Ruiz vs. Estelle

1972 - David Ruiz files handwritten petition. Characteristics that distinguished his case from hundreds of others filed.

1974 - Judge William Wayne Justice consolidated six prisoner petitions with Ruiz's. Ruiz becomes class action suit challenging conditions of 15 prisons. State (TDC) mounts major effort to remove Department of Justice from case. Denies wrongdoing. Contempt motions filed against TDC into 1976 for refusal to allow plaintiffs to do legal work, and for subjecting plaintiffs to invalid disciplinary proceedings, etc. which results in increased judicial scrutiny.

1975-1978 State (TDC) continues to file motions that result in repeated delays and hearings right up to time of trial. One Year lost by State's fighting the participation of Department of Justice. Inspection teams for both sides carry out inspection of facilities in areas of medicine, sanitation, safety engineering, security and nutrition, etc.

States Legal Strategy Misconduct was nothing more than "isolated incidents" or "occasional abuses" rather than system wide patterns or practice. Such incidents were "inevitable in a state prison. No affirmative link between incidents and Director of TDC, wardens, etc.

1978 Trial date set for March 1978. State (TDC) files motion for continuance which Justice grants. He reset trial for six months later - September. In February 1978 State files motion for change of venue from Eastern to Southern District of Texas. Backfires. Justice is assigned to hear case in Houston. State attacks this decision. Fails.

Trial date set for October 2, 19788 -- 6 years after David Ruiz had filed his original handwritten petition.

1972 TDC inmate population 15,000
1978 25,000
1982 30,000

1,000 prisoners triple-celled in forty-five foot square cells (one of three sleeps on floor)

A week before trial the Justice Department attorneys attempted to initiate settlement discussions with TDC and State. State's attorney refuses to engage in negotiations.

Opening day of trial, chief attorney for State requests 60-90 day extension. Request denied.

Summary of plaintiff's case. See handout.

William Bennett Turner to represent plaintiffs calls 24 witnesses. Department of Justice calls 100 witnesses drawn from inmate population and former employees, plus 20 experts.

Trial ends September 30, 1979. (lasted one year)

December 10, 1980
Justice issues his memorandum opinion detailing his conclusions and ordering relief. Prison and state officials remained far from willing to accept either the conclusions or the remedies.

State appeals decision. Decision upheld except for single celling requirement and some management re-organization of the prisons.

1982. Cease fire called by state and they negotiate settlement on building tender issue.

1983. Monitor's report (400 pages of information) claims physical abuse continues with alarming frequency.

1984. Large-scale turnover of TDC officials at high levels.

1985. Settlement agreement reached on wide range of issues, including crowding, visitation, staffing, construction, and classification of inmates.

1986. Contempt motion filed charging TDC with failure to implement major provision of the 1985 agreement.

December 31, 1986. Justice issues opinion finding TDC in contempt of court. Threatens fines as high as $24 million per month.

1987. Governor Clements meets with Judge Justice. Clements soon thereafter addresses 70th Legislature. "The lawsuit is over. Let me state clearly the facts of the contempt citation. We must get in compliance as quickly as possible. We have no choice."

Justice Orders Massive Reforms

Overcrowding:
"Overcrowding at TDC exercises a malignant effect on all aspects of inmate life." Space levels per inmate fell far below recommended minimums in the US. Demanded relief. Set maximum capacity level at 95%.

Re Security and Supervision:
Argued that prisoners and entitled to physical safety. Safety is largely dependent upon prison staff - their training, number, duties. He found "serious inadequacies" in TDC's staff. Levels among the worst in the country. During the day "it is not uncommon for one guard to be responsible for supervising two to four cell blocks." (Each cellblock consists of three tiers with 20 or 30 cells on each). Inmates used to perform security functions. Given weapons and privileges. Tender system unlawful. Staff brutality widespread and routine. Officials rarely investigated reports of violence and brutality by staff. Failed to take disciplinary action against officers who brutalized inmates. Training programs failed to train officers in reasonable use of force.

Judge Justice required increase in number of guards and improvement in selection and training. Required complete elimination of building tender system and cessation of staff brutality toward inmates.

Re Health Care:
Major problems pervaded all aspects: medical care, psychiatric care and special needs inmates. Personnel unqualified, too few in number and poorly supervised. Facilities inadequate. Widespread, deliberate indifference and violation of 8th Amendment. Justice ordered restriction of use of inmates to perform medical functions, remedy of deficiencies in all operations.

Re Psychiatric care:
Professional treatment personnel were virtually nonexistent on the prison units. Treatment consisted "almost exclusively of administration of medications, usually psychotropic drugs... No program for identification, treatment or supervision of suicidal inmates." Justice required screening programs for inmates, to be run by trained mental health professionals.

Re hearing procedures, solitary confinement and administrative segregation:
TDC violated hearing procedures demanded by precedent cases and regulations.

Prison officials continued to attempt to "starve its most troublesome inmates into abject submission." Justice found that conditions of solitary confinement in other state prisons were much less than in TDC. Justice required that TDC follow its own set of rules and procedures and not use solitary confinement arbitrarily and vengefully.

Re Access to courts and harassment of writ writers:
Longstanding history of abuse. Demanded an end to practice of denying individuals access to legal materials and attorneys. Demanded an end to harassment of writ writers.

Institutional Violence, Riots, Hostage Taking

Attica and New Mexico:  Historical context of the Riots

        Attica (1971)
        1950-1965:  confidence and rehabilitation
        1966-1975:  conflict and politicization
                    decline of rehabilitation
                    rise of social entitlement
                    backlash against disorder

        New Mexico (1980)
        1975 to present
                    decline in confidence in institutions
                    end of rehabilitation, shift to retribution

Sequence of Events
Problems at Attica & New Mexico Prior to Takeovers

Expressive and Instrumental Violence

Causes of Prison Riots
        The Environmental Conditions Model
        The Spontaneity Model
        The Conflict Model
        The Collective Behavior/Social Control Model
        The Power Vacuum Model
        The Rising Expectations Model

Comparison of Attica and New Mexico Riots
Methods of Prevention
Riots Detection

Hostage Negotiations
        negotiator qualities
        role of negotiator
        communication techniques

Inmate on Inmate Violence
Sexual Assault in Prison
Inmate on Staff Violence
Staff on Inmate Violence
       official and unofficial force

Expressive Violence
An impulsive and emotional response to tension. Expressive violence is spontaneous, irrational aggression that releases tension.

Instrumental Violence
Rational, calculated aggression that sets out to achieve a particular goal.

The Environmental Conditions Model
Riots are the result of poor, insufficient, and/or contaminated food; a lack of professional leadership; brutality; inadequacy or absence of treatment programs; idleness and monotony; political interference; and groups of refractory, hard-core inmates.

The Spontaneity Model
Riots are unplanned, spontaneous events. "Riots occur when some incident sets off a chain of events that becomes a collective violent disturbance aimed at taking control of a prison or some portion of a prison."

The Conflict Model
Official repression in prisons results in the development of subcultures (inmate and officer) and conflicts between different subcultural groups. Few, if any, options for legitimate resolution of conflict are available (e.g. mediation) so the inmates resort to collective violence.

The Collective Behavior/Social Control Model
The official and unofficial mechanisms for social control in the prison break down and lead to instability.

The Power Vacuum Model
When frequent administrative or staff turnover occurs, inmates experience tension due to the perception that the institution lacks competent management. Because of the frequent turnover, the administration fails to address legitimate prisoner concerns and needs. The prison's equilibrium is disturbed.

The Rising Expectations Model
Disturbances and riots are more likely to occur when promises of reform fail to live up to people's expectations.

Group _____________________
 

The New Mexico Prison riot satisfies the conditions for

expressive violence Yes No
Why?

instrumental violence Yes No
Why?

the environmental conditions model Yes No
Why?

the spontaneity model Yes No
Why?
 

the conflict model Yes No
Why?
 

collective behavior/social control model Yes No
Why?
 

the power vacuum model Yes No
Why?
 

the rising expectations model Yes No
Why?
 

Group _____________________
 

The Attica Prison riot satisfies the conditions for

expressive violence Yes No
Why?
 

instrumental violence Yes No
Why?
 

the environmental conditions model Yes No
Why?
 

the spontaneity model Yes No
Why?
 

the conflict model Yes No
Why?
 

collective behavior/social control model Yes No
Why?
 

the power vacuum model Yes No
Why?
 

the rising expectations model Yes No
Why?
 

IV.  Methods of prevention:

A.  Inmate grievance mechanisms -resolving inmate grievances through administrative means.  An Ombudsman may be used to handle this method of grievance.

B.  Inmate councils - this method allows the inmates to air their grievances to inmate representatives, who inturn relays this information to the warden.

C.  Attitudinal survey instruments - an anonymous method for inmates to voice their opinions.

        1.  Items most often listed by inmates.  Food, legal help, medical, services, personal privacy, education, censorship, work, visitation, correctional officers and administration.

D.  Correctional officer training in riot detection - (listed are 12 signs of tension that Correctional Officers can be trained to detect)

1.  Restlessness among inmates
2.  Quiet or subdued actions of inmate groups
3.  Avoidance of visual and/or verbal contact with staff.
4.  Increase in commissary purchases
5.  Increase in the number of requests for assignment changes (both work and housing).
6.  Unusual inmate gatherings
7.  Increase in the number of incident reports.
8.  Appearance of inflammatory written material.
9.  Absence of inmates at popular functions
10.  Increase in the number of complaints.
11.  Disturbances at other institutions
12.  Assault upon an individual of another race or group.

1.  Street and life experiences

2.  Good listening skills.

3.  Successful interviewer

4.  Good verbal skills

5.  Team player

6.  Emotionally stable and physically fit

7.  Flexible

8.  Mature

9.  Remains calm under stress

10.  Familiar with SWAT tactics

11.  Should not have command responsibilities during an incident.

1.  Be supportive when the subject is rational.

2.  If you are not sure what the subject meant, ask!

3.  Downplay what the subject has done so far.

4.  Avoid using profanity.

5.  Be yourself.

6.  Choose your words, tone, and manner very carefully.

7.  Adapt your conversation to his educational and vocabulary level.

8.  Speak slowly and calmly.

9.  Ask open-ended questions.

10.  Avoid saying "no" but lower expectations by creating doubt that the demands will be fulfilled.

11.  When talking to the subject avoid being distracted.

12.  Minimize and be aware of your background noises.

13.  Strive for honesty to ensure credibility.
 
 

1.  Negotiator becomes the only person through whom needs are met.

    Instrumental (spoken) needs:  Survival, food, water,
        comfort, predictability of circumstances.

    Expressive (unspoken) needs:  Acceptance, belonging,
        affection, self-worth.

2.  Listen for unspoken needs

3.  The subject's shift from instrumental needs to spoken expressive needs may indicate the development of trust and rapport.
 

1.  Increases basic human needs.

2.  Reduces stress and anxiety.

3.  Increases rationality.

4.  Allows formation of Stockholm Syndrome.

5.  Increases opportunities for hostages to escape.

6.  Permits better decision making through the gathering of intelligence.

7.  Allows formation of negotiator-subject rapport.

8.  Subject's expectations are reduced.
 
 

NOTE:  NON-JUDGMENTAL, ENCOURAGE TALKING, AND DEAL WITH FEELING.

1)  FIRST I'D LIKE TO GET TO KNOW YOU BETTER.

2)  COULD YOU TELL ME ABOUT IT.

3)  I WOULD LIKE TO HEAR YOUR SIDE.

4)  COULD YOU SHARE THAT WITH ME.

5)  I GUESS THAT'S PRETTY IMPORTANT TO YOU.

6)  TELL ME ABOUT IT.

7)  THAT'S INTERESTING.

8)  I SEE.

9)  IS THAT SO

10) OH.

11)  UH HUH.

1.  Be open-minded and flexible in dealing with demands.

2.  Let the subject make the first offer.

3.  Repeat the subject's demands but "soften" them.

4.  Strive to get something in return for everything you give
     him even if it is a promise or a change in behavior.

5.  Make the subject work everything he/she receives from you.

6.  Log everything you give the subject and remind the subject if necessary.

7.  Do not raise the subject's aspirations or expectations by giving him/her too much, too soon.

8.  Do not ask for demands.

9.  Do not bring up old demands unless it is to your advantage.

10.  Be prepared to suggest alternatives.

11.  Do not dismiss any demand as trivial.

12.  Command must authorize all agreements.

II.  Skills

    A. Emotion-labeling.

        1.  The first active listening skill to be used in an
              incident.

        2.  The intent of emotion labeling is to respond to the
              emotions heard in the subject's voice rather than
              content.

        3.  Demonstrates  that you are really listening and tuned
              into what the subject is emotionally experiencing.

        4.  Do not tell a person how they are feeling but how
              they seem or sound like they are feeling to you.

        5.  Do not be afraid to label emotions incorrectly.

            NEVER HESITATE:  LABEL EVERY EMOTION YOU HEAR

        6.  Be aware of missing emotions.

        7.  Listen for conflicts in the feelings expressed.

        8.  Note when the emotions expressed are inappropriate
              to the situation described.

        9.  Be aware of your emotions and what the subject is
              hearing from you.

        10.  Use throughout the negotiation/intervention whenever
                you hear emotions expressed.

        11.  Do not use when you are being verbally attacked.

YOU SOUND ________________________________________
YOU SEEM    ________________________________________
I HEAR           ________________________________________

B.  Paraphrasing

    1.  Demonstrates you are listening.

    2.  A summary in your words as to what you were just told.

    3.  Creates empathy and rapport because it demonstrates
          you have heard and understand.

    4.  "Are you telling me ... ?"  "Are you saying ...?"

    5.  Uses of paraphrasing:

        a.  creates empathy and rapport

        b.  Clarifies content, checks perception, and
              highlights issues

        c.  obtains additional intelligence

C.  Reflection/Mirroring

    1.  Repeating back the last word or phrase the subject
          just said.

    2.  Gives feedback that is very exact.

    3.  Asks for more intelligence without guiding the
         direction.

    4.  Gets intelligence when you do not have enough to ask
          a good question.

    1.  Questions that cannot be answered with a "yes" or "no."

    2.  To get intelligence without asking a lot of questions.

    3.  Usually begins with the words:  how, what, when, where.

    4.  Uses of open-ended question:

        a.  to help a subject start talking

        b.  to elicit examples of specific behavior

        c.  to get additional intelligence

        d.  to focus on the subject's feelings

5.  Close-ended questions:

        a.  give a feeling of interrogation which makes
             rapport building difficult

        b.  cause you to work to hard thinking up new questions

The Prison Boom

• It took nearly fifty years for the population of the federal and state prison system to double, growing from 129,453 inmates in 1930 to 329,821 in 1980
• By the end of 1996 there were 1,182,169 inmates in state and federal prisons.
• The incarceration rate of the United States is 6 to 10 times that of Western European nations.
• 1,075 new prison beds were needed each week during 1996
• In 1992, one out of every four jails in the U.S. was under court order to reduce crowding.
• Growth is handled by building new cells (86,177 and 1994 at cost of $1.8 billion), releasing prisoners early, holding offenders in local jails (jail backups), expanding parole and probation, and using alternative punishments.

The Cost of Incarceration

• 4 out of every 5 dollars spent to operate prisons go for employee salaries and facility maintenance.
• Financing the debt incurred to build new prison beds triples the cost per bed (from $100,000 to $300,000 for maximum security beds in New York State).
• In 1971 $2.3 billion dollars was spent on corrections.  In 1992, the cost has reached $31.2 billion.
• Between 1982 and 1992 the number of corrections personnel employed nation wide increased by 90% to 566,500.  Their monthly payroll totaled $1.4 billion.
• Hidden costs of incarceration include:

1. AIDS (prisoners have an infection rate 20 times higher than the general population).
2. overcrowding has led to outbreaks of drug-resistant tuberculosis
3. the number of elderly inmates is growing; it costs $69,000 annually to house inmates over the age of 60 ( 3 times the norm).

• Between 1987 and 1993, state spending increases for corrections grew 41% more than increases for higher education.
• There is disagreement on the cost effectiveness of incarceration.

Who Goes to Prison?

• The typical inmate is a 30 year old, African-American, illiterate male with a criminal history who made less than $10,000 annually before his arrest.
• While African-Americans make up only 12 percent of the U.S. population, they make up 44 percent of inmates.
• The rate of incarceration of African-Americans is seven times greater than that of whites-1,471 per 100,000 compared to 207 per 100,000.
• On any given day in 1994, nearly one third of African-American men between the ages of 20 and 29 were under the supervision of the criminal justice system.
• Violent offenders made up only 27.1 percent of state prisoners in 1992, while 34.1 percent had committed property crimes, and 29.2 percent were drug offenders.
• Fifty seven percent of felony cases were plea bargained, and only 7.5 percent of felony cases came to trial.  Half of the remaining 35.5 percent of felony cases were dismissed.

• Arrest involving some aspect of illegal drugs increased by 126% between 1980 and 1992.
• 60% of people arrested in 1994 were between the ages of 13 and 29.  By 2005 there is expected to be 25% increase in the number of teen age 15 to 19.
• All fifty states have mandatory sentencing laws for range of crimes including drug offenses, violent and gun related crimes, drunk driving, and property theft.
• 34 states have "habitual offender" laws requiring longer prison terms for repeat felony offenders.
• 22 states and the federal government have adopted "three strikes and you're out laws".
• "Truth in sentencing" practices have increased the time prisoners are incarcerated.  Federal drug offenders spent 54% more time in prison in 1992 than in 1985.
• The number of adults in prison nation wide for drug offenses tripled between 1986 and 1991.
• The number of drug offenders in federal prisons rose from 4,749 in 1980 to 46,499 in 1994.
• There was 37% increase in admissions of sex offenders in prisons nationwide between 1988 and 1992.
• Parole policies are being toughened.

Drugs, Crime, and Imprisonment

• There were six times as many drug offenders in state prisons in 1995 as there were in 1985.
• In 1991, one in four inmates was serving time or awaiting trial for drug offenses.  In 1983, only one in eleven inmates was imprisoned for drug offenses.
• The cost of incarcerating drug offenders in 1991 was $6.1 billion.
• 80% of the growth in federal inmates from 1985 to 1995 was do to the increase in drug offenders.
• In fiscal year 1995, only 35% of the $12.7 billion federal drug budget was spent on treatment and prevention.
• African-American comprise 13 percent of all drug users, yet they represent 39 percent of those arrested for drug crimes.
• In 1995, whites accounted for 52% of crack users but only 4.1% of those sentenced for crack offenses.  That same year, African-Americans accounted for 38% of crack users and 88% of those sentenced for crack offenses.
• In New York State in 1989, African-Americans and Hispanics accounted for 92% those arrested for drug offenses.
• In 1995, drug offenders accounted for 59% of all federal prisoners, compared to only 29.5% in 1984 and 25% in 1980.
• The General Accounting Office found that in 1991 there were drug treatment slots for less than 20% of the estimated 500,000 state prisoners who were drug addicts at the time of arrest.

A Continuum of Sanctions
Escalating Punishments to Fit the Crime (costs based on 1994 survey of programs in Colorado, North Carolina, Ohio, and Virginia)

• Probation--report anywhere from several times a month to once a year ($869).
• Intensive Probation--report three to five times a week.  Probation officer make unscheduled visits to offender's home and workplace ($2,292).
• Restitution and Fines
• Community Service ($2,759)
• Substance Abuse Treatment
• Day Reporting--clients report to a central location daily to file a daily schedule showing how they will spend each hour of their day ($2,781).
• House Arrest ($402)
• Electronic Monitoring ($2,011)
• Halfway House ($12,494)
• Boot Camp ($23,707)
• Jail ($14,363)
• Prisons ($17,794)

What the Public Thinks

• 80 percent of adults would send at least half of anti-drug funds on prevention, education, and treatment.
• 53% of Americans feel that drug use is a health issue, not a criminal justice issue.
• 80% of Americans favor community corrections over prison for criminal offenders who are not dangerous.

Prisoners' Rights

1871 Ruffin v. Commonwealth

• states' rights
• judges lack expertise to make administrative decisions regarding prison life
• frivolous inmate suits

• so inhumane as to shock the conscience
• disproportionate to gravity of offense
• more severe than necessary to achieve a legitimate penal goal