Jail Vulnerability Assessment: A Systems Approach to Improve Safety and Security FINAL DRAFT December 2008 [inside front cover] U.S. Department of Justice National Institute of Corrections 320 First Street, NW Washington, DC 20534 Morris L. Thigpen Director (to be added) Deputy Director Virginia A. Hutchison Chief, Jails Division Michael Jackson Project Manager _____________________________________________________________ National Institute of Corrections World Wide Web Site www.nicic.org _______________________________________________________ [title page] Jail Vulnerability Assessment: A Systems Approach to Improve Safety and Security Rod Miller John E. Wetzel December 2008 NIC Accession Number 000000 [verso title page] This document is supported by cooperative agreement #07J61GJS0 from the National Institute of Corrections, U.S. Department of Justice. Points of view or opinions stated in this document are those of the authors and do not necessarily represent the official opinion or policies of the U.S. Department of Justice. CONTENTS Foreword Acknowledgments Introduction Purpose and Scope 1 Audience and Intended Use 1 Chapter 1. Setting the Stage A. Safety and Security Principles 3 B. Courts and the Constitution 4 C. Standards 5 D. Trends in the Jail Setting 7 E. The Jail Vulnerability Assessment (JVA) Process 9 Chapter 2. Phase One of the JVA Process Introduction 13 A. Step 1A: Defining Threats and Threat Capabilities 13 B. Step 1B: Analyzing Facilities, Technology and Operations 19 C. Step 1C: Assembling and Classifying Findings 26 Chapter 3. Phase Two: Advanced Risk Identification Introduction 33 A. Step 2A: Path Sequence Diagrams (PSD) and Scenarios 40 B. Step 2B: Assessing Risk with the EASI Model 50 Chapter 4. Phase Three- Create Solutions 61 Chapter 5. Phase Four – Implementing Solutions 65 Appendices Appendix A: Threat Capability Checklists Appendix B: Checklists for Characterizing the Institution Appendix C: Physical Protection System Checklists Appendix D: Protocols and Practices Appendix E: Sample PSD’s and EASI Results Appendix F: Data Collection Forms (Entry Control, Delay) Appendix G: Performance Data Tables Appendix H: Path Sequence Diagram (PSD) Checklist Appendix I: Acronyms and Selected EASI Formulas Appendix J: Excerpts from Core Jail Standards Appendix K: A Step-by-Step Guide to Using the EASI Program Appendix L: Sample Report from Prison VA Appendix M: A Primer on Physical Protection Systems (PPS) Appendix N: Powerpoints from a Four-Day JVA Training Program Foreward [To be developed with NIC editors to their specifications.] Acknowledgements This document builds on the work of Sandia National Laboratories (SNL) Security Systems and Technology Center: Chris E. Robertson, Ivan G. Waddoups and Michael S. Pacheco. The Pennsylvania Department of Corrections adapted the SNL work for use in state prisons, through the efforts of Eugene J. Brannigan, John Bihun and Michael D. Klopotoski. The American Correctional Association (ACA) developed the first Correctional Vulnerability Assessment Handbook with funding from the National Institute of Justice. The ACA team was led by Robert J. Verdeyen, and included J. T. O’Brien, Pat Keohane, Tim LeMaster, Don Romine, David Sweetin, George Wagner, and Rod Miller. The Colorado Department of Corrections further refined the correctional VA process through the efforts of Lou Archuleta and Michael Fowler. Several jails advanced the development of vulnerability assessment tools and techniques for jails by hosting training programs: Clark County, Nevada; Alexandria, Virginia; Davidson County, Tennessee; and Madison County (Huntsville), Alabama. Several sites provided opportunities to field test the jail methodology: Franklin County PA; Marion County IN, and Dona Ana County NM. Mark Martin provided valuable guidance and advice throughout the development of his handbook. Randall S. Wylie, Tim Albin, Scott Bickford, Curtis Flowers and James Nabors offered comments after reviewing the first draft. 1 INTRODUCTION The National Institute of Corrections (NIC) funded this document to provide a new resource to jails as they strive to operate safe and secure facilities. Another new NIC publication, Guide to Effective Risk Management in Jails,1 examines a broader range of risks that may affect an organization’s ability to achieve its mission, describes the risk management process and provides guidance to jail officials who want to establish formal risk management programs. This handbook offers new methods and tools to improve jail safety and security. Purpose and Scope This document builds on the resources that were developed for prisons by the American Correctional Association (ACA) with funding from the National Institute of Justice (NIJ).2 As the prison materials were used to train jails, it became clear that adapting them for use in jails requires substantial revisions and the development of new tools. This manual and its associated resources balance the depth of analysis that is provided by the prison process with the breadth of scope and participation that is needed in the jail setting. It is based on several principles that have proven effective in the jail setting: 1. Participation. Engaging many stakeholders in the process improves the outcomes and provides many secondary benefits. 2. Varied perspectives. Involving many types of participants provides needed perspectives. Every participant sees different angles and poses unique questions. 3. Expertise is found at all levels. Every stakeholder, from line staff to administrators, brings experience and expertise that are essential to the success of the process. 4. Continuous Process. Maintaining safety and security is a continuous process. The chain of safety and security is only as strong as its weakest link. Practitioners might recognize several of these principles because they ground many of NIC’s initiatives. This document identifies other NIC resources that will aid participants. Audience and Intended Uses This document and its associated resources have the primary goals of: • Improving jail safety and security • Promoting the development and implementation of continuous safety and security improvement practices 1 Martin, Mark, and Claire Lee Reiss. Guide to Effective Risk Management in Jails. National Institute of Corrections, U.S. Department of Justice. Washington D.C. 2008. 2 Miller, Rod, Robert J. Verdeyen, J.T. O’Brien, and Donald Romine. Correctional Vulnerability (CVA) Handbook, Final Draft. American Correctional Association, Alexandria VA. 2006. Funded by the National Institute of Justice, U.S. Department of Justice. 2 To those ends, jail operators are the primary audience: from line staff to top administrators. Their continuous efforts are required to maintain safety and security under increasingly challenging conditions. All participants in the jail vulnerability assessment process will acquire new knowledge, skills and insights that will help them better perform their duties. Additional benefits will vary: • Line staff will find a new voice to contribute their concerns and suggestions to improvement efforts. • First line supervisors will have new tools to provide to line staff to enhance their effectiveness. • Managers will create new mechanisms to engage subordinates in improvement efforts and new communication channels to identify evolving concerns. • Administrators will find new insights into daily operations and will develop new information to share with policymakers and funding sources. • Trainers will have new tools to improve employee initial and in-service training and new information about actual practices on the floor compared to intended practices. • Policy and procedure developers will learn how their directives are being implemented and instances in which directions are creating problems. • Civilian employees will find new ways to promote safety and security and new opportunities to voice their concerns. • Program providers will learn about the impact of their activities on overall safety and security and have new opportunities to share their ideas with others. • Maintenance personnel will understand the impact of facility and equipment conditions on safety and security and secure new insights into maintenance needs. • Contractors will learn about the interface between their activities and facility security, and will have new opportunities to contribute to improvement efforts. Although the primary users of this material are involved with daily jail operations, many other stakeholders will find benefits, including: • Sheriffs • County commissioners/supervisors • Budget and finance officials • Risk managers • Insurance providers • Inspection officials • Employee labor organizations There are other parties who may benefit from the methods and tools in this document. As the jail vulnerability assessment methodology has evolved and has been tested in the field, participants have found that the benefits accrue in direct relation to the effort put into the process. 3 CHAPTER 1: SETTING THE STAGE Making the most of this document and its related resources begins with understanding the broader context in which jails operate. A. Safety and Security Principles Safety and security are the foundation on which all jail operations must be built. Without effective, continuous safety and security practices, everyone is exposed to a variety of risks. Programs and services are often part of a jail’s mission, but these must be built on a strong foundation. Security is not convenient. Implementing security practices requires