Chapter 13
Institutional
Management
Clear & Cole, American Corrections, 8th
“Formal Organization”
a
structure established for
influencing behavior to
achieve particular ends
 1.)
 2.)
The Organizational Structure
The Impact of the Structure
Clear & Cole, American Corrections, 8th
why governing prisons is different from other
public institutions
 the


defects of total power
power is limited; depends on inmate cooperation
prison unlike other authoritarian organizations
 inmates don’t recognize legitimacy of their keepers
 no sense of duty propels them to compliance
 limited
system of rewards & punishments
job assignment, housing, parole report, good
time
 available punishments not severe, confer status

 co-opting

of correctional officers
officers forced into inmate trade-offs
 must maintain ‘surface order’
 forced to ‘buy’ compliance or tolerate rule breaking
 strength
of inmate leadership
Clear & Cole, American Corrections, 8th
Correctional Officers: The Linchpin of
Management
 Who Becomes a Corrections Officer
 Role Characteristics
 Job assignments
 Problems with the Officers Role
 Job Stress and burnout
 Boundary Violations
 Use of Force
 Collective Bargaining
Clear & Cole, American Corrections, 8th
Strategies of influence
“compliance”
obedience to an order or request
types of power for gaining compliance
remunerative
power
obtaining
compliance in
exchange for
material
resources
normative
power
obtaining
compliance by
manipulating
symbolic rewards
coercive
power
obtaining
compliance by
the application
or threat of
physical force
Clear & Cole, American Corrections, 8th
Goals of the “Confinement Model” of
prisons
 keep
them in

facility must be secure

inmates & staff must be protected from each
other, as well as environmental hazards
 keep
 keep
them safe
them in line

rules must exist and be enforced

inmates must have medical care

constructive activity through work, recreation,
education, treatment programs
 keep
 keep
them healthy
them busy
Clear & Cole, American Corrections, 8th
Formal Prison Organization
warden
deputy warden
Management
deputy warden
deputy warden
deputy warden
budgets/accts
inst. security
guard forces
education
vocational
training
industry
farm
purchasing
building &
grounds
clothing &
laundry
food service
canteen
Custody
inmate
discipline
investigations
visiting
Programs
Industries
classification
counseling
medical serv.
recreation
religion
Clear & Cole, American Corrections, 8th
“Unity of Command”

management principle that a
subordinate should report to only one
supervisor
deputy warden
Management
deputy warden
Custody
inst. security
deputy warden
Programs
deputy warden
Industries
investigations
guard forces
visiting
inmate
discipline
Clear & Cole, American Corrections, 8th
“Chain of Command”

management principle that orders organization as
a series of hierarchical positions of authority, so
that each person in hierarchy receives orders from
one immediately above and issues orders to one
immediately below himself or herself
warden
deputy warden
Management
deputy warden
Custody
deputy warden
Programs
deputy warden
Industries
captain
lieutenant
sergeant
Clear & Cole, American Corrections, 8th
“span of control”
 management
principle that a supervisor
can effectively oversee only a limited
number of subordinates
deputy warden
Management
deputy warden
Custody
education
Programs
budgets/accts
inst. security
investigations
guard forces
purchasing
deputy warden
inmate
discipline
deputy warden
Industries
recreation
classification
farm
visiting
industry
food service
Clear & Cole, American Corrections, 8th
“Line Personnel”
 Employees
who are directly
concerned with furthering the
institution’s goals; workers in
direct contact with clients
Clear & Cole, American Corrections, 8th
“Staff Personnel”
 Employees
who provide services
in support of line personnel (e.g.,
clerks, purchasing officers,
accountants, training officers,
maintenance, laundry,
food service)
Clear & Cole, American Corrections, 8th
“Governance”
 the
sound and firm management
of inmates and staff
“governance”
is what
distinguishes a well-run prison
from a substandard prison.
Clear & Cole, American Corrections, 8th
factors affection quality of life in
prison
quality
of life
Order
absence of individual
or group misconduct
that threatens safety
of others
amenity
anything that
enhances comfort of
the inmates (e.g., good
food, clean cells,
recreation)
service
programs designed
to improve the life
prospects of inmates
(e.g., education,
training, work)
“A good prison “provides as much order, amenity, and service as
possible, given the human & financial resources.” --John DiIulio
Clear & Cole, American Corrections, 8th
Prison Discipline
 inmates are given set of rules on arrival
 rule violations can be major or minor
 violations of rules are handled by staff


minor violations result in warning, counseling
major violations may result in sanctions
 criminal prosecution
 loss of “good time”
 time in punitive segregation (the “hole”)
 loss of privileges (e.g., visits, mail, commissary,
 1/2

recreation
inmates charged with ≥ 1 violation
90% of those charged are found ‘guilty’
Clear & Cole, American Corrections, 8th
prison disciplinary process
 officer
writes inmate a ‘ticket’ for violation

minor ticket

major ticket: goes to a semi-formal hearing
 summary judgment by hearing officer
 counseling; reprimand
 disciplinary committee
 3 - 5 correctional staff (custody, treatment, classification)
 inmate rights: notice of complaint, help preparing case, fair
hearing, confront witnesses, written statement of decision
 hearing officer
 sometimes case investigated by hearing officer-- conducts
hearing, makes decision (in absence of a committee)

decision appealed ‘up’ chain of command
 to captain, warden, commissioner of corrections
Clear & Cole, American Corrections, 8th
prison directors
a formula for effective leadership:
 be
in office long enough to learn job, make
plans, & implement them.
 project an appealing image to a wide range
of people, both inside & outside of the
organization.
 be dedicated & loyal to the department;
see oneself as engaged in a noble &
challenging profession.
 be ‘hands-on’ & proactive; prevent
problems; be politically astute.
Clear & Cole, American Corrections, 8th
the correctional officer
counsel
officers’
duties
maintain
and deliver
supplies
supervise
write and
administer
reports
protect
train
process &
control
inmates
Clear & Cole, American Corrections, 8th
it’s a tough job, but ...
long hours
low pay
disadvantages of
correctional
officer job
potentially
dangerous
conflicting roles:
custody - treatment
seen as
‘dead end’
job
high
turnover
low entry
requirements
low public
image
Clear & Cole, American Corrections, 8th
… it does have its benefits
advantages of
the job
‘growth’
industry
job security
limited
alternatives
(where prisons
are located)
easy to
supplement
with overtime
or part-time
low entry
requirements
Clear & Cole, American Corrections, 8th
correctional officer
employment opportunities
Clear & Cole, American Corrections, 8th
paramilitary organization & duties
of custody staff
captain
lieutenant
sergeant
correctional
officer
administrative responsibilities; link between
custody and top management
supervises sergeants within areas of the
prison; principle disciplinarians
supervises complement of officers within one
area of the prison (e.g., housing unit, hospital,
kitchen, yard, industries, reception & release,
etc.
line staff responsible for daily operation of a
specific area of prison
Clear & Cole, American Corrections, 8th
correctional officer
job assignments
 block officer
 oversee unit maintenance, security, safety, inmate
problems & needs, enforce rules
 work detail supervisor
 supervise inmate workers who provide food
services & maintenance, outside work details
 industrial shop & school officer
 maintenance & security of work & school areas
 yard officer (order & security on yard)
 administrative building assignment
 gate security, supervise visiting, public information
 wall or tower post (observe, minimal inmate contact)
 relief officer (fills in for absent staff)
Clear & Cole, American Corrections, 8th
use of force: circumstances
justifying reasonable force
 self-defense
 when
threatened with physical attack
 defense
of third persons
 to
protect a threatened inmate or officer
 to
maintain safety and security
 upholding
prison rules
 prevention
 prevention
 law
of a crime
of escapes
allows deadly force to prevent an
escape, but policies vary across states
Clear & Cole, American Corrections, 8th
collective bargaining
 1st
unions for correctional employees



1956: Washington, DC & New York City
1970s: many states passed enabling legislation
1981: unions in 29 of 52 jurisdictions

custodial, program, support staff





wages, hiring, conditions of employment
support expansion of prison facilities
oppose private prisons
support victims’ rights legislation
tougher sentencing laws
 who
is represented (often separate unions)
 issues
and concerns
Clear & Cole, American Corrections, 8th