Perf-Based Stds, Transportation of Inmates, 1st Ed_Jan 2025

PERFORMANCE-BASED STANDARDS AND EXPECTED PRACTICES FOR TRANSPORTATION OF INMATES

First Edition

American Correctional Association in cooperation with the Commission on Accreditation for Corrections

January 2025

Mission of the American Correctional Association The American Correctional Association provides a professional organization for all individuals and groups, both public and private, that share a common goal of improving the justice system.

American Correctional Association Staff Robert L. Green, Executive Director Jeffrey Washington, Deputy Executive Director David K. Haasenritter, Director, Performance-Based Standards and Accreditation Kirk A. Raymond, Director, Communications and Publications

Copyright © 2025 by the American Correctional Association. All rights reserved. The reproduction, distribution, or inclusion in other publications or in electronic form of materials in the this book is prohib ited without prior written permission from the American Correctional Association. No part of this book may be reproduced by any electronic means, including information storage and retrieval systems, without permission in writing from the publisher.

First Edition: January 2025 ISBN # 979-8-9850365-5-81

Information on accreditation may be obtained from: American Correctional Association Department of Performance-Based Standards and Accreditation 206 North Washington Street, Suite 200 Alexandria, VA 22314 1-800-224-0000

This publication may be ordered from: American Correctional Association 206 North Washington Street, Suite 200 Alexandria, VA 22314 1-800-224-0000

For information on publications and videos available fro m ACA, find us online at: www.aca.org.

On the cover: CCSO Sheriff car file is licensed under the Creative Commons Attribution-Share Alike 4.0 International license. Van image was changed from the original, represents crown court in Manchester www.dpp-law.com. Bus photo courtesy Florida Department of Corrections Cover. Background image: Adobe Stock/Vodkaz

COMMISSION ON ACCREDITATION FOR CORRECTIONS Executive Committee

Thomas J. Stickrath, Ohio, Chair Dr. Lannette L. Linthicum, Texas, Vice-Chair Peter Grande, Kansas, Member at Large Ronald E. Koon, Ph.D, Georgia, Member at Large Telisa E. White, North Carolina, Member-at-Large

Commissioners

Sandra Amoia, New York Angela Arabie, Louisiana Jimmie Barrett, Virginia Rodney L. Berry, Virginia Christine M. Blessinger, Indiana April B. Buckner, Tennessee Marina Cadreche, Florida Kristen Dauss, Tennessee Alexander M. Deshotels, Louisiana Michael D. DeVoter, Florida Elias A Diggins, Colorado Peter J. Grande, Kansas Pamela J. Hill, Georgia Racheal Hoffmann-Ots, Florida Todd E. Ishee, North Carolina Linda S. Janes, Ohio Annette M. Chambers-Smith, Ohio, Chair Bryan Collier, Texas, Vice Chair Christine M. Blessinger, Indiana Marina Cadreche, Florida Harold W. Clarke, Virginia Alexander M. Deshotels, Louisiana Peter J. Grande, Kansas Linda S. Janes, Ohio Ronald E. Koon, Ph.D., Georgia Blake LeBlanc, Louisiana

Ronald E. Koon, Ph.D, Georgia LaToya Lane, Florida Dr. Lannette L. Linthicum, Texas, George T. Maier, Ohio

Phillip Nunes, Ohio Tina Patrick, Ohio

Gerald Patterson, Sr., Virginia Colette M. Santa, Massachusetts Darlene Smith, Ohio

Donald Stewart, Tennessee Thomas J Stickrath, Ohio Chris J. Sweney, Nebraska Timothy C. Ward, Georgia

Telisa E. White, North Carolina Jennifer Williams, Tennessee Dr. Kenneth L. Williams, Tennessee

Committee on Performance-Based Standards

Dr. Lannette C. Linthicum, Texas Garry L. McFadden, North Carolina Carol A. Moores, New York Viola A. Riggin, Kansas Colette M. Santa, Massachusetts Randy Sauls, Georgia Thomas J Stickrath, Ohio Jennifer Stohr, Ohio

Frank Strada, Tennessee Chris J. Sweney, Nebraska

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AMERICAN CORRECTIONAL ASSOCIATION 2023-2025

Officers

Denise M. Robinson, Ohio, President Ricky D. Dixon, Florida, President-Elect Tony C. Parker, Tennessee, Past President Tyrone C. Oliver, Georgia, Vice President Dr. Harbans S. Deol, Nebraska, Treasurer

Nathan “Burl” Cain, Mississippi, Board of Governors Representative Garry L. McFadden, North Carolina, Board of Governors Representative Robert L. Green, Maryland, Executive Director

Marina Cadreche, Psy.D., Florida Nathan “Burl” Cain, Mississippi Christopher G. Carter, Texas Bryan Collier, Texas Latera M. Davis, Georgia Janet Dowling, Oklahoma Jill Gillian, Tennessee Steven Harpe, Oklahoma Garry L. McFadden, North Carolina Everett “Keith” Neely, Florida Joe Page, III, District of Columbia Susan Siedentop, Tennessee Dr. David L. Thomas, Florida S. “Anne” Walker, South Carolina Kellie Wasko, South Dakota Joe Winkler, Florida Board of Governors Viola A. Riggin, Kansas Jennifer Sanders, Ohio

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Contents Foreword . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .viii Acknowledgments. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .ix Summary of Mandatory Expected Practices . . . . . . . . . . . . . . . . . . . . . . . x Performance-Based Standards and Expected Practices Explained . . . . . . . . . . . . . . xi 1. Administration . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1 1A. Administration . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1 1B. Performance-Based Standard: Legal Compliance. . . . . . . . . . . . . . . . . . . 3 1C. Performance-Based Standard: Contracting for Transports . . . . . . . . . . . . . . . . 3 1D. Performance-Based Standard: Transferring Custody To Receiving Facility. . . . . . . . . 4 1E. Performance-Based Standard: Intelligence Analysis. . . . . . . . . . . . . . . . . . 4 1F. Performance-Based Standard: Cross Jurisdictional Notification ..............5 2. Security . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .7 2A. Authorization Requirements For Transport . . . . . . . . . . . . . . . . . . . . . 7 2B. Performance-Based Standard: Inmate Identification . . . . . . . . . . . . . . . . . . 8 2C. Performance-Based Standard: Vehicle Security . . . . . . . . . . . . . . . . . . . . 9 2D. Performance-Based Standard: Security Equipment. . . . . . . . . . . . . . . . . . 11 2E. Performance-Based Standard: Weapons . . . . . . . . . . . . . . . . . . . . . . 13 2F. Performance-Based Standard: Use Of Physical Force. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .16 2G. Performance-Based Standard: Restraints. . . . . . . . . . . . . . . . . . . . . . 16 2H. Performance-Based Standard: Emergency Evacuation of Vehicle . . . . . . . . . . . . 19 2I. Performance-Based Standard: Communications. . . . . . . . . . . . . . . . . . . 20 2J. Performance-Based Standard: Staffing . . . . . . . . . . . . . . . . . . . . . . .20 2K. Performance-Based Standard: Route Planning. . . . . . . . . . . . . . . . . . . . 21 2L. Performance-Based Standard: Searches . . . . . . . . . . . . . . . . . . . . . . 22 2M. Performance-Based Standard: Escort Procedures. . . . . . . . . . . . . . . . . . . 23 2N. Performance-Based Standard: Emergency Medical Transports . . . . . . . . . . . . . 26 2O. Performance-Based Standard: Pregnancy Management. . . . . . . . . . . . . . . . 28 3. Safety .....................................31 3A. Transport Officer ID/Uniform Requirements . . . . . . . . . . . . . . . . . . . . 31 3B. Performance-Based Standard: Transport Vehicles. . . . . . . . . . . . . . . . . . . 31

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4. Health Care . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .35 4A. Administrative . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .35 4B. Performance-Based Standard: Transportation of the Special Population. . . . . . . . . . 40 4C. Performance-Based Standard: Emergency Medical Transports . . . . . . . . . . . . . 41 5. Training . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 43 5A. Qualified Personnel . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 43

Glossary . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .47

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Accreditation Manuals Published by the American Correctional Association Performance-Based Core Jail Standards – First Edition Performance-Based International Adult Community Residential Services – First Edition Performance-Based International Correctional Core Standards- Adult – First Edition Performance-Based International Correctional Core Standards- Juvenile – First Edition Performance-Based International Correctional Core Standards- Mexico – First Edition Standards for International Correctional Training Academy – First Edition Performance-Based Standards and Expected Practices for Adult Correctional Institutions – Fifth Edition Performance-Based Standards for Adult Community Residential Services -–Fourth Edition Performance-Based Standards and Expected Practices for Adult Local Detention Facilities-–Fifth Edition Performance-Based Standards for Adult Probation and Parole Field Services – Forth Edition Performance-Based Standards for Correctional Industries – Second Edition Performance-Based Standards for Juvenile Correctional Facilities – Fifth Edition Performance-Based Standards for Therapeutic Communities – First Edition Performance-Based Health Care Standards for Adult Correctional Institutions – First Edition Performance-Based Health Care Standards for Adult Local Detention Facilities – First Edition Performance-Based Health Care Standards for Juvenile Correctional Facilities, – First Edition

Standards for Administration of Correctional Agencies - Second Edition Standards for Adult Correctional Boot Camps Programs– First Edition Standards for Adult Parole Authorities - Second Edition Standards for Correctional Training Academies – First Edition Standards for Electronic Monitoring Programs – First Edition Standards for Food Service Programs – First Edition Standards for International Correctional Training Academy – First Edition Standards for Juvenile Community Residential Facilities –Third Edition Standards for Juvenile Correctional Boot Camps – First Edition Standards for Juvenile Day Treatment Programs – First Edition Standards for Juvenile Detention Facilities -–Third Edition Standards for Juvenile Probation and Aftercare Services –Second Edition Standards for Small Juvenile Detention Facilities – First Edition

These publications may be ordered from: American Correctional Association 206 North Washington Street Alexandria, VA 22314 1-800-222-5646

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Foreword Transportation of inmates is one of the most dangerous tasks corrections and law enforcement officers perform. This Performance-Based Standards and Expected Practices for Transportation of Inmates manual, First Edition will play a pivotal role in enhancing the safety and efficiency of transportation operations. American Correctional Association (ACA) President Denise Robinson estab lished a Blue-Ribbon Committee to quickly develop inmate transportation expect ed practices. The Committee was tasked to review current policies and practices, identify core actions and equipment and develop comprehensive guidelines and expected practices. The Committee collected transportation policy and procedures from 17 counties, state and military adult and juvenile facilities and agencies. They received two after action reports from agencies that had a transportation in cident and received two presentations on transportation incidents, the results of the investigations and the actions taken by those agencies due to the incidents. Using this information and their experience they developed these expected practices that were approved by the ACA Standards Committee. The Performance-Based Standards and Expected Practices for Transportation of Inmates manual establishes expected practices for adult and juvenile facilities and law enforcement officers. When followed it will improve the safety and se curity of transporting inmates. It addresses one of the most dangerous tasks cor rections and law enforcement officers perform. ACA will always be committed to promoting and improving the field of corrections while providing correctional professionals with the support they need to face their day-to-day challenges.

Robert L. Green Executive Director American Correctional Association

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Acknowledgments We wish to extend our appreciation to those who have given freely of their time and effort in the development of this manual of Performance-Based Standards and Expected Practices for Transportation of Inmates . We are particularly proud of the fact this document is a product developed by professionals who are or have been directly involved in the very difficult task of providing for the security and management of transporting inmates outside facilities.

Major Contributors to this effort (in alphabetical order) are as follows:

Sheriff Elias Diggins, Denver Sheriff Department David Haasenritter, ACA

Wes Kirkland, Florida Department of Corrections Bill Lewis, Texas Department of Criminal Justice Orchid Powell, ACA Charles Riley, Ohio Department of Rehabilitation and Corrections Randy Sauls Georgia Department of Corrections.

Jennifer Stohr, Alvis Inc Jeff Washington, ACA

We also wish to gratefully acknowledge the 17 counties, state and military adult and juvenile facilities and agencies that provided documents and presentations that contributed to the many drafts and ultimately, this final product. Specifically, the Texas Department of Criminal Justice and North Carolina Department of Corrections provided presentations on incidents and actions taken as a result of those incidents. We would finally like to recognize the contribution, support, encouragement and commitment to this project by ACA President Denise Robinson and ACA Executive Director Robert Green.

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Summary of Mandatory Expected Practices

Total of Weights

Category

Number

Mandatory Standards/Expected Practices Non-mandatory Standards/Expected Practices

9

105 114

TOTAL

Summary of Mandatory Standards/Expected Practices

1-TS-2D-08 1-TS-2E-01 1-TS-2E-02

1-TS-2E-03 1-TS-2F-01 1-TS-2I-02

1-TS-3B-01 1-TS-5A-05 1-TS-5A-06

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Performance-Based Standards and Expected Practices Explained The performance-based standards, expected practices and outcome measures included in this manual are the result of a major initiative undertaken by the American Correctional Association to improve the delivery of care to offenders within the correctional environment using the concept and template for performance based standards. Conceived and developed by professionals, these performance standards, expected prac tices and outcome measures will enable administrators and practitioners to not only monitor activities but also to measure over time the outcomes of their efforts. More than five years in the making, the American Correctional Association unveiled its first set of performance-based standards in August 2000. Partially funded by the Bureau of Justice Assistance (BJA), U.S. Department of Justice, Standards for Adult Community Residential Services, 4th edition is the proto type that will guide the eventual development of all ACA performance-based accreditation manuals. The Bottom Line—What’s Different? Table 1 describes the relationship between the elements of the traditional accreditation model and the new performance-based accreditation model. Table 1: Comparing the Elements of the Performance-Based Accreditation Model, and the Traditional Accreditation Model I. The Basics

New Performance-Based Element

Traditional Standards Element

Previous Accreditation Element

Performance Standard

None (new element)

None (new element)

Outcome Measure

None (new element)

None (new element)

Standard

Standard

Expected Practice

Comment

Comment

Comment

None

Primary Documentation

Protocol

None

Secondary Documentation

Process Indicator

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When Is a Standard No Longer a Standard? As Table 1 suggests, the biggest change in terminology is what we used to call “standards” all have been reclassified as “expected practices.” The reason for this change reveals the fundamental difference between the traditional standards and ACA’s new performance-based standards. Traditional Standards and Expected Practices describe activities or practices that are prescribed for practitioners, but performance standards describe a condition to be achieved and maintained. What Does This Mean for Accreditation? Guided by a review of significant incidents and a report that examines conditions of confinement, the Commission on Accreditation for Corrections currently examines issues that affect the life, health, and safety of staff and offenders. As data is collected for the new outcome measures, the Commission will have more information about actual and ongoing operations. More important, you will have an important new management tool.

II. The Fundamentals of Performance-Based Accreditation

ACA’s performance-based accreditation are comprised of several elements: • GOAL STATEMENT (one for each functional area) • PERFORMANCE STANDARDS (as many as are needed to achieve the goal)

• OUTCOME MEASURES (for each performance standard) • EXPECTED PRACTICES (for each performance standard) • PROTOCOLS • PROCESS INDICATORS

These elements are defined and described in Table 2.

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TABLE 2: Definitions of Terms for Performance-Based Accreditation

Element

Definition

Goal Statement

General statement of what is sought within the functional area.

A statement that clearly defines a required or essential condition to be achieved and maintained. A performance standard describes a “state of being,” a condition, and does not describe the activities or practices that might be necessary to achieve compliance. Performance standards reflect the program’s overall mission and purpose. Measurable events, occurrences, conditions, behaviors or attitudes that demonstrate the extent to which the condition described in the performance standard has been achieved. Outcome measures describe the consequences of the program’s activities, rather than describing the activities themselves. Outcome measures can be compared over time to indicate changes in the conditions that are sought. Outcome measure data are col lected continuously but usually are analyzed periodically. Actions and activities that, if implemented properly, will produce the desired outcome. What we think is necessary to achieve and maintain compliance with the performance standard—but not necessarily the only way to do so. Activities that represent the current experience of the field, but that are not necessarily supported by research. As the field learns and evolves, so will expected practices.

Performance Standard

Outcome Measure

Expected Practice(s)

(continued)

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TABLE 2: Definitions of Performance-Based Accreditation (continued)

Element

Definition

Protocol(s)

Written instructions that guide implementation of expected prac tices, such as: polices/procedures, post orders, training curriculum, formats to be used such as logs and forms, offender handbooks, diagrams such as fire exit plans, internal inspection forms. Documentation and other evidence that can be examined periodi cally and continuously to determine that practices are being imple mented properly. These tracks, or footprints, allow supervisory and management staff to monitor ongoing operations.

Process Indicators

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The following diagram (Table 3) attempts to describe the functional relationships among the elements.

TABLE 3: Functional Relationship of Performance-Based Accreditation Elements

Functional Area

GOAL Overall statement of what is sought.

PERFORMANCE STANDARD What is to occur—the condition to be achieved.

OUTCOME MEASURES Was the condition achieved? Were the practices effective?

EXPECTED PRACTICE How to achieve the condition. Activities which, if properly implemented according to protocols, contribute to achievement.

PROTOCOLS Written instructions that guide expected practices.

PROCESS INDICATORS Evidence that practices were implemented properly.

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GOAL STATEMENT Perhaps the least-appreciated element of the template, the goal statement attempts to establish an overall purpose for the performance standards in the functional area. PERFORMANCE STANDARD A performance standard is a statement that clearly defines a required or essential condition to be achieved and maintained. A performance standard describes a “state of being,” a condition, and does not describe the activities or practices that might be necessary to achieve compliance. Performance standards reflect the program’s overall mission and purpose and contribute to the realization of the goal that has been articulated. Because performance standards are so fundamental and basic, it is less likely that they will require frequent revision. But as the field continues to learn from experience, it is predicted, and even hoped, that the ex pected practices that are prescribed to achieve compliance with the performance standards will continue to evolve. OUTCOME MEASURES Outcome measures are quantifiable (measurable) events, occurrences, conditions, behaviors, or attitudes that demonstrate the extent to which the condition described in the corresponding performance standard has been achieved. Outcome measures describe the consequences of the organization’s activities, rather than describing the activities themselves. Because outcome measures are quantifiable, they can be compared over time to indicate changes in the conditions that are sought. Measurable outcome data is collected continuously but is usually analyzed periodically. The first time you measure an outcome, you establish a point of reference. By comparing the next measurement (weeks or months later), you can identify progress, or lack of progress toward the desired outcome. The first time you generate outcome measures, they may not mean much to you but their value grows every time you measure. The second time you measure outcomes, you will be able to compare current out comes to those that you measured in the past. In this way, outcome measures become a valuable manage ment tool. Over time, the series of outcome measures that you calculate can provide invaluable insight into many aspects of your operation. Sometimes, they will provide you with important “red flags” that identify troubling trends. EXPECTED PRACTICES Expected practices are actions and activities that, if implemented properly (according to protocols), will produce the desired outcome—achievement of the condition described in the performance standard. Expected practices represent what the practitioners believe is necessary to achieve and maintain compli ance with the performance standard—but may not be the only way to achieve compliance. These activities represent the best thinking of the field, supported by experience, but often are not founded on research. As conditions change and as we learn from our experience, we expect practices to evolve.

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It is arguable that expected practices should be changed over time to reflect our growing body of knowl edge and experience. On the other hand, it is likely that we will see much less change with the overarching performance standards, which are more basic and fundamental. WHAT DOES THIS MEAN FOR ACCREDITATION? Agencies applying for accreditation under the performance-based format will be required not only to submit the data from the outcome measures at the time of their audit, they also will be required to submit the data yearly as part of their annual report. The original outcome measures will be used to establish base line data and each year’s ensuing report will be added to the database. As each agency is considered for re-accreditation, the Commission on Accreditation for Corrections will review the historical data over the three-year period as well as the data generated by the most recent audit. When the Commission renders an accreditation decision, the outcome measures as well as levels of compliance with the expected practices will be considered as part of the totality of conditions of the system.

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1. Administration

GOAL: Administer and manage transportation of inmates outside the facility in a safe, secure, professional and responsible manner, consistent with statutory requirements.

1A. ADMINISTRATION EXPECTED PRACTICES

1-TS-1A-01

The transportation of inmates outside the facility is governed by written pol icy and procedures that emphasizes safety and security. Procedures are made available to staff. Written policy and procedures are reviewed annually and updated as needed. Comment : Guidelines for transporting inmates should emphasize safety and should be made available to staff. The institution should have policies governing transportation of inmates. Protocols : Written policy and procedure. Process Indicators : Policy review documentation; Staff and inmate interviews. Written policy, procedure and practice provides that the facility maintains current accurate records of all inmates in transport status outside the facility. Comment : Can be paper or electronic logs. Protocols : Written policy and procedures. Process Indicators : Completed transport authorizations; Inmate location records; Travel roster; Interviews; Observation. Written policy, procedure and practice requires that records of all transpor tation trips are maintained in accordance with agency or state requirements. At a minimum, the record will include: transporting officers, vehicle utilized, inmate(s) transported, date and time of departure from originating location, stop locations with start and end times of stop(s), purpose of transport, desti nation address and date and time of destination, and date and time of return to originating location.

1-TS-1A-02

1-TS-1A-03

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Part 1: Administration

Comment : None. Protocols : Written policy and procedure. Process Indicators : Trip logs; Travel roster; Control center log; Transport log. Written policy, procedure and practice provides for transportation during emergency evacuation of a facility or unit. Comment : Emergency situations such as weather, natural disaster, fire, etc. may lead to a need to transport large number of inmates to another facility. Protocols : Written policy and procedure; Emergency plans; Post orders; Memorandum of Agreements. Process Indicators : Transportation documents. Written policy and procedures shall be in place for circumstances when a department vehicle breaks down or is involved in an accident. An abbre viated version of the policy shall be placed in each department vehicle and easily accessible to transporting personnel. The policy shall include but not be limited to the following: 1. Requirements to notify a supervisor as soon as practical. 2. Specific instructions relative to when inmates or those in custody are being transported. 3. In cases of accidents, requirements to notify local law enforcement as soon as practical. 4. In cases of accidents when inmates/people in custody are being trans ported, requirements to have them screened by medical personnel as soon as practical. 5. Documentation of the incident and all actions taken. Comments : None Protocols : Written policy and procedure. Post orders Process Indicators : Transportation logs/documentation; Communication logs; Incident reports; Police paperwork; Medical paperwork; Interviews.

1-TS-1A-04

1-TS-1A-05

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1B. PERFORMANCE-BASED STANDARD: LEGAL COMPLIANCE EXPECTED PRACTICES

1-TS-1B-01

Written policy, procedure and practice requires all staff operating motor vehicles for transportation details possess a valid driver’s license subject to the vehicle operated. Policy at a minimum will include:

1. Method for verifying licenses. 2. Frequency of license verification. 3. Staff self-report of restrictions on license.

Comment : Includes verification of CDL certification Protocols : Written policy and procedures Process Indicators : Position description; Verification of driver’s license; Trans portation rosters

1C. PERFORMANCE-BASED STANDARD: CONTRACTING FOR TRANSPORTS EXPECTED PRACTICES

1-TS-1C-01

Written policy, procedure, and practice provide that contracted transporta tion services comply with established facility/agency transportation policies. Excludes community emergency medical transports by ambulance or similar. Comment : Contracted transportation agencies should be required by contract to meet department transportation policies. Protocols : Written policy and procedure; Contract. Process Indicators : Contracts; Contract evaluations and reviews; Interviews. Written policy and procedure require that contract transportation services are monitored for compliance with facility/agency established transportation policies and standards. Monitoring should be regular and occur on a sched uled and an unannounced basis. Comment : None. Protocols : Written policy and procedure; Contract Process Indicators : Monitoring documentation/reports.

1-TS-1C-02

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Part 1: Administration

1-TS-1C-03

Written policy, procedure, and practice require that contract transportation providers receive specialized transportation training prior to transporting inmate as required by the contracting facility/agency. Comment : None. Protocols : Written policy and procedures; Training curriculum. Process Indicators : Training records; Interviews.

1D. PERFORMANCE-BASED STANDARD: TRANSFERRING CUSTODY TO RECEIVING FACILITY EXPECTED PRACTICES

1-TS-1D-01

Written policy, procedure, and practice provide that an updated case file for any inmate transferred from one institution to another is transferred simulta neously or, at the latest, within 72 hours. Comment : Continuity of correctional programming for inmates transferred from other institutions requires staff have the benefit of a complete cumulative case record as soon as possible. Protocols : Written policy and procedure. Process Indicators : Transfer logs; Inmate case files; Interviews.

1E. PERFORMANCE-BASED STANDARD: INTELLIGENCE ANALYSIS EXPECTED PRACTICES

1-TS-1E-01

Written policy, procedure, and practice provides that the facility/agency implements intelligence gathering to monitor for potential transportation security risks. Comment : Intelligence gathering can include: phone call monitoring, mail review, library activity review, etc. Protocols : Written policy and procedure. Process Indicators : Interview; Documentation of intelligence gathering activities and/or security alerts.

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1F. PERFORMANCE-BASED STANDARD: CROSS JURISDICTIONAL NOTIFICATION EXPECTED PRACTICES

1-TS-1F-01

Written policy, procedure and practice specifies the circumstances in which the facility/agency coordinates transportation with outside law enforcement agencies. Comment : Coordination with assisting law enforcement agencies if and when incidents occur. Protocols : Written policy and procedures; Agreements. Process Indicators : Interviews; Documentation of notification/coordination. Written policy, procedure and practice provide for communications with local law enforcement agencies for emergency events occurring during a transport. Comment : None. Protocols : Written policy and procedure. Process Indicators : Staff interviews; Notification.

1-TS-1F-02

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2. Security GOAL: The facility/agency protects the community, the staff, the inmates and others from harm while maintaining security and an orderly environment when transporting inmates outside the facility.

2A. AUTHORIZATION REQUIREMENTS FOR TRANSPORT EXPECTED PRACTICES

1-TS-2A-01

Written policy, procedure, and practice require written authorization orders be generated prior to a transport being conducted, except for medical emer gencies. Policy should clearly identify the individuals or departments autho rized to generate transfer orders. Comment : None. Protocols : Written policy and procedure. Process Indicators : Documentation of transport orders. Written policy and procedure provide for a process to approve or deny and administer funeral/bedside visit requests. This process takes into consider ation virtual visits to eliminate the need for physical transport of the inmate. Comment : Consideration given to cost of transport, location of service or visit, responsibility for cost, special considerations of others in attendance. Protocols : Written policy and procedure; Post orders. Process Indicators : Approval or deny letter; Transport logs/documentation.

1-TS-2A-02

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Part 2: Security

2B. PERFORMANCE-BASED STANDARD: INMATE IDENTIFICATION EXPECTED PRACTICES

1-TS-2B-01

Written policy, procedure, and practice require that transportation staff ver ify the identity of inmates to be transported with a written transfer order and inmate identification document that includes a current picture of the inmate. Comment : None. Protocols : Written policy and procedure. Process Indicators : Staff interviews; Observation; Transfer orders; Documenta tion of identity verification. Written policy, procedure and practice are clearly defined and address inmate uniform and photographic identification document requirements while in transport status. Comment : Inmate uniform/dress during transportation and activities in the com munity should allow for easy identification of the inmate’s incarceration status. Protocols : Written policy and procedure. Process Indicators : Staff interviews; Observation. Written policy, procedure, and practice require that a security supervisor verify the identification of inmates prior to transport. Comment : Inmate identity should be verified by a supervisor before transport occurs. Protocols : Written policy and procedure. Process Indicators : Staff interviews; Observation; Documentation of transport records with acknowledgment of supervisor checks. Written policy, procedure and practice provide for separation of custody and security levels during transportation as determined by the facility operations. Comment : None. Protocols : Written policy and procedure. Process Indicators : Transportation logs; Observation; Staff interviews.

1-TS-2B-02

1-TS-2B-03

1-TS-2B-04

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Part 2: Security

1-TS-2B-05

Written policy and procedure require transportation staff to account for all inmates at each loading and unloading point, verified through photographic confirmation. This count shall coincide with the transportation manifest. Comment : None. Protocols : Written policy and procedure. Process Indicators : Transportation manifest; Transportation log/checklists. Ob servation; Interviews. Written policy, procedure and practice require that inmates that have separa tion restrictions from another inmate(s) are not transported together within the same compartment of the transport vehicle. Comment : Separation restrictions would include disciplinary reasons, protective custody, victimization history, security threat, vulnerable inmate. Protocols : Written policy and procedure. Process Indicators : Transportation log/checklists; Inmate transportation assign ment. Written policy, procedure and practice provide that transport vehicles are searched prior to and following each transport. Documented searches of transport vehicles should include, at minimum: 1. Inspection of external and internal integrity of the vehicle, including security enclosures. 2. Searches of vehicles for contraband. 3. Inspection of safety equipment such as lights, windshield wipers, mirrors, door locks, air conditioning and heating systems and video surveillance equipment; and emergency equipment such as a fully charged fire extinguisher and first aid kit. 4. Visual inspections of undercarriage, tires, spare tire and jack. 5. Inspection of communications equipment to ensure it is operational. Comment : Transport vehicles will be searched following each stop where the vehicle has been unattended.

1-TS-2B-06

2C. PERFORMANCE-BASED STANDARD: VEHICLE SECURITY EXPECTED PRACTICES

1-TS-2C-01

Transportation of Inmates, First Edition

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Part 2: Security

Protocols : Written policy and procedures. Process Indicators : Observation; Staff interviews. Vehicle search/inspection documentation.

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Written policy, procedure and practice provide for transport of inmates in transport vehicles including securing all access doors and windows with security devices. Barriers should be used to inhibit inmate access to the trans port driver and other security staff. When barriers are not available, a second security staff will be positioned in the vehicle, seated next to the inmate. Comment : Security devices may include bars, security hasps, padlocks, expanded metal and plexiglass. Protocols : Written policy and procedure. Process Indicators : Transportation logs; Photos; Observation; Staff interviews. Written policy, procedure and practice provides that a Global Position Systems (GPS) or other location tracking system is used to account for the location of all transport vehicles. Comment : None Protocols : Written policy and procedure. Process Indicators : Transport records; GPS activity reports. Written policy, procedure and practice provide for surveillance monitoring of transports. Facility/agency vehicles designated exclusively for inmate trans portation are equipped with video surveillance cameras with internal views, including inmate transport compartments, and external views of the vehicle. Designated staff routinely view available video surveillance. Comment : None. Protocols : Written policy and procedure. Process Indicators : Surveillance monitoring records; Job descriptions; Observation of surveillance.

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Written policy, procedure and practice require that personal property is transported in a separate compartment of the vehicle or transported in another vehicle, away from the inmate. Comment : Medically necessary items can be stored in the same vehicle compart ment, based upon agency policy and security concerns. Protocols : Written policy and procedures. Process Indicators : Transportation logs/records; Observation; Interviews.

2D. PERFORMANCE-BASED STANDARD: SECURITY EQUIPMENT EXPECTED PRACTICES

1-TS-2D-01

Written policy, procedure, and practice require that the Chief of Security or qualified designee conduct at least weekly inspections of all security devic es utilized in transport, noting items needing repair or maintenance. Items identified as needing repair/maintenance are removed from circulation until repairs are completed. The inspections are reported in writing to the warden/ superintendent and/or chief security officer. Comment : There should be a scheduled inspection procedure to ensure all equipment assigned/utilized for transportation are in proper working condition. Includes but not limited to: handcuffs, leg restraints, cuff protectors, belly chains, flexicuffs, electronic immobilization devices, body worn cameras, body armor and security devices to ensure devices are fully operational. The results of all inspections should be submitted in writing to the warden/superintendent and/or the officer in charge of security. Protocols : Written policy and procedure; Schedule; Weekly inspection forms. Process Indicators : Inspection reports; Maintenance and repair records. Written policy, procedure and practice require that transport staff are issued equipment for the secure storage of communication devices, firearms, elec tronic immobilization devices, munitions and chemical agents. Comment : Upon issuance of firearm, weapon or other security device, the trans port officer will be provided with proper fitting belts, appropriate holsters/carrier and/or weapon-mount for issued equipment. Protocols : Written policy and procedure. Process Indicators : Armory issuance logs; Observation; Staff interviews.

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Part 2: Security

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Written policy, procedure and practice provides that portable radios and/or communication devices will be carried securely. Comment : Radios should not be carried in the pocket(s) of trousers, utility pants or shirt pockets. Protocols : Written policy and procedure. Process Indicators : Observation; Staff interviews; Issuance of radio holsters. Written policy, procedure, and practice detail the requirements for body armor to be used on transportation details. Comment : Proper body armor should be determined by the agency depending on the type of transport and custody level of inmates. Protocols : Written policy and procedures. Process Indicators : Transportation records; Equipment issue records; Pictures; Observation; Interviews. Written policy, procedure and practice require staff assigned to armed trans portation details wear body armor. Comment : None. Protocols : Written policy and procedure. Process Indicators : Transportation rosters; Post orders; Equipment sign out sheets. Written policy, procedure and practice provides the requirements and process for cleaning and disinfecting of body armor. Comment : None. Protocols : Written policy and procedure. Process Indicators : Observation; Interviews; Logs.

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Part 2: Security

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Written policy, procedure and practice for documenting, inspecting, track ing and reporting the service life of body armor. This process provides for replacement of body armor as required by the manufacturer. Comment : None. Protocols : Written policy and procedures. Process Indicators : Logistics records; Observation; Inspection logs. (MANDATORY) Written policy, procedure, and practice govern the control and use of keys. Comment : Includes vehicle keys, key fobs, handcuff keys. Protocols : Written policy and procedure; Key control plan; Format for reports. Process Indicators : Facility logs; Documentation of key control activities (re cords, logs, completed forms).

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2E. PERFORMANCE-BASED STANDARD: WEAPONS EXPECTED PRACTICES

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(MANDATORY) Written policy, procedure and practice govern the use of firearms, including the following: 1. Weapons are subject to stringent safety regulations and inspections. 2. Transport staff follow specific procedures for ensuring the security of weapons. 3. Staff are instructed to use deadly force only after other actions have been tried and found ineffective, unless the staff believes that a per son’s life is immediately threatened. 4. Staff shall not use deadly force during transport if firing a weapon may endanger the lives of others.

Comment : None. Protocols : Written policy and procedure. Process Indicators : Training records; Staff interviews.

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Part 2: Security

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(MANDATORY) Written policy, procedure and practice provide for the safe unloading and reloading of firearms. Comment : None. Protocols : Written policy and procedure. Process Indicators : Training records; Staff interviews; Incident report(s). (MANDATORY) Written policy, procedure and practice of verification of current firearms certification prior to the issuance of firearm to transporta tion staff. Comment : Firearms should only be issued after verification of current firearm certification. Protocols : Written policy and procedures. Process Indicators : Firearms issuance documents; Firearms certification records; Interviews. Written policy, procedure, and practice require transport staff to be trained to safeguard their weapon from access by inmates or other unauthorized persons. Comment : All transport staff will remain alert and observant to situations that could allow inmates to access weapons worn by other officers, deputies, bailiffs, etc., as well as any other object that could be utilized as a weapon or an escape tool. Safeguards for firearms retention includes secure storage, use of unarmed staff to have direct contact with the inmate and escorting inmate away from holstered weapon. Protocols : Policy and procedure. Process Indicators : Transportation logs/checklists; Training records; Supervisor weapons checks; Video surveillance review records; Reports of weapon security concerns. Written policy, procedure, and practice govern the use of chemical agents and less-lethal munitions, including the following: 1. Chemical agents and less-lethal munitions are subject to stringent safety regulations and inspections. 2. Transport staff follow specific procedures for ensuring the security of chemical agents and less-lethal munitions.

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Part 2: Security

Comment : Based on security needs, transportation staff will be assigned less- lethal munitions. Less-lethal munitions may include chemical agents, electronic disablers, shields, batons, helmets and gloves. Protocols : Written policy and procedure. Process Indicators : Training records; Inspection records; Equipment logs; Staff interviews. Written policy, procedure and practice provides that firearms, chemical agents and less than lethal devices utilized during transportation are invento ried at least monthly to verify their condition and expiration dates. Comment : Written policy should specify who has access to the depository where security equipment is stored. Protocols : Written policy and procedure; Inventory forms; Inventory schedule. Process Indicators : Armory records; Completed inventory forms; Facility records and logs; Observation. Written policy, procedure and practice requires that all transportation vehi cles where chemical agents have been assigned are equipped with a decontam ination kit and detailed instructions on decontamination procedures. Comment : Decontamination kits should be readily available in the event of using chemicals to decontaminate staff and inmate. Protocols : Written policy and procedure. Process Indicators : Inventory; Photos; Observation; Inspection logs.

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Written policy, procedure, and practice provide that written reports are sub mitted to the warden/superintendent or designee no later than the conclusion of the tour of duty when any of the following occur:

1. Discharge of a firearm or other weapon. 2. Use of chemical agents to control inmates. 3. Type and amount of force to control inmates.

Comment : None. Protocols : Written policy and procedure; Report format. Process Indicators : Completed reports; Facility records and logs; Staff and inmate interviews.

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Part 2: Security

2F. PERFORMANCE-BASED STANDARD: USE OF PHYSICAL FORCE EXPECTED PRACTICES

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(MANDATORY) Written policy, procedure, and practice restrict the use of physical force to instances of justifiable self-defense, protection of others, pro tection of property, prevention of escapes, and to maintain or regain control, and then only as a last resort and in accordance with appropriate statuto ry authority. In no event is physical force justifiable as punishment. A writ ten report is prepared following all use of physical force and is submitted to administrative staff for review. Comment : None. Protocols : Written policy and procedure; Staff training curriculum. Process Indicators : Facility records and logs; Training records; Incident reports.

2G. PERFORMANCE-BASED STANDARD: RESTRAINTS EXPECTED PRACTICES

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Written policy, procedure, and practice provide that security restraints including handcuffs, leg irons, belly chains, cuff extenders, and straitjackets, are applied during transports as necessary. Comment : None. Protocols : Written policy and procedure; Training curriculum. Process Indicators : Staff interviews; Observation; Training records; Restraint logs. Written policy, procedure and practice provides a secondary inspection of inmate security restraints to ensure the inmate is properly secured prior to transport. Comment : Restraints need to be properly secured. Protocols : Written policy and procedure. Process Indicators : Staff interviews; Transport orders/check sheet including acknowledgment of secondary check of restraints.

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