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Correctional Policy and Procedure

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Policy and Procedure Resources

Correctional agencies all have the need to produce clear and concise written directives for staff, offenders, and the community. Given the issues of administrative liability, accreditation standards, case law, and the need to support professional behavior, written policy and procedure is a necessity.

Well-written policy and procedure is the core of modern correctional operations. It informs and governs staff behavior, sets clear expectations, and confirms that the administration has performed its role. It is also the basis for staff supervision, training, and supporting a defense when things go wrong.

Correctional policy needs to be grounded in a defensible rationale so that it is not simply based on whim or preference. Policy should relate to a “legitimate correctional outcome,” prevailing standards, or the goal that implementing a policy seeks to achieve. “Legitimate correctional outcomes” are things such as safety, security, sanitation, inmate welfare, inmate rights, due process, etc, that the courts spoke of in the 1980’s.

Standards, whether from the American Correctional Association (ACA) Accreditation standards, National Commission on Correctional Health Care (NCCHC) accreditation standards, or from another source, become an excellent means of documenting the rationale for a policy, although it is also a good practice to dig a little deeper to also cite the correctional outcome that the standard and policy supports.

Specific case law that applies in your locale can also be a good way to ground policy. Since policy can be prescriptive, an operational problem needing to be solved, or the introduction of a new piece of equipment or technology can be the basis for the rationale.

Policy Format Concepts


There are several policy formats in use. Whatever format you use, it needs to answer a few strategic questions:

  • Policy answers “what,” as if to say, "This is what we stand for, this is what we do." It is the written directive around a particular issue or topic. Policy statements should be in plain language so there is no confusion over meaning.

  • Purpose answers “why.” It is the rationale and basis for adopting the policy, documenting that it is grounded in more than preference or administrative whim.

  • Procedure answers “how” an agency needs to implement the policy, using step-by-step, precise language.

  • References provide background and sources behind the policy and serve as supporting documentation.

    Review and Approval


    A policy is not official until it is formally issued with a signature and a date. General correctional policies can be approved by the agency CEO or administrator. Some specialty policies or policy sections that go beyond general correctional issues should be co-signed, along with the CEO or administrator, as reviewed and approved for use by an entity having expertise in the area. For example, the medical services section should be reviewed and approved by the agency’s medical director or provider; mental health policies should be reviewed and approved by the mental health provider; and fire safety policy and plans should be reviewed and approved by the fire authority having jurisdiction.

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Recommended Reading

Date Title Type
2002
Document preview
Developing and Revising Detention Facility Policies and Procedures
By Martin, Mark D.. National Institute of Corrections (Washington, DC).
A "basic, updated guide to assist local detention administrators in developing and revising their policy and procedure manuals" is presented (p. 1). Following an introduction, this manual addresses: the development and revision process; developing policies and procedures; preparing the manual; policy and procedure implementation; monitoring staff compliance; and maintaining the manual. Appendixes provide: a sample policy and procedure manual topic outline; a scenario planning worksheet; exampl... Read More
PDF
35 p.
2003
Document preview
Policy and Procedures Development
By Bounds, Bruce. National Institute of Corrections Jail Center (Boulder, CO).
Guidelines for the creation of mission statements, policies, and procedures are presented. The contents of this document include: critiques of individual policies for inmate rules and regulations, commissary orders, reporting of maintenance problems, and night lock-up of residents; mission statement -- definition, rationale, and development criteria; policy and procedures -- definitions and rationale; policy and procedure content elements; policy construction criteria; procedure construction cri... Read More
PDF
18 p.
2005
Document preview
Resource Manual for Transition to a New Jail
By Elias, Gail; Milosovich, John. National Institute of Corrections (Washington, DC). Voorhis Associates (Lafayette, CO); National Institute of Corrections (Washington, DC).
"[T]his resource document will assist agencies starting the process of planning for a successful transition to a new detention facility" (p. iii). Nine chapters comprise this manual: introduction; transitional management; construction; staff/human resources; document development; training and orientation; furniture, fixtures, equipment, and supplies; move logistics; and transition themes of managing change and community relations.... Read More
PDF
210 p.
2012
Document preview
State Departments of Corrections Web-Based Policy and Procedure Manuals
By Reid, Tom. National Institute of Corrections Information Center (Aurora, CO).
This document includes links to state department of corrections policies and procedures manuals if they are online.... Read More
WEB
9 pages
2008
Document preview
Beyond Ideology, Politics, and Guesswork: The Case for Evidence-Based Policy
Urban Institute (Washington, DC).
The need for evidence-based policy is clarified. This essay has these sections: why evidence-based policy is urgent now; programs for which evidence-based analysis is most important; prime examples -- evidence informing good policy, lack of evidence inviting bad policy, health insurance coverage, criminal justice, education, and housing discrimination; what is at stake; and key elements of sound policy analysis.... Read More
PDF
8 p.
2009
Document preview
Policy Recommendations Regarding LGBT People in California Prisons
Transgender Law Center (TLC) (San Francisco, CA).
Effective practices for ensuring the rights of LGBT (lesbian, gay, bisexual, and transgender) inmates are explained. Strategies for protecting LGBT prisoners are organized according to: classification; harassment, abuse, and sexual assault; health care; and reentry.... Read More
PDF
3 p.
2011
Document preview
Preventing & Addressing Sexual Abuse in Tribal Detention Facilities: A Policy Development Guide
By Abner, Carrie. U.S. Bureau of Justice Assistance (Washington, DC). American Probation and Parole Association (Lexington, KY).
“The purpose of this guide is to provide useful information to administrators of tribal jails, lockups, juvenile detention, and other correctional facilities, about corrections-based sexual abuse, the Prison Rape Elimination Act, and their role in addressing this issue through the development of appropriate policies and procedures … The guide provides background information on the problem of corrections-based sexual assault, the impact of sexual abuse victimization on inmate behavior, and the wa... Read More
PDF
76 pages
2001
Document preview
Responding to Parole and Probation Violations: A Handbook to Guide Local Policy Development
By Carter, Madeline M.. National Institute of Corrections (Washington, DC). Center for Effective Public Policy (Silver Spring, MD); National Institute of Corrections (Washington, DC).
This handbook discusses policy responses to probation and parole violations that enhance the effectiveness of supervision while also improving community safety. Chapters include:
  • Critical issues in violations -- an overview;
  • The importance of vision, mission, goals, and core values;
  • Collaboration -- a central ingredient for success;
  • Developing baseline information;
  • Supervision;
  • Developing tools to make the policy work;
  • Increasing available choices to violation response;<... Read More
PDF
101 pages
2002
Document preview
Staff Sexual Misconduct with Inmates: Policy Development Guide for Sheriffs and Jail Administrators
By McCampbell, Susan W.; Fischer, Larry S.. National Institute of Corrections (Washington, DC). Center for Innovative Public Policies (Tamarac, FL); National Institute of Corrections (Washington, DC).
Tools to assess an organization and implement strategies to prevent staff sexual misconduct in a jail setting are provided. The following sections comprise this document: introduction; using this guide; how to know if an agency needs a policy -- what staff sexual misconduct is, definitions, red flags, and writing policies and procedures; and agency triage -- administrative and management practices, security and supervision, investigations, and inmate programming.... Read More
PDF
41 p.
2008
Document preview
The Prison Rape Elimination Act (PREA): An Evaluation of Policy Compliance With Illustrative Excerpts
By Thompson, R. Alan; Nored, Lisa S.; Dial, Kelly Cheeseman.
In addition to assessing the compliance of selected agencies with the Prison Rape Elimination Act (PREA), this article provides sample policy statements to guide other organizations in their development of PREA policies. Sections following an abstract include: the PREA of 2003; research method; analysis and findings about staff training, inmate education, classification at intake, zero tolerance, reporting procedures, investigative protocol, mandatory separation, and inmate victim aftercare; an... Read More
WEB
24 p.
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