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U.S. REPORT UNDER THE INTERNATIONAL COVENANT ON
CIVIL AND POLITICAL RIGHTS
JULY 1994
Article 10 - Treatment of Persons Deprived of Their
Liberty
Humane Treatment and Respect. As discussed in
connection with Article 7, the Fifth, Eighth and
Fourteenth Amendments to the U.S. Constitution, as
well as federal and state statutes, regulate the
treatment and conditions of detention of persons
deprived of their liberty by state action. In
addition, as discussed below, at both the federal
and state levels a number of mechanisms exist to
ensure that, through enforcement of their
constitutional and statutory rights, prisoners are
treated with humanity and respect for their dignity,
commensurate with their status.
In all criminal correctional systems, the policies
and practices of prison staff are governed by
official regulations. These regulations are based
on U.S. and state constitutional requirements, and,
with the exception of rules dealing exclusively with
staff or security issues, are generally available to
inmates through inmate libraries. Few if any
systems regulations comply with every provision of
the United Nations Standards for the Treatment of
Prisoners and the Code of Conduct for Law
Enforcement Officials, but most do substantially
comply. For example, most U.S. department of
corrections regulations do not incorporate the U.N.
standard that no male staff shall enter a women s
institution unless accompanied by a woman.
Nonetheless, the important underlying issue of
sexual abuse is addressed through staff training and
through criminal statutes prohibiting such activity.
For example, federal correctional officers are given
training regarding appropriate behavior towards
inmates of the opposite sex, and 18 U.S.C. 2243
provides that anyone who engages in a sexual act
with a person in a federal prison may be subject to
a fine and/or a term of imprisonment.
As evidenced by the many successful suits that have
been brought to enforce detainees rights, the
actual practice of detention in the United States
frequently does not meet constitutional standards.
Overcrowding in country jails is a perpetual
problem, especially as the federal government often
must rely upon those jails for pretrial detention.
When prison policies are, on their face,
inconsistent with constitutional provisions, or when
the conduct of staff does not comport with policy,
prisoners generally can bring their complaints to
the attention of prison administrators through
internal grievance procedures. A prisoner can also
file suit in the appropriate federal or state court.
Additionally, there are less formal mechanisms of
complaint, such as writing letters to government
representatives or to private activists apprising
them of inmate concerns. Inmates are also afforded
liberal access to the media through both written
correspondence (28 C.F.R. 540.20 (C)) and in-
person interviews. In many instances these informal
mechanisms give rise to internal and outside
investigations of prison conditions and procedures.
With regard to civil commitments, current statutes
and judicial decrees typically involve a host of
procedural safeguards, including notice to relevant
individuals, judicial hearings, representation of
counsel, and presentation of evidence and cross-
examination of adverse witnesses. Multiple opinions
from mental health professionals are almost always
required. Individuals detained as a result of their
mental state are given appropriate mental health
treatment and are regularly evaluated for possible
release.
Correctional Systems: Federal Government.
Individuals convicted of federal crimes are
sentenced by U. S. District Courts to the custody of
the United States Attorney General. The Attorney
General is appointed by the President and confirmed
by the U.S. Senate, and manages the U.S. Department
of Justice (DOJ). The Attorney General delegates
custody responsibilities to the Federal Bureau of
Prisons (BOP). The Director of the Bureau of
Prisons retains full administrative responsibility
for offenders designated to the Attorney General's
custody.
The BOP operates nearly 80 correctional facilities
across the United States. Offenders are placed in
institutions based upon a host of factors, including
the severity level of their offenses, their criminal
history, and any special needs or requirements.
Persons being detained prior to their trial, or
while waiting for their immigration hearings, are
normally designated to special "detention"
facilities or housing units within correctional
institutions. These inmates are, to the extent
practicable, managed separately from convicted
offenders. See 18 U.S.C. 3142 (i)(2).
Federal offenders may be sentenced directly to
privately-owned community corrections centers
(CCC's), also known as "halfway houses." These
facilities are usually owned and administered by
private, nonprofit service organizations (the
Salvation Army, religious associations, etc.).
Offenders serving part or all of their federal
sentences in CCC's are still under the custody of
the Attorney General and the BOP, although the daily
management of these offenders is administered by the
CCC professional staff. Private halfway houses are
monitored regularly by BOP staff who provide
training to CCC staff and who inspect the facilities
to ensure that the CCC is in compliance with federal
regulations regarding offender program needs and
facility safety requirements.
The operation of federal correctional institutions
is directly supervised by the Director of the Bureau
of Prisons, who reports to the Attorney General.
When problems arise or allegations are raised
regarding misconduct, the Attorney General may
initiate an investigation. The Office of Inspector
General within the Department of Justice conducts
such investigations at the Attorney General's
request. In addition, the BOP investigates
allegations of staff misconduct internally through
its Office of Internal Affairs. A separate branch
of the Department of Justice may become involved if
there is reason to believe the prisoners' rights are
being violated. The legislative branch, the U.S.
Congress, may initiate an investigation of the BOP's
operations where problems are brought to their
attention. Finally, federal courts may be called
upon to resolve problems.
State and Local Systems. State prisons are normally
operated by state corrections agencies. These
agencies are normally located within the state's
executive department, reporting to the governor or
the state attorney general, though some are part of
the health and human services or law enforcement
division. State departments of corrections are
structured in a fashion similar to the federal
government. Persons are committed to the custody of
the state department of corrections for service of a
term of imprisonment. Where there are allegations
of problems or improper behavior, an investigation
may be undertaken by the state's attorney general or
by another branch of the government. An
investigation may also be undertaken by federal
authorities (such as the Civil Rights Division of
the Department of Justice), particularly if the
prisoner claims his constitutional rights have been
violated. The matter also may be resolved in state
or federal court.
County and local jails are supervised by the county
or local government in which they are located.
County jails, as well as county governments, are
ultimately responsible to their respective state
governments. In some large metropolitan areas,
municipal or city governments may also exercise
correctional authority, subject to state and federal
law. Many states have systems of jail inspections
to insure that these local facilities are operated
in conformity with state and local standards.
Staff Training. All correctional staff in the
United States are required to complete orientation
programs.
Federal Government. All Bureau of Prisons employees
receive basic training during an intensive three-
week "Introduction to Correctional Techniques"
course at the Bureau of Prisons Staff Training
Academy at the Federal Law Enforcement Training
Center in Glynco, Georgia. This training program
provides professional instruction in three
categories: academics, firearms, and self-defense.
Prior to working in correctional facilities, staff
members must successfully complete this program and
also participate in "institutional familiarization"
courses within the correctional institutions at
which they will work. Bureau of Prisons staff
members are required to participate in "annual
refresher training" programs conducted at the
beginning of every year for the duration of their
employment with the agency.
State and Local Systems. State and local criminal
justice systems have independent systems of training
corrections officers. Prison staff are generally
trained by spending several weeks at a training
academy. The majority of such training programs
consist of familiarizing new employees with
department of corrections policies regarding inmate
treatment, taking into account appropriate state and
federal law. Such policies address issues such as
proper search techniques, correspondence and
telephone guidelines, use of force, etc. These
policies dictate permissible and appropriate staff
(and inmate) behavior with respect to most aspects
of prison life. Accordingly, it is essential that
staff are aware of the substance of such rules.
In addition to subjects addressed by department of
corrections regulations, subjects of instruction
include race relations, mental health issues,
introduction to correctional law, prisoner-staff
relations, communication skills, self-defense and
firearms training. Following the training at the
academy, most correctional workers spend several
weeks in on-the-job-training where they become more
familiar with the workings of the particular
institution to which they are assigned and gain some
experience in dealing with inmates. Yearly
refresher training is required of most correctional
workers.
The American Corrections Association, a private,
nonprofit organization, has as its purpose to
promote improvement in the management of American
correctional agencies through the administration of
a voluntary accreditation program and the ongoing
development of relevant, useful standards. The
accreditation process began in 1978 and currently
involves about 80 percent of all state departments
of corrections and youth services as active
participants, as well as facilities operated by the
District of Columbia and the U.S. Department of
Justice.
ACA standards require that "a written body of policy
and procedure establishes the institution's training
and staff development programs, including training
requirements for all categories of personnel." They
also require that all new full-time employees
receive 40 hours of orientation training before
undertaking their assignments. Orientation training
includes at a minimum the following: orientation to
the purpose, goals, policies, and procedures of the
institution and parent agency; working conditions
and regulations; employees' rights and
responsibilities; and an overview of the
correctional field. Depending on the employee(s)
and the particular job requirements, orientation
training may include preparatory instruction related
to the particular job. ACA Standards, 1990.
Facilities must provide specific training programs
for administrative staff, specialist employees,
professional workers, support staff, clerical
workers, part-time and contract individuals.
Training needs and programs must be reviewed and
updated annually.
Many correctional training and staff development
programs are supplemented by the resources of public
and private agencies, local police academies,
private industry, colleges, universities, and
libraries. Outside guidance and assistance for the
institution's training program can take the form of
materials, equipment, course development, and
evaluation techniques. Training opportunities are
also available for state and local agencies at the
national level. The National Institute of
Corrections, the National Academy of Corrections,
the National Institute of Justice, the Federal
Bureau of Investigation, large corporations, and
various professional groups all provide managerial,
specialized, and advanced training opportunities for
state and local corrections officials in addition to
the basic training provided in the institutions.
Complaints. The Department of Justice receives and
acts on complaints sent directly from both federal
and state prisoners. Such letters are received
regularly both by the Civil Rights Division and by
the Federal Bureau of Investigation (FBI). All
letters from prisoners are carefully reviewed to
determine if they state a basis for a criminal
investigation. Those which complain about
conditions of confinement are referred to the Civil
Rights Division's Special Litigation Section to
determine if any civil action may be warranted
pursuant to the Civil Rights of Institutionalized
Persons Act.
The Civil Rights Division's Criminal Section also
receives referrals from the Federal Bureau of
Prisons. When a federal prisoner complains to the
federal prison about the conduct of a prison
official -- typically a correctional officer -- and
the substance of that complaint indicates a possible
criminal violation, the Bureau of Prisons
immediately transmits the complaint to the Civil
Rights Division for review.
If a letter from a prisoner, or the prisoner's
complaint forwarded by the Bureau of Prisons,
indicates that a prosecutable civil rights offense
may have occurred, the FBI conducts a preliminary
investigation. Typically, these complaints will
allege the use of excessive force by a prison guard.
In its investigation the FBI will interview the
victim and any witnesses, and will obtain any
relevant written records, such as incident reports
or medical records. The results of this
investigation are analyzed by an attorney in the
Criminal Section to determine what facts can be
proven and whether these facts indicate that a
criminal civil rights violation has occurred. If
so, the attorney may recommend that a grand jury
investigation be instituted. The grand jury
investigation may lead to indictment and criminal
prosecution of the prison official.
Many complaints involve individual grievances,
including alleged wrongful conviction of a criminal
offense, problems involving parole, grievances
against the convicts' counsel, request for transfer
to a different facility, and other requests for
personal assistance. For the most part, the
Department of Justice is without authority to
address these individual problems, but other
remedies may be available.
Other complaints allege systemic deficiencies, e.g.,
lack of adequate medical care, violence, abuse and
neglect of a significant number of individuals, lack
of adequate staff to afford necessary services and
supervision, lack of safety for individuals
confined, insufficient treatment or training for
mentally disabled individuals, inadequate
sanitation, and the like. Pursuant to the Civil
Rights of Institutionalized Persons Act, 42 U.S.C.
1997e, the Attorney General has authority to
investigate various public facilities where she
believes that conditions are subjecting confined
individuals to a pattern or practice of deprivations
of their constitutional rights. Since the passage
of the statute in 1980, some 150 institutions have
been investigated.
Prosecutions. Abuses do sometimes occur in jails and
prisons in the United States. The states can and do
prosecute their abusive prison officials. In
addition, the Department of Justice has conducted
prosecutions in a variety of cases involving federal
and state prison officials. The following are
illustrative examples of such prosecutions:
In 1990 three correction officers of the Adult
Correctional Facility at Cranston, Rhode Island,
were sentenced to prison terms ranging from six
months to a year for beating an inmate who had been
convicted of child molestation. Upon his arrival at
the prison, the inmate was beaten about the head and
kicked in the ribs by a group of guards.
In 1991, five prison guards at Cross City
Correction Institute in Florida were convicted and
sentenced to terms ranging from nine months to
nearly six years. The guards had roamed the prison
shortly after a riot and beaten prisoners in
retaliation. Some of the prisoners beaten had not
even participated in the riot. Several of the
prisoners suffered severe injuries, including one
inmate who lost an eye when he was kicked in the
face while down on his hands and knees.
In 1993, the Chief Correctional Officer of the
Washington County Jail in West Virginia was
sentenced to 37 months incarceration and ordered to
pay $14,933 in restitution after he pled guilty to
coercing women inmates into having sexual encounters
with him. The defendant exchanged drugs and prison
privileges for sex and threatened inmates that if
they did not cooperate with him, they would be
transferred or not released from jail.
Since October 1988, the Department of Justice has
filed charges in approximately 126 cases of official
misconduct. These cases involved approximately 180
police officers. About fifteen of the cases
involved officials violating the civil rights of a
prisoner or person in jail; approximately 55
officials were involved in such cases.
Segregation of the Accused from the Convicted. A
suspect detained pending trial is entitled to
greater rights and privileges than convicted persons
and may not be punished. To ensure these rights and
privileges are provided, accused persons are, to the
extent practicable, segregated from convicted
persons. United States v. Lovett, 328 U.S. 303
(1946). Such separation is required by federal law,
18 U.S.C. 3142, and many state laws contain
similar provisions. Separation of federal detainees
is accomplished by housing pretrial detainees in
separate units within Metropolitan Correctional or
Detention Centers, or in local jails, or in federal
correctional institutions. See 28 C.F.R. 551.104.
When consistent with the security and good order of
the correctional facility, and where it appears to
present no danger to the detainee, a pre-trial
detainee, at the detainee's request, may be
intermingled with convicted prisoners in order to
participate in programs. Most state and county
corrections policies require separation of
individuals based upon their conviction status
whenever practicable. When possible, pretrial
detainees are separated from convicted offenders.
Due to overcrowding in most correctional systems,
the separation of pretrial and convicted offenders
is not always possible due to space constraints.
Moreover, in the military justice system,
segregation of the accused from the convicted cannot
always be guaranteed in light of military
exigencies.
U.S. Understanding. Because of the above and
related concerns, the United States included in its
instrument of ratification the following statement
of understanding:
The United States understands the reference to
"exceptional circumstances" in paragraph 2(a) of
Article 10 to permit the imprisonment of an accused
person with convicted persons where appropriate in
light of an individual's overall dangerousness, and
to permit accused persons to waive their right to
segregation from convicted persons.
Treatment of Juveniles. U.S. law, policy, and
practice are generally in compliance with the
Covenant's requirements regarding separate treatment
of juveniles in the criminal justice system. In
general, children deprived of their liberty in the
U.S. are constitutionally entitled to treatment
appropriate to their age and status. Courts have
developed a substantial body of case law in this
area, requiring, inter alia, that incarcerated
children be accorded decent accommodations,
education and support services. See, e.g., Inmates
of Boys' Training School v. Afflack, 346 F. Supp.
1354 (D.R.I. 1972). Federal law requires that
juvenile offenders be completely segregated from
adult inmates. See 18 U.S.C. 5039. Most state
and local correctional facilities never place
juvenile offenders with adult prisoners, regardless
of overcrowded conditions. Separate facilities, or
units within facilities, are often utilized to
ensure that these groups remain apart. In the vast
majority of jurisdictions, children who are deprived
of their liberty are housed in facilities or homes
devoted solely to juveniles. In those cases in
which juveniles and adults are housed in the same
facility, they are completely segregated. The only
exception to this practice occurs when an older
juvenile's case has been transferred to the adult
criminal court and he or she is subsequently
imprisoned as an adult.
U.S. Reservation. Nonetheless, close consideration
of the Covenant's provisions in this regard
indicated that it would be prudent to retain a
measure of flexibility to address exceptional
circumstances in which trial or incarceration of
juveniles as adults might be appropriate, for
example, prosecution of juveniles as adults based on
their criminal histories or the especially serious
nature of their offenses, and incarceration of
particularly dangerous juveniles as adults in order
to protect other juveniles in custody. Moreover,
there is no separate system for juveniles within the
United States armed services. Individuals are
permitted to enlist in the military at age 17. They
are subject to the Uniform Code of Military Justice
as fully as other members of the military. Cadets
of the service academies also are subject to the
Code. Accordingly, the United States included the
following reservation in its instrument of
ratification:
[T]he policy and practice of the United States
are generally in compliance with and supportive of
the Covenant's provisions regarding treatment of
juveniles in the criminal justice system.
Nevertheless, the United States reserves the right,
in exceptional circumstances, to treat juveniles as
adults, notwithstanding paragraphs 2(b) and 3 of
Article 10 and paragraph 4 of Article 14. The
United States further reserves to these provisions
with respect to individuals who volunteer for
military service prior to age 18.
Reform and Rehabilitation. While there is no right
under the U.S. Constitution to rehabilitation,
Coakley v. Murphy, 884 F.2d 1218 (9th Cir. 1989),
all prison systems have as one of their goals the
improvement of prisoners to facilitate their
successful reintegration into society. For example,
the Federal Bureau of Prisons' mission is to protect
society by confining offenders in the controlled
environments of prisons and community-based
facilities that are safe, humane, and appropriately
secure, and which provide work and other self-
improvement opportunities to assist offenders in
becoming law-abiding citizens. Moreover, Bureau of
Prisons regulations require virtually all BOP
institutions to provide a range of academic,
occupational, and leisure-time activities to allow
inmates to improve their knowledge and skills. 28
C.F.R. 544.80-544.83.
While the extent of educational, vocational, and
treatment programs varies among prison systems, such
programs are an integral part of every correctional
institution. In nearly all prison systems able-
bodied sentenced prisoners are required to work,
although exceptions are made for inmates who are
enrolled in educational and vocational training
programs. Pretrial detainees, persons committed for
mental health studies, material witnesses and other
non-convicted detainees may not be forced to work
other than to maintain their personal living space.
In many cases these prisoners agree to work; many do
so to alleviate boredom and to earn spending money
or to assist their families. While not required by
the Constitution, prisoners are usually compensated
for their services, though the pay is modest.
Correctional institutions employ prisoners in
industry (manufacturing furniture and many other
items), data processing, and maintenance and repair.
Inmates with a low security classification may be
released during the day to work on community
projects such as maintaining state and federal parks
and public roads. Some federal correctional
institutions are located on the grounds of military
bases and the inmates provide support services to
the military such as lawn maintenance. Some
correctional institutions allow private businesses
to employ prisoners, but such arrangements are
complicated as to appropriate compensation for the
prisoners. See Gilbreath v. Cutter Biological,
Inc., 931 F.2d 1320 (9th Cir. 1991).
In addition to providing necessary services to the
correctional institution, jobs enable the inmates to
earn money to help support their families, and to
receive training for employment after release. Many
prisons offer vocational training programs such as
auto mechanics and metal work that allow prisoners
to become certified to pursue a trade upon release.
Some prisoners incarcerated in correctional
institutions operated by the Federal Bureau of
Prisons have the opportunity to work in Federal
Prison Industries (tradename UNICOR). UNICOR
operates factories, printing plants, and data
processing centers to produce a vast array of goods
and services sold to components of the federal
government. Inmates who work in UNICOR earn up to
$1.40 per hour, substantially more than inmates
employed in institution maintenance positions.
Moreover, they learn skills applicable to many
private sector jobs.
All prisons have education programs and inmates are
strongly encouraged to participate. Federal law
requires the Bureau of Prisons to operate a
mandatory functional literacy program for inmates to
ensure that inmates possess reading and mathematical
skills equivalent to the eighth grade level.
Further, non- English-speaking federal inmates must
participate in an English as a second language
program until they also meet the literacy
requirements. 18 U.S.C. 3624(f). In addition to
basic educational programs including the preparation
for the Federal Education Development certificate,
many prisons offer university courses by
correspondence or by bringing college instructors to
the prison. Staff encourage inmates to enroll in
such programs, and they assist inmates in exploring
sources of funding. See, e.g., 28 C.F.R. 544.20-
21.
Federal prisoners are also given the opportunity to
participate in social education programs designed to
"improve their interpersonal relationships,
communication, self-motivation, realistic goal
setting, and positive self- concept." 28 C.F.R.
544.90.
A significant number of prisoners suffer from
chemical and alcohol dependency; specifically, 47
percent of federal inmates manifest such problems.
Accordingly, correctional institutions have drug and
alcohol treatment programs designed to help the
prisoners overcome their dependencies. Some
programs offer inmates individual or group
counseling sessions, and other, more intensive
programs, involve full-time treatment. These
programs extend into an intensive community
supervision phase to help offenders remain drug-free
upon release.
In furtherance of the programs described above and
in order to protect the safety of prisoners and
staff alike, prison administrators have found it
useful to classify prisoners and house prisoners
with others who share some important
characteristics. For example, it would be dangerous
to house young, inexperienced, nonviolent offenders
with older men who have spent a great deal of their
lives in prison for the commission of violent,
predatory crimes. Accordingly, prisoners are
classified at a particular security level prior to
their admission into a correctional institution.
Classification decisions are based on age, prior
criminal history, offense giving rise to the
imprisonment, history of escape or violence,
history of prison misconduct, as well as the
prisoner's needs regarding treatment, education, and
release planning.
The Military Justice System. The Department of
Defense has established uniform policies among the
military services in the treatment of prisoners, the
operation and administration of correctional
facilities and programs, and the consideration of
prisoners for return to duty, clemency, or parole.
DoD Directive (DoDD) 1325.4, 19 May 1988.
Consistent with this policy, military members
deprived of their liberty because they have
committed criminal offenses are treated humanely,
with respect for their dignity and in a structured
behavioral treatment system the fundamental goals of
which are reformation and rehabilitation.
The objective of the confinement and correction
program in the military is to provide quality
confinement and rehabilitative services to
commanders. Use of positive measures and
rehabilitation is intended to prepare the maximum
number of prisoners for return to military duty with
improved attitudes and behavior, and to return those
judged unfit for further military duty to the
civilian community as more productive and
responsible citizens. The goals of the confinement
and correction program are to help individuals solve
their problems, correct their behavior, and improve
their attitudes toward self, military, and society.
On confinement, the confinement officer or appointee
determines a custody grade for the prisoner. As a
rule, medium is the initial custody grade unless
there is a specific reason to assign the prisoners
to maximum or minimum custody. Prisoners are
assigned to maximum custody if they are a danger to
themselves or others, present a high escape risk, or
are sentenced to death. Maximum custody prisoners
are confined separately in a single cell. Medium
custody prisoners require continuous supervision.
They are eligible for normal work assignments
outside the confinement or correction facility.
Minimum custody prisoners require little supervision
due to trustworthiness, attitude, and dependability.
With approval from the installation commander,
minimum custody prisoners may go to and from work or
appointments without escort.
Military prisoners are employed in maintenance and
support activities that provide useful and
constructive work. Work assignments must be
consistent with the prisoner's grade, custody level,
physical and mental condition, behavior, sentence
status, and previous training. Assignments should
contribute toward the prisoner's correctional
treatment and the needs of the confinement or
correction facility. Prisoners not in training for
return to duty will normally be assigned to work
projects in preparation for return to civilian life.
There is no separate system for juveniles.
Individuals are permitted to enlist in the military
at age 17. They are subject to the Uniform Code of
Military Justice as fully as other members of the
military. Cadets of the service academies also are
subject to the Code.
U.S. Understanding. While acknowledging that
reformation and social reform of prisoners are
fundamental objectives, the United States included
the following interpretive statement in its
instrument of ratification:
The United States further understands that
paragraph 3 of Article 10 does not diminish the
goals of punishment, deterrence and incapacitation
as additional legitimate purposes for a penitentiary
system.
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