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Use of force in custodial settings: Exploring the influencing factors in prison restraints Frank Slokan, PhD student, School of Applied Sciences, Abertay University Email: f.slokan1900@Abertay.ac.uk Supervisors: Dr. Penny Woolnough, Dr William Graham, Dr Julie Gawrylowicz
Background and Relevant Literature
Theoretical Considerations
Methodology
Use of Force in criminal justice settings has come into sharp focus, due to the death of individuals during restraint. In August 2019, a fatal accident inquiry into the death of an individual while being held in HMP Edinburgh, concluded that the Use of Force contributed towards his death, describing it as “entirely preventable” (Scottish Courts and Tribunals, 2019). While there has been extensive research into police use of force, there has been little understanding of restraint practices within a prison setting. In particular, there has been no attempt at developing a Use of Force framework to explain restraint within a prison settings.
This research will use Alpert and Dunham’s (2004) Authority Maintenance Theory as a framework to investigate Use of Force situations. Their theory refines Sykes and Clark’s (1975) theory of deference exchange in police-citizen encounters. It frames any interaction as an exchange, in which the action and reaction can inform the next response. The Authority Maintenance Theory defines officer/citizen interactions as based on an increased asymmetry of power in favour of the officer. This leads to an expected deference from citizens, with officer’s not expecting to reciprocate this at the same level. The officers primary aim is to maintain their authority, including the use of coercive means, should the citizen appear to be blocking or challenging their goal. Individuals factors may influence an officers assessment of the citizens responses or expected behaviours (Klukkert, Ohlemacher and Feltes, 2008; Wolfe et al, 2020).
This research project will focus on identifying relevant factors within the Use of Force in the Scottish Prison Service. The aim is to identify an explanatory framework, building on the work of Alpert and Dunham (2004). The research will be split into three separate studies:
Use of Force research within a prison setting is seen as lacking an agreed methodological approach, with a reliance on the use of surveys or questionnaires completed by prison officers (Griffin, 1999, Griffin, 2002, Hemmes and Stohr, 2001; Hogan et al, 2004;). Factors identified vary across research, with the person being intoxicated, having a hostile demeanour towards the officer, being a young male or the person’s index offence all being implicated. In addition to these person specific factors, a number of officer specific and situational factors have been suggested through the research (Hogan et al, 2004; McNeeley and Donley, 2021; Mesko and Hacin, 2020 and Symkovych, 2019). In contrast to research taking place within prison’s, police use of force research has developed a methodological approach focussing on incidents as an interaction between the police officer and the citizen (Terrill et al, 2003). Using a force scale to investigate the relationship between force used and resistance offered (Hine et al, 2018), a range of situational, organisational, officer specific and citizen specific factors have been identified, with factors linked to the use of appropriate vs excess force (Hine et al, 2019; Hine et al, 2018). To date there has been no research investigating prison use of force using methodological approaches as proved to be useful within policing research.
The positionality of the researcher within this research can be described as taking an insideroutsider view (Brown, 1996). As an employee within the Scottish Prison Service College, they have some responsibility for the development and delivery of training, including Use of Force training. However, they cannot be described as a full insider, as they do not have a background as a prison officer, but rather entered the service from a civilian background directly into role. This unique positionality allows for increased access to relevant data sources, but may impact on data interpretation and conclusions.
1) Use of Force forms – data from a total of 2945 Use of Force incidents have been collated for analysis. Data includes person specific, and situational factors. In addition, it includes the incident narrative and a sequencing of action and reaction during the incident. 2) Use of Force Survey – a survey of prison officers, investigating the impact of officer specific and organisational / social factors on the readiness to use force. Readiness to use force is measured through a set of six questions developed and tested by Griffin (1999, 2002) with correctional officers in the US. The survey also includes two individual case vignettes for officers to identify preferred response options. 3) Use of Force interviews - A final study will draw on the themes identified in studies one and two. It will consist of semi-structured interviews designed to gain a deeper understanding of some factors that have been identified as relevant.
References • •
Expected impact This research will provide a better insight into the Use of Force within prison settings. As the researcher is funded by the Scottish Prison Service, it will have a direct impact on the management of distressed individuals in custody and on staff training. This research will provide valuable information for policy makers and prison senior managers in the UK and internationally.
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Alpert, G., & Dunham, R. (2004). Understanding police use of force : Officers, suspects, and reciprocity (Cambridge studies in criminology (Cambridge University Press)). Brown, J. (1996) ‘Police Research: Some Critical Issues’, in Leishman, F., Loveday, B. and Savage, S. (Eds) Core Issues in Policing, London: Longman, 179–190. Griffin, M. (1999). The Influence of Organizational Climate on Detention Officers' Readiness to Use Force in a County Jail. Criminal Justice Review (Atlanta, Ga.), 24(1), 1-26 Griffin, M. (2002). The Influence of Professional Orientation on Detention Officers' Attitudes Toward The Use of Force. Criminal Justice and Behavior, 29(3), 250-277. Hemmens, C & Stohr, M K. (2001). Correctional staff attitudes regarding the use of force in corrections. Corrections Management Quarterly, 5(2), 27. Hine, K., Porter, L., Westera, N., & Alpert, G. (2018). Too much or too little? Individual and situational predictors of police force relative to suspect resistance. Policing & Society, 28(5), 587-604. Hine, K., Porter, L., Westera, N., Alpert, G., & Allen, A. (2019). What were they thinking? Factors influencing police recruits' decisions about force. Policing & Society, 29(6), 673-691. Hogan, N., Lambert, E., Hepburn, J., Burton, V., & Cullen, F. (2004). Is There a Difference? Exploring Male and Female Correctional Officers' Definition of and Response to Conflict Situations. Women & Criminal Justice, 15(3-4), 143-165. Klukkert, A., Ohlemacher, T., & Feltes, T. (2008). Torn between two targets: German police officers talk about the use of force. Crime, Law, and Social Change, 52(2), 181-206. McNeeley, S., & Donley, C. (2021). Crisis Intervention Team Training in a Correctional Setting: Examining Compliance, Mental Health Referrals, and Use of Force. Criminal Justice and Behavior, 48(2), 195-214. Meško, G., & Hacin, R. (2020). Self-legitimacy and use of force: A quantitative study of prison officers in Slovenia. International Journal of Comparative and Applied Criminal Justice, 44(1-2), 103-117. Sykes, R.E., and Clark, J.P., (1975). A theory of deference exchange in police-civilian encounters. American journal of sociology, 81 (3), 584–600. Symkovych, A. (2019). The Legal and Illegal Use of Force by Prison Officers in Ukraine. The Prison Journal (Philadelphia, Pa.), 99(1), 89-111 Terrill, W., Alpert, G., Dunham, R., & Smith, M. (2003). A Management Tool for Evaluating Police Use of Force: An Application of the Force Factor. Police Quarterly, 6(2), 150-171. Wolfe, S., Rojek, J., McLean, K., & Alpert, G. (2020). Social Interaction Training to Reduce Police Use of Force. The Annals of the American Academy of Political and Social Science, 687(1), 124-145.
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