Liability is simply defined as, “the state of being responsible for something, especially by law.”

In a correctional setting, the simplicity of the definition can be overwhelming when considering the responsibility to the offenders, visitors, contract employees, volunteers, staff, governing oversight groups, legislative body, and last, but not least, the community. Creating insulation against liability in correctional facilities is a thought-provoking assignment that must include an all-embracing culture of systematic reviews and detailed documentation, with a side of pride for the profession and the facility.

Liability comes in many forms and fashions. In corrections, one can unassumingly turn around and bump into a liability. There are five areas that every correctional administrator should hold in high regard concerning liability. Obviously, there are many more liability changes, the five were selected in no random order and range from critical to underestimated liability issues.

Human Resources

Human resources may not be the first thing that comes to mind when it comes to liability in your organization; however, administrators know that HR is the beginning and ending point of everyone’s career in your institution; the onboarding and sometimes not-so-pleasant offboarding processes. Mistakes in Human Resources can lead to negligent retention, inaccurate record keeping, higher rates of turnover, staffing shortages, and poor information sharing with the administration.

The chief principle of an HR Department must begin with a solid Policy and Procedure Manual in some form. The manual must be comprehensive addressing all significant aspects of the operation, including hiring, employee conduct, and termination. It is highly recommended that an outside legal source (perhaps the local law director) complete documented annual reviews to ensure compliance with all local, state, and federal laws that are applicable to the organization. The professional opinion from a respected outside legal expert may go a long way in mitigating liability events within your facility. Internal audits may also provide additional feedback.

Technology should not be ignored in today’s Human Resource Department. Software that can tabulate time, and maintain application documents, in-service records, accommodations, annual evaluations, and disciplinary paperwork should be analyzed by administrators when dealing with the career decisions of their employees. Concise and accurate information at the tip of a computer screen not only streamlines the decision-making process but ensures administrators expand the viewpoint of the staff member in question. Simply put, technology can help reduce errors, improve compliance, and reduce liability.

Grants and other outside resources should be entertained as a part of the solutions to any staffing and budget restraints. The use of telepsychiatry is a growing trend that is less expensive and found to be very productive. Many community resources are funded to specifically aid those incarcerated with mental illness. The National Alliance for the Mentally Ill (NAMI) is an outstanding resource. The supplementation of funds and staff will be easier to communicate if there is a clear vision of the short-term and long-term future of medical and mental health services inside the facility.

Education at many different levels is required for this dynamic issue. Beginning with the administration, understanding the gravity of the problem, and buying into solutions is step one. Second, educate staff in Crisis Intervention; this training topic should be held in the same regard as the use of force procedures in orientation and in-service training. When dealing with the incarcerated mentally ill, the first use of force should be communication. In cases where force is the last resort, every effort should be made in written reports of the attempts to communicate and de-escalate the situation. Liability can be diminished by well-written reports that exhaust all other possible solutions. The inmates should receive some type of orientation to the treatment and counseling availability in the facility. Once the administration is on board and the staff and offenders have been trained, it is time to collect statistics to help leverage the cause. Numbers tell stories. Statistics should be shared with the local judicial system, financial stakeholders, potential community partners, and the community. Don’t be afraid to provide tours to these groups; the visual aspect of the situation can be very powerful.

Other factors to consider regarding mental illness are classification and offender housing. Involuntary segregation should be the absolute last resort. Therapeutic communities are producing success in facilities across the country. Aftercare coordination is key; many communities have established mental health courts; resulting in more acceptable recidivism rates. Politicians must be educated that housing the mentally ill in a community setting is not only less expensive than housing in a jail or prison; it is the right thing to do.

The final area is staff wellness. The stressors of the job are immense. Fitness programs can be an important filter for dealing with the pressure and tension of duty requirements. Agencies should make available an effective Employee Assistance Program (EAP) to all staff; confidential counseling services have proven to be a great avenue to offset the trauma that is all to often experienced in confinement settings. Staff wellness also needs to include recognition and awards. This recognition should be shared via social media to highlight the hard work and heroism that walls the halls of your facility daily. The National Institutes of Corrections provides a great Mental Health First Aid course for correctional professionals.

Conditions of Confinement

Conditions of confinement should equal humane conditions that meet basic standards for health and safety. Internal and external assessment must be intertwined in daily, weekly, monthly, quarterly, bi-annual, and annual inspections. Taking internal assessments first, it is important to select and train the right staff who will be forthcoming with providing thorough documentation on their findings. Such documentation must contain “a plan of action‚ for deficiencies found and an avenue of completion. A simple example would be to document something in need of repair, maintenance ticket #123 was made, and the item was fixed by maintenance on XYZ date. Some items may require large budgetary funding; the two options are to either go to the elected leaders of your community who oversee the budget and ask for emergency funding. If the issue can be placed on pause until the next budget cycle, the request for funding should be submitted with an explanation of why the need is imperative and the consequences of the issue going unfunded. NOTE: All of this should be documented to insulate against allegations that maintenance tickets are ignored or are not a priority.

External inspections should be routine for your agency. The goal is to strengthen the fight against liability; a secondary benefit is making your facility a better place to house offenders, an enhanced work environment for your staff, and a shining star of the agency instead of an afterthought. External inspections should include but not be limited to: local Fire Marshals, OSHA, and Health Department. Don’t forget about ancillary inspections such as elevators, generators, air balance, range hoods, washers/dryers, grease traps, and solid waste disposals. Remember to take the same stance as it relates to the “action taken‚ approach. Follow-up, include invoices if applicable, and notify the external inspector in writing when discrepancies are resolved.