervisor assigns a staff member to check all other areas of the Facility, e.g.,classrooms, restrooms, Booking, Outdoor Recreation, Gym.

K. If the inmate is found, the staff contacts the Shift Supervisor via telephone or in person (notvia radio) with the inmate’s name.

L. The Shift Supervisor contacts the Control Officer via telephone with the inmate’s name.

M. The Control Officer balances the count with the new name.

N. The Control Officer notifies the Shift Supervisor that the count is clear. If the inmate is foundin an unauthorized area, the discovering staff prepares a Disciplinary Report (see Inmate Rulesand Discipline chapter).

O. The Shift Supervisor notifies the Housing Unit Detention Officer that the count is clear.

P. If the count cannot be confirmed in this way, the Shift Supervisor determines whether or notan escape has occurred (see Escapes chapter).


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6.6 Emergency Counts

A. If an emergency occurs that requires that a count take place immediately, the Shift Supervisornotifies all staff via radio to secure all inmates in the closest available area or contacts theControl Officer to make the announcement via the paging system.

B. The Detention Officer directs all inmates to enter their cell and stand at the door for an emer-gency count.

C. The Shift Supervisor may order that the count take place as is or may have inmates moved backto their Housing Units in controlled groups for the count.

D. If any inmates are out of the Facility, the Shift Supervisor instructs the staff to immediatelyreturn them to the Facility until the count is cleared.

E. When the Shift Supervisor determines that the emergency situation has passed and normaloperations may resume, he advises staff and the Control Officer.

F. The Detention Officer has the inmates who were locked down taken off lockdown status.


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Forms include, but are not limited to thefollowing:

Title

Alpha Inmate Roster

Application/Recruitment and Screening

Arrest Report

Booking

Booking Sheet

Cell Checkout Sheet

Classification Interview Form

Classification Interview Score Sheet

Code of Ethics Acknowledgment

Contraband Log

Criminal Complaint

Custody Request Form

Death of an Inmate

Disability Accommodation and Tracking

Disciplinary Disposition Log

Disciplinary Investigation

Discipline Committee Findings Report

Education Log

Employment Processing

Escape Checklist

Escape Report

Expense Voucher

First Aid Kit Log

Food Equipment Sheet

Grievance Form

Incident Report

Inmate Log

Inmate Request Form

Title

Inmate Worker Application

Inmate Worker Assignment

Inmate Worker Contract

Inspection—Common Area

Inspection—Housing

Interview Rating Form

Interview Rating Summary

Inventory Control Card

Key Log

Key Log—Permanently Assigned Keys

Library Log

Mail Log

Maintenance Order

Master Roster

Meal Order Sheet

Medication Log

Movement Log

Observation Log

Pat Search Consent Form

Policy and Procedure Acknowledgment

Post Log

Post Order Acknowledgment

Property Form

Receipt for/Release of Funds or Property

Receiving Report

Reclassification Decision

Reclassification Hearing

Reclassification Notice

Append i x 5–6.SAMPLE LIST OF FORMS


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Title

Recreation Log

Release of Information

Religious Services Log

Requisition Order Request

Restraint Inventory Form

Restraint Signout Form

Shakedown—Common Areas

Shakedown—Housing

Shift Report

Sick Call List

Special Diet Receipt

Special Diet Request

Title

Statement of Preference

Suicide Prevention Screening

Telephone Log

Tool and Equipment Checkout Form

Training Record

Unit Roster

Visitor Log

Visitor Log—Professional

Visitor Pass

Volunteer Agreement

Volunteer Application Form

Waiver of Liability

SAMPLE LIST OF FORMS (continued)


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Append i x 5–7.SAMPLE POST ORDER FORMAT

Post Order: __________________________________ P.O. #: ______________________________________

Effective Date: _______________________________ Version #: ___________________________________

Authorization by: ____________________________

Hours of Duty: _______________________________ Days: _______________________________________

_________________________________ Shifts:_______________________________________

Post Overview/General Instructions: __________________________________________________________

____________________________________________________________________________________________

Scheduled Duties:

Grave Shift Day Shift Swing Shift Duties

Unscheduled Duties:

All Shifts

Grave Shift

Day Shift

Swing Shift


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Append i x 5–8.SAMPLE MASTER SCHEDULES

Activities include, but are not limited to, those listed in the sample schedules.

Narrative

Sunday

4:30am Breakfast Meal Count

5:30am Shift Briefing at Roll Call

5:45am Shift Briefing at Post/Inmate Count

6:00am Unlock/Lights On/Razors and Clippers

6:30am Breakfast Delivery

7:00am Medication Rounds

7:30am Pod Cleaning

7:30am Replacement of Personal Hygiene Items

9:30am Lunch Meal Count

10:00am Returning Cleaning Supplies

11:30am Lunch

12:00pm Medication Rounds

2:30pm Shift Briefing at Roll Call

2:35pm Lockdown Announcement

2:45pm Shift Briefing at Post/Lockdown

3:00pm Inmate Count

3:15pm Unlock

3:30pm Dinner Meal Count

5:30pm Dinner

7:00pm Library Cart Delivered

8:30pm Shift Briefing at Roll Call

8:45pm Shift Briefing at Post

9:00pm Laundry Exchange

9:50pm Lockdown Announcement

10:00pm Lockdown/Inmate Count

10:30pm Lights Out/Library Cart Returned


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SAMPLE MASTER SCHEDULES (continued)

Tabular In this format, as you check items, times when events are clustered are evident graphically. Lookfor patterns and consider schedule adjustment to equalize demands on your staffing.

Daily Schedule

Days Task Occurs

Time Activity S M T W Th F Sa

0530 Food Service Workers Wakeup

0600 Unlock/Standup Count

Food Service Workers to Kitchen—after count clears

0600–0640 Showers/Housekeeping/Telephone

0630 Shift Briefing at Staff Training Room

0640 Lockdown

0645 Shift Briefing at Post

0700 Shift Change/Official Count

0715 Breakfast Delivery

0720 Unlock/Breakfast

0725 Medication Rounds

0745 Breakfast Completion/Cleanup

0745–0800 Housekeeping Inspection

0800–1130 Television/Telephone On (based on inspection)

0800–0900 Indoor Recreation

0800–0900 Programs

0800–1130 Professional Visitation





1130 Lockdown/Official Count

1200 Lunch Delivery

1210 Unlock/Lunch


Day Task Occurs


1235 Lunch Completion/Cleanup

1300–1440 Professional Visitation




1300–1330 Visiting




1445 Lockdown Complete


1500 Shift Change/Unlock/Standup Count


1505–1700 Professional Visits


1715 Lockdown

1730 Dinner Delivery

1735 Unlock/Dinner


1800 Dinner Completion/Cleanup


1800–Lockdown Telephone/Television On (based on inspection)

1800–1900 Recreation





2000 Special Management Lockdown


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Day Task Occurs




2200 Official Count


2230 Inmate Worker Lockdown


2300 Shift Change/Official Count

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Tr a i n i n g a ndO r i e n t a t i o n

C H A P T E R S I X

Overview . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .6–3Who Requires Training and Orientation? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .6–3What Types of Training and Orientation Are Needed? . . . . . . . . . . . . . . . . . . . .6–5What Resources Are Needed for Training and Orientation? . . . . . . . . . . . . . . .6–5What Are the Training and Orientation Management Tasks? . . . . . . . . . . . . . . .6–6What Are the Benefits of Involving Others in Training and Orientation? . . . . .6–6How Should Training and Orientation Be Documented? . . . . . . . . . . . . . . . . . .6–6

Types of Training . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .6–7Facility Orientation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .6–7Document/Activity Training . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .6–7Post Training . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .6–9Simulation Training . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .6–10Inmate Orientation and Training . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .6–11

Training Challenges . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .6–12

Appendix 6–1. Sample Lesson Plan . . . . . . . . . . . . . . . . . . . . . . . . . . . .6–13


Tr a i n i n g a nd O r i e n t a t i o n

C H A P T E R S I X

OverviewTraining is one of the major transition tasks. It is the essential activity thattranslates all the policies and procedures, post orders, schedules, and numerousother details into reality. It is also the most effective way for transition staff toreduce anxiety about the change from the old facility to the new. The amountand types of training that are needed vary from situation to situation. Forexample, jails that are moving from intermittent surveillance to direct supervi-sion will require specialized training in that area. In spite of their differences,all transitions share some training constants. This section of the manual focus-es on the types of training that will be associated with all transitions. Exhibit6–1 is a flowchart that illustrates the major elements of training and orientationas they relate to transition.

Who Requires Training and Orientation?It is easy for transition staff to focus on training departmental staff—particularlyline correctional staff—because they are typically the largest group to be trainedand perhaps the most critical. However, everyone who works in the facility orspends time there will require some training. Transition team members willneed to determine which groups of staff require which types of training.Inmates, particularly those who will work in the facility, will also require somespecific types of training.

In new facilities, visiting procedures often change; both professional and fami-ly visitors will need some training in how visitation will work. Volunteers, par-ticularly those who are in the facility on a regular basis, will require trainingabout new procedures and the areas of the facility they will use.

Criminal justice users, particularly law enforcement agencies, will require spe-cialized training on booking procedures and other relevant topics. Officersfrom first responder law enforcement agencies and fire and emergency medicalservices personnel will need a more detailed orientation to the facility. Vendors

Action plans fortraining and orien-tation mayinclude—• Overall training.

• Staff training.

• Training equipmentand supplies.

• Training facilities andspace.

• Training sessions.

• Facility userorientation.


Exhibit 6–1. Training and Orientation Flowchart


Go to C

Go to CDevelopInmate

Orientation

DevelopFacility User

TrainingMove

DeliverFacility User

Training

ReviseDocuments

ReviseDocuments

ReviseDocuments

Conduct BasicProgram

A


START

SelectTraining

Coordinator

EstablishTraining

Committee

Collect AllCurrent

Curriculums

ReviewTraining

Standards

ReviewCurriculums

DevelopTraining

Overview

Identify/Obtain

Resources

SelectTrainers

Develop/DeliverSupervisory

Skills Training

TrainTrainers

EstablishProtocol for

Onsite Training

Develop/Deliver Post

Training

Develop/DeliverSimulation

Training

Develop/DeliverDocument

Activity Training

ReviseDocuments

Hold OpenHouse

HoldSleepover

HoldDedication

Develop/DeliverEmployee

OrientationTraining

B

A

B

DeliverInmate

OrientationStart

Operation

Develop/DeliverEmployeeInservice Training

C END

Develop/Deliver Dry

Run Training

B

IdentifyTrainerSkills

DevelopTraining

Sequence

A


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who regularly deliver items or provideother services will also require an ori-entation both to new procedures and tothe areas they will enter.

What Types of Training andOrientation Are Needed? Training programs should include—

■ Training for trainers, if the depart-ment’s training strategy will includepeople who have not been taughttraining techniques.

■ Facility orientation for staff andother users.

■ Document/activity training.

■ Post training.

■ Simulation and dry run training.

■ Inmate orientation and training.

Each of these training types will bediscussed in this chapter. Staff shouldreceive between 2 and 4 weeks oftraining.

What Resources Are Needed forTraining and Orientation?Training resources come from a varietyof sources:

■ Transition documents. The docu-ments created by the transitionteam, particularly policies and pro-cedures and post orders, form thebasis for much of the training thatwill occur.

■ Space and equipment. The transi-tion team will need to identifyplaces where training can occur andwhere training equipment, includingcomputers and audiovisual technol-ogy, is available. In many cases,space is available in the new facili-ty. In any case, trainees will needaccess to the facility during thetraining.

■ Financial resources. The level oftraining needed for transition typi-cally requires more financialresources than the department’sbudget can absorb. This is particu-larly true if equipment must bepurchased or if training results inovertime for staff. The transitionteam needs to identify the financialresources they will need for trainingearly enough to get them into theappropriate budget cycle.

■ Existing curriculums. For teachingthe basics of jail procedures, exist-ing curriculums may be a resource,particularly for new hires. Addition-al training resources may also beavailable from the state and/or otherlocal jurisdictions.

■ Training for trainers. It is likelythat a number of people who willhave to train others will be unfa-miliar with training techniques. Atraining-for-trainers program for theentire training team can enhance thequality of training that they provide.

The training coordinator is the keyindividual in the training process. Thecoordinator develops a training sched-ule, organizes each of the programs,identifies needed space and equipment,and maintains records for all training.In developing the training schedule, thecoordinator needs to recognize that thecurrent jail must operate during tran-sition. If overtime is necessary toprovide shift coverage, it must be re-quested in advance, typically as a partof the normal budget process, whichmay be a year or more before the timewhen the dollars will be spent. If youhave missed a budget deadline, consid-er other options, including supplemen-tal budget requests or potential use ofany available project dollars. The

[Training is]

the most

effective

way for

transition

staff to

reduce

anxiety

about the

change from

the old

facility to

the new.


trainees for each class should be select-ed carefully, considering the mix ofseasoned and new staff and securityand program/support staff.

Training needs frequently exceed thetraining resources of the transitionteam. Team members should considerusing other training resources withinthe department, including existingtrainers. Supervisors can often be par-ticularly good in areas of training relat-ed to the posts they will supervise.Vendors may also be a resource.Specifications for equipment shouldrequire some level of training with spe-cific equipment. The transition staffand/or other departmental trainers canprepare the curriculums and lessonplans, make training resources avail-able, conduct some of the trainingthemselves, and support others in theirtraining responsibilities.

What Are the Training andOrientation Management Tasks?Training and orientation managementtasks include—

■ Selecting a training coordinator.

■ Establishing a training committee.

■ Collecting and reviewing the cur-rent training curriculum.

■ Developing an overall trainingschedule long before trainingbegins.

■ Identifying when documents needto be available for training.

What Are the Benefits ofInvolving Others in Training andOrientation? The delivery of training providesanother opportunity to transfer transi-tion tasks from the transition team tothe operating staff. Because of multiple

training sessions and the many groupsto be trained, you are likely to needmore trainers than you have transitionteam members. Training needs alsopeak at the same time as other essentialtransition activities:

■ Furniture, fixtures, equipment, andsupplies are being delivered andinstalled.

■ The construction punchlist processis underway.

■ Numerous requests for tours arereceived.

■ The dedication needs to be planned and held.

How Should Training andOrientation Be Documented? The training coordinator must docu-ment all the training that has been con-ducted. Training documentation shouldindicate more than just attendance; itshould describe how the staff did in thetraining. The training staff, along withthe jail administration, should establishcompetency levels for each trainingprogram. Staff who do not meet thosecompetency levels will need to beretrained. If retraining does not resultin the staff member achieving the iden-tified competency level, the administra-tion will need a policy on what furtheraction should be taken.

Training documentation tasksinclude—

■ Maintaining a class roster for eachclass.

■ Developing a training record foreach employee, if one is not alreadyavailable. Automating the record-keeping will make the flow ofpaperwork much easier.

Training

needs

frequently

exceed the

training

resources of

the transi-

tion team.

Team mem-

bers should

consider

using other

training

resources

within the

department,

including

existing

trainers.


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■ Ensuring that staff have attendedthe appropriate training.

■ Making provisions for makeup ses-sions for staff who miss training.

■ Restricting optional leave duringtraining and initial occupancy (with the cooperation of jail administration).

Orientation documentation tasksinclude—

■ Keeping a list of the groups whohave received orientation.

■ Ensuring that all who need orienta-tion have received it before movinginto the new facility.

Types of Training Transition teams commonly offer fivetypes of training. Depending on thespecific circumstances, additional typesof training needed may include sub-jects such as training in direct supervi-sion, interpersonal communication, ortraining for trainers. This section pro-vides information about the goals andtraining process for—

■ Facility orientation—for both staffand other users.

■ Document/activity training.

■ Post training.

■ Simulation training.

■ Inmate orientation and training.

Facility Orientation

Goals

Goals of the facility orientation may beto—

■ Orient staff and other users to thelayout of the facility.

■ Inform staff and other users aboutthe processes used to move in andout of different areas of the facility.

■ Educate staff and other users aboutthe new facility’s intended philoso-phy of operations.

Training Process

One of the basic types of training thatwill be required is an orientation to thebuilding and its general systems, suchas intercoms and card access systems.All staff working in the facility willneed an orientation on how the build-ing is designed to operate. The jailshould also include other individualswho use the facility in this training ordevelop another orientation track forthose users.

This training should teach people howthe building is organized and the loca-tion of and proper terminology for allspaces; it may also include an indepthtour of the facility. Training documentsshould use room names consistently.Trainers may test staff’s knowledge ofthe new facility by requiring them tofill in the correct room numbers andnames on a blank floor plan. Anotherapproach is to engage staff in a scav-enger hunt, sending them to differentparts of the building to find particularitems.

Document/Activity Training Document/activity training should beprovided to all security and programstaff who work in the jail.

Goals

Goals of document/activity trainingmay be to—

■ Teach staff the importance and pur-pose of policies and procedures,how to use them, and how theyrelate to other documents.

■ Formalize facility terminology.


■ Promote consistency between shifts,between custody and noncustodystaff, and between administrativeand line staff.

■ Create “ownership” in the docu-ments, operations, and facility.

■ Reduce the potential for litigationthrough enhanced training anddocumentation.

■ Increase staff competence.

■ Provide opportunities for greaterstaff awareness, understanding, andappreciation of the diverse rolesand levels of experience amongstaff and the complexity of jailoperations.

■ Promote professionalism.

■ Enhance policies and proceduresby providing feedback.

■ Start the process of transfer ofauthority from transition staff tosupervisors and line staff.

■ Become familiar with the facilityoperations.

■ Strengthen staff training/presentation skills.

Training Process

Policies and procedures are the basisfor jail operational training. This train-ing teaches all aspects of the operationthat relate to a specific function. Usingthe policies and procedures drafted bythe team, lesson plans are developed. Asample lesson plan is provided inappendix 6–1. This training also servesas another test for the policies and pro-cedures. It is likely that the policiesand procedures will undergo anotherrevision/enhancement as a result of thistraining.

Supervisors can provide the majorityof the document/activity training. This

increases ownership of the policies andprocedures, ensures that supervisorsknow the operation, and provides anopportunity to enhance the new train-er’s training and public speaking skills.

Document/activity training requires atremendous amount of resources, par-ticularly printed materials. Every stu-dent should have access to a paper orautomated copy of the policies andprocedures manual. Automation canmake the manual available on a depart-mental intranet, workstations, and/or aCD–ROM.

Because the policies and procedureswill likely be revised based on whatoccurs during each training, the transi-tion team needs to develop a processfor approving changes. During class,someone needs to take notes, eitherby writing them or typing them on acomputer. It is also helpful to havesomeone who was involved with thedevelopment of the policies and proce-dures attend each class to explain whyactivities are completed a particularway. This is especially important if thenew operation has significantlychanged from the current operation. Itis important for staff to know that theyneed to make every effort to operatethe facility according to the policiesand procedures in place when the facil-ity opens. However, the administrationalso needs to commit to making appro-priate revisions in a timely manner ifcertain policies and procedures do notwork as intended, or if staff developsuggestions for more efficient proce-dures. If significant changes have beenmade, policies and procedures shouldbe updated before the next class—ifnot sooner—and then redistributed.The revised policies and proceduresalso must be made available to


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previous and subsequent classes. Ifthere are multiple classes and/or stag-gered classes, it is important to makesure the instructors and all classes havethe current policies and procedures.Additionally, the document coordinatorwill need to review lesson plans todetermine if they are affected bychanges to policies and procedures.Someone will also need to track thedrafts of both policies and proceduresand lesson plans to ensure that only themost current are used. Ideally, high-speed copiers with sorting capabilitiesor a copy shop should be available dur-ing this training. Because the policiesand procedures from which the trainingis being done will already have beenapproved, the document coordinatorneeds to know which changes he or shecan make on his or her own and whichwill require reapproval prior to train-ing. The reapproval process shouldinclude a mechanism to ensure that thefinal copies of all policies and proce-dures are signed and approvedappropriately.

Post Training

Goals

Goals of post training may be to—

■ Ensure staff can carry out postduties with confidence and asdescribed in the post order.

■ Make certain that staff understandthe relationship between post ordersand policies and procedures.

■ Improve and update post orderswith staff input.

■ Ensure staff know the names of allspaces/rooms within the post areaand how to access them.

■ Provide opportunities for staff tolearn where all equipment related to

the post is located, how to operateit, and how to turn off and reset allsystems.

■ Teach staff which keys operatewhich locks in their area and howeach lock works.

■ Teach security staff how to functionindependently at a minimum of twoposts.

■ Make sure that all items needed tooperate each post are identified andobtained.

■ Provide opportunities for staff tolearn how their post relates to theoverall facility operation.

Training Process

All staff who will work at a post needtraining in how posts, such as mastercontrol or housing, will operate in thenew facility. This training uses the postorders as the principal training curricu-lum and focuses on all of the activitiesthat occur at a specific post. It includesa number of hands-on activities usingequipment and systems at the post.Ideally, supervisors will be the trainersfor this curriculum and will deliver itin the areas they supervise. This train-ing will provide another opportunity toreview specific policies, procedures,and post orders and to check the facili-ty and systems to see that they areready for occupancy. Items to be testedand learned are listed in the traininggoals.

The department needs to determine thenumber of posts on which an individ-ual staff member should be trained.This will depend on the number ofposts in the facility and the jail’s workschedules. If staff rotate posts infre-quently, e.g., every 6 months, then they

The depart-

ment needs

to determine

the number

of posts on

which an

individual

staff mem-

ber should

be trained.


might receive an overview of each postand more intense training on the postthey will be working initially.

Simulation Training

Goals

Goals of simulation training may beto—

■ Train staff to perform each majoroperation.

■ Review and update policies andprocedures.

■ Use and revise forms and postorders as necessary.

■ Identify and obtain keys, supplies,and equipment.

■ Test the facility, operating systems,and schedules (time allocations) foraccuracy and modify as needed.

■ Improve staff teamwork.

■ Enhance staff confidence.

■ Familiarize staff with normal facili-ty operations, i.e., all doors lockedconsistent with policies andprocedures.

Training Process

If document training on policies andprocedures focuses on functions, andpost training focuses on activities atspecific places, simulation traininglinks the two. Simulation trainingentails walking through major activi-ties, especially those that involve sig-nificant movement of staff, inmates, oritems. Simulate activities in groups ofrelated functions with staff availablefor each of the roles involved in theactivity, e.g., housing officer, visitor,and inmate. An evaluator shouldobserve/critique the simulation. Thesimulation training needs to last longenough—typically several shifts—to

accurately reflect what a period ofoperations will be like. It also providesan opportunity to test equipment andsystems. The sleepover, which is acommunity relations event often heldas part of the opening of the new facili-ty where local officials and communitymembers spend the night as “inmates”(see chapter eight), may serve as asimulation.

Policies and procedures that might besimulated together are—

■ Group 1—Shift Briefings/Reportingto Work, Inmate Counts, andLockdown/Unlock.

■ Group 2—Housekeeping and WasteDisposal.

■ Group 3—Personal andProfessional Visits.

■ Group 4—Meal Delivery Service(multiple housing areas).

■ Group 5—Laundry (multiplehousing areas).

■ Group 6—Inmate Telephone Use(multiple housing areas).

■ Group 7—Recreation and Showers.

■ Group 8—Inmate Searches.

■ Group 9—Emergency Procedures.

Use the post log to document the simu-lation. Simulation training should beprovided to all staff who are involvedin the activity being simulated.Security staff should participate in allsimulations.

Dry run training is a dress rehearsal forfull operations, and might be a 24-hoursimulation of a typical day. This simu-lation should be made as close to thereal thing as possible, allowing staff tohandle multiple functions and to gainpractical experience before the jailopens. The dry run may be done using

Dry run

training is a

dress

rehearsal for

full opera-

tions, and

might be a

24-hour sim-

ulation of a

typical day.


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a variety of individuals (staff, volun-teers, and possibly college students) toplay the roles of various types ofinmates. Dry run training shouldinvolve as many staff as possible tomake it as true to life as possible.Ideally, in a dry run staff should nothave to refer frequently to policies andprocedures or post orders to carry outtheir tasks.

Inmate Orientation and Training Transition staff may be so focused onthe tasks they need to accomplish forfacility staff that they lose sight of theneeds of another significant popula-tion—inmates. The attention paid topreparing the inmate population fortransition by providing appropriatekinds and amounts of information andby using this opportunity to establishbehavioral expectations can help makeoccupancy a positive change.

This change begins with inmate orien-tation. Inmate orientation represents amicrocosm of the transition process; ina number of ways, it is similar to theorientation process for staff. The stafforientation process includes developingwritten materials that are then convert-ed to various forms of training. Thesame process applies for inmates,although there may be less informationto convey.

During transition, staff of the existingfacility who are not involved in prepar-ing for the move frequently have manyquestions and concerns about the newfacility; the inmate rumor mill worksjust as effectively as the staff’s. As aresult, it is essential to give inmatesinformation about the new facility thatthey need to know, at an appropriatetime. This may create tension withinthe transition team as team members

responsible for move logistics weighsecurity considerations against theneed to provide accurate information.

General orientation strategies includeusing both the new inmate handbookand an orientation video. Staff canpresent the information to inmates intheir housing units individually or ingroups, as appropriate, and respond toquestions about the new facility andnew procedures. Once inmates havebeen moved to the new facility, theywill need some form of in-facility ori-entation. This is particularly true ifinmates will move unescorted in thenew facility and need to know how toget to the appropriate location.

Specific orientation needs fall into atleast two categories:

■ Inmate workers will need to knowthe locations within the new facilitymore thoroughly than other inmatesbecause they must report to workand may be responsible for tasks invarious parts of the facility. Thecurrent inmate worker populationmay also be used during transitionas the time for occupancy approach-es. Inmate workers may help placefurniture, stock supplies, and other-wise assist the transition team.

■ Inmates and their families also needorientation and basic information,such as new addresses and tele-phone numbers in the new facility,new visiting procedures and equip-ment, and changes to visiting hours.

As the time to occupy the new facilitynears, the transition team needs to con-sider how to prepare the inmate popu-lation for all aspects of the new facili-ty. There is strong evidence that peoplerespond behaviorally to the physicalenvironment. Part of the orientation


should deal with specific elements ofthe physical environment that willaffect inmates, such as new equipmentand ID cards. In addition, when themove to a new facility involves philo-sophical shifts, such as changing froma traditional linear facility with inter-mittent surveillance to a podular facili-ty with direct supervision, transitionstaff need to plan carefully how tomake the move an opportunity to rein-force the new philosophy.

Some inmates may find change moredifficult than others. Special needsinmates may require a different type orlevel of orientation. In addition, duringboth transition and early occupancy, avariety of special events may occur.For example, inmates may need tolearn how they are expected to behaveduring facility tours. If portions of thefacility are not operational, such asfood service, inmates must be told howtheir basic needs will be met during thetransition period. Some facilities usetransition as an opportunity to make amajor operational change, such as froma smoking to a nonsmoking policy. Inthese situations, the transition teamneeds to think through how to adviseinmates of this change and when,where, and how to implement thechange.

Training Challenges Training tasks offer a number of criti-cal challenges for the transition team.Because new staff typically require themost training and because their salarieshave an impact on the budget, thedesire to complete their training quick-ly and thoroughly at the time they arehired conflicts with wanting to savemoney by hiring them at the last possi-ble moment. It is also challenging tofigure out how to provide meaningfultraining to staff on two or three shiftswhile continuing to operate the facilityand with minimal impact on the over-time budget. When potential construc-tion delays and facility startup issuesare factored in, scheduling training canbe challenging. Yet, training is essentialto making staff comfortable with thenew facility and capable of making thetransition successful.

It is also worth noting that some staffin the existing facility may not adapt tothe new facility. This is more likely tobe true if major shifts will be made ininmate supervision strategies. Thedepartment management team willneed to determine how it will deal withemployees who cannot make the tran-sition from the old to the new facility.

Some

inmates may

find change

more diffi-

cult than

others.


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6–13

Time Frame: Total: 0.5 hour

Suggested Schedule:From: To:

Target Population: Correctional officers

Number of Participants: Standard class size

Space Requirements: Access to a housing unit. Students practice a minimum of one count in a housing unit.

Performance Objectives:

At the end of this session, the students will be able to—

1. Identify the three reasons why inmates are counted at designated intervals.

2. Specify how the oncoming Housing Officer compares his count to account for all inmates present.

3. Identify whom the Housing Officer notifies when there is a count discrepancy that he or she cannot rectify by recounting the inmates or checking the Movement Log.

4. State where the Housing Officer directs all inmates to move for an emergency count.

5. Describe how the Control Officer verifies during offsite counts the number and identification of all inmates in the Escorting Officer’s custody.

Evaluation Procedures: All students will take a multiple-choice examination. The examination is scored; 80% is a passing score.

LESSON PLAN COVER SHEET

Course Title: Document/Activity Training Instructor(s):

Lesson Title: Inmate Counts (3.1.6) Prepared by:

Date:

Append i x 6–1.SAMPLE LESSON PLAN


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Instructor Materials:

Inmate Counts Policy and Procedure

References:

Equipment and Supplies Needed:

______Easel pads and stands—how many _____

markers______ masking tape______ # colors______

______Chalkboard

______16mm projector—film length______minutes

______Slide projector—type: carousel______ tray______ sound-on-slide______

______Videotape player—type: 3/4” cassette______ Betamax______ VHS______

tape length______minutes

______Videotape recorder and camera

______Public address system

______Overhead projector

______Screen

______Other:

Participant Materials # Needed When Distributed Comments

Inmate Count Policy 1/student Day prior to class Students are and Procedure advised to review

the policy and procedure prior to coming to class.

Methods and Techniques:

The module uses a combination of lecture, structured review and study time, and small group activity.

SAMPLE LESSON PLAN (continued)


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Trainer Note Presentation Guide

Trainer advises students that they Anticipatory Set: Accurate and timely counts are ahave 5 minutes to review the policy critical element of the facility security system.and procedure before they will Although you may have counted inmates many timessimulate a count. in the old facility, counts in the new one may occur

differently because of a variety of policy changesand new technology.

Trainer will determine which type Instructional Input—Structured Group Exercise:of count will be done. Type of Students move into the Housing Unit. At the door, count should vary from class to each student draws a piece of paper from a container,class. identifying his or her role in the group exercise.

Trainer note: These roles will include Housing UnitOfficer, Central Control Officer, supervisor(s), andinmates.

Supervisor calls out the type of count and the simulation begins.

Trainer note: You do not need to post someone inCentral Control for this training event although in afull simulation, of which counts will be a part, staffwould operate control.

Trainer allows up to 5 minutes for the count. At the end of that time, the trainer calls the exercise.

Trainer assists in processing Trainer must observe the exercise completelythe exercise. and know how the procedure should occur.

Trainer asks “supervisors” to critique the count,identifying areas of compliance/noncompliancewith the new procedure. After the “supervisors”offer their critique, the trainer opens the floor toother participants.

Trainer asks students to Trainer posts information on an easel pad.identify what was important to them about the count, identifying how it may differ from current procedures.

Trainer distributes examination. The trainer must provide the examination at some point before the end of the training period.It may be desirable to combine this examinationwith related exams, or time constraints may requirethat it be given immediately.



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EXAMINATION

Performance Objectives: Related Question:

1. Identify the three reasons inmates 1. Identify the three reasons inmates are are counted at designated intervals. counted at designated intervals.

Answer:A. To confirm their presence and well-being.

B. To maintain the safety and security of the facility.

C. To maintain control of inmates during regular operations and emergency situations.

2. Specify how the oncoming Housing 2. True or False:Officer compares his or her count to The oncoming Housing Officer comparesaccount for all inmates present and his or her count with the Unit Rosterout-count. and the Movement Log to account for all

inmates present and out-count.Answer: True

3. Identify whom the Housing Officer 3. Identify whom the Housing Officer notifiesnotifies when there is a count when there is a count discrepancy that he or discrepancy that he or she cannot she cannot rectify by recounting the inmatesrectify by recounting the inmates or checking the Movement Log.or checking the Movement Log. A. Police

B. Corrections DirectorC. On-Duty SupervisorD. None of the aboveAnswer: C

4. State where the Housing Officer 4. State where the Housing Officerdirects all inmates to move for an directs all inmates to move for anemergency count. emergency count.

A. To enter their cell and stand at the door or foot of their dorm bed.

B. To the north side of the Adult Detention Center.

C. To the closest restricted area.D.To the Dayroom.Answer: A

5. Describe, how the Control/Dispatch 5. True or False:Officer verifies during offsite counts The Control/Dispatch Officer contacts the the number and identification Escorting Officer via radio/telephone to verify of all inmates in the Escorting Officer’s the number and identification of all inmates in custody. the Escorting Officer’s custody.

Answer: True


F u r n i t u r e,F i x t u r e s,E qu i pmen t ,a nd Supp l i e s

C H A P T E R S E V E N

7–2

Overview . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .7–3Who Is Responsible for Purchasing FF&E? . . . . . . . . . . . . . . . . . . . . . . . . . . . .7–3How Can This Task Be Organized? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .7–4

Defining FF&E Needs . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .7–4FF&E Selection Parameters . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .7–5FF&E Plan . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .7–5Supply Ordering . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .7–8

Bidding and Acquiring the Items . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .7–8Bid Process . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .7–8Direct Purchase of FF&E . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .7–8Acquisition and Recommendation of FF&E . . . . . . . . . . . . . . . . . . . . . . . . . . . .7–9Receipt and Placement of FF&E . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .7–9

Final Thoughts . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .7–9

Appendix 7–1. Sample List of FF&E . . . . . . . . . . . . . . . . . . . . . . . . . . . .7–11


Overview People often assume that all of the items that are required in the new buildingwill be provided by the contractor. In reality, except in a few specialized cir-cumstances in which the contractor has been asked to purchase furniture,fixtures, and equipment (FF&E), the jurisdiction is responsible for acquiringthese items. The jurisdiction will always be responsible for acquiring supplies.The goal of this phase is to identify, purchase, place, and inventory the FF&Eneeded for new jail operations. For the purposes of this chapter, FF&E willalso include supplies.

Who Is Responsible for Purchasing FF&E? As with many tasks necessary to occupy the jail successfully, the responsibilityfor purchasing FF&E may be spread among a number of individuals. Someitems, such as the brackets for dayroom television sets, may even be includedin the construction contract. Other items may be under a general open contract,e.g., telephone services, copiers, and computers, while still others may be thedirect responsibility of the jail. Although this chapter uses the term “furniture,fixtures, equipment, and supplies,” you should identify and use the terminologyfamiliar to your project, purchasing personnel, budgeting process, anddepartment.

Who within the jurisdiction actually acquires these items may also vary. Insome cases, the jurisdiction may have a purchasing department that managesthe process; in other cases, it may be done by the department or the transitionteam. Regardless of who acquires the items, transition team members need tobe represented in the process and to be familiar with the jurisdiction’s procure-ment procedures.

FURN I TURE , F I X TURES, EQU IPMENT, AND SUPPL I ES

C H A P T E R S E V E N

Action plans forthe acquisition offurniture, fixtures,equipment, andsupplies mayinclude—• Furniture and

equipment.

• Supplies.

• Telephones (inmate,staff, public).

• Signage.

• Computers, informa-tion managementsystem, and software.



How Can This Task BeOrganized? Exhibit 7–1 illustrates the major ele-ments in the acquisition of FF&E asthey relate to transition.

This task occurs in several distinctphases—one group of activities takesplace relatively early in transition anda second considerably closer to occu-pancy. Early tasks include—

■ Developing a list of FF&E items.

■ Developing a list of supplies.

■ Establishing/checking/acquiring thebudget.

■ Researching and evaluating theitems.

Later tasks include—

■ Bidding or purchasing the items.

■ Receiving the items.

■ Storing the items, if the facility isnot ready and the contractor is notresponsible for this.

■ Placing or observing the placementof items.

■ Inventorying the items.

These tasks may be spaced at differenttimes during the transition process,based on the amount of lead timerequired from the time that the itemsare ordered until they are available.

The transition team should designateone team member as the FF&E coordi-nator. Like many transition tasks, thismay be a collateral duty, especiallybecause this work tends to occur inphases.

At the outset, a representative of thetransition team should consult with thearchitect and contractor to learn whatalready has been done and what still

needs to be done. The FF&E coordina-tor will focus on ensuring that theitems to be purchased meet securityrequirements. Before proceeding,because they will not have had previ-ous experience purchasing items, manyteam members will need to familiarizethemselves with normal purchasingprocedures to ensure that they complywith the legal requirements in theirarea. Acquiring a number of newproducts and purchasing additionalproducts currently being used mayoverwhelm the capability of the depart-ment’s and jurisdiction’s purchasingstaff. The transition team should meetwith purchasing staff inside and out-side the department early in the transi-tion period to explain the projectscope, its impact on the purchasingoperation, what resources may beneeded, and how those resources willbe obtained. You might be fortunateand learn that a number of items are onexisting government contracts and willnot need to be bid.

Defining FF&E Needs The FF&E coordinator should begin byclarifying what items are the responsi-bility of the contractor; plans and spec-ifications are the best sources for thisinformation. Next, review the pre-architectural program, the design min-utes, and the equipment list sections ofthe scenarios, policies, and proceduresto determine what other items are ref-erenced. Finally, look at the plans,make certain how each room will beused, and consider what items will berequired for that function.

This exercise should result in a list ofrequired FF&E organized by—

■ Building component, e.g., intake.


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■ Room name and number.

■ Item, including specialty items forfunctions such as seating, meetings,and special equipment, with adescription of the item, supplier/vendor name(s), estimated cost,and estimated delivery time.

Although this can be done in variousways, a database application may bethe easiest because it allows a singlelist to be grouped, sorted, and printedin multiple ways.

A sample list of possible FF&E needsis shown in appendix 7–1.

FF&E Selection Parameters Budget constraints should be reviewedto establish a preliminary budget. Youwill need to determine if the projectbudget has allocated funds for FF&Eand what may already have been spentout of that account. Next, determinewhich products and finishes are pre-ferred, such as brushed stainless versussolid polymer tabletops. Even if theitem has been specified as part of theconstruction contract, you may stillhave some choices. For items you arepurchasing, consider your preferredfinishes, durability, and security issues.Check catalog cut sheets, specifica-tions, and vendor references, but alsoconsider your experience with existingitems. Next, find out about any issuesassociated with production and deliv-ery of the item within the time youhave available. Be sure to review firesafety standards to ensure that theitem can be used in a correctionalenvironment.

Determine if any existing FF&E willbe used. Take an inventory of all exist-ing items to ensure that they are serv-iceable and will fit—both literally andfiguratively—in the new facility. Make

recommendations for future use of allitems that will not remain in service.Consider the amount of time betweenyour inventory date and the occupancydate and determine whether the itemwill still be in good condition at thetime it will be needed. As you reviewFF&E, consider the dimensions of theitem you are acquiring. Will it fitthrough the doorways into the room?Is the size appropriate for the room?If the item moves through the facility,e.g., a service cart, will its dimensionsallow navigation through hallways,doorways, and around corners? Finally,consider if you had to replace the item,would you be able to get it in and outof the facility?

FF&E Plan After the budget, functional needs, andavailable products have been assessed,develop a descriptive list of all types ofFF&E from which choices can bemade. This list is the start of yourFF&E plan; when complete, the planwill identify the FF&E required ineach room. For each item, use catalogphotos, written descriptions, and fabricand finish examples to develop andpresent your recommendations. Checkreferences of vendors specifically byconsulting other jails. Before finalizingthe plan, test your preferred items. Youmight place the item in inmate areas inthe old jail to see how it works and if itpresents any safety or security issues.Because others may write the specifi-cations and/or bid the items, transitionteam members need to provide cleardescriptions of the items they havechosen. Finalize the catalog cuts anddevelop the budget estimate. Once thebudget and the list of items areapproved, proceed.

If you had to

replace the

item, would

you be able

to get it in

and out of

the facility?


Exhibit 7–1. Furniture, Fixtures, Equipment, and Supplies Flowchart

Receive/Place Items

ReviewProgram/

Design Notes

ReviewStandards/

Codes

DevelopRoom-by-Room Lists


STARTSelectFF&E

Coordinator DevelopFF&E Descriptive

Choices/Catalog Cuts

DetermineWhat Is on

GovernmentContract

IdentifyGovernmentGuidelines

IdentifyBudget

ReviewPlans and

Specifications

Develop InitialSchedule by

Product

DevelopMaster List

ReceiveBids

AdvertiseProject/Bid

Period

AwardPurchaseOrders

EvaluateBidsC

B

MonitorStatus


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7–7

ApproveInvoices for

Payment

Add toInventory

Test Samples

ConductFire CodeReview

EvaluateMarket

OK?Yes

No

ObtainSamples

CheckReferences

Develop/Approve

Catalog Cuts

Develop/Approve Budget

Estimate

ReviseMaster List

A DraftSpecifications

DetermineWhat Is on

GovernmentContract

DetermineWhat Is To

Be Bid

IdentifyBidding

“Boilerplate”

IdentifyProducts

FinalizeSpecifications

PlaceOrder

DevelopBid

Package

B

C

ReceiveWarranty

A

IssuePayment

StartOperation

MonitorWarranty

Use Items END


Develop a master schedule by productto identify quantities needed and toflag items that have long lead times.Prioritize items by their importanceand when they are needed. You willalso need to ensure that there is a planto coordinate the placement of furni-ture with the locations of lights, power,phones, and other utilities.

Supply Ordering Supplies are items that do not go in thedepartment inventory, but are still nec-essary. The existing facility may havemany of these items, such as uniformsand bedding for inmates, but not in thequantity needed for the new facility. Itis also important to think about itemsyou don’t automatically purchase everyyear, like vacuum cleaners and waste-baskets. These items might go into thestartup budget. Develop and price thislist of supplies. You will need to workwith jail and department administra-tions to ensure that these items areapproved and included in the appropri-ate operating budget.

Bidding and Acquiring theItems The acquisition process consists ofbidding, award recommendation, andobservation of the installation. Theprocess you will use to acquire theFF&E items will vary based on thelegal requirements in your jurisdiction.However, FF&E generally falls intotwo types:

■ Items you can purchase outright.

■ Items you must bid.

At least two things can determine this:the price of the item and the availabili-ty of open contracts or purchase orders,which may include lists of government

contracts maintained by other jurisdic-tions. If you are going to bid items aspart of the construction project, youwill need to ensure that they are in factincluded in the bid package. Check thefinal plans and bidding specifications.The plans will indicate the size andplacement of each item. Plans will alsoinclude a condensed summary list ofitems by number, along with a briefdescription.

Bid ProcessThe bid package/specifications consistof a bid form, instructions to bidders,project work descriptions and responsi-bilities, and technical specifications foreach item. Be sure that the specifica-tions include vendor requirements, suchas the following:

■ The vendor must place and unpackthe items.

■ The vendor must remove packagingmaterials.

■ The vendor must install the items,including a description of how theitem is to be installed and any coderequirements.

■ Alternate delivery dates and/orstorage options if the facility isdelayed.

The final bid documents will likelyhave to be approved by the county oragency purchasing officials. They willprepare, publish, and advertise the biddocuments. During the bidding phase,someone will need to be designated toanswer bidder questions. These mayresult in addenda to bidding documentsthat must be issued to bidders.

Direct Purchase of FF&E Review any existing government pur-chasing contracts to identify what can


CH

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be purchased using these establishedprocesses. Next, develop a list of allitems to be purchased using the exist-ing contracts and, at the appropriatetime, place orders for these items.

Acquisition and Recommendation of FF&E Once the bids have been developed,more transition tasks must be done.Although others may manage the bidprocess, the transition team shouldhave an opportunity to review and eval-uate the bids and recommend contractawards. The team must continue tomonitor product availability and deliv-ery requirements. Finally, the transitionteam will be responsible for observingthe installation process to ensure thatFF&E items, particularly those used insecure areas of the facility, are installedproperly.

Receipt and Placement of FF&E The transition team has a number ofresponsibilities related to receipt andplacement of FF&E, including—

■ Delivery coordination. Coordinatedeliveries with the constructionschedule to ensure that no conflictsoccur.

■ Observation/inspection. Checkeach item for defects in manufactur-ing and/or installation.

■ Compliance. Check each item toensure that it complies with thepurchase order or contract.

■ Approval of invoices. This taskmay be designated to transitionteam members, depending on juris-diction policy.

■ Placement of items. Ideally, ven-dors will place the items where theyare required, but lack of facilityavailability/accessibility may make

this impossible. Staff may berequired to place items if vendorscannot. It is important that the jailbe secure before items are placedbecause your jurisdiction becomesresponsible for these items whenthey are no longer in either the con-tractor’s or vendor’s control.Security is particularly importantfor valuable items such as televi-sions and computers.

■ Inventory. All new FF&E must beadded to the department’s inventory.Be sure to determine how thisprocess is currently done. You maybe able to acquire computer soft-ware to assist with this; many juris-dictions use barcodes and barcodereaders to manage inventory.

■ Warranties. Make sure that youhave warranties on all equipment.Determine the start and end dates ofall warranties. If you receive theitem some time before it is actuallyinstalled, make certain that the war-ranty begins following installation.Finally, ensure that you have a planfor continuing service of the FF&Eitem once the warranty expires.

Final Thoughts The detail associated with FF&E tasksis significant and highly technical. Theteam member who is responsible forthem will acquire a great deal ofknowledge that will be useful in thefuture. It is also worth noting thatacquiring FF&E presents a uniqueopportunity to improve the depart-ment’s inventory process. FF&E tasksalso relate to a number of activities thatoften occur after the formal move, asdescribed in chapter eight, MoveLogistics.

Check each

item for

defects in

manufactur-

ing and/or

installation.


AP

PEN

DIX

7–1

7–11

Belly chains

Bibles

Blankets

Body fluid cleanup kits

Bookshelves—all offices

Bookshelves—program rooms

Breakroom chairs

Breakroom coffee maker

Breakroom microwave oven

Breakroom refrigerator/freezer

Breakroom tables

Breakroom TV/VCR/DVD (to watch trainingtapes)

Brooms—kitchen style

Brooms—push style

Cell extraction shield

Chairs—dayroom

Cigarette receptacle—outside front door

Cigarette receptacle—outside visiting door

Cleaning buckets

Cleaning carts

Cleaning rags

Cleaning sponges

Clipboards

Clock—lobby

Clock—public side of visiting area

Clocks—visible to inmates

Closed circuit TV (CCTV)—all components if not included in contractor’s bid

CCTV—digital recording system

Computer printers

Computer terminals

Computers—paper

Copier

Copier supplies—toner, paper

CPR masks

Credenzas

Crutches

Desk chairs

Desk side chairs

Desks

Dustpans

File cabinets—all offices

Fingerprint equipment

Fire extinguisher cabinets

Fire extinguishers

First aid kits

Flagpole

Flags

Flashlights

Floor cleaning chemicals

Floor polisher

Append i x 7–1.SAMPLE LIST OF FF&E


AP

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7–1

Floor wax

Forms—booking, medical, request, etc.

Games—recreation yard or gym

Games—table top

Garbage bags—various sizes

Garbage cans—all offices

Garbage cans—vehicle sallyport, kitchen, dayrooms, cells

Garbage dumpster or compactor

Garbage receptacles—outside front door and visitor door

GED materials

Gunlockers—vehicle sallyport, lobby

Hair clippers

Handcuffs—cuffs, cases, keys

Inmate envelopes

Inmate pencils

Inmate property bags

Inmate razors

Inmate shampoo

Inmate shoes

Inmate soap

Inmate socks

Inmate towels

Inmate t-shirts

Inmate underwear

Inmate uniforms

Inmate writing paper

Key control lockbox—in central control

Key rings

Key tags

Keys

Kitchen supplies—cutlery, serving pieces, pots, pans, etc.

Kitchen supplies—food trays for inmate meals,cups, glasses, utensils

Kitchen supplies—hot food carts

Latex gloves

Laundry carts

Laundry soaps/bleach

Laundry tables

Law library—books, materials, computers

Law library—tables, chairs, shelves

Leg irons

Legal pads

Library books

Light bulbs

Mattress covers

Mattress storage shelves

Mattresses

Medical exam room furnishings

Medication cabinet

Medication distribution cart

Mop buckets/wringers

Mop handles

Mop heads

Mop hooks in janitor closets

Mug shot equipment

Paper shredder

Paper towel dispensers at sinks

Paper towels

Pillowcases

Pillows

Plastic storage tubs for under bunks

SAMPLE LIST OF FF&E (continued)


AP

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7–1

Playing cards

Records storage boxes

Restraint chair

Sanitary hygiene supplies

Sheets

Shelving—archived records storage, janitor closets, supply storage

Shower mats

Shower sandals

Signs—inside and outside

Soap dispensers

Spray bottles

Storage cabinets

Telephones—inmates

Telephones—staff

Television wall brackets

Televisions

Three-ring binders for policies and procedures

Toilet bowl brushes

Toilet bowl cleaner

Toilet paper

Toothbrushes

Toothpaste

Uniforms—staff and inmates

Vacuum cleaner bags

Vacuum cleaners

Wheelchairs

Window cleaner

Sample List of FF&E (continued)

MoveLog i s t i c s

C H A P T E R E I G H T

8–2

Overview . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .8–3

Pre-Move Activities . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .8–3Equipment and System Shakedowns . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .8–4Public Events . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .8–4Searches . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .8–6Service Startup . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .8–6Notifications . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .8–7

The Move . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .8–7Moving Staff . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .8–7Moving Inmates . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .8–8

Post-Move Activities . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .8–9What Will Happen to the Old Facility? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .8–9Post-Move Transition Tasks . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .8–10Closing the Transition Office . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .8–10Post-Occupancy Evaluation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .8–11

And Everything Else . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .8–12

Appendix 8–1. Sample Inmate Move Plan . . . . . . . . . . . . . . . . . . . . . .8–13

Appendix 8–2. Sample Inmate Move Checklist . . . . . . . . . . . . . . . . . . .8–19


Overview Conventional wisdom used to say that the logistics of the move were not muchmore complicated than getting everyone on a bus and driving to the new jail.In reality, move logistics are the culmination of all of the previous transitionactivities. When well planned and executed, the move seems easy; when poorlyplanned and executed, it may embarrass your department.

The move must be carefully coordinated with the completion of the construc-tion project; acquisition of fixtures, furniture, equipment, and supplies; andimplementation of staff training. Ideally, all the construction will be complete,the punchlist items will all be resolved, and the move date will be scheduledafter the facility dedication and open houses. However, sometimes you need tomove while work is still occurring in parts of the new facility. It is imperativethat the essential systems—security systems, building systems, phone systems,and computers—be up, running, and fully tested before inmates occupy thefacility.

Move logistics activities can be divided into three groups:

■ Activities that happen before the move.

■ The move itself.

■ Activities that happen after the move.

Pre-Move ActivitiesThe following basic activities occur before the move:

■ Equipment and system shakedowns.

■ Public events.

■ Searches.

■ Service startup.

■ Notifications.

MOVE LOG IS T I CS

C H A P T E R E I G H T

Action plans formove logistics mayinclude—• Overall strategy.

• Building shakedown.

• Dedication.

• Tours.

• Open house or sleepover.

• Move of supplies.

• Move of staff operations.

• Move of inmates.



Equipment and SystemShakedowns Shakedowns are a process for achiev-ing, validating, and documenting thatthe completed building and its systemsmeet the design requirements andneeds of the owner. The term “com-missioning” generally refers to theprocess of testing and balancing thebuilding’s heating, ventilation, and air-conditioning systems according toestablished standards before the owneraccepts the building, although it ismore frequently used to describe thetesting of all systems. However, for thepurpose of this document, shakedownis the more common term and is moreinclusive. Agencies that hire a consult-ant to provide commissioning servicesfor various systems in the new buildingmust still provide input to the testingprocess for crucial systems such assecurity electronics and fire systems.One or more members of the transitionteam must be involved in the commis-sioning of those systems. Once com-missioning is complete, the transitionteam will continue to work on testingspecific systems. Agencies must neverallow consultants who provide com-missioning services to sign off on cru-cial systems without approval from thetransition team leader.

During the shakedown process, it isimportant to test the systems as theywill be used, not just one element at atime. The transition team should ensurethat—

■ The security system is tested withall components operating and per-forming multiple activities, e.g.,multiple doors being opened, underboth normal and emergencyconditions.

■ The plumbing is tested with multi-ple demands on water flow.

The transition team should also test allareas of the facility, e.g., each housingunit, by simulating a period of opera-tions. Once each area has been tested,the transition team should conduct afull-scale simulation in which the facil-ity is operated for an extended time,perhaps 48 hours, to ensure that thesystems function correctly over timeand with reasonable levels of activity.This will require enough personnel tofully staff the facility. Some agenciesuse volunteers and family members forsome tasks, such as opening and clos-ing doors and setting off alarms, tooffset the cost of staff. The test of thefacility under a full-scale simulation isprobably one of the most importantfacets of move logistics. Failure to testthe systems fully can lead to laterproblems such as security failures andfacility damage due to flooding. Thetest should be fully documented; agen-cies may even want to videotape theactivities in some areas.

Many jurisdictions follow up the simu-lation with other functions, such astraining or an event, e.g., a sleepover,in which officials and citizens play theroles of inmates.

Public EventsAs the facility nears completion, anumber of public events occur. Theseare unique opportunities to showcasethe facility, the department, and thetransition team’s achievements;enhance public relations; and increasethe public’s knowledge of the jail andits operations. These activities typicallyinvolve the media, so be sure that theinformation provided—both writtenand oral—is consistent and accurate.

Agencies

must never

allow con-

sultants who

provide com-

missioning

services to

sign off on

crucial sys-

tems with-

out approval

from the

transition

team leader.


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Although the contractor will have acontractual obligation to clean thefacility when it is completed, it isimportant to make sure that the facili-ty’s level of order and cleanliness is upto your department’s standards. Con-tractors may have the floors swept, butthey will not mop the floors or washconcrete dust off the walls. Be pre-pared to clean the facility after the con-tractor has finished and before publicevents.

Tours and Open Houses

Because the jail represents a substan-tial investment of public dollars, itshould be open to the public for tours.Tours and an open house are opportu-nities to promote pride in corrections,provide an understanding of the jail’smission, and introduce corrections as acareer. They provide another opportu-nity for staff to enhance and demon-strate their knowledge of the buildingand jail operations. Plan special eventsfor staff and their families as well asothers who are close to the departmentand its jail operation. These events area great opportunity to show staff andtheir families the new facility beforethe public tours. For tours, the transi-tion team should—

■ Develop a tour route, script, andpossible questions and answers inadvance of the open houses.

■ Prepare and practice for theseevents.

■ Provide brief fact sheets about thejail.

■ Gear the information provided tothe audience. Not everyone needsthe same level of detail about thefacility.

Dedication

The dedication is an official ceremonyto open the facility. Typically, itinvolves recognition of those who wereinvolved in the planning, design, andconstruction process. Local officials,representatives of key user groups, andthe media will also be attending.

Sleepover

A sleepover in which officials and citi-zens play the role of inmates can beused as a fundraiser (“inmates” mightpay for the privilege of staying thenight in the new facility), as an oppor-tunity to inform key people about thefacility, and as another chance for staffto operate the facility and its systems.Sleepovers are often accompanied bypre-event festivities, which can rangefrom dinner and dancing to “arrests” ofvarious dignitaries who then “makebond” by making a contribution to anappropriate charity. The sleepovershould not occur until after a success-ful simulation and/or dry run training(see chapter 6, Training and Orienta-tion). “Inmates” are booked into thefacility, spend a typical day, and arereleased—typically with souvenirs—at the end of the event. Conduct adebriefing to outline what was learned,what items are still needed, whatchanges to the documents are needed,and where improvement or additionaltraining is needed. As many staff aspossible should participate in the sleep-over to make it as real as possible andbecause it provides another opportunityfor staff to practice the new operations.

Because the

jail repre-

sents a

substantial

investment

of public

dollars, it

should be

open to the

public for

tours.


Searches Although the activities carried out in afacility search overlap with the shake-down of equipment and systems, theirtiming and intent are different. Afterthe public activities have been com-pleted and the contractor has left thefacility, transition team members (orother staff familiar with the facility andwith clear direction) should conduct afinal shakedown of the building. Indi-viduals who have been involved in thepunchlist may be helpful in thisprocess.

As in typical searches, team membersneed to search for items that are wherethey should not be and for damage.However, they will also need to searchfor atypical items, i.e., contractor tools,debris, and other items that workmenor the public may have left behind. Inaddition to all the typical places thatare searched during a shakedown, teammembers should consider searchingatypical places such as inside vents andbehind security plates. All areas of thefacility need to be searched—at leasttwice. Give the teams conducting thesearch small sets of floor plans so theycan identify the areas that have beensearched. This will ensure that areasare not overlooked. Because thisshakedown is likely to uncover anunusual amount of material, teammembers will need supplies such asgarbage bags, flashlights, gloves, lad-ders, and tools, and a dumpster shouldbe available. After the final search, sealthe building before moving inmates in.

Service StartupRegardless of whether you move all atone time or in phases, you almost cer-tainly will be operating some services,such as food service and health care, in

both facilities for a period of time. Thisis particularly true if the old facilitywill stay in operation. Other services,such as booking, are likely to movefrom one facility to the other at a spe-cific time. Some activities, such asrecreation, may not begin immediatelyafter moving inmates to the new facility.

Transition team members need todevelop a strategy for each of the pro-grams and services to be delivered.These may include—

■ Parallel operation in both facilities,i.e., food service operates in bothfacilities.

■ Phased operation in which pro-grams move their operations intothe new facility according to aschedule while providing satelliteservices in the old facility, e.g.,meals are prepared in the new facili-ty and transported to the old facility.

■ A clear turnover and shutdown inwhich service begins in the newlocation and stops in the old withonly a brief overlap.

Each of these options has implicationsfor staffing requirements and logistics.The decision that you ultimately makewill depend on whether you will con-tinue operating the old jail, the size ofyour inmate population, the distancebetween the two facilities, and yourstaffing levels, including your ability touse overtime. Regardless of how themove occurs, determine what serviceswill be available the first day of opera-tion and a schedule for the startup ofsubsequent services. It is better to startslowly but correctly than to rush intoeverything at once. The accelerationof services should be a joint decisionbetween transition staff and jailadministration.

All areas of

the facility

need to be

searched—at

least twice.


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As services are implemented, non-correctional staff and other facilityusers, such as visitors and other agen-cies, may encounter difficulties. Theteam needs to develop a formal processfor identifying and resolving these dif-ficulties and publishing responses tothem. This process must be an estab-lished procedure and made available inareas where users, including those whomay not stay in the facility for longperiods, can let staff know about theseissues. This process could be as simpleas a suggestion box.

Notifications Jail administration must always facethe question, “Should we tell the mediaand others of the move in advance?”There is no one answer to this ques-tion—the right answer will depend onthe specific set of circumstances eachjurisdiction faces. The transition team,jail administrator, and chief executiveofficer should discuss the pros andcons of making the move public andmake the decision that is right forthem.

Regardless of this decision, selectedagencies should be notified of themove just before it begins. At a mini-mum, these agencies should include alllaw enforcement agencies that bookinto the jail, courts, fire departments,ambulance services, and suppliers suchas food vendors. Inmates can notifytheir family members after they are inthe new facility. To provide for appro-priate security during the move, oneapproach is to suspend visiting duringa range of dates even if the actualmove-in date is not made public.

The MoveNow that the necessary preparationsfor the move have been completed, it istime to physically move jail operationsand personnel from the old to the newfacility. Two groups of people and theirbelongings will have to be moved: staff(who are there voluntarily) and inmates(who are not). As noted in the firstchapter, moving a jail facility is uniquein that you have to deal with peoplewho are confined and therefore mayhave little inclination to cooperate withthe move and may see an incentive todisrupt the move for their own ends.However, the move also creates anopportunity to institute changes in clas-sification of inmates and rules forinmate behavior.

Moving StaffAll of us have moved in our lives andknow how disruptive it can be.Consider the impact the move willhave on your staff and the operation.Answer the following questions:

■ Will staff move their own items?

■ Can inmates help with packing andthe move?

■ Will the move occur during busi-ness hours?

■ Who will carry all of the boxes?

■ Who will unpack and place items?

Establish a schedule for the staff move.This should include determining thedates when—

■ Staff will remove all personal itemsfrom their offices.

■ Old files will be reviewed, sent tothe appropriate location in the newbuilding or a storage facility, or dis-posed of.

Jail adminis-

tration must

always face

the question,

“Should we

tell the

media and

others of the

move in

advance?”


■ Storerooms will be cleaned out anditems either marked for placementin the appropriate location in thenew facility or removed from theinventory and disposed ofappropriately.

Office assignments usually are madeduring design, but have been known toswitch after administrators see theiroffice size and/or location. Before themove, confirm office locations, writenames on the floor plan, and post theplan in several locations. In the newfacility, make sure that each office hasan appropriate sign or room number.Staff who pack should ensure that car-tons are marked with the same name orroom number. Consider establishing aprotocol for how offices can be deco-rated in the new facility if this has beenan issue in the past.

Files that are required for ongoingoperation, such as active health recordsand inmate files, present specific prob-lems, particularly if all of the informa-tion is located in the paper file. Thesefiles need to be maintained securelyand access restricted consistent withlegal requirements. Coordinate movingthese files with the plan for implement-ing services and, potentially, the planfor moving specific inmates.

The transition team must have a formalprocess for identifying and resolvingissues and publishing answers. Even ifyou do not usually have shift briefings,consider implementing them for theperiod immediately before and afterthe move. They will provide anopportunity to exchange information,troubleshoot, and identify issues.Remember to plan for these briefingsas you develop and monitor the transi-tion and operating budgets.

Moving InmatesThe actual inmate move provides aunique opportunity to set expectationsfor inmate behavior in the new facility;it also needs to be coordinated withinmate orientation. Some facilitiesmake significant changes in policies atthe time of the move. If some of thesechanges are going to be unpopular withthe inmate population, such as chang-ing to a smoke-free facility or reducingcommissary items, it might be a goodidea to implement the negative changegradually over several months beforethe move.

Many facilities consider movinginmates according to their jail classifi-cation. Generally, new facilities havemore inmate classification options thanthe current jail and often adopt newpolicies and procedures for classifica-tion in the new facility. Months beforethe move, develop a practice roster formoving day that indicates where thecurrent inmates will be housed in thenew jail, following the new classifica-tion policies and procedures. The jailmanagement team should review thispractice roster to see if it meets theirexpectations. If it does not, the classifi-cation policies and procedures mayneed to be revised. Develop the finalmove roster the day before the moveand update it on moving day.

You should suspend nonessential serv-ices during the changeover of essentialservices so staff can concentrate on thecritical elements of ongoing operationsas well as the move. Several itemsrequire specific attention.

There likely will be procedural ques-tions and suggestions, a certain amountof unfamiliarity with the layout of thenew facility, and possible equipment

The actual

inmate

move

provides

a unique

opportunity

to set expec-

tations for

inmate

behavior in

the new

facility.


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failures that will require contact withthe contractor. Consider having transi-tion team members on duty 24 hours aday for the first few days of operation.At the very least, provide staff withcontact information for transition teammembers so they will know whom tocall for certain issues.

Inmate Personal Property

Inmates should not be allowed accessto their property held by the jail.Movement of inmate property shouldbe carefully controlled and may occurat a different time from the inmatemove. The move provides an easy wayto implement any changes you aremaking in what inmates can have intheir cells or what property will bekept in the new facility. Notify inmatesweeks in advance of any change anddevelop a mechanism for them to dis-pose of property that they cannot move.This should include a method to releaseinmates’ personal property to familymembers. Team members must deter-mine how to deal with the period whenproperty is in one facility while theinmate is in another, particularly as itrelates to release.

Inmate Cell Property

The team must determine how itemsinmates have in their cells will bemoved. If inmates will not take thisproperty with them during the move,they will need a means to package it sothat it can be labeled and moved effi-ciently. Thought will need to be givento their bedding and uniforms. Teammembers should determine if inmateswill carry their bedding and if theseitems will be processed into the facility(along with a search and issuance of anew uniform). Consider having theinmate cells in the new facility set up

with new linens, blankets, and mat-tresses so inmates will not need tocarry them to the new facility. This willallow the linens to be laundered andthe mattresses to be thoroughlysearched before being taken to the newfacility. In either case, searches will berequired to minimize the opportunity tomove contraband from the old facilityto the new.

Inmates will also encounter problemsduring the move that should beaddressed. The transition team needs todevelop a formal process to identifyand resolve these issues and publishthe answers.

A detailed example of an Inmate MovePlan is included as appendix 8–1. Anexample of an Inmate Move Checklistis included as appendix 8–2.

Post-Move Activities For all staff, transition is a temporaryassignment. Depending on the natureof individual team members, that maybe either a great relief or a great disap-pointment. During the hectic daysimmediately preceding and followingthe move, transition team membersmay not have a great deal of time tothink about what’s coming, but soontransition will be over. Team membersneed to plan for life beyond transition.

What Will Happen to the OldFacility? One of the big questions throughoutthis manual’s entire facility planningprocess has been, “What happens tothe old jail?” The tasks of the transi-tion team will vary based on the plansfor the old jail. Those plans couldinclude—

Inmates

should not

be allowed

access to

their proper-

ty held by

the jail.


■ Continued operation with nochanges.

■ Continued operation with policyand procedure changes consistentwith those in the new facility.

■ Renovation with continued opera-tion as a correctional facility.

■ Renovation for another purpose.

■ Closure.

■ Demolition.

If the facility is being renovated withno continuing operations, closed, ordemolished, consider the following:

■ Shutting off utilities.

■ Removing all items that will beused in the new facility and appro-priately disposing of all others.

■ Documenting the facility as part ofthe department’s historical recordwith potential special activities suchas a family day.

■ Posting signs at all entrances todirect the public to the new facilityand provide location and contactinformation.

■ Disposing of keys appropriately,which could include turning themover to the new facility owners anddisposing of security locks (withpotential replacement with commer-cial locks).

■ Securing the building.

Post-Move Transition TasksTransition does not end as soon as theinmates are moved. Various tasks mustbe completed as the new facility beginsto operate full time:

■ No matter how well the documentshave been prepared, unanticipatedsituations will occur that may

require modifying some documents.If it was necessary to prioritizewhich policies and procedures andpost orders to complete prior to themove, additional documents willneed to be finished.

■ Team members and maintenancestaff must monitor the status ofequipment warranties to ensure thatall items that require repair orreplacement are identified andattended to before the expirationdate.

■ Ongoing and preventive mainte-nance activities must begin.Although the facility is new, someequipment may require a break-inperiod, and good maintenance fromthe start will extend the useful lifeof building systems and equipment.

■ If the old jail is being closed, anumber of activities will berequired to close up the buildingand/or prepare it for renovation.

Each department will need to deter-mine the level of effort required forpost-move tasks and how long the tran-sition team will need to stay in place tocomplete these tasks. Typically, thenumber of people assigned to the tran-sition team increases as occupancyapproaches. It is common to see areduction in force after occupancy.

Closing the Transition OfficeIt should be no surprise to transitionstaff that, in conjunction with depart-ment and jail administrations, theyneed to develop a plan for closing theiroffice.

Personnel Assignments

Staff allocated to the transition effortwill require new assignments. The

Transition

does not end

as soon as

the inmates

are moved.


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nature of those assignments may deter-mine when staff members need tomove away from most transition tasks,although staff may keep some transi-tion activities as collateral duties. Aspart of long-term personnel planning,the department may want to considerthe potential benefits of personnel fromthe transition team. These individualswill have a high level of knowledge ofthe facility and experience in documentdevelopment, training, and planning.

As a result, they may be strong con-tenders for specialized and supervisorypositions. In addition, the departmentis likely to find these individuals usefulin any accreditation effort and in carry-ing out quality assurance functions ingeneral.

Transition Equipment and Supplies

The transition team typically has anoffice with associated office equip-ment, such as computers, telephones,fax machines, and copiers. If these arenew, the team needs to determinewhere this equipment will go in thenew facility as part of their FF&Eplanning. If the equipment is old, theteam needs to plan for its reassignmentor removal from inventory.

Documents and Plans

The transition team has the mastercopies of the new policies and proce-dures manual, the post orders, theinmate handbook, and a broad spec-trum of automated and paper files thatwill have varying degrees of usefulnessto the department in the future. Someof these materials must be maintainedas operations continue; others thatrelate only to transition may berequired for documentation only; stillothers may no longer serve any pur-pose. It may be helpful to develop a

list of files that are going to be storedand saved for future reference. Theteam needs to sort the materials todetermine—

■ Which will be inventoried, boxed,and stored.

■ Which will be destroyed andwhether they can simply be thrownaway or must be shredded.

■ Which must be archived consistentwith legal requirements.

■ Which will be moved to anotherlocation, and the person/office whowill be responsible for these items.

Recognition

Transition requires a significant com-mitment of time and effort for the per-sonnel involved. It is an activity that isclearly beyond normal operations.When transition team members take onthis responsibility, the task is less cer-tain and, therefore, more challengingthan most other activities they do. Theteam needs to be recognized for thework it has done to make the switch tothe new facility.

Post-Occupancy Evaluation Post-occupancy evaluations typicallyoccur 6 months to 1 year after thefacility is occupied. Personnel involvedmay include the planner, architect, con-tractor, and key personnel within thedepartment, such as the transitionteam.

Typical post-occupancy evaluationsfocus on the facility to determine if itis operating as intended. Two areasreceive most of the attention: howspace is allocated within the buildingand whether it is being used for thefunction for which it was originallyintended. These activities also may

The team

needs to be

recognized

for the work

it has done

to make the

switch to

the new

facility.


consider the interface betweenequipment—often security equipment—and the facility to determine if they areworking together as intended. This is anexcellent time to pull members of thetransition team together to determine ifthe operations that they planned are, infact, working as they intended. Thismay take the form of a relatively infor-mal walkthrough and discussion or amore formal internal audit.

Regardless of how much time passesbetween transition closeout and thepost-occupancy evaluation, team mem-bers need to conduct a debriefing ofthe transition process to determinewhat they learned in the process, whatworked well, and what did not go asplanned. This activity should also focuson the interaction of team members andbring closure to any outstanding issues.This information should be document-ed, not only as a record for this team,

but as a resource for other transitionteams who will face similar issues.

And Everything Else Before you get too far into transition,it’s a good idea to consider two themesthat recur many times during a transi-tion project. First, the transition team islikely to have a number of opportuni-ties to interact with the public. Theseinteractions provide a unique opportu-nity to shape the relationship betweenthe jail and the community. Second,there are likely to be a number ofstrange reactions from staff inside thedepartment both to transition and to thetransition team members. Some ofthese reactions relate to how peoplerespond to change. Chapter 9 preparestransition team members for the uniquechallenges of public relations and man-aging change.


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Abbreviations

BO—Booking Officer

BS—Booking Supervisor

BT—Booking Team

FO—Floor Officer

HO—Housing Officer

MC—Move Coordinator

MT—Move Team

TO—Transporting Officer (officer from sheriff’s department or other agency responsible for the move from the old to the new facility)

Before the Move

1. Develop a Move Team.

2. Prepare a Move Roster showing each inmate’s name, number, current housing location, and newjail housing location. Organize the move roster in three ways: old location, new location, andalphabetically by inmate’s last name.

3. Set a date for the Classification Coordinator to consolidate (number of) inmates into oneHousing Unit.

4. Notify the Commissary provider in advance which inmates will move on which days so theCommissary can be delivered to the new facility.

5. Tell inmates in advance what items will be allowed in the new jail and that no open Commissaryitems will be moved.

6. Provide the Move Roster to all involved staff.

7. Prepare for any inmate releases that may occur during the move.

8. Prepare photos of inmates in advance, and develop wristbands or another comparable type of inmate identification.

9. Decide whether to give inmates clear plastic bags with their names on them to move their cellproperty.

First Day of Move

1. MT reports to each existing Housing Unit.

2. HO wakes inmates at 4:30 a.m.

Append i x 8–1.SAMPLE INMATE MOVE PLAN


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SAMPLE INMATE MOVE PLAN (continued)

3. HO notifies inmates of their move and tells them to come out for an early breakfast.

• Feeds the inmates to be moved.

• Keeps phones off.

4. HO announces which inmates will be moved today.

5. HO tells the inmates to gather jail-issued items and their personal items, and that all inmates will lock in.

6. Provide inmates with clear bags with their names on them to hold their cell property.

7. MT and HO go to each cell.

8. HO inspects the cell and documents problems.

9. MT verifies the inmate’s identity using inmate’s wristband or ID.

10. MT takes property bag, puts it aside, and pat searches the inmate.

11. HO takes jail-issued items, inspects them, and puts them in a laundry cart.

• Inventories issued items.

• Documents problems.

12. After all inmates have moved out for the day and prior to unlock, the HO has the laundry cart moved to laundry.

13. MT pulls and searches property bag in the Property Room.

• Checks against policy.

• Disposes of excess and disallowed property.

• Keeps property bag.

14. MT escorts inmates to current jail booking.

• Briefs inmates as to what will happen.

• Allocates one staff member per four inmates per movement.

• Has staff carry inmate’s cell property in cell property bag.

• Puts inmates into holding cells according to their new jail housing assignments.

• Carries property bags to van.

15. MT turns inmate over to TO, checking off names on the Move Roster to keep track of who has custody of which inmates.

16. TO takes custody of inmates.

• Searches inmates.

• Shackles inmates.

17. TO leaves current facility.

18. MT calls new jail with estimated time of arrival.

19. MT leaves with property.

20. TO and MT drive to new jail and announce arrival at intercom, giving van numbers.


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21. TO and MT pull vans into parking spot.

22. TO puts weapons into gunlocker and takes key.

• Jail staff are present to observe and provide assistance, i.e., to point out gunlockerlocations to the TO.

23. TO escorts all (number of) inmates out of the vehicle at the same time.

24. TO escorts inmates to Booking.

25. TO delivers inmates to BOs who are in the Booking vestibule.

26. MT delivers property to BT.

27. BO compares inmates to the Move Roster, inmate cards, and their wristbands.

28. BO tells TO they accept the inmates.

29. TO unshackles the (number of) inmates.

30. BO moves inmates to holding cell designated by the Housing Unit.

31. TO leaves the booking vestibule and goes to the vehicle sallyport.

32. BO takes inmates one at a time to the fit-for-confinement area for their medical screening or to the other rooms used for this purpose.

• Allocates one medical staff member to each screening room.

33. BT escorts inmates to the Booking desk, a holding cell, or to open seating if BOs are busy.

34. BO verifies the inmate’s information in the computer system and transfers inmates from the oldlocation to the new jail location on the system.

35. BO escorts inmates to shower area.

• Searches personal property bag.

• Reinventories jail-held property.

• Moves inmate personal property separately.

36. BT supervises inmates.

• Issues new inmate property.

– Issues uniforms, linens, etc.

– Provides boxes for inmates to store property?

– Issues Inmate Handbook.

• Inmates undress (need laundry carts).

• Inmates shower (need soap/towels).

• Inmates dress.

37. BT escorts inmates to Classification.

• Provides interview rooms.

• Makes two staff available all day.

• Performs inmate briefing and verifies classification assignment.


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38. FO escorts inmates to Housing Unit.

• Escorts inmates in groups of four.

• Introduces inmates to HO by established protocol.

• Waits while HO checks inmates in, assists if needed.

39. HO assumes control of the inmates.

40. HO orients inmates per orientation policies and procedures.

• Gives inmates a tour of the Housing Unit.

• Reviews typical daily schedule.

• Explains rules or expectations specific to the Housing Unit.

41. HO shows inmates a cell and explains how inmates are to make their beds.

• Selects a cell in each unit for the demonstration.

• Has inmate make up the bed in that cell per HO’s instructions.

42. HO escorts each inmate to his or her cell and tells inmate to make his or her bed and to readhis or her inmate handbook.

• Inspects cell and documents condition.

• Locks inmate in.

43. Process continues until all inmates are received.

44. HO walks around to see that inmates are getting settled.

45. HO unlocks cells and tells inmates via intercom to bring their Inmate Handbooks, come out oftheir cells dressed, close their cell doors, and report to the Dayroom.

46. HO conducts inmate orientation per orientation policies and procedures.

• Reviews entire Inmate Handbook.

• Has inmates read sections of the Handbook out loud, reads the Handbook to the inmates orgoes over important elements of the Handbook with the inmates. It is essential that inmateshave a full and complete understanding of the Handbook’s contents.

• Answers questions.

• Tells inmates when the following services will start:

– Visiting.

– Commissary.

– Sick call.

– Telephones.

– Recreation.

47. HO turns on phone.

48. HO turns on TV.


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49. HO implements daily schedule.

50. HO has inmates do a thorough cleaning of the unit.

51. Food Service Staff will call for inmate workers to visit the Food Service area later today ortomorrow.

After the Move

1. After the old jail Housing Unit is vacated, staff search the unit and then inmate workers from other units clean cells, Dayrooms, and common areas.

2. Staff vacate workstations and Housing common areas.

3. Current jail Housing Unit staff are reassigned to the new facility.


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8–19

Append i x 8–2.SAMPLE INMATE MOVE CHECKLIST

____ 1. Determine potential move date.

____ 2. Develop an estimate of the size of the inmate population, by classification, to be moved.

____ 3. Determine the mode and route of transportation, both internal and external, for moving the inmate population.

____ 4. Determine the number of personnel required, transportation vehicles needed, and moving equipment needed.

____ 5. Determine whether it is necessary to use personnel from state/local law enforcementagencies to augment facility staff during the move.

____ 6. Identify available personnel, transportation, and moving equipment resources for theinmate move (item 4 deals with establishing minimum staffing levels and equipmentneeds).

____ 7. Where necessary, develop written agreements/contracts for the provision of resources.

____ 8. Prepare agreements/contracts for the movement of equipment and supplies.

____ 9. Develop a plan for reclassifying inmates before the move to the new facility. Concurrent classification will need to be done for at least 1 month before the move.

____10. Develop a plan for determining each inmate’s living unit in the new facility.

____11. Determine the types of cell property inmates will be allowed to take from the old to the new facility.

____12. Develop a plan for disposing of the cell property that inmates will not be allowed to take to the new facility.

____13. Develop a plan for searching all inmates before and after the move.

____14. Develop a plan for handling new inmates who are being admitted during the actualmove.

____15. Develop a plan for handling inmates who may be released during the actual move (where is their property, files, etc.?).

____16. Determine what information will be provided to inmates regarding the move.

____17. Develop a plan for handling escape attempts, riots, or other security threats that may occur during the move.

____18. Develop a plan for emergency medical services during the move.


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SAMPLE INMATE MOVE CHECKLIST (continued)

____19. Develop a plan for the repair and/or replacement of equipment critical to the move that stops working during the move.

____20. Develop a meal service schedule for the move days.

____21. Establish a move command center communication network.

____22. Develop a plan for handling vehicle traffic and crowd control along the transportation route, if necessary.

____23. Identify all costs involved in moving the inmate population.

____24. Establish criteria for handling staff requests for vacations and sick leave during the move.

____25. Develop a written scenario with detailed instructions for moving all inmates, including descriptions of staff roles.

____26. Establish staffing levels for both facilities during the move.

____27. Schedule briefings of all staff, especially the Move Team, to update them on plans and changes made.

____28. Establish a communication system with other criminal justice agencies affected by the move to keep them updated.

____29. Develop a plan for handling vendors, deliveries, mail service, and other services provided by outsiders before, during, and after the move.

____30. Determine what information about the move will be released to the families of inmates and the general public.

____31. Orient inmates to the new facility and the move procedures.

____32. Develop a plan for any visits by attorneys, parole officers, or other justice system representatives or any other court-related activities that may arise during the move.

[Add additional steps as needed.]

____33. ______________________________________________________________

____34. ______________________________________________________________

____35. ______________________________________________________________

____36. ______________________________________________________________

____37. ______________________________________________________________

____38. ______________________________________________________________

____39. ______________________________________________________________

____40. ______________________________________________________________

Tr a n s i t i o nThemes

C H A P T E R N I N E

9–2

Managing Change . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .9–3What Are the Differences Between “Change” and “Managed Change”? . . . . .9–3What Are the Principles of Change? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .9–4How Is Change in Government Different? . . . . . . . . . . . . . . . . . . . . . . . . . . . . .9–5What Are the Implications for Transition Teams? . . . . . . . . . . . . . . . . . . . . . . .9–5

Community Relations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .9–6Who Is the Community? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .9–6Why Is “the Community” an Issue? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .9–7What Strategies Can Improve Community Relations? . . . . . . . . . . . . . . . . . . . .9–7

Conclusion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .9–8


Throughout transition, regardless of the length of the process, several recurringthemes present significant challenges and opportunities. This section of themanual focuses on two: managing change and community relations.

Managing Change As transition teams confront the many tasks before them, it is easy to forgetthat transition implies movement from one situation to another. Transitionimplies change. This is important because change sets in motion many of thebehaviors that the transition team will experience. It is essential that transitionteam members know a bit about people’s reactions to change so that they canunderstand and respond to them appropriately. This will enable team membersto shape the results of transition by being positive agents of that change.

What Are the Differences Between “Change” and “Managed Change”? There is nothing unusual about change—nothing is so constant as changeitself. But there is a significant difference between change and managedchange. Change often seems random, and it occurs constantly. In an organiza-tional context, it often comes from outside the organization or the group affect-ed. Laws change, judges change—and the department responds. Policieschange, procedures change—and line staff respond.

Managed change is deliberate and is set in motion from inside the organiza-tion. Someone makes the change occur, and the movement of the change istoward a specific goal. By becoming part of the transition team, members stepfrom “outside” the change—where many departmental personnel continue tobe—to “inside” the change. They help shape the direction and quality of thechange. This may seem like a subtle difference, but it helps to explain some ofthe dynamics transition team members may encounter as they do their work.

TRANS I T ION THEMES

C H A P T E R N I N E

Transition

implies

change.


What Are the Principles ofChange?Organizational development recognizesseveral principles of change:

■ Some factors increase resistance tochange.

■ Other factors decrease resistance tochange.

■ Resistance to change hasconsequences.

Because transition team members willbe change agents, they must under-stand the dynamics of change. First,resistance to change is the normal stateof affairs. One of the laws of physicssays, “bodies in motion tend to stay inmotion, and bodies at rest tend to stayat rest.” Even in nature, there is resist-ance to change. People in organizationsand the organizations themselves areno different. But this resistance tochange has consequences, and specificactions can either increase or decreasethis resistance. As team members thinkabout rewriting policies and proce-dures, about changing how operationsoccur, they need to go about thechange in a way that will minimizeresistance.

A number of factors can increaseresistance to change:

■ If the change is perceived as threat-ening, rather than helpful, resist-ance will increase.

■ Changes that are imposed on agroup of people—supervisors, linestaff, support staff—are more likelyto be resisted. Do not assume thatbecause people have wanted a new(or improved) jail they will auto-matically like the new facility. Agood example of this kind of resist-ance occurs in some line staff in

facilities that change from aninmate management philosophy ofintermittent surveillance to one ofdirect supervision.

■ The magnitude of the changedetermines the magnitude of theresistance.

Resistance to change can be overt orimplicit, immediate or deferred. Howstrong the overt resistance is dependson how strongly top management andother key individuals support thechange. Consider the influence that asingle shift supervisor has on his or hershift. If these supervisors support thechange, staff are less likely to resist it.It is also important to note that overtsigns of resistance may not have a one-to-one relationship to the actualopposition that exists. In the directsupervision example noted, staff maynot gripe about or overtly resist thechange, but you may see more passiveforms of resistance or increases inresignations.

Passive resistance often comes out asefforts to maintain the status quo andin defensive behavior. It may beexpressed as “officer safety” concerns.What it is often about, however, isresistance to change and the fear of theunknown.

A variety of factors can decrease resist-ance to change:

■ If individuals see some personalbenefit to the change, they are morelikely to support it.

■ If strong individuals with prestigeand influence (formal or informal)in the organization support thechange, resistance will decrease.


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■ If groups that are meaningful to anindividual support the change, thatindividual is more likely to supportit.

■ Responding to specific questionsthat a group has about the changecan reduce its resistance.

■ Shared perceptions about the needfor a change decrease resistance.

■ Shared perceptions that thosewho experience the change andthose who direct it belong to thesame group—“we’re all in thistogether”—decrease resistance.

■ Those who have access to informa-tion relating to the need for change,the plans for the change, and theconsequences of the change are lesslikely to resist it.

In short, people tend to support whatthey help create. The degree to whichtransition team members can find away to involve others in the organiza-tion will influence how much resist-ance they encounter.

How Is Change in GovernmentDifferent?Change is often more challenging ingovernment agencies than in other are-nas. Many government agencies havetheir roles and responsibilities definedby statute. Each organization has manylayers, and change often occurs in apolitical context. These increase thechallenges in creating and managingchange.

Government agencies by their verynature involve diverse groups; thesegroups may have competing intereststhat make it more difficult to build onthe unifying factors that decreaseresistance to change. In addition,statutes often require that planning be

done in public. Don’t discount thepotential impact of politics on the tran-sition process. When the arena ispoliticized, it makes managing thechange process more challenging.Although transition team membersmay be insulated from politics to somedegree, what they are doing has thepotential to be politicized.

What Are the Implications forTransition Teams? The information in this manual is pre-sented not only to provide a theoreticalbasis for the change. It also has directand powerful implications for the tran-sition team. Within the department,team members may be seen as agentsof the change, and they need to be pre-pared for how they may be perceived.The following strategies can help thetransition team to build and maintain apositive image:

■ Consider the groups whose supportyou need during transition as youdetermine team membership.

■ Create opportunities to solicit inputfrom others—and listen to it.

■ Share information about transitionactivities and the facility.

■ Have a positive attitude and conveythat in your interactions within thedepartment.

■ Stay aware of what is happening inthe department and the jail.

■ Expect staff to forget that you havean operational background, anddon’t pay attention to commentslike, “You don’t know what theseinmates are like . . . .” They areabout anxiety and resistance tochange. They aren’t personal.

The degree

to which

transition

team mem-

bers can find

a way to

involve oth-

ers in the

organization

will influ-

ence how

much resist-

ance they

encounter.


■ Be prepared for envy, concern, andsometimes hostility from other staffmembers.

■ Be prepared for team members whohave been forced into service anddon’t want to be there.

■ Be prepared to respond to ques-tions and concerns with accurateinformation.

Changing the physical environment inwhich people work is one of the mostprofound changes in organizationallife. It creates considerable anxiety, butit is also one of the most effective waysto increase morale, professionalism,and pride. Use this opportunity to takeyour operations to a new level ofexcellence.

Community Relations When the facility planning processbegan, it’s likely that there was a flurryof activity associated with communityrelations. Jurisdictions often identifyadvisory groups, composed of commu-nity members, to assist in the planningprocess. They also hold informationaland neighborhood meetings about thefacility and its building site, conductpublic education campaigns, and seeklots of media coverage. A lot of thisactivity stops once the decision to buildis made and/or authorization to build isreceived. However, as the constructionproject begins and the building takesshape, community interest peaks again.

The transition team has two responsi-bilities with regard to communityrelations:

■ Remembering supporters who wereinvolved during the beginning ofthe planning process.

■ Shaping the relationship that thefacility will have with the commu-nity in the future.

Who Is the Community? The community includes diversegroups:

■ Staff and families.

■ Contractors and families.

■ Outside law enforcement agencies.

■ Other criminal justice agencies.

■ Civic groups.

■ Media.

■ The neighborhood.

Each of these stakeholder groups hasdifferent interests and concerns aboutthe facility. Each group wants to knowdifferent things and is interested in see-ing different aspects of the facility.Each group also has very differentneeds in terms of information aboutand familiarity with the facility and itsoperations. The transition team needsto consider how they will tailor theirpublic information based on the audi-ence to whom they are speaking.

Some of these groups will require spe-cial attention:

■ The neighborhood, particularlybusinesses and homes around thefacility, will be living through aconstruction project. Projects of thesize and scope of the jail can bevery disruptive, and they often lastlong enough to require a structured,regular response to the community.Although the contractor and theproject manager will be responsiblefor resolving construction-relatedissues, the transition team may needto address specific neighborhoodconcerns about future operations.

Changing

the physical

environment

in which

people work

is one of

the most

profound

changes in

organiza-

tional life.


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■ Other criminal justice agencies,including law enforcement agen-cies, will need structured briefingsand training about the facility. Youmay also need the police depart-ment in whose jurisdiction the newjail is located to assist in securityaround the site.

■ The media are likely to be particu-larly interested in the politicalaspects of the planning process.However, the media can be atremendous asset if their portrayalof the new jail is accurate andaddresses community concerns.

Why Is “the Community” anIssue?Transition team members don’t get aclean slate when it comes to communi-ty relations. All jail projects share thesame baggage: the public’s concernabout how much money is being spenton the building and questions aboutwhy it should be spent on inmates. Theproject probably has a history with thecommunity and neighborhood in whichit is being located, as does the currentjail. The people who live or work nearboth locations have legitimate concernsabout the kind of neighbor you will beas you move into your new facility.This is your opportunity to make agood first impression. If the existingjail will be closed, those who live near-by may be particularly concerned thatthe facility will become an eyesore ifit is abandoned. The transition periodis an opportunity to address theirconcerns.

Transition also offers a unique oppor-tunity to influence people and agencieswho will be frequent users of the newfacility—to get them started on theright foot. By introducing them to thenew facility and the new procedures

that come with it, the transition teamcan reduce users’ concerns and beginto shape the behavior that they expectfrom these groups.

To address concerns, you need to knowwhat the concerns are. Because thefacility is going to be a long-termaddition to the surrounding community,your department has a compelling needto build strong collaborative relation-ships. Transition team members aresome of the first faces that the jail’snew neighbors will see. Making a goodfirst impression will be an importantstep.

What Strategies Can ImproveCommunity Relations?Accurate information and the willing-ness to listen to concerns are two ofthe best things the transition team canprovide the public. In the absence of astrategy to exchange information, therumor mill will take over—inside andoutside your department. Who releaseswhat information and how that infor-mation is released must be carefullydefined. If the department has a publicinformation officer, team membersshould start there.

In addition, the following materials,products, and services can help estab-lish and maintain good communityrelations:

■ Brochures can provide consistentfactual information about the facili-ty, particularly during tours andopen houses.

■ Newsletters, both inside and outsidethe department, can focus on transi-tion activities and the status of theproject. Team members also couldconsider brief articles for neighbor-hood papers.

The people

who live or

work near

both loca-

tions have

legitimate

concerns

about the

kind of

neighbor

you will be

as you move

into your

new facility.


■ A good Web site offers an opportu-nity to provide information andsolicit questions through e-mail andother interactive activities.

■ A drop-in center may provide infor-mation in various media—particular-ly larger pieces such as architecturalrenderings or models of the newfacility—in one place. Many agen-cies can use their existing publiclobby for such a center.

■ Neighborhood meetings offer anopportunity to find out about andaddress specific issues.

■ Agency briefings can introduce keyuser agencies to the changes thatwill be occurring in the new facilityand the new procedures that may beput in place.

■ Public events, such as tours, openhouses, and sleepovers, can helpintroduce the facility to the commu-nity (see chapter eight, MoveLogistics, for more informationabout these activities).

Conclusion By now, it should be clear that transi-tion is much more than just movingfrom one facility to another. It is aprocess used to develop and transfer anew method of operation, and it is atime that will make a difference for alljail stakeholders. It is worth doing tothe best of your organization’s ability.

[Transition]

is a process

used to

develop a

new method

of operation,

and it is a

time that

will make a

difference

for all jail

stakeholders.

www.nicic.org