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In this chapter we move from tasks to information by transforming the process diagram into an information diagram: a digraph of information instances and related actions and transactions. Information diagrams represent the information side of management, which both operationalizes and validates a process design. This chapter builds on the chapter on process diagrams and presupposes knowledge of graphs, in particular digraphs (see Appendix I).
Process operationalization
Process diagrams are essential for the social side of management: they tell us who is doing what and when, in an overview that supports both zooming in or out and tracking the contributions or interests of each stakeholder. What they do not do is specify tasks in terms of content and structure. For example, they tell us that we need a design to make a cost estimate but not exactly what the design should contain, which aspects of the design relate to costs, how these aspects are processed towards a cost estimate and what should be included in the cost estimate. Leaving this operationalization of the process design to the discretion of the actors inevitably causes uncertainties and conflicts that undermine the process and its management.
Translating the process diagram into information instances and actions makes the individual tasks operational and unambiguous at a practical level, so that every participant knows exactly what to expect and do. This guides implementation and allows for evaluation and control throughout the process. For example, a task like “calculate the net area of a room” becomes a matter of obtaining a complete and truthful description of the room, including all dimensions of the room as well as of any obstacles that should be subtracted from it, making the necessary calculations and producing either a total area measurement or an analytical list of measurements that includes obstacles. At this level, there is little if any room for omissions or misunderstandings and we can easily ascertain if things are done correctly. The actor who makes the calculation has clear expectations concerning the room description another actor delivers and equally clear instructions as to how the calculation results should be communicated. How the calculation is made (with a computer, a calculator, an abacus or mentally) is usually a matter for the actor, their capacities in relation to the demands of the task and applicable professional standards.
Such specificity is necessary for the information side of management: the guidance and control of a process on the basis of what actors produce and consume in it. It is also essential with respect to digitization: it ensures that the use of digital resources is meaningful and constructive. Quite often digitization is managed by imposing standards and restrictions on the means. For example, we can stipulate that building designs should be made in BIM but this does not help achieve the performance promised by BIM. We must also stipulate what constitutes proper and acceptable usage of BIM. In fact, it should not matter which software or approach is used if the requirements of the deliverables are met: design representations with the right content and a structure that facilitates retrieval and processing of this content. An information diagram that bypasses all assumptions concerning digitization means and approaches, and describes what should be done with precision and accuracy not only supports IM but also explains why e.g. BIM is required rather than CAD.
Finally, expressing a process in terms of specific information is helpful in avoiding “mental shotgun” situations: when confronted with unexpected problems, we tend to confound our Type 2 processes by mentally computing too much information, clearly more than we need or is relevant to the issues at hand. Panic is often the cause of the mental shotgun, as well as its effect. To countermand this, we must be clear not only concerning which data are relevant to each task but also how these derive from primary data and how primary and derivative data are structured in the representations we use. This facilitates identification of pertinent information and its provenance even under unforeseen circumstances, so that decisions can be taken and evaluated without confusion or uncertainty.
From process to information diagram: I-P-O
The transition from process to information diagram starts by superimposing the I-P-O scheme on each task, with the P on the task node (Figure 1). This expresses what takes place in the task in information-processing terms by adding an input node before and an output node after the task. Usually, the output of a task becomes direct input to the following task, so only a single node needs to be added between the two. Note that this is not always the case: the output of a task may connect to more tasks, in ways not anticipated in the process diagram. Similarly, the input of a task may merge the output of several other tasks.
The process diagram may also miss nodes that describe external sources, for example the published unit prices a cost specialist uses or reference projects for the brief or budget. The same applies to the outcomes of a process: design approval usually implies some information deliverables, such as a representation of the approved design. These nodes must be added to the information diagram, too.
In general, the transformation of a process diagram amounts to the following graph operations:
• Subdivision of arcs to introduce nodes for their input and output
• Splitting of process diagram sources to create nodes that represent the input to these tasks
• Splitting of process diagram terminals to create nodes that represent the output of these tasks
Alternatively, the first point can be expressed more precisely as:
• Splitting of each task node twice to create one node for its input and one for its output
• Contraction of edges between input and output nodes that respectively have an in- and out-degree of 1
The input and output nodes in an information diagram must be made as specific as possible. The design node in Figure 2 is expected to contribute to a cost estimation involving gross floor areas. This means that the design cannot exist solely in the architect’s mind; we need some external representation as input, on the basis of which we can measure floor areas, moreover by use category (as these have different unit prices). The obvious candidate is a floor plan and, more precisely, one where all spaces are indicated and labelled by their use. This floor plan rather than some abstract notion of a design is the appropriate input for the processing we require (calculation of gross floor areas). In the same manner, one can establish that these areas are the output of a new task, as well as the input to the next processing step (cost estimation).
Figure 3 illustrates the results of the transformation. Between design and cost estimation it was necessary to insert two nodes, so as to be quite specific concerning the input to the cost estimation calculations. Note that in this way some tasks are attached to the arcs: the information diagram does not specify how the floor plan is produced from the design or how the floor areas are calculated in the floor plan. This is because emphasis is now firmly on what (information); how, as the remit of the actors, is assumed to be known or standardized and, in any case, constrained by the specified output. Similarly, the actor / stakeholder nodes have been removed in order to put emphasis on task and information nodes, as well as save space. In this version, who determines the budget, who makes the design and who calculates the cost estimate is implicit in their tasks and products but, at the same time, unambiguous. If this is not the case and there are multiple actors or stakeholders involved in different tasks with varying capacities, it is advisable to keep them in the information diagram, too, so that there can be no misunderstanding as to e.g. which designer or engineer is responsible for each design aspect. Referring to the process diagram concerning such matters is less practical; the information diagram should be self-sufficient and self-explanatory.
The uniqueness rule applies to information diagrams, too: each object should appear only once, as a single node. So, if the design must be improved because the design is deemed too expensive, the diagram should contain a feedback arc to the design. On the other hand, if the cost evaluation leads to a radically new design, requiring a new node in the diagram, then this should be made clear by means of unambiguous node labelling (e.g. Design 1 and Design 2). Such new versions of the same nodes should be used cautiously and sparingly, only when absolutely necessary, e.g. when a process involves design alternatives. Feedback to the floor plan is also possible but not if it is the design that must be improved: any feedback to an information node is normally due to quality issues, e.g. if the floor plan contains no indications of use type. Such feedback is not part of process diagrams but information diagrams must include controls of information quality, too.
The other two rules of process diagrams, the decision degrees and the specificity and comprehensiveness rules, also apply to information diagrams, even more strictly. What may be excused as pragmatic fuzziness and abstraction in a process diagram is unacceptable and undermining in an information diagram. For example, it is necessary in Figure 3 to indicate that what is measured in the floor plan are the floor areas of different uses because the cost estimation applies different unit prices to each type of building use. One m2 of storage area costs significantly less than one m2 of office space, which in turn costs less than one m2 of an operating theatre in a hospital. This means that it is not enough to calculate the total gross floor area of a hospital design; one has to know the use of every space, so as to be able to calculate the subtotals for each type. The subtotals are then multiplied by the unit prices to arrive at a correct estimate and ascertain which category may be too big or too costly. In an evaluation, it is imperative that the things that are compared are similarly unambiguously specified. If, for example, the hospital budget has separate chapters for each use type, it should be clear how the comparison takes place (e.g. per use type or per building part, which may include various types).
The example illustrates the key differences between process and information diagrams: the former can be abstract about what each task entails and focus on process flow but the latter has to be specific regarding information sources (e.g. which drawings are used), the information instances these sources accommodate and the actions through which these instances are processed. The higher specificity of information diagrams leads to a finer grain in the analysis of the process, resulting in nodes and arcs that allow one to be even more precise and hence certain about information flow, as well as safeguard information quality. While in general the flow is the same in both diagrams, the higher specificity of the information diagram may lead to new insights and local elaborations or changes in the process design.
One such elaboration is the analysis of the design node in the process diagram into a sequence of nodes (design, floor plan, floor areas per use type) in the information diagram. Such expansion is generally necessary at critical points of a process. Similarly, in making an information diagram one should pay particular attention to nodes with a high in- or out-degree in the process diagram. These indicate tasks of high complexity and density, which should possibly be analysed into several tasks in the information diagram, provided that this does not undermine parallel or integrated decision processes. As a rule of thumb, the results of such an expansion in an information diagram should include a large number of arcs between the new nodes, expressing the complexity of the task represented by the original node.
Information diagrams for BIM
Until now, we have discussed information diagrams as if we were in the previous century, working with analogue representations and their digital facsimiles. This is a far cry from the symbolic representations that form the present and predictable future of digitization in AECO. Adapting our example of the cost estimation to BIM means first of all that the model (the central information system) should be explicitly present in the diagram. This information system contains the symbols and relations in which primary data are found. Derivative data like floor area calculations are produced from the model and presented in views like schedules. These schedules are typically predefined in various formats, including room schedules that list spaces and their properties, including floor area calculations (Figure 4).
Room schedules can be used to verify that the model contains all primary data needed for the cost estimation, i.e. the spaces, their dimensions and use types. They can also be expanded with unit prices and subsequent calculations, thus integrating cost estimation in BIM in a straightforward and transparent manner (Figure 5).
Figure 6 is the information diagram for cost estimation in BIM. Interestingly, it is not significantly different from Figure 3, only feedback goes to the design representation rather than an abstract design node. Collaboration in BIM means that information processed by all actors resides permanently in a single, central representation. The properties and relations of symbols that accommodate this information cannot be detached from the representation, as was the custom with analogue information carriers, where each discipline had its own drawings of the same design. In BIM, any information action or transaction starts from the model and is usually followed by feedback to the model (with the exception of terminal nodes). This means that feedback should be specific, i.e. directed at the space symbols in the model, which could accommodate it as annotations or, preferably, constraints on properties and relations. By being specific about which symbols, properties and relations are affected, one can guide information actions with precision and certainty, avoiding the dangers of improvised interpretations by confused actors.
In general, any connection to a model in BIM, either output or input, should refer to specific symbols rather than the representation in general. For example, if an evaluation results in a decision to improve the thermal insulation of a building, the feedback from the evaluation should connect to the symbols of the particular building elements that must be improved, such as the windows or the roof. Views in BIM, such as schedules or floor plans, are for analysis and communication, hence serve as output from the model or as environments for processing. Input to the model (including feedback) should therefore not connect to views but to symbols in the model. In this respect, it is advisable to represent views in information diagrams in a way that reminds you that they do not normally accept input.
In our example, the unit prices are connected to the model through a schedule, i.e. a view: they do not become properties of space symbols. The reasoning behind this choice is that unit prices are values that relate to aggregates: sums that abstract the specific circumstances of each symbol in order to approximate averages. As such, they are derivative data that do not merit inclusion among the primary properties of a symbol. Their connection to a view indicates that they are temporarily linked to the model rather than integrated in it.
As an indication of the level of detail possible and frequently necessary in IM, Figure 7 is a variation of the same information diagram with a couple of information quality controls added. The controls concern the presence of essential information (the space symbols) and primary properties of these symbols (use type). Note that while the diagram is specific about which symbols and properties are concerned, it is elliptical about how the controls are implemented, leaving such matters to the technical BIM specialists. In fact, the diagram violates the decision degrees rule by missing one input in both control nodes.
Tolerances
When translating tasks into information, we must often consider the tolerances for each input or output. Care should be taken that these are kept as narrow as possible. Wide tolerances are unacceptable as an indication of either ignorance or unwarranted uncertainty. As a result, they offer no sound basis for decision making. For example, a tight time planning compels us to pay more attention to the requirements and feasibility of each step, as well as to how dependencies between tasks are ordered in time. Reversely, vagueness about deadlines and milestones promotes procrastination and deferment of decisions, especially concerning steps about which we are less clear.
Testing information diagrams
Information diagrams should be tested from the perspective of each actor and stakeholder, in the same way as process diagrams. The only difference is that the relation of an actor or stakeholder to each node should be specified in terms of input, output and processing: if the task (the processing) should be undertaken by the particular actor, for example the design by the architect, they should verify their capacity to undertake it and help with the specification of the necessary input, e.g. a budget, a brief and a site description (including applicable building codes and planning regulations). The same holds for the output: the content, structure and timing of information produced in the task should be agreed in unambiguous terms. Specifying where this information is used and by whom should be avoided in order to prevent deterministic, reductionist adaptations (e.g. “if they need it only for this cost estimation, I don’t have to worry about aspects other than floor areas”).
Tracking the involvement of each actor and stakeholder is done in the same way as in process diagrams, with subgraphs and directed walks, and afterwards a board-game-like simulation for the whole group of actors and stakeholders. In the group simulation, it is especially important to reach general agreement about the input and output of each task, as well as about the custodianship of information: it is not enough to know who is the author of some information; who takes care of it at different stages of the process is not necessarily the same, obvious to all or automatic. In the context of BIM, moreover, a distinction should be made concerning care for the technical aspects of a model (which can be delegated to digitization specialists) and the content of symbols and relations (which remains a responsibility of process stakeholders).
Finally, once an information diagram is finalized, one should consider the semantic type of information used as input in any task: if it is derivative, it should be possible to track it back to the primary data from which it is produced. Floor areas are derivative, so we must be able to identify the primary data from which they derive in the information diagram, as well as the representations that accommodate these primary data.
Graph measures
The graph measures used to analyse process diagrams obviously also apply to information diagrams. The significance and meaning of degrees, bridges, distances, closeness, centers and peripheries are the same in both. Differences tend to be subtle and primarily reflect the shift of attention from tasks to information. For example, while a node denoting designing is central in a process diagram, it is the node of the design representation (e.g. the BIM model) that takes central position in the information diagram. Being more analytical and specific, information diagrams also have a larger size and order than their process counterparts. This makes graph drawing and legibility more difficult, and requires more careful analysis and measurement. A useful strategy is to consider each part of the process in its own subgraph, without neglecting arcs that connect nodes in different subgraphs. To make certain that no such connection is obscured, any analysis in subraphs should be followed by analysis of the whole graph. One should always keep in mind that any partial consideration of a process is simply for reasons of convenience and not subdivide the process in artificially distinct modules. If a process in truly modular, then each module should be treated as a separate process in order to verify its self-sufficiency.
Process validation
Information diagrams are more than an operational version of process diagrams. Their utility extends to the validation of process designs: it establishes whether the processes can deliver what they are expected to. When we translate each task and relation into information-processing actions, operationalization predictably stumbles upon hidden problems, making lacunae and inconsistencies obvious by the inability to obtain or produce the necessary information. For example, the calculation of the net area of a room presupposes a detailed, accurate representation that includes obstacles. Therefore, it is not attainable if the available representation is a floor plan sketch with only a rough description of the shape of the room and its dimensions. By showing exactly how each task is performed, information diagrams validate individual tasks but also address consistency and coherence more accurately than process diagrams: they show if all tasks are organized in the same way, with workable connections between them and with the expected final deliverables. In the above example, the mismatch between the net area calculation and the floor plan can indicate a premature use of a precise technique, a delay in design or a haphazard management approach resulting in more incompatibilities and disharmonies.
Validation is not merely technical; it also targets many of the cognitive issues discussed in the previous chapter. Even the best process designs remain subject to the biases that characterize Type 1 processes. It is always possible that erroneous assumptions and vague specifications have slipped in and populate the process description, unnoticed by project participants who share the same biases. The specificity of information diagrams helps make the cautions about cognitive limitations and their possible effects on process diagrams stronger and easier to identify on the basis of clear cues.
Eradication of Type 1 biases and illusions that have escaped scrutiny is founded on the cognitive decoupling supported by information diagrams. Even though the process and the information diagram appear quite similar, they are quite different in contect and abstraction level. The process diagram represents tasks in a way that is more rigorous than conventional process descriptions but essentially in similar terms. The information diagram shifts attention to the input and output of these tasks, and so forms a departure from the descriptions we usually apply to a process. Moreover, it supports Type 2 algorithmic processes by making such input and output explicit, often quantitative and unambiguously linked to actions and transactions.
The most obvious cue about biases in the process design is inability to obtain or produce the necessary information, as in the above example of a net area calculations. If the process diagram has been carefully set up, this suggests more than a local problem and should make us critical about what we think we know: illusions of knowledge may have resulted in grey areas that make connections between tasks uncertain. This combats overconfidence in the beliefs behind the process design and reveals biases in our expectations from it, so that predictable mistakes (often caused by adherence to customary or conventional procedures) can be avoided. As for unpredictable mistakes, information diagrams help reduce their error margins and anchor decisions around realistic, transparently derived values.
Many problems are caused by the substitution of a demanding task by a simpler one that does not deliver the necessary performance or output. Any instances of inappropriate substitution in the process design can be identified and removed on the basis of the following criteria:
• Precision and accuracy requirements: rather than accepting existing practices, consider what each task actually needs in order to achieve the highest possible performance. Compromises that reduce this performance may be inevitable but try to make them only when necessary.
• Information availability and processing capacity: basing a cost estimate on the floor area of a design may be acceptable when little is yet known about the design but doing so with a full simulation of the construction process at your disposal makes no sense. So, when translating a task into information instances, always consider what is already available in the process (information and processing tools), in particular with respect to the precision requirements of each task.
Any illusions of cause that may have persisted in the process diagram are generally easy to detect, as precedence in time (as in e.g. a time schedule) does not translate into connections of information output and input in the information diagram. In particular, information diagrams help identify the true causes of problems by tracking the derivation of information. For example, a mismatch between the load-bearing structure and the required span widths for rooms is not necessarily due to poor decision making concerning the load-bearing structure. It might also derive from vagueness or inconsistencies in the brief or from inappropriate cost constraints on the structure (i.e. inconsistencies between brief and budget).
Focusing on information is a good antidote to change and inattentional blindness, too: it is hard to ignore what is available, expected or required at any step in a process. This also subverts any narrow focus by being inclusive and comprehensive by necessity, while removing opportunities to add fictitious information that does not come from a specific internal or external source. The coherence and consistency that can be achieved with information diagrams is important for avoiding planning and sunken-costs fallacies: being specific on information leaves even less room for illusions of knowledge and confidence. Finally, information diagrams help develop an outside view of the project by making clear the connections between internal information to external sources, including through reference class forecasting: references to relevant classes of projects, reliable statistics on these projects and baseline forecasts from these statistics that are adapted to the characteristics of the particular case.[1] The development of reference classes may initially seem daunting but it is something any enterprise or professional body can do if projects are properly documented.
Despite its rigour, validation at the information level is less confrontational than at the process level. Challenging suspect parts in a process description with general facts, principles and opinions leads to discussions that can be dismissed merely because they conflict with basic assumptions (“we’ve always made our budgets this way”). Expressing the process in terms of information actions and transactions returns more objective, comprehensive and practical arguments why a process may or may not deliver the expected results. The discussion consequently shifts from general principles to how and which information is processed with respect to stated goals, such as delivering a building with the required qualities and performance on time and within budget.
Veracity
An important aspect of validation concerns the veracity of information. The problem is that, even without the halo effect, our natural tendency is to believe that others are telling the truth. Defaulting to truth makes sense for the economy and efficiency of communication, which would suffer if we were to test the veracity of all incoming information. We are suspicious of others only when we expect them to deceive us. Suspicion is often triggered by the demeanour of the information sender but unfortunately this is a very poor indicator. We become suspicious of nervous presenters who look away and mumble, paying too much attention to the delivery rather than the content. Suspicions about the intentions of others are much more reliable but they do not normally arise in reasonably harmonious projects. Given sufficient trust, which is reinforced by inside views, actors and stakeholders routinely default to truth, failing to detect inconsistencies that undermine the veracity of information they receive. We are alert to inconsistencies only in projects that have experienced adversities such that cast doubt on the integrity or intentions of others but by then the project may be beyond saving.
Relying on the actual content of communication is more reliable and quite accurate.[2] If information is self-contradictory or inconsistent with known facts, it is easier to evaluate it and develop controls that anticipate unexpected problems. Switching from task to information therefore facilitates the integration of veracity controls in a process, usually as preliminary evaluations of information before important decisions or actions. For example, prior to analysing construction costs we should check the veracity of information input in the estimation. This involves tracing the primary data from which this information derives, as well as checking how it is derived. If the information is derived from contradictory of irrelevant sources, e.g. from a different design or an earlier version, this can be both easily detected and directly corrected. If the derivation involves questionable procedures, e.g. measurements of a supposedly typical part of the design only, these too can be detected and adjusted.
Information diagrams in information management
An information diagram that captures both the needs of a process and the capacities of BIM can make IM clear and unambiguous to both managers and actors in the process. Information flow is explicitly depicted in the diagram, especially concerning what, who and when. Managers can use the information diagram to guide and control the process at any moment, while actors have a clear picture of the scope and significance of their actions. Addressing how questions depends on the fineness of the grain in the description of information instances: the finer it is, the more specific answers one can draw from the diagram. As such specificity affects interpretation, care should be taken to balance the two: many actors in a building project are knowledgeable professionals who may not take kindly to IM approaches that overconstrain their actions.
On the other hand, IM has to be strict about matters of authorship and custodianship because not everybody is yet accustomed to the possibilities and responsibilities of digital information processing. By linking stakeholders to information with accordingly labelled arcs in the information diagram, one can indicate responsibilities and actions throughout a process. Note that roles can be variable: an actor who authors some information in one task may become custodian of other information in another task.
Concerning information quality, the information diagram forms a usable background for pragmatic value: applying the I‑P‑O scheme at any node is a critical part of measuring it, i.e. establishing what users need to process and must produce in a task. Similarly, the information diagram is essential for the evaluation of completeness, coherence and consistency in BIM: any output from the model and especially any feedback to it is an opportunity to identify violations and conflicts that affect these aspects.
Information diagrams are also essential for our parsimonious approach to information quality. The approach focuses on primary data and their propagation; both can be traced with accuracy in the diagram, including explicit, manageable connections to derivative data. This enables managers and other project participants to know what should be preserved or prioritized. Finally, in the same manner one can identify anti-data, on the basis of expectations (e.g. knowing when information from different disciplines comes together in a process) and interpretation (e.g. that a space without a door is a shaft). This leads to directed action (e.g. requiring that two disciplines work together to solve interfacing problems), which should be present in an information diagram of appropriate specificity.
Above all, information diagrams illustrate the importance of IM for managing processes and products: information flow and quality are not technical issues but essential parts of any process, with direct relevance for specific problems and related decisions. Requiring complete, coherent, consistent and true information for a task is purely for the successful completion of the task. Any requirements on information, including syntactic ones, draw from project needs, including the drive towards avoiding cognitive biases and illusions. This confirms IM as a core part of any management approach, especially with respect to digitization and its promise for decision support.
Key Takeaways
• Information diagrams operationalize and validate process diagrams by translating them into information-processing actions and products
• The validation of process designs with information diagrams includes addressing cognitive biases and illusions
• The superimposition of the I‑P‑O scheme on process task nodes helps translate a process diagram into an information diagram
• Information diagrams should take into account the implementation environment of BIM: the symbols and relations that contain the primary data and the views that present derivative data, as well as the possibilities for quality control
Exercises
1. Compare the graph measures of Figure 2 to those of Figure 3: which differences do you observe and what are their causes and significance for the process design?
2. Add symbols, properties and relations to the information diagram of Figure 6 (especially with respect to feedback). Does the increased specificity make IM easier or more reliable?
3. Add actors to the information diagram of Figure 6. How does the result compare to Figure 2 (also in terms of graph measures)?
4. Complete Figure 7 by specifying how quality controls are performed (correct the diagram with respect to the decision degrees rule).
5. Make an information diagram for Figure 6 in the previous chapter (the “more comprehensive process diagram”).
1. Reference class forecasting is explained in: Flyvbjerg, B. (2011). Over Budget, Over Time, Over and Over Again: Managing Major Projects. In Morris, P.W. G; Pinto, JK; Söderlund, J. (eds.), The Oxford Handbook of Project Management. Oxford: Oxford University Press.
2. Levine, T. R. (2014). Truth-Default Theory (TDT): A Theory of Human Deception and Deception Detection. Journal of Language and Social Psychology, 33(4), 378–392. https://doi.org/10.1177/0261927X14535916 | textbooks/workforce/Construction/Building_Information_-_Representation_and_Management_Principles_and_Foundations_for_the_Digital_Era_(Koutamanis)/04%3A_Management/4.04%3A_Information_diagrams.txt |
The brief
Organize the process of repainting all walls in a large lecture hall at a university. The walls are in good condition, so a single coat of pain suffices. The process therefore can be reduced to the following tasks:
• Make a model of the lecture hall in BIM using direct measurements and photographs
• Classify wall surfaces and their parts with respect to:
• Labour (e.g. painting parts narrower than 30 cm are more time consuming)
• Equipment (e.g. parts higher than 220 cm require scaffolding)
• Accessibility (e.g. parts behind radiators or other fixed obstacles are hard to reach and therefore also time consuming)
• Measure the wall surfaces
• Make cost estimates
• Make a time schedule in 4D BIM
Deliverables
1. Process and information diagrams, accompanied by short explanatory comments
2. Basic model of the lecture hall in a BIM editor
3. Schedules for classification, measurement, estimates and scheduling in BIM
Evaluation criteria
1. The process diagrams should:
1. Make all actors, stakeholders and tasks explicit
2. Include feedback loops in decision making
3. Have no unnecessary bridges
2. The information diagrams should:
1. Indicate how symbols relate to the necessary measurements and estimates
2. Allow to detect how information is derived from primary data
3. The model in BIM should contain:
1. All relevant symbols
2. All necessary equipment
3. The necessary subdivisions of surfaces with respect to labour (tip: these are often determined by relations between symbols, e.g. wall to scaffold height)
Roles
If the exercise is a group assignment, consider roles for the following aspects:
• Process management
• Information management
• BIM modelling (two or more people)
• Analyses in BIM (using schedules – two or more people)
5.02: Exercise II- Change management
The brief
Organize how changes to a design in the development and realization stages can be registered and processed in BIM. These changes may refer to:
• Change to a property of a symbol (e.g. lengthening of a wall)
• Change of the type of a symbol (e.g. change of family for a door)
• Change in a relation between symbols (e.g. relocation of a door in a wall)
• Change in a time property of a symbol (e.g. as a result of a scheduling change)
Organize the process of change management in both stages as a series of tasks that reflect the above types of changes and take into account possible causes of change, such as:
• Changes in the brief (e.g. new activities added)
• Changes in the budget (e.g. increase of façade cost necessitating reduction of cost elsewhere)
• Changes in an aspect of the design (e.g. change in the heating solution or the fire rating of internal doors and ensuing interfacing issues – not just clash detection)
• Changes in the construction schedules (e.g. due to delays in the delivery of components or to bad weather)
• Errors in construction (e.g. wrong dimensioning or specifications of an element)
Deliverables
1. Process and information diagrams, accompanied by short explanatory comments
2. Basic model in a BIM editor demonstrating the way changes can be implemented
Evaluation criteria
1. The process diagrams should:
1. Make all actors, stakeholders, tasks and their relations explicit
2. Include feedback loops for controlling the changes and their effects
2. The information diagrams should:
1. Indicate which symbol properties and relations change, and how
2. Allow to detect how changes are propagated from one symbol to another
3. The model in BIM should contain:
1. Relevant examples for each kind of change
2. Schedules that allow tracking of changes
Roles
If the exercise is a group assignment, consider roles for the following aspects:
• Process management
• Information management
• BIM modelling
• Case analyses (for finding realistic examples)
5.03: Exercise III- Circularity for existing buildings
The brief
The existing building stock in the Netherlands has to undergo extensive improvements, so as to meet new user or environmental requirements, from hybrid working and effective cooling to the energy transition. To reduce costs, one can adopt a circular approach to both components or materials released from existing buildings and the new components and subsystems that will be added to the buildings. Organize the following tasks for a typical Dutch single-family house:
• Document the existing situation in a model appropriate for renovation, i.e. including realization phases, distinction between existing and planned, what should remain and what should be removed
• Identify in the model components and materials that should be extracted (e.g. radiators: the house will switch to underfloor heating), explaining how identification takes place (preferably automatically) in the model
• Estimate the expected circularity form for these components and materials (recycle, remanufacture, repurpose, re-use etc.), explaining which factors play a role (weathering, wear, interfacing with other elements etc.) and how these factors can be detected in the model
• Identify which elements should be upgraded and specify what this entails in the model (paying attention to phasing and element type changes)
• Specify how new elements (for any renovation) should be added to the model to support the above in the remaining lifecycle of the house
• Make a time schedule for a renovation in 4D BIM
Deliverables
1. Process and information diagrams, accompanied by short explanatory comments
2. Incomplete model in a BIM editor containing demonstrations of your solutions
3. Schedules for circularity analyses in BIM
Evaluation criteria
1. The process diagrams should:
1. Make all actors, stakeholders and tasks explicit
2. Include demolition as an option, with clear feasibility criteria
3. Include feedback loops in decision making
4. Have no unnecessary bridges
2. The information diagrams should:
1. Indicate which classes of symbols and which types of properties and relations are relevant
2. Allow to track how decisions are based to primary data
3. Explain how circularity relates to information, e.g. which properties and relations are used to estimate it
3. The model in BIM should contain:
1. A clear indication of how circularity (as derivative information) is described for each symbol
2. A reliable solution for the time dimension, e.g. phases with clear connections, including precedence
3. An efficient way of achieving overview, e.g. identifying all similar or interconnected components in an existing or projected situation
Roles
If the exercise is a group assignment, consider roles for the following aspects:
• Process management
• Information management
• BIM modelling
• Analyses in BIM (using schedules – probably more than one group member)
• Legal and technical aspects of the energy transition
• Building documentation (emphasis on how to deal with incompleteness and uncertainty)
• Subsystem integration
• Circularity in design (technical aspects) | textbooks/workforce/Construction/Building_Information_-_Representation_and_Management_Principles_and_Foundations_for_the_Digital_Era_(Koutamanis)/05%3A_Exercises/5.01%3A_Exercise_I-_Maintenance.txt |
The brief
In the Netherlands, as in many other countries, there are far-reaching plans for reducing the energy consumption required by housing, such as the envisaged energy transition (https://www.government.nl/topics/renewable-energy/central-government-promotes-energy-savings, https://www.iea.org/reports/the-netherlands-2020). Despite the wide acceptance of the necessity of energy reduction and climate improvement, these plans meet with opposition, reluctance, operational complexity and failure. Particularly painful are cases where apparently straightforward improvements, such as the placing of solar panels on roofs, turn out to be a waste of public and private investment. Practically all websites on solar panels are clear about the required conditions, such as roof size and orientation. Still, as any walk through a Dutch town or suburb reveals, there are many, presumably subsidized, panel configurations that are too small or improperly oriented, delivering only around 25% of the expected performance. This even happens in new construction, which suggests that the reasons for failure are deep and significant.
A wise municipality acknowledges the immensity of the task and, rather than rushing into action and wasting time and money in questionable procedures and unproductive subsidies, wants to start from understanding the possibilities and limitations for the existing housing stock: how can they ascertain what can be done with each individual residential building, which retrofit packages apply to different categories in the municipality and what the costs and performance of energetic refurbishments can be.
To this effect, they hire you to manage the process of information collection, with the following brief:
1. Determine which information is necessary for each existing residential building: what we need to know to evaluate the existing situation, determine which improvements are required or possible and estimate the costs and effects of these improvements. The information should be explicitly linked to parts of the building, such as components in the building envelope and the building services. In addition to building information, also consider the usage of buildings (activities deployed in them, type of occupants, energy consumption).
2. Decide how this information should be organized in BIM, so that there is a complete and reliable model of each building in the municipality: which symbols, properties and relations accommodate the information in the model. Assume that there is affordable and reliable storage for the models.
3. Design a process for collecting data about each dwelling in a way that the information in BIM is permanently up to date. The municipality does not want to be burdened with the costs of periodical visits to every building, in which some expert inspects and documents what has changed since the last visit. They prefer to have an automatic system that connects to all relevant sources, stakeholders and actors, from the drawing in the archives of architectural offices to maintenance activities such as replacing a window pane. They want all involved parties to have access to the model of a building, be supported by the information it contains and, in return, update it with the results of their actions (e.g. change the type and construction year of the window panel).
4. Explain how the collection of models could help with the development of retrofit packages for the whole building stock in the municipality and how these packages could be matched to specific properties (e.g. how insulation needs in the building stock can be clustered into types and matched to solutions). This should be the foundation of municipal strategies for energetic improvement and is perhaps the most important product of the project (its culmination from the perspective of the client).
Deliverables
1. Process and information diagrams, accompanied by short explanatory comments
2. A draft of a short policy document that summarizes the diagrams
3. Incomplete model in a BIM editor containing a typical case and demonstrations of your solutions
Evaluation criteria
1. The process diagrams should:
1. Make all actors, stakeholders and tasks explicit
2. Include feedback loops in decision making
3. Have no unnecessary bridges
2. The information diagrams should:
1. Indicate which symbols, properties and relations are essential for this project
2. Allow to detect how information is derived from primary data
3. Contain clear measures for safeguarding information quality (given the extent of the project)
4. Explain the relations between individual buildings and the whole building sock (i.e. between private project management and municipal strategies or policies)
3. The model in BIM should contain:
1. All relevant symbols of an indicative case
2. Schedules for the necessary calculations
Roles
If the exercise is a group assignment, consider roles for the following aspects:
• Process management
• Information management
• BIM modelling
• Analyses in BIM (using schedules)
• Policy development
• Building documentation (emphasis on efficient solutions for large-scale data collection)
• Energetic solutions and performance (technical aspects underlying the choice of building features and retrofit packages) | textbooks/workforce/Construction/Building_Information_-_Representation_and_Management_Principles_and_Foundations_for_the_Digital_Era_(Koutamanis)/05%3A_Exercises/5.04%3A_Exercise_IV-_Energy_transition.txt |
The brief
Buildings are often consider as a major secondary source of valuable materials, such as metals.[1] However, these materials are not easily or frequently released. In fact, buildings prolong the in-use life of many materials, primarily because of the longevity of buildings: rather than replace buildings in relatively short cycles, as we do with e.g. cars or computers, we tend to preserve them, often for longer than originally intended, mending and fixing what still functions, even if performance is low.
This suggests that renovation and refurbishment rather than demolition may be the main release of materials from buildings. Kitchen and bathroom renovations, for example, are quite popular and frequent in many countries. Unfortunately, they are less rigorously regulated than demolition, also concerning waste production and management. A local authority wants to change this in a manner that provides reliable insights into the quantities and quality of materials released. To this effect, they need an information strategy for:
• Making explicit the quantities and qualities of materials released by renovations and refurbishments, starting with kitchens and bathrooms.
• Making reliable estimates of the circularity level of released materials, from reuse to recycling.
• Stimulating efficient and effective waste management by both enabling secondary material makers and imposing different disposal rates for different kinds of building waste.
To help the local authority achieve these goals, you are asked to develop a BIM-based process that will be compulsory for all building renovations and refurbishments. This process should include:
1. A clear description of the existing situation (current phase)
2. A precise account of what is to be taken out of a kitchen or bathroom (extraction phase)
3. The exact process of extraction, from deconstruction to local demolition (important for the quality and reusability of components, as well as for the cost)
4. Guarantees that no hibernating materials or pollutants are left in the building
5. A precise specification of all new components to be added to the kitchen or bathroom (construction phase)
6. Expectations for waste management in future renovations and refurbishments (how the new components will help higher extraction rates or circularity levels)
7. Arguably the most important for your client: a way of connecting information on individual cases to strategic management and policy making for the whole municipal stock
Note that the overarching goal of the project is not to promote specific circularity approaches but to provide unambiguous and reliable information that helps understand the potential and feasibility of any approach to waste management, sustainability and circularity. To this end, your process design should include the ability to handle uncertainty and vagueness, as well as the ability to remove them.
Deliverables
1. Process and information diagrams, accompanied by short explanatory comments
2. Model of an indicative case in a BIM editor
3. Schedules for quantitative and qualitative analyses in BIM
Evaluation criteria
1. The process diagrams should:
1. Make all actors, stakeholders and tasks explicit
2. Include feedback loops in decision making
3. Have no unnecessary bridges
2. The information diagrams should:
1. Indicate which symbols, properties and relations are relevant for this project
2. Allow to detect how information is derived from primary data
3. Contain clear measures for safeguarding information quality (especially with respect to circularity level)
4. Illustrate how relevant quantities and qualities are estimated
5. Explain the relations between individual buildings and the whole building sock (i.e. between private project management and municipal strategies or policies)
3. The model in BIM should contain:
1. All relevant symbols of an indicative case
2. Schedules for the necessary calculations
Roles
If the exercise is a group assignment, consider roles for the following aspects:
• Process management
• Information management
• BIM modelling
• Analyses in BIM (using schedules)
• Building documentation (emphasis on efficient solutions for high specificity)
• Kitchen and bathroom design
• Waste management
1. For a critical account of this: Koutamanis, A., et al., 2018. Urban mining and buildings. Resources, Conservation and Recycling, 138(November), 32-39 https://doi.org/10.1016/j.resconrec.2018.06.024 | textbooks/workforce/Construction/Building_Information_-_Representation_and_Management_Principles_and_Foundations_for_the_Digital_Era_(Koutamanis)/05%3A_Exercises/5.05%3A_Exercise_V-_Waste_management.txt |
Undirected graphs
Graphs are mathematical structures that describe relations between pairs of things. They can be represented by diagrams, where a vertex stands for a thing and an edge for a relation between two things. In the graph of a family tree, for example, the vertices represent the family members and the edges their relationships (Figure 1). Any part of the graph, for example, the nuclear family of father, mother, child and their relations to each other, is a subgraph. Two vertices are adjacent if they are joined by an edge. The two vertices are incident with this edge and the edge is incident with both vertices.
Graph diagrams are dimensionless: the size of a vertex and the length of an edge do not matter either for the vertex and edge or for the whole graph. The size of a graph is measured by the number of edges in it, while the number of vertices is the order of the graph. This means that different arrangements of the vertices and edges in a graph drawing are equally acceptable, so long as they follow a logic that helps legibility (Figure 2). The graphs in Figure 1 and 2 are isomorphic: they have the same vertices and, whenever a pair of vertices in either graph is connected by an edge, the same also holds for the other graph.
The main concern with graph diagrams is that care should be taken that edges do not cross each other in the drawing because this indicates that the graph is planar. Planar graphs have mathematical advantages that relate to the subject of this book (representation of buildings and processes), so you must try and draw your graphs in a way that demonstrates this. Note that a graph may be planar even if you are unable to find an arrangement where no edges intersect. Graph drawing remains a hard task, even with computers. To ensure legibility, do the following in your graphs:
• Arrange the nodes in a logical manner (e.g. in columns, rows or other clusters), without worrying for the size of the drawing or the length of the edges
• Try to have no crossing or overlapping edges, again without worrying about the resulting length or shape of the edges
Properties (including size) can be attached to vertices and edges as labels (textual or visual). The edges of the family tree are labelled with the relationship between the persons represented by the vertices they connect. The default relationship between parent and child is left unlabelled. In general, it is recommended that you use textual labelling rather than visual because it simplifies graph drawing and reading.
Graphs can also be described by adjacency matrices, in which each cell contains the connection between the vertex in the row and the vertex in the column. Table 1 shows if there is a direct connection between the two family members (usually a first-degree relationship). Table 2 shows the relationship as labelled in the graph. Table 2 therefore conveys exactly the same information as the graph drawing, only in a different form.
Table 1. Adjacency matrix of the family tree graph
Maternal grandmother Maternal grandfather Paternal grandmother Paternal grandfather Mother Father Former wife Child Child from previous marriage
Maternal grandmother × 1 0 0 1 0 0 0 0
Maternal grandfather 1 × 0 0 1 0 0 0 0
Paternal grandmother 0 0 × 1 0 1 0 0 0
Paternal grandfather 0 0 1 × 0 1 0 0 0
Mother 1 1 0 0 × 1 0 1 0
Father 0 0 1 1 1 × 1 1 1
Former wife 0 0 0 0 0 1 × 0 1
Child 0 0 0 0 1 1 0 × 1
Child from previous marriage 0 0 0 0 0 1 1 1 ×
Table 2. Adjacency matrix of the family tree graph (labelled)
Maternal grandmother Maternal grandfather Paternal grandmother Paternal grandfather Mother Father Former wife Child Child from previous marriage
Maternal grandmother × married 0 0 parent 0 0 0 0
Maternal grandfather married × 0 0 parent 0 0 0 0
Paternal grandmother 0 0 × divorced 0 child 0 0 0
Paternal grandfather 0 0 divorced × 0 child 0 0 0
Mother child child 0 0 × married 0 parent 0
Father 0 0 child child married × divorced parent parent
Former wife 0 0 0 0 0 divorced × 0 parent
Child 0 0 0 0 child child 0 × step-sibling
Child from previous marriage 0 0 0 0 0 child child step-sibling ×
Each vertex in a graph has a degree: the number of edges connected to it. In the family tree example, each grandparent and child vertex has a degree of 3, the mother vertex 4 and the father vertex 6. The former wife, whose parents do not appear in the graph, has a degree of only 2. The degree of a node is a good indication of its importance or complexity. In this case, it is logical that the father node has the highest degree because the family tree focuses on his former and current marital situation. An odd vertex is one with a degree that is an odd number, while the degree of an even vertex is even. A vertex with a degree equal to zero is called isolated, while a vertex with a degree of 1, as the end stations in the metro map from the chapter on symbolic representation (vertices A, H, G and N in Figure 3), is called a leaf.
The degree sequence of a graph is obtained by listing the degrees of vertices in a graph. This is particularly useful for identifying heavily connected subgraphs. In a metro map, for example, it shows not only which vertices are busy interchanges but also their proximity and distribution: which parts of a line present the most opportunities for changing to other lines.
A graph in connected if each of its vertices connects to every other vertex by some sequence of edges and vertices (a walk). The graphs in this book are by definition connected: in a building there is practically always a way to go from one place to another, while processes should be characterized by continuity from beginning to end. In fact, we pay particular attention to interruptions of connectedness, such as bridges and minimal cuts. A bridge is an edge that divides a graph into two separate parts, so its removal renders the graph disconnected. In the family tree, no edge is a bridge. If an edge is removed from it, there are always a connection between two family members it connected. For example, if the two children sever direct communication between them, there is always the possibility to communicate via the father or, more indirectly, through the rest of the family. Such bridgeless graphs hold advantages for communication and continuity: a metro map that is a bridgeless graph means that passengers can reach their destination, even when the connection between two stations is disrupted. In this respect, our metro example is poor: in Figure 3, all edges are bridges. The removal of any edge causes an interruption in one of the two metro lines (Figure 4) and makes the graph disconnected.
To disconnect the family tree, you need to remove a number of edges: a cut set. The smallest such set is called the minimum cut. In our example, the minimum cut consists of the two edges incident to the former wife vertex (Figure 5). If these are removed, the vertex becomes isolated. The number of edges in the minimum cut is the edge connectivity of the graph.
A walk that connects two vertices without any repetition in either the edges or the vertices is called a path. For example, in Figure 1, the maternal grandmother vertex connects to the child vertex through the path consisting of the parent-child edge to the mother vertex, the mother vertex and the parent-child edge from there to the child vertex. This is also the shortest path between the two vertices, shorter than e.g. paths via the father and former wife vertices.
Graph measures
The distance between two vertices is the number of edges in the shortest path between them. In a family tree, the distance between parents and children is always 1 and the distance between grandparents and grandchildren is 2 (Table 3).
Table 3. Distances in the family tree graph
Maternal grandmother Maternal grandfather Paternal grandmother Paternal grandfather Mother Father Former wife Child Child from former marriage
Maternal grandmother × 1 3 3 1 2 3 2 3
Maternal grandfather 1 × 3 3 1 2 3 2 3
Paternal grandmother 3 3 × 1 2 1 2 2 2
Paternal grandfather 3 3 1 × 2 1 2 2 2
Mother 1 1 2 2 × 1 2 1 2
Father 2 2 1 1 1 × 1 1 1
Former wife 3 3 2 2 2 1 × 2 1
Child 2 2 2 2 1 1 2 × 1
Child from previous marriage 3 3 2 2 2 1 1 1 ×
The distance is the basis for a range of measures, starting with eccentricity: the greatest distance between a vertex and any other vertex in a graph. Eccentricity is a good indication of the centrality of a vertex in a graph. It is also an indication of the size of the graph: the radius of a graph is the smallest eccentricity of any vertex in the graph and the diameter of a graph is the greatest eccentricity of any vertex in the graph. The vertices with an eccentricity equal to the radius form the center of the graph, while the vertices with an eccentricity equal to the diameter form the periphery (Table 4).
Table 4. Distances in the metro graph
A B C D E F G H I J K L M N Eccentricity Closeness
A × 1 2 3 4 5 6 7 6 5 4 4 5 6 7 0,31
B 1 × 1 2 3 4 5 6 5 4 3 3 4 5 6 0,38
C 2 1 × 1 2 3 4 5 4 3 2 2 3 4 5 0,50
D 3 2 1 × 1 2 3 4 3 2 1 1 2 3 4 0,72
E 4 3 2 1 × 1 2 5 4 3 2 2 3 4 5 0,59
F 5 4 3 2 1 × 1 6 5 4 3 3 4 5 6 0,50
G 6 5 4 3 2 1 × 7 6 5 4 4 5 6 7 0,41
H 7 6 5 4 5 6 7 × 1 2 3 5 6 7 7 0,43
I 6 5 4 3 4 5 6 1 × 1 2 4 5 6 6 0,54
J 5 4 3 2 3 4 5 2 1 × 1 3 4 5 5 0,65
K 4 3 2 1 2 3 4 3 2 1 × 2 3 4 4 0,72
L 4 3 2 1 2 3 4 5 4 3 2 × 1 2 5 0,59
M 5 4 3 2 3 4 5 6 5 4 3 1 × 1 6 0,46
N 6 5 4 3 4 5 6 7 6 5 4 2 1 × 7 0,36
In the example of the metro map, these measures suggest that vertices D and K are the center, and vertices A, G, H and N the periphery (Figure 6). In between the two are vertices with eccentricities of 5 and 6. These groups agree with intuitive interpretations of the metro map. You may also choose to form the center out of vertices with an eccentricity of 4 and 5 or the periphery out of vertices with an eccentricity of 6 and 7. Using ranges of values also agrees with intuitive interpretations and can be useful with large graphs.
In addition to eccentricity, you can use the closeness of a vertex: its inverse mean distance to all other vertices in the graph, calculated by dividing the number of all other vertices (the order of the graph minus one) by the sum of distances to these vertices. The higher the value of closeness, the more central the position of a vertex (Table 4). In the example of the metro map, closeness and eccentricity agree that vertices D and K are the most central. As for the rest of the vertices, the closeness values offer more variation than eccentricity and thus a more refined basis for grouping them.
Directed graphs
Many relations are directed by their precedence in time, in relation to movement or through another dependence, as in the relation between parent and child. These can be represented in directed graphs (digraphs), where things are represented by nodes (a synonym of vertex, which we will use to indicate that we are dealing with a digraph) and relations by arcs (i.e. directed edges). Due to directedness, some things are slightly different from undirected graphs:
• A node has an in- and an out-degree, measured respectively by the number of incoming and out outgoing arcs. A node with an in-degree of 0 is called a source. Source nodes are the starting points of processes. A node with an out-degree of 0 is called a terminal (or sink) and represents an endpoint in a process.
• A walk is directed: it consists of arcs with the same direction.
• A path is similarly directed (dipath): This obviously affects connectivity: a digraph is strongly connected if there is a dipath that connects every pair of nodes or weakly connected if the undirected underlying graph obtained by replacing all arcs with edges in connected.
Graphs that contain both edges and arcs are called mixed and are to be avoided in the context of this book. In the subjects discussed here, either the direction does not matter (as with most doors in a building) or is strictly defined by time or dependence (as in the transition from one task to another in a process). It may be tempting to add bidirectional arcs to process diagrams but these, too, should be avoided because they merely obfuscate the process, e.g. obscure feedback.
Graph operations
The changes you apply to a graph include:
• Edge contraction: the replacement of an edge and two vertices incident to it with a single vertex
• Edge subdivision: the replacement of an edge with a vertex and connection of the new vertex with new edges to the ends of the original vertices
• Vertex identification: replacement of any two vertices with a single vertex incident to all edges previously incident to either of the original vertices
• Vertex splitting: the replacement of a vertex with two adjacent vertices and of each edge incident to the original vertex with an edge incident to either new vertex (but not to both)
In all transformations of a graph, it is advisable to think in terms of these operations to ensure consistency and avoid omissions, such as forgetting to connect a new node to the existing ones when refining a process diagram. They help connect the previous state of the graph to the new one and to meaning of the changes you want to implement. In particular, the transition from process to information diagram involves changes that benefit from considering them as graph operations. | textbooks/workforce/Construction/Building_Information_-_Representation_and_Management_Principles_and_Foundations_for_the_Digital_Era_(Koutamanis)/06%3A_Appendices/6.01%3A_Appendix_I-_Graph_theory.txt |
What is parameterization
To understand what parameterization is and how it works, let us consider a simple, basic example: the equation that describes a straight line:
y = a·x + b
In this equation, x and y are the coordinates of each point on the line, and a and b are parameters. The values of these parameters do not change the line type: the equation always describes a straight line. What a and b do is determine key properties of the line:
• a determines the slope of the line: if it is negative, the line goes down to the left; if it is positive, down to the right; if its is 1, the slope is 45 degrees; if it is zero, the line is horizontal
• b determines the y intercept: the point where the line crosses the y axis
Instead of fixed values, the two parameters can be variable, so that we can control them in a transparent and precise manner. Moving a line to a new position without changing its slope, for instance, amounts to adding a number to b. Parameter values can be constrained to take specific values, e.g. if a can only be -1 or +1, the equation is allowed to produce only line slopes of 45 degrees. They can also be constrained relative to parameters of other lines. For example, this equation describes lines that are always parallel to our original example:
y1 = a·x1 + (b + c)
The following equation describes lines that are always perpendicular to our example:
y2 = (-1/a)·x2 + (b + d)
Any change to the parameters of the original line also triggers changes to the other two lines, so that they always remain respectively parallel and perpendicular to it. Constraining one thing relative to another in this way is the foundation of parameterization in design, for example, keeping walls parallel or perpendicular to each other, keeping their dimensions in the same proportions etc.
Kinds of parameterization
There are three kinds of parameterization in design:
1. Geometric: affecting the geometric properties of a symbol, e.g. length or slope
2. Topological: concerning the number and configuration of symbols, e.g. the number and position of steps in a stair in relation to the height that has to be bridged
3. Symbolic: concerning non-geometric properties of a symbol, e.g. the type of a wall one may enter in a model can be constrained by applicable fire safety regulations or acoustic requirements
The above line example is of the geometric kind. Figure 2 is an example of the topological kind: a helical stair, consisting of geometrically identical steps. Each step is positioned with the bottom line of its riser fully aligned with the far end of the tread of the previous step. In this way, there are no gaps between them and they form a steady progression from a lower level to a higher.
If the height difference between the two floors changes (Figure 3 and 4), more steps are added in the same fashion: topological parameterization affects the number of required steps. The geometry of the steps and their relation do not change, in contrast to the overall form of the stair.
One can also choose to modify the geometry of the steps when the height difference between floors changes: keep the number of steps the same and increase or decrease the rise of each step. In this case, which is possible only with small height differences that do not destroy the climbability of the stair, the parameterization is geometric.
Symbolic parameterization concerns non-geometric values, which can nevertheless be fundamentally quantitative. For example, around a music room in a school one needs to have walls and floors with a heavier acoustic insulation than in other parts of the building, while the walls and floors around a chemistry lab must have a higher fire resistance: the use of the space imposes a threshold of acceptable acoustic or fire-resistance performance. Each type of wall and floor in BIM can be automatically evaluated against this threshold, resulting in automatic warnings or even refusal when an inappropriate symbol is entered in the model. The values that are compared in this example are numerical (the threshold required by the space versus the relevant performance of the wall) but the parametric relation is between space use type and wall or floor type. Similarly, the colour design of a space can be based on a monochromatic scheme with variations in lightness and saturation. If the primary colour in the scheme changes, then all these variations are adapted, resulting in different RAL or Pantone codes.
Parameterization and semantic data types
One of the interesting effects of parameterization is on the semantic type of symbol properties: it turns primary data into derivative. The length of a wall is normally primary information because it is an essential part of its identity. However, if a particular wall is constrained to have the same length as another wall, then the length of the former becomes derivative, as it follows any change to the length of the latter. Removing the constraint makes the two walls independent of each other and makes the length of both primary again.
This example illustrates the significance and complexity of parameterization in design: on one hand, parameterization makes the configuration and modification of a symbolic representation easier and safer. Rather than having to adjust the dimensions of every wall separately, we can relate them all to each other, establishing a parametric network that supports the propagation of changes to one wall to all others. Unfortunately, such a network is had to define because we have to anticipate all possible changes to every wall and their significance to others. Relating everything to a single wall and then manipulating only than one is practically never the answer.
Moreover, each symbol in the representation may belong to multiple networks. A wall, for example, can be related to geometric parametric networks that affect its dimensions; to acoustic parametric networks that constrain properties relevant to acoustics, such as mass and rigidity, relative to the activities taking place on either side of the wall; to fire safety parametric networks that constrain other material properties relative to the location of the wall along egress routes or fire compartment boundaries. Resolving conflicts between the effects of different networks is a major problem in design parameterization and information management. | textbooks/workforce/Construction/Building_Information_-_Representation_and_Management_Principles_and_Foundations_for_the_Digital_Era_(Koutamanis)/06%3A_Appendices/6.02%3A_Appendix_II-_Parameterization.txt |
• 1.1: First Aid and Personal Protective Equipment
Job site accidents and injuries as a result of tools and equipment being misused or failing are quite common. Cuts and punctures from sharp objects, contusions from blunt objects or impacts, burns from open flame torches and hot pipes, splashing of chemicals or debris to the eyes, and electrical shock are just a few of the common injuries associated with the building maintenance trade.
• 1.2: Eye and Face Protection
• 1.3: Hearing Protection
• 1.4: Head Protection
Protecting employees from potential head injuries is a key element of any safety program. A head injury can impair an employee for life or it can be fatal. Wearing a safety helmet or hard hat is one of the easiest ways to protect an employee’s head from injury. Hard hats can protect employees from impact and penetration hazards as well as from electrical shock and burn hazards.
• 1.5: Hand Protection
• 1.6: Respiratory Protection
The information in this section will provide basic information to workers and employers who may find themselves using respiratory protection for the first time. The guidance provides information on what respirators are, how they work, and what is needed for a respirator to provide protection.
• 1.7: Foot Protection
• 1.8: Tool and Shop Safety
Tools are such a common part of our lives that it is difficult to remember that they may pose hazards. Tragically, a serious incident can occur before steps are taken to identify and avoid or eliminate tool-related hazards.
• 1.9: Ladder Safety and Fall Protection
Falls from portable ladders (step, straight, combination and extension) are one of the leading causes of occupational fatalities and injuries.
01: Safety
First Things First
Job site accidents and injuries as a result of tools and equipment being misused or failing are quite common. Cuts and punctures from sharp objects, contusions from blunt objects or impacts, burns from open flame torches and hot pipes, splashing of chemicals or debris to the eyes, and electrical shock are just a few of the common injuries associated with the building maintenance trade.
As construction and maintenance processes offer the potential for many types of traumatic and life threatening injuries, workers in skilled trades should be aware of the hazards and be prepared to respond in the event of an injury. While many industry tasks are performed by a single person, often isolated from others, it is recommended that industry workers receive First Aid and Cardiopulmonary Resuscitation (CPR), and Occupational Safety and Health Administration (OSHA) 10 or 30 Hour Training for Construction certificates. Training will enable industry trades-persons to better assess workplace hazards and respond to them appropriately, whether an incident involves yourself, a teammate, or others on the job site. In person, hands-on First Aid/CPR training can be found through local health and welfare organizations, educational institutions (credit or non-credit), and medical providers. OSHA in person courses can be found at local educational institutions (credit or non-credit), and in online formats through various educational institutions and commercial providers.
First Aid Kit
Although we all hope that we never need one, a first aid kit should be kept on the service vehicle or on the job site at all times. Be sure your first aid kit has you prepared for the type of injuries connected to your field of work. The size of the first aid kit should reflect the number of employees kit is intended to service. Most commercial first aid kits are rated by the amount of people or employees to be served.
1.02: Eye and Face Protection
Employees can be exposed to a large number of hazards that pose danger to their eyes and face. OSHA requires employers to ensure that employees have appropriate eye or face protection if they are exposed to eye or face hazards from flying particles, molten metal, liquid chemicals, acids or caustic liquids, chemical gases or vapors, potentially infected material or potentially harmful light radiation.
OSHA suggests that eye protection be routinely considered for use by carpenters, electricians, machinists, mechanics, millwrights, plumbers and pipefitters, sheet metal employees and tinsmiths, assemblers, sanders, grinding machine operators, sawyers, welders, laborers, chemical process operators and handlers, and timber cutting and logging workers. Employers of employees in other job categories should decide whether there is a need for eye and face PPE through a hazard assessment.
Examples of potential eye or face injuries include:
• Dust, dirt, metal or wood chips entering the eye from activities such as chipping, grinding, sawing, hammering, the use of power tools or even strong wind forces.
• Chemical splashes from corrosive substances, hot liquids, solvents or other hazardous solutions.
• Objects swinging into the eye or face, such as tree limbs, chains, tools or ropes.
• Radiant energy from welding, harmful rays from the use of lasers or other radiant light (as well as heat, glare, sparks, splash and flying particles).
Many occupational eye injuries occur because employees are not wearing any eye protection while others result from wearing improper or poorly fitting eye protection. Employers must be sure that their employees wear appropriate eye and face protection and that the selected form of protection is appropriate to the work being performed and properly fits each employee exposed to the hazard.
Types of Eye Protection
Selecting the most suitable eye and face protection for employees should take into consideration the following elements:
• Ability to protect against specific workplace hazards.
• Should fit properly and be reasonably comfortable to wear.
• Should provide unrestricted vision and movement.
• Should be durable and cleanable.
• Should allow unrestricted functioning of any other required PPE.
The eye and face protection selected for employee use must clearly identify the manufacturer. Any new eye and face protective devices must comply with ANSI Z87.1-1989 or be at least as effective as this standard requires. Any equipment purchased before this requirement took effect on July 5, 1994, must comply with the earlier ANSI Standard (ANSI Z87.1-1968) or be shown to be equally effective. See the eye protection selection guide for the most recent standard (ANSI Z87.1-2015).
An employer may choose to provide one pair of protective eyewear for each position rather than individual eyewear for each employee. If this is done, the employer must make sure that employees disinfect shared protective eyewear after each use. Protective eyewear with corrective lenses may only be used by the employee for whom the corrective prescription was issued and may not be shared among employees.
Some of the most common types of eye and face protection include the following examples:
Query \(1\) | textbooks/workforce/Construction/Building_Maintenance_and_Construction_-_Tools_and_Maintenance_Tasks_(Rutherford)/01%3A_Safety/1.01%3A_First_Aid_and_Personal_Protective_Equipment.txt |
Hearing Protection
Some types of hearing protection include:
• Single-use Earplugs – Single-use earplugs are made of waxed cotton, foam, silicone rubber or fiberglass wool. They are self-forming and, when properly inserted, they work as well as most molded earplugs.
• Molded Earplugs – Pre-formed or molded earplugs must be individually fitted by a professional and can be disposable or reusable. Reusable plugs should be cleaned after each use.
• Earmuffs – Require a perfect seal around the ear. Glasses, facial hair, long hair or facial movements such as chewing may reduce the protective value of earmuffs.
Note: Audio headphones and earbuds are not approved devices for hearing protection.
Determining the need to provide hearing protection for employees can be challenging. Employee exposure to excessive noise depends upon a number of factors, including:
• The loudness of the noise as measured in decibels (dB).
• The duration of each employee’s exposure to the noise.
• Whether employees move between work areas with different noise levels.
• Whether noise is generated from one or multiple sources.
Generally, the louder the noise, the shorter the exposure time before hearing protection is required. For instance, employees may be exposed to a noise level of 90 dB for 8 hours per day (unless they experience a Standard Threshold Shift) before hearing protection is required. On the other hand, if the noise level reaches 115 dB hearing protection is required if the anticipated exposure exceeds 15 minutes. Common hearing injuries associated with noise levels in the construction and maintenance industry include both temporary and permanent partial to total hearing loss, and tinnitus (ringing in the ear).
For a more detailed discussion of the requirements for a comprehensive hearing conservation program, see OSHA Publication 3074 (2002), “Hearing Conservation” or refer to the OSHA standard at 29 CFR 1910.95, Occupational Noise Exposure, section (c).
Table 5, below, shows the permissible noise exposures that require hearing protection for employees exposed to occupational noise at specific decibel levels for specific time periods. Noises are considered continuous if the interval between occurrences of the maximum noise level is one second or less. Noises not meeting this definition are considered impact or impulse noises (loud momentary explosions of sound) and exposures to this type of noise must not exceed 140 dB. Examples of situations or tools that may result in impact or impulse noises are powder-actuated nail guns, a punch press or drop hammers.
Table \(1\), below, shows the permissible noise exposures that require hearing protection for employees exposed to occupational noise at specific decibel levels for specific time periods. Noises are considered continuous if the interval between occurrences of the maximum noise level is one second or less. Noises not meeting this definition are considered impact or impulse noises (loud momentary explosions of sound) and exposures to this type of noise must not exceed 140 dB. Examples of situations or tools that may result in impact or impulse noises are powder-actuated nail guns, a punch press or drop hammers.
Duration per day (hrs) Sound level (dB*)
8 90
6 92
4 95
3 97
2 100
1 1/2 102
1 105
1/2 110
1/4 or less 115
If engineering and work practice controls do not lower employee exposure to workplace noise to acceptable levels, employees must wear appropriate hearing protection. It is important to understand that hearing protectors reduce only the amount of noise that gets through to the ears. The amount of this reduction is referred to as attenuation, which differs according to the type of hearing protection used and how well it fits. Hearing protectors worn by employees must reduce an employee’s noise exposure to within the acceptable limits noted in Table 5. Refer to Appendix B of 29 CFR 1910.95, Occupational Noise Exposure, for detailed information on methods to estimate the attenuation effectiveness of hearing protectors based on the device’s noise reduction rating (NRR). Manufacturers of hearing protection devices must display the device’s NRR on the product packaging. If employees are exposed to occupational noise at or above 85 dB averaged over an eight-hour period, the employer is required to institute a hearing conservation program that includes regular testing of employees’ hearing by qualified professionals. Refer to 29 CFR 1910.95(c) for a description of the requirements for a hearing conservation program.
Hearing Protection Self-Check
Query \(1\) | textbooks/workforce/Construction/Building_Maintenance_and_Construction_-_Tools_and_Maintenance_Tasks_(Rutherford)/01%3A_Safety/1.03%3A_Hearing_Protection.txt |
Protecting employees from potential head injuries is a key element of any safety program. A head injury can impair an employee for life or it can be fatal. Wearing a safety helmet or hard hat is one of the easiest ways to protect an employee’s head from injury. Hard hats can protect employees from impact and penetration hazards as well as from electrical shock and burn hazards.
Employers must ensure that their employees wear head protection if any of the following apply:
• Objects might fall from above and strike them on the head;
• They might bump their heads against fixed objects, such as exposed pipes or beams; or
• There is a possibility of accidental head contact with electrical hazards.
Some examples of occupations in which employees should be required to wear head protection include construction workers, carpenters, electricians, linemen, plumbers and pipefitters, timber and log cutters, welders, among many others. Whenever there is a danger of objects falling from above, such as working below others who are using tools or working under a conveyor belt, head protection must be worn. Hard hats must be worn with the bill forward to protect employees properly.
In general, protective helmets or hard hats should do the following:
• Resist penetration by objects.
• Absorb the shock of a blow.
• Be water-resistant and slow burning.
• Have clear instructions explaining proper adjustment and replacement of the suspension and headband.
Hard hats must have a hard outer shell and a shock-absorbing lining that incorporates a headband and straps that suspend the shell from 1 to 1 1/4 inches (2.54 cm to 3.18 cm) away from the head. This type of design provides shock absorption during anti-impact and ventilation during normal wear.
Protective headgear must meet ANSI Standard Z89.1-1986 (Protective Headgear for Industrial Workers) or provide an equivalent level of protection. Helmets purchased before July 5, 1994 must comply with the earlier ANSI Standard (Z89.1-1969) or provide equivalent protection.
Bump Hats vs. Hard Hats
There are two common classes of protective headgear known as “bump hats” and “hard hats”. Bump Hats are designed for use in areas with low head clearance and are recommended for areas where protection is needed from head bumps and lacerations. When the risk of falling or flying objects are present then an ANSI approved Hard Hat is required instead.
There are many types of hard hats available in the marketplace today and it is essential to check the type of hard hat employees are using. Each hat should bear a label inside the shell that lists the manufacturer, the ANSI designation and the class of the hat. This information should be compared against working conditions to ensure proper protection against potential workplace hazards with a requirement for employees to wear the hard hat at all times. It is important for employers to understand all potential hazards when making this selection, including electrical hazards. This can be done through a comprehensive hazard analysis and an awareness of the different types of protective headgear available.
Hard hats are divided into three industrial classes:
• Class A hard hats provide impact and penetration resistance along with limited voltage protection (up to 2,200 volts).
• Class B hard hats provide the highest level of protection against electrical hazards, with high-voltage shock and burn protection (up to 20,000 volts). They also provide protection from impact and penetration hazards by flying/falling objects.
• Class C hard hats provide lightweight comfort and impact protection but offer no protection from electrical hazards.
Size and Care Considerations
Head protection that is either too large or too small is inappropriate for use, even if it meets all other requirements. Protective headgear must fit appropriately on the body and for the head size of each individual. Most protective headgear comes in a variety of sizes with adjustable headbands to ensure a proper fit (many adjust in 1/8-inch increments). A proper fit should allow sufficient clearance between the shell and the suspension system for ventilation and distribution of an impact. The hat should not bind, slip, fall off or irritate the skin.
Some protective headgear allows for the use of various accessories to help employees deal with changing environmental conditions, such as slots for earmuffs, safety glasses, face shields and mounted lights. Optional brims may provide additional protection from the sun and some hats have channels that guide rainwater away from the face. Protective headgear accessories must not compromise the safety elements of the equipment.
Periodic cleaning and inspection will extend the useful life of protective headgear. A daily inspection of the hard hat shell, suspension system and other accessories for holes, cracks, tears or other damage that might compromise the protective value of the hat is essential. Paints, paint thinners and some cleaning agents can weaken the shells of hard hats and may eliminate electrical resistance. Consult the helmet manufacturer for information on the effects of paint and cleaning materials on their hard hats. Never drill holes, paint or apply labels to protective headgear as this may reduce the integrity of the protection. Do not store protective headgear in direct sunlight, such as on the rear window shelf of a car, since sunlight and extreme heat can damage them.
Hard hats with any of the following defects should be removed from service and replaced:
• Perforation, cracking, or deformity of the brim or shell;
• Indication of exposure of the brim or shell to heat, chemicals or ultraviolet light and other radiation (in addition to a loss of surface gloss, such signs include chalking or flaking).
Always replace a hard hat if it sustains an impact, even if damage is not noticeable. Suspension systems are offered as replacement parts and should be replaced when damaged or when excessive wear is noticed. It is not necessary to replace the entire hard hat when deterioration or tears of the suspension systems are noticed. | textbooks/workforce/Construction/Building_Maintenance_and_Construction_-_Tools_and_Maintenance_Tasks_(Rutherford)/01%3A_Safety/1.04%3A_Head_Protection.txt |
If a workplace hazard assessment reveals that employees face potential injury to hands and arms that cannot be eliminated through engineering and work practice controls, employers must ensure that employees wear appropriate protection. Potential hazards include skin absorption of harmful substances, chemical or thermal burns, electrical dangers, bruises, abrasions, cuts, punctures, fractures and amputations. Protective equipment includes gloves, finger guards and arm coverings or elbow-length gloves.
Employers should explore all possible engineering and work practice controls to eliminate hazards and use PPE to provide additional protection against hazards that cannot be completely eliminated through other means. For example, machine guards may eliminate a hazard. Installing a barrier to prevent employees from placing their hands at the point of contact between a table saw blade and the item being cut is another method.
Types of Protective Gloves
• Palm
• Mechanic’s
• Latex
• Vinyl
• Nitrile
• Chemical
There are many types of gloves available today to protect against a wide variety of hazards. The nature of the hazard and the operation involved will affect the selection of gloves. The variety of potential occupational hand injuries makes selecting the right pair of gloves challenging. It is essential that employees use gloves specifically designed for the hazards and tasks found in their workplace because gloves designed for one function may not protect against a different function even though they may appear to be an appropriate protective device.
The following are examples of some factors that may influence the selection of protective gloves for a workplace.
• Type of chemicals handled.
• Nature of contact (total immersion, splash, etc.).
• Duration of contact.
• Area requiring protection (hand only, forearm, arm).
• Grip requirements (dry, wet, oily).
• Thermal protection.
• Size and comfort.
• Abrasion/resistance requirements.
Gloves made from a wide variety of materials are designed for many types of workplace hazards. In general, gloves fall into four groups:
• Gloves made of leather, canvas or metal mesh;
• Fabric and coated fabric gloves;
• Chemical- and liquid-resistant gloves;
• Insulating rubber gloves (See 29 CFR 1910.137 and the following section on electrical protective equipment for detailed requirements on the selection, use and care of insulating rubber gloves).
Query \(1\)
Query \(1\)
Glove Selection
The following table from the U.S. Department of Energy (Occupational Safety and Health Technical Reference Manual) rates various gloves as being protective against specific chemicals and will help you select the most appropriate gloves to protect your employees. The ratings are abbreviated as follows: VG: Very Good; G: Good; F: Fair; P: Poor (not recommended). Chemicals marked with an asterisk (*) are for limited service.
Table \(1\)The following table from the U.S. Department of Energy (Occupational Safety and Health Technical Reference Manual) rates various gloves as being protective against specific chemicals and will help you select the most appropriate gloves to protect your employees. The ratings are abbreviated as follows: VG: Very Good; G: Good; F: Fair; P: Poor (not recommended). Chemicals marked with an asterisk (*) are for limited service.
Chemical Neoprene Latex/Rubber Butyl Nitrile
Acetaldehyde* VG G VG G
Acetic acid VG VG VG VG
Acetone* G VG VG P
Ammonium hydroxide VG VG VG VG
Amy acetate* F P F P
Aniline G F F P
Benzaldehyde* F F G G
Benzene* P P P F
Butyl acetate G F F P
Butyl alcohol VG VG VG VG
Carbon disulfide F F F F
Carbon tetrachloride* F P P G
Castor oil F P F VG
Chlorobenzene* F P F P
Chloroform* G P P F
Chloronaphthalene F P F F
Chromic acid (50%) F P F F
Citric acid (10%) VG VG VG VG
Cyclohexanol G F G VG
Dibutyl phthalate* G P G G
Diesel fuel G P P VG
Diisobutyl ketone P F G P
Dimethylformamide F F G G
Dioctyl phthalate G P F VG
Dioxane VG G G G
Epoxy resins, dry VG VG VG VG
Ethyl acetate* G F G F
Ethyl alcohol VG VG VG VG
Ethyl ether* VG G VG G
Ethylene dichloride* F P F P
Ethylene glycol VG VG VG VG
Formaldehyde VG VG VG VG
Formic acid VG VG VG VG
Freon 11 G P F G
Freon 12 G P F G
Freon 21 G P F G
Freon 22 G P F G
Furfural* G G G G
Gasoline, leaded G P F VG
Gasoline, unleaded G P F VG
Glycerin VG VG VG VG
Hexane F P P G
Hydrazine (65%) F G G G
Hydrochloric acid VG G G G
Hydrofluoric acid (48%) VG G G G
Hydrogen peroxide (30%) G G G G
Hydroquinone G G G F
Isooctane F P P VG
Kerosene VG F F VG
Ketones G VG VG P
Lacquer thinners G F F P
Lactic acid (85%) VG VG VG VG
Lauric acid (36%) VG F VG VG
Lineolic acid VG P F G
Linseed oil VG P F VG
Maleic acid VG VG VG VG
Methyl alcohol VG VG VG VG
Methylamine F F G G
Methyl bromide G F G F
Methyl chloride* P P P P
Methyl ethyl ketone* G G VG P
Methyl isobutyl ketone* F F VG P
Methyl metharcrylate G G VG F
Monoethanolamine VG G VG VG
Morpholine VG VG VG G
Naphthalene G F F G
Napthas, aliphatic VG F F VG
Napthas, aromatic G P P G
Nitric acid* G F F F
Nitric acid, red and white fuming P P P P
Nitromethane (95.5%)* F P F F
Nitropropane (95.5%) F P F F
Octyl alcohol VG VG VG VG
Oleic acid VG F G VG
Oxalic acid VG VG VG VG
Palmitic acid VG VG VG VG
Perchloric acid (60%) VG F G G
Perchloroethylene F P P G
Petroleum distillates (naphtha) G P P VG
Phenol VG F G F
Phosphoric acid VG G VG VG
Potassium hydroxide VG VG VG VG
Propyl acetate G F G F
Propyl alcohol VG VG VG VG
Propyl alcohol (iso) VG VG VG VG
Sodium hydroxide VG VG VG VG
Styrene P P P F
Styrene (100%) P P P F
Sulfuric acid G G G G
Tannic acid (65) VG VG VG VG
Tetrahydrofuran P F F F
Toluene* F P P F
Toluene diisocyanate (TDI) F G G F
Trichloroethylene* F F P G
Triethanolamine (85%) VG G G VG
Tung oil VG P F VG
Turpentine G F F VG
Xylene* P P P F
Care of Protective Gloves
Protective gloves should be inspected before each use to ensure that they are not torn, punctured or made ineffective in any way. A visual inspection will help detect cuts or tears but a more thorough inspection by filling the gloves with water and tightly rolling the cuff towards the fingers will help reveal any pinhole leaks. Gloves that are discolored or stiff may also indicate deficiencies caused by excessive use or degradation from chemical exposure.
Any gloves with impaired protective ability should be discarded and replaced. Reuse of chemical-resistant gloves should be evaluated carefully, taking into consideration the absorptive qualities of the gloves. A decision to reuse chemically-exposed gloves should take into consideration the toxicity of the chemicals involved and factors such as duration of exposure, storage and temperature. | textbooks/workforce/Construction/Building_Maintenance_and_Construction_-_Tools_and_Maintenance_Tasks_(Rutherford)/01%3A_Safety/1.05%3A_Hand_Protection.txt |
The information in this section will provide basic information to workers and employers who may find themselves using respiratory protection for the first time. The guidance provides information on what respirators are, how they work, and what is needed for a respirator to provide protection. For additional information see OSHA Bulletin: General Respiratory Protection Guidance for Employers and Workers
What is a respirator?
A respirator is a device that protects you from inhaling dangerous substances, such as chemicals and infectious particles. Respirators are among the most important pieces of protective equipment for working in hazardous environments. Selecting the right respirator requires an assessment of all the workplace operations, processes or environments that may create a respiratory hazard. The identity of the hazard and its airborne concentrations need to be determined before choosing a respirator. This assessment should be done by experienced safety personnel or by an industrial hygienist. There are several different types of respirators, as described below.
How do respirators work?
Respirators work by either filtering particles from the air, chemically cleaning (purifying) the air, or supplying clean air from an outside source.
Particulate Respirators
Particulate respirators are the simplest, least expensive, and least protective of the respirator types available. These respirators only protect against particles (e.g., dust). They do not protect against chemicals, gases, or vapors, and are intended only for low hazard levels. The commonly known “N-95” filtering facepiece respirator or “dust mask” is one type of particulate respirator, often used in hospitals to protect against infectious agents. Particulate respirators are “airpurifying respirators” because they clean particles out of the air as you breathe.
Particulate respirators:
• Filter out dusts, fumes and mists.
• Are usually disposable dust masks or respirators with disposable filters.
• Must be replaced when they become discolored, damaged, or clogged.
Examples: filtering facepiece or elastomeric respirator.
Chemical Cartridge/Gas Mask Respirator
Gas masks are also known as “air-purifying respirators” because they filter or clean chemical gases out of the air as you breathe. This respirator includes a facepiece or mask, and a cartridge or canister. Straps secure the facepiece to the head. The cartridge may also have a filter to remove particles.
Gas masks are effective only if used with the correct replaceable cartridge or filter (these terms are often used interchangeably) for a particular biological or chemical substance. Selecting the proper filter can be a complicated process, but is aided through color-coding based on the substance being filtered. There are cartridges available that protect against more than one hazard, but there is no “all-in-one” cartridge that protects against all substances. You may even require more than one cartridge to protect against multiple hazards. It is important to know what hazards you will face in order to be certain you are choosing the right filters/cartridges.
There are nine classes of particulate filters which are broken down into three series: N, R, and P. Each series (N, R, and P) is available at three efficiency levels: 95%, 99%, and 99.97%. The N series filter is used in environments free of oil mists. The R series filters can be exposed to oil mists, but should only be worn for one work shift. The P filter can be exposed to oil mists for longer than one work shift.
Table \(1\): Color Blocks by Jonathan Kevan is licensed under CC BY 4.0
Contaminant Color Description
Acid gases White
Hydrocyanic acid gas White with 1/2 inch green stripe completely around the canister near the bottom
Chlorine gas White with 1/2 inch yellow stripe completely around the canister near the bottom
Organic Vapors Black
Ammonia gas Green
Acid gases and ammonia gas Green with 1/2 inch white stripe completely around the canister near the bottom
Carbon monoxide Blue
Acid gases & organic vapors Yellow
Hydrocyanic acid gas and chloropicrin vapor Yellow with 1/2 inch blue stripe completely around the canister near the bottom
Acid gases, organic vapors, and ammonia gases Brown
Radioactive materials, except tritium & noble gases Magenta
Pesticides Organic vapor canister plus a particulate filter
Multi-Contaminant and CBRN agent Olive
Any particulates - P100 Purple
Any particulates - P95, P99, R95, R99, R100 Orange
Any particulates free of oil - N95, N99, or N100 Teal
Powered Air-Purifying Respirator (PAPR)
Powered air-purifying respirators use a fan to draw air through the filter to the user. They are easier to breathe through; however, they need a fully charged battery to work properly. They use the same type of filters/cartridges as other air-purifying respirators. It is important to know what the hazard is, and how much of it is in the air, in order to select the proper filters/cartridges.
Self-Contained Breathing Apparatus
Self-Contained Breathing Apparatus (SCBA) is the respirator commonly used by firefighters. These use their own air tank to supply clean air, so you don’t need to worry about filters. They also protect against higher concentrations of dangerous chemicals. However, they are very heavy (30 pounds or more), and require very special training on how to use and to maintain them. Also, the air tanks typically last an hour or less depending upon their rating and your breathing rate (how hard you are breathing).
Provide clean air from a portable air tank when the air around you is simply too dangerous to breathe.
All of these respirators (except for the “dust masks” or filtering face pieces) are available in either half-mask or full-face pieces.
Frequently Asked Questions (Respirators)
Query \(1\)
Respirator Considerations:
Questions to consider regarding any respirator you are considering purchasing:
• What protection (which chemicals and particles, and at what levels) does the respirator provide?
• Is there more than one size?
• Which size should I use?
• How do I know if the gas mask or respirator will fit?
• What type of training do I need?
• Are there any special maintenance or storage conditions?
• Will I be able to talk while wearing the respirator?
• Does the hood restrict vision or head movement in any way?
• Can I carry the device in the trunk of my automobile?
• Is a training respirator available?
Additional Information
For more information on OSHA’s rules and requirements related to respiratory protection, visit OSHA’s website at www.osha.gov/SLTC/respiratoryprotection/index.html.
This is one in a series of informational fact sheets highlighting OSHA programs, policies or standards. It does not impose any new compliance requirements. For a comprehensive list of compliance requirements of OSHA standards or regulation, refer to Title 29 of the Code of Federal Regulations. This information will be made available to sensory-impaired individuals upon request. The voice phone is (202) 693-1999; teletypewriter (TTY) number: (877) 889-5627.
For more complete information:
OSHA
Occupational Safety and Health Administration
U.S. Department of Labor
www.osha.gov
(800) 321-OSHA | textbooks/workforce/Construction/Building_Maintenance_and_Construction_-_Tools_and_Maintenance_Tasks_(Rutherford)/01%3A_Safety/1.06%3A_Respiratory_Protection.txt |
Footwear
Employees who face possible foot or leg injuries from falling or rolling objects or from crushing or penetrating materials should wear protective footwear. Also, employees whose work involves exposure to hot substances or corrosive or poisonous materials must have protective gear to cover exposed body parts, including legs and feet. If an employee’s feet may be exposed to electrical hazards, non-conductive footwear should be worn. On the other hand, workplace exposure to static electricity may necessitate the use of conductive footwear.
Query \(1\)
Examples of situations in which an employee should wear foot and/or leg protection include:
• When heavy objects such as barrels or tools might roll onto or fall on the employee’s feet;
• Working with sharp objects such as nails or spikes that could pierce the soles or uppers of ordinary shoes;
• Exposure to molten metal that might splash on feet or legs;
• Working on or around hot, wet or slippery surfaces; and
• Working when electrical hazards are present.
Safety footwear must meet ANSI minimum compression and impact performance standards in ANSI Z41-1991 (American National Standard for Personal Protection-Protective Footwear) or provide equivalent protection. Footwear purchased before July 5, 1994, must meet or provide equivalent protection to the earlier ANSI Standard (ANSI Z41.1-1967). All ANSI approved footwear has a protective toe and offers impact and compression protection. But the type and amount of protection is not always the same. Different footwear protects in different ways. Check the product’s labeling or consult the manufacturer to make sure the footwear will protect the user from the hazards they face.
Foot and leg protection choices include the following:
• Leggings protect the lower legs and feet from heat hazards such as molten metal or welding sparks. Safety snaps allow leggings to be removed quickly.
• Metatarsal guards protect the instep area from impact and compression. Made of aluminum, steel, fiber or plastic, these guards may be strapped to the outside of shoes.
• Toe guards fit over the toes of regular shoes to protect the toes from impact and compression hazards. They may be made of steel, aluminum or plastic.
• Combination foot and shin guards protect the lower legs and feet, and may be used in combination with toe guards when greater protection is needed.
• Safety shoes have impact-resistant toes and heat-resistant soles that protect the feet against hot work surfaces common in roofing, paving and hot metal industries. The metal insoles of some safety shoes protect against puncture wounds. Safety shoes may also be designed to be electrically conductive to prevent the buildup of static electricity in areas with the potential for explosive atmospheres or nonconductive to protect employees from workplace electrical hazards.
Special Purpose Shoes
Electrically conductive shoes provide protection against the buildup of static electricity. Employees working in explosive and hazardous locations such as explosives manufacturing facilities or grain elevators must wear conductive shoes to reduce the risk of static electricity buildup on the body that could produce a spark and cause an explosion or fire. Foot powder should not be used in conjunction with protective conductive footwear because it provides insulation, reducing the conductive ability of the shoes. Silk, wool and nylon socks can produce static electricity and should not be worn with conductive footwear. Conductive shoes must be removed when the task requiring their use is completed.
Note
Employees exposed to electrical hazards must never wear conductive shoes.
Electrical hazard, safety-toe shoes are nonconductive and will prevent the wearers’ feet from completing an electrical circuit to the ground. These shoes can protect against open circuits of up to 600 volts in dry conditions and should be used in conjunction with other insulating equipment and additional precautions to reduce the risk of an employee becoming a path for hazardous electrical energy. The insulating protection of electrical hazard, safety-toe shoes may be compromised if the shoes become wet, the soles are worn through, metal particles become embedded in the sole or heel, or employees touch conductive, grounded items.
Note
Nonconductive footwear must not be used in explosive or hazardous locations.
Care of Protective Footwear
As with all protective equipment, safety footwear should be inspected prior to each use. Shoes and leggings should be checked for wear and tear at reasonable intervals. This includes looking for cracks or holes, separation of materials, broken buckles or laces. The soles of shoes should be checked for pieces of metal or other embedded items that could present electrical or tripping hazards. Employees should follow the manufacturers’ recommendations for cleaning and maintenance of protective footwear. | textbooks/workforce/Construction/Building_Maintenance_and_Construction_-_Tools_and_Maintenance_Tasks_(Rutherford)/01%3A_Safety/1.07%3A_Foot_Protection.txt |
Tools are such a common part of our lives that it is difficult to remember that they may pose hazards. Tragically, a serious incident can occur before steps are taken to identify and avoid or eliminate tool-related hazards.
Five basic safety rules can help prevent hazards associated with the use of hand and power tools:
• Keep all tools in good condition with regular maintenance.
• Use the right tool for the job.
• Examine each tool for damage before use and do not use damaged tools.
• Operate tools according to the manufacturers’ instructions.
• Provide and properly use appropriate personal protective equipment.
Tool Safety Video
Hand Tool Safety
Hand tools are tools that are powered manually and include anything from axes to wrenches. The greatest hazards posed by hand tools result from misuse and improper maintenance.
Some examples include the following:
• If a chisel is used as a screwdriver, the tip of the chisel may break and fly off, hitting the user or other employees.
• If a wooden handle on a tool, such as a hammer or an axe, is loose, splintered, or cracked, the head of the tool may fly off and strike the user or other employees.
• If the jaws of a wrench are sprung, the wrench might slip.
• If impact tools such as chisels, wedges, or drift pins have mushroomed heads, the heads might shatter on impact, sending sharp fragments flying toward the user or other employees.
Guidance on hand tool use:
• Wear safety glasses when striking objects with tools or the potential for breakage, chips, dust or any other hazard exists.
• Tap fasteners such as nails to start.
• Remove free hand to avoid impact to hand and fingers before striking fastener with force.
• Do not cut towards yourself with sharp tools.
• Avoid storing sharp tools with sensitive tools and equipment.
• Be cautious of wrenches and tools slipping from fasteners to avoid hand injuries and loss of balance.
• Use insulated tools when working with energized circuits.
• Do not operate power tools with cut or frayed power cords, or inoperable or missing safety guards or devices.
• Never carry sharp tools in your pockets.
Power Tool Safety
Employees using electric tools must be aware of several dangers. Among the most serious hazards are electrical burns and shocks.
Electrical shocks, which can lead to injuries such as heart failure and burns, are among the major hazards associated with electric-powered tools. Under certain conditions, even a small amount of electric current can result in fibrillation of the heart and death. An electric shock also can cause the user to fall off a ladder or other elevated work surface and be injured due to the fall.
To protect the user from shock and burns, electric tools must have a three-wire cord with a ground and be plugged into a grounded receptacle, be double insulated, or be powered by a low-voltage isolation transformer. Three-wire cords contain two current-carrying conductors and a grounding conductor. Any time an adapter is used to accommodate a two-hole receptacle, the adapter wire must be attached to a known ground. The third prong must never be removed from the plug.
Double-insulated tools are available that provide protection against electrical shock without third-wire grounding. On double-insulated tools, an internal layer of protective insulation completely isolates the external housing of the tool.
The following general practices should be followed when using electric tools:
• Wear appropriate eye and hearing protection.
• Read manual and operate electric tools within their design limitations.
• Ensure tool is in the off position prior to connecting to outlet.
• Use gloves and appropriate safety footwear when using electric tools.
• Always use a GFCI protected device for outside and damp location power tool use.
• Do not use electric tools in damp or wet locations unless they are approved for that purpose.
• Do not use portable power tools which have cords that are cut, frayed, or separated from the tool housing. Such cords should be repaired before continued use.
• Keep work areas well lighted when operating electric tools.
• Ensure that cords from electric tools do not present a tripping hazard.
• Never place power cords over shoulders or around neck.
• Secure long hair and loose clothing prior to power tool use.
• Allow the tool to do the work. Never force or apply excessive pressure to the tool.
• Maintain sure footing and well balanced stance.
Additional practices for storage, transportation and maintenance:
• Unplug or remove batteries from power tools before changing accessories.
• Keep tools and equipment well maintained, i.e. blades sharp, cords well maintained, guards in good working order, etc. Store electric tools in a dry place when not in use.
• Do not carry tools by the power cord.
• Make sure that long extension cords are sufficiently large in size to carry the current (amps) necessary for the tools being used. Sufficiently large wire size in cords will help avoid large voltage drop and tool burn-out.
Query \(1\)
Content augmented with material by: https://www.osha.gov/Publications/osha3080.html
Refer to Tool Choices and Application for safety related to specific hand and power tools.
1.09: Ladder Safety and Fall Protection
Ladder Safety
Falls from portable ladders (step, straight, combination and extension) are one of the leading causes of occupational fatalities and injuries. According to the Department of Labor’s (DOL) Occupational Safety and Health Administration (OSHA) ladder safety guidelines, following these safety rules can keep you from becoming a statistic:
• Read and follow all labels/markings on the ladder.
• Avoid electrical hazards! – Look for overhead power lines before handling a ladder. Avoid using a metal ladder near power lines or exposed energized electrical equipment.
• Always inspect the ladder prior to using it. If the ladder is damaged, it must be removed from service and tagged until repaired or discarded.
• Always maintain a 3-point (two hands and a foot, or two feet and a hand) contact on the ladder when climbing. Keep your body near the middle of the step and always face the ladder while climbing (see diagram below).
• Only use ladders and appropriate accessories (ladder levelers, jacks or hooks) for their designed purposes.
• Ladders must be free of any slippery material on the rungs, steps or feet.
• Do not use a self-supporting ladder (e.g., step ladder) as a single ladder or in a partially closed position.
• Do not use the top step/rung of a ladder as a step/rung unless it was designed for that purpose.
• Use a ladder only on a stable and level surface, unless it has been secured (top or bottom) to prevent displacement.
• Do not place a ladder on boxes, barrels or other unstable bases to obtain additional height.
• Do not move or shift a ladder while a person or equipment is on the ladder.
• An extension or straight ladder used to access an elevated surface must extend at least 3 feet above the point of support (see diagram below). Do not stand on the three top rungs of a straight, single or extension ladder.
• The proper angle for setting up a ladder is to place its base a quarter of the working length of the ladder from the wall or other vertical surface (see diagram below).
• A ladder placed in any location where it can be displaced by other work activities must be secured to prevent displacement or a barricade must be erected to keep traffic away from the ladder.
• Be sure that all locks on an extension ladder are properly engaged.
• Do not exceed the maximum load rating of a ladder. Be aware of the ladder’s load rating and of the weight it is supporting, including the weight of any tools or equipment.
Safety Harness
Individuals performing tasks at elevations of six (6) feet or higher should be protected by and specifically trained in the use of an appropriate fall arrest system. Employers are responsible to ensure training for employees that are required by OSHA regulations to use these lifesaving systems. For detailed fall protection requirements and safety guidelines, refer to the OSHA Technical Manual, Section V: Chapter 4 Fall Protection in Construction.
Query \(1\) | textbooks/workforce/Construction/Building_Maintenance_and_Construction_-_Tools_and_Maintenance_Tasks_(Rutherford)/01%3A_Safety/1.08%3A_Tool_and_Shop_Safety.txt |
Although there are numerous advantages to choosing tools based on many factors, safety should be the first factor to be considered.
Always choose the right tool for the job- Remember that tools have specific functions.
• Screwdrivers are not impact resistant and should never be used as a chisel or pry bar.
• Accessories used in cordless impact drivers must be rated for impact use.
Determine the scope of work- Consider where you will be working:
• Small or large project?
• What tasks will you be performing?
• How much space do you have to safely perform your tasks?
• What are the tools best suited to the tasks?
• What PPE is required for each task?
Material type and size- Choice of tools and accessories should be based on the type and size of material being used.
Examples:
• Specially designed masonry drill bits, saw blades, and grinding wheels are used for masonry, concrete, brick and tile.
• Anchor bolts are rated by the amount of weight they will safely support, with many styles available for application with specific materials.
• A circular saw may be better suited for the task than a table or miter saw for small jobs.
• Do the material and tools to be used require an additional person to assist in the safe completion of the task due to the weight or physical size of the material?
2.02: Measuring Marking Leveling and Layout Tools
Measuring and marking tools are common to multiple trades and ensure accuracy and quality craftsmanship in the building and construction process. Measuring devices are available in fractional and metric, with classic western construction practices adopting the fractional inch configuration. While some measuring tools have the actual fractions printed (1/2″, 1/4″, and 1/8″) next to each corresponding mark on the scale, many do not and the ability to read the scale without the printed fractions may take time to develop. This is one of many reasons for the adage: “Measure twice, cut once”, which is a good habit to develop and will help to avoid costly mistakes such as over cutting and wasting material or under cutting, resulting in having to remeasure and cut the material again.
While many of the following tools may be considered “carpentry” tools, the majority are regularly used in most all trades. Apparent common items to all trades include measuring devices like tape measures, rulers, and basic estimation tools; plumbers and electricians will use spirit levels, builders levels, and angle finders to ensure that piping is at an appropriate grade or conduit, fixtures, and other items are installed to meet industry codes.
Levels are used to check for level (horizontal) and plumb (vertical). Trades persons will often use a combination of various levels and squares to complete a project.
Query \(1\)
Squares are used for layout work to mark square (90°/right angle) and other angles commonly used in building and construction trades indicated on specific types of squares. They are also used to check for squareness and other angles during assembly. Squares can be made of inexpensive molded plastic, lightweight aluminum or durable steel.
Query \(1\) | textbooks/workforce/Construction/Building_Maintenance_and_Construction_-_Tools_and_Maintenance_Tasks_(Rutherford)/02%3A_Hand_and_Power_Tools/2.01%3A_Tool_Choices_and_Applications.txt |
Nails
Nails of all sizes are commonly used to assemble wood products when glue and adhesives are not of sufficient strength for a project. They are known by number size, the lesser the number, the smaller the length and diameter. The number is followed by the letter “d”. The d is the symbol for penny, which can be traced back as far as the Ancient Roman Empire. There are various theories as to how the measurement term came to be, but what is confirmed is that the d stands for the Roman coin denarius, or in English, the penny. The denarius was the coin which many people used in the Roman empire at the time when Rome occupied what is now England, so that’s why it’s called a penny but uses a “d” as the symbol.
Some styles of nails have larger heads for greater holding power while others have smaller or no head so that it can be set flush with or lower than material surfaces for cosmetic applications. When “headless” finish or casing nails are used, it is best to drive them to just slightly above the surface while being careful not to leave hammer marks on the material’s being nailed surface and then use a “nail set” tool to embed the nail.
Size Length
(inches)
Diameter
(inches)
Standard Wire
Guage
Number Per
Pound
2d 1 0.072 15 900
3d 1.25 0.080 14 615
4d 1.5 0.090 12 322
5d 1.75 0.098 12 254
6d 2 0.113 11 200
7d 2.25 0.113 11 154
8d 2.5 0.131 10 106
9d 2.75 0.131 10 85
10d 3 0.148 9 74
12d 3.25 0.148 9 57
16d 3.5 0.162 8 46
20d 4 0.192 6 29
30d 4.5 0.207 5 23
40d 5 0.225 4 17
50d 5.5 0.244 3 14
60d 6 0.262 2 11
Common Nails for Building & Construction Projects
Query \(1\)
Hammers
Hammers are used to strike or cause impact and are available in traditional designs and in a variety of models, sizes, and weights to perform specific tasks. Selecting the proper hammer for a particular task can be the determining factor for being able to complete the task or be the difference between quality and sub-par craftsmanship. The following list describes the most common types of hammers and some of the types of tasks they are often used for.
Query \(1\)
General Hammer Use
No matter which type of hammer is used, employing proper techniques will help prevent injury.
• Wear safety glasses when striking any object with any type of hammer or tool.
• For hardwood, before nailing with hammer, drill pilot hole in material to prevent splitting.
• Choose a hammer weight that is comfortable.
• “Set” the nail by tapping in the point, remove the free hand before driving the nail.
• Using the center of the hammer face, drive the nail with smooth, firm blows.
• Striking face should always be parallel with the surface being hit.
• Avoid sideways or glancing blows.
• Always strike with the hammer face.
• Avoid impact with handle or shaft of hammer.
Nail Gun Safety
The following information is compiled from OSHA safety literature. Please go to https://www.osha.gov/Publications/Na..._optimized.pdf if you wish to view the brochure in it’s entirety.
• Department of Health and Human Services: Centers for Disease Control and Prevention, National Institute for Occupational Safety and Health
• Department of Labor: Occupational Safety and Health Administration
This guidance document is not a standard or regulation, and it creates no new legal obligations. It contains recommendations as well as descriptions of mandatory safety and health standards [and other regulatory requirements]. The recommendations are advisory in nature, informational in content, and are intended to assist employers in providing a safe and healthful workplace. The Occupational Safety and Health Act requires employers to comply with safety and health standards and regulations promulgated by OSHA or by a state with an OSHA-approved state plan. In addition, the Act’s General Duty Clause, Section 5(a)(1), requires employers to provide their employees with a workplace free from recognized hazards likely to cause death or serious physical harm.
Nail guns are used every day on many construction jobs—especially in residential construction. Thy boost productivity but also cause tens of thousands of painful injuries each year. Nail gun injuries are common—one study found that 2 out of 5 residential carpenter apprentices experienced a nail gun injury over a four-year period. When they do occur, these injuries are often not reported or given any medical treatment. Research has identified the risk factors that make nail gun injuries more likely to occur. The type of trigger system and the extent of training are important factors. The risk of a nail gun injury is twice as high when using a multi-shot contact trigger as when using a single-shot sequential
trigger nailer.
The guidance is for residential home builders and construction contractors, subcontractors, and supervisors. NIOSH and OSHA developed this publication to give construction employers the information they need to prevent nail gun
injuries. Types of triggers and key terms are described. The guidance highlights what is known about nail gun injuries, including the parts of the body most often injured and the types of severe injuries that have been reported. Common
causes of nail gun injuries are discussed and six practical steps that contractors can take to prevent these injuries are described. These are:
1) Use full sequential trigger nail guns;
2) Provide training;
3) Establish nail gun work procedures;
4) Provide personal protective equipment (PPE);
5) Encourage reporting and discussion of injuries and close calls; and
6) Provide fist aid and medical treatment.
The guidance includes actual workplace cases along with a short section on other types of nail gun hazards and sources of additional information.
Introduction to Nail Gun Safety
How likely are nail gun injuries?
Nail guns are powerful, easy to operate, and boost productivity for nailing tasks. They are also responsible for an estimated 37,000 emergency room visits each year. Severe nail gun injuries have led to construction worker deaths.
Nail gun injuries are common in residential construction. About two-thirds of these injuries occur in framing and sheathing work. Injuries also often occur in roofing and exterior siding and finishing
A study of apprentice carpenters found that:
• 2 out of 5 were injured using a nail gun during their 4 years of training.
• 1 out of 5 were injured twice.
• 1 out of 10 were injured three or more times.
Worksite Story – A 26-year-old Idaho construction worker died following a nail gun accident in April 2007. He was framing a house when he slipped and fell. His finger was on the contact trigger of the nail gun he was using. The nosepiece hit his head as he fell, driving a 3-inch nail into his skull. The nail injured his brain stem, causing his death. The safety controls on the nail gun were found to be intact. Death and serious injury can occur using nail guns—even when they are working properly.
More than half of reported nail gun injuries are to the hand and fingers. One quarter of these hand injuries involve structural damage to tendons, joints, nerves, and bones. After hands, the next most often injured are the leg, knee, thigh, foot, and toes. Less common are injuries to the forearm or wrist, head and neck, and trunk. Serious nail gun injuries to the spinal cord, head, neck, eye, internal organs, and bones have been reported. Injuries have resulted in paralysis, blindness, brain damage, bone fractures, and death.
Nail guns present a number of hazards and risks. NIOSH and OSHA prepared this publication to provide builders and contractors with the latest information on nail gun hazards and practical advice on the steps they should take to prevent nail gun injuries on their construction jobs.
This guide covers nail guns (also called nailers) used for fastening wood, shingles, and siding materials. The guide refers specifically to pneumatic tools but also applies to nail guns that use gas, electric, or hybrid power sources. It does NOT cover powder actuated tools used for fastening material to metal or concrete. The guide assumes that contractors are generally familiar with how nail guns work and the various types of specialized nail guns (for example, framing, roofing, flooring)
This guide is applicable to all nail guns. The emphasis is on framing (“stick” and “coil”) nail guns because they fie the largest nails, are the most powerful, and are considered to be the most dangerous to use.
Know Your Triggers
Nail gun safety starts with understanding the various trigger mechanisms. Here is what you need to know:
How Triggers Differ
All nailers rely on two basic controls: a finger trigger and a contact safety tip located on the nose of the gun. Trigger mechanisms can vary based on: 1) the order in which the controls are activated, and 2) whether the trigger can be held in the squeezed position to discharge multiple nails OR if it must be released and then squeezed again for each individual nail. Combining these variations gives four kinds of triggers. Some nail guns have a selective trigger switch which allows the user to choose among two or more trigger systems. Each trigger type is described below along with a summary of how the controls are activated.
Query \(1\)
The bottom line: contractors should check the tool label and manual for manufacturer-specific trigger names and operating information.
Worksite Story – Two framers were working together to lay down and nail a subfloor. One framer was waiting and holding the nail gun with his finger on the contact trigger. The other framer was walking backwards toward him and dragging a sheet of plywood. The framer handling the plywood backed into the tip of the nail gun and was shot in the back. The nail nicked his kidney, but fortunately he recovered. As a result of this incident, the contractor switched to using only sequential triggers on framing nail guns. Co-workers can get injured if they bump into your contact trigger nail gun. You can prevent this by using a full sequential trigger.
How do Nail Gun Injuries Happen?
Useful Terms
• Recoil is the rapid rebound or kickback after the nailer is fired.
• A double fire occurs when a second nail unintentionally fires because the nailer re-contacted the work piece after recoil. It can also occur if the safety contact slips while the user is positioning the nail gun. Several tool manufacturers offer “anti-double fire” features for their nail guns.
There are seven major risk factors that can lead to a nail gun injury. Understanding them will help you to prevent injuries on your jobsites.
1. Unintended nail discharge from double fire. Occurs with CONTACT triggers.
The Consumer Product Safety Commission (CPSC) found that contact trigger nailers are susceptible to double firing, especially when trying to accurately place the nailer against the work piece. They found that a second unintended firing can happen faster than the user is able to react and release the trigger. Unintended nails can cause injuries.
Double fire can be a particular problem for new workers who may push hard on the tool to compensate for recoil. It can also occur when the user is working in an awkward position, such as in tight spaces where the gun doesn’t have enough space to recoil. The recoil of the gun itself can even cause a non-nail injury in tight spaces if the nail gun hits the user’s head or face.
2. Unintended nail discharge from knocking the safety contact with the trigger squeezed. Occurs with CONTACT and SINGLE ACTUATION triggers.
Nail guns with contact and single actuation triggers will fire if the trigger is being held squeezed and the safety contact tip gets knocked or pushed into an object or person by mistake. For example, a framer might knock his leg going down a ladder or bump into a co-worker passing through a doorway. Contact trigger nailers can release multiple nails and single actuation trigger nailers can release a single nail to cause injury.
Holding or carrying contact trigger or single actuation trigger nail guns with the trigger squeezed increases the risk of unintended nail discharge. Construction workers tend to keep a finger on the trigger because it is more natural to hold and carry an 8-pound nail gun using a full, four-finger grip. Tool manufacturers, however, do warn against it.
Common nail gun grip by OSHA is licensed under Public Domain
3. Nail penetration through lumber work piece. Occurs with ALL trigger types.
Nails can pass through a work piece and either hit the worker’s hand or fly of as a projectile (airborne) nail. A blow-out nail is one example. Blow-outs can occur when a nail is placed near a knot in the wood. Knots involve a change in wood grain, which creates both weak spots and hard spots that can make the nail change direction and exit the work piece. Nail penetration is especially a concern for placement work where a piece of lumber needs to be held in place by hand. If the nail misses or breaks through the lumber it can injure the non-dominant hand holding it.
4. Nail ricochet after striking a hard surface or metal feature. Occurs with ALL trigger types.
When a nail hits a hard surface, it has to change direction and it can bounce of the surface, becoming a projectile. Wood knots and metal framing hardware are common causes of ricochets. Problems have also been noted with ricochets when nailing into dense laminated beams. Ricochet nails can strike the worker or a co-worker to cause an injury.
5. Missing the work piece. Occurs with ALL trigger types.
Injuries may occur when the tip of the nail gun does not make full contact with the work piece and the discharged nail becomes airborne. This can occur when nailing near the edge of a work piece, such as a plate. Positioning the safety contact is more difficult in these situations and sometimes the fired nail completely misses the lumber. Injuries have also occurred when a nail shot through plywood or oriented strand board sheeting missed a stud and became airborne.
Nail penetration through the lumber is a special concern where the piece is held in place by hand. Nail gun by OSHA is licensed under Public Domain
6. Awkward position nailing. Occurs with ALL trigger types. Unintended discharges are a concern in awkward position work with CONTACT and SINGLE ACTUATION triggers.
Nailing in awkward positions where the tool and its recoil are more difficult to control may increase the risk of injury. These include toe-nailing, nailing above shoulder height, nailing in tight quarters, holding the nail gun with the non-dominant hand, nailing while on a ladder, or nailing when the user’s body is in the line of fie (nailing towards yourself). Toe-nailing is awkward because the gun cannot be held flush against the work piece. Nailing from a ladder makes it difficult to position the nail gun accurately. Nailing beyond a comfortable reach distance from a ladder, elevated work platform, or leading edge also places the user at risk for a fall.
Toe-nailing by OSHA is licensed under Public Domain
7. Bypassing safety mechanisms. Occurs with ALL trigger types.
Bypassing or disabling certain features of either the trigger or safety contact tip is an important risk of injury. For example, removing the spring from the safety contact tip makes an unintended discharge even more likely. Modifying tools can lead to safety problems for anyone who uses the nail gun. Nail gun manufacturers strongly recommend against bypassing safety features, and voluntary standards prohibit modifications or tampering. OSHA’s Construction standard at 29 CFR 1926.300(a) requires that all hand and power tools and similar equipment, whether furnished by the employer or the employee shall be maintained in a safe condition.
About 1 in 10 nail gun injuries happen to co-workers. This is from either airborne (projectile) nails or bumping into a co-worker while carrying a contact trigger nail gun with the trigger squeezed.
You Should Know – Studies of residential carpenters found that the overall risk of nail gun injury is twice as high when using contact trigger nail guns compared to using sequential trigger nail guns.
*Note that the studies could not quantify injury risks associated with specific tasks; it is likely that some nailing tasks are more dangerous than others.
A voluntary ANSI standard 10 calls for all large pneumatic framing nailers manufactured after 2003 to be shipped with a sequential trigger. However, these may not always be FULL SEQUENTIAL triggers. Contractors may need to contact manufacturers or suppliers to purchase a FULL SEQUENTIAL trigger kit.
Worksite Story – A carpenter apprentice on his fist day ever using a nail gun injured his right leg. He was working on a step ladder and was in the process of lowering the nail gun to his side when the gun struck his leg and fired a nail into it. He had no training prior to using the nail gun. New worker training is important and should include hands-on skills.
Six Steps to Nail Gun Safety
1. Use the full sequential trigger
The full sequential trigger is always the safest trigger mechanism for the job. It reduces the risk of unintentional nail discharge and double fires—including injuries from bumping into co-workers.
• At a minimum, provide full sequential trigger nailers for placement work where the lumber needs to be held in place by hand. Examples include building walls and nailing blocking, fastening studs to plates and blocks to studs, and installing trusses.
• Unintended nail discharge is more likely to lead to a hand or arm injury for placement work compared to flat work, where the lumber does not need to be held in place by hand. Examples of flat work include roofing, sheathing, and subflooring.
• Consider restricting inexperienced employees to full sequential trigger nail guns starting out. Some contractors using more than one type of trigger on their jobs color-code the nail guns so that the type of trigger can be readily identified by workers and supervisors.
• Some contractors have been reluctant to use full sequential triggers fearing a loss of productivity. How do the different types of triggers compare?
• The one available study had 10 experienced framers stick-build two identical small (8 f x 10 ft. wood structures—one using a sequential trigger nail gun and one using a contact trigger nail gun. Small structures were built in this study so that there would be time for each carpenter to complete two sheds.
• Average nailing time using the contact trigger was 10% faster, which accounted for less than 1% of the total building time when cutting and layout was included. However, in this study the trigger type was less important to overall productivity than who was using the tool; this suggests productivity concerns should focus on the skill of the carpenter rather than on the trigger.
• Although the study did not evaluate framing a residence or light commercial building, it shows that productivity is not just about the trigger. The wood structures built for the study did include common types of nailing tasks (flat nailing, through nailing, toe-nailing) and allowed comparisons for both total average nailing time and overall project time. The study did not compare productivity differences for each type of nailing task used to build the sheds.
2. Provide training
Both new and experienced workers can benefit from safety training to learn about the causes of nail gun injuries and specific steps to reduce them. Be sure that training is provided in a manner that employees can understand. Here is a list of topics for training:
• How nail guns work and how triggers differ.
• Main causes of injuries – especially differences among types of triggers.
• Instructions provided in manufacturer tool manuals and where the manual is kept.
Hands-on training with the actual nailers to be used on the job. This gives each employee an opportunity to handle the nailer and to get feedback on topics such as:
• How to load the nail gun
• How to operate the air compressor
• How to fie the nail gun
• How to hold lumber during placement work
• How to recognize and approach ricochet-prone work surfaces
• How to handle awkward position work (e.g., toe-nailing and work on ladders)
• How best to handle special risks associated with contact and single actuation triggers such as nail gun recoil and double fires. For example, coach new employees on how to minimize double fires by allowing the nail gun to recoil rather than continuing to push against the gun after it fires.
• What to do when a nail gun malfunctions.
*Training should also cover items covered in the following sections of the guidance, such as company nail gun work procedures, personal protective equipment, injury reporting, and fist aid and medical treatment.
You Should Know
• Training is important: Untrained workers are more likely to experience a nail gun injury than a trained worker.
• Training does not trump triggers: Trained workers using contact triggers still have twice the overall risk of injury as trained workers using sequential triggers.
3. Establish nail gun work procedures
Contractors should develop their own nail gun work rules and procedures to address risk factors and make the work as safe as possible. Examples of topics for contractor work procedures include but are not limited to the following Do’s & Don’ts:
DO’s
• Make sure that tool manuals for the nailers used on the job are always available on the jobsite.
• Make sure that manufacturers’ tool labels and instructions are understood and followed.
• Check tools and power sources before operating to make sure that they are in proper working order.
• Take broken or malfunctioning nail guns out of service immediately.
• Set up operations so that workers are not in the line of fire from nail guns being operated by co-workers.
• Check lumber surfaces before nailing. Look for knots, nails, straps, hangers, etc. that could cause recoil or ricochet.
• Use a hammer or positive placement nailer when nailing metal joinery or irregular lumber.
• For placement work, keep hands at least 12 inches away from the nailing point at all times. Consider using clamps to brace instead of your hands.
• Always shoot nail guns away from your body and away from co-workers.
• Always disconnect the compressed air when:
• Leaving a nailer unattended
• Travelling up and down a ladder or stairs
• Passing the nail gun to a co-worker
• Clearing jammed nails
• Performing any other maintenance on the nail gun
• Recognize the dangers of awkward position work and provide extra time and precautions:
• Use a hammer if you cannot reach the work while holding the nailer with your dominant hand.
• Use a hammer or reposition for work at face or head height. Recoil is more difficult to control and could be dangerous.
• Use a hammer or full sequential trigger nailer when working in a tight space. Recoil is more difficult to control and double fires could occur with contact triggers.
• Take extra care with toe-nailing.
• Nail guns can slip before or during firing because the gun cannot be held flush against the work piece.
• Use a nail gun with teeth on the safety contact to bite into the work piece to keep the gun from slipping during the shot.
• Use the trigger to fire only after the safety contact piece is positioned.
• Recognize the dangers of nail gun work at height and provide extra time and precautions:
• Set up jobs to minimize the need for nailing at height
• Consider using scaffolds instead of ladders
• If work must be done on ladders, use full sequential trigger nailers to prevent nail gun injuries which could occur from bumping a leg while climbing up or down a ladder.
• Position ladders so you don’t have to reach too far. Your belt buckle should stay between the side rails when reaching to the side.
• Maintain three points of contact with the ladder at all times to prevent a fall—this means that clamps may need to be used for placement work. Holding a nailer in one hand and the work piece with the other provides only two points of contact (your feet). Reaching and recoil can make you lose your balance and fall. Falls, especially with contact trigger nailers, can result in nail gun injuries.
Don’ts
• Never bypass or disable nail gun safety features. This is strictly prohibited.
• Tampering includes removing the spring from the safety-contact tip and/or tying down, taping or otherwise securing the trigger so it does not need to be pressed. Tampering increases the chance that the nail gun will fie unintentionally both for the current user and anyone else who may use the nail gun. Nail gun manufacturers strongly recommend against tampering and OSHA requires that tools be maintained in a safe condition.
• There is NO legitimate reason to modify or disable a nail gun safety device.
• Encourage workers to keep their fingers off the trigger when holding or carrying a nail gun.
If this is not natural, workers should use a full sequential nail gun or set down the nailer until they begin to nail again.
• Never lower the nail gun from above or drag the tool by the hose.
• If the nail-gun hose gets caught on something, don’t pull on the hose. Go find the problem and release the hose.
• Never use the nailer with the non-dominant hand.
4. Provide Personal Protective Equipment (PPE)
Worker using recommended PPE when working with nail guns: hard hat, safety glasses, and hearing protection. Worker by OSHA is licensed under Public Domain
Safety shoes, which help protect workers’ toes from nail gun injuries, are typically required by OSHA on residential construction sites. In addition, employers should provide, at no cost to employees, the following protective equipment for workers using nail guns:
• Hard hats
• High Impact eye protection – safety glasses or goggles marked ANSI Z87.1
• Hearing protection – either earplugs or earmuff
5. Encourage reporting and discussion of injuries and close calls
Studies show that many nail gun injuries go unreported. Employers should ensure that their policies and practices encourage reporting of nail gun injuries. Reporting helps ensure that employees get medical attention. It also helps contractors to identify unrecognized job site risks that could lead to additional injuries if not addressed. Injuries and close calls provide teachable moments that can help improve crew safety.
If you have a safety incentive program, be sure that it does not discourage workers from reporting injuries. Employers that intentionally under report work-related injuries will be in violation of OSHA’s injury and illness recordkeeping regulation.
6. Provide fist aid and medical treatment
Employers and workers should seek medical attention immediately after nail gun injuries, even for hand injuries that appear to be minimal. Studies suggest that 1 out of 4 nail gun hand injuries can involve some type of structural damage such as bone fracture. Materials such as nail strip glue or plastic or even clothing can get embedded in the injury and lead to infection. Barbs on the nail can cause secondary injury if the nail is removed incorrectly. These complications can be avoided by having workers seek immediate medical care.
Worksite Story – A construction worker accidentally drove a 16 penny framing nail into his thigh. It didn’t bleed much and he didn’t seek medical care. He removed the nail himself. Three days later he felt a snap in his leg and severe pain. In the emergency room, doctors removed a sheared piece of nail and found that his thigh bone had fractured. Not all injuries are immediately visible. Failure to seek medical care can result in complications and more serious injuries.
Other Hazards
Air Pressure
Pneumatic tools and compressor use are regulated under OSHA’s Construction standard at 29 CFR 1926.302(b). The provisions in this standard that are relevant for nail guns are provided below:
1) Pneumatic power tools shall be secured to the hose or whip by some positive means to prevent the tool from becoming accidentally disconnected.
Note: An OSHA letter of interpretation allows the use of a quick disconnect with a pull-down sleeve to meet this requirement. It is composed of a male fitting (connector) and female fitting (coupling) that has a sleeve which must be pulled away from the end of the hose to separate the two fittings to prevent the tool from becoming accidentally disconnected.
3) All pneumatically driven nailers, staplers, and other similar equipment provided with automatic fastener feed, which operate at more than 100 p.s.i. pressure at the tool shall have a safety device on the muzzle to prevent the tool from ejecting fasteners, unless the muzzle is in contact with the work surface.
5) The manufacturer’s safe operating pressure for hoses, pipes, valves, filters, and other fitting’s shall not be exceeded.
6) The use of hoses for hoisting or lowering tools shall not be permitted.
Noise
Pneumatic nail guns produce short (less than a tenth of a second in duration) but loud “impulse” noise peaks: one from driving the nail and one from exhausting the air. Most nail gun manufacturers recommend that users wear hearing protection when operating a nailer.
Available information indicates that nail gun noise can vary depending on the gun, the work piece, air pressure, and the work setting. The type of trigger system does not appear to affect the noise level. Peak noise emission levels for several nailers ranged from 109 to 136 dBA.15,16 These loud short bursts can contribute to hearing loss. Employers should provide hearing protection in the form of earplugs or muff and ensure that they are worn correctly. Employers should also ask about noise levels when buying nail guns—studies have identified ways to reduce nail gun noise and some manufacturers may incorporate noise reduction features.
Note: OSHA’s standard for exposure to continuous noise levels (29 CFR 1926.52) addresses both the noise level and the duration of exposure. In this standard, workers exposed for 15 minutes at 115 A-weighted decibels (dBA) have the same exposure as workers exposed for 8 hours at 90 dBA.
The NIOSH and OSHA limit for impulse noise is 140 decibels: above this level a single exposure can cause instant damage to the ear.
NIOSH recommends that an 8-hour exposure should not exceed 85 dBA and a one-second exposure
should not exceed 130 dBA without using hearing protection. hearing protection.
Musculoskeletal disorders
Framing nail guns can weigh up to 8 pounds and many framing jobs require workers to hold and use these guns for long periods of time in awkward hand/arm postures. Holding an 8-pound weight for long periods of time can lead to musculoskeletal symptoms such as soreness or tenderness in the fingers, wrist, or forearm tendons or muscles. These symptoms can progress to pain, or in the most severe cases, inability to work. No studies have shown that one trigger type is any more or less likely to cause musculoskeletal problems from long periods of nail gun use. If use of a nail gun is causing musculoskeletal pain or symptoms of musculoskeletal disorders, medical care should be sought.
Conclusion
Nail gun injuries are painful. Some cause severe injuries or death. Nail gun injuries have been on the rise along with the increased popularity of these powerful tools. These injuries can be prevented, and more and more contractors are making changes to improve nail gun safety. Take a look at your practices and use this guide to improve safety on your job sites. Working together with tool gun manufacturers, safety and health professionals, and other organizations, we can reduce nail gun injuries. | textbooks/workforce/Construction/Building_Maintenance_and_Construction_-_Tools_and_Maintenance_Tasks_(Rutherford)/02%3A_Hand_and_Power_Tools/2.03%3A_Nails_Hammers_and_Pneumatic_Nailers.txt |
Threaded Fasteners
Selecting the appropriate fastener for a particular application involves considering many factors to include: functionality, strength and durability, exposure to natural elements, and aesthetics.While most bolts and many screws are designed for the head to press firmly against flat surfaces of materials and parts, screws with tapered or bugle style heads are manufactured to be countersunk even with or below material surfaces. Screws, bolts and other threaded fastener accessories are normally made of brass; or mild, hardened or stainless steel; or plastics in some designed for lighter and cosmetic applications. In many cases, threaded fasteners are treated with processes such as galvanization, electroplated phosphate, or chemical primers such as zinc oxide.
Screws are taper tipped and threaded in a manner that helps wood, or other materials, draw together as the screw is inserted. They are used in place of nails when stronger joining power is needed. A screw makes its own thread pattern in the material. Screw head shapes (slotted, pan, hex, oval, flat) vary according to the application. Also the slots or drive types of screws are available in a wide variety (slotted, Phillips, Robertson, square, Pozidrive®, etc.).
Query \(1\)
Bolts are male threaded fasteners that require a female threaded counterpart (a “nut” or a threaded hole in a material) in order to secure themselves. Nuts and bolts allow for future disassembly and when used with flat and locking style washers, provide strong mechanical bonds and stability. These threaded fasteners are available in coarse and fine thread configurations which are recognized by the amount of threads per inch (tpi) in SAE fasteners and by pitch in metric fasteners. Cap head and stove type bolts are also rated by their hardness or shear strength. Various cast or embossed markings can be found on the head of these kinds of bolts, with each type of marking symbolizing a bolt’s capacity.
Specialty Anchors
Specialty anchors such as eye hooks, J-hooks for drywall, masonry, tile, wood, and other materials are available in both screw and bolt designs.
Tap and Die sets can be used to thread materials to accept another fastener. Taps are tools made to cut female threads while Dies are tools designed to cut male threads on round stock materials. It is important that the drilled hole size for tapping, or the diameter of the material to be threaded with a die, be of a specific size and tolerance so that the final threaded product fits properly. Taps and dies are also individually available in each machine fastener diameter and thread count.
Query \(1\)
All of the fasteners listed above require tool to tighten when assembling projects and loosen them when disassembly is required. Drivers, pliers and wrenches facilitate the assembly of items with threaded objects such as nuts, bolts, screws, plumbing and electrical fittings and pipes. Various styles of pliers can also be used to cut, bend, pull and crimp materials and mechanical fittings. While the proper selection of tools for particular fastener or fitting will result in easier and more rapid assembly and disassembly of projects, improper tool selection may result in material, parts, and tool damage, lost time, and possible injury.
Drivers
Query \(1\)
Pliers
Pliers are primarily used to grip objects that utilize leverage. Different configurations of the jaw are also used to grip, turn, pull, crimp and sometimes cut a variety of things. Many types are commonly identified by a manufacturer brand or model name and used by workers in multiple construction trades fields (Channellock® is a registered trademark for a manufacturer that makes numerous styles of tools, however tongue and groove pliers are commonly referred to as channel-lock pliers).
Query \(1\)
Wrenches
Wrenches can be used to turn bolts, nuts, or other hard to turn items. Wrenches provide excellent leverage compared to pliers, and most are designed to fit specific sized fasteners. The choice of an appropriate wrench depends upon the torque or leverage required to perform a function or the design of a fastener. The wrong choice of a wrench for a task can cause slipping of the wrench, damage materials and parts, and result in bodily injury. As nuts, bolts, and fasteners are offered in standardized fractional (SAE (Society of Automotive Engineers) and metric (millimeter or mm.) sizes, most wrenches are designed to fit hexagonal (six-sided) or hex fasteners and mechanical fittings. Wrenches can be purchased either individually or in sets based on style or combinations of styles.
Query \(1\)
TOOL TIPS:
• Only use bits and sockets rated for impact use with impact drivers and impact wrenches. Non-impact tools are made of materials that can crack, break, or shatter when used with impact tools.
• Apply a penetrating oil according to manufacturer directions to rusted fasteners prior to trying to loosen them.
• “Stuck” or rusted nuts, bolts, and screws can sometimes be freed by striking them sharply on the head with a steel punch.
• Traditional fasteners turn in a clockwise direction to tighten and counter-clockwise to loosen. Fasteners of this design are also known as “right-hand” threaded fasteners.
• Specialty fasteners required for certain mechanical applications turn counter-clockwise to tighten and clockwise to loosen. These are also referred to as “left-hand” threaded fasteners. | textbooks/workforce/Construction/Building_Maintenance_and_Construction_-_Tools_and_Maintenance_Tasks_(Rutherford)/02%3A_Hand_and_Power_Tools/2.04%3A_Threaded_Fasteners_Drivers_Pliers_and_Wrenches.txt |
Choices
Saws should be chosen based on the material type to be cut and the particular task being performed. Each type of saw has it’s own purpose, may be available in a variety of sizes, and offer safety and convenience features which vary by manufacturer, style, and application. For example: Circular saws are used to cut a wide variety of construction materials with an appropriate blade. They are manufactured in a variety of sizes that can be selected according to the project. Simple projects with 1″ x 4″ or 1/2″ plywood material may only require a 5-3/8″ cordless trim saw, whereas beam construction could require a circular beam saw with a 21″ course toothed blade, and cement fiber plank siding installation using a 7-1/4″ circular saw with the appropriate blade.
While most stationary saw models are primarily used in the carpentry trades, most portable models are also employed in plumbing, electrical, and other construction and facility maintenance trades. As in the case of numerous hand tools and accessories, many of the saws types have become known by industry workers as common trademark, brand, or model names:
• Circular Saw- Skilsaw™ (Skilsaw Inc.)
• Reciprocating Saw- Sawzall® (Milwaukee Electric Tool Company); TigerSaw® (Porter Cable Tool Company)
Saw Blades
Blades come in various sizes and configurations. When choosing a saw for a particular cut, it is important to consider the type of material to be cut and the finish desired. Saw blades are rated in teeth per inch (t.p.i.), The lesser t.p.i., or the lower the revolutions per minute (r.p.m.), the rougher the finish of the cut will be. Always check the r.p.m. rating of both the blade and the saw to ensure they are compatible. Choosing a toothed blade or abrasive cut-off blade that is not rated for the r.p.m. rating of the saw can result in catastrophic blade failure and injury.
The thickness of the saw blade is referred to as the Kerf. This measurement is the width of the path of the cut where material will be removed. For accurate final dimensions, the kerf of the blade should always travel on the waste side of a marked line.
Query \(1\)
Additional Basic Saw Terminology
• Rip Cut- cut follows or goes with the grain of the material.
• Cross cut- cut goes across the grain of the material.
• Push-block/Push Stick- A hand-held device designed to push the work piece into and past cutting edges on stationary power tools.
• Scroll action- blade strokes perpendicular to material surface. Common to saber saws, scroll saws, and reciprocating saws.
• Orbital action- blade follows arcing path. Available option for saber and reciprocating saws. Aids in cutting pipe and round or circular materials.
Saw Safety
• Never disable manufacturer installed guards or safety devices.
• Always use safety glasses.
• Do not use a saw for any purpose it’s features are not intended for.
• Always refer to manufacturer’s operating instructions and safety procedures prior to operating any power tool.
*Kickback is caused when the material binds with the blade or fence of a saw resulting in the material being forcefully ejected, often drawing the operator’s hand/s toward the moving blade, creating the potential for serious injury or death. Although kickback is regularly associated with table saw use, the same potential hazard exists with circular, reciprocating, saber and any other type of saw. In addition to material being ejected and the operator being drawn toward the blade, kickback can also result in portable saws being ejected from the material toward the operator.
Saw Types and Applications
Circular Saw- portable (framing and trim)
Circular saws are used to cut a wide variety of construction materials with an appropriate blade. They are constructed in various sizes that can be selected according to the project. Simple projects with 1″ x 4″ or 1/2″ plywood material may only require a 5-3/8″ cordless trim saw, whereas beam construction could require a beam saw with a 21″ course toothed blade.
Circular Saw Parts by Gwen Arkin & Clifford Rutherford is licensed under CC BY 4.0
Query \(2\)
Circular Saw Safety
Query \(3\)
Miter Saw- cuts angles, compound angles & bevels
Miter Saw Parts by Gwen Arkin & Clifford Rutherford is licensed under CC BY 4.0
Query \(4\)
Miter Saw Safety
Query \(5\)
Table Saw- for rip & cross cuts of sheet goods and lumber stock
Table Saw Parts by Gwen Arkin & Clifford Rutherford is licensed under CC BY 4.0
Query \(6\)
Table Saw Safety
Query \(7\)
Sabre Saws (Jigsaw) and Scroll Saws- curved cuts, uses U-shank and/or T-shank (bayonet) blades
Jigsaw by Dexter Corpuz is licensed under CC BY 4.0
Query \(8\)
Reciprocating Saw- rough cuts and demolition
Reciprocating Saw by Gwen Arkin is licensed under CC BY 4.0
*Many jigsaws & reciprocating saws can be used in either scrolling or orbital modes
Query \(9\)
Other Saws
A variety of saws are available for masonry and mechanical applications and may be specific to a specific trade or task. Examples:
Band Saws – vertical and horizontal models for wood, metal, & other material applications
Band Saw by Gwen Arkin is licensed under CC BY 4.0
Tile Saws – ceramic, porcelain, quarry, clay, and glass
Block Saws – concrete, brick, and glass
Masonry Saws – Blades used for tile, cement, brick, & asphalt are usually diamond coated or abrasive. The can also be used wet or dry.
Tile Saw by Clifford & Rosemary Rutherford is licensed under CC BY 4.0 | textbooks/workforce/Construction/Building_Maintenance_and_Construction_-_Tools_and_Maintenance_Tasks_(Rutherford)/02%3A_Hand_and_Power_Tools/2.05%3A_Saws.txt |
Drills
Drills are used to bore holes, tighten and loosen fasteners, and, with some models and accessories, mix paint, mortar, and similar materials, and to chisel and chip mortar, concrete, and other dense or hard materials. The selection of the proper dill for a job requires knowledge of the material being worked, the types and models of drills and their purposes, and the accessories that are appropriate for the task. Tool makers offer all of the types of drills in corded models and the majority of them are also available in variable speed and battery powered models that offer greater portability and reduced tool weight with lighter weight DC brushless motor technology.
Basic Drill Parts Identification
Portable Drill Parts by Gwen Arkin & Clifford Rutherford is licensed under CC BY 4.0
Drill Safety
1. Wear safety glasses when operating with portable electric drill.
2. Disconnect the drill from the electrical supply when installing bits.
3. Clamp stock so it will not move during the drilling operation.
4. Before drilling, turn the drill on to see if the bit is centered and running true.
5. Align the bit with the desired hole location before turning the drill on.
6. Hold the drill firmly with both hands while drilling.
7. When drilling deep holes with a twist drill, move the bit up and down several times while drilling to remove cuttings and reduce overheating in the bit.
8. Do not allow the cord to become wrapped around the drill when working.
9. If the electrical cord becomes frayed or starts to separate from the drill housing, repair it immediately!
10. Remove the bit from the drill as soon as the work is completed.
11. Select the correct bit for the finish and material being drilled. Make sure the bit is securely tightened in the drill chuck.
12. Be extremely careful when using larger portable electric drills (3/8″ and 1/2″). If the bit should hang or get caught the drill will twist in the operator’s hands causing a sprain or bruised fingers.
13. Always remove the key from the chuck before drilling.
14. To prevent seizing, reduce the feed pressure when the drill bit is about to come through the material.
Drill Operating Procedures
1. Always center punch or make a starting indentation in the material being drilled to get an accurate starting point for the drill bit.
2. Tighten the drill bit by rotating the chuck key to all three holes in the chuck. This will help to keep the drill bit centered.
3. Apply moderate even pressure to the drill during the drilling operation. If excessive pressure is required to make the bit cut then the bit is dull and needs to be sharpened.
4. Maintain good balance at all times when drilling.
5. Use slow drill speeds for drilling metal and fast speeds for drilling wood.
6. To obtain holes that are placed accurately, drill a small pilot first then drill the final hole.
Drill Types
Query \(1\)
Bits & Accessories
Along with using the driver bits for various fasteners discussed in the previous chapter, drills can be accessorized to perform a variety of functions.
Query \(2\) | textbooks/workforce/Construction/Building_Maintenance_and_Construction_-_Tools_and_Maintenance_Tasks_(Rutherford)/02%3A_Hand_and_Power_Tools/2.06%3A_Drills_and_Accessories.txt |
Grinders
Grinders are normally used to either smooth or cut hard surfaces and materials depending upon the type of accessory and material being used. The basic grinding tool consists of a motor with an abrasive wheel, wire brush or other attachment attached to the arbor (shaft) by a female threaded fastener (arbor nut). Some manufacturers’ arbor nut configuration requires a propitiatory wrench or spanner for removal and installation of their own specially designed style of fastener. Grinders are offered in both portable and stationary models, and some come with a variable speed option. Each style of grinder can be accessorized for specific applications and functions and components differ by manufacturer.
Grinder Safety
When choosing accessories for grinders, it is extremely important to note the the revolutions per minute (r.p.m.) rating of the accessory meets or exceeds the r.p.m. of the grinder. An inappropriately sized grinder accessory can shatter or break resulting in injury. Grinders should always be unplugged or the battery should be disconnected from the tool before changing accessories. Portable grinders, like many other rotating power tools, have the potential for kickback and operators should take the same basic precautions as when operating a portable power saw. Bench grinders have tool rests, or tables for stabilizing items being ground. These should be adjusted as close to the grinding wheel as possible to prevent injury in the event of the wheel grabbing the item and pulling the operators hand/s in the direction of the wheel. Bench grinders are also required to have adjustable, impact resistant, clear lens guards, protective eye wear should always be worn by the operator when using any grinder. Due to the wide variety of grinding tools and applications, be sure to consult manufacturer directions before operating any power tool you are unfamiliar with. Although some of these tools are also offered in special versions that can be used in the presence of water to cool the blade or stone and flush debris from the cut or material surface, most grinders are not suited for wet applications.
Types of Grinders
Query \(1\)
Grinder Accessories
Query \(2\)
Sanding Discs for grinders usually require a hard rubber backing plate to be attached to the grinder and for the disc to be attached to the backing plate by an adhesive or hook-and-loop fastening system, to create an orbital sander. The disc’s sandpaper material composition should be selected according to the material being sanded (see Sandpaper Material Composition).
Buffing Bonnets and Wheels used for buffing metals, plastics, quarry stone and other surfaces can be made of cotton, microfiber, and other materials regularly used in hand polishing items. While bonnets are mounted to backing plates on portable grinders of buffers, buffing wheels are mounted to the arbor of stationary grinders with the arbor nut.
Sanders
Regardless of whether you are sanding by hand or using a power sander, identifying the right sanding tool and sandpaper to be used for a project can be a daunting task if you’re unfamiliar with the capability of the sanding tools and the variety of sandpapers available for specific applications. Sanders can be used to form and shape a wide variety of materials and to strip or create fine finishes. When working with electric power sanders, when the tool is fitted with a variable speed option, the speed should be adjusted to a speed that creates the best cutting action in order to realize the full potential of the tool and sandpaper being used based on the material being sanded and the finish desired. As with other power tools, it is important to let the tool do the work. Too much pressure on the tool can slow or dampen the machine’s action, creating less cutting action due to excessive friction or not allowing the tool to rotate or vibrate at all. Some sanders rotate in one continuous motion (orbital or track) that can leave sanding lines or swirl marks in materials. Random orbital and oscillating sanders work in multiple pathways that create fewer lines and finer finishes.
Types of Sanders
Query \(3\)
Sand Paper
Sandpaper Rectangle by Dexter Corpuz is licensed under CC BY 4.0
Styles
Grit is the term use to identify the coarseness (roughness) of the material on the sandpaper. Sandpapers are labeled by a number denoting their coarseness: the lower the number, the coarser the grit of the sandpaper and rougher finish; the higher the number, the finer the grit and smoother finish. The sandpaper’s cutting material can consist of aluminum oxide, garnet, or silicon, and can even be used in emery cloth that resist breakdown in wet applications. For sanding items that require extensive work, it is best to start with a coarse sandpaper, graduating incrementally to finer grits to obtain the desired finish.
Material Composition
• Garnet quarry stone is crushed to a specified grain size and used to coat paper or cloth to make sandpaper and sanding belts commonly used for universal applications. Wears out faster than other sandpapers but is capable of creating smoother finishes.
• Aluminum Oxide works good for sanding wood and metal. As aluminum oxide particles flake off during use creating new sharp edges, this media lasts longer than garnet sandpaper, but does not create as smooth of a finish.
• Silicon Carbide is harder than garnet or aluminum oxide. This media is commonly used for metal, plastics, and fiberglass, but is a poor choice for applications with wood.
• Emery Cloth is a cloth material coated with a granular mineral substance normally consisting of corundum mixed with magnetite or hematite. Emery cloth is capable of holding up in wet applications and is relied upon by plumbers to clean and etch copper pipes and fittings prior to soldering.
Sandpaper Selection Chart by Clifford Rutherford is licensed under CC BY 4.0
Query \(4\) | textbooks/workforce/Construction/Building_Maintenance_and_Construction_-_Tools_and_Maintenance_Tasks_(Rutherford)/02%3A_Hand_and_Power_Tools/2.07%3A_Grinders_Sanders_and_Accessories.txt |
Numeral System and Notation
It is often said that mathematics is the language of science. If this is true, then an essential part of the language of mathematics is numbers. The earliest use of numbers occurred 100 centuries ago in the Middle East to count, or enumerate items. Farmers, cattlemen, and tradesmen used tokens, stones, or markers to signify a single quantity—a sheaf of grain, a head of livestock, or a fixed length of cloth, for example. Doing so made commerce possible, leading to improved communications and the spread of civilization.
Three to four thousand years ago, Egyptians introduced fractions. They first used them to show reciprocals. Later, they used them to represent the amount when a quantity was divided into equal parts.
But what if there were no cattle to trade or an entire crop of grain was lost in a flood? How could someone indicate the existence of nothing? From earliest times, people had thought of a “base state” while counting and used various symbols to represent this null condition. However, it was not until about the fifth century A.D. in India that zero was added to the number system and used as a numeral in calculations.
Clearly, there was also a need for numbers to represent loss or debt. In India, in the seventh century A.D., negative numbers were used as solutions to mathematical equations and commercial debts. The opposites of the counting numbers expanded the number system even further.
Because of the evolution of the number system, we can now perform complex calculations using these and other categories of real numbers. In this section, we will explore sets of numbers, calculations with different kinds of numbers, and the use of numbers in expressions.
Numbers
Natural numbers
The numbers we use for counting, or enumerating items, are the natural numbers: 1, 2, 3, 4, 5, and so on. We describe them in set notation as {1,2,3,…} where the ellipsis (…) indicates that the numbers continue to infinity. The natural numbers are, of course, also called the counting numbers. Any time we enumerate the members of a team, count the coins in a collection, or tally the trees in a grove, we are using the set of natural numbers.
Whole numbers
If we add zero to the counting numbers, we get the set of whole numbers.
• Counting Numbers: 1, 2, 3, …
• Whole Numbers: 0, 1, 2, 3, …
Integers
A set of integers adds the opposites of the natural numbers to the set of whole numbers:{,−3,−2,−1,0,1,2,3,}. It is useful to note that the set of integers is made up of three distinct subsets: negative integers, zero, and positive integers. In this sense, the positive integers are just the natural numbers. Another way to think about it is that the natural numbers are a subset of the integers.
Fractions
Often in life, whole amounts are not exactly what we need. A baker must use a little more than a cup of milk or part of a teaspoon of sugar. Similarly a carpenter might need less than a foot of wood and a painter might use part of a gallon of paint. These people need to use numbers which are part of a whole. These numbers are very useful both in algebra and in everyday life and they are called factions. Hence, Fractions are a way to represent parts of a whole. It is written where and are integers and In a fraction, is called the numerator and is called the denominator. The denominator represents the number of equal parts the whole has been divided into, and the numerator represents how many parts are included. The denominator, cannot equal zero because division by zero is undefined.
In (Figure), the circle has been divided into three parts of equal size. Each part represents of the circle. This type of model is called a fraction circle. Other shapes, such as rectangles, can also be used to model fractions.
Doing the Manipulative Mathematics activity Model Fractions will help you develop a better understanding of fractions, their numerators and denominators.
What does the fraction represent? The fraction means two of three equal parts.
An interactive or media element has been excluded from this version of the text. You can view it online here: http://pressbooks.oer.hawaii.edu/buildingmaint/?p=142
Improper and Proper Fractions
In an improper fraction, the numerator is greater than or equal to the denominator, so its value is greater than or equal to one. Fractions such as , , , and are called improper fractions.
When a fraction has a numerator that is smaller than the denominator, it is called a proper fraction, and its value is less than one. Fractions such as , , and are proper fractions.
Equivalent Fractions
Equivalent fractions are fractions that have the same value. For example, the fractions and have the same value, 1. Figure shows two images: a single pizza on the left, cut into two equal pieces, and a second pizza of the same size, cut into eight pieces on the right. This is a way to show that is equivalent to . In other words, they are equivalent fractions.
Figure #. Since the same amount is of each pizza is shaded, we see that is equivalent to .
Add or Subtract Fractions
To add or subtract fractions, they must have a common denominator. If the factions have the same denominator, we just add the numerators and place the sum over the common denominator. If the fractions have different denominators, what do we need to do?
First, we will use fraction tiles to model finding the common denominator of and
We’ll start with one tile and tile. We want to find a common fraction tile that we can use to match both and exactly.
If we try the pieces, of them exactly match the piece, but they do not exactly match the piece.
If we try the pieces, they do not exactly cover the piece or the piece.
If we try the pieces, we see that exactly of them cover the piece, and exactly of them cover the piece.
If we were to try the pieces, they would also work.
Even smaller tiles, such as and would also exactly cover the piece and the piece.
The denominator of the largest piece that covers both fractions is the least common denominator (LCD) of the two fractions. So, the least common denominator of and is
Notice that all of the tiles that cover and have something in common: Their denominators are common multiples of and the denominators of and The least common multiple (LCM) of the denominators is and so we say that is the least common denominator (LCD) of the fractions and . Therefore, the least common denominator (LCD) of two fractions is the least common multiple (LCM) of their denominators.
To find the LCD of two fractions, we will find the LCM of their denominators. We follow the procedure we used earlier to find the LCM of two numbers. We only use the denominators of the fractions, not the numerators, when finding the LCD.
Example $1$
Find the LCD for the fractions and
Solution
Factor each denominator into its primes.
List the primes of 12 and the primes of 18 lining them up in columns when possible.
Bring down the columns.
Multiply the factors. The product is the LCM.
The LCM of 12 and 18 is 36, so the LCD of and is 36. LCD of and is 36.
Fractions addition and subtraction trick – do them the fast way!
Query $1$
Multiply Fractions
When we multiplied fractions, we just multiplied the numerators and multiplied the denominators right straight across.
A model may help you understand multiplication of fractions. We will use fraction tiles to model To multiply and think of
Start with fraction tiles for three-fourths. To find one-half of three-fourths, we need to divide them into two equal groups. Since we cannot divide the three tiles evenly into two parts, we exchange them for smaller tiles.
We see is equivalent to Taking half of the six tiles gives us three tiles, which is
Therefore,
When multiplying fractions, the properties of positive and negative numbers still apply. It is a good idea to determine the sign of the product as the first step. In Example $2$ we will multiply two negatives, so the product will be positive.
Example $2$
Multiply, and write the answer in simplified form:
Solution
Add example text here.
The signs are the same, so the product is positive. Multiply the numerators, multiply the denominators.
Simplify.
Look for common factors in the numerator and denominator. Rewrite showing common factors.
Remove common factors. =
Another way to find this product involves removing common factors earlier.
Determine the sign of the product. Multiply.
Show common factors and then remove them.
Multiply remaining factors.
We get the same result.
Multiplying two fractions: Example
Query $2$
Divide Fractions
Now that we know how to multiply fractions, we are almost ready to divide. Before we can do that, that we need some vocabulary.
The reciprocal of a fraction is found by inverting the fraction, placing the numerator in the denominator and the denominator in the numerator. The reciprocal of is .
Notice that · = 1. A number and its reciprocal multiply to 1.
To get a product of positive 1 when multiplying two numbers, the numbers must have the same sign. So reciprocals must have the same sign.
The reciprocal of − is – , since − ) = 1 .
Dividing Fractions: Example
Query $3$
Decimals
You probably already know quite a bit about decimals based on your experience with money. Suppose you buy a sandwich and a bottle of water for lunch. If the sandwich costs , the bottle of water costs , and the total sales tax is , what is the total cost of your lunch?
The total is Suppose you pay with a bill and pennies. Should you wait for change? No, and pennies is the same as
Because each penny is worth of a dollar. We write the value of one penny as since
Decimals are in fact another way of writing fractions whose denominators are powers of 10.
Just as the counting numbers are based on powers of ten, decimals are based on powers of ten. Table 1 shows the counting numbers.
Table 1
Counting number Name
One
Ten
One hundred
One thousand
Ten thousand
How are decimals related to fractions? Table 2 shows the relation.
Table 2
Decimal Fraction Name
One tenth
One hundredth
One thousandth
One ten-thousandth
Add and Subtract Decimals
Let’s take one more look at the lunch order from the start of Decimals, this time noticing how the numbers were added together.
All three items (sandwich, water, tax) were priced in dollars and cents, so we lined up the dollars under the dollars and the cents under the cents, with the decimal points lined up between them. Then we just added each column, as if we were adding whole numbers. By lining up decimals this way, we can add or subtract the corresponding place values just as we did with whole numbers.
Add or subtract decimals.
1. Write the numbers vertically so the decimal points line up.
2. Use zeros as place holders, as needed.
3. Add or subtract the numbers as if they were whole numbers. Then place the decimal in the answer under the decimal points in the given numbers.
Multiply Decimals
Multiplying decimals is very much like multiplying whole numbers—we just have to determine where to place the decimal point. The procedure for multiplying decimals will make sense if we first review multiplying fractions.
Do you remember how to multiply fractions? To multiply fractions, you multiply the numerators and then multiply the denominators.
So let’s see what we would get as the product of decimals by converting them to fractions first. We will do two examples side-by-side in Table 3. Look for a pattern.
Table 3
A B
Convert to fractions.
Multiply.
Convert back to decimals.
There is a pattern that we can use. In A, we multiplied two numbers that each had one decimal place, and the product had two decimal places. In B, we multiplied a number with one decimal place by a number with two decimal places, and the product had three decimal places.
How many decimal places would you expect for the product of If you said “five”, you recognized the pattern. When we multiply two numbers with decimals, we count all the decimal places in the factors—in this case two plus three—to get the number of decimal places in the product—in this case five.
Once we know how to determine the number of digits after the decimal point, we can multiply decimal numbers without converting them to fractions first. The number of decimal places in the product is the sum of the number of decimal places in the factors.
The rules for multiplying positive and negative numbers apply to decimals, too, of course.
When multiplying two numbers,
• if their signs are the same, the product is positive.
• if their signs are different, the product is negative.
When you multiply signed decimals, first determine the sign of the product and then multiply as if the numbers were both positive. Finally, write the product with the appropriate sign.
Multiply decimal numbers
1. Determine the sign of the product.
2. Write the numbers in vertical format, lining up the numbers on the right.
3. Multiply the numbers as if they were whole numbers, temporarily ignoring the decimal points.
4. Place the decimal point. The number of decimal places in the product is the sum of the number of decimal places in the factors. If needed, use zeros as placeholders.
5. Write the product with the appropriate sign.
Multiplying Decimals: Example
Query $4$
Multiply by Powers of 10
In many fields, especially in the sciences, it is common to multiply decimals by powers of Let’s see what happens when we multiply by some powers of
Look at the results without the final zeros. Do you notice a pattern?
The number of places that the decimal point moved is the same as the number of zeros in the power of ten. Table 4 summarizes the results.
Table 4
Multiply by Number of zeros Number of places decimal point moves
place to the right
places to the right
places to the right
places to the right
We can use this pattern as a shortcut to multiply by powers of ten instead of multiplying using the vertical format. We can count the zeros in the power of and then move the decimal point that same of places to the right.
So, for example, to multiply by move the decimal point places to the right.
Sometimes when we need to move the decimal point, there are not enough decimal places. In that case, we use zeros as placeholders. For example, let’s multiply by We need to move the decimal point places to the right. Since there is only one digit to the right of the decimal point, we must write a in the hundredths place.
Multiply a decimal by a power of 10.
1. Move the decimal point to the right the same number of places as the number of zeros in the power of
2. Write zeros at the end of the number as placeholders if needed.
Divide Decimals
Just as with multiplication, division of decimals is very much like dividing whole numbers. We just have to figure out where the decimal point must be placed.
To understand decimal division, let’s consider the multiplication problem
Remember, a multiplication problem can be rephrased as a division problem. So we can write
We can think of this as “If we divide 8 tenths into four groups, how many are in each group?”. The figure below shows that there are four groups of two-tenths in eight-tenths. So
Using long division notation, we would write
Notice that the decimal point in the quotient is directly above the decimal point in the dividend.
To divide a decimal by a whole number, we place the decimal point in the quotient above the decimal point in the dividend and then divide as usual. Sometimes we need to use extra zeros at the end of the dividend to keep dividing until there is no remainder.
Divide a decimal by a whole number.
1. Write as long division, placing the decimal point in the quotient above the decimal point in the dividend.
2. Divide as usual.
Divide a Decimal by Another Decimal
So far, we have divided a decimal by a whole number. What happens when we divide a decimal by another decimal? Let’s look at the same multiplication problem we looked at earlier, but in a different way.
Remember, again, that a multiplication problem can be rephrased as a division problem. This time we ask, “How many times does go into Because we can say that goes into four times. This means that divided by is
We would get the same answer, if we divide by both whole numbers. Why is this so? Let’s think about the division problem as a fraction.
We multiplied the numerator and denominator by and ended up just dividing by To divide decimals, we multiply both the numerator and denominator by the same power of to make the denominator a whole number. Because of the Equivalent Fractions Property, we haven’t changed the value of the fraction. The effect is to move the decimal points in the numerator and denominator the same number of places to the right.
We use the rules for dividing positive and negative numbers with decimals, too. When dividing signed decimals, first determine the sign of the quotient and then divide as if the numbers were both positive. Finally, write the quotient with the appropriate sign.
It may help to review the vocabulary for division:
Divide decimal numbers.
1. Determine the sign of the quotient.
2. Make the divisor a whole number by moving the decimal point all the way to the right. Move the decimal point in the dividend the same number of places to the right, writing zeros as needed.
3. Divide. Place the decimal point in the quotient above the decimal point in the dividend.
4. Write the quotient with the appropriate sign.
Dividing Decimals – Example
Query $5$
Exponents
An exponent indicates repeated multiplication of the same quantity. For example, 24 means to multiply four factors of 2, so 24 means 2·2·2·2. This format is known as exponential notation.
Exponential Notation
This is read a to the mth power.
In the expression am, the exponent tells us how many times we use the base a as a factor.
Square
Do you know why we use the word square? If we construct a square with three tiles on each side, the total number of tiles would be nine.
This is why we say that the square of three is nine.
32 = 9
What happens when you square a negative number?
(-8)2 = (-8) (-8) = 64
When we multiply two negative numbers, the product is always positive. So the square of a negative number is always positive.
Square Roots
Sometimes we will need to look at the relationship between numbers and their squares in reverse. Because 102=100, we say 100 is the square of 10. We can also say that 10 is a square root of 100.
Square Root of a Number
A number whose square is m is called a square root of m.
If n2=m, then n is a square root of m.
Notice (−10)2=100 also, so −10 is also a square root of 100. Therefore, both 10 and −10 are square roots of 100.
So, every positive number has two square roots: one positive and one negative.
What if we only want the positive square root of a positive number? The radical sign, √, stands for the positive square root. The positive square root is also called the principal square root.
Square Root Notation
√m is read as “the square root of m.
If m=n2, then m = n for n≥0. If m = n2, then m= n for n≥0.
We can also use the radical sign for the square root of zero. Because 02=0, √0=0. Notice that zero has only one square root.
Square Root of a Negative Number
Can we simplify √−25? Is there a number whose square is −25?
()= −25?
None of the numbers that we have dealt with so far have a square that is −25. Why? Any positive number squared is positive, and any negative number squared is also positive. There is no real number equal to −25. If we are asked to find the square root of any negative number, we say that the solution is not a real number.
Estimate Square Roots (done)
So far we have only worked with square roots of perfect squares. The square roots of other numbers are not whole numbers.
We might conclude that the square roots of numbers between 4 and 9 will be between 2 and 3, and they will not be whole numbers. Based on the pattern in the table above, we could say that √5 is between 2 and 3. Using inequality symbols, we write 2<√5<3
Approximate Square Roots with a Calculator
There are mathematical methods to approximate square roots, but it is much more convenient to use a calculator to find square roots. Find the √ or √x key on your calculator. You will to use this key to approximate square roots. When you use your calculator to find the square root of a number that is not a perfect square, the answer that you see is not the exact number. It is an approximation, to the number of digits shown on your calculator’s display. The symbol for an approximation is ≈ and it is read approximately.
Suppose your calculator has a 10-digit display. Using it to find the square root of 5 will give 2.236067977. This is the approximate square root of 5. When we report the answer, we should use the “approximately equal to” sign instead of an equal sign.
√5 ≈ 2.2360679785
You will seldom use this many digits for applications in algebra. So, if you wanted to round √5 to two decimal places, you would write
√5≈2.24
How do we know these values are approximations and not the exact values? Look at what happens when we square them.
2.2360679782 = 5.000000002
2.24= 5.0176
The squares are close, but not exactly equal, to 5.
Introduction to Exponents
Query $6$
Ratios
When you apply for a mortgage, the loan officer will compare your total debt to your total income to decide if you qualify for the loan. This comparison is called the debt-to-income ratio. A ratio compares two quantities that are measured with the same unit. If we compare and , the ratio is written as
Ratios Involving Decimals
We will often work with ratios of decimals, especially when we have ratios involving money. In these cases, we can eliminate the decimals by using the Equivalent Fractions Property to convert the ratio to a fraction with whole numbers in the numerator and denominator.
For example, consider the ratio We can write it as a fraction with decimals and then multiply the numerator and denominator by to eliminate the decimals.
Do you see a shortcut to find the equivalent fraction? Notice that and The least common denominator of and is By multiplying the numerator and denominator of by we ‘moved’ the decimal two places to the right to get the equivalent fraction with no decimals. Now that we understand the math behind the process, we can find the fraction with no decimals like this:
“Move” the decimal 2 places.
Simplify.
You do not have to write out every step when you multiply the numerator and denominator by powers of ten. As long as you move both decimal places the same number of places, the ratio will remain the same.
Query $7$
Perimeter, Area, and Volume
Perimeter and Area
The perimeter is a measure of the distance around a figure. The area is a measure of the surface covered by a figure.
Query $8$
Square
The figure below shows a square tile that is 1 inch on each side. If an ant walked around the edge of the tile, it would walk 4 inches. This distance is the perimeter of the tile. Since the tile is a square that is 1 inch on each side, its area is one square inch. The area of a shape is measured by determining how many square units cover the shape.
Figure #. Perimeter = 4 inches Area = 1 square inch
When the ant walks completely around the tile on its edge, it is tracing the perimeter of the tile. The area of the tile is 1 square inch.
Rectangle
A rectangle has four sides and four right angles. The opposite sides of a rectangle are the same length. We refer to one side of the rectangle as the length, L, and the adjacent side as the width, W. See figure below.
A rectangle has four sides, and four right angles. The sides are labeled L for length and W for width.
The perimeter, P, of the rectangle is the distance around the rectangle. If you started at one corner and walked around the rectangle, you would walk L+W+L+W units, or two lengths and two widths. The perimeter then is
P=L+W+L+W
or
P=2L+2W
What about the area of a rectangle? Remember the rectangular rug from the beginning of this section. It was 2 feet long by 3 feet wide, and its area was 6 square feet. See Figure below. Since A=2⋅3, we see that the area, A, is the length, L, times the width, W, so the area of a rectangle is A=L⋅W.
The area of this rectangular rug is 6 square feet, its length times its width.
Triangle
We now know how to find the area of a rectangle. We can use this fact to help us visualize the formula for the area of a triangle. In the rectangle in the figure below, we’ve labeled the length b and the width h, so it’s area is bh.
The area of a rectangle is the base, b, times the height, h.
We can divide this rectangle into two congruent triangles (see figure below). Triangles that are congruent have identical side lengths and angles, and so their areas are equal. The area of each triangle is one-half the area of the rectangle, or bh. This example helps us see why the formula for the area of a triangle is A= bh.
A rectangle can be divided into two triangles of equal area. The area of each triangle is one-half the area of the rectangle.
The formula for the area of a triangle is A = bh, where b is the base and h is the height.
To find the area of the triangle, you need to know its base and height. The base is the length of one side of the triangle, usually the side at the bottom. The height is the length of the line that connects the base to the opposite vertex, and makes a 90° angle with the base. The figure below shows three triangles with the base and height of each marked.
The height h of a triangle is the length of a line segment that connects the the base to the opposite vertex and makes a 90° angle with the base.
Isosceles and Equilateral Triangles
Besides the right triangle, some other triangles have special names. A triangle with two sides of equal length is called an isosceles triangle. A triangle that has three sides of equal length is called an equilateral triangle. The figure below shows both types of triangles.
In an isosceles triangle, two sides have the same length, and the third side is the base. In an equilateral triangle, all three sides have the same length.
Isosceles and Equilateral Triangles
• An isosceles triangle has two sides the same length.
• An equilateral triangle has three sides of equal length.
Trapezoid
A trapezoid is four-sided figure, a quadrilateral, with two sides that are parallel and two sides that are not. The parallel sides are called the bases. We call the length of the smaller base b, and the length of the bigger base B. The height, h, of a trapezoid is the distance between the two bases as shown in the figure below.
A trapezoid has a larger base, B, and a smaller base, b. The height h is the distance between the bases.
The formula for the area of a trapezoid is:
Areatrapezoid=1/2h(b+B)
Splitting the trapezoid into two triangles may help us understand the formula. The area of the trapezoid is the sum of the areas of the two triangles. See figure below.
Splitting a trapezoid into two triangles may help you understand the formula for its area.
The height of the trapezoid is also the height of each of the two triangles. See figure below.
The formula for the area of a trapezoid is
If we distribute, we get,
Circle
The properties of circles have been studied for over years. All circles have exactly the same shape, but their sizes are affected by the length of the radius, a line segment from the center to any point on the circle. A line segment that passes through a circle’s center connecting two points on the circle is called a diameter. The diameter is twice as long as the radius. See figure below.
The size of a circle can be measured in two ways. The distance around a circle is called its circumference.
Archimedes discovered that for circles of all different sizes, dividing the circumference by the diameter always gives the same number. The value of this number is pi, symbolized by Greek letter (pronounced pie). However, the exact value of cannot be calculated since the decimal never ends or repeats (we will learn more about numbers like this in The Properties of Real Numbers.)
If we want the exact circumference or area of a circle, we leave the symbol in the answer. We can get an approximate answer by substituting as the value of We use the symbol to show that the result is approximate, not exact.
Properties of Circles
Since the diameter is twice the radius, another way to find the circumference is to use the formula
Suppose we want to find the exact area of a circle of radius inches. To calculate the area, we would evaluate the formula for the area when inches and leave the answer in terms of
We write after the So the exact value of the area is square inches.
To approximate the area, we would substitute
Remember to use square units, such as square inches, when you calculate the area.
Sphere
A sphere is the shape of a basketball, like a three-dimensional circle. Just like a circle, the size of a sphere is determined by its radius, which is the distance from the center of the sphere to any point on its surface. The formulas for the volume and surface area of a sphere are given below.
Showing where these formulas come from, like we did for a rectangular solid, is beyond the scope of this course. We will approximate $\pi$ with 3.14.
Volume and Surface Area of a Sphere
For a sphere with radius r:
Cube or Rectangle
A cube is a rectangular solid whose length, width, and height are equal. See Volume and Surface Area of a Cube, below. Substituting, s for the length, width and height into the formulas for volume and surface area of a rectangular solid, we get:
V=LWH S=2LH+2LW+2WH
V=s·s·s S=2s·s+2s·s+2s·s
V=s3 S=2s2+2s2+2s2
S=6s2
So for a cube, the formulas for volume and surface area are V=s3 and S=6s2.
Volume and Surface Area of a Cube
For any cube with sides of length s,
Cylinder
If you have ever seen a can of soda, you know what a cylinder looks like. A cylinder is a solid figure with two parallel circles of the same size at the top and bottom. The top and bottom of a cylinder are called the bases. The height h of a cylinder is the distance between the two bases. For all the cylinders we will work with here, the sides and the height, h, will be perpendicular to the bases.
Figure #. A cylinder has two circular bases of equal size. The height is the distance between the bases.
Rectangular solids and cylinders are somewhat similar because they both have two bases and a height. The formula for the volume of a rectangular solid, V=Bh, can also be used to find the volume of a cylinder.
For the rectangular solid, the area of the base, B, is the area of the rectangular base, length × width. For a cylinder, the area of the base, B, is the area of its circular base, πr2. The figure below compares how the formula V=Bh is used for rectangular solids and cylinders.
Seeing how a cylinder is similar to a rectangular solid may make it easier to understand the formula for the volume of a cylinder.
To understand the formula for the surface area of a cylinder, think of a can of vegetables. It has three surfaces: the top, the bottom, and the piece that forms the sides of the can. If you carefully cut the label off the side of the can and unroll it, you will see that it is a rectangle. See figure below.
By cutting and unrolling the label of a can of vegetables, we can see that the surface of a cylinder is a rectangle. The length of the rectangle is the circumference of the cylinder’s base, and the width is the height of the cylinder.
The distance around the edge of the can is the circumference of the cylinder’s base it is also the length L of the rectangular label. The height of the cylinder is the width W of the rectangular label. So the area of the label can be represented as
To find the total surface area of the cylinder, we add the areas of the two circles to the area of the rectangle.
The surface area of a cylinder with radius r and height h, is S=2πr2+2πrh
Volume and Surface Area of a Cylinder
For a cylinder with radius r and height h:
Cone
The first image that many of us have when we hear the word ‘cone’ is an ice cream cone. There are many other applications of cones (but most are not as tasty as ice cream cones). In this section, we will see how to find the volume of a cone.
In geometry, a cone is a solid figure with one circular base and a vertex. The height of a cone is the distance between its base and the vertex.The cones that we will look at in this section will always have the height perpendicular to the base. See figure below.
The height of a cone is the distance between its base and the vertex.
Earlier in this section, we saw that the volume of a cylinder is V=πr2h. We can think of a cone as part of a cylinder. The figure below shows a cone placed inside a cylinder with the same height and same base. If we compare the volume of the cone and the cylinder, we can see that the volume of the cone is less than that of the cylinder.
The volume of a cone is less than the volume of a cylinder with the same base and height.
In fact, the volume of a cone is exactly one-third of the volume of a cylinder with the same base and height. The volume of a cone is
Since the base of a cone is a circle, we can substitute the formula of area of a circle, πr2 , for B to get the formula for volume of a cone.
Volume of a Cone
For a cone with radius r and height h.
Liquid Measure
8 ounces = 1 cup
2 cups= 1 pint
16 ounces= 1 pint
4 cups= 1 quart
2 pints= 1 quart
4 quarts= 1 gallon
3 teaspoons= 1 tablespoon
2 tablespoons= 1/8 cup or 1 fluid ounce
4 tablespoons= 1/4 cup
8 tablespoons= 1/2 cup
1 teaspoon= 60 drops
Conversion of US Liquid Measures to Metric System
1 fluid ounce= 29.573 milliliters
1 cup= 230 milliliters
1 quart= .94635 liters
.033814 fluid ounce= 1 milliliter
3.3814 fluid ounces= 1 deciliter
33.814 fluid ounces or 1.0567 quarts= 1 liter
Dry Measure
2 pints= 1 quart
4 quarts= 1 gallon
8 quarts= 2 gallons or 1 peck
4 pecks= 8 gallons or 1 bushel
16 ounces= 1 pound
2000 pounds= 1 ton
Conversion of US Weight and Mass to Metric System
.0353 ounces= 1 gram
1/4 ounce= 7 grams
1 ounce= 28.35 grams
4 ounces= 113.4 grams
8 ounces= 226.8 grams
1 pound= 454 grams
2.2046 pounds= 1 kilogram
1.1023 short tons= 1 metric ton
Linear Measure
12 inches= 1 foot
3 feet= 1 yard
5.5 yards= 1 rod
40 rods= 1 furlong
8 furlongs (5280 feet)= 1 mile
6080 feet= 1 nautical mile
Conversion of US Linear Measures to Metric System
1 inch= 2.54 centimeters
1 foot= .3048 meters
1 yard= .9144 meters
1 mile= 1609.3 meters or 1.6093 kilometers
.03937 inches= 1 millimeter
.3937 inches= 1 centimeter
3.937 inches= 1 decimeter
39.37 inches= 1 meter
3280.8 feet or .62137 miles= 1 kilometer
Temperature
To convert Fahrenheit to Centigrade: Subtract 32, Multiply by 5, then Divide by 9
To convert Centigrade to Fahrenheit: Multiply by 9, Divide by 5, then Add 32 | textbooks/workforce/Construction/Building_Maintenance_and_Construction_-_Tools_and_Maintenance_Tasks_(Rutherford)/03%3A_Mathematics_for_Maintenance_Techs/3.01%3A_Required_Math_Concepts.txt |
Ohm’s Law
The current that flows through most substances is directly proportional to the voltage V applied to it. The German physicist Georg Simon Ohm (1787–1854) was the first to demonstrate experimentally that the current in a metal wire is directly proportional to the voltage applied: I ∝ V.
This important relationship is known as Ohm’s law. It can be viewed as a cause-and-effect relationship, with voltage the cause and current the effect. This is an empirical law like that for friction—an experimentally observed phenomenon. Such a linear relationship doesn’t always occur.
Resistance and Simple Circuits
If voltage drives current, what impedes it? The electric property that impedes current (crudely similar to friction and air resistance) is called resistance R. Collisions of moving charges with atoms and molecules in a substance transfer energy to the substance and limit current. Resistance is defined as inversely proportional to current, or I ∝ .
Thus, for example, current is cut in half if resistance doubles. Combining the relationships of current to voltage and current to resistance gives I = .
This relationship is also called Ohm’s law. Ohm’s law in this form really defines resistance for certain materials. Ohm’s law (like Hooke’s law) is not universally valid. The many substances for which Ohm’s law holds are called ohmic. These include good conductors like copper and aluminum, and some poor conductors under certain circumstances. Ohmic materials have a resistance R that is independent of voltage V and current I. An object that has simple resistance is called a resistor, even if its resistance is small. The unit for resistance is an ohm and is given the symbol Ω (upper case Greek omega). Rearranging I = gives R=, and so the units of resistance are 1 ohm = 1 volt per ampere: 1 Ω = 1 .
The figure below shows the schematic for a simple circuit. A simple circuit has a single voltage source and a single resistor. The wires connecting the voltage source to the resistor can be assumed to have negligible resistance, or their resistance can be included in R.
A simple electric circuit in which a closed path for current to flow is supplied by conductors (usually metal wires) connecting a load to the terminals of a battery, represented by the red parallel lines. The zigzag symbol represents the single resistor and includes any resistance in the connections to the voltage source.
A simulation was not included. To view simulation, go to https://pressbooks.oer.hawaii.edu/buildingmaint/chapter/ohms-law-joules-law-and-series-parallel-fomulas/ or visit the PhET page directly at https://phet.colorado.edu/sims/html/ohms-law/latest/ohms-law_en.html
Making Connections: Real World Connections
Ohm’s law (V=IR) is a fundamental relationship that could be presented by a linear function with the slope of the line being the resistance. The resistance represents the voltage that needs to be applied to the resistor to create a current of 1 A through the circuit. The graph (in the figure below) shows this representation for two simple circuits with resistors that have different resistances and thus different slopes.
The figure illustrates the relationship between current and voltage for two different resistors. The slope of the graph represents the resistance value, which is 2Ω and 4Ω for the two lines shown.
The materials which follow Ohm’s law by having a linear relationship between voltage and current are known as ohmic materials. On the other hand, some materials exhibit a nonlinear voltage-current relationship and hence are known as non-ohmic materials. The figure below shows current voltage relationships for the two types of materials.
Figure #. The relationship between voltage and current for ohmic and non-ohmic materials are shown.
Clearly the resistance of an ohmic material (shown in (a)) remains constant and can be calculated by finding the slope of the graph but that is not true for a non-ohmic material (shown in (b)).
Resistances range over many orders of magnitude. Some ceramic insulators, such as those used to support power lines, have resistances of 1012Ω or more. A dry person may have a hand-to-foot resistance of 105Ω, whereas the resistance of the human heart is about 103Ω. A meter-long piece of large-diameter copper wire may have a resistance of 10−5Ω, and superconductors have no resistance at all (they are non-ohmic). Resistance is related to the shape of an object and the material of which it is composed, as will be seen in Resistance and Resistivity.
Additional insight is gained by solving I= for V, yielding V=IR.
This expression for V can be interpreted as the voltage drop across a resistor produced by the current I. The phrase IR drop is often used for this voltage. For instance, the headlight in Example has an IR drop of 12.0 V. If voltage is measured at various points in a circuit, it will be seen to increase at the voltage source and decrease at the resistor. Voltage is similar to fluid pressure. The voltage source is like a pump, creating a pressure difference, causing current—the flow of charge. The resistor is like a pipe that reduces pressure and limits flow because of its resistance. Conservation of energy has important consequences here. The voltage source supplies energy (causing an electric field and a current), and the resistor converts it to another form (such as thermal energy). In a simple circuit (one with a single simple resistor), the voltage supplied by the source equals the voltage drop across the resistor, since PE=qΔV, and the same q flows through each. Thus the energy supplied by the voltage source and the energy converted by the resistor are equal. (See Figure.)
The voltage drop across a resistor in a simple circuit equals the voltage output of the battery.
Making Connections: Conservation of Energy
In a simple electrical circuit, the sole resistor converts energy supplied by the source into another form. Conservation of energy is evidenced here by the fact that all of the energy supplied by the source is converted to another form by the resistor alone. We will find that conservation of energy has other important applications in circuits and is a powerful tool in circuit analysis.
A simulation was not included. To view simulation, go to https://pressbooks.oer.hawaii.edu/buildingmaint/chapter/ohms-law-joules-law-and-series-parallel-fomulas/ or visit the PhET page directly at https://phet.colorado.edu/sims/html/circuit-construction-kit-dc-virtual-lab/latest/circuit-construction-kit-dc-virtual-lab_en.html
Resistors in Series and Parallel
Most circuits have more than one component, called a resistor that limits the flow of charge in the circuit. A measure of this limit on charge flow is called resistance. The simplest combinations of resistors are the series and parallel connections illustrated in Figure. The total resistance of a combination of resistors depends on both their individual values and how they are connected.
Image shows (a) A series connection of resistors. (b) A parallel connection of resistors.
When resistors are connected in parallel, more current flows from the source than would flow for any of them individually, and so the total resistance is lower.
Joules Law
Power is associated by many people with electricity. Knowing that power is the rate of energy use or energy conversion, what is the expression for electric power? Power transmission lines might come to mind. We also think of lightbulbs in terms of their power ratings in watts. Let us compare a 25-W bulb with a 60-W bulb. (See Figure(a).) Since both operate on the same voltage, the 60-W bulb must draw more current to have a greater power rating. Thus the 60-W bulb’s resistance must be lower than that of a 25-W bulb. If we increase voltage, we also increase power. For example, when a 25-W bulb that is designed to operate on 120 V is connected to 240 V, it briefly glows very brightly and then burns out. Precisely how are voltage, current, and resistance related to electric power?
Electric energy depends on both the voltage involved and the charge moved. This is expressed most simply as PE = qV, where q is the charge moved and V is the voltage (or more precisely, the potential difference the charge moves through). Power is the rate at which energy is moved, and so electric power is P = = .
Recognizing that current is I = (note that Δt=t here), the expression for power becomes P = IV.
Electric power (P) is simply the product of current times voltage. Power has familiar units of watts. Since the SI unit for potential energy (PE) is the joule, power has units of joules per second, or watts. Thus, 1 A⋅V = 1 W. For example, cars often have one or more auxiliary power outlets with which you can charge a cell phone or other electronic devices. These outlets may be rated at 20 A, so that the circuit can deliver a maximum power P = IV = (20 A) (12 V) = 240 W. In some applications, electric power may be expressed as volt-amperes or even kilovolt-amperes 1 kA⋅V = 1 kW.
To see the relationship of power to resistance, we combine Ohm’s law with P = IV. Substituting I = V/R gives P = ()V = V2/R. Similarly, substituting V = IR gives P = I(IR) = I2R. Three expressions for electric power are listed together here for convenience:
P = IV
P = V2/R
P = I2R.
Note that the first equation is always valid, whereas the other two can be used only for resistors. In a simple circuit, with one voltage source and a single resistor, the power supplied by the voltage source and that dissipated by the resistor are identical. (In more complicated circuits, P can be the power dissipated by a single device and not the total power in the circuit.)
Different insights can be gained from the three different expressions for electric power. For example,P = V2/Rimplies that the lower the resistance connected to a given voltage source, the greater the power delivered. Furthermore, since voltage is squared inP = V2/R, the effect of applying a higher voltage is perhaps greater than expected. Thus, when the voltage is doubled to a 25-W bulb, its power nearly quadruples to about 100 W, burning it out. If the bulb’s resistance remained constant, its power would be exactly 100 W, but at the higher temperature its resistance is higher, too.
Joule’s Law
Query $1$ | textbooks/workforce/Construction/Building_Maintenance_and_Construction_-_Tools_and_Maintenance_Tasks_(Rutherford)/03%3A_Mathematics_for_Maintenance_Techs/3.02%3A_Ohms_Law_Joules_Law_and_Series.txt |
Pipes
Installing, maintaining, and troubleshooting plumbing systems requires specific knowledge of industry standardized measurements, construction codes, and specialized components of plumbing systems. While locally adopted plumbing codes apply to these systems and components, manufacturer installation and use instructions should be followed. Many common plumbing parts and materials like pipes and fittings do not come with instructions and should be sized and installed to comply with locally adopted plumbing and building codes.
A pipe or fitting’s ability to hold pressure, survive hot or cold temperatures, and endure natural elements is limited by it’s chemical composition, wall strength, and integrity of the sealing method used to join individual components. Schedule is the term used in referring to “plastic” (PVC, ABS, CPVC) pipe’s wall thickness, with lower numbers representing thinner walled pipes. The most common sizes used in residential construction are Schedule 40 (thinner wall used in drain, waste and vent applications) and Schedule 80 (thicker wall used in pressurized water applications). Several material types are approved for use in piping system that serve different purposes in a complete plumbing system to include water supply, and waste, drain and vent (DWV). The following table indicates the type of plumbing system that various types of piping are generally allowed in residential and light commercial construction:
Common Material Types Supply Waste Drain Vent
Copper Yes No No No
PEX Yes No No No
PVC Yes* Yes Yes Yes
CPVC Yes** No No No
ABS No Yes Yes Yes
Cast Iron No Yes Yes Yes
No-hub No Yes Yes Yes
Galvanized Pipe Yes No No No
Black Iron Pipe*** No No No No
Fittings
Fitting are used to join and redirect pipes and components to form complete plumbing systems. Due to the variety of designs of plumbing system components, fittings also facilitate adaptations from one size diameter of pipe or fitting to another. While many styles of fittings are used in most all types of systems, plumbing codes only allow some fittings to be used in particular type of plumbing system (supply or DWV) and have strict requirements as to how they are to be incorporated into the system (ex: compression fittings and unions should never be used inside of walls).
Fitting Terminology
National Pipe Thread (NPT)
American standard thread used in pluming and piping systems. It may also be referred to as MPT or MNPT for male external threads and FPT or FNPT for female internal threads. A thread sealant of some type should always be used to obtain a leak free seal (except for NPTF).
Iron Pipe Size (IPS)
Older pipe sizing system still in use by some industries, including PVC pipe manufacturers.
Slip fittings
Slip fittings require a male component with a particular outside diameter to be joined with a female component with a similarly sized inside diameter either by solvent, glue, or, when using copper components, soldering.
Couplings
Couplings are designed to join two pipes of equal diameter. Couplings can be slip-to-slip or female thread to female thread.
Bushings
This fitting allows a pipe or fitting to be reduced to a smaller size and are made to be inserted into a pipe, inside slip, or female thread. Bushings outside diameter can be male thread or male slip with the inside diameter, being of the same style (slip or thread) as the outside, dictating the size the piping system is reduced to.
Adapters
Similar to bushings, adapters are used to convert pipes and fittings from one size to another. Unlike bushings, adapters can allow for conversion from slip to thread applications an, in some cases, one piping material type to another.
Elbows
Elbows normally create a 90° or 45° change in direction of a piping system. 22-1/2° fittings are also available for some piping systems. Depending on the material, elbows come in female slip-to-female slip, female slip-to-female slip, slip-to-female thread, slip-to-male thread. PVC and Copper female slip-to-male slip elbows are referred to as street elbows and they are used for close turns and swivel to fit connections.
Tees
Tees connect pipes at 90 degree angles divide the flow of a single line into two or more. Tees can also be used to reduce the size of a branch feeding off of a main line. Tees are normally fitted with female threads in each direction.
Plugs
Plugs are male thread or male slip and designed to seal off unused plumbing system branches or unused component outlets.
Caps
Caps, like plugs, are designed to seal off unused plumbing system branches or unused component outlets, but have female slip fittings or threads.
Unions Unions facilitate the removal and repair of system components and consist of one fitting having a swivel nut which attaches to the other fitting which has a male threaded adapter with a flange or compression type sea
National Pipe Thread (NPT)
American standard thread used in pluming and piping systems. It may also be referred to as MPT or MNPT for male external threads and FPT or FNPT for female internal threads. A thread sealant of some type should always be used to obtain a leak free seal (except for NPTF).
Compression fittings Compression fittings are sometimes used to install plumbing system components and make quick repairs on smooth outside diameter pipes like PVC and copper. Compression fittings require that a soft brass metal sleeve in copper applications, and Teflon or pliable washer in PVC applications, is compressed around the piping material by an adjustment nut to seal the fitting.
Wyes
Wyes are Y-shaped fittings that allow one pipe to be joined to another at a 45 degree angle. Wyes are not used in water supply systems, but are common in DWV systems where hard turns slow the flow of waste.
Tee-Wyes
Tee-Wyes are similar to standard wyes but provide an additional 45 degree branch.
Sanitary Tees
Sanitary Tees should be used when connecting a horizontal run, such as a waste arm to a vent stack or vertical riser. They are only used to go from the horizontal to vertical plane.
Clean-Outs
Clean-Outs are threaded plugged access points in a DWV system used for clearing clogged lines with augers and inspecting DWV systems with cameras. Plumbing system codes dictate how many clean-outs should be in a waste system by the length of run and the amount of turns in the system.
Fittings by Clifford Rutherford, Rosemary Rutherford & Gwen Arkin is licensed under CC BY 4.0
Fitting Supply Waste Drain Vent
Coupler Yes Yes Yes Yes
90 degree elbow or offset Yes No Yes Yes
90 degree sweep No Yes Yes Yes
45 degree elbow or offset Yes No Yes Yes
45 degree sweep No Yes Yes Yes
Tee Yes No No Yes
Tee-Wye No Yes Yes Yes
Sanitary Tee No Yes Yes Yes
Adapter Yes Yes Yes Yes
Bushing Yes Yes Yes Yes
No-hub No Yes Yes Yes
Nominal Pipe Size Outside Diameter Wall Thick. (Sch 40) Wt. Per Ft. (Sch 40) Wall Thick. (Sch 80) Wt. Per Ft. (Sch 80)
1/8 0.405 0.068 0.245 0.095 0.315
1/4 0.540 0.088 0.425 0.119 0.535
3/8 0.675 0.091 0.568 0.126 0.739
1/2 0.840 0.109 0.851 0.147 1.088
3/4 1.050 0.113 1.131 0.154 1.474
1 1.315 0.133 1.679 0.179 2.172
1-1/4 1.660 0.140 2.273 0.191 2.997
1-1/2 1.900 0.145 2.718 0.200 3.631
2 2.375 0.154 3.653 0.218 5.022
2-1/2 2.875 0.203 5.793 0.275 7.661
3 3.500 0.216 7.576 0.300 10.250
3-1/2 4.000 0.226 9.109 0.318 12.510
4 4.500 0.237 10.790 0.337 14.980
5 5.563 0.258 14.620 0.375 20.780
6 6.625 0.280 18.970 0.432 28.570
8 8.625 0.322 28.550 0.500 43.390
10 10.750 0.365 40.480 0.500 54.740
12 12.750 0.375 49.560 0.500 65.420
Solvent Cleaners, Primers, & Cements or Glues
Pipe Glues & Primers by Gwen Arkin is licensed under CC BY 4.0
The use of cleaners, primers, and glues is specific to slip fitting applications and the chemical composition of the “plastic” piping being used. Chemical resistant gloves should be worn when using these chemical process adhesives as prolonged skin contact can result in irritation or chemical burn. Latex and vinyl gloves are not chemically resistant when used with some solvents, primers, and glues.
Always consult manufacture directions for set times of cements and glues before pressurizing any glued plumbing assembly. When assembling fittings and pipes, cleaners, primers and glues should be swabbed over the entire joint surface of both the male and female slip fitting. Although manufacturer directions may vary, in most cases a cleaner should be used, followed by a primer and then the solvent cement. Additionally, after application of the primer, the solvent cement should be applied immediately before the primer dries. Before the glue begins to set up, the male pipe or fitting is inserted fully into the female socket with a slight twisting motion. It is important to hold the joint firmly together until an initial setting of the glue is achieved, as glued fittings have a tendency to push apart as the chemical heats and expands.
Color and Material
Most manufacturers of these chemically reactive products have adopted colors in their products that identify the composition of material it is to be used with.
[table id=11 /]
Primers and Cleaners (Clear to Purple)
Formulated to remove contaminates and chemically etch plastic piping. While some cleaners are clear, purple tinted primer stains white PVC enabling the user to ensure that all surfaces requiring glue are properly cleaned and etched.
ABS Cement (Black) For ABS piping systems only. Note that primers should NOT be used for ABS pipe and that cleaner should be used in its place.
Wet-or Dry (Rain-or-Shine™) Cement (Blue) For PVC in damp applications. However, care should be used to keep fittings as dry as possible as these types of glues do not always set well if assembly is submerged.
CPVC Cement (Orange) Specially formulated to only be used with CPVC products. CPVC piping and fittings should only be joined to other types of products with threaded fittings.
Transition Cement (Green) Used to join ABS to PVC. Although not a common practice, some special circumstance and repair applications may require these two materials to be joined.
All Purpose Cement (Clear) Used with PVC, ABS, and CPVC, but should never be used to join two of the different types together.
Color Blocks by Jonathan Kevan is licensed under CC BY 4.0
Difference Between PVC Cement Types & Primer
Query \(1\)
Differences Between CPVC, DWV PVC, Schedule 40 PVC, and Schedule 80 PVC
Query \(2\)
Threaded Pipe Fitting Assembly
Most pipe threads by themselves are not sufficient to create a complete seal in pressurized piping systems.
Thread Tape
Teflon Tapes by Gwen Arkin is licensed under CC BY 4.0
IPS and NPT pipe threads require Polytetrafluoroethylene (PTFE) tape (Teflon™ by Chemours) to be applied to the male threads of fittings in order to obtain a complete seal. PTFE tape is available in widths of 1/2″, 3/4″ and 1″ and different weights or thicknesses (white-standard duty, pink-high density). The standard duty tape should be wrapped completely and evenly across the male threads approximately three to four times in the direction the threads turn to tighten the fitting. The easiest way to accomplish this is to place the tape roll in the left hand with the tape feeding toward the right from the bottom. While holding the male fitting with the right hand, place the end of the tape across the top of the fitting and turn the fitting clockwise. After securing the first 1 to 1-1/2 wraps, gently stretch the tape, continuing to turn while overlapping layers up and down the threads until 3 to four complete wraps are achieved evenly across the length of the male threads. Pull the tape firmly to break and thread male fitting into female fitting, securing with an appropriate wrench.
Standard or high density PTFE thread pipe cannot, by codes, be used for natural gas and propane applications. A chemically resistant yellow version is used for these flammable gas systems.
Pipe Dope
Pipe Dope by Gwen Arkin is licensed under CC BY 4.0
As with thread tape, pipe dope comes in PTFE and other compositions designed for water lines and for gas lines. While some people use pipe dope on top of thread tape but many manufactures claim that the is minimal or no benefit to using both products simultaneously. Some pipe dopes cannot be used on plastic piping, be sure to check manufacturer directions prior to use. Pipe dope is applied with a brush to the male threads of a piping joint and then the pipe is tightened into the female fitting and secured with an appropriate wrench.
Copper Pipe Fitting and Soldering
Due to the ever rising cost of copper material, soldering of copper pipes and fittings in residential construction is rapidly becoming obsolete as PEX flexible water supply tubing and similar solderless products, that use crimping system technologies, are being recognized and approved for installation by industry codes. However, plumbers and building maintenance technicians should always be prepared to use soldering techniques to install and repair copper supply lines of all sizes in commercial and older residential systems.
Simple Steps for Soldering
1. Clean the pipe well.
2. Clean the fitting well.
3. Apply an even coat of flux.
4. Don’t get the fitting too hot.
How to Solder Pipe
Query \(3\) | textbooks/workforce/Construction/Building_Maintenance_and_Construction_-_Tools_and_Maintenance_Tasks_(Rutherford)/04%3A_Plumbing_Systems/4.01%3A_Piping_and_Fittings.txt |
Potable Water
Often referred to as drinking water or domestic water, potable water is water that is considered to be safe for human consumption. Plumbers and maintenance technicians should always be aware of the potential for contamination of potable water systems and guard against it when installing, opening, and repairing these vulnerable systems.
Plumbing codes are very specific about maintaining the integrity of potable water systems to be free of harmful contaminants to protect the health and well being of individuals that rely on them. If a water service is installed in the same trench as a drain or sewer, the possibility of back-flow could occur. To protect against this, codes regulate the installation of a water service in the same trench with or within a certain distance of waste system piping. Most codes require that a water service installed at the same elevation as a sewer must be separated from the sewer by at least 5’ of undisturbed or compacted soil (This code often dictates that a separate trench is to be excavated). Additionally, lead-free regulations now affect how brass, bronze, copper, and other metal fittings and components are made and the solders that are used to assemble some of them.
Specialty Tools
Specialty tools often make tasks easier to perform and there is no shortage of specialty tools in the plumbing field. Many are specific to a particular manufacturer, while other perform functions that are relative to the plumbing field.
Query \(1\)
Water Meters
Water meters are used by municipal water systems to monitor and record water usage for billing purposes. Most in-ground water meters are secured in a meter box that requires a specially shaped forged key (available at specialty plumbing supply vendors) to open. Every water meter has a direction of flow and an arrow indicating which side is the incoming or outgoing connection. A municipal shut-off valve located before the meter (inlet side) normally has a rectangular shaped lock-out device that can be turned on or off with a fitted T-handle device or open end wrench. Turning this valve to the off position allows for the water supply to the entire property the meter services to be cut off and for the meter to be removed or serviced. A ball or gate valve should be installed in a valve box located outside of the meter box on the outlet side for customers or service technicians to access in order to shut off water service in the event of an emergency.
Water Meter by Clifford Rutherford is licensed under CC BY 4.0
Checking for Leaks With a Residential Water Meter:
Be sure all faucets and hose bibs in the residence are turned off.
Ensure that nobody will be flushing the toilets.
Turn off supply line to refrigerator ice makers and water dispensers.
Watch to see if the small flow indicator dial on the meter is turning.
• If the indicator appears to be stopped, make a temporary marking that indicates the position of the flow indicator dial and wait 5 minutes to see if the indicator moves.
• If the indicator is turning on initial inspection, or has moved within 5 minutes of being marked at a fixed position, and nobody in the residence is using the water:
• Turn off supply water to any water features one at a time including: spas, swimming pools, and ponds; checking the flow indicator between each one. If the indicator on the meter ceases to turn after turning off a particular water feature, check the supply valve/float valve or filling system of that feature for leaks.
• Turn off angle stops at toilets one at a time and check the water meter flow indicator to see if it has stopped moving between turning off the supply at each toilet. If the indicator ceases to turn after turning off a particular toilet’s angle stop, follow procedures for troubleshooting toilet fill and flush valves in that toilet.
If all of these procedures have been performed and the flow indicator dial continues to turn, it is possible that there is an underground, under-slab, or in-wall leak. As in-wall leaks are usually apparent, it is more likely that leak would be in the ground or under-slab and a professional licensed plumber should be consulted.
Residential Piping
Rough-in water supply piping is usually installed after the completion of the drainage and vent piping because the water piping system consumes less space in walls and ceilings. The drainage and piping must be installed with specific fittings and in certain positions to allow the water to flow by gravity, and water supply system installation requirements are less rigid than drain, waste, and vent systems.
System Pipe Size Requirements
While the International Plumbing Code (IPC) and the Uniform Plumbing Code (UPC) differ slightly in their pipe sizing allowances, both use similar criteria for the sizing of piping systems. The sizing of an entire system is established based on the quantity and type of fixtures being served, and designed based on the maximum GPM or per flushing cycle of a particular fixture and then calculated as per all the fixtures.
Fixture UPC Smallest Size IPC Smallest Size
Bathtub 1/2" 1/2"
Large Capacity Bathtub Not Identified 1/2"
Bathtub 3/4" Fill Valve 3/4" Not Identified
Bidet 1/2" 3/8"
Dishwasher 1/2" 1/2"
Hose Faucet 1/2" 1/2"
Kitchen Sink 1/2" 3/8"
Laundry Sink 1/2" 3/8"
Lavatory Sink 1/2" 3/8"
Single Shower Head 1/2" 3/8"
Toilet 1/2" 3/8" | textbooks/workforce/Construction/Building_Maintenance_and_Construction_-_Tools_and_Maintenance_Tasks_(Rutherford)/04%3A_Plumbing_Systems/4.02%3A_Domestic_Water_Service.txt |
Drain, Waste and Vent (DWV) systems can be complex and extensive as pipe routes are a result of determining fixture locations, fixture requirements, relative codes, construction obstacles, and company installation standards. Understanding of the basic layout of these systems can be crutial to plumbers and maintenance technicians when diagnosing and clearing blockages, and troubleshooting other drain and sewer abnormalities.
Building Sewer
A building sewer is the main pipe used to transport sewage and wastewater from a DWV system to a point of disposal, or termination (ex. a municipal sewer line).
Clean-Outs
The start of a building sewer is typically where a clean-out is installed with its connection to the building drain. Clean-outs are installed in various locations throughout a system and the maximum distances are found in a code books, they typically cannot be more than 100’ apart. All codes dictate that the base of every stack and the transition from a building drain and building sewer must have a clean-out installed. Sizing is based on a clean-out being the same size as the pipe when serving a stack, building drain, and building sewer, but some codes allow exceptions for pipe sizes larger than 4”.
Clean-Out Key by Gwen Arkin is licensed under CC BY 4.0
Building Drain
The building drain is the lowest horizontal portion of a drainage system and receives discharge from waste stacks and horizontal branches. Many codes state that it must extend at least 2’-6”and a maximum of 10’-0” from the exterior of the building.
Waste Stack
The waste stack is the main vertical pipe that starts with its connection at the building drain and terminates with its connection to the stack vent. It receives discharge from all horizontal branches and must have a clean-out at its base.
Stack Vent
The vent for the waste stack is known as the stack vent and begins at the highest branch connection to the waste stack. It is a dry piping system that typically extends through the roof, but can connect with the vent stack prior to terminating to open air.
Vent Stack
A vent stack is sized based on numerous factors including the total discharge load of a system and the length it travels. The vent stack can transition horizontally without requiring a relief vent. Like all horizontal vents, it must have adequate slope to eliminate moisture from settling and obstructing its airway. A clean-out is most often required to be installed at its base by plumbing and building codes .
Fixture Drain
The fixture drain serves a single fixture trap and is sized based on the particular fixture load. Most codes allow a removable joint of a trap assembly to act as a clean-out for a fixture drain. A floor drain or shower drain with a removable strainer can also serve as a clean-out for a fixture drain. Though a drain cannot be smaller than 1 -1/4” diameter, most codes dictate that the smallest drain size buried below ground is 2” diameter.
Fixture Branch
The fixture branch is a drainpipe that connects more than one fixture drain to a horizontal branch or major segment of a DWV system.
Horizontal Branch
A horizontal branch is a drainpipe that connects horizontally to a major segment of a DWV system. It can either connect to a waste stack or building drain. It connects more than one fixture drain or a fixture branch to a main segment of DWV system.
Individual Vent
Individual vents serve one fixture trap and are a vertical extension of a drain. They must be at least half the diameter of the drain they serve, but no smaller than 1 -1/4”.
Branch Vent
The branch vent serves as a vent for a horizontal branch and connects to the a vent stack or a stack vent. A branch vent is sized based on the size of the horizontal branch, the drainage load of the horizontal branch, and the distance it travels.
Circuit Vent
A circuit vent, mainly used in commercial applications, is a branch vent that is not typical with other standard branch vent types and has specific code regulations. Single-family residential construction typically does not use “battery” configurations designed for institutional style multiple fixture applications due to the minimal number of fixtures located within one room.
Loop Vent
The loop vent is a circuit vent that is installed on a top floor of a building or highest branch. All sizing and code regulations are the same as those for a circuit vent.
Relief Vent
A relief vent is required when a waste stack transitions from vertical to horizontal. The most common relief vent is one serving a battery of fixtures. A relief vent serving a battery of fixtures is sized based on being half the diameter of the horizontal branch, but as with all other vents, it cannot be less than 1 -1/4”.
Trap
Every plumbing fixture connected to a drainage system must be protected by a fitting or device that serves as a protective water seal to prevent harmful sewer gas from entering an occupied space. This device is called a trap. A p-trap gets its name from its appearance, which resembles the letter P, and is installed receiving the outlet flow of waste water from a fixture. P-traps are available in a variety of styles, which include one-piece and two-piece designs and are designed to serve wall entry connections to the branch drain pipe, whereas S-traps are designed to serve floor entry connections to the drain pipe. The joints of a trap and it’s connections to the drain and fixture it serves are commonly assembled with compression style fittings similar to a union.
P-Trap by Gwen Arkin is licensed under CC BY 4.0
Trap Adapter
A slip-joint p-trap is tubular size and has a smaller outside diameter than the connecting DWV pipe. The fitting for connecting tubular sizes to DWV pipe sizes is referred to as a trap adapter and sometimes also called a desanco. A trap adapter is usually installed during the fixture installation phase of a project. Cast iron, copper, and galvanized piping systems use brass trap adapters.
Drain Cleaning
If you talk to any plumber or maintenance technician that has long-term experience with clearing clogged sewer and drain lines, you’ll be amazed with the stories of the unthinkable items they have cleared or retrieved from DWV systems. Food and human waste, jewelry, silverware; toys, mop heads, and tree roots; beach towels, linen, and personal hygiene products; birds’ nests, tree waste and fruit dropped by animals into vent systems, and more, They’ve seen it all!
Chemical drain cleaners, plungers, hooked flexible plastic extraction devices, and other gadgets can clear clogged p-traps and other clogs in drain lines relatively close to fixtures, some clogs require plumbing and maintenance technicians to use a manual or motorized drum auger to clear them.
How To Unclog a Drain Using a BrassCraft Drum Auger
Query \(1\)
If a hand or drill operated auger does not clear a clog, a heavy-duty motorized auger may need to be run through a clean-out to clear the obstruction. An assortment of auger heads can be attached to the auger cable to cut through obstructions like human and food waste, tree roots, and other malleable objects, or grab and retrieve objects dropped or flushed down drains.
Easy Rooter Power Drain Cleaner – How To Video
Query \(2\)
Drain service technicians are sometimes unable to clear obstructions an use a drain and sewer inspection camera to identify what the obstruction is, and with a locator accessory, can pinpoint the location and depth of the obstruction in relation to the piping route including depth.
SeeSnake® MAX rM200 Camera System
Query \(3\) | textbooks/workforce/Construction/Building_Maintenance_and_Construction_-_Tools_and_Maintenance_Tasks_(Rutherford)/04%3A_Plumbing_Systems/4.03%3A_Drain_Waste_and_Vent_%28DWV%29.txt |
Many devices and faucets are considered to be valves, and numerous valve designs exist and many have multiple uses. Valves and devices installed for potable water must be approved by plumbing codes. Threaded valves and devices typically have female threads, however soldered connections are used for many valves and devices connecting to copper tube and plastic valves and devices are available with solvent welded connections. Backflow devices are installed to protect a potable water system, but an air gap is the only sure method of backflow prevention.
Isolation Valves
Every residential dwelling is required by code to be provided with at least one isolation valve. The valve must be installed in a easily accessible location, so the homeowner can shut off the water supply in case of an emergency or a repair. Most codes require that the minimum size of a residential water service be 3/4”. Actual size is based on the number of plumbing fixtures.
Many codes dictate that the main isolation valve for a house and the isolation valve for a water heater be a full port design. A full port valve has the same inside diameter (ID) as the connecting pipe and does not drastically restrict the volume of water that flows through a valve. Some isolation valves and most devices installed in a piping system have a direction of flow and require an installer to connect the piping system knowing the flow direction of the water or gas.
Types of Isolation Valves & Residential Uses
Ball Valve- Water and Gas: Utilizes an internal ball with a hole in its center that creates a flow passageway through the valve, and isolates flow when the ball is rotated 90° from the flow direction. Some types of ball valves are available with a T-handle, but the most common have a lever handle. The internal ball has a vertical stem protruding from the valve body, to which the lever handle is secured with a tightening nut.
Ball Valve – Full Port vs. Standard by Gwen Arkin is licensed under CC BY 4.0
Gate Valve- Water: Utilizes a metal gate (disc) that slides vertically to open and close the valve. A wheel handle that is fixed to a stem raises and lowers the internal gate when manually turned. The handle is turned counterclockwise to open the valve and clockwise to close the valve. The two basic self-explanatory types of gate valves are a rising stem type and a non-rising stem type.
Gate Valve by Gwen Arkin is licensed under CC BY 4.0
Stop Valve- Water: A valve design that uses a rubber washer to stop the flow of water; it is a directional flow isolation valve. A stop is a restrictive port valve, which is one reason it is no longer widely used in a piping system. A stop is more popular as an individual fixture isolation valve. Commonly installed as the connection between the water distribution system and the fixture tubing connection. Modern fixture supply stops incorporate a 1/4 turn ball valve design in place of a rubber washer assembly to shut off the flow of water. Angled and straight stops for individual fixture isolation are manufactured with chrome and brass finishes. While stops for modern residential applications usually use compression style fittings, older residential and contemporary commercial buildings often are fitted with threaded stops.
Angle Stop by Gwen Arkin is licensed under CC BY 4.0
How To Install a BrassCraft Compression Valve
Query \(1\)
Stop and Waste Valve- Water: A stop and waste valve uses the same design as a stop valve to isolate an entire water distribution system, except that it also has a draining feature. When freezing is a concern or the need to drain a small portion of a piping system is required, a stop and waste valve is installed. A stop and waste valve cannot be installed in locations where water could enter the water distribution system through the drain portion. Backflow of non-potable water could enter the drain port while the water distribution system was not under pressure. Some ball valves are available with a waste valve feature.
Gas Cock- Gas: Used for gas distribution systems, a gas cock is used more as a means of isolating entire systems, and utility providers commonly use it for isolating gas meters.. Many ball valve designs for gas isolation are manufactured with a T-handle design, which differs from the typical WOG (water, oil, and gas) ball valve lever handle. Many designs do not have a manual handle such as a lever or wheel handle, but require a wrench to open and close the gas cock.A ball valve specifically designed for gas systems is not rated for use with other systems.
Gas Valve by Rosemary Rutherford is licensed under CC BY 4.0
Hose End Outlets
Various types of hose outlet connections are used in a plumbing piping system to drain equipment and systems and for water usage. The most common hose outlet designs are known as a hose bibb, wall hydrant, and boiler drain. Hose threads are different than pipe threads, and outlets are 3/4” male hose threads. A hose connection to a piping system is a primary point of entry of contaminants that pollute a water distribution systemas a result of back siphoning also known as backflow. Back siphoning can occur if a hose connected to a water supply pipe is placed into a contaminated source and the water system becomes depressurized.
Types of Hose End Outlets
Boiler Drain: A hose outlet connection that is designed to drain water heater storage tanks is known as a boiler drain. Boilers and water heaters are protected with other approved backflow devices, so most codes do not require a boiler drain to incorporate an integral backflow device in the design.
Boiler Drain by Gwen Arkin is licensed under CC BY 4.0
Hose Bibb: Hose bibbs are designed to allow water flow from a pressurized piping system. Some hose bibbs are similar to a boiler drain, and others are a freeze-proof type. Due to their potential to have contaminants enter the potable water system through them, most hose bibbs are required to be protected with a backflow device.
Hose Bib by Rosemary Rutherford is licensed under CC BY 4.0
Protective Valves and Devices
Many valves and devices react automatically to temperature and pressure differences or protect potable water systems from the reversal of flow within a piping system. Protective safety valves and devices can also regulate pressure, discharge high pressure, and discharge high temperature to protect system users and other plumbing system components.
Protective Valves and Devices and Their Uses
Pressure Regulator by Clifford Rutherford is licensed under CC BY 4.0
Pressure-reducing valve (PRV) or Pressure Regulator: Reduces incoming water pressure. For municipal systems or community systems with a water meter, the incoming water supply pressure to a house depends on the design of the municipal or community system. While the optimal operational pressure for most household water supply systems is 40 to 80 pounds per square inch (psi), many municipal water system supply more than 100 psi or pressure to the residence. Excessive pressure in the water supply to a residence must be regulated to prevent pipes and fittings from bursting, and to protect valve seals and connected household appliances from damage due to high pressure. Codes typically allow the water service piping and hose faucets to exceed 80 psi, but piping that serves fixtures must be reduced to a maximum pressure of 80 psi. Most residential PRV styles have an adjustment range from 25 to 75 psi and are factory set to regulate water pressure to 50 psi and can be adjusted with a bolt/locking nut mechanism that reduces or increases the water pressure to the desired setting. An isolation valve should be installed upstream of PRV devices. PRVs are available in a variety of sizes, but 3/4” is the minimum size for reducing the main piping to a standard residence. To check the actual unregulated water pressure to a building, a simple water pressure gauge can be temporarily fitted with an adapter to an unregulated hose bib or faucet on the exterior of the building. Regulated pressure can be checked by adapting the same gauge to an interior faucet or washing machine supply valve.
Water Pressure Test Gauge by Gwen Arkin is licensed under CC BY 4.0
Relief valve: Relieves excessive pressure or temperature. Protecting a piping system and attached equipment from extreme temperatures and pressures is the responsibility of a relief valve. All relief valves are self-operating and open and close as they react to the various operating conditions of a system. Many dual-use relief valves provide protection against both temperature and pressure. These are known as T&P relief valves. Most codes require that a water heater be equipped with the proper T&P relief valves before being shipped. While valves used for water heaters on conventional and solar water heating incorporate a T&P valve in the tank design of water heaters, valves for pressure relief only are used on solar water heating panels. Pressure only style valves can be differentiated from T&P valves by the absence of a ceramic coated rod that normally protrudes from the T&P inlet.
Pressure Relief Valve by Gwen Arkin is licensed under CC BY 4.0
Check valve: Prevents the reverse flow of water or gas. Although check valves are a form of backflow-prevention devices, a single check valve is not an approved method to protect a potable water system from contamination. Swing and spring style check valves are the two most common installed for residential applications. They are installed to ensure the water, or gas, flows in one direction. The swing check style is more common for most water supply applications. The spring check is used more for gas supply and well pump systems.
Check Valves Swing, Spring & LP by Gwen Arkin is licensed under CC BY 4.0
Vacuum breaker: Prevents back siphoning. When a water distribution system is isolated or loses pressure, a vacuum is created and can allow contaminated water to enter a potable water system. To prevent the possibility of this type of contamination, a vacuum breakers are installed throughout a piping system. Vacuum breakers are available in several forms.
Vacuum relief valve: Prevents back siphoning. Vacuum relief valves are type of vacuum breaker installed in the cold water piping that serves a water heater. This form of backflow prevention operates when sensing a loss of water pressure. It opens to create an atmospheric condition or to equalize the piping system with atmospheric pressure (zero gauge pressure).
Reduced pressure zone valve (RPZ): Prevents backflow. A reduced-pressure zone valve (RPZ) is the most reliable device installed in a plumbing system as a prevention method to stop the backflow of contaminated water from entering a potable water supply system. If water attempts to backflow in the system, it is discharged from the RPZ.
Reduced Pressure Zone Backflow Preventer by Gwen Arkin is licensed under CC BY 4.0 | textbooks/workforce/Construction/Building_Maintenance_and_Construction_-_Tools_and_Maintenance_Tasks_(Rutherford)/04%3A_Plumbing_Systems/4.04%3A_Valves_and_Prevention_Devices.txt |
Plumbing codes require that every house must have at least one toilet, lavatory sink, bathtub or shower, and a kitchen sink. These, and some other items referred to in this chapter, are known as fixtures. Clearances from finished walls and other fixtures are strictly regulated by code and most fixtures are provided with a manufacturer rough-in sheet and installation instructions. Codes regulate the materials that are used to manufacture plumbing fixtures, which must have smooth, impervious surfaces and be defect free. Fixtures that incorporate porcelain enameled surfaces must be capable of withstanding acid without damaging the fixture.
Pay attention to flow rates, volume, and water usage in selecting fixtures. One key aspect of sustainability in plumbing focuses on water conservation. Lavatory faucets and shower heads are two primary focal points of conserving water. The true water saving aspect of a shower is based on duration of each use. A handheld shower can be equipped with mechanisms to turn off the water flow for certain showering activities, such as lathering.
Faucets
Lavatory with 2 handles by Gwen Arkin is licensed under CC BY 4.0
Selecting which manufacturer’s product to install is based on cost, quality, and preferred faucet design which includes aesthetics, and functionality. Most master bathrooms and guest bathrooms have more expensive finishes than other bathrooms in a large house. Faucet finishes dictate the finishes used for drain assemblies and bathroom accessories which creates a color theme. Faucet accessories are available to create various themes. Water conservation faucets have aerators that reduce the flow of water to allow only 0.5 gallons per minute as opposed to a 1.0 gallons per minute. Single-handle faucets blend the hot and cold water with the use of one handle; two-handle designs require a user to operate both handles to achieve a desired temperature.
Fixture Single Handle Two Handle Three Handle
Bathtub Yes Yes No
Bidet No Yes No
Kitchen Sink Yes Yes No
Large Capacity or Garden Tub No Yes No
Laundry Sink No Yes No
Lavatory Sink Yes Yes No
Shower Yes Yes No
Tub & Shower Yes Yes *Yes
Faucet Installation
A faucet installed on a sink through a countertop or through a tub platform, instead of through the fixture itself, is considered a deck mounted faucet. All faucets must be designed to prevent backflow of wastewater into the water distribution system and plumbing codes require that a faucet have an air gap or be protected with a vacuum breaker or approved check valve. Most faucets use a tightening nut and flat washer to secure the faucet to a fixture. A bathtub and shower faucet is usually installed during the rough-in phase of construction.
Faucet Water Supply:Connecting a water supply pipe to a faucet varies with the type of faucet and can be accomplished with many common connection methods. Some faucets connect to the water supply with male or female adapters to create a soldered connection, and others use a specially designed 3/8” OD supply tube that connects to the male threads of a faucet.
Fixture Male Thread Female Thread Solder 3/8 Tubing
Bathtub Yes Yes Yes No
Bidet Yes No No Yes
Kitchen Yes No No Yes
Large Capacity or Whirlpool Tub Yes No No No
Laundry Yes No No No
Lavatory Yes No No Yes
Shower Yes Yes Yes No
Tub & Shower Yes Yes Yes No
Drain Assemblies
Drain assemblies are purchased based on the specific fixture they serve. Codes dictate the minimum drain size serving a particular fixture, and all fixtures and drain assemblies are manufactured based on minimum code requirements. A trap adapter is installed to connect the stubout pipe to the p-trap outlet. Most codes dictate that the largest size foreign object that can enter a drainage system is 1/2” diameter.
Toilet
Toilets are also known as water closets. Residential toilets must be self-cleaning during their flushing cycle and have a toilet seat installed. Water conservation fixtures ate rated at 1.6 gallons per flush (gpf) and 1.28 gpf. The most common residential toilet bowl design uses a siphon-jet flushing action. A tank handle activates a flushing cycle, and the water flows from the tank and enters the rim of the bowl. Small holes in the rim are angled to allow the water to create the vortex. The vortex (swirl) begins a siphoning action to evacuate waste from the bowl. The jet stream exits the rim and thrusts into the passageway of the toilet providing the initial thrust in the flushing process.
The water supply is located on the left side of all toilets. The stop and escutcheon are installed the same for a toilet as for other fixtures. The water is connected to a toilet using a a tank supply. A tank supply is a chrome-plated soft copper tubing having a flat end that connects the stop to the fill valve. More modern supply lines are compression fit, plastic tube, with some having a braided stainless steel sleeve that protects the line from swelling and bursting. The toilet is installed onto the closet (toilet) flange and sealed with a wax ring. Some wax seals have a plastic accessory called a horn molded into the wax.
Toilet ADA Requirements: Handicap fixtures must comply with the Americans with Disabilities Act (ADA). The tank handle of an ADA-compliant toilet must be located on the side of the tank that has the greatest distance from a sidewall. A handle located on the top of a tank typically meets ADA handle location regulations. The height of a toilet bowl from the floor, which includes the seat, is regulated by code. ADA codes dictate that the minimum height from a floor to a toilet seat is 16-1/2”; the maximum is 19-1/2”.
Toilet Piping Locations: The outlet distance of a standard toilet is 12” from the finished wall located behind the toilet (back wall). Lesser used 10” and 14” rough toilets are available in some toilet designs. Typically, one-piece toilets have different water rough-in location requirements than two-piece toilets. When selecting a one-piece toilet, always request the manufacturer’s data sheet, known as a roughin sheet, to confirm the water and drain pipes’ installation locations.
Toilet Bowl Shapes & Seats: Residential toilets have round style bowls. Elongated bowls installed in many homes are usually considered a fixture upgrade. Codes require that an elongated (oval) bowl design be installed in commercial applications. When selecting an elongated bowl in place of a round bowl, be sure to check your local codes pertaining to the
minimum clearance in front of a toilet. Codes require that commercial seats be an open front type and not have a lid.
How To Replace and Install a Toilet
Query \(1\)
Fixing a Noisy Toilet & Other Problems with Fluidmaster
Query \(2\)
Lavatory sink
Also known as a lavatory, lav, or basin. Many types, shapes, and colors are available. Many homebuilders install cultured marble solid surface countertops with pre-molded sink basins, so the plumber does not install a separate sink. Other models of lavatory sinks include drop-in, under-mount, and vessel (similar to bowl setting on the countertop fed by a separate counter mounted faucet), The stub-out piping serving a lavatory is either 1 – 1/4” or 1 -1/2”. Most residential lavatories use a pop-up drain assembly. The overflow drain on a residential lavatory is an integral feature provided by the sink manufacturer.
• Lavatory ADA Requirements: Many lavatories are sold specifically for ADA compliance, but they are used more for commercial applications. ADA requirements require specific codes relating to the countertop height from the floor, the knee space under the sink, and the distances from the side and back walls.
• Lavatory Styles: Lavatory sinks are ordered based on shape, size, color, and mounting requirements, as well as the number of faucet holes and the distance between them.
• One-Piece: Cultured marble or other approved material, incorporates the countertop and sink being formed as one unit.
• Drop-in: A typical residential home utilizes a drop-in style lavatory that is either round or oval. A drop-in type lavatory sink requires a specific size hole cut into the countertop for the particular sink to be installed into the hole.
• Under Counter Mount: Considered an upgrade, under counter mounted sinks attach to the underside of finish grade holes based on templates of the sink in granite, composite, and other hard countertops. While some of these sinks are secured with retaining clip, many rely on modern adhesive caulks to adhere them to the countertop and support their full weight during use.
• Pedestal: A pedestal sink is a wall-hung sink with a decorative vertical leg known as a pedestal. The bowl is supported with brackets that are anchored to pieces of wood installed in the wall framing. The pedestal is not designed to be the sole support of the basin (bowl), but instead conceals the drain piping below the sink while providing a decorative styling.
• Lavatory Faucets: A lavatory faucet installs onto a plumbing fixture with various methods depending on the faucet type and manufacturer’s design. They can be installed in either fixture mount style sinks or deck mount (through the countertop) applications. The standard, and most common, lavatory sink has a 4” hole spread between the hot and cold handles. The term spread refers to the distance between the hot and cold faucet inlets. The two most common handle designs are a single-handle and a two-handle faucet. The middle hole of a three-hole lavatory sink is located in the center in the sink to receive the drainage operating assembly (pop-up) and/or a faucet spout connection.
• Lavatory Drains: The drain assembly for a lavatory faucet is known as a pop-up. The pop-up assembly consists of several different operating pieces that function as one unit. The pop-up rod is inserted through the faucet within the spout and connects to a linkage assembly below the sink that operates the pop-up plunger. All lavatory sink pop-up assemblies are 1 -1/4” tubular size. Most lavatories have an overflow port to eliminate water from rising over the rim of the fixture.
How To Install a Bathroom Vanity
Query \(3\)
Bathtub
Bathtubs are also known simply as tubs. A standard tub in a home is 5-0” in length and averages 30” wide. The depth of water a tub can hold varies with each specific tub design. Some tubs are sold separately, while others are sold with wall kits as a one-piece tub and shower unit or with various whirlpool features. A one-piece tub and shower unit is a fiberglass tub molded with the walls as a single unit. A tub is typically installed during the rough-in phase of a project. However, some drop-in style tubs, whirlpool tubs, and large-capacity garden tubs, are installed on top of tile or other solid surface are installed after the finished surface is complete.
The drain location is typically on one end of the tub that is known as the head wall. This is usually the same wall where the faucet is located and tubs are selected based on a left-hand or right-hand head wall design. The bottom surface of a tub slopes toward the drain. Every tub has an overflow hole (port) where a waste and overflow is installed.
• Bathtub Faucets: A tub faucet is intended to fill a tub. A tub faucet can either be deck-mounted or installed in a wall. Deck-mounted faucets are common for large-capacity tubs and whirlpool tubs. A faucet serving a tub or a shower is commonly referred to as a tub valve. Tub/shower valves can be used for tubs without a shower by installing a plug or cap in the shower riser port.
• Tub & Shower Faucets: A tub and shower combination faucet is capable of providing water for bathing or showering with the use of a diverter. Many different designs are available to divert the water flowing through a tub spout to flow through a showerhead. Diversion methods of a single-handle tub and shower faucet use either a diverter style tub spout or a push button diverter usually located directly below the faucet handle. A three-handle Tub and shower faucet design uses the middle handle as the diverter.
• Bathtub Drains: A bathtub drain assembly is called a bath waste and overflow (BW&O). A bathtub has an overflow port hole and a drain port that are always connected and installed as a pair (usually aligned with each other). Large capacity whirlpool tubs are more likely to have the holes in varying locations than a standard bathtub.
Installing a 1-Handle Posi-Temp Shower Valve: Copper to Copper
Query \(4\)
Installation – Sterling Ensemble Medley
Query \(5\)
Shower
Not part of a tub and shower combination.
• Shower ADA Requirements: ADA-compliant shower bases have a lower or no threshold and a larger square foot area than a typical non-handicap shower base. Many shower designs use a seat within the shower, and most handicap shower designs must have a seat. If a seat is constructed in a tiled shower on a wood floor, the plumber must provide waterproofing (ex: PVC liner) to the seat as well as the shower base. One-piece shower units that have a seat are typically premolded into the design of the shower.
• Shower Faucets: A shower faucet is intended to serve a shower head. Shower faucets and tub valves are interchangeable, however a combination tub/shower valve that does not incorporate an integrated diverter may be used with the tub port plugged or capped.
• Shower Drains: A shower base constructed on a wooden, and sometimes concrete, floor prepared to be covered with ceramic tile requires a safety pan. Most safety pans use a polyvinyl chloride (PVC) liner. A three-piece shower drain is required to ensure that water does not seep around the drain. The threaded top portion is adjustable to allow various tile thicknesses. The middle portion receives the top threaded portion and is bolted to the bottom portion. The bottom portion rests flush with the wood floor and connects the piping to the p-trap.
Oatey Shower Pan Liner Installation
Query \(6\)
Kitchen sink
The most common residential kitchen sinks have either a single bowl or a double bowl. Most kitchen sinks are surface mounted and are installed into a countertop during the trim-out phase of construction. Surface-mounted sinks are also known as self-rimming sinks and typically have holes for installing the faucet directly onto the sink. Solid surface countertops can utilize a sink mounted from under the countertop and incorporate deck mounted faucets. The common types of kitchen sinks used in residential construction are stainless steel and cast iron. The weight of a cast iron sink provides the necessary stability to maintain its permanent position on the countertop and does not require retainer clips when installed with an appropriate adhesive caulk. A plumber applies caulking to the edge of the cutout area of the countertop and places the cast iron sink into the hole. A stainless steel sink requires the sink to be fastened to the countertop using fastening clips provided. A kitchen sink can also serve a garbage disposal and dishwasher
• Kitchen Faucets: A kitchen faucet is usually installed before installing a kitchen sink. A kitchen faucet has a swivel spout that allows the water flow to be used in each bowl of a kitchen sink. The most common type of kitchen faucet requires a sink to have three faucet holes that are 4” apart or 8” from the hot and cold water supply connections to the faucet. Most kitchen sinks are offered as a three-hole design, but many popular faucet designs have a pull-out spout that is also the spray unit. If a separate handheld sprayer is used, a four-hole model sink must be selected. Most pull-out spout faucets are manufactured with an integral check valve. The center hole of a three-hole sink is normally aligned with the center of the sink.
• Kitchen Sink Drains: The drainage system serving a kitchen sink is connected to the fixture with a basket strainer. Regardless of the type or style of kitchen sink, the connection of the drainage system is the same, and all have 1 -1/2” drain connections. A rubber gasket is placed over the basket strainer from under the sink. A fiber (cardboard)-type gasket is placed between the tightening nut and rubber gasket.
Delta Faucets-How to Install a Single Handle Kitchen Faucet
Query \(7\)
Installing a Pfister 2-Handle Kitchen Faucet with a Sidespray – Harbor Collection
Query \(8\)
How-to Install a Stainless Steel Drop-In Sink | Moen Installation Video
Query \(9\)
How-to Install a Stainless Steel Undermount Kitchen Sink | Moen Installation
Query \(10\)
Laundry Sink
Also known as a laundry tray or utility sink. They are typically installed in the same room as a washing machine, or in a garage or workshop. Two most common types of laundry sink
designs are wall mounted, which requires a plumber to install wood backing in the
wall during the rough-in and a hanger bracket installed during trim-out; or with the four legs secured to the floor which requires a drill to install anchors into the floor.
• Laundry Sink Faucets: Laundry tub faucets usually have a 4” spread design and most laundry sink faucets have a swivel spout. Some laundry sink faucets have a hose thread on the outlet portion of a spout to allow a garden hose to be connected. For a hose-end spout to be legally installed, it must have a vacuum breaker to prevent backflow into the potable water supply.
• Laundry Sink Drains: The minimum size drain allowed by code to serve a laundry sink is 1 -1/2”. Most quality types of laundry sink basket strainers have a removable strainer. Because a laundry sink can receive discharge from a washing machine, a removable strainer should be installed.
How to Install the UTILATUB® Laundry/Utility Tub
Query \(11\)
Bidet
A bidet is a personal hygiene fixture that is usually matched in style and color with, and placed adjacent to, a toilet. A bidet’s faucet and drain assembly are sold based on the fixture design and typically sold as a pair with the toilet. The water supply must be protected against backflow with a vacuum breaker assembly. The water supply serving a bidet is typically a 3/8” supply tube similar to a lavatory. The base of a bidet, like a toilet, typically has two mounting holes to anchor the bidet to the floor.
• Bidet Faucets: A bidet faucet must be compatible with the fixture based on the faucet hole design for installing a particular faucet and a vacuum breaker if required. A vacuum breaker is required by code if the hygiene sprayer is located in the bowl area of a bidet because it is below the flood level rim of the bidet.
• Bidet Drains: A bidet’s drain assembly is very similar to a lavatory’s pop-up assembly. Most bidets that use vacuum breakers have a dedicated hole in the fixture while others are served with the backflow device installed in the piping system. | textbooks/workforce/Construction/Building_Maintenance_and_Construction_-_Tools_and_Maintenance_Tasks_(Rutherford)/04%3A_Plumbing_Systems/4.05%3A_Faucets_Fixtures_and_Fixture_Drains.txt |
Appliances are a vital part of a functioning residential dwelling, and some appliances connect to plumbing systems. Some appliances require a plumber to install the piping systems during the rough-in phase of construction, while other appliances are installed by a plumber during the trim-out phase of construction.
Plumbing Connections for Appliances
DRAIN
Garbage Disposal No No No
Dishwasher No Yes Yes
Icemaker Yes No No
Washing Machine Yes Yes Yes
Dishwashers
A plumber normally installs a dishwasher during the trim-out phase of construction, typically at the same time as the sink and garbage disposer. A dishwasher receives hot water from the same water source that serves the kitchen sink. Many codes require that a dishwasher drain hose be routed through an air gap device to prevent wastewater from flowing from the sink into the dishwasher.
The water supply piping to a dishwasher is typically 3/8” OD tubing, with the hot water supply routed from under the kitchen sink. The drain hose from the dishwasher connects to either a dedicated connection of a garbage disposer or tailpiece. A dishwasher has leveling legs that can be adjusted to accommodate the opening height from the floor to the underside of the dishwasher.
Although dishwashers can connect to a kitchen sink drain with a special “Wye” fitting, most dishwashers discharge through garbage disposals at a designated dishwasher connection located on the side of a disposer. If a hose end is not compatible with the garbage disposer, a boot is used for the connection. A rubber dishwasher boot requires a small piece of copper to be inserted into the boot and the dishwasher hose, and then all connections are sealed with hose clamps.
Whirlpool Dishwasher Removal and Installation
Query \(1\)
Garbage Disposers
A garbage disposer is a motorized appliance that is activated manually with electrical current. It has an internal rotating flywheel to shred food waste which is discharged into the drainage system. The horsepower of the motor determines the capabilities of the garbage disposer. The most common HP sizes for residential applications range from 1/3” to 3/4”. A garbage disposer is commonly installed in a kitchen sink with a specially designed mounting assembly where a basket strainer would normally be installed. This multi-piece assembly consists of a sink flange that is inserted and sealed into the sink drain outlet where a basket strainer would normally be installed. The rubber gasket creating the seal between the disposer and the mounting assembly also serves as a noise reduction item. A garbage disposer has a designated port to accept the dishwasher drain hose.
Biodegradable products can be added to a septic tank to stimulate the decomposition of food waste within the septic tank. If a homeowner does not add the biodegradable solution, the food waste will settle to the bottom of the tank.
How to Install / Remove a Garbage Disposal – InSinkErator
Query \(2\)
Garbage Disposal Repair | How to Fix a Garbage Disposal – InSinkErator
Query \(3\)
Reset the Overload Protector on InSinkErator Garbage Disposal
Query \(4\)
Washing Machine Boxes
A washing machine box is used to provide hot water, cold water, and a drain connection in one central location. Most codes also require that the smallest size water supply that can be installed serving a washing machine is 1/2” (5/8”OD). Hose end style valves are integrated into the box’s design to provide hot and cold supply water to the washing machine. Traditional stops with rubber washers are common in residential applications, but 1/4 turn ball valve stops are becoming more commonly used by contractors and over time are more reliable. A typical residential washing machine box is manufactured to be recessed in a wall cavity with a hub to receive 2” plastic pipe because most codes dictate that the minimum size drain that can be installed serving a washing machine is 2”.
Washer Box by Clifford Rutherford is licensed under CC BY 4.0
Icemaker Boxes
A plumber routes the cold water piping to the refrigerator area and installs an icemaker box as the termination point of the potable water supply. The box is installed between two vertical wood studs and near the floor during the rough-in phase of construction. A plumber installs 1/2” pipe to the icemaker box and connects the piping to the angle valve provided with the box. The outlet of the valve that is purchased with the box has a 1/4” OD compression connection to allow the compatible tubing of the refrigerator to connect with the icemaker valve. | textbooks/workforce/Construction/Building_Maintenance_and_Construction_-_Tools_and_Maintenance_Tasks_(Rutherford)/04%3A_Plumbing_Systems/4.06%3A_Plumbing_for_Appliances.txt |
Conventional Water Heating Systems
The most common residential water heater has a 40 or 50 gallon storage tank capacity. They are available in electric, natural gas, and propane (LPG) models. The height and diameter of a water heater varies with the gallon capacity. When selecting water heaters, it is important to know the measurements of the space the appliance will occupy, and to check the water heater manufacturer specifications and codes for space requirements for ventilation, clearances, and other installation requirements. The shorter versions water heaters are known as a “low-boy”. that can fit in closet spaces or under stairs, or as a “squat” water heater that can fit under countertops. Squat water heaters are generally offered in electric configurations ranging from 5 to 40 gallons, and gas is not used due to ventilation and carbon monoxide concerns.
All water heaters must be installed per local codes and manufacturer instructions:
• An isolation valve must be installed on the cold water piping near the inlet.
• A typical residential water heater has 3/4” male or female threaded water supply connections.
• Most codes dictate that any water heater located above a finished area must be installed in a safety pan.
• Most relief valve connections of a residential water heater are 3/4” female and require a plumber to install a 3/4” male adapter.
Electric Water Heaters
An electric water heater only requires a plumber to connect the hot and cold water piping from the rough-in stub-outs to the designated inlet and outlet connection. They do not require venting or gas piping and are less expensive to purchase. Most codes allow the safety pan for an electric water heater to be plastic due to the lack of heat generated externally from the water heater in comparison to gas fired models.
A standard residential electric water heater is classified as a 240-volt, 4500-watt, non-simultaneous water heater. Models with faster recovery rates may have higher wattage elements. The higher the wattage rating, the faster a water heater can heat water. Although most electric water heaters have two elements, each rated at 4500 watts, a non-simultaneous heating cycle has only one of the elements operating at a time. Each wire providing electricity to a water heater is known as a leg. The two different wires (legs) that connect to the high-limit device are identified as line voltage one and two. One wire eventually provides 120 volts of electricity to one side of a heating element and the second wire eventually completes the circuit by providing an additional 120 volts to the same element.The screws that secure the wire connection to the electrical devices are known as terminations, poles, or posts.
No water heater should ever have the ignited gas or electricity energized before filling the system with water and removing all trapped air from the system.
Electric Water Heater Components and Their Functions
Temperature and Pressure (T & P)Relief Valve- Electric, gas & solar applications, relieves at150 psig and/or 210° F. (Temperature (only) relief valves are used on the rooftop collector panels of solar water systems).
Mythbusters- water heater
Query \(1\)
Dip Tube- As heat rises, and the outlet supply of hot water to the fixtures feeds from the hottest point at the top of the water heater, manufacturer install a device known as a dip tube into the cold water connection of a top-fed water heater to route the incoming cold water to the bottom of the heater. If a dip tube were not used, the incoming cold water would mix with the hot water located in the top of the water heater, cooling the exiting water during use.
Drain– Used to flush the water heater’s storage tank during maintenance.
Ball valve- Used to shut off the supply water to the tank.
Mixing Valve- Allows cold water to enter hot water stream to temper over-temp water to prevent scalding. Mixing valves are normally required to be installed on solar water heating systems as temperatures can potentially reach in excess of 160°.
Tank Anode Rod- A residential water heater storage tank is manufactured with carbon steel, with most common residential water heaters incorporating a very thin coat of porcelain enamel called a “glass” lining, designed to fill every internal crevice created by the manufacturing process of the tank, to prevent the carbon steel tank from corroding. However, over time, this lining breaks down and the steel tank begins to corrode. An anode rod is a sacrificial device that dissolves (corrodes) over a period of time. An anode rod is installed by the manufacturer to prevent from rusting and corrosion of the inside of the tank due to glass lining imperfections or minor damage during shipping and handling. Magnesium-based and aluminum rods are more vulnerable to rust and minerals that would normally attack the steel walls of a tank and attract corrosives to attack the anode rod instead of the tank.
New versus Expended Anode Rod by Cory Early is licensed under CC BY 4.0
Top Access Cover– The thermostat and the red button are located in here. The upper heating element is also found here.
Bottom Access Cover– The lower thermostat and heating element are located here.
Upper Thermostat– Limits the temperature that the element will heat the water up to. Both, upper and lower, thermostats are secured in place and held against the surface of the tank with a retainer clip, keeping the thermostat in contact with the external portion of the storage tank. Most safety standards do not allow a plumber to set the temperature above 120 degrees Fahrenheit to prevent scalding. The upper thermostat of a seven-pole design only has three posts. This three-post design combined with the four posts of the high limit switch is how the seven-pole design is recognized. The upper thermostat has a temperature setting feature that is typically either identified alphabetically from A through D, or identified as warm, hot, and very hot.
Replacing Upper Thermostat
Query \(2\)
Lower Thermostat- The lower thermostat only has two posts and numbered 1 and 2. It also has a temperature setting feature that is the same design as the upper thermostat. Like the upper thermostat, lower thermostats can be adjustable and have similarly marked adjustment points.
Hi-Limit Device (Red Button Over Temperature Thermostat)– The high-limit device halts the electrical current to the thermostats and elements if an unsafe water temperature is present. Most high-limit devices have a reset button designed to pop out if the temperature reaches 190°. These devices can be reset once the temperature of the tank cools below the “pop-off” temperature.
Heating Element- Elements convert electrical energy to heat energy and transfer heat to the water in the tank. They are rated in watts and selected for tanks according to tank size and recovery rate. Residential electric water heating elements are usually a screw-in type, but bolt-in types are used for certain water heater models. The elements can vary in length, with 12” being the typical length provided by a manufacturer in most water heaters. The electrical voltage and wattage ratings of the element are indicated by a manufacturer on the element so its identification of replacement parts specifications is available on the exterior.
Lined and Dielectric Pipe Nipples- Many water heaters are manufactured with pipe nipples that are lined with corrosive-resistant material such as PEX. These pipe nipples are manufactured to resist corrosion due to electrolysis from joining dissimilar metals to the iron tank (copper to iron = rust). Brass pipe fittings can also be used between iron pipe fittings and copper to resist electrolysis. A plumber must take precautions when connecting copper tube to a lined nipple as heating the lining of the pipe nipple directly with a torch or by connecting a fitting that has been soldered and not allowed to cool can melt the internal lining of the nipple. Brass to copper unions provide the same benefit in non-concealed applications.
Expansion Tank- Every water heating system must be protected against dangerous occurrences that exist when water is heated. As a heating cycle occurs, water expands and can cause the pressure relief valve to begin dripping. Expansion tanks are installed, mainly in solar water systems, to absorb the expansion of a system. An expansion tank used for a potable hot water system has an internal rubber membrane known as a bladder. Most codes require that an expansion tank be installed near a water heater to protect the piping system from high pressure caused by the heating cycle.
Gas Water Heaters
Natural gas and propane (LPG) are the two types of gas used for water heating. A water heater designed for natural gas cannot be used with propane unless the particular water heater can be converted. The internal gas regulating orifice is different for each type of gas. The venting requirements of a gas water heater are dictated by code. The exhaust fumes from a gas water heater contain carbon monoxide. Carbon monoxide fumes are odorless and can kill occupants of a home or building. Conventional gas water heaters are vented atmospherically, that is, to the exterior of the building. Atmospheric water heater venting must terminate in specific locations through, and heights above a roof. Gas water heaters must have adequate space around the water heater and replacement air to create proper draft conditions that allow the fumes to be exhausted to the exterior of the building. If adequate air is not provided in the room where an atmospheric vented water heater is located, the exhaust fumes could enter the occupied space.
Selecting a gas water heater based on its capabilities requires manufacturer’s specifications for the specific appliance and knowledge of the load demand. The recovery rate is the most important aspect of determining if a certain gas water heater is capable of being installed for a specific home or use. Gas water heaters are rated by the gallons of hot water they can produce. One British Thermal Unit (BTU) is the amount of heat required to raise one pound of water by one degree Fahrenheit. One gallon of water weighs 8.33 pounds, and 8.33 btus are required to raise the temperature of one gallon of water by one degree Fahrenheit. Temperature rise is the difference between the incoming cold water and the desired temperature expected from a water heater. Temperature rise determines the capabilities of a certain Btu rating of a gas water heater. A length of time is used to clarify the recovery capabilities of a gas water heater, and gallons per hour (gph) is the most common method used in rating a hot water heater.
• Codes vary pertaining to the gas supply connections and venting regulations.
• A gas water heater uses a metal safety pan.
• The gas supply configuration is fairly consistent with most residential water heaters: black iron pipe or approved polyurethane tubing, brass fittings, gas-cock, flex supply line, and regulator
Gas Regulators
A gas regulator is an automated device that controls the gas flow to a burner assembly. The gas supply pipe is connected to the gas regulator which regulates the flow of gas to the burner A thermocouple must sense a pilot flame in order to allow the gas to flow through a gas regulator. The design of a gas regulator is based on safety, and most codes do not allow anyone not certified to repair a gas regulator to disassemble one for repair. Another feature of the regulator is to control the gas flow to a pilot flame. The gas regulator for a residential gas water heater typically has a 1/2” female threaded connection.
How to Relight a Gas Water Heater Pilot Light
Query \(3\)
Tankless Water Heaters
A tankless heater design can be suitable for many residential applications. Water flow is regulated to ensure that the desired temperature leaves the heater. They are becoming more desirable and are considered environmentally friendly. Tankless models are also known as an instantaneous water heaters.
The two basic types of tankless water heaters are interior or exterior, defining whether the installation location is inside or outside of the building structure. Tankless water heaters are available in electric models for interior applications. Tankless water heaters can be installed inside or outside a building, but units installed outside must be gas. The units are not interchangeable. Interior units require venting of the flue gas and exterior units may require freeze protection in certain climates.
Solar Water Heaters
Although a solar thermal water heating system can save a residence up to a 40% savings on utility bills, the initial investment to install a solar water heating system may deter many homeowners. Federal, and sometimes state, tax credits are available for installing alternate energy systems and utility savings over time are a good return on investment (ROI).
Solar water systems use solar collector panels, usually mounted on the roof to heat the system water. When the temperature of the water in the collector reaches a specific higher temperature than the water in the tank, a pump circulates the cooler water from the tank which pushes the hotter water in the roof panel back into the tank until the temperature of the panel and the temperature in the tank are equal.
The location and angle of the solar panel (orientation and tilt for optimal sun exposure) is crucial to obtaining optimal efficiency of the entire system. Most solar systems are directly connected to gas or a single electric heating element to provide adequate hot water during non-solar heating periods.
Diagnosing Common Water Heater Problems
Water heaters should be flushed annually to remove contaminates and scale from the tank. Anode rod should be inspected every 2 years and replaced approximately every 5 years, or sooner if conditions show significant corrosion of the rod. Troubleshooting gas and electric water heaters must be performed by qualified individuals. Basic electrical knowledge must be known to safely troubleshoot an electric water heater, and a plumber must have an electrical voltage/amperage meter to diagnose and service an electric water heater. Always remember that a water heater must be always be filled with water before igniting the gas supply or electrically energizing the system and only a certified technician can repair gas regulators.
Electric Water Heater Diagnostics
SYMPTOM POSSIBLE CAUSE POSSIBLE SOLUTION
No hot water No electricity from
source
Check breaker
No hot water Electrical problems with
thermostats
Test and replace appropriate thermostat/s
No hot water Failed heating
element(s)
Test and replace appropriate element/s
Little hot water Dip tube failure Inspect dip tube and replace if necessary
Little hot water Lower thermostat or element failure Replace lower thermostat and/or element
Little hot water Thermostat/s failure Test and replace appropriate thermostat/s
Water too hot Thermostat/s failure Test and replace appropriate thermostat/s
Rest button tripped Water too hot Test and replace appropriate thermostat/s
Rotten egg smell of
water
Expended anode rod Inspect and replace
Popping noise when
heating
Scale build-up on
element(s)
Replace element(s)
Water Heater Not Heating? Thermostat Testing
Query \(4\)
Heating Element Diagnostic Procedure
1. Switch off the power to the water heater at the main electrical panel.
2. Locate the electrical access panels, one near the base of the tank and one nearer the top (solar water systems only have one back-up element and thermostat located in the upper access). Beginning with the top element, remove the panel’s screws with a screwdriver. Take off the panel and remove insulation behind it to uncover the heating element.
3. Disconnect either of the two electrical wires screwed into the element terminals. It is not necessary to disconnect both wires to test the element.
4. Set the multimeter or Ohmeter to read Ohms, and set the scale to RX1. Touch one probe to each of the two terminal screws. If the needle moves at all, or if there is any reading besides “infinity” on a digital readout, the element is good. If it doesn’t move, or displays “infinity,” no electricity is flowing through the element and it should be replaced.
5. Complete replacement or repairs as necessary. Reconnect the wire to the element terminal. Replace the insulation and reinstall the access panel.
6. Repeat the process on the bottom element. Restore power to the water heater from the main electrical panel.
How to Replace an Electric Water Heater Heating Element
Query \(5\)
Gas Water Heater Diagnostics
SYMPTOM POSSIBLE CAUSE POSSIBLE SOLUTION
No gas to pilot No gas from meter or gas cock Turned off at meter or gas cock
No gas to pilot No gas from regulator Debris in regulator. Clean or replace defective regulator
No gas to pilot Faulty regulator Replace regulator
No gas to pilot Crimped pilot tube Repair or replace tube
No gas to pilot Leak in pilot tube Replace tube
No pilot flame No gas flow from regulator Debris in regulator. Clean or replace defective regulator
No pilot flame Defective thermocouple Replace thermocouple
No pilot flame Air in gas piping Purge air from piping
No gas to burner Defective regulator Replace regulator
No gas to burner Crimped burner tube Repair or replace burner tube
No gas to burner Blockage in burner tube Remove tube and clean
No gas to burner Remove and clean Run water to cool tank
No gas to burner Defective high-limit device Replace device or regulator
Temperature and Pressure (T&P) relief valve leaking Water is too hot Run water to cool tank
Temperature and Pressure (T&P) relief valve leaking Defective relief valve Replace relief valve
Temperature and Pressure (T&P) relief valve leaking Excessive pressure Install expansion tank
Temperature and Pressure (T&P) relief valve leaking Excessive pressure Check pressure regulator valve to system supply
Low water temperature Thermostat set too low Adjust temperature setting on thermostat
Low water temperature Dip tube failure Inspect and replace if necessary
Low water temperature Defective thermostat Test and replace appropriate thermostat/s
Slow recovery time Sediment in tank Drain and flush tank
Slow recovery time Dirty burner assembly Clean burner assembly
Slow recovery time Poor flame Adjust burner air supply
Slow recovery time Poor flame Supply more combustion air
Not enough hot water Insufficient size heater Calculate demand load and replace with an appropriate sized water heating system
Not enough hot water See low water temperature and slow recovery symptoms See low water temperature and slow recovery symptoms
Popping / banging noises Calcium or sediment build up Drain and flush tank
Banging noise Check valve slamming when a faucet or valve is being opened or closed Install a shock absorbing device
Fume odor Poor draft on flue system Examine flue pipe installation and ensure termination location provides sufficient draft
Gas odor Leak on piping system Soap test all piping joints and supply lines for leaks and repair as required
Soot build up Poor draft on flue system See fume odor, install a draft hood fan
Soot build up Insufficient combustion air Install air supply ducts or vents
Soot build up Poor burner flame Clean and adjust burner
Flame back flash Negative air pressure Isolate heater air | textbooks/workforce/Construction/Building_Maintenance_and_Construction_-_Tools_and_Maintenance_Tasks_(Rutherford)/04%3A_Plumbing_Systems/4.07%3A_Water_Heating.txt |
Electrical Shock
Electricity flows along a circuit that consists of a power source, a load, and conductors. The human body can become a conductor and a part of the electric circuit which can result in electrical shock. Exposure to electrical energy may result in no injury at all or may result in physical and/or neurological damage or death. An minor electrical shock may cause muscle pain and may trigger mild muscle contractions or startle people, causing a fall. However, high resistance contact may cause dielectric breakdown at the skin, lowering skin resistance, causing surface damage, but more often tissues deeper underneath the skin have been severely damaged. Electric shocks can paralyze the respiratory system or disrupt heart action, causing instant death.
The outcome of an electrical shock depends on several factors that are determined by the relationship between current, voltage, and resistance, also known as Ohm’s Law.
Ohm’s Law
Voltage or Electrical Force (V)
Amperage or Current Flow (I)
Resistance or Ohms (Ω or R )
Current=Electrical Force/Resistance or I=V/R
Exposure Conditions play an important role in the extent of injuries sustained as a result of electric shock. These factors include:
• Duration- The longer a human body remains part of an electrical circuit, more tissue and neurological damage can occur.
• Pathway- Electricity is always seeking the path of least resistance to ground. If both hands of a person are part of the pathway, the current has more potential to affect the heart resulting in ventricular fibrillation. If the current chooses another path such as hand-to-foot, tissue and internal organ damage still may occur.
• Humidity/Saturation- Electricity can easily flow through water or moisture in the air. Humidity also can effect how much a body sweats, which can lower a persons resistance to electrical current.
• Skin Condition- The human body’s resistance to current is affected moisture content:
• Dry Skin- 100,000 to 500,000 ohms of resistance
• Perspiring (sweaty hands)- 1000 ohms of resistance
• In Water (completely wet)- 150 ohms of resistance
Amperage Kills
Current Effect
<1 Milliampere No sensation
1 Milliampere Tingling sensation
5 Milliamperes Slight shock felt
6 to 30 Milliamperes Definite shock
Could cause muscle contraction causing you to hang on
50 to 100 Milliamperes Painful shock
Breathing can stop
Severe muscle contractions
Possible death
1000 to 4300 Milliamperes Ventricular fibrillation
Respiratory paralysis
Possible death
10,000 Milliamperes Cardiac arrest
Severe burns
Probable death
Example:
A worker is using a faulty 120 volt tool on a hot and humid day and is sweating heavily. The worker’s body resistance is approximately 1,000 ohms.
Using Ohm’s law:
• Current = 120 volts / 1,000 ohms.
• Current = 0.12 amps or 120 mA.
According to the above table, this amount of current will cause a painful shock, the workers’s breathing may stop, there will be severe muscle contractions, and death is possible.
Arc Flash and Arc Blast
Arc-Flash-Arc- Flash burn can occur when an electrical equipment malfunction causes an extremely high temperature area around the arc that can reach as high as 35,000 degrees Fahrenheit. Electrical burn can also occur any time an electrical current flows through bone or tissue.
Arc-Blast- When an arc occurs, a blast causes molten metal to be thrown through the air and onto the skin or into the eyes. The speed of the molten metal in an arc-blast is estimated at approximately 700 mph.
Donnie’s Accident Story
Query \(1\)
Lockout-Tagout
Lock Out & Tag Out Code Book by Gwen Arkin is licensed under CC BY 4.0
Lockout-tagout is a safety procedure used in industry settings to ensure that dangerous machines and circuitry are properly shut off and not started up again prior to the completion of maintenance or service work. It requires that hazardous power sources be “isolated and rendered inoperative” before any repair procedure is started. “Lock and tag” works in conjunction with a lock securing the device or the power source with the hasp, and placing it in such a position that no hazardous power sources can be turned on. The procedure requires that a tag be affixed to the locked device indicating that it should not be turned on.
When two or more subcontractors are working on different parts of a larger overall system, the locked-out device is first secured with a folding scissor-like clamp that has many padlock holes to hold it closed. Each subcontractor secures their own padlock to the clamp. The locked-out device cannot be activated until all workers have signed off on their portion of the project and removed their padlock from the clamp. A lock selected by color, shape or size (e.g. red padlock) is used to designate a standard safety device, locking and securing hazardous energy. No two keys or locks should ever be the same. A person’s lock and tag must not be removed by anyone other than the individual who installed the lock and tag unless removal is accomplished under the direction of the employer.
• Identify the energy source(s)
• Isolate the energy source(s)
• Lock and Tag the energy source(s)
• No keys alike
• May only be removed by the installer
• Prove that the equipment isolation is effective
Electrical Systems and Testing Terminology
• Continuity- presence of a complete path for current to flow.
• Resistor- implements electrical resistance as a circuit element. In electrical circuits, resistors are used to reduce current flow, adjust signal levels, and to divide voltages.
• Fixed value- have a single value of resistance.
• Potentiometer- provides variable resistance by adjustment.
• Open Circuit- has intended interrupted path.
• Closed Circuit- has a complete path.
• Short Circuit- unintended path between two conductors.
• Ground Fault- unintended path to ground.
• Arc Fault- Normal when motor brushes spark and at receptacles when plugging in appliances and equipment that are in the “on” position.
• Series- conductor is series with load is unintentionally broken.
• Parallel- caused by short circuit or ground fault.
General Safety Rules for Electrical Maintenance Technicians
• Safety glasses, goggles, or face shields must be worn any time a hazard exists that can cause foreign objects to get in your eyes from the front or the sides.
• Head protection must be worn whenever there is a potential for objects to fall from above, for bumps to your head from objects fastened in place, or for accidental contact with electrical hazards.
• Hand protection must be worn any time your hands are exposed to a potential hazard.
• Do not wear clothing with exposed zippers, buttons, or other metal fasteners.
• Remove rings, wristwatches, and any other metal jewelry before beginning work.
• Make sure that tools used on energized electrical equipment are nonconductive and have the proper voltage rating.
• Install all electrical wiring according to the current NEC® codes.
• Work with a buddy. Avoid working alone.
• Always turn power off and lock it out before working on any electrical circuits or equipment.
• Never cut off the grounding prong from a three-prong plug on any power extension cord or from a power cord to any piece of equipment.
• Do not defeat the purpose of any safety devices such as fuses or circuit breakers.
• Do not open and close switches under load unless absolutely necessary.
• Assume all electrical equipment to be “live” and treat it as such.
Non-Energized Testing
Never test an energized circuit when individual components of the circuit can normally be tested by other means. Most electrical components and pathways of electrical systems can be individually tested for continuity and resistance.
Insulated Tools
Insulated tools are designed for safety and are rated for live use up to 1000 VAC or 1500 VDC. They must be tested at 10 times that value (more than 10,000 V). Insulated tools should be used and stored differently from conventional, non-insulated tools. When being used, they should be kept isolated from other tools, including other insulated tools, to prevent them from getting scraped or nicked. They should be inspected prior to each use and discarded or tested by a reliable authority if damage is suspected.
• Tool Rating: 1000 VAC or 1500 VDC
• Glove Rating: Tested: 20000VAC/50,000V DC., Max Use:17000VAC/25500V DC | textbooks/workforce/Construction/Building_Maintenance_and_Construction_-_Tools_and_Maintenance_Tasks_(Rutherford)/05%3A_Electrical_Systems/5.01%3A_Electrical_Safety.txt |
While most all of the tools introduced in previous sections of this book can be used to perform many electrical maintenance tasks, other tools, some especially specific to the electrical trades, will be introduced in this section.
Electrical Tools
Query \(1\)
Electrical Meters and Testers
• Direct Current (DC)- DC is an electric current that is uni-directional, so the flow of charge is always in the same direction.
• Alternating Current (AC)- Alternating current changes its direction of flow at a specific frequency known as its’ Hertz (Hz) rating. In the United States, AC current changes 60 times per second or a rate of 60 Hz. In Europe the rating for AC current is 50 Hz
• Continuity- A complete pathway for current to flow.
• Polarity- Refers to the north and south poles of magnetic fields. Direction of flow of the current in DC circuits. Referred to as positive and negative.
Query \(2\)
Meter Safety
• Make sure the meter you are using has a rating equal to or exceeding the highest value of electrical quantity you are measuring.
• Always wear safety glasses when using test and measurement instruments.
• Wear rubber gloves when testing or measuring “live” electrical circuits or equipment.
• Keep your clothing,hands, and feet as dry as possible when taking measurements.
• Never work on energized circuits unless absolutely necessary.
• Don’t work alone, especially on “‘live” circuits.
• If you must take measurements on energized circuits, make sure you have been properly trained to work with “live” circuits.
• Recalibration is necessary from time to time to bring a meter back to its intended level of accuracy.
Meter Care
• Handle all meters with care; they are fragile, sensitive instruments.
• Keep the meters clean and dry.
• Don’t store analog meters next to strong magnets; magnets can cause the meters to become inaccurate.
• Don’t expose meters to large temperature changes.
• Make sure you know the type of circuit you are testing (AC or DC)
• Never let the value being measured exceed the range of the meter.
• Multimeters and ohmmeters will need to have their batteries changed from time to time.
• Many meters have fuses to protect them from exposure to excessive voltage or current values.
• Re-calibrate measuring instruments once a year.
5.03: Electrical Terminology and Lighting
Terminology
Ground- is a safety conductor with a low impedance path to earth. It is often called the “ground wire” or safety ground. It is either bare or has green insulation.
Hot- is any conductor connected that has electric potential relative to electrical ground or neutral. In 110/220 volt systems this conductor is either black or red, and in some instances, blue. The hot conductor terminates on brass colored terminals.
Neutral- is also called the “grounded conductor” and is represented by the white insulated conductor. It will terminate on the silver terminal (longer slot on a receptacle face) of receptacles, and at the neutral bus bar in circuit breaker panels.
Leg-, as in “hot leg”, refers to one of multiple hot conductors in a circuit. Example: 240 volt circuits feature a neutral and two hot legs, 240 V to each other, and 120 V each to the neutral.
Line- is the “in” side of the device where the wires from the panel (or other equipment feeding the device) are connected.
Load- is the “out” side of the device where any items that are to be serviced by the device are connected.
Hard-wire- refers to directly wiring to an appliance’s terminal block or by wire nuts in a junction box instead of attaching it by using a receptacle and cord/plug assembly.
Ground Fault Circuit Interrupter (GFCI)- Disconnects a circuit when it detects that the electric current is not balanced between the energized conductor and the return neutral conductor. Could be caused by current leakage through the body of a person who is grounded and accidentally touching the energized part of the circuit.
Lighting
Luminaire
A luminaire is a complete lighting unit consisting of a lamp or lamps together with the fixture (parts designed to distribute the light, to position and protect the lamps and ballast (where applicable), and to connect the lamps to the power supply). The overall performance of a lighting system is a combination of the quantity and quality of light the lamps produce. Light output is measured in lumens. The amount of energy used by a lamp type is measured in watts. Efficacy is an indicator of performance which is rated in LPW (lumens per watt). The higher LPW, the more efficient the light source is.
Lighting Fixtures
Lighting fixtures are designed to meet a variety of applications and aesthetic requirements. Each fixture comes with specific installation instructions provided by the manufacturer that should be red prior to installing the lighting fixture. Some can be both wall and ceiling mount, wile other fixtures may be designed for only one method or the other. Each fixture also comes with labeling listing installation restrictions pertaining to location, mounting requirements, and wiring methods. Always connect fixtures to the electrical system with the proper polarity.
Common information found on a lighting fixture label:
• For wall mount only or ceiling mount only
• Maximum lamp wattage
• Lamp type
• Suitable for operation in an ambient temperature not exceeding ____°F (°C).
• Suitable for use in suspended ceilings, damp locations, and/or wet locations.
• Suitable for mounting on low-density cellulose fiberboard.
• For supply connections, use wire rated at least ____ °F (°C).
• Thermally protected.
• Type *Non-IC or **Type IC (common to recessed ceiling fixtures that are often called “can” fixtures)
*Type NON-IC- Installed so the insulation is no closer than 3″ (75 mm) to any part of the fixture.
**Type IC- Designed to be in direct contact with thermal insulation.
Lamp Types
Light is the visible portion of the electromagnetic spectrum. Lamp manufacturers are concerned with three factors: color temperature, color rendering, and lamp efficacy.
Color temperature of a light source is a measurement of its color appearance measured in degrees Kelvin (°K). Light at higher-temperature wavelengths (blue and white) is referred to as “cool”, whereas light from lower-temperature wavelengths is referred to as “warm”. These descriptions have nothing to do with temperature, but with the way the colors appear. Warm light sources are commonly used for residential applications because they make colors appear more natural and vibrant.
Incandescent- Relies on the resistance of a tungsten filament to create light. Least efficient as it produces more heat than light. Standard household incandescent bulbs are being phased out of production.
Florescent-Requires a magnetic or electronic ballast to provide voltage surge required to start the lamp and current control that allows the lamp to operate efficiently. Consists of a tube filled with inert gas like argon or krypton, and small amount of mercury. Electrons emitted from cathodes strike particles of mercury vapor, producing ultraviolet radiation causing a phosphor coating on the inside of the glass tube to glow and produce light energy. More efficient than incandescent lighting.
Compact Florescent- These bulbs were developed to save up to 75% in energy cost and last 10 times longer than incandescent models. CFLs have heavy metal environmental disposal concerns to include lead, zinc, copper and mercury.
Light-Emitting Diode (LED)- LEDs offer energy savings of 80% to 90% over incandescent lamps with a reported operating life of up to 100,000 hours. They are offered in most all bulb sizes and base configurations. | textbooks/workforce/Construction/Building_Maintenance_and_Construction_-_Tools_and_Maintenance_Tasks_(Rutherford)/05%3A_Electrical_Systems/5.02%3A_Electrical_Tools_and_Testing_Equipment.txt |
Conduit
Raceways are defined as enclosed channels of metal or nonmetallic material designed expressly for holding wires or cables. Branch-circuit installation using a raceway (conduit) wiring method is seldom used in residential wiring. However, some areas of the country require that all wiring in a house be installed in a raceway wiring method. Raceways should be installed as a complete system and be securely fastened in place and supported by an approved retainer.
Use individual conductors when installing a circuit in a raceway wiring method. It is common wiring practice to install a green insulated equipment grounding conductor in every raceway. Electric codes have specific requirements for wiring in different types of conduit that include allowable fill rates that vary depending upon wire size and insulation type.
The following conduits are used primarily in light to heavy commercial application and are listed here for your reference:
Rigid metal conduit (RMC)– RMC is generally made of steel with a protective galvanized coating. It is a threadable raceway designed for the physical protection and routing of conductors and cables and for use as an equipment grounding conductor when installed with appropriate fittings. It can be used in all atmospheric conditions and forms of occupancy. Requires pipe and thread cutting specialty tools.
Intermediate metal conduit (IMC)– IMC is a thinner-walled version of rigid metal conduit and can be used in all locations in a house where rigid metal conduit is permitted to be used. It can be used as an equipment grounding conductor when installed with associated couplings and appropriate fittings. Requires pipe and thread cutting specialty tools.
Raceways used in residential wiring include:
Query \(1\)
EMT Conduit Bending
Bending conduit is a skill that improves with practice. The most common electrical conduit installed in houses is EMT and, for this reason, the discussion that follows on conduit bending will focus on EMT. The bending techniques described may also apply to the other types of circular metal raceways.
EMT is bent in the field using either a hand bender, a hydraulic bender, or an electric bender. Bend sizes 1/2″ through 1-1/4″ are usually formed with a hand bender. A hydraulic or electric power bender is generally used for larger sizes. Since most EMT installed in houses will be 1/2″, 3/4″, or 1″ trade sizes, we will focus on bending with a hand bender.
When making a bend using a hand bender:
• Wear safety glasses and observe all applicable safety rules.
• Bend on a flat surface that is not slippery.
• Mark the locations on the conduit where you wish to make the bends clearly and accurately.
• Apply heavy foot pressure on the foot pedal to keep the conduit tightly in the bender.
• When making multiple bends on the same pipe length, keep all bends in the same plane.
IDEAL Hand Conduit Benders
Query \(2\)
IDEAL Benders How To Bend a Stub
Query \(3\)
IDEAL Hand Conduit Bender How to Make a Back to Back Bend
Query \(4\)
Conduit Bending Basics 3 Bend Saddle
Query \(5\)
Boxes
Electrical Boxes by Gwen Arkin is licensed under CC BY 4.0
Electrical boxes have many mounting options that range from configurations designed to be nailed or screwed to framing members or blocking, to models for remodeling (called an “old work” box) that attach to the sheetrock that encloses a wall pocket.
Device Boxes- are used to install receptacles or switches at specific locations on an electrical circuit. Standard box openings are approximately 3″ x 2″ with a depth that ranges from 1-1/2″ to 3-1/2″.
Outlet Boxes- are used when installing lighting fixtures in a ceiling or on a wall and when connecting small or large appliances. They are larger than a device box and provide more room for different wiring situations. Outlet boxes are offered in round, octagon, or square shapes.
Junction Boxes (J-Box)- These are used when several conductors are spliced together at a point on the wiring system. The NEC® requires junction boxes to be accessible after installation without the finish of a building having to be altered. Junction boxes must always be covered.
Heavy Load Boxes- Specifically designed and tested to support heavier loads. Used for heavier loads such as ceiling suspended paddle fans. Heavy load boxes can be manufactured with metal or nonmetal material.
Metal Boxes
A metal device box often includes the capability of having the sides of the box removed and the boxes ganged together to make a box that can accommodate multiple devices. The most common metal device box size 3″ x 2″ x 3-1/2″. Another type of metallic device box recognized by the NEC® is the “handy” or “utility” box. This type of box is primarily used for surface mounting and can accommodate one device such as a receptacle or switch.
Nonmetallic Device Boxes
Nonmetallic boxes are usually made of PVC, phenolic, or polycarbonate. The specific advantages of using these boxes include that they are lightweight, strong, very easy to install, and inexpensive. Most all nonmetallic boxes are wired using a nonmetallicsheathed cable wiring method. Nonmetallic boxes are offered in single-gang, two-gang, three-gang device box, and fixture mounting styles.
PVC Conduit Boxes
Although PVC boxes are designed and used for glue-up assembly, some models have female threaded fittings to accommodate a variety of threaded connectors.
Wires (Conductors)
Conductors in residential wiring are usually installed in a cable assembly. They are made of copper, aluminum, and copper-clad aluminum. Copper is preferred because of its great ability to conduct electricity, its strength, and its low instance of problems over the long term.
Conductors are sized according to the American Wire Gauge (AWG). Conductors used in residential wiring typically range in size from 14 AWG to 2/0 copper. The larger the number, the smaller the conductor. The smaller the number, the larger the conductor. Conductor sizes larger than 4/0 are listed in kcmil (1000 circular mils).
Ampacity is the current in amperes that a conductor can carry continuously under the conditions of use without exceeding its temperature rating. A residential electrician or maintenance technician must be able to choose the correct conductor size based on the ampacity needed for each circuit they are working with. The ampacity of a conductor depends not only on the diameter size of the conductor, but also on the length of the conductor, and what insulation type the conductor has.
Stranded Wire vs Solid Wire by Gwen Arkin is licensed under CC BY 4.0
THHN and THWN are codes for the two most common types of insulated wire used inside conduit. These types of conductors are often used in conjunction with flexible conduit in unfinished areas, such as basements and garages, and for short exposed runs inside the home, such as wiring connections for garbage disposers and hot water heaters. They are also used in solid material conduit branch circuits. The letters indicate specific properties of the wire insulation:
T: thermoplastic
H: heat-resistant; HH means highly heat-resistant
W: rated for wet locations
N: nylon-coated, for added protection
Solid Core VS. Stranded Wire- While solid wire consists of a single metal core, while a stranded wire is composed of numerous thinner wires twisted together into a cohesive bunch. Both types of wire are appropriate for commercial and residential installation, however each has particular advantages and disadvantages that lead to the choice of one over another for each particular application.
USE SOLID WIRE STRANDED WIRE
Protection against corrosion YES NO
Outdoor use YES NO
Price advantage YES NO
Where flexibility is important NO YES
Repetitive motion NO YES
Wire Color and Use
Color choice for the insulation of the conductors installed in a raceway depends on the type of circuit it serves.
• For a 120-volt branch circuit, use a white insulated wire and a black insulated wire.
• For a straight 240-volt circuit (like an electric water heater), use two black conductors or a black and a red conductor.
• If the circuit is a 120/240-volt circuit (like an electric clothes dryer), run a white insulated wire, a black insulated wire, and a red insulated wire.
The NEC® requires that each conductor be color coded to indicate the function that it performs in a circuit.
Black– Used as an ungrounded or “hot” conductor and carries the current to the load in 120-volt circuits.
Red– Also used as an ungrounded or “hot” conductor and carries current to the load in 120/240-volt circuits like an electric clothes dryer circuit.
White– Used as the grounded circuit conductor
– Returns current from the load back to the source
– Called “neutral” conductor, but only true “neutral” when used with black and red wire in multi-wire circuit
Bare– Used as equipment grounding conductor that bonds all non-current carrying metal parts of a circuit together; never carries current.
Green (can be green with yellow stripes)– Used as an insulated equipment grounding conductor; never carries current.
Conductor Installation
Conductors are usually pulled into the conduit, but in shorter runs between electrical boxes conductors they may be pushed through the raceway. Conductors are taken off spools in a way that results in the conductors coming off the spools easily and not becoming tangled with each other. One of the easiest ways to do this is to use a wire cart that allows several spools of wire to be put on at one time.
If the length of conduit between boxes is fairly long, use a fish tape. If the conduit already contains wires, be sure the circuits that supply them are de-energized. Pull the fish tape out of its reel. Insert it into a raceway and push it through until it comes out at a box location. The fish tape will have a hook on the end of it. Attach the conductors to the fish tape end. While one person pulls the conductors slowly off the spools, another person will pull the fish tape with the attached conductors back through the raceway.
Klein Tools Laser-etched Fiberglass Fish Tapes
Query \(6\)
If the length of a conduit run is longer than the length of your longest fish tape, another technique can be used. One technique uses a vacuum/compression device to blow or suck a “mouse” with a string tied to it though the length of conduit. Once the mouse has been blown or sucked through the conduit, the attached string is removed from the mouse and tied to a stronger pulling rope, which is then pulled though the conduit. The pulling rope is then attached to the wires and they are pulled into the conduit.
Terminations
Query \(7\)
Cable Types
Cable wiring methods are easier to install than raceway wiring methods, and this is the main reason why most houses are wired using as little conduit as possible. Cable wire contains all of the conductors needed for the circuit in a single insulated unit.
When purchasing cable wiring system the cable is referred to by two numbers: the first number specifies the gauge; the second the number of current carrying conductors in the wire. Additionally, there’s usually another wire that is used for grounding (green or bare). “12-2” means 12 gauge, two insulated current carrying wires, and a bare ground. 12-2 wire usually has a black, white and bare ground wire. Black, red, and a ground with no white wire is used for 220V circuits without neutral. 12-3 wire usually has a black, red, white and bare ground wire and is used for 220V with neutral or in three-way switch applications as the traveler between the switches where an additional wire is required.
Nonmetallic-Sheathed Cable (Type NM)- Also known as “Romex”. Least expensive and most used residential wiring method to purchase and install.
Romex® Cable by Gwen Arkin is licensed under CC BY 4.0
Types of Type NM cable:
• Type NM-B (white outer jacket)- Most common type; use in dry locations only. Has a flame-retardant, moisture-resistant, nonmetallic outer jacket.
• Type NMC-B (yellow outer jacket)- Not used often in residential work ; use in dry or damp locations. Has a flame retardant, fungus and corrosion resistant, nonmetallic outer jacket.
• Type NMS-B (orange outer jacket)- Used in new homes with home automation systems. Contains power conductors, telephone wires, coaxial cable for video, and other data conductors all in the same cable. Has moisture-resistant, flame-retardant, nonmetallic outer jacket.
Underground Feeder Cable (Type UF)- Used for underground installation of branch circuits and feeder circuits. Also used in interior installations, but must be installed following the installation requirements for Nonmetallic-Sheathed Cable.
Underground Feeder Cable (Type UF) by Clifford Rutherford is licensed under CC BY 4.0
Armored-Clad (Type AC) and Metal-Clad (Type MC) Cable- Certain locations in the United States may not allow Nonmetallic Sheathed Cable in residential construction. Both have a metal outer sheathing and provide very high levels of physical protection for the conductors in the cable. Electricians sometimes find it hard to tell Type AC (also known as “BX” cable) and Type MC apart. Type AC cable has brown paper covering each conductor and Type MC cable has a clear plastic wrap around all of the conductors.
Metal-Clad (MC) Cable by Gwen Arkin is licensed under CC BY 4.0 | textbooks/workforce/Construction/Building_Maintenance_and_Construction_-_Tools_and_Maintenance_Tasks_(Rutherford)/05%3A_Electrical_Systems/5.04%3A_Conduit_Boxes_and_Wiring.txt |
In residential wiring, overcurrent protection devices consist of fuses or circuit breakers. The NEC® states that overcurrent protection for conductors and equipment is provided to open the circuit if the current reaches a value that will cause an excessive or dangerous temperature in conductors or conductor insulation. Both circuit breakers and fuses are used for this purpose. However, circuit breakers are used in most building electrical systems.
Panelboards and Loadcenters
The following items are used to contain and organize overcurrent devices in residential, commercial, and industrial wiring applications:
Panelboard- A single panel that includes automatic overcurrent devices used for the protection of light, heat, and power circuits.
Panelboard by Gwen Arkin is licensed under CC BY 4.0
Loadcenter-A type of panelboard that contains the main disconnecting means for the residential service entrance as well as the fuses or circuit breakers used to protect circuits and equipment like water heaters, ranges, dryers, and lighting.
Safety Switches- A safety switch is used as a disconnecting means for larger electrical equipment. It is typically mounted on the surface of or near the equipment and is operated with an external handle. Safety switches can simply be an On/Off device or can have overload protection devices incorporated in their design. Safety switches can be found in both cartridge fuse or breaker configurations.
Safety Switch by Gwen Arkin is licensed under CC BY 4.0
Fuses
A fuse is a overcurrent protection device that opens a circuit when a fusible link is melted away by the extreme heat caused by an over current. Causes can include a short circuit or excessive load. Electricians and maintenance technicians may encounter two styles of fuses protecting circuits:
Plug fuses- These fuses “screw” into a socket device, either an Edison base model or a Type S model. These devices are seldom used as circuit breakers can be reset and are considered more reliable and tamper resistant. Some codes may restrict the use of plug fuses in building electrical systems.
Plug Fuse by Gwen Arkin is licensed under CC BY 4.0
Cartridge fuses- Cartridge fuses are available as a ferrule model or a blade-type model. Fuses must be plainly marked, either by printing on the fuse barrel or by a label attached to the barrel showing the amperage and voltage ratings. Often used in equipment safety switches.
Cartridge Fuse by Mako Shimada is licensed under CC BY 4.0
Circuit Breakers
Circuit breakers- are available as a single-pole device for 120-volt applications and as a two-pole device for 240-volt applications. They also come as a twin or dual device that fits in the space of a regular single-pole breaker. Circuit breakers are designed so that any fault must be cleared before the circuit breaker can be reset. Even if the handle is held in the “ON” position, the circuit breaker will remain tripped as long as there is a trip-rated fault on the circuit. In some cases, time is required for the breaker to cool before it can be reset.
• Most branch circuits are 120-volt circuits. These are wired with 14 AWG or 12 AWG copper conductors and require 15 or 20 amp single-pole circuit breakers. A single-pole circuit breaker takes up one space on a panelboard.
• Many branch circuits serve appliances like electric water heaters, air conditioners, and electric heating units. These loads require 240 volts to operate properly. since it is a 240-volt circuit, it needs a two-pole circuit breaker. A two-pole circuit breaker takes up two spaces on the panelboard.
20 Amp Circuit Breaker by Mako Shimada is licensed under CC BY 4.0
It is important to note the manufacturer and style of a breaker when replacing it. Different manufacturers produce propitiatory designs that can only be used in their own panels and are not compatible with others.
240-Volt Branch Circuit Requirements
• 15-amp circuit breaker when wired with 14 AWG wire
• 20-amp circuit breaker when wired with 12 AWG wire
• 30-amp circuit breaker when wired with 10 AWG wire
Appliance Circuits- There may be a need for 120/240 volts to be supplied to appliances such as electric clothes dryers and electric ranges. This installation requires a two-pole circuit breaker, just like the 240-vo ">
GFCI Circuit Breaker by Bernard Sula is licensed under CC BY 4.0
Arc Fault Circuit Interrupter (AFCI)- AFCI devices are designed to trip when they sense rapid fluctuations in the current flow that are typical of arcing conditions. AFCI protection is provided with AFCI circuit breakers and new codes require that all residences be constructed with them. AFCI circuit breakers look very similar to GFCI circuit breakers. The “Push-to-Test” button is typically a different color than that of a GFCI breaker.
AFCI Circuit Breaker by Clifford Rutherford is licensed under CC BY 4.0
Common Branch Circuits
General Branch Circuits
• 14 AWG copper conductor and protected with a 15-ampere fuse or circuit breaker.
• 12 AWG copper conductor protected with a 20-ampere fuse or circuit breaker.
Small Appliance Branch-12 AWG copper conductors. Larger size wire may be used to compensate for voltage drop when the distance back to the electrical panel is very long.
• Washer- 120 Volt 20 Amp
• Garbage Disposal- 120 Volt 15 Amp
• Dishwasher- 120 Volt 15 Amp
Range Branch-Uses an 8/3 copper cable with ground protected by a 40-ampere circuit breaker, or a 6/3 copper cable with ground protected by a 50-ampere circuit breaker.
Clothes Dryer Branch- Usually a 30-amp circuit wired with 10/3 cable. Usually connected to the electrical system in a house through a cord-and-plug type connection.
Water Heater Branch- Electric water heaters used in homes normally operate on 240 volts. They normally require a 10 AWG conductor with a 30-ampere overcurrent protection device. Some smaller single element electric water heaters may require 120 volts and will be wired with a dedicated branch circuit with 12 AWG conductors and a 20-ampere overcurrent protection device.
Circuit Breaker Replacement
Always turn off electrical power at the main service breaker when working in an energized main breaker panel.
• The LOAD side of the panel will be disconnected, but the LINE side will still be energized.
• If you are working in an energized subpanel, find the circuit breaker in the service panel, turn it off, and lock it in the OFF position.
Test the panel you are working on with a voltage tester to verify that the electrical power is off.
NEVER assume the panel is de-energized.
Circuit breakers are installed by attaching them to the main bus bar assembly in the panel. The bus bar assembly is connected to the incoming service entrance conductors and distributes the electrical power to each of the circuit breakers located in the panel. In the case of a subpanels, bus bars are connected to the incoming feeder conductors.
Circuit breakers are attached to the bus bar by contacts in the breakers being snapped onto the bus bar at specific locations, commonly called stabs.
• A single-pole circuit breaker has one stab contact.
• A two-pole circuit breaker has two stab contacts.
GFI Breaker Installation
Query \(1\) | textbooks/workforce/Construction/Building_Maintenance_and_Construction_-_Tools_and_Maintenance_Tasks_(Rutherford)/05%3A_Electrical_Systems/5.05%3A_Fuses_and_Breakers.txt |
Receptacles and switches are known as devices. A device is defined as a unit of an electrical system intended to carry, but not use, electric energy. Components that distribute or control energy, but do not consume electricity include:
• Switches
• Receptacles
• Attachment plugs
• Lamp holders or sockets
Always de-energize the electrical circuit first before servicing or installing any of the following devices.
Receptacles
Receptacles are contact devices installed at the outlet for the connection of an attachment plug. While many people (including electricians) refer to a receptacle as an “outlet”, “socket”, or “plug,” they are the wrong terms to use.
A single receptacle is a single contact device.
A duplex receptacle has two contact devices.
A multiple receptacle has more than two contact devices.
125 Volt Receptacles
15 Amp, 125 V and 20 Amp, 125 V by Clifford Rutherford are licensed under CC BY 4.0
250 Volt Receptacles
15 Amp, 250 V and 20 Amp, 250 V by Clifford Rutherford are licensed under CC BY 4.0
Receptacle Installation
When connecting circuit conductors to a receptacle (or switch):
Form terminal loops in the wire, put the loop under a terminal screw, looping the wire around the terminal screw in the direction the screw tightens (clockwise in almost all cases), and tighten the screw the proper amount. A terminal screw that is not tightened properly or a wire not looped properly around a screw will typically be the cause of future problems. Push-in terminations are available but are not as good a termination as a terminal loop termination.
The listing instructions for devices like receptacles and switches normally allow only one wire to be terminated to each terminal screw. However, many electrical boxes containing receptacles or switches could have many circuit conductors requiring connections to the device terminal screws. The best way to make the necessary connections so that only one conductor gets connected to a terminal screw is to use a pigtail.
Once the particular receptacle you are installing is connected to the electrical system, secure it to the device box. Make sure the conductors inside the box are pushed to the back of the device box, leaving enough room to install the receptacle.
Carefully push the receptacle into the device box, checking that the ears on the top and bottom of the receptacle yoke will rest against the sheetrock when the receptacle is installed. Once you have determined that the receptacle ears will rest against the drywall or finish surface properly, attach the receptacle to the device box using the properly sized machine screws. Make sure the receptacle is flush with the wall and straight, then attach the cover.
Duplex Receptacles (3 Wires): The most common type of receptacle used in residential wiring is a duplex receptacle rated for 15 amperes at 125 volts. It consists of two single receptacles on the same mounting strap. As many of these devices are installed close to ground level, Tamper-Resistant (T-R) receptacles are required in some locations to protect children.
20 Amp Duplex by Bernard Sula is licensed under CC BY 4.0
Ungrounded black conductor– Connected to the brass colored terminal
Grounded white conductor– Connected to the silver screw terminal
Bare or green grounding conductor– Connected to the green grounding screw
How Tamper-Resistant Receptacles Work
Query \(1\)
Split-Wired Duplex Receptacle- A split-wired duplex receptacle usually has a switch controlling half of the receptacle and the other half is hot all the time. They are often used to provide an accessible switching device near a doorway that controls a plug-in table lamp across the room (ex: bedside table- split-wire receptacle allows the light to be turned on and off by the doorway, but the alarm clock plugged into the same duplex receptacle remains on at all times). Before installing, remove the tab connecting the terminal screws on the hot side of the receptacle. Do not remove the tab connecting the silver terminal screws.
Ground Fault Circuit Interrupter GFCI- Connect GFCI receptacles to the electrical system in much the same manner as regular duplex receptacles. However, on the back of the GFCI receptacles, one of the brass screw terminals and one of the silver screw terminals are marked for the “Line,” or incoming power conductors. The other set of screw terminals are marked as “Load” terminals, or the outgoing power conductors that protect other receptacles downstream of the GFCI.
GFCI Receptacle by Clifford Rutherford is licensed under CC BY 4.0
Specialty Receptacle Types
Two appliances typically require a special 125/250 volt receptacle installation. These receptacles are larger and have different configurations than the single or duplex receptacles.
125/250 Volt Electric Clothes Dryer
Dryer 30 Amp, 3 Pole and Dryer 30 Amp, 4 Pole by Clifford Rutherford are licensed under CC BY 4.0
125/250 Volt Electric Range
Range 50 Amp, 3 Pole and Range 50 Amp, 4 Pole by Clifford Rutherford are licensed under CC BY 4.0
Switches
Switches are used to control the various lighting accessories, and sometimes receptacles or equipment, installed in residential wiring. The procedures for installing a switch are very similar to receptacle installation procedures. The main difference is the number of switches installed in multi-gang boxes: In residential installations, two- and three-gang switch boxes are common. Take care to ensure there is enough room in the device box for all conductors and switches.
There are two styles of switches commonly used residential and commercial construction: toggle and rocker (also known as decor). While rocker switches are also considered decorative and may be more desirable in some cases, they often have a wider profile than toggle switches and may require more space in the switch box. Because there are so many multi-gang switch boxes, make sure all the switches are level so the faceplate will be level when it is installed.
Switch rating must be matched to the voltage and current you encounter with the circuit on which you are using the switch. Many residential lighting circuits are wired with 14 AWG conductors protected with a 15-amp circuit breaker and will require switches with a 15 amp, 120 volt rating. This switch rating is the most common found in residential wiring.
Single-pole, three-way, and four-way switches are to be wired so that all switching is done in the ungrounded circuit conductor. There is no need to connect a white insulated grounded conductor to any switch in a residential switching circuit.
Single Pole Switch- The single-pole switch used in 120- volt circuits to control a lighting outlet or outlets from only one location is the most common. On a single-pole switch, two wires will be connected to the two terminal screws on the switch. Both wires will be considered “hot” ungrounded conductors.One is the incoming power wire and the other wire runs to the light fixture or receptacle.
• Connect two conductors (usually black or re-identified as such*) to the switch
• Ground the switch.
• Set up the switch so it will read “OFF” when the toggle is in the down position.
Single Pole Switch by Clifford Rutherford are licensed under CC BY 4.0
*Switch Loop
It is very common for residential electricians to run the power source to the lighting outlet first and then to run a two-wire cable to the single-pole switching location. When employing a switch loop, use the white wire as an ungrounded conductor and identify it as such. It is required that the white conductor be identified at both ends as a hot conductor. Use black electrical tape, although another color tape (like red or blue) may also be used, or a permanent marker to mark the conductor. The mark must completely encircle the conductor.
Three-Way Switch- Connects three conductors to the switch to control a light fixture or receptacle from two locations, such as at the top and bottom of a stairway. Three and four-way switches do not have On/Off markings on them. Beginning electricians and maintenance technicians often find the connections for three-way switches confusing. Learning some basic rules can make the process much easier.
Rules For Three-Way Switches
• Three-way switches must always be installed in pairs.
• A three-wire cable must always be installed between the two three-way switches.
• When wiring with conduit, three separate wires must be pulled into the conduit between the two three-way switches.
• The black colored “common” terminal on a three-way switch should always have a black insulated wire attached to it.
• One three-way switch will have a black “hot” feed conductor attached to it.
• The other three-way switch will have the black insulated conductor that will be going to the lighting load attached to it.
• Connect the two traveler conductors to the two brass colored “traveler” terminals and the conductor that provides power.
• When using nonmetallic sheathed cable:
• When the power source feed is brought to the first three-way switch, the traveler wires that interconnect the traveler terminals of both switches will be black and red.
• When the power source feed is brought to the lighting outlet first, the traveler wires will be red and white.
• Re-identify the white traveler conductors with black tape at each switch location.
• Ground the switch.
Four-Way Switch- Four-way switches have four conductors connected to them. Four-way switches are used in 120-volt circuits to control a lighting load from three or more locations, such as in a room with three doorways that calls for switches controlling the room lighting to be located at each doorway. They are used in conjunction with two three-way switches. Two conductors will come from one three-wire cable and two conductors will come from a second three-wire cable.
• Connect the conductors from one cable to the two screw terminals that are the same color (traveler terminal screws).
• Connect the remaining two conductors to the two screw terminals that are a different color (traveler terminal screws).
Double-Pole Switch- These switches are used on 240-volt circuits to control a load from one location (ex: electric water heater). The double-pole switch has four terminals on it and, at first glance, looks like a four-way switch. Unlike a four-way (or three-way) switch, the toggle on the double-pole switch does have the words “ON” and “OFF” written on it. This means that like a single-pole switch, there is a correct mounting position for the switch so when it is “ON”, the toggle will indicate it. The double-pole switch also has markings that usually indicate the “load” and the “line” sides of the switch. Usually the “line” set of terminals is colored black and the “load” set of terminals is colored a brass or bronze.
Dimmer Switches- are used to brighten or dim a lighting fixture’s lamps. Found in both a singlepole and a three-way configurations, both are available with either a rotating knob style or sliding
switch that varies the resistance in the circuit. Dimmer switches differ from regular switches in that they do not have terminal screws, but instead have colored insulated pigtail wires coming off the switch installed by the manufacturer. To install a dimmer switch, connect the dimmer switch pigtails to the appropriate circuit conductor with a wirenut. Single-pole or three-way dimmer switches are connected in a switching circuits exactly as regular single pole and three-way switches.
Slide Dimmer & Rotary Dimmer by Clifford and Rosemary Rutherford are licensed under CC BY 4.0
Combination Devices
Combination devices have a combination of two devices, both of which are mounted on the same strap. There could be two single-pole switches, a single-pole switch and a three-way switch, a single-pole switch and a receptacle, or a single-pole switch with an indicator light.
Combination Switch by Gwen Arkin are licensed under CC BY 4.0 | textbooks/workforce/Construction/Building_Maintenance_and_Construction_-_Tools_and_Maintenance_Tasks_(Rutherford)/05%3A_Electrical_Systems/5.06%3A_Receptacle_and_Switch_Wiring.txt |
Wiring for Outdoors
Outdoor electrical wiring in residential situations includes installing the wiring and equipment for lighting and power equipment located outside of the house. Wiring may be installed overhead or underground. Most underground receptacle and lighting circuits installed in residential wiring are done using Type UF (Underground Feeder) Cable. Type UF Cable must be physically marked as underground feeder cable and is available from 14 AWG through 4/0 AWG copper and from 12 AWG through 4/0 aluminum. Type UF can be used outdoors in direct exposure to the sun only if listed as being sunlight-resistant with a sunlight-resistant marking on the cable sheathing. It can be buried directly in the ground or installed according to the same rules as for Nonmetallic Sheathed Cable when used as an interior wiring method.
Any wiring installed in an underground conduit must have a ‘W’ in its insulation designation, such as “THWN” or “XHHW”. The ‘W’ means that the conductor insulation is suitable for installation in a wet location. Rigid PVC Conduit (PVC) is used for underground conduit installation with these wires. Minimum burial depths for both Type UF Cable and for any of the conduit wiring methods can be found in the NEC® code book.
Outdoor Receptacles
Receptacle outlets located outdoors must be installed in weatherproof enclosures. The electrical boxes are usually made of metal and are often called a “Bell Box”. They typically have threaded openings or hubs that allow attachment to the box with conduit or a cable connector. These boxes come from the factory with a few threaded plugs that are used to seal any unused threaded openings to make the box truly weatherproof. Outdoor boxes can be mounted on the surface of an outside wall or on some other structural support such as a wooden post rising from the ground. They are often installed with underground wiring and supported by conduits coming up out of the ground.
Bell Box by Clifford & Rosemary Rutherford is licensed under CC BY 4.0
When a receptacle is installed outdoors, the enclosure and cover combination must maintain its weatherproof characteristics whether a cord plug is inserted into the receptacle or not. This is accomplished by installing a self-closing cover that is deep enough to also cover the attached plug cap on a cord. PVC boxes can also be used for outdoor applications when secured with an approved weatherproof or weather resistant cover. The receptacle must be a listed and marked weather-resistant (WR) type.
Outdoor Receptacle Cover by Clifford & Rosemary Rutherford is licensed under CC BY 4.0
Outdoor Lighting
Outdoor lighting can be mounted on the side of building structures, on poles, or even on trees. According to codes, any luminaire (lighting fixture) installed outdoors and exposed to the weather must be listed as suitable for the location and have a label with a marking that states “Suitable for Wet Locations”. If a luminaire is to be installed under a canopy or under an open porch, it is considered a “damp” location and the fixture only needs a label that states “Suitable for Damp Locations.”
Although codes allow outdoor lighting fixtures to be mounted on trees, they also mandate that overhead conductor spans cannot be supported by trees or other living or dead vegetation. This means that when installing wiring to a tree-mounted lighting fixture, an underground wiring method must be used between each tree. | textbooks/workforce/Construction/Building_Maintenance_and_Construction_-_Tools_and_Maintenance_Tasks_(Rutherford)/05%3A_Electrical_Systems/5.07%3A_Outdoor_Wiring_Considerations.txt |
Maintenance procedures can be classified in three basic categories:
Corrective Maintenance is known as reactive maintenance. In other words, waiting for something to break down before worrying about repairing or replacing it. While this process may require less expense in manpower, it can contribute to longer than normal downtime while waiting on replacement parts or equipment to arrive, or a need to have an extensive inventory of those replacement parts or equipment on hand.
Preventive Maintenance is also referred to as scheduled maintenance. This form of maintenance is based on a time based understanding of when breakdown occurs, when specific preventive measures are not taken. Preventive maintenance focuses on replacing or repairing worn or expended system parts before failure occurs, extending the life of mechanical systems. Common scheduled maintenance tasks include changing filters and lubricants, cleaning and flushing of contaminants, correcting tolerance discrepancies, and other items that keep machinery and buildings operating at their peak efficiency.
Predictive Maintenance relies on regular analysis of data collected from in-service system equipment and components to determine when maintenance will be required or a time when failure will occur. Predictive maintenance procedures often include computerized maintenance management systems (CMMS) to gather information from data loggers or sensors which are placed on equipment to track temperature, humidity, speed, pressure, voltage, amperage, flow rates, occupancy, and a multitude of other factors related to the performance of a piece of equipment or building system. When a data logger records a measurement that is outside of a set parameter, the computer sends an alarm that can be programmed to perform many functions to include but not limited to: create a work order, send out digital information to maintenance staff via text or email, and shut down equipment to prevent catastrophic failure.
Although initial setup of CCMS systems can be quite costly, over time this form of maintenance can result in significant savings from not having to keep a large inventory of replacement parts on hand, efficient scheduling of people and ordering of parts, and less unplanned failure of equipment. CCMS systems are commonly found in commercial buildings such as hospitals, office and institutional buildings, and resorts.
6.02: Work Order Process
Service Request
A service request can be occupant or operator generated due to a system failure or for preventive/predictive maintenance scheduling.
• Work Order- Informs technician of the failure or maintenance procedure for corrective action.
• Inspection- Technician assessment for restoring failed component or service of equipment to operable or optimal condition.
• Repair- Process of restoring failed component or equipment to operable or original condition.
Repairs often requires the acquisition of parts or materials that may not be immediately available. This may result in “down time” for a necessary piece of equipment or facility component until the item can be obtained. In order to restore operation in a timely manner, it is important to obtain the parts that are right for the job by knowing where to look and knowing how to properly describe the item(s) when ordering.
Service Call Procedures
A service call is required if a building or equipment operator finds something wrong with a building system or appliance’s operation.
There are a few steps to follow for a successful service call:
• Display a professional, courteous, and intelligent attitude when dealing with customers.
• Don’t track dirt or mud into the service location.
• Make sure your tools do not cause damage to walls, floors, furniture, or other items.
• Be prepared to show some identification.
• Find the problem.
• Fix the problem.
• Explain what you found and how you fixed it to the customer.
• Fill in the appropriate paperwork in a legible manner.
• Make one last inspection of the work area.
• Clean up any mess you made. | textbooks/workforce/Construction/Building_Maintenance_and_Construction_-_Tools_and_Maintenance_Tasks_(Rutherford)/06%3A_Maintenance_Management_Systems/6.01%3A_Maintenance_Categories.txt |
Maintenance technicians have numerous resources at their disposal to obtain repair instructions, replacement parts, and other resources that can contribute to safe, successful, and timely repairs.
Manufacture and Vendor Parts and Repair Resources
• Owner’s Manual- General customer orientation of equipment or component. Often contains safety precautions, operating instructions, basic troubleshooting and warranty information.
• Technical/Service Manual- Professional field technician repair reference. Contains complete troubleshooting instructions, schematics, and technical information related to the manufacturer.
• Vendor- Store or source where part might be obtained. Many vendors carry items from multiple manufactures, however, many manufactures may act as sole distributors for their own items.
• Catalog/Internet- Manufacturer or vendor itemization of available parts, description, and price.
Part Types
• Original Equipment Manufacturer (OEM)- manufactures products or components that are purchased by a company and retailed under that purchasing company’s brand name.
• Replacement (aftermarket)- Item made to perform the same function as original part, not manufactured by original equipment manufacturer.
• Universal- part made by a manufacturer that may replace similar parts on multiple manufacturers’ items or models of equipment.
Procurement
In many commercial settings, the technician is required to provide a purchase order (PO) to a vendor in order to obtain the necessary items to perform the service.
Requisition- The service technician must submit a request (requisition) to their employer or business office for the purchase of the required item(s). The requisition most often requires an accurate description of the item(s), price, part number, quantity, vendor, and vendor contact information.
Purchase Order- Once the technician has submitted the requisition for materials, the business office will generate a purchase order. This is an agreement between the purchaser and vendor for placing the purchase on a payment account. The business office will, in most all cases, issue a purchase limit or specified amount to be attached to the order based on previously quoted prices from the vendor.
Ordering Parts & Materials
When creating requisitions or ordering parts, equipment, and building materials from vendors, be specific. If any of the data on a replacement part does not match the original manufacturer’s requirements, the part/s may not provide adequate service for the application and could potentially damage other components of equipment and machinery. Manufacturers’ information is often available on the manufacturer’s tag or nameplate found on equipment, motors, pumps, propellers, blower motors, and other components. This information can be key to identifying and finding parts that are specific to an individual piece of equipment. Technical manuals provide more in-depth information, can be helpful in identifying specific parts and repair procedures, but do not always offer a way to obtain parts for repairs. Remember that manufacturers and parts vendors do not stock repair items forever. After production runs of various items end, the parts resource no longer carries specific parts and the item being repaired becomes obsolete or beyond economic repair (a similar item can be purchased at a cost that is cheaper than repairing the broken one).
Some of the most important things that can help a technician find the parts they need for repairs can be found on equipment nameplates or tags, or even on individual equipment parts and components include:
• Brand/Manufacturer- Maker or registered trademark holder
• Serial Number- Unique to the individual piece of equipment, often associated with ownership
• Model- Model numbers can signify a difference in power, size, accessories, or a wide variety of other options found in the terminology in this chapter
• Part number- Specific to the part, can often be cross-referenced to replacement and universal parts numbers
• Capacity or Rating
• Horsepower- Associated with gas and electric motors and appliances
• Torque/Ft. Lbs.- Amount of output force
• Speed- RPM/ Variable/Fixed; Tool, motors, saw blades
• Voltage- Alternating or direct current requirement
• Ohms/ Impedance- resistance
• Amps- Maximum and minimum or operational current
• Wattage- Power capacity of electric appliances
• Microfarad/Picofarad- Capacitors
• British Thermal Units (BTUs)/Tons- Heating, air conditioning and refrigeration equipment
• Weight- Lift or support limits
• Phase- Electrical equipment; single or three phase
• Cycle/Stroke- Gas motors
• Descriptive Terms
• Gauge- Thickness of sheet metal, wiring conductors
• Swing- Door and window direction of travel as they open
• Pane- thickness of glass
• Temper- hardened such as steel or glass
• Finish- metal finishes, paints, stains,
• Sheen- gloss, semi-gloss, matte, etc.
• Rotation- clockwise/counterclockwise; fan and saw blades, threaded fasteners
• Coarse/Fine- Screws, sandpaper, and other textured items
Quantities
Specific amounts, quantities, weights and sizes are always necessary for ordering parts and materials:
• Length/Width/ Height/Thickness- anything with proportional size
• Diameter/ Circumference/ Radius/Inside or Outside Diameter (I.D., O.D.)- tubing, plumbing, fan blades, motor shaft sizes, filters, etc.
• Schedule- PVC & ABS pipe wall thickness
• Area- square ft. square mile sheet goods, land (acre)
• Board Foot- lumber, 144 cubic inches or 12″ x 12″ x 1″
• Gross- Twelve dozen (144)
• Bag- contains a marked weight or item quantity
• Bundle- contains a marked weight or item quantity
• Ply- amount of layers an item has. Tires, plywood, paper products
• Roll- Paper products, asphalt roofing, plastic sheet goods, cloth and textile materials
• Unit- lumber, liquids, cased materials. Can imply a single item or a specific amount packaged for bulk purchase.
• Yard/Cu. Ft. /Sq. Yd.- concrete, fill, fertilizer
• Per inch/ foot/yd./etc.- lumber, wire, chain
Weights & Measures
Liquid Measures- pint, quart, gallon, liter, etc.
Dry Measures- gram, ounce, pound, ton, etc.
Standardized Measurement
Metric: European decimal equivalency; centimeters, millimeters, meters
SAE (Society of Automotive Engineers): American standard, fractional
Threads per inch (TPI): Bolts, nuts, and other fasteners
National Pipe Thread (NPT): tapered thread for plumbing applications | textbooks/workforce/Construction/Building_Maintenance_and_Construction_-_Tools_and_Maintenance_Tasks_(Rutherford)/06%3A_Maintenance_Management_Systems/6.03%3A_Parts_and_Material_Resources.txt |
Learning Objectives
After reading this chapter, you will be able to:
• Define the term workplace injury.
• Explain how work-related injuries are socially constructed and why that is important.
• Distinguish between root and proximate cause.
• Explain the occurrence of workplace injuries from both the technical and political economy perspectives.
• Identify common causes of injury under-reporting.
On Monday, April 23, 2012, the Lakeland sawmill exploded and then burned, lighting the night sky of Prince George, British Columbia. The explosion and subsequent fire killed Alan Little, 43, and Glenn Roche, 46, and injured more than twenty other workers. Brian Croy, a vice-president with the United Steelworkers’ local, was sitting in a training session when the mill exploded. The room’s plywood walls were blown down on top of the workers, and Croy and his colleagues escaped through a section of outer wall that had been destroyed by the blast.
“It’s almost like you were coming out of a war zone. Everything was leveled. I met one fellow I think his fingers were blown off, and his clothing, a lot of it was gone. It was off and his hair,” Croy told The Canadian Press. Upon arriving at an outdoor first-aid station, Croy found workers sitting on a tarp, holding up burned arms and hands while one worker lay naked on the tarp, burned black and without any hair.1
A WorkSafeBC investigation found that an overheated fan shaft had ignited the dust-laden air, resulting in the explosion.2 Wood dust is a well-known explosion hazard in sawmills. The Lakeland mill was sawing large amounts of trees killed by pine beetles. This wood is extremely dry and, when milled, creates a large amount of fine dust.
The employer had been aware of the dust issues, and five dust-related incidents (e.g., fires) had been recorded in the months leading up to the explosion. The employer had failed to remediate the hazard or, indeed, engage in adequate preventive maintenance of the mill’s systems. Internal safety inspections were inconsistently undertaken and dust buildup was not mentioned, with some workers stating “that they were tired of complaining about it as nothing was ever done.”
The Lakeland mill explosion—one of two in BC that year—was a major workplace incident. Yet, sadly, these deaths and injuries were but a drop in the bucket. In 2012, the Association of Workers’ Compensation Boards of Canada (AWCBC) reported 245,365 accepted workers’ compensation claims for time-loss injuries. Time-loss injuries are injuries so serious that workers cannot go to work for a period of time. The AWCBC also reported 977 accepted workplace fatality claims.3 As we’ll see below, these (alarming) statistics significantly under-report the true level of workplace injury in Canada.
Before turning our attention to the practicalities of how to reduce the risks of work-related injuries, it is important to spend some time thinking about what we mean by a workplace injury. While there is little dispute that the injuries that occurred at the Lakeland mill were workplace injuries, the work-relatedness of other injuries can be contested. It is also important to give some thought to what causes workplace injuries. Most explanations tend to focus on the immediate cause of the injury (e.g., the mill blew up). While the explosion did indeed cause the workers’ injuries, that is a superficial analysis of injury causation. Other, less obvious factors created the conditions that led to the explosion. Finally, we need to give some thought to the politics that underlie workplace injuries. We start this process—which continues throughout the book—by examining why many workplace injuries are not reported and who benefits from this under-reporting. This initial discussion is designed to develop a critical perspective on workplace injury.
OCCUPATIONAL INJURIES
Broadly speaking, a workplace injury is any form of ill health—such as a physical or mental injury or illness—that arises because of a worker’s employment. Instances of work-related ill health can encompass a vast array of injuries and illnesses. Most work-related injuries will be minor and temporary (such as a slight burn), while others will be permanent (such as an amputation) or life-threatening (such as cancer). Some injuries will be acute (such as a laceration) and some will take years to manifest themselves (such as silicosis). Despite the vast range of potential injuries, when most people think of a workplace injury, what comes to mind is an acute injury caused by an obvious physical cause. For example, a fall from a height may break a worker’s wrist. There are three main reasons why we tend to focus on acute physical injuries:
• Acute injuries are commonplace. In 2012, 92.5% of Canada’s 245,365 accepted time-loss injuries were acute physical injuries while only 7.5% were illnesses.4
• Acute injuries are easy to see and understand. It is obvious when a worker falls from a height, and we intuitively understand how the fall hurt the worker. Contrast this with a diagnosis of mesothelioma (a form of cancer caused by asbestos). Such a diagnosis is often known only to the worker, his family, and his doctor. And the 20-year lag between exposure and diagnosis obscures the work-relatedness of the injury. Indeed, the worker may not know that he was exposed to asbestos in the workplace.
• Acute injuries receive a disproportionate share of public attention. Most of us have limited personal experience with workplace injuries. Instead, what we know about them comes from media reports. As set out in Box 1.1, newspapers dramatically over-report fatalities and injuries caused by contact with objects, and this may skew our perceptions of what constitutes a work-related injury.
The operation of government injury-prevention and injury-compensation systems both reflect and reinforce the bias toward acute physical injuries. Occupational health and safety (OHS) laws often specify clear rules to protect workers from falls and other physical hazards. But, as we’ll see in Chapter 5, the rules around exposing workers to hazardous substances are much more ambiguous.
Similarly, workers’ compensation boards (WCBs)—which provide injured workers with wage replacement and other benefits—use the “arises-and-occurs” test to determine whether an injury was work-related (and thus whether the worker will receive compensation). As we’ll see in Chapter 2, the arises-and-occurs test requires workers to demonstrate that their injury arose from and occurred during the course of their employment. It is easier for workers with acute physical injuries to show that this is the case than it is for workers who have developed an occupational disease. This is because occupational diseases often take years to manifest themselves and the cause of the disease may be unclear. Not surprisingly, then, the majority of accepted workers’ compensation claims are for acute physical injuries.
Box 1.1 Newspaper reports skew perceptions of injury
Media reports about injuries help to shape our understanding of what is (and what isn’t) a workplace injury. When Canadian newspaper stories about workplace injuries and fatalities are compared to actual injury statistics, it becomes clear that newspaper reports present a misleading picture of who gets injured and how.5 Consider these discrepancies:
• Fatalities over-reported: Occupational fatalities comprise 61.2% of newspaper reports even though fatalities represent only 0.4% of all injury claims in Canada.
• Injuries to men over-reported: Men account for 62.9% of injury and fatality claims but feature in 95.6% of newspaper reports.
• Traumatic injuries over-reported: Acute physical injuries such as burns, fractures, intracranial injuries, and traumatic injuries are over-represented in newspaper reports, while the more common sprains/strains, bruises and contusions are vastly under-reported or entirely ignored.
• Injuries in blue-collar jobs over-reported: Injuries in the construction and mining/quarrying/oil industries are significantly over-reported by newspapers, while injuries in the health/social services and retail industries are significantly under-reported.
Misrepresenting who gets injured and how they get injured can have profound effects. For example, the absence of reports about strains and sprains—which comprise 47.6% of all injuries—may make workers, employers, and OHS inspectors less likely to identify and remediate the hazards that cause sprains and strains. The virtual absence of reports about injuries to women means that hazards disproportionately faced by women—because of their physical differences and the industries in which they are concentrated—are rendered invisible.
The tendency of workers, employers, and governments to focus on acute physical injuries suggests that work-related injuries have a dual nature. On the one hand, work-related injuries are specific and concrete harms experienced by workers. On the other hand, work-related injuries are social constructions. A social construction is a phenomenon that is determined (or ‘constructed’) by social or cultural practices. In the case of workplace injuries, our individual experiences, media representations, and the operation of various systems help to shape what types of injuries we believe “count” as work-related injuries.
It can be difficult to grasp the notion that injuries are social constructions. The history of carpal tunnel syndrome is helpful to illustrate how this process works. Carpal tunnel syndrome is a cumulative trauma disorder (CTD) that affects the wrists and hands. Essentially, by subjecting muscles and nerves to repetitive strain, a worker may begin to develop symptoms such as pain, as well as loss of coordination, sensation, and circulation. Carpal tunnel syndrome is caused by compression of the median nerve in the wrist, sometimes due to repetitive bending and flexing, as when keyboarding.
The existence of carpal tunnel syndrome was widely accepted by the 1950s. And it was well known that strenuous grasping aggravated the condition and that the condition was almost always worse in one’s dominant hand. Despite this, carpal tunnel syndrome was not broadly accepted as work-related. Instead, it was deemed idiopathic (i.e., of unknown cause). Dr. George Phalen was a leading American authority on carpal tunnel syndrome. His rejection of the occupational basis of the disease rested, in part, on his assertion that many women had carpel tunnel syndrome and that these women (who sewed and did stenography) did no manual work.6
Phalen’s view of the tasks traditionally performed by women in the workplace (such as writing and typing) and in the home (such as cooking and sewing) as not strenuous profoundly shaped his view that carpal tunnel syndrome did not have an occupational cause (or etiology). The information that Phalen thought was relevant to determining the occupational basis of carpal tunnel syndrome, and the way in which he interpreted that information, were both shaped by his views, beliefs, and experience. His act of social construction has had profound implications for workers. Phalen’s position as an expert on carpal tunnel meant that his view carried weight with governments and employers. Consequently, there was a decades-long delay in the acceptance of carpal tunnel syndrome as a work-related injury. This, in turn, precluded the prevention of and compensation for carpal tunnel syndrome—an injury affecting three times as many women as men because of occupation segregation (i.e., the tendency of men and women to work in different occupations).7
INJURY CAUSATION
What causes workplace injuries? The obvious answer is workplace hazards. A workplace hazard is any source of potential injury or illness in a workplace. For example, a puddle of water on a floor creates a slipping hazard that could result in a worker sustaining injuries from a fall. Similarly, the presence of lead in the workplace could result in lead poisoning. Yet work-related hazards are not always so obvious. As we’ll see in Chapter 7, sometimes the way in which work is organized causes health effects. For example, precarious employment—“paid work characterized by limited social benefits and statutory entitlements, job insecurity, low wages”—is associated with high risks of ill health.8 Think about hotel cleaners who work for a temp agency. Most will be women who are paid low wages and have little job security or control over their schedules. Their work will be physically demanding, and if they are unwell they might be reluctant to call in sick for fear of not being hired again. Some studies suggest that jobs that demand a lot of effort but provide workers with little control over their work and little support can damage workers’ health via stress.9
In order to cause a workplace injury, the hazard acts upon the worker in some way. Physical hazards typically (but not always) entail a transfer of energy that results in an injury, such as a box falling off a shelf and striking a worker. Ergonomic hazards occur as a result of the interaction of work design and the human body. Chemical hazards are more complex. They may cause harm to human tissue in a variety of ways (e.g., some chemicals cause burns) or interfere with normal physiological functioning (e.g., some substances cause hallucinations). Biological hazards are organisms—such as bacteria, molds, funguses—or the products of organisms that harm human health. Psycho-social hazards are social environment and psychological factors that can affect human health and safety.
When considering the cause of an injury, it is useful to distinguish between proximate cause and root cause. Proximate cause is the event that is immediately responsible for the injury. Root cause refers to the ultimate or “real” cause of an injury. For example, if a worker falls down, the proximate cause may be that the worker lost her footing on a wet surface. Yet why was the surface wet? The root cause of the injury may have been an inadequately maintained hose that leaked. Considering both the proximate cause and root cause of an injury results in a better understanding of what caused the injury and, consequently, what can be done to prevent it.
The real world, of course, is messier than the proximate-and-root-cause model suggests. There is often a chain of causality that leads to an injury. In the example above, why was the hose not properly maintained? The root cause of that may well have been inadequate staffing levels. And what caused the inadequate staffing levels? Perhaps the employer was trying to minimize the cost of production. Why would the employer be trying to minimize costs? Perhaps because the employer feels pressure to maximize profitability to retain investment in capitalist economies.
When thinking about what causes injuries, it is also important to realize that there are both technical explanations and political-economy explanations. The technical approach to injury emphasizes the mechanism(s) of injury. Such explanations of injury are laudable in that a better understanding of how an injury occurred allows us to alter work to prevent similar injuries in the future. Yet there are many cases where well-known hazards have gone un-remediated for decades. For example, fluorspar (a colourful mineral used in manufacturing) miners in the remote Newfoundland community of St. Lawrence developed a variety of diseases from their working conditions, including lung cancer and silicosis. Yet the employer ignored the problem and the provincial government delayed its recognition and compensation of these injuries for decades.10 Why is that?
The political-economy approach to explaining workplace injury examines issues of power and financial gain to reveal why some hazards are remediated and others are not. This approach recognizes that employers and workers have differing interests in the workplace and therefore view workplace injuries differently. For employers, risk is mostly an economic issue. Employers are rarely injured themselves, and the most prominent impact of a workplace injury from an employer’s perspective is the interruption of work (i.e., ultimately, loss of profit). Not surprisingly, employers tend to view the risk of workplace injury as minimal, unavoidable, and acceptable.11
Since perfect safety is unattainable, employers often adopt a cost-benefit approach to safety: safety should only be improved when it costs less to prevent the injury than the injury itself costs.12 This isn’t to suggest that employers actively wish to see their workers injured or don’t take safety seriously. Rather, it highlights that employers and managers face structural pressures (e.g., the profit imperative of capitalism) and that these pressures shape how they behave and, indeed, how they view issues like workplace safety.
These pressures are also felt in the public and non-profit sectors, where profit affects decisions in a more indirect fashion. While neither sector worries about profit per se, both have finite resources and face pressure to keep costs down. Broadly speaking, governments believe they must minimize taxation on businesses and individuals to maintain political support. Non-governmental (non-profit) organizations rely heavily on funding from private donors and government grants, and these funders demand efficient use of their dollars.
On the surface, this economic perspective appears quite sensible. Every activity does entail some risk. And risk reduction can be very expensive. Nevertheless, workers—those most often injured and killed—tend to see things differently. Workers note that workplace injury is not a natural phenomenon that no one can control. Rather, the risks workers face reflect decisions employers make—decisions about what, when, where, and how goods and services are produced. Employers make these decisions with the goal of maximizing profitability. In this way, injury is a cost imposed on workers by employers. And allowing employers to do this is a political choice by government (“the state”). Workers know that the consequence of employers accepting health and safety risks may be injury and death of workers. Reducing injury, disease, and death—not maximizing cost-effectiveness—is the pre-eminent goal of occupational health and safety activities. That is not to say that workplace injuries don’t have economic consequences. Clearly they do. Society must pay for medical treatment. Injured workers cannot earn a living and may lose their houses. Employers profit from dangerous work. But these economic outcomes are secondary effects—by-products of workers being exposed to the risk of injury and death by choices their employers make about production.
So, coming back to the fluorspar miners, the political-economy approach suggests that the employer’s primary interest was maximizing the profitability of its operation. Delaying the installation of safety equipment and the payment of injury compensation was in the employer’s economic interest. The difficulty the miners had in proving that their diseases were caused by their work (due to the long latency period and murky causality often associated with occupational diseases) allowed the employer to delay injury recognition and compensation.
The technical and political-economy approaches to injury causation offer different ways to “see” workplace injuries. Being mindful of both approaches gives us a better appreciation of why injuries occur and what can be done to prevent them. Consider, for example, the commonly held view that worker carelessness causes injuries. Box 1.2 analyzes this view by looking at both root and proximate cause and the technical and political-economy approaches.
Box 1.2 Who benefits from the careless worker myth?
A good example of the contested nature of workplace injuries and the importance of distinguishing root and proximate cause is the careless worker myth. The idea that workers are accident-prone, careless, or even reckless in the execution of their duties and thus cause their own injuries has wide currency.
While workers’ behaviour often features in explanations of the proximate cause of an injury (e.g., “the worker fell off of the roof”), it is useful to probe the root cause of injury. Who sent the worker onto the roof and why? Why wasn’t the worker given fall protection equipment? Most injuries are ultimately caused by unsafe working conditions, and working conditions are under the control of employers, not workers.13
Yet it is easy to blame workers for their injuries because it fits into a broad set of negative views about workers. Workers’ compensation recipients are often stigmatized as malingerers who exaggerate the extent of their injuries to maximize benefits from WCB and time away from work.14 Individuals collecting social-assistance payments are often called “welfare bums.” These stereotypes blame individuals for their circumstances while obscuring the contribution of other factors, such as employers organizing work unsafely, the absence of real return-to-work options, and the lack of jobs.
The careless worker myth developed during the late 19th and early 20th century as a way for employers to avoid financial liability for
workplace injuries. After all, employers couldn’t be held liable if a worker contributed to his or her own injury. The careless worker myth was also closely associated with the employer argument that workers chose the jobs they held, and thus the level of risk they experienced. This assertion is superficially true: workers did (and do) often choose the jobs they hold. But keep in mind that all events have proximate and root causes.15
Yes, a worker may have chosen a dangerous job. But the worker may have had little real choice in the matter. The range of jobs workers can choose from is normally quite limited. Workers have little control over how employers design work and the hazards workers face as a result. And workers’ ability to turn down jobs is limited by their need to put food on that table. So are workers really to blame for the hazards they face at work?
As we’ll see in Chapter 8, blaming workers (rather than the work) for injuries continues today. Consider present-day occupational cancer prevention suggestions for workers from the Alberta Cancer Board:
• Don’t eat, chew, or drink in the work area.
• Always wash your hands and face thoroughly with soap and water before eating and after using the washroom.
• Avoid breathing chemical vapours.
• Avoid skin contact with chemicals.
• If you are a smoker, make use of available cessation programs.
• Eat at least five to ten servings of vegetables and fruits daily.
• Maintain a healthy body weight through regular physical activity and healthy eating.16
Focusing on workers’ behaviours (at work and at home) obscures the root cause of occupational cancer: employers designing work that exposes workers to carcinogens. The impression such cancer-prevention tips leave is that workers’ lifestyle factors cause cancer, rather than how employers have organized the production process.17
The state is the third important player in workplace health and safety. In Chapter 2 we’ll explore the ways in which the federal, provincial, and territorial governments have intervened in injury prevention and compensation. For now, simply consider the idea that the state has two objectives when regulating employment. On the one hand, government must facilitate the capital accumulation process—that is, it must act in ways that allow employers to produce goods and services in a profitable manner and thereby encourage private investment. Failing to do so may result in an economic downturn, for which the government may well be held responsible.18
On the other hand, government must maintain its own legitimacy with voters (so it gets re-elected). It must also maintain the legitimacy of the existing capitalist economic system. Capitalism is an economic system in which the means of production are mostly owned by private individuals, the distribution of goods mostly occurs through market mechanisms, and employers face significant pressure to maximize profitability. A recurring issue for governments in such economies is that workers (who comprise the majority of the electorate) are often negatively affected by the operation of the system. We see this in the form of low pay, poor working conditions, and the spectre of workplace injury and death. These effects can cause a loss of confidence in a particular government or, more broadly, in capitalist social formation.
Facilitating capital accumulation while maintaining political legitimacy can be difficult. Sometimes the state must make important trade-offs between the demands of employers and the safety of workers. Yet the state has other management strategies it can use to contain conflicts. For example, the state can seek to shape workers’ sense of just how dangerous workplaces are by the ways in which it records workplace injuries.
It is also worth noting that the government is also an employer and a rather large one at that. As an employer, they are subject to the same pressures and interests as private-sector employers. While government services are not designed to “turn a profit,” governments face pressure to contain the cost of delivering services to keep taxes low. These pressures lead public-sector (and non-profit) employers to adopt the same cost-benefit approach to safety as private-sector employers. Also, in recent years, there has been an increased demand that governments adopt the practices and approaches of private enterprise in order to be more “business-like.” Those practices include intensified focus on efficiency, cost-savings, and “the bottom line,” all of which undermine commitment to health and safety.
INJURY STATISTICS
The introduction to this chapter noted that there were 245,365 accepted workers’ compensation claims for time-loss injuries in 2012.19 As astounding as these annual time-loss injury numbers are, they profoundly understate the true level of workplace injury in Canada. The understatement of injury numbers occurs in a number of ways. First, time-loss injuries are accepted workers’ compensation claims where a worker could not report to work due to the injury. But not all workers must (or can) report their injuries to a workers’ compensation board (WCB). In fact, only about 85% of workers are covered by workers’ compensation in Canada. So, right out of the gate, we know time-loss claims represent only 85% of all time-loss injuries. Second, WCBs don’t accept every time-loss claim filed by workers. Exact data on acceptance rates is unavailable, but approximately 5% of all workers who submit a claim have that claim rejected and thus those injuries are excluded from the total above. So far, then, the 245,365 claims represents only about 80% of all time-loss injuries. Third, not all workers report their injuries. The best data available suggests that 40% of injuries go unreported.20 All in all, this suggests the true number of time-loss injuries likely is closer to 430,000 per year.
Moreover, time-loss claims comprise only a fraction of all injuries. Missing from these numbers are all other injuries where the worker could go to work (albeit with an injury). This includes injuries requiring medical aid only or injuries where the employer was able to modify the worker’s duties to prevent time loss. It also includes injuries where the worker just decides to soldier on, such as burns, cuts, sprains, and strains, as well as injuries where the worker receives benefits from private medical insurance. The true number of workplace injuries is possibly as great as 10 times the reported number of time-loss injuries.21 The idea that there might be 2.4 million workplace injuries in Canada each year suggests that state injury-prevention efforts are not very effective. Governments’ use of the (much smaller) time-loss claims numbers may reflect a desire to manage public perceptions of danger in the workplace.
So why are so many workplace injuries not reported? There are several explanations. The most salient explanation is that employers may discourage workers from reporting injuries because injury claims can affect employers’ workers’ compensation premiums as well as their ability to successfully bid on some contracts. Employers may offer workers paid time off and private insurance benefits in order to avoid workers’ compensation claims. The risk of this arrangement for workers is that, if the worker is re-injured at a later date and requires workers’ compensation benefits, there will be no record of the original injury and thus the “new” injury may not be fully compensable. Box 1.3 examines how employers have gamed the financial incentives offered by the Workers Compensation Board of Manitoba to employers with low workers’ compensation claim costs.
Box 1.3 Gaming Manitoba workers' compensation premiums
As is explained in Chapter 2, workplace injury compensation in Canada is administered through provincial and territorial WCBs. Benefits are funded by employer-paid premiums. Premiums are calculated based upon an employer’s payroll. Sometimes these premiums are adjusted up or down based upon the employer’s claims record. This is called experience rating and is designed to reward safer employers with lower WCB premiums and penalize unsafe employers.
Manitoba employers can receive reductions of about 40% in their premiums if they have low claims costs compared to other employers. Employers with high costs can see their premiums increased by up to 200%. This has created a significant incentive for employers to minimize the cost of the workers’ compensation claims filed by their workers.
A review of Manitoba’s experience-rating model revealed examples of claims suppression. In one case, a food-processing employer was planning to develop jobs that served no productive purpose. Injured employees placed in these jobs would not claim workers’ compensation benefits, thereby reducing the employer’s claims costs. This arrangement was projected to save the company \$3.2 million over five years.
In another case:
[The worker] rolled his ankle and as his knee buckled he heard a snap. He advised his supervisor who directed him to the nursing station to initiate an accident investigation. He was advised that he could be accommodated without medical attention. He decided to go to his doctor although this was not encouraged by the employer representative. He was advised he had to be at work the next shift.
His doctor recommended he be off work for one to 2 weeks until the swelling in his knee went down. The worker decided to disregard his doctor’s advice and accept the light duty accommodation. Because he was unable to bear weight on his injured leg, his accommodated job was to sit outside the entrance to a department to advise workers to wipe their feet before entering. He pointed out that there was already a sign above the door advising workers to wipe their feet. He indicated the light duty assignment was demeaning and unpleasant.
This worker described the company’s safety rewards program which is organized by departments. There is a pizza lunch for every department that does not exceed a minimal quota of medical aid claims. At the end of the year the department with the lowest rate gets a company-sponsored barbecue. He indicated there was also a year-end bonus system that included improvement in the lost time injury and medical aid claims rate over the previous year. At the time of our interview the bonus had not yet been announced. He stated: “it’s looking like about \$200 . . . for 2012.” This worker indicated that the peer pressure to minimize reportable injuries is well entrenched in the workforce.22
While such employer behaviour is unsettling, it is commonplace and reflects employers responding to the profit imperative of capitalism—they are minimizing their labour costs in order to maximize their profitability.
Workers’ willingness to go along with not reporting injuries is understandable. Workers are often dependent upon their employer for their livelihood. Injured workers are even more dependent because their ability to seek other employment may be limited by their injury. While under-reporting may be a violation of various laws enacted by the state, most governments act on under-reporting only when there are complaints. Workers who are prepared to acquiesce to employer requests to not report injuries are unlikely to complain about such requests. The result is that these violations stay hidden. This minimizes employers’ workers’ compensation premiums and reduces the apparent rate of injury.
OVERVIEW OF BOOK
The chapters that follow provide an introduction to OHS in Canada. Chapter 2 begins by examining the legislative framework that has emerged around workplace injuries. In short, governments have passed laws designed to prevent and compensate workplace injuries. That governments have been forced to pass such laws tells us that—left to their own devices—employers are not particularly interested in preventing or compensating workplaces injuries. One of the key outcomes of OHS legislation is placing an obligation on employers to identify and control workplace hazards. The process of hazard recognition, assessment, and control is examined in Chapter 3.
As noted above, there are different categories of workplace hazards. Chapter 4 examines physical hazards, including less obvious hazards such as noise, vibration, and radiation. This chapter also examines ergonomic hazards—where the design of workplaces can interact with the human body to cause injuries. For example, many workplaces and work tools are designed for male workers of average build. This design choice means that workers who don’t fit the male norm are at greater risk of injury. Chapter 5 introduces chemical and biological hazards, raising profound questions about the science that underlies the various protective standards. This chapter also examines how statistical analysis can be a double-edged sword for workers—on the one hand establishing that certain substances are hazardous while at the same time setting the bar of proof so high that other hazards can slip underneath it.
Psycho-social hazards are canvassed in Chapter 6. Stress and fatigue can pose significant hazards to workers. Other forms of psycho-social hazards are workplace harassment, bullying, and violence. Chapter 7 introduces the idea that the structure of work itself can be hazardous. Beginning with an examination of the health effects of long hours and shift work, this chapter draws our attention to how job design decisions can cause ill health. These negative health effects can be more pronounced for precariously employed workers because the pressures generated by precarious employment can reduce workers’ ability to protect themselves. Similarly, the size of an employer can create workplace dynamics that heighten the risk of injury and ill health.
Chapter 8 examines training and injury prevention programs. While training is often recommended as a panacea for workplace injury, few workers receive such training, and the content of the training may not be very effective at preventing injury. Training is often embedded in injury prevention programs that focus attention on worker behaviour rather than the structural causes of injury. How to investigate a workplace incident is the focus of Chapter 9. In addition to explaining the process of incident investigation, this chapter returns our attention to the importance of distinguishing root cause from proximate cause.
Disability management and returning injured workers to work is considered in Chapter 10. This chapter begins by examining the social construction of disability before examining employer obligations and strategies to accommodate workers with disabilities. The chapter ends by critiquing the recent tendency to view return-to-work programs—which offer injured workers modified work duties—as rehabilitative. The book concludes in Chapter 11 by examining the day-to-day challenges facing occupational health and safety practitioners in Canadian workplaces.
SUMMARY
At the end of the investigation into the Lakeland mill explosion, the company was fined \$724,000—a fine the owners are appealing at the time of writing. The decision of a coroner’s jury that the explosion was an “accident”—the outcome of unintended or unexpected events—outraged families of the dead workers. “It is unfortunate that these proceedings did not assign fault or accountability,” said Ronda Roche, widow of Glenn Roche. “It has been an emotional journey for myself, my family and the injured workers.”23 The BC government had earlier decided not to proceed with criminal charges.
That employers could operate a business in a way that any reasonably informed person should know posed a risk of injury and death to workers and, after maiming and killing their workers, escape with only a small financial penalty highlights how workplace injuries differently affect stakeholder groups. As we saw in this chapter, this contested terrain includes disputes over what types of injuries are accepted as work-related and what types are not—disputes that often entail gender and racial discrimination. There are also disputes over the nature of injuries. Is the risk of injury minimal, unavoidable, and acceptable, as employers assert? Or is the risk of injury a cost that employers intentionally pass onto workers? And how do the decisions that governments make about what types of injuries to prevent and compensate shape occupational health and safety? These tensions and questions recur throughout the discussion of injury prevention, compensation, and management that follows.
DISCUSSION QUESTIONS
• What were the proximate and root causes of the Lakeland sawmill explosion?
• In what ways are workplace injuries social constructions? How might the social construction of injury affect government efforts to prevent injuries?
• Why is it important to look at the root cause of workplace injuries?
• How might employers and the state benefit from perpetuating the careless worker myth?
• Why do public-sector and non-profit employers possess similar interests to private-sector employers around health and safety?
• What are the major causes of injury under-reporting?
Exercise \(1\)
Go online and find the government department in your province or territory responsible for occupational health and safety. Locate the most recent workplace injury statistics as well as any information they publish about preventing workplace injuries and write 200-word answers to the following questions:
1. What kinds of injuries are reported and not reported?
2. Do you think these statistics give a true picture of workplace injury? Why or why not?
3. In reviewing the injury-prevention materials, what actions does the government suggest to workers and employers?
4. How do the suggested actions differ for workers and employers? Why do you think they differ?
Exercise \(2\)
Go online and find a newspaper article about another workplace injury. Write 100-word answers to the following questions:
1. What were the proximate and root causes of the worker’s injury? Was the root cause discussed in the article?
2. Who did the reporter use as a source for this article? How might the story have differed if the reporter had talked to different sources?
3. What next steps or actions does the article suggest will occur? Can you find any further coverage of the injury?
NOTES
1 Hoekstra, G., & Carman, T. (2012, April 25). Two dead, 22 injured after massive explosion destroys Prince George sawmill. Vancouver Sun. http://www.vancouversun.com/dead+injured+after+massive+explosion+destroys+Prince+George+sawmill/6506952/story.html
2 You can read the full incident investigation report here: https://www2.worksafebc.com/PDFs/investigations/IIR2012136900086.pdf
3 AWCBC. (2014). National work injury, disease and fatality statistics 2010–2012. Ottawa: Association of Workers’ Compensation Boards of Canada.
4 Ibid.
5 Barnetson, B., & Foster, J. (2015). If it bleeds, it leads: The construction of workplace injury in Canadian newspapers, 2009–2014. International Journal of Occupational and Environmental Health, 21(3), 258–265. doi: 10.1179/2049396715Y.0000000003 . This study extends the analysis of coverage in newspapers, Gawley, T., & Dixon, S. (2015). “One Side of the Story: Examining newspaper coverage of workplace injury and fatality in Ontario, 2007–2012.” Work: A Journal of Prevention, Assessment, and Rehabition, 53 (1), 205–18.
6 Dembe, A. (1996). Occupation and disease: How social factors affect the conception of work-related disorders. New Haven: Yale University Press.
7 McDiarmid, M., Oliver, M., Ruser, J., & Gucer, P. (2000). Male and female rate differences in carpal tunnel syndrome injuries: Personal characteristics of job tasks? Environmental Research, 83(1), 23–32.
8 Vosko, L. (2006). Precarious employment: Towards an improved understanding of labour market insecurity. In L. Vosko (Ed.), Precarious employment: Understanding labour market insecurity in Canada. Montréal: McGill-Queen’s University Press, p. 4.
9 Lewchuk, W., Clarke, M., & de Wolfe, A. (2011). Working without commitments: The health effects of precarious employment. Montréal: McGill-Queen’s University Press.
10 Rennie, R. (2006). “All part of the game”: The recognition of and response to an industrial disaster at the Fluorspar mines, St. Lawrence, Newfoundland, 1933–1978. In E. Tucker (Ed.), Working disasters: The politics of recognition and response (pp. 77–102). Amityville: Baywood.
11 Hilgartner, S. (1985). The political language of risk: Defining occupational health. In D. Nelkin (Ed.), The language of risk: Conflicting perspectives on occupational health (pp. 25–65). Beverly Hills: Sage.
12 Tucker, E. (1983–84). The determination of occupational health and safety standards in Ontario, 1860–1982. McGill Law Journal, 29, 260–311.
13 Ashford, N. (1976). Crisis in the workplace: Occupational disease and injury. Cambridge: MIT Press.
14 Kirsh, B., Slack, T., & King, C. (2012). The nature and impact of stigma towards injured workers. Journal of Occupational Rehabilitation, 22(2), 143–154.
15 Graebner, W. (1984). Doing the world’s unhealthy work: The fiction of free choice. The Hastings Center Report, 14(4), 28–37.
16 Alberta Cancer Board and Alberta Cancer Foundation. (2005). Cancer and the workplace: An overview for workers and employers. Edmonton: Authors.
17 Draper, E. (2000). Competing conceptions of safety: High-risk workers or high-risk work? In S. Kroll-Smith, P. Brown, & V. Gunter (Eds.), Illness and the environment: A reader in contested medicine (pp. 217–234). New York: New York University Press.
18 Tucker, E. (1990). Administering danger in the workplace: The law and politics of occupational health and safety regulation in Ontario, 1850–1914. Toronto: University of Toronto Press.
19 AWCBC. (2014).
20 Shannon, H., & Lowe, G. (2002). How many injured workers do not file claims for workers’ compensation benefits? American Journal of Industrial Medicine, 42(6), 467–473.
21 Barnetson, B. (2012). The validity of Alberta safety statistics. Just Labour, 19, 1–21.
22 Petrie, P. (2014). Fair compensation review: A review of the impact of the Manitoba WCB assessment rate model on fair compensation for workers and fair assessments for employers. Winnipeg: Minister of Family Services and Labour, p. 35.
23 Nielsen, M. (2015). Lakeland mill explosion that killed workers ruled accidental. http://www.huffingtonpost.ca/2015/05/15/inquest-into-fatal-mill-b_n_7288840.html | textbooks/workforce/Construction/Health_and_Safety_in_Canadian_Workplaces_(Foster_and_Barnetson)/1.01%3A_Workplace_Injury_in_Theory_and_Practice.txt |
Learning Objectives
After reading this chapter, you will be able to:
• Identify the occupational health and safety (OHS) rights and obligations of workers and employers.
• Explain the internal responsibility system and identify the challenges that exist to its operation.
• Assess the effectiveness of state OHS enforcement and recommend improvements.
• Identify and explain the Meredith principles and relate them to the historic trade-off embodied in workers’ compensation.
• Explain how experience rating reintroduces the concept of fault to workers’ compensation and assess the impact of this change.
Toronto gas station attendant Jayesh Prajapati, 44, was killed on September 15, 2012 trying to stop a customer who drove off without paying for his \$112 fill-up. Prajapati’s widow claimed that her late husband’s employer previously required him to pay for gas-and-dash losses and that this is why he tried to stop the driver.
Only months before Prajapati’s death, Deborah Pommer was told by a gas station operator in southwestern Ontario that she’d have to cover a \$65 gas-and-dash or she would be fired. With only five weeks on the job, this was the second gas-and-dash Pommer was expected to pay.
“I felt very manipulated,” said Pommer. “I felt fearful. I was shaking. To be put on the spot like that it’s very difficult especially when it’s your livelihood. You rely on your income. I felt really intimidated.” Pommer quit and filed a complaint with the provincial labour standards branch.1
While docking workers’ pay for customer theft is illegal in Ontario, the practice is commonplace in gas stations and restaurants.
That employers can routinely (and illegally) force workers to cover the cost of customer theft reflects that workplace laws are often unenforced. Workers are reluctant to complain about violations for fear of employer retribution, says Deena Ladd of the Worker’s Action Centre. “People are desperate to hold on to jobs. Many workers only make complaints to the ministry after they’ve lost their job because if they make a complaint while they’re in the job, there’s no way to do it anonymously.”2
In 2007, British Columbia passed a law requiring motorists to pay before pumping, following the 2005 death of Grant De Patie in Maple Ridge, BC. De Patie was dragged several kilometres under a vehicle after he tried to stop a \$12.30 gas-and-dash. De Patie’s parents fought hard for this law, which eliminates the circumstances that give rise to this workplace hazard.
Employers have resisted laws requiring prepayment. According to Dave Bryans, CEO of the Ontario Convenience Stores Association, many Ontario stations can’t afford prepay technology. He also notes that 40% of customers pay inside the store and, in BC, the prepay requirement has resulted in a 25% drop in in-store business.3
The ongoing debate about pay-before-you-pump laws highlights how the law mediates conflicting demands between workers, who prioritize safety, and employers, who are generally most concerned about profitability. This example also reveals that the way in which laws are enforced affects the degree of protection they provide to workers. The reluctance of governments to impose new regulations or enforce existing ones also suggests that the state takes action on safety issues only when, and to the degree that, it must.
This chapter engages these topics by introducing the legal framework that regulates injury prevention and compensation. We begin by examining occupational health and safety legislation—laws that grant rights to and impose duties upon workers and employers in order to reduce the level of workplace injury—in Canada’s 14 different jurisdictions. Box 2.1 provides a primer on the seemingly complicated issue of jurisdiction and legislation. We then discuss other laws that affect workplace safety and highlight the overlap between workplace hazards and environmental hazards. Finally, we turn our attention to the compensation of workplace injuries and assess the workers’ compensation system.
Box 2.1 Jurisdiction and legislation
Beginning in the 1970s, the federal, provincial, and territorial governments all enacted legislation—laws—that regulate OHS. The distribution of powers under the Canadian constitution means Canada has 14 jurisdictions (federal, 10 provincial, and 3 territorial) when it comes to health and safety laws.
This sounds complicated, but in practice most employers and workers are covered by the OHS law of the province or territory in which they work. For example, approximately 90% of workers and employers in Alberta are subject to the Occupational Health and Safety Act. Alberta’s legislation is enforced by the provincial Ministry of Labour.
About 10% of the workforce is, however, covered by the OHS provisions in the federal government’s Canada Labour Code. The Canada Labour Code covers employees of the federal government. It also covers workers in industries that are, by their nature, interprovincial, such as banking, telecommunications, interprovincial transport, and uranium mining.
Each jurisdiction has its own amalgam of acts, regulations, policies, and guidelines. Broadly speaking:
• An act is a federal, provincial, or territorial law that sets out the broad legal framework around OHS in each jurisdiction. This legislation is passed by the legislature that has the authority to regulate work in the jurisdiction.
• A regulation typically sets out how the general principles of the Act will be applied in specific circumstances. A regulation is authorized by the government cabinet and is easier to change than an act. There may be several regulations that flow from an act, each addressing a different facet of the act.
• Guidelines and policies are more specific rules about OHS. These may or may not be legally enforceable, depending on what the act or regulation(s) of the jurisdiction permit.
The exact arrangement within each jurisdiction differs. For example, in Alberta, the bulk of the OHS rules appear in the Occupational Health and Safety Code. This code is a Ministerial Order (an order that the Minister of Labour can amend without cabinet or legislature approval) rather than a regulation (which requires cabinet approval to change).
There are also codes and standards that are established by various non-governmental bodies. For example, the Canadian Standards Association (CSA) and the American Conference of Governmental Industrial Hygienists (ACGIH) set standards that may affect the design of work. These standards and codes may be incorporated into OHS acts and regulations.
OCCUPATIONAL HEALTH AND SAFETY
Canadian OHS is based upon the internal responsibility system (IRS). The IRS assumes that workers and employers have a shared responsibility for workplace health and safety. Employers are obligated to take steps to ensure that workplaces are as safe as reasonably practicable.4 Employers are also required to advise workers of hazards and to require workers to use mandated safety equipment. The decision by governments to give employers the power to determine how to address workplace hazards bolsters employers’ broader management rights to control and direct work.
It can be difficult for employers to know when they have met their duty to make work as safe as reasonably practicable. Meeting the reasonably practicable standard means taking precautions “that are not only possible but that are also suitable or rational, given the particular situation.”5 The generally accepted test is that of due diligence. Due diligence is taking reasonable precautions and steps to prevent injury, given the circumstances. It is assessed using a three-part test:
1. Foreseeability: Reasonable employers are expected to know about the hazards of their business. Injuries that arise from events that other operators in the industry expect might occur are foreseeable events.
2. Preventability: Reasonable employers are expected to take steps to prevent injury. The normal steps include identifying hazards, preparing and enforcing safe working procedures, training and monitoring worker safety, and ensuring compliance with safety procedures. Injuries that arise because an employer did not take these steps are preventable injuries.
3. Control: Reasonable employers are expected to take action on hazards that they can control. Injuries that arise from such hazards suggest the employer failed to control these hazards.6
Employers who have taken the steps to address the hazards within their control to prevent foreseeable injuries have exercised their due diligence. This matters for two reasons. First, due diligence prevents injuries by controlling hazards. Second, if an injury occurs, employers who have completed the steps can use this due diligence as a defence to avoid penalties under OHS legislation.
To offset the power of employers under the IRS, governments have granted workers three safety rights:
1. Right to know: Workers have a right to know about the hazards they face in their workplace. While many hazards are readily apparent, chemical and biological hazards may not be. The right to know has given rise to systems such as the Workplace Hazardous Materials Information System discussed below, which provides workers with information about hazards materials and their safe handling.
2. Right to participate: Workers have the right to participate in workplace health and safety activities. Participation most often occurs through joint health and safety committees (JHSCs) but can be through other means. Box 2.2 discusses the effectiveness of JHSCs.
3. Right to refuse: Workers have the right to refuse unsafe work. The right to refuse represents one of the few instances where workers can disobey their employer. A refusal requires employers to investigate and remedy unsafe work. As we’ll see in Chapter 11, although the right to refuse sounds like a powerful right, it is one workers rarely use.
Box 2.2 Joint Health and Safety Committees
Joint health and safety committees are an important mechanism by which workers exercise their right to participate in OHS matters. JHSCs comprise employer and worker representatives who regularly meet to discuss health and safety issues. The “logic” of these committees is that they marry the job-specific knowledge of workers with the broader perspective of managers to identify and resolve OHS issues.
The legislative requirements for JHSCs vary by jurisdiction and organization size. Unions may also negotiate mandatory JHSCs into their collective agreements. Among the tasks JHSCs perform are conducting hazard assessments, providing education and training, and investigating incidents. While a JHSC can propose hazard mitigation strategies, OHS legislation empowers the employer to determine how to control such hazards. In this way, JHSCs are advisory committees rather than decision-making committees.
Research suggests that worker participation in OHS tends to be more effective in larger workplaces and in the presence of trade unions.7 Workers in smaller firms and in workplaces reliant upon various subcontracting and outsourcing arrangements are less likely to have access to JHSCs.8
How workers behave on JHSCs can influence the effectiveness of worker participation. Worker representatives who collect their own information about OHS, assert their knowledge about hazardous conditions, mobilize their co-workers to support demands for improvements, and propose alternative solutions appear to be more effective than more passive representatives.9 The effectiveness of this more activist orientation suggests employer OHS behaviours can be shaped by workers’ behaviour in the workplace, as well as by external enforcement by the state.
The role of the state in the IRS is primarily one of education and enforcement. Governments often run safety awareness campaigns aimed at workers (see Chapter 8). Governments also employ OHS officers who perform worksite inspections in order to identify health and safety violations and ensure their remediation. Inspections may be random or targeted (e.g., focusing on high-injury industries, such as residential construction). Inspections may also be triggered by worker complaints. Inspectors will also investigate serious workplace injuries and fatalities. Where inspectors find violations of OHS rules, they may order employers to remedy the situation. This is the most common response of OHS inspectors and can sometimes include issuing a stop-work order, which halts operations at the worksite until an unsafe situation is resolved. Some jurisdictions also give OHS inspectors the power to issue tickets or other financial penalties to workers and employers who are in contravention of OHS rules. The government can also seek to prosecute those who violate the law. This most often occurs when there has been a serious injury or fatality or a pattern of non-compliance with the law. Conviction can result in fines, jail time, or other penalties. Prosecutions are relatively rare in Canada.
Finally, Canada’s Criminal Code was amended in 2004 to allow for the criminal prosecution of individuals and organizations that direct the work of others when a worker is injured and the employer failed to meet its due diligence requirements. Criminal prosecution is designed to address cases of profound moral failings, such as the wanton disregard for safety that cost 26 workers their lives in 1992 at the Westray Mine in Nova Scotia. Only a handful of prosecutions under the Criminal Code have occurred, with few resulting in convictions.10 As set out in Box 2.3, governments’ tendency to educate and remediate OHS violators (rather than prosecute them) reflects the view that injuries are regulatory offences, not crimes.
Box 2.3 Safety crimes?
If you ran someone down in a parking lot, you would most likely face criminal prosecution and jail time—even if your action was unintentional. Yet, if you did the same thing on a worksite, you would mostly likely not be charged with a crime. Instead you (or your employer) might face prosecution under OHS legislation (although probably not) and the penalty most likely would be a fine, even if the violation resulted in a worker’s death.
That we treat workplace injuries differently from injuries that happen elsewhere shows that we socially construct workplace injuries differently from injuries that are the result of so-called criminal acts. In effect, safety violations are viewed as regulatory offences: offences that are wrong because they violate a law rather than being inherently immoral (i.e., a crime). For this reason, governments generally choose to regulate corporate misbehaviour through persuasion and education rather than through punishment.11
This framing of safety violations as regulatory offences is itself premised on the notion that employers and workers are “reasonable, of good faith, and motivated to heed advice.”12 The view of corporate activities as generally desirable combined with the widely adopted employer view that the risk of workplace injury is minimal, unavoidable, and acceptable (and likely the fault of workers anyhow) may help explain why corporate behaviour that injures workers is constructed as a regulatory violation rather than as a crime.
While it is broadly accepted that the IRS has improved workplace safety, there are a number of criticisms of the system:
1. Declining employee participation: The IRS is premised upon workers being willing to speak up about health and safety issues. The right to refuse requires workers to speak out. Government inspections of workplaces—which are often based upon worker complaints—require workers to give voice to their concerns. As shown in Box 2.2, workers also must be willing to speak out if JHSCs are to be effective. Yet workers are often reluctant to speak out because they fear employer retribution—retribution that is illegal but commonplace. The growth in precarious employment has also decreased the willingness of the growing number of insecurely employed workers to speak out.13 Decreasing employee participation fundamentally undermines the effectiveness of the system at identifying hazards and compelling employers to remediate them.
2. Inadequate enforcement: The role of the state in the IRS is to ensure employers follow the OHS rules via inspections and penalties. There is significant variation in enforcement activity between jurisdictions. For example, Alberta workplaces are inspected, on average, once every 14 years and it can take inspectors up to 18 days to respond to a complaint.14 Further, the rate of prosecution in Alberta is very low. This means employers face little risk of being caught violating OHS rules and no penalty if they are caught. Not surprisingly, Alberta has an abnormally high rate of workplace injury.15 While Alberta may be a stark example, all jurisdictions provide inadequate resources to allow effective enforcement. The dominant approach to OHS enforcement in Canada is to respond to complaints with occasional targeted “spot checks” on poor-performing employers or industries. Given the high rates of injury, prosecutions in Canada are rare.
3. Fracturing of employment: The growth in small and medium enterprises (SMEs) is problematic from a safety perspective. In 2013, there were 1,160,977 small enterprises (1–99 employees) and 20,356 medium-sized enterprises (100–499 employees) in Canada. The majority of small enterprises had only 1–4 employees, and all SMEs together comprised 99.8% of all enterprises.16 The sheer number of SMEs compounds the problems of under-inspection by the state.17 Further, SMEs are frequently part of complex subcontracting chains where it is unclear who is responsible for OHS. SMEs also have a higher injury rate than larger firms.18
These concerns about the effectiveness of the IRS suggest that the state has attempted to mediate the conflicting demands of workers (who want safety) and employers (who want flexibility to organize work in maximally profitable way). The result is a system that somewhat reduces, but does not eliminate, workplace injuries. Further, this system tends to benefit the decreasing proportion of workers in stable, full-time employment in large organizations more than the growing number of workers in SMEs and those who are employed precariously. In practice, it also means that workers represented by a union are more likely to experience the benefits of the system, for reasons explained in Box 2.4.
Box 2.4 IRS in unionized workplace
The IRS was designed to facilitate employers and workers working together to improve safety. In practice, as outlined above, the system lacks key elements needed to work effectively. A possible exception may be unionized workplaces. Key union functions are to give voice to workers and their interests and to construct formal mechanisms for resolving disputes. Union interventions in the workplace have the potential to strengthen and enhance the structures and rights established through IRS.
Unions can improve health and safety in the following ways:
• They can negotiate provisions in the collective agreement that strengthen worker safety rights and require safety standards that exceed legislative minimums
• Workers may gain increased knowledge of hazards and their legal rights through union education programs (see Chapter 8)
• Workers may be more likely to exercise their rights knowing that they are protected from reprisal by the grievance processes
• Worker participation on JHSCs can be more effective due to union training and a more active membership
• Unions have their own health and safety experts who can offer information and insight independent of the employer
Do unions make workplaces safer? For a period, the research into the so-called “union safety effect”—the degree to which unions lower workplace injuries—was mixed, showing that sometimes injury rates dropped and other times they were higher. The most recent literature suggests the mixed findings result from questionable empirical assumptions and the difficulty in isolating union effects.19 The current assessment is that unions do make workplaces safer due to their role in training, formalizing worker participation, and protecting workers who speak out.20
IRS is built on an assumption that there is a mutual interest in safety. From that logic an interesting (but likely false) axiom that has developed over the past 20 years is that safety somehow pays. This idea sits uneasily with the millions of work-related injuries experienced by Canadian workers each year. Box 2.5 takes up the question of whether (and for whom) safety pays.
2.5 Does safety pay?
Many safety professionals assert that “safety pays.” More specifically, they assert that organizations can increase their profitability by reducing the rate of workplace injury. Yet, rather oddly, there is no good evidence that this statement is true.
But you don’t need to be a researcher to know that. We know, from Chapter 1, that employers in capitalist economies are driven by the profit imperative. Essentially, employers generally seek to maximize profitability and organize work accordingly. If safety paid (i.e., was profitable), we would expect to see very few injuries because employers would eliminate injuries.
Yet what we see is, in fact, millions of workplace injuries each year. This strongly suggests that it is not safety that pays but rather a lack of safety. Basically, organizing work unsafely—using dangerous materials, failing to take safety precautions, or asking workers to work as quickly as possible—may be highly profitable. While there certainly are costs associated with workplace injury, employers can externalize many of these costs—pass them off—onto workers, their families, and taxpayers.
Injured workers may just “suck it up” and carry on. Their families may support them while they are injured. Workers and other taxpayers may pay for medical treatments and social assistance costs if the injury is not reported or accepted through workers’ compensation. As we’ll see, when workers do report injuries to the workers’ compensation system, the costs of those injuries are (mostly) spread across all employers in an industry group.
Andrew Hopkins examined the question of who benefits from injury reduction in Australia. Of the \$20 billion of estimated injury costs, 70% of the benefits of eliminating injuries accrued to workers and the state. This distribution of benefits creates very little incentive for employers to reduce injuries.21
Hopkins goes on to note that employers may not be significantly affected by large-scale accidents. For example, the death of 3000 and the injury of 300,000 people following a 1984 gas leak in Bhopal, India, resulted in large short-term costs to Union Carbide. Nevertheless, corporate restructuring led to record earnings per share in 1988.22
One of the less obvious effects of the “safety pays” narrative is that it downplays the need for more stringent government enforcement of OHS laws. If safety pays, the logic goes, why would the state need to check to see if employers had acted in what is (allegedly) the employers’ best interest?
OTHER LEGISLATION
Occupational health and safety laws are part of a broader web of rules that regulate employment. Other laws passed by legislatures that impact OHS include fire and building codes, occupational-specific regulations, laws regulating hazardous materials (both in the workplace and the broader environment), employment (or labour) standards, human rights, and workers’ compensation schemes.
Fire and building codes were among the earliest forms of occupational health and safety, many following from the deaths of 146 workers in New York’s Triangle Shirtwaist Factory fire of 1911.23 Governments subsequently required employers to provide for basic sanitation on worksites (e.g., sinks and toilets). More recently, the federal Hazardous Products Act established the Workplace Hazardous Materials Information System (WHMIS). WHMIS protects workers by requiring employers to label hazardous materials and provide material safety data sheets (MSDS) which outline the hazards of the substance. This information assists workers in exercising their right to know about workplace hazards. Each of Canada’s 14 jurisdictions have included aspects of WHMIS in their own OHS systems.24
Governments also regulate aspects of certain occupations. For example, workers whose job requires them to handle or use explosives may be required to undertake specific training and hold a permit. Governments have also enacted environmental laws that regulate air, water, and soil pollution, waste management, and climate change. While environmental regulations are not normally considered a part of occupational health and safety, there is no clear boundary between environmental hazards and workplace hazards. As set out in Box 2.6, workers are often the first group exposed to so-called environmental hazards, and their exposures are often the most intense.
Box 2.6 Lead poisoning
Lead is a significant health hazard. The accumulation of this heavy metal in the body interferes with a variety of processes, including the development of the nervous system. Among the chief sources of lead pollution is leaded gasoline, which was introduced in the 1920s to improve the performance of vehicle engines. Lead in car exhaust, as well as residue that settled in soils, resulted in widespread lead poisoning in North America, and lead was eventually phased out of gasoline. Globally, the elimination of leaded gasoline is expected to result in 1.2 million fewer premature deaths each year, unknown but significant reductions in other negative health effects, and \$2.4 trillion in annual benefits.25
While the 1970s is generally seen as the beginning of concern over lead, research by David Rosner and Gerald Markowitz found that governments, scientists, and corporations knew of many of these dangers in the 1920s. For example, on October 26, 1924, five workers died due to lead poisoning and another 35 exhibited severe neurological symptoms as a result of occupational exposures in the Standard Oil experimental labs in Elizabeth, New Jersey. This was one of many workplace incidents related to lead exposure.
Employers, including General Motors, DuPont, and Standard Oil, sought to quell growing public concern by linking leaded gasoline to industrial progress, noting that innovation entails risk and suggesting the workplace injuries and fatalities were the result of worker carelessness.26 Herein we see the traditional employer perspective at work: the risk of injury is minimal, unavoidable, and acceptable. Never mind that the facts show the risk of injury was significant (80% of workers were poisoned!) and could have been avoided by not using lead.
While public concern over the health effects of lead slowed its adoption, the absence of definitive proof that lead in gasoline was hazardous limited the willingness of governments to prevent its use. This case shows how the lack of scientific certainty can impede harm prevention. Scientific certainty means researchers are 95% certain that cause and effect have been correctly identified. As we’ll see in Chapter 5, the rigour associated with scientific certainty is frequently a barrier to protecting workers from hazardous substances.
Requiring high-quality proof that a substance will cause harm (proof which would be available only after the introduction of the hazardous material . . . ) is often used to postpone regulation. This approach stands in contrast to the precautionary principle. The precautionary principle suggests that it falls to the proponent of an activity to establish that the activity will not (or is very unlikely to) cause harm. The precautionary principle recognizes that the world is a complex place and the absence of scientific certainty should not preclude regulating potentially hazardous materials or activities.
All Canadian jurisdictions have enacted laws setting out the minimum terms and conditions of work. These employment standards (or labour standards) acts often outline maximum hours of work and required rest breaks. As we’ll see in Chapter 7, these requirements prevent workers from becoming overly tired, which increases the risk of injury. Employment standards legislation also usually contains limits on the employment of minors, reflecting their greater vulnerability to occupational injury due to their physical and intellectual immaturity. Finally, such laws preclude employers from recovering the cost of customer theft from workers’ wages. As the vignette at the beginning of this chapter suggests, though, employment standards laws are unevenly enforced, thereby reducing their contribution to injury prevention.
Finally, it is necessary to consider the impact of human rights legislation on OHS. Human rights acts preclude discrimination on various grounds, such as gender, family status, age, sexual orientation, and disability. In Chapter 10, we will explore the duty to accommodate injured workers that flows from human rights legislation. In short, employers are expected to modify work and workplaces, up to the point of undue hardship for the employer, so as not to discriminate against workers with temporary or permanent disabilities.
In addition to the duty to accommodate workers, employers must also be mindful of the potential for OHS activities to discriminate against women on the basis of their gender. In theory, women face the same workplace hazards as men. In practice, occupational segregation by gender means women and men often face different hazards. Further, the male norm often means that equipment, work process, workplace norms, and safety standards are designed for male workers. Women’s physiology and the greater role women typically shoulder in social reproduction are often ignored.27
The one exception to this is reproductive hazards. There is significant research about how workplace hazards can affect fetuses. The most common response to such risks is to remove the female worker from the workplace (to control exposure), rather than removing the hazard from the workplace (which would likely benefit all workers). This response is likely economically efficient for employers: redeploying pregnant workers is less costly than redesigning work. Yet reassignment effectively penalizes women for bearing children.28
WORKERS’ COMPENSATION
Being injured on the job affects workers in many ways. Historically, injury has often meant poverty, because injured workers frequently can’t work. At the beginning of the 20th century, provincial governments enacted workers’ compensation systems to provide injured workers with wage-loss benefits, medical treatment, and vocational rehabilitation. Prior to the creation of workers’ compensation, workers injured on the job were forced to sue their employers for compensation. Workers often could not afford to sue, and if they did sue they rarely won, which meant injured workers often ended up financially dependent upon their families or charity. The unfairness of this system was a source of significant social instability, and governments enacted workers’ compensation laws to partly address workers’ needs and thereby stave off industrial and social conflict.29 In exchange for immediate, predictable, and stable compensation, injured workers gave up their right to sue their employer for workplace injury. This exchange is often called the historic compromise.
The Ontario workers’ compensation system, which was Canada’s first, was based upon the recommendations of a 1913 Royal Commission on Workers’ Compensation headed by William Meredith.30 The Meredith principles underlying workers’ compensation remain the basis for workers’ compensation in Canada:
1. No fault: How the injury occurred is irrelevant. Compensation is paid on a no-fault basis and workers cannot sue their employer.
2. Accident fund: The WCB maintains an accident fund to guarantee the availability of benefits over time.
3. Collective liability: All employers pay premiums and thereby share the cost of injuries collectively.
4. Independent administration: The WCB—which operates independently of employers, workers, and the state—administers the workers’ compensation system.
5. Exclusivity: The WCB is the only provider of workers’ compensation. This differs from arrangements in some US states where multiple private insurers offer compensation. The WCB is also the final arbiter of all claims.
Every province and territory has established a WCB that operates under these principles. When workers experience a serious work-related injury (e.g., the worker requires medical aid or can’t go to work the next day), the worker, employer, and doctor are all required to report the injury to the WCB. In assessing whether an injured worker is eligible for benefits, the WCB uses the two-part “arises-and-occurs” test. To be compensable, an injury must be caused by an event arising out of, and occurring during the course of, employment. As noted in Chapter 1, it is easier to determine if some injuries arose and occurred than others. Box 2.7 unpacks the arises-and-occurs test.
Box 2.7 Did an injury arise and occur?
Injuries arise out of employment when they are caused by the nature, conditions, or obligations of employment. That is to say, injuries arise from employment when they are caused by an employment hazard. Injuries that happen at times and places consistent with the obligations and expectations of employment occur in the course of employment. This can include injuries that occur outside of normal hours of work or off the employer’s premises (e.g., running an errand for your employer on your drive home) so long as there is some relationship between employment expectations and the time and place of the injury.31
Acute physical injuries in the workplace with clear causal mechanisms are almost always accepted. When the facts of a claim are ambiguous, WCBs use the balance of probabilities test to assess compensability (i.e., is it more likely than not that the injury arose from and occurred in the course of employment). In cases where it is very hard to sort out whether an injury is caused by work, WCBs will often use the but for standard. If the injury would not have occurred but for the work, the injury is deemed to have arose and occurred. This means the work does not have to be the sole, predominant, or major cause of an injury, but work must be necessary for the injury to have occurred.
Where it is not possible to determine if an injury arose or occurred, workers’ compensation legislation generally gives the benefit of the doubt to the injured worker. Some workers’ compensation systems also grant presumptive status to certain types of injury. Certain diseases, for example, are so closely linked with certain kinds of work (e.g., farming and farmer’s lung) that claims are presumed to have arisen and occurred unless there is evidence otherwise.
Once an injury has been found to be compensable, workers are eligible to receive wage-loss, medical, and vocational rehabilitation benefits. Wage-loss benefits provide financial compensation to workers whose income is reduced by an injury. The level of wage-loss benefit and when wage-loss benefits commence varies by jurisdiction, although rates are set so that workers ordinarily receive less than their regular wage. Injured workers can also receive medical and vocational rehabilitation benefits. Medical benefits cover the costs of treating an injury, thereby relieving workers and the taxpayer-funded health care system of these costs. Vocational rehabilitation benefits include programs designed to increase the probability of a worker returning to employment. When a worker dies as the result of a workplace injury, the worker’s dependents are eligible to receive fatality benefits, including funeral costs and wage-loss benefits.
While workers’ compensation entails significant benefits to injured workers, the administration of these benefits has come under heavy criticism. Injured workers often report that their interactions with the WCB—wherein workers’ claims are often met with skepticism and workers are sometimes surveilled—can be psychologically damaging.32 Injured workers are also more likely to live in poverty.33 In some jurisdictions, workers face having their wage-loss benefits reduced because the WCB deems them to be employable, even though they have been unable to find a job.34 These concerns are often related to the way workers’ compensation is funded and, in particular, to the operation of experience-rating systems.
Employers fund workers’ compensation by paying premiums. Premiums are based upon an employer’s payroll multiplied by the assessment rate the WCB has set for the industry in which the employer operates. Typically premiums are expressed in the form of X dollars per \$100 of payroll. Some provinces further modify individual employer’s premiums based upon the employer’s claims record. These experience-rating systems reward employers that have low claim costs and penalize employers that have high claim costs. As we saw in Chapter 1, experience rating is a controversial system. Linking claim costs to premium rebates does reduce the number and duration of claims, but it is unclear if this means an actual reduction in the number or severity of injuries or reflects employer gaming of the experience-rating system.35 Gaming may include suppressing claims as well as disputing worker claims, thereby undermining the no-fault basis of workers’ compensation.
Many injured workers are able to perform productive work while they are recovering from injuries. Providing workers with an opportunity to return to work (RTW) by, for example, modifying their duties may help workers recover. The idea that return-to-work is rehabilitative is hotly contested, and we will read more about this controversy in Chapter 10.36 Less controversial is that RTW programs help employers minimize their claims costs.37 Such programs also ensure that employers meet the duty to accommodate workers found in human rights legislation.
SUMMARY
This chapter outlined the legal framework the state has enacted to prevent and compensate work-related injuries. The 2012 death of Jayesh Prajapati shows us that the state does not necessarily act to prevent every workplace injury or enforce every workplace law. To date, Ontario—facing opposition from employers—has not required gas station owners to adopt pay-before-you-pump systems, and wage theft remains an endemic issue. This example suggests that to fully appreciate how injury prevention and compensation laws operate we have to be prepared to understand both the technical requirements of the laws and the political economy of their enforcement.
Canadian governments have made employers and workers jointly, but not equally, responsible for OHS via the IRS. Growing precarity and a shift toward SMEs have undermined workers’ ability and willingness to effectively exercise their rights—rights that are designed to act as a check on management rights in the workplace. In addition to OHS laws, governments have passed other legislation that makes workplaces safer, including fire and building codes and hazardous materials and environment protection regulations. These laws have mostly been enacted after harm has occurred—when there is scientific certainty—instead of beforehand. Again, we see how politics and the conflicting imperatives of production and legitimacy affect state regulation of OHS.
It is interesting to note that the Canadian government’s first major foray into OHS was around injury compensation rather than injury prevention. Governments acted to address injury compensation to avoid the social instability that was caused by injury-related poverty. Workers’ compensation alleviated much of the poverty wrought by workplace injury while shielding employers from liability. The benefits accrued by workers (compensation), employers (liability protection), and the state (social stability) likely play an important role in the long-term stability of the workers’ compensation system. That said, workers’ compensation has been marred by various employer efforts to roll back the benefits to workers and cost to employers.
DISCUSSION QUESTIONS
• What are the occupational health and safety (OHS) rights and obligations of workers and employers?
• How does the internal responsibility system (IRS) operate? What challenges does the IRS face?
• How effective are state OHS enforcement efforts? What might states do to make enforcement more effective?
• What are the Meredith principles? How are they related to the historic compromise embodied in workers’ compensation?
• How does experience rating reintroduce fault to workers’ compensation? What impact does experience rating have on the operation of the system?
EXERCISE
Go online and find your jurisdiction’s rules around the workers’ right to refuse. Write a 500-word answer to the following questions:
1. Explain the circumstances in which workers can refuse unsafe work or the tests applied to determine if work is unsafe.
2. Outline the process by which workers refuse unsafe work.
3. Explain what an employer must do when faced with a worker refusal.
4. Identify the consequences if an employer coerces an employee to perform unsafe work.
5. If you were a worker, why might you be reluctant to refuse unsafe work?
NOTES
1 CBC. (2012, September 20). Worker claims she was asked to pay for gas and dash. http://www.cbc.ca/news/canada/toronto/worker-claims-she-was-asked-to-pay-for-gas-and-dash-1.1128621
2 CBC. (2012, September 19). Ontario to probe gas-and-dash death: MPP to introduce ‘pay before you pump’ private member’s bill Thursday. http://www.cbc.ca/news/canada/toronto/ontario-to-probe-gas-and-dash-death-1.1157251
3 610 CKTB News. (2015, June 16). The gas and dash, pre-pay at the pump debate. http://www.610cktb.com/news/2015/06/16/the-gas-and-dash-pre-pay-at-the-pump-debate
4 For example, Section 3-8(a) of the Saskatchewan Employment Act (2013) states:
“3‐8 Every employer shall:
(a) ensure, insofar as is reasonably practicable, the health, safety and welfare at work of all of the employer’s workers;”
5 Government of Canada, Labour Program. (1993). Labour Standards Interpretations, Policies and Guidelines 808/819-IPG 057, p. 4.
6 Government of Alberta. (2005). Due diligence. Edmonton: Employment and Immigration.
7 Nichols, T., & Walters, D. (2009). Worker representation on health and safety in the UK – Problems with the preferred model and beyond. In D. Walters & T. Nichols (Eds.), International perspectives on representing workers’ interests in health and safety (pp. 19–30). Basingstoke: Palgrave Macmillan.
8 Johnstone, R. (2006). Regulating occupational health and safety in a changing labour market. In C. Arup, P. Gahan, J. Howe, R. Johnstone, R. Mitchell, & A. O’Donnell (Eds.), Labour law and labour market regulations (pp. 617–634). Sydney: Federation Press.
9 Hall, A., Forrest, A., Sears, A., & Carlan, N. (2006). Making a difference: Knowledge activism and worker representation in joint OHS committees. Relations Industrielles/Industrial Relations, 61(3), 408–436.
10 Bittle, S. (2012). Still dying for a living: Corporate criminal liability after the Westray mine disaster. Vancouver: University of British Columbia Press.
11 Tombs, S., & Whyte, D. (2007). Safety Crimes. New York: Routledge.
12 Braithwaite, J. (1989). Crime, shame and reintegration. Cambridge: Cambridge University Press, p. 131.
13 MacEachen, E., Lippel, K., Saunders, R., Kosny, A., Mansfield, E., Carrasco, C., & Pugliese, D. (2012). Workers’ compensation experience-rating rules and the danger to workers’ safety in the temporary work agency sector. Policy and Practice in Health and Safety, 10(1), 77–95.
14 Barnetson, B. (2015). Worker safety in Alberta: Trading health for profit. In M. Shrivastava & L. Stefanick (Eds.), Alberta oil and the decline of democracy in Canada (pp. 225–248). Edmonton: Athabasca University Press.
15 Morassaei, S., Breslin, C., Ibrahim, S., Smith, P., Mustard, C., Amick, B., Shankardass, K., & Petch, J. (2013). Geographic variation in work injuries: A multilevel analysis of individual-level data and area-level factors within Canada. Annals of Epidemiology, 23, 260–266.
16 Industry Canada. (2015). SME Research and Statistics. Ottawa: Author. http://www.ic.gc.ca/eic/site/061.nsf/eng/Home
17 Weil, D. (2011). Enforcing labour standards in fissured workplaces: The US experience. The Economic and Labour Relations Review, 22(2), 33–54.
18 Hasle, P., & Limborg, H. (2006). A review of the literature on preventive occupational health and safety activities in small enterprises. Industrial Health, 44, 6–12.
19 Morantz, A. (2014). The Elusive Union Safety Effect: Toward a New Empirical Research Agenda. Labour and Employment Relations Association 61st Annual Proceedings, 130–146.
20 Yi, K. H., Cho, H. H., & Kim, J. (2011). An empirical analysis on labor unions and occupational safety and health committees’ activity, and their relation to the changes in occupational injury and illness rate. Safety and Health at Work, 2(4), 321–327.
21 Hopkins, A. (1999). For whom does safety pay? The case of major accidents. Safety Science, 32, 143–153.
22 Lepkowski, W. (1994). The restructuring of Union Carbide. In S. Jasanoff (Ed.), Learning from disaster: Risk management after Bhopal (pp. 22–43). Philadelphia: University of Pennsylvania Press.
23 Von Drehle, D. (2003). Triangle: The fire that changed America. New York: Atlantic Monthly Press.
24 You can learn more about WHMIS at http://whmis.org/
25 Tsai, P., & Hatfield, T. (2011). Global benefits from the phaseout of leaded fuel. Journal of Environmental Health, 74(5), 8–14.
26 Rosner, D., & Markowitz, G. (1989). “A gift of God”?: The public health controversy over leaded gasoline during the 1920s. In D. Rosner & G. Markowitz (Eds.), Dying for work: Workers’ safety and health in twentieth-century America (pp. 121–130). Bloomington: Indiana University Press.
27 Messing, K., Neis, B., & Dumais, L. (Eds.). (1995). Invisible: Issues in women’s occupational health. Charlottetown: Gynergy books.
28 Messing, K. (1998). One-eyed science: Occupational health and women workers. Philadelphia: Temple University Press.
29 Risk, R. (1983). This nuisance of litigation: The origins of workers’ compensation in Ontario. In D. Flaherty (Ed.), Essays in the history of Canadian law (Vol. 2, pp. 418–491). Toronto: University of Toronto Press.
30 The Meredith Report can be viewed at http://awcbc.org/wp-content/uploads/2013/12/meredith_report.pdf
31 Gilbert, D., & Liversidge, A. (2001). Workers’ compensation in Ontario: A guide to the Workplace Safety and Insurance Act (3rd ed.). Aurora: Canada Law Book.
32 Lippel, K. (2007). Workers describe the effect of the workers’ compensation process on their health: A Québec study. International Journal of Law and Psychiatry, 30, 427–443.
33 Ballantyne, P., Casey, R., O’Hagan, F., & Vienneau, P. (2016). Poverty status of worker compensation claimants with permanent impairments. Critical Public Health, 26(2), 173–190. doi: 10.1080/09581596.2015.1010485
34 Barnetson, B. (2010). The political economy of workplace injury in Canada. Edmonton: Athabasca University Press.
35 Tompa, E., Hogg-Johnson, S., Amick, B., Wang, Y., Shen, E., Mustard, C., Robson, L., & Saunders, R. (2013). Financial incentives for experience rating in workers’ compensation: New evidence from a program change in Ontario, Canada. Journal of Occupational and Environmental Medicine, 55(3), 292–304.
36 MacEachen, E., Ferrier, S., Kosny, A., & Chambers, L. (2007). A deliberation on ‘hurt versus harm’ in early-return-to-work policy. Policy and Practice in Health and Safety, 5(2), 41–62.
37 Tompa et al. (2013). | textbooks/workforce/Construction/Health_and_Safety_in_Canadian_Workplaces_(Foster_and_Barnetson)/1.02%3A_Legislative_Framework_of_Injury_Prevention_and_Compensation.txt |
Learning Objectives
After reading this chapter, you will be able to:
• Understand the principles of hazard recognition and the process for identifying hazards in a workplace.
• Identify the ways to assess the seriousness of a hazard.
• Discuss the assumptions built into a “risk” approach to controlling hazards.
• Describe the different types of hazard controls and their relative merits and shortcomings.
• Consider the challenges in identifying hazards in non-standard work environments.
On July 25, 2008, 15-year-old Andrew James was working as a labourer for Interlake Paving in Stony Mountain, Manitoba. Interlake, a small company owned by Gerald Shepell, had been contracted to pave a parking lot. James was standing on the box of a semi-trailer, scooping out asphalt with a shovel. The trailer gate unexpectedly swung open, shaking the truck. James lost his footing and fell into the asphalt in the trailer, which quickly poured out through the trailer gate onto the ground, burying him. James died almost immediately from the intense heat of the asphalt. Shepell tried to dig James out, sustaining severe burns to his own hands, arms, feet, and legs.1 Shepell later pled guilty to breaches of the Workplace Safety and Health Act and the Employment Standards Code (James was under-age) and was fined \$34,000.2
The key to preventing workplace injuries and fatalities is to identify hazards and control them. In the case of Andrew James, the process of Hazard Recognition, Assessment, and Control (HRAC) would have identified the risks posed by the trailer’s inadequately latched gate, the unsafe unloading practices, the absence of an emergency plan, and other issues. It might also have raised questions about the adequacy of the training provided to James, the legality of his employment, and the OHS complexity of mobile workplaces—workplaces where the hazards are ever-changing.
This chapter examines how workers and employers identify, prioritize, and control workplace hazards. As we saw in Chapter 1, a workplace hazard is anything that might harm, damage, or adversely affect any person or thing under certain conditions at work. It can be an object, process, context, person, or set of circumstances which has the potential to create injury or ill health. While this definition may seem vague, it is intentionally vague in order to ensure that anything that could potentially harm a worker is included. Hazard recognition (which is sometimes called hazard identification) is the systematic task of identifying all hazards present, or potentially present, in a workplace. It is the first step of any HRAC process. The second step is hazard assessment (which is sometimes called hazard analysis). In a hazard assessment, workers and employers determine which of the hazards needs to be addressed most urgently. Finally, the hazard control process sees preventive and corrective measures implemented to eliminate or mitigate the effect of the hazard(s).
The core purpose of HRAC is to methodically identify and control workplace hazards. Some hazards are easier to identify than others. For example, it is easy to see that an extension cord lying across a busy hallway may cause someone to trip. It is more difficult to determine if a cleaning agent is toxic or if a machine is producing too much noise. Even more challenging is identifying factors that are increasing stress among workers or are the precursors of harassment. Similarly, some hazards are also easier to control than others. Eliminating the hazard posed by the extension cord is a quick and easy fix. Other hazards may be much more expensive to control or may reflect a core aspect of the production process. Some controls may be complex, requiring multi-faceted solutions. Further complicating the HRAC process are the conflicting interests between workers and employers around hazards discussed in Chapter 1. Employers and workers might disagree over what constitutes a hazard, how serious the hazard is, and what the most appropriate control should be. As set out in Box 3.1, even the language around HRAC can be both contested and confusing.
Box 3.1 The language of risk: Accidents versus incidents
The terminology around hazards and HRAC can be inconsistent and confusing. The terms accident and injury are often used interchangeably. Accident is most often used to mean an event that leads to some degree of harm. Yet the HRAC process asks us to think more broadly than just in terms of injury events. The term incident is most often used to mean any undesired event that leads to or could have led to harm to workers. This includes injury events as well as near miss events (i.e., where the event did not lead to harm but only because of happenstance or luck). When talking about incidents, we also need to be mindful that incidents can include specific, time-bounded events (e.g., a slippery floor) as well as general conditions or the presence of something harmful (e.g., long-term exposure to a carcinogen).
Recently, some practitioners have advocated eliminating the use of the word accident in the workplace context. This group contends that the term accident implies the injury event was unforeseeable and, therefore, not preventable. This runs counter to the logic of HRAC, which argues that “accidents” arise from uncontrolled hazards and thus can be prevented. Further, the use of the term accident leads toward a focus on what the worker was doing and away from what root causes may have contributed to the event, entrenching the careless worker myth. While industry practice varies, this textbook will refer to incidents as the catch-all phrase for undesired events.
Box 3.1 The language of risk: Accidents versus incidents
The terminology around hazards and HRAC can be inconsistent and confusing. The terms accident and injury are often used interchangeably. Accident is most often used to mean an event that leads to some degree of harm. Yet the HRAC process asks us to think more broadly than just in terms of injury events. The term incident is most often used to mean any undesired event that leads to or could have led to harm to workers. This includes injury events as well as near miss events (i.e., where the event did not lead to harm but only because of happenstance or luck). When talking about incidents, we also need to be mindful that incidents can include specific, time-bounded events (e.g., a slippery floor) as well as general conditions or the presence of something harmful (e.g., long-term exposure to a carcinogen).
Recently, some practitioners have advocated eliminating the use of the word accident in the workplace context. This group contends that the term accident implies the injury event was unforeseeable and, therefore, not preventable. This runs counter to the logic of HRAC, which argues that “accidents” arise from uncontrolled hazards and thus can be prevented. Further, the use of the term accident leads toward a focus on what the worker was doing and away from what root causes may have contributed to the event, entrenching the careless worker myth. While industry practice varies, this textbook will refer to incidents as the catch-all phrase for undesired events.
HAZARD RECOGNITION
The HRAC process starts with comprehensively identifying all the hazards in a workplace. As noted in Chapter 1, there are five broad categories of hazards:
1. Physical hazards typically (but not always) entail a transfer of energy from an object, such as a box falling off a shelf, which results in an injury. These are the most widely recognized hazards and include contact with equipment or other objects, working at heights, and slipping. This category also includes noise, vibration, temperature, electricity, atmospheric conditions, and radiation. All of these hazards can create harm in certain contexts.
2. Ergonomic hazards occur as a result of the interaction of work design and the human body, such as work-station design, tool shape, repetitive work, requirements to sit/stand for long periods, and manual handling of materials. Ergonomic hazards are often viewed as a subset of physical hazards. For the purposes of hazard assessment, it is useful to consider them separately because they are often overshadowed by more obvious physical hazards. We examine both physical and ergonomic hazards in more detail in Chapter 4.
3. Chemical hazards cause harm to human tissue or interfere with normal physiological functioning. The short-term effects of chemical hazards can include burns and disorientation. Longer-term effects of chemical hazards include cancer and lead poisoning. While some chemical substances are inherently harmful, ordinarily safe substances can be rendered hazardous by specific conditions. For example, oxygen is essential to human life, but in high doses can be harmful.
4. Biological hazards are organisms—such as bacteria, molds, funguses—or the products of organisms (e.g., tissue, blood, feces) that harm human health. We examine both chemical and biological hazards in more detail in Chapter 5.
5. Psycho-social hazards are social, environmental, and psychological factors that can affect human health and safety. These hazards include harassment and violence but also incorporate issues of stress, mental fatigue, and mental illness. We examine psycho-social hazards in Chapter 6.
In Chapter 7, we will also look at how the structure of work and the employment relationship can pose a hazard to workers’ health. Recognizing each type of hazard requires different methods and approaches. Analyzing each category of hazard separately allows us to consider the specific issues associated with the category.
There are many ways to identify hazards in a workplace. There are many companies and consultants offering commercial hazard assessment packages to employers for a fee. The pre-prepared packages can help establish a framework upon which to build. There are also free resources available from reliable organizations, such as the Canadian Centre for Occupational Health and Safety and the Occupational Safety and Health Administration in the United States, which allow the hazard assessment process to be tailored to specific workplaces. A common feature of robust hazard recognition systems is that they examine the workplace from multiple perspectives to ensure that all hazards are identified.
It is useful to start the hazard assessment process by considering the nature of the work and workplace. The context of work affects the type of hazards in the workplace. For example, recognizing that work takes place at a remote workplace—such as a tree-planting operation or oil-field drilling site—raises issues of emergency response times, travel hazards, and working alone. Similarly, if workers are hired on a part-time or temporary basis, this may affect communication and training. Vulnerable workers—such as newcomers to Canada or youths—may be reluctant to identify hazards for fear of losing their jobs. These examples demonstrate that hazards do not merely reside in the task of working but also in the wider context of the employment relationship. One of the common omissions in hazard recognition is ignoring the underlying factors that lead to the creation of hazards. A narrower scope of recognition fits the employer’s interests in limiting safety to proximate causes but it can undermine the effectiveness of the HRAC process.
There are a variety of hazard-identification techniques, and these are often used in combination to create a fuller picture of a workplace’s hazards:
• Inspecting the workplace: Physically observing the workplace and how work is performed within it is a powerful step in identifying hazards. The inspection should not be limited to considering physical objects, such as machines, tools, equipment, and structures, but should also include observing processes, systems, and work procedures.
• Talking with workers: Passive observation can miss many important aspects of how work is performed. Getting the perspective of the people conducting the work will reveal other insights. This can be done informally through discussions or through more formal means such as surveys or interviews.
• Job inventory: Acquiring job descriptions and specifications can also reveal hazards. Mapping out the flow of work to create a task analysis allows for a systematic examination of how a job is supposed to be conducted. It is important to compare this data with worker interviews to identify instances where work practices differ from formal procedures.
• Records and data: Reviewing records of previous workplace incidents, safety reports, and other documentation can yield useful information about the hazards in a workplace.
• Measuring and testing: Sometimes, to discover if something is a hazard, you will need to measure or test it. This is particularly true for noise, chemical hazards, and biological hazards.
• Research: Knowing something is present in the workplace may be insufficient to determine if it is a hazard. You may need to conduct research on a substance, material, design, or environment to assess its potential for harm.
The hazard identification process must be carefully documented. Hazard identification forms should break the identified hazards into their main types as well as by work area, job, or process performed. There are many generic forms available online. It will be necessary to adapt these to reflect the nature of the work and the workforce.
It is important to remember that hazard recognition is not simply a technical task of cataloguing potential dangers. The process of hazard recognition is situated at the core of the conflict over what is defined as a workplace hazard. As such, the assumptions that are adopted and the interests that are served can have a profound impact. If we return to the carpal tunnel syndrome example from Chapter 1, assumptions about the nature of women’s work caused a failure to recognize hazards to which women were being exposed to, and as a result those hazards went uncontrolled for longer than was necessary.
Box 3.2 Hazard indentification in small enterprises
Small enterprises—those with fewer than 100 workers—have higher rates of workplace incidents.3 There are many reasons for this heightened risk of injury, including the highly personalized nature of the employment relationship in smaller enterprises (we’ll discuss this further in Chapter 7) and a lack of safety resources, knowledge, and capacity.4 Small enterprises are less likely to conduct hazard evaluations, which leads to higher levels of incidents.5 Smaller employers also often lack access to information and resources that can facilitate effective hazard assessment. They do not have in-house safety professionals to lead the process, and they lack training capacity.
In general, the lack of knowledge and experience found in small enterprises decreases the likelihood that a thorough hazard assessment will be conducted. Compounding this problem is that many of the existing hazards assessment processes and resources are aimed at larger enterprises and may be ill-suited for a small operation. Small employers are also more likely to leave issues of workplace health and safety in the hands of their employees, which discourages effective HRAC.6
The challenges to implementing an effective HRAC in small enterprises can be significant. There are issues of resources as well as incorrect perceptions. Small employers possess fewer resources (in terms of time and money) for conducting HRAC, which leads to inadequate assessments. Further, the cost of implementing controls can be more challenging for a smaller employer. Small employers (and their workers) may also feel that the requirements written into legislation don’t apply to their small operation and may instead rely on “informal” mechanisms for ensuring safety. These informal measures are less effective than formal HRAC processes. In general, small employers do not devote sufficient time and energy to safety.7
In addition to being legally required across Canada, hazard identification is important for small enterprises because they have less room for error than larger enterprises. Work processes tend to be completed by fewer people and in less time. This means there are fewer opportunities to consider safety issues and fewer people to monitor compliance. As we saw in the vignette at the start of this chapter, the distance between employer and worker can also be short—often the employer performs substantially the same work alongside the workers.
One of the ways to overcome the challenges of HRAC in small enterprises is to start early. It is smart to ensure that safe work processes are established at the beginning of operation because these processes can be difficult to alter once they are established.8 Formalizing safety processes is also very important in order to overcome peer pressure to let safety issues slide. While formal safety processes might feel “strange” at first, they are a crucial step to ensuring a safer workplace in small enterprises.
The closer ties between workers and employers can also aid employers in identifying hazards and hazard mitigation strategies, as it is easier for worker concerns to reach key decision makers. That said, workers in small enterprises may be reluctant to raise safety concerns when their employment is dependent upon their direct relationship with the employer.9 This speaks, once again, to the importance of establishing formal mechanisms for addressing safety issues.
HAZARD ASSESSMENT
Once hazards have been identified, it is necessary to prioritize which hazards will be controlled first. Much like hazard recognition, hazard assessment is not just a technical practice. Through prioritizing, certain hazards will be brought to the forefront, and will therefore be more likely to be controlled, while others will be downgraded and likely receive little or no attention. It is important to be mindful of who benefits and who is harmed by the prioritization decisions.
Risk assessment is a common tool used by those determining the priorities in hazard assessment. Risk is the likelihood that a hazard will result in injury or ill health. A risk assessment quantifies the likelihood of injury or ill health by assessing the probability, consequences, and exposure posed by the hazards:
• Probability is the likelihood that the hazard will result in an incident.
• Consequences refers to the severity of injury or ill health that will result from an incident.
• Exposure refers to how often or regularly workers come in contact with the hazard.
Figure 3.1 gives an example of a simplified tool for assessing the probability, consequences, and exposure associated with a hazard. Assessors use the description (e.g., rare, possible, probable, or likely). Each descriptor is then assigned a numerical value (e.g., 1, 2, 3, or 4).
Figure 3.1 Simplified Risk Assessment Tool
Once the probability, consequences, and exposure of a hazard have been quantified, they can be inputted into a mathematical formula to quantify the risk:
risk = probability × consequences × exposure
The greater the final number, the greater the risk posed by the hazard. Quantifying risk allows us to compare the relative risk of several hazards. For example, workers in a gas station face all manner of hazards, including slippery surfaces, gasoline fumes, and the potential for robbery. Without looking at the assessment below, which of these three hazards should the employer control first? Most people tend to say robbery. Yet quantifying the risks suggests that robbery poses the least risk of the three hazards:
1. Slippery surfaces: Possible (2) × Significant (3) × Frequent (3) = 18
2. Exposure to gasoline fumes: Possible (2) × Significant (3) × Continuous (4) = 24
3. Robbery of cash on premises: Rare (1) × Catastrophic (4) × Continuous (4) = 16
Risk assessment tools allow the assessor to compare hazards, either overall or on a factor-by-factor basis, in order to identify which hazards should have the highest priority for control. It may be important, for example, to note that robbery poses the least risk of the three hazards but has the highest level of consequence and is a hazard to which workers are continuously exposed. These features may influence the type of control that is appropriate (see below).
There are several criticisms of this approach to risk assessment. Quantifying risk imparts a veneer of objectivity that can obscure underlying assessor bias and support decisions that have already been made (which tends to benefit the employer). Consider the gas station analysis that identified exposure to fumes as the hazard with the highest risk. Despite the high risk posed by the exposure, employers have made little effort to control it. This may be because such controls would be very costly. This may also reflect the fact that the health consequences of the exposure have a long latency period and are difficult to relate to the exposure. In this way, risk assessment contributes to employers’ cost-benefit approach to hazard control.10
Risk assessors may also possess imperfect information and struggle to fully consider all possible outcomes.11 For example, risk assessment can entrench existing biases toward more acute, easier-to-solve hazards (e.g., trips and falls) and downplay risks that have longer-term consequences (e.g., repetitive strain injuries). This reproduces a long-standing bias in the OHS regime that “favours” acute injuries over ill health.
Risk assessment may also entrench biases against certain types of workers or work. For example, many doctors will diagnose lateral epicondylitis (i.e., tennis elbow) after a few hours of casual tennis play but will be reluctant to make a similar diagnosis for workers who have pulled and stripped wire 50 hours per week for six months. Both activities require forceful exertions of the wrist and elbow joints.12 The explanation for this different treatment may be as simple as the fact that doctors have first-hand experience with tennis but not manual work.
Workers who are members of traditionally undervalued groups may face similar bias. Consider the delay in recognizing carpal tunnel syndrome that we read about in Chapter 1. This delay was directly caused by a refusal to recognize the demanding nature of so-called women’s work (e.g., clerical tasks, housekeeping). This dynamic has significant potential consequences for women, Aboriginals, youth, and visible minorities who tend to possess lower social status and who disproportionately have jobs that are less socially valued. Diminishing the effect of systemic bias against particular kinds of work or workers is one reason most jurisdictions require worker involvement in hazard assessment (see Box 3.3).
Similarly, risk assessment has a tendency to individualize risk, which means that decisions focus on the number of people potentially affected rather than the broader social goals of reducing risk overall. This focus results in individuals bearing disproportionate degrees of risk depending on their social position and how unusual their exposure is. If few people are likely to be affected, risk assessment can downgrade the importance of the hazard.13
These shortcomings are not necessarily caused by conscious choices on the part of practitioners. They are a product of certain assumptions built into the model that reproduce existing biases in the OHS regime and narrow the scope of what is considered a legitimate hazard requiring attention. It is important to recognize the shortcomings of adopting a risk assessment model and consider alternatives that allow for a broader understanding of how to assess the consequences of not controlling a hazard. At a minimum, risk assessments should be complemented by more qualitative analyses, including reports produced by workers who experience the hazards. An effective, simple approach is to have affected workers complete their own risk assessment and blend those results with others. Safety professionals should also ensure they do not blindly follow the numbers that result from quantitative risk assessment tools without considering other factors when determining appropriate priorities and controls.
More broadly, a conceptual alternative to risk assessment (discussed in more detail in Chapter 6) is the “precautionary principle,” which calls for action to be taken even if the negative consequences of inaction are not fully understood. While it is not always easy to implement in a workplace, the precautionary principle does provide an alternative lens through which to view a workplace hazard and may bring to the surface hazards that go under-prioritized in the risk assessment process.
Box 3.3 Worker involvement in hazard assessment
Worker participation can improve the effectiveness of HRAC. Most jurisdictions require worker involvement in all steps of the HRAC process, including determining the appropriate controls. For example, Alberta’s Occupational Health and Safety Code mandates worker participation:
8(1) An employer must involve affected workers in the hazard assessment and in the control or elimination of the hazards identified.
8(2) An employer must ensure that workers affected by the hazards identified in a hazard assessment report are informed of the hazards and of the methods used to control or eliminate the hazards.14
Research conducted for the Alberta Workers’ Health Centre in 2013 found that only 19% of workers reported being always asked for input to hazard assessment when work changed or new equipment was introduced. In short, only one in five workers reported experiencing statutorily required participation. A further 21% of workers reported frequently being asked for input while the remaining 60% were occasionally, rarely, or never asked for input. Women were less likely than men to be asked for input. The report concludes that employers are not adequately involving workers in the hazard assessment process and that although workers are aware of their rights there are significant barriers to the exercise of that right.15
The study also found that industries broadly viewed as hazardous, including oil, mining, and construction, were more likely to conduct hazard assessments and include worker participation. In industries that are typically seen as less hazardous, such as finance, compliance rates were below 50%. Further, 45% of workers stated they were not provided adequate time from the employer to permit them to become more involved in safety in their workplace.
HAZARD CONTROL
The final step in the HRAC process is to determine and implement the most appropriate control for each hazard. Hazard control is a regulatory requirement in every Canadian jurisdiction and entails implementing measures to eliminate or reduce the potential of a hazard causing an incident. As we saw in Chapter 2, employers must exercise due diligence in the HRAC process in order to avoid prosecution for any workplace injuries under OHS law. Some forms of hazard control are more effective than others, and, consequently, a hierarchy of controls (with five levels) has been established:
• Elimination removes the hazard from the worksite. For example, relocating work performed at a height to ground level eliminates the risk of falling. This control is most easily implemented at the design stage, thereby preventing the hazard from entering the workplace.
• Substitution entails replacing something that produces a hazard with something that does not. For example, we might replace chemical-based cleaning solvents with plant oil–based solvents. Substitution is similar to elimination but is less effective because the new object or process may introduce different hazards or fail to completely remove the original hazard.
• Engineering controls are modifications to the workplace, equipment, materials, or work processes that reduce workers’ exposure to hazards. For example, installing guards on machinery, building guard rails, installing ventilation systems, or purchasing ergonomically designed workstations all isolate workers from hazards, but they do not eliminate the hazard. These controls can be incomplete, become inoperative due to lack of maintenance, or be overridden and therefore are less effective than elimination or substitution.
• Administrative controls are changes to work process, policies, training, or rules designed to reduce exposure to hazards. For example, policies restricting the time workers spend in contact with a chemical hazard, “no-go” zones that restrict workers’ movements in certain locations, mandatory training sessions, permit systems to control access to equipment or spaces, changes to schedules to prevent excessive shift work, or working-alone procedures that require regular check-in are all administrative controls. Administrative controls do not actually control a hazard. Rather, they attempt (via rules and processes) to limit workers’ exposure to the hazard.
• Personal protective equipment (PPE) is equipment worn by workers that is designed to protect them should they come into contact with a hazard. For example, helmets, goggles, gloves, and fall protection systems are forms of PPE. PPE is considered the least effective control because it does not control the hazard or restrict workers’ contact with the hazard and is heavily reliant upon human action for its effectiveness. PPE places the burden of implementation on the worker. Workers may choose not to wear or be pressured into not wearing the PPE. Further, most PPE has been historically designed for a male body, which can compromise its effectiveness when worn by women.
As noted in Chapter 2, when selecting a control, employers must justify applying controls lower on the hierarchy because they pass the reasonably practicable test. Reasonably practicable refers to precautions “that are not only possible but that are also suitable or rational, given the particular situation.”16 Employers and workers sometimes have differing views about which hazard control options are optimal. Employers are more likely to prefer options lower on the hierarchy due to their lower cost and lesser impact on the work process. Workers, on the other hand, prefer controls higher on the hierarchy because they are more effective at keeping them safe. This tension will be discussed further at the end of the chapter.
Often multiple controls can be combined to provide a higher degree of control. For example, receptionists may face harassment, violence, or other inappropriate behaviour from clients. A locked door that the receptionists can unlock remotely (an engineering control) can help exclude clients known to be a risk. This hazard control can be made more effective by combining it with other controls:
• Engineering: A glass barrier that separates the receptionist from visitors reduces the possibility of physical violence.
• Administrative: Policies regarding when and to whom to allow entry provides the receptionist with authority to deny an individuals entry. Policies against working alone, training on handling difficult people, and procedures for responding to perceived threats may also help control the hazard.
• PPE: In addition to the security door, the receptionist could be provided with a panic button (with appropriate response procedures) to provide a last layer of defence.
Finally, different levels of control may be appropriate at different times. For example, when first addressing a hazard it may be necessary to use PPE until a more permanent engineering control can be implemented. That said, it is important to not unduly delay the implementation of the (likely more effective) engineering control. Employers have flexibility in how they control hazards, but that flexibility should not be interpreted as permission to disregard their due-diligence obligation to implement the most effective hazard control.
Box 3.4 Hazard control in telecommuting
Telecommuting—working away from the main worksite—is a growing trend. This trend is enabled by technological change (e.g., mobile devices), worker demands (e.g., to improve work life balance) and employer desires to minimize cost (e.g., by reducing office space). In Canada, employers continue to be responsible for the safety of their workers regardless of the location of work.17 This means that employers have obligations around hazard recognition, assessment, and control when telecommuters work from home, cafes, or other locations.
One of the complexities this expanded obligation raises is the issue of authority over the telecommuting worksite. If the worksite is the worker’s property (or that of a third party), the employer likely does not possess the authority to conduct a hazard assessment or implement any specific controls. Further, the employer may find it difficult to provide appropriate oversight and supervision, protection against the hazards of working alone, and emergency response for telecommuters. Should an employer be able to require (and be required to pay for) renovations in a private home? How do we distinguish between work-related hazards and non-work-related hazards in home offices? Who does a telecommuter working in a cafe turn to in case of emergency?
Most employers cope with these challenges via administrative controls such as policies directing the employee to act in particular ways or to have certain systems in place.18 Often, the employer will not reimburse workers for the cost of having required equipment (e.g., first-aid kits, fire extinguishers). Interestingly, there is rarely any follow-up to ensure compliance with such policies. This reflects employers’ inability to demand access to a private dwelling and, coincidentally, eliminates the cost of inspection. Most governments refuse to inspect home offices or third-party locations, even though they are defined as workplaces under law.
While telecommuting may entail benefits to workers, such as better work-life balance (which can reduce stress), the reality is that teleworkers have less health and safety protection than if they worked on their employer’s property. The growth of telecommuting has taken place with little discussion of how to best manage the hazards associated with it.
There are numerous critiques of the hierarchy of control approach:
• Hazard focused: The hierarchy focuses on the hazard, rather than on who experiences the negative consequences of a control failure, leading to a tendency to dehumanize the control process.19 For example, in the case of the receptionist experiencing harassment, the focus is on locked doors and panic buttons rather than on the receptionist’s experience working in a vulnerable situation.
• Technology over process: The hierarchy tends to focus on implementing technological controls rather than process controls, which can overlook important possibilities. For example, grocery store employers may redesign checkout stands to reduce repetitive strain from scanning items but are less likely to examine the benefits of job rotation (switching up tasks frequently).
• Traditional hazards: The hierarchy does a better job at controlling hazards long associated with safety on industrial worksites (e.g., preventing contact, falls, and exposure to industrial chemicals) but works less well in service-sector jobs (often held by women and youth) and with less recognized hazards such as stress, harassment, or repetitive strain.
A more worker-centered approach is to consider the location of the control. In this approach, the focus is on where and when the hazard is controlled in the context of where the worker is in the production process. In this approach, hazards can be controlled at three locations:
• Control at the source addresses the hazard where it first occurs. This type of control prevents the hazard from entering the workplace via elimination, substitution, or some types of engineering controls.
• Control along the path addresses the hazard at some point between its source and when workers encounter the hazard (i.e., it prevents the hazard from reaching the worker). Some types of engineering controls (e.g., machine guards, local ventilation) control the hazard along the path.
• Control at the worker implements controls over the hazard only after it reaches the worker. These controls are designed to prevent or reduce the consequences of the hazard, rather than control the hazard itself. PPE and administrative controls are both examples of control at the worker because they both require that the burden of the control be placed almost exclusively upon the worker.
Examining controls by considering their location relative to the worker changes how we assess whether a control is effective by emphasizing the burden placed on workers with each control option. Box 3.5 provides two examples of location-focused hazard control. Note how the effectiveness of the control increases as the control moves closer to the source of the hazard.
The location approach allows for a more nuanced understanding of how different groups of workers can be differentially affected by a hazard. When attention is turned to the worker, rather than the hazard, differences between workers become more evident. For example, administrative controls are less effective for new workers, because they are less familiar with the rules and have not yet developed the skills required to work safely (see Chapter 8). Looking at how those administrative controls are located relative to the worker makes it more likely that their shortcomings for new workers will be identified. Similarly, the location approach draws more attention to the consequence of control failure and emphasizes the harm that can occur to workers when the system fails.
Box 3.5 Two examples of location-focused hazard control
Example 1: We Care Hospital
Hazard: Personal care attendants are sustaining injuries resulting from manually lifting patients for transfer and other care needs.
Control at worker: Training in proper lift techniques. Policies ensuring that lifts are performed by more than one personal care attendant at a time.
Control along path: Install a portable powered patient lift system to assist in the lifting process.
Control at source: Install hydraulic beds with sufficient range of movement to prevent the need for the most common lifts (e.g., bed transfers).
Example 2: Moonbeam Cafe
Hazard: Baristas are getting burns from the espresso maker when they steam milk for lattes due to fugitive steam and splashing hot milk.
Control at worker: Training on how to use machine without contacting steam and milk. Require the use of gloves, long sleeves, and padded aprons.
Control along path: Replace steaming vessel with a better-designed vessel to reduce the amount of splashing and escaped steam.
Control at source: Purchase an espresso maker with built-in guards or an enclosed steamer system.
THE POLITICAL ECONOMY OF HAZARD RECOGNITION, ASSESSMENT, AND CONTROL
Workers and employers will sometimes have different views about optimal hazard control. This disagreement arises from the conflicting interests of employers and workers around health and safety. Workers want to maximize personal safety. Employers, while they may want to keep their workers safe, must keep an eye on profit and productivity.
This conflict manifests itself in each step of the process. First, workers and employers are likely to disagree over what constitutes a hazard. Employers are motivated to minimize the number of hazards identified in the workplace. This, in turn, reduces the number of hazards employers are legally obligated to control and thus the cost of hazard control. Workers—those who will bear the consequences of uncontrolled hazards—are likely to seek to identify a greater number of hazards.
While it can be hard for employers to ignore traditional hazards (e.g., a tripping hazard), chemical, biological, ergonomic, and psycho-social hazards are often less obvious and thus more easily ignored. For example, the long latency periods of many occupational diseases can make it difficult to determine that a substance is toxic. Many hazards also have unclear causation: Are excessive levels of stress exhibited by workers due to work-related issues or personal ones? Incidents of harassment can sometimes be regarded as personnel issues rather than safety issues.
Workers and employers may also disagree on the assessment of hazards. Employers will wish to prioritize hazards that will lead to significant lost production time. Workers may be more interested in hazards that may lead to longer-term health effects or that reduce quality of life in the medium term.
Finally, workers and employers may disagree on how to control hazards. As we saw above, there are many ways of controlling a hazard. Some are more permanent, more difficult to implement, or more costly. Employers have an interest in minimizing the cost of hazard control, and thus they tend to prefer administrative controls and PPE implemented at the level of the worker. Such controls allow the employer to report they are complying with regulations, which rarely mandate a specific control, while minimizing the disruption to productivity and profit.
Workers may see things differently. PPE can be uncomfortable becasue it is often designed for the most common body types, making it poorly fitted for women, smaller or larger bodies, or workers with disabilities. Some PPE has only limited effectiveness against a hazard. For example, fall protection systems prevent catastrophic injury from a fall but can still cause significant injury to the worker because the PPE only prevents the worker from hitting the ground, rather than preventing the fall itself. Moreover, load bearing calculations for fall protection regulations are based on the average male, and therefore systems may not fully prevent injury in some workers (e.g., larger workers).
Money certainly plays a role in this conflict: more effective engineering controls are generally (but not always) more expensive than PPE. But the conflict is also about who will bear the greater burden of controlling (or being exposed to) hazards. PPE and administrative controls place the bulk of the burden on workers, requiring them to follow orders, wear equipment, or take active measures to protect themselves. Controlling hazards at the source puts the burden on employers to prevent exposure to hazards in the first place. Who carries the burden of safety is at the core of conflict between workers and employers regarding hazards.
Controlling hazards in workplaces is more complex and difficult than the principles laid out in a textbook. The challenge for OHS professionals is to learn how to apply those principles in real life situations, a topic we return to in Chapter 11.
SUMMARY
Fifteen-year-old Andrew James died under a pile of hot asphalt because his employer failed to identify, recognize, and control workplace hazards. While the HRAC process doesn’t guarantee that workers will never be injured on the job, it can dramatically reduce the incidence of workplace injuries and fatalities. Following the HRAC process should have changed the work processes James’s employer used and, in turn, would likely have saved James’s life despite the challenges posed by the mobile nature of the worksite.
That said, the HRAC process is not without its shortcomings. Recognizing, assessing, and controlling hazards is not an objective process. Embedded within the process is a set of assumptions about what a hazard is, who is affected by it, and how it is best controlled. HRAC processes were designed at a time when OHS focused predominantly on industrial workplaces (occupied mostly by men) where most hazards were physical, and thus risk assessment tended to most effectively engage those types of hazard. The process is not as effective at identifying and controlling hazards in non-traditional workplaces, such as retail outlets or offices, and thus workers found in those occupations are less protected. These workers are more likely to be women, youth, and other groups who have multiple factors working against their safety (discussed further in Chapter 7). Standard HRAC methods are also less able to address long-term health issues resulting from chemical exposure, stress, harassment, and other factors, therefore all workers continue to be vulnerable to incidents arising from those hazards.
Finally, HRAC is not immune from the conflicts inherent in the employment relationship. Employers and workers each have vested interests in the outcomes of an HRAC process, and those interests will often come into conflict, which means that hazard identification and control will always be a complex and contested terrain of OHS.
DISCUSSION QUESTIONS
• What are the main steps in the HRAC process? What is the underlying goal of HRAC?
• Why is it necessary to prioritize hazards? What are the potential concerns about applying a risk analysis perspective?
• How would employers and workers perceive the relative merits of PPE versus engineering controls?
• How might looking at the location of hazard control affect the decisions made about which control is most appropriate?
• What challenges arise in hazard control for telecommuters?
EXERCISES
Reread the vignette that opens this chapter and write 150-word answers to the following questions. Be sure to save your answers as we will return to this vignette later in the book.
1. What hazards were present at the worksite?
2. How would you prioritize the identified hazards?
3. What controls should have been implemented?
Write two to three paragraphs providing your opinion on the following statement:
“Some accidents are unavoidable. There is only so much we can do to control hazards.”
NOTES
1 James, R. (2011). 15-year-old Andrew James loved his dream job. Threads of Life Newsletter. 9(4), p. 3.
2 McIntyre, M. (2010, November 30). Asphalt firm fined \$34K in teen’s death. Winnipeg Free Press, p. A7.
3 Fenn, P., & Ashby, S. (2004). Workplace risk, establishment size and union. British Journal of Industrial Relations, 42(3), 461–480.
4 Champoux, D., & Brun, J-P. (2003). Occupational health and safety management in small size enterprises: An overview of the situation and avenues for intervention and research. Safety Science, 41(4), 301–318.
5 International Labour Organization. (2013). Training Package on Workplace Risk Assessment and Management for Small and Medium-Sized Enterprises. Geneva: ILO.
6 Eakin, J. (1992). Leaving it up to the workers: Sociological perspective on the management of health and safety in small workplaces. International Journal of Health Services, 22(4), 689–704.
7 Lansdown, T., Deighan, C., & Brotherton, C. (2003). Health and safety in the small to medium-sized enterprise: Psychosocial opportunities for intervention. London: HSE Books.
8 Unnikrishnan, S., Iqbal, R., Singh, A., & Nimkar, I. (2015). Safety management practices in small and medium enterprises in India. Safety and Health at Work, 6(1), 46–55.
9 International Labour Organization. (2013).
10 Boyd, C. (2004). Human resource management and occupational health and safety. London: Routledge.
11 Gadd, S., Keeley, D., & Balmforth, H. (2004). Pitfalls in risk assessment: Examples from the U.K. Safety Science, 42, 841–857.
12 Messing, K. (2014). Pain and prejudice: What science can learn about work from the people who do it. Toronto: Between the Lines.
13 Adler, M. (2005). Against “individual risk”: A sympathetic critique of risk assessment. University of Pennsylvania Law Review, 153(4), 1121–1250.
14 Alberta Occupational Health and Safety Code, 2009, s. 2-1.
15 The Vector Poll Inc. (2013). The Alberta Worksite Hazard Assessment Survey: Report to Alberta Workers’ Health Centre. Toronto: Author.
16 Government of Canada, Labour Program. (1993). Labour Standards Interpretations, Policies and Guidelines 808/819-IPG 057, p. 4.
17 All jurisdictions define workplace in broad enough terms that all forms of telework apply. The Ontario Occupational Health and Safety Act offers a good example: “(s. 1.1) ‘workplace’ means any land, premises, location or thing at, upon, in or near which a worker works.”
18 Crandell, W., & Gao, L. (2005). An update on telecommuting: Review and prospects for emerging issues. SAM Advanced Management Journal, 70(3), 30–37; Healy, M. (2000). Telecommuting: Occupational health considerations for employee health and safety. AAOHN Journal, 48(6), 305–315.
19 Workers Health and Safety Centre. (1998). Occupational Health and Safety: A Training Manual (3rd ed.). Don Mills: Author. | textbooks/workforce/Construction/Health_and_Safety_in_Canadian_Workplaces_(Foster_and_Barnetson)/1.03%3A_Hazard_Recognition_Assessment_and_Control.txt |
Learning Objectives
After reading this chapter, you will be able to:
• Define physical hazards and explain how they operate.
• Describe root and proximate causes of physical hazards and how they affect hazard control.
• Identify techniques to control workplace noise.
• Explain why vibration is a hazard and consider control options.
• Discuss why radiation and temperature extremes are hazards and consider control options.
• Outline the longer-term health effects of work design and the principles of ergonomics.
On Christmas Eve, 2009, six employees of Metron Construction were repairing balconies at a Toronto high-rise apartment. All the men were newcomers to Canada, hailing from Latvia, Uzbekistan, and Ukraine. They were on a swing-stage scaffolding (the type of suspended scaffolding you often see on the outside of tall buildings) working on a 13th- floor balcony. Their project manager, Vadim Kazenelson, was on the balcony handing them tools. As Shohruh Tojiddinov, one of the workers on the scaffolding, later reported, Kazenelson decided to climb on to the scaffolding. “He said ‘where is the lifeline’ and [the site supervisor Fayzullo] Fazilov said ‘don’t worry’. . . .[Kazenelson] jumped onto the stage and the stage broke.” Tojiddinov was wearing a harness and when the stage broke he was left hanging in mid-air. “I looked up and I saw Vadim pulling me up. . . . I saw four deaths and one was still alive. I vomited.”1
As Kazenelson landed on the scaffolding, it split in two. Kazenelson was able to scramble back onto the balcony. The other five men fell to the ground, instantly killing four (Alesandrs Bondarevs, Aleksey Blumberg, Vladamir Korostin, and Fazilov). The fifth, Dilshod Marupov, was left permanently disabled. The scaffolding had only two lifelines available for the seven men and Tojiddinov was the only one using the fall protection. The scaffolding had been provided to Metron by Swing N Scaff Inc., a scaffolding supply company.
The investigation that followed the incident revealed that the scaffold was faulty and had not been designed or inspected properly by Swing N Scaff. It also found that the men, whose knowledge of English was limited, were not provided with any training about working at heights or using fall protection.2 There was insufficient fall protection gear available to secure all the men. Subsequently, Kazenelson attempted to cover up the incident. He told Tojiddinov to say that Kazenelson had been on the ground and he gave him a safety manual on fall protection (in English, which Tojiddinov could not read), instructing him to say he had received it before the incident.3
This incident dramatically demonstrates what can happen when an employer fails to protect their workers from physical hazards. In this case, the employer failed to provide the workers with safety training and equipment to protect them from the primary hazard (falling from a height). The danger of the hazard was compounded by the workers’ limited ability to enforce their safety rights due to their limited language skills, minimal knowledge of health and safety laws, and weak negotiating position as new Canadians.
As we saw in Chapter 3, a hazard (which is sometimes called an agent) is anything that might harm, damage, or adversely affect any person or thing under certain conditions at work. It can be an object, process, context, person, or set of circumstances that has the potential to create negative health and safety outcomes. In this chapter, we will focus our attention on physical hazards. A physical hazard typically (but not always) entails a transfer of energy that results in an injury, such as box falling off a shelf and hitting a worker or a worker falling from a scaffold and hitting the ground.
Physical hazards are the most widely recognized hazards and include contact with equipment or other objects, working at heights, and slipping. This category also includes noise, vibration, temperature, electricity, atmospheric conditions, and radiation. More recently, OHS practitioners have also included the design of work and the workplace as physical hazards, suggesting it is important to attend to the ergonomic effects of work. This chapter discusses how to identify physical hazards and to determine ways to control some of the more common physical hazards. In discussing physical hazards, it is important to keep in mind that non-traditional work relations, such as the one highlighted in the opening vignette, can compound the risk associated with a physical hazard. We discuss the health and safety implications of non-traditional work relations more fully in Chapter 7.
IDENTIFYING PHYSICAL HAZARDS
In 2012, 50% of all WCB time-loss injuries in Canada were caused by physical hazards. Injuries caused by contact with an object/machine or falls was the most common type of injury.4 Injuries caused by physical hazards are both overrepresented and underestimated in mainstream OHS. As we saw in Chapter 1, physical hazards are overrepresented in media portrayals of workplace incidents because they conform to commonly held views of safety hazards.5 Hazards such as a slippery floor or an unguarded saw blade are easy to imagine and their effects on workers’ health are clear and direct.
At the same time, employers often underestimate the prevalence of (and thus fail to control) physical hazards. For example, an extension cord lying across a hallway floor is often seen as no big deal because it is a readily apparent and easily understood tripping hazard that we expect workers to avoid as a matter of course (“pick up your feet!”). When such hazards result in an injury, we often blame the worker for her inattention to the hazard rather than examine why the hazard was present and why the hazard was not controlled. The loose extension cord, for example, could have been eliminated as a hazard by re-running the wiring through the ceiling or moving the powered device closer to the plug in.
This example is a reminder that the definition of cause affects decisions about injury control. If worker carelessness or inattention is deemed to be the cause of an incident, then the controls will focus on correcting the worker rather than removing the hazard. Indeed, often the nature of physical hazards lends itself to devising “simple” solutions designed to alter worker behaviour rather than controlling the hazard itself. For example, the contact hazard posed by a doorway with unusually low clearance may be addressed by posting a sign saying “caution: low doorway” and expecting workers to duck as they pass through it. A more effective (but costlier) solution is to increase the doorway’s height.
Physical hazards also sometimes hide in plain sight. Often a hazard is so pervasive or workers’ behaviours to avoid the hazard are so routinized that the hazard is rendered almost invisible. For example, workers in a kitchen may use a dishtowel when opening an oven door to prevent the hot handle from burning them. Habitually turning a dishtowel into PPE prevents the injury and renders the hazard invisible. When identifying physical hazards, it is important to adopt the outlook of someone new to the workplace to bring back into view any hazards that have become invisible over time.
Box 4.1 Preventing slips, trips, and falls
What is the most effective way to prevent slips, trips, and falls in the workplace? This is an important question. In 2012, 18% of all Canadian lost-time claims involved a worker falling, either from a height or on the same level.6 This figure significantly underrepresents the total number of incidents, as many slips and trips do not result in injury requiring time off work.
Most studies of trips and falls focus on factors related to workers, such as what caused workers to lose their balance, workers’ demographic characteristics, or whether workers followed safety principles they were taught in training.7 Despite many such studies, most injury prevention efforts have been ineffective at reducing the incidence of slip, trips, and falls.8 This may indicate that these studies are focused on the wrong issues.
In a recent analysis, Tim Bentley argues that the study of slips, trips, and falls has been focused too narrowly on what he calls the “active failures” that lead to incidents. Active failures are the immediate factors that lead to risk of injury, including individual factors connected to the time and place of the event such as demographics, perception, use of equipment, and the exposure to the hazardous situation.
Bentley calls for greater emphasis on latent failures, which are the “conditions that elicit substandard or unsafe behaviours that are present in the system without causing immediate threats but have the potential of being a step in an injury event.”9 These include factors such as workplace design, the organization of work, management decisions, and environmental conditions such as climate. He argues that the perceptions and decisions made at the moment of active failure are shaped and bounded by existing latent failures.
The core of Bentley’s argument is that it is easy to look at who the worker was (e.g., a new worker) and what they were doing at the moment of the fall (e.g., not paying attention). As a result, most injury prevention efforts are focused on the worker. Bentley argues that employers should be focusing on the latent features of the incident— the pace of work, the design of the workplace, stress levels, and other systemic factors—that are more important in determining when a trip of fall will occur.
Bentley’s approach is similar to the notion of proximate and root cause discussed in Chapter 1. Essentially, injury prevention is more effective if we look beyond the obvious causes to see the underlying causal factors. This more holistic approach is supported by studies that suggest the most effective method for preventing slips, trips, and falls is to adopt a multi-faceted approach that includes enhanced hazard assessment, preventive design changes, training, management leadership, and greater attention to environmental factors.10
NOISE AND VIBRATION
Noise and vibration are related physical hazards that are treated very differently in OHS regulation and management. Noise has been well studied and there is a long (albeit incomplete) list of rules for controlling noise hazards. By contrast, less than half of Canadian jurisdictions have any regulations governing vibration exposure. This section examines the nature of each hazard, their health effects, and briefly considers effective control options.
Noise is simply defined as sound energy that moves through the medium of the air. More scientifically, sound consists of small air-pressure changes caused by the vibration of molecules. The energy from the molecules exerts influence on neighbouring molecules, causing the sound to disperse throughout an area. Human eardrums are designed to detect the small pressure changes and then transfer them through a network of three bones to the inner ear where tiny hair-like cells turn the vibrations into electrical impulses interpreted by the brain. Noise is always present around us.
Noise can damage the structures of our ears and lead to hearing loss. Noise can also cause other health effects (see below). Three characteristics of noise affect whether it becomes a hazard: frequency, duration, and loudness.
• Frequency is vibration of the medium (e.g., air molecules) through which sound energy moves. We measure frequency in Hertz (Hz) (i.e., the number of vibrations per second). We experience sound frequency as the pitch of noise. Fast vibration yields a higher-pitched noise than slow vibration. We can normally hear sounds with frequencies between 20 Hz and 20,000 Hz. Sounds extending beyond the low and high end of our hearing range are not registered by our brains (i.e., we cannot hear them), but they can still harm our ears.
• Duration is the length of time a worker is exposed to noise. How long a worker is exposed to noise is important. Yet, as discussed below, even short-term exposure can cause damage, especially if the noise is sudden and at a high frequency.
• Loudness (or intensity) is the amount of energy that is being carried through the medium. Loudness is measured in decibels (dB). The key feature of decibels is that they are a logarithmic scale. Unlike linear scales (where each step on the scale represents the same increase, such as a car’s speedometer), each increase on a logarithmic scale is an order of magnitude greater than the previous increase. For example, a sound measured at 10dB is 10 times more intense than a sound measured at 0dB (the lowest audible sound). But a sound measured at 20dB is 100 times more intense than the sound measured at 0dB. Noise over 85dB is generally considered hazardous for human hearing.
The mostly widely accepted health effect of noise exposure is hearing loss. If the loss is temporary, such as after a music concert, it is called a temporary threshold shift (TTS), meaning the normal range of human hearing has been reduced. This effect usually reverses itself over a short period of time. Nevertheless, TTS is a signal that the noise exposure was harmful and that continual or repeated exposure can accumulate and lead to permanent threshold shift (PTS). Men typically have higher rates of PTS. Some of this gender effect is due to job segregation (i.e., men typically work in louder workplaces than women). It is also possible that some of this effect reflects physicians failing to link female hearing loss to occupational exposures. Women are often exposed to noise in food, bottling, and textile factories as well as service industry jobs.11
Extended exposure to noise hazards can lead to non-hearing health effects as well. It can induce a sensitive startled response to sound and cause changes in endocrine and biochemical systems, nausea, headaches, and constricted blood vessels.12 Sound can also create health effects without prolonged exposure. Acoustic trauma is caused by a short, intense exposure to noise, usually of high frequency (see Box 4.2). Exposure to this hazard can lead to a series of short- and long-term health effects. Short-term effects include a full sensation in the ears, sharp pain around the ear, nausea, or dizziness. Longer-term effects can include headaches, fatigue, anxiety, and hypersensitivity to sound.13
Box 4.2 Acoustic trauma in call centres
Workers in call centres, often women, immigrants, and young workers, are exposed to a variety of physical and psycho-social hazards. Exposure to noise is not regarded as a significant source of ill health. While call centres can be loud places, testing has found that noise exposure is usually well under the regulated exposure limits (85dB over 8 hours). Traditional analysis has suggested minimal risk for hearing loss.
Recently, however, studies in Sweden, Europe, and Australia have reported on growing incidence of acoustic trauma, sometimes called acoustic shock, among call centre workers.14 The trauma is the result of sudden, intense, startling, and often high frequency sounds emitted through the telephone headset, frequently described as a squawk or squeal. Often the sounds are loud (over 100dB), but the negative effects do not seem to be connected to volume and are more associated with the sudden, sharp nature of the sound. Following the incident, workers report pain, tinnitus (ringing in the ears), loss of balance, nausea, and sensitivity to sound. Symptoms might last from a few minutes to days. Increased frequency of incidents appears to increase the intensity and length of the symptoms.
For a long time, these worker reports were not taken seriously as their experience did not fit the traditional view of hazardous noise exposures. Most call centre systems have sound inhibitors cutting out any noise that exceeds about 115dB. Considering that the natural response to such a sound is to remove the headset quickly, it was determined they would only have a few seconds exposure and thus would not be at risk of hearing loss. Only when additional research was conducted, spurred on by a campaign from the Trade Union Confederation in England, did the medical evidence appear to support worker reports of ill health caused by short and intense sounds.
All jurisdictions in Canada regulate workers’ exposure to noise. Most jurisdictions utilize an exposure model that factors in duration and loudness, known as a time-weighted average (TWA). Government regulations use dB(A), which is a weighted measure of loudness that factors in the frequency of the noise. Lower-frequency noises are weighted in the calculation so that their dB(A) is lower than their unadjusted dB. This reflects a belief that lower-frequency noises are less harmful than higher-frequency noises.
The regulations generally seek to limit worker’s noise exposure to no more than 85dB(A) during an eight-hour shift. The duration of acceptable exposure declines by half for every 3dB(A) increase. So acceptable worker exposure drops to 4 hours at 88dB(A), 2 hours at 91dB(A), and so forth. The logic of TWA leads to a ceiling of noise exposure at approximately 115dB(A). Box 4.3 provides some real life examples of these noise levels.
There are significant shortcomings in this approach to regulating noise exposure. First, while the use of dB(A) does partially address the issue of frequency, regulations do not adequately address the health effects of short, intense, and high frequency sounds, such as those that cause acoustic trauma. Second, there is insufficient evidence to determine if an exposure at 85dB every day over a period of many years is safe. Third, the rules do not account for individual variation. Research has established that people possess different degrees of sensitivity to noise. Some have greater physiological and psychological reactions to lower levels of noise, while others appear to be more tolerant.15 As with other types of hazards (e.g., carcinogenic substances), some individuals appear to be more susceptible to harm than others. The reasons are complex, but a universal standard designed to address the so-called “average” person will leave some workers inadequately protected from noise hazards.
Box 4.3 Decibel equivalencies
The table below provides examples of the noise levels of common items and indicates how long government OHS regulations permit exposure to those noises. A question to ask yourself is whether you would like to be exposed to that noise for the prescribed length of time (e.g., a truck backup alarm for eight hours)? Do you think such an exposure might affect your health?
Decibels (dB(A))
Item
Regulatory Time Limit16
50
Refrigerator
n/a
60
Conversational speech
n/a
75
Vacuum cleaner
n/a
80
Alarm clock
n/a
85
Truck backup alarm
8 hours
90
Lawnmower
2.6 hours
95
Food processor
50 minutes
100
Motorcycle
15 minutes
100
Handheld drill
15 minutes
110
Jackhammer
1 minute 38 seconds
115
Emergency vehicle siren
0 seconds
120
Thunderclap
0 seconds
140
Jet engine takeoff
0 seconds
Vibration is the oscillating movement of a particle around its stationary reference position. In the workplace, a mechanical process usually causes vibration. Vibration becomes a hazard when workers come into contact with the vibration, causing energy to be transferred to the worker. Two types of workplace vibration are important for OHS. Whole-body vibration occurs when a worker’s entire body experiences shaking caused by contact with the vibration. This is most common with low-frequency vibration (below 15 Hz), as when driving in a car or working near a large machine, such as an air compressor. The health effects of whole-body vibration include a general ill feeling, nausea, motion sickness, and increased heart rate. Extended exposure to whole-body vibration can lead to lower-spine damage and, sometimes, internal organ damage.
Segmental vibration occurs when only parts of the body are affected by the vibration. This is usually caused by higher-frequency vibration. The most common and concerning form of segmental vibration is hand-arm vibration. Hand-arm vibration results from gripping power tools such as jackhammers, saws, and hammer drills. An important aspect of hand-arm vibration is that a tight grip is required to control the vibrating tool, but the tighter the worker grips, the worse the effects of the vibration. Hand-arm vibration syndrome (sometimes called Raynaud’s phenomenon or “white finger”) is caused by restriction of blood and oxygen supply to fingers and hands, which causes damage to blood vessels and nervous systems. The first symptoms are tingling in the fingers, loss of sensation, loss of grip strength, and whitening of the fingers when exposed to cold. Initially, these effects are reversible, but over time they become permanent.17 Because vibration is the movement of particles, it is related to noise and is often associated with noise exposure. As with noise, individual susceptibility to vibration exposure effects varies. How hard the worker grips the tool, their posture, their sensitivity to motion sickness, and other factors can shape how the exposure manifests itself, which can make it difficult to ascertain the seriousness of the health risk. Men most often manifest vibration-related injuries, reflecting occupational segregation. That said, women in some female-dominated occupations (e.g., dental hygiene) frequently report vibration-related injuries.18 Exposure to vibration, while widely recognized as a safety hazard, is largely unregulated. Only British Columbia has standards restricting exposure to types of vibration. Those rules adopt a time-weighted average approach similar to that used for noise regulations.
Noise and vibration are measured in similar ways. Both require a specialized meter to detect the intensity of the molecular movement. These meters can provide accurate measurements of real-time levels. Nevertheless, the meters cannot assess the susceptibility of a worker to noise/vibration exposure, nor the degree of damage sustained by the exposure. This means that, even if vibration standards are established, workers may still be harmed by these hazards. OHS regulations also require that workers exposed to noise undergo regular audiometric testing to detect any threshold shift (there are no equivalent requirements for vibration exposure).
Controlling noise and vibration hazards is a complex undertaking. In both cases, the most effective way to control the hazard is elimination, substitution, or engineering controls. Such controls can be expensive, as they require replacing machinery, altering processes, or eliminating tasks from the workplace. Controls along the path can also be implemented by erecting sound barriers to muffle noise or installing vibration resistant material on tool handles. The most common, yet least effective, controls for noise and vibration are time restrictions and PPE. Restricting workers’ exposure to noise or vibration can reduce the effect of these hazards but does not address the full range of risk to the worker.
TEMPERATURE
Humans are a temperature-sensitive species and have evolved a finely tuned system that regulates our internal temperature. Under normal circumstances, the body interacts with its environment to maintain a core body temperature at about 37 degrees Celsius. When the environment becomes too cold or hot, our bodies have difficulty generating or shedding sufficient heat to maintain temperature homeostasis.
When temperature extremes prevent our bodies from properly self-regulating, we experience thermal stress. Temperatures that are too high can lead to heat stroke. Early signs of heat stroke include fatigue, dizziness, confusion, lightheadedness, nausea, and sudden, unexplained mood swings. Prolonged exposure leads to fainting and death. Heat stroke can cause damage to muscles, the heart, kidneys, and the brain. Humidity interferes with the body’s ability to shed heat (through sweating) and, therefore, can lower the temperature at which thermal stress occurs. Conversely, when temperatures are too low, we can experience hypothermia. Initial symptoms of hypothermia include dizziness, fatigue, nausea, sudden euphoria, or irritability. Pain in extremities and severe shivering may also occur. Advanced hypothermia can lead to frostbite and frozen extremities, and unconsciousness leading to death. Wind can intensify the effects of cold, as it strips heat away from the body.
Exposures to extreme temperature are most common among workers working outdoors, although thermal stress can occur in some indoor locations (e.g., a meat cooler or a non-air-conditioned office on a hot summer day). Employers should also pay attention to thermal comfort. Thermal comfort is the condition in which a person wearing normal clothing feels neither too cold nor too warm. It is a function of temperature, humidity, and air movement within an indoor workplace. A lack of thermal comfort may not pose a direct health risk, but it can exacerbate existing hazards or be a factor that increases risk of an incident occurring. For example, thermal discomfort may lead to rushing, heat-induced fatigue, or mental distraction.19
Extreme temperature is unevenly regulated in Canada. Some jurisdictions, such as Alberta and Ontario, have no OHS provisions addressing extreme heat or cold. Other provinces offer general duties to prevent thermal stress, while a minority of jurisdictions have adopted temperature limits established by external agencies. Gender-based job segregation can affect heat and cold exposures on worksites. For example, Karen Messing’s study of meat processing found that, while women did not work in the extreme cold of meat freezers, their work required them to stay relatively immobile at their work stations, where temperatures hovered around 4 degrees Celsius. Men in the study experienced significant lower temperatures working in the meat freezers, but their work was more active and the additional body heat generated by this activity attenuated the effects of the cold.20
Temperature poses a unique OHS challenge in that it is often not possible for an employer to control the hazard at the source (since the weather is out of our control). The most effective control for preventing thermal stress is to limit workers’ exposure to hazardous temperatures. It can, however, be difficult to determine what temperature is too hot or cold for work to occur. There are many factors, including wind chill and humidity, individual temperature sensitivity, and the nature of the work being performed (light or heavy effort) that shape when a worker is at risk of thermal stress. Compounding these issues is that of variability. Weather conditions and work tasks change over time. This instability in working conditions requires closer monitoring of changes in the hazard than is the case with most other physical hazards.
The American Conference of Governmental Industrial Hygienists (ACGIH), an industry group of OHS professionals working in government, has established a matrix for determining when work should be reduced and, ultimately, ceased.21 For example, the ACGIH recommends that work cease completely at temperatures between −32 and −43 Celsius, depending on wind chill. On the warm end, the limits are more complicated due to humidity effects, but temperatures above 30 Celsius require work reduction or cessation. Within the recommended maximum and minimum, the degree of exposure is dependent upon clothing and other factors, such as access to fluids and rest breaks to warm/cool. Thus the need to establish controls extends beyond the extremes to ensure workers are shielded from the effect of hot or cold temperatures. Other controls include relocating work, installing heating/cooling devices, work-rest cycles, preventing working alone, and minimizing manual effort.
RADIATION
Radiation is any energy emitted from a source, including heat, light, X-rays, microwaves and other waves, and particles. Radiation is categorized into two forms: ionizing and non-ionizing. Ionizing radiation is radiation with enough strength to remove electrons from a molecule as it passes through. The electron loss causes the molecule to become positively charged (called an ion). Examples of ionizing radiation include X-rays, gamma rays, alpha particles, and neutrons. Non-ionizing radiation is unable to ionize molecules but may have other effects, and includes microwaves and radio waves as well as ultraviolet, visible, and infrared light.
Ionizing radiation can occur naturally at low levels from a variety of sources but is uncommon in workplaces. It is most often found in medical, nuclear, and research facilities. When ionizing radiation is present in a workplace, it poses a significant safety hazard. Both short exposures to high levels of radiation and long-term exposure to lower levels have serious health consequences. It is estimated that people are exposed to approximately 0.0125 rem (a standard measure of radiation) of naturally occurring radiation per year. Short-term exposure of 1000 rem will lead to death within a few days. An exposure as low as 10 rem will lead to significant increase in the risk of cancer later in life.
Long-term, lower-level exposure is also a concern as it, too, can lead to increased risk of cancer. The recommended annual exposure for the general public is 0.1 rem. Nevertheless, the ACGIH recommends an annual limit for workers exposed to ionizing radiation to be 2 rem, a figure much higher than public health limits. Controls for ionizing radiation are quite expensive and technical, requiring significant engineering controls. Specialized training is also required, and exposure to ionizing radiation should never be taken lightly.
Box 4.4 The Elliot Lake strike and the origins of OHS
As we saw in Chapter 2, comprehensive injury-prevention legislation was only enacted in the late 20th century. One of the catalyzing events was an April 1974 wildcat strike by 1000 uranium miners from Elliot Lake, Ontario, that lasted three weeks. A wildcat strike is an unsanctioned, spontaneous strike by workers. The workers struck over high levels of radiation exposure, and Elliot Lake was one of Canada’s first health- and safety-related walkouts.
Officials from the United Steelworkers of America (USWA), the union representing the workers, had just returned from a uranium safety symposium in France, where they became aware of a study by the Ontario Ministry of Health that showed Elliot Lake miners were three times more likely to die of lung cancer than the rest of the population. The culprit was radiation caused by the release of radioactive radon gas during uranium mining.
The news hit the workers like a bombshell. They did not even know the government was studying them. The workers walked out immediately after the union meeting where the study was revealed. For 10 days, the employer refused to even talk to the workers about the issue, and only agreed to negotiate around safety issues after the strikers refused to return to work.
The workers were particularly angry that both the employer and the government had long known the workers were being exposed to dangerous radon gas but had said and done nothing. As striker Ed Vance put it: “They deliberately kept us ignorant. There is no other way to describe it. Government has a responsibility and in this case they failed to keep the workers advised. They failed to warn the workers of their work environment. And, they were part of that conspiracy.”22
The efforts of the Elliot Lake workers eventually resulted in changes to OHS rules. As for the employers, “[the mining companies] were brought in kicking and screaming” to protecting workers, says former miner and President of USWA, Leo Gerard.23 Elliot Lake revealed how employers’ economic interests combined with the state’s role in maintaining production (in this case, by supporting employers’ interests) can lead to the injury or death of workers.
The Elliot Lake strike, and other direct action taken by workers in defence of their health in the early 1970s, forced governments to do more to protect workers’ health. Within a few years, Ontario’s first Occupational Health and Safety Act was passed and more stringent controls placed upon radiation exposure and other hazards. Other jurisdictions soon followed suit (Saskatchewan actually passed Canada’s first OHS act in 1972). The disturbing question that lingers is whether any of these legislative changes would have come about if the group of miners hadn’t decided they were no longer prepared to die because of their job.
Non-ionizing radiation, in comparison, has less dire health effects, but should not be ignored. Longer-wave non-ionizing radiation (such as microwaves) can cause deep tissue damage, cataracts and other eye issues, and skin rashes as well as interfere with the operation of pacemakers. Infrared radiation can lead to corneal and retinal burns and other eye injuries.
The most common non-ionizing radiation exposure is ultraviolet light (UV). UV radiation damages our skin, leading to burns and permanent skin darkening as well as heightened risk of skin cancer. It also damages our eyes and can cause pain and swelling in the eye and blurred vision, a condition variously called snowblindness, welder’s flash, or flash burn. The sun is the most common source of UV radiation, but UV radiation can also be produced by welding equipment, black light lamps, mercury lamps, counterfeit currency detectors, fluorescent tubes, and nail-curing lamps.
Controls for non-ionizing radiation should include replacing radiating equipment, proper maintenance to prevent fugitive radiation (such as with microwave ovens), separating workers from the radiation source, reducing exposure time to low levels, and using UV-blocking PPE (e.g., hats, clothing, sunscreen).
Box 4.5 Are cell phones a cancer risk?
Cell phones are ubiquitous in workplaces, in particular for white-collar occupations. There is an ongoing debate about whether cell-phone use increases a person’s risk of cancer. The main concern is that cell phones emit low-energy radio frequency radiation. It is known that low-energy radiation (such as microwaves) can cause molecules to heat up (which is how microwave ovens work). When a cell phone is used at someone’s ear, the radiation is quite strong near the brain, raising fears of possible risk of brain cancer.
To date, the risk posed by cell phones remains unclear. A number of large-scale studies have failed to find an overall link between cell phone use and cancer.24 These results have led some organizations, such as the US National Cancer Institute, supported by most governmental agencies, to downplay the risk.25 However, a number of studies have found possible links between heavy users of cell phones and increased cancer, as well as higher sensitivity to low-energy radiation among children.26 The International Agency for Research on Cancer (IARC), classifies cell phone radiation as “possibly carcinogenic to humans” (class 2B). Class 2B classification means the IARC feels there is “limited evidence of carcinogenicity in humans and less than sufficient evidence of carcinogenicity in experimental animals.”27 In short, the IARC feels there is some evidence of a cancer risk but not enough to reach a definitive conclusion.
In contrast, in spring 2015, a group of 195 scientists from 39 countries released a joint letter to the United Nations declaring their position that electromagnetic field (EMF) radiation (of which cell phones are one source) poses a serious health risk to humans, including “increased cancer risk, cellular stress, increase in harmful free radicals, genetic damages, structural and functional changes of the reproductive system, learning and memory deficits, neurological disorders, and negative impacts on general well-being in humans.”28
The lack of clarity around the risk of cell phones points to the need for continued research to determine the effects of low-energy radiation. It also suggests a need for increased efforts to decrease the amounts of non-ionizing radiation emitted by cell phones and other devices, even before final conclusions have been drawn.
The current uncertainty over the hazard posed by cell phones (and other EMF sources such as video display terminals and WiFi) is an example of how technology moves much faster than our knowledge of its effects. It can be difficult to gather sufficient evidence to make a clear case (one way or another) in a short period of time, especially when dealing with diseases like cancer, which can have a latency period of decades.
Health agencies tend to be conservative in their recommendations regarding health risks. In the period between introduction of the technology and a clear scientific outcome, workers can be left without adequate protection. Indeed, workers are often the first to exhibit health-related effects of new hazards because they are often the most intensively exposed. The case of cell phones highlights the importance of considering the precautionary principle when adopting new technology.
ERGONOMICS
Ergonomics is the study of how workers and the work environment interact. It is a broad-based approach to OHS that considers how the design of work affects the human body and its health. Ideally, ergonomics starts with job design. Job design comprises the decisions employers make about what tasks will be performed by workers and how that work will be performed.
Job design includes establishing the physical dimensions of work. This includes the size and location of the workspace, and what furniture, tools, and equipment will be used, as well as the temperature or lighting of the workspace. Job design also determines the nature of the tasks, including their complexity, pace, and duration and how individual tasks and jobs relate to one another. Finally, job design often includes making decisions and assumptions about the characteristics of the workers who will perform the work, including their height, weight, sex, and other physical and mental abilities.
The decisions made during job design can have significant effects on workers’ health and safety. Poor work design has negative effects on worker health. For example, if you have ever worked at a job where, at the end of the day, your eyes hurt (due to poor lighting) or your back was sore (because of standing on a cement floor), you have experienced ill health caused by poor ergonomics.
A core principle of ergonomics is “fit the job to the worker, not the worker to the job.” More specifically, ergonomics seeks to ensure that the design of work matches the anatomical, physiological, and psychological needs of the worker. Yet some ergonomic hazards are easier to “see” than others. For example, back pain from heavy lifting is easier to identify than fatigue to due poor shift rotation design. The broad acceptance of lifting as hazardous and requiring control shows that the relationship between the hazard and the injury is both direct and well accepted. By contrast, there are many factors contributing to worker fatigue. This makes it difficult to definitively prove that shift rotation is an important factor in worker fatigue (or, as we’ll see in Chapter 5, cancer).
The aspects of ergonomics that have been more readily adopted are the design of tools, equipment, and workspaces. For example, we have seen an increase in more appropriately designed keyboards, work stations, retail scanners, and other equipment. There has also been greater attention paid to minimizing manual lifting and handling of loads. Buildings are being built with better climate and air-quality control.
Employers have been more reluctant to address other ergonomic issues because the required changes affect the work process or may impede management’s ability to direct work. For example, providing a better-designed chair to prevent spinal deterioration is easier and cheaper than altering the work flow to reduce the mechanical forces exerted on workers’ spines by twisting to reach objects. This reluctance to address some ergonomic hazards echoes employers’ preference for PPE over engineering and administrative changes that we saw in Chapter 3. As well, government OHS regulations tend to address only small pockets of ergonomics, such as manual lifting, while remaining silent on many other aspects.
A common health effect of poor ergonomic design is repetitive strain injury (RSI). As we saw in Chapter 1, RSIs (which are sometimes called cumulative trauma disorders) are injuries to muscles, nerves, tendons, or bones caused by repetitive movement, forceful exertions and overuse, vibration, and sustained or awkward positions. RSIs frequently occur in the hands, wrists, and arms but can also afflict legs and other key joints. Carpal tunnel syndrome, frozen shoulder, trigger finger, tendonitis, bursitis, and (more recently) Blackberry thumb are all examples of RSIs.
Any task that requires either the same movement over and over again or puts the body in an awkward position can lead to RSIs, especially if repeated over a long period of time. RSIs have only gained acceptance as the outcome of workplace hazards over the past 20 years. They were first acknowledged in factories with workers on assembly lines. Even today workers in some occupations, such as retail clerks, typists, and restaurant servers (notably occupations dominated by women), still have greater difficulty having RSI claims accepted. Among the reasons for the slow acceptance of RSIs is the murky causality of the disease: did you get it from keyboarding at work or playing squash on your own time? RSIs may also worsen even after the hazardous tasks are eliminated and can appear as a result of work not normally associated with repetition. There has been inadequate epidemiological research into the full range of factors that lead to RSIs.29
Box 4.6 Two RSI examples
Meat-processing and cashier jobs are both associated with the development of RSIs. Meat-processing is a difficult job that involves heavy, dirty, and repetitive work. “Workers must repeat the same motions again and again throughout their shift. Making the same knife cut 10,000 times a day or lifting the same weight every few seconds can cause serious injuries to a person’s back, shoulders, or hands. Aside from a 15-minute rest break or two and a brief lunch, the work is unrelenting.”30 Cold temperatures (most of the work is performed in coolers to delay deterioration of the meat) compound the risk of injury. One study found that meatpacking workers are up to 80 times more likely to experience RSIs than other workers.31
In the past 20 years, RSIs have become widely acknowledged as a serious OHS issue in meat-processing plants. Facing significant economic pressure, meat processers have kept the speed of the production line high. They have also gotten rid of unions and shifted their hiring to more vulnerable immigrants and migrant workers. In short, employers have not controlled the hazards—they have just made it harder for workers to assert their safety rights. Not surprisingly, meat-processing workers frequently have difficulty having their RSIs accepted as “real” injuries and the hazards posed by the work process controlled.
Ana Ramos came from El Salvador and went to work at the same IBP plant as Albertina Rios, trimming hair from the meat with scissors. Her fingers began to lock up; her hands began to swell; she developed shoulder problems from carrying 30- to 60-pound boxes. She recalls going to see the company doctor and describing the pain, only to be told the problem was in her mind. She would leave the appointments crying. In January 1999, Ramos had three operations on the same day—one on her shoulder, another on her elbow, another on her hand. A week later, the doctor sent her back to work.32
Being a grocery clerk—moving small items across a scanner and bagging them—may not seem like physically demanding work. Over the course of a shift, however, a clerk can be required to lift more than 2000 kg of groceries. The lifting is in thousands of swipes of mostly small packages. The repetition, combined with twisting and awkward positioning as well as standing for long periods, make grocery clerks highly susceptible to RSIs.
Mary Ann Anderson has been a cashier at a grocery in Queens for about 12 years. With a remodeling about two years ago, the store replaced old-style cash registers with price scanners at the checkout stands. That’s when Anderson’s pain began. She noticed the scanner made her do more pulling, lifting and twisting of her wrist—she held each item at an angle so the scanner could read the price code. Also, Anderson and others found that taller clerks handled the raised weight scales and register tapes better than shorter clerks, but the shorter clerks were more comfortable with the scanner height. And nothing was adjustable. Last year the tendinitis in Anderson’s arms and wrists forced her to miss more than two months’ work.33
The part-time, gendered nature of retail work has made it more difficult to get retail-related RSIs recognized. Employers are reluctant to make substantial design changes to checkout stalls, as they are designed for consumer, rather than worker, convenience. It is easier to replace the workers when they “wear out.”
Engineering controls are the best way to address ergonomic hazards. Wrist supports, rest breaks, and other controls-at-the-worker fail to address the root cause of the hazard and do not effectively prevent the onset of injury. Ergonomic principles require that the design of the work be altered to better fit the needs of the workers in question. What those specific controls look like is highly dependent upon the nature of the work and the demographics of the worker.
SUMMARY
Returning to our opening vignette, the owner of Metron Construction, scaffold supplier Swing N Scaff, and project manager Vadim Kazenelson were all convicted of offences after the Toronto scaffolding collapse. Metron was fined \$750,000 for offences under the Ontario OHS Act. Swing N Scaff was ordered to pay \$400,000, also under the OHS Act. In June 2015, Kazenelson was convicted under the Criminal Code for criminal negligence causing death and criminal negligence causing bodily harm. He was sentenced to 3½ years in prison. At the time of writing, both his conviction and his sentence are under appeal. As we saw in Chapter 2, criminal prosecution is rare in Canada (there have been fewer than 10 since the Westray amendments were enacted in 2004) and so Kazenelson’s conviction is noteworthy.
These convictions may have brought some solace to the families of the four killed workers. Yet, given the number of annual injuries in Canadian workplaces, clearly many hazards—including obvious physical hazards—remain uncontrolled in Canadian workplaces. While this situation may, in part, reflect the fact that some hazards are difficult to identify and control, we also need to be cognizant that employers often have a financial incentive to cut corners on safety.
DISCUSSION QUESTIONS
• Why are some physical agents difficult to identify?
• How are noise hazards identified and what are the shortcomings of current approaches to controlling it?
• Why might vibration and noise exposure appear together?
• What are the effects of thermal stress and how can they be prevented?
• How are ionizing and non-ionizing radiation different and in what ways are they both hazards?
• What is the core principle of ergonomics and why have OHS practitioners been slow to adopt it?
EXERCISE
Select a workplace for consideration. It can be your workplace or a workplace you are familiar with. Complete the following steps:
1. Identify three physical hazards present in the workplace.
2. Using the process in Chapter 3, assess the risk and prioritize the three hazards.
3. Identify engineering, administrative, and PPE controls that would eliminate or reduce the hazards.
4. Discuss the pros and cons of each control from both a worker and employer perspective.
NOTES
1 Mehta, D. (2015, January 27). Manager didn’t insist on lifelines, court hears; Scaffold collapse. National Post, p. A8.
2 Wetselaar, S. (2014, December 4). Company fined after Christmas Eve scaffolding tragedy that killed four. Toronto Star.
3 CBC News. (2015, June 26). Vadim Kazenelson found guilty in deadly Toronto scaffolding collapse. CBC News Website, http://www.cbc.ca/news/canada/toronto/vadim-kazenelson-found-guilty-in-deadly-toronto-scaffolding-collapse-1.3128868
4 AWCBC. (2014). National work injury, disease and fatality statistics 2010–2012. Ottawa: Association of Workers’ Compensation Boards of Canada.
5 Barnetson, B., & Foster, J. (2015). If it bleeds it leads.
6 AWCBC. (2014).
7 Hsiaoa, H., & Simeonova, P. (2001). Preventing falls from roofs: A critical review. Ergonomics, 44(5), 537–561; Kemmlert, K., & Lundholm, L. (2001). Slips, trips and falls in different work groups—with reference to age and from a preventive perspective. Applied Ergonomics, 32(2): 149–153; Lipscomb, H., Dale, A. M., Kaskutas, V., Sherman-Voellinger, R., & Evanoff, B. (2008). Challenges in residential fall prevention: Insight from apprentice carpenters. American Journal of Industrial Medicine, 51(1), 60–68.
8 Rivara, F., & Thompson, D. (2000). Prevention of falls in the construction industry: Evidence for program effectiveness. American Journal of Preventive Medicine, 18(4), 23–26.
9 Bentley, T. (2009). The role of latent and active failures in workplace slips, trips and falls: An information processing approach. Applied Ergonomics, 40, 177.
10 Bell, J., et al. (2008). Evaluation of a comprehensive slip, trip and fall prevention programme for hospital employees. Ergonomics, 51(12), 1906–1925.
11 European Agency for Safety and Health at Work. (2003). Gender issues in safety and health at work: A review. Luxembourg: Author.
12 Key, M. M., Henschel, A., Butler, J., Ligo, R. N., Tabershaw, I., & Ede, L. (1977). Occupational Diseases: A guide to their recognition (Rev. ed.). Cincinnati: U.S. Department of Health, Education and Welfare.
13 Safe Work Australia. (2011). Managing Noise and Preventing Hearing Loss at Work. Canberra: Author.
14 E.g., Groothoff, B. (2006). Proceedings of Acoustics 2005, Australian Acoustics Society: 335–340. http://www.acoustics.asn.au/conference_proceedings/AAS2005/index.htm
15 Passchier-Vermeer, W., & Passchier, W. F. (2000). Noise exposure and public health. Environmental Health Perspectives, 108 (Suppl. 1), 123–131.
16 Based on Alberta Occupational Health and Safety Code, Schedule 3, Table 1.
17 Groothoff, B. (2012). Physical Hazards: Noise and Vibration. In Health and Safety Professionals Alliance, The Core Body of Knowledge for Generalist OHS Professionals. Tullamarine, VIC: Safety Institute of Australia, p. 12.
18 European Agency for Safety and Health at Work. (2003).
19 Health and Safety Executive, Government of Great Britain. (2011). Thermal Comfort. http://www.hse.gov.uk/temperature/thermal/
20 Messing, K. (1998). One-eyed science: Occupational health and women workers. Philadelphia: Temple University Press.
21 ACGIH. (2013). Threshold Limit Values for Chemical Substances and Physical Agents and Biological Exposure Indices. Cincinnati: ACGIH.
22 Quoted in Storey, R. (2005). Activism and the making of occupational health and safety law in Ontario, 1960s–1980. Policy and Practice in Health and Safety, 3(1), 48.
23 Quoted in Lopez-Pacheco, A. (2014). The strike that saved lives. CIM Magazine (June/July), 34.
24 Frei, P., Poulsen, A. H., Johansen, C., Olsen, J. H., Steding-Jessen, M., & Schüz, J. (2011). Use of mobile phones and risk of brain tumours: Update of Danish cohort study. British Medical Journal, 343:d6387, 1–9; Cardis, E., Richardson, L., Deltour, I., et al. (2007). The INTERPHONE study: Design, epidemiological methods, and description of the study population. European Journal of Epidemiology, 22(9), 647–664.
25 National Cancer Institute. (2013). Cell phones and cancer risk. http://www.cancer.gov/about-cancer/causes-prevention/risk/radiation/cell-phones-fact-sheet
26 Coureau, G., Bouvier, G., Lebailly, P., et al. (2014). Mobile phone use and brain tumours in the CERENAT case-control study. Occupational & Environmental Medicine, 71(7), 514–522. doi: 10.1136/oemed-2013-101754. Morgan, L. L., Kesari, S., & Davis, D. (2014). Why children absorb more microwave radiation than adults: The consequences. Journal of Microscopy and Ultrastructure, 2(4), 197–204.
27 IARC. (2015). “Preamble.” In IARC Monographs on the Evaluation of Carcinogenic Risks to Humans. Lyon, France: IARC, p. 23.
28 EMFScientist.org. (2015). International Appeal: Scientists Call for Protection from Non-ionizing Electromagnetic Field Exposure, p. 1. https://emfscientist.org/index.php/emf-scientist-appeal
29 Helliwell, P., & Taylor, W. (2004). Repetitive strain injury. Postgraduate Medical Journal, 80, 438–443.
30 Schlosser, E. (2001). The chain never stops. Mother Jones, 26(4). http://www.motherjones.com/politics/2001/07/dangerous-meatpacking-jobs-eric-schlosser
31 Piedrahita, H., Punnett, L., & Shahnavaz, H. (2004). Musculoskeletal symptoms in cold exposed and non-cold exposed workers. International Journal of Industrial Ergonomics, 34(4), 271–278.
32 Schlosser, E. (2001). The chain never stops.
33 Cummins, H. J. (1992, January 26). Scanners add up injuries for grocery checkout clerks. Seattle Times. http://community.seattletimes.nwsource.com/archive/?date=19920126&slug=1472135 | textbooks/workforce/Construction/Health_and_Safety_in_Canadian_Workplaces_(Foster_and_Barnetson)/1.04%3A_Physical_Hazards.txt |
Learning Objectives
After reading this chapter, you will be able to:
• Define chemical hazards and explain how they affect workers.
• Interpret toxicity data to prioritize chemical hazards.
• Explain how occupational exposure limits were set and assess the validity of these limits.
• Define biological hazards and explain how they affect workers.
• Assess the positive and negative impact of science on worker safety.
In the spring of 2015, the Supreme Court of Canada agreed to review a decision made by the Alberta courts in a lawsuit brought forward by Jessica Ernst against Alberta’s energy regulator. Ernst filed a suit against the province and Calgary-based energy company Encana over the contamination of her groundwater by hydraulic fracturing.1 Hydraulic fracturing (or ‘fracking’) is a petroleum-extraction process wherein workers drill deep holes and then inject fluid into the ground under high pressure to fracture rock layers and thereby recover otherwise inaccessible petroleum. The occupational and environmental risks associated with fracking are significant and complicated.
Each fracking effort can require up to 8 million gallons of water and 400,000 gallons of fracking chemicals. Wells can be fracked up to 20 times. Fracking fluid contains water, sand, and various chemicals. When researchers examined the 632 chemicals known to be used in fracking, they found that 75% of them negatively affect the skin and sensory organs as well as the respiratory and gastrointestinal systems. At least 40% are believed to negatively affect the brain and/or nervous system, immune system, cardiovascular system, and kidneys. And 25% are believed to cause cancer and other mutations.2
Workers can be exposed to these hazards while fracking. Yet the chemical hazards of fracking don’t just endanger workers. Like most chemical hazards, they also endanger the general public. For example, fracking chemicals can enter the local water table (which often serves as the source of local drinking water). Leakage can occur along the fissures caused by the fracking, from the well casings (which often pass through local water tables), and from inadequate storage of fracking wastewater. Ernst, for example, alleges that fracking northeast of Calgary has resulted in so much methane entering her well that she can now light her drinking water on fire.
Fracking also causes earthquakes and releases airborne chemical hazards. Drilling the well site alone can release “benzene, toluene, xylene and ethyl benzene (BTEX), particulate matter and dust, ground level ozone, or smog, nitrogen oxides, carbon monoxide, formaldehyde and metals contained in diesel fuel combustion—with exposure to these pollutants known to cause short-term illness, cancer, organ damage, nervous system disorders and birth defects or even death.”3 Workers on site and individuals passing or living nearby are affected by these chemical hazards.
Fracking is but one example of the growing threat that chemical hazards pose to the health of workers. It also demonstrates that there is no clear division between a workplace hazard and an environmental hazard. There is no comprehensive list of chemical substances that workers may be exposed to in the workplace, but the number is suspected to be at least 80,000. As we will see below, there is toxicological data available for about 1% of these chemicals, and the data that is available is highly suspect. The essentially unregulated nature of chemical exposures in the workplace is an important argument for adopting the precautionary principle in occupational health and safety.
CHEMICAL HAZARDS
Chemicals are everywhere in the modern workplace, from printer toner to engine exhaust to sink cleaners. While most chemical exposures do not cause ill effects, some certainly do. As we saw in Chapter 3, chemical hazards cause harm to human tissue or interfere with normal physiological functioning when they enter our bodies. Some chemicals irritate our tissue while others poison our systems or organs. Chemicals can asphyxiate us or negatively affect the functioning of our central nervous systems. Chemicals can also cause our immune systems to overreact, change our DNA, cause cancer, or damage a fetus.
There are four routes of entry by which chemicals can get into a worker’s body, the most common being through respiration (i.e., breathing in contaminated air) and absorption through the skin. Chemicals can also enter our bodies through ingestion (i.e., we can eat them—usually accidentally) and through cuts in our skin. Our bodies excrete some chemicals in our sweat, exhaled breath, urine, or feces, while retaining other substances. Our bodies metabolize some chemicals into other substances, which may be more or less toxic than the original substance.
Chemical hazards have varying levels of toxicity (i.e., ability to cause injury). Toxicity can be local or systemic. Local toxicity is a reaction at the point of contact. For example, you might experience a burn on the skin of your fingers after handling spicy peppers in a restaurant kitchen. Systemic toxicity occurs at a point in the body other than the point of contact. Allergic reactions after prolonged exposure to latex would be an example of systemic toxicity (see Box 5.1). Another example might be organ damage following skin absorption of a pesticide while picking fruit.
Box 5.1 Contact dermatitis among food service workers
Many food service workers cope with a chronic rash on their hands. This dermatitis is caused by exposures to chemical substances such as cleaners and food products as well as by frequent handwashing—all of which can irritate a worker’s skin. Workers can develop severe itching, burning, flaking, cracking, blistering, and bleeding of their hands. Over time, repeated exposures to chemical substances can also make workers allergic to those chemicals. Allergic reactions mean workers can develop symptoms on other parts of the body. There are over 1000 workers’ compensation claims for dermatitis in Ontario alone each year.4
Other factors appear to play a role in food service workers’ propensity to develop dermatitis. Extreme temperatures (such as hot dishwater and serving dishes as well as cold freezers), mechanical trauma (such as friction, pressure, abrasions, and lacerations) and biological agents (such as bacteria on meat and vegetables) are common food service hazards. Each of these hazards can increase the likelihood of workers developing dermatitis.5
Some food service workers wear latex gloves as a form of PPE in order to reduce their contact with chemical substances. Latex gloves are also widely used by health care workers. Ironically, latex gloves themselves contain multiple chemicals (called rubber accelerators). These chemicals have allergenic properties and may contribute to the skin damage that gives rise to dermatitis. Workers can also become allergic to the latex gloves themselves, an allergy that can subsequently be triggered by household, recreational, medical, and clothing items. Proper skin care combined with eliminating or reducing exposures to the chemical, physical, and biological hazards of food service is likely to be more effective in reducing the incidence of dermatitis.
Acute toxicity represents the immediate harm caused by exposure to a chemical substance. Chronic toxicity represents a substance’s ability to cause harm over a longer period of time. The time between exposure to a chemical hazard and the development of symptoms from that exposure is called the latency period. Many of the consequences of exposures to chemical hazards (e.g., occupational diseases) have a latency period that is measured in years. As we saw in Chapter 2, this delay can confound the relating of diseases to occupational exposures.
Although only a fraction of all chemical exposures result in a worker’s death, toxicity is often measured in terms of a substance’s lethal dose (LD) as determined from animal experiments. For example, the toxicity of a chemical tested on rats via ingestion might be expressed as Oral LD50 (rat): 56mg/kg. What this means is that when rats were fed the substance, half (the ‘50’ after the LD) died shortly after ingestion when given 56 milligrams of the substance per kilogram of animal weight. These LD50 values are measures of substances’ acute toxicity and allow us to compare the toxicity of substances. Substances with a lower LD50 are more acutely toxic than substances with a higher LD50 because lower LD50 substances cause half of the animals to die at lower doses. The toxicity of substances may also be measured based upon their lethal concentration (LC) in the air or water.
These toxicity measures show us that the dose (or amount) of a chemical that enters the body affects whether the chemical exposure causes harm and the degree of harm. For example, some chemicals are relatively harmless in low concentrations, such as the methane gas found in Jessica Ernst’s well water. But, in high concentrations, methane can displace oxygen and cause rapid heart rate, fatigue, nausea, and, eventually, death by asphyxiation. (It is also flammable and potentially explosive.) That said, it is important to note that doses that are too low to cause acute toxicity can still cause chronic toxicity, especially if the dose is repeated over time. Prolonged exposure to silica dust, for example, can give rise to silicosis—a lung disease that impedes respiration—but silicosis may not manifest itself for 10 to 30 years after the exposure.
While toxicity data is helpful in identifying chemical hazards, it is important to be cautious when using it. Lethal dose measures focus on the acute toxicity of a substance and are less useful in assessing a substance’s chronic toxicity or the effect of repeated exposures to low doses. Toxicity experiments also tend to be based upon ingestion of the substance because ingestion-based experiments are less expensive than experiments based upon respiration or contact. This bias may reduce the accuracy of the resulting data because most chemicals enter our bodies through respiration or skin absorption. Toxicity data is also based upon animal experiments, and these results may not be perfectly applicable to humans. Perhaps most concerning is that toxicity experiments typically assess the toxicity of a single substance in isolation. This ignores the reality that most workplaces expose workers to multiple chemicals and these exposures may interact synergistically. That is to say, exposures to multiple chemicals may increase the toxicity of each chemical out of proportion to its toxicity in isolation.
As discussed in Chapter 3, controlling chemical hazards begins by identifying worker tasks and environmental factors associated with the location. Subsequently, we must identify and list each chemical a worker is exposed to and the route(s) of entry for that chemical. The potential hazard posed by each exposure and the risk of exposure should be determined along with control strategies. Control strategies used should follow the hierarchy of controls, beginning with elimination (e.g., using non-chemical processes) and substitution (e.g., using a less hazardous chemical), then progressing to engineering controls (e.g., physically isolating workers from the chemical).6
Less effective control approaches include administrative controls that minimize or standardize exposures and the provision of personal protective equipment (PPE). In addition, some workplaces provide special facilities (e.g., showers, lunch rooms) to minimize workers’ exposure to chemicals. Some organizations will also undertake extensive medical and environmental monitoring and record keeping. This can include monitoring the level of a hazard in a specific area (area monitoring), the dose experienced by a worker (personal monitoring), or the presence of a chemical or its metabolic residue in a worker’s blood, body fluids, or tissues (medical monitoring). While not hazard controls per se, monitoring and record keeping can provide data that can help to adjust administrative controls, assess the effectiveness of PPE, and identify early signs of health effects.
In practice, controlling exposure to chemical substances can be difficult. Workplaces often use multiple chemicals, which may have poorly documented synergistic effects. Further, the ways in which products are used may change over time, thereby reducing the effectiveness of administrative controls such as exposure and handling protocols. For example, a reduction in the number of cleaning staff in a hotel may mean workers must now work faster because their workloads have increased. Prior to the staffing change, workers may have used one chemical product to clean toilets and, subsequently, another product to clean the bathroom floors. To cope with the reduced time the workers are given to clean the entire bathroom, the workers may begin applying both products at the same time, creating the possibility of hazardous chemical interactions. Such a change in practice may be unknown to the employer. This example demonstrates that health and safety can be profoundly affected by other human resource practices, such as job design, staffing, and scheduling.
OCCUPATIONAL EXPOSURE LIMITS
Toxicity data is used to generate occupational exposure limits (OELs). OELs for chemical hazards represent the maximum acceptable concentration of a hazardous substance in workplace air. In theory, workers exposed to a chemical substance at the OEL for their entire working life will experience no adverse health effects. Each jurisdiction in Canada sets its own OELs. As we saw in Chapter 4, there are also OELs for physical hazards such as noise, radiation, and (more rarely) vibration. There are approximately 800 OELs in Canada.
Provincial and territorial regulations can set three types of OELs, depending on the nature of the substance’s toxicity:
• A time-weighted average exposure value (TWAEV) is the maximum average concentration of a chemical in the air for a normal 8-hour working day or 40-hour working week.
• The short-term exposure value (STEV) is the maximum average concentration to which workers can be exposed for a short period (e.g., 15 minutes). The STEV is often higher than the TWAEV.
• The ceiling exposure value (CEV) is the concentration that should never be exceeded in a workplace.
OELs for a vapour or gas are often set as parts per million (ppm). Aerosols (e.g., dust, fumes, mist) are normally set as milligrams per cubic meter of air (mg/m3). Fibrous substances (e.g., asbestos) are typically set as fibres per cubic centimeter of air (f/cc or f/cm3). Compliance with OELs is often assessed via air sampling. Periodic air samples do not necessarily capture normal working conditions because the act of testing may temporarily change workplace behaviour. This dynamic is called the observer effect.
When establishing OELs, governments often follow threshold limit values (TLVs) published by the ACGIH. The TLVs are the ACGIH’s recommendations for allowable chemical exposure. While it is an arms-length body, concerns about its recommendations have been raised. Nearly one sixth of all the ACGIH’s TLVs have been set based upon unpublished corporate data, which raises concerns about the validity and reliability of the results. Further, the committees that set these standards have included a significant number of industry representatives and consultants—many of whose relationships to industry were hidden while they were members—thereby raising concerns about conflict of interest in the establishment of TLVs.7
Indeed, many scientists dispute the notion that there is any safe level of exposure for carcinogens and reproductive hazards. In this view, so-called safe levels of exposure reflect simply the point below which scientists are (at present) unable to detect ill effects. Box 5.2 takes on the thorny issue of why the ongoing reduction in OELs—while doubtlessly beneficial to workers—is evidence that OELs have not been very effective at protecting them.
Box 5.2 Why are declining OELs so concerning
A concerning trend in OELs is that so-called safe levels of exposure go down over time, often dramatically. The exposure level for benzene, for example, dropped from 100 ppm to 10 ppm between 1945 and 1988, and exposure limits on vinyl chloride dropped from 500 ppm to 5 ppm. This phenomenon is not just a part of the distant past. Alberta reduced its OEL for chrysotile asbestos from 2 f/cc in 1982 to 0.5 f/cc in 1988 to 0.1 f/cc in 2004.
On the surface, this trend toward ever-lower OELs seems to indicate the system works: as new scientific evidence about chemical hazards becomes available, regulators revise their OELs. Yet let us think about this a bit more deeply. The law of probability suggests that, all else being equal, sometimes initial OELs will set be too high and sometimes they will be set too low. So why do OELs always go downward? Shouldn’t they go up at least some of the time?8
The constant downward trend in OELs actually demonstrates a systemic underestimation of risk to workers by regulators. That is to say, regulators almost always err on the side of over-exposing workers to chemical hazards. Why is this? There are likely three reasons.
The first is that the science underlying OELs has not been very good. For example, in, 90% of cases where TLVs have been set, there is insufficient data on the long-term effects of exposure from either animal or human studies.9 This introduces uncertainty into the regulatory process. This uncertainty is exacerbated when employers hide evidence that substances negatively affect workers, sometimes by producing studies of questionable validity.10 The second reason (explored later in this chapter) is that the threshold of scientific certitude is often set very high and this makes it hard to “prove” substances are hazardous.
The third reason is that regulators operate in a political environment, where workers, employers, and the state all seek to advance their interests. It follows that regulators setting standards must ask what actions will be politically palatable. In this way, setting exposure limits is not a purely scientific process, but also a political one. Among the findings of researchers is that most exposure limits have been set at levels industries were already achieving.11 That is to say, “safe” OELs appear to be defined in practice as “convenient for employers” rather than “posing no hazard to workers.” Even with processes that involve multiple stakeholders at the table (i.e., labour and employers), the outcomes tend to favour employers due to imbalances in political power and access.12
This discussion expands our understanding of how the social construction of hazards affects workplace safety. By labelling levels of exposure as “safe” (even when they are not), the state is able to define some hazards out of existence. This benefits employers because many of these substances are integral to industrial processes or are the least expensive substance available to do the job. The effect of such hazardous substances on workers is ignored. After all, how can a “safe” substance cause harm to a worker?
Compounding concerns about the validity of OELs is their usefulness in today’s labour market. OELs assume a standard employment relationship with a single employer and an 8-hour workday. Many workers have more than one job and may experience chemical exposures at each worksite. These combined exposures may exceed OELs or may entail complicated chemical interactions. Yet OHS regulations do not require employers to consider chemical exposures workers experience from other jobs or in the community. Employers may well not even know that workers have a second job, let alone what chemical exposures they have. In this way, the trend toward increasingly precarious employment can create workplace hazards that are essentially invisible. There is also a gendered dimension to OELs. Most OELs have been set based upon studies of healthy young men, and the resulting standards are applied to both genders.13 OELs do not take into account individuals’ varying sensitivities to chemicals. The same exposure level may result in no ill effects for one worker, while the next person next might experience health effects.
This critique of OELs raises important questions about the validity of information contained in material safety data sheets (MSDS). An MSDS is supposed to contain information about potential hazards, safe use, storage, and handling practices, and emergency procedures. Manufacturers and suppliers must provide and employers must make available an up-to-date MSDS for any chemicals that are considered controlled products by WHMIS. Often the information in MSDSs is based upon OELs. Inaccurate OELs can undermine the utility of MSDSs, which are the key method by which information about chemical hazards is communicated. Further, analysis of the content of MSDSs has also found them to be incomplete, inaccurate, sometimes out of date, and often incomprehensible to workers.14 These findings raise profound questions about the effectiveness of chemical hazard assessment, recognition, and control efforts. More detailed and accurate information is available in databases provided by organizations such as the Canadian Centre for Occupational Health and Safety (e.g., ChemInfo database), but these resources can be expensive to access and difficult for workers to find.
BIOLOGICAL HAZARDS
As we saw in Chapter 3, biological hazards are organisms or the products of organisms (e.g., tissue, blood, feces) that harm human health. There are three types of organisms that give rise to biological hazards:
• Bacteria are microscopic organisms that live in soil, water, organic matter, or the bodies of plants and animals. For example, the E. coli bacterium lives in human and animal digestive tracts and some strains can cause food poisoning, infections, or kidney failure when ingested.
• Viruses are a group of pathogens that cause diseases such as influenza (the “flu”) when they enter our bodies.
• Fungi are plants that lack chlorophyll, including mushrooms, yeast, and mould. Many fungi contain toxin or produce toxic substances. For example, stachybotrys chartarum (black mould) produces toxins called mycotoxins that cause nausea, fatigue, respiratory and skin problems, and organ damage when the toxic spores are inhaled.
Insect stings and bites, poisonous plants and animals, and allergens are also biological hazards. Like chemical hazards, biological hazards can enter our bodies via respiration, skin absorption, ingestion, and skin penetration and can cause both acute and chronic health effects. Our bodies do have mechanisms by which to cope with some biological hazards. For example, our respiratory system has five layers of defence to prevent harmful particles from entering our body, beginning with the hair-like projections (cilia) on the cells that line our airways (which filter out particles) and ending with cells (macrophages) in the air sacs (alveoli) of our lungs that trap and route impurities into the lymphatic system for disposal. Organisms that enter our body are also subject to attack by our immune system. Yet these mechanisms are not effective against every biological hazard or every exposure.
Like all workplace hazards, control strategies for biological hazards should follow the hierarchy of controls. Historically, the provision of adequate washing and toilet facilities was an engineering control that significantly reduced worker exposure to many biological hazards. Recent technological improvements, such as automatically flushing toilets and automatic taps, soap dispensers, and towel dispensers, have further limited workers’ contact with bacteria in washrooms.
As noted in Box 5.3, providing workers with vaccinations is an administrative control that can reduce worker susceptibility to viruses. Mandatory vaccinations are, however, controversial. Public health officials in Alberta have been attempting to increase the rate of annual vaccination for influenza among health-care workers (which sits at about 55%) and are considering mandatory vaccinations. In British Columbia, workers who do not receive a flu shot must wear a mask when interacting with patients.15
While mandatory vaccination for health-care staff is advocated as an important step to protect patients (who may be particularly vulnerable to influenza), opponents note that mandatory vaccination significantly interferes with the rights of health-care workers to control their own health and that the annual “flu shot” is only about 60% effective at preventing influenza.16 Some critics privately assert that employers may be more interested in reducing worker sick-time totals than protecting patient health. This charge should again draw our attention to the potential for financial considerations to affect employer OHS practices.
Box 5.3 Communicable diseases, immunization, and child care workers
Public immunization programs during the latter half of the 20th century—focused specifically on vaccinating school children—have largely eliminated diseases such as polio and smallpox. While primarily aimed at controlling disease in the broader population, vaccination programs have also reduced occupational exposures to biological hazards among health-care and child-care workers.
A since-discredited 1998 study that linked autism to the MMR (mumps, measles, and rubella) vaccine has contributed to declining vaccination rates in Canada and the United States. Fewer immunized children means that child-care workers—95% of whom are female—are increasingly exposed to biological hazards that can cause diseases, such as hepatitis B and measles.
Indeed, child-care workers face many biological hazards in the course of their daily work. Respiratory infections—spread through the air—are commonplace among children, as are measles, chicken pox, and whooping cough. Intestinal infections can be spread through contact with feces during diapering or through inadequate hand washing. And skin infections (such as ring worm) and infestations (such as lice) can be transmitted through direct contact.
Following a 2014 outbreak of measles in Disneyland linked to unvaccinated children, the State of California made vaccination of school-aged children mandatory. The state has since enacted further legislation requiring child-care workers to be vaccinated against measles, whooping cough, and influenza.17 Mandatory worker vaccination (which is controversial) helps to control some of the biological hazards faced by child-care workers. Other administrative controls include environmental monitoring and sanitization protocols, such as ensuring that there are adequate facilities for diapering and toileting and physically separating these areas from food preparation and eating areas.
The interaction of public health campaigns (such as immunization) with workplace OHS demonstrates the need for OHS practitioners to be mindful of health issues beyond the workplace. In Chapter 8, we’ll examine the issue of pandemic planning. Pandemics are caused by the widespread outbreak of a new strain of a virus that spreads quickly (due to a lack of immunity) and for which there is no immediately available vaccination. While they are relatively rare, the workplace impact of a pandemic could be severe and many employers have developed plans for coping with such an event.
SCIENCE AS A DOUBLE-EDGED SWORD
Science plays an important role in both injury prevention and compensation. It has identified hazardous chemical and biological agents, determined the mechanism(s) by which these substances cause harm, and suggested ways to control hazards and treat injuries. It is important for OHS practitioners to understand how scientific conclusions are reached and the limitations of these conclusions.
The scientific method is a process of formulating, testing, and modifying hypotheses. A scientific hypothesis is a proposed explanation of a phenomenon that can be empirically tested to confirm, refine, or refute this explanation. We conduct measurement, observation, and experimentation to gather data that is compared against the hypothesis. If the data agrees with our hypothesis, we may conclude the hypothesis to be true. However, we cannot be certain the results are not the result of chance or a flaw in the method design. In other words we need to ensure the results are both valid and reliable. Validity means the results of the experiment or observation accurately reflect the real world. For example, a scale measuring weight is valid if it correctly reports your actual weight. Reliability is the degree to which the results would be consistent if the measurement or observation were performed again. The scale in our example would be reliable if it produced the same result every time you step on it (assuming your weight has not changed).
The questions of validity and reliability plague scientific researchers, and achieving them is a key element of the scientific method. They are particularly challenging for the kinds of research usually associated with OHS-related matters because most of those issues involve human behaviour and physiology. When dealing with humans acting in the real world, there are limits to the control we can achieve over the measurement. It is unethical, for example, to intentionally expose someone to a toxic substance to measure its effects. Also, we cannot identify and control all the possible variables that may affect our results.
As a result, we can never be absolutely certain our results are accurate. As a result, scientists are concerned with false positives and false negatives. A false positive result occurs when we conclude a difference or relationship exists when it does not. False negatives occur when we conclude no difference or relationship exists when it does. Scientists tend to be particularly concerned with false positives because of their potential consequences. For example, saying a drug is effective at treating a disease when it actually is not can harm patients by subjecting them to an ineffective course of treatment. False negatives can also have real-life consequences as they may lead to inaction on health threats. The potentially harmful consequences of false positives means scientists are prone to being very conservative in their conclusions.
Further complicating matters is that most research conducted on OHS matters can only identify a correlation between two variables (e.g., exposure to asbestos and lung cancer). Demonstrating that asbestos (rather than some other, unmeasured, substance) causes lung cancer requires more complex research. The lack of clarity around cause also contributes to scientists’ conservatism around findings. Unclear causation also is used by employers and government agencies, such as WCBs, to deny the harmfulness of a substance and the injury claims associated with exposure to it. For example, smoking also causes lung cancer and so, if an asbestos-exposed worker also smokes, it can be much more difficult for her to demonstrate that her cancer was the result of the asbestos exposure. This is a common issue for workers who develop long-latency diseases.
The reason that scientific practices matter to OHS practitioners is that health and safety is contested terrain. As we saw in Chapter 1, the interests of employers and workers don’t always align. While scientific analysis has been immensely helpful to workers seeking to identify chemical and biological hazards or receive compensation for injuries caused by such hazards, employers can use the conservative culture of scientific research to slow or block worker efforts in these regards. As Box 5.4 shows, employers will often exploit such doubt in an effort to block regulation of hazardous substances.
Box 5.4 Avoiding regulation by manufacturing doubt
Today we know that both vinyl chloride and benzene are dangerous chemicals that affect human health. Vinyl chloride is a polymer used in the production of many plastics, and until the 1970s, it was used in aerosol sprays and other products. Benzene is a component of crude oil that is a powerful industrial solvent and used in production of many products, including nylon. Their dangers were not always widely known.
Debra Davis, a renowned epidemiologist (a scientist studying the patterns and causes of illness and disease in the population), has traced what happened as scientists started to become aware of the health consequences of these chemicals. She found a story of active corporate involvement in the suppression of scientific evidence and discouragement of regulatory controls that she terms “a sophisticated game of scientific hide and seek.”18
These cases draw attention to the strategies employers use to protect their interests in the face of scientific, public, or government pressure for regulation. In both cases, the corporations possessed studies demonstrating the health hazards of the chemicals but refused to allow public access to the results. Insiders trying to get the information into the public’s hand were fired or silenced. Employer strategies in the face of growing public awareness are also illuminating:
To the manufacturing companies, it made sense to fight any effort to restrain production. From the very first reports that vinyl chloride could dissolve the finger bones of workers, cause cancer in animals and deform babies, the industry had a simple response: more research is needed.19
This tactic is aimed at delaying any regulation of the chemical in question. Employers would also sponsor their own research into a substance. In the case of vinyl chloride, employers hired prominent and well-respected scientists such as Sir Richard Doll, considered one of the world’s premiere epidemiologists, whose results downplayed health concerns.
Not until 2000 did it become known that Doll’s efforts on vinyl chloride had not been the independent musings of a disinterested expert. A letter found after his death in 2005 indicated that Doll had served as a consultant to Monsanto [a manufacturer of vinyl chloride] since at least 1979, at a fee of \$1,500 a day.20
These efforts are part of a well-documented employer game plan for delaying the recognition of chemical hazards. It starts out with the employer decrying the lack of evidence to substantiate worker concerns about a particular hazard. If the workers have managed to gather evidence to support their claim, employers—sometimes acting through industry associations—will often criticize the methods by which that research was conducted and request additional research, which can cause a multi-year delay in the process.
If the employer has generated research that suggests a substance is hazardous, they may prohibit the researchers they contracted to do the research from publishing the results. They may also misrepresent the findings to government or hire a more compliant researcher to create evidence that the substance poses no risk. Finally, when it is no longer possible to deny that a substance is hazardous, the employer may seek to blame the workers for their exposure or argue that continued use of the substance is economically necessary.21
Despite the voluminous research into the hazards of benzene and vinyl chloride, neither has been banned or significantly restricted in industrial processes. OELs have been established, and other safety regulations govern their handling, but thousands of workers continue to be exposed to both chemicals.
The standards set by scientific research can make it very difficult at times to establish that a chemical (or other exposure) is hazardous. Employer use of this conservatism can mean that workers can be exposed to hazards with inadequate information about their effects. By contrast, if those regulating chemical and biological hazards adopted the precautionary principle—where the absence of scientific certainty that a substance was hazardous did not preclude regulating potentially hazardous materials or activities associated with it and the burden of proof fell on those advocating its use—it would be much more difficult for employers to resist this regulation. Box 5.5 considers the precautionary principle in more detail.
Box 5.5 Politics and the precautionary principle
The precautionary principle asserts that when a substance is suspected of causing harm to workers, the public, or the environment but there is no scientific consensus on the question, then those seeking to use the substance must prove it is not harmful. In essence, this principle reverses the current evidentiary burden around chemical and biological hazards, which requires critics to prove a substance is harmful before regulation occurs.
The precautionary principle is premised upon the notion that decision makers have a social responsibility to protect workers and the public from harm when there is a plausible case that a substance is harmful. Europe has moved in the direction of the precautionary principle with its Registration, Evaluation, Authorisation and Restriction of Chemicals (REACH) regulations. These regulations place a greater burden on employers and chemical companies to demonstrate that a new chemical is safe, although a number of significant loopholes remain.22
One of the impediments to the adoption of the precautionary principle is that it brings into stark relief and conflict the differing interests of employers and workers around safety. Governments generally prefer to avoid making clear choices between the demands of workers (from whom they derive political legitimacy and electoral support) and the demands of employers (who are economically powerful). Consequently, governments are reluctant to seriously consider the precautionary principle (which most employers oppose). One outcome of this reluctance (albeit an outcome that is difficult to see) is that employers retain the right to continue exposing workers to substances that are possibly (and even probably) hazardous.
SUMMARY
As noted at the beginning of the chapter, the health risks from fracking affect both workers at the well sites and nearby residents. This example demonstrates that when it comes to chemical and biological hazards there is no clear boundary between occupational health and safety and public health or between workplace hazards and environmental hazards. In this way, biological and chemical hazards can be pervasive and difficult to recognize because exposure occurs in multiple settings.
Chemical and biological hazards are also challenging because of the level of complexity involved in their interactions with the human body. It is much harder to ascertain the risk associated with using a cleaning agent than the risk posed by working on a roof or operating an espresso maker. Health effects may only develop from prolonged exposure, or the disease may have a long latency period. Often, pinpointing the cause of a disease can also be difficult due to exposure to multiple hazards, a lack of knowledge about what we are exposed to in the workplace, and the lack of a clear boundary between work-related and environmental exposures.
As a result, this area of OHS relies heavily on science to understand the effects of chemical and biological hazards. Nevertheless, the nature of scientific practices often result in overly conservative conclusions when assessing the risk these hazards pose to workers. Issues with such scientific conventions can be compounded by employers’ long-standing efforts to deny the existence of chemical and biological hazards and avoid taking action to control them. As a result, there is strong evidence suggesting that current protections are inadequate and systematically under-protective of workers. Even if the precautionary principle is not a legal requirement in Canadian workplaces, this dynamic makes a strong argument for adopting the principle for moral reasons when it comes to chemical and biological hazards.
DISCUSSION QUESTIONS
• How do chemical hazards harm workers?
• What chemical hazards have you encountered in the workplace? What were the route(s) of entry of those hazards? What acute and chronic effects did they have?
• Why might we be skeptical about the utility of OELs?
• What biological hazards have you encountered in the workplace? What were the route(s) of entry of those hazards? What acute and chronic effects did they have?
• Do you think scientists are too conservative when they assess whether certain substances are hazardous to workers? Why or why not?
EXERCISES
Go online and find information about black mould. Specifically, try to determine:
1. How can black mould be recognized?
2. What health effects does black mould cause? And what is the route(s) of entry for black mould?
3. What controls are effective for working near black mould? And how can it be eliminated from the workplace?
Go back online and find out what regulations regarding black mould and its remediation operate in your jurisdiction. You will want to consider occupational health and safety rules, as well as environmental regulations and building codes. Now consider the following scenario.
Pretend you are an employer operating a building cleaning company. One of your employees has reported finding black mould in the basement of a building you require the employee to regularly clean.
Using your knowledge of black mould, write a 500-word plan to respond to the employee’s concerns given the rules governing mould in your jurisdiction and the health effects of mould exposure for workers.
If possible, swap plans with another student. If this is not possible, use your own plan. Pretend you are the employee who has received this plan in response to your concerns about black mould in the workplace. What concerns do you have about your employer’s plan? And how would you use your occupational health and safety rights to seek remedy for these concerns?
NOTES
1 Canadian Press. (2015, April 30). Jessica Ernst’s fracking case to be heard by the Supreme Court of Canada. CBC. http://www.cbc.ca/news/canada/calgary/jessica-ernst-s-fracking-case-to-be-heard-by-supreme-court-of-canada-1.3055627
2 Colborn, T., Kwiatkowski, C., Schultz, K., & Bachran, M. (2012). Natural gas operations from a public health perspective. Human and Ecological Risk Assessment, 17(5), 1039–1056.
3 Hoffman, J. (2015). Potential Health and Environmental Effects of Hydrofracking in the Williston Basin, Montana. Geology and Human Health. http://serc.carleton.edu/NAGTWorkshops/health/case_studies/hydrofracking_w.html
4 Morra-Carlisle, M. (2012, August 23). Service industry hazards getting under workers’ skin. Canadian Occupational Safety. http://www.cos-mag.com/Hygiene/Hygiene-Stories/service-industry-hazards-getting-under-workers-skin.html
5 Centres for Disease Control and Prevention. (2012). Skin exposures and effects. http://www.cdc.gov/niosh/topics/skin/
6 Government of Alberta. (2011). Best Practices Guidelines for Occupational Health and Safety in the Healthcare Industry. Edmonton: Author.
7 Castleman, B., & Ziem, G. (1988). Corporate influence on threshold limit values. American Journal of Industrial Medicine, 13(188), 531–559.
8 Dorman, P. (2006). Is expert paternalism the answer to worker irrationality? In V. Mogensen (Ed.), Worker safety under siege: Labor, capital and the politics of workplace safety in a deregulated world (pp. 34–57). Armonk, NY: M.E. Sharpe.
9 Ziem, G., & Castleman, B. (2000). Threshold limit values: Historical perspectives and current practice. In S. Kroll-Smith, P. Brown & V. Gunter (Eds.), Illness and the Environment (pp. 120–134). New York: New York University Press.
10 Michaels, D. (2008). Doubt is their product: How industry’s assault on science threatens your health. Toronto: Oxford University Press.
11 Roach, S., & Rappaport, S. (1990). But they are not thresholds: A critical analysis of the documentation of threshold limit values. American Journal of Industrial Medicine, 17, 728–753.
12 Foster, J. (2011). Talking ourselves to death? Prospects for social dialogue in North America—Lessons from Alberta. Labor Studies Journal, 36(2), 288–306.
13 Messing, K. (1998). One-eyed Science: Occupational health and women workers. Philadelphia: Temple University Press.
14 Nicol, A-M, Hurrell, C., Wahyuni, D., McDowall, W., & Chu, W. (2008). Accuracy, comprehensibility, and use of material safety data sheets. American Journal of Industrial Medicine, 51(11), 861–876.
15 CTV. (2014, December 1). Doctors split on mandatory flu vaccines for health-care workers. http://www.californiahealthline.org/capitol-desk/2015/8/committee-oks-vaccine-requirement-for-day-care-workers-floor-vote-next
16 Simons, P. (2014, January 4). Time for Alberta’s health care workers to roll up their sleeves and get the flu shot. Edmonton Journal. http://www.edmontonjournal.com/health/ns+Time+Alberta+health+care+workers+roll+their+sleeves+shot/9348177/story.html
17 Simmons, C. (2015, October 11). Gov.Brown signs California day care centre worker vaccination bill–SB 792. California Newswire. http://californianewswire.com/gov-brown-signs-california-day-care-center-worker-vaccination-bill-sb792/
18 Davis, D. (2007). The secret history of the war on cancer. New York: Basic Books, p. 380.
19 Ibid., p. 372.
20 Ibid., p. 378.
21 Bohme, S., Zorabedian, J., & Egilman, D. (2005). Maximizing profit and endangering health: Corporate strategies to avoid litigation and regulation. International Journal of Occupational and Environmental Health, 11(6), 338–348.
22 Lokke, S. (2006). The precautionary principle and chemicals regulation: Past achievements and future possibilities. Environmental Science and Pollution Research International, 13(5), 342–349. | textbooks/workforce/Construction/Health_and_Safety_in_Canadian_Workplaces_(Foster_and_Barnetson)/1.05%3A_Chemical_and_Biological_Hazards.txt |
Learning Objectives
After reading this chapter, you will be able to:
• Define psycho-social hazard and its effects on the health and safety of workers.
• Explain the causes and consequences of stress and fatigue in the workplace.
• Discuss the factors related to workplace violence and the effectiveness of prevention programs.
• Explain the root causes of bullying and how to properly manage bullying and harassment.
• Identify the hazards associated with working alone and discuss strategies for controlling them.
Meredith Boucher began working for Wal-Mart in 1999. She was well regarded and received a number of promotions over the years. In 2008, she was made a Lead Assistant Manager in a Windsor, Ontario, store. Initially, her relationship with the Store Manager, Jason Pinnock, was positive and her performance appraisals were glowing. Then, in May 2009, Pinnock asked Boucher to falsify a log recording temperature in meat and dairy coolers. Boucher refused. Pinnock, who was worried the incomplete logs would negatively affect the store’s ratings in an upcoming inspection, subjected Boucher to a disciplinary meeting.
Concerned about this unfair reprisal, Boucher approached a superior to express her concerns. When Pinnock learned of the complaint, “he subjected her to an unrelenting and increasing torrent of abuse. He regularly used profane language when he spoke to her. He belittled her. He demeaned her in front of other employees. He even called in other employees so he had an audience when he berated her and showed his disdain for her.”1 Boucher complained of Pinnock’s escalating harassment to senior management. Their investigation found her complaint was “unsubstantiated” and they threatened her with discipline for making the complaint.
Pinnock’s behaviour and Wal-Mart’s lack of response negatively affected Boucher’s health. “She said that she was stressed out. She could not eat or sleep. She had abdominal pain, constipation and bloating. She lost weight and began vomiting blood. Co-workers testified that Boucher went from a fun-loving, lively, positive leader to a defeated and broken person.”2 On November 18, 2009, Pinnock once again berated Boucher over ten skids of product that were not unloaded. He “grabbed Boucher by the elbow in front of a group of co-workers. He told her to prove to him that she could count to ten.”3 Boucher was so humiliated that she ran out of the store. She never returned to work. Boucher sued for unfair dismissal. At appeal, she was awarded \$300,000 in damages against Wal-Mart and \$110,000 against Pinnock. After her departure from the store, Boucher’s health gradually improved.
Workplace harassment—often perpetrated by supervisors on subordinates—is a pervasive issue in workplaces. Wal-Mart’s unwillingness to protect Boucher when she complained is also not uncommon. Interestingly, the hazard posed by harassment and the injury it caused to Boucher were only recognized when she sued her employer, a process entirely separate from Ontario’s OHS and workers’ compensation systems. The case demonstrates both that workplace harassment has real health consequences and that employers are often reluctant to recognize psycho-social hazards as legitimate health and safety concerns.
Psycho-social hazards are the social and psychological factors that negatively affect worker health and safety. Psycho-social hazards can be hard to isolate in the workplace because they reside in the dynamics of human interactions and within the internal world of an individual’s psyche. Yet it is increasingly recognized that social and psychological aspects of work have real and measurable effects on workers’ health. Harassment, bullying, and violence are examples of psycho-social hazards. Other forms include stress, fatigue, and overwork. Even the absence of social interaction, in the form of working alone, produces its own hazards. Much of the challenge is recognizing that these hazards pose real threats to workers’ health. This chapter examines the types of psycho-social hazards and discusses their impact on health and safety.
STRESS AND FATIGUE
We all experience stress at some point in our lives. Stress is a change in our physical and mental state in response to situations we perceive as challenging or threatening. Situations causing stress are known as stressors. Stress can have a positive effect, making us more alert or more prepared to take on an important challenge. Stress can also have a negative effect, causing a range of physical and mental ailments. There are four types of stressors:
• Acute stressors are time-specific events of high intensity and short duration that occur infrequently, such as a performance review, a car accident, or unexpected encounter.
• Episodic (or daily) stressors may be similar to acute stressors but occur more frequently, have a longer duration, and may be of lower intensity. Making repeated requests of a worker to work overtime is an example of an episodic stressor.
• Chronic stressors are stressors that persist over a sustained period of time, and include job insecurity, work overload, or lack of control.
• Catastrophic stressors are a subset of acute stressors but differ in their intensity, threatening life, safety, or property. Robbery and physical assault are examples of catastrophic stressors.
Stress can arise from all aspects of our lives, including our work. Workplace stress is stress that is brought on by work-related stressors. Canadians report work to be the biggest source of life stress. Almost three quarters of Canadian workers report that their work entails some stress, with 27% reporting that work is “quite a bit” or “extremely” stressful.4 The most frequently identified workplace stressors are heavy workloads, low salaries, lack of opportunity, unrealistic or uncertain job expectations, and lack of control over work.5 Researchers typically identify five factors contributing to workplace stress:
1. characteristics of the job being performed, such as workload, pace, autonomy, and physical working conditions,
2. a worker’s level of responsibility in the workplace, including the clarity of their role,
3. job (in)security, promotion, and career development opportunities,
4. problematic interpersonal work relationships with supervisors, co-workers, or subordinates, including harassment and discrimination, and
5. overall organizational structure and climate, including organizational communication patterns, management style, and participation in decision making (job control).
These five factors demonstrate that workplace stress arises out of situations and events within the employer’s control. This, in turn, makes the occurrence of workplace stress an occupational health and safety issue.
Workplace stress produces a range of physical and mental health effects. Early physical signs of negative stress include increased heart rate, sweating, and nausea, reddening of the skin, muscle tension, and headaches. Early emotional and mental effects of negative stress include anxiety, depression, apathy, sleep disturbance, and irritability. Long-lasting or intensifying stress results in a worsening of these symptoms as well as the appearance of new symptoms, such as lasting depression, heart disease, chronic digestive issues, reduced sex drive, uneven metabolism, and increased susceptibility to infectious diseases.
Research led by Robert Karasek has revealed that job control is a key factor in determining how work-related stress affects us. His job demands-control model is explained in Box 6.1. It is also possible for negative effects of stress to manifest themselves in groups of workers and not just individuals, due to workplace dynamics and environment. Group manifestation can arise from so-called toxic workplaces. Toxic workplaces are characterized by “relentless demands, extreme pressure, and brutal ruthlessness,” and represent the extreme of stressful workplace environments.6
Box 6.1 Karaseks' job demands-control model
Before Robert Karasek’s groundbreaking work, most research into work-related stress focused on the effects of job demands, such as overload. Karasek discovered that the degree of control a worker has in her job plays a significant role in whether job-related stress will be positive or negative and whether ill health results.7
Karasek developed a model that analyzed the interaction of job demands with job control. He created a matrix that included four types of work, as illustrated below (adapted from Karasek, 1979).
Low-strain and passive jobs are associated with low stress, although passive jobs can lead to low motivation and dissatisfaction. The important boxes are active jobs, associated with high job demands but where workers possess a high degree of decision latitude (i.e., control) in the work, and high-strain jobs, which contain high demand but little job control. The cumulative effect of working in an active job is that workers builds their ability to cope with stress. Conversely, sustained exposure to high-strain work leads to psychological and physical illness.
Karasek and his research partner later added the concept of “social support” to the model. Social support is the degree of isolation or support provided by both supervisors and co-workers. They found that high levels of social support can mitigate some of the negative effects of high-strain work. They also note that the most hazardous form of work is work combining high demand, low control, and low social support.8 Karasek found the effects most acute for workers in blue-collar occupations, which typically give workers little job control.
Research into the model has found links between high-strain jobs and high incidence of heart disease, hypertension, mental health issues, and other negative health outcomes. While men and women experience job strain in similar ways, some recent research suggests that the presence of social support has a stronger effect in ameliorating negative stress effects for women than for men.9 Also, the stress-buffering effects of job control have a greater impact on older workers than younger workers, suggesting older workers have developed coping techniques that younger workers have yet to discover.10
Karasek’s groundbreaking work reveals that job design, work environment, and worker autonomy are significant factors in determining whether work stressors will lead to negative health effects for workers. This finding suggests that HR tasks such as job design can profoundly affect the workplace hazards faced by workers.
There are two main challenges associated with recognizing workplace stress as a hazard. First, stress is often perceived as an individual’s response to a situation, and any two individuals can react differently to the same stressor. This perception can lead managers to identify the issue with the individual rather than the stressor itself. This response is an example of an employer blaming the worker for an injury and a variation on the careless worker myth that we read about in Chapter 1. Faced with an explanation that blames the worker, it is important to be cognizant of the difference between root and proximate cause. “Stress is not merely a physiological response to a stressful situation. Stress is an interaction between that individual and source of demand within their environment.”11 In other words, while individuals may respond differently to stressors (which is the proximate cause of the health effect), the root cause of the reaction is the workplace dynamics that create the stressor.
Second, isolating workplace stressors can be difficult, especially chronic stressors. Non-work stressors do affect workers and can also be used by employers as an excuse to deny that stress-related health effects have workplace causes. Also, as with other types of ill health, individuals have different tolerances for stress, meaning the same stressors may affect one worker more than another. As a result, it can be difficult to have chronic stress recognized as a workplace hazard or the cause of a workplace injury or ill health. A workers’ compensation board, for example, is more likely to accept claims resulting in catastrophic or acute stress (e.g., post-traumatic stress disorder) than chronic stress (see Box 6.2).
Box 6.2 Workers' compensation and chronic stress
In January 2007, Parks Canada employee Douglas Martin filed a claim with Alberta’s WCB for chronic stress. For the previous seven years, Martin had spearheaded an effort to have park wardens armed while they were performing their duties (an ongoing health and safety issue in Parks Canada). This effort was stressful and conflict-ridden, and Martin felt he had experienced reprisals by his employer in the form of lack of promotion, training, and work.
The previous month, Martin had received a letter threatening him with disciplinary action over an unrelated matter. Martin “already had a written reprimand on his file and feared that the next disciplinary action would be dismissal. He alleged the letter, following the stress of years of conflict over the health and safety issue, triggered a psychological condition. He took medical leave beginning December 23, 2006, consulted medical professionals for treatment, and initiated a claim for compensation for chronic onset stress the following month.”12
Martin’s workers’ compensation claim was refused and he lost his appeals of the decision. Alberta’s WCB policy stated that it accepts claims for chronic stress only if the worker meets each of four criteria:
• there is a confirmed psychological or psychiatric diagnosis as described in the psychiatric manual of mental disorders (commonly called DSM),
• the work-related events or stressors are the predominant cause of the injury; predominant cause means the prevailing, strongest, chief, or main cause of the chronic onset stress,
• the work-related events are excessive or unusual in comparison to the normal pressures and tensions experienced by the average worker in a similar occupation, and
• there is objective confirmation of the events.13
The WCB accepted that Martin was experiencing psychological effects and that the stressors were predominantly work-related. They denied the claim on the grounds that the events were not excessive or unusual in comparison to normal pressures and that there was not objective confirmation of the events.
As in all WCB cases, the decision revolves around the specifics of Martin’s situation. Nevertheless, it demonstrates how the bar to successfully establish a WCB claim for chronic stress can be set so high as to be unreachable by most workers. Further, the requirement that the events be “excessive or unusual in comparison to the normal pressures and tensions experienced by the average worker” marginalizes workers who may have a heightened sensitivity to stress. Finally, the decision, by arguing that fear of dismissal is not unusual in the workplace, downplays the role of management in creating an unusually stressful situation.
Workplace stress is the result of workplace factors. Consequently, preventing the negative effects of workplace stress requires changes to job design, workload, organizational culture, and interpersonal dynamics. These factors are both broadly known to employers and within their control. What the persistence of stressful workplaces reveals is that employers in such workplaces prioritize maintaining profitability, productivity, and control of the work process over workers’ health.
Related to stress is the experience of fatigue. Fatigue is the state of feeling tired, weary, or sleepy caused by insufficient sleep, prolonged mental or physical work, or extended periods of stress or anxiety. Acute, or short-term, fatigue can be caused by failure to get adequate sleep in the period before a work shift and is resolved quickly through appropriate sleep. Chronic fatigue can be the result of a prolonged period of sleep deficit and may require more involved treatment. Chronic fatigue syndrome is an ongoing, severe feeling of tiredness not relieved by sleep. The causes of chronic fatigue syndrome are unknown.
While lack of sleep is the primary cause of fatigue, it can be enhanced by other factors, including drug or alcohol use, high temperatures, boring or monotonous work, loud noise, dim lighting, extended shifts, or rotating shifts. As with other conditions, workers have differing sensitivity to fatigue. Fatigue can also make workers more susceptible to stress and illness.
Fatigue is a legitimate health and safety concern because workers who are experiencing fatigue are more likely to be involved in workplace incidents. Lack of alertness and reduced decision-making capacity can have negative effects on safety. Research has shown that fatigue can impair judgment in a manner similar to alcohol. WorkSafeBC reports the following effects:
• 17 hours awake is equivalent to a blood alcohol content of 0.05 (the legal limit in B.C. and Alberta)
• 21 hours awake is equivalent to a blood alcohol content of 0.08 (the legal limit in Canada)
• 24–25 hours awake is equivalent to a blood alcohol content of 0.10.14
Most cases of fatigue are resolved through adequate sleep. The average person requires 7.5 to 8.5 hours of sleep a night (remember, this is an average—some require more, some less). While an employer cannot control how well a worker sleeps, they can adjust the workplace to mitigate fatigue. Shift scheduling is one of the most important administrative controls of fatigue: employers can ensure shifts are not too long or too close together as well as avoiding dramatic shift rotations (we discuss shift work in more detail in Chapter 7). Employers can also ensure that workplace temperatures are not too high, work is interesting and engaging without being too strenuous, and adequate opportunities for resting, eating, and sleeping (if necessary) are provided.
VIOLENCE
Workplace violence is any act in which a person is abused, threatened, intimidated, or assaulted in his or her employment. It can include physical attack, threats of physical attack, threatening language or behaviour (e.g., shaking a fist), or physically aggressive behaviour. The data around the prevalence of workplace violence is mixed. If judged by workers’ compensation claims, workplace violence is quite rare: only 2.5% of all Canadian lost-time injury claims in 2012 were related to incidents of violence (about 6000 incidents).15 That said, Statistics Canada reports that 17% of all acts of criminal violence (violence illegal under the Criminal Code) occurred at a workplace. They calculate that this amounts to more than 350,000 acts of workplace violence in Canada.16 The discrepancy is partially explained by the fact that many of those criminal acts did not result in the acute injury of a worker and, therefore, no workers’ compensation claim was filed. This discrepancy reinforces the limited value of workers’ compensation claim data as an indicator of hazardousness in the workplace.
Whether more or less prevalent, workplace violence can extract a significant toll on workers, leading to injury and psychological ill health (e.g., post-traumatic stress disorder). Health-care workers are most likely to experience workplace violence, followed by social workers and workers in retail or food service. It is notable that these occupations tend to be female-dominated. Customers, clients, and patients are the most common perpetrators of workplace violence, although violence from co-workers or supervisors remains prevalent.
Box 6.3 The myth of the disgruntled employee?
In February 2014, Jayme Pasieka, an employee at the Loblaw’s Distribution Centre in northwest Edmonton, Alberta, burst into his workplace and attacked several workers with a knife, fatally stabbing two people and injuring four others.17 The incident sparked extensive media coverage, much of it focused on Pasieka’s history of mental illness and erratic behaviour. Many commentators speculated that he was a “disgruntled employee.”
Such horrific incidents are, thankfully, rare. When they do occur, these types of incidents tend to receive a lot of media coverage, most of which focuses on the mental state of the perpetrator. The notion of the “disgruntled employee” returning to their place of work to exact revenge for some perceived grievance is well embedded in public mindset. Consider the popularity of the term “going postal”—coined after a postal worker shot a number of co-workers in the United States.
Our familiarity with the disgruntled-employee frame means journalists and employers often use it to quickly explain what caused a workplace incident. In a commentary on a raft of workplace shootings in the United States in 2010, Richard Denenberg and Tia Schneider Denenberg make this observation:
In sum, the Missouri and Georgia cases exemplify a media tendency to reach for facile explanations—notably the vague concept of disgruntlement—obscuring the complexities that may lie behind an outbreak of workplace violence. Such generic assumptions often conflict with the specific facts, once they are revealed in second-day and third-day accounts. The notion that an aggressor feels aggrieved is essentially a tautology, yielding little insight, unless the reasons for the extreme behavior are adequately explored.
Attention should focus not only on the person but also on any defects in policies, procedures, or judgment that may have allowed rage to fester and ultimately explode.
Examining the characteristics of the workplace may enhance our ability to prevent violence as much as probing the character, personality, and belief systems of the offender.18
In short, newspaper reporters’ use of the disgruntled-worker frame simplifies the (likely complex) circumstances that led to the violence. This can obscure root causes of the incident by hiding the effect of employer behaviour or inaction. As we saw in Chapter 1, the social construction of an incident can result in a misdiagnosis of the cause and, consequently, inappropriate recommendations for future prevention.
A variety of factors can increase the risk of violence in the workplace. Common concerns are the presence of money, drugs, and alcohol (which make workplaces targets for theft and robbery). Late operating hours and extensive access to the public are also factors that heighten the risk of violence. One of the reasons health-care workers are at greatest risk is their close proximity to people under physical or mental stress. The workplace environment can also play a role leading to violence. Stressful work situations, insecure and precarious employment arrangements, work overload, and unhealthy interpersonal dynamics can also increase the risk of violence.
While acts of violence are unpredictable, an employer can take steps to develop a violence-prevention plan to minimize both the risk of a violent act and the harm caused by the act. Violence prevention should be a part of the overall HRAC process. Particular actions to consider include workplace design to restrict access, increasing visibility and communication, and creating escape routes for workers. Administrative policies and work practices can reduce some of the common risks: these might include reducing the use of cash, eliminating the use of working alone, and implementing a buddy system. A prevention program should also incorporate training for managers to spot warning signs of violence, and steps to reduce stress levels in the workplace. Governments can also take action by expanding the definition of violence as a workplace hazard (see Box 6.4).
Box 6.4 Family violence as a safety hazard
In November 2015, the Alberta Family Violence Death Review Committee, a government committee mandated to investigate deaths due to family violence, reported on its investigation into the 2011 murder of a woman by her spouse at her workplace. The husband had called and visited her repeatedly at work, threatening violence. The employer, co-workers, and security guards at the site were aware of the threats but did little. The woman did not press charges at any time, in part due to cultural pressures. No one attempted to prevent the husband from accessing the workplace on the day he killed her.19
In its report the Committee made the following recommendation:
The Alberta Government amends the Occupational Health and Safety Act and Code to recognize and include family violence as a workplace hazard. Family violence is to be defined as it is in the Protection Against Family Violence Act and must include: direct family violence (where the family violence is at the workplace) and indirect family violence (where the family violence is outside of the workplace) and it directly affects the workplace through employee’s performance or by creating an unsafe work environment.20
Recommending that violence as a safety hazard be defined to include violence that may take place outside the workplace (but has workplace consequences) is a significant shift from traditional approaches to violence as a safety issue, which tend to focus only on workplace-based violence.
The government accepted the recommendations of the report and promises to implement changes to the OHS Act (as of time of writing, they had not yet been introduced). An interesting follow-on question is whether injuries occurring at work that stem from family violence will now be deemed compensable injuries by the Workers’ Compensation Board. At present, such injuries are not considered to arise from the course of work and are thus non-compensable.
BULLYING AND HARASSMENT
A growing concern in workplaces is the issue of workplace harassment and bullying. Workplace harassment is behaviour aimed at an individual (or group) that is belittling or threatening in nature. This can include actions (e.g., unwanted touching) or words (e.g., insults, jokes) that have the effect of causing psychological harm to victim(s). Harassment can take a variety of forms, including racial/ethnic harassment, sexual harassment, and general workplace harassment. Bullying is similar to harassment and comprises repeated actions or verbal comments that lead to mental harm, isolation, or humiliation of a worker (or group), often with the intent to wield power over them. Often harassment and bullying are used interchangeably and, indeed, the definitions are highly similar. In this book, we differentiate the terms for two reasons. First, harassment is often associated with specific grounds protected under human rights legislation, such as gender, race, age, and religion. Bullying applies more broadly to any set of behaviours that create harm. Second, it is accepted that harassment can occur unintentionally, while bullying is a more intentional process. Both are ways for the harasser/bully to exercise control and power over the harassed/bullied through fear, humiliation, embarrassment, and denigration.
Harassment and bullying can involve physical contact but are distinguished from violence in that the purpose is not physical harm but emotional and psychological harm. Harassment and bullying can also include acts that indirectly affect the targeted worker(s), such as undesirable shift scheduling, unreasonable workloads, spreading rumours, or denying leave requests. Harassment, bullying, and violence can occur concurrently.
There is debate about how to best conceptualize harassment and bullying. Many argue that it is a human rights issue and should be treated through human rights processes, usually meaning independent tribunals or the courts. Others suggest that harassment and bullying are instances of individual misconduct best resolved through human resources processes such as better selection, training, and disciplinary practices. The authors of this text argue, without intending to reduce the significance of the human rights dimensions of harassment, that harassment and bullying are also health and safety issues. The reason harassment and bullying are OHS issues is that they can be controlled by the employer and have clear health effects for the targeted worker(s).
The psychological effects of harassment and bullying can be extensive and include anxiety, panic attacks, depression, shame, and anger. The physical effects mirror those of stress and can include inability to sleep, stomach pain or headaches, high blood pressure, heart palpitations, and loss of concentration/memory, as well as eating and digestive disorders. Further, workers exposed to harassment are found to be more at risk of illness, injury, and assault.21 The negative health outcomes and increased risk of illness and injury can persist well after the harassment has ceased. In extreme cases, bullying and harassment can cause post-traumatic stress disorder (PTSD). PTSD is typically brought on by a terrifying event, and symptoms include flashbacks, severe anxiety, and uncontrollable thoughts about the event.
While all workers can be victims of harassment and bullying, certain groups of workers are more likely to be the targets, because of their respective statuses in society at large. Two such groups include women and racialized workers (see Box 6.5), who make easier targets because the bullying and harassment are consistent with widely held prejudices (e.g., consider how common race and gender jokes are). Recent research has shown that experiencing multiple forms of harassment—gender and ethnic harassment along with general workplace harassment—compounds the negative health effects compared to experiencing one form, putting racialized women at particular risk of negative health effects from harassment.22
Box 6.5 Racialized workers
Discussing issues such as race can be challenging. In one respect people possess certain immutable characteristics, including skin colour and other surface features, that are associated with “race.” However, race is a social construction. Society imbues certain characteristics (i.e., skin colour) with meaning and not others (e.g., eye colour) and as a result ascribes significance to them. The trait in itself is not significant but is given importance through social convention. The ascribed meaning leads people to experience the world differently based upon the immutable characteristics.
Society not only ascribes significance to these traits but structures social relations around them. People are differentiated and distinguished according to the characteristics. This is the process of racialization.23 All people are racialized; society implies meaning to being “white” or “black,” for example. Our experiences of the world are thus shaped by this social construction. However, the ascription of characteristics is not neutral. Some “races” are imbued with positive qualities and some negative. Whether society ascribes negative or positive qualities shapes a person’s status in society.
In this book we utilize the term racialized workers to apply to individuals perceived to be a part of a race or ethnicity to which particular, often negative, characteristics are ascribed by social structures (e.g., Black, Hispanic, Asian). We also recognize that race intersects with other characteristics, including gender, age, sexual orientation, and ability, to form a matrix of human experience in society.
There is no clear profile of who might be a harasser. The range of tactics, behaviours, and approaches used by bullies and harassers is extensive and reflective of specific contexts. One typology of bullies includes four categories:
• The screaming Mimi: A bully who displays mood swings and unpredictable anger and commonly uses public humiliation as a tool.
• The constant critic: A hypercritical nitpicker who regularly points out others’ inadequacies and errors, and uses negative evaluation of performance as a tool to belittle.
• The two-headed snake: Aimed at rising in the organization, they aim their bullying at those below them, using rumours and divide-and-conquer schemes to turn co-workers against the target.
• The gatekeeper: Obsessed with control, they allocate resources and information in ways to ensure the target’s failure and to create reasons to question their performance.24
These types of bullies may sound very familiar, but it is important to not forget that the issue of bullying is workplace-wide and not solely the result of an ill-mannered or calculating personality. The categories should be interpreted as strategies employed by bullies, rather than personality sketches.
Often, managers bully or harass subordinates (although bullying from co-workers and clients/customers is also common). This is not surprising, given that bullying and harassment are ways to wield power over another person. Managers, because of their role in an organization, already possess power over workers. Attempts to exercise this power can lead to management approaches that rely upon bullying. Some researchers suggest that employers may overtly or covertly encourage bullying by managers as a way to maximize the work the employer can extract from its workers.25
The line between “tough” management and “bullying” management can be difficult to ascertain, especially if the bullying takes the form of misuse of managerial prerogatives such as scheduling, work assignments, and the like. Usually bullying as a management technique is reflective of the organizational culture that has developed in a workplace. For their part, workers respond to OHS threats such as bullying with a range of behaviours that include exit, voice, patience, and neglect. These responses are explained more fully in Box 6.6.
Box 6.6 Responses to harmful work environments
When a worker experiences any OHS hazard, including harassment, bullying, or a toxic workplace, the worker can respond in a range of ways. In examining individual behaviour in response to deteriorating conditions, Albert Hirschman first developed the notion that people respond either through exit or voice, and the choice is determined by attitudes toward the situation.26 Others later added to Hirschman’s theory by positing two other options, patience (sometimes referred to as loyalty) and neglect:
• Exit: The worker decides to get away from the undesired situation, either by quitting the employer or transferring to another location or job within the same employer.
• Voice: The worker decides to speak up in an attempt to change the situation. Voice can take a number of forms, including attempting to repair the situation directly, lodging a complaint, filing a grievance or, less constructively, retaliating with their own inappropriate behaviour.
• Patience: The worker decides to do nothing in the hopes that the situation will eventually improve. Workers adopt a patience approach when their loyalty to the organization or the cost of exiting is greater than the price of experiencing the negative situation.
• Neglect: The worker does nothing, based on the belief that the situation will not change or might grow worse. The worker might try to avoid the source of the situation but will generally take no action to change the situation. Workers choose this option when the costs of exiting are too high and their relationship to the organization is sufficiently damaged to prevent either voice or patience.27
Workers may adopt different strategies when confronted with bullying behaviour or may cycle through the various options. For example, a group of workers facing a co-worker who undermines them in meetings, makes false claims about their work performance, and verbally attacks them may react in different ways. Those workers who are not very invested in the workplace (e.g., they are new or they feel they have options elsewhere) may simply start looking for a new job.
Other workers may at first choose patience (in the hope the worker’s behaviour will change) and then move to voicing their concerns (e.g., filing a complaint or by socially excluding the bully). If the issue remains unresolved, some workers (e.g., those close to retirement) may choose neglect while others will move to exit the workplace.
Recognizing that workers might respond in four different ways to the same negative situation reminds us that there is no single “sign” of a poor workplace environment. Employers interested in preventing harassment and bullying must be careful to observe the myriad ways in which workers react to deteriorating situations.
There are several ways to address harassment and bullying in the workplace. First, an employer should (and, in some jurisdictions, must) develop policies regarding harassment in the workplace. The administrative controls should outline acceptable and unacceptable behaviours and actions, indicate employer and worker responsibilities, and create a process for investigating and resolving complaints. Any investigation must proceed in a manner that is transparent, fair to both parties, and as confidential as is possible. Investigations should also identify the root cause of the incident and how to prevent similar incidents in the future.
Workplace policies are important, but they are only as effective as the degree of their implementation and enforcement. Effective policy implementation requires the employer to train all workers, including managers, on how to prevent and address harassment. Training for managers is particularly important. It can help managers spot possible harassment and teach them the difference between legitimate management discretion and bullying management techniques. Training workers around respectful interactions and cultural sensitivity can help distinguish between legitimate interpersonal conflict and bullying and harassment.
Finally, research shows that the leading indicator of workplace bullying and harassment is the organization’s climate. In workplaces where workers feel unsafe, incidents of bullying and harassment are more frequent. Conversely, creating a safe and respectful climate increases workers’ sense of safety and lowers the negative consequences of bullying and harassment.28 Creating a safe workplace climate is a multi-levelled process, requiring a high degree of commitment to respectful interactions, clear communication, transparent management, and individual and collective accountability.
WORKING ALONE
It may seem strange to include working alone as a psycho-social hazard, given that it is a working condition that removes psycho-social interactions from the workplace. Yet it is precisely the absence of other people that makes working alone a significant psycho-social hazard. Working alone is a unique type of hazard in that, in and of itself, it may not be hazardous. Nevertheless, working alone exacerbates other hazards present in the workplace.
Working alone occurs when a worker is performing tasks out of contact with persons capable of offering assistance in case of emergency. If an incident were to occur (e.g., if the worker became unconscious) there would be no one available to respond, increasing the risks of harm to the worker. The key to working alone is that the worker is isolated in some fashion from co-workers or responsible individuals. A worker can be working alone even if there are other people present in the workplace. For example, a receptionist in the front room is working alone if others in the office cannot hear or see him.
A second key aspect of the concept is that the contact needs to be with someone capable of and responsible for responding. A worker can be working alone even if there are members of the public present (e.g., a crowded street). The public are not responsible for the worker and so may not respond (or even be aware of the need to respond) should something happen. Certain types of working alone situations come quickly to mind (e.g., the gas station attendants discussed in Chapter 2), but there are many types of working alone that may not be as obvious (see Box 6.7).
Box 6.7 Who works alone and why?
Many different kinds of workers can find themselves working alone. Consider these common examples:
• A barista opening up a coffee shop early in the morning
• A farm worker cleaning out a grain bin
• A homecare nurse visiting patients in their homes
• A custodian cleaning a school overnight
• A postal worker delivering mail
• A front receptionist greeting customers
• A truck driver transporting goods between cities
• A maintenance worker repairing a machine in a shut-down portion of a factory
How many of these jobs could be performed more safely if there were two workers present? Most of these jobs would have a lowered risk of incident or reduced consequences from an incident if a second worker were present. This raises the question as to why these jobs are routinely performed alone.
Usually employers cite economic efficiency as the reason for having workers work alone. It makes no sense (financially) to have two receptionists greeting customers or having a passenger with the truck driver. Nevertheless, in many cases, assigning two workers to perform a job has little effect on efficiency. For example, sending homecare workers in pairs adds safety, increases the quality of patient care, improves working conditions, and does not negatively affect the number of patients seen in a day.
Employers utilize working alone when it makes economic sense for them. Those considerations are valid, but for OHS practitioners, safety considerations must also be included in the calculation. How many jobs regularly performed alone really need to be structured in that fashion? And how much working alone is simply the result of habit and convention?
The risks associated with working alone are diverse. Common concerns include the possibility of theft, assault, or attack by an outside party or a worker’s client or patient. This risk is increased by the presence of money, drugs, or other valuables. Women are also more at risk of assault when working alone in these situations. Other risks include uncontrolled hazards causing harm to a worker without others noticing and taking action. For example, a worker working alone may pass out from gas exposure or fall on a slippery surface and have no one to come to their aid. Even injuries like heart attacks or other health issues can be made worse by the lack of immediate response.
There are two basic ways to control the hazard posed by working alone. The first approach is to eliminate it by ensuring workers are never in a situation where they are out of contact with other workers. Policies that require a minimum of two workers to be on shift at a time, or prohibiting late night overtime, can administratively control working alone. Prohibiting working alone is a central practice of emergency first responders (i.e., police, fire, ambulance). Keep in mind that eliminating working alone does not eliminate other hazards, which may require other controls. For example, two workers in a remote location will still require some communication strategy in case something happens to either or both of them.
The second approach to controlling working alone is to establish a two-step communication process with workers working alone. First, the worker needs a way to communicate to another person if they are in need. Radios, telephones, or panic buttons can all work as outgoing communication devices. Second, there needs to be incoming communication on a regular basis in case the worker is unable to communicate (e.g., they are unconscious). This incoming communication can take the form of a regular check-in to the worker or an automatic response if the worker fails to complete a periodic check-in. The frequency of check-ins is determined by the nature of the hazards to which the worker is exposed.
The choice between hazard elimination and communication controls is controversial. Employers argue that prohibiting working alone is too costly and inefficient. Some also argue that employing two workers is not necessarily safer than one worker (e.g., two workers can just as easily be rendered unconscious by hydrogen sulfide gas on a remote worksite as one). This latter argument confuses hazards associated with working alone (e.g., lack of assistance) with other hazards of the work (e.g., chemical hazards). Worker advocates, on the other hand, argue that communication devices, while useful, are not fail-safe and do not address all the risks associated with working alone. For example, there can be significant time delays between when an incident occurs and when the automatic response is triggered. Further, the automatic response may not result in immediate assistance being rendered.
There are times when prohibiting working alone is not practicable. Yet the bulk of the debate about working alone rests around issues of cost, efficiency, and employer control over the work process. Working alone is another example of how employer and worker interests may conflict around issues of health and safety.
SUMMARY
Somewhat ironically, Meredith Boucher’s experience of harassment at Wal-Mart occurred because she refused to create a safety hazard by falsifying food inspection data. Her supervisor’s subsequent decision to expose her to a psycho-social hazard (which her employer failed to control despite repeated requests) was only resolved when she sued her employer and manager. A faster and less costly way to resolve this issue would have been to treat the harassment she experienced as a health and safety issue. This would have allowed Boucher to refuse the unsafe work and force an investigation when Wal-Mart failed to remediate the hazard. It also would have made her eligible for workers’ compensation benefits if the harassment caused her to experience ill health.
Psycho-social hazards—such as stress, fatigue, violence, harassment, and bullying—are the result of inadequately controlled workplace hazards. Working alone is a product of choices about how to prioritize safety and efficiency. While not all aspects of psycho-social hazards are within the control of employers (e.g., how much an employee sleeps at night), employer decisions about job design, workplace culture, and acceptable behaviour from co-workers, supervisors, and members of the public are among the root causes of the injuries caused by psycho-social hazards.
DISCUSSION QUESTIONS
• What are some of the negative consequences of workplace stress and how can providing greater job control alleviate them?
• What steps can an employer take to prevent fatigue in the workplace? What factors affecting fatigue are outside of an employer’s control?
• Would you say workplace violence is rare or common in Canadian workplaces? How do you interpret and reconcile the two sets of data about workplace violence presented in this chapter?
• How might harassment and bullying be a management strategy for controlling workers and the work process?
• Why is working alone considered a hazard?
EXERCISE
Write a 400- to 500-word essay answering each of the following questions:
1. If workplace harassment was more readily perceived as an OHS issue, rather than a human rights violation or human resources problem, how might that change how employers respond to complaints of harassment? In answering, examine how harassment violates the OHS Act in your jurisdiction and consider options for remediation (with attention to the exit-voice-patience-neglect theory).
2. Consider a case of working alone, either from the examples in the text or your personal experience. What are the pros and cons of preventing the working alone (assigning two workers to the task) versus reducing the hazard via communication systems?
NOTES
1 Boucher v. Wal-Mart Canada Corp., 2014 ONCA 419 (Ontario Court of Appeal 419, May 5, 2014), para 24.
2 Ibid., para 37.
3 Ibid., para 34.
4 Crompton, S. (2011, October). What’s stressing the stressed? Main sources of stress among workers. Canadian Social Trends, 44–51.
5 American Psychological Association (2015). 2015 Work and Well-Being Survey. Washington: APA.
6 Macklem, K. (2005). The toxic workplace. Maclean’s, 118(5), 34.
7 Karasek, R. (1979). Job Demands, job decision latitude, and mental strain: Implications for job redesign. Administrative Science Quarterly, 24(2), 285–308.
8 Karasek, R., & Theorell, T. (1992). Healthy work: Stress, productivity, and the reconstruction of working life. New York: Basic Books.
9 Rivera-Torres, P., Araque-Padilla, R., & Montero-Simó, M. (2013). Job stress across gender: The importance of emotional and intellectual demands and social support in women. International Journal of Environmental Research and Public Health, 10(1), 375–389.
10 Shultz, K., Wang, M., Crimmins, E., & Fisher, G. (2010). Age differences in the demand–control model of work stress: An examination of data from 15 European countries. Journal of Applied Gerontology, 29(1), 21–47.
11 Colligan, T., & Higgins, E. (2006). Workplace stress. Journal of Workplace Behavioral Health, 21(2), 89–97, p. 92.
12 Martin v. Alberta (Workers’ Compensation Board), [2014] 1 SCR 546, 2014 SCC 25, para. 6.
13 Alberta WCB. (2014). Policies and Information Manual, Policy 03-01, Part II: 6.
14 WorkSafeBC. (2014). Fatigue can also make workers more susceptible to stress and illness. WorkSafe Bulletin WS2014-14: 1.
15 AWCBC. (2014). National Work Injury, Disease and Fatality Statistics 2010–2012. Toronto: Association of Workers’ Compensation Boards of Canada.
16 Statistics Canada. (2008). National Yearbook 2008. Ottawa: Government of Canada.
17 Klingbeil, C., Wittmeier, B., Dawson, T., & Pruden, J. (2014, March 1). ‘It was a really scary moment’; Knife attacks at Loblaw centre leave two dead, four injured. Edmonton Journal, p. A3.
18 Denenberg, R., & Schneider-Denenberg, T. (2012). Workplace violence and the media: The myth of the disgruntled employee. Work, 42(1), 5–7.
19 Sinnema, J. (2015, November 3). Family violence ‘a workplace hazard’; Death review committee calls for better protection for employees. Edmonton Journal, p. A4.
20 Alberta Family Violence Death Review Committee (2015). Case Review Public Report, November 2, p. 3.
21 Rospenda, K., Richman, J., Ehmke, J., & Zlatoper, K. (2005). Is workplace harassment hazardous to your health? Journal of Business and Psychology, 20(1), 95–110.
22 Raver, J., & Nishii, L. (2010). Once, twice, or three times as harmful? Ethnic harassment, gender harassment, and generalized workplace harassment. Journal of Applied Psychology, 95(2), 236–254.
23 Anthias, F., & Yuval-Davis, N. (1992). Racialized boundaries: Race, nation, gender, colour and class and the anti-racist struggle. New York: Routledge.
24 Namie, G. (2003). Workplace bullying: Escalated incivility. London, ON: Ivey School of Business.
25 Beale, D. (2011). Workplace bullying and the employment relationship. Work, Employment & Society, 25(1), 5–18.
26 Hirschman, A. (1970). Exit, voice, and loyalty: Responses to decline in firms, organizations, and states. Cambridge: Harvard University Press.
27 Leck, D., & Saunders, D. (1992). Hirschman’s loyalty: Attitude or behavior? Employee Responsibilities and Rights Journal, 5(3), 219–230; Rusbult, C., Farrell, D., Rogers, G., & Mainous, A. G. (1988). Impact of exchange variables on exit, voice, loyalty, and neglect: An integrative model of responses to declining job satisfaction. Academy of Management Journal, 31(3), 599–627.
28 Law, R., Dollard, M., Tuckey, M., & Dormann, C. (2011). Psychosocial safety climate as a lead indicator of workplace bullying and harassment, job resources, psychological health and employee engagement. Accident Analysis & Prevention, 43(5), 1782–1793. | textbooks/workforce/Construction/Health_and_Safety_in_Canadian_Workplaces_(Foster_and_Barnetson)/1.06%3A_Psycho-social_Hazards.txt |
Learning Objectives
After reading this chapter, you will be able to:
• Describe the ways in which the organization of work can affect workers’ health.
• Explain the link between precariousness and poor health outcomes.
• Explain how the size of an employer can lead to differential health outcomes.
• Discuss how gender and race are relevant to the issue of healthy work.
Karen Maleka is a personal support worker (sometimes called personal care attendant) in Guelph, Ontario. Personal support workers care for elderly, disabled, and sick persons in their homes by providing services such as bathing and dressing. Maleka can work up to 70 or 80 hours in a week. “I do full-time hours but I’m classified as part time. I take care of sick people and I don’t have a sick day.”1 As a result of her status, Maleka has no pension and her benefits are not guaranteed. “Because my employer says I’m part time I have to re-qualify for benefits every year, by working at least 1500 hours. Last year my friend found out she had cancer. She missed a lot of work because she was so sick, and she lost her benefits.”2 Maleka is paid \$15 an hour during her time with clients, but she is not paid for her travel time. Maleka cannot afford a car so often rides the bus 35 to 40 minutes, unpaid, between appointments.3 She has no guaranteed hours in the week and no job security.
Maleka is a precarious worker. Precarious employment is non-standard work that lacks stability, security, and control. It can be part-time or temporary, and is under-protected by regulation. Precarious workers lack control over how or when the work is performed. Benefits are rare and usually the wages are insufficient to support a family.4 Women and racialized workers are more likely to be found in precarious employment.5 Precarious work is also linked to increased risk of work-related injury and poorer health outcomes, including increased stress and poorer physical well-being. The precariousness of the employment relationship leads to worse OHS conditions. Further, gender and race have OHS implications because certain groups of workers are more likely to hold precarious jobs.
Precarious work is one example of how the structure of work and the employment relationship itself can be linked to ill health. This chapter will discuss how work itself can be an OHS issue. In addition to explaining the reasons precarious work leads to worse health, it will also examine work structure issues such as shift work, working for a small employer, and the health effects of different forms of work.
WORK AND HEALTH EFFECTS
OHS practitioners rarely identify work itself as an occupational hazard. Traditional approaches look at aspects of work—such as work location, tools, and processes—to identify hazards that could harm workers. Yet studying the entirety of work, and even broader effects of work that spill over into workers’ home lives, provides a fuller picture of the health effects of work. Indeed, there is a growing body of research that shows that the structure of work, the nature of the employment relationship, and the type of the employer all have measurable physical and psychological effects on workers. For that reason, it is an area demanding greater attention by OHS practitioners.
Karasek’s Job Demands-Control Model, which was introduced in Chapter 6, links high demand and low control over work to high levels of worker stress. Karasek’s model was the first to connect the nature of the employment relationship to health and safety outcomes. Yet the degree of control over one’s work is only one aspect of employment that can affect workers’ health. This section examines three other dimensions to work that have health consequences: shift work, extended work hours, and emotional labour.
Shift work requires workers to work outside of regular weekday hours. It may include regular evening or night work, rotating schedules, split shifts, irregular shifts, or on-call work. Shift work is a growing trend in Canada. In 2005, nearly 30% of employed Canadians did not work 9 to 5, Monday to Friday hours.6 The most common form of shift work is rotating schedules, where a worker cycles through a series of day, evening, and night shifts. Not surprisingly, shift work is particularly common in health care and emergency services. It is almost as prevalent, however, in sales and service (e.g., consider the growth in 24-hour stores and restaurants).
The primary concern about shift work is its potential to disrupt a worker’s circadian rhythms. Circadian rhythms (commonly known as the biological clock) are the daily (24-hour) cycles our body follows to ensure (in humans) high activity during the day and low activity at night. Sleeping and waking, eating, adrenalin, body temperature, blood pressure, pulse, and many other bodily functions are regulated by circadian rhythms. When work occurs outside of that daily rhythm, it places strain on the body as it is forced to alter the cycle. A second concern is that shift work is associated with behaviour contributing to poorer health, including smoking, poor diet, and increased alcohol consumption.7 Shift work also disrupts family and social activities. This disruption adds stress and reduces the support that workers can draw upon to manage stress.
Some forms of shift work disrupt the rhythms more than others. The worst forms of shifts are those that are constantly changing (irregular shifts, rotating schedules, on-call), as well as those that invert the natural rhythm (for example, permanent night shifts). Workers whose rhythms have been disrupted can experience insomnia and non-restorative sleep, as well as changes in hormone levels, which can affect cell growth. Workers rarely become habituated to shift work, even after long periods on disruptive shifts.8
Research into shift work has been extensive and shows a wide range of health effects. In the short term, shift work leads to shortened and less restorative sleep and chronic tiredness and lack of alertness, as well as stomach aches, indigestion, and heartburn. Shift work is associated with increased risk of workplace incidents and injury. The risk increases as the number of days on the disruptive shift grows. It also jumps if the disrupted shift lasts longer than eight hours.9
Longer-term exposure to shift work is associated with a series of illnesses and conditions. Shift workers report significantly higher rates of burnout, emotional exhaustion, stress, anxiety, depression, and other psychological distress. Shift work increases a worker’s risk of developing diabetes, and some studies have also found a greater risk of heart disease. Some studies have also suggested a link between shift work and pregnancy complications. Likely the most significant long-term risk of shift work is increased risk of cancer, in particular breast cancer. The International Agency for Research on Cancer (IARC) has concluded that disruptive shift work is “probably carcinogenic to humans” (Group 2A)—the second most conclusive category in the IARC.10
Much less research has been conducted at mitigating the negative effects of shift work. Some recommendations have included:
• Restricting consecutive evening/night shifts to no more than three
• Avoiding permanent night shifts
• Using forward rotation for rotating shifts (moving from morning to evening to night) rather than the opposite
• Providing more than 11 hours’ rest time between shifts
• Limiting weekend work11
The effectiveness of these measures has been sparsely studied and therefore their mitigating power is uncertain. At this time, the only reliable method for addressing shift work’s health effects is preventive: eliminating or minimizing shift work in the workplace. This may be particularly challenging for essential services such as health care and emergency response, given the 24-hour nature of that work. Nevertheless, considering the health risks, there is room to question the value in 24-hour restaurants, late-night convenience stores, and other all-night service industries.
Extended work hours is defined as working for long hours over a period of time. Most commonly it entails working extra hours in a day or over the course of a week. There is some disagreement whether an extended work day is defined as over 8 hours or over 12 hours. In general, extended work weeks are defined as anything over 40 hours. The most obvious consequence of extended work hours is fatigue and the increased risk of error associated with it.
One of the reasons there is disagreement over how to define extended work days is that the research is contradictory regarding the effect of working between 8 and 12 hours. Some (but not all) studies have shown that working beyond 8 hours in a day leads to increased risk of incidents and sleep disruption. When workers work more than 12 hours, the research becomes clearer that this schedule is linked to increased injury rates, more illnesses, and an overall lower level of perceived general health. Some studies have found a link between long hours and pre-term birth. Over the longer term, extended workdays are associated with weight gain, increased use of alcohol, and smoking.12
Working extended hours over the course of a week is also associated with negative health effects. Workers who work longer than 40 hours in a week are more likely to become injured. One study found that workers who worked 64 or more hours a week were almost twice as likely to be injured than those who worked less than 40.13 Prolonged exposure to long workweeks leads to worsening mental health and an increase in unhealthy behaviour, including poor diet and increased alcohol consumption. Women’s mental health appears to be more negatively affected by long hours than men’s mental health.14
When the two types of extended work are combined—working both long shifts and long workweeks—the effects are magnified. Other work factors, such as work pace, temperature, and mental exertion required also intensify the health and safety risks of longer working hours. Particularly concerning is the combination of long hours and shift work (common in health care and other emergency services).15 Extended working hours also create stress in family and social spheres as work encroaches upon those aspects of workers’ lives.
At the core of all these findings is the physical strain put on the human body by long hours of work. The worker is unable to achieve sufficient rest between periods of work to recover from the exertion of work. Complicating the picture, however, is that many workers prefer extended hours. Extended shifts often result in a compressed workweek, meaning more days with no work. Others appreciate feeling important, busy, or challenged by long hours. As with many aspects of occupational health, workers vary in their susceptibility to the negative effects of long hours.
This hazard is easily controlled by reducing the number of hours worked. The reason employers don’t control this hazard is that longer shifts simplify scheduling and reduce pressure to hire more staff. These economic benefits for employers (paid for by workers in the form of ill health) ensure that long working hours and weeks remain commonplace practices.
Emotional labour is a term describing any aspect of a job that requires workers to regulate their emotions to meet organizationally defined rules and to display the required emotions to customers. In other words, workers engage in emotional labour when they are asked to display an emotion—empathy, happiness, friendliness— that they may not actually feel. Emotional labour is a key part of work in many occupations involving clients, patients, or customers and is required of a wide variety of workers, including nurses and doctors, store clerks, restaurant/bar servers, airline attendants, and teachers. Box 7.1 provides a more detailed discussion of emotional labour and its significance.
Box 7.1 What is emotional labour and why do we care?
Think about the last time you had to “fake” your feelings. Maybe you had to stifle your anger at your boss, or needed to pretend to be interested in a boring conversation at a party. Or you had to ignore your distress at leaving a sick child home by herself so you could come to work. Afterward, you may have felt drained, frustrated, or disconnected. This behaviour and its residual effect is emotional labour.
Now think about being a restaurant server. No matter how rude or demanding the customer is or how frustrated you might be at the moment, you are expected to remain pleasant and smile. Certain occupations require workers to respond unnaturally to difficult situations and to ignore their personal lives when they work. It is not always about hiding negative feelings and pretending to be positive. A nurse tending a dying patient needs to stifle his excitement at buying a new house or getting engaged and focus on the patient. Emotional labour is most common in occupations where the worker interacts or works in the presence of the public. That said, it can also emerge in other settings, such as when interacting with powerful individuals like supervisors or executives.
The term emotional labour was first coined in 1983 by sociologist Arlie Hochschild to describe the process of regulating emotions to create a public impression in the workplace.16 She observed that emotional labour is a distinct dimension of work and is an occupational requirement just as much as wearing uniforms or physical strength requirements. Hochschild recognized that humans engage in emotional regulation in many private settings (e.g., parenting, relationship management), which she called emotional work. Emotional labour is different because it occurs in the context of paid employment and the nature of the emotional regulation is in the control of employer. Emotional labour is also gendered in that women are more likely to be required to perform emotional labour because of occupational segregation.
While Hochschild considers emotional labour to be a negative aspect of work, some researchers argue that, in certain circumstances, emotional labour can be a positive experience, especially if the worker has some autonomy over its use.17 Anecdotally, many workers report enjoying the exercise of emotional labour. That said, most of the studies examining the effects of emotional labour have found it lowers job satisfaction and results in psychological stress to the worker.18 An interesting question about emotional labour is how social expectations (e.g., a server will always be cheerful or a nurse will always be compassionate) are often seen as a universal right, regardless of the situation. Placing the burden of maintaining social demeanor on workers allows customers to escape accountability for their own behaviour.
Emotional labour is a well-established concept in the study of work but is rarely discussed in OHS. The studies that have been performed find extensive performance of emotional labour leads to higher levels of anxiety, stress, and emotional exhaustion in workers.19 These psychological states lead to a variety of physical and mental ailments over time, including depression.
Emotional labour can also be linked to workplace violence and harassment, in that moments of intense emotional labour are often associated with managing threatening behaviour from customers or clients. Essentially, the worker is forced (by lack of alternatives) to manage a dangerous situation by regulating her own emotions, including fear. One result is that the trauma of the event may then be compounded by the mental costs of regulating emotions under a stressful situation, leading to intensified psychological stress.20
Little work has been done to examine how to mitigate the negative health effects of emotional labour, in large part because it is not widely recognized as a significant health hazard. Reducing the need for emotional labour by allowing for a greater degree of honest expression of feelings is a key aspect of reducing the consequences of emotional labour. Allowing safe spaces for “venting,” establishing zero-tolerance policies for customer misbehaviour, and revoking policies requiring workers to engage in emotional labour (e.g., smile policies) are all ways to control the health hazard of emotional labour.
Shift work, long hours, and emotional labour are linked because they all introduce a health risk into the workplace by altering how, when, or what kind of work is performed. In this way, they are distinct from other hazards discussed in previous chapters because they are associated with the nature of work itself rather than a specific task or location. Also, because they are inextricably linked with the employment relationship, employers have been resistant to recognizing and controlling the hazards they pose.
HEALTH AND EMPLOYMENT STATUS
Work in the 21st century is becoming increasingly insecure. While the standard employment relationship (SER), the term for permanent, full-time, secure employment with a single employer, is still the most common form of job, its proportions are dropping. Fewer than two thirds of jobs in Canada fit the definition of SER. The fastest-growing segment of non-SER jobs is precarious employment, which now comprises 20% of jobs in the country.21 Precarious workers earn less and are less likely to have benefits (or may have fewer benefits) than other workers. Women, immigrants, and young workers are more likely to hold precarious jobs than other Canadians.22 For employers, precarious work lowers labour costs and increases flexibility, both of which lead to higher profits. While not as prevalent as in the private sector, precarious work is also present in the public and non-profit sector as these employers feel the pressure to reduce costs and emulate private sector practices.
The rise of precarious employment is concerning for a number of economic and political reasons. It reflects growing inequality in Canada and contributes to racial and gender divisions in society. Most worker advocates talk about the economic unfairness of precarious employment and the problems it creates in the labour market and in communities. Precarious employment is also a health and safety issue. The status of being a precarious worker leads to worsened health and safety outcomes.
Repeated studies with different types of precarious workers have shown that they are more likely to get injured at work and their injuries tend to be more severe.23 Precarious work is associated with deteriorating health and safety conditions in the workplace,24 and precarious workers are found to be less aware of their safety rights and have more difficulty exercising those rights.25 Precarious employment has direct effects on workers’ health. Precarious workers report worse mental health, including increased stress-related illness, depression, and anxiety. Evidence for decreased physical health is more mixed, but precarious work is associated with higher levels of mortality among workers.26
There are two explanations for precarious work being associated with decreased health and safety outcomes. Michael Quinlan and Philip Bohle developed the Pressures, Disorganization and Regulatory Failure (PDR) model to explain how precarious work leads to poor health and safety outcomes. Their model looks at three groups of factors that shape practices at precarious workplaces. First, precarious workers experience economic pressures because of income insecurity and competition for work which lead them to accept work intensification and dangerous work while making them reluctant to report injury and ill health. Second, the contingent nature of the work relationship breaks down structures that facilitate workplace safety, such as safety procedures, training, and communication. Third, the effectiveness of government safety regulations is reduced because enforcement is more difficult, some forms of work are not protected by regulation, and some workers lack knowledge of their health and safety rights. The result of these factors is workplaces that are less safe.27
The PDR model attempts to explain the increased health and safety risks through precarity’s effects on the workplace structure and practice. While this model does help us understand the workplace dynamics of precarious work, it provides an incomplete understanding of the broader effect of precarity on health. The consequences of precarious work do not restrict themselves to the workplace but spill over into the workers’ private lives, as they take stress, anxiety, and insecurity home with them.
In an attempt to build a more holistic analysis of precariousness and work, Wayne Lewchuk and his colleagues have developed the Employment Strain Model (ESM). ESM looks at the employment relationship in its entirety to understand how workers’ health is affected by engaging in precarious work. The model suggests that the strain of being uncertain about employment combined with the stress of having to make extra effort to maintain and attain work are the cause of the worsened health outcomes. Box 7.2 provides a more complete explanation of the model.
Box 7.2 Precarity and the employment strain model28
Wayne Lewchuk, Marlea Clarke, and Alice de Wolff have developed a new approach to understanding the health effects of precarious work. They began with the assertion that the reasons for the worse health experienced by precarious workers go beyond the workplace.
While it is sometimes argued that workers in less permanent relationships may be forced into accepting more physically hazardous work, or increased exposure to toxins, this is not the core of our argument. Rather, we argue that there is a limit to how much employment uncertainty and risk can be downloaded to individuals—at some point workers become stressed, and the employment relationship itself becomes toxic.29
They argue what takes place inside the workplace is only part of the picture. “Health effects are embedded in the social structuring of labour markets, and therefore begin well before workers cross the factory gates, enter their offices or begin their work tasks.”30
Their model is influenced by Karasek’s job strain model (introduced in Chapter 6). They define employment strain as the interaction of employment relationship uncertainty (i.e., the degree to which a worker is uncertain about his employment future) and employment relationship effort (i.e., how hard a worker works to keep a job or find new ones). This interaction creates four categories of job strain, which can be displayed as quadrants in a matrix.
The model includes a third dimension, employment relationship support, which is the degree to which the worker receives support at work from a union, co-workers, family members, or others. Support acts as a buffer to reduce the employment strain experienced by the worker. Precarious workers reported lower levels of support than SER workers.
This research reveals that workers who have high uncertainty, high effort, and low support were two to three times more likely to report poor health than those reporting low uncertainty, strain, and high support. Those experiencing only high uncertainty or high effort but low support also display worse outcomes. The model more accurately explains the complex interaction between ill health and precarious work.
No work has been done to determine how to reduce the ill effects of precarious work, in large part because precarity is not yet widely recognized as a health and safety hazard. Since the origins of its effect begin before work begins, it is a challenge to identify work-related solutions. The only effective method for reducing the health effects of precarity is to create jobs that are more secure and support workers more fully. This solution requires broad-scale social, political, and economic change.
Despite its seeming intractability, it is important to understand the health and safety implications of precarious work. The discussion demonstrates that workplace health extends beyond the workplace. The significance of precarious work is that it is not only the work itself that affects safety; the employment status also plays a large role in determining worker health.
HEALTH AND EMPLOYER SIZE
In Canada, 98% of all employers are small enterprises (<100 employees). Small enterprises employ two thirds of private-sector workers.31 Small enterprises are also common in the non-profit sector. Most of the research focusing on small and medium enterprises (SMEs) (<500 workers) has been conducted in the past 15 years and has found that workers employed by SMEs are more likely to experience work-related injury and illness. Incidents are more common in SMEs, especially those resulting in fatal or serious injuries, and SME workers are more likely to be exposed to physical and chemical hazards.32 That said, some studies have found that their psycho-social working conditions are better due to the close social relationships associated with SMEs. Psycho-social conditions are, however, highly dependent upon the behaviour of the employer.33
Researchers attribute these poor outcomes to particular attributes of SMEs. The tendency of SMEs to have informal management structures, unstructured approaches to OHS, and a lack of OHS resources and knowledge are all factors that contribute to the heightened risk of injury. SME owners also tend to downplay safety risks, see safety as a relatively minor matter compared to the other challenges of running a business, and view government regulations as bureaucratic interference. They also overestimate their knowledge of OHS and, importantly, tend to push responsibility for safety down to their employees.34
These attributes of SMEs interact with other factors. For example, SMEs are more likely to provide precarious work and employ vulnerable workers such as women, immigrants, and youth. Combining inadequate OHS structures in SMEs with the vulnerable and precarious attributes of SME workers intensifies the health and safety risks to those workers.
When examining how to improve the safety climate in SMEs, attention has tended to focus on tailoring training and education approaches for an SME environment or simplifying safety management systems. Recommendations include building trust and communication, creating action-oriented education, checklists, and integrating safety goals with management goals.35 Few of these proposed methods have been rigorously evaluated to determine their level of effectiveness, and their application has been sporadic.
A broader view of the issue reveals that the current system of injury prevention, regulation, and enforcement was designed for (and by) large enterprises. Rules are detailed and written in technical and legalistic language. Hazard control efforts often require extensive knowledge, training, and investment. OHS inspectors lack the resources required to cover the large number of SME workplaces, while the close social relations in SMEs make it less likely that workers will complain for fear of being identified and ostracized. Watering down regulations for small workplaces, often the preferred solution of SME employers, would only make matters worse, as it would further relax safety requirements. Improving the safety conditions in SMEs requires reforms to the OHS system that address the dynamics specific to SMEs that place workers at risk.
In particular, the reforms need to recognize that the conflicting interests found in all workplaces are more acute in SMEs. The employer, who is likely on the worksite daily, sees the effects of safety measures on productivity and cash flow, making them more likely to resist safety improvements. Employers’ close contact with the workers makes it harder for workers to recognize and give voice to the idea that worker interests (safety) may be in conflict with employer interests (profit or cost containment). More effective training approaches do not erase that conflict.
RACE, GENDER, AND HEALTH
Who you are affects your safety at work. Different groups of workers have varying safety experiences in the workplace. For example, 63% of WCB-reported injuries in Canada happen to men, even though they make up 52% of the workforce.36 While it may seem on the surface that race and gender have no impact on health and safety—hazardous workplaces affect every worker—in fact, both have a profound impact on how safe a worker is at work. Race and gender can affect health and safety in two ways. First, they can shape how much risk a worker is exposed to. Second, race and gender affect the kinds of hazard workers face.
As suggested above, men are more likely to be injured and to be more seriously injured than women. Racialized workers are also more likely to be injured among both men and women. This means that racialized men have the highest injury rates overall.37 Further, immigrants, in particular racialized immigrants, also possess disproportionately high injury rates.38 Even citizenship status can affect safety, as the lack of status of undocumented workers (i.e., workers who do not have a valid visa to work in a jurisdiction) undermines their safety at work and their ability to stand up for their rights.39
A variety of explanations have been offered for these differential safety outcomes. One explanation centres on ascribed characteristics of the workers themselves. Women are claimed to be more risk-averse than men, and thus they seek out less dangerous occupations. Racialized workers are said to be less risk-averse due to lower education levels and lower income levels. They may also be assigned more dangerous tasks because of the belief that they have poorer language skills. A second explanation critiques the assertion that workers “choose” their paths free of social and economic constraints. While some individual choice is always present, workers’ choices are often limited by their circumstances. Economic and social vulnerability, fear of losing employment, and lack of options can lead workers to accept degrees of risk they would not otherwise choose.40
It is very important to remember that the racial and gender relations present in society do not stop at the workplace door. Attitudes, stereotypes, and behaviours about race and gender that pervade societal structures shape what happens at work. They govern what job opportunities are available to different groups of workers and they shape how work is conducted in the workplace. For example, due to stereotypes about masculinity and femininity, men are more likely to work in more physically demanding jobs (e.g., construction), which are linked to higher rates of injury. Women, in contrast, are discouraged from those occupations—both through overt discrimination and through job designs that do not accommodate the greater social reproductive responsibilities of women. While individuals do choose their career paths, we cannot understand those choices in isolation from the social forces that shape them.
In North America, there are clear power imbalances between men and women and between so-called “white” (or sometimes Anglo) workers and racialized workers. These imbalances do not work in isolation but cut across both race and gender. They are also reproduced in the workplace and thus will shape the health and safety experience of each worker. Those effects are complex but need to be integrated into our understanding of health and work. At the core, workers from groups that have less power in society will also have less power in the workplace to protect their safety. They will have less control over their choice of job. And they will have fewer options in navigating hazards in the workplace.
A second effect of gender and race is that groups of workers experience different kinds of hazards and risks. In part, this is due to occupational differences (e.g., construction entails different hazards than office work). But even workers doing the same job will experience the workplace from a different perspective, altering their health and safety. This can manifest itself in physical and psycho-social ways. As we saw in Chapter 5, women face additional chemical hazard risks (i.e., embryotoxicity and teratogenicity) due to their child-bearing abilities. Racialized workers are more vulnerable to workplace harassment (or violence) motivated by racism. Importantly, these different exposures can have significant health and safety impacts, as outlined in Box 7.3.
Box 7.3 Gender and workplace health safety
Two recently published academic articles examine the role of socially constructed gender roles on the health and safety of men and women.
Waitresses in “Breastaurants”41
This study examines the work health effects of women who work in restaurants that require female servers to wear revealing or body-accenting clothing. These restaurants, called “breastaurants” in the article, create environments where the servers are sexually objectified as part of their work. The sexualization occurs in the hiring selection process (picking stereotypically “attractive” women), mandated uniform requirements (tight-fitting or revealing clothing), and regulated behaviour toward customers (expectations of flirtatious friendliness). The study, a survey of 300 waitresses, finds servers in this type of restaurant experience greater rates of unwanted comments and sexual advances than workers in other restaurants. It also finds that the work environment results in negative psychological and vocational health outcomes, such as an increased incidence of depression arising from feelings of powerlessness, ambivalence, and self-blame.
Masculinity and Risk Taking42
This study is a review of 96 previously conducted studies examining the role of masculinity in occupational health and safety. Masculinity is the socially constructed set of practices attributed to male roles. The article argues that men are expected to follow four rules to establish masculinity: rejection of characteristics associated with femininity; quest for wealth, fame, and success; display of confidence, reliability, strength, and toughness; and willingness to break rules. They isolate five elements of masculinity that affect men’s workplace health and safety:
• Celebration of heroism, physical strength, and stoicism
• Acceptance and normalization of risk
• Acceptance and normalization of work injuries and pain
• Displays of self-reliance and resistance to assistance and authority
• Labour market forces, productivity pressures
The five factors combine to cause men to take more risks, under-report incidents, work through pain, reject assistance, and break OHS rules.
The focus of both studies is not on the behaviour or employment choices of the workers but on how underlying social constructions of gender have occupational health and safety consequences. The health and safety experiences of men and women are different because their socialized roles and stereotypes shape those experiences.
The health and safety experience of a worker does not change because they happen to be male or female, Hispanic or Scottish. Rather, their OHS experience differs because the social meaning attributed to a specific gender or ethnicity alters a worker’s relationship to work, employers, co-workers, and customers. That relationship then shapes the worker’s health and safety at work (and in society). That a worker’s health and safety experience is rooted in these social relationships means the experience can be changed. If we alter our notions of masculinity and femininity and break down racial divides, gendered and racialized health and safety outcomes will be diminished. Such large-scale social change goes beyond the role of an OHS practitioner. Yet the differential health and safety experiences of women and racialized workers can be reduced if OHS practitioners become aware of the gender and race in the workplace and take action to reduce the power imbalances that arise from those dynamics.
SUMMARY
Karen Maleka is more vulnerable to occupational injury and illness, not because of the job she performs but because of the nature of her employment relationship and, possibly, her gender and race. This chapter examined various hazards that arise out of the dynamics of work itself, rather than the tasks and locations of that work. Shift work, extended work hours, and emotional labour—all aspects of the job fully within the control of the employer—have negative health effects, regardless of what other hazards may be present in the workplace. We also saw that the size of the employer can lead to worse safety outcomes, which may interact with the mounting evidence that being a precarious worker has significant health and safety consequences. Finally, we considered how gender and race also shape workers’ experience of safety at work.
That the nature of work and the employment relationship can affect workers’ health is a new concept for OHS. It requires us to rethink what constitutes a hazard and how hazards cause health consequences, including how they interact with non-work aspects of workers’ lives. It also causes us to contemplate new ways of controlling these new types of hazard. The existing recognition, assessment, and control system is inadequate for the task of determining how to reduce hazards of this kind. What is required is a more explicit recognition that employment is a power relationship, and that power permeates all aspects of workers’ lives. Addressing the kinds of hazards discussed in this chapter requires a broader, more holistic understanding of how workplace health is shaped.
DISCUSSION QUESTIONS
• Practices such as shift work, extended hours, and mandatory emotional labour have become an essential part of how many occupations operate (e.g., health care, restaurant serving). Can these unhealthy practices be eliminated? How?
• What are the root causes of the negative health effects from precarious work? What can OHS professionals do to mitigate its effects?
• How are the close social relations found in SMEs a double-edged sword for safety?
• Describe how stereotypes and prevailing attitudes about race and gender impact safety in the workplace.
EXERCISE
Consider the working conditions at fast food franchise restaurants, including shifts, wages, job security, and job demand and control. Write 200-word responses to the following questions:
1. Identify the health effects that may arise from this work organization and recommend options for remediating the effects.
2. What are the pros and cons from the employer perspective?
Think about your work situation, or that of a person close to you. Write 200-word responses to the following questions:
1. How might dominant stereotypes about race and gender affect your experience of safety in the workplace?
2. Identify five ways in which race and gender shape workplace dynamics.
NOTES
1 Quoted in Warren, M. (2015, June 26). Precarious work takes a toll, area workers say at provincial forum. Guelph Mercury, p. A3.
2 Quoted in Bauman, J. (2015, July 23). A \$15-an-hour minimum wage needed to fight poverty. Waterloo Region Record, p. A11.
3 Neilson, W. (2015, July 3). Pitching the \$15 Minimum Wage. Woolwich Observer, n.p. http://observerxtra.com/2015/07/03/pitching-the-15-minimum-wage/
4 Vosko, L. (2006). Precarious employment: Understanding labour market insecurity in Canada. Montréal: McGill-Queen’s University Press.
5 Vosko, L. (2000). Temporary work: The gendered rise of a precarious employment relationship. Toronto: University of Toronto Press.
6 Williams, C. (2008). Work-life balance of shift workers. Perspectives on Labour and Income, 9(8), 5–16.
7 Saunders, R. (2010). Shift work and health. Toronto: Institute for Work and Health.
8 Haus, E., & Smolensky, M. (2006). Biological clocks and shift work: Circadian dysregulation and potential long term effects. Cancer Causes and Control, 17, 489–500.
9 Institute for Work and Health. (2010).
10 Ibid.
11 Knauth, P., & Hornberger, S. (2003). Preventive and compensatory measures for shift workers. Occupational Medicine, 53(2), 109–116.
12 Caruso, C., Hitchcock, E., Dick, R., Russo, J., & Schmit, J. (2004). Overtime and Extended Work Shifts: Recent Findings on Illnesses, Injuries, and Health Behaviors. Cincinnati: NIOSH.
13 Lerman, S., et al. (2012). Fatigue risk management in the workplace. Journal of Occupational and Environmental Medicine, 54(2), 231–258.
14 Milner, A., Smith, P., & LaMontagne, A. (2015). Working hours and mental health in Australia: Evidence from an Australian population-based cohort, 2001–2012. Occupational and Environmental Medicine, 72(8), 573–579. doi: 10.1136/oemed-2014-102791
15 Lerman et al. (2012).
16 Hochschild, A. (1983). The Managed Heart. Berkeley and Los Angeles: University of California Press.
17 Wharton, A. (1993). The affective consequences of service work: Managing emotions on the job. Work and Occupations, 20(2), 205–232.
18 Pugliesi, K. (1999). The consequences of emotional labor: Effects on work stress, job satisfaction, and well-being. Motivation and Emotion, 23(2), 125–154.
19 Deery, S., Iverson, R., & Walsh, J. (2002). Work relationships in telephone call centres: Understanding emotional exhaustion and employee withdrawal. Journal of Management Studies, 39(4), 471–496.
20 Smith, P. (2012). The emotional labour of nursing revisited: Can nurses still care? New York: Palgrave-MacMillan.
21 Lewchuk, W., et al. (2015). The precarity penalty: The impact of employment precarity on individuals, households and communities—and what to do about it. Toronto: McMaster University & United Way Toronto.
22 Vosko (2006).
23 Underhill, E., & Quinlan, M. (2011). How precarious employment affects health and safety at work: The case of temporary agency workers. Relations Industrielle/Industrial Relations, 66(3), 397–421.
24 Quinlan, M., Mayhew, C., & Bohle, P. (2001). The global expansion of precarious employment, work disorganization and consequences for occupational health: A review of recent literature. International Journal of Health Services, 31(2), 335–414.
25 Lewchuk, W., Clarke, M., & de Wolff, A. (2008). Working without commitments: Precarious employment and health. Work, Employment & Society, 22, 387–406.
26 Lewchuk, W., Clarke, M., & de Wolff, A. (2011). Working without commitments: The health effects of precarious employment. Montréal: McGill-Queen’s University Press.
27 Quinlan, M., & Bohle, P. (2004). Contingent work and occupational safety. In J. Barling & M. Frone (Eds.), The psychology of workplace safety (pp. 81–106). Washington: American Psychological Association.
28 Lewchuk et al. (2011).
29 Ibid., p. 10.
30 Ibid., p. 137.
31 Industry Canada. (2013). Key Small Business Statistics, August 2013. Ottawa: Author.
32 Hasle, P., & Limborg, H. (2006). A review of the literature on preventative occupational health and safety activities in small enterprises. Industrial Health, 44, 6–12.
33 Sørensen, O., Hasle, P., & Bach, E. (2007). Working in small enterprises—Is there a special risk? Safety Science, 45, 1044–1059.
34 Legg, S., Laird, I., Olsen, K., & Hasle, P. (2014). Creating healthy work in small enterprises—from understanding to action: Summary of current knowledge. Small Enterprise Research, 21, 139–147.
35 Hasle & Limborg. (2006).
36 AWCBC. (2014). National Work Injury, Disease and Fatality Statistics 2010–2012. Ottawa: Association of Workers’ Compensation Boards of Canada.
37 Leeth, J., & Ruser, J. (2003). Compensating wage differentials for fatal and nonfatal injury risk by gender and race. Journal of Risk and Uncertainty, 27(3), 257–277.
38 Mousaid, S., De Moortel, D., Malmusi, D., & Vanroelen, C. (2016). New perspectives on occupational health and safety in immigrant populations: Studying the intersection between immigrant background and gender. Ethnicity & Health, 21(3), 251–267. http://dx.doi.org/10.1080/13557858.2015.1061103
39 Flynn, M., Eggerth, D., & Jacobson, J. (2015). Undocumented status as a social determinant of occupational safety and health: The workers’ perspective. American Journal of Industrial Medicine, 58(11), 1127–1137. doi: 10.1002/ajim.22531
40 Leeth, J., & Ruser, J., (2006). Safety segregation: The importance of gender, race, and ethnicity on workplace risk. Journal of Economic Inequality, 4, 123–152.
41 Szymanski, D. & Feltman, C. (2015). Linking sexually objectifying work environments among waitresses to psychological and job-related outcomes. Psychology of Women Quarterly, 39(3), 390–404.
42 Stergiou-Kita, M., et al. (2015). Danger zone: Men, masculinity and occupational health and safety in high risk occupations. Safety Science, 80, 213–220. | textbooks/workforce/Construction/Health_and_Safety_in_Canadian_Workplaces_(Foster_and_Barnetson)/1.07%3A_Health_Effects_of_Employment.txt |
Learning Objectives
After reading this chapter, you will be able to:
• Explain the purposes of health and safety training.
• Identify and explain the steps in developing health and safety training.
• Identify their own beliefs about learning and assess the implications for training.
• Explain the main components of an emergency plan.
On September 5, 2008, three workers died and two more suffered severe brain injuries when they were exposed to hydrogen sulphide (H2S) and carbon dioxide (CO2) gases at a mushroom composting facility in Langley, British Columbia. Two workers and a supervisor were trying to clear a blocked pipe in a shed. The shed enclosed the work space and exiting the shed required workers to climb a ladder.
The workers’ efforts to clear the blocked pipe caused H2S and CO2 to flow from the pipe into the shed, thereby displacing oxygen with these heavier gases. One worker collapsed immediately. While the second worker assisted the collapsed worker, the supervisor climbed out of the shed to call for help. Over the next few minutes, three more workers entered the shed to assist the collapsed worker. The hazardous atmosphere affected each of these workers.1
When paramedics arrived, they suspected a hazardous atmosphere in the confined space and decided it was not safe to enter the shed. While they waited for fire-rescue crews to arrive with breathing apparatus, the paramedics prevented even more workers from entering the shed. Fire-rescue eventually extracted the bodies of Ut Tran, Jimmy Chan, and Ham Pham from the shed. Two other rescued workers were transported to hospital and diagnosed with severe brain damage. The supervisor, who was only momentarily exposed to the gases, received medical treatment and was released.
The WorkSafeBC investigation into this incident identified numerous design and operational errors that contributed to the workers’ injuries. Of particular note was that none of the three interrelated businesses operating on the site had hazard recognition, assessment, and control plans in place and there was no monitoring of worker exposures to hazardous gases. Workers had no awareness of or training about the hazards posed by confined spaces or hazardous atmospheres and no access to personal protective equipment. There was also no emergency plan. According to WorkSafeBC:
Studies have shown that over 60% of confined space deaths occur among would-be rescuers. Rescue plans and proper training for rescuers must therefore be in place to prevent well-intentioned but untrained workers from entering confined spaces to assist workers in distress and becoming victims themselves.2
Further compounding this issue was that the owner and the workers spoke little English and thus had difficulty communicating with various trades workers (who could have identified the hazards for them) and rescue personnel. Following this incident, WorkSafeBC launched an inspection blitz of similar mushroom farms. Some farms took up to two-and-a-half years to develop the required safety plans to protect workers from hazardous gases. Inspections of other mushroom farms—with slightly different hazards—found that at least 6 of 40 farms did not have adequate plans in place four years after being directed to develop them.3
This incident identifies the importance of training and emergency preparedness in minimizing the risks posed and harm caused by workplace hazards. While it would have been better to eliminate (or otherwise control) the conditions that killed and injured the mushroom-farm workers, informing workers about the hazards and what to do in case of emergency could have prevented these injuries. This chapter begins by examining health and safety training in the workplace. It then looks at what learning theory can tell us about designing effective training programs. Finally, we tackle the issue of emergency preparedness in the workplace.
HEALTH AND SAFETY TRAINING
One way to control workplace hazards is to provide workers with health and safety training. Training entails providing workers with the knowledge, skills, or behaviours to reduce the risk of a workplace injury. Training is most effective at preventing injuries when the risk of injury is caused (or exacerbated) by a lack of knowledge or skill. Conversely, training will be less effective if the risk of injury is caused by some other factor or if workers are prevented or discouraged from applying the training by some aspect of the job.
There are many forms of OHS training. If you think back to jobs you or family and friends have held, you might well have been given an orientation during your first few days. This might have covered such basic information as the location of the washrooms, fire exits, and some hazards specific to the job. This was a rudimentary (and somewhat inadequate) form of safety training. Some workplaces may offer more thorough safety orientations to new workers that address workplace hazards, emergency procedures, PPE training, policies (e.g., how to report injuries and near misses), and job-specific OHS skills (e.g., robbery prevention, fire suppression). Training on how to use equipment and other job-related orientation can also enhance workplace safety. Governments can also provide various kinds of broad safety education, such as Alberta’s “Bloody Lucky” campaign discussed in Box 8.1.
Legislation may also compel employers to provide certain kinds of training. For example, if a workplace exposes workers to hazardous materials, workers must be educated about the nature of the hazard(s) and trained in how to work with the product(s) in a safe manner (including responding to spills and emergencies) through WHMIS (described in Chapter 2). This means that WHMIS training may be mandatory for some workers and that the specifics of the training will vary between worksites (or even within one worksite over time) as the hazardous materials change.
Legislation may also require mandatory first-aid training. For example, Ontario requires all employers subject to the Workplace Safety and Insurance Act to provide mandatory first-aid equipment, facilities, and trained workers in each workplace. The degree of training required depends upon the number of workers in the workplace. Nova Scotia’s Occupational Health and Safety First Aid Regulations place additional obligations on employers when workers are employed in remote locations (i.e., locations farther than 30 minutes of surface travel away from an emergency-care facility that is open during the hours of work).
Box 8.1 Public safety awareness campaigns
Governments sometimes provide OHS training. For example, students are often exposed to basic OHS information in high school courses. Governments also engage in broader efforts to educate the public about their workplace safety rights. For example, in 2008, Alberta launched its “Bloody Lucky” safety awareness campaign, which featured a series of graphic safety videos aimed at young workers.4
This campaign was attacked by both conservative politicians—who found it too gruesome—and by labour groups, who saw the videos as blaming workers for their injuries. The Bloody Lucky campaign clearly foregrounds the role of workers in workplace injuries, while obscuring the role of employers in designing unsafe work and failing to identify and control obvious hazards.5
For example, in one video a worker in a shoe store climbs a rickety ladder wearing high heels, overreaches to get at some poorly stacked stock, falls backward shattering a light fixture, and then hits the ground. The message is that the worker was acting unsafely, and the emphasis of the video is on the proximate (i.e., immediate) cause of the worker’s injuries, such as poor shoe choice, climbing an unsafe ladder, and reaching too far. The root (i.e., fundamental) causes of the injury (e.g., unsafe ladder, poor stock arrangement, unguarded light fixture) are ignored.
A very similar video from Ontario uses the injured worker’s questions to focus viewers’ attention on the root cause of the incident: the hazards that the employer is obligated to identify and control.6 The underlying message about who is responsible for workplace safety in the two videos is very different, with Alberta’s videos clearly blaming the careless workers for their injuries.
Research on other youth-focused government OHS training suggests that such training tends to impart knowledge about health and safety rather than assisting young workers to develop the self-advocacy skills necessary for them to assert their rights.7 Other research suggests that youth-oriented safety training may also gloss over the difficulty teens face in navigating conflicts between job demands and safety rules.8
The goal of most safety training is ensuring that work is performed safely in the workplace. For this reason, training tends to focus on developing worker skills and behaviours that prevent incidents. Training can, however, focus on educating workers about their rights at work, including their right to information and their right to refuse unsafe work. That form of training is usually not in the interest of employers, who prefer to focus on modifying worker behaviour via skills and knowledge training. Unions and other worker organizations often incorporate rights education into their safety training courses. This difference is one of the characteristics that distinguish union safety education from employer safety training. Combining safety knowledge with worker rights can be an effective way increase safety in the workplace as workers gain both safety knowledge and insights into how to advocate for themselves. Box 8.2 examines how union safety training can affect workers’ health.
Box 8.2 Effectiveness of union safety training9
In the 1990s, the public transit department in Medicine Hat, Alberta, introduced a fleet of buses fuelled by methanol. At the time, methanol was a popular alternative fuel source. The fuel lowered emissions, but the engines proved to be finicky and required extensive maintenance and repairs. The employer provided no PPE for mechanics, who often inhaled methanol fumes as they worked on engines. Shortly after the introduction of the methanol buses, a number of mechanics began getting sick, complaining of chronic fatigue, pain, mental fuzziness, and other health effects. For some workers, the symptoms were severe enough that they were required to stop working.
No one had an explanation for the onset of the illnesses and the employer denied any work-related connection. A number of months later, a handful of mechanics attended a weekend-long OHS course organized by their union. In the course, they were taught the basics of OHS activism—how to identify hazards, where to find information about hazards, and how to conduct independent research. They came back demanding to see MSDSs for methanol and began researching the health effects of methanol exposure, which can be significant. From this information, the ill workers filed WCB claims and the workers demanded action from the employer to control exposure to methanol.
The WCB claims were rejected and briefly subject to a high-profile court challenge attempting to permit the workers to sue their employer. The challenge failed, but the employer implemented controls over methanol exposure and a few years later abandoned the methanol bus experiment. The example demonstrates that independent training and education, in particular that provided by unions, can provide important tools for workers to advocate for their OHS rights. It also shows, once again, the challenges to having non-traditional occupational illnesses recognized by the WCB.
Broadly speaking, there is good research evidence that OHS training can change workers’ safety behaviour. There is also encouraging evidence that OHS training positively affects workers’ knowledge and attitudes. That said, there is no conclusive evidence that OHS training has a meaningful effect on workplace injury rates.10 More striking is that the rate of OHS training in Canada appears to be low, with only 1 in 5 workers reporting health and safety training during their first year of work with a new employer.11
This evidence suggests that assertions that training is an effective way to make workplaces safer may not be true. When faced with such an assertion, it is useful to consider who is making that claim and how it may be in their interest. For example, Alberta farm workers were long excluded from the ambit of OHS legislation because of concerns about the cost of implementing OHS programming on farms. When faced with criticism about the number of workplace injuries on farms, farm industry organizations repeatedly argued for safety training, despite compelling evidence from Saskatchewan that safety training had no effect on farm injury rates.12 In this case, farmers were using training-as-a-panacea as a way to evade what they feared would be costly regulation. Farm workers—often precariously employed and racialized workers—bore the cost of the lack of regulation in the form of heightened risk of workplace injuries.
LEARNING THEORY
Learning—the process wherein we acquire knowledge and skills that can lead to behavioural change—is an important outcome of training. As we saw in the discussion of social construction in Chapter 1, our behaviours are often shaped by our assumptions about the world. OHS training is no different: we each have a theory (albeit perhaps incomplete and poorly articulated) about how “best” to teach others. Over time, educational theorists have identified several different approaches to training. These learning theories are conceptual frameworks that describe how learners absorb, process, and retain information. These descriptions of learning often contain prescriptions about how to teach. Two learning theories that are broadly used to structure OHS training are behaviourism and social cognition.
Behaviourism asserts that attaching rewards and punishments to specific worker actions can shape how workers behave. In effect, workers can be conditioned to act in desired ways via positive and negative reinforcement. Positive reinforcement is essentially rewarding a worker when the worker demonstrates a desired behaviour in order to elicit further instances of the desired behaviour. Negative reinforcement is removing some sort of undesirable stimulus (such as no longer yelling at the worker) when a worker demonstrates a desired behaviour. (Negative reinforcement is different from punishment, wherein undesired behaviour results in sanctions.) Over time, behaviourism asserts, workers begin to exhibit the desired behaviour even when there is no more positive or negative reinforcement.13
The value of behaviourism is that it draws our attention to the fact that rewards and punishment affect learning and that this effect occurs both during and after the training process. For example, we might train workers to always walk around a vehicle to look for hazards or dangerous conditions prior to entering the vehicle and starting it up. This training may require positive reinforcement (e.g., praise) or punishment (e.g., discipline if the worker is observed not doing a walk-around). More importantly, behaviorism tells us that, if workers who act in accordance with their training are mocked by co-workers or hassled by their supervisor for holding up the delivery process, it is unlikely that the workers will continue to do vehicular walk-arounds. This suggests that training may need to also address workplace cultural practices if we want the training to be effective.
Social cognition theory asserts that learning occurs through observation and imitation and thus through formal and informal interactions with others. The social learning process typically begins by workers observing how others act and the consequences of those actions. Workers may then emulate safety behaviours that appear successful for others, assuming the worker has the confidence and skill necessary to perform these actions. Box 8.3 highlights the time and support that are sometimes necessary for workers to successfully emulate safety behaviours and the need for workers to adapt such behaviours to the continually changing demands of work.
Social cognition theory also suggests workers are often able to manage their own safety behaviours through self-monitoring, self-evaluation, and self-rewarding.14 This belief in worker self-regulation stands in contrast to the external regulation emphasized in behaviourism. Behaviourism’s emphasis on external regulation of workers’ behaviours (i.e., workers cannot be trusted to act safely) sometimes harkens back to the negative views of workers embodied in the careless worker myth that we read about in Chapter 1.
Box 8.3 Training versus learning
Much of the literature about OHS training focuses on how and what to teach workers. Focusing the attention of safety trainers on how best to transmit information to workers in order to shape their attitudes or behaviours obscures research that suggests workers learn health and safety skills by performing activities (rather than via lectures or online tutorials).
A recent study of OHS training among Quebec apprentices found that young workers learned how to work safely while doing their jobs.15 But the strategies they employed (and indeed, could employ) depended on the circumstances of their job. For example, sometimes safety rules conflicted with productivity demands. In this situation, young workers learned to work as safely as they could while still meeting productivity requirements. Their degree of compliance with OHS rules depended upon how much “space” the workers had to comply with OHS practices. Workers were frequently forced to develop new work strategies to cope with competing demands while minimizing their risk of injury.
The study also found that even supposedly simple workplace tasks required time for workers to become skilled at them and able to perform them safely. One-time demonstrations of skills were generally not sufficient for workers to be able to replicate those tasks.
Further, trainers often omitted information that the trainers deemed to be common sense. Such omissions pose significant hazards for new workers, who may be unfamiliar with job materials and processes. Finally, new workers frequently were not shown how specific job tasks fit into the overall production process or alternative ways to complete work (which would expand their repertoire of safe work behaviours).
An important implication of this study is that, in developing safety training, it is important to be cognizant that learning about OHS is a process that extends beyond training and requires workers to develop OHS strategies that are effective in their workplaces. This suggests that ongoing attention to safety training of new workers is necessary. How these lessons can be reconciled with the finding that only 1 in 5 workers receive any OHS training during their first year with an employer is unclear.
More generally, learning theories draw our attention to the fact that training is not done to employees, but rather requires their participation. Consequently, the effectiveness of training is enhanced when it is developed with workers’ interests and preferences in mind. For example, an organization may provide WHMIS training primarily to comply with legislative requirements. Workers may be more engaged by the training if it is presented as a way to reduce their risk of injury from hazardous materials and is delivered using training methods that are both practical and interesting.
Skilled trainers also recognize that workers may have both vocational (i.e., job-related) and non-vocational goals when participating in training. Some workers may see training as a way to advance their careers or interact socially with co-workers, or simply as a novel experience. Creating room for workers to meet their non-vocational goals may increase their engagement with the job-related material. One way to better address the needs of workers is to involve workers in the development of the OHS training they must take.
As in other aspects of OHS, competing workplace interests shape training. Employers are conscious of productivity and the cost of training, and so they will prefer training that delivers the information quickly, inexpensively, and with minimal impact on production or service delivery. As noted above, workers’ interests in training are more varied. Union-sponsored safety education is normally the only alternative source of OHS training available to workers.
DEVELOPING TRAINING PROGRAMS
Instructional design is a process of systematically developing training to meet particular goals and objectives. Figure 8.1 provides an overview of the process. The process begins by conducting a needs assessment to determine what kind of training is required to meet organizational goals. Organizational goals for health and safety training often include meeting legislative requirements or seeking to reduce injury rates, enhancing (or remediating!) the organization’s reputation for safety, or qualifying for workers’ compensation premium rebates. Employers seek to meet these goals by changing workers’ knowledge, skills, or behaviours via training.
Identifying specific organizational goals often clarifies who needs to be trained and the nature of the training that is required. Continuing with the example started in the last section, an organization seeking to meet its obligation to provide WHMIS training would train those workers who will work with hazardous materials. The content of the training will be shaped by which hazardous materials were used in the workplace and the selected control strategies. Whether a workplace would retrain workers who had previously received training might depend upon the nature of the hazard (which may have changed over time), the control strategies adopted (e.g., some PPE may require workers to undergo periodic retraining), and the additional cost (if any) of the retraining.
The question of cost reminds us that a needs assessment is not an entirely technical undertaking. What training is needed is not always perfectly clear, and those responsible for designing training can legitimately choose among different training options. For example, do workers with no responsibility for containing chemical spills require this training? This discretion over how to train is exercised in a particular economic and political context. As we saw in Chapter 1, employers in capitalist economies are influenced by the profit imperative either directly or indirectly (in the case of public and non-profit sectors), which often causes them to seek to minimize labour costs (which include the cost of training). This often means that a needs assessment entails a cost-benefit analysis of the training, which may shape the kind of training employers choose to provide.
Figure 8.1 The instructional design process
Once the broad organizational goals of training have been identified, our attention then shifts to planning the training program, including developing the specific training objectives and methods and selecting trainers. Training objectives typically identify what the worker is expected to know or be able to do at the end of the training and establish some level of acceptable post-training performance. Training objectives may also help employers identify materials (e.g., MSDSs, PPE, administrative procedures) required for workers to apply the training in the workplace. Carrying on with the earlier WHMIS training example, workers might be expected to identify the ways in which each type of hazardous material can cause harm and be able to perform any physical skills associated with the control strategy adopted for each hazard (e.g., monitoring ambient levels of a gas). They might also be expected to always comply with the control strategies when working with the materials after the training and face periodic evaluation of their compliance and potential sanction for non-compliance.
After the training objectives have been established, it becomes necessary to determine what training methods will be used to accomplish the objectives. Most of us have sat through classroom-based training at some point, and online training is becoming increasingly common because its cost is relatively low and it can be offered when it is convenient to the learner. As noted in Box 8.3, lecture- or demonstration-style training may not be the most effective way to teach OHS skills and procedures. Experiential training (e.g., hands-on training or real-world simulations) may be more effective. It may also take more than a single demonstration or opportunity to practice for workers to become proficient at OHS skills and then integrate them into their work practices.
The final step in planning the training program is to select the trainer. Training may be provided by staff members or contracted to an outside provider. This decision is often based upon the required expertise (e.g., being licensed to provide training for particular kinds of equipment) and the cost. A common pitfall in OHS training is selecting a provider (who often has a pre-packaged program) before determining the training objectives and methods. This approach may reduce the effectiveness of the training, as usually training is not a one-size-fits-all proposition.
Techniques of delivering training are beyond the scope of this book, although the discussion above provides some examples of different delivery strategies. After the training has been delivered, it is important to evaluate the effectiveness of the training. There are four types of training outcomes that can be assessed and listed in ascending order of measurement difficulty:
• Reaction: Trainees’ satisfaction with the training venue, content, and activities is easy to assess (e.g., using a questionnaire). This information may be used to improve participants’ subjective experience of future training events but does little to assess the degree to which the training has met the training objectives.
• Learning: It is possible to measure the knowledge and skills trainees gained from the training through testing (e.g., multiple-choice quizzes, demonstrations). These measures are useful at measuring short-term outcomes of training. Learning outcomes can also be assessed partway through a longer training program in order to identify which aspects of the training require reinforcement or additional practice.
• Behaviour: OHS training often seeks to alter trainees’ behaviour, so measuring behavioural change in the workplace over time may be a useful assessment. This can be done through observation or by reference to indicators of desired behaviours (e.g., monitoring workers’ level of exposure to radiation). Box 8.4 examines a popular approach to safety training focused on behavioural measures.
• Results: The purpose of training may be to affect overall organizational performance (e.g., lower injury rates). When assessing such outcomes, it is important to be mindful of non-training factors that may affect organizational results and that a positive outcome may not be due to the training itself.
Box 8.4 Behaviour-based safety systems
Training is often said to be an effective means of reducing the incidence of workplace injury. For example, training workers to work safely is a key component of behaviour-based safety (BBS), a popular approach to OHS among employers. BBS views the workplace as a venue of measurable behaviour that can be properly shaped to prevent injuries.16 As its name implies, BBS draws heavily on a behaviourist view of learning and focuses on modifying worker behaviour via training-reinforced positive and negative feedback. For example, safety metrics (e.g., number of days without a time-loss injury) may be publically posted and linked to rewards (e.g., cash bonuses or workplace events such as free pizza lunches). Such rewards certainly can shape worker behaviour. As we saw in Chapter 1, it is unclear, however, if these rewards cause workers to work more safely or simply alter their injury-reporting behaviours.
BBS focuses attention on observable behaviours, most of which are performed by workers. This approach tends to narrow the scope of safety inquiry, neglecting root causes of injuries and factors directly within employer control. In this way, BBS constructs injuries as the result of worker incompetence, inattentiveness, and carelessness, often (and incorrectly) claiming that up to 90% of injuries are caused by unsafe acts.17 Ignored in this approach to incident prevention are factors that are harder to observe, such as the (un)availability of safety equipment, unsafe production processes and job designs, pressure to work faster, and the employer failing to remediate known hazards.
Moreover, the solutions that flow from BBS tend to focus on modifying worker behaviour (via less effective forms of hazard control, such as administrative controls, PPE, and worker training) rather than remedying the hazardous condition through elimination, substitution, or engineering controls. In this way, BBS leads to an entrenchment of a workplace culture of blaming the worker for mishaps. The United Steelworkers of America have provided a trenchant critique of BBS, showing that it facilitates greater management control over workers while providing “no mechanism for the workers to discipline management” for inadequate safety protection.18
BBS is a concrete example of how the different views of employers and workers about injury prevention can play out in the workplace. When conducting a needs assessment, it is important for OHS practitioners to be cognizant of the political context in which the training is occurring. This contextual awareness may also help identify the potential for worker resistance to the content or format of training based upon their workplace interests.
Assessment activities are often determined during the design phase. This approach tends to most closely align assessment with the training objectives and ensure assessment is appropriate for the chosen training method. Concluding the WHMIS example, if the organizational goal is meeting (and being seen to meet) legislative requirements around hazardous materials, this goal can be met by demonstrating that workers received the training. Assessing workers’ learning and behaviour might tell both the employer and the workers important things about the effectiveness of the training at imparting knowledge and skills and altering behaviour. That said, cost considerations might affect the degree to which the achievement of training objectives get measured.
EMERGENCY PREPAREDNESS
Emergencies are sudden events that pose a hazard to workers’ health and safety and require immediate action. Obvious examples include weather or transportation events such as the 2013 flood in Calgary, Alberta, or the tanker-car explosion in Lac-Mégantic, Quebec. Fortunately, most emergencies are of a much smaller scale. The release of hazardous gases at the Burnaby mushroom farm is an example. The workers had no warning that they would be exposed to a powerful chemical hazard in a confined space, and the exposure rapidly incapacitated, injured, and killed them. While preventing such events is ideal, emergency plans can significantly mitigate the harm caused by emergencies.19
Like all HRAC activities, emergency planning begins by evaluating what hazards might trigger an emergency in the workplace. Emergencies can be caused by hazards specific to the workplace (e.g., a leak of dangerous chemicals in a hardware store) or by events outside the workplace (e.g., the risk of retail workers becoming ill during an outbreak of the flu). Once the most likely causes of an emergency at a workplace have been identified, it is necessary to consider how each cause would affect the workplace and how the underlying hazards can be controlled.
This process can lead to the development of one or more emergency plans that outline the steps necessary to respond effectively to the emergency. The details of these plans will differ based upon the nature of the hazard: a chemical spill obviously requires a different set of responses than a pandemic (see Box 8.5). There are three major phases to any emergency plan:
• Activation: It is necessary for someone to recognize that an emergency is occurring, activate the emergency plan, and communicate the emergency to workers and any relevant authorities or other affected persons. An activation protocol may identify the circumstances that create an emergency (e.g., triggering events or circumstances) and the steps to commence the emergency response.
• Evacuation, rescue, or shelter: Emergencies may require the evacuation of some or all workers. Evacuation routes (including alternative routes), muster points, and a means of determining whether an evacuation is complete are important components of an emergency plan. Depending upon the circumstances, an evacuation plan may also direct the shutdown of certain work processes and the treatment or further evacuation of injured workers. Some hazards—such as chemical hazards in confined spaces—may require specialized rescue skills or equipment in order to evacuate workers before further harm occurs. Other hazards—such as extreme weather—may require workers to take shelter on site.
• Ongoing management: A protocol for managing an ongoing emergency is helpful once the initial phase of the emergency has passed. While we tend to think of emergencies as single dramatic events, an emergency may entail an ongoing set of events such as the pandemic discussed in Box 8.5. Ongoing management might include plans to secure equipment and information, ensuring there is a means of communicating with staff and for staff to communicate with their families, a media relations plan, the provision of assistance to help employees cope with their reactions to the event, and a business-resumption plan.
Emergency planning can be much more complicated when the worksite changes frequently (e.g., in construction) or is mobile (e.g., in oil-and-gas exploration). Knowing there is an emergency and developing evacuation protocols is much more difficult when facing constantly shifting circumstances.
Emergency planning is linked to safety training because all workers need to know what to do and where to go in the event of an emergency. Emergency responders (people assigned to respond to the emergency) require additional levels of training to spot hazards and engage an effective response (e.g., evacuate injured workers, stop a gas leak). Part of emergency preparedness is a comprehensive training plan for each worker at the level they require it.
Box 8.5 OHS implications of pandemics
A pandemic is the sudden outbreak of a disease that affects a large portion of the population due to a lack of natural immunity. A pandemic has significant implications for OHS, particularly in the health-care and service sectors. Not only can workers contract the illness in their workplace, but a widespread pandemic can create new hazards. For example, staff may need to perform tasks they are unfamiliar with or untrained for as other workers fail to report due to illness, fear, or being required to care for others.
Thinking a bit more broadly, equipment and materials may become scarce due to demand or logistics problems. Utilities (e.g., water, power) may be also become unreliable due to high levels of worker absenteeism. Quarantine procedures might significantly affect the availability of workers, while high demand might limit access to emergency and medical services. Such issues may create a series of cascading OHS hazards in the workplace.
Severe Acute Respiratory Syndrome (SARS) provides a useful case study. In late 2002, a patient in China’s Guangdong province fell ill with an atypical case of pneumonia. Additional cases appeared in the following months, and the disease was spread to Hong Kong by a health-care worker who attended a family wedding in February 2003. One of the dozen people affected in Hong Kong was a 78-year-old woman who returned home to Toronto, Ontario, and became the Canadian index case (the first case that indicates the existence of an outbreak).
The woman died and a family member who provided care for her was hospitalized, resulting in the disease spreading to other patients and staff. In the end, there were up to six generations of disease transmission, and health-care workers comprised 43% of those who fell ill with SARS. There were 44 SARS-related deaths in Canada and over 400 people became ill, while 25,000 people were quarantined.20 Globally, the death toll was 916, approximately 11% of all who fell ill with SARS.
This emergency required significant changes to normal patient-handling protocols in the health-care system. Despite enacting emergency protocols to contain the pandemic, some workers who fell ill with SARS also experienced long-term physical health consequences as a result of the disease (or its treatment). Others, including health-care workers, experienced post-traumatic stress. The SARS experience resulted in the widespread introduction of pandemic plans in the Canadian public sector. Comprehensive data is lacking, but practitioners estimate that fewer than 10% of private-sector organizations have pandemic plans.
SUMMARY
Health and safety training can play an important role in reducing the number and severity of workplace injuries. The five workers who were injured or killed at the Langley mushroom farm in 2008 were harmed because they were exposed to uncontrolled hazards. While controlling these hazards through elimination, substitution, or engineering controls would have been the best way to prevent this incident, informing the workers about the well-known risks associated with manure composting and enclosed spaces and providing them with the training and equipment necessary to do the work safely might have also prevented it. Even if a hazard is controlled through engineering controls, there is still a need to ensure workers understand the nature of the hazards that could exist if the engineering control failed. Indeed, even providing the workers with basic training about their workplace rights and the hazard recognition process might have prevented the incident or reduced its consequences.
In this case, the employer appeared ignorant of the hazards in the workplace and therefore did not see any reason to provide training. Circumstances like these—where the employer may be unqualified to run their business in a safe manner—is one of the reasons that all Canadian jurisdictions have OHS inspection programs. Had the employer been made aware of the hazard and its obligations to control the hazard, it is possible that these workers would still be alive. Similarly, if the employer had an emergency response plan, it is possible that some of these workers would have avoided injury when attempting to rescue their colleagues.
DISCUSSION QUESTIONS
• What purpose(s) does health and safety training serve?
• Identify five different instances of health and safety training that you have experienced or have heard about. Which do you think is most important and why?
• Why might you include workers in the development of OHS training? Why might you want to exclude them?
• If you were developing OHS training, would you lean toward behaviourism or social cognition theory? Explain your choice.
• What are the major components of an emergency preparedness plan? Which is the most important from the perspective of workers?
EXERCISE
Go online and find the WorkSafeBC Incident Investigation Report for the mushroom farm deaths detailed at the beginning of this chapter.21 WorkSafeBC also provided an animated video recreation of the incident that you may wish to view.22 After familiarizing yourself with the facts of this incident, complete the following tasks:
1. Identify two types of training that the employers could have provided to these workers that might have altered the outcome of this incident. In 200 words, explain why you selected each type of training and how you believe it would have altered the course of this incident.
2. Go online and identify a provider of each kind of training in your area.
3. Identify two non-training ways (i.e., controls) by which this incident could have been prevented. In 200 words, discuss whether you think these controls would have been more or less effective in altering the outcome of this incident than providing training and why you think this.
NOTES
1 WorkSafeBC. (2010). Incident Investigation Report No. 2008095610260. Vancouver: Author. http://www.worksafebc.com/news_room/news_releases/assets/nr_11_25_11/IIR2008095610260.pdf
2 Ibid., p. 45.
3 Hoekstra, G., & McKnight, Z. (2012, August 8). 4 years after B.C. tragedy, mushroom farms still lack safety plans. Vancouver Sun. http://www.vancouversun.com/health/years+after+tragedy+mushroom+farms+still+lack+safety+plans/7055462/story.html?__lsa=0169-72e8
4 The Bloody Lucky campaign remains available online at www.bloodylucky.ca. An alternative link is http://www.youtube.com/watch?v=0k5CFoOGzE8
5 Barnetson, B., & Foster, J. (2012). Bloody Lucky: The careless worker myth in Alberta, Canada. International Journal of Occupational and Environmental Health, 18(2), 135–146.
6 You can see this video here: http://www.youtube.com/watch?v=0Haa4QImf40&list=PLBE242CF787F0BF0A&index=1.
7 Chin, P., DeLuca, C., Poth, C., Chadwick, I., Hutchinson, N., & Munby, H. (2010). Enabling youth to advocate for workplace safety. Safety Science, 48(5), 570–579.
8 Laberge, M., MacEachen, E., & Calvet, B. (2014). Why are occupational health and safety training approaches not effective? Understanding young worker learning processes using an ergonomic lens. Safety Science, 68, 250–257.
9 Case summarized from Wilson v. Medicine Hat (City of), 2000 ABCA 247, and from files compiled by one of the co-authors.
10 Institute for Work & Health. (2010). Effectiveness of OHS education and training. Toronto: Author. http://www.iwh.on.ca/sbe/effectiveness-of-ohs-education-and-training
11 Smith, P., & Mustard, C. (2007). How many employees receive safety training during their first year of a new job? Injury Prevention, 13(1), 37–41.
12 Hagel, L., Pickett, W., Pahwa, P., Day, L., Brison, R., Marlenga, B., Crowe, T., Snodgrass, P., Ulmer, K., & Dosman, J. (2008), Prevention of agricultural injuries: An evaluation of an education-based intervention. Injury Prevention, 14(5), 290–295.
13 Saks, A., & Haccoun, R. (2013). Managing performance through training and development (6th ed.). Toronto: Nelson.
14 Ibid.
15 Laberge, MacEachen, & Calvet. (2014).
16 Geller S. (2001). Behavior-based safety in industry: Realizing the large-scale potential of psychology to promote human welfare. Applied and Preventive Psychology, 10(2), 87–105.
17 Frederick, J., & Lessin, N. (2000). Blame the worker: The rise of behavioral-based safety programs. Multinational Monitor, 21(11), 10–14.
18 United Steelworkers. (n.d.). The Steelworkers Perspective on Behavioral Safety. Pittsburgh: Author, p. 5. http://assets.usw.org/resources/hse/Resources/uswbbs.pdf
19 A good introduction to emergency planning in Canada is available here: http://www.ccohs.ca/pandemic/pdf/Business_continuity.pdf
20 Canadian Environmental Health Atlas. (2015). SARS outbreak in Canada. http://www.ehatlas.ca/sars-severe-acute-respiratory-syndrome/case-study/sars-outbreak-canada
21 This report was located here: http://www.worksafebc.com/news_room/news_releases/assets/nr_11_25_11/IIR2008095610260.pdf | textbooks/workforce/Construction/Health_and_Safety_in_Canadian_Workplaces_(Foster_and_Barnetson)/1.08%3A_Training_and_Injury_Prevention_Programs.txt |
Learning Objectives
After reading this chapter, you will be able to:
• Identify the reasons for conducting an incident investigation.
• Explain the steps in an investigation.
• Describe the tools and techniques employed in an incident investigation.
• Distinguish between proximate and root cause.
• Outline the purpose of recommendations and follow-up.
On January 20, 2012, a massive explosion at the Babine sawmill in Burns Lake in northern British Columbia killed two workers and injured 20 others. The explosion, powerful enough to blow off the mill’s roof and send a giant fireball into the sky, was caused by a buildup of wood dust in the mill’s atmosphere. Ryan Clay, a worker at the mill, said the dust had built up to dangerous levels. “You couldn’t see across the mill, that’s how bad the dust levels were. Even with the fans going full blast, the dust was just horrendous.”1 It was the largest sawmill explosion in BC history until—as we saw in Chapter 1—the Lakeland sawmill in Prince George exploded three months later.
In incidents this serious, the investigation becomes the responsibility of the provincial government, in this case WorkSafeBC. It took 19 days for WorkSafe investigators to gain access to the site, first because of RCMP investigations of criminal acts and then because of unsafe conditions. The investigation was finally completed on November 29, 2012, with a recommendation to lay charges against the employer under BC’s health and safety legislation. Nevertheless, the Criminal Justice Branch (which makes all final decisions about prosecutions) decided it could not proceed with charges due to significant flaws in the investigation procedure. A review of the investigation found it had failed to collect all pertinent information, interview certain key witnesses, and follow due process in interviews with managers. It also came to light that WorkSafe inspectors had been to the mill a month before the incident and, while they issued citations for violation of safety rules, they did not highlight a risk of explosion from the wood dust.2
Government investigations serve a different purpose than incident investigations conducted by employers, as government investigators have a legal mandate to determine if penalties under the Act are warranted. Nevertheless, the failures of the Babine investigation show what can go wrong if an investigation is not conducted properly. Incident investigations are intended to uncover all of the key facts about how and why an incident occurred so that action can be taken to prevent it happening again. Not conducting the investigation in a careful and thorough manner can undermine the results and create the risk of a repeat incident. Any incident where significant injury occurs should be thoroughly investigated, but there is value in investigating minor injury and near miss events as well, as they can reveal important insights that might prevent a future injury.
Sometimes, incident investigations are used to place blame (usually on the worker) for the events that transpired in the workplace. This misuse of an investigation often occurs when investigators become too focused on the proximate (i.e., immediate) cause(s) of the incident and do not seek out root causes. This chapter will explain how to conduct an incident investigation and write an incident report. It will also discuss how investigations can identify both the proximate and root causes of an event.
INVESTIGATION STEPS
A successful incident investigation begins with a consistent process designed to uncover what happened so future incidents can be avoided. Investigations need to be performed as soon after the incident as possible and be completed as quickly as possible. Witnesses’ recall may deteriorate over time and important evidence may disappear if there is a delay. The sooner an investigation is completed, the sooner changes can be made to make the worksite safer. Employers may also be required to report incidents and investigation results within a specified time period.
The first step in an investigation is the development of an investigative process. This step takes place before any event has occurred and begins with answering key questions about the investigation:
• What types of incident will trigger an investigation (e.g., injuries, near-misses)?
• Who will lead the investigation and who will participate in it?
• How will the information that is gathered be recorded?
• What tools and training are needed for the investigation?
• What procedures will be followed during the investigation?
Who investigates an incident is a particularly important question. The lead investigator should be someone with investigative experience, knowledge of the work and work processes, and an understanding of how OHS incidents are caused. Many workplaces will task a senior health and safety official or senior manager with managing incident investigations. No one should investigate an incident alone, and other people should be selected to assist, to provide different perspectives, and to divide the workload. Other possible participants should include joint OHS committee members or some other worker representative, people linked to the work that had been performed, and, in most cases, the direct supervisor of the work (although there are cases when inclusion of the supervisor may not be appropriate). Union agreements often stipulate that a union steward or representative participate in incident investigations—one of the ways in which the presence of a union alters OHS in a workplace. Anyone who is identified as an investigator should be properly trained beforehand.
Creation of an investigation kit is also a useful pre-incident task. An incident investigation kit is a pre-assembled box containing the tools, forms, and material needed in an investigation. It might include pens, paper, camera, flashlight, tape measures, and audio/video recording devices. If resources allow, it might even include a laptop with software to help keep track of evidence (e.g., spreadsheet or database). Investigators can then act quickly by grabbing the kit and beginning their work.
Once an incident occurs, the first step of incident investigation is to attend to any injured workers, evacuate any imperilled workers, and secure the scene. This step should correspond closely with the emergency response plan and be performed by the emergency responders. Securing the scene entails two actions. First, any uncontrolled hazard (e.g., leaking gas) needs to be eliminated to ensure the safety of the investigators and others. Second, the scene needs to be protected so that no evidence can be destroyed or altered (intentionally or unintentionally) until the completion of the investigation. Protection normally includes restricting access to the scene. In some circumstances, it may also require protecting the scene from inclement weather.
The second step in an investigation is to gather evidence. There are a number of techniques for collecting the relevant information. They will be used in various combinations depending on the nature of the incident and the workplace. Gathering might begin with a walk-through, which is an inspection of the incident scene to get an overall picture of the environment. A walk-through may also clarify which additional evidence-gathering techniques are appropriate. These further techniques should include recording the scene through photos or video or drawings (if photos or video are not practical) to create a visual record of the scene.
Investigators normally prioritize interviewing witnesses, including the injured worker(s). Witnesses should be interviewed as soon as possible after the incident while their memories are fresh and uncontaminated by discussing the event with others. A few principles should be followed in interviewing to ensure accurate information and the well-being of the witness:
• Ensure the witness is physically and emotionally well. Witnessing an incident can traumatize people and assistance, such as counselling, may be necessary before an interview takes place.
• Be clear about the purpose of the interview and the investigation, highlighting that it is not about laying blame.
• Interview witnesses separately and in a neutral location. A worker representative should be provided if the witness requests it or if the union agreement requires it.
• Allow witnesses to describe what happened in their own words. Do not lead or put words in their mouths.
• Ask only questions that elicit more information or clarify answers. Do not ask the witness “why” they think something happened.
• Be an active listener. Ensure you have correctly heard them by repeating or summarizing what they said.
• Record the interview in some fashion—either with detailed notes or (if appropriate) audio recording.
• Be aware of power relations. Interviews can be distorted by unrecognized power imbalances, such as the interviewer being the supervisor of the worker, or the worker who was injured being under the witness’s supervision. These dynamics can be a barrier to accurate reporting of the incident.
Another investigative technique is a re-enactment of the incident, which is a simulation designed to recreate the circumstances that led to the incident. A re-enactment might entail asking witnesses to act out the events that took place before the incident, or re-establishing a set of conditions relevant to what occurred. The value of the re-enactment is that it can identify how circumstances, events, or behaviours interacted to cause the incident. These interactions can be difficult to identify solely through witness testimony because of the limited perspective any one witness will have on an incident. Other investigative techniques might include inspecting machinery and tools, checking logs and records, collecting debris, materials and other relevant items, or conducting air sampling or noise testing. Investigators should also gather any relevant company policies, government regulations, or operator’s manuals and guides.
Once all the information has been gathered, the next step is to analyze the data to determine the causes. This is a crucial step, and is often where investigations go wrong. The immediate reasons for (or “proximate cause” of) the incident will be the first to appear. These causes will usually be worker error or some factor that may appear to be uncontrollable. Stopping the investigation at this point will lead to an incomplete analysis and the investigation will likely fail at one of its key goals—preventing future incidents. Additional analysis of the data will reveal underlying reasons for (the “root cause” of) the incident. A simple way to think about probing data for root causes is to keep asking “why?” Asking why something happened allows the investigators to get past their initial understanding of the incident. The question of finding root cause is important and will be discussed in greater detail below.
The process of incident investigation is often involved and highly technical. Much of current incident investigation procedures are designed for large industrial workplaces. It is highly unlikely a retail store, a small charity, or a fast food outlet will have the infrastructure, resources, or employer investment to create a trained investigation team equipped with a stocked kit. There are few resources available to small employers to develop the skills in accident investigation. The result is that accidents in small enterprises are less likely to lead to effective preventive measures (see Box 9.1).
Box 9.1 Negative learning in small enterprises
The lack of effective incident investigation resources in small enterprises has very real consequences for safety in those workplaces. Post-incident investigations are intended to spark changes in the workplace to prevent future events. In larger enterprises, studies have found that careful investigations lead to the prevention of future incidents. The opposite can occur in small enterprises, and incidents can lead to a perverse form of negative learning in small workplaces:
Circumstances unique to small . . . enterprises (such as the close social relationships) contribute to their owners predominantly attributing the causes of accidents to unforeseeable circumstances, and the owners reject that circumstances under their control have caused the accident. Subsequently, there is little organisational learning from the accident, and the injured workers often return to work under the same unsafe conditions as before the accident.3
In short, the occurrence of an accident, rather than shocking a small employer into improving safety, tends to push them into greater inaction. The mechanism behind this dynamic is lack of an objective investigation process. The small business owner is left to ascertain the cause of the incident without the benefit of a careful analysis of the evidence.
As a result of the lack of a credible investigation, owners are more likely to accept that the most obvious factors—normally worker error or an uncontrollable event—caused the incident. This then leads them to view the incident as an unpreventable “accident” and take no action to improve safety.
ROOT VS. PROXIMATE CAUSE
Chapter 1 introduced the concepts of proximate and root cause, which distinguish between the immediate factors leading to an incident and the factors under the surface that created the possibility of the incident. It is crucial in incident investigation to differentiate between root and proximate cause. It is the goal of investigations to establish root cause. Unfortunately, too often investigations only identify proximate causes. The core principle of root-cause analysis is that no incident is ever caused by a single action or factor but, instead, occurs as a result of a combination of factors, many of which may have appeared long before the incident itself. Also, as previous chapters have demonstrated, injury and ill health are caused by a broader spectrum of factors than is generally accepted, including the work relationship, gender, and race. The data analysis phase of incident investigation must include techniques that reveal all causal factors and their interconnection to the incident.
In an attempt to help investigators get to root cause, a variety of analysis models have been developed. A couple of models are commonly highlighted in OHS textbooks. The domino theory dates back to 1936 and remains popular due to its ease of illustration. It envisions cause as a series of five dominos lined up together.4 Each domino represents factors reaching back from an incident. The first (closest) domino is labelled Injury, followed by Incident, Unsafe Acts and Conditions, Personal Defects (e.g., equipment failure, personal factors), and finally Background (e.g., lack of management control). The theory contends that injury results from failure at all five levels. If any of the failures does not happen (i.e., one of the dominoes is removed from the chain), an injury will not occur. For example, if a worker is taught to work safely, an injury might be prevented even though failures in background decisions still occurred.
A more recent revision to domino theory is the Swiss cheese model.5 This model retains the five factors giving rise to injuries that are outlined in domino theory. Each of these dominoes is then given “holes” that represent various subfactors that influence whether an incident occurs or not, such as organizational influences, local working conditions, unsafe acts, and defences, barriers, and safeguards. In the Swiss cheese model, an incident requires that the holes in the dominoes line up—in other words, a failure must occur in each domino. This model emphasizes that injuries are the result of multiple failures. If one of the subfactors is functioning properly, then weakness in the other four may still not lead to an incident. For example, bad organizational culture (an organizational influence) around safety may not lead to injury if there are appropriate guards (a defence, barrier, or safeguard) to prevent injury.
The domino theory and Swiss cheese models are popular because of their simplicity in articulating a core principle that an investigator must look beyond immediate actions and explore underlying factors that contributed to the incident. That said, these models have two significant shortcomings. First, both models still centre on the unsafe worker. The worker’s unsafe action is contextualized by examining underlying factors, but incident and injury is always preceded by an unsafe action. The models presume the goal of prevention is to implement appropriate background conditions and safeguards to prevent unsafe actions from leading to injury. While they may help investigators look at underlying causes, they will still do so through a lens of worker behaviour.
Second, the trajectory of cause in these models is linear, assuming that one failure leads sequentially to another. In reality, incidents result from a much more complex, interconnected matrix of causes that act simultaneously and may interact with each other to lead to an event. For example, consider the case of a truck driver for a parcel delivery company rushing on a winter day to keep up with the schedule. While delivering a parcel, the driver slips on an icy sidewalk, injuring her back. A variety of factors might have contributed to the fall: inattention, pace of work, inadequate footwear, awkward parcel shape, insufficient response by manager to weather conditions, a culture of pushing the pace despite risks, lack of training around lifting and handling loads, working alone, fatigue, or being an inexperienced worker due to high turnover. Which of these factors occurred first? While the root cause may point to the company’s giving a low priority to safety, that attitude interacts with the other factors in a variety of ways that led to the injury. A simple, linear explanation might miss some of those interactions.
OHS experts have developed more sophisticated models of tracing causation, many of which attempt to incorporate the non-linear aspects of incidents.6 The downside of these newer models is that their complexity renders them usable by only the most highly trained OHS experts, making them impractical for average workplaces. Most workplaces must still attempt to work out cause on a case-by-case basis.
A broader concern about investigation models is that they tend to live up to the maxim that you tend to find what you’d looking for.7 More specifically, most models identify several categories of potential causal factors (e.g., human, technology, organization, and information) that an investigator should explore when investigating an incident. Not surprisingly, the causes the investigator eventually identifies tend to fall into those categories. This, in turn, shapes the incident prevention recommendations because, as the saying goes, you fix the problems that you find. This focus on categories of causes means investigators tend to become preoccupied with the events and factors leading up to the events (i.e., the parts) while ignoring the broader dynamics that gave rise to the incident (i.e., the whole).
Finally, we cannot lose sight of the fact that incident investigation, like all areas of OHS, is shaped by the competing interests in the workplace. In practice, there is an ongoing tension in investigations between finding readily identifiable issues that can be fixed and identifying structural factors that contribute to incidents. It is in employers’ financial interests to keep the causal chain short and the investigation tightly focused on specific issues. Examining how employer decisions about the design and management of work contribute to incidents threatens management control of the work process and entails more costly changes. More concretely, it is easier for employers to resolve an issue by placing a new guard on a saw blade than it is to recognize that the profit or cost containment imperative drives employers to organize work in ways that compromise workers’ safety—such as processing pine beetle–killed wood, which creates excessive (and explosive) dust in the workplace (as occurred at Lakeland).
INCIDENT REPORTS
The final step in the investigation process is to write up a formal report outlining the findings and making recommendations. In some respects this can be considered the most crucial phase, as a careful investigation is without value if the recommendations fail to improve the situation. The incident report will be the permanent record of the incident and its causes and thus should clearly outline what happened and why it happened. It may even have future legal ramifications, as its recommendations may be used by government inspectors to determine if an employer met the standard of due diligence in controlling hazards after the incident.
Incident reports can take different forms depending on context, organization, and situation. All incident reports should include the following elements:
• Who performed the investigation
• Details of the incident, including date, time, persons involved, outcomes
• Details of the investigation and how it was conducted, timelines, etc.
• An outline of the factors that led up to the incident
• Clear identification of the root causes of the incident
• Specific recommendations designed to prevent future incidents
In designing a report template, a report that requires investigators to answer open-ended questions is preferable to a report that provides a checklist of options. It is also advisable to avoid distinctions such as “primary cause” and “contributing factors,” as that creates an assumption that some causes are more important than others.8
Recommendations can be tricky. To elicit action, recommendations need to be specific and directed to the identified causes. Nevertheless, if they are too specific, they risk not addressing systemic issues adequately. The recommended action also needs to be within the control of the employer. This can be difficult when environmental conditions played an important role in the incident. For example, bad weather may have been a factor in an incident. While the employer cannot control weather, the employer can implement controls that neutralize the effect of weather on workers. There is also the issue of how to report on the role of human error in the incident (see Box 9.2).
Box 9.2 Reporting on human error
The goal of an incident investigation is to prevent future incidents rather than attribute blame. But what happens when human error, either on the part of a worker or management, is identified as a key factor in the incident? If human error is relevant it needs to be included in the report. To leave it out would be to distort what happened and undermine the effectiveness of the report. The key is how to report the role of human error.
First, the report should never recommend discipline or reprimand. That is not the purpose of the investigation. Once the investigation is complete, an employer can separately consider whether discipline is warranted. Second, the report should outline as objectively and neutrally as possible the course of events in order to prevent implied blame. The report should indicate the context for the failure. It can do this by reporting on why the error was made (e.g., lack of training, time pressures, unclear procedures) or by referring to broader dynamics in the workplace (e.g., lack of priority given to safety).
The recommendations should not single out a person or persons for corrective action. For example, saying “Joe needs more training” will be less effective at making the workplace safer than recommending “refresher training on deep fryer safety procedures should be provided to all kitchen staff.” The latter phrasing recognizes that a single error is indicative of broader systemic issues and thus addresses those systemic issues more directly.
All incidents will have a human component to some degree. The challenge is to ensure the report does not lose sight of broader and, likely, more important factors in what caused the incident.
The investigator(s) should ensure all affected parties receive a copy, including involved workers, the joint OHS committee (if applicable), and responsible managers. It is the responsibility of the employer to implement recommendations. Often employers will delay implementation, seek out other solutions, or respond that the recommendation is too expensive or not practicable. Lack of follow-through on recommendations is a reality of OHS in practice (a topic discussed more fully in Chapter 11), and it can undermine both workplace safety and how carefully investigators examine future incidents.
SUMMARY
In the aftermath of the Babine mill explosion investigation, the BC government reviewed WorkSafeBC’s procedures and has promised to implement reforms to ensure more careful investigations. In 2016, workers at the Babine mill and Lakeland mill (the mill explosion discussed in Chapter 1) launched an unprecedented class action lawsuit against WorkSafeBC for negligence in its investigations of the incidents and for failing its duty of care to workers.9 Incident investigations at an average workplace will not have the high stakes of WorkSafeBC’s investigation of the Babine mill explosion. All investigations, however, have the task of preventing injury and ill health, meaning they should be conducted with care and precision.
This chapter examined the key steps involved in an incident investigation and preparation of the incident report. The issue of root cause is more complex than first imagined, as it is easy to fall into the trap of predefining what causes the investigation is looking for. It is important to adopt a systemic perspective when analyzing the information gathered, in order to ensure no relevant cause is overlooked. Finally, due to conflicting pressures there will always be a challenge in ensuring report recommendations are fully implemented by the employer.
DISCUSSION QUESTIONS
• What things should go into an investigation kit and how does its assembly assist the investigation?
• Why is it important to collect all the information before beginning the analysis step?
• Why should investigations focus on root cause and what are some of the ways that investigators can lose sight of it?
• How might accurately reporting the cause of an incident result in blaming workers for their own injury?
Exercise \(1\)
Read the following scenario describing a workplace incident:
Amy worked for Chris’s Catering, a small catering company that specializes in special events.10 On June 12, Amy was dispatched to work a small outdoor wedding taking place in a park overlooking the river. The size of the job called for two chefs in the kitchen (the husband and wife co-owners), one wait staff responsible for clearing plates after guests were finished, and two porters who would set up the serving tables and carry chafing dishes (hot metal pans for buffet-style serving) and other serving trays from the kitchen to the serving tables. Amy was assigned as a porter and was required to wear a short-sleeved black uniform with the company’s logo.
The wedding was located outside a community hall. The kitchen was inside the hall. The buffet table was at the opposite end of the small park, about 100 metres away. It was a hot and sunny afternoon. The other designated porter, Andy, called in sick at the last minute, leaving Amy to do the job alone with occasional help from the wait staff. As the time of the reception neared, the chefs were running behind schedule. Amy began shuttling chafing dishes to the buffet table. The dishes weighed approximately 12 kg each when filled with food. Amy used dishcloths to protect her hands from the heat of the dishes. She delivered eight dishes to the table.
As Amy was about to place the ninth and final tray, containing a hot minestrone soup, she took a sudden step backward, bumping into a guest behind her. The collision caused Amy to lose control of the dish, which spilled over her and the guest. It also caused Amy to fall into the buffet table. Amy suffered a severely sprained ankle, burns on her arms, and some bruising to her face and arms. The guest also experienced some minor burns.
Exercise \(2\)
Write 200-word answers to each of the follow questions:
1. How would you conduct the investigation? What tools and techniques you would use and who you would interview?
2. How you would analyze and report the information you gathered?
3. Identify the potential causes of the incident, distinguishing between proximate and root causes.
NOTES
1 Quoted in Adams, C., & Rowney, M. (2014). What was behind the deadly B.C. sawmills explosions? Global News. http://globalnews.ca/news/1604346/16x9-investigation-what-was-behind-the-deadly-b-c-sawmills-explosions/
2 Dyble, J. (2014). Babine Explosion Investigation: Fact Pattern and Recommendations. Victoria: Government of British Columbia.
3 Hasle, P., Kines, P., & Andersen, L. (2009). Small enterprise owners’ accident causation attribution and prevention. Safety Science, 47(1), 9–19, p. 17.
4 Heinrich, H. (1936). Industrial accident prevention. New York: McGraw-Hill.
5 Reason, J. (1990). Human error. Cambridge: Cambridge University Press.
6 Sklet, S. (2004). Comparison of some selected methods for accident investigation. Journal of Hazardous Materials, 111, 29–37.
7 Lundberg, J., Rollenhagen, C., & Hollnagel, E. (2009). What-You-Look-For-Is-What-You-Find—The consequences of underlying accident models in eight accident investigation manuals. Safety Science, 47, 1297–1311.
8 Canadian Centre for Occupational Health and Safety. (2006). OHS Answers Fact Sheet: Accident Investigation. http://www.ccohs.ca/oshanswers/hsprograms/investig.html. Accessed September 30, 2015.
9 CBC News. (2016, January 12). B.C. sawmill explosion victims suing WorkSafeBC. http://www.cbc.ca/news/canada/british-columbia/b-c-sawmill-explosion-victims-suing-worksafebc-1.3400506
10 This story is fictionalized. Any resemblance to actual people or companies is purely coincidental. | textbooks/workforce/Construction/Health_and_Safety_in_Canadian_Workplaces_(Foster_and_Barnetson)/1.09%3A_Incident_Investigation.txt |
Learning Objectives
After reading this chapter, you will be able to:
• Distinguish between disability and impairment.
• Explain the legal and financial context of disability management.
• Identify and explain the major components of disability management programs.
• Identify the key stakeholders in disability management and explain how interests converge and conflict.
• Evaluate and critique the view of return to work as rehabilitative.
“Our research shows that if you don’t get a worker back within 90 days of their injury, the chances that they ever go back to work drop by 50 per cent,” said David Marshall, president and CEO of Ontario’s Workplace Safety and Insurance Board, in 2015.1 Marshall’s views are shared by many employers and OHS practitioners who see a return-to-work (RTW) program as a way to reintegrate injured workers into the workplace via practices such as modified work. As an added bonus, RTW programs save employers money on their workers’ compensation premiums.
Organized labour and injured worker advocates have a different view of RTW, with Ontario Federation of Labour president Sid Ryan calling Marshall “the equivalent of the modern day bounty hunter. His job is to disqualify injured workers from receiving their rightful benefits . . . [His] \$400,000 [salary] is his bounty for his work over the last year.” Catherine Fenech, of the Ontario Network of Injured Workers Groups, notes “an increase in workers being told the board thinks they can go back to work no matter how badly injured they are.”2
Return to work programs are part of the broader field of disability management. Disability management is a set of employer practices designed to prevent or reduce workplace disability and assist workers in recovering normal functioning as quickly as and to the maximum degree possible. In sections that follow, we’ll examine each of the three interrelated aspects of disability management:
• Prevention: Employers may seek to prevent injuries and illnesses that give rise to disabilities through injury prevention efforts as well as employee assistance and wellness programs.
• Accommodation: Workers who have disabilities may require accommodation. This may include assistive technologies and modifications to work, work processes, and the workplace.
• Recovery: Some disabilities are temporary in nature. Sick leave, modified work, disability benefits (including workers’ compensation), and return to work programs can assist workers during the period of time required for them to recover.3
Before discussing disability management, it is useful to consider what the term disability means. Box 10.1 considers how disability is often discussed as a characteristic of a worker (i.e., the worker is disabled). While a worker may indeed have an impairment, it is important to remember that it is the workplace context that turns the impairment into a disability.
Box 10.1 Conflating inpairment and disability
It is useful to be mindful of how we use the term disability. At a very basic level, disability means the condition of being unable to perform a function or task as a consequence of a physical or mental impairment. That definition seems pretty straightforward. But, as we saw in Chapter 1, definitions are social constructions. In this case, being unable to perform a function is only meaningful if performing the function is an expectation of a situation. What this means is that the existence of impairment (i.e., a cognitive or physical difference) does not cause a disability. Rather, it is the nature of the tasks in the workplace that turn impairment into a disability.
For example, pretend that your sense of smell is very limited. Is that olfactory impairment a disability? If you were a gas fitter, it might well be considered a disability because being able to smell a gas leak is an expectation of the job (even though there are other ways to detect natural gas). In most other circumstances, few people would consider an impaired sense of smell a disability. Thus the work context turns the impairment into a disability. Impairments are, on their own, not necessarily troublesome, tragic, or disabling. Further, altering the context (e.g., modifying work) can eliminate the disability even though the impairment remains.
One of the ways disability and impairment are socially constructed is that we often associate them with traits that have some form of observable manifestation. It is important to remember that impairment and disability are not always visible or obvious. Much impairment is difficult to casually observe (e.g., diabetes or epilepsy). Cognitive and mental conditions can be particularly difficult to identify. Others can be cloaked through treatment (e.g., prostheses, medication). Society may overlook impairments that are less observable, and thus may be less likely to implement appropriate accommodations to address them.
It is also important to be mindful of the tendency to conflate illness and disability. Illness often entails discomfort, and we seek medical intervention to either resolve the underlying cause or treat the symptoms. Sometimes, illness can cause an impairment that, in specific workplace circumstances, creates a disability. Yet, in most cases, disability and impairment require neither medical supervision nor intervention. In this way, impairment and disability are not questions of health or ill health.4
Disability management is often said to minimize the cost of disability to employers.5 These practices also ensure that employers meet their duty to accommodate. As mentioned in Chapter 2, human rights legislation requires employers to avoid discriminatory workplace practices. This chapter focuses specifically on employers’ obligation to accommodate workers with temporary or permanent physical or mental injuries, regardless of whether the impairment was caused by a workplace injury.
Employers’ duty to accommodate requires employers to alter work, work practices, or the workplace in order to allow workers with disabilities to perform meaningful work. The duty to accommodate requires employers to make any necessary efforts to accommodate the worker’s disability-related needs up to the point of undue hardship. The threshold of undue hardship varies from workplace to workplace. To claim undue hardship, typically, an employer is required to demonstrate that an accommodation is economically unsustainable, interferes with a legitimate operational requirement, or poses a health-and-safety threat.6 In these circumstances, an employer is still required to provide whatever accommodation is possible short of undue hardship.
DISABILITY PREVENTION
While all employers have legislative obligations to prevent injury (as outlined in Chapter 2), some employees also provide an employee assistance program (EAP) as part of their disability management program. These programs normally provide access to short-term psychological counselling to help employees to cope with personal problems. The underlying logic of EAPs is that personal issues can affect work performance and, if untreated, can sometimes become more profound.
EAPs are often one aspect of workplace wellness programs. Such programs are health promotion activities designed to help workers to improve their health and well-being. These programs often focus on specific issues (e.g., smoking cessation, weight loss, stress management). Again, the underlying logic of these programs is that healthier workers will be more productive workers. It is worth noting that many of these programs help workers to adapt to workplace hazards rather than seeking to remove the hazard by modifying the work. Stress management, for example, rarely seeks to eliminate the workplace causes of stress. Instead, it seeks to help the worker cope with that stress to maintain the worker’s productivity.
Some wellness initiatives that do actually modify the workplace are things like flexible work arrangements, such as compressed workweeks. In a compressed workweek, a worker puts in slightly longer hours but fewer days per week. Some workplaces will also allow job sharing, wherein two workers share a single position with each worker working some portion of the full-time job. Another option is telecommuting, wherein workers perform work away from the office (e.g., at home). This option can allow workers to better balance otherwise conflicting work and home responsibilities.
A different strategy for reducing the possibility of injury through interventions in workers’ personal lives is the use of alcohol and drug testing in the workplace. Some employers feel this private behaviour outside of work can affect safety at work, and therefore take steps to identify workers whose alcohol or drug use may affect their work. Box 10.2 explores this question.
Box 10.2 Alcohol and drug testing for injury prevention?
Some employers also engage in alcohol or drug testing as part of their injury prevention activities. Workplace alcohol and drug testing are emotionally and politically charged topics. Many workers see the fact and process of testing as an invasion of their privacy. Most employers (and many employees) suggest that testing makes workplaces safer. The topic of alcohol and drug testing is legally and practically complex, and discussion is often overshadowed by moral judgments about the acceptability of using alcohol and drugs.
There is some (but weak) evidence that workers who work while under the influence of alcohol are at greater risk of being involved in an incident or being injured.7 The evidence that alcohol testing (e.g., measuring the amount of alcohol in a worker’s breath or blood) reduces the incidence of errors is strongest in the transportation and construction industries. This likely reflects the nature of the hazards in those industries.
To the surprise of many, there is little evidence that drug use is associated with a heightened risk of workplace injury. This may explain the more ambiguous outcomes of research into the effect of drug testing on workplace injuries. While there is some evidence that pre-employment drug testing is associated with a lower incidence of injury, there is little credible evidence that randomly testing workers affects injury rates.
Human rights legislation limits the use of alcohol and drug testing in the workplace, although there are significant differences between jurisdictions. The Ontario Human Rights Commission, for example, notes that testing is considered to be prima facie (i.e., accepted as correct until proved otherwise) discriminatory. That said, employers can justify discriminatory rules in the workplace if they can demonstrate the testing is a bona fide occupational requirement.
Similarly, there are restrictions on what an employer can do if a worker tests positive for drugs or alcohol. It is important to remember that alcohol and drug addiction are considered disabilities under Canadian law. Zero tolerance policies (where the worker is fired for a first offence) can run afoul of rules regarding duty to accommodate.
A bona fide occupational requirement (BFOR) is a rule necessary for the proper performance of a job, and such a rule can prevail even if it causes otherwise prohibited discrimination. For example, it is unlawful for an employer to refuse to hire a worker because the worker is blind. Yet, if an employer were hiring a pizza delivery driver, requiring the worker to hold a valid driver’s licence (which a blind worker cannot acquire) would be a bona fide occupational requirement. This requirement is permissible because holding a driver’s licence is rationally connected to the job and reasonably necessary for the accomplishment of a legitimate work-related purpose.
Ontario suggests a three-part test to determine if drug and alcohol testing is a BFOR:
• the standard or test has been adopted for a purpose that is rationally connected to the performance of the job
• the particular standard or test has been adopted in an honest and good faith belief that it was necessary to the fulfillment of that legitimate work-related purpose
• the standard or test is reasonably necessary to accomplish that legitimate work-related purpose (i.e., it is impossible to accommodate individual employees sharing the characteristics of the claimant without imposing undue hardship upon the employer)8
This approach places significant restrictions on employer drug testing. For example, drug testing typically shows the presence of drug-related residue in a worker’s system, rather than measuring the actual degree of worker impairment. Since a test that does not measure impairment cannot be rationally connected to job performance, such testing is not a BFOR. Alcohol testing after an incident, when an employer has cause to suspect impairment, or at random for workers in safety-sensitive positions, may be permissible because alcohol testing does measure impairment. It is important to be mindful that different rules may apply in different circumstances and jurisdictions.
DISABILITY ACCOMMODATION
There are many causes of disabilities, including workplace injuries. As noted above, all Canadian jurisdictions require employers to accommodate workers with disabilities to the point of undue hardship. Yet not every obligation to accommodate a worker arises from a disability. In some cases, it is necessary to pre-emptively accommodate workers whose employment poses a threat to their health. For example, Quebec’s Act Respecting Occupational Health and Safety and Act Respecting Industrial Accidents and Occupational Diseases allow pregnant employees to refuse work that poses a risk to an unborn child. If such an employee cannot be reassigned to other, safe work, the employee can receive income replacement benefits equal to 90% of her salary. Despite the seeming progressive nature of this unusual law, Box 10.3 examines a case where an employer disputed the worker’s right to refuse unsafe work due to pregnancy.
Box 10.3 Preventive accommodations
Marilyne Dionne was a pregnant substitute teacher employed on contract. Her doctor advised her that she was susceptible to contagious viruses spread by children and this susceptibility might endanger her fetus. Her employer refused to provide her with alternative employment that eliminated the hazard to her fetus.
Dionne appealed this refusal to accommodate, and Quebec’s Commission de la santé et de la sécurité du travail (i.e., Quebec’s WCB) allowed Dionne to withdraw from the unsafe work and access the compensation she was entitled to under the Quebec legislation. Her employer, the Commission scolaire des Patriotes, argued that the withdrawal repudiated the contract and, further, that as a substitute teacher Dionne had no employment contract between periods of substitute teaching and so was ineligible to withdraw from unsafe work.
The Commission des lesions professionnelles (CLP) agreed with the employer, arguing that Dionne’s pregnancy precluded her from performing her job and thus there was no contract of employment. Consequently, she was not a worker under the Act and thus not eligible to receive the income replacement. The decision was upheld by the Quebec Superior Court and Quebec Court of Appeal. The matter was appealed to the Supreme Court of Canada (SCC).
The SCC found Dionne to be a worker and entitled to refuse unsafe work.
[44] . . . Pre-emptively excluding a portion of the workforce from the protective scope of the Act, as the CLP did by excluding pregnant contract workers, ignores the broad legislative purpose. It puts these women in the untenable position of having to choose between entering into an employment contract in order to work and protecting their health and safety.9
Further, the SCC found it would be illogical to conclude that the legislated right of a pregnant worker to refuse unsafe work precluded her ability to form an employment contract.
[40] . . . In exercising her right to Preventive Withdrawal, she is not indicating that she is refusing to work, she is deemed to be asking instead that she be reassigned to safe tasks. What prevents the performance of work is the employer’s inability to provide a safe working alternative.
While Quebec’s legislative scheme is unique in that it mandates access to compensation when an employer will not provide safe work, human rights legislation in other jurisdictions may place similar obligations on employers to accommodate pregnant workers
Both workers and employers have roles to play in ensuring that a disability is accommodated. The Alberta Human Rights Commission summarizes these rights and obligations as follows:
• Workers must inform their employer of the need for an accommodation. This includes explaining why the accommodation is needed and providing evidence (e.g., a note from a doctor) to substantiate the claim. This medical evidence must explain the worker’s functional limitations (e.g., cannot stand more than 60 minutes) and provide some indication of the duration of the accommodation that will be required.
• Employers must consider the request and evidence provided, keeping in mind any obligations they have under privacy legislation. If an accommodation is warranted, the employer must offer a reasonable accommodation to the worker. If the accommodation is deemed unwarranted or not possible because it would cause undue hardship, this must be communicated to the worker. The employer must also be prepared to revisit the accommodation should circumstances change.10
Employers do not have to implement the accommodation suggested by a worker. Rather, they are obligated to reasonably accommodate the worker. Once an accommodation is established, the worker is obligated to inform the employer if the need for or nature of the required accommodation changes and provide documentation to support such accommodation.
There are a number of ways that employers commonly accommodate disabilities. The duties of worker may be modified so that the worker is able to perform them despite the disability. For example, a warehouse worker with a torn rotator cuff in her shoulder may still perform those parts of her normal duties that do not require lifting, pushing, pulling, or overhead work. A restaurant worker who develops contact dermatitis on his hands from washing dishes may be assigned to an entirely different job, such as seating diners and clearing tables. Such modified work may be permanent or temporary, depending upon changes in the worker’s abilities. Accommodating permanent disabilities may also entail retraining workers to perform jobs they are presently unqualified to perform. For example, a carpet installer who has developed an allergy to glues may be retrained as an estimator.
Employers may also make workplace modifications in order to accommodate disabilities. A common and obvious change is adjusting buildings, equipment (e.g., work stations), and tools to accommodate workers with mobility impairments. Less obvious changes to the workplace including providing nitrile gloves to staff members who are allergic to latex products or adopting scent-free workplace policies to accommodate workers with chemical sensitivities.
DISABILITY RECOVERY AND RETURN TO WORK
The final component of disability management consists of programs designed to assist workers in recovering from temporary impairment (such as injuries and illnesses) that cause disabilities. The most common disability recovery program is sick leave, which is paid leave designed to help workers recover from short-term illness or injury. Sick leave is so widely available because it is sometimes specifically required by employment standards legislation and generally seen as a reasonable accommodation required by human rights legislation.
As noted in Chapter 2, most employers are required to enroll their workers in their provincial or territorial workers’ compensation system, which provides wage-loss and other benefits in the event of a work-related injury of illness. Some employers also provide workers with disability insurance purchased from a private insurer. Disability insurance benefits provide wage-loss replacement for workers who require a longer period of time away from work for reasons other than a work-related injury. The specifics of disability insurance vary among workplaces and frequently reimburse only a portion of the wages lost.
Modified work (as discussed above) may also be used to help workers to recover from a temporary impairment that causes disability. Work hardening entails providing a worker with the opportunity to gradually return to work (via increasing hours and work demands) in order to build stamina. Employers may also provide coaching or other forms of support to workers who are returning to work. As noted below, the beliefs underlying these return-to-work strategies and their manner of implementation are the subject of some controversy. Box 10.4 discusses the National Institute of Disability Management and Research, which provides research-based evidence for practitioners.
Box 10.4 Credentials in disabilioty management and OHS
The National Institute of Disability Management and Research (NIDMAR) provides education, training, and research focused on the implementation of workplace-based reintegration programs based on research evidence.11 Recently, NIDMAR has partnered with British Columbia’s Pacific Coast University for Workplace Health Sciences to offer programs focusing on disability management and return to work.12 This partnership builds upon NIDMAR’s existing (and very good) professional certifications in disability management and return to work.
Many professions—including doctors, lawyers and architects—are subject to regulation by their respective provincial and territorial governments. Such regulations are generally managed through government-appointed professional regulatory organizations (PROs), such as a provincial law society or college of physicians and surgeons. PROs generally determine the qualifications required for practice, certify practitioners, and investigate misconduct. While performing a valuable regulatory function, PROs can also limit access to a profession. For example, foreign-trained doctors often complain that accreditation requirements prevent them from practising.
Over time, many otherwise unregulated occupations have developed voluntary associations that often provide professional development opportunities for their members. Some associations have also developed voluntary credentials and certifications. The Certified Human Resource Professional (CHRP) and the Canadian Registered Safety Professional (CRSP) accreditations are two examples. Accreditation is typically awarded based upon a combination of work experience, formal education, completing a certification exam, and paying an annual membership fee. Accreditation may also require ongoing professional development. While these accreditations are not required to gain employment, many employers use these credentials as a screening tool.
Accreditation in unregulated professions likely enhances the knowledge of practitioners. Yet it is useful to consider what other functions accreditation serves. Accreditation gives a small group of actors the power to determine what knowledge, skills, and behaviour are considered necessary and appropriate. Those workers who possess accreditation often have increased legitimacy and standing, even if the knowledge they have been accredited as possessing is contested terrain. As we’ll see in Chapter 11, the professionalization of safety also has subtle and sometimes negative implications for the effectiveness of the IRS. Finally, meeting the requirements of accreditation can pose an occupational barrier to traditionally disadvantaged workers.
As noted above, return-to-work (RTW) programs are designed to reintegrate injured workers into the workplace via practices such as modified work. This approach stands in contrast to the historical practice of having workers stay off work (most often collecting workers’ compensation wage-loss benefits) until they are fully recovered. By providing injured workers with modified work, employers are able to reduce the cost of injury borne by workers’ compensation claims. As we saw in Chapter 2, in jurisdictions that operate experience-rating programs, reducing workers’ compensation claim costs can result in a reduction in an employer’s workers compensation premiums. In short, RTW programs can save employers money.
The opening vignette of this chapter framed RTW programs as a way to ensure that injured workers return to work. As David Marshall said, “Our research shows that if you don’t get a worker back within 90 days of their injury, the chances that they ever go back to work drop by 50 per cent.”13 The view that bringing workers back to work as soon as possible somehow increases the likelihood that they will return to work is widely held. It is also used to publicly justify RTW programs and policies, particularly by workers’ compensation boards. Yet not everyone accepts that these RTW programs increase the likelihood of workers returning to work.
When considering the relationship between injury duration and the likelihood of workers returning to work, it is important to be mindful that correlation (i.e., two things occurring together) does not necessarily imply causation (i.e., one thing resulting in another). For example, the correlation between injury duration and the rate of eventual return to work rates may be explained by the severity of the injury. Specifically, more seriously injured workers are likely to both require a longer period of recovery and have a lower chance of ever returning to work.14 This is a very plausible explanation for why workers who are off work longer may also be less likely to return to work. This alternative explanation undermines the widely accepted rationale for RTW programs.
There is evidence in the psychological literature that absence from work is associated with poorer mental health. This correlation is often mistaken for a causal relationship (i.e., unemployment causes poorer mental health). Given the economic incentives for employers to minimize the duration of work absence, it is understandable that employers might extend the causal argument. That is to say, employers may believe that, if unemployment harms mental health, then employment must improve it.15 There is, however, no meaningful evidence that supports this view.
There is some evidence that workers with back pain recover more quickly when they remain active. On the surface, this correlation might seem to suggest that RTW can, in fact, be rehabilitative. It is not clear, however, to what degree work is analogous to the more generalized term activity. Work differs from other activities (e.g., going for a walk) because it occurs in the context of a power relationship designed to maximize productivity. Consequently, some employers will promise, but not truly provide, suitable modified work. When this occurs, workers face pressure to work in a manner that can be contrary to their medical restrictions, thereby creating the risk of re-injury.16 More troubling is that there is no evidence to support the notion that activity aids recovery from injuries other than lower back injuries. That is to say, proponents of RTW are not only misstating the benefits of RTW but are also overstating the medical benefits of activity in general.
Workers who resist employer pressure to do things contrary to their rehabilitative best interests risk being labelled uncooperative and having their workers’ compensation benefits reduced or terminated. This reflects the fact that pain is difficult to quantify and, therefore, difficult to factor into adjudicative decisions. This lack of quantification raises the spectre of moral hazard (i.e., there are incentives for workers to exaggerate the extent, nature, or duration of their injuries for financial gain). The fear that workers will malinger harkens back to the negative views about workers discussed in Chapter 1. Indeed, RTW is often offered as a remedy for moral hazard because it returns workers to work and thereby deprives them of the purported benefits of exaggerating their injury.
This analysis suggests that employers have socially constructed return-to-work as a broadly beneficial component of disability recovery programs. In fact, RTW primarily benefits employers and has mixed outcomes for injured workers. For example, the possibility that RTW programs will harm workers is usually ignored. Unmasking this social construction allows us to see that there is more to disability management than simply a series of interconnected disability prevention, accommodation, and recovery programs. Stakeholders—primarily employers and workers, but also governments, unions, and medical practitioners—seek to advance their own interests. To the degree that these interests clash, disability management can be marked by conflict. The asymmetry of power evident in the employment relationship, combined with the situational vulnerability of injured workers, means that practitioners should be aware of the potential for injured workers to acquiesce to demands that may not be in their best interests.
SUMMARY
The field of disability management encompasses disability prevention, accommodation, and recovery. A complete disability management program serves to meet employers’ statutory obligations to prevent and accommodate disabilities created by occupational health and safety, human rights, and workers’ compensation legislation. Such programs can also minimize the cost of injuries and disabilities borne by employers, primarily by returning workers to productive work as quickly as possible.
Like most aspects of workplace injury, disability management entails both converging and conflicting interests. Workers can indeed benefit from disability prevention accommodation and recovery programs. Nevertheless, the greater power of the employer, coupled with the financial incentives employers have for returning workers to work as quickly as possible, creates the possibility for abuse. Phony return-to-work programs may jeopardize workers’ recovery. And, as we saw in Chapter 2, they may also be degrading to workers. Further, employers’ incentives to operate such programs can be intensified by workers’ compensation experience-rating programs.
DISCUSSION QUESTIONS
• What causes an impairment to become a disability? What does this tell us about the role of the workplace in disability management?
• How can employers meet their duty to accommodate? What limits exist to employer’s duty to accommodate?
• What are the major components of a disability management program? How does each component act to reduce the impact of disability in the workplace?
• How do the interests of employers and workers converge around disability management? How might their interests conflict?
• Do you accept the argument that return-to-work programs are rehabilitative? Why or why not?
EXERCISES
Go online and identify the legislative requirements in your jurisdiction that require employers to accommodate workers with disabilities. In a short essay of 200 words, explain how a worker would go about enforcing those rights in your jurisdiction.
Pretend that you are an HR practitioner tasked with developing an accommodation for a warehouse worker based on the following scenario:
• The worker’s job has three components: (1) lifting materials on and off a skid, (2) moving materials around the warehouse using the skid, and (3) recording such movements and performing periodic inventory.
• The worker is unable to lift materials because of a disability but can perform the other tasks. It is unknown how long the worker will be unable to perform the lifting component.
• There are five other workers in the warehouse performing the same job. Each warehouse worker performs all three tasks and each is busy all of the time. There is also a supervisor who monitors performance and resolves problems.
• The injured worker is personally unpopular and there is skepticism among the other workers about whether his disability is real.
1. In a short essay of 500 words, propose a way to accommodate the worker’s disability, identify at least two potential barriers to a successful accommodation, and develop strategies to resolve each barrier.
NOTES
1 Brennan, R. (2015, January 31). Meet the man injured Ontario workers ‘love to hate.’ Toronto Star. http://www.thestar.com/news/canada/2015/01/31/meet-the-man-injured-ontario-workers-love-to-hate.html
2 Ibid.
3 Government of Canada. (2011). Fundamentals of disability management. Ottawa: Author. http://www.tbs-sct.gc.ca/psm-fpfm/ve/dee/dmi-igi/fun-fon/intro-eng.asp
4 Stone, S. (2008). Resisting an illness label: Disability, impairment and illness. In P. Moss & K. Teghtsoonian (Eds.), Contesting illness: Processes and practice (pp. 201–217). Toronto: University of Toronto Press.
5 Tompa, E., de Oliveira, C., Dolinschi, R., & Irvin, E. (2008). A systematic review of disability management interventions with economic evaluations. Journal of Occupational Rehabilitation, 18(1), 16–26.
6 Manitoba Human Rights Commission. (2010). Reasonable accommodation. http://www.manitobahumanrights.ca/publications/guidelines/reasonable_accommodation.html
7 Beach, J., Ford, G., & Cherry, N. (2006). Final report: A literature review of the role of alcohol and drugs in contributing to work-related injury. Edmonton: University of Alberta, Department of Public Health Sciences.
8 Ontario Human Rights Commission. (2015). Drug and alcohol testing: Basic principles. Toronto: Author. http://www.ohrc.on.ca/en/policy-drug-and-alcohol-testing/drug-and-alcohol-testing-basic-principles
9 Dionne v. Commission scolaire des Patriotes, 2014 SCC 3. http://www.canlii.org/en/ca/scc/doc/2014/2014scc33/2014scc33.html
10 Alberta Human Rights Commission. (2013). Interpretative bulletin: Duty to accommodate. Edmonton: Author.
11 For more information about NIDMAR, see: https://www.nidmar.ca
12 For more information about Pacific Coast University, see: http://www.pcu-whs.ca
13 Brennan, R. (2015, January 31). Meet the man injured Ontario workers ‘love to hate.’
14 MacEachen, E., Ferrier, S., Kosny, A., & Chambers, L. (2007). A deliberation on ‘hurt versus harm’ in early-return-to-work policy. Policy and Practice in Health and Safety, 5(2), 41–62.
15 Ibid.
16 Ibid. | textbooks/workforce/Construction/Health_and_Safety_in_Canadian_Workplaces_(Foster_and_Barnetson)/1.10%3A_Disability_Management_and_Return_to_Work.txt |
Learning Objectives
After reading this chapter, you will be able to:
• Identify how power in the employment relationship shapes how health and safety is practised in workplaces.
• Discuss the practical shortcomings of the Internal Responsibility System.
• Explain why workers’ rights to know, participate, and refuse are considered weak rights.
• Describe the effects of self-enforcement and weak regulatory enforcement on safety in workplaces.
• Outline practical steps that can be taken to improve safety in workplaces.
Andrea MacPhee-Lay was a massage therapist at the Fairmont Chateau Lake Louise hotel near Banff, Alberta. The hotel spa provided a range of massage treatments, including a hot-rock treatment where basalt rocks are heated in water to 49 degrees Celsius and strategically placed on the client’s back. Ideally, the rocks should be heated in a purpose-built, stone kettle. Fairmont had developed a practice of using two stainless steel roasters filled with hot water.1 At a staff meeting on September 12, 2012, the Spa Director announced plans to replace the roasters with a household-grade electric Black and Decker grill.
MacPhee-Lay expressed concern about the proposed change, citing a variety of safety concerns, including the risk of the rocks exploding on the dry heat grill and the fact that dry stone heating was not an approved use of the household grill. After the meeting, MacPhee-Lay conducted internet research into using grills for heating basalt rocks. She later presented her findings to the Spa Director, the Lead Therapist, and a worker representative on the JHSC. Over the next few weeks, she repeatedly raised her concerns about the safety of this practice and also sought advice from Alberta Occupational Health and Safety officials.
On September 28, MacPhee-Lay was suspended and on October 1 terminated. No reasons for the termination were provided, although the employer asserted that there were performance issues that warranted termination. MacPhee-Lay filed an OHS complaint over her dismissal, claiming she was disciplined for acting in compliance with the OHS Act, which requires her to report workplace hazards that pose an imminent danger. The investigating officer dismissed her complaint, finding insufficient evidence to link the dismissal to the dispute over the grill. MacPhee-Lay appealed the officer’s decision to the Alberta Occupational Health and Safety Council, who upheld the decision.
The decision to uphold the officer’s ruling was based mostly on technical grounds. Alberta’s OHS Act requires a worker to report and refuse unsafe work if the work poses an imminent danger. The Act also protects workers who exercise this right from retaliation. The panel reasoned that the grill, which was not yet in use, did not pose an imminent danger at the time of the refusal. For this reason, MacPhee-Lay’s actions were not strictly “in compliance” with the Act and she could not claim protection under the Act. Interestingly, Fairmont eventually decided not to use the grill for hot-rock treatment.
While the facts are complex, this case illustrates how health and safety issues develop differently in practice than they do in textbook examples. In theory, MacPhee-Lay acted appropriately. She expressed concerns about a hazard and conducted research to support them. Yet her employer seems to have fired her for trying to ensure her workplace was safe. In considering this case, we need to recognize that the circumstances of her complaint cannot be disentangled from the dynamics of her employment relationship, which had begun to deteriorate prior to the complaint. We should also be cognizant that she was challenging her employer’s ability to implement a new work process, behaviour that employers often suppress by disciplining one worker as an example to the rest.
The case also points out weaknesses in OHS laws and government enforcement activity. MacPhee-Lay’s case was not decided on the merits of her safety concern. Neither the OHS officer nor the panel disputed her claims about the grill’s safety hazards. Instead, her complaint was dismissed based upon a narrow reading of the Act that produced a procedural loophole the appeal panel used to excuse the employer’s conduct. Research suggests that arbitration and labour boards often defer to employers in matters of disciplining workers who refuse unsafe work.2
This chapter examines OHS in practice to reveal the ways in which working toward safety in real workplaces is more complex than we might anticipate. It extends our analysis of how power shapes workplace health and safety. It looks at how the internal responsibility system does not work exactly as intended. And it also considers the nature of government OHS enforcement in the 21st century and how it can impede workplace safety. The chapter concludes by offering some practical tips for workers, OHS activists, and safety practitioners about how to improve safety in Canadian workplaces.
REALITIES OF WORKPLACE SAFETY UNDER CAPITALISM
Throughout this book, we have considered how the power imbalance in Canadian workplaces—an imbalance that favours employers and allows them to advance their interests at the expense of workers’ interests—affects OHS policy and practice. We have already discussed many of the mechanisms that benefit employers, from the careless-worker myth to behaviour-based safety. This section extends this analysis to consider how contemporary OHS arrangements developed and how they have slowly eroded the role of workers in workplace safety.
Today, OHS is a highly technical and highly professionalized field. Safety professionals are often extensively trained, and research has improved the effectiveness of hazard recognition, assessment, and control tools. OHS is also a multi-million dollar industry. Employers hire consultants and safety specialists to provide a wide range of services, from training to technical monitoring and control to designing safety systems. Most industries have developed industry safety associations (more on this below), both to offer many of these services and to lobby governments on employers’ behalf.
Safety was not always a sophisticated industry. The modern OHS movement arose out of worker activism and (sometimes illegal) workplace action that forced employers and governments to address safety concerns. During the 1960s, a series of wildcat strikes in industrial plants across Canada raised the profile of OHS issues.3 In the 1970s and 1980s, worker safety activists formed a network that pushed for better hazard control, trained workers to protect their health, and forced legislative change that created the contemporary health and safety regime.4 Most often the activism was conducted in the face of opposition from both employers and government.5
Despite government reluctance to take action on OHS, early government regulators recognized and enacted legislation and enforcement practices designed to mitigate the power imbalance in the workplace. For example, OHS pioneer Robert Sass, who wrote Canada’s first OHS legislation (in Saskatchewan) and was the architect of the three worker rights (i.e., the rights to know, participate, and refuse), argued that employer and state resistance to improving workplace safety was driven by the profit imperative of capitalism.6 This view was consistent with historians’ understanding of government and employer safety efforts in the late 19th and early 20th century, which were designed to ensure that unsafe workplaces did not compromise employers’ ability to make a profit.7 It is useful to remind ourselves that the profit imperative is also present, somewhat indirectly, in public and non-profit sector workplaces as well.
Over the last 30 years, the link between OHS and the broader struggle between worker and employer interests in the workplace has been obscured by employer efforts to professionalize safety. Professionalized OHS entails segregating safety issues from the rest of work by transforming OHS into a “neutral” practice of objectively measuring and correcting hazards. Employers benefit from narrowing OHS to a merely technical undertaking because, for example, it allows them to address safety issues with inexpensive (and often inadequate) controls (such as issuing workers PPE) rather than altering the work process to eliminate or at least control workers’ exposure to the hazard. This narrow approach has also legitimized employer’s cost-benefit analysis in OHS, as discussed in Box 11.1. Overall, this professionalization has rendered invisible the conflicting safety interests of employers and workers.
In professionalized OHS, safety becomes another tool with which the employer can control how the worker will perform their work. Safety becomes a monologue by the employer, rather than the dialogue between workers and employers that was envisioned by Sass and others. The implications of this change are evident in most workplaces across all sectors. There is little discussion between workers and their supervisors about how to control hazards. There is little debate about whether PPE is sufficient or whether something more is required. And the experiences of workers like Andrea MacPhee-Lay tell us what can happen when a worker speaks up about safety.
Box 11.1 The consequences of cost-benefit analysis in OHS
The Ontario Workplace Safety and Insurance Board (that province’s WCB) partnered with the Ontario division of the Canadian Manufacturers & Exporters association to produce a health and safety guidebook for employers, entitled Business Results through Health and Safety. The guide makes the economic case for safety:
In 1999 there were over 100,000 lost time injuries and occupational illnesses in Ontario workplaces. Over \$2.6 billion (including administrative costs) was paid in compensation claims to injured and ill employees. In addition, indirect costs associated with workplace accidents and illness are conservatively estimated to be at least 4 times the direct costs. Together with direct costs this means there was over a \$12 billion drain on Ontario productivity in 1999, and a loss of competitive advantage.8
The average workplace lost time injury in Ontario costs over \$59,000. Surprised? The average lost time workers compensation claim cost is over \$11,771, and other costs add up more quickly than most people realize. Property damage, lost production, manager and supervisor time due to an accident and with the injured person, costs to comply with Ministry of Labour orders, and the employee’s lower productivity while on light duty; the source of additional costs is extensive. . . . If your profit margin is 10%, it requires \$590,000 in sales to produce \$59,000 of profit. . . . A reduction of a lost time injury costing \$59,000 has the equivalent profit effect as increasing sales by \$590,000 at a 10% profit margin.9
These excerpts represent the classic economic argument for health and safety: safety pays. While this argument may persuade some employers to address safety issues, there is an unstated corollary: workplace safety should only be improved when it reduces costs and increases profit. The idea that safety should not be pursued if it costs too much is a pivotally important implication of this cost-benefit approach to OHS.
In this view, safety becomes a commodity that an employer can purchase so long as it has utility. Implied in this reasoning is that some degree of unsafe work is acceptable and that it is an employer’s right to decide the level of (un)safety experienced by workers. That OHS—and the human beings that OHS protects—might have intrinsic value is simply ignored in cost-benefit analyses. In this construction of workplace safety, safety is framed as a commodity.
This way of conceiving of occupational safety and health . . . reinforces the cognitive tendency to believe individuals make free choices in market transactions, including the choice to work in jobs that have greater safety and health risks. Second, it crowds out the democratic values that led to earlier legislation protecting workers. An economic point of view treats workplace safety and health policy as an issue to be determined using market values, rather than as a matter for democratic deliberation.10
Framing health and safety as a way to increase profits may on the surface be an appealing strategy for engaging employers. Yet this cost-benefit approach to OHS also legitimizes danger and ill health and undermines the workers’ role in achieving safe workplaces.
Another consequence of professionalized OHS is that the safety role of unions is diminished. When safety is seen as part of the employment relationship, the union has a legitimate role to play in safety (e.g., training workers, inspecting workplaces, raising issues on JHSCs) and safety is a condition of work that can be negotiated. Indeed, many unions appoint or elect a safety representative who engages with the employer to negotiate appropriate safety provisions. When employers outsource OHS to consultants and broadly treat it as a function separate from the work process, the union loses some of its ability to shape workplace safety.
The sidelining of unions is more than just a theoretical labour relations problem. Unions make workplaces safer. Unionized workplaces have lower incident and injury rates than non-union workplaces.11 Unionized workers are also more likely to hold beliefs—for example, that taking risks is not part of their job—that contribute to safer work practices.12 Unionized workplaces are safer due to a combination of better training (that teaches workers how to use their safety rights to make the workplace safer13), a more formalized process for worker participation (such as safety meetings and JHSCs14), and less fear among unionized workers of repercussions for exercising their rights.
The safety effect of unions demonstrates that OHS is most effective when workers are actively engaged in dialogue about safety and empowered to make change. This more democratic approach to safety runs counter to employers’ interests in maintaining control over the work process. Thus employers use their greater power in the workplace to shape OHS in ways that diminish workers’ roles. The reality of workplace safety under capitalism is that employers and workers want different (and often mutually exclusive) types of OHS, and over the past 30 years employers have slowly been winning this struggle.
INTERNAL RESPONSIBILITY SYSTEM IN PRACTICE
Chapter 2 examined how the IRS is built upon the premise that employers and workers are jointly responsible for safety and that, by working together, they can make workplaces safer. After almost 40 years of operation, the IRS has not lived up to its potential. While workplaces are safer than they were 40 years ago, particularly when it comes to the dangers posed by physical hazards, workers continue to have little success in exercising their three safety rights and work-related ill health remains largely ignored.
The right of workers to know what hazards they are exposed to in the workplace is a foundational one. Without knowing about workplace hazards, workers cannot meaningfully participate in safety activities or know which work they ought to refuse as unsafe. In practice, most workers rely upon their employer for safety information.15 This reality has two consequences. First, whether the worker is informed about a hazard depends on the employer’s ability and willingness to provide information. Training has been found to be one of the most effective methods for creating safety awareness and behaviour.16 Yet, as we saw in Chapter 8, a recent study found that only 1 in 5 Canadian workers received safety training in their first year on a job.17 In practice, then, employers often don’t provide safety information to workers and this employer decision (or, less charitably, this employer strategy) cannot help but hamstring workers’ ability to participate and refuse.
Second, the employer controls what information it gives workers and can use this power to highlight (or downplay) certain hazards and control measures. For example, an employer has an interest in focusing attention on hazards that are within the workers’ control or that can be controlled by worker vigilance (such as physical hazards) because these hazards are relatively cheap to control. Using this same logic, an employer also has an interest in downplaying hazards that require the employer to take action to control (e.g., workload and shift work, chemical hazards) because these controls are relatively expensive or difficult or challenge their authority to manage. While it is often said that knowledge is power, in OHS, the distribution of knowledge appears to mean that knowledge most often increases employers’ power.18 While unions can counter the employer monopoly on information, union membership is in a slow decline. Further, unions are virtually absent in growing industries, which also happen to employ large numbers of precarious workers.
The right to participate gives workers a process for addressing safety issues, usually via a JHSC. While JHSCs can be effective at improving safety outcomes, not every worker has access to a JHSC.19 In most jurisdictions, only employers with more than 10 or 20 employees are required to have JHSCs—meaning about a third of workers have no access to JHSCs—and Alberta and the Territories do not require any employer to have JHSCs. Even if an employer voluntarily creates a JHSC, there are no requirements for equal participation by workers, appropriate investigative powers, or even regular meetings. What this means is that workers at smaller employers, which tend to both employ more vulnerable workers and have higher rates of incidents and injuries, have basically no right to participate.
In workplaces with JHSCs, the committees often struggle with employers ignoring recommendations, agendas dominated by minutiae and pro forma processes, lack of safety knowledge among committee members, inadequate resources (both time and money), and, not surprisingly, worker disengagement. Non-functioning JHSCs fundamentally limit the right to participate. As we saw in Chapter 2, there are ways workers can improve the effectiveness of JHSCs. These efforts are most likely to be successful in unionized workplaces where the union can train and empower workers. Yet even with the support of a union, workers’ efforts to increase the effectiveness of JHSCs can face profound limits if the employer resists and the state refuses to regulate.20 Even the most effective JHSCs have no ability to compel employers to address unsafe workplaces. Leaving it up to the employer to decide whether and how to address hazards reinforces the greater power of employers in the workplace. Rather than provide workers with a platform from which to assert their rights, JHSCs become a means to channel worker discontent around safety issues into a process that employers can manage and control. Further, some critics of the IRS argue that the creation of a formal structure and location for airing safety grievances delegitimizes other informal forms of worker expression (e.g., on the shop floor, at union meetings) and thus undermines the ability of workers to act outside of the internal responsibility system.21
Many recent employer safety initiatives are designed to bypass the traditional IRS processes—particularly in large workplaces. Safety management systems are programs that construct goals and performance measures related to safety, often with the assistance of an outside consultant. These systems may engage workers at a rhetorical level (e.g., by involving them in the creation of “value” statements), but mostly they further concentrate control over safety in the hands of employers who set and measure safety targets. Some employers also create workplace wellness systems that promote forms of wellness that financially benefit employers (see Box 11.2). In this way, the growing professionalization of safety also undermines workers’ right to participate.
Box 11.2 Workplace wellness programs
Workplace wellness programs (WWPs) are health and well-being services provided by or through an employer that focus on health promotion and illness prevention. The range of services might include gym memberships, organized physical activities, flu vaccinations, yoga classes, healthy snack food, financial and retirement advice, and health screening. Some employers also include in WWPs the services found in employee assistance programs (EAPs). As we read in Chapter 10, EAPs include employer-sponsored psychological counselling services for employees and their family members experiencing personal or mental health issues. WWPs have gained popularity in recent years.
WWPs are not subject to any government regulation. Employers are often motivated to implement a comprehensive WWP in order “to reduce health insurance claims, increase their bottom-line and increase productivity.”22 Other reasons include improving corporate image, employee recruitment and retention, and employee engagement. The logic underlying a WWP is that improving the overall health of employees means the rates of illness, absenteeism, and presenteeism (i.e., being present but not productive) will decline, triggering a reduction in benefit plan premiums and an increase in productivity.
There is strong evidence that WWPs improve productivity and generate cost savings through reduced absenteeism and lower health insurance costs.23 WWPs are also linked to increased job satisfaction and employee engagement.24 Some employers and WWP providers also argue that WWPs increase workplace safety by drawing attention to issues of health. There is little data to support the position that WWPs lead to fewer incidents and injuries in the workplace.
The benefits for a WWP for workers are less clear. Employers make no effort to track the health outcomes of workers through these programs, so data suggesting that participants experience less stress and better health is not reliable.25 Most workers simply do not participate in WWPs. Research suggests that low participation rates reflect that WWPs do not offer the services that workers desire. Indeed, some researchers suggest organizations would be better off improving supervisory practices and employee treatment—changes that would substantively benefit workers—than offering flu shots or yoga classes.26
WWPs are another example of how employers have sought to increase their influence in OHS and thereby subvert the joint nature of the IRS. In WWPs, employers tend to encourage activities that focus on changing workers’ personal behaviour. While these changes are likely positive, this focus reinforces the notion that health and safety begins (and ends) with workers. It is also an extension of the cost-benefit model of health and safety, as WWPs are justified mostly on the grounds of profit and productivity.
The right to refuse at first seems to be the strongest worker safety right. Indeed, the right to refuse represents one of the few times when a worker can legally disobey his or her employer (by refusing to perform dangerous work). In practice, though, refusing unsafe work has turned out to be a weak right. Three factors have undermined the power of the right to refuse. First, most legislation and its interpretation have narrowed the instances when workers can legally refuse. They cannot refuse simply because a hazard exists. There must be some degree of immediacy to the risk of injury, which effectively precludes refusing work on the basis that the work puts the worker at risk of occupational disease. Also, the danger must not be “normal” for the worker’s occupation. These restrictions make refusing unsafe work difficult for many workers.
Second, the rules around the right to refuse only require the employer to investigate the refusal and preclude the employer from punishing the worker for their refusal. No other action is required. Employers are allowed to assign a different worker to perform the same task. Or the employer can make minor changes to reduce the risk just enough that the worker will agree to do the task. Or they can do nothing at all and say everything is fine. If the worker continues to refuse, the resolution process is lengthy and legalistic. Further, pursuing the matter requires the worker to confront their employer, possibly over a period of weeks, in a direct manner that can be intimidating for many and, as Andrea MacPhee-Lay found out, can end in termination.
As a result, workers rarely invoke the right to refuse. One of the few studies examining the frequency of refusals found that only 1% of Ontario workers used their legislative right to refuse.27 Workers are more likely to refuse in a unionized setting, where additional protections from employer retaliation are present. In most workplaces, instead of formally refusing unsafe work, workers are more likely to adopt informal methods to avoid dangerous situations, including quietly altering the work process or pace of work, refusing overtime, calling in sick, or requesting a transfer.28 Workers’ reluctance to engage in a direct confrontation with their employer over safety matters reflects the third factor undermining the right to refuse: employment is a relationship of power, and workers’ three safety rights do not adequately mitigate employers’ greater power in the workplace such that workers can protect themselves. A recent study found that one third of Ontario workers expected that raising a health and safety concern would have a negative affect their future employment. The percentage was even higher among racialized workers and among workers facing a high degree of precarity.29
This discussion suggests the IRS is not very effective at protecting workers’ safety. This conclusion is consistent with the large number of workplace injuries in Canada each year. Some workers are able to increase the effectiveness of the IRS via unionization, but the most vulnerable workers (such as women, racialized workers, youth and precarious workers—groups whose memberships often overlap) are less unionized and thus receive little (or no) protection from the IRS.
ENFORCEMENT
The other cornerstone of the modern OHS regime is government regulation and enforcement. Government legislation is intended to complement the IRS by establishing safety standards and practices and intervening in cases when employers fail to meet them. Essentially, state enforcement is designed to address instances where the IRS system fails to result in safe workplaces. In practice, OHS enforcement has evolved to reinforce the employer-dominated IRS rather than regulate its operation.
Governments mostly rely upon complaint-driven enforcement wherein workplace inspections are triggered by individual complaints or in response to incidents (i.e., a serious injury or fatality). Complaint-based investigations may at times be supplemented by targeted inspections of specific industries (e.g., residential construction) or working situations (e.g., employers of migrant workers). Complaint-based enforcement has been adopted due to the limited resources allocated to OHS inspections relative to the number of employers in the jurisdiction. For example, in 2008, Alberta had 84 OHS inspectors to cover 144,000 employers.30
The primary goal of workplace inspections is to achieve compliance with the OHS legislation. When a violation is found, a compliance order is normally issued that requires the employer to remedy the violation within a set timeline. (One exception to this norm is that stop-work orders are sometimes issued if the violation poses imminent danger of harm.) Given the limited budgets allocated to OHS inspection, a follow-up inspection may occur weeks later or not at all.
Research finds that inspections are up to 10 times more likely to occur in industrial and other so-called traditionally dangerous worksites (e.g., manufacturing, construction, mining) than other industries (e.g., education, health care, office environments). Forestry workers are 20 times more likely to be the subject of an inspection than nurses, despite the significant hazards faced by nurses (e.g., physical hazards associated with lifting, violence, exposure to biological hazards).31 Further, the vast majority of inspections are conducted during regular business hours (Monday to Friday, 9 to 5).32
An important consequence of the lack of resources, use of compliance orders, and the tendency to prioritize inspections of male-dominated, blue-collar workplaces is that OHS enforcement in Canada is both uneven and scarce. The vast majority of workplaces are never inspected. Even workplaces known for non-compliance are likely to be inspected no more than once or twice a year. In practical terms, employers face almost no risk of being caught violating OHS laws and, if they do, they face almost no risk of being punished. In this way, OHS enforcement allows employers significant opportunity to violate OHS rules, rather than pressuring employers to address safety issues through IRS. The present approach to enforcement also ignores the changing nature of work by continuing to focus on traditional workplaces. Workers in the service industries or working non-traditional hours are largely ignored. These workers are more likely to be women, racialized workers, youth, and precarious workers. They are also more likely to be working for small employers. The present regulatory structure was not built with these workers, workplaces, or working conditions in mind and, not surprisingly, does a poor job regulating them.
While OHS enforcement has changed over time, most of these changes have eroded the effectiveness of the system. In comparison to today, OHS enforcement in the 1970s and 1980s was more active: governments conducted more inspections, laid more charges, and achieved more convictions than they do today.33 The move away from active enforcement was caused by pushback from employers, who were unhappy with practices such as unannounced inspections, prosecutions, increased workers’ compensation premiums, and a growing list of prescriptive regulations, which stipulated specific requirements an employer must meet (e.g., standards for fall protection equipment).
In response, governments changed the roles that government, employers, and workers play in enforcement. While the details of this shift differ between jurisdictions, there is a clear pattern across Canada away from enforcement and toward education and collaboration. Governments conduct fewer unannounced inspections, implement intermediary steps before issuing compliance orders, and conduct fewer inspections and prosecutions overall. Employer groups have been given a larger role in drafting of regulations, which has shifted OHS from prescriptive regulations toward performance-based-regulation, which identifies desired outcomes and leaves the specifics of how to achieve them to the employer.
Industry safety associations (ISAs), bodies formed by employers in an industry to deliver safety services and advocate on behalf of the employers on safety issues, have also achieved greater influence. ISAs have become more involved in establishing regulatory standards and delivering training and education to workers. In some jurisdictions, ISAs have been authorized to conduct workplace safety audits to determine eligibility for safety incentives, such as workers’ compensation premium reductions. Audits differ from inspections in that they do not identify hazards or non-compliance with regulations. Instead, audits assess whether a workplace has an appropriate safety system in place to deal with safety matters. They evaluate the quality of paper flows and communications systems, the presence of training and safety manuals, and whether appropriate paperwork is completed. Employers prefer audits to inspections, as audits are educative in nature rather than punitive.
Proponents of this shift (including employers, industry associations, safety professionals, and right-wing governments) assert that cooperation is a more effective way to achieve employer compliance. This assertion sits uncomfortably with the actual result of the partnership approach: employers have increased their control over safety in their workplaces and increased their influence over government policy. Research has shown that so-called tripartite consultations, which involve government, employers, and labour as equal partners at a table to discuss OHS issues, reproduce power imbalances and provide a structural advantage to employers in determining the shape of new safety regulations.34 The partnerships model of OHS works in concert with the professionalization of OHS to remove safety issues from the work floor, where workers are active agents, and place them in boardrooms, where workers become passive recipients of negotiated agreements between employers and governments.
The two sawmill explosions in British Columbia in 2012 (detailed in Chapters 1 and 9) help us understand the perils (for workers) of overly close relations between employers and the state. Shortly after the Babine sawmill blew up, an internal WorkSafeBC memo identified expected employer pushback as a reason to delay additional enforcement focused on reducing the risk of wood dust explosions:
Industry sensitivity to the issue given the recent event and limited clarity around what constitutes an explosion could lead to push back if an enforcement strategy is pursued at this time.35
Roughly 20 days later, the Lakeland mill exploded—due to wood dust accumulation. In effect, government concern about employer interests delayed enforcement action that might have saved workers’ lives. Box 11.3 examines how Alberta’s shift toward a partnership model set the stage for the regulatory capture of provincial OHS enforcement by employers. Overall, government decisions to shift away from active OHS enforcement in favour of collaborating with employers have profoundly undermined an important bulwark for workers against the power of the employers in the workplaces and further weakened the IRS.
Box 11.3 OHS partnerships and risk of regulatory capture
In the mid-1990s, the province of Alberta was the first jurisdiction to move away from a more active approach to OHS enforcement to a collaborative, self-enforcement model. A 1997 strategic plan laid out the core elements of Alberta’s so-called Partnerships approach to OHS and repudiates an active regulation and enforcement model:
Partnerships is based on the premise that more can be achieved through a cooperative, collaborative approach than by a one-sided, dictatorial or interventionist approach. . . . Partnerships strives to promote a culture of increased proactive health and safety attitudes and behaviour in the workplace. These cannot be legislated!36
The framework emphasizes government and industry “working in harmony with one another to ensure continuity.”37 The role of government is to facilitate “dialogue and consensus building amongst Partners.” The framework also shifts the nature of enforcement, indicating the government “enforces regulatory standards through voluntary compliance.”38 Workers are not identified as one of the partners, and the role of unions in the framework is to “collaborate” with employers, government, and other partners. At the heart of this approach is a government commitment to not proceed with policy changes without the agreement of employers.
Some critics suggest that the partnership model has, over time, contributed to Alberta’s OHS system being “captured” by employer interests. Regulatory capture occurs when a state agency designed to act in the public interest instead acts to advance the interests of an important stakeholder group in the sector that its regulates. Under a situation of regulatory capture, the dominant stakeholder group can use the captured regulator to impose costs on other stakeholders, even if such costs are contrary to the public interest. Captured regulators may see themselves as partners of the captors they are supposed to regulate and may even find themselves financed by that group.39
There is ample evidence to suggest that regulatory capture occurred in Alberta’s OHS system under the Partnerships framework. The evidence includes the government:
• ineffectively regulating workplace safety
• being reliant on employer funding of regulatory activity (through workers’ compensation premiums)
• allowing employers preferential access to policy making
• enacting policies that reward the appearance of safety rather than safety itself (through the Certificate of Recognition program that awards WCB premium rebates based on safety audits)
• promulgating a narrative that blames another stakeholder (i.e., workers) for workplace injuries40
While the framework has shifted slightly over the years, the core principles remain operative and Partnerships still guides the Alberta government’s approach to OHS. In particular, the COR remains a central feature of the framework and regulatory change is created through consensus of the partners.
HOW TO GET THINGS DONE
Given the above discussion, one might be forgiven for being pessimistic about the prospects for safer and healthier workplaces. The shortcomings of the current OHS system are significant. Nevertheless, we should not lose sight of the fact that workplaces today are, in some ways, safer than they were 40 years ago and there is a higher degree of awareness of safety issues in the workplace. This suggests that it is possible for committed individuals (and groups of individuals) to make positive change in workplaces and in policy—even if the extent and speed of those changes is constrained by unfavourable circumstances.
Historically, workers made advances in health and safety when, armed with information, they mobilized collectively and politically.41 While this mobilization was not sustained when OHS energies were channelled into the structures and processes of the IRS regime, this history is informative. Specifically, it identifies the components of effective OHS advocacy, for workers, OHS activists, and safety professionals:
1. Education and information: Research has shown that, when workers are armed with information about the hazards they face and options for controlling them, they act upon this knowledge to the degree to which they are able.
2. Increasing power: Power in the workplace is essential to ensuring accurate and complete information is available and that workers can meaningfully act upon it. By recognizing the importance of power in OHS, we acknowledge that OHS advocacy must extend beyond technical arguments about safety and requires political action to create power.
3. Using the IRS: While the IRS has many shortcomings, effective advocates learn how to work within the IRS system as it exists and then supplement those actions with pressure from outside the system (e.g., via government enforcement, outside expertise, mobilization of workers).
Alan Hall and his colleagues have studied what makes worker representatives effective in OHS matters.42 Their research has identified three types of OHS activists:
1. Technical-legal representatives are well-informed workers who immerse themselves in the technical and legal aspects of OHS and perform those functions well. These workers typically act as if OHS is divorced from other labour-management issues and see their job as working with the employer to achieve solutions cooperatively.
2. Politically-active representatives, by contrast, understand well the power relations at work and see OHS as just another field of conflict with the employer. These workers tend to dismiss the importance of research and accurate information. As a result, while they are willing to engage the employer on OHS issues, they do not bring an independent source of information to their argument.
3. Knowledge-active representatives are thought to be the most effective activists because they recognize the political nature of OHS but also actively pursue independent and autonomous information to bolster both their legitimacy and their capacity to challenge the employer. They are also likely to equally divide their time between IRS-related activities (i.e., attending JHSC meetings, conducting inspections) and political activities (i.e., educating and mobilizing workers, engaging government enforcement).43 Box 11.4 provides a more detailed description of knowledge-active representatives.
Box 11.4 Qualities of a knowledge-active OHS representative
Hall and his collaborators have found the effective knowledge-active representatives tend to display the following qualities and behaviours:
• Actively seek out independent knowledge about OHS through personal research, often on their own time.
• Use the knowledge to strategically and tactically achieve change.
• Actively spread their knowledge by training and teaching other workers.
• Recognize that effectiveness depends upon being known as a reliable “knower” of health and safety issues.
• Recognize that not all hazards are self-evident or easily recognized.
• Present management with alternative solutions.
• Recognize that change can and must be achieved outside the formal IRS structures, but that they must also work within those structures to increase effectiveness.
• Work on both small and big issues. Believe that technical and legal issues cannot be ignored, but that real change occurs when advocates push for larger-scale change in the workplace.
The significance of this research is that being effective in advocating for health and safety change requires a high degree of knowledge, strategy, tactics, and determination. This may seem like a daunting task, but workers have historically exhibited those qualities—both in the workplace and in their everyday lives.
This analysis suggests some practical ways in which a person (or group) can increase the effectiveness of OHS efforts. Workers who have access to a JHSC (or other OHS venue in their workplace) can improve safety by ensuring the worker representatives are informed and engaged. Safety practitioners and managers can improve JHSCs effectiveness by ensuring employer representatives are senior enough to have influence over how the organization responds to safety concerns. In addition, all actors can ensure there are clear meeting agendas, minutes, and timelines that are communicated to all workers, ongoing training of JHSC members, and that the members of the JHSC get out of the meeting room and regularly inspect the workplace and interact with workers.44
Increasing workers’ input into (or autonomy over) training enhances workers’ knowledge of workplace hazards and control strategies. This undermines the employer’s ability to shape hazard identification and control through limiting what workers know. Allowing worker involvement may also result in training that is more engaging to participants and recognizes the varied motives workers have for participating in it. Worker-oriented training might also draw attention to psycho-social hazards in the workplace or the health effects of employment practices.
While OHS legislation and regulation have value, workers’ experience with the IRS is that it is not adequate to protect them or guarantee safe and healthy workplaces. One strategy for building upon the IRS is to entrench stronger levels of OHS protections in collective agreements and company policies. These protections might include enhanced participation rights, greater protection for refusals, and protection from reprisals. Similarly, OHS rights and obligations—such as conducting and publishing hazard assessments every time work processes change—can be incorporated into work routines. As part of this process, workers might encourage (or pressure) their employer to adopt the precautionary principle. For example, they might create an expectation that no new chemicals or processes will be introduced until the employer can demonstrate that the chemicals or processes do not create a hazard.
Workers, OHS activists, and safety practitioners also need to take steps to generate power. Power can come from one’s position. For example, an employer can delegate responsibility for safety to a safety professional and workers can elect a safety representative. Power can also come from knowledge and expertise. Moral authority—the capacity to convince others of the rightness (or wrongness) of certain decisions—can also be a source of power that can be derived from compelling arguments and a past record of principled behaviour.
Finally, workers and OHS activists can draw upon political and economic power derived from collective action. We usually think of unions as the vehicle by which workers act collectively. For some workers, joining a union may well be a pathway to healthier and safer workplaces. Yet workers should be mindful of the history of OHS wherein change has come from groups of workers acting outside of established organizations—engaging in political lobbying, public demonstrations, and wildcat strikes. While trade unions can be a source of valuable resources, access to those resources often comes with an expectation that workers will act within the IRS. Given the limitations of the IRS, gaining union support may reduce the capacity of some workers to effect health and safety change.
Workers who cannot or do not want to join a union may rely on legal challenges to seek legislation that better protects their right to health. This right is found both within the Canadian Charter of Rights and Freedoms and the International Covenant on Economic, Social and Cultural Rights (which itself builds upon a more general right articulated in the Universal Declaration of Human Rights: “Everyone has the right to work, to just and favourable conditions of work and to protection against unemployment”).45 Such legal strategies, while appealing, move conflict into the courts—yet another venue dominated by the employers and governments.
In the end, workers and OHS activists may well end up back where they began—cooperating with one another by sharing information, pooling resources, and politically agitating for safer workplaces. This is a lonely and dangerous path because, in capitalist economies, there is no necessary link between the interests of workers and employers around occupational health and safety. Defying the will of the employer and the state is risky. Yet perhaps better this risk (with its prospect of safer and healthier workplaces) than the certain risk of allowing employers to organize work as it suits their interests.
SUMMARY
The irony of Alison MacPhee-Lay’s case discussed at the beginning of the chapter is that she might have won her complaint had she waited until the grill proposal was implemented. If customers were in the room and she was required to use it, she may have been able to invoke her right to refuse—although no one can be sure whether that hazard would have been deemed an “imminent danger.” This case highlights one of the shortcomings of Canada’s health and safety system: it prioritizes procedural issues (i.e., did the worker refuse correctly) over substantive ones (i.e., was there a legitimate OHS hazard).
The current OHS regime was intended to empower workers to advocate for their own health and safety. Instead, it has entrenched employer power to control the work process. Workers do advocate for their own interests, but they often do it in spite of the system rather than because of it. The system has become highly technical and specialized, separating the issues from the people who are most affected by them—workers. The evolution of the system is best understood within a context of capitalism and the ways in which employers under capitalism act to further their interests.
Nevertheless, change is always possible in any system. Existing processes and structures in the safety regime can be utilized to make change. Advocates must also step outside the formal structures to force change from the outside. It is the combination of strategic engagement with the structures and mobilization of workers that will ultimately make workers safer.
DISCUSSION QUESTIONS
• How does the practice of OHS differ from the intention of its designers in the 1970s? Why?
• What features of IRS have led to the reproduction of the power imbalance in the workplace?
• What factors led to changes in how governments enforce OHS regulations in Canada?
• What are the key features of an effective OHS advocate?
EXERCISES
Reread the case of 15-year-old Andrew James at the beginning of Chapter 3 and write 150-word answers to the following questions:
1. What hazards were present at the worksite?
2. How would you prioritize the identified hazards?
3. What controls should have been implemented?
Compare your answers to those you wrote when you did the exercise at the end of Chapter 3. How have you answers changed after reading the rest of the textbook? What practical steps would you take to try to implement change at that workplace?
Consider your workplace, or a workplace you are familiar with, and write 150-word answers to the following questions:
1. Which aspects of IRS are functioning properly?
2. Where are areas for improvement?
3. Identify five ways in which you would improve the practice of health and safety at that workplace.
NOTES
1 Alberta Occupational Health and Safety Council. (2014). Order: Andrea L. MacPhee-Lay and FHR Lake Louise Operations Corporation. Edmonton: Government of Alberta.
2 Harcourt, M., & Harcourt, S. (2000). When can an employee refuse unsafe work and expect to be protected from discipline? Evidence from Canada. ILR Review, 53(4), 684–703.
3 Richardson, B., & Newman, D. (1993). Our health is not for sale. Ottawa: National Film Board of Canada.
4 Storey, R. (2005). Activism and the making of occupational health and safety law in Ontario, 1960s–1980. Policy and Practice in Occupational Health and Safety, 1, 41–68.
5 Storey, R., & Lewchuk, W. (2000). From Dust to DUST to dust: Asbestos and the struggle for worker health and safety at Bendix Automotive. Labour/Le Travail, 45, 103–140.
6 Sass, R. (1986). The workers’ right to know, participate and refuse hazardous work: A manifesto right. Journal of Business Ethics, 5(2), 129–136; Sass, R. (1989). The implications of work organization for occupational health policy: The case of Canada. International Journal of Health Services, 19(1), 157–173.
7 Tucker, E. (1990). Administering danger in the workplace: The law and politics of occupational health and safety regulation in Ontario, 1850–1914. Toronto: University of Toronto Press.
8 Ontario Workplace Safety & Insurance Board & Canadian Manufacturers and Exporters, Ontario Division (2001). Business Results Through Health and Safety. Toronto: WSIB, p. vi.
9 Ibid., p. ix.
10 Shapiro, S. (2014). Dying at work: Political discourse and occupational safety and health. Wake Forest Law Review, 49, 831–847, pp. 832–833.
11 Yi, K. H., Cho, H. H. & Kim, J. (2011). An empirical analysis on labor unions and occupational safety and health committees’ activity, and their relation to the changes in occupational injury and illness rate. Safety and Health at Work, 2(4), 321–327.
12 Gillena, M., Baltz, D., Gassel, M., Kirsch, L., & Vaccaro, D. (2002). Perceived safety climate, job demands, and coworker support among union and nonunion injured construction workers. Journal of Safety Research, 33(1), 33–51.
13 Hilyer, B., Leviton, L., Overman, L., & Mukherjee, S. (2000). A union-initiated safety training program leads to improved workplace safety. Labour Studies Journal, 24(4), 53–66.
14 Yi, K. H., Cho, H. H., & Kim, J. (2011). An empirical analysis on labor unions and occupational safety and health committees’ activity, and their relation to the changes in occupational injury and illness rate. Safety and Health at Work, 2(4), 321–327.
15 Walter, V., & Haines, T. (1988). Workers’ perceptions, knowledge and responses regarding occupational health and safety: A report on a Canadian study. Social Science & Medicine, 27(11), 1189–1196.
16 Vinodkumar, M., & Bhasib, M. (2010). Safety management practices and safety behaviour: Assessing the mediating role of safety knowledge and motivation. Accident Analysis & Prevention, 42(6), 2082–2093.
17 Smith, P., & Mustard, C. (2007). How many employees receive safety training in their first year of a new job? Injury Prevention, 13, 37–41.
18 Sass, R. (1992). The limits of workplace health and safety reforms in liberal economics. New Solutions, 3(1), 31–40.
19 Lewchuk, W., Robb, L., & Walters, V. (1996). The effectiveness of Bill 70 and Joint Health and Safety Committees in reducing injuries in the workplace: The case of Ontario. Canadian Public Policy, 22(3), 225–243.
20 Milgate, M., Innes, E., & O’Loughlin, K. (2002). Examining the effectiveness of health and safety committees and representatives: A review. Work: A Journal of Prevention, Assessment and Rehabilitation, 19(3), 281–290; Walters, D. (1996). Trade unions and the effectiveness of worker representation in health and safety in Britain. International Journal of Health Services, 26(4), 625–641.
21 Barnetson, B. (2010). The political economy of workplace injury in Canada. Edmonton: Athabasca University Press.
22 Morrison, E., & MacKinnon, N. (2008). Workplace wellness programs in Canada: An exploration of key issues. Healthcare Management Forum, 21(1), 26–32.
23 Baicker, K., Cutler, D., & Song, Z. (2010). Workplace wellness programs can generate savings. Health Affairs, 29(2), 304–311; Mattke, S., et al. (2013). Workplace Wellness Programs Study: Final Report. Pittsburgh: Rand Corporation.
24 Parks, K., & Steelman, L. (2008). Organizational wellness programs: A meta-analysis. Journal of Occupational Health Psychology, 13(1), 58–68.
25 McCarthy, G., Almeida, S., & Ahrens, J. (2011). Understanding employ well-being practices in Australian organizations. International Journal of Health, Wellness and Society, 1(1), 181–197.
26 Spence, G. (2015). Workplace wellbeing programs: If you build it they may NOT come. . . .because it’s not what they really need! International Journal of Wellbeing, 5(2), 109–124.
27 Walters, V., & Haines, T. (1988). Workers’ use and knowledge of the internal responsibility system: Limits to participation in occupational health and safety. Canadian Public Policy, 14(4), 411–423.
28 Gray, G. (2002). A socio-legal ethnography of the right to refuse dangerous work. Studies in Law, Politics and Society, 24, 133–169.
29 Lewchuk, W. (2013). The limits of voice: Are workers afraid to express their health and safety rights? Osgoode Hall Law Journal, 50, 789–812.
30 Government of Alberta. (2008). Report to the Minister of Justice and Attorney General: Public Fatality Inquiry. Okotoks: Justice and Attorney General.
31 Barnetson, B. (2010).
32 Ibid.
33 Tucker, E. (2003). Diverging trends in worker health and safety protection and participation in Canada, 1985–2000. Relations Industrielles/Industrial Relations, 58(3), 395–426.
34 Foster, J. (2011). Talking ourselves to death? The prospects for social dialogue in North America—Lessons from Alberta. Labor Studies Journal, 36(2), 288–306.
35 Neilsen, M. (2015, October 15). WorkSafeBC memo a reason for inquiry into sawmill blasts, union says. Prince George Citizen. http://www.princegeorgecitizen.com/news/local-news/worksafebc-memo-a-reason-for-inquiry-into-sawmill-blasts-union-says-1.2082588
36 Government of Alberta. (1997). Partnerships Strategic Plan. Edmonton: Alberta Labour, p. 1.
37 Ibid., p. 7.
38 Ibid., p. 9.
39 Shapiro, S. (2012). The complexity of regulatory capture: Diagnosis, causality and remediation. Roger Williams University Law Review, 17(1), 221–257.
40 Barnetson, B. (2015). Worker safety in Alberta: Trading health for profit. In M. Shrivastava & L. Stefanick (Eds.), Alberta oil and the decline of democracy in Canada (pp. 225–248). Edmonton: Athabasca University Press.
41 Storey, R., & Tucker, E. (2005). All that is solid melts into air: Worker participation in health and safety regulation in Ontario, 1970–2000. In V. Mogensen (Ed.), Worker safety under siege: Labor capital, and the politics of workplace safety in a deregulated world (pp. 157–186). Armonk, NY: M. E. Sharpe.
42 Hall, A., Forrest A., Sears, A., & Carlan, N. (2006). Making a difference: Knowledge activism and worker representation in joint OHS committees. Relations Industrielle/Industrial Relations, 61(3), 408–436.
43 Hall, A., Oudyk, J., King, A., Naqvi, S. & Lewchuk, W. (2015). Identifying knowledge activism in worker health and safety representation: A cluster analysis. American Journal of Industrial Medicine (Online First, July 23). doi: 10.1002/ajim.22520
44 Workers’ Health and Safety Centre. (1998). Occupational Health and Safety: A Training Manual (3rd ed.). Toronto: Author.
45 United Nations. (1948). Universal Declaration of Human Rights. Geneva: United Nations; United Nations. (1966). International Covenant on Economic, Social and Cultural Rights. Geneva: United Nations. | textbooks/workforce/Construction/Health_and_Safety_in_Canadian_Workplaces_(Foster_and_Barnetson)/1.11%3A_The_Practice_of_Health_and_Safety.txt |
Chapter 1 - The Criminal Justice System and the Community
Key Learning Objectives:
• Identify the responsibilities law enforcement departments and individuals officer have to the community they serve.
• Explain the implications of police subculture and how it influences an officer’s interaction with the community.
• Explain how America has become a multicultural society and the impact on how law enforcement departments counteract tensions and struggles for power in these evolving communities.
• Explain the importance of having a diverse police force, the benefits, and concerns associated with diversity.
• Identify how improved police standards can improve community relations in multicultural societies.
1.1 - The meaning of relations and the need for community interaction1
The relationship between the American public and law enforcement, particularly its violent nature, has been under continual re-examination. Police-citizen violence and related concerns are prime topics of conversation wherever law enforcement professionals gather to discuss problems. Many police departments have made reviewing their use of force a top priority. Moreover, major civil rights organizations have made a priority of responding to police use of deadly force.
The dimensions of this issue reflect the amount of research and analyses devoted to it by criminal justice researchers and scholarly journals. In addition, even a casual reading of the Nation's newspapers often yields accounts of confrontations between police and citizens over the use of deadly force in situations where racial and ethnic tensions create additional complications or difficulties. Television news programs sometimes provide dramatic supporting videos, graphically depicting the resulting tensions in a community.
Why has the relationship between law enforcement and citizens come under such scrutiny? One reason is the significant number of killings by and of police officers in recent years. A second factor is changes affecting municipal and civil liability, which have put cities and employees of local governments under greater legal jeopardy where use of force is applied.
Another important factor is a succession of court rulings placing more restrictions on police use of firearms, including the 1985 Supreme Court decision in (Tennessee v. Garner), which invalidated parts of many states' rules for shooting at fleeing felons. Still another reason is the increasing primacy given to preserving life as a value underlying the concept of policing. There is also a movement to modernize and improve police work from within the profession itself, partly in reaction to the above incidents but also as a general response to larger changes in U.S. society.
Figure 1.1 American Criminal justice system flowchart. Image is in the public domain.
Two premises underlie the approaches to policing discussed in this publication. One is that the police, by virtue of the authority that society vests in them, have overarching responsibility for the outcome of encounters with citizens. This in no way ignores the fact that the police must deal with such groups as criminals, persons under the influence of alcohol and drugs, law-abiding citizens, and persons with mental impairment. The second and main premise is that good policing must take into consideration two equally important factors: the values on which a police department operates, as well as the practices it follows.
In addition to adopting a set of values, it is equally important that police departments clearly and publicly state those values. This sets forth a department's philosophy of policing and its commitment to high standards for all to know and understand. To be significant, these values must be known to all members of the community as well as all members of the police department. In addition, a department's values must incorporate citizens' expectations, desires, and preferences. A department's policies and practices flow from its values.
Police Departments and Community leaders must take into account that there are no philosophies or practices that will anticipate the entire range of human behavior that officers might encounter in the course of police work. It is also understood that, ultimately, the police officer's judgment will be the deciding factor in most cases. However, enough relevant experience and information exists that officers can be given practical guidance that in many instances will help to avoid situations escalating to violence.
It should also be emphasized that the safety of police officers is recognized as a fundamental concern. No responsible citizen expects a police officer to risk his or her life unnecessarily or foolishly. And no police chief worthy of the responsibility would adopt policies or practices that expose officers to undue risk. Reverence for all human life and safeguarding the guarantees of the Constitution and laws of the United States are important values in policing.
Police Departments can promote the adoption of policies and practices that afford maximum protection to officers and citizens. The policies need to be based on the principle that good policing involves a partnership between police and citizens. Police cannot carry out their responsibility acting alone. In addition, it must be emphasized that no police department that permits its officers to use unnecessary force against citizens can hope to gain their support. Only when sound values, mutual respect, and trust are shared--among all groups that make up the community--can the police-citizen partnership work, as it should.
1.2 - Conflicts between the Community and the Criminal Justice System2
The underlying assumption is that a police force and the community it serves must reach consensus on the values that guide that police force. Those values, while implicit in our Constitution, must embrace as clearly as possible the protection of individual life and liberty, and, at the same time, the measures necessary to maintain a peaceful and stable society. To accomplish this, a police executive must be familiar not only with his or her own police culture, but with the community culture as well, which is no easy task in neighborhoods experiencing major demographic changes.
Police Departments must identify conflicts that threaten peaceful race relations in communities. Among the causes of such disputes, none is more volatile than allegations of unwarranted police use of deadly force against minority citizens. Even a perception that police follow this practice is cause for concern, because the negative impact on police-citizen relations will be the same.
Another potential hurdle to overcome is the reality of a police culture, or police society. While most occupational groups develop their own identity, the police identity seems to be much stronger because of the nature of the work. There is a belief that one cannot understand the difficulty of the work without having done it. As a result, when a community questions the actions of the police--as can be expected when a police officer uses a firearm--the law enforcement profession has a tendency to close ranks and defend the officer at all costs. The development of this "police society" begins with academy training (or even before in the recruiting and selection process) and continues until the individual becomes an accepted part of the fraternity.
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Think about it . . . Police Culture
Read this research article compiled by the Pew research center. Is police officer culture born purely out of safety concerns? What are the pros and cons of this safety culture?
The socialization process is generally subtle, and assignment procedures may well contribute to the police society. Many departments, for example, rotate patrol officers' shifts weekly, which makes association with people other than police officers extremely difficult. In addition to assignment patterns, the job itself tends to cause social isolation. For a police officer, it is not uncommon for an officer to begin avoiding contacts with old friends, even when scheduling permits, because of the tendency to hear stories about traffic tickets and other negative encounters people may have had with the police. The result is the creation of an environment where an officer withdraws further and further from the community. He or she moves towards the protective shell of the police world where colleagues understand the nuances of the work.
From the standpoint of addressing the problem of police-community violence, the "police society" is critical. The reinforcement of narrow views by limiting contact only to other officers has an impact on the creation and perpetuation of violent encounters with citizens. The "police society" also severely hampers efforts to investigate complaints of excessive force. The police profession must reach a point where violence is discouraged at the peer level. When violence does occur, police officers themselves must be involved in providing information to the investigative process impartially and with integrity. At the same time, there are also positive aspects to a close-knit work group, and care must be taken to ensure these positive aspects are not harmed when attempting to deal with the negative ones.
1.3 - The Evolving Nature of Multiculturalism3
At the turn of the century, multicultural communities are the norm in many cities throughout the United States. Throughout the history of the United States, it has witnessed transnational migration of large groups of people due to a variety of factors worldwide. This movement has resulted in changes in the ethnic and cultural makeup of communities that are the destinations and sources of the migration.
These changes present challenges for criminal justice practitioners and policymakers in the affected communities. For example, some cultures will allow only women to be questioned by a female police officer. A male may refuse to cooperate with a female police officer. Men from some cultures carry a ceremonial dagger next to their skin, which they would be reluctant to remove. Communication may be a problem, as not everyone speaks the same language. Poor language skills and a lack of cultural sensitivity may lead to unintended violence. Cooperation with law enforcement officers within ethnically homogeneous neighborhoods may not be forthcoming. Recruitment and retention of an ethnically diverse police force is both a challenge and a necessity. Failure to address the challenges of policing in a multicultural society can result in misunderstandings, alienation, civil unrest, and violence.
The problems associated with policing in culturally and ethnically diverse societies are not unique to the United States. The decade of the 1990s witnessed enormous political, economic, and social change. Among the countries undergoing particularly eventful political upheaval were Germany and South Africa. The breakdown of the Berlin Wall on November 9, 1989 meant the end of the Iron Curtain and the beginning of cataclysmic change for Germany.
Following the relaxation of borders that had divided east from west for nearly five decades, a virtual flood of people began traveling from the East to the West. The formerly homogeneous society of the socialist German Democratic Republic (East Germany) was transformed practically overnight, with increased xenophobia and all its repercussions being among its results. The former West Germany had an influx of asylum seekers, including persons from Eastern Europe claiming German heritage. Both the police as an institution and police officers as individuals had to confront and cope with these critical changes. For example, police in the east, accustomed to totalitarian tactics of a police state, had to determine whom they would represent, the public, or the government. Across Germany there developed great uncertainty among police officers, the outcome of which often was frustration, opposition to organizational change, and a general withdrawal from public contact. The German example is an enormously valuable case study of a society’s efforts to cope with both the burdens of its past and the new challenges of dramatic change. The German police have been and continue to be at the center of these efforts. It is clear that such problems can also be found in relatively stable, albeit diverse, countries where change has been more evolutionary than revolutionary. Three such countries are Canada, Australia, and the United Kingdom.
1.4 - Change and Tension, Minorities Struggle for Power4
In the United States changing and adding cultural and ethnic multiplicity, the police are most likely to be aligned with the old cultural and ethnic guard, or they may be perceived as such by new, or newly empowered, constituents. As a result, questions about the philosophy and practice of policing are ultimately liable to come under close and probing scrutiny.
The police operate at “street level,” where they have direct contact with all who are involved in any way with law and public safety. In fact, the police represent the sole agency with which the vast majority of those who ever have any dealings with the criminal justice system come into contact. As a result, the police have enormous power to influence attitudes and public opinion about fundamental concerns regarding a political entity’s capacity to act in just, legitimate, and accountable ways. Police-community relations are shaped on the street and in the station houses, and it is there that such controversial practices as profiling and “zero tolerance” are enacted. Using their discretionary arrest powers, the police are also the gatekeepers of the criminal justice process. They determine who is subjected to the power of the law and who is not. Because of this unique role and powerful position in society, the police are likely both to influence and to be influenced by the social implications of migration and shifts in the political power of various communities.
Figure 1.2 These protestors in Washington D.C. are protesting racial profiling, a tactic many believe make police officers negatively biased towards people of color. Image used under a CC BY-NC-SA 2.0 license.
Rapid transformations in the relative heterogeneity of the population, and the accompanying discourse on multiculturalism, can lead to questions about the validity of definitions of laws or crimes for some groups and conceptions of “order” or “disorder” for others. Conversely, the arrival of new groups often provokes questions about the appropriateness of practicing what those groups consider “normal” domestic or familial relations, duties, or privileges. Thus, an increase in the number of ethnic, cultural, and linguistic communities and racial groups can give rise to conflicts about the legitimacy of legal and communal standards and definitions, and hence present an enormous challenge to law enforcement and order maintenance activities.
The emerging new paradigm of policing multi-ethnic societies based on responses of the American police to today’s mix of ethnic diversity. That record provides much to be hopeful about, but some cautions must be noted, and much remains to be done. The portrait is at odds with one that might be imagined from reading the newspaper headlines, watching cable news, or reading twitter. Although appalling racial incidents continue to occur, to focus on them is to miss the profound changes that are taking place.
For those who believe that the complexity of the problems of policing multi-ethnic societies can be resolved by something as simple as adopting principles of community policing or by having the police agency staffed and controlled by members of a formerly marginalized minority are mistaken. In the end racially and ethnically sensitive policing depends upon good judgment by political leaders, police executives, and street officers, however good judgment is not guaranteed by either race or police strategy.
1.5 - Changes in Make-up of Administration of Justice Agencies5
There are approximately 18,000 Federal, state, county and local law enforcement agencies in the United States. These agencies range from police departments employing just one sworn officer to departments with more than 30,000 officers. In 2008, the Department of Justice's Bureau of Justice Statistics (BJS) conducted a census of state and local law enforcement agencies. That census, which included 17,985 agencies, found that those agencies collectively employed more than 1.1 million people on a full-time basis, nearly 800,000 as sworn personnel. The census revealed that the vast majority of these agencies - more than 12,000 - are local police departments, a category that includes municipal, county, tribal, and regional police departments. BJS's research also found that there are more than 3,000 sheriffs' offices; approximately 2,000 special jurisdiction agencies, which are agencies that provide police services for entities or established areas within another jurisdiction (e.g., parks, schools, airports, housing authorities, and government facilities); 50 primary state law enforcement agencies; and nearly 700 other agencies, such as county constable offices. BJS also conducted a census of Federal law enforcement agencies in 2008: that survey collected data from 73 agencies, which employed approximately 120,000 full-time sworn law enforcement officers.
More recent data from BJS' 2013 Law Enforcement Management and Administrative Statistics data collection (LEMAS Survey) provide information about the demographics of these law enforcement agencies. Of the more than 12,000 local police departments, and their nearly 500,000 sworn officers, 48 percent of the departments employed fewer than 10 sworn officers. While the vast majority of these departments employ a relatively small number of sworn officers, 54 percent of the sworn officers in this country work for departments in jurisdictions with 100,000 or more residents.
About 58,000, or 12 percent, of the full-time sworn personnel in these departments were female; female officers also accounted for nearly 10 percent of first-line supervisors in these departments. The LEMAS Survey found that 27 percent of full-time sworn officers are racial or ethnic minorities; African American and Latino officers each comprised around 12 percent, while other minority groups, including Asian American, Native Hawaiian, or other Pacific Islander; and American Indian or Alaska Native, collectively comprised 3 percent. The LEMAS survey found similar demographics in the nation's sheriffs' offices: 14 percent of their full-time sworn officers were female (and 12 percent of the first-line supervisors were female); racial minorities comprised 22 percent of those officers, with Latino, officers making up the largest share (11 percent), closely followed by African-American officers (9 percent).
Figure1.3 Source: Bureau of Justice Statistics, "Local Police Departments, 2013: Personnel, Policies, and Practices," (2015).
Figure 1.4 Source: Bureau of Justice Statistics, "Sheriffs' Office Personnel, 1993-2013," (2016).
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Think about it . . . Diversity in Law Enforcement
Enforcement agencies have become more diverse, at least by race/ethnicity and gender. BJS first began gathering data through the LEMAS Survey in 1987. In 1987, BJS recorded 27,000 women working as local police officers (8 percent); as noted above, that number has risen to 58,000 (12 percent) by 2013. In 1987, racial minorities made up 14.6 percent of all officers; they are now 27 percent. The rates of increase vary by group. Women were 8 percent of officers in 1987; 12 percent in 2007; and 12 percent in 2013. African Americans were 9 percent of officers in 1987; 12 percent in 2007; and 12 percent in 2013.Latinos were 4.5 percent of officers in 1987; 10.3 percent in 2007; and 11.6 percent in 2013. Asian Americans, Native Hawaiians, other Pacific Islanders, American Indians, and Alaska Natives were 0.8 percent of officers in 2987; 2.7 percent in 2007; and 3 percent in 2013.
Figure 1.5 Source: Bureau of Justice Statistics, "Local Police Departments, 2013: Personnel, Policies, and Practices," (2015).
Figure 1.6 Source: Bureau of Justice Statistics, "Women in Law Enforcement, 1987-2008," (2010);
Bureau of Justice Statistics, "
Local Police Departments, 2013: Personnel, Policies, and Practices," (2015).
Pin It! The Importance of Recruiting Diverse Populations
The challenge of recruiting, hiring, and retaining a diverse workforce is certainly not limited to law enforcement. Throughout the country, in nearly every sector of society, people and organizations are grappling with this issue. Employers in a variety of industries have engaged in proactive efforts to bolster diversity. Yet this challenge remains particularly urgent in the field of law enforcement. Law enforcement agencies fulfill a fundamental role in our society, and in many communities, individual police officers are often the public face of local government. It therefore is critical that our nation's law enforcement agencies broadly reflect the diversity of the communities they serve.
Increased diversity within law enforcement agencies - defined not only in terms of race and gender, but also other characteristics including religion, sexual orientation, gender identity, language ability, background, and experience - serves as a critically important tool to build trust with communities. This finding is bolstered by decades of research confirming that when members of the public believe their law enforcement organizations represent them, understand them, and respond to them - and when communities perceive authorities as fair, legitimate, and accountable - it deepens trust in law enforcement, instills public confidence in government, and supports the integrity of democracy. This trust is essential to defusing tension, to solving crimes, and to creating a system in which resident’s view law enforcement as fair and just. Victims and witnesses of crime may not approach or engage with law enforcement if they do not perceive such authorities to be responsive to their experiences and concerns. This trust - and the cooperation it facilitates - also enables officers to more effectively and safely perform their jobs.
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Think about it . . . Diversity Encourages Good Police Work
Research further suggests that increased diversity can make law enforcement agencies more open to reform, more willing to initiate cultural and systemic changes, and more responsive to the residents they serve. Some have pointed to increased diversity as a catalyst for reform, enabling officers and law enforcement leaders alike to become more introspective and reflective about problems in their departments. A more reflective and open-minded culture in an agency can help drive reform across a range of areas, including civilian oversight, community policing, and racial bias. In addition, while greater workforce diversity alone cannot ensure fair and effective policing, a significant - and growing - body of evidence suggests that diversity can have a positive influence on specific activities and practices of law enforcement agencies.
1.6 - Professional Image in Criminal Justice6
The "culture" of a police department reflects what that department believes in as an organization. These beliefs are reflected in the department's recruiting and selection practices, policies and procedures, training and development, and ultimately, in the actions of its officers in law enforcement situations. Clearly, all police departments have a culture. The key question is whether that culture has been carefully developed or simply allowed to develop without benefit of thought or guidance. There are police agencies, for example, where police use of force is viewed as abnormal. Thus, when it is used, the event receives a great deal of administrative attention. Such a response reflects the culture of that department: the use of force is viewed and responded to as an atypical occurrence. Contrast such a department with one that does not view the use of force as abnormal. In the latter case, there may be inadequate or poorly understood policies providing officers with guidelines regarding the use of force. There probably is no administrative procedure for investigating incidents where force is used, and, most importantly, the culture of the department is such that officers come to view the use of force as an acceptable way of resolving conflict.
Over the past few years, there has been significant progress in improving police-community relationships. Yet, the major problem creating friction between the police and the community today--especially in communities of color--is police use of deadly force. Only in recent years has the public become aware of this age-old problem. The fact that this problem existed for such a long time before receiving widespread attention can again be related to the culture of the police.
Until the Tennessee v. Garner decision in 1985, few if any police departments had developed their firearms policy around a value system that reflected reverence for human life. Rather, those agencies which did have written policies (and many did not) reflected the prevailing police culture in those policies. The prevailing culture centered on enforcement of the law. Thus, the official policies of most police agencies allowed officers to fire warning shots, to shoot fleeing felons, or to use deadly force in other circumstances reflected less than the highest value for human life.
It is clear that the culture of a police department, to a large degree, determines the organization's effectiveness. That culture determines the way officers view not only their role, but also the people they serve. The key concern is the nature of that culture and whether it reflects a system of beliefs conducive to the nonviolent resolution of conflict.
How do you establish a positive departmental culture that in turn manifests professional standards? In answering this question, it is important to emphasize again that all departments have a culture. It is also important to recognize that the culture of a police department, once established, is difficult to change. Organizational change within a police agency does not occur in a revolutionary fashion. Rather, it is evolutionary.
The beginning points in establishing a departmental culture is to develop a set of values. Values serve a variety of purposes, including:
• Set forth a department's philosophy of policing
• State in clear terms what a department believes in
• Articulate in broad terms the overall goals of the department
• Reflect the community's expectations of the department
• Serve as a basis for developing policies and procedures
• Serve as the parameters for organizational flexibility
• Provide the basis for operational strategies
• Provide the framework for officer performance
• Serve as a framework from which the department can be evaluated
In developing a set of values for a police department, it is not necessary to come up with a lengthy list. Rather, there should be a few values which, when taken together, represent what the organization considers important. For example, if it is the objective of the department to create a culture that is service oriented, then that should be reflected in its set of values. In other words, the importance of values is qualitative, not quantitative.
Finally, an essential role of the police chief is to ensure that the values of the department are well articulated throughout the organization. To accomplish this, the chief as leader must ensure that there is a system to facilitate effective communication of the values. This includes recognizing and using the organization's informal structure. This is important because, in addition to the formal structure, values are transmitted through its informal process as well as its myths, legends, metaphors, and the chief's own personality.
Each police department should develop a set of policing values that reflects its own community. Fortunately, there is a general set of values that can serve as a framework for any department to build upon to meet local needs. Developing a set of organizational values is not difficult. A police executive should first clearly explain what values are to those in uniform. Then the executive should ask each member of the department to list what he or she considers the five most important values for the department. The findings of such an exercise will represent a consensus on the values department members hold most dear--an excellent starting point for creating a set of departmental values.
The police department must preserve and advance the principles of democracy.
All societies must have a system for maintaining order. Police officers in this country, however, must not only know how to maintain order, but must do so in a manner consistent with our democratic form of government. Therefore, it is incumbent upon the police to enforce the law and deliver a variety of other services in a manner that not only preserves, but also extends precious American values. It is in this context that the police become the living expression of the meaning and potential of a democratic form of government. The police must not only respect, but also protect the rights guaranteed to each citizen by the Constitution. To the extent, each officer considers his or her responsibility to include protection of the constitutionally guaranteed rights of all individuals; the police become the most important employees in the vast structure of government.
The police department places its highest value on the preservation of human life.
Above all, the police department must believe that human life is the most precious resource. Therefore, the department, in all aspects of its operations, will place its highest priority on the protection of life. This belief must be manifested in at least two ways. First, the allocation of resources and the response to demands for service must give top priority to those situations that threaten life. Second, even though society authorizes the police to use deadly force, the use of such force must not only be justified under the law but must also be consistent with the philosophy of rational and humane social control.
The second concept is the most challenging and controversial due to accountability.
Police officers are expected to adhere to the laws provided by elected officials, judicial
case law, as well as the policies of the Departments which employ them, that is not in
dispute. Social rational and humane social control are moving targets and continually
evolving, thus how can officers legally (civil and criminal) adhere to the rational of
society, when the society encompasses differing groups?
The police department believes that the prevention of crime is its number one operational priority.
The department's primary mission must be the prevention of crime. Logic makes it clear that it is better to prevent a crime than to put the resources of the department into motion after a crime has been committed. Such an operational response should result in an improved quality of life for citizens, and a reduction in the fear that is generated by both the reality and perception of crime.
The police department will involve the community in the delivery of its services.
It is clear that the police cannot be successful in achieving their mission without the support and involvement of the people they serve. Crime is not solely a police problem, and it should not be considered as such. Rather, crime must be responded to as a community problem. Thus, it is important for the police department to involve the community in its operations. This sharing of responsibility involves providing a mechanism for the community to collaborate with the police both in the identification of community problems and determining the most appropriate strategies for resolving them. It is counterproductive for the police to isolate themselves from the community and not allow citizens the opportunity to work with them.
The police department believes it must be accountable to the community it serves.
The police department also is not an entity unto itself. Rather, it is a part of government and exists only for serving the public to which it must be accountable. An important element of accountability is openness. Secrecy in police work is not only undesirable but also unwarranted. Accountability means being responsive to the problems and needs of citizens. It also means managing police resources in the most cost-effective manner. It must be remembered that the power to police comes from the consent of those being policed.
The police department is committed to professionalism in all aspects of its operations.
The role of the professional organization is to serve its clients. The police department must view its role as serving the citizens of the community. A professional organization also adheres to a code of ethics. The Law Enforcement Code of Ethics must guide the police department. A profession polices itself. The police department must ensure that it maintains a system designed to promote the highest level of discipline among its members.
The police department will maintain the highest standards of integrity.
The society invests in its police the highest level of trust. The police, in turn, enter into a contractual arrangement with society to uphold that trust. The police must always be mindful of this contractual arrangement and never violate that trust. Each member of the police department must recognize that he or she is held to a higher standard than a private citizen. They must recognize that, in addition to representing the department, they also represent the law enforcement profession and government. They are the personifications of the law. Their conduct, both on and off duty, must be beyond reproach. There must not be even a perception in the public's mind that the department's ethics are open to question.
Recognizing that society is undergoing massive changes, police agencies are confronted with a great challenge. The essence of that challenge is to be able to respond to problems created by social change, while at the same time providing the stability that holds a society together during a period of uncertainty.
By setting forth a clear set of values, articulating what it believes in, the police department has a foundation to guide itself. Such a foundation also allows for organizational flexibility. In addition, a set of values provides the community with a means of assessing its police department without having to become involved in technical operations. Value statements serve as the linkage between the ongoing operations of a police department and the community's ability not only to participate, but also to understand the reason for police department strategies.
Act It Out! Law Enforcement Professionalism Activity
To promote and facilitate law enforcement professionalism, three (3) ethical dilemmas are listed below for discussion.
As learned in this first chapter, law enforcement officers have a difficult job. They are often placed in difficult situations and community tensions can increase the conflict between the community and law enforcement agencies. Knowing this, it is important to prepare yourself for how you will deal with difficult, uncomfortable and ethical issues you will face in the community.
Break up into groups and discuss the scenarios below. Using what you learned in this chapter, how will you handle the following situations.
1. You are on a DWI Checking Station when you hear a fellow officer says: Hey Bozo, move your *&^%%! car off my %\$^^&% highway! What will your response be?
1. Upon initial contact with a citizen, an officer is met with an aggressive attitude. The officer responds by mirroring the behavior to show he/she will not be intimidated and telling the person, calm down or you’re going to jail! What should be done?
1. In many cultures, saving face is of vital importance and could open or close communication from the outset. Your partner immediately intimidates the person to keep control of the situation. What will you do? | textbooks/workforce/Corrections/Community_and_the_Justice_System_(Wymore_and_Raber)/01%3A_The_Criminal_Justice_System_and_the_Community.txt |
Chapter 2 - Improving Human Relations and Understanding Non-verbal Communication
Key Learning Objectives:
• Explain how improving human relations techniques can improve community policing.
• Identify the importance of both verbal and non-verbal communication as a police officer
• Explain why it is important to train recruits on human relations. Identify where police departments have gained training insight from other professions.
2.1 - Improving Human Relations in Policing
In this unit we examine the importance for police departments to train and provide officers with human relations skills. This understand allows officers to deal with difficult and dangerous situations through de-escalation and communication skills. Most departments require recruits to demonstrate competency in areas such as firearms, tactics and driving, but more and more department are recognizing the need for human relations skills to be effective and efficient officers. In this section we will examine those skills can create a better partnership between the police and the communities they serve.
Pin It! Improving Human Relations Skills
Effective policing occurs when officers and members of the public partner to create safe and crime-free communities. This partnership requires that officers display not only strong technical capabilities but interpersonal skills. Therefore, law enforcement agencies must train their officers on how to interact effectively with the public.
Together, technical and interpersonal skills form the basis of all police work. Any well-established law enforcement agency trains and evaluates all recruits for their technical (e.g., tactical and legal) abilities. For example, in firearms training, recruits must earn a certain score to carry a weapon.
Unfortunately, many agencies do not concentrate on training and evaluating officers’ interpersonal skills (e.g., active listening, problem solving, persuasion, and conflict management) even though officers need them to competently execute tactical and legal tasks. If officers cannot communicate with the public, poor community relations will hinder even the most technically proficient departments.
To illustrate this point, in 1983, George Miller wrote about the tension that exists when the community and the police interact. He claimed these difficulties exist because of the different expectations and attitudes that each group brings to the encounter. This conundrum continues 27 years later as officers try to navigate their responsibilities amid police-community tension and increased expectations of privacy.
2.2 – Communication in Common Police Practice
Fundamentally, police officers do two things: they talk to people and they touch people. Most police activities involve one of these actions. The “touch factor” in police training, driven by concern for officer safety, encompasses instruction in firearms, motor vehicle stops, self-defense, arrest and control, and responses to crimes in progress. Instructors easily can witness and evaluate officers’ proficiency in these areas. For example, in firearms training, recruits must receive a certain score to qualify to carry a weapon.
The “talk factor” in police training focuses on verbal interactions during criminal investigations, traffic stops, interviews, and interrogations. Unlike technical skills, however, police instructors cannot easily witness and evaluate officer performance in these competencies. Yet, officers need these skills to ably execute tactical and legal tasks. The Connecticut Police Officers Standards and Training Council (POSTC) and the Kansas Law Enforcement Training Center (KLETC) both support this view and maintain that effective interpersonal skills are essential to virtually every aspect of police operation.
Law enforcement officers cannot avoid interactions with the public because they occur so frequently in three very common areas of police work: motor vehicle stops, criminal investigations, and domestic violence and conflicts. Officers’ interactions with the community as part of these duties illustrate the need for interpersonal skills training in law enforcement academies.
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Think About It . . . Enhancing Communication Skills
Good communication skills can make all the difference in civilian exchanges, the first four seconds of contact between an officer and an individual can determine the entire course of an interaction. Watch this video in which Lt. Kevin Dillon talks about the value of good communication skills.
Motor vehicle stops are considered one of the best ways to prevent crime, and they present the primary opportunity for communication between officers and the public; unfortunately, traffic stops also serve as the most frequent source of complaints against the police when they lead to conflict between the stopped individuals and officers.
While law enforcement cannot avoid all hostility from motorists, the outcome of such conflicts depends on how officers approach the situation. Even when the incident requires enforcement action, officers should make every possible effort to seek a satisfactory outcome for everyone involved. Officers cannot predict the exact behaviors they will encounter during motor vehicle stops, and, thus, they need strong interpersonal skills to minimize hostility and misunderstandings in these situations.
In criminal investigations, the community calls upon police officers to assist individuals who have suffered the most negative experiences imaginable, and the outcomes of these investigations dramatically influence those involved. During these cases, the investigating officers’ interpersonal skills significantly influence the community’s impression of the police. Public perception, in turn, affects the success of investigations by influencing community members’ willingness to provide information.
Often, domestic conflict involves physical violence coupled with strong emotions. Officers who respond to these situations must secure the scene and gather information to determine probable cause. A strong foundation of verbal and nonverbal skills allows officers to accomplish these tasks in a sensitive environment.
Essential Techniques
To improve officers’ performance in common police practices, agencies can instruct personnel on basic competencies that ease communication between the police and the public during motor vehicle stops, criminal investigations, and domestic conflicts. These skills fall into three categories: setting the stage, gathering evidence, and confirming information.
To set the stage for effective communication, officers should practice crucial verbal and nonverbal conversation habits. These include eye contact, body position, voice tone, facial expressions, gestures, physical distance, and physical contact. Police also should use open invitations to talk, such as encouragers and closed and open-ended questions.
When gathering evidence, four communication skills assist officers in collecting pertinent information: focusing, paraphrasing, reflecting, and confronting. Focusing helps with re-framing and reconstructing problems. When paraphrasing, officers restate someone’s thoughts in different words and in a nonjudgmental manner. Reflecting involves feelings as officers articulate an individual’s emotions, whether stated or implied. Finally, confronting aids police in identifying discrepancies in a story.
To confirm information, officers should use two strategies to pull together relevant data and ensure that they accurately capture an individual’s story. Clarifying confirms that the officer and the individual agree on the exchanged information and summarizing establishes that all information gathered is accurate.
2.3 – Interpersonal Skills Training in Law Enforcement
Some law enforcement training programs, such as POSTC and KLETC, already provide communications-based instruction for recruits. However, current descriptions of many training programs fail to explain how learning objectives link to lesson plans. Instructors might simply describe these skills in class, telling their students “You use interpersonal skills when you walk up to motorists with a friendly demeanor and engage them in conversation.” Alternatively, maybe teachers describe skills, model them, and evaluate recruits. Perhaps, students only observe the instructor, or, maybe, they practice, demonstrate, and master these skills. Currently, a lack of clarity surrounds how academies determine that police recruits truly master the competencies in a communications-training curriculum.
Counselor Education Training Programs
As police academies determine how to teach and evaluate interpersonal skills, they should consider using methods from counselor education curricula. Counseling-education students complete at least one course on essential interpersonal skills and then apply these techniques to all other areas of their training. Similarly, in police academies, interpersonal skills should be taught and mastered independently so that recruits can use these abilities to supplement technical training. Six steps comprise a common procedure in counselor education courses; this process exemplifies how law enforcement academies can teach their own recruits.
1) The instructor presents, defines, and demonstrates a specific capability to the class.
2) The students practice the skill, often in groups of three. One student takes on the role of the counselor, another plays the client and the third observes. Group members take a turn in each role.
3) Class members discuss their challenges with each task, and they continue to practice.
4) Each student performs in front of the class and instructor, who evaluates each class member on all of the assigned skills.
5) The class repeats steps 1 through 4 until all techniques are introduced, modeled, practiced, demonstrated, and evaluated.
6) At the end of the semester, students demonstrate all of the competencies that they learned in the course during a 10- to 15-minute mock counseling session. The instructor videotapes each session and evaluates the students’ command of all the skills.
Many counselor education course materials outline systematic processes for learning interpersonal skills, which police academies can adapt for law enforcement. Recruits can practice their techniques by modeling common interactions between the police and the public. Additionally, instructors should consider using counseling interns or other trained non-police personnel to facilitate recruits’ learning.
This initial training builds an essential foundation for new officers because they need to master communication skills before they execute tactical and legal tasks. In this context, law enforcement training resembles learning to play an instrument, like the piano. Beginners must learn certain basic and requisite piano techniques, regardless of their chosen genre, before they can progress. In law enforcement, all new officers must master verbal and nonverbal interpersonal skills regardless of their job function, title, or location.
Lessons from the Medical Profession
Though law enforcement and medicine seem unrelated, both professions demand interpersonal skills for many of the same reasons because they blend technical tasks with frequent human interaction. Like doctors, police officers must listen to and understand the public—their “patients.” When officers communicate effectively, it strengthens their ability to gather pertinent information, supplements their technical knowledge, and breaks down barriers between the police and the public. These items mirror how interpersonal skills function in medicine because doctors must bridge the gap between professionals and patients to practice medicine competently.
Both doctors and police rely on information from human sources to facilitate their investigations. “If the doctor does not facilitate the story telling, “if the patient is not encouraged to go on “the patient very often will not.” The same logic applies to interview subjects: Witnesses provide however much or little information is drawn from them, depending on how the officers conduct the interview. Just as spoken and unspoken language influences patients’ willingness to comply with their doctors, the same factors influence an individual’s cooperation with the police.
Doctor-patient communication remains at the forefront of medical education. In classes, internships, and residencies, medical students learn how to interact better with patients, which enhances care. Police recruits need to learn the same type of skills in the academy. Then, after this initial training, officers can apply their techniques on the job and, thus, build trust and cooperation with the community.
2.4 – Human Relations Commissions and Guidelines
The purpose and intent of Human Relations Commission is for a citizen group to consult with and advise elected officials of a city or county government to equal economic, political, and educational opportunity, to equal accommodations in all business establishments in the City, and to equal service and protection by public agencies. The Commission normally give effect to such rights to eliminate prejudice and discrimination because of race, religion, color, national origin or ancestry, age, gender, sexual orientation, disability, medical condition, place of birth, citizenship, marital status, military service, or any other characteristic protected by applicable federal, state, or local laws.
The Commission normally provides advice and assistance to all elected leaders of the governing body in order that all officers, agencies, boards, departments, and employees may take ameliorative steps to enhance peace and good order and provide equal opportunity for and good will toward all people. Further, the Commission may recommend use of mediation and/or conciliation processes to attempt to eliminate alleged unfair or unlawful discriminatory practices.
Human relation commissions guidelines
The Commission shall be given the following guideline for completion of the mission purpose.
• Conduct programs designed to bring groups together to close gaps resulting from past discriminatory practices and to proactively address current or ongoing inter-group tensions.
• Mediate disagreements among individuals, groups, and organizations, which result from discriminatory practices within the commission’s scope.
• Process complaints.
• Adopt, by two–thirds vote of its members, bylaws governing the conduct of its meetings and activities, the establishment of subcommittees, and such other rules as may be necessary for the performance of its functions; provided, that such bylaws shall specify that a quorum shall at all times consist of a majority of its authorized membership and that any amendments to the bylaws shall require an affirmative vote of two–thirds of its authorized membership.
• Maintain records and serve as the source of accurate and reliable data on practices, activities, and other problems, which are the subject to their jurisdiction.
• Render a written report of its activities annually. Such report shall include summaries of recommendations for development of policies and procedures, additional legislation deemed by the Commission to be necessary, presentations by citizens and organizations, and recommended actions to be taken.
• In addition to the other powers and duties, some Commission will have the power to do the following:
• Prepare and disseminate educational and informational material relating to prejudice and discrimination and recommended ways and means of eliminating such prejudice and discrimination.
• Furnish cooperation, information, guidance, and technical assistance to other public agencies and private persons, organizations, and institutions engaged in activities and programs intended to eliminate prejudice and discrimination.
• Consult and maintain contact with other public agencies and representatives of employers, labor unions, property owners’ associations, professional associations, national origin groups, community organizations concerned with interracial, inter-religious, and intercultural understanding, social welfare organizations, and such other private organizations and institutions as the Commission shall deem advisable.
• Advise and make written recommendations to the concerning the development and implementation of programs and practices for furthering the objectives of the Commission. If necessary, the Commission and an agency, board, or officer, which the Commission is assisting, shall submit timely reports of progress in establishing and implementing such programs and practices. Most Commission's shall not have jurisdiction over matters within the authority of the Civil Service Commission or the Citizens Equal Opportunity Commission including, but not limited to, City employee discrimination complaints or minority contracting practices.
• Investigate, and with the assent of the concerned parties, conciliate or mediate all incidents of discrimination within the scope of the Commission to the extent such functions are not within the responsibilities of the California Fair Employment Practices Commission or any federal, county, state, City, or other established agency, and make specific and detailed recommendations to the interested parties as to the method of eliminating such discrimination.
• Prepare, encourage, and coordinate programs based on established laws, regulations, policies, or goals to eliminate or reduce existing inequalities and disadvantages in the community resulting from past discriminatory practices.
• Hold public meetings on community–wide problems, which may result in discrimination because of race, religion, color, national origin or ancestry, age, gender, sexual orientation, disability, medical condition, place of birth, citizenship, marital status, military service, or any other characteristic protected by applicable federal, state, or local laws.
• Refer for appropriate legal action any matters not resolved through conciliation or mediation to the appropriate prosecutorial or regulatory entity.
2.5 – Non-Verbal Communication
Pin It! Non-verbal Communications in Community Relations
Just as verbal language is broken up into various categories, there are also different types of nonverbal communication. As we learn about each type of nonverbal signal, keep in mind that nonverbals often work in concert with each other, combining to repeat, modify, or contradict the verbal message being sent. View this PowerPoint on communication skills to review the types of communication.
Kinesics
The word Kinesics comes from the root word kinesis, which means “movement,” and refers to the study of hand, arm, body, and face movements. Specifically, this section will outline the use of gestures, head movements and posture, eye contact, and facial expressions as nonverbal communication.
Gestures
There are three main types of gestures: adapters, emblems, and illustrators (Andersen, 1999). Adapters are touching behaviors and movements that indicate internal states typically related to arousal or anxiety. Adaptors can be targeted toward the self, objects, or others. In regular social situations, adapters result from uneasiness, anxiety, or a general sense that we are not in control of our surroundings. Many people subconsciously click pens, shake our legs, or engage in other adapters during classes, meetings, or while waiting as a way to do something with our excess energy. Public speaking students who watch video recordings of their speeches notice nonverbal adapters that they did not know they used. In public speaking situations, people most commonly use self- or object-focused adapters. Common self-touching behaviors like scratching, twirling hair, or fidgeting with fingers or hands are considered self-adapters. Some self-adapters manifest internally, as coughs or throat-clearing sounds. Some people subconsciously gravitate toward metallic objects like paper clips or staples that hold notes together and bend them or fidget with them. Other people play with dry-erase markers, their note cards, the change in their pockets, or the lectern while speaking. Use of object adapters can also signal boredom as people play with the straw in their drink or peel the label off a bottle of beer. Smartphones have become common object adapters, as people can fiddle with their phones to help ease anxiety. Finally, as noted, other adapters are more common in social situations than in public speaking situations given the speaker’s distance from audience members. Other adapters involve adjusting or grooming others, similar to how primates like chimpanzees pick things off each other. It would definitely be strange for a speaker to approach an audience member and pick lint off his or her sweater, fix a crooked tie, tuck a tag in, or pat down a flyaway hair in the middle of a speech.
Emblems are gestures that have a specific agreed-on meaning. These are still different from the signs used by hearing-impaired people or others who communicate using American Sign Language (ASL). Even though they have a generally agreed-on meaning, they are not part of a formal sign system like ASL that is explicitly taught to a group of people. A hitchhiker’s raised thumb, the “OK” sign with thumb and index finger connected in a circle with the other three fingers sticking up, and the raised middle finger are all examples of emblems that have an agreed-on meaning or meanings with a culture. Emblems can be still or in motion; for example, circling the index finger around at the side of your head says, “He or she is crazy,” or rolling your hands over and over in front of you says, “Move on.” | textbooks/workforce/Corrections/Community_and_the_Justice_System_(Wymore_and_Raber)/02%3A_Improving_Human_Relations_and_Understanding_Non-verbal_Communication.txt |
Chapter 3 – The Evolving Nature of Multiculturalism and Community Engagement
Key Learning Objectives:
• Be able to explain culture and how it impacts law enforcement and the community they serve
• Explain the history of multiculturalism and how it presents challenges for law enforcement agencies
• Be able to identify how police departments can improve diversity through hiring and recruitment processes.
• Identify key laws and how they impact hiring, testing and examination processes used by police departments
3.1 - What is a Culture?8
Culture is one of those broad concepts that is used widely, although somewhat imprecisely, in everyday English. It also cuts across many academic disciplines. It touches, for instance, on anthropology, biology, history, mythology, political science, psychology, and sociology.
Pin It! Presentation on Culture and Society
View this PowerPoint on Culture and Society to better define these terms.
3.2 - History of Evolution of Multiculturalism in the United States9
Where countries are changing and adding cultural and ethnic multiplicity, the police are most likely to be aligned with the old cultural and ethnic guard, or they may be perceived as such by new, or newly empowered, constituents. As a result, questions about the philosophy and practice of policing are ultimately liable to come under close and probing scrutiny.
The police operate at “street level,” where they have direct contact with all who are involved in any way with law and public safety. In fact, the police represent the sole agency with which the vast majority of those who ever have any dealings with the criminal justice system come into contact. As a result, the police have enormous power to influence attitudes and public opinion about fundamental concerns regarding a political entity’s capacity to act in just, legitimate, and accountable ways. Police-community relations are shaped on the street and in the station houses, and it is there that such controversial practices as profiling and “zero tolerance” are enacted. Using their discretionary arrest powers, the police are also the gatekeepers of the criminal justice process. They determine who is subjected to the power of the law and who is not.
Because of this unique role and powerful position in society, the police are likely both to
influence and to be influenced by the social implications of migration and shifts in the political power of various communities. Rapid transformations in the relative heterogeneity of the population, and the accompanying discourse on multiculturalism, can lead to questions about the validity of definitions of laws or crimes for some groups and conceptions of “order” or “disorder” for others. Conversely, the arrival of new groups often provokes questions about the appropriateness of practicing what those groups consider “normal” domestic or familial relations, duties, or privileges. Thus, an increase in the number of ethnic, cultural, and linguistic communities and racial groups can give rise to conflicts about the legitimacy of legal and communal standards and definitions, and hence present an enormous challenge to law enforcement and order maintenance activities.
Police dealings with racial and ethnic minorities today are constrained by cultural and legal norms that are palpably different from those of the past. In the United States and elsewhere, there is a new level of cultural support for tolerance and equal treatment under the law. For America, this is a matter of cultural realities catching up with national ideals.
The United States is a nation of immigrants. From the beginning, it espoused the ideals of pluralism and equality. George Washington and other leaders thought they were creating a new race of men into which all the tribes of the world would be welcome to meld together, forming a new breed. It has taken two centuries to approach those ideals: one century to abolish slavery and another to prohibit discrimination.
The civil rights movement of the 1960s had a profound effect. Bigotry and direct discrimination still occur. But they no longer enjoy the protected status and public tolerance they once had. They are acts of individuals; not public policies enacted with the intent to discriminate. The police (and the government in general) can no longer choose sides. They must strive for impartiality or risk public denunciation and lawsuits.
For instance, the last time the United States faced the massive immigration it is experiencing today was at the end of the 19th century. Large numbers of immigrants from Southern and Eastern Europe streamed into the country. In the name of protecting the Anglo-Saxon race from mongrelization, political elites succeeded in passing immigration laws that completely prohibited the immigration of Asians and placed restrictive quotas on the immigration of Italians, Slavs, and Jews.
Such patent discrimination is now unthinkable. Immigration restrictions were eliminated in the 1960s and 1970s as the norms against discrimination began permeating the culture. The impact of this change on policing can be seen in various examples. In 1954, state and local police throughout the southwestern states joined with the federal government to conduct a massive deportation of Mexican workers who were in the country illegally. Over a few weeks, 100,000 Mexicans were rounded up and expelled in what was officially called Operation Wetback. Radio stations called upon people to turn in suspected illegal immigrants. No apology was made, either for the use of ethnic slur “wetback” or for the harassment of Mexican American citizens who were caught up in the dragnet.
In contrast, in 1997 the Chandler (Arizona) Police Department joined with the Federal Border Patrol to round up and deport 400 illegal Mexicans. In the process, they stopped several people who appeared to be Mexican and demanded to see their migration papers. The people were Americans and they objected. They filed a \$32 million lawsuit against the city and won. Moreover, the Arizona Attorney General issued a scathing criticism of the police. A human relations officer and a Hispanic police liaison officer were appointed. Police officers were required to attend 1,500 hours of classes on cultural awareness and hate crimes.
3.3 - Policing Challenges Present in a Multicultural Society10
Delivery of policing services in multicultural communities is now common. Immigration has been the major driver of growth in many areas of the country. Asian immigrants have accounted for 43 percent of this growth since 1970, greatly increasing the presence of languages, cultural values, experiences, and lifestyles with which many other Americans have had little contact. Hispanic immigration and migration have reached every State in the country, resulting in new cross-cultural exchanges in many communities.
The social fabric of many communities is in transition. Multiculturalism is already a reality in many communities and institutions. The extraordinary infusion of newcomers can heighten risk factors for conflict because of the underdevelopment of social organization within the newly arrived population and the inexperience of existing governmental and community resources working with them. The movement of existing American-born racial and ethnic populations towards an increasingly suburban and rural pattern includes heightened vulnerability to racial incidents and conflict between police and citizens. Organized racial or ethnic gangs or gang-like groups may form to prey upon newer residents of other races and ethnic groups in an attempt to force them to move and to prevent others from moving to suburban or rural communities.
For these reasons understanding and recognizing changing community cultural and ethnic diversity is important to contemporary law enforcement efforts. Cultural characteristics such as language, customs and traditions are key elements which affect the relationship between immigrant populations and police. The challenge for the law enforcement is to recognize community and cultural diversity by effectively responding to the law enforcement and community needs of culturally diverse groups. In trying to accomplish this mission law enforcement executives have successfully utilized such strategies as recruiting officers from the immigrant community, cultural diversity training, community involvement, establishing community advisory committees, and educating the immigrant population on the fundamentals of the U.S. criminal justice system.
Expanding or establishing community organizations to bridge relationships between racial and ethnic groups and between law enforcement and the community may be an important step towards improving community relations. Law enforcement executives and police officers would be well served by a high degree of involvement with community organizations, so that members of the police department are clearly seen as members of the community.
As has been discussed throughout this chapter, community engagement is an essential component of police reform strategy. At the remedies stage, the focus shifts from the Division’s engagement with the community to the law enforcement agency’s engagement with the community, as well as the broader question of the agency’s accountability to democratic processes and the public. Community engagement, oversight, and democratic accountability go hand-in-hand in the Division’s current generation of reform agreements. All of the Division’s current generation of consent decrees require some form of community outreach and engagement, including mechanisms to institutionalize strong relationships between the law enforcement agency and the community it serves, ensure the community has a role in setting priorities for a police department, and make police practices and data transparent to the public.
Community Outreach Plans:
Nearly all of the Division’s current generation of reform agreements require law enforcement agencies to develop a plan for institutionalizing community engagement, whether by appointing community liaison officers, fostering police community partnerships, holding regular community meetings, or tracking and rewarding positive interactions between officers and community groups. For example, in East Haven, Connecticut, the Division’s reform agreement requires the appointment of a Community Liaison Officer fluent in English and Spanish whose responsibilities include monthly community meetings, review of civilian complaints to identity trends in community concerns, and regular briefings on community engagement with police leadership.
Community Committees or Councils:
The Division’s current model emphasizes the creation of or investment in standing committees or councils of community members with authority to advise the law enforcement agency about community concerns and proposed reforms. For example, in Seattle, Washington, the Division’s reform agreement established a Community Police Commission with diverse membership and broad authority to review and provide input on police reform and to receive and incorporate community feedback.
Civilian Complaint Review Boards:
Civilian review boards, which are a focus of the discussion of accountability mechanisms in the section that follows, provide another mechanism for community members to engage with police practices.
Community-Based Mediation Programs:
Some agreements—notably those in Ferguson, Missouri and New Orleans—provide for neighborhood-based mediation programs to promote the diversion of community disputes out of the criminal justice system and into community based, community-run institutions.
Data Collection and Transparency:
Robust collection of data about police activity, as well as ensuring transparency and accessibility of that data—also discussed as part of accountability measures below—are important to ensure that communities have the tools to provide informed input.
The Role of the Independent Monitoring Team:
As previously discussed, laying the foundation for strong police-community relationships is one of the most critical roles of the independent monitoring team. The Division’s agreements generally institutionalize face-to-face meetings 30 between the monitoring team and the public, to ensure that communities are engaged in the process of reform. The Division also maintains ongoing community engagement during the lifetime of a reform agreement, drawing upon the relationships established from the earliest days of an investigation. But the goal of the Division’s reform agreements is to ensure that once the Division and the independent monitor leave the jurisdiction, vibrant police-community relationships will remain as the foundation of sustainable constitutional policing.
3.5 - Police Personnel Management in a Multicultural Society - Why Diversity in Law Enforcement Matters12
The challenge of recruiting, hiring, and retaining a diverse workforce is certainly not limited to law enforcement. Throughout the country, in nearly every sector of society, people and organizations are grappling with this issue. Employers in a variety of industries have engaged in proactive efforts to expand opportunity and strengthen diversity. Yet this challenge remains particularly urgent in the field of law enforcement. Law enforcement agencies fulfill a fundamental role in our society, and in many communities, individual police are often the public face of local government. It therefore is critical that our nation's law enforcement agencies broadly reflect the diversity of the communities they serve.
Increased diversity within law enforcement agencies defined not only in terms of race and gender, but also other characteristics including religion, sexual orientation, gender identity, language ability, background, and experience - serves as a critically important tool to build trust with communities. This finding is bolstered by decades of research confirming that when members of the public believe their law enforcement organizations represent them, understand them, and respond to them, and when communities perceive authorities as fair, legitimate, and accountable, it enhances trust in law enforcement, instills public confidence in government, and supports the integrity of democracy. This trust is essential to defusing tension, to solving crimes, and to creating a system in which resident’s view law enforcement as fair and just. Members of the public, including victims and witnesses of crime, may not approach or engage with law enforcement if they do not perceive such authorities to be responsive to their experiences and concerns. This trust - and the cooperation it facilitates - also enables officers to more effectively and safely perform their jobs.
Research further suggests that increased diversity also can make law enforcement agencies more open to reform, more willing to initiate cultural and systemic changes, and more responsive to the residents they serve. Some have pointed to increased diversity as a catalyst for reform, enabling officers and law enforcement leaders alike to become more introspective and reflective about problems with their departments. A more reflective and open-minded culture in an agency can help drive reform across a range of areas, including civilian oversight, community policing, and racial bias.
Additionally, a commitment to diversity by law enforcement agencies ensures that crucial public-sector jobs are available to all eligible qualified candidates and therefore helps ensure equal employment opportunity for all. Positions within law enforcement agencies often serve as the backbone of many communities, offering rewarding, long-term careers. Jobs in law enforcement create new pathways of economic opportunity for men and women motivated to serve their community and work hard to provide for their families and lift themselves into the middle class.
In addition, while greater workforce diversity alone cannot ensure fair and effective policing, diversity can have a positive influence on specific activities and practices of law enforcement agencies.
Social science research indicate there are likely four relevant factors at play contributing to creating a multicultural police department : (1) increased representation of racial minorities increases the legitimacy of the law enforcement agency among minority residents; (2) a greater presence of officers who are racial minorities not only is likely to change the public's perception of the agency, but these officers are also likely to be more knowledgeable and empathetic about the concerns and culture of minority communities; (3) a higher number of minority officers within an agency provides opportunities for greater contact and interactions between white and minority officers, which can shape new opinions and reduce negative beliefs or stereotypes about minority communities; and (4) the presence of minority officers is likely to introduce different perspectives into an agency.
State of Diversity in American Law Enforcement
There are approximately 18,000 Federal, State, County and local law enforcement agencies in the United States. These agencies range from police departments employing just one sworn officer to departments with more than 30,000 officers. In 2008, the Department of Justice's Bureau of Justice Statistics (BJS) conducted a census of state and local law enforcement agencies. That census, which included 17,985 agencies, found that those agencies collectively employed more than 1.1 million people on a full-time basis, nearly 800,000 as sworn personnel. The census revealed that the vast majority of these agencies - more than 12,000 - are local police departments, a category that includes municipal, county, tribal, and regional police departments. BJS's research also found that there are more than 3,000 sheriffs' offices; approximately 2,000 special jurisdiction agencies, which are agencies that provide police services for entities or established areas within another jurisdiction (e.g., parks, schools, airports, housing authorities, and government facilities); 50 primary state law enforcement agencies; and nearly 700 other agencies, such as county constable offices. BJS also conducted a census of Federal law enforcement agencies in 2008: that survey collected data from 73 agencies, which employed approximately 120,000 full-time sworn law enforcement officers.
More recent data from BJS' 2013 Law Enforcement Management and Administrative Statistics data collection (LEMAS Survey) provide information about the demographics of these law enforcement agencies. Of the more than 12,000 local police departments, and their nearly 500,000 sworn officers, 48 percent of the departments employed fewer than 10 sworn officers. While the vast majority of these departments employ a relatively small number of sworn officers, 54 percent of the sworn officers in this country work for departments in jurisdictions with 100,000 or more residents. About 58,000, or 12 percent, of the full-time sworn personnel in these departments were female; female officers also accounted for nearly 10 percent of first-line supervisors in these departments. The LEMAS Survey found that 27 percent of full-time sworn officers are racial or ethnic minorities; African-American and Latino officers each comprised around 12 percent, while other minority groups, including Asian American, Native Hawaiian, or other Pacific Islander; and American Indian or Alaska Native, collectively comprised 3 percent. The LEMAS survey found similar demographics in the nation's sheriffs' offices: 14 percent of their full-time sworn officers were female (and 12 percent of the first-line supervisors were female); racial minorities comprised 22 percent of those officers, with Latino officers making up the largest share (11 percent), closely followed by African-American officers (9 percent).
Practices for Increasing Diversity
By adopting proactive recruitment, hiring, and retention strategies, law enforcement agencies can address barriers, drive reform, and make progress in ensuring that they more closely reflect the diversity of the communities they serve. In the section that follows, the promising practices - identified through existing online materials, independent research, and interviews - that various law enforcement agencies around the country have found to be particularly effective at increasing the diversity of their sworn officers. Given the sheer number of law enforcement agencies in the United States, it would nearly impossible to provide a comprehensive examination of promising practices that have been developed and are being used, but it does provide a number of salient examples focused on the key areas of recruitment and hiring.
As previously noted, the practices discussed in this section should not be viewed as cure-all solutions for advancing diversity within law enforcement agencies. The effectiveness of any strategy to address diversity will depend on a number of localized factors specific to a law enforcement agency and the jurisdiction in which it operates. Moreover, the vast majority of the agencies consulted during this effort - including those discussed below - highlighted that there is more work they need to do in order to ensure that they better reflect the diversity of their communities. Nonetheless, the practices discussed below highlight promising efforts that have been adopted or are underway in communities across the country to advance diversity.
While the practices adopted by law enforcement agencies vary considerably, successful diversity-building efforts by law enforcement agencies share several common themes, including:
Ensuring that the agency's organizational culture is guided by community policing and procedural justice:
Especially in communities that historically have had negative interactions with law enforcement, facilitating a culture that prioritizes community policing strategies - along with policies, programs, and practices that support diversity - can encourage individuals from these communities not only to consider, but also to apply for jobs as officers. Such a culture invites individuals who may not have previously considered law enforcement as a viable career option to view the profession as an impactful and meaningful way to serve their community.
Engaging stakeholders - both from within and outside the law enforcement agency to play a role in creating a workforce that reflects the diversity of the community:
While chiefs, senior management, and human resource personnel may play pivotal roles in the hiring process in most law enforcement agencies, there are many others who can be called upon to assist in the process of attracting, selecting, and retaining a cadre of officers that reflects the diversity of the community. Officers and other personnel are often the best spokespeople and advocates for their agencies. They can be deployed to connect and engage with a diverse array of individuals to increase their awareness about law enforcement careers, address barriers encountered during the application process, and provide support and mentorship once officers are on the job. There is also a plethora of community organizations that stand willing and ready to partner with law enforcement agencies.
Being willing to re-evaluate employment criteria, standards, and benchmarks to ensure that they are tailored to the skills needed to perform job functions, and consequently attract, select, and retain the most qualified and desirable sworn officers:
Law enforcement agencies that have seen success in attracting a diverse workforce have generally paid particular attention to specific trends within their agencies that disproportionately affect applicants who are racial minorities, women, or from other underrepresented populations during the hiring process. Once cognizant of these barriers, these agencies have taken steps to proactively address the problem and ensure that criteria, standards, and benchmarks are job related and consistent with law enforcement needs. This has helped these agencies attract, select, and retain qualified officers with the values and skill sets necessary for the job.
Recruitment
Many law enforcement agencies have succeeded at recruiting racial minorities, women, and other individuals from underrepresented populations by partnering with community or civic organizations. For these agencies, community outreach - which can include "meet and greet" events, programming at religious and educational institutions, and community fairs - is not an optional engagement, but rather a critical part of their recruitment efforts. A number of agencies have worked to formalize these types of community engagement efforts. A central underpinning of this approach is the recognition that a law enforcement agency's existing workforce, particularly its cadre of sworn officers, is one of their most valuable recruitment tools. Yet these agencies recognize that effective recruitment means deploying these officers in a manner that will yield an applicant pool that is not only qualified for the job but also reflective of the broader community. To that end, agencies have thoughtfully considered how they can best use their existing workforce and their interactions with community and civic organizations to accomplish this objective:
• The Worcester (Massachusetts) Police Department organizes application process workshops and conducts outreach to religious and faith-based organizations, local colleges, veterans, and minority-owned businesses, and community-based social service agencies including those serving Southeast-Asian (primarily Vietnamese), African-American and Latino communities. In addition to engaging potential applicants from these communities that are underrepresented within the police department, these workshops are targeted to particular members of historically-underrepresented communities, including, for example, highly esteemed Vietnamese community elders who share information with their grandchildren and other family members or social workers who share their knowledge of the application process with their clients. These outreach efforts reflect the police chief's specific focus on increasing diversity among the department's ranks. With the added benefit of an intact consent decree in place for the Worcester Police Department, these efforts have paid dividends: in 2015, the department reported that, out of the all men who took the civil service exam, 37 percent were men of color; out of all women who took the exam, 56 percent were women of color.
• The Miami-Dade (Florida) Police Department has engaged in a number of community-oriented programs that it attributes to bolstering its share of officers who are women and racial minorities. In addition to "meet and greet" events that take place at churches and community fairs, the police department places a significant emphasis on having a designated officer to recruit fellow officers within the department to go out and speak to the community. It also employs and promotes a ride-along observer program to attract a diverse pool of applicants and introduce them to the duties and responsibilities of the job
• The Madison (Wisconsin) Police Department empowers and expects its officers to engage in recruitment efforts. To that end, it has established recruiting cadres for specific areas of interests, geographies, or backgrounds, including a focus on candidates of color, veterans, and women. Each recruiting cadre is tasked with continually updating its strategies in order to ensure that the recruitment message is focusing on specific demographics. The cadres also include civilian employees, who are encouraged to assist in recruiting efforts. The department has found that these employees are especially helpful in dispelling myths and fighting stereotypes about the department.
• The Austin (Texas) Police Department, in an effort to encourage more women to apply, organizes recruitment and information sessions specifically designed to explain the hiring process and career opportunities for women at the agency. The department publishes YouTube videos, such as "Women of APD," that feature women talking about their experience serving as officers in the police department.
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Think about it . . . Officer Recruitment Campaigns
Below are links to promotional videos for three different police departments. Watch at least two of them.
Each video chooses a different medium to emphasize different aspects of police work. Which promotional video did you think was most effective? Why? If you oversaw a recruitment video for your local police department what would you choose to focus on? Why?
A number of law enforcement agencies have partnered with educational institutions within their communities, including K-12 schools, colleges, and universities, in an effort to encourage youth to consider careers in law enforcement. This approach allows students to build relationships with their local agencies as well as gain an understanding about the unique challenges and rewards that come with a career in law enforcement. This outreach also provides students an opportunity to interact with police outside of the enforcement context. Additionally, these partnerships afford agencies an opportunity to counsel youth early enough to facilitate later success in the application process, by, for example, counseling youth about the need to be truthful during polygraph exams, raising awareness about how the agency weighs previous drug usage, and emphasizing the importance of maintaining good credit.
• The Detroit (Michigan) Police Department engages in a range of outreach efforts with high school students, specifically focusing on outreach to African-American youth to build relationships with them in the classroom and outside of an enforcement context. Through elective classes and mentoring programs in high school, the department is working to address negative perceptions about the police in urban neighborhoods and encouraging students to consider career in law enforcement. The department's student engagement work includes inviting students to write essays about the changes they want to see in their city.
Many agencies have realized that in their efforts to effectively allocate limited resources, online communication can be a valuable asset in their recruitment strategies. This can be particularly useful for smaller agencies that do not always have the budget or personnel to travel or run comprehensive recruitment programs. Moreover, given that many individuals, and particularly younger people, predominantly rely on the internet to seek out and research career opportunities, the innovative use of technology and social media can ensure that law enforcement agencies are reaching a diverse array of potential applicants.
• The Metropolitan (District of Columbia) Police Department prioritizes innovative technology strategies to recruit officers. Ninety percent of applicants initially get in touch with the department, which maintains a robust Facebook and Twitter presence, from either their smartphone or tablet, according to a September 2016 Washington Post story. [Select Link to read full story] The agency also uses live online chat rooms to interact directly with potential applicants, has revamped and streamlined its online advertising, and is in the process of building a new website focused solely on recruiting, with a customer service focus centered around instant answers to questions from applicants.
Hiring
Law enforcement is a profession that, for good reason, requires extensive vetting, research, and investigation before choosing to hire an officer. Standards undoubtedly have an important role to play in the process. But certain barriers - including background investigations that treat all arrests and criminal convictions alike regardless of type of offense or how recent the occurrence, or even screen out those voluntarily admitting to drug use alone (without any conviction) can prevent the agency from hiring the diverse officers it needs to connect with and serve the entire community. Cognizant of this challenge, many agencies have begun to re-evaluate such barriers and more holistically evaluate what an applicant can contribute to the agency and the community by also considering facts about one's experience, skills, or record in a broader, comprehensive context.
• The Wichita (Kansas) Police Department has restructured its hiring practices so that the process provides a more comprehensive evaluation and review of an applicant's life experience and skill set. The department made this change after determining that too many candidates - and particularly those from underrepresented populations - were being denied positions and turned away without a fair and nuanced analysis of their prior conduct. As the department's chief recently explained "I want people who have had adversity in their life and maybe had a bumpy road. They have more life experience. They can relate to someone better than maybe people that have never struggled with how they're going to pay for their next meal or their next rent payment."
Aspects of selection procedures, including some physical ability tests and written examinations, can disproportionately screen out certain groups, including women and racial or ethnic minorities, based on factors that have little or no relationship to the requirements of the job. Many agencies are working to re-evaluate their screening practices to ensure they are focusing on selection criteria that are more holistic and accurate measures of candidates' skills and abilities. The U.S. Department of Justice's Civil Rights Division regularly brings enforcement actions opposing the use of written and physical ability tests that have been shown to create unnecessary barriers to employment. Through the resolution of these cases, law enforcement agencies have adopted new selections procedures that effectively select qualified individuals and have a less adverse impact on racial minorities and women.
• The Madison (Wisconsin) Police Department has made significant progress in increasing the number of women it hires to be officers. The agency's physical agility test used to require a bench press component, which deterred some candidates from applying and led others to fail - in part because they were not familiar with the specific weight lifting equipment or exercise. Recognizing these challenges, the agency began to give candidates the option to do push-ups, instead of the bench press, to test their upper body strength. Department leadership believes this change resulted in more women competing and passing the physical agility test. Overtime, the bench press was completely removed from the exam.
• The St. Paul (Minnesota) Police Department determined - after analyzing the breakdown of pass rates for African-American, Latino, and Asian-American applicants - that its testing process was having a disproportionately harmful impact on candidates of color without a commensurate job-related benefit. The department found that candidates of color performed worse on the situational and written tests but significantly better than white candidates during the in-person interview. The department re-evaluated its hiring criteria to ensure that its testing criteria accurately aligned with the qualities that were most important on the job. It changed its written tests to focus more on the candidate's personal history and community engagement and removed the entire situational component. The department reported that it was able to hire more diverse, but equally qualified applicants using this new approach. The agency believes that one of the most important criteria to evaluate when reviewing a prospective officer's application is his or her genuine desire to be out in public to engage in community-policing with all members of the community.
To help address some of the misconceptions, confusion, and lack of awareness about hiring procedures, law enforcement agencies have streamlined their hiring processes and also made these processes more transparent. Agencies have found these efforts, which benefit all applicants, especially helpful for applicants from underrepresented populations who, as noted above, may be more likely to be less familiar with the long, complex processes that have traditionally defined the law enforcement hiring process.
• The South Portland (Maine) Police Department is working to address the barriers that result from various civil service ordinances that create a cumbersome, overly drawn-out process for applicants. Given that the civil service exam is only offered once a year, the agency has begun experimenting with moving away from the once-a-year test to one that is administered more frequently and combining the required oral boards into one. The changes being explored allow for more frequent opportunities to access the hiring process. An ongoing evaluation of the streamlined process is resulting in a marked increase of additional candidates.
• The Yonkers (New York) Police Department found that providing free training to city residents before its civil service exam in 2013 led to 60 percent of test takers who were minorities and a 25 percent increase in the number of African-American officers. The police commissioner explained, "We hope to reap the benefits of hiring additional minority officers from this exam over the next few years.”
A number of law enforcement agencies have found that engaging community members in the hiring process can have a positive impact on developing a more diverse workforce. Agencies have worked with community advisory groups and committees to not only develop and revise hiring criteria, but to also identify community members who can serve on agency interview panels. These kinds of practices ensure that community members get a voice and a vote in who their police department ends up hiring.
• The St. Paul (Minnesota) Police Department created a panel interview process that includes community members. Specifically, members of the department's Community Advisory Group provide recommendations about community members who can serve as interview panelists. The department has found that this change has had a positive impact on selecting individuals from underrepresented populations because during the interview process, these community members ask different questions and explore qualities that might otherwise go unnoticed, but which reveal diversity in experience and background.
• The Sarasota (Florida) Police Department consulted the department's Independent Police Advisory Panel, which includes a diverse array of community leaders, and sought input on how to revise the recruitment and hiring processes to more easily identify high-quality officers. The department has also worked with community leaders to encourage applicants from underrepresented populations to apply to work for the department.
Legal Considerations
Federal civil rights laws - mostly notably Title VII of the Civil Rights Act of 1964 (Title VII) - provide a number of protections that prohibit public employers, including law enforcement agencies, from engaging in employment discrimination. This section provides an overview of trends identified and lessons learned through the enforcement of these laws, including as a result of the Federal government's litigation experience and enforcement work combating discrimination and advancing diversity in state and local law enforcement agencies. A review of this case law also provides helpful insights into practices that interfere with the recruitment, selection, and retention of qualified women and minorities in state and local law enforcement agencies.
Some of the cases involve challenges to policies and practices that did not explicitly reference race, sex, or any other legally protected category but nevertheless had an unjustified adverse impact on those groups; these types of barriers are often overlooked or simply accepted as "business as usual." Yet these cases are critically important and can often be a catalyst for systemic change. Of course, complying with the law and advancing diversity also requires ensuring that law enforcement agencies do not intentionally discriminate, which will be discussed. Importantly, Title VII sets a minimum standard for law enforcement agencies in terms of non-discriminatory practices. The law defines what agencies should not do. Mere compliance with the law, however, is not a substitute for the voluntary, affirmative steps that law enforcement agencies can take to ensure they build and sustain a diverse workforce that is reflective of the communities they serve.
Title VII outlaws intentional discrimination, also known as disparate treatment. The law's reach extends beyond that and also prohibits neutral practices that create unnecessary barriers to the employment or advancement of protected groups. As the Supreme Court explained in its landmark 1971 decision {Griggs v. Duke Power Company}(1971), Title VII "proscribes not only overt discrimination but also practices that are fair in form, but discriminatory in operation. This type of discrimination, commonly referred to as "disparate impact" discrimination means that an employment practice that disproportionately excludes a group on a basis protected by Title VII violates the law if it is "not job-related and consistent with business necessity." Even if such a practice is job-related and consistent with business necessity, an employer may still be liable for discrimination if there is an alternative employment practice available with a less severe impact that serves the employer's legitimate needs.
Both the government and private plaintiffs bring Title VII cases against law enforcement agencies to challenge unnecessary neutral barriers that create systematic exclusion of protected classes from law enforcement positions and promotions and intentional employment discrimination against individuals from protected classes. The practices challenged through these cases and the remedies created as a result of this litigation provide law enforcement agencies with important guidance about the steps they can take to comply with Federal anti-discrimination law and promote diverse work forces.
Recruitment Case Law
Recruitment practices can unlawfully exclude qualified applicants from protected classes before they even have the opportunity to apply for careers in law enforcement. The failure to advertise officer openings in ways that are likely to reach a diverse pool of candidates in (or near) the jurisdiction where a law enforcement agency is located may violate Title VII if it results in the exclusion of potentially qualified applicants on the basis of race or national origin. For example, the Federal government brought a case against the City of Warren in Michigan after the city limited its advertising of police and fire positions, resulting in only one African-American applicant. The court found that the limitation of advertising violated Title VII, and after the city advertised in newspapers outside of the county, including ones with circulation in nearby Detroit, the number of African-American applicants grew to 50 {United States v. City of Warren}(2001). Law enforcement agencies may also run afoul of Title VII by relying solely on word-of-mouth recruitment practices, especially when the enforcement agency or the community is not diverse and word-of-mouth does not extend to minority applicants Such hiring practices can entrench prior discriminatory practices especially when a law enforcement agency's workforce and labor force are predominately white {Cleveland Branch, NAACP v. City of Parma}(2011). In another case, a court found that the informal recruitment by friends and family was a reason that applicants were predominately white because the workforce itself was predominately white due to years of discriminatory tests {United States v. City of New York}(1990). To remedy discrimination in recruitment, courts have required the advertisement of law enforcement positions in the neighboring metropolitan areas with general circulation media as well as newspapers with media with primarily African-American readership.
Once a violation is found, simply opening the doors to a diverse set of applicants may not suffice. Courts have recognized that women and racial minority applicants may also be deterred from applying to law enforcement agencies that have developed a reputation for discrimination {United States v. Cent. Motor Lines, Inc}(1978). This deterrent effect can make victims of discriminatory hiring practices reluctant to take advantage of remedial opportunities to join a law enforcement agency that has been previously found guilty of engaging in unlawful discrimination. These barriers are not insurmountable, and agencies can overcome this perception. For example, a court found that an agency's funded and active recruitment efforts directed at racial and ethnic minorities substantially increased the number of applicants from racial and ethnic minorities {United States v. City of New York}(1990).
Hiring in law enforcement agencies usually follows a series of steps in a fixed order; agencies frequently rely on written tests, oral interviews, physical tests, background checks, and other processes to screen applicants. These processes may violate the law if they disproportionately screen out applicants from protected classes and are not job-related and consistent with business necessity. This holds true even if the screens were not intended to discriminate. Even if such practices are job-related and consistent with business necessity, an employer will still be liable under Title VII if it failed to use an alternative employment practice with a less severe impact that serves its legitimate employment needs [42 United States Code, Section 2000e-2(k)].
Written Exam Case Law
Extensive Title VII case law has revealed that certain written tests used as part of entry-level hiring in state and local law enforcement agencies are likely to create an unlawful disparate impact and are not necessary for selecting the most qualified candidates. For example, while skills like reading comprehension and arithmetic may be important for these positions, tests that focus solely on these skills may not sufficiently or accurately represent the skills needed for the position and thus unnecessarily screen out qualified applicants. Reliance on these tests can create an unnecessary barrier to the hiring of qualified racial minority applicants who may have been selected if the test were a better reflection of what was actually needed on the job {United States v. State of Delaware} (2003). As one court explained:
“I recognize that it is natural to assume that the best performers on an employment test must be the best people for the job. But, the significance of these principles is undermined when an examination is not fair. As Congress recognized in enacting Title VII, when an employment test is not adequately related to the job for which it tests - and when the test adversely affects minority groups - we may not fall back on the notion that better test takers make better employees” {United States v. City of New York}(1990).
To remedy such violations of Title VII (and protect against them in the future), several state and local law enforcement agencies have worked successfully to create more representative tests that capture both cognitive and non-cognitive skills and abilities required to succeed on the job and consistent with their business and organizational needs {United States v. City of Dayton} (2009). Because these tests reflect more of the qualities necessary for job performance, they help jurisdictions select qualified individuals. Equally importantly, such tests tend to have less unnecessarily adverse impacts on racial minorities.
Courts also have paid close attention to the ways law enforcement agencies use the results of those tests in the hiring process. Agencies have traditionally used the results of tests in a variety of ways: including pass/fail screens, rank ordering, and combining the score with other selection procedures. Title VII requires that an employer justify how it uses the selection procedure, and so agencies should consider if the way in which they are using the results of an exam is having an adverse impact. Courts have refused to accept cut-off scores that do not meaningfully distinguish between applicants {Lewis v. City of Chicago} (2005). And in determining that a jurisdiction should not have used its test results in rank order, one court stated:
The frequency with which such one-point differentials are used for important decisions in our society, both in academic assessment and civil service employment, should not obscure their equally frequent lack of demonstrated significance. Rank-ordering satisfies a felt need for objectivity, but it does not necessarily select better job performers. In some circumstances the virtues of objectivity may justify the inherent artificiality of the substantively deficient distinctions being made. But when test scores have a disparate racial impact, an employer violates Title VII if he uses them in ways that lack significant relationship to job performance {Guardians Association of N.Y.C. Police Dept, Inc. v. Civil Service Commission} (1980).
And even when an agency can show that its written test relates to a law enforcement officer's job duties and responsibilities, the test may still violate Title VII if an alternative employment practice with a less severe impact that serves its legitimate interests exists [42 United States Code, Section 2000e-2(k)]. As a result, state and local law enforcement agencies should review their testing practices to determine whether they have an adverse impact on minority applicants. If so, they should consider alternative measures that might reduce the disparate impact while at the same time serving their legitimate business needs. Such alternative measures may include new testing formats and content areas, assigning different weights to test components, and alternative scoring methods {Bradley v. City of Lynn} (2006).
Physical Tests Case Law
Physical tests, which have also been used to screen applicants for law enforcement officer positions, are held to the same legal standard as written tests: if there is an adverse impact, the test and its use must be job-related and consistent with business necessity. Some physical ability tests that purport to simulate the tasks undertaken by police officers have been found to have an unlawful disparate impact on women and where they are insufficiently related to actual job duties. {Thomas v. City of Evanston} (1985). For example, a physical test that included a stair climb, a run, and an obstacle course was found to have a disparate impact on women and be insufficiently related to the police officer job. Similarly, tests that purport to measure overall physical fitness (such as push-ups, sit-ups, and running) but apply a unitary standard to men and women have been found to disproportionately exclude women from law enforcement positions and be insufficiently job related. For example, the requirement that men and women perform the same number of push-up and sit-up components of one physical fitness test was found to violate Title VII.{United States v. City of Erie} (2005).
Jurisdictions interested in assessing the physical fitness of applicants without disproportionately excluding qualified women from their ranks may consider using fitness tests with gender normed standards. These tests actually require men and women to show similar levels of fitness while taking into account demonstrated physiological differences between men and women {Bauer v. Lynch} (2016). These tests tend not to have a disparate impact on women and result in the selection of qualified applicants. As one court, which recently affirmed the use of a gender normed physical fitness test by a law enforcement agency, has explained:
Men and women simply are not physiologically the same for the purposes of physical fitness programs. . . . Physical fitness standards suitable for men may not always be suitable for women, and accommodations addressing physiological differences between the sexes are not necessarily unlawful . . . . Put succinctly, an employer does not contravene Title VII when it utilizes physical fitness standards that distinguish between the sexes on the basis of their physiological differences but impose an equal burden of compliance on both men and women, requiring the same level of physical fitness of each.
Absolute or Minimum Requirements Case law
Many law enforcement agencies often employ absolute or minimum requirements in their entry-level hiring that may disproportionately screen out women and racial minorities in violation of Title VII. Such requirements include education, certification, residency, and other requirements for employment with the law enforcement agency. Duration residency requirements - policies requiring a term of residency in the jurisdiction served by the law enforcement agency prior to applying - in particular, have been found to violate Title VII when they have had a disparate impact on the basis of race {Newark Branch, NAACP v. Town of Harrison} (1990). However, courts have permitted employers to use policies that require a new employee to move into the jurisdiction and establish residency within a time period of being hired {United States v. City of Warren} (1991). Similarly, courts have rejected the use of blanket height and weight requirements in the hiring of law enforcement officers as discriminatory on the basis of sex, race, and/or national origin {Vanguard Justice Soc. v. Hughes } (1979). These requirements - for example a requirement that all police officers be over 5 feet 10 inches - tend to screen out women from the job but are not necessary to successful job performance.
Background Checks Case law
Law enforcement is a profession that, for valid reasons, requires extensive and thorough vetting of applicants. For that reason, law enforcement agencies, like many other employers, also often utilize extensive background checks as part of their selection processes, including information relating to criminal history. However, an employer's use of criminal background information can violate either the intentional or disparate impact provisions of Title VII, depending on how that information is used. When using criminal background checks, employers should consider the nature of the crime, the time elapsed, and the nature of the job. While some applicants have succeeded in challenging criminal background check policies as having unlawful disparate impacts on the basis of race or national origin, cases bringing these types of claims against law enforcement agencies have generally not been successful in court {Foxworth v. Pa. State Police} (2007).
A number of law enforcement agencies also use credit history checks and psychological evaluations as employment screens. Non-law enforcement agency employers' use of these evaluations has also been questioned as discriminatory employment barriers to women and racial minority applicants although these challenges have also generally been unsuccessful {Bibbs v. Sheriff of Cook County} (2015).
In conclusion, effective police managers need to stay current on all laws and court opinions regarding recruiting and hiring policies. By staying informed will limit the agencies civil liabilities as well as move an agency toward the goal of looking more like the population they serve.
Act It Out! “Communicating Across Cultures” - The Situation
You are a senior at BTU (Beaver Technical University), the top engineering school in your country with a double major in Mechanical Engineering and management science. This is the summer between your junior and senior year, and you are interning with Course Management International (CMI). CMI, a five-year-old company, developed and now sells educational software that helps faculty manage many of the administrative tasks associated with teaching a course.
As part of the internship, you have been placed in a team with five other students from different universities. The composition of the team is three men and three women, all of whom are between their junior and senior years in school. By the end of the summer, you are to submit a report that describes two new functions that CMI should develop for the newest release of the software.
Continue to “The Problem” to complete this activity.
One of the members of the team is consistently late for team meetings and not pulling his/her weight. (If you feel it’s important to know the gender of the team member, you can choose whichever you prefer.) Because you were are the team leader, you must talk to the team member about this problem.
The Complication
You, your teammates, and CMI exist in one of the following two cultures:
BLUE CULTURE
Beliefs, Values and Attitudes that Underlie Your Culture's Communication
• You believe a person’s first loyalty is to his/her family.
• Obedience to elders and those in authority is very important.
• You believe in feelings more than reasoning, and you believe people’s feelings should be protected at all costs.
• Yours is a hierarchal culture.
• The past is considered more important than the future or the present.
• Members of your culture tend toward holistic rather than analytical thinking.
Verbal/Nonverbal Traits of Your Culture
• Speakers use an indirect communication style.
• Members of your culture frequently express positive attitudes about others while downplaying their own worth.
• Your conversation distance is close (about 15 inches, face-to-face).
• Eye contact depends on the relative status of the individuals engaged in a conversation.
• Silence is respected.
YELLOW CULTURE
Beliefs, Values and Attitudes that Underlie Your Culture's Communication
• You believe that people determine their own destinies and should make their own choices based on their own preferences, desires, and needs.
• You make decisions in a democratic manner.
• You believe in reason over feelings.
• You believe time is a valuable commodity, and you don’t want to waste any.
• You believe conflict is a way of reaching good decisions.
• Members of your culture tend toward analytic rather than holistic thinking.
Verbal/Nonverbal Traits of Your Culture
• Your conversation distance is far (about 35 inches, face-to-face).
• You openly express emotions (e.g., anger, dissatisfaction, happiness).
• You ask many questions.
• You are direct in expressing your ideas and opinions, and you look people in the eye when you do so.
• You don't express thanks to others because in your view people chose their actions to create their own destinies; in other words, if someone does something for you, he/she is also doing it for himself/herself.
The Task
From the perspective of BOTH the Blue Culture and the Yellow Culture, each group should outline the key points that the team leader should make in trying to persuade the team member to change his/her problematic behavior. Be ready to describe those strategies and tactics or to role play the interaction if called upon. | textbooks/workforce/Corrections/Community_and_the_Justice_System_(Wymore_and_Raber)/03%3A_The_Evolving_Nature_of_Multiculturalism_and_Community_Engagement.txt |
Chapter 4 – Multicultural Populations
Key Learning Objectives:
• Be able to identify the key issues and concepts among ethnic groups in the United States.
• Identify how officers can better interact with different ethnic groups to improve relations
• Identify other minority groups and special population that police encounter in the community
• Be able to provide how awareness of these populations can improve relations between police and the community they serve
4.1 - Law Enforcement contact with ethnic groups14
Research consistently shows that minorities are more likely than whites to view law enforcement with suspicion and distrust. Minorities frequently report that the police disproportionately single them out because of their race or ethnicity. The public's perceptions about the lawfulness and legitimacy of law enforcement are an important criterion for judging policing in a democratic society. Lawfulness means that police comply with constitutional, statutory and professional norms. Legitimacy is linked to the public's belief about the police and its willingness to recognize police authority. Racial and ethnic minority perceptions that the police lack lawfulness and legitimacy, based largely on their interactions with the police, can lead to distrust of the police. Distrust of police has serious consequences. It undermines the legitimacy of law enforcement, and without legitimacy police lose their ability and authority to function effectively.
Many law enforcement agencies have allowed researchers to study efforts to improve the lawfulness and legitimacy of their policing activities. They do so because they want to raise the level of trust and confidence of the people they serve while controlling crime effectively. Although data show that whites hold the police in higher regard than do minorities, race has not been found to directly influence how people form opinions about law enforcement. In fact, when researchers controlled for factors such as the level of neighborhood crime, the reported quality of police-citizen encounters, and other demographic variables such as age, income and education, the effects of race disappeared entirely or were substantially reduced. Researchers concluded that race affects satisfaction with the police indirectly and in conjunction with other factors, including the level of crime within one's neighborhood.
There have been different outcomes for different racial groups in convicting and sentencing felons in the United States Criminal Justice System. Experts and analysts have debated the relative importance of different factors that have led to these disparities. Minority defendants are charged with crimes requiring a mandatory minimum prison sentence more often, in both relative and absolute terms (depending on the classification of race, mainly in regard to Hispanics), leading to large racial disparities in incarceration.
Pin It! Racial inequality in Incarceration
Does race play a role in capital punishment? Click here to learn what percent of adult males incarcerated by race and ethnicity and here to overview violent crime rates by race of victim 1973-2003.
At the end of 2002 the Bureau of Justice released data stating there were 3,042 black male prisoners per 100,000 black males, 1,261 Hispanic male prisoners per 100,000 Hispanic males and 487 white male prisoners per 100,000 white males within the United States. According to Antonio Moore in his Huffington Post article, “there are more African American men incarcerated in the U.S. than the total prison populations in India, Argentina, Canada, Lebanon, Japan, Germany, Finland, Israel and England combined.” There are only 19 million African American males in the United States, collectively these countries represent over 1.6 billion people. There is a total of a mere 18.5 million African American males of all ages in the United States.
Think About It . . . Black Male Incarceration
“The Black Male Incarceration Problem Is Real and It’s Catastrophic” is the title of an article from the Huffington post. Click to read the article. What do you think of the article’s premise? Do you agree or disagree? Would you be able to support your viewpoint with sources?
Likelihood of Incarceration
The likelihood of black males going to prison in their lifetime is 28% compared to 4% for white males and 16% for Hispanic males. Some factors used to attempt to explain the racial disparities in the criminal justice system besides race itself include socioeconomic status, the environment in which a person was raised, and the highest educational level a person achieves. For the Baby Boomers, some 1.2% of white men and 9% of black men had been imprisoned by 2004, according to Bruce Western, a Harvard sociology professor. Out of those born in the 1970s, 3.3% of white men and 20.7% of black men had been in prison.
Effect of race on likelihood of conviction
Various studies have shown that, in recent decades, there has been no noticeable disparity in black vs white conviction likelihood for those accused in black-run vs white-controlled cities, say Atlanta vs San Diego. In the largest counties, the rates of prosecution for accused blacks was slightly less than the prosecution rates for whites, for example. “…the only hint of racial disparity was to the advantage, not disadvantage, of blacks accused of crimes.”
Race and the death penalty
Various scholars have addressed what they perceived as the systemic racial bias present in the administration of capital punishment in the United States. There is also a large disparity between races when it comes to sentencing convicts to Death Row. The federal death penalty data released by the United States Department of Justice between 1995–2000 shows that 682 defendants were sentenced to death. Out of those 682 defendants, the defendant was black in 48% of the cases, Hispanic in 29% of the cases, and white in 20% of the cases. 52.5% of people who committed homicides in the 1980-2005 time period were black.
Pin It! Capital Punishment and Race
Does race play a role in capital punishment? Click here to learn more.
Contributing factors to the rise in the penal population
In 2013, the United States had the highest rate of incarceration in the world. In the 1980s U.S. legislation issued a number of new drug laws with stiffer penalties that ranged from drug possession to drug trafficking. Many of those charged with drug crimes saw longer prison sentences and less judicial leniency when facing trial. The War on Drugs has furthered the boom in prison population even though violent crime has continued to steadily decrease.
A lot of urban areas in the U.S. have a majority black population. With crime tendencies high in these areas, drugs are also prevalent. This means that a greater percentage of those in prison are going to be black because law enforcement is already concentrated in the areas with high violent crime and drug crime. With this new drug legislation, the U.S. government has increased the use of incarceration for social control which has resulted in “sharper disproportionate effects on African Americans.”
Pin It! Three-Strikes Law
Learn more about the three strikes law here.
Factors affecting incarceration rates
Blacks had a higher chance of going to prison especially if they drop out of high school. If a Black male drop out of high school, he had an over 50% chance of being incarcerated in his lifetime, as compared to an 11% chance for White male high school dropouts. Socio-economic, geographic, and educational disparities, as well as alleged unequal treatment in the criminal justice system, contributed to this gap in incarceration rates by race. Failure to achieve literacy (reading at “grade level”) by the third or fourth grade makes the likelihood of future incarceration twenty times more likely than other students. Some states use this measurement to predict how much prison space they will require in the future. It appears to be a poverty issue rather than a race issue.
Effects on families and neighborhoods
With violent crime on the rise in the late 20th century coupled with the war on drugs violations, penal population growth sent shockwaves through the most fragile families and neighborhoods that were least equipped to deal with the problem. Since the majority of people in the prison population are minorities and lower-class individuals, the people they leave behind have to deal with extraordinary circumstances. This burden has left families broken and children are the victims of single-parent homes which increases the percentage of these children going to jail earlier than most. With the majority of the prison population being men, “women are left in free society to raise families and contend with ex-prisoners returning home after release.”
Children raised in single-parent homes are less supervised which leads to less emphasis on education and self-determination. The result of this situation is that society is damaged and has to take on the financial burden of children growing up in crime ridden neighborhoods and going to prison. When a family member is arrested, the family loses not only that person’s income, but also acquire additional expenses involved in keeping contact with the incarcerated family member.
The current prison complex serves as a punitive system in which mass incarceration has become the response to problems in society. Field studies regarding prison conditions describe behavioral changes produced by prolonged incarceration and conclude that imprisonment undermines the social life of inmates by exacerbating criminality or impairing their capacity for normal social interaction. Moreover, this racial disparity in imprisonment, particularly with African Americans, subjects them to political subordination by destroying their positive connection with society. Institutional factors – such as the prison industry complex itself – become enmeshed in everyday lives, so much so that prisons no longer function as “law enforcement” systems.
Crime in poorer urban neighborhoods is linked to increased rates of mass incarceration, as job opportunities decline, and people turn to crime for survival. Crime among low-education men is often linked to the economic decline among unskilled workers. These economic problems are also tied to reentry into society after incarceration. Data from the Washington State Department of Corrections and Employment Insurance records show how “the wages of black ex-inmates grow about 21 percent more slowly each quarter after release than the wages of white ex-inmates.” Black ex-inmates earn 10 percent less than white ex-inmates post incarceration.
Black Women
Problems resulting from mass incarceration extend beyond economic and political aspects to reach community lives as well. According to the U.S. Department of Justice, 46% of black female inmates were likely to have grown up in a home with only their mothers. A study by Bresler and Lewis shows how incarcerated African American women were more likely to have been raised in a single female headed household while incarcerated white women were more likely to be raised in a two-parent household. Black women’s lives are often shaped by the prison system because they have intersecting familial and community obligations. The “increase incarceration of black men and the sex ratio imbalance it induces shape the behavior of young black women.”
Education, fertility, and employment for black women are affected due to increased mass incarceration. Black women’s employment rates were increased, shown in Mechoulan’s data, due to increased education. Higher rates of black male incarceration lowered the odds of nonmarital teenage motherhood and black women’s ability to get an educational degree, thus resulting in early employment. Whether incarcerated themselves or related to someone who was incarcerated, women are often conformed into stereotypes of how they are supposed to behave yet are isolated from society at the same time.
Furthermore, this system can disintegrate familial life and structure. Black and Latino youth are more likely to be incarcerated after coming in contact with the American juvenile justice system. In a study by Victor Rios, 75% of prison inmates in the United States are Black and Latinos between the ages of 20 and 39. Furthermore, societal institutions – such as schools, families, and community centers can impact youth by initiating them into this system of criminalization from an early age. These institutions, traditionally set up to protect the youth, contribute to mass incarceration by mimicking the criminal justice system.
From a different perspective, parents in prison face further moral and emotional dilemmas because they are separated from their children. Both black and white women face difficulty with where to place their children while incarcerated and how to maintain contact with them. According to the study by Bresler and Lewis, black women are more likely to leave their children with related kin whereas white women’s children are likely to be placed in foster care. In a report by the Bureau of Justice Statistics revealed how in 1999, seven percent of black children had a parent in prison, making them nine times more likely to have an incarcerated parent than white children.
Having parents in prison can have adverse psychological effects as children are deprived of parental guidance, emotional support, and financial help. Because many prisons are located in remote areas, incarcerated parents face physical barriers in seeing their children and vice versa. Societal influences, such as low education among African American men, can also lead to higher rates of incarceration. Imprisonment has become “disproportionately widespread among low-education black men” in which the penal system has evolved to be a “new feature of American race and class inequality”. Scholar Pettit and Western’s research has shown how incarceration rates for African Americans are “about eight times higher than those for whites,” and prison inmates have less than “12 years of completed schooling” on average.
Post release
These factors all impact released prisoners who try to reintegrate into society. According to a national study, within three years of release, almost 7 in 10 will have been rearrested. Many released prisoners have difficulty transitioning back into societies and communities from state and federal prisons because the social environment of peers, family, community, and state level policies all impact prison reentry; the process of leaving prison or jail and returning to society. Men eventually released from prison will most likely return to their same communities, putting additional strain on already scarce resources as they attempt to garner the assistance they need to successfully reenter society. Due to the lack of resources, these same men will continue along this perpetuating cycle.
A major challenge for prisoners re-entering society is obtaining employment, especially for individuals with a felony on their record. A study utilizing U.S. Census occupational data in New Jersey and Minnesota in 2000 found that “individuals with felon status would have been disqualified from approximately one out of every 6.5 occupations in New Jersey and one out of every 8.5 positions in Minnesota”. As African Americans and Hispanics are disproportionately affected by felon status, these additional limitations on employment opportunity were shown to exacerbate racial disparities in the labor market.
4.2 - Americans of Asian/Pacific Island Decent16
There are nearly 15 million Asian Americans in the United States, according to the 2010 Census, which is approximately 5 percent of the total U.S. population.10 Asian Americans trace their roots to dozens of countries in the Far East, Southeast Asia, and the Indian subcontinent. Six groups—listed here from highest population to the lowest—make up the vast majority (about 80 percent) of the Asian-American population in the U.S.: Chinese (about four million), Filipino, Indian, Korean, Vietnamese, and Japanese (about 1.3 million).
In addition to any historical or “imported” experiences with law enforcement in their countries of origin, where law enforcement may have been corrupt and abusive, Asian-American children are often taught to fear police. Threats of calling the police can be used to control misbehaving children to force them into submission.
According to the 2010 U.S. Census, about half of the documented Asian-American population speaks English “less than very well” or is limited English proficient. Language barriers can pose significant challenges for Asian American-police interactions. Similar to the experiences of other immigrant and refugee groups, language barriers often prevent Asian Americans from reporting crime. How do language barriers affect routine patrol activities? Traffic stops can be a challenge when the driver does not speak English. In these situations, officers cannot explain the process that follows getting a ticket or summons. Even in situations where Asian Americans are proficient in English, they may prefer to speak their native language because of the seriousness of the situation.
4.3 - African Americans and the Criminal Justice System
African American Heritage - From Slavery to Freedom17
When Americans think of African-Americans in the deep south before the Civil War, the first image that invariably comes to mind is one of slavery. However, many African-Americans were able to secure their freedom and live in a state of semi-freedom even before slavery was abolished by war. Free blacks lived in all parts of the United States, but the majority lived amid slavery in the American South. It is estimated that by 1860 there were about 1.5 million free blacks in the southern states.
How did African-Americans become free? Some slaves bought their own freedom from their owners, but this process became more and more rare as the 1800s progressed. Many slaves became free through manumission, the voluntary emancipation of a slave by a slaveowner. Manumission was sometimes offered because slaves had outlived their usefulness or were held in special favor by their masters. The offspring of interracial relations were often set free. Some slaves were set free by their masters as the abolitionist movement grew. Occasionally slaves were freed during the master's lifetime, and more often through the master's will. Many African-Americans freed themselves through escape. A few Americans of African descent came to the United States as immigrants, especially common in the New Orleans area.
Were free blacks offered the same rights as free whites? The answer is quite simply no. For example, a Virginia law, passed in the early 1830s, prohibited the teaching of all blacks to read or write. Free blacks throughout the South were banned from possessing firearms or preaching the Bible. Later laws even prohibited Negroes who went out of state to get an education from returning. In many states, the slave codes that were designed to keep African-Americans in bondage were also applied to free persons of color. Most horrifically, free blacks could not testify in court. If a slave catcher claimed that a free African-American was a slave, the accused could not defend himself in court.
Free blacks were highly skilled as artisans, businesspeople, educators, writers, planters, musicians, tailors, hairdressers, and cooks. African-American inventors like Thomas L. Jennings, who invented a method for the dry cleaning of clothes, and Henry Blair Glenn Ross, who patented a seed planter, contributed to the advancement of science. Some owned property and kept boarding houses, and some even owned slaves themselves. Prominent among free persons of color of the period are Frederick Douglass, Richard Allen, Absalom Jones, and Harriet Tubman.
Starting as early as 1663, slaves were organizing revolts to regain their freedom. Hundreds of minor uprisings occurred on American plantations during the two and a half centuries of slavery. Most of the uprisings were small in scope and were put down easily. Some were larger in ambition and sent a chill down the spines of countless Southern planters. Two of the most famous revolts were in the early nineteenth century. One was led by Denmark Vesey and the other was led by Nat Turner.
An End to Slavery
The 13th Amendment to the U.S. Constitution, ratified in 1865 in the aftermath of the Civil War, abolished slavery in the United States. The 13th Amendment states: “Neither slavery nor involuntary servitude, except as a punishment for crime whereof the party shall have been duly convicted, shall exist within the United States, or any place subject to their jurisdiction.”
Separate but not Equal – The Jim Crow Era
During the first half of the 20th century, the United States existed as two nations in one. The Supreme Court ruling in PLESSY V. FERGUSON (1896) decreed that the legislation of two separate societies — one black and one white — was permitted as long as the two were equal. States across the North and South passed laws creating schools and public facilities for each race. These regulations, known as Jim Crow laws, reestablished white authority after it had diminished during the Reconstruction era. Across the land, blacks and whites dined at separate restaurants, bathed in separate swimming pools, and drank from separate water fountains.
The United States had established an American brand of apartheid. In the aftermath of World War II, America sought to demonstrate to the world the merit of free democracies over communist dictatorships. But its segregation system exposed fundamental hypocrisy. Change began brewing in the late 1940s. President Harry Truman ordered the end of segregation in the armed services, and Jackie Robinson became the first African American to play Major League Baseball. But the wall built by Jim Crow legislation seemed insurmountable.
The first major battleground was in the schools. It was very clear by mid-century that southern states had expertly enacted separate educational systems. These schools, however, were never equal. The NATIONAL ASSOCIATION FOR THE ADVANCEMENT OF COLORED PEOPLE (NAACP), led by attorney Thurgood Marshall, sued public schools across the South, insisting that the "SEPARATE BUT EQUAL" CLAUSE had been violated.
In no state where distinct racial education laws existed was there equality in public spending. Teachers in white schools were paid better wages, school buildings for white students were maintained more carefully, and funds for educational materials flowed more liberally into white schools. States normally spent 10 to 20 times on the education of white students as they spent on African American students.
The Supreme Court finally decided to rule on this subject in 1954 in the landmark BROWN V. BOARD OF EDUCATION OF TOPEKA case. The verdict was unanimous against segregation. "Separate facilities are inherently unequal," read Chief Justice EARL WARREN's opinion. Warren worked tirelessly to achieve a 9-0 ruling. He feared any dissent might provide a legal argument for the forces against integration. The united Supreme Court sent a clear message: schools had to integrate.
The North and the border states quickly complied with the ruling, but the Brown decision fell on deaf ears in the South. The Court had stopped short of insisting on immediate integration, instead asking local governments to proceed "with all deliberate speed" in complying. Ten years after Brown, fewer than ten percent of Southern public schools had integrated. Some areas achieved a zero percent compliance rate. The ruling did not address separate restrooms, bus seats, or hotel rooms, so Jim Crow laws remained intact. But cautious first steps toward an equal society had been taken. It would take a decade of protest, legislation, and bloodshed before America neared a truer equality.
Civil Rights Movement
In 1950, the United States operated under an apartheid-like system of legislated white supremacy. Although the Civil War did bring an official end to slavery in the United States, it did not erase the social barriers built by that “peculiar institution.” Despite the efforts of radical reconstructionist, the American South emerged from the Civil War with a system of laws that undermined the freedom of African Americans and preserved many elements of white privilege. No major successful attack was launched on the segregation system until the 1950s.
Beginning with the Supreme Court's school integration ruling of 1954, the American legal system seemed sympathetic to African American demands that their Fourteenth Amendment Civil Rights be protected. Soon, a peaceful equality movement began under the unofficial leadership of Dr. Martin Luther King Jr. A wave of marches, boycotts, sit-ins, and freedom rides swept the American South and even parts of the North.
Pin It! The Civil Rights Movement
Watch this history crash course on the American civil rights movement.
Public opinion polls across the nation and the world revealed a great deal of sympathy for African Americans. The Eisenhower, Kennedy, and Johnson administrations gave the Civil Rights Movement at least tacit support. Although many obstacles to complete racial equity remained, by 1965 most legal forms of discrimination had been abolished.
Legal equality did not bring economic equality and social acceptance. Gains made by civil rights activists did not bring greater unity in the movement. On the contrary, as the 1960s progressed, a radical wing of the movement grew stronger and stronger. Influenced by Malcolm X, the Black Power Movement rejected the policy of nonviolence at all costs and even believed integration was not a desirable short-term goal. Black nationalists called for the establishment of a nation of African Americans dependent on each other for support without the interference or help of whites.
Race-related violence began to spread across the country. Beginning in 1964, a series of "long, hot summers" of rioting plagued urban centers. More and more individuals dedicated to African American causes became victims of assassination. Medgar Evers, Malcolm X, and Martin Luther King Jr. were a few of the more famous casualties of the tempest. Hope and optimism gave way to alienation and despair as the 1970s began. Many realized that although changing racist laws was actually relatively simple, changing racist attitudes was a much more difficult task.
Pin It! Spotlight - Wealth disparities
The homeownership rate for black households was 44.9 percent in 2011, lagging far behind the homeownership rate for whites (73.8 percent). Since fewer than half of black household’s own homes, this means that for the median (typical) black household, there is zero wealth from home equity. The median black household also owns no stock.
The Great Recession decimated wealth from all demographic groups, but minorities were especially hard hit. While median wealth of white households sank 35.8 percent, it plummeted for black households (49.7 percent), and nosedived for Latino households (86.3 percent) from 2007–2010.
Poverty
• 27.4% - In 2010, 27.4 percent of blacks lived in in poverty, compared to the overall U.S. poverty rate of 15.1 percent.
• 45.8% - 45.8 percent of black children under age 6 lived in poverty, more than three times the rate for young white children.
Mobility
• 62.9% - 62.9 percent of black children whose families were in the bottom fourth of all families by income remained in the bottom fourth as adults. This measure of downward mobility was about twice the rate (32.3 percent) for whites.
• 3.6% - Only 3.6 percent of black children from the bottom fourth made it to the top fourth of the income scale, an upward mobility rate about one-fourth the rate for whites.
4.4 - Americans of Hispanic Decent18
Police engagement with immigrant Latino communities has been challenging for decades, in large part because of immigration policies and the fear of law enforcement officials present throughout these communities. As a result, members of Latino communities often become victims of crimes commonly experienced among immigrant populations, including robbery of day workers (who are often carrying a day’s or even a week’s worth of wages), exploitation by employers taking advantage of an individual’s immigration status by withholding wages or violating U.S. labor laws, and domestic violence perpetrated by an abuser who knows that his or her victim will not approach police for assistance. Research has shown that undocumented immigrants are less likely to report crime for fear of deportation and are less likely to call 911, access emergency care in life-threatening situations, or approach police as victims or witnesses of crime, for the same reasons. As a result, law enforcement agencies often have to make concerted efforts to engage and build trust with this vulnerable community.
In Mount Kisco, New York, a community of more than 11,000 people—35 percent of whom are Latinos, primarily from Guatemala, Ecuador, and Colombia—the Mount Kisco Police and Community Together (PACT) program was created to strengthen the relationship between police and the immigrant Latino population, many of whom may be unfamiliar with local laws and police procedures. In order to address the common barriers to reaching immigrant communities and promote effective communication, PACT’s strategies include organizing community meetings at local houses of worship;
providing cultural competency training for police officers; recruiting volunteer community liaisons.
Community meetings are held at local houses of worship to provide a safe and public environment for police and Latino immigrants to meet, communicate, and learn from one another. The meetings, are held in English and Spanish, have helped build trust and rapport between police and how to Serve Diverse Communities immigrant Latinos, providing a venue to address concerns and questions and share information that directly affects the immigrant population. Topics which are addressed at Latino community meetings can include any of the following:
• Predominant community safety concerns
• Common landlord/tenant disputes and rights
• Workers’ rights
• Available after-school programs and childcare services
• How to access alcohol and drug abuse prevention services
• How to access domestic violence services
• How to access medical services
• Eligibility information for local food pantries and shelters.
Police need to aware of the cultural factors in the Hispanic community, such as machismo and an unequal gender balance may be more prominent in immigrant Latino families. Social culture and religious values shape family roles and gender socialization, and immigrant Latino families are often discouraged from sharing anything negative about themselves or their family dynamics with outsiders, making police investigations of any kind very difficult.
What do police need to know regarding Latino family structures? Like many families, Latino families can be paternalistic, which can make it difficult for law enforcement and child protective agencies to investigate allegations of child abuse. Among Latinos, there is often a high value on the collective nature of “la familia,” and issues that may affect family dignity or reputation are often kept secret in an effort to protect the family unit.
4.5 - Americans of Middle Eastern / Indian decent19
There is no better application of the principles of good policing than in the post-September 11 environment. In the face of the dramatic terrorist attacks against the United States, the vast majority of America's communities responded with restraint, tolerance, and good will. At the forefront of these efforts have been police chiefs and other law enforcement executives, who captured the spirit of police-community cooperation. This has been no small challenge, given the divisions, fears, and other internal stresses which arose during this unprecedented emergency.
Police chiefs and other local officials recognized that this was a time for police-community cooperation and collaboration, a time to minimize any divisions and distractions from the common national priority of combating terrorism. Homeland security requires communities of cooperation and citizens of goodwill. A climate of personal safety and protection requires increased trust of governmental institutions and agencies, especially law enforcement. Important information is more likely to be volunteered to authorities. Suspicious and unusual activity will be reported, and investigations can proceed. Further, public trust and confidence reduce community tensions, especially between groups that may feel unprotected and suspected by government institutions.
The aftermath of September 11, 2001 became an opportunity for police departments to deepen their relationships with Arab-American, Sikh, and Muslim communities. While these communities were fairly well established, there had been little occasion for outreach and educational activities before September 11. Since September 11, 2001, public forums, dialogues, and other events designed to build bridges between police departments and these communities have taken place.
What were some of the elements which helped to create the positive relations, especially between law enforcement agencies and the communities they serve?
Tone-setting messages by public officials ranging from the Nation's highest public officials to town mayors and police chiefs helped to create an atmosphere of moderation and restraint. Their public cautions against misdirected behavior towards fellow citizens and pledges to vigorously prosecute of any attacks against individuals or groups went a long way towards establishing expectations of fairness and justice.
Prompt and sensitive attention by government and law enforcement officials to racial and ethnic attacks and incidents helped to create trust and confidence in public officials and institutions. When incidents and hate crimes were reported, most law enforcement agencies reacted with dispatch, sensitivity, and thoroughness.
Improved cooperation and coordination among Federal, regional, and local policing and other law enforcement agencies helped bridge jurisdictional tensions and prevent conflicts. Since September 11, investigative agencies have enjoyed unparalleled cooperation, combining resources and experience in their investigative and prosecutorial efforts.
Intensive training by police and government agencies in Arab, Muslim, and Sikh issues helped to head off cross-cultural conflicts, misunderstandings, and tensions. Law enforcement agencies recognized that they needed to deepen their understanding of these cultures, and many secured trainings to help officers to be sensitive to the particular cross-cultural dimensions of police work.
Outreach by police departments to Arab-American, Muslim, and Sikh communities provided police and leaders from these communities an opportunity to develop cooperative working relationships. Effective policing involved deliberate efforts by police chiefs to extend their connections to these communities by visits, calls, and public forums to listen, learn of concerns, and reassure members of these communities that their concerns.
4.6 - Native Americans20
What is Indian Country, and what is meant when the term Indian reservations and Indian nations is used? Whom do police in Indian Country serve? What does the typical police department in Indian Country look like (especially, who polices Indian Country)? And finally, what are the basics of the criminal justice system in Indian Country? This section sets the scene for the discussions that follow.
Pin It! What Is “Indian Country”?
“Indian Country” comprises the 56 million acres of land owned by Indian communities in the United States.1 According to the BIA (1998a) there are more than 330 federally recognized Indian tribes in the lower 48 United States. Nearly all tribes have reservations, which are lands the United States “reserved for” tribes in treaties, statutes, or executive orders during the Euro-American western expansion of the 18th, 19th, and 20th centuries (BIA 1998b). Most of Indian Country is located west of the Mississippi River, but it also includes a number of reservations belonging to tribes in the East. Overall, Indians live on reservations in 34 continental States, and all reservations have some form of policing arrangement (BIA 1998b; Bureau of the Census 1993).
Increasingly, tribes are referred to as “nations” to acknowledge their distinct political status vis-à-vis the U.S. Federal and State governments: Indian governments are not part of the Federal hierarchy but, instead, have a government-to-government relationship with the United States (Reno 1995). Under this arrangement, American Indians hold dual citizenship as citizens of both the United States and their Native nation. Because limitations on tribal authority do exist (for example, tribes do not float their own currencies or provide for their own defense), it may be more accurate to describe Indian nations as semi-sovereign, or “domestic dependent nations,” as Chief Justice Marshall did in Cherokee Nation v. Georgia (30 U.S. (5 Pet.)1(1831)). Yet, while tribes control a narrower scope of policy than do such nations as Germany and Brazil, they have significantly more scope for policy making than cities or even U.S. States. Indian nations adopt constitutions for their societies, write civil laws to regulate conduct and commerce within their territorial boundaries, and enforce those laws with their own judicial systems. In brief, modern tribes exercise substantial, but not complete, rights of self-determination and self-government.
Whom Do Police in Indian Country Serve?
In 1995, the BIA estimated a non-Alaska service population (the number of Natives living on or very near reservations) of 1.1 million. Other estimates are higher. Using data from the 1990 census and a historical growth factor, the Indian Health Service (1997) estimated a 1996 non-Alaska service population of more than 1.3 million, which would rise by more than 100,000 by the year 2000. These differences reflect difficulties in enumerating the reservation-based Indian population, the high birth rates that are typical on many reservations, and in some cases, in-migration.
Improved economic opportunities are the primary cause of in-migration in the Indian communities where it is occurring, but such positive economic changes are the exception rather than the rule. In particular, the perception that Native Americans are generally enjoying increased prosperity as a result of the growth of the gaming industry is mistaken. According to the Government Accounting Office (1997), almost half of all gaming revenues earned in 1995 were generated by only 8 of the 184 gaming tribes. Thus, despite new tribal opportunities and ventures, American Indians remain the poorest minority in the United States. Those living in reservation communities, commonly characterized by severe unemployment (sometimes reaching 80 to 90 percent) and the attendant social and economic symptoms of poverty, are the worst off of all.
Important education and health outcomes also are poor. For example, as of 1990, the high school completion rate among reservation-resident Natives age 25 and over was 54 percent; the national rate for all races was 78 percent (Bureau of the Census 1993, 312, table 7; 1998, 158, table 243). Rates of alcoholism among American Indians are extraordinarily high, and even higher than for other minorities, who are themselves at increased risk of alcohol abuse (see, for example, Greenfeld 1998). Consequently, the rates among Natives of alcohol-related health problems—chronic liver disease, cirrhosis, fetal alcohol syndrome—are much higher than for other population groups. Indexes of social dysfunction, such as suicide and homicide, are also much higher than for either the general population or other minority populations; for instance, the suicide rate is almost triple that of the general population (Indian Health Service 1997).
Even so, many Indian nations are experiencing significant counter trends. For example, through aggressive economic development and effective governance, unemployment among the Mississippi Choctaw fell from 80 percent in the early 1980s to virtually zero in 1996; average family income increased approximately seven-fold, to \$22,000, during the same period (Bordewich 1996). The Gila River Indian Community was able to provide funding to more than 200 college students in the late 1990s, as opposed to only a handful earlier in the decade. This support will dramatically increase the percentage of community members who are recorded as college graduates in the next census.3 In sum, Indian Country comprises a striking variety of economic and social conditions and characteristics.
An important additional type of variation is the substantial cultural diversity found among American Indian communities. Although “American Indian” is a single race category on the U.S. Census, this grouping hides the fact that members of one tribe can be as different from members of another tribe as citizens of Greece are from citizens of Vietnam. Certainly, tribes’ geographic dispersion is one source of diversity. Peoples sharing similar natural surroundings developed somewhat similar cultures and related languages; tribal subgroups then refined the common culture in distinct ways, which gave rise to a wide variety of cultures throughout Indian Country.
One rough categorization of these differences separates the Indians of the continental United States into five cultural-geographic groups:
• Farmers of the eastern forests.
• Nomadic hunters of the plains and prairies.
• Farmers and herders of the Southwest.
• Seed gatherers of California.
• Ocean and river fishermen of the Northwest (Driver 1969; Waldman 1985).
Another method for classifying Native Americans’ cultural diversity is based on language. Early studies found more than 70 distinct linguistic families and isolates among some 250 North American Indian languages. However, with the extinction of some languages and reclassification of others, linguists now group most extant North American Indian languages into six primary families:
• Eskimo and Aleut (Far North).
• Algonquian (various tribes in the eastern forests, the Plains, and the Far West).
• Athabascan and related languages (the Mackenzie-Yukon Basin, the Navajos in the Southwest, and some West Coast peoples).
• Uto-Aztecan and related languages (the Great Basin and Rocky Mountains area, the Plains, and the majority of the Pueblos).
• Chinookan and related languages (several scattered Far Western tribes).
• Siouan and related languages (people in such disparate regions as the Northeast, the Southeast, the Plains, New Mexico, and northern California).
Languages within the six families display linguistic similarities, but in practice they are mutually unintelligible, a fact that reinforces cultural differences. Despite decades of suppression and English assimilation, Native language use may now be on the upswing.5 Thus, the extraordinary cultural variation among historical Indian nations is, and should continue to be, an important distinguishing factor among modern Indian nations.
Finally, the history and politics of place also contribute to distinct cultural identities. As reservations were created, members of several indigenous groups were sometimes assigned to one locality; conversely, members of some large indigenous groups were located on several land bases. Over time, the people of each reservation experienced unique struggles. These historical, geographical, and cultural-linguistic differences together support the proposition that the resident community of each of these 330-plus, unique “nations” is the most appropriate group to undertake policy making and problem solving.
Who Polices Indian Country?
The array of administrative arrangements for policing in Indian Country is complex (*see exhibit 1). Members of the police departments that serve reservation communities may be tribal, Federal, State, county, or municipal employees.
Tribal or Public Law 93–638 Policing
The most common administrative arrangement is for police departments to be organized under the auspices of the Indian Self-Determination and Education Assistance Act of 1975. Also known as Public Law 93–638 (PL 93–638), this law gives tribes the opportunity to assume responsibility for many programs previously administered by the Federal Government by contracting with the BIA (Canby 1998, 30–31). Thus, these police departments are administered by tribes under contract with the BIA Division of Law Enforcement Services. Typically, a 638 contract establishes the department’s organizational framework and performance standards and provides basic funding for the police function. Officers and nonsworn staff of 638 contract departments are tribal employees.
Tribes have used the Self-Determination Act quite aggressively to acquire increased control of their police departments. In 1995, for example, 88 departments (nearly half of the non-Public Law 83–280 tribes) were administered under the auspices of PL 93–638. BIA Administration Departments administered by the BIA are the second most common type of police department in Indian Country. Staff in these departments are Federal employees and are part of a national, BIA employed hierarchy of law enforcement officers. For many years, patrol officers were under the line authority of the local BIA superintendent (each reservation has a BIA superintendent who oversees all or most BIA functions on that reservation), and criminal investigators were under the line authority of the BIA Division of Law Enforcement Services. Recent changes have placed line authority for patrol under the BIA Division of Law Enforcement Services as well. In 1995, 64 departments (slightly more than one third of the non-PL 83–280 tribes) were administered by the BIA.
Self-Governance Policing and Tribally Funded Departments
By far less common than the types described above, but significant nevertheless, are departments that receive funding under the auspices of the self-governance amendments to Public Law 93–638 and departments that receive complete funding from tribal coffers.
Like tribes with 638ed police departments, tribes with self-governance arrangements contract (except in this case, the terminology is to “compact”) with the BIA to assume responsibility for law enforcement services that might otherwise be performed by the BIA. The primary difference between contracting under PL 93–638 and compacting under its self-governance amendments is that financing is through a block grant, rather than as payment for budgeted line items. These contractual requirements and funding mechanisms grant tribes much more control over government functions than is permitted under 638 contracts. In 1995, 22 Indian police departments (approximately 12 percent of the non-PL 83–280 tribes) were administered through self-governance.
Although tribes achieve a high degree of organizational freedom through self-governance compacts, tribes that fully fund their own police departments gain near-complete tribal control of their law enforcement institutions. Given resource constraints in Indian Country, however, only four of the non-PL 83–280 tribes had tribe funded departments in 1995.
Public Law 83–280 Policing
A number of tribes rely on State and local authorities for police services under Public Law 83–280, 67 Stat. 588 (1953). This law, passed as part of a larger effort to “terminate” American Indian tribes, gave California, Minnesota, Nebraska, Oregon, Wisconsin, and (later) Alaska the power to enforce the same criminal laws within Indian Country as they did outside of Indian Country. The law also “provided that any other state could assume such jurisdiction by statute or state constitutional amendment,” and many did so (Canby 1998, 27; Barker 1998, 46–49). With the advent of the Federal policy of self-determination in the 1970s, some States retroceded policing responsibility back to tribes. Nonetheless, a significant number of Indian communities still rely on State and local police services, which usually are paid for by the surrounding, and generally larger, non-Indian community.
The number of tribes subject to policing through PL 83–280 is fairly static and relatively large (for example, it includes many of the more than 100 tribes in California). They have excluded them from this study, which focuses on tribes that either police themselves or have a present opportunity to do so. Often, PL 83–280 tribes have rather small populations or limited land bases, characteristics that make self-policing much more difficult. We agree with other researchers, however, that, despite these constraints, PL 83–280 tribes should have an opportunity to determine the policing arrangement that best serves their members (Goldberg and Singleton 1998). The complexity of these issues’ merits separate, comprehensive treatment.
Other Administrative Arrangements
To this already complicated picture, we must add several more possibilities. First, tribes can contract with the BIA for individual police functions. Therefore, some departments will have a tribal patrol function and a BIA criminal investigation function. Second, an increasing number of departments include both tribally employed and BIA employed patrol officers. The Community Oriented Policing Service (COPS) program6 is one driving force behind this mix. Its grants provide funding for new local-level officers, who cannot be Federal employees. Thus, tribes that receive COPS grants but have BIA-administered departments have had to hire officers under tribal auspices.
The Typical Department in Indian Country
Despite the complexity of administrative arrangements, it is possible to construct a rough portrait of the typical police department serving Indian Country. This sketch is a step toward developing a general understanding of the context of policing in Indian Country. The data for this portrait comes from the approximately 40 respondents to our survey of the 67 largest tribes (66 largest departments) located in the continental United States.
The typical department is administered either by the tribe through a 638 contract or by the BIA. It has 32 employees (of whom approximately 9 are civilians, 6 are detention officers, 16 are police officers, and 1 to 3 are command staff). Given the around-the-clock nature of policing, the numbers imply that the typical department has only a few officers on duty at any one time. The sworn officers are high school graduates and graduates of certified law enforcement training academies. A slight majority are Native American.
The typical department polices a reservation land area of 500,000 acres and serves approximately 10,000 tribal members. Therefore, the typical setting is a large land area with a relatively small population patrolled by a small number of police officers, and the superficial description is of a rural environment with rural-style policing. In fact, substantial numbers of reservation residents live in fairly dense communities that share attributes of suburban and urban areas. Nonetheless, the figures are roughly equivalent to an area the size of Delaware, but with a population of only 10,000 that is patrolled by no more than three police officers (and as few as one officer) at any one time— a level of police coverage that is much lower than in other urban and rural areas of the country.
The typical department has an operating budget of approximately \$1 million per year, which also is less than its rural counterparts and much less than the typical urban police department. In keeping with this limited resource base, the facilities and equipment that support such a department are generally old: The department typically is housed in a building that is 20 or more years old and relies on a vehicle fleet that is at least 3 years old.
The Criminal Justice System in Indian Country
The components of the criminal justice system in Indian Country are similar to those of non-Indian communities throughout the country. The primary components are the judiciary, the prosecutorial and defense bars, the correctional system (including probation), and the police. However, the complex jurisdictional arrangements in Indian Country mean that for nearly every serious crime, the U.S. Attorney and the Federal Bureau of Investigation (FBI) have potential jurisdiction. This is markedly different from the situation in non-Indian communities: On reservations, Federal agencies play a potentially broad role in the operation of what is essentially a local criminal justice system.
Although the arrangements may vary from reservation to reservation, three factors always come into play in determining criminal jurisdiction in Indian Country. These factors tend to narrow tribal jurisdiction and expand either State or Federal jurisdiction over a wide range of crimes:
• Where the crime was committed. Only crimes committed in Indian Country, on trust land, fall under the jurisdiction of tribes. All crimes committed outside of Indian Country, even if they involve American Indians, fall under State or Federal jurisdiction.
• Who committed the crime (Indian or nonIndian). For tribal jurisdiction, the alleged offender must be an American Indian. Sometimes, however, even Indians who are not members of the tribe on whose reservation the crime occurred may be exempt from that tribe’s jurisdiction. Regardless of the nature of the crime or the location in which it occurred, non-Indians are not under the criminal jurisdiction of tribes.
• What crime was committed. As a result of the Major Crimes Act of 1885 (18 U.S.C.A. §1153) and the Indian Civil Rights Act of 1968 (25 U.S.C.A. §1302(7)), tribes have jurisdiction only over less serious crimes. Most serious crimes— including murder, manslaughter, arson, burglary, and robbery—fall under the jurisdiction of Federal authorities. However, some tribes have found ways to exercise increased authority over the investigation and adjudication of more serious crimes.8
Other attributes of the criminal justice system in Indian Country that often are highlighted by experts in the field and are relevant to this discussion include the following:
• Like police departments in Indian Country, other Indian Country criminal justice agencies suffer from major resource constraints (see Odum 1991).
• Indian Country has a greater representation of nonprofessionals in the judiciary and the prosecution and defense bars than non-Indian communities do (see Melton 1998).
• Indian Country has a severe shortage of jail space and correctional treatment programs, particularly with regard to substance abuse (Office of the Inspector General 1996).
4.7 - Other Key Minority Groups and Special Populations
Children/Youth21
The officer involved shooting of Tamir Rice in Cleveland, Ohio, and Michael Brown in Ferguson, Missouri has highlighted the complex, and sometimes tragic, relationship between law enforcement and youth, particularly youth of color. Negative perceptions of police, sometimes due to aggressive law enforcement in communities of color, have been linked to a number of impacts (short of death) on youth of color, including a willingness to break the law, a mistrust of police, a refusal to cooperate with officers, and alienation in other respects. Enhancing the quantity and quality of positive contacts between youth of color—particularly African American youth—and the police is necessary to foster trust, cooperation, and community engagement. A number of police agencies across the country have developed various school-based and extracurricular initiatives to engage youth and increase positive, non-punitive interactions between law enforcement and young people.
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Think About It. . . How would incarcerated youth train police?
Performing Statistics is an ongoing project that connects incarcerated teens, artists, and Virginia’s leading policy experts to transform the juvenile justice system. During the summer of 2015 and 2016, a group of incarcerated teens were able to leave their detention facility, come to a window-filled art space and co-create a multitude of projects about their lives. Follow this link to view their project.
The Hawthorne (California) Police Department’s Teen/Police Dialogue Workshops aim to provide a tangible, positive engagement opportunity between African-American teens and police officers. These workshops provide an opportunity for youth to discuss common questions they have about police procedures, as well as their own rights. In the program, youth are able to first express their questions and concerns about law enforcement by discussing these questions. This forms a foundation for subsequent collaboration.
While many police departments use sports or other physical activities to provide positive outlets for youth, the Seattle Police Department’s Urban Youth Chess Club challenges traditional stereotypes about the interests and capabilities of youth of color who live in urban environments.
Since 2005, the Seattle Police Department (SPD) has been engaging elementary school-aged youth with an after-school and weekend chess activity that works to simultaneously develop critical thinking skills in the children and promote positive relationships with law enforcement. This club currently meets twice a week at either a local library or community center.
SPD Detective Denise “Cookie” Bouldin created this club after attending a First Move program training by the American Foundation for Chess (AF4C). The AF4C engages young minds and teaches critical and creative thinking skills through the game of chess. This program teaches the kids how to apply chess-playing strategies to real-life situations where young people are faced with difficult choices, negative influences, and peer pressure. Detective Bouldin (known in the club as Detective Cookie) uses the chess boards to teach anti-violence behaviors and demonstrate smart decision-making skills.
The Austin (Texas) Police Department partners with the Boys and Girls Club, YMCA, and other local youth programs to run a youth mentorship program aimed at engaging young people who live in neighborhoods with the highest incidences of crime. The goal is to improve the youth’s perceptions of police, academic performance, and leadership skills at a young age so that they will be better equipped to make healthy decisions as they get older. The mentorships include teaching leadership and school study skills and building the youth’s appreciation for volunteerism and community building. Program participants have reported improved grade point averages and school attendance after engaging with this mentorship program.
The Anaheim (California) Police Department’s Junior Cadet Program is a weekly after-school program that enables students who are interested in a career in criminal justice or fire safety to learn more about the field, build relationships with current officers, and set career goals. Participation in the program has been shown to boost students’ academic achievement, decrease disciplinary problems at school, and foster positive relationships with local police. In Anaheim, the program is managed by the police department’s community service officers.
Effective anti-gang efforts begin when law enforcement partners with parents, schools, religious institutions, community organizations, businesses, and youth to improve their communities. Local anti-gang coordinating committees bring together a number of criminal justice and community stakeholders to focus on the three components of an anti-gang strategy: prevention, intervention, and suppression.
Collaboration between law enforcement agencies and schools and parents is critical to ensuring the safety of youth. School resource officer (SRO) programs have become an important way for law enforcement to fulfill its duty to protect children on campus and contribute to safer learning environments. Local law enforcement officers’ specialized knowledge of the law, local and national crime trends, and information about public safety threats make them essential contributors to any school’s environmental safety planning, facilities management, and emergency response preparedness.
Selecting the right officer for the SRO position is paramount to the program’s success and to demonstrating a positive image of law enforcement for school-aged youth. When officers have a genuine interest in working with student’s relationships can be formed with the students resulting in mutual trust. SROs are sworn police officers trained to serve and protect the community and schools within their jurisdiction as part of a total community policing strategy. While an SRO’s primary responsibility is safety, an SRO should also take opportunities to present information on public safety topics, such as emergency preparedness, to their school communities. In imparting knowledge to students and staff, an SRO can build a foundation for positive relationships. Informal counseling abilities. Like other caring adults, an SRO can guide youth in making good choices, avoiding destructive behaviors, and navigating life’s circumstances, challenges, and opportunities. SROs should also recognize that they are role models for children and should work to maintain a positive and professional public.
Seniors/elderly22
Mistreatment and abuse of the elderly is a major social problem. As expected, with the biology of aging, the elderly sometimes become physically frail. This frailty renders them dependent on others for care—sometimes for small needs like household tasks, and sometimes for assistance with basic functions like eating and toileting. Unlike a child, who also is dependent on another for care, an elder is an adult with a lifetime of experience, knowledge, and opinions—a more fully developed person. This makes the care-providing situation more complex.
Elder abuse occurs when a caretaker intentionally deprives an older person of care or harms the person in his or her charge. Caregivers may be family members, relatives, friends, health professionals, or employees of senior housing or nursing care. The elderly may be subject to many different types of abuse.
In a 2009 study on the topic led by Dr. Ron Acierno, the team of researchers identified five major categories of elder abuse: 1) physical abuse, such as hitting or shaking, 2) sexual abuse, including rape and coerced nudity, 3) psychological or emotional abuse, such as verbal harassment or humiliation, 4) neglect or failure to provide adequate care, and 5) financial abuse or exploitation (Acierno 2010).
The National Center on Elder Abuse (NCEA), a division of the U.S. Administration on Aging, also identifies abandonment and self-neglect as types of abuse. Table 13.1 shows some of the signs and symptoms that the NCEA encourages people to notice.
The National Center on Elder Abuse encourages people to watch for these signs of mistreatment:
• Type of Abuse Signs and Symptoms: Physical abuse, Bruises, untreated wounds, sprains, broken glasses, lab findings of medication over dosage.
• Sexual abuse: Bruises around breasts or genitals, torn or bloody underclothing, unexplained venereal disease.
• Emotional/psychological abuse: Being upset or withdrawn, unusual dementia-like behavior (rocking, sucking).
• Neglect: Poor hygiene, untreated bed sores, dehydration, soiled bedding.
• Financial: Sudden changes in banking practices, inclusion of additional names on bank cards, abrupt changes to will.
• Self-neglect: Untreated medical conditions, unclean living area, lack of medical items like dentures or glasses.
How prevalent is elder abuse? Two recent U.S. studies found that roughly one in ten elderly people surveyed had suffered at least one form of elder abuse. Some social researchers believe elder abuse is underreported and that the number may be higher. The risk of abuse also increases in people with health issues such as dementia (Kohn and Verhoek-Oftedahl 2011). Older women were found to be victims of verbal abuse more often than their male counterparts.
In Acierno’s study, which included a sample of 5,777 respondents age sixty and older, 5.2 percent of respondents reported financial abuse, 5.1 percent said they’d been neglected, and 4.6 endured emotional abuse (Acierno 2010). The prevalence of physical and sexual abuse was lower at 1.6 and 0.6 percent, respectively (Acierno 2010).
Other studies have focused on the caregivers to the elderly in an attempt to discover the causes of elder abuse. Researchers identified factors that increased the likelihood of caregivers perpetrating abuse against those in their care. Those factors include inexperience, having other demands such as jobs (for those who weren’t professionally employed as caregivers), caring for children, living full-time with the dependent elder, and experiencing high stress, isolation, and lack of support (Kohn and Verhoek-Oftedahl 2011).
A history of depression in the caregiver was also found to increase the likelihood of elder abuse. Neglect was more likely when care was provided by paid caregivers. Many of the caregivers who physically abused elders were themselves abused—in many cases, when they were children. Family members with some sort of dependency on the elder in their care were more likely to physically abuse that elder. For example, an adult childcaring for an elderly parent while at the same time depending on some form of income from that parent, is considered more likely to perpetrate physical abuse (Kohn and Verhoek-Oftedahl 2011).
A survey in Florida found that 60.1 percent of caregivers reported verbal aggression as a style of conflict resolution. Paid caregivers in nursing homes were at a high risk of becoming abusive if they had low job satisfaction, treated the elderly like children, or felt burnt out (Kohn and Verhoek-Oftedahl 2011). Caregivers who tended to be verbally abusive were found to have had less training, lower education, and higher likelihood of depression or other psychiatric disorders. Based on the results of these studies, many housing facilities for seniors have increased their screening procedures for caregiver applicants.
Mental illness/mentally handicapped23
Police and other law-enforcement officers are frequently the first-line responders to those suffering from a psychiatric crisis. Unfortunately, negative interactions between individuals with mental illness and law enforcement are widely reported and frequently tragic. Mental health training is essential to reduce the number of undesirable outcomes between police and law-enforcement individuals and those suffering from mental illness, with research finding that a lack of training leads to an escalation in violence, and increased rates of injury and death. This offers the potential that with appropriate training of police officers, particularly focusing on better communication and the ability to more easily de-escalate emotions during these interactions that this will reduce the frequency of these negative interactions.
Training police on how best to interact with individuals who may have a mental illness is not new. A recent study looking at Canadian law-enforcement organizations found that entry-level training on mental illness occurs widely and provides a strong groundwork for positive interactions, as well as noting significant increases in crisis intervention training in the last decade in many countries, including Canada, the United States, the United Kingdom, and Australia.
Nonetheless, although training has increased, there continues to be a number of issues that remain. The present review focuses on recommendations for change and includes recent suggestions for both police training and police organizations. Taking all of these into consideration, the current review proposes a focus on specific aspects of training that must be enhanced to improve outcomes, and how this research should best be carried out in collaboration with police forces.
Another major issue in current police training revolves around the assumption that if attitudes toward mental illness can be made more positive then behaviors will change accordingly. Because of this assumption, current training programs focus on changing attitudes through educational means even though their main goal is to change behaviors. In this regard, we must understand the challenge it takes in changing attitudes. Once attitudes, stereotypes, or biases are established, they are extremely difficult to modify. As well, if attitudes are strong, behaviors are increasingly more difficult to change. If the end goal is to improve an officer’s behavior toward individuals with mental illness, a more efficient way is to focus on changing behavior, assuming attitudes will change accordingly. This theory is termed cognitive dissonance or self-justification. When attitudes and behaviors are inconsistent with each other, individuals have beliefs that attitudes, and behaviors should be related and thus aim to diminish tension by shifting their attitudes to match their behaviors. Attitudes only change if officers are unable to justify externally, why they acted in a certain way. For example, if a sergeant was watching, officers justify their actions by telling themselves they acted this way because the sergeant was watching. However, if behaviors are implemented without external justification, then there will be an internal attitude shift linking behaviors to attitudes. For example, officers will believe that the reason they acted this way was because they like acting this way, leading to an attitude change.
Interestingly, although it is difficult to accomplish, some research does show improvements in police attitudes and stigma toward mentally ill individuals and positive behavioral changes after training. However, even if attitudes and behaviors do change post training, there is evidence showing that attitudes do not always predict behaviors and vice versa.
There are four factors that strengthen or weaken the link between attitudes and behavior:
1. Specificity: specific attitudes must be compared to specific behaviors, and general attitudes must be compared to general behaviors. If there is a mismatch, then actual attitudes may not be determined. For example, general attitude toward mental illness will not predict behaviors toward depressed individuals.
2. Individual differences: some individuals are able to change their behavior according to the situation (high self-monitors), while others act the same in all situations (low self-monitors). Low self-monitors act according to their attitudes. (It has been found that if individual confidence is increased, people can become high self-monitors.
3. Attitude strength: the stronger the attitude toward something makes the attitude readily accessible and a greater predictor of behavior. Attitudes can be strengthened through direct or personal experience. As well, the stronger the attitude, the more difficult it is to change the attitude.
4. Conformity and obedience: if individuals are forced to behave in accordance with group norms or commanding officer beliefs, it is less likely that behaviors match private attitudes because they may be complying to avoid punishment or gain reward.
Two models that describe this relationship further using psychological processes are the attitude-to-behavior process model and the theory of planned behavior.
The attitude-to-behavior process model explains spontaneous behavior in response to an unexpected situation. It states that more accessible attitudes have instantaneous effects on behavior. Explaining behavior in terms of the specific situations tends to be overlooked and instead behaviors are explained in terms of personality and attitudes, thus attitude–behavioral relationships are made even if they may not exist. Even so, we must not ignore the influence that the specific situation has on behavior.
A third issue with current training programs is the lack of repeated, or refresher, training. While police forces recognize the need for regular and repeated training on a range of areas, this does not seem to apply to the issue of interactions with the mentally ill, where single training activities are the norm. This is despite compelling research regarding memory retention, which suggests a challenge for even the most intelligent students to remember material over time. As an example, medical students forget 25–35% of material in the first year, and more than 50% by the second. Another review suggests that memory is imperfect, and that skills and knowledge decay by 6 months to 1-year post training, with skills deteriorating faster than knowledge.
Other evidence regarding health-related skills and knowledge retention suggest that refresher training should occur at least every 3 years. Additional support for the need for police organizations to implement repeated training in this area is research showing that police retention of knowledge decreases over time. For these reasons, training on mental health awareness needs to be repeated regularly, with current evidence suggesting training must occur every 3 years for all individuals involved in interactions with those who may have a mental illness.
Current recommendations for police training continue to emphasize the importance of training law-enforcement officers to interact more appropriately with individuals suffering from mental illness. The future direction of training for these individuals needs to address the specific factors identified in this review. First, these are the need to accurately measure the outcomes from training. Without this, it is impossible to determine if any training programs are successful. Considering the large sums of money and time it takes to carry out a training program, outcome measures are increasingly important for all police training programs, and this should also apply to those involving training for interacting with mentally ill individuals.
Second, there is a need for training programs to focus on changing behaviors and not simply attitudes, since attitudes, and behaviors may not be strongly correlated. Evidence to date suggests that this can be achieved by focusing on communication, empathy, and de-escalation by engaging officers through scenario-based, hands-on training. Third, it is essential to continuously train officers throughout their careers, and to work to maintain these skills and specific knowledge, preferably by having a training program every 3 years. By continuing the opportunity for officers to increase their mental health awareness, improvements in the relationship between police and mentally ill individuals will continue to progress over time. Officers will then be better equipped to know what to look for, to ask the right questions, and to behave appropriately toward individuals with these conditions, thus increasing the number of positive interactions between these two groups.
Homosexual/transgender24
There is significant distrust of law enforcement among transgender (often abbreviated “trans”) people because of a history of perceived and actual bias, profiling, and abuse. It is not uncommon for transgender people to fear police; as a result of their own or their community’s experiences of victimization or discrimination at the hands of law enforcement, transgender people are often reluctant to seek police assistance and report crimes. The breakdown of relations between law enforcement and the transgender community has no doubt contributed to increased crime within and victimization experienced by this vulnerable group. Recognizing the critical need to repair these relationships, law enforcement agencies from around the country have been working with lesbian, gay, bisexual, and transgender (LGBT) rights groups and local policymakers to design and implement police policies and patrol guides aimed at protecting the rights and dignity of transgender and gender nonconforming people.
A national survey conducted with nearly 6,500 transgender and gender nonconforming individuals revealed that transgender people—particularly transgender people of color—experienced high rates of harassment and assault when interacting with or seeking police services. Specifically, the survey revealed the following:
• Nearly half of survey respondents (46 percent) reported being reluctant to seek police assistance.
• One-fifth (22 percent) of respondents who have interacted with police reported harassment by police with substantially higher rates (29 to 38 percent) reported by respondents of color.
• Six percent of respondents reported physical attack or assault by a police officer, while 2 percent reported sexual assault by police officers.
At the same time, this survey revealed that trans people are disproportionately victims of crime:
• Eight percent of respondents reported being physically attacked or assaulted in places of public accommodation, such as restaurants, hotels, or emergency services. African-American respondents reported much higher rates of physical assault (22 percent) than their non-Black peers.
• Nearly one in five transgender people (19 percent) reported having experienced domestic violence based at least in part on their transgender status, with American Indian (45 percent), Asian (36 percent), Black (35 percent) and Latino/a (35 percent) respondents—as well as undocumented non-citizens (39 percent)—reporting higher rates of domestic violence.
• Individuals who identified as transgender and gender nonconforming in grades K–12 reported significantly high rates of harassment (78 percent), physical assault (35 percent), and sexual violence (12 percent).
• Identify transgender organizations, leaders, and other groups with strong knowledge of and connection to the local trans community. Reach out to discuss community concerns.
• Understand that transgender people are part of the diversity of the community and are themselves diverse in race, age, faith, sexual orientation, and life experience. Variations in gender expression should not be viewed as deviant or criminal. Be aware of misconceptions and stereotypes you might have regarding transgender and gender nonconforming individuals.
• Develop and conduct training together with community members, including mutual cross-cultural training presentations. Invite participation on advisory boards and area hate crimes joint task forces. With the support of community members, attend transgender community events such by making an effort to talk to participants and foster understanding.
Act It Out! “Communicating Across Cultures”
We identified several cross-cultural variables in how people use language. I organized them into the following groups:
1. words, syntax, meaning
2. tone, volume, rate
3. direct/indirect, turn-taking, interruption
4. content
5. use of silence
Now, we’d like you to choose either group C, D, or E and make some finer distinctions among the variables. (Group A is too difficult unless you are a linguist, and Group B is too simple!). For example:
Group C:
What does it mean that one way of talking is more direct than another? What are different ways people can interrupt one another and take control of the conversation?
Group D:
Brainstorm a few examples of what is acceptable/unacceptable content to discuss in different cultures. Are some topics acceptable for only some subgroups to talk about?
Group E:
Be ready to discuss your findings with the rest of the class. | textbooks/workforce/Corrections/Community_and_the_Justice_System_(Wymore_and_Raber)/04%3A_Multicultural_Populations.txt |
Chapter 5 – Understanding the Dynamics of a Community
Key Learning Objectives:
• Be able to explain the importance of socialization and how nature vs nurture, family, peer groups, religion, the workplace and mass media affect socialization.
• Identify the mechanisms that make each person unique.
• Demonstrate the difference and importance of the formal and informal power structures that exist.
• Identify the way law enforcement impact and shape the communities they serve.
5.1 - Key elements of Socialization community
Socialization is critical both to individuals and to the societies in which they live. It illustrates how completely intertwined human beings and their social worlds are. First, it is through teaching culture to new members that a society perpetuates itself. If new generations of a society don’t learn its way of life, it ceases to exist. Whatever is distinctive about a culture must be transmitted to those who join it in order for a society to survive. For U.S. culture to continue, for example, children in the United States must learn about cultural values related to democracy: they have to learn the norms of voting, as well as how to use material objects such as voting machines. Of course, some would argue that it’s just as important in U.S. culture for the younger generation to learn the etiquette of eating in a restaurant or the rituals of tailgate parties at football games. In fact, there are many ideas and objects that people in the United States teach children about in hopes of keeping the society’s way of life going through another generation.
Socialization is just as essential to us as individuals. Social interaction provides the means via which we gradually become able to see ourselves through the eyes of others, and how we learn who we are and how we fit into the world around us. In addition, to function successfully in society, we have to learn the basics of both material and non-material culture, everything from how to dress ourselves to what’s suitable attire for a specific occasion; from when we sleep to what we sleep on; and from what’s considered appropriate to eat for dinner to how to use the stove to prepare it. Most importantly, we have to learn language—whether it’s the dominant language or one common in a subculture, whether it’s verbal or through signs—in order to communicate and to think.
Nature versus Nurture
Some experts assert that who we are is a result of nurture—the relationships and caring that surround us. Others argue that who we are is based entirely in genetics. According to this belief, our temperaments, interests, and talents are set before birth. From this perspective, then, who we are depends on nature. One-way researchers attempt to measure the impact of nature is by studying twins. Some studies have followed identical twins who were raised separately. The pairs shared the same genetics but in some cases were socialized in different ways. Instances of this type of situation are rare but studying the degree to which identical twins raised apart are the same and different can give researchers insight into the way our temperaments, preferences, and abilities are shaped by our genetic makeup versus our social environment.
Figure 5.1 Nature vs Nurture by Trudi Radtke is used under a CC-BY 4.0 license.
For example, in 1968, twin girls born to a mentally ill mother were put up for adoption, separated from each other, and raised in different households. The adoptive parents, and certainly the babies, did not realize the girls were one of five pairs of twins who were made subjects of a scientific study (Flam 2007). In 2003, the two women, then age thirty-five, were reunited. Elyse Schein and Paula Bernstein sat together in awe, feeling like they were looking into a mirror. Not only did they look alike but they also behaved alike, using the same hand gestures and facial expressions (Spratling 2007). Studies like these point to the genetic roots of our temperament and behavior. Though genetics and hormones play an important role in human behavior, sociology’s larger concern is the effect society has on human behavior, the “nurture” side of the nature versus nurture debate. What race were the twins? From what social class were their parents? What about gender? Religion? All these factors affected the lives of the twins as much as their genetic makeup and are critical to consider as we look at life through the sociological lens.
Socialization helps people learn to function successfully in their social worlds. How does the process of socialization occur? How do we learn to use the objects of our society’s material culture? How do we come to adopt the beliefs, values, and norms that represent its nonmaterial culture? This learning takes place through interaction with various agents of socialization, like peer groups and families, plus both formal and informal social institutions.
Social Group Agents
Social groups often provide the first experiences of socialization. Families, and later peer groups, communicate expectations and reinforce norms. People first learn to use the tangible objects of material culture in these settings, as well as being introduced to the beliefs and values of society
Family
Family is the first agent of socialization. Mothers and fathers, siblings and grandparents, plus members of an extended family, all teach a child what he or she needs to know. For example, they show the child how to use objects (such as clothes, computers, eating utensils, books, bikes); how to relate to others (some as “family,” others as “friends,” still others as “strangers” or “teachers” or “neighbors”); and how the world works (what is “real” and what is “imagined”). As you are aware, either from your own experience as a child or from your role in helping to raise one, socialization includes teaching and learning about an unending array of objects and ideas.
Figure 5.2 Family is vital to the development of values and beliefs. Image is in the public domain.
Keep in mind, however, that families do not socialize children in a vacuum. Many social factors affect the way a family raises its children. For example, we can use sociological imagination to recognize that individual behaviors are affected by the historical period in which they take place. Sixty years ago, it would not have been considered especially strict for a father to hit his son with a wooden spoon or a belt if he misbehaved, but today that same action might be considered child abuse.
Peer Group
A peer group is made up of people who are similar in age and social status and who share interests. Peer group socialization begins in the earliest years, such as when kids on a playground teach younger children the norms about taking turns, the rules of a game, or how to shoot a basket. As children grow into teenagers, this process continues. Peer groups are important to adolescents in a new way, as they begin to develop an identity separate from their parents and exert independence. Additionally, peer groups provide their own opportunities for socialization since kids usually engage in different types of activities with their peers than they do with their families. Peer groups provide adolescents’ first major socialization experience outside the realm of their families. Interestingly, studies have shown that although friendships rank high in adolescents’ priorities, this is balanced by parental influence.
Most U.S. children spend about seven hours a day, 180 days a year, in school, which makes it hard to deny the importance school has on their socialization (U.S. Department of Education 2004). Students are not in school only to study math, reading, science, and other subjects—the manifest function of this system. Schools also serve a latent function in society by socializing children into behaviors like practicing teamwork, following a schedule, and using textbooks.
School and classroom rituals, led by teachers serving as role models and leaders, regularly reinforce what society expects from children. Sociologists describe this aspect of schools as the hidden curriculum, the informal teaching done by schools. For example, in the United States, schools have built a sense of competition into the way grades are awarded and the way teachers evaluate students (Bowles and Gintis 1976). When children participate in a relay race or a math contest, they learn there are winners and losers in society. When children are required to work together on a project, they practice teamwork with other people in cooperative situations. The hidden curriculum prepares children for the adult world. Children learn how to deal with bureaucracy, rules, expectations, waiting their turn, and sitting still for hours during the day. Schools in different cultures socialize children differently in order to prepare them to function well in those cultures. The latent functions of teamwork and dealing with bureaucracy are features of U.S. culture.
Schools also socialize children by teaching them about citizenship and national pride. In the United States, children are taught to say the Pledge of Allegiance. Most districts require classes about U.S. history and geography. As academic understanding of history evolves, textbooks in the United States have been scrutinized and revised to update attitudes toward other cultures as well as perspectives on historical events; thus, children are socialized to a different national or world history than earlier textbooks may have done. For example, information about the mistreatment of African Americans and Native American Indians more accurately reflects those events than in textbooks of the past.
The Workplace
Just as children spend much of their day at school, many U.S. adults at some point invest a significant amount of time at a place of employment. Although socialized into their culture since birth, workers require new socialization into a workplace, in terms of both material culture (such as how to operate the copy machine) and nonmaterial culture (such as whether it’s okay to speak directly to the boss or how to share the refrigerator).
Different jobs require different types of socialization. In the past, many people worked a single job until retirement. Today, the trend is to switch jobs at least once a decade. Between the ages of eighteen and forty-six, the average baby boomer of the younger set held 11.3 different jobs (U.S. Bureau of Labor Statistics, 2014). This means that people must become socialized to, and socialized by, a variety of work environments.
Religion
While some religions are informal institutions, here we focus on practices followed by formal institutions. Religion is an important avenue of socialization for many people. The United States is full of synagogues, temples, churches, mosques, and similar religious communities where people gather to worship and learn. Like other institutions, these places teach participants how to interact with the religion’s material culture (like a mezuzah, a prayer rug, or a communion wafer). For some people, important ceremonies related to family structure—like marriage and birth—are connected to religious celebrations. Many religious institutions also uphold gender norms and contribute to their enforcement through socialization. From ceremonial rites of passage that reinforce the family unit to power dynamics that reinforce gender roles, organized religion fosters a shared set of socialized values that are passed on through society.
Government
Although we do not think about it, many of the rites of passage people go through today are based on age norms established by the government. To be defined as an “adult” usually means being eighteen years old, the age at which a person becomes legally responsible for him- or herself. And sixty-five years old is the start of “old age” since most people become eligible for senior benefits at that point.
Each time we embark on one of these new categories—senior, adult, taxpayer—we must be socialized into our new role. Seniors must learn the ropes of Medicare, Social Security benefits, and senior shopping discounts. When U.S. males turn eighteen, they must register with the Selective Service System within thirty days to be entered into a database for possible military service. These government dictates mark the points at which we require socialization into a new category
Mass Media
Mass media distribute impersonal information to a wide audience, via television, newspapers, radio, and the Internet. With the average person spending over four hours a day in front of the television (and children averaging even more screen time), media greatly influences social norms (Roberts, Foehr, and Rideout 2005). People learn about objects of material culture (like new technology and transportation options), as well as non-material culture—what is true (beliefs), what is important (values), and what is expected (norms).
5.2 - Factors That Make People Different26
Everyone is unique in their own particular way. Some people want to be like the majority in an attempt to fit in, but they are still unique. Some people take use their experiences and their persona in an attempt to create the life they want, which is unique to them. Either way a person’s unique life experiences help shape their world view, and where they fit into that world.
So, what makes people different? We will explore some different aspects of a person’s life that makes them different. While just one thing can make someone unique, if you combine them all together, you will be able to understand just how different one person can be from another.
Experiences
No one has had the same experiences in life. Not one person. Everyone experiences variations in their day, even when they are working at the same place or spending time together. For instance, the author has spent time in an isolated portion of the Country of Uganda with others in a small group has given him a unique set of experiences not many other in the United States may have had. And even those of us in the small group had different experiences while there even though they all did similar duties and activities. Some of the group experienced sadness of the situation and others had hope. Some saw environmental usage as progress and betterment of people’s lives, while others saw it as a waste of natural resources with long term consequences. Their previous life experiences shape their current experiences. A person’s experiences throughout their entire life are what make a person unique.
Perceptions
The way we view life is not going to match anyone else’s view. We may have moments where we perceive the exact same thing, but more often we can view the same event or issue but have a completely different interpretation than the person next to us. Again, this is often shaped by our life experiences and also our personal belief systems.
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Think About It . . . What’s Your Perception?
A person possesses a handmade shirt produced in Uganda they obtained during a visit to the country. When they wear the shirt in the United States to express appreciation and respect for the culture and people of Uganda, the shirt will produce conversation. Some people appreciate the desire to share the accomplishments, struggles, and culture of the Ugandan people, and expand understanding of the region. Others expressed their displeasure when someone who is not black or Ugandan wears the shirt and described it as “culture appropriation” and it is morally inappropriate to wear such a shirt as a non-African. Exact same shirt, worn in the exact same place, but garners different reactions based on the ethnicity of the wearer. The perceptions of different people are based on their knowledge, lack of knowledge, bias, misconceptions, and prejudices. How things are perceived are often framed by our individual experiences.
Beliefs
Our experiences and perceptions in life create your beliefs. What you believe is what you perceive to be true based on what you have experienced in life. Your beliefs about yourself, other people, the world, what’s right and wrong, and everything else is never going to match up to another person’s beliefs perfectly. Additionally, beliefs can change over time based on new experiences, education, or other factors that affect our lives.
For example, Lee Strobel, a Chicago Tribune reporter was a devout atheist. He pursued a quest to prove Christianity was false but ended up becoming a Christian based on the information he compiled. In contrast, John W. Loftus, a Christian preacher who after decades of belief rejected the Christian teachings and became an atheist. Both men's beliefs changed based new experiences and perceptions.
Relationships
Relationships have a significant influence over our lives. They influence how we think about ourselves and how we interact with other people. Nobody can say they have the same relationships as anyone else. Even if two people are friends with the same people, the relationships they have with those people are going to differ on some level. Some people connect with others, some don't. Some people share certain beliefs that bind them in a different way. Some people argue with others on insignificant matters, and that has lasting effects on their relationship. The conclusion is that we all have different relationships in our lives. These relationships shape our experiences and make each person a unique individual.
Intelligence
Intelligence stems from many things, including our beliefs, social aptitude, emotional awareness, experiences, genetics, and the health of our brain. Again, this means no two people have the same level or degree of intelligence. This is why it is necessary for people to come together during problem solving situations and “brainstorm” to come to a resolution. By viewing a situation, problem or issue from different intellects can provide unique and often better solutions than when only one person participates.
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Figure 5.3 Intelligence is a complex concept that is difficult to measure precisely. Even IQ tests can’t provide delimitative measures of intelligence. Image is used under a Creative Commons Zero - CC0 license.
An individual’s IQ is a measure of a person’s intelligence, but it does not adequately determine to a person’s true intelligence. Other factors such as desire, work ethic, and willingness to expand their abilities can shift that range up and down the intelligence scale. For example: A person with an IQ of 150 is considered highly gifted intellectually and might be able to send a spacecraft to Jupiter but has no ability to rebuild a 1967 Ford Mustang. While a person with an IQ of 95 is considered average intellectually and can build an engine perfectly but has no ability to send a space craft to Jupiter! Intelligence manifests itself in different manners, which in turn affects the way we see the world, ourselves, others, and has an influence on how we react to others and situations.
Personality
Personality combines temperament, attitude, thoughts, beliefs, behavior, principles, and character. Every person has a personality is unique to them, and it is what other people see when they interact with you. Sometimes people will describe others based on their personality. For instance, you will hear people describe others as, quiet, boisterous, kind, annoying, or rude. Our personalities will reflect how we respond to situations and other people.
5.3 - Economics: A Different Justice for Rich and Poor27
Findings on social class differences in crime are less clear than they are for gender or age differences. Arrests statistics and much research indicate that poor people are much more likely than wealthier people to commit street crime. However, some scholars attribute the greater arrests of poor people to social class bias against them. Despite this possibility, most criminologists would probably agree that social class differences in criminal offending are “unmistakable”. Reflecting on this conclusion, one sociologist has even noted, with tongue only partly in cheek, that social scientists know they should not “stroll the streets at night in certain parts of town or even to park there” and that areas of cities that frighten them are “not upper-income neighborhoods” Thus social class does seem to be associated with street crime, with poor individuals doing more than their fair share. Explanations of this relationship center on the effects of poverty, which is said to produce anger, frustration, and economic need and to be associated with a need for respect.
5.4 - Community Power Structure28
The Formal Power Structure
A power structure is an overall system of influence relationships between any individual and every other individual within any selected group of people. A description of a power structure would capture the way in which power or authority is distributed between people within groups such as a government, nation, institution, organization, or a society. Such structures are of interest to various fields, including sociology, government, economics, and business.
A power structure may be formal and intentionally constructed to maximize values like fairness or efficiency, as in a hierarchical organization wherein every entity, except one, is subordinate to a single other entity. Conversely, a power structure may be an informal set of roles, such as those found in a dominance hierarchy in which members of a social group interact, often aggressively, to create a ranking system. A culture that is organized in a dominance hierarchy is a dominator culture, the opposite of an egalitarian culture of partnership. A visible, dominant group or elite that holds power or authority within a power structure is often referred to as being the Establishment. Power structures are fluid, with changes occurring constantly, either slowly or rapidly, evolving or revolutionary, peacefully or violently. The police, courts are considered having formal power within a community.
The Informal Power Structure
With informal authority, this is not something which comes from being nominated to a formal position. This authority is usually bestowed by the people within an organization, i.e. it comes from below rather than above. Informal authority can be granted for any number of reasons: level of trust; level of expertise; personality; charisma; or characteristics; etc. With informal authority, the holder becomes an informal leader within of an organization. They play a critical role in the effectiveness of the organization, as they may, at times, wield more power than the formal authorities.
5.5 - Analysis of Community Problems29
Value System Formation
People are not born with values, so we ask how do people develop their values? The majority of experts conclude there are three periods during which values are developed as we grow. The Imprint period, the Modeling period, and the Socialization period.
The Imprinting period is dominate until approximately age seven. Children absorb everything around them and accept much of it as true, especially when it comes from their parents. Some believe this can form confusion and faith in what you are told during this period can lead to the early formation of trauma and other deep problems. Others believe it is a natural progression of maturation and causes no trauma at all.
The critical component during this period is to learn a sense of right and wrong, good and bad. This is a human construction which we nevertheless often assume would exist even if there were no example for imprinting. This is the primary principal in the Natural Law theory, which indicates there are actions that people instinctively know are wrong, such as murder, rape, or robbery. The Modeling period is approximately between the ages of eight and thirteen. Adolescence imitate other people, sometimes their parents, but also in many cases other people. Rather than complete acceptance of their values and beliefs, they are trying them out in the world to determine how they feel, and in an attempt to find their place with groups within society.
During this age adolescence may become impressed with values or beliefs not imprinted from their parents or guardians. This might include embracing values associated with religion, or teachers, or music stars, or athletes. Think back to junior high years and you may remember being particularly influenced by teacher who seemed so to be so knowledgeable, even more so than your parents. Maybe a political cause, or humanitarian relief beliefs of your favorite singer or actor, and how that may have shaped your sense of right and wrong.
The Socialization period is approximately between the ages of 13 and 21. People are largely influenced by their peers during this time. As we develop as individuals, we look for ways to evaluate the earlier experience, or even challenge the values they had been taught. Determine if the values and beliefs they have been taught are the values they truly believe. Young adults naturally turn to people who seem more like them. They may gravitate toward a certain group, or people who may have differing values and beliefs in order to evaluate their teachings.
Other influences at these ages can include the media, especially those parts which seem to resonate with the values of our peer groups. This can become problematic if a person allows others to dictate how they should believe and what values are acceptable. There are some American media outlet which overtly try to convince people what beliefs are correct, and other outlets take an opposing position and overtly attempt to dictate beliefs. Determining what is truth and what is propaganda is part of the values evaluation process. The Socialization period can be very confusing and differing beliefs and values collide as the person forms the belief system that will be the basis for their value system.
Basic Principle Formation and Development
It's tough to have high moral values and be a principled person. Many people try, many people fail, and some make no attempt. What are principles? How are they formed? How are they utilized? How are they evaluated by society? Generally speaking, the prevailing theory is that there three types of people, Pre-moral, Conventional and Principled.
The pre-moral person has no real values, thus amoral. Young children are pre-moral. Our basic nature drives us to be selfish, Machiavellian, taking whatever steps are required to achieve our goals, including hurting other people. A two-year-old child striking another for a toy. These same traits are displayed in psychopaths as well. A person with psychopathic personality manifests as amoral and antisocial behavior, lacks the ability to love or establish meaningful personal relationships, extreme egocentricity, failure to learn from experience. Sometimes our basic needs drive us to act in ways that help us but may be unhelpful or even harmful to others. Social values (laws) are hence created as a control mechanism to counteract people’s tendency to put ourselves before society.
Conventional values are probably the most common within a society. These values are learned from their parents, teachers and peers. Conventional values in essence relate 'these are the rules needed to live in reasonable harmonious relations with other people in society. The core of the conventional value state is that people will follow the rules just so long as they think they need to. People will break their values occasionally, and especially if their needs are threatened. Example; breaking into a store after a major earthquake and stealing food and water. There is argument that people will move away from their values when they are pretty sure they can get away with breaking values and nobody else knowing about it. Example; knowing the police are busy with a major incident and not in the area you are driving, so you drive 40mph over the speed limit. When is a person truly principled? Values to the point where they are an integral and subconscious part of a person. Right and wrong are absolute things beyond the individual person.
Principles are, in fact powerful drivers of how we think and behave. They direct people in what is good and bad, right and wrong. They tell us they should do's, the should not do's, and shall not do's of life. They also help us decide which principle is more or less important than other principles. Principles help people make decisions. When we are evaluating intent and choosing from alternatives, our principles tell us an action might help us reach our goals, however it would be socially unacceptable, thus choose not to do it. Principles help people decide what is necessary, as values often conflict with one another.
Being principled is a very powerful and effective method of influence. If person or group can understand how a specific groups values develop, then they can guide the process. This concept has been well understood by totalitarian governments throughout the world. The totalitarian government will utilize the education system and re-educate or brainwash children in their ideals. The student is indoctrinated into a belief system and not allowed to believe differently or face punishment, including separation from the social collective. There is a disputed saying (Greek Philosopher Aristotle or Jesuit Priest Ignatius Loyola): “Give me the child for the first seven years and I will give you the man.” This is a chilling description of shaping people’s values, thus their core principles for a specific goal of society or a group. The principles can be for good, such as helping the poor and teaching people to be self-sufficient, or for evil like with Revolutionary Marxism and Nazi Fascism.
A principled person is truly put to the test when their principles are put to the test. Will they will stick to their values through adversity and hardship, and even will sacrifice themselves rather than break their principles. Many great leaders were principled like Martin Luther King and Gandhi. They were prepared to sacrifice their lives, rather than deviate from the path their principles were leading them. To be a principled person doesn't mean you have to sacrifice yourself in a noble cause, it can far more simplistic. Consistency is an additional element in being a person who lives by principle. For example; if you are a person who is a firm believer in the First Amendment of the United States Constitution, which states in part “It guarantees freedom of expression by prohibiting Congress from restricting the press or the rights of individuals to speak freely.” You have a steadfast principle that the government should not be allowed to stifle an individual citizen voice. That principle should be adhered to no matter the speaker.
Jemele Hill, a commentator for ESPN (sports network) and American citizen stated she believed President Trump was a white supremacist, and that his supporters had the benefit of white privilege to distance themselves from certain issues. President Trump responded by saying “with Jemele Hill at the mic, it is no wonder ESPN ratings have tanked”. Additionally, the White House released a statement indicating “the most outrageous comment that anyone could make and certainly something that they think is a fire-able offense by ESPN.” President Trump placed the full weight of the executive branch behind condemning a citizen from exercising her constitutionally protected rights of free speech and attempted to pressure her employer to terminate her employment.
Basseley Nakoula, an American citizen completed a low budget film titled “Innocent of Muslims” in which he portrayed the Muslim Prophet Mohammed in such a way as it would be offensive to Muslims. The film was falsely portrayed by the Obama Administration as the catalyst for the death of four Americans in Benghazi, Libya. President Obama condemned Basseley Nakoula by saying “you have a video that was released by somebody who lives in the United States, a shadowy character who made an extremely offensive video directed at the prophet Mohammed and Islam which led to protest”. Additionally, according to Charles Wood, father of a United States Navy SEAL killed in Benghazi, United States Secretary of State Hillary Clinton told him “we will make sure that the person who made the film is arrested and prosecuted.” President Obama placed the full weight and authority of the executive branch behind falsely condemning Nakoula of causing protest, which led to the death of four American citizens, when he was solely exercising his constitutionally protected right of free speech by making the film.
As a person who has a strong principle grounded in the First Amendment, it should not matter your political affiliation, your position on either President as an ethical person, or on your support for the positions of Hill or Nakoula. You would be opposed to what both Presidents did by aggressively attempting to punish an American citizen for exercising the rights guaranteed by the constitution.
Evaluating Significant Emotional Controls
Law Enforcement
Policing is universally recognized as one of the most stressful occupations a person can choose. A significant source of stress for this population is the constant risk of being exposed to traumatic events, a burden that far exceeds that of the average citizen. Although the officers may not encounter such events on a daily basis, a police officer always faces the threats which are mostly unpredictable and random. The threat of tragic, violent, and dangerous, situations, which appear suddenly can leave emotional and psychological scars. The officer’s status as law enforcer, problem solver, peacekeepers and rescuers expose them to repeated instances of psychological trauma, which can disrupt an officers functioning and interfere with their personal and professional life.
The officers experience from exposure to such traumatic events is concerning for many reasons. Policing is a highly stressful occupation, and the daily stress of the job may interfere with an officer’s ability to cope with the traumatic event. Because of this, the process of healing may utilize the officers mental and emotional energy, leaving few mental resources available for proper and expected safe job performance. Many other trauma victims are able to avoid the types of situations which led to their traumatic events. Police officers are unable to avoid future situations similar to the traumatic event. They are susceptible to re-victimization, compounding the ability to fully recover. Repressed reactions may be delayed weeks, months or even years in an officer who may appear to be functioning appropriately. Many times, these reactions precipitated by new stress that accumulate on an already taxed mind and body.
Officers often report that the daily stresses of police work, organizational structure, shift work, and lack of support contribute more to the chronic stress they experience than does the danger associated with actual field police work, the impact of traumatic events can be much more mentally and physically damaging. This is, due to the infrequency of such events relative to daily stresses. The impact on officers can be much more unexpected and harder to handle. In many psychological critical incidents, it is the reliance of self-reported symptoms, many of which the officers might not even be aware of. Officers are prone to underestimate the magnitude of their distress, particularly when it might impact their job duties. This is why it is incumbent on police management to ensure an officer involved in a critical incident in properly evaluated. This is important for the officer’s health, and ability to perform their required job functions, but for the safety of the public as well.
Officers response to a horrific event can be quite different. Cognitive appraisals are defined as “the ways in which individuals construe stressful or traumatic events in terms of their personal significance and meaning.” People in general, and officers specifically will assess a situation with respect to their own well-being (primary appraisals) as well as their ability to psychologically deal with the situation (secondary appraisals). These appraisals can be influenced by stable personality characteristics, such as optimism versus pessimism and controlled ego. Additionally, learned behavior patterns, such as coping style, and more incident specific perceptions like perceived supports.
Appraisals reflect the amount or significance of damage sustained in a trauma. For an officer, this may include physical injury from being attacked, psychological pain such from losing a fellow officer or not being able to save someone. When an officer dismisses the mental component of a critical incident, they risk developing a passive form of coping, such as avoidance, fatalism or unrealistic thinking. Rather a more effective method of cognitive processing is crucial in dealing with trauma, such as critical incident debriefings, mandatory psychological evaluation and monitoring by supervisory personnel.
Threat appraisals, which refer to some anticipated harm or loss, reflect the often uncertain and unpredictable nature of policing. The uncertainty of many situations requires a cautious and skeptical approach from officers, and the heightened awareness that results from such situations can help to prepare an officer for action. However, an increase in emotional stress that is too great may distract the officer and may actually hinder information processing and the ability to act. Studies found that officers with self-reported symptoms of PTSD after being involved in a critical incident, were more likely to make statements reflecting vulnerability or threat than were those without such symptoms.
Perceived control is the officer’s assessment of his or her ability to influence their surroundings in order to bring about desired outcomes. Perception of control has a powerful influence on people’s ability to cope successfully with stressful situations. Police work is a total paradox of control. The officer’s role is granted considerable authority and control over others by society. Additionally, police officers encounter numerous events that are beyond their control, such as the unpredictability of a traffic stop to the unyielding nature of departmental policies. Because of the control conflict, officers often experience considerable incongruous as they attempt to understand the stressful events that seem to be beyond their control. The more uncontrollable or unpredictable an event is perceived, the greater the risk of developing post traumatic symptoms. Studies have indicated when officers who maintain an internal source of control and who appraise events as being within their ability to control exhibit less psychological distress than do those who maintain an external source of control.
Policing is a field that requires complicated, delicate, and often immediate decision making that can have dreadful and far-reaching consequences. As such, officers may give meaning to a critical incident depending on how well they were able to manage the difficult situation. An officer who reflects positively on his or her handling of a situation most likely will believe that he or she can manage future situations appropriately and will experience less distress over traumatic events than one who is completely overwhelmed with self-doubt and anxiety. However, police officers faced with repeated critical incidents may start to second guess their actions for the negative outcomes and, consequently, may begin to doubt their adequacy as law enforcement officers. Such attributions of self-blame in response to negative response from the media, or public from a critical incident can hinder adjustment, as they can lead to a perception of hopelessness. To mitigate negative emotional pressure on officers, executive management should have a clear and legally factual response to negative responses. If the actions of the officers conformed to current legal standards and department policy, executive management has moral and ethical obligation to be support the officer’s actions regardless of political considerations.
Communities
The criminal justice system's purpose is to deter crime, punish those who break the law and to keep citizens safe. However, some research indicates people of color are treated unfairly which leads to negative perceptions of police officers within that community. The murder of ten police officers in New York City, Baton Rouge and Dallas by black men have exposed many non-minority individuals and their families to incidents of alleged police brutality, which led to the retaliatory actions by the murders. While any rational clear-thinking person can denounce the actions of the murders, the incidents reinforce the need for society to work on improving police and community relations.
Many people have witnessed the aforementioned traumatic incidents through social media and television. The perceived violence witnessed towards people of color from police continues to damage perceptions of law enforcement and the violent actions of some in the minority community further negative stereotypes involving people of color. One study published in the American Journal of Public Health reported that 85% of the participants reported being stopped at least once in their lifetime and 78% had no history of criminal activity. The study also found that people who reported more invasive police interaction experienced increased anxiety symptoms. Furthermore, those who reported fair treatment during encounters with law enforcement reported less anxiety.
Researchers have noted the impact of perceived and actual discrimination and racism on the psychological health of communities of color. People can develop increased vigilance and suspicion of social institutions, and only trusting persons within their social and family relationship. They can have an increased sensitivity to threat, taking defensive postures, avoiding others not in their social group, over sensitivity to perceived disrespect, or avoid taking risks beyond the social sphere of influence.
Unresolved perceived or actual traumas increase chronic stress and decrease immune system functioning, increasing the risks for depression and anxiety disorders. This can increase drugs and alcohol use in managing perceived or real pain and increases the danger of unresolved trauma leading to substance abuse. Those dependent on substances to dull the trauma of perceived repressive actions of the police can develop increased aggression. This could lead to defiant behavior, domestic violence, street violence, gang involvement, inflated sense toughness, which can be a way to control social and physical environments. All, which in probability will lead to more negative interaction with police, propagating the perceived oppressive and bigoted actions of the police.
Act It Out! “Communicating Across Cultures”- The Task
The idea behind this exercise is for you to get to know one another’s cultural identities. First, form into groups of three and find out from each other what your cultural/ethnic backgrounds are. Then “interview” one another using the questions below to get as much detail as possible about the culture of your group members. We’ll ask you to report back to the class what you have learned.
Concrete Expressions
1. What are typical foods served in the culture?
2. Are there any typical styles of dress?
3. What do people do for recreation?
4. Do buildings have identifiable features?
5. How is public space used? For example, do people tend to “hang out” on the street, or are they in public because they are going from one place
to the next?
Recognized Behaviors
1. How do people greet one another?
2. Describe how a holiday is celebrated.
3. How would a visitor be welcomed to someone’s home?
4. What are the norms around weddings? births? deaths?
Explicit Beliefs
1. How important is hierarchy?
2. How are gender roles perceived?
3. How do people view obligations toward one another?
4. What personal activities are seen as public? What activities are seen as private?
5. What are the cultural attitudes toward aging and the elderly?
Deeply Embedded Beliefs
1. How important is the individual in the culture? How important is the group?
2. How is space used (e.g., how close should two people who are social acquaintances stand next to one another when they are having a conversation?)
3. How is time understood and measured? (e.g., how late can you be to a business appointment before you are considered rude?)
4. Is change considered positive or negative?
5. What are the criteria for individual success?
6. What is the relationship between humans and nature? (e.g., do humans dominate nature? does nature dominate humans? do the two live in harmony?)
7. How is divine power viewed in relation to human effort?
8. Is the culture a high-context or low-context one?
9. What is humorous?
10. How do individuals “know” things? (e.g., are people encouraged to question things? are they encouraged to master accepted wisdom?)
11. Are people encouraged to be more action-oriented or to be more contemplative?
12. What is the role of luck in people’s lives? | textbooks/workforce/Corrections/Community_and_the_Justice_System_(Wymore_and_Raber)/05%3A_Understanding_the_Dynamics_of_a_Community.txt |
Chapter 6 – Policing and Policed Community
Key Learning Objectives:
• Identify the issues and importance of law enforcement department hiring a diverse police force.
• Explain how a diverse police force provides improved understanding of different cultures and better relations with the community they serve.
• Be able to explain the issues of racial profiling.
• Identify how community policing can improve the relationship between law enforcement and the community
6.1 - Ethnic, Racial and Minority Issues within the Workforce of a Law Enforcement Agency30
The role of policing has been dynamic since it became a profession in 1829 under Sir Robert Peel in London, England. The relationship between police and citizens in American society is generally understood as a progression from the political era, when police were introduced in American cities in the 1840s to the early 1900s; to the reform era, stretching across the middle part of the 20th century from the 1930s to the 1970s; and then to the community era of modern policing since the 1970s. Williams and Murphy point out the lack of involvement of minorities in policing throughout these different eras. Communities of color were largely powerless during the political era and thus not able to influence police strategy. During the reform era, police strategy was determined largely on the basis of law, although communities of color were generally unprotected. In today's community era of policing, one of the tenets is the requirement for a cohesive community working in partnership with a responsive police department. Williams and Murphy state that this precondition does not prevail in many minority neighborhoods.
The modern police departments have forums and work closely with racial and ethnic police organizations, including the Hispanic American Police Command Officers Association, National Asian Peace Officers Association, National Black Police Officers Association, National Latino Peace Officers Association, National Native American Law Enforcement Association, and National Organization of Black Law Enforcement Executives. These focused on the relationship between minority citizens and police. Additionally, they focus on addressing concerns of rank and file minority officers.
6.2 - Recruitment, Retention, and Promotion of a Diverse Work Force31
Bringing the right type of people into law enforcement is another major aspect of any effort to improve the police profession and address the violence issue. Most discussions of police reform have touched on the importance of recruitment and selection as a long-term strategy for improvement. Although this may be obvious, they are difficult problems in and of themselves and, in addition, also a source of conflict between the police and the community.
The source of conflict is disagreement over what type of person is best able to handle the responsibilities of a police officer. One continuing debate is the amount and type of education appropriate for a police officer. Another debate involves the police agency's racial make-up. While there is general agreement on the need for a police department to reflect the make-up of the community it serves, there is considerable disagreement on how that balance should be attained. The courts have put to rest some of the physical requirements thought to be important for the police for so many years. But the question of the psychological make-up of an officer--and how it should be measured--has yet to be resolved.
Figure 6.1 2019 Cultural Parade by the National Parks Service. Image is in the Public Domain
Although there is a wide range of opinion on what type of person is best suited to handle the rigors of the job, three factors are considered vital in terms of violence between the police and community. These factors should be incorporated into the overall process of recruiting and selecting police officers:
• The department should have a ratio of employees of color and national origin that reflects the diversity of the community it serves.
• Continued emphasis should be placed on bringing into law enforcement people reflecting a variety of college disciplines.
• Individuals should be psychologically suited to handle the requirements of the job.
Recruitment
Once an agency decides what type of individual it wants as an officer, it needs to develop a recruitment plan. Many departments limit their recruiting efforts to local newspaper advertisements when positions are open. This method will usually produce a pool of applicants. However, the type of individual sought may not respond to newspaper advertisements.
Figure 6.2 Agencies often use advertising campaigns to attract new recruits to fill vacancies. Image is in the Public Domain
Law Enforcement selection criteria is extremely rigid and only 1 or 2 out of every 10 applicants will survive the entire process and be offered a position. According to the California Highway Patrol 90-95% of applicants are not successful in the hiring process. One could also make a convincing argument that recruitment efforts are not very effective if 8 or 9 of 10 applicants cannot survive the recruiting process. Perhaps the effort devoted to processing applicants unsuited to becoming police officers could be redirected to recruiting the right type of applicant. The point here is that the recruiting method should be carefully designed to attract the type of applicant desired.
Law enforcement agencies use a variety of approaches to recruit applicants. Some send recruiting teams to "career days" on college campuses, while others send recruiters to various cities to look for experienced police officers. Still others concentrate recruiting resources on their immediate geographic area. Many departments have made use of the local news media through feature stories, public service announcements, and Internet job postings. Some have also used business and corporate assistance to develop brochures that provide accurate information about what the department offers. An agency may need to circulate its recruitment announcements using a number of methods, such sending them to a diverse group of community leaders, setting up a table at community meetings, shopping malls, schools, colleges, and community gathering places.
A factor that has an immense impact but is often not addressed effectively in recruiting plans is the influence of existing members of the police organization. Negative attitudes of individual officers about their job and the department may cause potential applicants to look elsewhere for employment. On the other hand, positive attitudes may exist for the wrong reasons--for example, because the department has an image as a place for "macho," TV-style cops.
Therefore, it is important that the recruiting plan and its underlying rationale be shared with all employees, so they have a clear understanding of the department's objectives. Employees can serve as excellent recruiters if they know these objectives and appreciate the critical importance of their jobs. Employees can also better discuss some of those issues often put forth as impediments to attracting high quality applicants. For example, they can speak directly to issues such as low pay and the difficulties of shift work. They are in the best position to talk about positive as well as negative aspects of a police career.
The objective of a recruiting program should be to attract a large enough pool of desirable applicants to fill department vacancies. This does not mean that the only measure of the recruiting effort should be the number of people who complete employment applications. If a department needs a higher ratio of employees from different racial and ethnic groups to reflect the community, and the only people completing applications are not from desired groups or do not meet basic requirements, then the objective is obviously not being met. The recruiting plan must contain relevant and measurable objectives that are monitored to ensure every effort is being made to meet them.
Selection
After an individual has expressed an interest in becoming a police officer, most departments begin a process that involves a series of steps designed to aid in making the selection decision. The selection process continues to receive a great deal of attention. Arbitrary selection standards that were common in the past have been eliminated by courts and other actions. Further research should be conducted by the human resources department of a police department to establish a sound selection process.
The close examination of this process has underscored its importance. It has also helped focus attention on developing a better understanding of the police officer's job and on including steps that measure whether a candidate has the potential for meeting those requirements. Even with these improvements, a number of selection issues have continued to generate considerable controversy. Two of these, educational requirements and psychological screening, are measures believed to have potential for reducing violence between the police and community. However, these alternatives obviously would take years to change the make-up of a department. In many departments, psychological screening and educational requirements cannot be imposed upon individuals currently employed.
Educational issues have been a long-standing topic of discussion in law enforcement circles. As early as 1931, the Wickersham Commission report noted the need for higher levels of education. The President's Commission on Law Enforcement and the Administration of Justice recommended in its Police task force report that officers should have a minimum of two years of college and supervisors and administrators should have four years. The National Commission on Police Standards and Goals established a standard in its Police report, published in 1973, that by 1983 a basic entry-level requirement should be a baccalaureate degree from an accredited college or university. It is now thought that a diversity of degrees is preferable to only criminal justice degrees to avoid similarity of thinking among officers and to avoid limiting the broad experience required for an effective law enforcement agency.
These reports were followed by many other calls for similar requirements, but the reality has been that few departments have actually made any changes in entry-level educational requirements. Many believe that an entry-level requirement of a bachelors' degree would go a long way towards addressing a number of problems in law enforcement, including violence between police and the community. Others recognize the practical challenges of requiring a bachelor’s degree for an entry level police position and suggest other solutions; such as education incentives once an officer is hired to address the violent encounters between police and the community.
The psychological fitness of police officers is also of major importance in addressing the violence issue. A police officer has considerable discretion in the manner in which day-to-day responsibilities are fulfilled. This discretion extends to the use of force. One method to improve the prediction of whether an individual is able to handle police responsibilities is psychological evaluation. Although many departments do not use psychological screening in the selection process, the Commission on Accreditation for Law Enforcement Agencies has established the following as a mandatory standard for all agencies:
• An emotional stability and psychological fitness examination of each candidate is conducted, prior to appointment to probationary status, using valid, useful, and nondiscriminatory procedures.
• Commentary: Law enforcement work is highly stressful and places officers in positions and situations of heavy responsibility. Psychiatric and psychological assessments are needed to screen out candidates who might not be able to carry out their responsibilities or endure the stress of the working conditions.
The importance that the Commission on Accreditation has placed on this area by making it a mandatory standard is obvious. Emotionally stable law enforcement officers are better equipped to navigate the emotional and psychological challenges which they will face.
6.3 - Police Knowledge of Cultural Groups32
The tragic death of Jonathan Ferrell former Florida A&M University football player underscores the tension between culturally diverse citizens and the law enforcement professionals that serve their communities. Throughout, this study the term “culturally diverse” refers to individuals, groups, and communities that represent racial, ethnic, gender, cultural, and sexual orientation-based classifications of citizens. The terms “law enforcement” and “police” are both used to refer to agencies, individuals, and organizations that perform policing duties.
According to the Associated Press (2014), “police say that Ferrell wrecked his car and went to a nearby house and banged on the door, apparently for help. The resident called police, and three officers responded. Investigators say Kerrick fired 12 shots, 10 of which hit Ferrell. Kerrick was the only officer who fired his gun.” Many have questioned the actions of police officer Randall W. Kerrick and investigators are trying to determine if race played a role in the incident. Jonathan Ferrell was a young African American male, and Randall W. Kerrick is a Caucasian police officer. The implications behind these incident and similar situations are clear for both police officers and citizens. Police officers are expected to effectively serve communities while engaging in safe interactions with citizens from all ethnic and cultural backgrounds. Citizens expect to receive fair, equitable, and safe law enforcement services from policing organizations without fear of excessive force, racial discrimination, and brutality.
This is the intersection where cultural competence and law enforcement meet. Law enforcement professionals that possess cultural awareness better understand the needs of citizens and exhibit actions that take into account the cultural context of their interactions with citizens. The Jonathan Ferrell incident illustrates the significance of cultural competency in law enforcement. In this situation it appears that a number of assumptions were made on behalf of the citizens involved in the incident, and on behalf of the officers responding to the scene. First, the citizen who called the police assumed that the young black man banging on her door was attempting to burglarize her home. Second, police responding to a citizens’ call for help lead to assumptions about the intent of Jonathan Ferrell and his actions. Last, Jonathan Ferrell assumed that police officers were responding to the scene to assist him in his disoriented state.
Unfortunately, it is often difficult to determine if the actions of police officers are racially motivated. However, leadership within police departments can enforce policies that promote culturally competent behaviors, and attitudes. All public service professionals should be trained to respond appropriately in cross-cultural situations, this may frequently involve developing increased cultural awareness and sensitivity when dealing with culturally diverse citizens. Policy development in this area is particularly important to assist officers better serve a diverse community.
Cultural Competency
Developing the cultural competency of service delivery professionals has existed as a primary emphasis of research in the fields of healthcare, social work, child welfare, and psychology since the 1980’s. Cultural competency is a set of congruent behaviors, attitudes and policies that come together in a system, agency or professional and enable that system, agency or professional to work effectively in cross-cultural situations. In the public sector cultural competency is specifically concerned with an organizations commitment to institutionalizing the policies and practices that lead to culturally competent behaviors, and interactions with the public.
According to Mitchell F. Rice (2008), cultural competency is best operationally defined as the integration and transformation of knowledge about individuals and groups of people into specific standards, policies, practices, and attitudes used in appropriate cultural settings to increase the quality of services, thereby producing better outcomes. In the Jonathan Ferrell case, the police officer may have acted based upon the standards, polices, and practices currently accepted within the police department. As illustrated by these incident and numerous others, however, such actions make citizens question why excessive force is disproportionately used against people from culturally diverse groups. Unfortunately, for law enforcement agencies and governments throughout the United States these questions make organizations more susceptible to lawsuits, and accusations of racial discrimination.
This speaks to the importance of developing and institutionalizing culturally competent policies that guide the attitudes and behaviors of police officers interacting with citizens from culturally diverse groups. Institutionalization means that knowledge is formally recognized, documented, and shared in interactive ways with all public service delivery personnel and that five explicit mechanisms and policies are in place that provide for maintaining and expanding on the professional knowledge base about culture, so that the public agency is truly a learning organization. In the organizational setting this form of institutionalization is often represented by organization 1). mission statements, 2) human resource policies, 3). organization goals/strategic plans, 4). public communications, and 5). other formally documented polices. Therefore, organization leaders and law enforcement professionals that recognize the importance of cultural competency can begin assessing internal cultural competency levels by identifying and reviewing the documented policies that currently exist within their organizations.
Law enforcement professionals encounter individuals living in diverse multicultural communities on a daily basis. As the demographics of these communities increase in culturally diverse populations it becomes significantly important for law enforcement professionals to possess the cultural competency, knowledge, and skills necessary to perform their jobs.
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Think about it . . . Understanding Prejudice
Understanding Prejudice.org is a great way to explore biases and how discrimination looks in the real world. Take this quiz to explore your hidden biases. How did this quiz make you feel? Why?
6.4 - Racial Profiling33
The challenge for police in multi-ethnic, liberal, democratic societies is to find the correct balance among the public goods at stake. They must enforce the law but also maintain racial and ethnic peace. These goals are incompatible to some extent. Enforcing the law may disrupt the peace. Keeping the peace may require forgoing opportunities to prevent crime or apprehend criminals.
The practice of racial profiling illustrates the tradeoff. In the past police defend the practice as an essential law enforcement tool needed to help identify potential drug couriers, terrorists, and other criminal types. More generally, they use race/ethnic appearance as one of several cues to suspect that something is amiss and that an investigation would be appropriate. A black male walking in an all-white neighborhood or in a deserted industrial park late at night, or driving an expensive new car, are common scenarios that traditionally have prompted police inquiries.
Such interventions undoubtedly prevent some crimes. But they also have high costs. They produce deep resentments and alienation among minorities who are repeatedly stopped and questioned by the police. They divide the community and undermine racial peace. Over time, they build up and explode in race riots or cheers from the black community for people like O.J. Simpson when they beat the system.
Law enforcement profiling is inappropriate when race or some other sociological factor, such as gender, sexual orientation, or religion is used as the sole criterion for taking law enforcement actions. Profiling that singles out members of the community for no reason other than their race is discriminatory and provides no legitimate basis for police action and has serious consequences. "Whether intentional or unintentional, the application of bias in policing tilts the scales of justice and results in unequal treatment under the law," writes Ronald L. Davis, the author of a study on bias-based policing for the National
Figure 6.2 Stop Racial Profiling. Image is used under a CC-BY-NC 2.0 license.
Organization of Black Law Enforcement Executives (NOBLE). Allegations of racial profiling and other bias-based policing activities, particularly traffic stops and random searches, have become national issues, as the escalating coverage in the media shows. There have also been legislative proposals at the state and national level addressing racial profiling, along with lawsuits brought by civil rights organizations and the U.S. Department of Justice.
Racial profiling erodes the necessary trust between law enforcement officials and the communities they serve. There is also the collateral damage of police recruitment of minorities being made more difficult and minorities becoming less willing to participate in the criminal justice process. The use of objective factors indicating potential criminal activity as a basis for making traffic stops may be a legitimate and effective law enforcement tool. However, inappropriate profiling impairs law enforcement's abilities. Furthermore, the use of race as the sole criterion for making traffic stops is legally and morally wrong. Discriminatory traffic stops divide communities and make police and prosecutors' jobs more difficult.
These measures are a necessary first step, but alone they cannot reduce bias in an organization. Symptoms will resurface and appear in other areas, such as walking stops, the use of force, police misconduct, minority officer recruitment, retention and promotion. Racial profiling is not the standalone problem; it is a symptom of bias-based policing.
Police departments and communities can avoid debilitating accusations of racial profiling by communicating with each other about police strategy, crime trends, and community concerns. In a response to the aftermath of the fatal shooting of Amadou Diallo by New York City police in 1999, George Kelling writes:
Police increasingly rely on analysis of crime data, mapping and other methods to develop tactics for addressing specific problems. When they discover that guns are the primary instruments of murder in black neighborhoods, is it racial profiling or smart policing to target anti-gun efforts there?”
Resolutions to these issues are possible, but not easy. They involve balancing individual rights with community interests, effectiveness with costs, and the tradeoffs among important values…Police and neighborhood leaders will have to seek each other out aggressively and honesty!
6.5 - Community- Based Policing Plans34
Community policing is a policing approach embraced by some departments and espoused by national law enforcement organizations. It is described as a philosophy, managerial style, and organizational strategy that promotes better police-community partnerships and more proactive problem solving with the community. It can help solve a wide range of community problems and issues involving crime control, crime prevention, officer safety, and the fear of crime.
Community policing is referred to by several names, most commonly as community-oriented policing, problem-oriented policing, community problem solving, neighborhood policing, and problem-based policing. Community policing is based on collaboration between police and citizens in a nonthreatening and cooperative spirit. It requires that police listen to citizens, take seriously how citizens perceive problems and issues, and seek to solve problems which have been identified. "A fundamental assumption of the community policing approach is that the community is more likely than the police to recognize and understand its public safety needs," states researchers Vincent J. Webb and Charles M. Katz. Effective community policing can result in enhanced quality of life in neighborhoods, reduction of fear of crime, greater respect for law and order, increased crime control and crime prevention, and greater citizen satisfaction with police services.
Figure 6.3 Image is in the public domain.
Pin It! COPS
Click here for more information on the department of Justice’s Community Oriented Policing Services.
While community policing continues to evolve, current research shows that it results in improved safety for both residents and police, neighborhood revitalization, positive neighborhood and police morale and confidence, heightened confidence in government institutions, including police, and improved race relations. Community policing has been shown to decrease actual criminal activity and reduced fear of crime. As one resident of Chicago said, "When you have a sense of camaraderie and cooperation between beat officers and community residents you lose the sense of fear." However, law enforcement executives should be aware that "community perceptions of the potential effectiveness of community policing may determine how residents rate the importance of community policing activities carried out by the police," according to Webb and Katz. In fact, they state some community policing activities may be viewed as unimportant to the community, while others, such as investigations of drug and gang-related activities, may have broad community support.
Reports on public support for community policing has been generally favorable. "In general, the findings show that 'preventative' community policing activities, or those usually considered as having an indirect effect on crime, are regarded by the community as being less important than 'enforcement' activities, or policing activities thought of as having a more direct effect on crime." Police executives may need to explain to communities that community policing programs--like all other policing programs--are enforcement oriented. The difference with community policing programs is an intentional focus on community interaction with the department
In Madison, Wisconsin, police officers and community volunteers conducted surveys of police activities and police efforts to resolve neighborhood problems. The Madison Police Department found that "as the officers completed the questionnaire with the participants, the respondents gave information to the officers about the quality of life and social order issues whereas the other volunteers who were not officers, those issues rarely emerged." In the Madison interviews, participants reported a wide variety of concerns to police officers:
…a greater concern that children would be hurt while playing in their neighborhood; less satisfaction with their neighborhood as a place to live; parking, public drinking and intoxication, gang activity and graffiti as more of a problem; drug sales, drug usage, drug addiction, possession of guns and weapons, violence, fighting and assaults all to be more of a problem; more negative assessments of the effectiveness of rental property owners and managers in dealing with neighborhood problems, and of the extent to which residents were organized and committed to improving neighborhood conditions.
Community policing represents a continuation of the established traditions of policing in the United States. It flows from three essential values:
• The police department believes that the prevention of crimes is its number one priority.
• The police department involves the community in the delivery of its services.
• The police department holds itself accountable to the community it serves.
Underlying principles of community policing
1. Crime prevention is the responsibility of the total community.
2. The police and the community share ownership, responsibility, and accountability for the prevention of crime.
3. Police effectiveness is a function of crime control, crime prevention, problem solving, community satisfaction, quality of life, and community engagement.
4. Mutual trust between the police and the community is essential for effective policing.
5. Crime prevention must be a flexible, long-term strategy in which the police and community collectively commit to resolving the complex and chronic causes of crime.
6. Community policing requires knowledge, access, and mobilization of community resources.
7. Community policing can only succeed when top management police and government officials enthusiastically support its principles and tenets.
8. Community policing depends on decentralized, community-based participation in decision-making.
9. Community policing allocates resources and services, based on analysis, identification, and projection of patterns and trends, rather than incidents.
10. Community policing requires an investment in training with special attention to problem analysis and problem solving, facilitation, community organization; communication, mediation and conflict resolution, resource identification and use, networking and linkages, and cross-cultural competency.
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Think about it . . . "Recognizing Your Own Biases”
One advantage of a stereotype is that it enables us to respond rapidly to situations because we may have had a similar experience before.
One disadvantage is that it makes us ignore differences between individuals; therefore, we think things about people that might not be true (i.e. generalize).
1. Explore these test sites: Harvard – Implicit Bias and UpWorty Prejudice Test. There are multiple tests you can take regarding many types of bias, such as ethnicity, skin tone, body type, ect. Choose 2-3 tests.
2. Discuss the outcome of the tests.
• Which tests did you take and why?
• What surprised you most about the test?
• Did you feel the test was accurate? Why or why not?
• Knowing this information, how would you address it when you come into contact with a person with the trait? | textbooks/workforce/Corrections/Community_and_the_Justice_System_(Wymore_and_Raber)/06%3A_Policing_and_Policed_Community.txt |
Chapter 7 – Court and the Community
Key Learning Objectives:
• Be able to explain and define the Rule of Law, including the important cases that has shaped the United State legal system.
• Explain the development of the United States court system and the jury system.
• Be able to understand and define key court terms such as due process, the adversarial system, and common law.
• Explain the unique concept of community courts and how they improve the court process.
• Identify the specific concerns of race and its impact on the court system.
7.1 – Rule of Law35
The rule of law suggests that the creation of laws, their enforcement, and the relationships among legal rules are legally regulated, so that no one, including highly placed individuals are above the law. The legal constraint on those in charge means that government officials are subject to existing laws as much as its citizens are. Rule of Law is based on the belief of equality before the law, which holds that no person shall enjoy legal privileges that are not extended to all, and that no person shall be immune from legal consequences for criminal behavior.
In addition, the application and adjudication of legal rules by the police, prosecutors and the courts are to be impartial and consistent across equivalent cases. The evidence should be weighted blindly without taking into consideration the class, status, or relative power among those involved in civil or criminal matters. In order for those principles to have any real application, there should be in place legal apparatus for compelling government officials to submit to the law.
Figure 7.1 Rule of Law Diagram created by Tabitha Raber is used under a CC-BY 4.0 license
Such was the case brought before the United States Supreme Court in United States v. Nixon regarding executive privileges criminal matters. A grand jury returned indictments against seven of President Richard Nixon's closest aides in the Watergate burglary. The special prosecutor appointed by President Nixon sought audio tapes of conversations recorded by President Nixon in the Oval Office. President Nixon asserted that he was immune from the subpoena claiming, "executive privilege," which is the right to withhold information from other government branches to preserve confidential communications within the executive branch or to secure the national interest.
In a unanimous decision the United States Supreme Court held that neither the doctrine of separation of powers, nor the generalized need for confidentiality of high-level communications, without more, can sustain an absolute, unqualified, presidential privilege. The Court granted that there was a limited executive privilege in areas of military or diplomatic affairs but gave preference to "the fundamental demands of due process of law in the fair administration of justice." Therefore, the president must obey the subpoena and produce the tapes and documents. The rule of law was applied to the powerful just as would apply to those without power.
The Rule of Law entails such basic requirements about how the law should be enacted in society, it also suggests certain qualities about the content of the laws themselves. Laws must be open and clear, general in form, equal in application, and known to all. Legal requirements must be such that people are able to follow them. The law must not place undue intelligence or behavioral demands on people. The law should be relatively stable, so people can consult before acting, and legal obligations should not be retroactively established.
In spite of these basic consideration, and attempts by jurists and political philosophers, there is no generally accepted or even systematic formulation of the Rule of Law. The idea that the law should contribute to the betterment of society and constraining the exercise of public power can be interpreted in different ways; which leads to different philosophy and application of the Rule of Law.
The majority of modern democratic societies, and certainly in the United States the Rule of Law’s requirement that both those who govern and those governed are held accountable to the law is of unquestionable principle.
After the American Civil War, the federal government expanded the vote to blacks in the old confederate states, providing some equal protection. When Southern states were once again granted self-governance, those in power were predominately white. They began to enact laws that oppressed blacks through segregation and disenfranchisement.
The 1875 Civil Rights Act had stated that all races were entitled to equal treatment in public accommodations, however in 1883 with an 8-1 decision Civil Right Cases the United States Supreme Court ruled the Civil Rights only applied to the Federal and State governments, but had no application to private persons or business' open to the public.
In 1892, Homer Plessy boarded a train in New Orleans and sat in the car reserved for whites only. Plessy, who was only one-eighth black, but classified as black by Louisiana law, refused to leave and was arrested, which triggered a case challenging the legality of segregation. In 1896, the Supreme Court ruled that “separate but equal” was fair and was not a violation of the Fourteenth Amendment requiring equal protection to all.
After the Plessy v. Ferguson decision, segregation became even more entrenched in the former confederate states through a series of laws and social customs known as “Jim Crow” laws. State schools, theaters, restaurants, and transportation vehicles were segregated. Poll taxes and literacy requirements not only prevented blacks from voting, but also made them ineligible to serve on jury pools or run for public office. “Separate but equal” remained unchallenged until the Supreme Courts re-visited segregation in 1954 with the Brown v. Board of Education reversing Plessy. Eventually congress passed the Civil Rights Act of 1964, finally fully implementing the protections guaranteed under the 13th and 14th Amendments of the Constitution.
Supreme Court Justice Stephen Breyer has stated “Maintaining a rule of law is more difficult than many believe. The effort is ancient, stretching back to the Magna Carta, and still earlier.” Justice Breyer was attempting to emphasize the challenges of maintaining an equitable system that incorporates the rule of law. Many have tried for hundreds of years and it still in not perfected.
7.2 – Traditional American Courts36
Due Process
Since colonial days, the courts of the United States have taken their own path, developing and changing to suit the needs and social conscience of the new nation. The following history of the American jury system, the concepts of due process, common law, and the adversary process should further broaden the understanding of the American judicial system.
Along with trial by jury, the guarantees of due process of law are among the firmest bulwarks of our liberty. The value of these guarantees is shown by how our national and state governments have retained them, in strength through each change of status, from colonies to nation, from territory to state.
Daniel Webster defined due process as "a law which hears before it condemns, which proceeds on inquiry, and renders judgment only after a trial". It is a course of legal proceedings according to the rules and principles established by custom and constitution for the enforcement and protection of the rights of private citizens. To give this established course of legal proceedings a valid and competent tribunal is the duty of the courts.
Pin It! The two essential elements of due process:
1. Notice shall be given to a person that matters concerning him are before the court.
2. That person shall be given an opportunity to be heard and defend himself in an orderly proceeding adapted to the nature of the case.
These mean that no person shall be deprived of life, liberty, property or any right granted him by statute unless the matter involved shall first be adjudicated in a trial or hearing conducted according to the rules for judicial proceedings, and no matter shall be adjudicated without the opportunity for a hearing. Due process has been a concern of men determined to establish justice in governments for at least seven and one-half centuries. The Magna Carta, signed by King John of England in 1215, is one of the first historical documents of men demanding rights of their government. This protection may seem self-evident however; historically governments have incarcerated people for disagreeing with those in power under the guise of punishing criminal behavior.
The elements of due process are contained in the Constitution of the United States (Amendment V and Amendment XIV, Section 1). Due process is one of our basic American Constitutional rights. For a democratic government to survive and prosper and for their own protection, citizens must understand and value these rights. Aside from all else "due process" means fundamental fairness. This principal guide the judicial system that to function with integrity and honor.
Common Law
Common law is court-made law and differs from statutory law which is made by legislative bodies. Court-made law develops and is passed on to future courts through the decisions and opinions of judges hearing cases. Common law derives its authority from the uses and customs of time, or from the judgment or decrees of courts recognizing and enforcing such uses and customs.
Common Law is especially recognized as the ancient unwritten law of England. In the 11th and 12th Centuries' the English King resolved disputes with the aid of advisers at his court. Formal judicial courts began to develop during the 16th and 17th Centuries, and the judges of these courts studied earlier decisions for guidance. Established decisions came to be called the common law. This form of judicial lawmaking is still used in the England, and the United States, who adopted this policy from the English.
Juries
The Sixth Amendment in the Bill of Rights guarantees, among other ideas, speedy and public trials, that defendants shall be informed of all charges against them, and a trial by jury. The idea of juries is so closely interwoven with that of the courts, that for most members of the American public, the image of a courtroom means a judge in a black robe, the persuasive legal advocate and the rows of twelve men and women looking on and listening closely to the testimony as it unfolds. Although the United States accounts for 90% of the jury trials held throughout the world today, most of the work conducted in a typical American court takes place without a jury.
Juries determine the facts in a trial, the truth or falsehood of testimony, the guilt or innocence of criminal defendants, and the liabilities in a civil trial. In the United States, juries are still seen as the best tool for ensuring that the rigidity of the rule of law can be shaped to justice in any specific case.
Calling citizens to hear disputes has been known throughout history. Modern day juries are the hybrids of Egyptian, Greek, Roman, and European jury customs. English juries have also been a leading influence in shaping the American jury system. The following history of the evolution of the English and American jury system will provide insight and a deeper sense of understanding of this aspect of the criminal justice system.
England, under King Alfred (871-901 A.D.) had a rough system of juries. Representatives were brought together to decide the questions put before them. This system disintegrated on the death of Alfred, although testimony of witnesses did begin to appear. The Normans left partially intact much of the Saxon court system, which included appeals to the King. They did separate temporal and spiritual courts and appointed "circuit" judges to represent the King across the country. They introduced trial by combat as well.
Between the 15th and 18th Centuries juries began to evolve. Trial by "peers" became more authentic as Knighthood was no longer a requirement for a juror. Expert witnesses began to be used. Exemptions from jury duty were developed, as for Quakers, who could not swear to oaths. Grounds for challenging a juror for cause at common law included the juror having served on the indicting jury, the juror was a serf or servant, the juror has been convicted of certain crimes, the juror was related to one of the parties or the sheriff, or the juror had stated his opinion of the case in public. Eventually defendants were allowed to call witnesses and defense counsel was allowed to cross-examine witnesses.
Figure 7.2 Jury of 12 in 15th Century Normandy. Image is in the public domain.
During American colonial times, the jury became one of the symbols of rebellion against the English King. A primary complaint of the colonists was that they were being denied the rights granted to all other Englishmen, one of which, was the right to a jury trial as guaranteed by the Magna Carta of 1215. The Magna Carta held several references to trials and juries. That the Common Pleas assemblies shall not follow the court (royal court), but be held "in some certain place", and that juries shall consist of "honest men of the neighborhood" were sample references in the Magna Carta.
Trial by jury was not completely denied to the colonists, however. Early charters, such as the Virginia Company, which established Jamestown in 1607, included the mention of such rights. In New York, the jury found John Peter Zenger not guilty of libel in 1735 on the grounds that what he had written about the royal governor was true. Virginia jurors had great latitude in deciding verdicts. They could even bring in verdicts for offenses other than the ones for which a defendant was charged. It was the British Vice-Admiralty courts, sitting without juries, which ignited the ire of the colonists.
In response to these contentions of unfairness and the abrogation of rights, the colonists included in their earliest documents guarantees of the right to trial by jury. The First Congress of American Colonies, in 1765, recommended trials with juries. The First Continental Congress in 1774, declared that the respective three colonies were entitled to the common law of England and more especially to the great and inestimable privilege of being tried by peers, according to the course of that law. In the Declaration of Independence, Thomas Jefferson listed among the various complaints against King George, that he had obstructed the administration of justice by refusing his Assent to Laws for establishing Judiciary Powers, made judges dependent on his will for appointment for salary, depriving us in many cases if the benefits of Trial by Jury, and transporting (defendants) beyond seas for trial. All these, along with other complaints, led to the United States Constitution in 1787, and in 1897 the first ten amendments.
Jury duty is a right and a responsibility of American citizenship. Juries serve several important purposes: (1) they serve as an arbiter regarding the conflict of facts and evidence as presented at criminal and civil trials; (2) they provide a means by which community values and sentiments are injected into the judicial process; and (3) they help to increase the public's acceptance of legal decisions. Jury duty, along with voting, is one of the primary means by which the average citizen participates in our government. Developing a historical appreciation for the role of juries contributes to willingness and ability of citizens to serve as impartial jurors when called to judge their peers. Use of juries is just one thread running through the historical development of the American judicial system.
Adversarial System
The development and maturation of the adversary system as it exists in American criminal courts today can be traced to the rising importance of the jury during medieval England. As the jury replaced trial by combat, it also changed from a body of witnesses to an impartial body of factfinders. As the jury became neutral, the parties to a case adopted the role of adversaries. The term "adversary" implies two conflicting parties. In American courts those two parties are the plaintiff and defendant. These parties present to the Court all the evidence and testimony they can find, in the most persuasive manner allowable, in order to achieve a decision favorable to their interests. The attorneys serve as advocates, and the judge sits as a neutral "referee."
In all Courts, each side is bound by many rules as to how the case may be conducted. These rules are meant to ensure fair and consistent treatment for all parties, in all cases, across all situations. This adherence to rules and procedures is a hallmark of the adversary system, unlike the inquisitorial system, for example, in which few technical rules of evidence exist. The inquisitorial approach is less sensitive to claims concerning individual rights. An inquisitorial style is less likely to serve as a check on government powers, the role American Courts play in our system of checks and balances. The function of the American Criminal Courts is to inquire into the truth of the matter and establish guilt or innocence. And that all defendants in United States Courts are considered innocent until proven guilty, is one of the most important fundamentals of the American judicial system. The adversary system, allowing each side equal access to a neutral body is the method by which our courts uphold this ideal.
7.3 – Community Courts37
In recent years, cities and towns across the country have embarked on an experiment to test the proposition that courts can play a role in solving complex neighborhood problems and building stronger communities. Since the 1993 opening of New York City’s Midtown Community Court, the nation’s first, dozens of cities have begun planning community courts.
Pin It! Community Court Criteria
Eleven community courts are now operating in communities across the nation. At their onset, each court must address the following set of questions:
• Can courts assume a problem-solving role in the life of a community, bringing people together and helping to craft solutions to problems that communities face?
• How can courts address the impact that chronic offending has on a community?
• Can courts improve the quality of life in a community?
• Can local voices—residents, merchants, community groups engage in the administration of justice?
To answer these questions, community courts have developed individual programs that differ in important ways. Although most of these new courts focus on one neighborhood, several jurisdictions are exploring ways to serve an entire city. Many community courts handle matters such as drug abuse, mental health courts and homeless courts. But others are experimenting with a broader range of matters, including juvenile delinquency and housing code violations. Some community courts were initiated by courts, and some have been championed by the district attorney. Most courts often use probation officials to help manage and guide services.
These differences reflect a central aspect of community courts: they focus on neighborhoods and are designed to respond to the particular concerns of individual communities. Moreover, community courts are shaped by the particular political, economic, and social landscapes in each community. One of the earliest examples is the Midtown Community Court which was created New York City to address community problems in time square. In January 1998, the Midtown Community Court was the only community court in the United States. By March 2000, nearly a dozen had opened across the country in Connecticut, Florida, Georgia, Minnesota, New York, Oregon, Tennessee, and Texas. New York City and Portland, Oregon, each host two community courts, and organizers in both cities intend to open a third court in 2000. Another 13 jurisdictions, in California, Colorado, Delaware, Florida, Hawaii, Indiana, Maryland, New York, Oregon, Pennsylvania, and Texas, plan to establish community courts in the near future.
Community courts grow out of frustration. Observers have noted that justice has become remote from communities and the people who live in them. Community residents have reported feeling out of touch with courts. They want courts to address low-level crime that is part of daily life. The Midtown Community Court offered a model for addressing these problems by emphasizing the following;
• Locating the court in the community, close to where crimes take place.
• Repaying a community damaged by low-level crime by requiring offenders to compensate neighborhoods through community service.
• Using the leverage of the court to sentence offenders to complete social services that will help them address problems such as drug addiction or involvement in prostitution.
• Bringing the court and the community closer by making the courthouse accessible, establishing a community advisory board, and publishing a quarterly newsletter.
• Using the court as a gateway to treatment and making social services available to offender’s right at the courthouse.
The Midtown model was thoroughly documented in an independent evaluation conducted by the National Center for State Courts and in publications prepared by the U.S. Department of Justice. With a well-defined and carefully documented model in New York City, community court planners elsewhere faced questions about whether the Midtown model would meet the needs of their jurisdictions. Planners in other jurisdictions have made significant departures from the Midtown model, reflecting both the distinct needs of their communities and the practical reality of what they believed they could accomplish given local resources and local support.
Community courts are complex projects that involve rethinking court operations, raising substantial resources, and building partnerships within and without the justice system. Decisions about who should lead the planning of a community court varied from state to state. Judges, District Attorneys, or local court administrators can lead the planning efforts.
Many projects recognized early that a dedicated planner would be needed to move the community court from conception to implementation. This approach reflects the complexities of raising money, building community participation, developing sanctions, establishing partnerships, and so forth. Some operating community courts were staffed with a full-time coordinator during the planning period. Some courts are led by a staff person who dedicated a majority of his or her attention to the project. To ensure that the partnerships necessary for success were established early in the planning process, formal planning committees should be established. The committees typically included representatives from the courts, district attorneys’ offices, police departments, social service agencies, and communities. Public defenders can be included on the planning teams.
The scope of the community court project, the readiness of local players to support the concept, and the planners’ success in garnering funds and in-kind support all affected the length of the planning process. Jurisdictions can open community courts between 1-3 years.
How Should the Court Link Offenders to Social Services?
It is important for the community court planners to make social services available to defendants. An important consideration is to decide whether to locate these services onsite or provide services through other agencies. Services such as drug treatment, counseling, and assistance with entitlements, require case management by project staff to ensure defendants attend mandated services and receives long-term treatment.
As more of these treatment style courts develop, additional options have become available to courts to manage treatment. Historically, services were provided through governmental agencies such as mental health agencies and case management by probation to monitor and manage compliance. However, these government agencies often become overwhelmed with the number of offenders to manage. As this became more evident, private companies have become to form that provide evidence-based treatment programs and case management services to provide support to the offenders. These agencies contract with the court to provide services and prepare compliance reports directly to the court.
Can Punishment and Help Be Combined?
One of the challenges of Community Courts is what type of sanctions should occur for failure to comply with mandated treatment or court ordered activities such as community service or job seeking. The goal of community courts is to improve the offender’s situation and reducing the criminal activity. But how can you help and punish at the same time. Most courts require what is called graduated sanctions when a violation by an offender occurs. To be effective and fair, the offender must be aware of the requirements, what is expected of them and the time frame they must complete tasks. A probation officer or case manager usually provides this direction at the beginning of the program. They also provide the consequences that may occur if an offender does not comply. The officer or case manager must maintain records of the offender’s compliance and provide a record to the court. Often, there will be a committee consisting of the court (judge), treatment provider, district attorney, defense counselor and other advocates to determine what the sanction should be when a violation occurs.
Graduated sanctions consist of increasingly sever punishments depending on the violation which occurs. Often times the offender may receive a verbal admonishment for the first violation. This is where the case manager or officer reminds the offender of the program requirements and admonishes the offender for his/her failure to comply. The offender is given an opportunity to explain why he/she could not complete the assignment. An admonishment is often followed up with a plan on how to comply. Further, violations will require additional sanctions, such things as restrictions on privileges (curfew), additional assignments, or required to return to court and explain to the judge the reason for non-compliance. Often the last sanction is a return to custody (jail) for a specific amount of time.
Pin It! Graduated Sanctions
For graduated sanctions to be valid the case manager must track each violation and sanction.
Each violation is maintained independently. For example, a positive drug screen is one violation and needs to be tracked individually. So, if an offender provides a positive drug screen in one week, and the next week they fail to attend community service that is not the same violation. Each violation is independent and needs to be addressed separately.
This way of managing offender compliance and sanctioning can best be described as a “parental” relationship where the court guides the offender through the process using fairness and impartiality. While not friendly, the offender can rely on the court to look out for their best interest. However, like a parent, if the offender fails to comply consequences or sanctions will result. In this sense, both sides have a vested interest in seeing the offender improve. The offender becomes a better or contributing member of society and the community becomes better through a reduction in crime.
What Role Should the Community Play?
Projects should recognize that community involvement is a critical goal, so planners have to determine how and when to involve the community, raising the question: Who is the community? For most court planners, the answer included residents, social service providers, beat officers, and local merchants. Community members can participate in the planning of all of the courts, but in different ways and to differing degrees.
Planners can use a variety of tools to establish community participation. Community, planners and criminal justice professionals attended neighborhood meetings and conduct interviews with a broad range of stakeholders. Courts can create a community advisory panel during the planning period and hold community meetings to determine priorities for the new court. Focus group discussions to better understand community members’ concerns and recommendations. In Portland, Oregon, community members were involved in shaping sanctioning options. In Brooklyn, New York, community members chose the building in which to locate the court.
Are Community Courts Effective?
Research on specialty courts has largely been centered on the legal and social outcomes for offenders who participate in these programs. Most studies show that drug courts are effective at reducing future criminal activities and drug use during and after the time court supervision was mandated for the offender. Most results for mental health courts were consistent with the drug court results.
Critics of the program point out that community courts have a great deal of discretion with regards to which offenders are offered programs versus those they avoid. Critics concern are that community court staff could be selecting the offenders which are believed would be successful in their court’s program. If this type of selective process was routinely happening, community courts would appear more successful than they really are.
To address these concerns, researchers compared similar offenders who were randomly assigned to participate, or not participate, in community court programs. Researchers track them over time and recorded whether people commit new crimes or commit new crimes. The research found that drug court participation, tends to reduce future crimes for as long as two to three years after the offender leaves community court supervision.
Community courts for drug recidivism seem to work well really do work quite well. Improved behavior of drug offenders can save public money the community would have to spend on recovery services or criminal justice for offenders who did not benefit from drug court programs. Community court programs have the potential for being cost effective.
7.4 – Race and the Courts38
Los Angeles police officers beat a black man named Rodney King, after a car chase in 1991. The incident was videotaped by a citizen, documenting the amount of force used by the officers. The Black community had complained about police brutality for many years and believed there was now verifiable proof of police brutality. All four officers involved in the incident were criminally charged, however at the trial in state court, the jury acquitted the four officers of using excessive force. Following the verdict, civil unrest ensued in Los Angeles, resulting in riots, looting, arson and assaults.
However, the story doesn't end there, the four officers were tried for civil rights violations in federal court, resulting in the conviction of two officers. Even with the guilty verdict, many in the Black community and in other minority communities suggest the case indicates the difficulty people of color have obtaining a fair outcome from the criminal justice system. Many feel officers unjustly stop and use excessive force when dealing with minorities. This injustice they say starts with officers but continues through the whole criminal process. Many say the whole system needs reform.
Some who believe the justice system in its totality is racist often cite the incarceration rate of Black and Hispanic males. The Bureau of Justice Statistics analysis indicate if current incarceration rates remain unchanged, 32 percent of black males and 17 percent of male Hispanic males born in 2001 will be subject to incarceration in prison during their lifetime. For Caucasian males, the percentage is much lower at 6 percent. Black Americans represent approximately 12 percent of the United States population, however, represent 40 percent of all prison inmates and 42 percent of those sentenced to death.
So, the question is - Do these statistics prove racism in the criminal justice system or are they from other causes? Social scientists, politicians, law enforcement agencies, civil rights advocates and media commentator have argued over the meaning of these statistics. Some argue racism in the system is to blame for the statistics, others argue its
due to poverty, or personal responsibility, or acceptance of criminal behavior. The debate continues, however maybe the answer is not just one thing, but the answer is “All of the above.”
In a 1975 article, titled “White Racism, Black Crime, and American Justice.” Criminologist Robert Staples argued that discrimination dominates the American justice system. His theory was based on the notion that the legal system was created by white men to protect white people and their assets. By doing so the intended result was to keep black people subjugated. Staples believed that the entire judicial system was racist due to poor legal representation by public defenders for black defendants, juries who were bias toward blacks and judges who sentenced blacks to harsher sentences.
Sociologist William Wilbanks rejected Staples discrimination argument in the 1987 book, titled “The Myth of a Racist Criminal Justice System.” Wilbanks researched numerous studies which reported statistical inequalities in arrest rates and imprisonments between whites and blacks in the criminal justice system. He discovered that the inequalities came from factors such as the defendant’s criminal history and poverty, not from racial discrimination. Others have argued the apparent inequalities in the criminal justice process are related more due to poverty than race. Crimes such as robbery and assault, which are significant in the statistics, are usually committed by people from poor backgrounds. Today, approximately 39 percent of all Blacks and Hispanics live below the official poverty line, compared to approximately 9 percent of all whites.
Street Level Arrest
In 2010, Black Americans accounted for a third of the arrests for violent crimes. This surpasses the numbers of Black Americans in the population. Those who dispute Robert Staples argument of racism point out the percentage is consistent to reports from the National Crime Victimization Survey. This survey interviews thousands of victims of crime each year. The percentage of victims who say the suspect was black closely matches the percentage of Black Americans arrested. However, different studies of arrest indicate that police are involved in some discrimination against members of racial and ethnic minorities.
Figure 7.3 Arrest in Chicago. Image is used under a CC BY-SA 2.0
It is clear that Black Americans have a higher arrest rate for drug possession and trafficking, disproportionate to the number of Black Americans within the population. Blacks are only 12 percent of the population and approximately13 percent of drug users, but Black Americans represent nearly a third of people arrested in 2010. Those that argue racism point to the use of “racial profiling.” It is alleged that police, using drug courier profiles stop black males for minor driving or vehicle mechanical violations.
In New Jersey, a review of documented traffic stops between 1989 and 1991 determined that 72 percent of drivers stopped and arrested were Black Americans, while only 14 percent of vehicles had a black driver or occupant. New Jersey data for the same period indicated that blacks and whites had the same rate of traffic violations. A few years later a Maryland study indicated similar results: 17 percent of vehicle code violators were black, but 72 percent of those searched were black. These types of law enforcement practices may suggest blacks will be involved in the criminal justice system more rapidly than whites.
In some states, Black Americans are released quicker than White Americans after arrest. A significant amount of those arrests are for less serious offenses such as prostitution, gambling, and public drunkenness. The meaning of this is up for debate. Those refuting the racism argument say that police and prosecutors are more likely to treat Black Americans more lenient than White Americans. Those who argue racism is rampant in the criminal justice system argue it is evidence Black Americans are more likely to be arrested on insufficient evidence or harassed by police because of racism, or at a minimum indicates bias.
Those who believe the police have too much authority and utilize racist practices argue the courts contribute to the perceived racist practices. The argument is the courts have given officers too much discretion when it comes to police practices and establishing probable cause. Also, the argument suggests the officers state of mind should be relevant in contacting citizens.
In the case of Whren v. United States Whren was driving in a 'high drug area.' Some plainclothes officers, while patrolling the neighborhood in an unmarked vehicle, noticed Whren sitting in a truck at an intersection stop-sign for an usually long time. Suddenly, without signaling, Whren turned his truck and sped away. Observing this traffic violation, the officers stopped the truck. When they approached the vehicle, the officers saw Whren holding plastic bags of crack cocaine. Whren was arrested on federal drug charges. Before trial, Whren moved to suppress the evidence contending that the officers used the traffic violation as a pretext for stopping the truck because they lacked either reasonable suspicion or probable cause to stop them on suspicion of drug dealing.
In a unanimous decision the United States Supreme Court held that as long as officers have a reasonable cause to believe that a traffic violation occurred, they may stop any vehicle. In the present case, the officers had reasonable cause to stop the petitioners for a traffic violation since they sped away from a stop sign at an 'unreasonable speed' and without using his turn signal. Thus, since an actual traffic violation occurred, the ensuing search and seizure of the offending vehicle was reasonable, regardless of what other personal motivations the officers might have had for stopping the vehicle.
Plea Bargains and the Courts
In the United States, 90-97% of all criminal cases are resolved through the plea-bargaining process. The first step of the process is arraignment in which the defendant and defense counsel are notified of the charges, most often the maximum charges the district attorney is alleging based on the crime committed. Crime reports are provided to counsel to evaluate the initial strength of the case. After this initial hearing, a plea-bargaining process can begin. The plea bargain process in California usually consists of the district attorney, defense counsel, the judge and possibly a probation officer to provide criminal history and sentencing recommendations depending on the charges.
Figure 7.4 Plea Agreement Diagram created by Tabitha Raber is used under a CC-BY 4.0 license
There is some concern that plea bargaining can have racial disparity and those of color are treated differently or more severely than whites. Research has been conducted to determine if there is significant disparity in the way Hispanics, black and whites are treated in the plea-bargaining process. One key consideration is how charges are treated from the initial filing of charges in the D.A. complaint and the plea charges agreed upon during the plea agreement process. Does race factor into how charges are reduced during the plea-bargaining process?
In a 2018 study of this process, the author Carlos Berdejo found there was racial disparity during the plea-bargaining process. “White defendants are twenty-five percent more likely than black defendants to have their principal initial charge dropped or reduced to a lesser crime. As a result, white defendants who face initial felony charges are less likely than black defendants to be convicted of a felony.” What this means, is white defendants who were initially charged with a felony or serious crime are more likely to have the charge reduced to a misdemeanor or lessor crime. He also found that this disparity is even greater at the lower level crimes (misdemeanor) in which offender of color were more likely to serve jail time for minor offenses and white offenders received other sanctions.
In the United States approximately 90 percent of all criminal cases will never go to trial. The prosecutor and defense attorney enter into negotiations, and if an agreement can be reached and the judge agrees; the defendant will plead guilty, often to a lesser charge. The United States Sentencing Commission conducted a study in 1990 which reviewed 1,000 cases. The commission determined that whites received a better deal in the plea bargains. Twenty-five percent of whites had their charges reduced through the plea-bargaining process, compared to 18 percent of blacks, and 12 percent of Hispanics.
Figure 7.5 United States Sentencing Commission. Image is in the public domain.
In 1991, a San Jose newspaper conducted a comprehensive review of 700,000 criminal cases in California, spanning 10-years. The Mercury News reported that 33% of the white adults who were charged, but had no prior record, were able to get felony charges reduced. Compared to Black Americans and Hispanic Americans with no prior records who were only successful in reducing charges 25% of the time. The news paper's conclusions did not suggest intentional racism for these differences. The author did suggest that cultural fears and insensitivity could have been contributing factors to the differences. The article noted that at the time 80 percent of all California prosecutors and judges are white, while more than 60 percent of those arrested are non-white. The newspapers reporting made it clear the author and the editors believed that implied bias was contributing to the perceived inequities in the plea-bargaining process.
Jury Selection and Trial
For the criminal cases not resolved through the plea-bargaining process, they proceed to the jury trial. Things that need to be considered is how the jury selection process can affect the outcome. A key to the American criminal process is innocent until proven guilty and a trial by a jury of your peers. But is this occurring? In this section we examine the jury selection process and the affect it has on the outcome of a trial.
Cornell University Law Professor Sheri Johnson reviewed twelve mock-jury studies. She determined the race of the defendant directly affected the juries’ determination of guilt. In the mock trial, identical presentations and facts were simulated, sometimes with white defendants and sometimes with a black defendant. Professor Johnson concluded white jurors were more likely to find a black defendant guilty than a white defendant, even though the mock trials were based on the same crime and the same evidence.
The results discovered black jurors displayed reverse bias. Black jurors found white defendants guilty more than black defendants. Additionally, the race of the victim in the case affected both groups. White jurors determined white defendants less culpable if the victim was black. Likewise, black jurors found black defendants less culpable if the victim were white. Based on these mock-jury results, jurors of both races displayed biased behavior. So, the major question taken away from these results, is the criminal justice system racially unfair? The researchers believed the juror bias was not conscious. They attributed a guilty verdict on the basis of race seemed to be subconscious. The researchers surmised jurors were unlikely to be aware of their bias during the process.
The U.S. Supreme Court has attempted to promote racially mixed juries by prohibiting prosecutors and defense lawyers from using peremptory challenges to remove potential jurors based on race. In the case of Batson v. Kentucky (1986) Batson, a black man, was on trial charged with second-degree burglary and receipt of stolen goods. During the jury selection, the prosecutor used his peremptory challenges to remove the four black persons on the jury panel, resulting in a jury composed of all white people. Batson was convicted on both of the charges against him.
The United States Supreme Court found that the prosecutor's actions violated the Sixth and Fourteenth Amendments of the Constitution. Relying heavily on precedents set in Strauder v. West Virginia (1880) and Swain v. Alabama (1965), Justice Powell held that racial discrimination in the selection of jurors not only deprives the accused of important rights during a trial, but also is devastating to the community at large because it "undermines public confidence in the fairness of our system of justice." Without identifying a "neutral" reason why the four blacks should have been excluded from the jury, the prosecutor's actions were in violation of the Constitution.
Justice Thurgood Marshall called for ending the use of peremptory challenges altogether. Justice Marshall said, only by banning peremptory challenges can racial discrimination in jury selection be ended. Six year later in the case of Georgia v. McCollum (1992) the Supreme Court would address race and peremptory challenges once more. White defendants, Thomas McCollum, William Joseph McCollum, and Ella Hampton McCollum were charged with assaulting two black individuals. Before the criminal trial, the prosecution moved to bar the defense from using its peremptory challenges to eliminate black people from the juror pool. The term "peremptory challenge" refers to the right to reject a potential juror during jury selection without giving a reason. The trial judge denied the prosecution's motion, and, when the prosecution appealed, the Georgia Supreme Court affirmed the trial judge's decision.
The United States Supreme Court found that the exercise of peremptory challenges in a racially discriminatory manner not only violates the rights of potential jurors, but also undermines the integrity of the judicial system. Since the Court also determined that a peremptory challenge did constitute state action, it found the use of peremptory challenge for the purpose of racial discrimination to be a breach of the Equal Protection Clause. Consequently, the decision of the Georgia Supreme Court was reversed.
Even after the Supreme Court’s rulings it can be challenging to enforce the courts mandates or ensure prosecutors and defense attorneys do not attempt to manipulate the judicial system. In the case of Miller - El v. Dretke (2003) the United States Supreme Court reviewed a case involving a black Texas death-row inmate. Miller-El alleged the prosecution in his capital murder trial violated the 14th Amendment's equal protection clause by excluding 10 of 11 blacks from the jury. The jury convicted Miller-El and he was sentenced to death. State courts rejected Miller-El's appeals and ruled Miller-El failed to meet the requirements for proving jury-selection discrimination outlined by the U.S. Supreme Court in Batson v. Kentucky. Miller-El then appealed to a federal district court. The district court rejected Miller-El's appeal and ruled the court must defer to the state courts' acceptance of prosecutors' race-neutral justifications for striking potential jurors. The Fifth Circuit Court of Appeals affirmed and ruled a federal court could only grant an appeal if the applicant made a substantial showing of the denial of a constitutional right.
In a 6-3 opinion delivered by Justice David Souter, the Court held that Miller-El deserved to win his appeal because the jury selection in his case violated the Fourteenth Amendment's equal protection clause. The Court began by noting that the prosecutors used peremptory strikes to exclude 91 percent of the eligible black prospective jurors, "a disparity unlikely to have been produced by happenstance." After comparing two eliminated black prospective jurors with similar white jurors who were not eliminated, the Court concluded that the "selection process was replete with evidence that prosecutors were selecting and rejecting potential jurors because of race." The Court further concluded that Texas' jury selection manual, both in this case and generally, tended to allow prosecutors to read disparate questions to prospective jurors depending on whether they were black or white.
Court Sentencing
Studies have determined that once convicted by a court Black Americans are more likely than White Americans to be incarcerated. Additionally, sentences were longer for blacks than for whites. The study suggests that people involved in the sentencing process like probation officers, judges, and parole boards are utilizing allowed discretion in sentencing or probation and parole decisions such a way that is discriminatory toward Black Americans.
Unintended discrimination may take place at many points in the criminal justice process. Probation officers prepare pre-sentencing reports for a judge. The judge utilizes the reports to help making decisions related to sentencing. Pre-sentencing reports typically include information on the criminal’s prior record, family background, education, marital status, and employment history. Many African Americans convicted of crimes come from lower sociology-economic background with single parent homes, many with substance abuse problems. The criminals pre-sentencing reports contain information such as trouble in school and family problems which the judges cannot relate to. The study suggests these factors may persuade some judges to sentence them to more sever sentences. However, it is important to note that the criteria for whether to impose the low, middle, or upper term in sentencing is based on the aggravating or mitigating factors of the offense and not the socio-economic factors of the offender.
A survey of studies on discrimination in the criminal justice system discovered that much of the differences in sentencing can be determined by the arrested persons criminal charges and prior criminal activity of those. The survey concluded there was no evidence of bias throughout the criminal justice system, however examination of specific jurisdictions and courts did find evidence that suggests racial bias in a significant number of cases.
When reviewing drug offenses separately, some federal sentencing practices had the effect of discriminating against Black Americans. Federal laws created harsher mandatory sentences for crack cocaine, which was popular in poor black communities. Powder cocaine, which had lower sentencing structure was typically consumed in wealthier communities. For example, selling 28 grams of crack cocaine a suspect would be sentenced to a mandatory minimum sentence of five years, even if it was the suspects first offense. To be sentenced for a minimum five years, a suspect would have to be convicted of selling 500 grams of powder cocaine. Because a greater majority of crack cocaine users are black while powder cocaine users white, the result of the law had an adverse effect on the black community.
In 2010, the United States Congress passed the “Fair Sentencing Act.” This law repealed the mandatory minimum sentences and eliminated the discrepancy between crack and powder cocaine possession and sales. Additionally, in 2012, the United States Supreme Court addressed the law in Dorsey v. United States. The Court held that the Fair Sentencing Act's (FSA) lower minimum sentences apply to offenders sentenced after the FSA's passage, even for crimes committed before its passage. In the Court's opinion, Congress clearly intended for the sentencing guidelines to apply to pre-Act offenders. The FSA is intended to create uniformity and proportionality in sentencing, a goal that would be undermined by applying the old sentencing guidelines after the Act's passage. Instead, applying the old sentencing guidelines would create the exact sentencing disparities that Congress tried to prevent with the FSA.
Act It Out! Community Court Activity
In this activity, click here to access the Community Court website. This will provide you with information on how successful community courts can be launched in your community.
Answer the following questions based on the above reading:
1. Thinking about the community you live in, identify a specific population you believe would best be targeted for community policing and why?
2. Now identify the stakeholder or board that would provide input on how the program would be run. Why did you choose these people?
3. Who would oversee the process? What checks and balances would be in place to ensure community safety?
4. Present your finding to the class.
5. Peer review of each program, each group will provide feedback on the project design. | textbooks/workforce/Corrections/Community_and_the_Justice_System_(Wymore_and_Raber)/07%3A_Court_and_the_Community.txt |
Chapter 8 – Managing Culturally Diverse and Specific Populations in Correctional Settings
Key Learning Objectives:
• Be able to explain the history of the American correctional system and the theories of incarceration and rehabilitation.
• Explain the theories on incarceration: Deterrence, Retribution, Rehabilitation & Restoration
• Explain why it is important to be culturally competent when working in the correctional setting.
• How to appropriately deal with diverse issues and situations in the correctional settings.
• Be able to identify the myths and stereotypes of inmates in correctional facilities.
History and Purpose of the American Correctional System39
The history of the American Correctional system has grown and evolved over the centuries to its current state. When the country began, we relied heavily on our British roots to guide our systems, and corrections is no different. Colonial America didn’t begin with prison or incarceration. Because the populations of early colonies were so small and communities close knit, punishment for the violation of laws and social norms were handled swiftly. Violators were punished by being placed in stocks or pillory, wearing a scarlet letter and similar public shaming methods. Strangers to the community would be banished or physical punishments imposed.
However as American began to grow, this type of punishment would no longer work. After the Revolution, the founding fathers borrowed many of the English ways, but adapt it to their new-found ideals of freedom, their concept of criminal justice was no different. Perhaps because of its history of aversion to the harshness of the English Criminal code and its recent victory in the Revolutionary War, America was also particularly receptive to emerging Enlightenment thought challenging the premises of the old social order. So America sought to design a more unique penal system. One which focused on correcting behavior of the offenders. America began to build prisons which they intended to house offenders to protect the community but also correct their behavior. The Walnut Street Prison was one of the earliest examples of this new thought on prison. They sought to provide prisons a place where they could reflect on their actions and feel “penance” for their actions. Whereby we derived our word “penitentiary.”
Figure 8.1 Eastern State Penitentiary. Image is used under a CC BY 2.0.
In order to understand prisons, we must look at the reasons we punish offenders and what are our goals. There are five common types of punishment: Retribution, restoration incapacitation, deterrence, and rehabilitation. Retribution and restoration both center on the victim and society. Retribution is probably one of the oldest forms of punishment and most commonly known as “an eye for an eye.” Historically, when wronged the victim would expect retribution or some payment proportionate to the loss he or she incurred. This punishment is also compared to vengeance. Restoration is a similar concept in which a debt is owed to the victim or society because of the offender’s criminal actions. The offender and victim must meet to allow the victim to be heard and the offender make amends and receive forgiveness. This is most often used with juvenile offenders.
Incapacitation
Incapacitation is just as it sounds, incarcerate offenders (incapacitate) so they can not harm society. Of course, this is one of the most expensive means of corrections. According to the Bureau of Prisons the average cost of incarceration for Federal Inmates is \$36,299.25 per year for 2017. Deterrence is another concept whereby society “deters” crime through punishment. First, it assumes specific deterrence which means a person thinks through a crime and doesn’t act because the consequence (punishment) is not worth it. The other type of deterrence is general deterrence where society sees another one receives punishment for an act, and they do not want to suffer the same punishment so don’t act. Both of these concepts require swift punishment to occur to be effective.
Deterrence
The main purpose of deterrence it to prevent future crime by deterring offenders and the public from committing a crime due to fear of punishment. There two main types of deterrence, specific and general. Specific deterrence is the prevention of committing new crimes by one specific offender. An example of specific deterrence is when an individual is caught for a crime and is punished, either incarceration, probation, fine or condition of sentence. This punishment needs to be severe enough to prevent future crime. The punishment must fit the crime. The other form of deterrence is general deterrence. This is where a person sees the criminal get punished and therefore does not commit a crime because they do not want to receive the same punishment. In order for these theories to work effectively, punishment must certain and timely. However, deterrence may not work in all cases because offenders think they can get away with the crime and avoid apprehension and punishment.
Retribution
Retribution is the theory that when someone commits a crime, the person harmed (the victim) deserves reprisal or “pay back” for the loss they received. Another common understanding of this concept is “an eye for an eye” which dates back centuries where the victim was able to exact revenge when they were harmed or wronged by another person. Today retribution does not just pertain to an individual, but more often society as a whole. For example, the use of illegal drugs does not have a specific victim. However, the harm done to society through other actions and crimes is why drug use is considered illegal.
Rehabilitation
Rehabilitation has been a reoccurring theme in American corrections throughout the centuries. The first prison built in America sought to correct offender behavior. Rehabilitation focuses on correcting offender behavior, often in a confined setting (prison) or in the community under supervision (probation or parole) to guiding the offender to overcome barriers that contributed to the commission of the crime. Often considered the “medical” model of punishment because it sought to treat the offender rather than strictly punish. This model was used extensively through the 1970’s until a study indicated rehabilitation didn’t work. Though this study was later invalidated, it changed the prison for many decades. A shift occurred in the 2000’s and more institutions are returning to rehabilitation as a form of reducing prison population and curbing recidivism.
Restoration
Restoration is a concept of justice where the offender and the victim (either a person or society) work together to resolve the issue. The offender must make amends to the victim but also has a say in the process. Restoration is a more collaborative approach to resolving crimes and is often used in crimes involving juveniles. This process allows the offender to express remorse for committing the criminal act and be forgiven. This is a relatively new way of viewing crime and punishment and as a result there has been a focus on developing restorative justice programs across the United States.
Return to the Rehabilitative Philosophy40
Since the first prisons were built in American, many changes have occurred. Not all for the better. The United States penal system is currently faced with serious problems, many prisons are underfunded, understaffed and overcrowded. An increase in the crime rate and changes to sentencing laws in the 1990’s led to an increase in incarceration rates. Mandatory minimum and Three Strikes laws has contributed to the growth of prisons population and overcrowding. Another contributing factor to prison overcrowding is recidivism. Recidivism is when an offender is returned to custody for a violation of supervised release or commit a new offense while under supervision.
So, we have a dilemma, prisons are very expensive and ineffective when so many offenders are returned to custody. This shows we have not rehabilitated offenders or deterred crime and more importantly we have also failed to protect the community. At the same time, no one thinks it’s a good idea to open the prison doors and let offenders free. So how do we deal with this epidemic? Some states have been forced to make corrections. In California for example, this led to Supreme Court involvement:
“California's prisons are currently designed to house approximately 85,000 inmates. At the time of the U.S. Supreme Court's 2011 decision in Brown v. Plata, the California prison system housed nearly twice that many (approximately 156,000 inmates). The Supreme Court held that California's prison system violated inmates' Eighth Amendment rights. The Court upheld a three-judge panel's order to decrease the population of California's prisons by an estimated 46,000 inmates. They determined that overcrowding was the primary cause of the inmates' inadequate medical and mental health care. As a result, the California Department of Corrections and Rehabilitation (CDCR) has been working to redistribute inmates and parolees safely and decrease the overall population to the mandated levels.”
Figure 8.2 Prison Overcrowding. Image is in the public domain.
This created a situation where California had to make significant changes to the way it managed offenders and incarceration. Their answer to this problem was called Assembly Bill 109 (AB 109) or “2011 Public Safety Realignment,” and changed the seriousness of offenses in the penal code and provided new sentencing requirements for a majority of crimes. It reduced many crimes such and drug use and theft to misdemeanors. Additionally, other crimes previously punishable by prison, were no longer prison eligible. They transferred the responsibility for the incarceration of those offenders back to the counties they were committed. Previously, county jails were only used to incarcerate offenders for short terms (usually a maximum of one year). After the passage of AB 109, offenders could be jailed for up to decades depending on the number of charges.
Another considerable change that came with this bill was the way community supervision was managed. Prior to AB 109, there was two types of supervision, probation (community supervision in lieu of prison) or parole (community supervision after a term in prison was served). After AB 109, the state shifted a significant number of offenders to county supervision and created two additional forms of supervision. Mandatory Supervision was created to supervise offenders who no longer qualified for prison and jailed locally. And Post-Release Community Supervision (PRCS) where offenders identified by CDCR as “non-violent” and could be supervised by county probation officers. This significantly increased the number of offenders the county probation departments were required to supervise.
The idea behind this “realignment” was to focus on rehabilitation and allow offenders to stay locally (either in jail or under supervision) where the community and stake holders could provide better services and reduce recidivism. County funding from the state actually depends on the recidivism rates and rates of prison sentences from each county. Counties receive more money from the state if they can show a reduction in recidivism and a reduction of prison commitments. Counties were required to create committees with community stakeholders to provide evidence-based treatment programs for offenders and demonstrate effectiveness for maximum funding.
Under California penal code section 1230, the Community Correction Partnership (CCP) was created. It required the executive committee be comprised of the following:
• Chief Probation Officer
• Chief of Police
• Sheriff
• District Attorney
• Public Defender
• Presiding Judge of the Superior Court (or his/her designee)
• A representative from either the County Department of Social Services, Mental Health, or Alcohol and Substance Abuse Programs, as appointed by County Board of Supervisors.
The goal of the committee is to ensure the county is doing its best to provide the best offender treatment services. This CCP look for ways to effectively manage services and funding provided by the states. The emphasis is on measurable outcomes and the ability to deliver evidence-based treatment to the offenders. As a result, many probation departments changed practices, reduced caseloads and focused treatment on high risk offenders.
California is not unlike other states. Many are looking for ways to reduce their prison populations. A shift towards a rehabilitative correction system has been a growing movement among many states. More emphasis has been placed on programs offered to offenders while incarcerated, transitional programming for prisoners as they near release and supportive supervision in the community to ensure a better transition. All of these efforts are geared to reducing recidivism and improving the safety of the community through a reduction of crime.
However, for treatment to be effective, correctional professionals – prison guards, correctional counselors and community supervision officers need to be aware of cultural, racial and gender issues that could affect the delivery of treatment and the offenders continued commitment to treatment. In this section we explore multiculturalism in treatment of offenders. This information was initially geared toward the therapeutic professional but can be easily adapted to fit the correctional professional. Despite the dual roles correctional professionals must balance, this information is valuable for developing rapport with offenders and improving outcomes.
What it means to be Culturally Competent41
The development of culturally responsive clinical skills is vital to the effectiveness of behavioral health services. According to the U.S. Department of Health and Human Services (HHS), cultural competence “refers to the ability to honor and respect the beliefs, languages, interpersonal styles, and behaviors of individuals and families receiving services, as well as staff members who are providing such services. Cultural competence is a dynamic, ongoing developmental process that requires a long-term commitment and is achieved over time” (HHS 2003a, p. 12). It has also been called “a set of behaviors, attitudes, and policies that . . . enable a system, agency, or group of professionals to work effectively in cross- cultural situations” (Cross et al. 1989, p. 13).
This section targets specific racial, ethnic, and cultural considerations along with the core elements of cultural competence highlighted in the model. These core elements include cultural awareness, general cultural knowledge, cultural knowledge of behavioral health, and cultural skill development.
Introduction to Cultural Competence
Why is the development of cultural competence and culturally responsive services important in the behavioral health field? Culturally responsive skills can improve offender engagement in services, therapeutic relationships between offender and providers, and treatment retention and outcomes. Cultural competence is an essential ingredient in decreasing disparities in behavioral health.
The development of cultural competence can have far-reaching effects not only for offender, but also for providers and communities. Cultural competence improves an organization’s sustainability by reinforcing the value of diversity, flexibility, and responsiveness in addressing the current and changing needs of offender, communities, and the healthcare environment. Culturally responsive organizational strategies and clinical services can help mitigate organizational risk and provide cost-effective treatment, in part by matching services to offender needs more appropriately from the outset. So too, culturally responsive organizational policies and procedures support staff engagement in culturally responsive care by establishing access to training, supervision, and congruent policies and procedures that enable staff to respond in a culturally appropriate manner to offender’ psychological, linguistic, and physical needs.
What is the process of becoming culturally competent as a correctional professional or culturally responsive as an institution?
Cultural competence is not acquired in a limited time frame or by learning a set of facts about specific populations; cultures are diverse and continuously evolving. Developing cultural competence is an ongoing process that begins with cultural awareness and a commitment to understanding the role that culture plays in behavioral health services. For correctional professionals, the first step is to understand their own cultures as a basis for understanding others. Next, they must cultivate the willingness and ability to acquire knowledge of their offender’ cultures. This involves learning about and respecting offender worldviews, beliefs, values, and attitudes toward mental health, help-seeking behavior, substance use, and behavioral health services. Correctional professionals should incorporate culturally appropriate knowledge, understanding, and attitudes into their actions (e.g., communication style, verbal messages, treatment policies, services offered), thereby conveying their cultural competence and their institutions’ cultural responsiveness during assessment, treatment planning, and the treatment process.
What is culture?
Culture is the conceptual system developed by a community or society to structure the way people view the world. It involves a particular set of beliefs, norms, and values that influence ideas about relationships, how people live their lives, and the way people organize their world. Culture is not a definable entity to which people belong or do not belong. Within a nation, race, or community, people belong to multiple cultural groups and negotiate multiple cultural expectations on a daily basis. These expectations, or cultural norms, are the spoken or unspoken rules or standards for a given group that indicate whether a certain social event or behavior is appropriate or inappropriate. The word “culture” is sometimes applied to groups formed on the basis of age, socioeconomic status, disability, sexual orientation, recovery status, common interest, or proximity. Correctional professionals and administrators should understand that each offender embraces his or her culture(s) in a unique way and that there is considerable diversity within and across races, ethnicities, and culture heritages. Other cultures and subcultures often exist within larger cultures.
What are race and ethnicity?
Race is often referred to as a biological category based on genetic traits like skin color (HHS 2001), but there are no reliable means of identifying race through biological criteria. Despite its limitations, the concept of race is important to discussions of cultural competence. Race— when defined as a social construct to describe people with shared physical characteristics— can have tremendous social significance. The term ethnicity is often used interchangeably with race, although by definition, ethnicity— unlike race—implies a certain sense of belonging. It is generally based on shared values, beliefs, and origins rather than shared physical characteristics. With the exception of its final chapter, which examines drug cultures, this TIP focuses on the major racial and ethnic groups identified by the U. S. Census Bureau within the United States: African and Black Americans, Asian Americans (including Native Hawaiians and other Pacific Islanders), Hispanics and Latinos, Native Americans, and White Americans.
What constitutes cultural identity?
Cultural identity, in the simplest terms, involves an affiliation or identification with a particular group or groups. An individual’s cultural identity reflects the values, norms, and worldview of the larger culture, but it is de- fined by more than these factors. Cultural identity includes individual traits and attributes shaped by race, ethnicity, language, life experiences, historical events, acculturation, geographic and other environmental influences, and other forces. Thus, no two individuals will possess exactly the same cultural identity even if they identify with the same cultural group(s). Cultural identities are not static; they develop, evolve, and change across the life cycle.
Female inmates42
The difference between female and male prison populations are significant in many ways. A majority of female inmate commit a violent offense at a far less rate than male Inmates. Female inmates are more likely to have been convicted of a crime involving property crimes, alcohol abuse, or drugs. Poverty has always been a better indicator for the propensity to commit property crimes which are economically driven, often motivated by the abuse/addiction of alcohol and other drugs.
Figure 8.3 Female inmates inside their maximum-security prison. Image is used under a Attribution-Share Alike 4.0 International license.
A study conducted in California showed that 71.9% of females had been convicted on a drug or property charge versus 49.7% of males. Males also commit nearly twice the violent crimes that females commit. Female inmates tend to participate in prison programs, however female inmates have less opportunity to participate in programs than male prisoners do.
Female inmates tend to come from a lower socioeconomic status, have a lower education, possess limited skills, are single parents, and are predominately women of color. In California prisons, over half of the women are Black Americans (35%) and Hispanic (16.6%). One-third were Caucasian and (13%) were made up of other minorities. A study indicated those who had jobs prior to criminal conviction, only 37% were working at a legitimate job. Twenty-two percent were receiving a form of welfare, 16% were drug dealing and 15% were involved in other illegal activities.
Statistics clearly show there are issues of economic status and race are factors in the criminal justice system. Prior to being ruled unconstitutional the state of Minnesota had a law that stipulated first-time users of crack cocaine would receive a mandatory four-year sentence, however first-time users of powder cocaine would receive probation. According to statistics 92% of those arrested for possession of crack were Black Americans and 85% of those arrested for possession of powdered cocaine were White Americans. On face value the law was clear representation of institutional racism. A judicial system which incorporates racial and economic factors in determining who will be imprisoned is a criminal justice system that lacks justice.
Two-thirds of female inmates have children who are minors. Many feel guilty about being away from their children and are concerned they might lose custody of their children after incarceration. Female inmates utilize prison psychological services at a rate which exceeds male inmates. This is due to guild issues surrounding children, as well as unresolved pre-incarceration issues such as abuse.
Many females who are in the correctional system are either addicted to, or abuse drugs, alcohol or both. In a study done in the Las Colinas Detention Facility in California, 37% of the Females interviewed indicated alcohol was their drug of choice, 21% said heroin, 24% crystal meth, and 18% cocaine. Unfortunately, drugs are readily available in prisons being smuggled in by friends, family, trustees and sometimes by prison employees.
Many females in prison also report a history of physical and sexual abuse. In California prisons, nearly 80% have experienced some form of abuse. Twenty-nine percent report being physically abused as children, and 60% as adults, usually by their partners. Thirty one percent experienced sexual abuse as a child and 23% as adults; and 40% reported emotional abuse as a child and 48% as an adult.
Females also report abuse within the correctional system. An ongoing investigation by the Human Rights Watch Women's Rights Project documented custodial misconduct in many forms including verbal degradation, rape, sexual assault, unwarranted visual supervision, denying goods and privileges, and use or threat of force. “Male correctional officers and staff contribute to a custodial environment in state prisons for women which is often highly sexual and excessively hostile”.
Homosexual and Transgender Inmates43
What unique challenges do lesbian, bisexual, gay, and transgender, (LBGT) inmates pose for jail operations? What do jail and prison leaders and staff need to know in order to appropriately manage these people with safety and respect?
Accurate language and terminology, physical and gender identity factors, and an understanding of medical facts provide a basis for sound practice. Jails need to be prepared on many dimensions, such as medical care, data systems, security, housing options, and clothing choices.
In 2007 the Center for Innovative Public Policy began to delineate the scope of the correctional facilities responsibility and options for appropriate response. In Discussion focused on identifying issues associated with managing this group of offenders in the nation’s jails and prisons, with an emphasis on personal safety. Beyond our profession, awareness has continued to emerge within the LGBT community about how correctional facilities manage, supervise, and house people from these populations. A number of national and regional organizations represent the interests of these individuals in social, legal, and political contexts. Cases being heard in courts all over the country are addressing aspects such as the provision of hormonal medications to transgender offenders, the continuation of transgender-specific medical procedures, and the development of gender awareness in areas such as housing and searches.
The government’s obligation upon incarcerating a citizen is to provide for a reasonable protection of that person, as derived from the 8th and 14th Amendments to the U.S. Constitution. Correctional facilities have a duty to take reasonable measures to guarantee the safety of inmates from assault, suicide, fires and other facility dangers, and preventable illness. Correctional facility managers are charged with preventing assault and excessive use of force as well as suicide and self-harm. They must also respond to serious medical and mental health needs, as well as avoiding unconstitutional conditions of confinement.
Correctional facilities have adopted the position that any sexual behavior in the facility is a rule violation. Sex between any persons in a correctional setting is forbidden, period. Whether that behavior is homosexual, heterosexual, or bisexual is of no consequence. Our focus is on the potential for victimization, regardless of sexual orientation. Most correctional facilities have clearly defined policies on the housing, supervision, and management of heterosexual, homosexual, and lesbian offenders, but what about transgender offenders?
Housing heterosexual inmates is straightforward, all other classification factors being equal. For homosexual and lesbian inmates, many correctional facilities do not have a blanket policy of segregation. A decision to segregate homosexual or lesbian inmates is usually based upon an articulated risk, derived from current or previous institutional behavior where the need for segregation has been identified, or a request for protective custody. Protective custody may be offered with a waiver option, which the majority of our homosexual and lesbian offenders prefer to do. Inmates who can function in the general population are permitted to remain there, unless a situation arises requiring a change in status (victimizing or being victimized, consensual sexual activity, behavioral problems, etc.). Similarly, with bisexual inmates, protective custody housing typically is offered, with the inmate having the opportunity to waive out to the general population.
Transgender people typically are placed directly into protective custody with little opportunity to waive out. Some transgender persons are in the process of changing their physiognomy via sexual re-assignment when they reach our jails. The process involves counseling, lifestyle changes, hormone replacement therapy, and ultimately surgical procedures to either implant or remove breasts and to reconstruct the genitalia.
During the process of sexual re-assignment, many live as a member of the sex they plan to be. This raises questions for correctional facility managers in several spheres of our operations.
Medical care
• What different medical and mental health services must we provide to transgender offenders?
• Is there a need for a greater level of service and support for the sexual reassignment process than the jail now provides?
• What is the potential psychological impact of impeding the sexual reassignment process while the person is in jail?
• Does this impact rise to the level of a “serious medical need”?
• Who is qualified to make the determination of “serious medical need”—a general practitioner, or a specialist in sexual reassignment surgery?
There is some case law that recognizes that a person undergoing sex reassignment process has a “serious medical need” for continuation of hormone treatments. For example, see Wolfe v. Horn, (2001), which states that “…transsexualism [transgenderism] has been characterized as a “serious medical need…” and Kosilek v. Maloney, 2002). But little has been said thus far concerning the continuation of the surgical procedures. Advocates of the LGBT community would argue for continuation based upon the negative psychological and physical impact of stopping the process. For those jails holding inmates for periods of a year or less, this may be considered to have minimal impact. But some jails can house inmates for 5 years or more. What, then, are their responsibilities?
Security Questions
• Should Facilities conduct searches differently with transgender inmates based on their gender identity?
• Should Facilities match the sex of the officer conducting the search to the gender identity of the offender?
• Is it intrusive if a search of a transgender offender is conducted by a member of the opposite sex?
• Is there a perception of being violated similar to that which could be experienced by a person with female anatomy and female gender identity if searched by a male officer?
• Is there an issue of intrusiveness when a male with a female gender identity is searched by only a male officer?
• If an inmate with a female gender identity is more comfortable being pat searched by a female officer, do we comply?
• On a strip search, should there be a policy that searches of transgender inmates are conducted by a “mixed” team of one male and one female officer?
• How should we approach searches of intersex inmates?
We all acknowledge the legal requirement that strip searches are conducted by a member of the same sex (except in exigent circumstances), and we accept the legal implications of violating this caveat.
Housing Questions
• Should Facilities house inmates differently based on transgender status and gender identity?
• Should Facilities disregard physiognomy in making housing decisions?
• Should Facilities place a trans-woman in a female housing unit even though she still possesses male genitalia?
• And what about housing a person with a female physiognomy but a male gender identity with males?
Clothing Questions
• If facilities provide women with bras, do we provide trans-women with bras as well?
• Female inmates often have access to the same clothing as males, but in a jail where women wear different clothing than men, what accommodations will be made for transgender persons or those with a different gender identity?
• What about curlers and other accouterments associated with female behavior and dress—should facilities allow trans-women with male “plumbing” to have them also?
Society is changing, and correctional facilities will have to alter the way we do business to reflect these changes. Consider how the civil rights movement brought about significant changes in corrections practice. LGBT groups are pushing an agenda that could have a similar impact. Correctional facilities will be better prepared to navigate these changes if they proactively address them rather than waiting until external forces bring the issue to the forefront.
Religious Inmates44
In the United States religious persons and religious institutions have been associated with correctional practice since the formation of the Republic. This influence began prior to the creation of the prison system and expanded with a correctional philosophy aimed at rehabilitation. In recent times the religious institutions and legal services have assist inmates who try to practice their faith while incarcerated. Prison clergy serve as the main avenue through which incarcerated persons have access to religion. Correctional facilities hire clergy as well as other faith representatives to serve a variety of faith-based functions. The First Amendment of the United States Constitution allows, for the practice one’s religion, even for those who are incarcerated. Federal court decisions, as well as state and federal laws support this right, however, this right must not interfere with the security of the institution. Within correctional institutions religious practice is in the form of many faiths, with the most prevalent being the Judeo-Christian faith.
It is challenging to determine why an inmate becomes involved with religion. Some believe it is for seeking redemption, or a sincere attempt to better their life. A belief held by many, including by some who work in correctional facilities, is that inmates “find religion” for manipulative reasons. This might be the case in some instances, but there is evidence some inmates have been changed for the better due to their incarceration and participation in religious practice. In all probability it is for a variety of personal and practical reasons.
With the growth of the American correctional system, and the continuing ethnic and cultural diversification of society, the face of religion in prison may soon change. As prisons become more crowded, correctional officers and other staff will in all probability turn to religious leaders and volunteers to help them deal with the psychological stress which take place in a correctional setting and to accomplish some tasks. Recently there have been more secure prisons built, culminating with the super-maximum prisons where inmates are isolated from other inmates and staff up to 23 hours a day. Such environments are not conducive to social interaction, meaning the reduction of group religious practices. This will result in the need for a change in practice for religious ministries and may cause an increase in individual forms of “spirituality” and religious reflection.
The United States is a multi-cultural society and requires a level of sensitivity towards diversity of faiths. Clergy representatives will may be asked to develop and implement programs designed to reduce racial, religious or cultural conflict. This is significant to faith representatives who will need to be well-versed in a variety of faiths and cultural perspectives. As the prison population grows, more inmates will eventually be released back into society. This means programs with the goal of successful reintegration of inmates back into the community will need the help of religious personnel to promote positive family relationships, maybe even assistance with finding housing and employment. Whatever changes take place in society, it is probable that religious programs and practices in correctional settings will continue to be an active part of prison life.
Myths and Stereotypes of Inmates and the Prison System45
What will it take to undo the mass incarceration (and over-criminalization) policies and practices that have taken root in our public policy while recognizing the need for sound policy to prevent and control crime? In the last four decades, U.S. policies and practices have emphasized incarceration as the only legitimate punishment. This has created an insatiable appetite— resulting in the policies and practices of mass incarceration. The costs of administering incarceration policies have affected nearly all aspects of our society. Look at the numbers: The U.S. has an incarceration rate of 756 per 100,000 (the largest in the world) and holds 23% of the people incarcerated around the world (see pewcenteronthestates.com; Walmsley, 2007). In addition, 1 in 23 Americans aged 18 to 65 is involved in the justice system; 1in 28 children have a parent incarcerated, and 1 in 5 American adults have a criminal record (Glaze, 2009; Glaze & Maruschak, 2009; O’Brien & Darrow, 2007). Current policies and practices affect the ability of people to resume full citizenship and become contributing members of society. That is, these practices present “brick walls.” If we intend to “undo” the consequences while protecting public safety, we have to begin by addressing some common misconceptions. Only then can we forge a pathway toward effective policy that protects public safety and justice while reducing costs and offending behaviors.
Myth #1:
Once an offender, always an offender. Involvement with the justice system essentially labels a person an “offender.” This label affects an individual’s ability to retain status as a productive member of the community by, for example, limiting housing and employment options so severely that many cannot live or work successfully. Additionally, felon offenders lose (sometimes permanently) the ability to vote and participate in our democracy, which in turn stigmatizes and hinders productive societal participation. These collateral consequences build on the premise that once a person is an offender, a person will always be an offender. Despite the prominence of this thinking, data reveals that 42% individuals in jail, 20% in prison, and 50% under probation and parole supervision are first time offenders. Anywhere from 12 to 20% of those involved in the justice system can be considered persistent offenders.
The impression that all offenders are persistent emerges from the difficulties in measuring outcomes. The widely cited 70% recidivism refers to felons in 15 states (see Langan & Levin, 2002) and does not recognize that there are patterns in reoffending. Recidivism is the general concept that these references, but recidivism can consist of: arrest for a new crime, conviction for a new crime, reincarceration for a new crime, or various outcomes for violating the conditions of release (on probation or parole supervision). The tendency is to treat recidivism as a “terminal” or final condition (it happened, or it did not). However, this does not take into account that involvement in the justice system—which is like many physical and mental health disorders—has reoccurring phases. It does not recognize that there may be significant breaks in offending behavior (remission) and that reoccurrences may be due to situational or opportunity factors. Nor does it recognize that younger (18-28) and males are more likely to recidivate as are those who started their involvement in criminal behavior at an earlier age. Thus, not all criminally involved individuals will live a life of recycling through the justice system, in fact, most will not.
Myth #2:
Mass incarceration reduces crime. For the last 20 years, the crime rate in the U.S. has been falling. As a result of the “war on drugs”, the crime rate hit a high in the early 1990s. Since that time, it has fallen to record lows (see the Uniform Crime Reports at www.ucrdatatool.gov). Despite a decreasing crime rate, the number of people involved in the justice system during that time ballooned by 293% (Bonczar 2003; Bureau of Justice Statistics Correctional Surveys, 2009). Today, nearly 8 million American adults and 650,000 youth are involved with the justice system (see Pew Foundation, 2009; Taxman, Perdoni, & Harrison, 2007). Some attribute the decline in the crime rate to the rising use of jail and prison. Others report that jail and prison overcrowding is due to policies that have increased lengths of stay in prison/jail. These policies include mandatory minimums, increased incarceration periods, increased conditions attached to probation and parole, increased technical violations and the failure of parole boards to release offenders. While the incarceration of persistent offenders has probably affected the crime rate, the same policies for drug and misdemeanor offenders has only served to expand the incarceration population and intensify problems associated with offenders resuming life in their communities.
Myth #3:
Severe sentences produce the best outcomes. Punishment as a means of providing hard treatment to convey disapproval for wrongdoing is driven by four primary goals: incapacitation, retribution, deterrence, and rehabilitation. The last 30+ years in the U.S. de-emphasized rehabilitative goals, favoring prison/jail as the only real punishment capable of incapacitating, deterring and imposing “just desserts” on offenders. However, there is growing evidence to show that the swiftness and certainty of punishment provides a greater deterrent effect to many crimes than the severity of sanction. In fact, fear-provoking sanctions may yield unintended consequences that decrease, not increase, the sense of control citizens have over their lives (Braithwaite & Pettit 1990) provoking recidivism. Yet, U.S. sentence lengths are virtually unmatched. For example, comparing 1994 U.S. with 1995 U.K sentences reveals startling disparities. The U.S. incarcerates approximately 4 years longer for rape and robbery, 3 years longer for murder and assault, 2 years for burglary and 1 year for motor vehicle theft. Yet, recidivism in the UK is significantly less than in the U.S. The average sentence in the US is an average of six months longer than in 1988. Together with the steep increase in the number of people going to prison, this has resulted in policies of mass incarceration. This brings up an important query: Can informal sanctions serve as an alternative form of punishment that satisfies key punitive goals while keeping undesired and/or criminal conduct to a manageable level?
To this end, Petersilia & Deschenes’ (1994) study (among others) of inmates and correctional staff views of penal severity compared with community sanctions finds that roughly one year in prison is considered the punitive equal to three years of intensive supervision probation (ISP). In a similar study, researchers found that one-third of prisoners preferred prison to community supervision because of the conditions attached to supervision. Considering the social, psychological and resource cost-savings provided by ISP over prison, community sanctions might provide a viable avenue for “undoing” mass incarceration while maintaining swift and certain sanctions. Additionally, decreased reliance on prison as the primary—and in many cases first and only—source of punishment will also help eliminate some of the glaring inequality present when offender characteristics (e.g., race, gender, employment history) are valued differently by discretionary systems and actors within pre-prison justice processes.
Myth #4:
Community sanctions do not work. Essentially the U.S. does not have a system of community punishments (sanctions). There is very little available between standard probation (reporting) and incarceration (prisons or jail). Instead, we have a probation system designed to trap people into a life of involvement with the justice system. The current system does not incorporate existing science (evidence-based practices) about effective treatments or punishments that reduce recidivism. Rather, it builds on the premise that real punishment emerges from incarceration. The failure to use existing science in crime policy contributes to the continued use of expensive (incarceration) means to punish people. Although nearly 70% of those involved in the justice system are on probation or parole, the probation and parole in the U.S. is underfunded and undervalued (Taxman, Perdoni, & Harrison, 2007). The average daily cost to keep an individual on probation is \$3.82 a day versus \$78.95 for imprisonment (Pew Foundation, 2009). Instead of using probation as a legitimate sanction, probation has become a feeding ground for further involvement in the justice system through conditions that do not serve to address dynamic patterns that are likely to be criminogenic (result in further involvement in criminal behavior). Increased and irrelevant (not related to preventing or addressing criminal behavior) conditions mean more opportunities to fail probation and parole and exacerbate the problem. Probation supervision that uses the principles of behavioral management (an evidence based practice) instead of mere law enforcement can reduce recidivism and technical violations, yet few probation agencies use this type of supervision. Overall, evidence-based practices are available but underutilized in correctional settings.
Further, while we know that 80% of offenders have substance use disorders, the existing system provides treatment for less than 10 % of the offenders who need these services (Taxman, Perdoni, & Harrison, 2007). Even more troubling is that the available programs insufficiently meet participants’ needs. To be effective, we need to expand the use of drug treatment courts (offering treatment for one year), cognitive behavioral therapy, use of motivational enhancement techniques, and employment programs that focus on social supports. We need resources to integrate evidence-based practices into community punishments. Building a community capacity to address crime problems encourage implementation of more cost-effective strategies.
Myth #5:
Incarceration only affects offenders. When an individual is involved in the criminal justice system, families and communities are also involved. One in 28 youth have a parent in prison or jail, which means that the children are separated from their families during critical developmental periods. It also means that youth experience the criminal justice system via visiting a parent in jail/prison, going to court, or dealing with the loss of the individual in their daily life. Since over 90% of inmates are male, this means that many youths may only develop relationship with a key male role model within the confines of the justice system. Incarceration affects life prospects including reduced hourly wages for men by approximately 11%, reduced annual employment by 9 weeks, and reduced annual earnings by 40%. By age 48, the typical former inmate will have earned \$179,000 less than individuals not involved in the justice system (Western & Pettit, 2010).
Recent attention focuses on the concentration of people involved in the justice system in certain communities. In New York City, neighborhoods that are home to 18% of the city’s adult population account for more than 50% of prison admissions each year. A similar trend appears in Wichita, Kansas where one-quarter of all people on probation or parole live in only 8% of the city’s neighborhoods. In Austin, Texas, three neighborhoods are home to only 3.5% of the city’s adult population, but they grapple with over 17% of people returning from prison each year. *(See www.justicemapping.org/about-us/ for more information).
Incarceration policies particularly affect communities where the return of individuals is concentrated with increased STDs, pregnancy rates, and lack of male role models.
Incarceration-only policies have many costs attached to them, including disengaging people from productive citizenship, desensitizing the population to the adverse effects of incarceration and a criminal lifestyle, and stripping communities of potentially valuable, tax-paying members. Regrouping from this 30-year emphasis on incarceration will require dealing with these myths and recognizing that the criminal justice system and society at-large can benefit from seeking community-based punishments that prevent and address societal problems. To that end, we need to “undo” our focus on incarceration by pursuing a range of punishments that address the underlying cause of criminal behavior.
Think about it . . . "Women’s Treatment in Prison”
According to the Federal Bureau of Prisons their mission are core values are as folows
Our Mission is to:
• Protect society by confining offenders in the controlled environments of prisons and community-based facilities that are safe, humane, cost-efficient, and secure.
• Provide work and other self-improvement opportunities to assist offenders in becoming law-abiding citizens.
Core Values guide everything we do:
• Correctional Excellence – we are correctional workers first, committed to the highest level of performance.
• Respect – we embrace diversity and recognize the value and dignity of staff, inmates, and the general public.
• Integrity – we demonstrate uncompromising ethical conduct in all our actions.
In this chapter, we explored corrections and specific needs of the unique populations in the prison setting. If prisons the goal and mission to provide offenders rehabilitation, they must address each offender specifically. We cannot treat all offenders the same. Go to the activity below to better understand the needs of women in prison.
Act It Out! Understands Women’s Special Needs in Prison
In this exercise we are going to look at women and their special needs in order to become law-abiding citizens. The Bureau of Prison program below addresses women and the relationships they created.
“Women’s Relationships Gender-responsive program at FPC Bryan Female inmates at the Federal Prison Camp, Bryan, Texas, have a unique opportunity to address the challenges of incarceration and to address some of the issues that led to their involvement in the criminal justice system. To date approximately 100 women have participated in the structured intervention program entitled “Women’s Relationships.” This program assists female inmates in understanding and maintaining healthy connections within and outside prison. A recent graduate of the program, Dora Arreguy, noted that many of the women at Bryan have relationship issues or hurdles to overcome, and she believes the class helped each one in a different way: “It helped me realize that I need to do what is best for my relationship with myself before I can expect to move forward to better relationships with others.” Marne Boyle, Warden at Bryan and leader of the treatment group, emphasized the need for individual engagement with the inmates: “You can read about women all day, but you really get to know them as people and understand their struggles when you lead them in programs.” Women’s Relationships is an important program for female inmates in the Bureau of Prisons, many of whom cite unhealthy relationships as their pathway to prison”.
In groups, discuss the following issues and prepare a report to present to the class:
1. Explain why men and women go to prison, what crimes they commit, how are they similar and how are they different?
2. Why is it important for correctional professionals to understand and address these issues?
3. What impact to you feel specialized programs such as the one discussed above on rehabilitation? Why or why not? Support your answer with information from the readings.
4. How does the program align with the mission and core values of the Bureau of Prisons?
5. Present your findings to the class.
6. Provide feedback to fellow student’s presentations. What did you agree with? How did your finding differ? | textbooks/workforce/Corrections/Community_and_the_Justice_System_(Wymore_and_Raber)/08%3A_Managing_Culturally_Diverse_and_Specific_Populations_in_Correctional_Settings.txt |
Chapter 9 - Multicultural Treatment Considerations in Corrections46
Key Learning Objectives:
• Be able to identify the importance of providing culturally specific treatment to offenders in a correctional setting.
• Identify key issues in treating offenders based on their ethnicity.
• Understand the “Stages of Change” in offender rehabilitation.
• Identify the importance of case management with an understanding of race and culture in offender rehabilitation.
9.1 - Culturally Responsive Evaluation and Treatment Planning
This section offers correctional staff guidance in providing and facilitating culturally responsive interviews, assessments, evaluations, and treatment planning. Correctional professionals: prison guards, correctional counselors, probation officers, parole agents and others involved in the rehabilitation of offenders have a dual role when dealing with offenders. On one hand, they must protect the community/institution and ensure the offender complies with court orders. However, in order to also aid the offender in rehabilitation, they must develop a rapport with the offender. This is often a difficult role to balance; however, it is best to describe this as an authoritative relationship similar to parent/child relationship. Correctional professionals can provide the best treatment services when the offender is receptive to the officer’s guidance. This section provides direction on how officers can develop rapport while maintaining professionalism.
Figure 9.1 Diagram of California Department of Corrections and Rehabilitation Program budget funding. Image is in the public domain.
Step 1: Engage Offender
The initial contact with the offender is vital for success. Often times they stand on the far side of a yet-to- be-established therapeutic relationship. At the outset of treatment, offender can feel scared, vulnerable, and uncertain about whether treatment will really help. They may even be ambivalent that you are there to help them and only intend to catch them doing wrong. To engage the offender, the correctional professional should try to establish rapport and set the tone of the interaction. It is important to provide the expectations and requirements of treatment, so they understand what to do and how to act. It is also important to provide possible consequences of non-compliance. Some offenders feel that a single violation will result in incarceration or additional days. So, when they fail, or even a minor misstep occurs, they give up. It’s important to let them know that not all failures will result in custody sanctions.
Step 2: Familiarize Offender and Their Families with Treatment and Evaluation Processes
Behavioral health treatment facilities located in prisons and in the community maintain their own culture (i.e., the treatment milieu). Correctional professionals, counselors, and agency administrators can easily become accustomed to this culture and assume that offenders are used to it as well. However, offenders are typically new to treatment language or jargon, program expectations and schedules, and the intake and treatment process. Unfortunately, offenders from diverse racial and ethnic groups can feel more estranged and disconnected from treatment services when staff members fail to educate them and their families about treatment expectations or when the offenders are not walked through the treatment process, starting with the goals of the initial intake and interview. By taking the time to acclimate offenders and their families to the treatment process, correctional professionals, counselors and other behavioral health staff members tackle one obstacle that could further impede treatment engagement and retention among racially and ethnically diverse offender.
Step 3: Endorse Collaboration in Interviews, Assessments, and Treatment Planning
Most offenders are unfamiliar with the evaluation and treatment planning process and how they can participate in it. Often times they just expect to be told what to do or suffer a sanction if they fail to comply. However correctional professionals are now engaging offenders and making them part of the treatment process. This is often a bit strange for offenders who often resent authority and don’t trust officers. Again, this is why the initial meeting with offenders are vital. Establishing a quasi-parental role that provides structure and support is important. It is also necessary for the offender to provide personal information, so the case plan is accurate. Some offenders may view the initial interview and evaluation as intrusive if too much information is requested or if the content is a source of family dishonor or shame. Other offender may resist or distrust the process based on a long history of racism and oppression. Still others feel inhibited from actively participating because they view the counselor as the authority or sole expert.
Figure 9.2 Inmate substance abuse treatment. Bureau of Prison photo. Image is in the public domain.
Step 4: Integrate Culturally Relevant Information and Themes
By exploring culturally relevant themes, correctional professionals can more fully understand their offender and identify their cultural strengths and challenges. For example, a Korean woman’s family may serve as a source of support and provide a sense of identity. At the same time, however, her family could be ashamed of her and respond to her treatment as a source of further shame because it encourages her to disclose personal matters to people outside the family. The following section provides a brief overview of suggested strength-based topics to incorporate into the intake and evaluation process.
Immigration History
Immigration history can shed light on offender’s support systems and identify possible isolation or alienation. Some immigrants who live in ethnic enclaves have many sources of social support and resources. By contrast, others may be isolated, living apart from family, friends, and the support systems extant in their countries of origin. Culturally competent evaluation should always include questions about the offender’s country of origin, immigration status, length of time in the United States, and connections to his or her country of origin. Ask American-born offender about their parents’ country of origin, the language(s) spoken at home, and affiliation with their parents’ culture(s). Questions like these give the correctional professional important clues about the offender’s degree of acculturation in early life and at present, cultural identity, ties to culture of origin, potential cultural conflicts, and resources. Specific questions should elicit information about:
• Length of time in the United States, noting when immigration occurred or the number of generations who have resided in the United States.
• Frequency of returns and psychological and personal ties to the country of origin.
• Primary language and level of English proficiency in speaking and writing.
• Psychological reactions to immigration and adjustments made in the process.
• Changes in social status and other areas as a result of coming to this country.
• Major differences in attitudes toward alcohol and drug use from the time of immigration to now.
Step 5: Gather Culturally Relevant Collateral Information
An offender who needs behavioral health treatment services may be unwilling or unable to provide a full personal history from his or her own perspective and may not recall certain events or be aware of how his or her behavior affects his or her well-being and that of others. Collateral information—supplemental information from sources other than the offender—can be derived from family members, medical and court records, probation and parole officers, police reports, community members, and others. Collateral information should include culturally relevant information obtained from the family, such as the organizational memberships, beliefs, and practices that shape the offender’s cultural identity and understanding of the world.
As families can be a vital source of information, correctional professionals are likely to attain more support by engaging families earlier in the treatment process. Although interactions with family members are often limited to a few office or field visits, the families of racially and ethnically diverse offenders tend to play a more significant and influential role in offender’s participation in treatment. Consequently, special sensitivity to the cultural background of family members providing collateral information is essential. Families, like offenders, cannot be easily defined in terms of a generic cultural identity (Congress 2004; Taylor et al. 2012). Even families from the same racial background or ethnic heritage can be quite dissimilar, thus requiring a multidimensional approach in understanding the role of culture in the lives of offender and their families.
Step 6: Select Culturally Appropriate Screening and Assessment Tools
Correctional professionals and service providers should be able to use assessment and screening information in culturally competent ways. This section discusses several instruments and their appropriateness for specific cultural groups. Correctional professionals should continue to explore the availability of mental health and substance abuse screening and assessment tools that have been translated into or adapted for other languages.
Step 7: Determine Readiness and Motivation for Change
Offender enter treatment programs at different levels of readiness for change. Even offenders who appear to be willing to engage in treatment could have been pushed into it by external pressures to accept treatment before reaching the action stage. (For example, wanting to earn credit for early release, or going to treatment just to avoid incarceration.) These different readiness levels require different approaches. The strategies involved in motivational interviewing can help correctional professionals prepare culturally diverse offender to change their behavior and keep them engaged in treatment. To understand motivational interviewing, it is first necessary to examine the process of change that is involved in recovery.
Stages of Change
Prochaska and DiClemente’s (1984) classic transtheoretical model of change is applicable to culturally diverse populations. This model divides the change process into several stages:
• Precontemplation. The offender does not see a need to change. For example, a offender at this stage who abuses substances does not see any need to alter use, denies that there is a problem, or blames the problem on other people or circumstances.
• Contemplation. The offender becomes aware of a problem but is ambivalent about the course of action. For instance, a person struggling with anger issues recognizes that the anger and violence has affected his or her life and thinks about getting help but remains ambivalent on how he/she may do this.
• Preparation. The offender has determined that the consequences of his or her behavior are too great, and that change is necessary. Preparation includes small steps toward making specific changes, such as when a person who is overweight begins reading about wellness and weight management. The offender still engages in poor health behaviors but may be altering some behaviors or planning to follow a diet.
• Action. The offender has a specific plan for change and begins to pursue it. In relation to substance abuse, the offender has engaged in a drug assessment prior to becoming abstinent from alcohol and drugs.
• Maintenance. The offender continues to engage in behaviors that support his or her decision. For example, an offender with prior domestic violence issues follows a daily relapse prevention plan that helps him or her assess warning signs of an angry or violent episode and reminds him or her of the importance of engaging in help-seeking behaviors to minimize the severity of an episode.
Progress through the stages is nonlinear, with movement back and forth among the stages at different rates. It is important to recognize that change is not a one-time process, but rather, a series of trials and errors that eventually translates to successful change. For example, people who are dependent on substances often attempt to abstain several times before they are able to acquire long-term abstinence.
Figure 9.3 Lead people effectively not efficiently. Airforce Global Strike Command. Image is in the public domain.
Motivational Interviewing
Motivational interventions assess a person’s stage of change and use techniques likely to move the person forward in the sequence. Miller and Rollnick (2002) developed a therapeutic style called motivational interviewing, which is characterized by the strategic therapeutic activities of expressing empathy, developing discrepancy, avoiding argument, rolling with resistance, and supporting self-efficacy. The counselor’s major tool is reflective listening and soliciting change talk.
This nonconfrontational, offender-centered approach to correctional interviews differs significantly from traditional correctional interviews in several ways, creating a more balanced relationship. In this dialog, it’s not about telling the offender what to do, it’s about letting the offender come to the conclusion he or she needs to make changes in their lives. Motivational interviewing is a highly successful technique that take time to master. However, once successful in this technique, the correctional professional becomes a much better communicator. A wise statement was made – “You can lead a horse to water, but you can’t make him drink.” This can be true for offenders. We can provide the offender treatment resources, but until he or she decides it’s important to them, they will not be successful.
Step 8: Provide Culturally Responsive Case Management
Offenders from various racial, ethnic, and cultural populations participating in behavioral health services may face additional obstacles that can interfere with or prevent access to treatment and ancillary services, compromise appropriate referrals, impede compliance with treatment recommendations, and produce poorer treatment outcomes. Obstacles may include immigration status, lower social economic status, language barriers, cultural differences, and lack of or poor coverage with health insurance.
Proper case management provides a single professional contact through which offender’s gain access to a range of services. The goal is to help assess the need for and coordinate social, health, and other essential services for each offender. Case management can be an immense help during treatment and recovery for a person with limited English literacy and knowledge of the treatment system. Case management focuses on the needs of individual offender and their families and anticipates how those needs will be affected as treatment proceeds. The correctional professional at times advocates for the offender, easing the way to effective treatment by assisting the offender with critical aspects of life (e.g., food, childcare, employment, housing, legal problems).
Step 9: Incorporate Cultural Factors into Treatment Planning
The cultural adaptation of treatment practices is a burgeoning area of interest, yet research is limited regarding the process and outcome of culturally responsive treatment planning in behavioral health treatment services for diverse populations. How do correctional professionals and prisons/jails respond culturally to the diverse needs of offenders in the treatment planning process? How effective are culturally adaptive treatment goals? Typically, programs that provide culturally responsive services approach treatment goals holistically, including objectives to improve physical health and spiritual strength (Howard 2003). Newer approaches stress implementation of strength-based strategies that fortify cultural heritage, identity, and resiliency.
Treatment planning is a dynamic process that evolves along with an understanding of the offender’ histories and treatment needs. Foremost, correctional professionals should be mindful of each offender’s linguistic requirements and the availability of interpreters. Correctional professionals should be flexible in designing treatment plans to meet offender specific criminogenic needs and, when appropriate, should draw upon the institutions and resources of offender’ cultural communities. Culturally responsive treatment planning is achieved through active listening and should consider offender’s values, beliefs, and expectations. Offender’s health beliefs and treatment preferences (e.g., purification ceremonies for Native American offender) should be incorporated in addressing specific presenting problems. Some people seek help for psychological concerns and substance abuse from alternative sources (e.g., clergy, elders, social supports). Others prefer treatment programs that use principles and approaches specific to their cultures. Correctional professionals can suggest appropriate traditional treatment resources to supplement clinical treatment activities.
In sum, clinicians need to incorporate culture-based goals and objectives into treatment plans and establish and support open offender–counselor dialog to get feedback on the proposed plan’s relevance. Doing so can improve offender’s engagement in treatment services, compliance with treatment planning and recommendations, and treatment outcomes, thereby reducing recidivism and reducing new crime.
9.2 – Introduction to Correctional Counseling for Races
Culture is a primary force in the creation of a person’s identity. Correctional professionals who are culturally competent are better able to understand and respect their offenders’ identities and related cultural ways of life. This section proposes strategies to engage offenders of diverse racial and ethnic groups (who can have very different life experiences, values, and traditions) in treatment. The major racial and ethnic groups in the United States covered in this section are African Americans, Asian Americans (including Native Hawaiians and other Pacific Islanders), Latinos, Native Americans (i.e., Alaska Natives and American Indians), and White Americans. In addition to providing epidemiological data on each group, this section discusses salient aspects of treatment for these racial/ethnic groups, drawing on clinical and research literature. This information is only a starting point in gaining cultural knowledge as it relates to behavioral health. Understanding the diversity within a specific culture, race, or ethnicity is essential; not all information presented in this chapter will apply to all individuals. The material in this chapter has a scientific basis, yet cultural beliefs, traditions, and practices change with time and are not static factors to consider in providing services for offenders, families, or communities.
Although these broad racial/ethnic categories are often used to describe diverse cultural groups, the differences between two members of the same racial/ethnic group can be greater than the differences between two people from different racial/ethnic groups (Lamont and Small 2008; Zuckerman 1998). It is not possible to capture every aspect of diversity within each cultural group. Correctional professional workers should acknowledge that there will be many individual variations in how people interact with their environments, as well as in how environmental context affects behavioral health. However, to provide a framework for understanding many diverse cultural groups, some generalizations are necessary; thus, broad categories are used to organize information in this chapter. Correctional professionals are encouraged to learn as much as possible about the specific populations they serve.
9.3 - Treatment for Black Americans
According to the 2010 U.S. Census definition, African Americans or Blacks are people whose origins are “in any of the black racial groups of Africa” (Humes et al. 2011, p. 3). The term includes descendants of African slaves brought to this country against their will and more recent immigrants from Africa, the Caribbean, and South or Central America (many individuals from these latter regions, if they come from Spanish-speaking cultural groups, identify or are identified primarily as Latino). The term “Black” is often used interchangeably with African American, although sometimes the term “African American” is used specifically to describe people whose families have been in this country since at least the 19th century and thus have developed distinct African American cultural groups. “Black” can be a more inclusive term describing African Americans as well as more recent immigrants with distinct cultural backgrounds.
Beliefs About and Traditions Involving Substance Use
In most African American communities, significant alcohol or drug use may be socially
unacceptable or seen as a sign of weakness (Wright 2001), even in communities with limited resources, where the sale of such substances may be more acceptable. Overall, African Americans are more likely to believe that drinking and drug use are activities for which one is personally responsible; thus, they may have difficulty accepting alcohol abuse/dependence as a disease (Durant 2005).
Mental and Co-Occurring Disorders
A number of studies have found biases that result in African Americans being over
diagnosed for some disorders and underdiagnosed for others. African Americans are less likely than White Americans to receive treatment for anxiety and mood disorders, but they are more likely to receive treatment for drug use disorders (Hatzenbuehler et al. 2008). In one study evaluating post-traumatic stress disorder (PTSD) among African Americans in an outpatient mental health clinic, only 11 percent of offenders had documentation referring to PTSD, even though 43 percent of the offenders showed symptoms of PTSD (Schwartz et al. 2005). Black immigrants are less likely to be diagnosed with mental disorders than are Blacks born in the United States (Burgess et al. 2008; Miranda et al. 2005b).
African Americans are more likely to be diagnosed with schizophrenia and less likely to be diagnosed with affective disorders than White Americans, even though multiple studies have found that rates of both disorders among these populations are comparable (Baker and Bell 1999; Bresnahan et al. 2000; Griffith and Baker 1993; Stockdale et al. 2008; Strakowski et al. 2003). African Americans are about twice as likely to be diagnosed with a psychotic disorder as White Americans and more than three times as likely to be hospitalized for such disorders. These differences in diagnosis are likely the result of clinician bias in evaluating symptoms (Bao et al. 2008; Trierweiler et al. 2000; Trierweiler et al. 2006). Clinicians should be aware of bias in assessment with African Americans and with other racial/ethnic groups and should consider ways to increase diagnostic accuracy by reducing biases. For an overview of mental health across populations, refer to Mental Health United States, 2010 (SAMHSA 2012a).
In some African American communities, incidence and prevalence of trauma exposure and PTSD are high, and substance use appears to increase trauma exposure even further (Alim et al. 2006; Breslau et al. 1995; Curtis- Boles and Jenkins-Monroe 2000; Rich and Grey 2005). Black women who abuse sub- stances report high rates of sexual abuse (Ross-Durow and Boyd 2000). Trauma histories can also have a greater effect on relapse for African American offenders than for offenders from other ethnic/racial groups (Farley et al. 2004). There are few integrated approaches to trauma and substance abuse that have been evaluated with African American offenders, and although some have been found effective at reducing trauma symptoms and substance use, the extent of that effectiveness is not necessarily as great as it is for White Americans (Amaro et al. 2007; Hien et al. 2004; SAMHSA 2006).
Treatment Patterns
African Americans may be less likely to receive mental health services than White Americans. In the Baltimore Epidemiologic Catchment Services Area study conducted during the 1980s, African Americans were less likely than White Americans to receive mental health services. However, at follow-up in the early 1990s, African American respondents were as likely as White Americans to receive such services, but they were much more likely to receive those services from general practitioners than from mental health specialists (Cooper-Patrick et al. 1999). Stockdale et al. (2008) analyzed 10 years of data from the National Ambulatory Medical Care Survey; they found significant improvements in diagnosis and care for mental disorders among African Americans in psychiatric settings between 1995 and 2005, but they also found that disparities persisted in the diagnosis and treatment of mental disorders in primary care settings. Fortuna et al. (2010) suggest that persistent problems exist in the delivery of behavioral health services, as evidenced by lower retention rates for treating depression.
Even among people who enter substance abuse treatment, African Americans are less likely to receive services for CODs. A study of administrative records from substance abuse and mental health treatment providers in New Jersey found that African Americans were significantly more likely than White Americans to have an undetected co-occurring mental disorder, and, if detected, they were significantly less likely than White Americans or Latinos to receive treatment for that disorder (Hu et al. 2006). Among persons with substance use disorders and co-occurring mood or anxiety disorders, African Americans are significantly less likely than White Americans to receive services (Hatzenbuehler et al. 2008). African Americans who do receive services for CODs are more likely to obtain them through substance abuse treatment programs than mental health programs (Alvidrez and Havassy 2005).
African Americans are over represented among people who are incarcerated in prisons and jails (for review, see Fellner 2009), and a substantial number of those who are incarcerated (64.1 percent of jail inmates in 2002) have substance use disorders (Karberg and James 2005) and mental health problems (SAMHSA 2012a). However, according to Karberg and James 2005), African Americans with substance dependence disorders who were in jail in 2002 were less likely than White Americans or Latinos to participate in substance abuse treatment while under correctional supervision (32 percent of African Americans participated compared with 37 percent of Latinos and 45 percent of White Americans). In the 2010 TEDS survey, African Americans entering treatment were also less likely than Asian Americans, White Americans, Latinos, Native Hawaiians/Pacific Islanders, or American Indians in the same situation to be referred to treatment through the criminal justice system (SAMHSA, CBHSQ 2012). Notwithstanding, African Americans are more likely to be referred to treatment from criminal justice settings rather than self-referred or referred by other sources (Delphin-Rittmon et al. 2012)
Beliefs and Attitudes About Treatment
According to 2011 NSDUH data, African Americans were, next to Asian Americans, the least likely of all major ethnic and racial groups to state a need for specialized substance abuse treatment (SAMHSA, CBHSQ 2013a). Still, logistical barriers may pose a greater challenge for African Americans than for members of other major racial and ethnic groups. For example, 2010 NSDUH data regarding individuals who expressed a need for substance abuse treatment but did not receive it in the prior year indicate that African Americans were more likely than members of other major ethnic/racial groups to state that they lacked transportation to the program or that their insurance did not cover the cost of such treatment (SAMHSA 2011a). African Americans experience several challenges in accessing behavioral health treatment, including fears about the therapist or therapeutic process and concerns about discrimination and costs (Holden et al. 2012; Holden and Xanthos 2009; Williams et al. 2012).
Longstanding suspicions regarding established healthcare institutions can also affect African Americans’ participation in, attitudes toward, and outcomes after treatment (for review, see Pieterse et al. 2012). Historically, the mental health system has shown bias against African Americans, having been used in times past to control and punish them (Boyd-Franklin and Karger 2012; Jackson 2003). After controlling for socioeconomic factors, African Americans are significantly more likely to perceive the healthcare system as poor or fair and significantly more likely to believe that they have been discriminated against in healthcare settings (Blendon et al. 2007). Attitudes toward psychological services appear to become more negative as psychological distress increases (Obasi and Leong 2009). In many African American communities, there is a persistent belief that social and treatment services try to impose White American values, adding to their distrust of the treatment system (Larkin 2003; Solomon 1990).
Treatment Issues and Considerations
African American offenders generally respond better to an egalitarian and authentic relationship with counselors and other correctional professionals (Sue 2001). Paniagua (1998) suggests that in the initial sessions with African American offenders, correctional professionals should develop a collaborative offender–counselor relationship. Correctional professionals should request personal information gradually rather than attempting to gain information as quickly as possible, avoid information-gathering methods that offenders could perceive as an interrogation, pace the session, and not force a data-gathering agenda (Paniagua 1998; Wright 2001). Correctional professionals must also establish credibility with offenders (Boyd-Franklin 2003).
Next, correctional professionals should establish trust. Self- disclosure can be very difficult for some offenders because of their histories of experiencing racism and discrimination. These issues can be exacerbated in African American men whose experience of racism has been more severe or who have had fewer positive relationships with White Americans (Reid 2000; Sue 2001). Correctional professionals, therefore, need to be willing to address the issue of race and to validate African American offenders’ experiences of racism and its reality in their lives, even if it differs from their own experiences (Boyd-Franklin 2003; Kelly and Parsons 2008). Moreover, racism and discrimination can lead to feelings of anger, anxiety, or depression. Often, these feelings are not specific to any given event; rather, they are pervasive (Boyd-Franklin et al. 2008). Correctional professionals should explore with offenders the psychological effects of racism and develop approaches to challenge internal negative messages that have been received or generated through discrimination and prejudice (Gooding 2002).
Family therapy
African American offenders appear more likely to stay connected with their families through- out the course of their addiction. For instance, Bourgois et al. (2006) reported that in comparing African American and White American individuals who injected heroin, African Americans appeared to be more likely to maintain contact with their extended families. Some research also suggests that African Americans with substance use disorders are more likely to have family members with histories of substance abuse, suggesting an even greater need to address substance abuse within the family (Brower and Carey 2003).
Strong family bonds are important in African American cultural groups. African American families are embedded in a complex kinship network of biologically related and unrelated persons. Hence, correctional professionals should be willing to expand the definition of family to a more extended kinship system (Boyd-Franklin 2003; Hines and Boyd-Franklin 2005). Offenders need to be asked how they define family, whom they would identify as family or “like family,” who resides with them in their homes, and whom they rely on for help. Hines and Boyd-Franklin (2005) discuss the importance of both blood and nonblood kinship networks for African American families. To build a support network for African American offenders, correctional professionals should start by asking offenders to identify people (whether biological kin or not) who would be willing and able to support their recovery and then ask offenders for permission to contact those people and include them in the treatment process.
Group therapy
Because of the communal, cooperative values held by many African Americans, group therapy can be a particularly valuable component of the treatment process (Sue and Sue 2013b). A strong oral tradition is one of many forms of continuity with African tradition maintained in the African American experience; therefore, speaking in groups is generally acceptable to African American offenders. How- ever, Bibb and Casimer (2000) note that Black Caribbean Americans can be less comfortable with the group process, particularly the requirement that they self-disclose personal problems to people who are relative strangers. African Americans seem less likely to self- disclose about the past in group settings that include non-Hispanic Whites (Johnson et al. 2011; Richardson and Williams 1990). Consequently, groups composed only of African Americans can be more beneficial. Homogenous African American groups can also be good venues for offenders to deal with systemic problems, such as racism and lack of economic opportunities in the African American com- munity (Jones et al. 2000).
Mutual-help groups
A variety of mutual-help groups are available for African Americans entering recovery from substance use and mental disorders. However, most of the literature focuses on 12-Step groups, including Alcoholics Anonymous (AA) and Narcotics Anonymous. Some find that the 12-Step approach warrants careful consideration with African Americans, who can find the concept of powerlessness over substances of abuse to be too similar to experiences of powerlessness via discrimination. Additionally, the disease concept of addiction presented in 12-Step meetings can be difficult for many African Americans (Durant 2005). In some instances, the Black community has changed the mutual-help model for substance use and mental health to make it more empowering and relevant to African American participants. For additional information on the 12 Steps for African Americans, visit Alcoholics Anonymous World Services (AAWS), AA for the Black and African American Alcoholic, available online (www.aa.org/ pdf/products/p-51_CanAAHelpMeToo.pdf).
Relapse prevention and recovery
African Americans appear to be responsive to continuing care participation and recovery activities associated with substance use and mental disorders, yet research is very limited. According to NESARC data (Dawson et al. 2005), African Americans in recovery from alcohol dependence were more than twice as likely as White Americans to maintain abstinence rather than just limiting alcohol consumption or changing drinking patterns. In another study analyzing the use of continuing care following residential treatment in the U.S. Department of Veterans Affairs care system, African American men were significantly more likely than White Americans to participate in continuing care (Harris et al. 2006). Other research evaluating continuing care for African American men who had been mandated to outpatient treatment by a parole or probation office found that participants assigned to a continuing care intervention were almost three times as likely to be abstinent and five times less likely to be using any drugs on a weekly basis during the 6-month follow-up period compared with those who did not receive continuing care (Brown et al. 2004).
In evaluating appropriate relapse prevention strategies for African American offenders, Walton et al. (2001) found that African American offenders leaving substance abuse treatment reported fewer cravings, greater use of coping strategies, and a greater belief in their self-efficacy. However, they also expected to be involved in fewer sober leisure activities, to be exposed to greater amounts of substance use, and to have a greater need for continuing care services (e.g., housing, medical care, assistance with employment). Walton notes that these findings could reflect a tendency of African American offenders to underestimate the difficulties they will face after treatment; they report a greater need for resources and greater exposure to substance use, but they still have a greater belief in their ability to remain free of substances. Although an individual’s belief in coping can have a positive effect on initially managing high-risk situations, it also can lead to a failure to recognize the level of risk in a given situation, anticipate the consequences, secure resources and appropriate support when needed, or engage in coping behaviors conducive to maintaining recovery. Correctional professionals can help offenders practice coping skills by role-playing, even if offenders are confident that they can manage difficult or high-risk situations.
9.4 - Counseling for Asian Americans, Native Hawaiians, and Other Pacific Islanders
Asian Americans, per the U.S. Census Bureau definition, are people whose origins are in the Far East, Southeast Asia, or the Indian subcontinent (Humes et al. 2011). The term includes East Asians (e.g., Chinese, Japanese, and Korean Americans), Southeast Asians (e.g., Cambodian, Laotian, and Vietnamese Americans), Filipinos, Asian Indians, and Central Asians (e.g., Mongolian and Uzbek Americans). In the 2010 Census, people who identified solely as Asian American made up 4.8 percent of the population, and those who identified as Asian American along with one or more other races made up an additional 0.9 percent. Census data includes specific information on people who identify as Asian Indian, Chinese, Filipino, Japanese, Korean, Vietnamese, and “other Asians.” The largest Asian populations in the United States are Chinese Americans, Filipino Americans, Asian Indian Americans, Korean Americans, and Vietnamese Americans. Asian Americans overwhelmingly live in urban areas, and more than half (51 percent) live in just three states New York, California and Hawaii. (Hoeffel et al. 2012).
Not all people with origins in Asia belong to what is commonly conceived of as the Asian race. Some Asian Indians, for example, self- identify as White American. For this reason, among others, correctional professionals should be careful to learn from their Asian American offenders how they identify themselves and which national heritages they claim. Correctional professionals should recognize that offenders who appear to be Asian may not necessarily think of themselves primarily as persons of Asian ancestry or have a deep awareness of the traditions and values of their countries of origin. For example, Asian orphans who have been adopted in the United States and raised as Americans in White American families may have very little connection with the cultural groups of their biological parents (St. Martin 2005). Correctional professionals should not make generalizations across Asian cultures; each culture is quite distinct.
Little literature on substance use and mental disorders, rates of co-occurrence, and treatment among Asian Americans focuses on behavioral health treatment for Native Hawaiians and Pacific Islanders; thus, a text box at the end of this section summarizes available information.
Beliefs About and Traditions Involving Substance Use
Within many Asian societies, the use of intoxicants is tolerated within specific contexts. For example, in some Asian cultural groups, alcohol is believed to have curative, ceremonial, or beneficial value. Among pregnant Cambodian women, small amounts of herbal medicines with an alcohol base are sometimes used to ensure an easier delivery. Following childbirth, similar medicines are generally used to increase blood circulation (Amodeo et al. 1997). Some Chinese people believe that alcohol restores the flow of qi (i.e., the life force). The written Chinese character for “doctor” contains the character for alcohol, which implies the use of alcohol for medicinal purposes.
Some Asian American cultural groups make allowances for the use of other substances. Marijuana, for instance, has been used medicinally in parts of Southeast Asia for many years (Iversen 2000; Martin 1975). However, some Asian Americans tend to view illicit substance use and abuse as a serious breach of acceptable behavior that cannot readily be discussed. Nonetheless, there are broad differences in Asian cultures’ perspectives on substance use, thus requiring correctional professionals to obtain more specific information during intake and subsequent encounters.
Acknowledging a substance abuse problem often leads to shame for Asian American offenders and their families. Families may deny the problem and inadvertently, or even intentionally, isolate members who abuse substances (Chang 2000). For example, some Cambodian and Korean Americans perceive alcohol abuse and dependence as the result of moral weakness, which brings shame to the family (Amodeo et al. 2004; Kwon-Ahn 2001).
Substance Use and Substance Use Disorders
According to the 2012 NSDUH, Asian Americans use alcohol, cigarettes, and illicit substances less frequently and less heavily than members of any other major racial/ethnic group (SAMHSA 2013d). However, large surveys may undercount Asian American substance use and abuse, as they are typically conducted in English and Spanish only (Wong et al. 2007b). Despite the limitations of research, data suggest that although Asian Americans use illicit substances and alcohol less frequently than other Americans, substance abuse problems have been increasing among Asian Americans. The longer Asian Americans reside in the United States, the more their substance use resembles that of other Americans. Excessive alcohol use, intoxication, and substance use disorders are more prevalent among Asians born in the United States than among foreign-born Asians living in the United States (Szaflarski et al. 2011). Among Asian Americans who entered substance abuse treatment between 2000 and 2010, methamphetamine and marijuana were the most commonly reported illicit drugs (SAMHSA, CBHSQ 2012). Methamphetamine abuse among Asian Americans is particularly high in Hawaii and on the West Coast (OAS 2005a). As with other racial and ethnic groups, numerous factors—such as age, birth country, immigration history, acculturation, employment, geographic location, and in- come—add complexity to any conclusions about prevalence among specific Asian cultural groups. Asian Americans who are recent immigrants, highly acculturated, unemployed, or living in Western states are generally more likely than other Asian Americans to abuse drugs or alcohol (Makimoto 1998). For example, according to the National Latino and Asian American Study (NLAAS), Asians who are more acculturated are at greater risk for prescription drug abuse (Watkins and Ford 2011).
Despite rates of substance use disorders among Asian Americans having increased over time, research has regularly found that, of all major racial/ethnic groups in United States, Asian Americans have the lowest rates of alcohol use disorders (Grant et al. 2004; SAMHSA 2012b). This phenomenon has typically been explained in part by the fact that some Asians lack the enzyme aldehyde dehydrogenase, which chemically breaks down alcohol (McKim 2003). Thus, high levels of acetaldehyde, a byproduct of alcohol metabolism, accumulate and cause an unpleasant flushing response (Yang 2002). The alcohol flushing response primarily manifests as flushing of the neck and face but can also include nausea, headaches, dizziness, and other symptoms.
Mental and Co-Occurring Disorders
Overall, health and mental health are not seen as two distinct entities by Asian American cultural groups. Most Asian American views focus on the importance of virtue, maturity, and self-control and find full emotional expression indicative of a lack of maturity and self-discipline (Cheung 2009). Given the potential shame they often associate with mental disorders and their typically holistic worldview of health and illness, Asian Americans are more likely to present with somatic complaints and less likely to present with symptoms of psychological distress and impairment (Hsu and Folstein 1997; Kim et al. 2004; Room et al. 2001; U.S. Department of Health and Human Services [HHS] 2001; Zhang et al. 1998), even though mental illness appears to be nearly as common among Asian Americans as it is in other ethnic/racial groups. In 2009, approximately 15.5 percent of Asians reported a mental illness in the past year, but only 2 percent reported past-year occurrence of serious mental illness (SAMHSA 2012a). Asian Americans have a lower incidence of CODs than other racial/ethnic groups because the prevalence of substance use disorders in this population is lower. In the 2012 NSDUH, 0.3 percent of Asian Americans indicated co-occurring serious psychological distress and substance use disorders, and 1.1 percent had some symptoms of mental distress along with a substance use disorder—the lowest rates of any major racial/ethnic group in the survey (SAMHSA 2013c).
Considerable variation in the types of mental disorders diagnosed among diverse Asian American communities is evident, although it is unclear to what extent this reflects diagnostic and/or self-selection biases. For example, Barreto and Segal (2005) found that Southeast Asians were more likely to be treated for major depression than other Asians or members of other ethnic/racial groups; East Asians were the most likely of all Asian American groups to be treated for schizophrenia (nearly twice as likely as White Americans). Traumatic experiences and PTSD can be particularly difficult to uncover in some Asian American offenders. Although Asian Americans are as likely to experience traumatic events (e.g., wars experienced by first-generation immigrants from countries such as Vietnam and Cambodia) in their lives, their cultural responses to trauma can conceal its psychological effects. For instance, some Asian cultural groups believe that stoic acceptance is the most appropriate response to adversity (Lee and Mock 2005a,b).
Treatment Patterns
Treatment-seeking rates for mental illness are low among most Asian populations, with rates varying by specific ethnic/cultural heritage and, possibly, level of acculturation (Abe-Kim et al. 2007; Barreto and Segal 2005; Lee and Mock 2005a,b). Asian Americans who seek help for psychological problems will most likely consult family members, clergy, or traditional healers before mental health professionals, in part because of a lack of culturally and linguistically appropriate mental health services available to them (HHS 2001; Spencer and Chen 2004). However, among those Asian Americans who seek behavioral health treatment, the amount of services used is relatively high (Barreto and Segal 2005).
Beliefs and Attitudes About Treatment
Compared with the general population, Asian Americans are less likely to have confidence in their medical practitioners, feel respected by their doctors, or believe that they are involved in healthcare decisions. Many also believe that their doctors do not have a sufficient under- standing of their backgrounds and values; this is particularly true for Korean Americans (Hughes 2002). Even so, Asian Americans, especially more recent immigrants, seem more likely to seek help for mental and substance use disorders from general medical providers than from specialized treatment providers (Abe-Kim et al. 2007). Many Asian American immigrants underuse healthcare services due to confusion about eligibility and fears of jeopardizing their residency status (HHS 2001).
As with other groups, discrimination, acculturation stress, and immigration and generational status, along with language needs, have a large influence on behavioral health and treatment-seeking for Asian Americans (Meyer et al. 2012; Miller et al. 2011). The NLAAS found that although rates of behavioral health service use were lower for Asian Americans who immigrated recently than for the general population, those rates increased significantly for U.S.-born Asian Americans; third- generation U.S.-born individuals’ rates of service use also were relatively high (Abe-Kim et al. 2007). Of those Asian Americans who had any mental disorder diagnosis in the prior year, 62.6 percent of third-generation Americans sought help for it in the prior year compared with 30.4 percent of first-generation Americans.
Overall, Asian Americans place less value on substance abuse treatment than other population groups and are less likely to use such services (Yu and Warner 2012). Niv et al. (2007) found that Asian and Pacific Islanders entering substance abuse treatment programs in California expressed significantly more negative attitudes toward treatment and rated it as significantly less important than did others entering treatment. Seeking help for substance abuse can be seen, in some Asian American cultural groups, as an admission of weakness that is shameful in itself or as an interference with family obligations (Masson et al. 2013). Among 2010 NSDUH respondents who stated a need for substance abuse treatment in the prior year but did not receive it, Asian Americans were more likely than members of all other major racial/ethnic groups to say that they could handle the problem without treatment or that they did not believe treatment would help (SAMHSA 2011c). Combining NSDUH data from 2003 to 2011 NSDUH, Asian Americans who needed but did not receive treatment in the past year were the least likely of all major ethnic/racial groups to express a need for such treatment (SAMHSA, CBHSQ 2013c).
Treatment Issues and Considerations
It is important for correctional professionals to approach presenting problems through offenders’ culturally based explanations of their own issues rather than imposing views that could alter their acceptance of treatment. In Asian cultural groups, the physical and emotional aspects of an individual’s life are undifferentiated (e.g., the physical rather than emotional or psychological aspect of a problem can be the focus for many Asian Americans); thus, problems as well as remedies are typically handled holistically. Some Asian Americans with traditional backgrounds do not readily accept Western biopsychosocial explanations for substance use and mental disorders. Correctional professionals should promote discussions focused on offenders’ understanding of their presenting problems as well as any approaches the offenders have used to address them. Subsequently, presenting problems need to be reconceptualized in language that embraces the offenders’ perspectives (e.g., an imbalance in yin and yang, a disruption in chi (Lee and Mock 2005a,b). It is advisable to educate Asian American offenders on the role of the counselor/therapist, the purpose of therapeutic interventions, and how particular aspects of the treatment process (e.g., assessment) can help offenders with their presenting problems (Lee and Mock 2005a,b; Sue 2001). Asian American offenders who receive such education participate in treatment longer and express greater satisfaction with it (Wong et al. 2007a).
As with other racial/ethnic groups, Asian American offenders are responsive to a warm and empathic approach. Correctional professionals should realize, though, that building a strong, trusting relationship takes time. Among Asian American offenders, humiliation and shame can permeate the treatment process and derail engagement with services. Thus, it is essential to assess and discuss offender beliefs about shame (see the “Assessing Shame in Asian American Offenders” advice box on the next page). In some cases, self-disclosure can be helpful, but the counselor should be careful not to self-disclose in a way that will threaten his or her position of respect with Asian American offenders.
Theoretical Approaches and Treatment Interventions
Some Asian cultural groups emphasize cognitions. For instance, Asian cultural groups that have a Buddhist tradition, such as the Chinese, view behavior as controlled by thought. Thus, they accept that addressing cognitive patterns will affect behaviors (Chen 1995). Some Asian cultural groups encourage a stoic attitude toward problems, teaching emotional suppression as a coping response to strong feelings (Amodeo et al. 2004; Castro et al. 1999b; Lee and Mock 2005a,b; Sue 2001). Treatment can be more effective if providers avoid approaches that target emotional responses and instead use strategies that are more indirect in discussing feelings (e.g., saying “that might make some people feel angry” rather than asking directly what the offender is feeling; Sue 2001).
Asian Americans often prefer a solution-focused approach to treatment that provides them with concrete strategies for addressing specific problems (Sue 2001). Even though little research is available in evaluating specific interventions with Asian Americans, clinicians tend to recommend cognitive–behavioral, solution-focused, family, and acceptance commitment therapies (Chang 2000; Hall et al. 2011; Iwamasa et al. 2006; Rastogi and Wadhwa 2006; Sue 2001). Asian American offenders are likely to expect that their correctional professionals take an active role in structuring the therapy session and provide clear guidelines about what they expect from offenders. CBT has the advantages of being problem focused and time limited, which will likely increase its appeal for many Asian Americans who might see other types of therapy as failing to achieve real goals (Iwamasa et al. 2006). Although specific data on the effectiveness of CBT among Asian Americans is not available, there is some research indicating that CBT is effective for treating depressive symptoms in Asians (Dai et al. 1999; Fujisawa et al. 2010). In China, a Chinese Taoist version of CBT has been developed to treat anxiety disorders and was found to be effective, especially in conjunction with medication (Zhang et al. 2002).
Family Therapy
Some Asian Americans, particularly those who are less acculturated, prefer individual therapy to group or family interventions because it better enables them to save face and keep their privacy (Kuramoto 1994). Some offenders may wish to enter treatment secretly so that they can keep their families and friends from knowing about their problems. Once treatment is initiated, correctional professionals should strongly reinforce the wisdom of seeking help through statements such as “you show concern for your husband by seeking help” or “you are obviously a caring father to seek this help.”
The norm in Asian families is that “all problems (including physical and mental problems) must be shared only among family members”; sharing with others can cause shame and guilt, exacerbating problems (Paniagua 1998, pp. 59–60). Correctional professionals should expect to take more time than usual to learn about offenders’ situations, anticipate offender needs for reassurance in divulging sensitive information, and frame discussions in a culturally competent way. For example, correctional professionals can assure offenders that discussing problems is a step toward resuming their full share of responsibility in their families and removing some of the stress their families have been feeling.
Group Therapy
Group therapy may not be a good choice for Asian Americans, as many prefer individual therapy (Lai 2001; Sandhu and Malik 2001). Paniagua (1998, p. 73) suggests that “group therapy...would be appropriate in those cases in which the offender’s support system (relatives and close friends) is not available and an alternative support system is quickly needed.” Some Asian Americans participating in group therapy will find it difficult to be assertive in a group setting, preferring to let others talk. They can also abide by more traditional roles in this context; men might not want to divulge their problems in front of women, women can feel uncomfortable speaking in front of men, and both men and women might avoid contradicting another person in group (especially an older person). It may not make sense to Asian American offenders to hear about the problems of strangers who are not part of their community.
Asian Americans are likely to be motivated to work for the good of the group; presenting group goals in this framework can garner active participation. Still, in group settings and in other instances, Asian American offenders may expect a fair amount of direction from the group leader. Chen (1995) described leader- ship of a culturally specific therapy group for Chinese Americans, noting that offenders expect a group leader to act with authority and give more credence to his or her expertise than to other group members. If members of the group belong to the same Asian American community, the issue of confidentiality will loom large, because the community is often small. Asian cultural groups generally appreciate education in more formal settings, so psychoeducation groups can work well for Asian Americans. It is possible for a psychoeducational group with Asian American participants to evolve comfortably into group therapy.
Mutual-help Groups
According to 2012 NSDUH data, Asian Americans were less likely than other racial and ethnic groups to report the use of mutual-help groups in the past year (SAMHSA 2013d). Mutual-help groups can be challenging for Asian Americans who find it difficult and shaming to self-disclose publicly. The degree of emotion and candor within these groups can further alienate traditional Asian American offenders. Furthermore, linguistically appropriate mutual-help groups are not always available for people who do not speak English. Highly acculturated Asian Americans may perceive participation in mutual-help groups as less of a problem, but nevertheless, Asian Americans can benefit from culture-specific mutual-help groups where norms of interpersonal interaction are shared. Asian American 12-Step groups are available in some locales. It is important for correctional professionals to assess offender attitudes toward mutual-help participation and find alternative strategies and resources, including encouragement to attend without sharing (Sandhu and Malik 2001).
Although they are not mutual-help groups in the traditional sense, mutual aid societies and associations are important in some Asian American communities. Some mutual aid societies have long histories and have provided assistance ranging from financial loans to help with childcare and funerals. The Chinese have family associations for people with the same last name who share celebrations and offer each other help. Japanese, Chinese, and South Asians have specific associations for people from the same province or village. For some Asian American groups, such as Koreans, churches are the primary organizational vehicles for assistance. These social support groups can be important resources for Asian American offenders, their families, and the behavioral health agencies that provide services to them.
Relapse Prevention and Recovery
Little research has evaluated relapse prevention and recovery promotion strategies specifically for Asian Americans. However, issues involving shame can make the adjustment to abstinence difficult for Asian offenders. Correctional professionals should take this into account and address difficulties that can arise for offenders with families who have shame about mental illness or substance use disorders. To date, there are no indications that standard approaches are unsuitable for Asian American offenders.
9.5 - Counseling for Hispanics and Latinos
The terms “Hispanic” and “Latino” refer to people whose cultural origins are in Spain and Portugal or the countries of the Western Hemisphere whose culture is significantly influenced by Spanish or Portuguese colonization. Technically, a distinction can be drawn between Hispanic (literally meaning people from Spain or its former colonies) and Latino (which refers to persons from countries ranging from Mexico to Central and South America and the Caribbean that were colonized by Spain, and also including Portugal and its former colonies); this TIP uses the more inclusive term (Latino), except when research specifically indicates the other. The term “Latina” refers to a woman of Latino descent.
Latinos are an ethnic group rather than a racial group; Latinos can be of any race. According to 2010 Census data, Latinos made up 16 percent of the total United States population; they are its fastest growing ethnic group (Ennis et al. 2011). Latinos include more than 30 national and cultural subgroups that vary by national origin, race, generational status in the United States, and socioeconomic status (Padilla and Salgado de Snyder 1992; Rodriguez-Andrew 1998). According to Ennis et al. (2011), of Latinos currently living in the United States (excluding Puerto Rico and other territories), Mexican Americans are the largest group (63 percent), followed by Central and South Americans (13.4 percent), Puerto Ricans (9.2 percent), and Cubans (3.5 percent).
Beliefs About and Traditions Involving Substance Use
Attitudes toward substance use vary among Latino cultural groups, but Latinos are more likely to see substance use in negative terms than are White Americans. Marin (1998) found that Mexican Americans were significantly more likely to expect negative consequences and less likely to expect positive outcomes as a result of drinking than were White Americans. Similarly, Hadjicostandi and Cheurprakobkit (2002) note that most Latinos believe that prescription drug abuse could have dangerous effects (85.7 percent), that individuals who abuse substances cause their whole families to suffer (81.4 percent), and that people who use illicit drugs will participate in violent crime (74.9 percent) and act violently toward family members (78.9 percent). Driving under the influence of alcohol is one of the most serious substance use problems in the Latino community.
Other research suggests that some Latinos hold different alcohol expectancies. When comparing drinking patterns and alcohol expectancies among college students, Velez-Blasini (1997) found that Puerto Rican participants were more likely than other students to see increased sociability as a positive expectancy related to drinking and sexual impairment as a negative expectancy. Puerto Rican participants were also significantly more likely to report abstinence from alcohol. In another study comparing Puerto Ricans and Irish Americans, Puerto Rican participants who expected a loss of control when drinking had fewer alcohol-related problems, whereas Irish Americans who expected a loss of control had a greater number of such problems (Johnson and Glassman 1999). The authors concluded that “losing control” has a different cultural meaning for these two groups, which in turn affects how they use alcohol.
For many Latino men, drinking alcohol is a part of social occasions and celebrations. By contrast, solitary drinking is discouraged and seen as deviant. Social norms for Latinas are often quite different, and those who have substance abuse problems are judged much more harshly than men. Women can be perceived as promiscuous or delinquent in meeting their family duties because of their substance use (Hernandez 2000). Amaro and Aguiar (1995) note that the heavy emphasis on the idealization of motherhood contributes to the level of denial about the prevalence of substance use among Latinas. Women who use injection drugs feel the need to maintain their roles as daughters, mothers, partners, and community members by separating their drug use from the rest of their lives (Andrade and Estrada 2003), yet research suggests that substance abuse among women does not go unrecognized within the Latino community (Hadjicostandi and Cheurprakobkit 2002).
Among families, Latino adults generally show strong disapproval of alcohol use in adolescents of either gender (Flores-Ortiz 1994). Adults of both genders generally disapprove of the initiation of alcohol use for youth 16 years of age and under (Rodriguez-Andrew 1998). Long (1990) also found that even among Latino families in which there has been multigenerational drug abuse, young people were rarely initiated into drug abuse by family members. However, evidence regarding parental substance use and its influence on youth has been mixed; most studies show some correlation between parental attitudes toward alcohol use and youth drinking (Rodriguez- Andrew 1998). For instance, research with college students found that family influences had a significant effect on drinking in Latinos but not White Americans; the magnitude of this effect was greater for Latinas than for Latino men (Corbin et al. 2008).
Substance Use and Substance Use Disorders
According to 2012 NSDUH data, rates of past-month illicit substance use, heavy drinking, and binge drinking among Latinos were lower than for White Americans, Blacks, and Native Americans, but not significantly so (SAMHSA 2013d). The same data showed that 8.3 percent of Latinos reported past- month illicit drug use compared with 9.2 percent of White Americans and 11.3 percent of African Americans. Although data are available from a number of studies regarding Latino drinking and drug use patterns, more targeted research efforts are needed to unravel the complexities of sub- stance use and the many factors that affect use, abuse, and dependence among subgroups of Latino origin (Rodriguez-Andrew 1998). For example, some studies show that Latino men are more likely to have an alcohol use disorder than are White American men (Caetano 2003), whereas others have found the reverse to be true (Schmidt et al. 2007). Disparities in survey results may reflect varying efforts to develop culturally responsive criteria (Carle 2009; Hasin et al. 2007). The table in Exhibit 5-2 shows lifetime prevalence of substance use disorders among Latinos based on immigration status and ethnic subgroup (Alegria et al. 2008a).
Among diverse Latino cultural groups, different patterns of alcohol use exist. For example, some older research suggests that Mexican American men are more likely to engage in binge drinking (having five or more drinks at one time; drinking less frequently, but in higher quantities) than other Latinos but use alcohol less frequently (Caetano and Clark 1998). There are also differences regarding the abuse of other substances. Among Latinos entering substance abuse treatment in 2006, heroin and methamphetamine use were especially high among Puerto Ricans and Mexican Americans, respectively. Other research has found that Puerto Ricans are more likely to inject drugs and tend to inject more often during the course of a day than do other Latinos (Singer 1999).
Patterns of substance use are also linked to gender, age, socioeconomic status, and acculturation in complex ways (Castro et al. 1999a; Wahl and Eitle 2010). For instance, increased frequency of drinking is associated with greater acculturation for Latino men and women, yet the drinking patterns of Latinas are affected significantly more than those of Latino men (Markides et al. 2012; Zemore 2005).
Age appears to influence Latino drinking patterns somewhat differently than it does for other racial/ethnic groups. Research indicates that White Americans often “age out” of heavy drinking after frequent and heavy alcohol use in their 20s, but for many Latinos, drinking peaks between the ages 30 and 39. Latinos in this age range have the lowest abstention rates and the highest proportions of frequent and heavy drinkers of any age group (Caetano and Clark 1998). In the same study, Latino men between 40 and 60 years of age had higher rates of substance use disorders than men in the same age group across other racial/ethnic populations.
Latino youth appear to start using illicit drugs at an earlier age than do members of other major ethnic/racial groups. Cumulative data from 28 years of the Monitoring the Future Study show Latino eighth graders as having higher rates of heavy drinking, marijuana use, cocaine use, and heroin use than African or White Americans in the same grade. Among youth in grade 12, the rates of use among Latino and White American students are more similar, but Latinos still had the highest rates of crack cocaine and injected heroin use (Johnston et al. 2003).
Patterns of substance use and abuse vary based on Latinos’ specific cultural backgrounds. Among Latinos, rates of past-year alcohol dependence were higher among Puerto Rican and Mexican American men (15.3 percent and 15.1 percent, respectively) than among South/Central American or Cuban American men (9 percent and 5.3 percent, respectively). Among Latinas, past-year alcohol dependence rates were significantly higher for Puerto Rican women (6.4 percent) than for Mexican American (2.1 percent), Cuban American (1.6 percent), or South/Central American (0.8 percent) women (Caetano et al. 2008).
Mental and Co-Occurring Disorders
As with other populations, it is important to address CODs in Latino offenders, as CODs have been associated with higher rates of treatment dropout (Amodeo et al. 2008). There are also reports of diagnostic bias, suggesting that some disorders are under reported and others are overreported. Minsky et al. (2003) found that, at one large mental health treatment site in New Jersey, major depression was over diagnosed among Latinos, especially Latinas, whereas psychotic symptoms were sometimes ignored. Among Latinos with CODs, other mental disorders preceded the development of a substance use disorder 70 percent of the time (Vega et al. 2009).
Treatment Patterns
Barriers to treatment entry for Latinos include, but are not limited to, lack of Spanish- speaking service providers, limited English proficiency, financial constraints, lack of culturally responsive services, fears about immigration status and losing custody of children while in treatment, negative attitudes toward providers, and discrimination (Alegria et al. 2012; Mora 2002). Among all ethnic/racial groups included in the 2010 NSDUH, Latinos were the most likely to report that they had a need for treatment but did not receive it because they could not find a program with the appropriate type of treatment or because there were no openings in programs that they wished to attend, which may reflect a lack of linguistically and/or culturally appropriate services (SAMHSA 2011c). They were about twice as likely to state the former and four times as likely to state the latter as members of the group that was the next most likely to make such statements.
A significant problem prohibiting participation in substance abuse treatment among Latinos is the lack of insurance coverage to pay for treatment. In SAMHSA’s 2010 NSDUH, 32 percent of Latinos who needed but did not receive substance abuse treatment in the past year reported that they lacked money or insurance coverage to pay for it compared with 29.5 percent of White Americans and 33.5 percent of African Americans (SAMHSA 2011c). Other national surveys also found that Latinos with self-identified drinking problems were significantly more likely than either White Americans or African Americans to indicate that they did not seek treatment because of logistical barriers, such as a lack of funds or being unable to obtain childcare (Schmidt et al. 2007).
Latinos with substance use disorders are about as likely to enter substance abuse treatment programs as White Americans (Hser et al. 1998; Perron et al. 2009; Schmidt et al. 2006). Latinos tend to enter treatment at a younger age than either African Americans or White Americans (Marsh et al. 2009). There are also significant differences in treatment-seeking patterns among Latino cultural groups. For example, Puerto Ricans who inject heroin are much more likely to participate in methadone maintenance and less likely to enter other less-effective detoxification programs than are Dominicans, Central Americans, and other Latinos (Reynoso-Vallejo et al. 2008). The researchers note, however, that this could be due partially to the fact that Puerto Ricans, compared with other Latinos, have a greater awareness of treatment options.
Beliefs and Attitudes About Treatment
In general, Latino attitudes toward health care are shaped by a lack of access to regular quality care, including inability to afford it. DeNavas-Walt et al. (2006) found that Latinos are less likely to have health insurance (32.7 percent were uninsured in 2005) than either non-Latino White Americans (11.3 percent were uninsured) or African Americans (19.6 percent were uninsured). They are also less likely to have had a regular place to go for conventional medical care (Schiller et al. 2005). Lack of knowledge about available services can be a major obstacle to seeking services (Vega et al. 2001). In their review, Murguia et al. (2000) identified several factors that influence the use of medical services, including cultural health beliefs, demographic barriers, level of acculturation, English proficiency, accessibility of service providers, and flexibility of intake procedures; they found that many Latinos only seek medical care for serious illnesses.
Research on substance abuse indicates that Latinos who use illicit drugs appear to have relatively unfavorable attitudes toward treatment and perceive less need for treatment than do illicit drug users among every other major ethnic and racial group but Native Americans (Brower and Carey 2003). However, in the 2011 NSDUH, Latinos were more likely than White Americans, African Americans, or Asian Americans to indicate that they had a need for substance abuse treatment in the prior year but did not receive it (SAMHSA 2012b). Other studies have found that Latinos with substance use disorders are about as likely to enter substance abuse treatment programs as other racial and ethnic groups (Hser et al. 1998; Perron et al. 2009; Schmidt et al. 2006). Latinos who receive substance abuse treatment also report less satisfaction with the services they receive than White or African Americans (Wells et al. 2001). Even when receiving a level of substance abuse treatment services comparable to those received by White and African Americans, Latinos are more likely to be dissatisfied with treatment (Tonigan 2003).
Treatment Issues and Considerations
Latino offenders’ responsiveness to therapy is influenced not only by correctional professional and program characteristics, but also by individual characteristics, including worldview, degree of acculturation, gender orientation, religious beliefs, and personality traits. As with other cultural groups, efforts to establish clear communication and a strong therapeutic alliance are essential to positive treatment outcomes among Latino offenders. Foremost, correctional professionals should recognize the importance of—and integrate into their counseling style and approach—expressions of concern, interest in offenders’ families, and personal warmth (person- alismo; Ishikawa et al. 2010).
Correctional professionals need to be educated about culturally specific attributes that can influence participation and clinical interpretation of offender behavior in treatment. For instance, some Latino cultural groups view time as more flexible and less structured; thus, rather than negatively interpreting the offender’s behavior regarding the keeping of strict schedules or appointment times, correctional professionals should adopt scheduling strategies that provide more flexibility (Alvarez and Ruiz 2001; Sue 2001). However, correctional professionals should also advise Latino offenders of the need to take relevant actions with the aim of arriving on time for each appointment or group session. Correctional professionals should try to avoid framing noncompliance in Latino offenders as resistance or anger.
Because some research has found that Latinos have higher rates of treatment dropout than other populations (Amaro et al. 2006), programs working with this population should consider ways to improve retention and out-comes. Treatment retention issues for Latinos can be similar to those found for other populations (Amodeo et al. 2008), but culturally specific treatment has been associated with better retention for Latinos (Hohman and Galt 2001). Research evaluating ethnic matching with brief motivational interventions also found more favorable substance abuse treatment outcomes at 12-month follow-up when offenders and providers were ethnically matched (Field and Caetano 2010).
Available literature and research highlight four main themes surrounding general counseling issues and programmatic strategies for Latinos, as follows:
• Socializing the offender to treatment: Latino offenders are likely to benefit from orientation sessions that review treatment and counseling processes, treatment goals and expectations, and other components of services (Organista 2006).
• Reassurance of confidentiality: Regardless of the particular mode of therapy, correctional professionals should explain confidentiality. Many Latinos, especially undocumented workers or recent immigrants are fearful of being discovered by authorities like the United States Citizenship and Immigration Services and subsequently deported back to their countries of origin (Ramos-Sanchez 2009).
• Offender–counselor matching based on gender: To date, research does not provide consistent findings on offender–counselor matching based on similarity of Latino ethnicity. How- ever, offender–counselor matching based on gender alone appears to have a greater effect on improving engagement and abstinence among Latinos than it does for offenders of other ethnicities (Fiorentine and Hillhouse 1999).
• Offender–program matching: Matching offenders to ethnicity-specific programs appears to improve outcomes for Latinos. Takeuchi et al. (1995) found that only 68 percent of Mexican American offenders in programs that had a majority of White American offenders returned after the first session compared with 97 per- cent in those programs where the majority of offenders were Mexican American.
Family Therapy
Family therapy is often recommended for treating Latinos with substance use disorders (Amaro et al. 2006; Barón 2000; Hernandez 2000). Although there is little research evaluating the effectiveness of family therapy for adults, both multidimensional family therapy (Liddle 2010) and brief strategic family therapy (Santisteban et al. 1997; Santisteban et al. 2003; Szapocznik and Williams 2000) have been found to reduce substance use and improve psychological functioning among Latino youth. The term familismo refers to the centrality of the family in Latino culture and can include valuing and protecting children, respecting the elderly, preserving the family name, and consulting with one another before making important decisions. As highlighted in the case study of a Puerto Rican offender on the next page, correctional professionals must consider the potentially pivotal roles families can play in supporting treatment and recovery. Latino families are likely to have a strong sense of obligation and commitment to helping their members, including those who have substance use disorders. Even so, the level of family support for people who have substance use or mental disorders varies among Latinos depending on country of origin, level of acculturation, degree of family cohesion, socioeconomic status, and factors related to substance use (Alegria et al. 2012). For example, Reynoso-Vallejo et al. (2008) concluded that significantly higher rates of homelessness found among people from Central American countries who injected heroin compared with other Latinos could stem from lower levels of tolerance for injection drug use among their families.
Group Therapy
Little information is available concerning Latinos’ preferences in behavioral health services, but a study evaluating mental health treatment preferences for women in the United States found that Latinas were significantly more likely to prefer group treatment (Nadeem et al. 2008). According to Paniagua (1998), the use of group therapy with Latino offenders should emphasize a problem-focused approach. Group leaders should allow members to learn from each other and resist functioning as a content expert or a representative of the rules of the system. Otherwise, members could see group therapy as oppressive. Facilitators in groups consisting mostly of Latino offenders must establish trust, responsibility, and loyalty among members. In addition, acculturation levels and language preferences should be assessed when forming groups so that culturally specific or Spanish-speaking groups can be made available if needed.
Mutual-help Groups
Findings on the usefulness of 12-Step groups for Latino offenders are inconsistent. Membership surveys of AA indicate that Latinos comprise about 5 percent of AA membership (AAWS 2012). Latinos who received inpatient treatment were less likely to attend AA than White Americans (Arroyo et al. 1998). Rates of mutual-help participation among people with drug use disorders are also lower for Latinos (Perron et al. 2009). Language can present a barrier to mutual-help group participation for Spanish-speaking Latinos; however, Spanish-language meetings are held in some locations. Correctional professionals should consider the appropriateness of 12-Step participation on a case-by-case basis (Alvarez and Ruiz 2001). For example, Mexican American men who identify with attitudes of machismo can feel uncomfortable with the 12-Step approach. Concern about divulging family issues in public can cause hesitation to address substance- related problems in public meetings.
For Latinos who do participate in 12-Step programs, findings suggest higher rates of abstinence, degree of commitment, and level of engagement than for White American participants (Hoffman 1994; Tonigan et al. 1998). For some Latinos, 12-Step groups can appeal to religious and spiritual beliefs. Hernandez (2000) suggests that mutual-help groups composed solely of Latinos make it easier for participants to address the cultural context of substance abuse. Some Latino 12- Step groups do not hold that substance abuse is a biopsychosocial problem, instead conceptualizing the disorder as a weakness of character that must be corrected. Hoffman (1994) studied Latino 12-Step groups in Los Angeles and observed that, in addition to a more traditional form of AA, there were groups that practiced terapia dura (i.e., rough therapy), which often uses a confrontational approach and endorses family values related to machismo (e.g., by reinforcing that overcoming substance abuse rather than drinking is manly). However, these groups were not overly welcoming of female members and gay men. In such cases, gay Latino men and Latinas can benefit from attending 12-Step groups that are not culturally specific or that do not use terapia dura.
Relapse Prevention and Recovery
There are no substantial studies evaluating the use of relapse prevention and recovery promotion with Latinos, yet literature suggests that they would be appropriate and effective for this population (Blume et al. 2005; Castro et al. 2007). Overall, Latinos can face somewhat different triggers for relapse relating to acculturative stress or the need to uphold particular cultural values (e.g., personalismo, machismo; Castro et al. 2007), which can lead to higher rates of relapse among some Latino offenders. For example, in a study of relapse patterns among White American and Latino individuals who used methamphetamine, Brecht et al. (2000) found that Latino participants relapsed more quickly than White American participants.
Data are lacking on long-term recovery for Latinos. Given the many obstacles that block accessibility to treatment for Latinos, continuing care planning can benefit from greater use of informal or peer supports. For example, White and Sanders (2004) recommend the use of a recovery management approach with Latinos. They point to an early example of the East Harlem Protestant Parish’s work, which helped Puerto Rican individuals recovering from heroin dependence connect to social clubs and religious communities that sup- ported recovery. Latinos use community and family support in addition to spirituality to address mental disorders (Lynch and Hanson 2011; Molina 2001). Castro et al. (2007) also note that family support systems can be especially important for Latinos in recovery.
9.6 - Counseling for Native Americans
There are 566 federally recognized American Indian Tribes, and their members speak more than 150 languages (U.S. Department of the Interior, Indian Affairs 2013a); there are numerous other Tribes recognized only by states and others that still go unrecognized by government agencies of any sort. According to the 2010 U.S. Census (Norris et al. 2012), the majority (78 percent) of people who identified as American Indian or Alaska Native, either alone or in combination with one or more other races, lived outside of American Indian and Alaska Native areas. Approximately 60 percent of the 5.2 million people who identified as American Indian or Alaska Native, alone or in combination with one or more other races, reside in urban areas (Norris et al. 2012). The category of Alaska Natives includes four recognized Tribal groups— Alaskan Athabascan, Aleut, Eskimo, and Tingit-Haida—along with many other independent communities (Ogunwole 2006).
Native Americans who belong to federally recognized Tribes and communities are members of sovereign Indian nations that exist within the United States. On lands belonging to these Tribes and communities, Native Americans are able to govern themselves to a large extent and are not subject to most state laws—only to federal legislation that is specifically designated as applying to them (Henson 2008). Although health care (including sub- stance abuse treatment) is provided to many Native Americans by Indian Health Services (IHS), Tribal governments do have the option of taking over those services. Correctional professionals working with these populations should remember that Native Americans, by virtue of their membership in sovereign Tribal entities, have rights that are different from those of other Americans; this distinguishes them from members of other ethnic/racial groups.
American Indians live in all 50 states; the states with the largest populations of American Indians are Oklahoma, California, and Arizona. The 2000 Census allowed people to identify, for the first time, as a member of more than one race. Of persons who checked two or more races, nearly one in five indicated that they were part American Indian or Alaska Native (U.S. Census Bureau 2001a,b).
Beliefs About and Traditions Involving Substance Use
Few American Indian Tribes and no Alaska Natives consumed alcoholic beverages prior to contact with non-Native people, and those who did used alcohol primarily for special occasions and ceremonies. Most Tribes first encountered the use of alcohol when they encountered European settlers and traders. Because of this lack of experience with alcohol, few Native Americans had a context for drinking besides what they learned from these non-Natives, who at the time drank in large quantities and often engaged in binge drinking. Although patterns of alcohol consumption in the mainstream population of the United States changed over time, they remained relatively the same in the more isolated Native American communities. According to an NSDUH report on American Indian and Alaska Native adults, binge drinking continues to be a significant problem for these populations. Both binge drinking and illicit drug use is higher among Native Americans than the national average (30.2 percent versus 23 percent and 12.7 percent versus 9.2 percent, respectively; SAMHSA 2013d).
American Indian drinking patterns vary a great deal by Tribe. Tribal attitudes toward alcohol influence consumption in complicated ways. For example, in Navajo communities, excessive drinking was acceptable if done in a group or during a social activity. However, solitary drinking (even in lesser amounts) was considered to be deviant (Kunitz et al. 1994). Kunitz et al. (1994) observed that during the 1960s, binge drinking was acceptable among the Navajo during public celebrations, whereas any drinking was considered unacceptable among the neighboring Hopi population, wherein regular drinkers were shunned or, in some cases, expelled from the community. Hopi individuals who did drink tended to do so alone or moved off the reservation to border towns where heavy alcohol use was common. The ostracism of Hopi drinkers seemed to lead to even greater levels of abuse, given that there were much higher death rates from alcoholic cirrhosis among the Hopi than among the Navajo.
Native American recovery movements have often viewed substance abuse as a result of cultural conflict between Native and Western cultures, seeing substances of abuse as weapons that have caused further loss of traditions (Coyhis and White 2006). To best treat this population, substance abuse treatment providers need to expand their perspectives regarding substance abuse and dependence and must embrace a broader view that explores the spiritual, cultural, and social ramifications of substance abuse (Brady 1995; Duran 2006; Jilek 1994).
Substance Use and Substance Use Disorders
According to 2012 NSDUH data, American Indian and Alaska Native peoples have the highest rates of substance use disorders and binge drinking (SAMHSA 2013d). Although rates of substance abuse are high among Native Americans, so too are rates of abstinence. American Indians and Alaska Natives are more likely to report no alcohol use in the past year than are members of all other major racial and ethnic groups (OAS 2007). The American Indian Services Utilization and Psychiatric Epidemiology Risk and Protective Factors Project (AI-SUPER PFP) also found that rates of lifetime abstinence from alcohol for American Indians in the study were significantly higher than lifetime abstinence rates among the general population (Beals et al. 2003). Data on alcohol consumption also show that Alaska Natives are significantly more likely to abstain than are other Alaskans (Wells 2004).
The most common pattern of abusive drinking among American Indians appears to be binge drinking followed by long periods of abstinence (French 2000; May and Gossage 2001). A similar pattern is seen among Alaska Natives (Seale et al. 2006; Wells 2004). As an example, the Urban Indian Health Institute (2008) found that binge drinking was significantly more common among the Native American population (with 21.3 percent engaging in binge drinking in the prior 30 days compared with 15.8 percent of non- Native Americans) and that, among those who drank, 40.7 percent of Native American participants engaged in binge drinking compared with 26.9 percent of non-Natives.
In addition to alcohol, methamphetamine and inhalant abuse are major concerns for a number of Native American communities. Nonetheless, there are considerable regional differences in patterns and prevalence of drug use (Miller et al. 2012). According to the National Congress of American Indians (2006), 74 percent of Tribal police forces ranked methamphetamine as the drug causing the most problems in their communities. Methamphetamine abuse can be even more serious for Native Americans living in rural areas than for those in urban areas, but it is also a serious problem for growing numbers of American Indians, especially women, entering treatment in urban areas (Spear et al. 2007).
American Indians and Alaska Natives are more likely to report having used inhalants at some time during their lives, but use tends to peak in 8th grade and then decrease (Miller et al. 2012). In some Native American communities (e.g., on the Kickapoo reservation in Texas), inhalants have been a major drug of abuse for adults as well as youth. During the early 1990s, about 46 percent of the adult population on that reservation were thought to abuse inhalants (Fredlund 1994). Although more recent data are not available, reports from the area suggest that inhalant abuse remains a significant problem (Morning Star 2005).
Mental and Co-Occurring Disorders
According to the 2012 NSDUH, 28.3 percent of American Indians and Alaska Natives report having a mental illness, with approximately 8.5 percent indicating serious mental illness in the past year (SAMHSA 2013c). Native Americans were nearly twice as likely to have serious thoughts of suicide as members of other racial/ethnic populations, and more than 10 percent reported a major depressive episode in the past year. Common disorders include depression, anxiety, and substance use.
As with other groups, substance use disorders among Native Americans have been associated with increased rates of a variety of different mental disorders (Beals et al. 2002; Tann et al. 2007; Westermeyer 2001). The 2012 NSDUH revealed that 14 percent of Native Americans reported both past-year substance use disorders and mental illness. Among those who reported mental illness, nearly 5 percent reported several mental illnesses co-occurring with substance use disorders (SAMHSA 2013c).
Native American communities have experienced severe historical trauma and discrimination (Brave Heart and DeBruyn 1998; Burgess et al. 2008). Studies suggest that many Native Americans suffer from elevated exposure to specific traumas (Beals et al. 2005; Ehlers et al. 2006; Manson 1996; Manson et al. 2005), and they may be more likely to develop PTSD as a result of this exposure than members of other ethnic/racial groups. PTSD comparison rates taken from the AI-SUPER PFP study and the National Comorbidity Study show that 12.8 percent of the Southwest Tribe sample and 11.5 percent of the Northern Plains Tribe sample met criteria for a lifetime diagnosis of PTSD compared with 4.3 percent of the general population (Beals et al. 2005). Trauma histories and PTSD are so prevalent among Native Americans in substance abuse treatment that Edwards (2003) recommends that assessment and treatment of trauma should be a standard procedure for behavioral health programs serving this population. For example, Native American veterans with substance use disorders are significantly more likely to have co-occurring PTSD than the general population of veterans with substance use disorders (Friedman et al. 1997).
Treatment Patterns
Despite a number of potential barriers to treatment (Venner et al. 2012), Native Americans are about as likely as members of other racial/ethnic groups to enter behavioral health programs. According to data from the 2003 and 2011 NSDUH (SAMHSA, CBHSQ 2012), Native Americans were more likely to have received substance use treatment in the past year than persons from other racial/ethnic groups (15.0 percent versus 10.2 percent). Other studies indicate that about one-third of Native Americans with a current substance use disorder had received treatment in the prior year (Beals et al. 2006; Herman-Stahl and Chong 2002). The 2012 NSDUH reported that approximately 15 percent of Native Americans received mental health treatment (SAMHSA 2013c).
Native Americans were least likely of all major ethnic/racial groups to state that they could not find the type of program they needed and were the next least likely after Native Hawaiians and other Pacific Islanders to state that they did not know where to go or that their insurance did not cover needed treatment. Among Native Americans who identified a need for treatment in the prior year but did not enter treatment, the most commonly cited reasons for not attending were lack of transportation, lack of time, and concerns about what one’s neighbors might think (SAMHSA 2011c).
The same research also found that Native Americans were somewhat more likely than the general treatment-seeking population to enter residential programs. Native Americans were more likely to enter treatment as a result of criminal justice referrals than were White Americans or African Americans: 47.9 percent of American Indians and Alaska Natives entering public treatment programs in 2010 were court-ordered to treatment compared with 36.6 percent of White Americans and 36.4 percent of African Americans (SAMHSA, CBHSQ 2012). The lack of recognition of special needs and knowledge of Native American cultures within behavioral health programs may be the main reasons for low treatment retention and underuse of help-seeking behaviors among Native Americans (LaFromboise 1993; Sue and Sue 2013e).
Beliefs and Attitudes About Treatment
Duran et al. (2005) evaluated obstacles to treatment entry among American Indians on three different reservations; most frequently mentioned were the perception that good-quality or suitable services were unavailable and the perceived need for individuals to be self-reliant. They also found social relationships to be extremely important in overcoming these barriers. Jumper-Thurman and Plested (1998) reported that focus groups of American Indian women listed mistrust as one of the primary barriers for seeking treatment. This is due, in part, to the women’s belief that they would encounter people they knew among treatment agency staff; they also doubted the confidentiality of the treatment program.
Treatment Issues and Considerations
Each Tribe and community will likely have different customs, healing traditions, and beliefs about treatment providers that can influence not only willingness to participate in treatment services, but also the level of trust offender have for providers. Correctional professionals and other behavioral health workers must develop ongoing relationships within local Native American communities to gain knowledge of the unique attributes of each community, to show investment in the community, and to learn about community resources (Exhibit 5- 3). Identifying and developing resources within Native communities can help promote culturally congruent relationships. To provide culturally responsive treatment, providers need to understand the Native American offender’s Tribe; its history, traditions, worldview, and beliefs; the dimensions of its substance abuse problem and other community problems; the incidence of trauma and abuse among its members; its traditional healing practices; and its intrinsic strengths. Providers who work with Native Americans but do not have an understanding of their cultural identity and acculturation patterns are at a distinct disadvantage (Ponterotto et al. 2000).
Native Americans often approach the beginning of a relationship in a calm, unhurried manner, and they may need more time to develop trust with providers. Concerns about confidentiality can be an important issue to address with Native American offender, especially for those in small, tightly knit communities. For providers, it is very important to make clear to offender that what they say to the counselor will be held in confidence, except when there is an ethical duty to report. Native American cultural groups generally believe that health is nurtured through balance and living in harmony with nature and the community (Duran 2006; Garrett et al. 2012).
They also, for the most part, have a holistic view of health that incorporates physical, emotional, and spiritual elements (Calabrese 2008), individual and community healing (Duran 2006; McDonald and Gonzalez 2006), and prevention and treatment activities (Johnston 2002). For many, culture is the path to prevention and treatment. However, not all Native Americans have a need to develop stronger connections to their communities and cultural groups. As Brady (1995) cautions, culture is complex and changing, and a return to the values of a traditional culture is not always desired. An initial inquiry into each offender’s connection with his or her culture, cultural identity, and desire to incorporate cultural beliefs and practices into treatment is an essential step in culturally competent practice. When appropriate, providers can help facilitate the offender’s reconnection with his or her community and cultural values as an integral part of the treatment plan. In addition, treatment providers need to adapt services to be culturally responsive. In doing so, outcomes are likely to improve not only for Native American offender, but for all offender within the program. Fisher et al. (1996) modified a therapeutic community in Alaska to incorporate Alaska Native spiritual and cultural practices and found that retention rates improved for White and African American offender as well as Alaska Native offender participating in the program.
In working with Native American offender, providers should be prepared to address spirituality and to help offender access traditional healing practices. Culturally responsive treatment should involve community events, group activities, and the ability to participate in ceremonies to help offender achieve balance and find new insight (Calabrese 2008). Stronger attachment to Native American cultural groups protects against substance use and
abuse; therefore, strengthening this connection is important in substance abuse treatment (Duran 2006; Moss et al. 2003; Spicer 2001; Stone et al. 2006).
Family Therapy
Family involvement in treatment leads to better outcomes for Native Americans at the time of discharge from treatment (Chong and Lopez 2005). Research also suggests that family and community support can have a significant effect on recovery from substance use disorders for this population (Jones- Saumty 2002; Paniagua 1998). Family therapy can be quite helpful and perhaps even essential for American Indian offender (Coyhis 2000), especially when other social supports are lacking (Jones-Saumty 2002).
American Indians place high value on family and extended family networks; restoring or healing family bonds can be therapeutic for offender with substance use disorders. Moreover, Native American offenders are sometimes less motivated to engage in “talk therapy” and more willing to participate in therapeutic activities that involve social and family relationships ( Joe and Malach 2011). Treatment approaches should remain flexible and include offender’s families when appropriate. Correctional professionals should be able to recognize what constitutes family, family constellations, and family characteristics. The Native American concept of family can include elders, others from the same clan, or individuals who are not biologically related. In many Tribes, all members are considered relatives. Families can be matrilineal (i.e., kinship is traced through the female line) and/or matrilocal (i.e., married couples live with wife’s parents).
Group Therapy
Although researchers and providers once viewed group therapy as ineffective for American Indian offenders (Paniagua 1998), opinion has shifted to recognize that, when appropriately structured, group therapy can be a powerful treatment component (Garrett 2004; Garrett et al. 2001; Trimble and Jumper- Thurman 2002). Garrett (2004) notes that many Native American Tribes have traditional healing practices that involve groups; for many of these cultural groups, healing needs to occur within the context of the group or community (e.g., in talking circles). Thus, if properly adapted, group therapy can be very beneficial and culturally congruent. It is important, however, to determine Native American offender’s level of acculturation before recommending Western models of group therapy, as less acculturated Native offender are likely to be less comfortable with group talk therapy (Mail and Shelton 2002). Group therapy for Alaska Natives should also be non- confrontational and focus on offender’s strengths.
Group therapy can incorporate Native American traditions and rituals to make it more culturally suitable. For example, the talking circle is a Native tradition easily adapted for behavioral health treatment. In this tradition, the members of the group sit in a circle. An eagle feather, stone, or other symbolic item is passed around, and each person speaks when he or she is handed the item. Based on a review of the literature, Paniagua (1998) recommends that providers using group therapy with Native American offender:
• Earn support or permission from Tribal authorities before organizing group therapy.
• Consult with Native professionals.
• If group members consent, invite respected Tribal members (e.g., traditional healers or elders) to participate in sessions.
Mutual-help Groups
Native American peoples have a long history of involvement in mutual-help activities that predates the 12-Step movement (Coyhis and White 2006). Depending on acculturation, availability of a community support network, and the nature of their presenting problems, Native American offenders may be more likely to solicit help from significant others, extended family members, and community members. Contemporary manifestations of Native American mutual-help efforts include adaptations of the 12 Steps (Exhibit 5-4) and of 12-Step meeting rituals and practices (Coyhis and White 2006). Another modified element of the 12 Steps is use of a circular, rather than a linear, path to healing. The circle is important to American Indian philosophy, which sees the great forces of life and nature as circular (Coyhis 2000). In addition, staff members of the White Bison program have also rewritten the AA “Big Book” from a Native American perspective (Coyhis and Simonelli 2005). The principles of the 12 Steps, which involve using the group or community to provide support and motivation while emphasizing spiritual reconnection, appeal to many Native Americans who see treatment as social in nature and who view addiction as a spiritual problem.
The Native American Wellbriety movement is a modern, indigenous mutual-help program that has its roots in 12-Step groups but incorporates Native American spiritual beliefs and cultural practices (Coyhis and Simonelli 2005; Coyhis and White 2006; White Bison, Inc. 2002; also see www.whitebison.org). Although the Wellbriety movement is popular with many Native Americans in recovery, a considerable number also continue to participate in traditional 12-Step groups. In the AI- SUPER-PFP, 47 percent of Northern Plains Tribe respondents and 28.8 percent of South- west Tribe respondents with a past-year substance use disorder reported 12-Step group attendance in the prior year (Beals et al. 2006). Mohatt et al. (2008b) found that more Alaska Natives in recovery reported participation in 12-Step groups than in substance abuse treatment. In Venner and Feldstein’s (2006) re- search with American Indians in recovery, 84 percent of respondents had attended some mutual-help meetings.
Relapse Prevention and Recovery
Despite limited data on long-term recovery for Native Americans who have substance use disorders, a few studies have found high rates of relapse following substance abuse treatment (see review in Chong and Herman-Stahl 2003). White and Sanders (2004) recommend that long-term recovery plans for Native Americans make use of a recovery management rather than a traditional continuing care approach. Such an approach emphasizes the use of informal recovery communities and traditional healing approaches to provide extended monitoring and support for Native Americans leaving treatment.
Researchers have conducted interviews with both American Indians (Bezdek and Spicer 2006) and Alaska Natives (Hazel and Mohatt 2001; Mohatt et al. 2008; People Awakening Project 2004) who have achieved extended periods of recovery. Bezdek and Spicer (2006) identified two key tasks for American Indians entering recovery. First, they need to learn how to respond to family and friends who drank with them and to those who supported their recovery. Next, they have to find new ways to deal with boredom and negative feelings. By accomplishing these tasks, Native offenders can build new social support systems, develop effective coping strategies for negative feelings, and achieve long-term recovery. The People Awakening Project found that, among Alaska Natives who had a substantial period of recovery, the development of active, culturally appropriate coping strategies was essential (e.g., distancing themselves from friends or family who drank heavily, getting involved in church, doing community service, praying; Hazel and Mohatt 2001; Mohatt et al. 2008; People Awakening Project 2004).
9.7 - Counseling for White Americans
According to the 2010 U.S. Census definition, White Americans are people whose ancestors are among those ethnic groups believed to be the original peoples of Europe, the Middle East, or North Africa (Humes et al. 2011). The racial category of White Americans includes people of various ethnicities, such as Arab Americans, Italian Americans, Polish Americans, and Anglo Americans (i.e., people with origins in England), among others. Many Latinos will also identify racially (if not ethnically) as White American. Non-Latino White Americans constitute the largest racial group in the United States (making up 63.7 percent of the population in the 2010 Census; Mather et al. 2011).
White Americans, like other large ethnic and cultural groups, are extremely heterogeneous in historical, social, economic, and personal features, with many (often subtle) distinctions among subgroups. Perhaps because White Americans have been the majority in the United States, it is sometimes forgotten how historically important certain distinctions between diverse White American ethnic heritages have been (and continue to be, for some). Conversely, many White American people prefer not to see themselves as such and instead identify according to their specific ethnic background (e.g., as Irish American). For similar reasons, certain cross-cutting cultural issues (see Chapter 1) like geographic location, sexual orientation, and religious affiliation are important in defining the cultural orientations of many White Americans.
Beliefs About and Traditions Involving Substance Use
Historically, use of alcohol was accepted among White/European cultural groups because it provided an easy way to preserve fruit and grains and did not contain bacteria that might be found in water. Over time, the production and consumption of alcohol became an often-integral part of cultural activities, which can be seen in the way some White cultural groups take particular pride in national brands of alcoholic beverages (e.g., Scotch whisky, French wine; Abbott 2001; Hudak 2000). A number of European cultural groups (e.g., French, Italian) traditionally believed that daily alcohol use was healthy for both mind and body (Abbott 2001; Marinangeli 2001), and for others (e.g., English, Irish), the bar or pub was the traditional center of community life (O’Dwyer 2001). Despite some variations in cultural attitudes toward appropriate drinking practices, alcohol has been and remains the primary recreational substance for Whites in the United States. Predominant attitudes toward drinking in the United States more closely reflect those of Northern Europe; alcohol use is generally accepted during celebrations and recreational events, and, at such times, excessive consumption is more likely to be acceptable.
Typically, White European cultural groups accept alcohol use as long as it does not interfere with responsibilities, such as work or family, or result in public drunkenness (Hamid 1998). However, among certain groups of White Americans (usually defined by religious beliefs), the use of alcohol or any other intoxicant is considered immoral (van Wormer 2001). These religious beliefs, combined with concerns about the effects of problematic drinking patterns (especially among men in the frontier; White 1998), became the impetus for the early 19th-century creation of the Temperance Movement and culminated in the passing of the 18th Amendment to the United States Constitution, which enacted Prohibition. Although the Temperance Movement is no longer a major political force, belief in the moral and social value of abstinence continues to be strong among some segments of the White American population.
Illicit drug use, on the other hand, has historically been demonized by White American cultural groups and seen as an activity engaged in by people of color or undesirable subcultures (Bonnie and Whitebread 1970; Hamid 1998; Whitebread 1995). For example, White Americans typically link drug use to perceived threat of crime—particularly crimes perpetrated by people of color (Hamid 1998; Whitebread 1995). Attitudes have changed over time, but White American cultural groups continue to enforce strong cultural prohibitions against most types of illicit drug use. At the same time, White Americans are often more accepting of prescription medication abuse and less likely to perceive prescription medications as potentially harmful (Hadjicostandi and Cheurprakobkit 2002).
Despite illicit drug use now being as common among White Americans as people of color, White Americans still tend to perceive drug use as an activity that occurs outside their families and communities. In a 2001 survey, only 54 percent of White Americans expressed concern that someone in their family might develop a drug abuse problem compared with 81 percent of African Americans (Pew Research Center for the People and the Press 2001). In the same survey, White Americans expressed less concern about drug abuse in their neighborhoods than did other racial and ethnic groups. However, in terms of seeing drugs as a national problem, White Americans and other racial and ethnic groups are in closer agreement. Perhaps as a result of this misperception about the prevalence of drug use in their homes and communities, White American parents are less likely to convey disapproval of drug use to their children than African American parents (National Center on Addiction and Substance Abuse 2005) and much more likely than Latino or African American parents to think that their children have enough information about drugs (Pew Research Center for the People and the Press 2001).
There are also differences in how White Americans, Latinos, and African Americans perceive drug and alcohol addictions. White Americans are less likely than African Americans, but more likely than Latinos, to state that they believe a person can recover fully from addiction (Office of Communications 2008). However, White Americans are more likely than African Americans to indicate that substance use disorders should be treated as diseases (Durant 2005).
Substance Use and Substance Use Disorders
According to 2012 NSDUH data, rates of past-year substance use disorders were higher for White Americans than for Native Hawaiians, other Pacific Islanders, and Asian Americans; rates of current alcohol use were higher than for every other major ethnic/racial group (SAMHSA 2013d). Alcohol has traditionally been the drug of choice among White Americans of European descent; however, not all European cultural groups have the same drinking patterns. Researchers typically contrast a Northern/Eastern European pattern, in which alcohol is consumed mostly on week- ends or during celebrations, with that of Southern Europe, in which alcohol is consumed daily or almost daily but in smaller quantities and almost always with food. The Southern European pattern involves more regular use of alcohol, but it is also associated with less alcohol-related harm overall (after controlling for total consumption; Room et al. 2003). The pattern of White Americans typically follows that of Northern and Eastern Europe, but individuals from some ethnic groups maintain the Southern European pattern.
White Americans, on average, begin drinking and develop alcohol use disorders at a younger age than African Americans and Latinos (Reardon and Buka 2002). White Americans are more likely to have their first drink before the age of 21 and to have their first drink before the age of 16 than members of any other major racial/ethnic group except Native Americans (SAMHSA 2011c). Some data suggest that White Americans begin using illicit drugs at an earlier age than African Americans (Watt 2008) and that the mean age for White Americans who inject heroin has decreased (Broz and Ouellet 2008).
White Americans who use heroin are less likely than people who use heroin from all other major racial/ethnic groups except African Americans to have injected the drug (SAMHSA 2011c). White Americans are also more likely than members of other major racial/ethnic groups, except Native Hawaiians and other Pacific Islanders (for whom estimates may not be accurate), to have tried ecstasy. Except for Native Americans (some of whom may use the hallucinogen peyote for religious purposes), they are also more likely than other racial/ethnic groups to have tried hallucinogens (SAMHSA 2011c). Research confirms that prescription drug misuse is more common among White Americans than African Americans or Latinos (Ford and Arrastia, 2008; SAMHSA 2011c), and they are more likely to have used prescription opioids in the past year and to use them on a regular basis.
Comparative studies indicate that White Americans are more likely than all other major racial/ethnic groups except Native Americans to have an alcohol use disorder (Hasin et al. 2007; Perron et al. 2009; Schmidt et al. 2007). White Americans are at a greater risk of having severe alcohol withdrawal symptoms (such as delirium tremens) than are African Americans or Latinos with alcohol use disorders (Chan et al. 2009). So too, White Americans are more likely than African Americans or Latinos to meet diagnostic criteria for a drug use disorder at some point during their lives (Perron et al. 2009). Overall, substance use disorders vary considerably across and within non-European White American cultural groups. For example, rates of substance abuse treatment admissions in Michigan from 2005 suggest that substance use disorders may be considerably lower for Arab Americans than other White Americans (Arfken et al. 2007).
Mental and Co-Occurring Disorders
About 20 percent of White Americans reported some form of mental illness in the past year, and they were more likely to have past-year serious psychological distress than other population groups excluding Native Americans (SAMHSA 2012a).
White Americans appear to be more likely than Latinos or Asian Americans to have CODs (Alegria et al. 2008a; Vega et al. 2009) and more likely to have concurrent serious psychological distress and substance use disorders (SAMHSA 2011c). White Americans with CODs are also more likely to receive treatment for both their substance use and mental disorders than are African Americans with CODs (Alvidrez and Havassy 2005; Hatzenbuehler et al. 2008), but they are perhaps less likely to receive treatment for their substance use disorder alone (Alvidrez and Havassy 2005). White Americans are more likely to receive family counseling and mental health services while in substance abuse treatment and less likely to have unmet treatment needs (Marsh et al. 2009; Wells et al. 2001). In addition, White Americans are significantly less likely than Latinos or African Americans to believe that antidepressants are addictive (Cooper et al. 2003).
The most common mental disorders among White Americans are mood disorders (particularly major depression and bipolar I disorder) and anxiety disorders (specifically phobias, including social phobia, and generalized anxiety disorder; Grant et al. 2004b). Among White Americans, these disorders are more prevalent than in any other ethnic/racial groups save Native Americans (Grant et al. 2005; Hasin et al. 2005). For example, rates of a lifetime diagnosis of generalized anxiety disorder are about 40 percent lower for African Americans and Latinos than for White Americans and about 60 percent lower for Asian Americans (Grant et al. 2005). A similar pattern exists for major depressive disorder (Hasin et al. 2005).
Treatment Patterns
White Americans are more likely to receive mental health treatment or counseling than other racial/ethnic groups (SAMHSA 2012b). White Americans are more likely than African Americans to receive substance abuse treatment services from a private physician or other behavioral health or primary care professional (Perron et al. 2009). Among White American offenders entering substance abuse treatment programs in 2010, alcohol (alone or in conjunction with illicit drugs) was most often the primary substance of abuse, followed by heroin and cannabis. However, findings are inconsistent concerning the relative frequency with which White Americans enter substance abuse treatment. Some studies have found that White Americans are more likely to receive needed behavioral health services than both African Americans and Latinos (Marsh et al. 2009; Wells et al. 2001). In contrast, other studies have found that African Americans with an identified need are somewhat more likely to enter treatment for drug use disorders and about as likely to receive treatment for alcohol use disorders when compared with White Americans (Hatzenbuehler et al. 2008; Perron et al. 2009; SAMHSA, CBHSQ 2012; Schmidt et al. 2006).
Beliefs and Attitudes About Treatment
White Americans appear to be generally accepting of behavioral health services. They have better access to health care and are more likely to use services than people of color, but this varies widely based on socioeconomic status and cultural affiliation. Most treatment services have historically been developed for White American populations, so it is not surprising that White Americans are more likely than other racial/ethnic groups to be satisfied with treatment services (Tonigan 2003).
Still, attitudes differ among certain cultural subgroups of White Americans. For example, Russian immigrants from the former Soviet Union have a longstanding distrust of mental health systems and hence may avoid substance abuse treatment (Kagan and Shafer 2001). Other groups who have a strong family orientation, such as Italian Americans or Scotch-Irish Americans, might avoid treatment that asks them to reveal family secrets (Giordano and McGoldrick 2005; Hudak 2000).
According to 2010 NSDUH data regarding people who recognized a need for substance abuse treatment in the prior year but did not receive it, White Americans were more likely than members of other major racial/ethnic groups to state that it was because they had no time for treatment, that they were concerned what their neighbors might think, that they did not want others to know, and/or that they were concerned about how it might affect their jobs (SAMHSA 2011c). Other research confirms that White Americans are significantly more likely to avoid treatment due to fear of what others might think or because they are in denial (Grant 1997). White Americans may also have different attitudes toward recovery, at least regarding alcohol use disorders, than do members of other ethnic/racial groups. According to NESARC data on people who met criteria for a diagnosis of alcohol dependence at some point during their lives, White Americans were more likely than African Americans, Latinos, or other non- Latinos to have achieved remission from that disorder but were also less likely than African Americans or other non-Latinos (but not Latinos) to currently abstain from drinking, as opposed to being in partial remission or drinking without symptoms of alcohol dependence (Dawson et al. 2005).
Treatment Issues and Considerations
Most major treatment interventions have been evaluated with a population that is largely or entirely White American, although the role of White American cultural groups is rarely considered in evaluating those interventions. For example, as Straussner (2001) notes, “the paradox of writing about substance abusers of European background is that they are a group that is believed to be the group for whom the traditional alcohol and other drug treatment models have been developed, and yet they are a group whose unique treatment needs and treatment approaches have rarely been explored” (p. 165). Very few evaluations of treatment strategies and interventions (whether based on research or clinical observation) have taken into account ethnic and cultural differences among White American offenders, and therefore it is generally not possible to make culturally responsive recommendations for specific subgroups of White Americans.
Culturally responsive treatment for many White Americans will involve helping them rediscover their cultural backgrounds, which sometimes have been lost through acculturation and can be an important part of their long- term recovery. Giordano and McGoldrick (2005) note that ethnic identity and culture can be more important for some White Americans “in times of stress or personal crisis,” when they may want to “return to familiar sources of comfort and help, which may differ from the dominant society’s norms” (p. 503). Appendix B provides information on instruments for assessing cultural identification. For an overview of challenges in maintaining mental health, access to health care, and help-seeking among White Americans, see Downey and D’Andrea (2012).
Family Therapy
In White American families, individuals are generally expected to be independent and self-reliant; as a result, families in therapy can have trouble adjusting to work that focuses more on communication processes than specific problems or content (McGill and Pearce 2005). Van Wormer (2001) notes that many White Americans need help addressing communication issues. In family therapy, useful approaches include those that encourage open, direct, and nonthreatening communication.
There is no singular description that fits White American families within or across ethnic heritages, and there is no approach that is effective for all White Americans in family therapy (Hanson 2011). Hierarchical families, such as German American families, may expect the correctional professional to be authoritative, at least in the initial sessions (Winawer and Wetzel 2005), although a more egalitarian German American family might not respond well to such imperatives. In the same vein, one offender of French background could readily accept direct and clear therapeutic assignments that contain measurable goals (Abbot 2001), whereas another French American offender may value counseling that is more process oriented. Thus, it is imperative to assess the cultural identification of offenders and their families, along with the treatment needs that best match their cultural worldviews.
In some White American families, there is a longstanding culture of drinking. Attempts at abstinence can be perceived by family members as culturally inappropriate. In other families, there is deep denial about alcohol abuse or dependence, especially when talking about substance use to those outside the family. For example, some Polish American families can be resistant to the idea that drinking is the cause of family problems (Folwarski and Smolinski 2005) and sometimes believe that to admit an alcohol problem, especially to someone outside the family, signals weakness.
Group Therapy
Standard group therapies developed for mental health and substance abuse treatment programs have generally been used and evaluated with White American populations.
Mutual-help Groups
Mutual-help groups, of which AA is the most prevalent, have a largely White American membership (AAWS 2008; Atkins and Hawdon 2007). In a 2011 survey, 87 percent of AA members indicated their race as White (AAWS 2012). In research with largely White populations, AA participation has been found to be an effective strategy for promoting recovery from alcohol use disorders (Dawson et al. 2006; McCrady et al. 2004; Moos and Moos 2006; Ritsher et al. 2002; Weisner et al. 2003). Other mutual-help groups, such as Self-Management and Recovery Training, Secular Organizations for Sobriety/Save Our Selves, and Women for Sobriety, also have predominately White American membership and are based on Western ideas drawn from psychology (Atkins and Hawdon 2007; White 1998).
The appeal of mutual-help groups among White Americans rests on the historical origins of this model. The 12-Step model was originally developed by White Americans based on European ideas of spirituality, faith, and group interaction. Although the model has been adopted worldwide by different cultural groups (White 1998), the 12-Step model works especially well for White ethnic groups, including Irish Americans, Polish Americans, French Americans, and Scotch- Irish Americans, because it incorporates Western cultural traditions involving spiritual practice, public confession, and the use of anonymity to protect against humiliation (Abbott 2001; Gilbert and Langrod 2001; Hudak 2000; McGoldrick et al. 2005; Taggart 2005).
In addition to mutual-help groups for substance abuse, numerous recovery support groups, Internet resources, Web-based communities, and peer support programs are available to promote mental health recovery.
Pin It! Mental Health Resources
Click here to explore the many resources are available through the National Alliance on Mental Illness.
Relapse Prevention and Recovery
Factors that promote recovery for White Americans include the learning and use of coping skills (Litt et al. 2003; Litt et al. 2005; Maisto et al. 2006). Even though some research suggests that White Americans are less likely to use coping skills than African Americans (Walton 2001) and have lower levels of self- efficacy upon leaving treatment (Warren et al. 2007), the development of these skills and of self-efficacy is important in managing relapse risks and in maintaining recovery. Correctional professionals may offer psychoeducation on the value of coping strategies, specific skills to manage stressful situations or environments, and opportunities to practice these skills during treatment. Some coping skills or strategies may be more important than others in managing high-risk situations, but research suggests that greater use of a variety of coping strategies is more important than the use of any one specific skill (Gossop et al. 2002).
Social and family supports are also important in maintaining recovery and preventing re- lapse among White Americans (Laudet et al. 2002; McIntosh and McKeganey 2000; Rumpf et al. 2002). Other important factors include continuing care, the development of substitute behaviors (i.e., reliance on healthy or positive activities in lieu of substance use), the creation of new caring relationships that do not involve substance use, and increased spirituality (Valliant 1983). Valliant (1983) and others (e.g., Laudet et al. 2002; McCrady et al. 2004; Moos and Moos 2006) conclude, based on research with mostly White participants, that mutual-help groups often play an important role in maintaining recovery.
Conclusion47
Correctional professionals have a difficult role in the law enforcement continuum. They must provide offenders with rehabilitative services and provide for the safety and security of the community. This dual role is challenging and requires an understanding of culture, gender, religion and socioeconomic status to be effective. This will aid officers to build a rapport with offenders to develop a professional, therapeutic relationship. This section was designed to give correctional professionals a greater understanding of how race and culture can impact the treatment process. Many times, offenders are required to engage in treatment. They may be unresponsive to treatment because they have a different cultural perspective. The information provide in this chapter allows correctional professional to explore whether the lack of involvement may be a cultural misunderstanding. It can also guide correctional professional on how to improve outcomes through different approaches.
In this chapter, we learned about treatment of offenders specific to their ethnicity. This is an important consideration when conducting case management services with offenders because not all offenders can be treated the same. Unique cultural experiences need to be considered so treatment services are effective.
During this chapter, we discussed in great detail specific issues in dealing with rehabilitation and ethnicity. For this activity, pretend you are a counselor in a prison and the following offenders present these issues. What is your case plan? Support your answer with information from the chapter.
Act It Out! Case Manager Assignment
Case #1 – A 36-year-old African American woman is on your caseload. She has been in treatment for substance abuse but doesn’t feel as if it is helping her. She states she still has sudden panic attack at visiting. She has a volatile relationship with her husband and after visits, she states she feels “amped” up for several days after his visits. What do you recommend?
Case #2 – A 45-year-old Native American man is set for discharge soon. He has a supportive family and will return to the reservation. What is your discharge plan? What services to set up for him for re-entry to the community? Make sure to support your answer with information from the readings.
Case #3 – A 21-year-old Hispanic male routinely shows up late for treatment sessions. Once at the session, he participates and is actively engaged in the materials. He indicates he feels the sessions are valuable. How do you address the tardiness, as it is distracting to the other participants? Explain why he may be acting this way.
Case #4 – A 40-year-old white woman is having difficulties with her treatment program. She is an alcoholic and in prison for a DUI in which she killed a family member. Her relationship with her family is strained. She feels she must abstain from drinking when she is released from prison, however all of her family members drink socially. How do you prepare her for transition? | textbooks/workforce/Corrections/Community_and_the_Justice_System_(Wymore_and_Raber)/09%3A_Multicultural_Treatment_Considerations_in_Corrections.txt |
Learning Objectives
• Be able to identify the key principals to improved policing procedures to improve community relations.
• Explain the importance of communication skills and understanding of the community dynamics in policing.
• Identify how better training of officers by departments have a positive effect on the interaction between police and the community.
• Be able to explain how officers can develop a relationship with the community through engagement and visible presence
10: Strategies for Facilitating Conflict Resolution in a Multicultural Society
Improving a police department's image in the community takes more than just concern or wishful thinking. For the police to be truly effective in a changing, complex society, they must recognize that it is in their own self-interest to administer a department that is competent, fair, honest, and responsive to the needs of the individual citizen. The police department must establish an effective partnership with the community as a whole, the foundation of which is mutual trust and understanding. Police organizations must realize that they have the ability to alter their own image within the community.
A well-developed community relations effort should be the product of careful construction, designed by the police and the public together, and should not be the result of an emotional reaction to a temporary crisis in the community. The fundamental tenet of any successful police-community relations effort must necessarily involve an open channel of communication between the police and the public. Once established, a communications vehicle should be further developed to ensure that the channel remains open.
Figure 10.1 COPS Office 5th Annual Community Policing in Action. COPS Office-Dept of Justice. Image is in the public domain.
Police departments must be sensitive to the fact that virtually every phase of their operations has an eventual impact on the community, which translates into an individual citizen's assessment of a department's effectiveness. Token or artificial efforts towards enhancing public image will quickly be recognized as an insincere gesture, which can only invite public ridicule and repudiation.
Training must also be in place to ensure that all officers veteran and recruit alike--continuously maintain an understanding of, and a sensitivity to, the social and human relations problems that surface within the community. Police departments should adopt a community-oriented attitude in every facet of their operations. The public must be convinced that the department's concern for community relations is not just a priority for administrators or community relations officers, but a serious concern that has the commitment of each officer.
10.03: Community Based Intervention
Defining the police role within a community should not be solely the responsibility of a law enforcement agency. The entire community, represented by traditional and nontraditional agencies and groups alike, should be called upon to identify local concerns that fall within the purview of the police department. Suggestions should be carefully weighed and freely debated in an atmosphere which recognizes that no single element or agency has exclusive jurisdiction or authority for determining what the posture or reaction should be towards problems that have impact on the entire community.
Within every community there are business and professional groups, social service agencies, religious and civic organizations, and non-law enforcement city agencies, all of which are potential resources for dealing with many of the problems that confront the police. Such organizations have repeatedly demonstrated their willingness to donate time and effort in support of programs that improve the quality of life in a community. An effective police department researches the community and develops a "resource bank" of organizations willing to donate time and effort in support of police initiatives to improve services to the community.
The assistance and interaction that these groups afford can be of great benefit in offering cultural, language, direct service, and training opportunities for police officers. In an era of tight fiscal control and dwindling budgets, these organizations can help law enforcement agencies develop specialized programs that address current and future needs. The police and community groups should establish areas of mutual concern, analyze points of disagreement that call for resolution, and reach a consensus on how all parties concerned can work together effectively in crisis situations. | textbooks/workforce/Corrections/Community_and_the_Justice_System_(Wymore_and_Raber)/10%3A_Strategies_for_Facilitating_Conflict_Resolution_in_a_Multicultural_Society/10.02%3A_Communication.txt |
Another way for police departments to establish effective leadership in the realm of police-community violence is to educate the community in the expectations they should have of the department and the expectations the department has of the community. This function addresses the "community cultures" dimension of effective leadership. No matter what the internal functions of effective leadership within the department, positive change in the police-community violence cycles will occur more easily if the community is involved in the change process. Police-community partnerships and the engagement of the community in solving problems of violence enhance police effectiveness.
“Education is the most powerful weapon which you can use to change the world.”
- Nelson Mandela
There are several questions the law enforcement executive can ask to determine the extent the community is likely to be involved in helping retard the police-community violence cycle. These questions are based on the premise that the police and the community share ownership, responsibility, and accountability for reducing these incidents of violence:
• What programs does the department have that assist officers in understanding community attitudes towards police use of force?
• What programs does the department have that assist officers and the community to reduce incidents of police-community violence?
• Do all officers engage in interactive meetings with community groups and leaders?
• Does each officer consider himself or herself responsible for building police-community trust?
• Are there existing mechanisms for "taking the pulse" of the community on key issues involving police-community violence?
• Does the department periodically schedule formal meetings with community groups and leaders to review the issue of police-community violence?
• Do all the parties involved in reducing police-community violence (police, courts, probation, prosecutors, schools, and the community) meet regularly to review strategy and results?
These questions help police executives and community leaders identify areas or concerns that should be addressed in managing the police-community partnership. The extent to which this connection is well managed will, to some extent, dictate the degree of success the police executive can expect.
A police organization's attempt to control the police-community violence cycle cannot be accomplished by a one-dimensional approach to the problem. A leadership plan which focuses merely on one aspect of the problem is most likely a plan that will not achieve its objectives. What is required is a multidimensional approach which focuses on both internal and external factors, an approach which addresses operational problems as well as administrative processes, and which addresses the need for change within the informal leadership of the department as well as the need for change within the community.
Through the development of an "interactive" model of professionalism which focuses on the four stated areas of change within the department and its environment, police executives can develop the effective leadership necessary to have an impact on the cycle of police-community violence.
Additionally, educating the rank and file officer and field supervisors are critically important. Each day, police officers are called upon to handle a wide variety of situations, any one of which potentially might result in an officer or citizen suffering serious bodily injury or death. Although no two situations will be exactly the same, police have encountered the vast majority of different kinds of circumstances before. Therefore, most response situations lend themselves to prior analysis and review. Whether the police are called upon to handle a violent domestic dispute, a barricaded subject with hostages, a major civil disturbance, or other situations, departmental procedures can be drafted to provide the individual police officer with direction that will reduce the chances of unwarranted violence. Care should be exerted to ensure that written directives on most response situations are carefully developed, regularly updated, and constantly reviewed by every member of the organization.
Along with written directives, another major component of a police department's efforts to manage circumstances is its commitment to in-service training and development. While many organizations rightfully place a premium on the value of recruit training, they are sometimes less attentive to providing a systematic program of in-service training for veteran officers. Although departments may be powerless to control the level of violence that officers face in every situation, they should recognize that a carefully designed program of in-service training is of fundamental importance to avoiding police-citizen violence and ensuring officer safety. Many police contacts with citizens or suspects have the potential for violence, as emphasized elsewhere in this publication, but a well-trained officer is the first line of defense in reducing the risk of serious injury or death.
When the police are called to the scene of a potentially life-threatening situation, more often than not a confrontation not of their making confronts them. In the initial moments, the person or persons responsible for instigating the confrontation may appear to be in control. But as sufficient numbers of officers arrive, the inevitable decision on using force to end the confrontation is brought up for consideration. While no two situations are exactly alike, the merits of negotiation, mediation, and conflict resolution should be given their due. Police who employ force as an immediate response to a crisis situation are frequently labeled as reactionary--as opposed to being recognized as the power in control of the situation. In most instances, police departments that elect to employ mediation and conflict resolution and other communication skills instead of force are generally credited with reducing the level of tension.
Negotiation in a crisis situation generally affords the police an opportunity to carefully formulate a well-constructed response. Additional time also facilitates the strategic placement of key personnel, who by then will be in full possession of virtually all of the resources which appear necessary to bring about a successful conclusion of the situation. In the final analysis, if all attempts at talking fail and the time for negotiating comes to an end, the police will be able to demonstrate that they legitimately attempted to use reason instead of force, and only altered their course of action when no other alternative reasonably existed.
Expert skills at negotiating, mediation, and conflict resolution are not natural talents that are automatically acquired by each new officer who enters the field of law enforcement. Departments should ensure that classes in negotiating, mediation and conflict resolution are contained within the curriculum of their in-service training and development programs. Recognizing that the decision to negotiate--as opposed to resorting to force--will not always be a viable option, the police department should at least indicate its preference for negotiation whenever possible. | textbooks/workforce/Corrections/Community_and_the_Justice_System_(Wymore_and_Raber)/10%3A_Strategies_for_Facilitating_Conflict_Resolution_in_a_Multicultural_Society/10.04%3A_Education.txt |
As the 21st century begins, the relative priority between enforcing law and maintaining racial/ethnic harmony is being reset. A new paradigm for policing multi-ethnic societies is emerging. The old paradigm was about maintaining order by my whatever means required. The new paradigm is about integration, not segregation; equal protection, not domination; mutual respect, not deference. In the old paradigm, enforcing the law was the highest value. In the new paradigm, enforcing the law is still important but increasingly is being placed second to maintaining racial and ethnic harmony.
Figure 10.2 Diagram of New Law Enforcement Paradigm created by Tabitha Raber is used under a CC-BY 4.0 license
The new paradigm reflects the changing cultural norms regarding tolerance for diversity and demands for equality. The timing could not be better. Dramatic demographic changes are happening in the world. Societies that once were dominated by a single ethnic group are rapidly becoming more heterogeneous as a result of the dual process of less-than-replacement fertility and immigration.
With the end of the cold war, international borders have become more porous than ever. In the United States, the whole concept of race relations is being transformed. Latinos have surpassed blacks as the largest minority in many major cities. Asians are majorities in some places. The white descendants of the Europeans who founded the country, and who have dominated it politically, economically, and demographically ever since, are projected to lose their majority status by the year 2050.
Today’s immigration has made the challenges of policing a multiethnic society all the more complex. The police are having to find ways to bridge cultural divides; to communicate in foreign languages; to win the trust of people whose past experience led them to mistrust or despise the police (Bowles, 2000); to protect foreigners both from xenophobic attacks and their own ethnic gangs. The patrol officer in critical to building that relationship of trust for the ethnic communities to engage with the police. Treating the community with fairness, equality, and respect will generate good will and trust in some elements of the community.
10.06: Engagement
One of the major areas of concern in policing is the violence that surrounds drug and gang activity. The increased number of handguns and other firepower, the role of organized criminals and youth gangs, and the amount of money involved in this activity have torn apart communities--created divisions within communities and between police and communities, particularly communities of color. Homicide rates, especially among minority youth, have also escalated.
Pressures and demands from different segments of the community have led to calls for aggressive policing, even if it entails the violation of individuals' rights. Field practices that violate accepted police practices and procedures are too often condoned in the name of expediency or pressure for immediate results. This issue represents a significant challenge to police executives and a department's value system.
The guidance the executive can provide on such a volatile issue begins with the value system of the police department and the systems established to put these values into operation. The community and law enforcement must be involved in developing a comprehensive approach to drugs and gangs that solicits the community's cooperation and support. The police department must address both the criminal acts and the community's fears or perceptions. Specialized training must be provided to the officers in: effective techniques for investigating drug activity, making arrests, developing intervention and diversion programs, establishing racial and cultural awareness programs, and developing broad based community support through such programs as a citizens' crime watch and D.A.R.E. The relationship between police and urban youth can become a positive partnership that includes police, parents, schools, community and business leaders, clergy, and the media. The relationship should be one that seeks both to prevent and to resolve problems of crime and disorder based on cooperation, collaboration, and mutual respect.
10.07: Relationship
A police department's effectiveness in making itself accessible to the community will invariably depend on whether there is a plan or program to promote and enhance involvement with citizens. Whether the purpose is to inform citizens about police initiatives, to inform them about general police department progress or conditions, to secure their input in a specific area, or to discuss effectiveness of the department and its personnel, most police executives depend on three basic avenues. They are direct dialogue with citizens and representatives of organizations, use of the news media, and communication of selected information through various means, including speeches and assignments to designated personnel. At the same time, all department personnel and all means of communication should be focused on making the department "approachable" to citizens.
The most common standard for measuring a department's effectiveness with respect to accessibility is the number and attitude of citizens who freely approach the department to make inquiries, complain, or volunteer their assistance. If the attitude of citizens demonstrates confidence in the department and pride in performing a civic function, it can be surmised that a substantial level of departmental accessibility has been achieved. On the other hand, if citizen contacts or encounters with the police are characterized mostly by a mixture of fear, rancor, and general distrust, then the police executive and the department's personnel have a lot of hard work ahead of them. | textbooks/workforce/Corrections/Community_and_the_Justice_System_(Wymore_and_Raber)/10%3A_Strategies_for_Facilitating_Conflict_Resolution_in_a_Multicultural_Society/10.05%3A_Enforcement.txt |
According the U.S. Department of Justice, in the United States approximately 10,000 prisoners are released per week from state and federal prisons, meaning approximately 560,000 ex-prisoners annually reintegrating into society. According to the recidivism center, recidivism rates are extremely high with approximately two-thirds of ex-prisoners committing new crimes within three years of release.
This leads to asking, is society doing enough to help ex-prisoners stay out of the correctional system, or does society have an obligation to help ex-prisoners. It is possible this a significant factor in the disproportionate incarceration of black males in the United States. The probability of an African American male being sentenced to prison in his lifetime is one in three, whereas for a Caucasian male it is one in seventeen. Should society commit more resources to improving reintegration efforts and assist ex-prisoner find minimal employment and housing? If so, would the ex-prisoner be less likely to re-offend? Providing resources to ex-prisoners successfully reintegrate into society could possibly reduce costly recidivism rates.
Many ex-prisoners will return to the same neighborhoods they lived in before their incarceration. Often these neighborhoods have high rates of crime and poverty, which could lead many in the community with the feeling of being separated from society as a whole and with little hope.
Figure 10.3 Many offenders return to neighborhoods with high crime and poverty rates making it difficult to escape the criminogenic lifestyle. Image is used under a CC BY-NC-SA 2.0
Many ex-prisoners can develop animosity from a society which is unforgiving of their criminal history. Additionally, personal, social, and legal challenges have the possibility of making the road to becoming a productive citizen difficult.
Depending on the crime, Ex-prisoners often face limitations on where they can live and can have difficulty finding affordable housing. Often, low-income public housing is the only available option. Many public housing developments are often inundated with criminal gangs and street crimes, which make it difficult to avoid criminal situations. The private housing is often not an option because ex-prisoners have bad or no possibility for credit or funds required to enter the housing market. Additionally, the stigma of being an ex-felon can lead to difficulties securing funds.
For ex-prisoners finding and maintaining employment can lessen their chance at falling back into the criminal lifestyle. However, the stigma of being an ex-convict, can decrease the number of sustainable job available to them. Many employers conduct criminal history checks on prospective employees and reject anyone with a criminal history. One study from 2003, indicated 90 percent of employers surveyed were willing fill job vacancies with welfare recipients, but only 40 percent were willing to consider hiring an ex-prisoner. The study determined companies that require contact with customers are among the most unlikely to consider hiring a convict. Employer reluctance is greatest when the ex-prisoner was convicted for a violent crime and least reluctant is when the conviction was for a nonviolent drug offense.
Finding employment opportunities can be especially challenging because many offenders have limited work histories. Many ex-prisoners are limited to working inconsistent, low-wage jobs, which makes it challenging for them to support themselves and their families. More than one third of all prisoners were unemployed at the time of arrest according to the Bureau of Justice Statistics.
Only about half of ex-prisoner adults have a high school education or General Education Degree, compared with 85 percent of the national adult population according to the National Reentry Resource Center. Most ex-prisoners do not have viable job skills, or sufficient education to obtain employment sufficient to sustain themselves and their families.
Figure 10.4 Female inmates in classroom. Image is in the public domain.
Inmates have educational opportunities while incarcerated, however only one third of all prisoners choose to participate. Prison programs can assist an inmate with obtaining a GED, teach basic adult education, like good decision makings skills, some even teach English as a second language. These programs can improve the ex-prisoner’s chances of employment, but the ex-prisoner must choose to better themselves.
More can be done to help break down social barriers which makes transition for ex-prisoners difficult. Providing assistance in finding adequate housing and providing educational opportunities that can lead to gainful employment are all meaningful to successful reintegration and reductions in recidivism. That being true, the ultimate change must come from the person who needs to change their destructive life patterns. Only by changing their actions will the ex-prisoner break the cycle of criminality. Ex-prisoners must choose to abstain from crime. They must choose to avoid substance abuse, choose to avoid gangs, choose to exercise self-control, choose to avoid situations which put themselves at risk. Society can provide pathways to social redemption, but ultimately the ex-prisoner must pursue chances to improve their situation. Only the ex-prisoner can put forth the effort which can lead to a life worth living. | textbooks/workforce/Corrections/Community_and_the_Justice_System_(Wymore_and_Raber)/10%3A_Strategies_for_Facilitating_Conflict_Resolution_in_a_Multicultural_Society/10.08%3A_Reintegration.txt |
The management and applications of police conflict resolution and use of force are perhaps the most important, complex, and pressing issues in modern law enforcement. Law enforcement goals, which are bound by a moral and legal obligation to keep the peace, enforce society’s laws, protect life, and provide the framework for individuals to live free from the fear of victimization. To accomplish these ends, there are times when it is necessary for law enforcement officers to use force, including deadly force.
This constitutional power to use force against the citizenry comes with a great responsibility to use it only when necessary and justified. The law enforcement profession has made progress over time in trying to find the proper balance between restraint and the justified use of force. The process has resulted from society mandating changes, legal precedents, and forward-thinking leadership. Successful police departments sought out information regarding innovative police approaches, new technology, community input and applied them within the department to improve service to the community and protect officers.
Police managers have an obligation to ensure that officers are operating within the law, but also have a responsibility to ensure that their practices incorporate successful strategic approaches. It is essential police departments need to provide officers with resources to carry out their duty, while minimizing the risk of injury and death to the officers as well as the public. In order to accomplish the law enforcement officers mandate, police leaders must seek out efficient and innovative resources to provide to their officers. These resources include updated policies that reflect both the law and industry guidelines, strategies that incorporate modern methods based on promising best practices, integration of tactics for minimum force application and de-escalation training during a potential violent encounter.
The typical police officer is trained and prepared to mitigate physical threats, but studies indicate that only about 1% of police-civilian interactions result in physical encounters. The vast majority of conflict events involving officers consist of interpersonal disputes with little actual violence. To successfully navigate the complexities associated with these disputes, officers must have a clear understanding of conflict, must appreciate how their presence changes the conflict dynamic, and must be able to apply various communication and conflict management techniques. Departments that train their officers how to employ these techniques have the potential to provide results in positive safety and enforcement outcomes, including increased officer safety, reduced repeat calls, lower costs, greater community support and higher officer satisfaction rates.
The use of force, sometimes deadly force will always be required for law enforcement officers to meet the requirements demanded by the public and the rule of law. However, a police department that creates an organizational culture that focuses on conflict management will result in improved public service and officer safety.
HOT SPOT ENFORCEMENT
A series of exhausting evaluations have indicated that police can be more effective in addressing crime and disorder when the focus is on smaller areas of geography with high crime rates. These areas are referred to as hot spots and policing strategies focus on these areas are usually referred to as hot spots policing. Hot spots policing includes a variety of police responses which all share a common focus of resources on the locations where crime is highly centered. The definition of hot spots varies from police agencies, from addresses, to certain street areas, to a clusters of street areas. The specific police tactics used to address high crime areas can very. There is not one way to implement hot spots policing, the approaches can be quite different from police agency to police agency.
The strategies of hot spot policing can be drastically increasing officer time spent at hot spots. The Minneapolis, Minnesota police department conducted a one-year randomized trial to determine the effect of increases in routine police patrols at crime hot spots. For this evaluation, crime hot spots would be small geographic areas of addresses with frequent crime calls. There were 110 hot spots established, with the largest frequency of crime calls between 7:00 pm and 3:00 am. The results showed a reduction in total crime calls from 6 to 13 percent. Police observed crime was only half as prevalent compared to the areas before the control hot spots were established. The greatest effects were on crimes of assault, person down, drug activity, solicitation for prostitution and vandalism. The Minneapolis findings support a hot spot police presence to lower overall crime rate in those targeted areas.
Hot spot policing can also take a complex approach in attempting to improve crime problems. In Jersey City, New Jersey, the police department examined the effects of problem-oriented policing interventions on violent crime problems. They identified violent crime hot spots using robbery and assault incidents and citizen calls for service data. The department then analyzed official data sources and discussing problems with community members, the department investigated the source and extent of the violent crime problems and developed appropriate problem-oriented responses. The analysis identified, 28 specific strategies across 12 intervention places, which can be defined as situational crime prevention interventions or as public order interventions.
Criminal incidents and calls for police service were significantly reduced at the intervention locations compared to the control places. Significant crime reduction took place in the areas of robbery, property crime, street mutual combat, and narcotics crimes. Overall calls and incident reports in total did not decline significantly, however officer’s observations suggested that physical and social disorder were affected in a positive manner at the intervention locations. No evidence was found to suggest the criminals re-located to a different location.
MOTOR VEHICLE ENFORCEMENT
The American Association of State Highway and Transportation Officials (AASHTO) has determined that 93% of all traffic crashes are a direct result of some human factor and that 57% of all fatalities are a result of what could be considered High Risk Driving Behavior. High Visibility Enforcement (HVE) is a proven countermeasure and universal traffic-safety approach designed to create deterrence and change unlawful and risky driving behaviors. HVE combines highly visible and proactive law-enforcement strategies to target a specific traffic-safety issue. Law-enforcement efforts are combined with a marketing strategy to educate the public and promote voluntary compliance with the law. Specific deterrence is defined as the use of some form of punishment for unlawful activity that is intended to discourage a specific individual from re-offending. The objective of specific deterrence is to stop the immediate behavior and to persuade the person who committed the offense from breaking the law in the future.
Figure 10.5 Police patrols are vital to enforcement. Image is used under a Attribution-Share Alike 3.0 Unported license.
Conversely, the concept of general deterrence is the overarching goal of HVE. General deterrence is intended to make motorists think twice about breaking the law. For example, drivers who are aware of Click-It-Or-Ticket campaigns and consistently see seatbelt enforcement during their morning commutes will be more likely to wear a seatbelt while driving as opposed to those who do not. Overall, increased public awareness about enforcement efforts will ultimately change risky driving behavior. Increased squads conducting enforcement in a targeted area to gain voluntary compliance of traffic laws and create general deterrence to prevent traffic violations. Increased enforcement must be visible to the motoring public, they need to see officers making traffic stops. This method has proven effective in reducing traffic and DUI related accidents and fatalities.
Act It Out! Conflict Resolution Exercise
In this exercise, we will look at skills and techniques we can develop to improve our ability to resolve conflicts. We are going to break into groups and identify recent conflicts we have experienced in our personal life. You will be asked to identify trigger words or situations that escalated the problem. Then, your partner will offer a suggestion on how you could have resolved the situation.
Step 1:
Create a conflict sheet (Identify 3 Incidents)
Subject of Conflict
People Involved
Incident
Trigger Word
1
2
3
Step 2:
In groups of FOUR read your conflict sheet, and the person to the left will provide possible solutions to the incident. Continue around the circle with each person providing and incident and providing a solution.
Step 3:
As an officer, conflicts arise daily. Officers often have to help others resolve conflict. How did this activity help you think through other people’s conflicts? Did you feel comfortable providing solutions? Why or why not?
Step 4:
How did this class help you resolve conflicts? | textbooks/workforce/Corrections/Community_and_the_Justice_System_(Wymore_and_Raber)/10%3A_Strategies_for_Facilitating_Conflict_Resolution_in_a_Multicultural_Society/10.09%3A_Visible_Presence.txt |
For citizens, even for those of us with no aspirations in a career in law enforcement, morality and integrity are important characteristics to demonstrate. We instinctively know that it is good to be moral and act with integrity, but by coming to an understanding of the reasons for morality and integrity, we will be motivated to champion such behaviour. Among the reasons to be moral and integral, regardless of occupation are to:
• Make society better. When we help make society better, we are rewarded with also making better own lives and the lives of our families and friends. Without moral conduct, society would be a miserable place.
• Treat everyone equally. Equality is a cornerstone of most Western democracies, where all individuals are afforded the same rights. This is not possible without the majority of citizens behaving in a moral manner.
• Secure meaningful employment. Often employers will look at a person’ past behaviour as a predictor of future behaviour. Someone who has a history of immoral behaviour will have difficulty securing employment in a meaningful job, as that person may not be trusted.
• Succeed at business. If you are employed in an occupation in which there you must rely on others, your moral conduct will determine the degree of goodwill that you receive from others. Businesses that have a checkered moral history are typically viewed with caution and are unlikely to attract new customers through word of mouth, and therefore are unlikely to prosper. This is especially the case where social media makes customer reviews readily accessible.
• Lessen stress. When we make immoral decisions, we tend to feel uncomfortable and concerned about our decision making. Making the right moral decision, or taking a principled perspective on an issue, reduces stress.
Ultimately, ethics is important not so that “we can understand” philosophically, but rather so we can “improve how we live” (Lafollette, 2007). By being moral, we enrich our lives and the lives of those around us. It’s especially important to live a moral life when we are young, as it is helpful to exercise and practise these concepts before being confronted with more complex issues. Lafollette (2007) theorizes that ethics is like most everything else that we strive to be good at; it requires practice and effort. Practising and making an effort to make moral decisions throughout life will pay dividends when we are faced with serious moral dilemmas. Furthermore, having insight into “…historical, political, economic, sociological and psychological insights…” (Lafollette, 2007, p.7) allows us, as decision makers, to make more informed decisions, which will likely result in moral decisions. In sum, the practice of being moral, allows us to work on these skills, so when we are faced with real situations that impact others, we are ready
Lafollette (2007) also emphasizes the need to understand and develop our virtues. Knowing that we ought to behave in a certain way, yet missing an opportunity to exercise moral behaviour, is an indication of the need to “sharpen moral vision.” For example we know that we ought to stay in good physical shape but often do not. This illustrates the need to be mindful of a virtue (in this case perseverance) that is important and must be developed. If, as people aspiring to become law enforcement officers, we develop the virtue of perseverance by staying in shape, we are more likely to hone that skill when we are working in law enforcement. We will be able to draw on that virtue when needed for even more serious situations, not only in law enforcement, but in other challenges that we may face in life.
Ethics is also important for those citizens who do not aspire to work in law enforcement. Successful business leaders often say that treating people morally is a very important aspect in obtaining success. A person’s reputation is of key importance for a business leader, and if a person’s reputation is damaged by poor ethical conduct, the business will also suffer. The same is true in all walks of life. Where ethics are taken seriously, and people strive to make ethical decisions and actions, personal and professional success follows.
Critics may argue that this attitude is self-serving and that some individuals act ethically only for their own self-interest to be successful or happy. Critics would add that this is not the right reason to be ethical, and therefore is not being truly ethical. A counter argument may be that the action itself can be regarded as ethical, regardless of the reason for taking the action. This perspective focuses more on the end result rather than the means to the end.
How do you know as an individual if you pass the ethics test?
As an individual, you can ask yourself what society would be like if everyone conducted their moral selves like you do. Would society be better or worse? By asking yourself this question, your are really testing the universality of your behaviour. Immanuel Kant, a famous scholar of ethics, suggests we should only act in ways that we would want everyone else in the same situation to act. We should also consider any way that we can improve our moral life to make society better. | textbooks/workforce/Corrections/Ethics_in_Law_Enforcement_(McCartney_and_Parent)/01%3A_Ethical_Behaviour/1.01%3A_The_Importance_of_Ethical_Behaviour.txt |
Without a doubt, the most important attributes of an individual applying for a job in law enforcement are the applicant’s integrity and moral behaviour. In order to be a law enforcement officer, individuals must demonstrate a life lived morally.
Of course, in some instances, an applicant may have on occasion been involved in isolated immoral activities. This is often understandable; however, law enforcement employers will not hire an applicant if they detect a demonstrated pattern of immoral behaviour. Recruiters and the agencies they work for may differ in the specific number of illegal or immoral acts they will allow an applicant to have committed before hiring that person, they all agree that it is very few. Some law enforcement agencies, in hiring climates where they have numerous applicants to consider, have the ability to be very selective and may choose only those applicants who have not demonstrated any moral lapses.
The moral history of an applicant is closely scrutinized by law enforcement agencies through background checks, polygraphs, detailed interviews, and integrity questionnaires. Each of these methods are used to root out applicants who may have exhibited poor moral choices in their past. Right or wrong, law enforcement agencies view past performance as a predictor of future moral performance.
Predicting an applicant’s future moral conduct is largely based on the common acceptance of the slippery slope theory of ethics. According to this theory, applicants who exhibit minor moral infractions are viewed as likely to progress to more serious immoral behaviour. Punch (2009) describes the slippery slope as being small deviant acts that become increasingly easy and lead to participation in larger, more serious acts. Punch (2009) refers to the slippery slope as a “ladder” in which corruption is the end result, after a series of immoral steps.
Punch (2009) also describes the journey of some police officers as they travel from being moral civilians to immoral police officers. This often occurs because indoctrination into the police culture can negatively affect police recruits’ ethical behaviour and have disastrous consequences (Souryal, 2011). Punch (2009), in describing this journey into the police subculture, states that the result is the slippery slope during which immoral decisions start as minor breaches of organizational or occupational rules and evolve into major corruption. Accordingly, Punch infers that even those applicants who have taken part in minor immoral activities would likely progress to serious immoral behaviours.
Punch (2009) refers to qualitative research, illustrating how the slippery slope theory may have played a role in the corruption case of Bob Leuci of the New York Police Department (NYPD). In this instance, Leuci joined the NYPD and was determined to remain straight, but slipped into corruption in a desire to fit into the police culture. Eventually, he became involved in serious corruption, resulting in his being fired, charged, and criminally convicted.
Contrary to proponents of this perspective, Prenzler (2009) argues that the notion of slippery slope has been incorporated into the police subculture not because the theory is valid but rather as a way to keep young officers from committing even minor ethical or moral infractions. Lafolette (2007) also rejects the theory, arguing that proponents of the slippery slope argument are imposing a general structure in which the cause of immoral activity can be traced back to even morally permissible activity. He breaks down the argument into a formula, asserting the following:
Action x is prima facie (or believed to be) morally permissible
If we do action x, then through small analogous steps circumstance y will probably follow
Circumstance y is immoral
Therefore x is immoral
Lafollette (2007) asserts that the above argument leads to unrealistic and unlikely conclusions because it assumes that all slopes move are downward toward immoral behaviour, and never considers that a slope could be upward, toward more moral behaviour. We should be prepared to consider that individuals who act immorally may regret their actions and decide to act more morally, or at the very least, cease their immoral practices. Essentially, Lafollette (2007) argues that we can learn from minor bad behaviours, regret the immoral behaviour through guilt or empathy, and strive to improve or reform. Thus, he argues, a person who commits fraud for the first time and later regrets the act will change his or her behaviour and not commit fraud in the future. What the person learns is that the feelings of guilt are not worth the gains made from fraud.
Caless (2008) enlarges Lafollette’s critique with his observation that absolutists, viewing minor moral breaches in black or white terms, further promote the slippery slope theory. Caless (2008) questions the assumption that everyone is susceptible to corruption, and, as a result, minor immoral breaches must inevitably lead to major ones. He argues that if the slippery slope argument is to be accepted, then all officers who have ever received even a free cup of coffee will eventually perform major immoral actions.
The slippery slope theory also proposes that corrupt individuals who have entered law enforcement are more likely to engage in future criminal activity whether they have that first free cup of coffee or not. Coleman (2004) responds to this argument by suggesting that if only a few officers slide into immoral behaviour as a result of receiving a gratuity, then all officers should be denied such opportunities. Police corruption is so serious that it should be prevented at all levels, even if this means banning all gratuities.
If you are pursuing a career in law enforcement, how do you know if you pass the ethics test?
Ask yourself what a law enforcement agency would think of your poorest moral decisions, and how these decisions would appear if you made them while your were employed by that agency. When did you make these moral mistakes? Were you young and therefore they could be considered childish mistakes? Problems arise when we make moral mistakes as adults, especially if we are young adults who have declared an interest in pursuing a law enforcement career. | textbooks/workforce/Corrections/Ethics_in_Law_Enforcement_(McCartney_and_Parent)/01%3A_Ethical_Behaviour/1.02%3A_Ethics_and_the_Pursuit_of_a_Law_Enforcement_Career.txt |
Democratic countries walk a fine line between the anarchy and civil violence of collapsed states and the suppressive citizen controls exerted by highly authoritarian regimes. It is through the commitment of the police to the citizenry, their capacity to control crime, and their ability to act according to the rules they enforce—that they are also not above the law—that democracy survives (Caldero and Crank , 2004, p.17)
Inevitably this question arises: “why is it so important to be a moral law enforcement employee?” There are several reasons why people employed in law enforcement are required to be moral and to have sound moral values. Ironically, morals can at times be a hard sell to law enforcement officers, who, when dealing with exigent situations in which they are concerned not only for their safety but for the safety of all citizens, consider that the manner or means of how safety is achieved is not as important as the end result of achieving that safety. In other words, for officers who are dealing with their own personal personal safety as well as the safety of others, may consider the notion of philosophizing about the right thing to do as not being overly important.
However, law enforcement careers come with a number of duties and responsibilities for which moral behaviour is mandatory. The primary ones include discretion, power, and public service.
• Discretion. Discretion in law enforcement is necessary in order to efficiently manage call loads and to mediate minor incidents. Law enforcement personnel have enormous discretionary power throughout every rank, regardless of seniority, and are given great freedom to make operational decisions from the moment they start on the job. Discretion in law enforcement includes whom to arrest, whom to investigate, whom talk to, and whom to interview. More importantly, in these decisions officers have the power to deprive people of their freedom (Pollock, 2014). It is critical that law enforcement officials possess moral character so that the enormous decisions they must make are balanced and fair.
• Power. Because law enforcement officers exercise much discretion they also wield great power. They have the power to arrest, detain, search, seize, and question. The government grants officers these powers so they can enforce laws and maintain the peace. We live in a country in which due process protects civilians from the abuse of government agents and in which certain freedoms are expected. Thus, we expect law enforcement officers to use their discretion with due process in mind (Pollock, 2010).
• Public service. The state employs law enforcement officers to carry out the state’s mandate: enforcing the law and keeping the peace. The trust the state places in law enforcement and other public officials to carry out this duty in a responsible fashion is called public trust. Public trust ensures that those tasked with these duties will not abuse their power. Public trust also ensures that all public officials will be held to a higher standard than those they serve. The ultimate test of public trust is that law enforcement officials “walk the talk” or “practise what they preach,” and that they never engage in behaviour that, if performed by others, would be considered to break the law (Pollock, 2010).
It is important that employees of all government agencies possess and display a sense of justice in which all individuals are treated fairly. “Justice,” as defined by Rawls (1999), means that all citizens are treated equally and fairly regardless of, among other things, their class, social position, intelligence, or strength. Rawls (1999) emphasizes that there is no greater need in government than for its social institutions to act with justice as the primary goal. For the police, this notion takes on even more importance, as the police are the most visible representatives of government at the street level, and the high level of discretion they exercise makes this notion of justice all the more critical (Lipsky, 1980). In order to achieve justice, police agencies must use their moral and ethical discretion at all times or they risk losing legitimacy, trust, and confidence.
Without ethical conduct, police lose legitimacy, and without legitimacy, the police are ill equipped to carry out their duties (Punch, 2009). One of the main characteristics sought by police recruiters in individuals applying to become police officers is that they possess positive ethics and moral values, which are reflective of society’s expectations (Ellwanger, 2012).
In pursuing moral behaviour within policing, recruitment and training are utilized respectively in an attempt to ferret out immoral applicants who are dishonourable and do not exhibit integrity. This is done through extensive background checks during recruitment and later, and moral principles are reinforced through scenario training. Police officers are trained and educated as recruits so that they will be able to cope with the peculiarities of being a police officer in an ethical fashion (Allen, Mhlanga, and Khan, 2006; Braswell, McCarthy, and McCarthy, 2012; Renkema, 2007).
How do law enforcement officers know if they pass the ethics test?
1. Officers should ask themselves if their agency were aware of their current moral and ethical life on and off the job, would the agency still hire them? If the answer is no, then officers should consider changes in their behaviour.
2. Officers, when confronted with a moral and ethical dilemma, should reflect on what their recruiting officer would consider to be the ideal action. Officers, in turn, should consider what action they would like to see an applicant to the agency make when faced with the same moral and ethical dilemma?
1.04: References
Allen, J., Mhlanga, B. and Khan, E. (2006). Education, training and ethical dilemmas: responses of criminal justice practitioners regarding professional and ethical issues. Professional Issues in Criminal Justice 1(1).
Braswell, M., McCarthy, B., and McCarthy B. (2012). Justice, crime and ethics (7th ed). Burlington, Massachusetts: Elsevier.
Caldero, M. and Crank, J. (2004). Police ethics: The corruption of noble cause (2nd ed). Mathew Bender and Company.
Caless, B. (2008). Corruption in the police: The Reality of the ‘Dark Side’. The Police Journal, 81(1), 3–24. doi:10.1350/pojo.2008.81.1.389.
Coleman, S. (2004). When police should say ‘no!’ to gratuities. Criminal Justice Ethics, 23(1), 33–44. doi:10.1080/0731129x.2004.9992159.
Ellwanger, S. (2012). How police officers learn ethics. In M. Braswell (Ed.), M. C. Braswell, B. R. McCarthy, & B. J. McCarthy, Justice, crime, and ethics (7th ed.). Newark, NJ: Anderson Publishing Company OH.
Lafollette, H. (2007). The practice of ethics. Malden, ME: Blackwell Publishing.
Lipsky, M. (1980). Street-level bureaucracy: Dilemmas of the individual in public services. New York: Russell Sage Foundation.
Pollock, J. M. (2010). Ethical dilemmas and decisions in criminal justice. United States: Wadsworth Publishing Company.
Prenzler, T. (2009). Police corruption: Preventing misconduct and maintaining integrity. Boca Raton, Florida: CRC Press.
Punch, M. (2009). Police Corruption: Deviance accountability and reform in policing. Portland, Oregon: Willan Publishing.
Rawls, J. (1999). A theory of justice. Cambridge: Harvard University Press.
Renkema, C. (2007). Police academy assessment centre. New Westminster, British Columbia: Justice Institute of British Columbia.
Souryal, S. (2011). Ethics in criminal justice: In search of the truth (5th Edition). Burlington, Maine: Elsevier. | textbooks/workforce/Corrections/Ethics_in_Law_Enforcement_(McCartney_and_Parent)/01%3A_Ethical_Behaviour/1.03%3A_As_Employees_in_Law_Enforcement_Agencies.txt |
John Rawls (1921-2002) was a contemporary philosopher who studied theories surrounding justice. His theories are not focused on helping individuals cope with ethical dilemmas; rather they address general concepts that consider how the criminal justice system ought to behave and function in a liberal democracy. It is for this reason that it important that all law enforcement personnel be aware of Rawls’ theories of justice or at least have a general understanding of the major concepts that he puts forth.
Rawls’ theory is oriented toward liberalism and forms the basis for what law enforcement, and the criminal justice system, should strive for in a pluralistic and liberal society. Borrowing from some concepts of social contract theory, Rawls envisions a society in which the principles of justice are founded in a social contract. However, Rawls identifies problems with the social contract that do not allow fairness and equality to exist among members of society and therefore proposes a social contract which is negotiated behind a “veil of ignorance.” Here the negotiating participants have no idea what their race, gender, education, health, sexual orientation, and other characteristics are so that the social contract is fair. Ultimately, Rawls argues that the primary concern of justice is fairness, and within this paradigm Rawls identifies two principles:
1. “Each person is to have an equal right to the most extensive basic liberty compatible with a similar liberty for others” (Rawls, 2006, p.63). Rawls goes further by allowing each person to engage in activities, as long as he or she does not infringe on the rights of others.
2. “Social and economic inequalities are to be arranged so that they are both (a) reasonably expected to be to everyone’s advantage (b) attached to positions and offices open to all…” (Rawls, 2006, p.63). Likewise, everyone should share in the wealth of society and everyone should receive benefits from the distribution of wealth. Rawls does not argue that everyone should be paid the same, but rather that everyone should have benefit from a fair income and have access to those jobs that pay more.
These principles should be adhered to, according to Rawls, to ensure that disadvantages are neutralized and everyone receives the same benefits of justice.
Rawls further addresses ethics in the individual, though this is not the central tenet of his theory, and is somewhat of a general statement of how moral people should behave (Banks, 2013).
2.02: 2.01-1 Moral Relativism
The principles of morality can be viewed as either relativist or absolutist (Souryal, 2011). Moral relativism refers to the differences in morality from culture to culture. A moral relativist’s perspective would state that what is moral in one culture may not be moral in another culture, depending upon the culture. This is important for police officers to understand in a pluralistic society in which many cultures and religions make up the community where the police officer works. It is important for officers to appreciate that what may be immoral in a traditional Canadian sense may not be moral to members of a culture traditionally found outside of Canada. In realizing this, officers may be able to withhold judgment, or at the very least empathize with the members from that community for what in the officer’s perspective may be an immoral act.
Morality in policing is, in most cases, relativistic since police officers are prone to accept moral standards that allow them to achieve goals within the police subculture, often at times contrary to the morals within mainstream society (Catlin and Maupin, 2002). It is moral relativism that enables police officers to accept lying to suspects in interviews in order to gain confessions, or to witnesses to gain compliance. In this instance, an officer may believe that lying is not morally permissible in certain circumstances, but is permissible in other situations. Another example in which a moral relativist perspective may assist an officer is in understanding circumstances surrounding physical punishment of children who misbehave. A culture may maintain that physical puinishment is morally permissible, even though in Canada the same punishment may be in violation of the Criminal Code. It is helpful for officers to understand this while investigating these offences, so that they can build rapport and empathize with suspects, and use moral relativity as a theme in interviews to alleviate the guilt the suspect may feel.
Contrary to relativism, moral absolutism refers to the belief that morality is the same throughout all cultures; that what is right in one culture is right in all cultures and what is wrong in one culture is wrong in every culture. Here, the immoral act is always wrong, no matter the culture, because there are universal rules governing morality. Police officers who are absolutists would reject lying, relying instead on a deontological perspective in which the consequences of the lie do not matter.
Moral relativism is a meta-ethical theory because it seeks to understand whether morality is the same in different cultures. Proponents of moral relativism do not observe universal rules governing moral conduct; rather, moral rules are contingent on at least one of:
• Personality (McDonald, 2010)
• Culture (McDonald, 2010)
• Situations (Catlin and Maupin, 2010).
The difficulty with applying relativism to the police culture is that it does not take into account the diversity of individuals that make up the police culture (Westmarland, 2008). One of the initiatives of community policing is that police agencies now recruit from a wide range of ethnic and cultural backgrounds (Barlow and Barlow, 2009; Kalunta-Crumpton, 2009). This diversity within law enforcement is reflected by the wide array of attitudes that police have toward various issues and the change that has occurred within policing (Newburn and Reiner, 2007). The ability of cultural norms to change is ever-present, and norms can and do change to reflect the values of other cultures (Groarke, 2011). Ultimately, cultural relativism reflects the notion that what is right is permissible in the culture the actor is within and that moral principles are not universal (McDonald, 2010). Within the policing context, the moral underpinnings of members of the police subculture are often in step with the morals of mainstream society, but at times they are not. | textbooks/workforce/Corrections/Ethics_in_Law_Enforcement_(McCartney_and_Parent)/02%3A_Ethical_Systems/2.01%3A_2.01-0_Rawls_Theory_of_Justice.txt |
When learning how to resolve ethical dilemmas, it is important to be able to articulate a justifiable rationale for why we believe one decision seems right and another seems wrong. Having a basic understanding of the major ethical theories will help us toward an ethical resolution learning how to articulate and justify the decision.
At times, some of the ethical theories may seem overly philosophical for our purposes; we may even wonder why we should study theories that were sometimes developed centuries ago when we are primarily dealing with present-day issues. In other instances, some of the ethical theories may seem overbearing. The theories we look at here, however, are important to help us understand why the decisions we make, or someone else makes, are ethical or unethical.
For example, a decision may be made that appears on the surface to be unethical, but when we are aware of the philosophical system used in the decision making, we can then understand the root of the decision and, at the very least, see its intended morality. This allows us to view ethical issues from different perspectives and assists us in making informed decisions.
This book is concerned primarily with normative ethics and understanding only the common normative ethical theories. By dissecting the normative theories of ethics, we can have a clear understanding on the moral decisions we ought to make, or the reason some people make the decisions they do. Ethical theories will be examined only briefly as the focus of this book is contemporary ethical issues facing law enforcement. The descriptions of the following ethical theories are very basic and address only the points required for a basic understanding in a law enforcement context. Examples of how a theory may relate to and assist law enforcement are included.
Overview of Ethical Theories
There are three categories of ethical theories:
1. Normative ethics
2. Meta ethics
3. Applied ethics
Normative theories tell us not only what we ought to do, but also why we do things that in some instances may appear counterintuitive to what we think an ethical decision would be. Such theories are often called ethical systems because they provide a system that allows people to determine ethical actions that individuals should take (Pollock, 2007). Evans and Macmillan (2014, p.27) define normative ethics as “theories of ethics that are concerned with the norms, standards or criteria that define principles of ethical behaviour.” The most common examples of normative ethical theories are utilitarianism, Kantian duty-based ethics (deontology), and divine command theory, which are described later in this chapter. These systems are used by individuals to make decisions when confronted with ethical dilemmas.
Meta-ethics does not address how we ought to behave; rather, meta-ethics is related more to the study of ethical theory itself. Here the interest is in evaluating moral and ethical theories and systems. For example, moral relativism is a meta-ethical theory because it interprets discussions around ethics; a question asked within moral relativism is “is ethics culturally relative?” Evans and Macmillan (2014, p.27) define meta-ethics as “theories of ethics concerned with the moral concepts, theories, and the meaning of moral language. Pollock (2007, p.6) further defines meta-ethics as “a discipline that investigates the meaning of ethical systems and whether they are relative or are universal, and are self-constructed or are independent of human creation.”
For the purposes of this book, meta-ethics will relate to the way we look at and understand normative ethical theories. More concisely, meta-ethics concerns an interpretation and evaluation of the language used within normative ethical theories.
Applied ethics describes how we apply normative theories to specific issues, usually related to work or belonging to an organization; for example, policies and procedures of organizations or ethical codes of outlaw bikers versus ethical codes of police officers. Evans and Macmillan (2014, p.27) define applied ethics as “theories of ethics concerned with the application of normative ethics to particular ethical issues.” An example is knowing and practising the code of ethics for BC Corrections as an employee of BC Corrections or following the British Columbia Police Code of Ethics as a police officer.
With the overview of the three categories of ethical theories we will further analyze each ethical theory or system.
The normative ethical theories that are briefly covered in this chapter are:
• Utilitarianism
• Deontology
• Virtue ethics
• Ethics of care
• Egoism
• Religion or divine command theory
• Natural Law
• Social contract theory
• Rawls’s theory of justice
• Moral relativism | textbooks/workforce/Corrections/Ethics_in_Law_Enforcement_(McCartney_and_Parent)/02%3A_Ethical_Systems/2.03%3A_Major_Ethical_Systems.txt |
Utilitarian ethics is a normative ethical system that is primarily concerned with the consequences of ethical decisions; therefore it can be described as a teleological theory or consequentialist theory, which are essentially the same thing, both having a notion that the consequence of the act is the most important determinant of the act being moral or not. Teleological reasoning takes into consideration that the ethical decision is dependent upon the consequences (“ends”) of the actions. In teleological reasoning, a person will do the right thing if the consequences of his or her actions are good. Additionally, if an action by a person was an act that was “not good,” but the consequences turned out to be “good,” under some theories of teleological reasoning, the act may be deemed a good ethical act. This is also referred to as “consequentialist moral reasoning,” where we locate morality in the consequences of our actions.
As a result of the consequentialist nature of utilitarianism, the means to get to the ethical decision (“end”) are secondary; the end result is that which must be considered before determining the morality of the decision.
Jeremy Bentham (1748-1832) developed the principles of utility by defining it as a measure of maximizing pleasure while minimizing pain. Bentham wrote that everyone prefers pleasure over pain. It is with this belief that utilitarian moral principles are founded (Sandel, 2010). In developing the theory of utilitarianism, Bentham may have meant pleasure as in “happiness” and pain as in “sadness”; however, Bentham’s rendering of utilitarianism sounded hedonistic, as if sensuality was the measure Bentham associated with pleasure (Hinman, 2013).
John Stuart Mill reconsidered the principles of utilitarianism and suggested that pleasure should not merely refer to sensual pleasure but also to mental pleasure, such as music, literature, and friendship. Mill sought to make intellectual pleasures preferable to sensual ones.
Hinman (2013) suggests there are four principle differences between pleasure and happiness:
1. Happiness is related to the mind, whereas pleasure is related to the body (for example sexual pleasure, eating, drinking)
2. Pleasure is of shorter duration than happiness. Happiness is long-term, focusing on the satisfaction of living well, or achieving life goals.
3. Happiness may encompass pleasure and pain.
4. There is an evaluative element in happiness versus pleasure.
There are two formulations of utilitarianism: act utilitarianism and rule utilitarianism. Act utilitarianism concerns the consequences of the first instance, where the utility of that act is all that is regarded.
The second formulation of utilitarianism, rule utilitarianism, concerns the consequences of the majority of people following a certain rule that is immoral, which would be negative. With rule utilitarianism, to determine the ethics of an act, the questions to ask are “What would happen if there was a universal rule that condones this action?” and “Would such a rule promote the consequences that would best serve a moral society?” Rule utilitarianism operates as a check and balance for utilitarian principles, assuring that decisions that may be utilitarian in principle are qualified with the notion of universality, asking “what would the result be if everyone followed a rule that allowed this act?”
The best way to illustrate consequentialist theory is through an implausible story proposed by Michael Sandel (2010).
Imagine you are the driver of a trolley car train and are speeding along. As you are heading to the work yard, you realize the brakes don’t work. Ahead you see five workers on the track. They are busy jack hammering and do not see you approach. You as the driver have the ability to determine where the train goes by switching the tracks to another track. However that track has one worker, who is also oblivious to your approach. By physically switching the tracks, you will save five, but your actions will kill the lone worker.
The moral dilemma is such that we are required to determine what the consequences or the end result should be. The questions you need to ask are:
What action would you take?
Are the end results, or the consequences of your actions, important?
What action would a Rule Utilitarian take?
What action would an Act Utilitarian take?
Q. How can utilitarian theory assist law enforcement in moral dilemmas?
Law enforcement officers possess a great deal of discretion that must be exercised by all officers of every rank, regardless of their experience. When exercising this discretion, officers will be confronted on a daily basis with issues that are complex, and may not be covered in the agency’s policy and most certainly would not have been covered in their formal education or police academy or other training. Law enforcement officers also are required to make exigent decisions, without the ability to consult with senior officers or policy and procedures. In some instances, when confronted with decisions, officers may want to rely on utilitarianism to make an ethical decision that is defensible when scrutinized in the future. For example, an officer tasked with policing a large pro-marijuana protest group may observe a person within the group selling marijuana. Legally, the officer has the duty to charge that person with trafficking in a controlled substance under the Controlled Drug and Substance Act, a serious indictable offence. However, from a utilitarian position, the officer may elect not to arrest and charge the suspect for two reasons:
1. The act of not arresting would make more pro-marijuana group happier compared to the number of people would be unhappy with that decision. We can reasonably say that society at large is becoming more relaxed about marijuana use, and the movement to legalize marijuana is strong and getting stronger. Perhaps the officer would recognize this, and make his or her decision accordingly. If the drug being trafficked was crack cocaine, then the officer would likely adjust the decision. (If the drug was a more lethal drug, that could cause death, the officer would be compelled by duty to arrest the suspect in order to prevent harm.)
2. If the arrest is made for trafficking , the consequence would likely be a serious violent confrontation with the large pro-marijuana group. The arrest by the police would not make the majority of these individuals happy. As a result, while arresting the trafficker may be the duty of the officer, the officer may come to the conclusion that the consequences of making an arrest are likely to be negative. Therefore by using discretion, the officer is utilizing utilitarian principles in his or her decision making.
From a rule utilitarianism perspective, the officer should consider what the consequences would be if there were a rule that everyone was allowed to smoke and sell marijuana. If the officer believes that society would be well served by this rule, then the officer should allow the sale to continue. Should the officer believe the rule would be detrimental to society, the officer should consider this as well, and at least consider making the arrest.
The Problems with Utilitarianism
Like all normative theories of ethics, utilitarianism cannot address all of the ethical dilemmas we face. Sometimes using utilitarian principles may be harmful to a group of people or to an individual. Some of the major problems with utilitarian consequentialist ethics include the following:
• Measuring happiness is difficult. Happiness is subjective and as a result is open to interpretation. Is happiness in winning a million dollars more significant than the happiness a person experiences when told by a doctor that he has a clean bill of health? Likewise, does the value of happiness increase with time, or with importance? If someone won a million dollars, would this be measured as “the most possible happy,” as the million dollars will hopefully last for a long time? Conversely, a person received a clean bill of health after a routine checkup can be regarded as more important news; however this person is likely to forget this good news within days. So when we look at the happiness that is caused by these two events, we need to ask ourselves, “what makes us the most happy?”
• Utilitarian ethics is concerned about the consequences of our actions, regardless of the action itself. However, it can be difficult to know what the consequences of our actions will be because of the variables that we do not control. For example, a police officer may believe that writing tickets at an intersection will create a safe intersection environment for everyone. However, it is difficult to determine for sure that this will be the outcome. Unintended consequences may instead occur. Suppose, for example, that while the officer is writing a ticket at the intersection, a fatal accident occurs due to the officer disrupting the traffic. In this instance, the unintended consequences could not have been predicted, especially if the officer acted in a safe manner while writing the ticket. The unintended consequences may be viewed as immoral by utilitarian standards because of the end result. People who maintain this logic are referred to as Actual Consequentialists because actual consequences are what determine if the act was right or wrong. However, some consequentialists would rightly take into consideration the fact that the fatal accident could not have possibly been foreseen, and therefore the act itself was still moral in spite of the unforeseen negative consequences. This appears to be a more logical approach to consequentialism as it incorporates a mental element (mens rea) in determining if the act was moral.
• Desired ethical consequences that actually result from our actions do not always happen immediately. If the desired consequences of our actions do not occur immediately, how long must we wait for those good consequences to develop before we can say the action was ethical? Likewise, how long are we to wait to deem the consequences as positive or negative? For example, in a correctional institute, a warden who believes that weapons are being made in an inmate job program may cancel the program. The warden may decide to cancel the program due to the inability of staff to ensure that the making of weapons does not occur. The warden’s decision is ultimately based on ethics and a desire to ensure the well-being of corrections staff and inmates. However, the inmates may view this decision as punitive as the prohibited weapons are being made by only some inmates. In analyzing the ethics of the decision by the warden, the question would have to be asked, “how much time would have to expire before we could determine this was an ethical action versus a punitive one?”
• Happiness should not be the only consequence or goal that matters in some ethical dilemmas. Some goals of the ethical decision, such as human rights, may matter more than the consequences of the action. For example, consider a detective who is investigating a series of sexual assaults has located evidence which is not admissible in court but clearly demonstrates that a suspect is guilty of the crimes. The detective realizes that the suspect is likely to recommit the crime, and therefore decides to plant false forensic evidence on the suspect to implicate him. While this action may result in positive consequences (and the greater happiness for the greater number of people), the actions are wrong and cannot be condoned. By removing the notions of justice, fairness, and basic human rights owed the suspect, the actions are immoral and unethical; they are actions that will eventually erode confidence in police. The consequences, from a utilitarian perspective, should not outweigh the notion of justice. In this way, utilitarianism can provide an excuse for those who commit wrongs for noble reasons. On the other hand, utilitarians may argue that the actions are actually not utilitarian because the long-term effects may have an opposite effect: less happiness for the greater number of people should lawful investigations not be trusted by society. This is an example of rule utilitarianism, where we can look at the benefits of having a rule that allows such actions (planning evidence) by law enforcement officers that would not promote the most happiness overall.
• When utilitarian decisions benefit the majority at the expense of the minority, the minority’s rights may not be taken into account. Utilitarian principles often run contrary to individual’s rights, and at times are the antithesis to concepts of modern justice theories. When we are tempted to make a decision that will positively impact the majority, we must also consider the negative impact on the minority. In the example above, the detective who plants false forensic evidence on a suspect may feel that the maximum happiness to the majority of people makes the action ethical. However, the investigator is not respecting the rights of the individual suspect. Much the same way, when crime reduction policies, such as sex offender registries, allegedly promote community safety, offenders’ rights are ignored due to the loss of privacy. This is especially so, given that studies indicate such registries are often ineffective and do little to protect the community (Petrunik, 2002; Vess, 2008). | textbooks/workforce/Corrections/Ethics_in_Law_Enforcement_(McCartney_and_Parent)/02%3A_Ethical_Systems/2.04%3A_Utilitarian_Ethics.txt |
Probably the most complex of all the ethical systems we look at here is Kantian logic, which is a deontological theory. The word deontology comes from the Greek word deon, meaning “obligation” or “duty.” It is an ethical system primarily concerned with one’s duty. It is also known as ethical formalism or absolutism.
Deontology was formulated by Immanuel Kant (1724-1804). Kant believed that the end result is not of primary importance; rather, the real importance is in determining the moral intent of a decision or action itself. Kant would assess the morality of one’s action and disregard the consequences. He further believed that we have duties that are imperative and that these duties must never be abandoned, regardless of the anticipated outcome. These duties, according to Kant, are absolute and must be applied to everyone equally.
The notion of duty is important to law enforcement officers who are bound by law to perform their duty. A duty is something we are required to execute, regardless of whether we want to or not. The duty may have a personal or professional negative consequence attached to it, but as it is a requirement or obligation, it is absolute and/or imperative.
Kant distinguished two types of duties: conditional or hypothetical imperatives and categorical imperatives.
A hypothetical imperative is a duty that is necessary to accomplish a specific goal. It is something that we do to achieve an end. Banks (2013) uses the example of the duty of a student to study hard in order to get good grades. In law enforcement, we may look at the hypothetical duty of a patrol officer to write as many search warrants as possible to be considered for a detective job.
A categorical imperative is an unconditional rule or duty. Regardless of the impact on you that the decision may cause, the duty remains the same and must be done. In this way, the act is unrelated to the end result; it is a duty regardless of the outcome. One example in law enforcement is a domestic assault policy that imposes a duty on a police officer to charge a spouse with an assault if evidence exists. This is a duty regardless of the outcome or the wishes of the officer. The duty in this case is policy written by the British Columbia Attorney General’s office. The categorical imperative does not only have to be written policy; a police officer who stops a violator may have a duty to write the ticket if certain conditions of the violator stop warrant it, such as the danger of the activity and the driving history of the driver. There is much to say about the categorical imperative for law enforcement; however, for the purposes of this book, we will concentrate on only a portion.
Within the categorical imperative, Kant (2006) states that “…every rational being, exists as an end in himself, not merely as a means.” Kant is saying that we should never use people to attain our desired end result; that we should treat everyone with respect regardless of the outcome. O’Neil (1986) uses an example in which a person deliberately makes a promise to another person without ever intending to honour that promise. In this sense, the person who is being deceived cannot consent because the rule, or maxim, of the first person is not known. In a law enforcement context, a police investigator who promises a witness that she will not have to testify against someone if she gives a statement would not be respecting that person and would be using her as a means to an end. An officer would know that this is not a promise that should be made as it is ultimately up to Crown counsel to determine who testifies and who does not. Kant would argue that the promise is using the witness as means to an end, and therefore not ethical. A law enforcement officer must decide whether to follow a consequentialist perspective, in which the consequences of his or her actions are more important, or a Kantian perspective in which the witness ought not to be used as a means to the effective ends.
Coercion is also a way in which Kant would suggest that respect is not shown. Given the powers that law enforcement officers yield, coercion is a tactic that, while perhaps producing an effective end to an investigation, would be wrong in Kant’s view regardless of the outcome because the coercion did not allow the other party to consent to the act. Kant’s conclusion is the following maxim: Act in such a way that you always treat humanity, whether in your own person or in the person of any other, never simply as a means, but always at the same time as an end…” (Kant, 2006, p.50)
Q. How can deontological theory assist law enforcement in moral dilemmas?
Universality. Kant suggests that we should consider the implications of our actions as if they were universal. If we are considering not paying transit fares by jumping over the turnstiles, we should consider the implications if all transit users did not pay. In a law enforcement context, we should consider the ramifications of our actions. For example, a lead investigator may consider misleading the media in order to trick a suspect into making a mistake and exposing himself. When the investigator applies the universality rule (i.e., the spectre of all investigators lying to the media universally), it allows the investigator to consider the negative ramifications of the action, even if the lie was made with the intentions of bringing out a moral consequence. This is comparable to rule utilitarianism, in which the universal application of actions should be considered.
The importance of duty. Law enforcement officers are required at times to fulfill their duty no matter what the personal costs. When confronted with a duty that they may not want to perform, the officers should consider that they agreed to perform duties when they swore their oath. These duties must be performed by someone, and when this duty falls to them, they must do their duty. For example, a patrol officer who does not want to criminally charge an acquaintance must consider her duty and the oath that she took when she joined the agency. The caveat to duty is that the duty must be done in good faith; that is, the duty should not be performed if the officer is aware that there is a lack of morality in the duty. It is often said among experienced police officers, “you are paid not for what you do, but for what you might have to do.” This maxim refers to dangerous duty that you may not want to do, but are paid to do, and ought to do.
Law enforcement officers facing a dilemma in which rule utilitarianism and Kantian logic are at odds should further understand that the choice between the two schools of thought will yield different outcomes, and that the two schools of thought will help the officer understand the options and how to rationalize the decision made. It is not easy to know what option to choose, but officers should take into account the stakeholders involved, including witnesses, suspects, society, the agency and of course themselves.
Respect. Kant believed that a person should never be treated as a means to an end. The moral decision that a person makes must not in any way take advantage of a person. An example is lying to a person to gain “something” in return, even if the “something” is good or a conclusion that will assist and help people. An example in a law enforcement context would be an investigator using an informant to obtain information on another suspect, while offering the informant the chance to remove a charge, when the investigator knows that this will not happen. | textbooks/workforce/Corrections/Ethics_in_Law_Enforcement_(McCartney_and_Parent)/02%3A_Ethical_Systems/2.05%3A_Deontology.txt |
Virtue ethics has its historical background in ancient Greece and was primarily developed by Aristotle. For the purposes of law enforcement, the major foundation in virtue ethics is the idea that if you are a good person, you will do good things, and to be good, you must do good (Pollock, 2007). In essence, we do not do good things because of an analysis of the end result or of an equation to decide how many people to help versus harm. Rather, we do the right thing, or good thing, because of our good character as demonstrated throughout our life. Therefore, the good act is an automatic response requiring little thought. However, when faced with complex ethical dilemmas, the person who has demonstrated a life of good character will show good character, using temperance and intellect. The real question for Aristotle was not, “what should I do?” but rather “what type of person ought I be?” When our answer is that we ought to be a virtuous person, we are likely to act in a virtuous manner, and therefore in an ethical manner.
Aristotle also spoke of flourishing in life, or living in a state of well-being. He used the word eudaimonia (from the Greek eu, “good,” and daimon, “spirit;” commonly translated as “happiness” or “welfare,” but more accurately as “human flourishing”) to express the state of well-being and living a flourishing life. Within this context, Aristotle concentrated on virtues and vices. Virtues are strengths of a person’s character that promote flourishing and well-being (Hinman, 2013). Conversely, vices are character flaws that impede flourishing and limit one’s sense of well-being.
Hinman (2013) writes of different types of virtues that Aristotle proposed:
• Executive virtues are examples of “strength of will,” such as courage and perseverance.
• Moral virtues are related to moral goodness. Examples are compassion, generosity, truthfulness, and good temper.
• Intellectual virtues are related to the ability to consider options. Examples are wittiness, wisdom, and understanding.
When we look at some of these virtues collectively, we can see that they project attributes that we want law enforcement personnel to possess. In a law enforcement context, society has expectations of officers who:
• Are courageous. Officers who are willing to put themselves in harm’s way, in order to enforce the law, to protect people and property and to prevent crime.
• Demonstrate perseverance. Officers who are not easily deterred from doing the right thing or investigating crimes.
• Exhibit compassion. Officers who are able to empathize and sympathize with lawbreakers and victims and who understand that situations are complex and that everyone deserves respect.
• Act with generosity. Officers who offer themselves off duty by volunteering and who try to better the lives of others through community service.
• Show truthfulness. Officers who are trustworthy and who can be counted on to speak the truth, even when the truth is embarrassing, or results in a not-guilty decision in a case that is important to the officer.
• Display good temper. Officers who, when confronted with difficult situations, stay calm and who are able to withstand pressure to react physically or verbally.
The virtues listed above are attractive to law enforcement agencies, and people who demonstrate these virtues are those who law enforcement agencies and all other branches of public service want. Vichio suggests a list of core virtues that law enforcement personnel should possess (Fitch, 2014). They include:
• Prudence. Officers with the ability to decide the correct action to take when rules and policy are not present.
• Trust. Officers with the ability to be relied upon for truth. This must exist between officers and civilians, officers themselves, and officers and the courts.
• Effacement of self-interests. Officers who do not abuse their position of authority or gain favouritisms due to their position.
• Courage. Officers who place themselves in danger intellectually and physically. Officers who are not afraid of testifying in court and/or making arrests in tense and intimidating settings.
• Intellectual honesty. Officers who act while weighing what they learned in training and whose actions reflect their training and their academic abilities.
• Justice. Officers who treat everyone fairly, regardless of personal biases, and who act toward individuals as if looking through a veil of neutrality.
• Responsibility. Officers who understand what is right and that there are other courses of actions, but have the intent to do right. Officers who can be counted upon to keep oaths, and to be accountable.
The Center for American and International Law identifies what they term the Six Pillars of Character. They created these pillars with the assistance of 30 national leaders and ethicists. The six pillars that they identified as being the most important characteristics of an ethical police officer are:
1. Trustworthiness. Includes integrity, promise-keeping, and loyalty.
2. Respect. Treating everyone with respect, regardless of any biases or provocations.
3. Responsibility. Includes accountability, pursuit of excellence, and self-restraint.
4. Justice and fairness. Includes equity and demonstrating due process.
5. Caring. Showing concern for others. Showing consideration for decisions that affect others.
6. Civic virtue and citizenship. Being socially conscious. Demonstrating concern for one’s community.
Q. How can virtue ethics assist law enforcement in moral dilemmas?
As mentioned previously, law enforcement agencies place a great emphasis on good behaviour of their officers. One way to ensure a strong likelihood of good behaviour is to hire those who have moral character that reflect the values of the agency. In clearly identifying these characteristics, agencies are likely to attract those who also identify with these characteristics.
1. Virtue ethics, at its core, is also simplistic, having two tenets that are important for law enforcement. There is no need to measure consequences or the morality of the action. Simply, the task is to be good and do good acts. If officers are good, they will act in a virtuous manner.
2. There is a need to practise virtue. By practising being virtuous, you will become virtuous in difficult situations automatically. Given this view, it is critical for law enforcement agencies to ensure that applicants wanting to join the agency have practised being virtuous to the point where it has become a habit. Applicants who have practised the virtues listed above will be officers who demonstrate those virtues by habit. | textbooks/workforce/Corrections/Ethics_in_Law_Enforcement_(McCartney_and_Parent)/02%3A_Ethical_Systems/2.06%3A_Virtue_Ethics.txt |
Also known as feminist ethics, ethics of care is primarily concerned with caring for others. This has evolved from the need to care for those who cannot care for themselves, such as infants. It is a system that assists us in our relations with other people and thereby strengthens how we positively interact with people. The concept of ethics of care is consistent with many peace-keeping and peace-making roles within law enforcement (Braswell and Gold from Pollock, 2007). Officers routinely find themselves refereeing non-assault domestic and civil arguments while attempting to bring a peaceful resolution to the conflict. Ethics of care is, at times, an important perspective for law enforcement officers when they see a person in need and decide to perform an act of care or kindness. Officers who perform a caring act are, according to ethics of care, acting out of compassion rather from a sense of duty; it is within this context that ethics of care can be a reminder to law enforcement officers that often an ethical solution may be to make peace through consensus and understanding, rather than resolve issues formally through charges.
Ethics of care also supports the notion that issues should be resolved with compassion while building human relationships. In this way, a person should strive to build relationships with the community or individuals. With individuals, the building of rapport is critical to providing compassion to those in crisis and/or need.
Q. How can ethics of care theory assist law enforcement in moral dilemmas?
Building rapport with members of the community is an important aspect of community policing. This enables officers to identify issues and to deal with them with compassion. For example, an officer who builds rapport with students in a high school may become aware of a bullying situation. It is with compassion that the officer will be pushed to action to resolve this issue. Or an officer who is called to a grocery store to arrest a mentally ill street person who is stealing food may, instead of arresting the suspect, find an alternative route, such as connecting the suspect with a social service agency, or arranging for a social worker to help the person finda home.
Law enforcement officers should attempt, where possible, to address such issues with compassion and respect for all the parties involved.
2.08: Egoism
Unlike other theories that prescribe how we ought to behave, egoism is a descriptive principle (Pollock, 2007) that does not tell us necessarily how we ought to behave, but rather why we behave the way we do. It infers that the person who acts in an egotistical manner does so because it is natural to act in this way, and therefore it is a moral action unto itself.
According to the tenets of egoism, the core reason that someone does any action is self-serving by bringing happiness or some other benefit to him- or herself. If someone performs an action that appears to be altruistic, the action was likely performed to give the actor gratification in some way. This may come in many forms; for example in the form of positive media attention, or just feeling good about oneself.
The following example may illustrate how a heroic act by law enforcement officers may be viewed differently through the lens of egoism. On June 10, 2014, Vancouver police detectives witnessed a shooting on the seawall in Yaletown. A gunfight ensued in which the suspect was able to escape via bicycle. Armed and reloaded, the suspect pedalled away and was followed by one of the detectives. The suspect fired at the pursuing detective, narrowly missing her. The detective pursued the suspect while being shot at until other police officers arrived who shot the suspect in an exchange of gunfire.
Most people would look at this case and believe that the detective was selflessly trying to apprehend a dangerous suspect before anyone else was shot. While this may be true, proponents of egoism would suggest that the detective acted in her own self-interest because capturing the suspect would satisfy her happiness, that she wanted media attention, or that she thought her actions would look good to her colleagues, thereby making her happy. This is a cynical view of her actions, but may help us understand why some people act in a way that puts them in danger.
Another way to demonstrate egoism is to place yourself in a situation in which you see someone who requires help. Suppose you decide that not assisting would cause you to feel guilty, thereby troubling you. As a response, you assist the person. From an outsider’s perspective, you were acting selflessly and in the interest of the person who was requiring assistance. The end result of your actions, though, was twofold:
1. Your actions assisted the person in need.
2. Your actions made you feel good, allowing you to rid yourself of that troubling feeling resulting from guilt.
Q. How can egoism assist law enforcement in moral dilemmas?
Egoism does not suggest that police officers should act in their own self-interest; certainly this would not be appropriate for law enforcement personnel. Where egoism may help is to better understand why people do things that may appear selfish. This may help us develop empathy for the suspects that appear to be selfish and allow us to better understand that their actions are driven by egoism. Egoism may also assist us in understanding the motives of others, allowing us to look at these motives with more skeptically than we would otherwise.
Egoism can also provide explanations of misconduct among law enforcement officers. Officers who abuse the trust placed on them by society and abuse their authority could be said to be acting in an egoistic state (Souryal, 2011). In this sense, law enforcement officers are acting in their own self-interest and not in the interest of their agency, the individual citizen who was the target of and officer, and society in general. Ultimately, the end result of bad behaviour by law enforcement personnel, according to Souryal (2011, p.275), is “arguably feeding one’s ego.”
In a broader sense, ethical egoists may also view everything we do as an extension of a desire to live at peace in a society that respects all; every positive action we take is actually selfish activity, so that we can make a better society to live in. In this way, egoists can be positive in their actions making what are apparent good and ethical decisions. However proponents of the egoist theory would suggest that the decisions are at their root self-serving, and therefore egoist in nature.
Criticisms of Egoism
Egoism is an attempt at explaining how we naturally behave with our own interests as a central focus, and that we ought to behave in this way. However, it is an overly cynical perspective on how humans behave. There are plenty of examples of selfless acts that are committed every day and go without notice. While it is true that many donations are made and good deeds done with the expectation that positive publicity will be generated for the giver, this does not necessarily mean that the giver’s sole purpose is to gain publicity. It is possible that publicity is a by-product of giving. Furthermore, while it is in the interests of people to make decisions that will better society, there is no evidence that everyone makes these decisions based on self-interest (Rachels, 2006). If these decisions were universalized, then the world would be a markedly poorer place to live in. | textbooks/workforce/Corrections/Ethics_in_Law_Enforcement_(McCartney_and_Parent)/02%3A_Ethical_Systems/2.07%3A_Ethics_of_Care.txt |
Religion is often considered the most widely used system to make ethical decisions and to conduct moral reasoning (Pollock, 2007). Throughout the world, people rely on a variety of religions to help them determine the most ethical action to take. While divine command theory is widely used throughout the world, there are differences: the application of the theory may differ from religion to religion, and it may differ within each religion.
One of the basic tenets for divine command theory is to use God as the source for all principles. In this way, to rely upon divine command theory, a person must believe that there is a willful and rational god that has provided the direction toward an ethical outcome. It is from God’s commands that actions are determined to be right or wrong and, because of this, divine command theory provides an objective assessment of what is ethical or moral. However, there is ambiguity in the way in which some scripture is interpreted.
According to Pollock (2007), there are four assumptions of divine command theory:
1. There is a god.
2. God commands and forbids certain acts.
3. An action is right if God commands it.
4. People ascertain what God commands or forbids.
Divine command theory also provides an explanation of why ethics and morality are so important. In religions, good acts are rewarded in the afterlife, while bad acts condemn the perpetrator to an everlasting punishment. What essentially makes religion such an incredibly powerful ethical system is that there is the spectre of a potentially eternal punishment in the afterlife (Pollock, 2007). This notion of eventual punishment reinforces in its followers the necessity to make ethical decisions based on the commands of their god.
Barry (1985, as cited in Pollock, 2007) describes that understanding God’s will is done in three ways:
1. Through individual conscience
2. By religious authorities
3. Through holy scripture
Q. How can divine command theory assist law enforcement in moral dilemmas?
It is important for law enforcement officers who do not practise religion to be cognizant of the importance of religion with believers. As religions provide the most commonly used ethical systems in the world, law enforcement personnel, regardless of their own beliefs, must be aware that not only will some officers refer to scripture, so too will members of the public. It is at times difficult for non-believing officers to understand the power of religion and the importance of its meaning to believers. Non-believers must be cognizant of situations in which, to them, decisions based on divine command theory may seem odd or unethical, but are ethical to the believer. This does not mean that the law does not apply, but that care must be taken to act with empathy when dealing with these situations.
Generally, for officers who believe in God, a source of comfort may be present when facing death or other traumatic events that non-believers may not experience. Officers dealing with death may find comfort in the belief that those who die may be in a better place, that their soul is eternal, and that death may mean that the soul goes to heaven. Believing that death is not the end, but a new beginning, may help officers who practise religion deal with pain and suffering.
Officers are routinely involved in circumstances in which situations appear to be unfair and where innocent bystanders are victimized with tragic outcomes. Officers who believe in God are also able to look at these situations and find comfort in the belief that God has a plan for everyone, even those who have been unfairly victimized. These officers can draw strength from their belief that the apparently random victimization wasn’t so random, and that God was acting in a way that, while hard to explain, is planned for some reason only known to God.
Specifically, divine command theory can offer officers a written or prescribed direction to morality. Officers who are faced with a situation in which their values clash with society may fall back on divine command theory for direction in grey areas. An officer who is surrounded with unethical activity by officers, other criminal justice workers, and people on the street may be able to withstand pressure to join in the immoral practice with the belief that God commands moral behaviour toward everyone and prohibits such things as theft through corruption.
Officers could also use divine command theory to reaffirm in their own minds what is right, even when the Criminal Code or other legislation is unclear on a particular issue. By officers asking themselves what would God command or prohibit, they may be able to make a decision that they can justify.
Finally, officers who believe that God is always good would therefore believe that all of God’s commands and prohibitions are good. By interpreting scripture, following the directions of religious authority, or making individual interpretations of God’s command and prohibitions, officers are therefore able to do good, understanding that ultimately it is God’s commands that they follow, and therefore their actions are good.
Criticisms of Divine Command Theory
While religion may be the most common ethical system employed, it has many issues that can be problematic if used as a moral guideline for law enforcement officers. For law enforcement officers in a pluralistic society, who are entrenched in religious doctrine and make ethical decisions based on that religious doctrine, their ethical decisions will not be acceptable with numerous segments of the society that they are sworn to treat equally. While decisions based on religious doctrine may be satisfactory for a law enforcement officer in his or her personal life, they can create difficulties in the workplace. An example is a law enforcement officer who refuses to enforce a court order to clear a group of Christians protesting abortion. The Christian officer may take offecse to such an order, in spite of the court’s ruling and society’s general acceptance of abortion.
Specifically, in a criminal justice context, Rawls (2005) viewed religion in public life as something that was out of place and that should, instead, be a private affair. Our religious and personal morals should be put aside when doing the business of the public. It is important, according to Rawls, that workers in government institutions not demonstrate their religious affiliations because we all receive benefits from living in a pluralistic society and that, as a result, we ought to withhold our religious and personal morals to ensure equality.
Other criticisms of divine command theory include:
• Religious scriptures are generally ancient and are hard to interpret against the complexities of today’s society. As a result, religion as an ethical system does not provide specific ethical guidance to specific ethical dilemmas. Scriptures are ambiguous and are generally broad in nature.
• There are many religions in the world, with each possessing different prescriptions for morality. Religions have different gods from one another that are worshipped. Does the god a person chooses make a difference? Can you pray to the “wrong” god, or no god?
• Science has no evidence of the existence of God. Without a belief in the existence of God, divine command theory loses its authority among a large portion of the population who base their lives on science and empiricism.
• If we do believe in God, “who” determines what the commands are is not absolutely known or agreed upon. Within religious sects, arguments about who interprets commands is commonly a schism that separates factions.
• Those who believe in God can interpret the commands in their own way, thereby creating different interpretations to the solutions sought for ethical dilemmas; consequently, there can be confusion about what exactly is God’s will.
• Contradictions in scripture are confusing. On one side there is mention of the sanctity for life, but there are interpretations that are cited by fundamentalists that provide allowances to cause death to other humans. The most commonly used example of this is in the Quran, in which one passage reads that infidels are to be caught and slayed, but another preaches that Allah loves transgressors. Interestingly, the first verse, it is argued by Muslims, is taken out of context, and refers to Muslims providing self-defence. Interpretations as to what constitutes self-defence further complicates when this verse should be enacted. Should an infidel, in the eyes of a fundamentalist, be slayed for what the fundamentalist deems as an insult, and therefore an attack?
• The notion that the might or power of God should be the basis of our ethical decisions indicates that the morality of the decision is based upon the fear of God’s might and power. If this is so, then is the decision really an ethical decision, or is it coerced?
• If God is omnipotent, and is also the basis of morality:
• How can we rationalize the suffering of innocent children in developing countries?
• Is this God’s plan to allow this to happen? If it is, how can we call this moral? | textbooks/workforce/Corrections/Ethics_in_Law_Enforcement_(McCartney_and_Parent)/02%3A_Ethical_Systems/2.09%3A_Religion_or_Divine_Command_Theory.txt |
Natural law was espoused by Saint Thomas Aquinas, who viewed the world as being created by God and understood that humans are rational beings capable of using their intellect to comprehend the world. By extension, God enabled humans to reason in a natural way to make ethical choices. Aquinas viewed the first principle of natural law as: “good is to be done and promoted, and evil is to be avoided” (White, 2006, p.29). Simply put, natural law asserts that what is good is natural, and what is natural is good. Unlike Thomas Hobbes’ cynical view in the social contract theory 0see next section), Aquinas viewed humans as being naturally inclined to do good rather than evil.
Because of the natural inclination toward doing good, Aquinas viewed morality as a universal set of rights and wrongs that are shared across cultures. He delineated two basic human inclinations:
1. To preserve one’s own life
2. To preserve the human species
Followers of natural law would suggest that the decision is moral if it furthers human life or preserves one’s own life. Should the decision go against human life or preserving your own life, the decision is immoral.
Q. How can natural law assist law enforcement in moral dilemmas?
Natural law can reaffirm in officers the importance of their job, that being to preserve their own life and the human species. Officers could be reminded that property is not as important as life and that their sole function should be public safety, rather than the protection of property, which is one of the common law duties of police officers.
Officers could also use natural law as a reminder of the importance to preserve their own lives when confronted with dangerous situations, and that is natural to want to protect oneself.
Criticisms of Natural Law
A problem inherent in natural law is defining what is natural. A proponent of natural law may deduce that homosexuality is unnatural because it does not preserve the human species. However, biologists have documented many different species that engage in homosexual behaviour. Many people consider homosexual behaviour as unnatural; however, it is seen among a variety of animal species, therefore the case for this being a natural activity is strong (Fereydooni, 2014).
2.11: Social Contract Theory
Social contract theory is another descriptive theory about society and the relationship between rules and laws, and why society needs them. Thomas Hobbes (1588-1689) proposed that a society without rules and laws to govern our actions would be a dreadful place to live. Hobbes described a society without rules as living in a “state of nature.” In such a state, people would act on their own accord, without any responsibility to their community. Life in a state of nature would be Darwinian, where the strongest survive and the weak perish. A society, in Hobbes’ state of nature, would be without the comforts and necessities that we take for granted in modern western society. The society would have:
• No place for commerce
• Little or no culture
• No knowledge
• No leisure
• No security and continual fear
• No arts
• Little language
Social contract theory is a cynical, but possibly realistic, view of humanity without rules and people to enforce the rules. An example of a society in a state of nature can at times be observed when a society is plunged into chaos due a catastrophic event. This may occur in because of a war, such as happened in Rwanda, or by cause of a natural disaster, such as what happened in New Orleans in the aftermath of Hurricane Katrina. In both of these examples a segment of society devolved from a country in which the rule of law was practised to a community in a state of nature. Rules and laws were forgotten and brute force dictated who would survive. Unfortunately, without laws and rules, and people to enforce those laws and rules, society devolves into a state of nature.
In general, even without the calamities of natural disasters and war, Hobbes assumed people would strive for more wealth and power in what could be described as a “dog eat dog” society, where, he believed, people will do whatever is required to survive in a state of nature, where rules and laws are non-existent. This would mean that people will act in “wicked” ways to survive, including attacking others before they are attacked themselves. With rules in place, people feel protected against attack.
In a state-of-nature society, the strongest would control others that are weak. Society would have no rules or laws forbidding or discouraging unethical or immoral behaviour. People would be forced to be solely self-interested in order to survive and prone to fight over possession of scarce goods (scarce because of the lack of commerce).
For Hobbes, the solution is a social contract in which society comes to a collective understanding — a social contract — that it is in everyone’s interest to enforce rules that ensure safety and security for everyone, even the weakest. Thus, the social contract can deliver society from a state of nature to a flourishing society in which even the weak can survive. The degree to which society protects the weak may vari; however, in our society, we agree to the contract and need the contract to ensure security for all.
The social contract is unwritten, and is inherited at birth. It dictates that we will not break laws or certain moral codes and, in exchange, we reap the benefits of our society, namely security, survival, education and other necessities needed to live.
According to Pollock (2007), there are five main reasons that laws are required in society:
1. The harm principle: to prevent the serious physical assault against others that would be victimized.
2. The offence principle: to prevent behaviour that would offend those who might otherwise be victimized.
3. Legal paternalism: to prevent harm against everyone in general with regulations.
4. Legal moralism: to preventing immoral activities such as prostitution and gambling.
5. Benefit to others: to prevent actions that are detrimental to a segment of the population.
Problems with the social contract theory include the following:
• It gives government too much power to make laws under the guise of protecting the public. Specifically, governments may use the cloak of the social contract to invoke the fear of a state of nature to warrant laws that are intrusive.
• From the time that we are born, we do not knowingly agree to a contract and therefore do not consent to the contract. An outflow of this thought is a movement entitled the “Sovereign Citizens” or “Freemen of the Land.” The FBI identifies these movements as individual citizens who reject government control and “the government operates outside of its jurisdiction. Because of this belief, they do not recognize federal, state, or local laws, policies, or regulations.” (US Department of Justice, 2010). The FBI considers these movements as domestic terrorist threats (FBI, 2011).
• If we do accept the contract and wish to abide by it, we may not fully understand what our part of the contract is or ought to be.
• Contracts can be unfair for some. For example, the poor do not get the same benefits of the contract.
Q. How can social contract theory assist law enforcement in moral dilemmas?
While social contract theory does not tell people how they ought to behave, it does provide a basis to understand why society has implemented rules, regulations, and laws. If not for the social contract theory, our understanding of the need for these rules would be limited.
Specifically for law enforcement, social contract theory is important to justify the power that law enforcement can exert over the population as a whole (Evans and MacMillan, 2014). The power imbalance, held by law enforcement, is part of the contract that society has agreed upon in exchange for security. Where the contract can be problematic is when the power used by law enforcement exceeds what is expected by society under the contract.
2.12: References
Aquinas, Saint Thomas. (2006). The Natural Law. In White, J.E. (ed.) Contemporary Moral Problems (pp. 27-30). Belmont CA., Thomas Wadworth.
Banks, C. (2013). Criminal Justice Ethics. Thousand Oaks, CA: Sage Publishing.
Barlow, D. and Barlow, M. (2009). Community policing in the United States: social control through image management in D. Wisler and I. Onwudiwe (eds) Community Policing: International Patterns and Comparative Perspectives, Boca Raton, Florida: CRC Press, 167-188.
Catlin, D. and Maupin, J. (2002). Ethical orientations of state police recruits and one year experienced officers. Journal of Criminal Justice 30(6) 491-498. https://doi.org/10.1016/S0047-2352(02)00171-X
Evans and MacMillan (2014). Ethical issues in criminal justice and public safety. (4th ed). Edmond Montgomery Publications, Toronto.
Fereydooni, A. (2012). Do Animals Exhibit Homosexuality? Yale Scientific. Retrieved from: http://www.yalescientific.org/2012/0...homosexuality/
Fitch, B., (2014). Law enforcement ethics: classic and contemporary issues. Thousand Oaks, Ca., Sage Publishing.
Groarke, L. (2011). Moral reasoning: Rediscovering the ethical tradition, Don Mills, Ontario: Oxford University Press.
Hinman, L. (2013). Ethics: A pluralistic approach to moral theory. Wadsworth Publishing Co.
Kalunta-Crumton, A. (2009). Patterns of community policing in Great Britain’ in D. Wisler and I. Onwudiwe (eds) Community Policing: International patterns and comparative perspectives (pp. 149-166.). Boca Raton, Florida: CRC Press.
Kant, E. (2006). The Categorical Imperative. In J. White (Ed.) Contemporary Moral Problems (pp. 14-50). Belmont CA. Thomson Wadsworth.
Petrunik, M. (2002). Managing Unacceptable Risk: Sex Offenders, Community Response,and Social Policy in the United States and Canada. International Journal of Offender Therapy and Comparative Criminology, 46(4), 483-511. https://doi.org/10.1177/0306624X02464009
Pollock, J. (2007). Ethical dilemmas and decisions in criminal justice. Belmont, California: Wadsworth Cengage Learning.
McDonald, G. (2010). Ethical relativism vs absolutism: research implications. European Business Review, 22(4), 446-464.
Newburn T. and Reiner, R. (2007). Policing and the police. In M. Maguire, R. Morgan & R. Reiner. The Oxford handbook of criminology (4th ed., pp. 910-952). Oxford: Oxford University Press.
O’Neill, O. (1986). Matters of life and death, (T. Regan, Ed.). McGraw-Hill Publishing Company. Excerpted in Contemporary moral problems, (J. E. White, Ed.), West Publishing Company.
Rachels, J. (2006). Egoism and moral skepticism. In J. White (Ed.) Contemporary moral problems (pp. 10-18.). Belmont CA. Thomson Wadsworth.
Rawls, J. (2005). Political liberalism, New York, NY: Columbia University Press.
Rawls, J., (2006). A theory of justice. In White, J.E. (ed.) Contemporary moral problems (pp. 60-66). Belmont CA., Thomas Wadworth.
Sandel, M. (2010). Justice: What is the right thing to do? Farrar, Straus and Giroux, New York.
Souryal, S. (2011). Ethics in criminal justice: In search of the truth (5th Ed.), Burlington, Maine: Elsevier.
U.S. Department of Justice, Federal Bureau of Investigation, Domestic Terrorism Operations Unit and Domestic Terrorism Analysis Unit, (2010) Sovereign citizen danger to law enforcement. Washington, DC.
Vess, J. (2008). Sex offender risk assessment: Consideration of human rights in community protection legislation. Legal and Criminological Psychology 13, 245–256.
Westmarland, L. (2008). Police cultures in T. Newburn (ed) Handbook of policing, (pp. 253-280). Willan Publishing. | textbooks/workforce/Corrections/Ethics_in_Law_Enforcement_(McCartney_and_Parent)/02%3A_Ethical_Systems/2.10%3A_Natural_Law.txt |
When we are confronted with a problem or an issue for which we are required to make a difficult decision, we face a dilemma. The decision may be difficult because there are at least two competing values we are forced to choose between. For example, we may want to purchase an expensive product, but we may have to decide between an expensive, higher-quality product and a cheaper, inferior product. Our decision will involve balancing the values between saving money and purchasing a product that may perform better and last longer. The decision is often difficult, and sometimes we make the wrong decision with the best of intentions of making the right decision.
In order to solve ethical dilemmas, we must be aware of what values we consider important. Pollock (2010, p.13) defines values as unverifiable “elements of desirability, worth and importance.” They are unverifiable because they are not capable of being scientifically proven and may vary from person to person. Evans and MacMillan (2014) define values as opinions and beliefs that we decide are beneficial or important. Before we address how we can solve ethical dilemmas, we need to understand what values are and why they are so important.
3.02: Values
Values are what guide an agency and its employees. Law enforcement agencies will have differing values depending on their function. An agency that investigates wildlife infractions may possess different values from correctional services.
Let’s take a look at various law enforcement agencies and the values they identify as being important on their websites.
Canadian Border Services Agency (CBSA)
• Integrity
• We exercise our authority in an honest, open and fair manner.
• We accept responsibility for our actions in order to build and maintain a reputation of trustworthiness and accountability.
• Respect
• We serve the public interest through non-partisan support of our Minister.
• We show the utmost appreciation for the dignity, diversity and worth of all people and uphold the Canadian Charter of Rights and Freedoms.
• We develop and sustain mutual trust with our colleagues.
• Professionalism
• We employ public resources wisely and properly.
• We provide efficient, competent and excellent service.
• We set high standards of achievement and accountability both individually and collectively.
BC Corrections[1]
• Integrity
• Taking responsibility for our actions
• Understanding how our actions can affect others
• Courage
• Doing what’s right and staying positive, not popular
• Trying something new, risking failure
• Leading by example
• Teamwork
• Coming together in times of crisis
• Mentoring
• Working with people in other departments for a common purpose
• Passion
• Sharing creative solutions with the leadership team
• Demonstrating pride in what we do
• Attempting to perform at a level we would expect of others
• Service
• Maintaining respectful relationships
• Working effectively with our justice partners
• Doing our job really well
• Curiosity
• Listening to new ideas
• Challenging the way we do business and being willing to try new ideas
• Seeking a better way to achieve our goals
• Accountability
• Being responsible for any action we take, and believing in ourselves
• Taking ownership for our actions
• Providing effective leadership and direction to our teams
Vancouver Police Department
The Vancouver Police Department has four core values, which they refer to as IPAR:
• Integrity
• Professionalism
• Accountability
• Respect
Royal Canadian Mounted Police (RCMP) [2]
Recognizing the dedication of all employees, we will create and maintain an environment of individual safety, well-being and development. We are guided by:
• Integrity
• Honesty
• Professionalism
• Compassion
• Respect
• Accountability
When applying for a job with any law enforcement agency, it is important that the applicant understands the core values of that agency. The Vancouver Police website succinctly addresses the importance of knowing the agency’s stated core values and demonstrating a life lived where these values have been incorporated in day-to-day living:
These core values can’t be taught in any school, and they are non-negotiable for our applicants. Without these, it would be impossible to have a successful career with the VPD.
Values are not solely limited to what the agency believes are core values, but also include one’s personal and outside values. (Caldero and Crank, 2004). For example, applicants to the Vancouver Police Department should be aware of the agency’s values and demonstrate how they have incorporated these values into their everyday personal and professional life.
We are inclined to have similar values that are shared among other members of the agency. Values are important for law enforcement officers and should be shared and agreed upon by all members. These imparted values are concentrated throughout the agency and become part of the agency’s culture. Working with various constituents and members of other agencies also requires officers to consider their values. The Canadian Border Services Agency articulates the full integration of values from various sectors of society in its values statement, which reads:
Values are a compass that guides us in everything we do; they represent what we believe and care about. Values cannot be considered in isolation from each other as they often overlap. We are expected to integrate public sector and CBSA values into our decisions, actions, policies, processes, systems, and how we deal with others. Similarly, we can expect to be treated in accordance with these values by our colleagues and management.
Let’s review a situation of differing values in a law enforcement case. As illustrated in the table below, in the case of an active shooter at a theatre, individuals involved in the shooting will have differing values.
Role at the Theatre Values
Single person Hope, stamina, sobriety
Mother with child Caring, concern, fortitude
Officer responding Self-discipline, fortitude, courage
Follow-up detectives Accountability, empathy, consideration
Each person will have his or her own interests and goals, which reflect the values that are important to them at the time. The mother with her child is primarily concerned with the safety of her child, and must show caring to her child and the fortitude to protect her child in the face of danger. Conversely, the follow-up detectives sent to investigate the shooting have goals that include conducting a thorough investigation. They may share some of the values that the mother possesses, but for the investigation, they will likely possess values of accountability to the mother and other victims, as well as have empathy for all the victims’ families. When the situation changes, so too do the values that we possess.
The Ethics Resource Center (2009), located in Arlington, Virginia, identifies the following values as typical values that appear throughout codes of ethics. These are important for us to remember when faced with difficult ethical decisions where we are required to be aware of all the values of each of the vested stakeholders. Some ethical values include:[3]
Acceptance Favorable reception or belief in something
Accomplishment Doing or finishing something successfully
Accountability Obligation or willingness to accept responsibility
Adaptability The ability to modify behavior to fit changing situations
Adventurousness Inclination to undertake new and daring enterprises
Allegiance Loyalty or the obligation of loyalty
Altruism Unselfish concern for the welfare of others
Ambition An eager or strong desire to achieve something
Appreciation Recognizing the quality, value or significance of people and things
Aspiration A strong or persistent desire for high achievement
Assiduousness Unceasing; persistent; diligent
Authenticity The quality or condition of being trustworthy or genuine
Autonomy The condition or quality of being independent
Benevolence An inclination to perform kind, charitable acts
Camaraderie Goodwill and lighthearted rapport between or among friends
Caring Feeling and exhibiting concern and empathy for others
Changeability The ability to modify or adapt to differing circumstances
Charity Generosity toward others or toward humanity
Chastity The condition of being of virtuous character
Cheerfulness The quality of being cheerful and dispelling gloom
Citizenship Exercising the duties, rights, and privileges of being a citizen
Clear thinking Acting intelligently without mental confusion
Collaboration To work cooperatively especially in a joint intellectual effort
Commitment Being bound emotionally or intellectually to a course of action or to another person or persons
Community Sharing, participation, and fellowship with others
Compassion Deep awareness of the suffering of others coupled with the wish to relieve it
Competence The state or quality of being adequately or well qualified
Competitive To strive to do something better than someone else
Composure Maintaining a tranquil or calm state of mind
Concern Regard for or interest in someone or something
Conscientiousness The trait of being painstaking and careful
Consideration Process of employing continuous, careful thought and examination
Consistency Reliability or uniformity of successive results or events
Constancy Steadfastness in purpose
Cooperation The willing association and interaction of a group of people to accomplish a goal
Courage The state or quality of mind or spirit that enables one to face danger, fear, or vicissitudes with confidence and resolution
Courtesy Civility; consideration for others
Credibility The quality or power to elicit belief
Decency Conformity to prevailing standards of propriety or modesty
Dedication Selfless devotion of energy or time
Democracy The principles of social equality and respect for the individual within a community
Dependability The trait of being reliable
Determination Firmness of will, strength, purpose of character
Diversity A point of respect in which things differ; variety
Easygoing Relaxed or informal in attitude or standards
Education Obtaining or developing knowledge or skill through a learning process
Efficiency The quality of producing an effect or result with a reasonable degree of effort to energy expended
Empathy Identification with and understanding of another’s situation, feelings, and motives.
Encouragement The act of incitement to action or to practice
Equality The right of different groups of people to receive the same treatment
Equity The state, quality, or ideal of being just, impartial, and fair
Ethics The way people behave based on how their beliefs about what is right and wrong influence behavior
Excellence State of possessing good qualities in an eminent degree
Fairness Consistent with rules, logic, or ethics
Faith Confident belief in the truth, value, or trustworthiness of a person, idea, or thing
Faithfulness Adhering firmly and devotedly to someone or something that elicits or demands one’s fidelity
Fidelity Faithfulness; loyalty or devotion
Flexibility Responsive to change
Forgiveness The willingness to stop blaming or being angry with someone
Fortitude The strength or firmness of mind that enables a person to face danger, pain or despondency with stoic resolve
Friendship A relationship between people based on mutual esteem and goodwill
Generosity Liberality in giving or willingness to give
Gentleness The quality of being mild and docile
Genuine Not spurious or counterfeit
Giving Voluntarily transferring knowledge or property without receiving value in return
Goodness Morally right, or admirable because of kind, thoughtful, or honest behavior
Goodwill A friendly attitude in which you wish that good things happen to people
Gratitude A feeling of thankfulness and appreciation
Hardworking Industrious and tireless
Helpfulness The property of providing useful assistance or friendliness evidence by a kindly and helpful disposition
Honesty Fairness and straightforwardness of conduct
Honor Principled uprightness of character; personal integrity
Hope The feeling that something desired can be had or will happen
Humility Feeling that you have no special importance that makes you better than others
Industriousness The characteristic of regularly working hard
Ingenuity Inventive skill or imagination
Initiative Ability to begin or to follow through energetically with a plan or task
Integrity Strict adherence to moral values and principles
Joy Intense or exultant happiness
Justice Conformity to moral rightness in action or attitude
Kindness The quality or state of being beneficent
Law-abiding Abiding by the encoded rules of society
Liberty The right and power to act, believe, or express oneself in a manner of one’s own choosing.
Love A feeling of intense desire and attraction toward a person or idea
Loyalty A feeling or attitude of devotion, attachment and affection.
Mercy Forgiveness shown toward someone whom you have the power to punish
Moderation Having neither too little or too much of anything
Morals Individual beliefs about what is right and wrong
Obedience Compliance with that which is required; subjection to rightful restraint or control
Opportunity Favorable or advantageous circumstance or combination of circumstances
Optimism A bright, hopeful view and expectation of the best possible outcome
Patience The ability to accept delay, suffering, or annoyance without complaint or anger
Peace Freedom from war or violence
Perseverance Steady persistence in adhering to a course of action, a belief, or a purpose
Promise-keeping Keeping your word that that you will certainly do something
Prudence Doing something right because it is the right thing to do
Punctuality Adherence to the exact time of a commitment or event
Purity Moral goodness
Reason The ability to think and make good judgments
Recognition An acceptance as true or valid
Reconciliation Enabling two people or groups [to] adjust the way they think about divergent ideas or positions so they can accept both
Reliability Consistent performance upon which you can depend or trust
Repentance Remorse or contrition for past conduct
Resilience The ability to rebound quickly from misfortune or change
Resourcefulness The ability to act effectively or imaginatively, especially in difficult situations
Respect Polite attitude shown toward someone or something that you consider important
Responsibility That for which someone is responsible or answerable
Righteousness The state of being morally upright; without guilt or sin
Sacrifice To give up something for something else considered more important
Self-control Control of personal emotions, desires, or actions by one’s own will
Self-discipline Making yourself do things when you should, even if you do not want to do them
Sensitivity Awareness of the needs and emotions of others
Serenity Calmness of mind and evenness of temper
Sharing To allow others to participate in, use, enjoy, or experience jointly or in turns
Sincerity Genuineness, honesty, and freedom from duplicity
Sobriety Habitual freedom from inordinate passion or overheated imagination; calmness; coolness; seriousness
Stamina The physical or mental strength to do something for a long time
Stewardship The careful conducting, supervising, or managing of something
Supportive Furnishing support or assistance
Thoughtfulness The tendency to anticipate needs or wishes
Tolerance Recognizing and respecting the beliefs or practices of others
Tranquility A state of calm and peacefulness
Trustworthiness The trait of deserving confidence
Understanding Knowing how something works or a positive, truthful relationship between people
Values Core beliefs that guide and motivate attitudes and actions
Virtue Doing something right because it is the good thing to do
Wisdom The ability to make good judgments based on what you have learned from your experience
Work Perform as intended or desired
1. © Province of British Columbia. All rights reserved. Reproduced with permission of the Province of British Columbia.
2. This reproduction is a copy of an official work that is published by the Government of Canada and has not been produced in affiliation with, or with the endorsement of, the Government of Canada. From: Mission, Vision and Values
3. Copied in whole from the Ethics Resource Center. | textbooks/workforce/Corrections/Ethics_in_Law_Enforcement_(McCartney_and_Parent)/03%3A_Ethical_Dilemmas_and_the_Process_of_Effective_Resolution/3.01%3A_Ethical_Dilemmas.txt |
With values as focal point, the National Association of Social Workers has created a framework that is used by social workers to address ethical dilemmas. The framework includes six steps:[1]
1. Determine whether there is an ethical issue or/and dilemma. Is there a conflict of values, or rights, or professional responsibilities?
2. Identify the key values and principles involved. What meanings and limitations are typically attached to these competing values?
3. Rank the values or ethical principles which – in your professional judgement – are most relevant to the issue or dilemma. What reasons can you provide for prioritizing one competing value/principle over another?
4. Develop an action plan that is consistent with the ethical priorities that have been determined as central to the dilemma. Have you conferred with clients and colleagues, as appropriate, about the potential risks and consequences of alternative courses of action? Can you support or justify your action plan with the values/principles on which the plan is based?
5. Implement your plan, utilizing the most appropriate practice skills and competencies. How will you make use of core social work skills such as sensitive communication, skillful negotiation, and cultural competence?
6. Reflect on the outcome of this ethical decision making process. How would you evaluate the consequences of this process for those involved: client(s), professional(s), and agency(ies)?
In comparison, Evans and MacMillan (2014) have developed a framework involving 10 steps to make ethical decision-making efficient and practical. This framework is specific to law enforcement officers and addresses the consideration of laws, regulations, policy, and procedures that other frameworks assume will be followed, but in law enforcement are very important to avoid charges and allow cases against suspects to proceed. The framework concludes with a follow-up to determine the effectiveness of the course of action taken by the officer.
As a simple alternative to these frameworks, students should consider the following framework:
1. Establish the facts surrounding the ethical dilemma.
Facts are important in law enforcement. To investigate all cases, officers must rely on facts to guard against misinformation and cognitive biases. This is also true in ethical dilemmas that we face. If the facts are not known to us, we must investigate everything that surrounds the dilemma to ensure we are acting on the right information. Avoid acting on rumours and gossip by verifying information through factual information and evidence.
2. Determine your legal obligations and duties.
We must be sure what our professional and legal obligations are. Professional and legal obligations will likely allow us to easily decide on a course of action to take in an ethical dilemma. However, while professional and legal obligations may not always require a course of action that coincides with these obligations, our awareness of any professional and legal obligations must be known to allow us to be fully cognizant of the consequences of our actions should we choose to ignore professional or legal obligations.
3. Establish the interested participants involved.
It is important to know who will be impacted by the course of action that we decide upon. Often the primary participants are easy to identify and it is the secondary participants that are often not considered. These may include friends, families, or employees that are related somehow to the primary participants in the ethical dilemma. Knowing the impact of the decision made to secondary participants may be particularly important for a decision made with utilitarian underpinnings; where the rights of those who are not part of the majority may not be considered.
4. Determine the ethical values of each participant.
Determining ethical values is important to allow us an understanding of what is truly at stake. A participant in an ethical dilemma may value loyalty as the most important value. However, another participant may value equality as the more important value. When considered, the value of loyalty may not compare with equality, depending upon the ethical dilemma.
5. Consider normative ethical theories as an aide to determine a course of action.
When considering options, normative ethical theories may assist us in determining the consequences of actions, or the duties we may be obligated to follow that fall outside of the laws, rules, and procedures. We may also assess whether the decision we are considering is rational from another perspective we have not considered. We may also settle on an option, and rely on an ethical theory to assist us in articulating the reasoning behind the option we have chosen.
6. Consider options that would be ethically sound.
There may be several options to consider, and each option ought to be considered critically by determining what harm it would cause and what values the person being harmed holds. The participant should consider the positives and negatives of the decision and determine the risks and benefits associated with each option, as well as the benefits of each action, with these values in mind.
7. Consideration of the possible negative and positive outcomes of each possible option.
Try to predict what may otherwise be unintended consequences of your decision. These consequences may not be readily apparent, but they require a critical analysis of the consequences of your decision. To help with this, try asking the following questions:
• Would the action taken be well received if it was on the front page of a newspaper? While this should be a consideration, keep in mind that often the right decision may be the least popular in public opinion.
• If the decision is job-related, would the agency or company you work for still hire you if it knew you would make this decision? If the answer is yes, then this should give weight to the decision you are about to make.
• If the decision is not job-related, would the agency you would like to work for still hire you if it knew all the facts surrounding the dilemma and the decision you would make? If the answer is yes, then this should give weight to the decision you are about to make.
Implement options after considering steps 1-7.
1. Taken in whole from the National Association of Social Workers.
3.04: References
Crank, J. P., & Caldero, M. A. (2004). Police ethics: The corruption of noble cause (2nd ed.). Anderson Publishing Company (OH).
Ethics Resource Center, (2009). Definitions of values. Ethics & Compliance Initiatives. Retrieved from: http://www.ethics.org/resource/definitions-values
Evans and MacMillan (2014). Ethical issues in criminal justice and public safety (4th ed). Edmond Montgomery Publications.
Pollock, J. (2010). Ethical dilemmas and decisions in criminal justice. Wadsworth Cengage Learning. | textbooks/workforce/Corrections/Ethics_in_Law_Enforcement_(McCartney_and_Parent)/03%3A_Ethical_Dilemmas_and_the_Process_of_Effective_Resolution/3.03%3A_Solving_Ethical_Dilemmas.txt |
Allarie v. Victoria (City), (1995) 1 W.W.R. 655 at 661 (B.C.S.C.)
Berntt v. Vancouver (City), (1997) 4 W.W.R. 505, 28 B.C.L.R. (3d)203, 33 C.C.L.T. (2d) 1 (S.C.)
Box, S. (2008). Crime, power and ideological mystification. In E. McLaughlin, J. Muncie and G. Hughes (eds) Criminological perspectives: Essential readings, (pp. 271 – 284). Sage Publishing.
Ceyssens, P., (1999), Legal aspects of policing, (pp. 3-39 – 3-40.). Earlscourt Legal Press, Inc.
Coleman, S. (2004). When police should say no to gratuities. Criminal Justice Ethics, 23(1), 33-43. https://doi.org/10.1080/0731129X.2004.9992159
Force Science Institute, (2009) Should officers see video of their encounters? Force Science states its case, Force Science Institute. Retrieved from https://www.forcescience.org/2009/01...ir-encounters/
Foster v. Pawsey (1980), 28 N.B.R. (2d) 334 at 63 A.P.R. 334 at 345 (Q.B.)
Hache’ v. Tourville, (1994) 145 N.B.R. (2d) 95, 372 A.P.R. 95
Hicks, W. L. (2004). Constraints in the police use of force: Implications so the just war tradition. American Journal of Criminal Justice, 28(2). 255-270. https://doi.org/10.1007/BF02885875
Hobbes, T. (1950). Leviathan. E. P. Dutton.
Hoffman, R., Lawrence, C., & Brown, G. (2004) Canada’s national use-of-force framework for police officers. Police Chief Magazine. https://www.policechiefmagazine.org/...-use-of-force/
Kania, R. (1998). Should we tell the police to say “yes” to gratuities? Criminal Justice Ethics 7(2), 37-48. https://doi.org/10.1080/0731129X.1988.9991839
Justice Institute of British Columbia, (n. d.) Police academy, red book: Use of force training.
Manning, P. (2010). The police: mandate, strategies and appearances. In T. Newburn (Ed.), T. Newburn, Policing: Key readings. Willan Publishing.
Nozick, R. (1974). Anarchy, state, and utopia. Prentice Hall.
Pedersen v. Hansen, (1963) 2 C.C.C. 348
Pollock, J. (2007). Ethical dilemmas and decisions in criminal justice. Wadsworth Cengage Learning.
Rawls, J. (1999). A theory of justice. Cambridge: Harvard University Press.
Reiner, R. (2010). The politics of the police. Oxford University Press.
Robinow v. Vancouver (City), (2003) B.C.J. No. 989 at para. 71 (QL) (S.C)
R. v. Bottrell (1981), 60 C.C.C. (2d) 211, 22 C.R. (3d) 371 (B.C.C.A.)
R. v. Bottrell (1981), 60 C.C.C. (2d) 211 at 218, 22 C.R. (3d) 371 at 380 (B.C.C.A.)
R. v. Cline (1991), 2 W.A.C. 4, 117 A.R. 4 (C.A.)
R. v. Cunningham and Ritchie (1979), 49 C.C.C. (2d) 390 (Man. Co. Ct.)
R. v. Devereaux (1996), 112 C.C.C. (3d) 243, 147 Nfld. & P.E.I.R. 108 (Nfld C.A.)
R. v. Moffitt, (1984) N.W.T.R. 313 (S.C.)
R. v. Nasogaluak, (2010) 1 S.C.R. 206, 251 C.C.C. (3d) 293
Smith, R. (2009). Police, the public, ‘less lethal force’ and suspects: Deconstructing the human rights arguments. The Police Journal, 82(3), 194–211. https://doi.org/10.1350/pojo.2009.82.3.445
Trepasso v. Police Complaints Commissioner, Ont. Div. Ct., 14 March 1995
Weber, M. (2015). Politics as a vocation. In T. Waters & D. Waters (Eds. & Trans.), Weber’s Rationalism and Modern Society. Palgrave MacMillan
Weber, M. (1919). Politics as a Vocation.
4.01: Ethical Issues
There are numerous ethical issues that arise in law enforcement that are particular only to law enforcement. While widespread systemic corruption and lawbreaking by law enforcement officers in Canada is relatively rare, although it does occur from time to time. Such infractions include a clear violation of federal, provincial, or municipal statutes, and for the sake of brevity, they do not warrant discussion in this text. However, readers should look at such issues critically to gain an understanding of the variables that surround them. It is important to look beyond the obvious moral, ethical, and/or legal violations of the main actor and to critically assess the ethical issues that can, at times, surround the case peripherally. For example, Vancouver police officer Constable Hodson was arrested for selling drugs from his police car and threatening his former informant. This is a clear-cut violation of numerous statutes, including the Criminal Code and the Controlled Drugs and Substances Act. Nonetheless, the following questions may be asked relating to the case:
• What questions arise about the ethics of the Vancouver Police Department investigating Hodson?
• Did the Vancouver Police Department choose to ignore warning signs that Hodson was becoming increasingly involved in immoral behaviour?
• Should the Vancouver Police Department have conducted integrity testing of members making drug arrests?
• What can the Vancouver Police Department do to avoid such a serious breach in the future?
• Should the Vancouver Police Department have detected this moral flaw in Hodson before hiring him?
Key ethical issues that face law enforcement are not easy to identify at times, and when they are identified, they are open to interpretation. Often in law enforcement, a high-profile decision made by an officer in a millisecond is analyzed over months and sometimes years. Even with this ability to analyze the decision over years, a consensus is often not reached about whether the law enforcement officer’s actions were ethical or not. It is for this reason that it is important to look at all ethical issues in law enforcement with a critical mind, so we can understand both sides of each issue. It is also why this text will focus on those issues that are not clearly ethical or unethical, but nonetheless are deserving of debate. | textbooks/workforce/Corrections/Ethics_in_Law_Enforcement_(McCartney_and_Parent)/04%3A_Key_Ethical_Issues_within_Law_Enforcement/04.08%3A_References.txt |
Law enforcement officers possess enormous amounts of power, which can be used against citizens to deprive them of their freedom, search them and their dwellings, seize their property, and use force against them. These powers are legally permitted under specific circumstances, and law enforcement officers are trained to know when these powers can be legally applied. As law enforcement officers rank among the most powerful occupations in society, what compounds their ability to use their power is that they are often in contact with relatively powerless and disenfranchised citizens who may be unable to resist an officer’s illegitimate use of that power. These powers are legally prescribed, and law enforcement officers are well aware of them. It is important that law enforcement officers not misuse their power for the following reasons.
• Because of the psychology of citizenship.
Citizens, for the most part, want to participate in the “social contract,” to be a part of mainstream society and carry out their citizenship responsibilities. They want to belong to society and will do what they think is required by authorities to accomplish this. As a result, they will often try very hard to respond to what law enforcement requires and may be susceptible to unreasonable requests by law enforcement.
• To maintain due process.
Every law enforcement officer should acknowledge the importance of due process. The abuse of power runs directly contrary to the notion of due process, and officers who misuse their power are creating an environment in which due process cannot flourish. Ideally, all officers in the criminal justice system should be focused on due process, and the police have a role in accomplishing due process by being fact finders and apprehenders (Manning, 2010). Along with this, law enforcement officers who are under pressure to charge a suspect must resist the power they are afforded when charges or other actions such as search and seizure are not warranted (Reiner, 2010). Police officers, in particular, face the challenge of weighing crime control against due process, in which they are faced with opportunities to misuse their power. Officers must make decisions on when and in what situations they should use their power. Officers must reflect on how the use of their power would look in a court of law under close scrutiny.
• To safeguard discretionary power and therefore efficiency.
As mentioned previously, law enforcement officers exercise power through discretion. Radical criminologists propose that the police have too much discretion, with the end result being “too much street justice” for the poor, while ignoring crimes of the powerful, of which the police are a member (Box, 2008, p.274). Box argues that the way to eliminate this lack of due process is to place restrictions on discretion. Should law enforcement officers desire to maintain the discretion that they have, which is critical for efficiency, they must not abuse their power.
Power and authority are tools that law enforcement officers must use judiciously and ethically. Without an ethical life, this power will be misused, creating a power imbalance that is bad for the officer, the agency, and society. | textbooks/workforce/Corrections/Ethics_in_Law_Enforcement_(McCartney_and_Parent)/04%3A_Key_Ethical_Issues_within_Law_Enforcement/4.02%3A_The_Ethics_of_Power_and_Authority.txt |
To demonstrate the ease with which power can be used to coerce people, Stanley Milgram conducted a scientific experiment that demonstrated how far people will go when confronted with someone who has power and is in a position of authority. In this instance, subjects often performed actions that were unethical when ordered to by a person in authority. Milgram’s experiment demonstrated the power of authority and how someone in a position of authority can influence people to behave unethically and against their wishes.
Milgram’s Studies on Obedience to Authority
The powerful ability of those in authority to control others was demonstrated in a remarkable set of studies performed by Stanley Milgram (1963). Milgram was interested in understanding the factors that lead people to obey the orders given by people in authority. He designed a study in which he could observe the extent to which a person who presented himself as an authority would be able to produce obedience, even to the extent of leading people to cause harm to others.
Like his professor Solomon Asch, Milgram’s interest in social influence stemmed in part from his desire to understand how the presence of a powerful person—particularly the German dictator Adolf Hitler who ordered the killing of millions of people during World War II—could produce obedience. Under Hitler’s direction, the German SS troops oversaw the execution of 6 million Jews as well as other “undesirables,” including political and religious dissidents, homosexuals, mentally and physically disabled people, and prisoners of war. Milgram used newspaper ads to recruit men (and in one study, women) from a wide variety of backgrounds to participate in his research. When the research participant arrived at the lab, he or she was introduced to a man who the participant believed was another research participant but who was actually an experimental confederate. The experimenter explained that the goal of the research was to study the effects of punishment on learning. After the participant and the confederate both consented to participate in the study, the researcher explained that one of them would be randomly assigned to be the teacher and the other the learner. They were each given a slip of paper and asked to open it and to indicate what it said. In fact both papers read teacher, which allowed the confederate to pretend that he had been assigned to be the learner and thus to assure that the actual participant was always the teacher. While the research participant (now the teacher) looked on, the learner was taken into the adjoining shock room and strapped to an electrode that was to deliver the punishment. The experimenter explained that the teacher’s job would be to sit in the control room and to read a list of word pairs to the learner. After the teacher read the list once, it would be the learner’s job to remember which words went together. For instance, if the word pair was blue-sofa, the teacher would say the word blue on the testing trials and the learner would have to indicate which of four possible words (house, sofa, cat, or carpet) was the correct answer by pressing one of four buttons in front of him. After the experimenter gave the “teacher” a sample shock (which was said to be at 45 volts) to demonstrate that the shocks really were painful, the experiment began. The research participant first read the list of words to the learner and then began testing him on his learning.
The shock panel, as shown in [the figure],“The Shock Apparatus Used in Milgram’s Obedience Study,” was presented in front of the teacher, and the learner was not visible in the shock room. The experimenter sat behind the teacher and explained to him that each time the learner made a mistake the teacher was to press one of the shock switches to administer the shock. They were to begin with the smallest possible shock (15 volts) but with each mistake the shock was increased by one level (an additional 15 volts).
Once the learner (who was, of course, actually an experimental confederate) was alone in the shock room, he unstrapped himself from the shock machine and brought out a tape recorder that he used to play a prerecorded series of responses that the teacher could hear through the wall of the room. As you can see in [the figure], The Confederate’s Schedule of Protest in the Milgram Experiments,” the teacher heard the learner say “ugh!” after the first few shocks. After the next few mistakes, when the shock level reached 150 volts, the learner was heard to exclaim “Get me out of here, please. My heart’s starting to bother me. I refuse to go on. Let me out!” As the shock reached about 270 volts, the learner’s protests became more vehement, and after 300 volts the learner proclaimed that he was not going to answer any more questions. From 330 volts and up the learner was silent. The experimenter responded to participants’ questions at this point, if they asked any, with a scripted response indicating that they should continue reading the questions and applying increasing shock when the learner did not respond.
The Confederate’s Schedule of Protest in the Milgram Experiments
75 volts Ugh!
90 volts Ugh!
105 volts Ugh! (louder)
120 volts Ugh! Hey, this really hurts.
135 volts Ugh!!
150 volts Ugh!! Experimenter! That’s all. Get me out of here. I told you I had heart trouble. My heart’s starting to bother me now. Get me out of here, please. My heart’s starting to bother me. I refuse to go on. Let me out!
165 volts Ugh! Let me out! (shouting)
180 volts Ugh! I can’t stand the pain. Let me out of here! (shouting)
195 volts Ugh! Let me out of here! Let me out of here! My heart’s bothering me. Let me out of here! You have no right to keep me here! Let me out! Let me out of here! Let me out! Let me out of here! My heart’s bothering me. Let me out! Let me out!
210 volts Ugh!! Experimenter! Get me out of here. I’ve had enough. I won’t be in the experiment any more.
225 volts Ugh!
240 volts Ugh!
255 volts Ugh! Get me out of here.
270 volts (agonized scream) Let me out of here. Let me out of here. Let me out of here. Let me out. Do you hear? Let me out of here.
285 volts (agonized scream)
300 volts (agonized scream) I absolutely refuse to answer any more. Get me out of here. You can’t hold me here. Get me out. Get me out of here.
315 volts (intensely agonized scream) Let me out of here. Let me out of here. My heart’s bothering me. Let me out, I tell you. (hysterically) Let me out of here. Let me out of here. You have no right to hold me here. Let me out! Let me out! Let me out! Let me out of here! Let me out! Let me out!
Before Milgram conducted his study, he described the procedure to three groups—college students, middle-class adults, and psychiatrists—asking each of them if they thought they would shock a participant who made sufficient errors at the highest end of the scale (450 volts). One hundred percent of all three groups thought they would not do so. He then asked them what percentage of “other people” would be likely to use the highest end of the shock scale, at which point the three groups demonstrated remarkable consistency by all producing (rather optimistic) estimates of around 1% to 2%.
The results of the actual experiments were themselves quite shocking. Although all of the participants gave the initial mild levels of shock, responses varied after that. Some refused to continue after about 150 volts, despite the insistence of the experimenter to continue to increase the shock level. Still others, however, continued to present the questions, and to administer the shocks, under the pressure of the experimenter, who demanded that they continue. In the end, 65% of the participants continued giving the shock to the learner all the way up to the 450 volts maximum, even though that shock was marked as “danger: severe shock,” and there had been no response heard from the participant for several trials. In sum, almost two-thirds of the men who participated had, as far as they knew, shocked another person to death, all as part of a supposed experiment on learning.
Milgram’s study is important in a law enforcement context for the following reasons:
1. Officers must be careful in exercising authority, especially to those that are most vulnerable.
2. Officers can also be greatly influenced by the negative/unethical actions of fellow officers and their own supervisors. It is important for senior officers to understand that Milgram’s study strongly suggests that the actions of senior officers will coerce the same action in junior officers. While senior officers may think they are not being copied, or are manipulating the junior officer, Milgram’s study suggests that they may be doing so.
3. Law enforcement officers are commonly involved in extraordinary situations, where heightened stress and perceived danger are high. In this environment, even those most strong-willed individuals may be vulnerable to coercion.
4. When a person is being arrested, his or her perception of losing freedom may provoke a reaction to the officer, despite the officer’s position of power.
It is important for any person who possesses power to understand and be aware of the coercive nature of power; that power and authority are easily used to make people do things they otherwise would not do. It is within this paradigm, that abuse of power can occur, and officers must be aware of their power and the ease with which it can be abused.
Text Attribution
The following description of Milgram’s experiment comes from the chapter “Obedience, Power, and Leadership” from the open textbook book Principles of Social Psychology: 1st International Edition. and is licensed CC BY 4.0. All references cited on this page can be found at the end of the chapter of Obedience Power and Leadership. | textbooks/workforce/Corrections/Ethics_in_Law_Enforcement_(McCartney_and_Parent)/04%3A_Key_Ethical_Issues_within_Law_Enforcement/4.03%3A_The_Milgram_Experiment.txt |
Person Differences
Even in cases in which the pressure to conform is strong and a large percentage of individuals do conform (such as in Solomon Asch’s line-judging research), not everyone does so. There are usually some people willing and able to go against the prevailing norm. In Asch’s study, for instance, despite the strong situational pressures, 24% of the participants never conformed on any of the trials.
People prefer to have an “optimal” balance between being similar to, and different from, others (Brewer, 2003). When people are made to feel too similar to others, they tend to express their individuality, but when they are made to feel too different from others, they attempt to increase their acceptance by others. Supporting this idea, research has found that people who have lower self-esteem are more likely to conform in comparison with those who have higher self-esteem. This makes sense because self-esteem rises when we know we are being accepted by others, and people with lower self-esteem have a greater need to belong. And people who are dependent on and who have a strong need for approval from others are also more conforming (Bornstein, 1992).
Age also matters, with individuals who are either younger or older being more easily influenced than individuals who are in their 40s and 50s (Visser & Krosnick, 1998). People who highly identify with the group that is creating the conformity are also more likely to conform to group norms, in comparison to people who don’t really care very much (Jetten, Spears, & Manstead, 1997; Terry & Hogg, 1996).
However, although there are some differences among people in terms of their tendency to conform (it has even been suggested that some people have a “need for uniqueness” that leads them to be particularly likely to resist conformity; Snyder & Fromkin, 1977), research has generally found that the impact of person variables on conformity is smaller than the influence of situational variables, such as the number and unanimity of the majority.
Gender Differences
Several reviews and meta-analyses of the existing research on conformity and leadership in men and women have now been conducted, and so it is possible to draw some strong conclusions in this regard. In terms of conformity, the overall conclusion from these studies is that that there are only small differences between men and women in the amount of conformity they exhibit, and these differences are influenced as much by the social situation in which the conformity occurs as by gender differences themselves.
On average, men and women have different levels of self-concern and other-concern. Men are, on average, more concerned about appearing to have high status and may be able to demonstrate this status by acting independently from the opinions of others. On the other hand, and again although there are substantial individual differences among them, women are, on average, more concerned with connecting to others and maintaining group harmony. Taken together, this means that, at least when they are being observed by others, men are likely to hold their ground, act independently, and refuse to conform, whereas women are more likely to conform to the opinions of others in order to prevent social disagreement. These differences are less apparent when the conformity occurs in private (Eagly, 1978, 1983).
The observed gender differences in conformity have social explanations—namely that women are socialized to be more caring about the desires of others—but there are also evolutionary explanations. Men may be more likely to resist conformity to demonstrate to women that they are good mates. Griskevicius, Goldstein, Mortensen, Cialdini, and Kenrick (2006) found that men, but not women, who had been primed with thoughts about romantic and sexual attraction were less likely to conform to the opinions of others on a subsequent task than were men who had not been primed to think about romantic attraction.
In addition to the public versus private nature of the situation, the topic being discussed also is important, with both men and women being less likely to conform on topics that they know a lot about, in comparison with topics on which they feel less knowledgeable (Eagly & Chravala, 1986). When the topic is sports, women tend to conform to men, whereas the opposite is true when the topic is fashion. Thus it appears that the small observed differences between men and women in conformity are due, at least in part, to informational influence.
Because men have higher status in most societies, they are more likely to be perceived as effective leaders (Eagly, Makhijani, & Klonsky, 1992; Rojahn & Willemsen, 1994; Shackelford, Wood, & Worchel, 1996). And men are more likely to be leaders in most cultures. For instance, women hold only about 20% of the key elected and appointed political positions in the world (World Economic Forum, 2013). There are also more men than women in leadership roles, particularly in high-level administrative positions, in many different types of businesses and other organizations. Women are not promoted to positions of leadership as fast as men are in real working groups, even when actual performance is taken into consideration (Geis, Boston, & Hoffman, 1985; Heilman, Block, & Martell, 1995).
Men are also more likely than women to emerge and act as leaders in small groups, even when other personality characteristics are accounted for (Bartol & Martin, 1986; Megargee, 1969; Porter, Geis, Cooper, & Newman, 1985). In one experiment, Nyquist and Spence (1986) had pairs of same- and mixed-sex students interact. In each pair there was one highly dominant and one low dominant individual, as assessed by previous personality measures. They found that in pairs in which there was one man and one woman, the dominant man became the leader 90% of the time, but the dominant woman became the leader only 35% of the time.
Keep in mind, however, that the fact that men are perceived as effective leaders, and are more likely to become leaders, does not necessarily mean that they are actually better, more effective leaders than women. Indeed, a meta-analysis studying the effectiveness of male and female leaders did not find that there were any gender differences overall (Eagly, Karau, & Makhijani, 1995) and even found that women excelled over men in some domains. Furthermore, the differences that were found tended to occur primarily when a group was first forming but dissipated over time as the group members got to know one another individually.
One difficulty for women as they attempt to lead is that traditional leadership behaviors, such as showing independence and exerting power over others, conflict with the expected social roles for women. The norms for what constitutes success in corporate life are usually defined in masculine terms, including assertiveness or aggressiveness, self-promotion, and perhaps even macho behavior. It is difficult for women to gain power because to do so they must conform to these masculine norms, and often this goes against their personal beliefs about appropriate behavior (Rudman & Glick, 1999). And when women do take on male models of expressing power, it may backfire on them because they end up being disliked because they are acting nonstereotypically for their gender. A recent experimental study with MBA students simulated the initial public offering (IPO) of a company whose chief executive was either male or female (personal qualifications and company financial statements were held constant across both conditions). The results indicated a clear gender bias as female chief executive officers were perceived as being less capable and having a poorer strategic position than their male counterparts. Furthermore, IPOs led by female executives were perceived as less attractive investments (Bigelow, Lundmark, McLean Parks, & Wuebker, 2012). Little wonder then that women hold fewer than 5% of Fortune 500 chief executive positions.
One way that women can react to this “double-bind” in which they must take on masculine characteristics to succeed, but if they do they are not liked, is to adopt more feminine leadership styles, in which they use more interpersonally oriented behaviors such as agreeing with others, acting in a friendly manner, and encouraging subordinates to participate in the decision-making process (Eagly & Johnson, 1990; Eagly et al., 1992; Wood, 1987). In short, women are more likely to take on a transformational leadership style than are men—doing so allows them to be effective leaders while not acting in an excessively masculine way (Eagly & Carli, 2007; Eagly, Johannesen-Schmidt, & van Egen, 2003).
In sum, women may conform somewhat more than men, although these differences are small and limited to situations in which the responses are made publicly. In terms of leadership effectiveness, there is no evidence that men, overall, make better leaders than do women. However, men do better as leaders on tasks that are “masculine” in the sense that they require the ability to direct and control people. On the other hand, women do better on tasks that are more “feminine” in the sense that they involve creating harmonious relationships among the group members.
Cultural Differences
In addition to gender differences, there is also evidence that conformity is greater in some cultures than others. Your knowledge about the cultural differences between individualistic and collectivistic cultures might lead you to think that collectivists will be more conforming than individualists, and there is some support for this. Bond and Smith (1996) analyzed results of 133 studies that had used Asch’s line-judging task in 17 different countries. They then categorized each of the countries in terms of the degree to which it could be considered collectivist versus individualist in orientation. They found a significant relationship: conformity was greater in more collectivistic than in individualistic countries.
Kim and Markus (1999) analyzed advertisements from popular magazines in the United States and in Korea to see if they differentially emphasized conformity and uniqueness. As you can see in [the figure], “Culture and Conformity,” they found that while U.S. magazine ads tended to focus on uniqueness (e.g., “Choose your own view!”; “Individualize”) Korean ads tended to focus more on themes of conformity (e.g., “Seven out of 10 people use this product”; “Our company is working toward building a harmonious society”).
Kim and Markus (1999) found that U.S. magazine ads tended to focus on uniqueness whereas Korean ads tended to focus more on conformity.
In summary, although the effects of individual differences on conformity tend to be smaller than those of the social context, they do matter. And gender and cultural differences can also be important. Conformity, like most other social psychological processes, represents an interaction between the situation and the person.
Psychological Reactance
Conformity is usually quite adaptive overall, both for the individuals who conform and for the group as a whole. Conforming to the opinions of others can help us enhance and protect ourselves by providing us with important and accurate information and can help us better relate to others. Following the directives of effective leaders can help a group attain goals that would not be possible without them. And if only half of the people in your neighborhood thought it was appropriate to stop on red and go on green but the other half thought the opposite—and behaved accordingly—there would be problems indeed.
But social influence does not always produce the intended result. If we feel that we have the choice to conform or not conform, we may well choose to do so in order to be accepted or to obtain valid knowledge. On the other hand, if we perceive that others are trying to force or manipulate our behavior, the influence pressure may backfire, resulting in the opposite of what the influencer intends.
Consider an experiment conducted by Pennebaker and Sanders (1976), who attempted to get people to stop writing graffiti on the walls of campus restrooms. In some restrooms they posted a sign that read “Do not write on these walls under any circumstances!” whereas in other restrooms they placed a sign that simply said “Please don’t write on these walls.” Two weeks later, the researchers returned to the restrooms to see if the signs had made a difference. They found that there was much less graffiti in the second restroom than in the first one. It seems as if people who were given strong pressures to not engage in the behavior were more likely to react against those directives than were people who were given a weaker message.
When individuals feel that their freedom is being threatened by influence attempts and yet they also have the ability to resist that persuasion, they may experience psychological reactance, a strong motivational state that resists social influence (Brehm, 1966; Miron & Brehm, 2006). Reactance is aroused when our ability to choose which behaviors to engage in is eliminated or threatened with elimination. The outcome of the experience of reactance is that people may not conform or obey at all and may even move their opinions or behaviors away from the desires of the influencer.
Reactance represents a desire to restore freedom that is being threatened. And an adult who feels that she is being pressured by a car sales representative might feel the same way and leave the showroom entirely, resulting in the opposite of the sales rep’s intended outcome.
Of course, parents are sometimes aware of this potential, and even use “reverse psychology”—for example, telling a child that he or she cannot go outside when they really want the child to do so, hoping that reactance will occur. In the musical The Fantasticks, neighboring fathers set up to make the daughter of one of them and the son of the other fall in love with each other by building a fence between their properties. The fence is seen by the children as an infringement on their freedom to see each other, and as predicted by the idea of reactance, they ultimately fall in love.
In addition to helping us understand the affective determinants of conformity and of failure to conform, reactance has been observed to have its ironic effects in a number of real-world contexts. For instance, Wolf and Montgomery (1977) found that when judges give jury members instructions indicating that they absolutely must not pay any attention to particular information that had been presented in a courtroom trial (because it had been ruled as inadmissible), the jurors were more likely to use that information in their judgments. And Bushman and Stack (1996) found that warning labels on violent films (for instance, “This film contains extreme violence—viewer discretion advised”) created more reactance (and thus led participants to be more interested in viewing the film) than did similar labels that simply provided information (“This film contains extreme violence”). In another relevant study, Kray, Reb, Galinsky, and Thompson (2004) found that when women were told that they were poor negotiators and would be unable to succeed on a negotiation task, this information led them to work even harder and to be more successful at the task.
Finally, within clinical therapy, it has been argued that people sometimes are less likely to try to reduce the harmful behaviors that they engage in, such as smoking or drug abuse, when the people they care about try too hard to press them to do so (Shoham, Trost, & Rohrbaugh, 2004). One patient was recorded as having reported that his wife kept telling him that he should quit drinking, saying, “If you loved me enough, you’d give up the booze.” However, he also reported that when she gave up on him and said instead, “I don’t care what you do anymore,” he then enrolled in a treatment program (Shoham et al., 2004, p. 177).
Person, gender, and cultural differences in conformity are important in a law enforcement context for the reasons discussed below.
Citizens may not obey a lawful order by a police officer when the officer uses power lawfully. This may occur when the citizen perceives the officer is eliminating the citizen’s right to engage in the behavior they wish to. This, according to Dr. Rajiv Jhangiani and Dr. Hammond Tarry, may lead people not to conform, or obey an order, and may indeed lead the citizen to oppose the officer who is trying to make a lawful order.
Furthermore, while person variables may predict conformity, situational variables are usually more important. This would suggest that the behavior and action of the officers may have a strong role to play in determining whether or not the citizen will conform.
Text Attribution
The following discussion comes from the chapter “Person, Gender, and Cultural Differences in Conformity” from the textbook Principles of Social Psychology: 1st International Edition. and is licensed CC BY 4.0. All references cited on this page can be found at the end of the chapter “Person, Gender, and Cultural Differences in Conformity”
Media Attributions
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Caseload Management
Law enforcement officers who are in investigative roles are often confronted with ethical issues during the investigative process. Officers who have a heavy caseload are expected to determine which case to investigate at the expense of other cases. Officers often rely on the solvability of the case, and concentrate on that case, which means that cases that may be slightly more difficult to solve are never solved. This is a consequentialist perspective, in which the end result is seen as the most important aspect of the investigation.
Some officers may do an assessment of the victim, coupled with other investigative variables that allow the officer to decide which case is ultimately more serious and more important to work on. The difficulty with this approach is that the officer’s values are taken into account and are weighed against the rights of all victims. Problems arise when victims who may not be considered high on the investigator’s valued list (for example an officer who does not value sex-trade workers), do not receive the same level of service that other, favoured victims do. Officers must be cognizant of their personal biases and ensure that they consider other variables, such as solvability, continuation of the offence, serial offences of the suspect, seriousness of the injury, and perishable evidence.
Lies, Deception, and Tricks
Investigators walk a line between being tenacious in their investigations and being overzealous in refusing to give up a case that ought to be closed due to a lack of evidence. Officers must be aware not to allow their personal feelings to interrupt objective, critical and reflective consideration of the case. Investigators should routinely ask themselves how a case would look in court when all the facts are known by the defence counsel and the judge. Would their credibility suffer as a result? If the answer is yes, investigators need to address this and decide whether they should continue along their investigative path, or stop.
The Supreme Court of Canada does permit officers to use “tricks” to solve crimes. In Regina v. Rothman, the Supreme Court ruled that police can use tricks, so long as they do not shock the community. Such shocking or “dirty” tricks include things such as impersonating a priest or a lawyer to gain a covert confession.
Tricks that officers are able to use include posing as gangsters or drug dealers in undercover operations in order to obtain covert confessions. Other tricks that officers may use are lies in interviews to bond with subjects. Lying in law enforcement is allowed in certain circumstances, but is strictly forbidden in other circumstances. These include, but are not limited to:
• Creating evidence or planting evidence
• Lying in court (testifying)
• Lying in reports, notebooks, or other administrative or investigative reports
• Lying in any administrative or civil proceedings
• Lying to fellow officers or supervisors
The scope for lying is very narrow and it should be used sparingly for serious investigations by officers who know the boundaries and what would be accepted in court. However, the ethics around lying lead some officers to discount it as a tactic. Some of the reasons they cite for the unacceptability of lying include:
• Lies destroy confidence in the police. Both the suspect and the community at large will not believe even truthful information brought forward in the future by an officer who uses lying.
• Lies are immoral because they are an illegitimate means to an ends. It goes against Kant’s categorical imperative that we should never lie, regardless of the consequences of not getting a confession in what may be an important case.
• The courts may disallow the evidence because the courts may determine that the evidence was obtained through tactics not warranted under Regina v. Rothman.
• The officer’s religious beliefs and scripture prohibit or strongly discourage lying for interviews and criminal investigations.
Some officers have little issue with lying to suspects, taking a utilitarian and legalistic approach. They argue the following:
• It is for the greater good because lying justifies the end result (a classic utilitarian perspective that maximizes happiness).
• The positive consequence of lying to find evidence outweighs the consequence of not lying and thus not retrieving evidence.
Other officers take a different perspective, arguing:
• It is their duty to do what they can to solve a crime. However, lying does not follow Kantian logic because the act itself is wrong. The duty is to solve crime, not to lie. Furthermore, Kant would argue that the officer is using the person as a means to an end to get a confession.
• Solving a crime means you have to play at the criminal’s moral level at times, and that as long as the evidence is admissible, anything goes. This perspective brings officers dangerously close to crossing the ethical line, venturing into noble-cause corruption. Officers must, in this case, be aware of the limits allowed by the court and not be tempted to surpass these limits.
Other investigative tricks include undercover operations ranging from simple stolen property investigations to elaborate and lengthy operations for murder and drug conspiracies. Essential in undercover operations is the need for an undercover officer to establish credibility with the suspect or target. In doing so, the officer may have to commit, or appear to commit, a crime. This may include stealing or damaging property, selling and handling drugs, or selling and handling restricted weapons. The actions of undercover officers have limits, such as officers not engaging in drug use, crimes of violence, or sex-related activities. Section 25.1 of the Criminal Code protects officers against prosecution as long as they are in the lawful execution of their duty and can account for the need to “break the law.” | textbooks/workforce/Corrections/Ethics_in_Law_Enforcement_(McCartney_and_Parent)/04%3A_Key_Ethical_Issues_within_Law_Enforcement/4.05%3A_Ethical_Issues_during_an_Investigation.txt |
For the purpose of discussion surrounding ethics in law enforcement, a gratuity is the gift of an item to another person based solely on their occupation. A gratuity is most often given to officers by workers in the service industry, such as waiters and bartenders. Additionally and problematically, gratuities are given for services expected and services already rendered; free coffees for law enforcement officers often come with strings attached, or at the very least, as an insurance policy to gain favours in the future should the need arise. A cynic would argue that offering free coffee is not an altruistic gesture, but rather an insurance policy for security in the future. A law enforcement officer who receives free coffee from a restaurateur will likely be expected to provide extra service to the restaurant should it be required. Conversely, a law enforcement officer who removes a drunk person from a restaurant can often expect a free coffee after the drunk has been removed. Four main reasons that gratuities are given to law enforcement officers are:
1. Because of the theory of reciprocity, where people feel they owe something to the giver. In a law enforcement context, this will be collected after the gift (the free coffee) is given.
2. To ensure future cooperation, where the gift-giver may want the services of the officer in the future. This can include gaining biased support of officers in spite of the facts surrounding an issue.
3. To use the presence of police officers, attracted by free coffee, as an advertisement to potential patrons that the environment is safe.
4. To use the presence of police officers, attracted by free coffee, as a way to dissuade potentially problematic patrons from patronizing the restaurant.
Gratuities are often seen as the first step on the slippery slope toward major corruption (Coleman, 2004), and it is for this reason that accepting gratuities is always frowned upon by law enforcement agencies. Coleman argues that while each step is, on the slippery slope, individually insignificant, it is the cumulative effect of the steps that draws and pushes officers to more serious forms of unethical behaviours. Once an officer starts on the slippery slope, pne step leads to another: the coffee leads to a coffee and a donut, which eventually leads to a free dinner. The cumulative effect of these gratuities, according to Coleman (2004), leads to a situation that is difficult for the officer to stop doing or turn around.
Coleman (2004) also identifies an absolutist perspective in which the free-coffee gratuity is viewed the same as receiving a thousand dollar bribe. They are both wrong regardless of the financial gain received by the officer. It can be argued that the intent of the officer should be considered. If the officer’s intent in receiving the free coffee is to build community cohesion and better relations with the police, that should always be considered. However, if the intent is unethical, such as to save money by using the officer’s power position, then this too should be considered.
In a controversial paper, Kania (1998) proposes that the police should be allowed to exercise discretion and decide the appropriateness of receiving minor gratuities such as free coffee. This, he argues, is similar to other professions and is a way to foster community relations; refusing minor gratuities such as coffee strikes at the core of building bridges with the community and can have an adverse effect on relationships. Kania (1998) offers little more than anecdotal evidence of this and recalls incidents in his own policing career in which he observed noble officers rejecting free coffee to the consternation of the provider, thus creating a rift between police and the community.
The most balanced view on gratuities belongs to Pollock (2007), who draws a sharp distinction between a gift and a gratuity. The gift refers to an exchange in which there are no strings attached, whereas a gratuity would likely be given for future favour, however subtle (Pollock, 2007). The difficulty is in determining what is and is not a gift versus a gratuity. Pollock utilizes ethical systems to make this determination.
A deontological perspective would suggest that if all businesses were to give all police gratuities, the ramifications would not be desirable (Pollock 2007). In essence, Rawls’ (1999) principles of justice would be subverted by a system in which only those who pay are entitled to service. Pollock (2007) also suggests from a formalism perspective that the motive of the giver would be paramount and that the giver who has good intentions would make the gift morally permissible. Conversely, utilitarianism would suggest that the negatives outweigh the positives and, as a result, the gratuities would be unethical; however, act utilitarianism would judge each act on its own merits, allowing for gratuities to be accepted when the consequences are good for all concerned (Pollock, 2007). Rule utilitarianism, on the other hand, would determine that the long-term consequences of gratuities would be damaging to more people than they would aid, and therefore would not be morally permissible (Pollock, 2007).
Kania’s (1998) perspective would fall under an ethics of care approach, in which gratuities would be ethical if there were a positive social relationship already formed between the giver and the taker. The ethics of virtue would be concerned only with the virtues of the receiving officer (Pollock, 2007).
In conclusion, while other professions, such as doctors, are free to receive gratuities, law enforcement officers must be careful when receiving gratuities for the following reasons:
• Police are professionals and professionals don’t take gratuities.
• People will expect different treatment.
• Gratuities could erode public confidence.
• There is the slippery slope potential; the receipt of gratuities can be a gateway for more corruption.
• Police get paid by the public to treat everyone equally. | textbooks/workforce/Corrections/Ethics_in_Law_Enforcement_(McCartney_and_Parent)/04%3A_Key_Ethical_Issues_within_Law_Enforcement/4.06%3A_Gratuities.txt |
Introduction
One of the most contentious issues facing peace officers, including police, corrections and sheriffs, is the use of force on citizens being arrested or citizens under an officer’s custodial care. Officers who use force are subject to scrutiny in the following ways:
1. Court. In the courts (criminal and civil), officers who use force, where it is determined the force is unreasonable given the totality of the circumstances, are subject to criminal charges or lawsuits in civil court. The force used by the officers does not have to result in injury to the subject for charges or civil action to result. The key is if the use of force is determined to be unreasonable given the totality of the circumstances. Charges in criminal court can range from first degree murder to assault. In civil court, officers may be held accountable for their actions and be found liable for the damages they have caused.
2. Internal Investigations. Officers may be subject to investigations conducted by their own police department’s investigators within the department’s professional standards unit. The investigation will determine whether a criminal offence has been committed, but also whether the officer has breached the Police Act and/or departmental policy and procedures. When it has been determined that an officer has breached the Police Act or a departmental policy, the consequences may range from a verbal reprimand to suspension to termination of employment.
3. Media Coverage. With the prevalence of cameras in the community, officers’ actions will often be captured on video. Even the most legitimate use of force can appear to be ugly, unnecessary, overly violent, and troubling. Video coverage of a use of force event is often biased and misrepresentative of the whole incident, or has been taken out of context. The November 6, 2014 incident, in which a Vancouver police officer broke a car window of a motorist to arrest the driver, was portrayed as excessive use of force against a driver for a driving violation. The police state that the window was broken after the driver failed to comply with the officer, and the officer broke the window to allow him to make a drug arrest in a potentially dangerous situation. The depiction by the media was somewhat balanced, including views from the police. However, the dissenting view in the article suggested that this type of action would eventually lead Canada to become a ‘totalitarian’ country. The officer’s picture was presented in the media, regardless of the final findings of the investigation into the levels of force the officer used. While media is an excellent vehicle for accountability, officers must be mindful that their actions will be publicized and ensure that they appear in a positive light, exercising proper discretion, control, and minimal use of force.
Other Officers. Officers who use excessive force will often find themselves the subject of a complaint by another officer who witnessed the use of force action. Contrary to the perspective of many outsiders to law enforcement, officers will report and initiate a formal complaint against other officers who use excessive force. Instead of formally reporting the officer, other officers who witness excessive force may choose not to work with the officer or advise other officers not to work with the officer. While this is not a desirable outcome, officers using excessive force must be aware that other officers are scrutinizing their conduct, and that the repercussions can range from facing criminal charges to being ostracized.
History of Force in a Sovereign State
The use of force is an unfortunate but necessary component of state governance. Without the ability of the state to use force legitimately, the state would fall into anarchy or, as Hobbes suggests, a state of nature. Force should only be used by the state in a limited fashion and in limited circumstances. Max Weber observed that the state should be the only source that uses force legitimately, and that the use of force must be a tool available for the state to ensure it survives (Waters, 2015). Weber suggests that there is a need for violence to be used against citizens periodically by the state in order for a sovereign state to ensure order (Waters, 2015).
Nozick (1974) concurs, suggesting that the state must claim monopoly on the legitimate use of force and the ability to punish those who use force illegitimately. In the end, for a state to function, force is expected to be used against the citizens of that state from time to time. The inevitable tension arises when trying to determine the actions that constitute legitimate force as opposed to illegitimate force.
The police use force at times as part of the social contract in which force is required to ensure peace. As citizens, it is ironic that we expect the use of force to be used at times to ensure peace and keep us from a state of nature, however, we collectively agree that there are times in which force will be used against anyone who threatens the peace, or who has victimized someone else. The consequences of not allowing the government, and by extension the police, to create and execute laws, would be a society that would be, as Locke describes “solitary, poor, nasty, brutish and short” (Hobbes, 1950, p. 104). However, the costs of the social contract can at times lead to abuse of authority, in which the contract is abused on behalf of the government and police. Governments, and, in particular, the police are in a position under the social contract theory to abuse this trust under the guise of protecting society, and must be overseen by accountability measures to ensure that the force used is appropriate and not excessive. Force, therefore, must be used against citizens only when appropriate and with the consent of society as a whole. In support of the notion of social contract theory, Sir Robert Peel’s nine principles include the necessity to recognize that the use of force by the police is at times necessary. While Peel’s idea was to have a non-military force keep public order, it was necessary to account for the need to use force when necessary. Peel recognized that force must be a last resort, and used only to the minimum required to achieve police objectives.
The issue with Peel’s ideas is the subjective nature determining the action considered minimal force. Police officers in Canada differ from officers in the United States and the UK. Officers in the USA are confronted on a daily basis with a culture that considers the second amendment (Amendment 11: ‘A well-regulated militia, being necessary to the security of a free state, the right of the people to keep and bear arms, shall not be infringed’) a sacred right. Interpretation of this amendment entitles Americans to possess firearms for lawful purpose. In the United States, gun possession is common, and police must be mindful that many persons they deal with may be in possession of a gun. In the UK, gun ownership is uncommon, and police do not expect to encounter a person in possession of a gun; as a result, the level of force they use on a day-to-day basis is expected to be lower than that used by their American counterparts.
Canadian police officers’ use of force would fall somewhere between the UK and the US. Canadian police officers are required to be diligent when interacting with citizens, while remaining cognizant that there are fewer guns in Canada than the US, but more than in the UK.
In using force, officers are provided with a range of tools that are at times controversial. Each of these tools must be used sparingly, and only when deemed necessary against subjects who pose threats to themselves or others. Conducted energy weapons, more commonly referred to as Tasers, are an example of a weapon used by police officers that has garnered much controversy. The issue of ‘creepage’ is a concern. This is the notion that, when officers are given and trained in a compliance tool, they tend to use it too liberally, and only once there is official follow up in a judicial inquiry do they become more judicious in the use of the weapon. We also saw this happen when OC, or pepper spray, was introduced. The use of such tools increases in frequency. This trend is prevalent, until there is official oversight admonishing the liberal use of the tool. The use of Tasers, in cases in which the subject is not a threat to the officer or to another person, constitutes torture, as defined by UN Convention against Torture and Other Cruel, inhuman or Degrading Treatment or Punishment. As such, Tasers cannot be used to modify subject behavior; for example, a Taser should not be used when a subject is loudly expressive and angry. Only when the officer feels the subject is a threat and there are no other lesser means available should the Taser be deployed.
A police officer is inherently at risk of being the victim of violence, and the state has a responsibility to minimize the risk of violence. Likewise, police officers in democratic nations have rights as employees and as individuals, and as such they are entitled to do what they must to ensure their safety (Smith, 2009).
Hicks (2004) further attributes the abilities of police in modern democracies to use lethal force as per the ancient traditions of the ‘Just War Doctrine’ (jus ad bellum), which “was utilized to draw a moral boundary between those wars deemed appropriate and necessary and those uses of force deemed morally reprehensible.” (Hicks,2004: 256). Nations considering waging a just war must abide by the following criteria, according to Hicks (2004: 258):
‘(a) competent authority, indicating the need for a sovereign entity to wage war versus a single individual; (b) just cause, which incorporates the proportionality between the just cause and the means of pursuing it; (c) just intent, of which the ultimate aim is peace; (d) last resort, indicating an absence of the availability of other means of resolving the conflict; and (e) reasonable hope of success, a requirement that any morally just conflict must have a semblance of hope for achieving a peaceful resolution.’
These criteria closely align with the use of force continuum developed within the use of force models that officers in the USA must adhere to. Hicks (2004) feels that force is necessary only when it can be considered just, and thus provides the moral underpinnings that enable war. The requirements for a just war are therefore similar in nature to use of force models that are used by police officers. While Canada does not have a Use of Force Continuum, Canada has a National Use of Force Framework that contains the National Use of Force Model (graphic).
Use of Force Theory and Background
Police officers in Canada have a common law duty to protect life and property. To fulfill this duty, they must at times use force; to not use force to protect life is a dereliction of duty that may result in the officer being charged under the Police Act or under the Criminal Code. While the use of force is not expressly sanctioned under common law, it includes an understanding that force may at times be required.
Police officers in Canada are also authorized to use force by federal statute, provincial statute, and departmental policy and procedure. The theory of use of force is guided by the National Use of Force Framework.
History
Graphic models describing use of force by officers first began to appear in the 1970s in the United States. These early models depicted a rather rigid, linear-progressive process, giving the impression that the officer must exhaust all efforts at one level prior to being allowed to consider alternative options. A frequent criticism of these early models was that they did not accurately reflect the dynamic nature of potentially violent situations, in which the entire range of subject behaviour and police force options must be constantly assessed throughout the course of the interaction.
In Canada, use of force models first began appearing in the 1980s. As part of a comprehensive use of force strategy, Ontario developed a provincial use of force model in 1994; some provinces and the Royal Canadian Mounted Police followed suit shortly thereafter.
In 1999, the Canadian Association of Chiefs of Police (CACP) endorsed an initiative involving a proposal to develop a national use of force model. In April of the same year, use of force experts and trainers from across Canada met at the Ontario Police College to create one model encompassing the best theory, research and practice for officers’ use of force. The model would be dynamic, support officer training, and facilitate professional and public understanding of officer use of force.
Core Values of the Use of Force Framework
The use of force framework revolves around a series of core principles with which all strategies, tactics and protocols must align. For example, any new tactic developed by use of force experts for officer safety must align with these values. The following values form the framework of the use of force model:
• The primary responsibility of a peace officer is to preserve and protect life.
• The primary objective of any use of force is to ensure public safety.
• Police officer safety is essential to public safety.
• The National Use of Force Model does not replace or augment the criminal, civil and case law; the law speaks for itself.
• The National Use of Force Model was constructed in consideration of (federal) statute law and current case law.
• The National Use of Force Model is not intended to dictate policy to any agency.
The Canadian Charter of Rights and Freedoms clearly establishes that everyone has certain basic rights. Everyone has the right to life, liberty and security of the person, and the right not to be deprived thereof except in accordance with the principles of fundamental justice. Police officers are duty-bound to adhere to this Charter. However, to implement the mandate given to police officers within the limits set by law, it may become necessary for an officer, in some circumstances, to breach certain rights and individual liberties. Further, while engaged in the duties of policing, such as maintaining law and order, preventing crime, and protecting the public and/or officers themselves, police officers may be called upon to use force.
Canadian Society specifically acknowledges that in certain circumstances police officers are justified, on reasonable grounds, to use the appropriate level of necessary force in order to apply or execute the law. The officer is protected by law, as long as his or her actions are justifiable, and that the use of force remains in accordance with the law, human rights, professional ethics, and organizational and social values.
The National Use of Force Model
The National Use of Force Model (NUFM) was developed to assist in the training of police officers, and as a reference when making decisions and explaining officers’ actions with respect to the use of force. The model does not justify an officer’s actions; rather it identifies to officers the steps they must take to ensure that the actions they take are appropriate and measured. The use of force model is a tool that assists officers in knowing what level of force is appropriate.
Situation:
With every situation, an officer must do three things, before, during, and after the incident is concluded:
Assess: The officer must consider all elements of the situation. He/she needs to know the nature of the call, the suspect(s) involved, if he/she has backup available, what his/her physical abilities are, what the terrain at the location will be like, weather conditions, and so on.
Plan: The officer must formulate an action plan, bearing in mind that all situations are dynamic and constantly changing. Remember, every action has a reaction, so contingency plans must also be considered.
Act: Once on scene, the officer must put his/her plan into action.
It is important to remember that oftentimes officers must assess, plan, and act in a fraction of a second, as in the case of a spontaneous assault on the officer.
Subject Behaviour
The level of force that officers use is contingent upon the subject’s behavior. Subject behavior is categorized in the following levels, ranging from complete cooperation to potentially lethal acts:
Cooperative: This type of subject is referred to as “yes people” because oftentimes seeing the police, or a simple gesture or request to leave will achieve voluntary compliance.
Passive Resistance: Subjects displaying this type of behavior do not do anything to hinder the police, but they also do not do anything to help the police. They may simply become dead weight and are typically seen at sit-in type protests.
Active Resistance: Subjects who actively resist will typically pull arms away from controlling officers, run away, hold onto fixed objects, and brace themselves in doorways or “turtle” by pulling their arms into their chest area, resisting officers’ attempts to straighten the arms.
Assaultive: Assaultive subjects will strike or kick at officers. They may spit, swear, or yell threats at officers and display various pre-assaultive cues that signal a possible physical assault on the officer, including, but not limited to:
• ignoring the officer;
• repetitious questioning;
• aggressive verbalization;
• emotional venting;
• refusing to comply with lawful request;
• ceasing all movement;
• invasion of personal space;
• adopting an aggressive stance; and
• hiding.
Grievous Bodily Harm/Death: Subjects in this category are attacking the officer with intent to injure or kill the officer, with or without weapons. This is the highest and most dangerous level of subject behavior and may result in the subject’s death.
Response Options
Officers have five response options available to them. It is important to remember that, while these are not levels of force, each category of response options has levels of force, ranging from implied to lethal force.
Officer Presence: There are many elements of officer presence, including the officer’s appearance in uniform, his/her perceived level of fitness, size, sex, number of officers, available equipment, etc. Included in this category are perception (all officers see a given situation uniquely) and tactical considerations (any available options to confront the situation, see below).
Communication: This category includes verbal and non-verbal communication; once the communication commences, it should continue throughout the incident.
Physical Control: Physical control is sub-divided into two categories: soft and hard. Soft physical control includes joint locks and manipulations, and takedowns. Hard physical control techniques include strikes, stuns, kicks, and neck restraints. All techniques in this category are typically performed with empty hands, and were formerly referred to as Empty Hand Control Tactics. These techniques range from implied to deadly force in context.
Intermediate Weapons: These “gadgets” that are available to police officers include: Conducted Energy Weapons, OC Sprays and other chemical agents, batons, impact energy weapons (ARWEN, bean bag, etc.), vehicles, weapons of opportunity, noise/flash diversionary devices, and the list goes on. As with other response options, levels of force in this category range from implied to deadly force.
Lethal Force: This category includes all of the other options available in the preceding categories, as well as the various firearms available to the police.
Perception and Tactical Considerations
Perception and Tactical Considerations are two separate factors that may affect the officer’s overall assessment. Because they are viewed as interrelated, they are graphically represented in the same area on the model. They should be thought of as a group of conditions that mediate between the inner two circles (Subject Behavior and Response Options) and the responses available to the officer.
The mediating effect of the Perception and Tactical Considerations circle explains why two officers may respond differently to the same situation and subject. This is because tactical considerations and perceptions may vary significantly from officer to officer and/or agency to agency. Two officers, both faced with the same tactical considerations, may assess the situation differently and therefore respond differently, because they possess different personal traits or have dissimilar agency policies or guidelines. Each officer’s perception will directly impact their own assessment and subsequent selection of tactical considerations and/or their own use of force options.
Perception
How an officer sees or perceives a situation is, in part, a function of the personal characteristics he or she brings to the situation. These personal characteristics affect the officer’s beliefs concerning his or her ability to deal with the situation. For various reasons, one officer may be confident in his or her ability to deal with the situation, and the resulting assessment will reflect this fact. In contrast to this, another officer, for equally legitimate reasons, may feel that the situation is more threatening and demands a different response. The following list includes factors unique to the individual officer, which interact with situational and behavioral factors to affect how the officer perceives and ultimately assesses and responds to a situation.
Factors that may be unique to the individual officer include but are not limited to:
• strength/overall fitness;
• personal experience;
• skill/ability/training;
• fears;
• gender;
• fatigue;
• injuries;
• critical incident stress symptoms;
• cultural background; and
• sight/vision.
Tactical Considerations
An officer’s assessment of a situation may lead to one of the following tactical considerations. Conversely, these same factors may impact an officer’s assessment of a situation.
• disengage and consequences**;
• officer appearance;
• uniform and equipment;
• number of officers;
• availability of backup;
• availability of cover;
• geographic considerations;
• practicality of containment, distance, communications;
• agency policies and guidelines; and
• availability of special units and equipment: canine, tactical, helicopter, crowd management unit, command post, etc.
** Note: An officer’s primary duty is to protect life and preserve the peace, however, when a situation escalates dangerously or when the consequences of continued police intervention seriously increase danger to anyone, the option to disengage may be considered appropriate. It is also recognized that, due to insufficient time and distance or the nature of the situation, the option to disengage may be precluded. If the officer determines the option to disengage to be tactically appropriate, the officer may consider disengagement with the goal of containment and consideration of other options such as seeking alternative cover, waiting for back-up, specialty units, etc.
The National Use of Force Model (NUFM) represents the process by which an officer assesses, plans and responds to situations that threaten public and officer safety. The assessment process begins in the center of the model with the Situation confronting the officer. From there, the assessment process moves outward and addresses the Subject Behavior and the officer’s Perceptions and Tactical Considerations. Based on the officer’s assessment of the conditions represented by these inner circles, the officer selects from the use of force Response Options contained within the model’s outer circle. After the officer chooses a response option s/he must continue to Assess, Plan and Act to determine if his or her actions are appropriate and/or effective, or if a new strategy should be selected. The whole process should be seen as dynamic and constantly evolving until the Situation is brought under control.
Authority to use force separates law enforcement officials from other members of society, and the reasonable use of force is central to every officer’s duties. The National Use of Force Model provides a framework that guides the officer in that duty.
Risk Assessment
An officer uses a risk assessment process to choose a response option. In order to choose the appropriate level of force for the situation before them, an officer must continue risk assessment throughout the situation. Observing only the demonstrated behavior of the subject and any related threat cues may not always be enough to justify using a particular level of force. There may be other times when valuable risk assessment information can be gathered and analyzed, prior to responding.
Stages of Risk Assessment
Risk Assessment should include two factors that officers must take into consideration:
1. The likelihood someone or something might be hurt or damaged.
2. Whether the police officer should intervene given the seriousness of the harm or damage that appeared imminent.
These are often difficult decisions, and the more adept the officer is at assessing risk, the more readily and appropriately they will respond under urgent circumstances.
Assessing the risk the officer may be exposed to during a call may begin very early in the evolution of the call.
• The officer should gather as much information as possible when the call is first received.
• The who, what, when, where and why of the call.
• Continue while enroute to the call.
• Upon arrival at the scene.
• During the officer’s approach while at the scene.
• While entering onto the immediate scene.
• While in the interior of the scene.
• While exiting the scene.
• While handling prisoners at the scene and in a jail setting.
The officer’s assessment of the risk will constantly evolve as more information is received. The closer to the scene the officer gets, the better their assessment may be. While on scene they must continue to assess the risk. If they have controlled the risk, they must maintain control with the effective method. They must not afford the subject the opportunity to re-escalate. Even while exiting the scene, the officers should monitor the possible risks that may occur from bystanders or associates. In some instances, the officer(s) may be afforded very little initial risk assessment information. Spontaneous attacks, by their nature, afford the officers very little initial risk assessment opportunities.
Legal Justification for the Use of Force
Officers may have plenty of operational discretion, however in use of force, discretion is limited by the criminal code. An officer’s ethical values, in relation to use of force, must closely align with the criminal code and the legal parameters set out. If the officer’s values do not align, the officer is destined for either legal consequences for excessive use of force or injury for not using the appropriate level of force. The law is very clear regarding the limits placed on an officer’s use of force and the legal consequences for officers who use excessive force. The use of force must satisfy the following two tests. It must be:
1. Subjectively reasonable (based on the officer’s genuine thoughts, feelings and beliefs). Here the officer is given some leeway, in that they may have mistakenly used force against an unarmed subject in the belief that the subject was armed. This may be because the subject appeared to be reaching for a gun in their pocket after acting in a suspicious manner. The courts may believe that this was subjectively reasonable.
2. Objectively reasonable (facts that would convince an ordinary reasonable person that the officer acted reasonably). Here the courts may compare the officer against what would be expected of a reasonable person. In this way the courts determine whether or not the actions are consistent with those of a reasonable person.
What the courts actually require is for judges to apply the “doppelganger test.” Here, a judge will “go” with the officer from the time the officer was first sent to the place where the incident took place, and consider that officer’s training and experience, to determine if the officer acted reasonably. The judge must then consider what a reasonable officer with the same training and experience as the officer who took action would have done. This is significantly different from a judge considering what he or she would have done.
The discretion police have regarding the use of force is controlled by law. The primary authorization in law that allows police officers to legally use force on a person is contained in Section 25 of the Criminal Code. It reads as follows:
25. (1) Every one who is required or authorized by law to do anything in the administration or enforcement of the law
(a) as a private person,
(b) as a peace officer or public officer,
(c) in aid of a peace officer or public officer, or
(d) by virtue of his office,
is, if he acts on reasonable grounds, justified in doing what he is required or authorized to do and in using as much force as is necessary for that purpose.
(2) Where a person is required or authorized by law to execute a process or to carry out a sentence, that person or any person who assists him is, if that person acts in good faith, justified in executing the process or in carrying out the sentence notwithstanding that the process or sentence is defective or that it was issued or imposed without jurisdiction or in excess of jurisdiction.
(3) Subject to subsections (4) and (5), a person is not justified for the purposes of subsection (1) in using force that is intended or is likely to cause death or grievous bodily harm [1] (Grievous bodily harm means serious hurt or pain. In determining a defense under this section the jury must be directed to the circumstances as they existed at the time that the force was used, keeping in mind that the officer could not be expected to measure the force used with exactitude) unless the person believes on reasonable grounds that it is necessary for the self-preservation of the person or the preservation of any one under that person’s protection from death or grievous bodily harm.
(4) A peace officer, and every person lawfully assisting the peace officer, is justified in using force that is intended or is likely to cause death or grievous bodily harm to a person to be arrested, if
(a) the peace officer is proceeding lawfully to arrest, with or without warrant, the person to be arrested;
(b) the offence for which the person is to be arrested is one for which that person may be arrested without warrant;
(c) the person to be arrested takes flight to avoid arrest;
(d) the peace officer or other person using the force believes on reasonable grounds that the force is necessary for the purpose of protecting the peace officer, the person lawfully assisting the peace officer or any other person from imminent or future death or grievous bodily harm; and
(e) the flight cannot be prevented by reasonable means in a less violent manner.
(5) A peace officer is justified in using force that is intended or is likely to cause death or grievous bodily harm against an inmate who is escaping from a penitentiary within the meaning of subsection 2(1) of the Corrections and Conditional Release Act, if
(a) the peace officer believes on reasonable grounds that any of the inmates of the penitentiary poses a threat of death or grievous bodily harm to the peace officer or any other person; and
(b) the escape cannot be prevented by reasonable means in a less violent manner.
Police officers are required to discharge various duties authorized by legislation, such as preserving life and protecting property, preserving the peace, enforcing the law and preventing crime. Under Section 25(1) of the Criminal Code of Canada, police must satisfy three elements to justify the use of force:
1. Be “required or authorized” by law to do “anything” in the “administration or enforcement” of the law.
2. The police officer must act on reasonable grounds.
3. The police officer can only use “as much force as is necessary” for the purpose in question.
Additionally, the Criminal Code contains the following sections dealing with the use of force, not only by peace officers, but also by members of the public:
Section 27 – Prevention of a crime
Section 30 – Prevention of a breach of the peace
Section 31 – Actual breach of peace
Section 32 – Suppressing a riot
Section 34 – Self-defense against an unprovoked assault
Section 35 – Self-defense in case of aggression (property)
Section 43 – Correction of a child by force
Section 45 – Surgical operations
When considering if the use of force can be justified under law, legal and effective methods of force occur when:
• the method is reasonable;
• it is necessary; and
• it is not overly aggressive under the circumstances presented.
In order for police to use force to control a subject, three elements MUST exist.
• A – Did the suspect have or reasonably appear to have the ABILITY to cause injury or death to the officer or others?
• I – Did the suspect demonstrate INTENT? Did words and/or actions lead the officer to believe the suspect had the intent to cause injury or death to the officer or others?
• M – Did the suspect have the MEANS to deliver the perceived threat?
If the suspect demonstrates the above noted elements, the officer is justified in using the force option most appropriate to control the suspect. There are several considerations that a police officer must be aware of when controlling the suspect, such as:
• Was there a lower level of force available to gain control?
• Did or could the officer identify he or she as a police officer?
• Did or could the officer provide the suspect(s) the opportunity to de‑escalate his/her level of resistance towards the officer? (A warning) There is an onus on the officer, if the situation allows, to provide the opportunity to de‑escalate. If the suspect de‑escalates, the member must de-escalate their use of force.
• Did the officer identify the proper risk before intervening accordingly?
• Was the subject isolated? What would the officer hit if the officer missed the suspect?
If the officer(s) involved cannot reasonably articulate the reason(s) for their use of force actions, Section 26 of the Criminal Code (excessive force) may apply:
26. Everyone who is authorized by law to use force is criminally responsible for any excess thereof, according to the nature and quality of the act that constitutes the excess.
Theory Meets Practice and Case Law – Subject Behaviour
Subject behavior can be displayed overtly through physical acts of aggression and/or violence toward others, or covertly through gestures, changes in posture, verbal statements, states of intoxication, inattentiveness, feigned compliance, and the list goes on.
A guiding principle in the use of force that officers follow when classifying subject behavior is that if the officer detects two or more pre-assaultive cues, the officer can intervene with force prior to an overt physical assault by the subject. To justify his/her actions as self defense in a civil action, the officer must prove two elements:
1. The circumstances warranted defensive action.
2. That the force used was not excessive.
When judging the level of force used by an officer, case law anticipates that the use of force is not to be measured to a “nicety” and that reasonableness “fails to be determined in light of the circumstances and not through the lens of hindsight”. What this means is that hindsight is not to be used by the trier of fact in determining the reasonableness of an officer’s use of force. While these are both important points, special consideration ought to be given to the second point. Those who will judge the use of force actions of the police: lawyers, judges, supervisors, media, peers, family, and the public – generally forget or simply are not aware of this standard. This can be referred to as the “would have, could have, should have” principle.
We see the hindsight principle being abused more and more with the availability of video recordings. Members involved in force-related incidents usually provide duty reports and/or statements without the benefit of having seen video of the incident, and they are only required to answer questions about their actions and corresponding statements during a frame-by-frame review and analysis of the video. Often the first opportunity for officers to see the video is at trial, and their testimony may conflict with their initial reports and statements.
In a recent report published in the Force Science News, Dr. Bill Lewinski asserts that officers should be allowed to review video footage of their critical incident and conduct a walk-through of the scene prior to giving their official statement of account. Lewinski says, “After a high-stress experience, such as a major force confrontation, an officer’s memory of what happened is likely to be fragmentary at best,” and added, “An incident is never completely recorded in memory.”
According to Dr. Lewinski’s research into force-related encounters and memory recall, “The average person will actually miss a large amount of what happened in a stressful event and, of course, will be completely unaware of what they did not pay attention to and commit to memory.”
Compounding the problem, a participant or witness, “…may unintentionally add information in their report that was not actually part of the original incident,” Lewinski explained – not in a plot to deceive, but rather in a humanly instinctive effort to fill in frustrating memory gaps.
Timing of the interview is a major factor because an officer’s version of an incident will vary, depending on whether his/her statement is taken before, after, or without a walk-through or a viewing of a videotape of the incident. The most enriched, complete, and factually accurate version of a high-stress encounter is most likely to occur after a walk-through and/or after the officer has had at least one opportunity to view an available video of the incident.”
Ideally, Lewinski believes, a video review should be permitted before an involved officer gives his/her official statement.
Dr. Lewinski cautions that relying solely on video of a critical incident may be misleading. He cited the following reasons to support his research conclusions:
• Video cameras generally record only a portion of an incident and are bereft of the context of the event.
• Video is a 2-dimensional representation of an incident from a particular perspective and tends to distort distance and other aspects associated with depth of field.
• Generally, video does not faithfully record light levels and does not represent what a human being in the incident would perceive.
• A video does not present the incident as viewed through the officer’s eyes.
• Video cameras recording at less than 10 frames per second can leave out significant aspects of an incident that occur at speeds faster than that.
Allowances for Misconceptions
Police officers arresting a suspect are even afforded the privilege of misjudging the degree of force necessary to affect their purpose during the exigencies of the moment. It has also been determined in case law that it is both unreasonable and unrealistic for officers to use the least amount of force which might successfully achieve their objective, as this would result in unnecessary danger to the officer(s) and others. Case law confirms that injuries suffered by subjects as a result of a peace officer’s use of force do not necessarily establish the use of excessive force.
The use of force is to be judged on a subjective-objective basis. Police actions should not be judged against a standard of perfection, but according to the circumstances as they existed at the time that the force was used.
Use of Force on Persons Held in Custody
As long as the force is reasonably necessary, a constable holding a person in custody is legally authorized to use force to the same extent as a constable who seeks to place a person in custody.
An officer acting on reasonable grounds who is charged with maintaining lawful custody of a subject may use force to return that subject to their cell if they refuse to comply with the operation procedures of the prison.
Authorization for Use of Mechanical Restraints
A peace officer who lawfully arrests a subject is entitled to secure his/her prisoner using mechanical restraints to handcuff or bind the subject. The restraint must be performed reasonably and the officer(s) involved must articulate their reasons for the use of restraints.
Supreme Court
Recently, the Supreme Court of Canada, in Wood versus Shaeffer (2013 SCC71), ruled that a police officer’s notes are to be written immediately after the incident and without discussion with a lawyer. Supreme Court Justice Michael Moldaver, on behalf of the majority residing justices, wrote:
Permitting officers to consult with counsel before preparing their notes runs the risk that the focus of the notes will shift away from the officer’s public duty toward his or her private interest in justifying what has taken place. This shift would not be in accord with the officer’s duty.
Applying the SCC rationale in BC, it appears that this decision prevents officers from specifically demanding a right to counsel prior to completing their notes, particularly as there is no specific statutory entitlement to counsel during a professional standards investigation interview (in BC). However; the SCC ruling specifically states:
nothing … prevents officers who have been involved in traumatic incidents from speaking to doctors, mental health professionals, or uninvolved senior police officers before they write their notes.
Articulation of the Use of Force
There are seven crucial elements that an officer who is involved in a use of force encounter should record in their notes. Each element has several questions that must be addressed objectively to fully assist in articulating the use of force. They include:
1. Scope of Employment
One of the basic points that must be proven by officers involved in a force-related incident is whether or not they were in the lawful execution of their duty and had reasonable grounds to arrest or detain the subject(s) implicated. If excessive force can be proven, the officer’s actions can be considered illegal, and s/he could be liable for criminal and/or civil litigation and/or disciplinary action under the Police Act. Therefore, it is important that the involved officer(s) clearly articulate their reasonable grounds for contacting the subject and their use of force.
The following questions should be considered by the involved officer(s):
What was the work assignment?
• What was the date, time, and location of the incident?
• Were they in uniform (describe: Patrol, ERT, K9, etc.) or plain clothes (describe)?
• Where were they when dispatched to the incident?
• What was the nature of the assignment or on-view activity of related persons?
• What were they told and by whom?
• What did they observe?
• What was their role in the incident and who assigned them that role?
• Who reported the incident and what did they report?
• Did they identify themselves as a police officer?
2. Severity of the Crime
It is important that an officer have all the vital information about the severity of the crime to enable a safe and proper approach to the scene. To properly assess the reasonableness of an officer’s actions in a force-related encounter, it is necessary to articulate what was known at the time of the incident. Likewise, if the offence is minor in nature, the officer should consider the ramifications of using force for a minor infraction.
The following questions should be considered by the involved officer(s):
• What specific subject behavior was observed?
• What were they told that led them to believe a crime was about to occur or had occurred?
• What were the elements of the crime?
• If the alleged crime was violent in nature, what threat did they perceive to the officer or others?
• Prior to the actual use of force, were they aware if the subject had a history of violence or weapons?
• If so, how did they learn this information (history with the subject, dispatch, other officers, etc.)?
• Did they believe that the subject had access to weapons?
• If so, how was this determined?
• Were the subject’s actions or behavior connected to criminal activity?
• Were there reasonable grounds to believe that the subject’s actions posed a real threat of Grievous Bodily Harm or Death to the officer or another?
• If so, how was this determined?
3. Level of Force Used
The level of force used by a police officer must be subjectively and objectively reasonable. Whenever reportable force is used by an officer, it must be thoroughly documented in the officer’s notebook. Officers are also obligated to complete a report called a ‘Subject Behavior – Officer Response Report’.
The following questions should be considered by the involved officer(s):
• What was the specific type and amount of force used?
• Why?
• Did the officer have other reasonable force options available?
• Did the officer try these other reasonable force options?
• If not, why were they not tried?
• Specifically, what did the subject do that caused the officer to use force?
• Once under control, did the officer handcuff the subject?
• Did another officer assist in the use of force, or after the force was used?
• If so, who?
• Were the handcuffs double-locked to prevent tightening?
• Who double-locked the handcuffs?
• Did the officer tell the subject that s/he was under arrest?
• If not, who did?
• Did the officer know the subject was lawfully arrestable?
• How did the subject refuse to submit to the arrest?
• Did the officer use special restraints to control the subject after arrest?
• If so, what were they?
• Is the officer trained in that specific restraint device?
• If so, how recently was the officer certified and by whom?
• If not, what were the exigent circumstances that prompted the officer to choose that restraint device?
4. Warnings
Warnings are considered an alarm, signal or admonition of a person to stop what is presumed to be unlawful or unwanted behavior. Warnings are reasonable and, when appropriate and reasonable to do so, should be given to subjects and by-standers.
The following questions should be considered by the involved officer(s):
• Was a warning given?
• Provide a description of the specific warning (to whom, how many times, specifics, etc.).
• Did the officer attempt Crisis Intervention De-escalation (CID) Techniques?
• If yes, what was the degree of effectiveness?
• If no, why not?
• Was the officer’s warning consistent with department policy?
• Were there any known barriers to the subject’s understanding of the warning (language, hearing loss, background noise, etc.)?
• Was the warning tape recorded?
• Were other officers aware of the officer’s warning?
• Was the officer aware of other officers’ warnings?
5. Nature of the Crime
In order to show that the officer’s level of force was subjectively and objectively reasonable, the officer must articulate what he or she knew at the time of the force-related encounter, based on the totality of the circumstances. The officer’s state of mind and facts that were perceived, known, or told to the officer are important. The nature of crime dictates the appropriate force response option.
The following questions should be considered by the involved officer(s):
• Is the location of the force-related encounter described as a business, residential area, park, school, open area or another type?
• What were the environmental conditions in the area at the time of the force-related encounter (weather, lighting, footing, terrain, background noise, other parties present, etc.)?
• Was the area of the force-related incident considered to be a high crime area?
• Can this be corroborated?
• How many subjects were involved in the incident?
• Did the officer know the subject(s)?
• How did the officer know the subject(s)?
• Was the officer aware of or did he or she suspect the presence of weapons at the scene?
• What was the known or suspected crime the officer was investigating?
• Was it a violent crime?
• Was anyone injured?
• If so, who, how, and can the officer describe the severity of the injury?
• Was the suspect armed, suspected of being armed or known to be prone to violence?
6. Officer’s State of Mind
Under current Canadian law, the officer’s use of force is not to be judged with the benefit of 20/20 hindsight, but on the totality of the circumstances of the incident, using the objective standard and including the facts that would convince an ordinary, reasonable person that the officer acted appropriately. Finally, the officer can only use information known to the officer prior to the officer’s use of force in the officer’s articulation of the why the officer did what the officer did.
The following questions should be considered by the involved officer(s):
• What training relevant to the scope of the officer’s duties (including this incident response) did the officer receive?
• Describe any similar experiences the officer has had that can relate to the officer’s response to this incident.
• Did the officer identify themselves as a police officer?
• Provide details of why the officer felt threatened, fearful and that the officer’s safety or that of others was in jeopardy.
• Did the officer see a weapon?
• How many subjects were present?
• What led the officer to believe that the subject(s) posed a threat of Grievous Bodily Harm or Death to the officer or others (known, perceived, learned)?
• What was the subject’s state of mind?
• Did the subject appear to be under the influence of alcohol, drugs, or both?
• Did the subject appear to be an Emotionally Disturbed Person (EDP)?
• Did the subject appear to be in a state of Excited Delirium (ExDS)?
• What was the subject’s sex, perceived age, physical size, and perceived abilities (martial arts, military, etc.)?
• According to the National Use of Force Model, what subject behaviors were demonstrated (Cooperative, Passive Resistance, Active Resistance, Assaultive, Grievous Bodily Harm or Death)?
• Explain the noted behavior(s) in detail.
• Did the subject(s) pose a tactical advantage that adversely affected the officer’s or another person’s safety?
• What force options did the officer employ to resolve the situation?
• For each force option used, can the officer describe the effect(s) on the subject(s)?
• Was tactical repositioning considered or employed?
• If not, why?
7. Medical Care
Any subject that is injured as a result of an officer’s intervention using force has the absolute right to medical assessment and treatment, when it is safe and reasonable to provide it. Simply, the officer has a duty to care for those under the officer’s control. The officer should report and document all circumstances surrounding the need for medical care of the subject(s) as a result of the force-related encounter.
The following questions should be considered by the involved officer(s):
• Did the officer receive any injuries attributable to the force-related encounter?
• Who caused the injuries?
• What is the nature and extent of the officer’s injuries?
• Did the officer require medical treatment or hospitalization for injuries?
• Was the officer aware of any subject injuries prior to the officer’s use of force?
• If so, what was the nature and extent of the injuries?
• Did the officer’s application of force result in any injury to the subject?
• If so, which force option?
• What was the nature and extent of the injuries caused by the officer’s application of force?
• Once the subject(s) and scene were under control, were the injured parties provided first aid?
• Was PAS summoned?
• If so, by whom?
• Is the officer aware whether anyone else was injured as a result of the subject’s actions?
• If so, what was the nature and extent of the injuries?
• Was PAS summoned?
• If so, by whom?
• Who, if any, of the injured parties went to the hospital?
Conclusion
The detail that officers are required to use to articulate their use of force is extensive. In the past, legal counsel was provided to police prior to providing written details of the force-related incident. According to the Supreme Court of Canada, police are no longer afforded this opportunity.
Officers employing force on subjects resulting in serious injury will experience a great deal of mental trauma. Care should be taken that the involved officers provide detailed notes and duty reports that fully articulate the nature and scope of the incident and their reasonable attempts at a non-violent resolution. In some cases, a non-violent resolution cannot be achieved; it is for these situations that this guide is intended.
Above all, remember that if the officer has been involved in a traumatic incident, nothing prevents the officer from speaking to doctors, mental health professionals, or uninvolved senior police officers before the officer writes their notes. | textbooks/workforce/Corrections/Ethics_in_Law_Enforcement_(McCartney_and_Parent)/04%3A_Key_Ethical_Issues_within_Law_Enforcement/4.07%3A_Use_of_Force_Philosophy_Theory_and_Law.txt |
The police must remain autonomous and free from the influence of government and mass media. Law enforcement executives should not be forced into decisions based upon the dictates of a mayor, premier, prime minister, or the media. Law enforcement executives should remain autonomous and concern themselves with the effective and efficient operation of their agencies to achieve an ethical law enforcement agency with high standards and values. Likewise, officers on the line must remain impartial, and, in doing so, should avoid comment on political and judicial matters. This does not mean that officers do not have the right to comment like everyone else, but that their comments should not be made in their capacity as police officers.
While the independence of law enforcement is important, oversight of law enforcement is also crucial. Oversight includes ensuring agencies are accountable to the public for resource allocation, are fiscally responsible, and have law enforcement policies and procedures. Law enforcement agencies must balance the need for accountability with the need for independence, but doing so can create tension. According to Reiner (2010) there are four ways in which law enforcement is held accountable:
1. Officers are charged and prosecuted for crimes (under the Criminal Code or the Police Act).
2. Officers are held civilly liable in court.
3. Judges ruling on cases find the evidence brought before them is as inadmissible.
4. Judicial review of policy forces changes upon the police.
Griffiths (2013, p.58) further identifies six processes that hold police accountable in Canada:
1. Political accountability to governing authorities
2. Legal accountability through the courts
3. Accountability to administrative agencies
4. Freedom of information legislation
5. Community policing committees
6. Special ad hoc mechanisms such as royal commissions
In cases that may not warrant a criminal investigation, police officers in British Columbia are governed by statutes. In British Columbia, municipal police officers are governed by the Police Act and RCMP officers are governed by the Royal Canadian Mounted Police Act. Offences alleged under these acts are often investigated by police officers in their own agencies. For more serious and/or high-profile cases, police officers from other agencies may conduct the investigations. These are known as internal investigations, professional standards investigations, or police act investigations.
These specialized investigations are conducted by units within departments, which are often referred to as Professional Standards Units.
5.02: British Columbias Police Act
In British Columbia, the Police Act allows for complaints against municipal police officers to be made directly by an aggrieved party or by a complainant who is acting as a third party. The latter, called a third-party complaint, allows a person who is otherwise uninvolved in the incident to make a complaint. The rationale is to protect those people who have been victimized by police who do not want to complain (or are not capable of doing so) to be safeguarded. The third-party complaint rule essentially protects those who do not complain, and in doing so allows for the investigation of officers whose unethical conduct may have otherwise gone uninvestigated.
Complaints about police misconduct under the Police Act must be related to the following:
• Allegations of misconduct by individual police members
• Complaints concerning various aspects of the administration of a municipal police department
• Matters that concern the maintenance of discipline within a police department and that do not directly impact the public
The nature of the allegations against police officers under the Police Act is varied; however, two complaint types that face police officers are corruption and breach of public trust.
Corruption as defined by the Police Act includes such things as not promptly returning money or property while performing one’s duty; using or attempting to use the position of police officer for personal gain; and using or attempting to use equipment or facilities for purposes unrelated to duty.
Breach of public trust encompasses a wide range of activities that are used as a “catch-all.” When an officer engages in behaviour that is unethical, but not against the Criminal Code or other legislation under which civilians would be charged, the officer can be charged under the Police Act. Charges can be brought against an officer for unethical activities such as:
• Anything that discredits the reputation of the member’s police department
• “Abuse of authority,” referred to as oppressive conduct toward a member of the public
• Using unnecessary force, or detaining or searching a person without good and sufficient cause
• On or off duty, when in uniform, using profane, abusive, or insulting language to any person. The language can be used to intimidate people or disrespect them
The Police Act states that the regulations detail the expected or code of professional conduct for municipal police officers within the province of British Columbia. Along with the expectations for conduct are the consequences that may occur when an officer commits a disciplinary default. | textbooks/workforce/Corrections/Ethics_in_Law_Enforcement_(McCartney_and_Parent)/05%3A_Accountability_and_Investigation/5.01%3A_Autonomy_and_Accountability.txt |
The Royal Canadian Mounted Police Act is comparable to British Columbia’s Police Act in that it provides a legal framework that defines the way in which disciplinary procedures will be administered. The Royal Canadian Mounted Police Act contains two provisions for investigating wrongdoing by the RCMP, the External Review Committee, and the Public Complaints Commission.
The External Review Committee reviews appeals made by RCMP officers who have been disciplined under the Royal Canadian Mounted Police Act. The Public Complaints Commission is an independent team of civilians that rule on the outcome of investigations of police complaints. Critics suggest that the investigators will favour the police officer and investigate an offence with bias.
In June 2013, the federal government passed Bill C-42, which created the Enhancing Royal Canadian Mounted Police Accountability Act that is designed to enhance accountability and transparency by:
• Creating a new Civilian Review and Complaints Commission (CRCC) for the RCMP to replace the existing Commission for Public Complaints (CPC) against the RCMP and providing it with enhanced powers
• Establishing a statutory framework for handling investigations of serious incidents involving RCMP members, which will improve the transparency and accountability of these investigations
• Modernizing the RCMP’s discipline, grievance, and human resource management processes, with a view to preventing, addressing, and correcting performance and conduct issues in a timely and fair manner, which includes enabling the commissioner to establish a specific process for the investigation and resolution of harassment when a member of the Force is a respondent
This following text is a copy of an official work that is published by the Government of Canada. The reproduction has not been produced in affiliation with, or with the endorsement, of the Government of Canada.[1]
This enactment enhances the accountability of the RCMP by reforming the Royal Canadian Mounted Police Act in two vital areas. First, it strengthens the RCMP review and complaints body and implements a framework to handle investigations of serious incidents involving members. Second, it modernizes discipline, grievance, and human resource management processes for members, with a view to preventing, addressing, and correcting performance and conduct issues in a timely and fair manner.
It establishes a new complaints commission, the Civilian Review and Complaints Commission (CRCC) for the RCMP. Most notably, it sets out the authority for the CRCC to have broad access to information in the control or possession of the RCMP, it sets out the CRCC’s investigative powers, it permits the CRCC to conduct joint complaint investigations with other police complaints bodies, and it authorizes the CRCC to undertake policy reviews of the RCMP.
It establishes a mechanism to improve the transparency and accountability of investigations of serious incidents (death or serious injury) involving members, including referring the investigations to provincial investigative bodies when possible and appointing independent civilian observers to assess the impartiality of the investigations when they are carried out by the RCMP or another police service.
It modernizes the RCMP’s human resources management regime. In particular, it authorizes the Commissioner to act with respect to staffing, performance management, disputes relating to harassment, and general human resource management.
It grants the Commissioner the authority to establish a consolidated dispute resolution framework with the flexibility to build redress processes through policies or regulations. It provides for a disciplinary process that will empower managers or other persons acting as conduct authorities to impose a wide range of conduct measures in response to misconduct and that requires conduct hearings only in cases when dismissal is being sought.
Jurisdiction of the Current Commission for Public Complaints
The Commission for Public Complaints (CPC) has jurisdiction over a complaint from a member of the public that concerns the conduct of an RCMP member while performing a policing duty or function. These duties and functions include criminal investigations, public complaint investigations, policing public events, security assignments, and intelligence operations.
A complaint must also involve:
• An RCMP member or other person appointed or employed under the authority of the Royal Canadian Mounted Police Act.
• An RCMP member or other person who, when the complaint is made, is not deceased, retired, or resigned, or has been dismissed from the Force.
• Conduct that occurred after September 30, 1988, the date the CPC became authorized to take complaints.
1. Enhancing Royal Canadian Mounted Police Accountability Act, http://laws-lois.justice.gc.ca/eng/a.../FullText.html | textbooks/workforce/Corrections/Ethics_in_Law_Enforcement_(McCartney_and_Parent)/05%3A_Accountability_and_Investigation/5.03%3A_The_Royal_Canadian_Mounted_Police_Act.txt |
Griffiths (2013) describes three different models that are used in different jurisdictions to investigate the police: the dependent model, the interdependent model, and the independent model.
The dependent model includes police departments in which police officers investigate allegations against their own members, or members of another police department. The benefits of a dependent model include the following: the officers being investigated are easily accessible to the investigator; there are lower costs associated with the investigation; and the investigators are fluent in the local police culture and organizational values and have greater legitimacy among officers. Conversely, the criticism associated with the dependent model of investigation is primarily directed at the lack of accountability toward subject officers. The lack of accountability is a result of investigators being part of the same subculture and therefore not being independent enough to be objective. Without independence, the investigation can be viewed as biased and therefore not legitimate by society.
The interdependent model is a system in which investigators investigate allegations against their own members, or members of another police department with civilian oversight. One of the benefits of this model is that it demonstrates independent oversight of the investigation. This enables the community to believe that the investigation will be balanced and not in favour of the police or the civilian party. Additionally, the community is able to provide feedback and suggestions regarding the investigation from a civilian perspective. Criticisms include the inability to gain the cooperation of the police should they decline to participate in the investigation. Furthermore, given their own experiences with investigations, police officers may be reluctant, in some instances, to follow the directions of civilians who may not be aware of flaws in an investigation’s process.
The independent model includes a civilian body of investigators that receive complaints and initiate and conduct the complete investigation independently from the law enforcement agency that is involved in the allegation. The public generally views this model as the most effective due to the independence of the investigators, which offers greater accountability for the actions of officers. The independent model allows citizens to feel more comfortable complaining about officer misconduct, without the fear of reprisals or the fear of being interviewed in a manner in which they are the “them” in an “us versus them” situation. Arguments against an independent model include are that investigators may not have a full understanding of police techniques and police culture and they may lack experience in criminal investigations. Additionally, independent investigators will likely be unable to gain trust within law enforcement agencies, therefore eliminating such important investigative tools as source information and the necessity to bond with subjects.
5.05: Independent Investigations Office
Ensuring accountability under British Columbia’s Police Act and the Royal Canadian Mounted Police Act is difficult and can often be correlated to the “mechanics” of investigations into law enforcement misconduct. To ensure these investigations are carried out fairly and with due process, the Police Act designates a police complaint commissioner who has the duty and responsibility to oversee municipal internal investigations.
Operating under Griffiths’ (2013) independent model, the Independent Investigation Office (IIO) investigates cases that involve serious injury or death resulting from the actions of RCMP or municipal police members. The Police Act designates the IIO as a police force in British Columbia and thus its members are subject to provisions under the Act.
The IIO’s team is composed of ex-police officers and civilians. The civilians are trained at the Justice Institute of British Columbia (JIBC) alongside police recruits. Their training does not include all the curriculum followed by the police recruits, but it does include lessons that cover becoming investigators and understanding how the police may act in certain use-of-force scenarios.
Two issues to consider:
1. Is the IIO truly independent when its members are covered under the Police Act?
2. Many investigators in the IIO are trained at the JIBC in the Police Academy. Does this inculcation into police culture make them less independent from the police they are investigating?
5.06: References
Griffiths, C (2013). Canadian Police Work. Toronto: Nelson Education.
Reiner, R. (2010). The Politics of the Police. Oxford University Press. | textbooks/workforce/Corrections/Ethics_in_Law_Enforcement_(McCartney_and_Parent)/05%3A_Accountability_and_Investigation/5.04%3A_Investigation_Models.txt |
According to Caldero and Crank (2004, p.17) noble cause is a “moral commitment to make the world a safer place.” This commitment is why most people join law enforcement agencies, and while this is an admirable goal, when the commitment to make the world a safer place becomes more important than the means to accomplish these goals, corruption may result. There are reasons why within law enforcement the means to accomplish the ends are particularly magnified. Caldero and Crank (2004, p.17) describe the “scent of a victim’s blood,” which means officers in law enforcement are motivated by the suffering of victims and their families. As officers sworn to uphold the law, they are duty bound to stop further violence against other victims. The vivid recollection of victims suffering can, at times, compel officers to focus only on the end result of making the world a safer place. Officers generally join law enforcement to protect the vulnerable, to help others, and to enforce the law; their cause is generally a noble one, filled with good intent.
When officers reach a point where they are more concerned with the end result, they may resort to unethical and even unlawful activities to protect victims from further victimization and other citizens from becoming victimized. This rationale is an example of teleological thinking where the means are not as important as the ends. Utilitarianism would be an example of an ethical system that would be used to justify such an action. Ultimately, as Pollock (2010) reminds us, the values that an officer brings to the job are those that induce him or her to use unethical means to fulfill the end value: to “make the world a safer place.”
When confronting a situation in which an officer is faced with noble cause misconduct, Pollock (2010) suggests the following questions be considered by the officer:
• Is the activity he or she about to partake in illegal?
• Is the activity allowed under departmental policy?
• Is the activity unethical?
• Is the activity acceptable under any ethical system, or just utilitarianism?
While acknowledging that there is a need for tenacity in law enforcement, often the lines may be blurred between tenacious police work and noble cause corruption. By asking these questions, it is possible to determine whether the act is good police work, or noble cause corruption.
6.02: Policing Public Demonstrations and Crowd Control
Peaceful public demonstrations are a right in liberal Western democracies. Such demonstrations must be permitted to enable free speech. In Canada, this right is protected under section 2 of the Canadian Charter of Rights and Freedoms as a freedom of peaceful assembly and expression. While police officers must respect and allow freedom of peaceful assembly and freedom of expression, tension arises when these freedoms are at times contrary to the duty of law enforcement officers to ensure public safety and security.
Policing public demonstrations is historically difficult. Police reaction to public demonstrations often results in criticism of the police for either being too lax in enforcement, resulting in riotous situations, or too restrictive, resulting in the restriction of the rights enshrined under the Charter. Police reaction is also criticized when the mere presence of officers escalates a situation or the public perceives their use of force to be excessive. This tension is exacerbated by the nature of public demonstrations, as demonstration groups can range from violent anti-authority groups to groups that historically participate only in peaceful protest.
Because of the potential volatility of protest groups, the police use intelligence sources to identify potentially aggressive or violent members. Once identified, police may apply a technique called strategic incapacitation to counter the violence that may result from aggressive protesters within protest groups (Gillham and Noakes, 2007). Although this tactic allows police to preserve or restore short-term order, it is also gives them a potential tool to suppress the civil liberties of protesters, which may result in further protest against the police, and turn arrested protesters or protesters who have been illegitimately treated by police into martyrs. Techniques used by police are not meant to protect civil rights, but to ensure peace, protect property, and safeguard society and the government against a state of anarchy. Police strategies include the establishment of no protest zones, increased use of less lethal weapons, strategic use of arrests, and the surveillance and infiltration of protest groups (Gillham and Noakes, 2007).
The establishment of no protest zones was used during the Quebec City Summit of the Americas in 2001. As protesters from a wide range of causes descended upon Quebec City, large fences were erected allowing the meetings of officials to proceed unhindered (King and Waddington, 2005). The fences prevented protesters from assembling at any meaningful location, essentially muting their voices to the dignitaries attending the summit. To the protesters, these tactics represented a suppression of their right to voice legitimate grievances and strengthened their resolve to protest (King and Waddington, 2005). Such actions by police, while increasing the potential for order, served as evidence to protesters that the police and the government did not respect the rights of citizens to protest (Redekop and Pare, 2010). In Quebec City, the final conclusion drawn by protesters was that the police were acting illegitimately, thus providing ample ammunition to further their protest (Redekop and Pare, 2010). As protesters penetrated the fence, their grievances spread beyond their original cause to the perceived illegitimacy of police actions that denied their rights to express their opinion. The police countered that the protest was not peaceful, and thus the protesters’ rights were not protected by the Canadian Charter of Rights and Freedoms. The severity of these new grievances caused the protesters to focus directly on those officers who, in their minds, were directly responsible for these egregious actions. Therefore, the police must be mindful that their actions are constantly observed and weighed as being for or against the democratic right to protest, and, when such actions are taken, protesters view the actions as illegitimate even if they are legitimate.
Increasing the use of less lethal weapons is also fraught when this tactic is used in situations where there is no legitimate threat to safety and property. In Canada, using weapons on crowds is unlawful and unjustified under the Criminal Code unless officers feel their lives or the lives of the general public are threatened (Criminal Code, 2015, Sec. 25). Weapons can only be used against the person who is posing the threat as there are no provisions allowing the use of a weapon on a collective mass, no matter how benign the weapon. A protest that is not a riot as defined in the Criminal Code is not an appropriate venue for the police to use weapons. A riot is defined in the Criminal Code as an “unlawful assembly that has begun to disturb the peace tumultuously” (Criminal Code, 2015, Sec. 64).
Even in situations that can be deemed to be a riot, police can face criticisms by the public and the media and in judicial reviews. Police can also be subject to civilian lawsuits and criminal charges. In the 2011 Stanley Cup riots in Vancouver, police were criticized for using the Anti Riot Weapon Enfield (ARWEN) gun, which propels plastic batons (Furlong and Keefe, 2011; Lee, 2011). Less lethal weapons, such as water cannons and ARWEN guns, are not approved for use in Vancouver due to concerns with the civil litigation resulting from the first Stanley Cup riot in 1994 (Furlong and Keefe, 2011).
The use of non-lethal weapons is also symbolic of repressing the right to protest and can cause police to lose legitimacy among the public and the protesters. In the August 2011 riots in England, Peter Waddington (Kelly and Fraser, 2011) stated that the use of water cannons and baton rounds symbolically “looks like the end of the world” and may cause the police to lose “the moral high ground,” and thus lose legitimacy with protesters and the general public. Since the implementation of these weapons is frowned upon when used against rioters committing criminal acts, their use against protesters would likely be even less acceptable.
The strategic use of arrests should only be implemented when there are sufficient grounds for arrest, regardless of the context. When police pre-emptively arrest potential agitators on charges that would not normally be entertained, their legitimacy can only be questioned. Arrests were strategically utilized in the 1997 Asia-Pacific Economic Cooperation (APEC) conference in Vancouver. While the arrests resulted in incapacitating the protest, they ultimately demonstrated, in the long term, the illegitimacy of police and government actions with respect to protesters’ rights (Ericson and Doyle, 1999). Of the 49 arrests made, only one party was eventually charged for the original arrest, and this charge was eventually dropped (Ericson and Doyle, 1999).
In the APEC example, noted Canadian anti-globalization protester Jaggi Singh was arrested for assault days before the APEC conference was to start (CBC News, 1999 Panitch, 2002). The charge of assault occurred as a result of Singh talking through a megaphone and causing temporary damage to a security guard’s ear. Singh was imprisoned during the APEC conference, thus suppressing his right to protest (CBC News, 1999; Panitch, 2002). Once the APEC conference was over, Crown counsel determined that the charge was not worth pursuing and charges were stayed (CBC News,1 999). This strategy, while preventing some protesters from protesting, abuses police authority and is demonstrative of the tactics used to achieve an end (institutional protest) without regard to the means (legitimate protest). This utilitarian example of using any means to justify a peaceful end resulted in the denial of Singh’s rights to express his opinion under the Canadian Charter of Rights and Freedoms. From a police standpoint, this tactic also resulted in the future mistrust of police making legitimate arrests or conducting active surveillance for public safety. While some measure of safety and security may have been accomplished by pre-emptively arresting Singh, we will never know whether the consequences of arresting him were positive or negative in this regard; we know only that the end result was negative.
Surveillance of protest groups by police is a tactic used on groups that do not cooperate with the police. This lack of cooperation by some groups results in a lack of intelligence-gathering through open communication (Waddington, 1998). These tactics may include surveillance of protesters before a protest begins (Waddington, 1998), or the surveillance of online activities of protesters (della Porta, 2006). della Porta (2006) argues that, when used, these tactics demonstrate a suspension of civil liberties and a lack of respect for protesters’ rights, and that their use must be limited to those rare occasions when police feel the group is threatening the safety of the general public, or, in Canada, where the peace will be disturbed tumultuously (Criminal Code, 2015, Sec. 63).
The infiltration of protest groups is a way in which police can gather information about protesters’ strategies when there is no communication between the police and protestors. However, tactics such as these were used in the 1960s in the United States, and were widely seen as an abuse of civil liberties and are disallowed in some American jurisdictions (Gillham and Marx, 2000). Police, in response to the perception of such tactics, must continue attempts to communicate with all protest groups regardless of the cause of the protest or the plans of the protesters.
To achieve ethical control of protest groups, communicating with these groups is important because it enables law enforcement officers to understand the goals of a protest and to assess the type of protest they will face (Reicher, Stott, Cronin, and Adang, 2004). Reicher et al. (2004) consider communication with protesters to be a vital part of crowd control. Without it, police lack vital intelligence that would inform them about how to manage and differentiate the crowd. These are important considerations for police if they are to behave in a manner that will allow protesters their freedom of speech while maintaining public order, which is the end result desired in order for police to fulfill their common law duties.
Policing all public order events is a difficult task regardless of the groups involved. Protest groups are especially difficult to police due to the lack of a hierarchical structure affecting communication. In attempting to police disorder resulting from protest groups, police must continually assess whether their values lean toward public order or respect of the right to protest and civil liberties. When this assessment leans toward public order, tactics of strategic incapacitation may result in the public order being maintained at the expense of the right to protest in a meaningful way. The tactics used against protest groups may have lasting implications regarding the credibility of the police. Additionally, institutionalizing protest groups may yield few results immediately, compared to strategic incapacitation, but may result in long-term meaningful protest that is also peaceful. Ultimately, police must demonstrate their legitimacy through their acceptance of the democratic right to protest. In doing so, police must recognize that their duty is also the protection of rights under the Canadian Charter of Rights and Freedoms, and not merely their duty to uphold the Canadian Criminal Code. Often these two duties are at odds with one another, which can create a situation where law enforcement leaders responsible for crowd control and public order face an ethical dilemma that is high profile with high stakes. | textbooks/workforce/Corrections/Ethics_in_Law_Enforcement_(McCartney_and_Parent)/06%3A_Policing/6.01%3A_Noble_Cause_Corruption.txt |
Sex offender notification laws are an example of how a community attempts to provide a sense of security for its citizens against horrific crimes that often target the most vulnerable in society (Sample and Kadleck, 2008). These laws are predominantly found in the United States. Levenson and Cotter (2005, p.50) generally view U.S. notification laws as “intended to enhance community safety from sexual violence through awareness and education combined with vigilant surveillance and collaboration between law enforcement agents and citizens.” Thomas (2003, p.217) further strengthens this link between community safety strategies and notification laws by asserting that American notification laws are “a form of regulation to achieve greater community safety and public protection.” Notification laws, he asserts, are not additional punishment but rather regulation used to enhance the safety of the community. Gilling (2001) adds that risk and the management of risk are required to protect vulnerable victims, and the management of risk is a theme of community safety, which is the stated goal of American notification laws (Levenson, Brannon, Fortney, and Baker, 2007; Sample and Kadleck, 2008). Notification laws in the American context are laws that require offenders to register and make the offender’s information available to the community. In Canada, there is no such legislation; however, notification is made on a case-by-case basis, which requires a subjective analysis to determine which offenders to notify the public about.
In the United States, notification laws have evolved from the Jason Wetterling Crimes Against Children and Sexually Violent Offender Registration Act, which requires sex offenders to register with the police (Levenson et al., 2007). Commonly known as Megan Laws after murdered child Megan Kanka, offender information contained in sex offender registries is made available to the public ostensibly to enhance the safety of children and in theory to limit the risk of the offender reoffending (Anderson and Sample, 2008; Levenson et al., 2007). Megan Laws are administered at the state level where individual states are left to decide the manner in which the information will be made public (Levenson et al., 2007). However, there is inconsistency in the application of such laws as some states circulate information about all sex offenders, while other states use risk assessment tools to determine whether the offender is a risk and whether or not the public is notified (Small, 1999).
While sex offender registries seem on the surface to make sense, they may motivated more by politics than public safety. As such, the democratic freedoms and the rehabilitative ability of offenders may be hindered. Initiated by politicians as a response to urging by the media and other interest groups, notification laws in the United States have greatly exaggerated the risk of and the inherent dangers of strangers (Zgoba, 2004). Such laws may cause more harm than good, creating with them a culture that views not only the offender as a risk, but all strangers as risks. As such, these strategies, which are heavily influenced by the media, cause moral panic in the community (Sandler, Freeman and Socia, 2008; Zgoba, 2004).
Moral panic is an increased sense of danger, which can be a result of the media, entrepreneurs, and public institutions portraying high-profile and disturbing incidents as relatively common place and a risk to the public. Such media events capture the attention of the public, and leave some people in a state of fear, afraid that this crime could easily happen to them. The reality is that random crimes are very rare in our society (Emsley, 2007).
Some entrepreneurs contribute to moral panic by suggesting it is critical to have security devices such as panic alarms installed at home (Emsley, 2007), because without them the public is at risk of victimization. As well, police and corrections agencies may add to moral panic by making public announcements about the release of offenders or of crimes committed in the community.
Politicians exploit the moral panic climate by using emotive strategies that tap into a community’s fears. Emotive strategies rely on emotions of fear that are the result of terrible crimes that frighten the public. Such strategies involve using the names of child victims for laws aimed at protecting the community, such as Megan’s Law, which evoke emotion and public anger toward all offenders and a general sense of moral panic (Anderson and Sample, 2008; Petrunik, 2002). It is this anger and moral panic that heightens the perceived risk and allows the notion of risk to influence notification laws.
The risk of children being abducted or sexually assaulted by strangers is minimal compared to the threat that lies at home or among family and friends (Quinn, Forsyth, and Mullen-Quinn, 2004; Small, 1999; Zgoba, 2004). In spite of this, moral panic causes the community to exaggerate the risk from outside offenders (Petrunik, 2002; Zgoba, 2004).
Ethical considerations include weighing the rights of the offender, in spite of the heinous crimes that he or she has committed, against the safety of the community. The resulting moral panic created is perpetuated by the media in the form of non-stop news programs, which heighten the perception of risk, and thus perpetuate the demand for extreme laws to control the perceived risk (Sample, 2003, as cited in Quinn et al., 2004). While anger may well be justified for any offences against women and children, it is the manner in which such anger forces politicians to react by implementing laws that may have no empirical evidence to support them.
Although notification laws reflect strong emotions held by the public, there is little to suggest that they make communities safer. Strategies such as notification and registry laws have been shown to have little effect on the ability to prevent offences (Anderson and Sample, 2008; Levenson et al., 2007; Vess, 2008). If such strategies were effective, little could be argued against their use if they saved even one child; however, the unintended consequences of their use may lead to an even greater risk of recidivism than if they hadn’t been employed at all (Levenson et al., 2007).
Crime prevention programs using such strategies as notification laws are based on utilitarian principles, in which consequences are more important than the means to achieve the end results. Such teleological programs are often unethical as they may appear to be noble because of their emotional connection to victims, but they are often not assessed with as much scientific rigour as they ought to be. It is important that such programs be objectively studied so that their true utility can be assessed, rather than assumed.
Assessing crime prevention programs, such as those using notification laws, demands scientific rigour and academic skepticism and auditing (Eck, 2005). Ekblom and Pease (2005) note that it is rarely possible for the evaluator to determine an irrefutable conclusion about whether a program is effective or not. Programs such as juvenile intervention in the United States seem, on the surface, to appear intuitively good; however, a disturbing picture emerges after an empirical review. Such U.S. programs were once thought of as valid tools for preventing at-risk youths from committing future crimes (Petrosino, Turpin-Petrosino, and Finckenauer, 2000). Through the “scared straight” program, high-risk youths were identified and required to meet with hard-core offenders in prison (Petrosino, et al., 2000). This program attempted to rehabilitate young offenders and spread rapidly through the United States after the airing of the Scared Straight! documentary. Despite the well-meaning intentions of the program, research by Petrosino et al. (2000) shows that it has adverse effects and may actually cause participants to reoffend more often than those in the control groups. Moreover, in spite of the significant evidence about the harm caused by this program, positive media attention and a political climate conducive to reducing risk have ensured its continuation.
In much the same way, notification laws have been subject to empirical study, which has failed to support their stated goals of notifying the public of offenders in the community. The conclusion drawn (Levenson et al., 2007) is that notification is not successful in reaching its target audience; therefore, notification laws are unsuccessful. Levenson et al. (2007) have studied residents in Florida and learned that they were not aware of notifications in their community. This study was corroborated by Anderson and Sample (2008), who found that the majority of citizens sampled did not access the registry to gain information about offenders in their area. However, even if notification laws were successful in reaching their intended audience, it is doubtful whether this information would be taken in the spirit for which it was intended: to lessen the risk of children.
The purpose of notifying a community about offenders is to allow parents to adjust their parenting and lessen the risk to their child. Anderson and Sample (2008) found that of those who were aware of such information, only 42% of respondents with children took preventive actions. Consequently, Anderson and Sample (2008) conclude that the laws are ineffective at reducing risk, are a response to moral panic, and have little empirical evidence to support them. The negative consequences of such ineffective laws affect the offenders and may actually lead to a greater chance of reoffending because they cause difficulties in reintegrating into society (Levenson et al., 2007).
Notification laws can also cause offenders to suffer unnecessarily. Pratt suggests that strategies such as public notifications serve to “humiliate, degrade or brutalize the offender before the public at large” (2000, p.418). O’Malley (2010) further argues that the influence of risk on sentencing in the name of community safety has, in fact, a negative impact on offenders by creating difficulties that go well beyond the intent of offenders’ sentences. Such difficulties include bouts with isolationism and exposure to vigilantism, affecting not only the offender but also the offender’s family. While O’Malley (2010) acknowledges that the influence of risk theories on community safety strategies can be positive, in terms of using statistical models to predict risk factors, the use of risk-based sentences does nothing to reform the offender and, in fact, turns the community into an extension of the prison system.
Offenders’ rights must be protected regardless of the offences committed; however, “The pendulum of justice is now focused on the protection of society, rather than individual rights” (Quinn et al., 2004). While certain rights must inevitably come to an end when an offender is identified and convicted, basic human rights should never be eliminated. Ward et al. (2007) identify basic human rights as those that belong to all humans simply because they are members of the human race. The rights that must be afforded to humans include rights that are centred on the “dignity of persons and their significant interests” and ought never be extinguished (Ward, Gannon, and Birgden, 2007, p.198).
Alternatively, from a utilitarian viewpoint, there are circumstances in which basic human rights are extinguishable if other rights are overridden (Gerwith, 1981). In the case of notification laws, this would include the rights of the future victim overriding the rights of the offender. However, as pointed out earlier, empirical research has shown that notification laws in the United States are unsuccessful in their stated goals; therefore, any such removal of the basic rights of offenders is unnecessary, even from a utilitarian perspective. Ward et al. (2007) acknowledge the right of the state to punish and restrict the movement of sex offenders in the name of community safety but suggest these powers must be balanced without unnecessarily harming the offender and limiting the potential of the offender to reintegrate successfully into society.
Risk-based strategies that employ limits on basic human rights are neither rehabilitation nor treatment. Petrunik (2002, p.484) views such strategies as not only extraneously punitive but also debilitating as a result of extraordinary measures that “override conventional understandings of justice and civil rights.” As risk is determined and used as a basis for community safety, offenders’ rights are diminished. While the rights of the community, victims, and future victims are important, the rights of sex offenders must also be considered, and the two should not be competing interests (Sanders and Young, 2007). The rights of the state to protect the community from sex offenders is a right that must be tempered by justification and deliberation so that the offender is not subject to obstacles, but rather is helped to become a contributing member of society.
Basic human rights protect dignity, security of person, and the right to work, and are essential for successful assimilation into society (Ward et al., 2007). Notification laws are the antithesis of such positive characteristics because by publicizing an offender’s private information, they can unnecessarily subject the offender to physical assaults and threats from vigilantes, cause the loss of jobs and job prospects, and can promote harassment of and indignity for family, friends, and neighbours (Small, 1999; Tewksberry and Lees, 2006, Thomas, 2003; Ward et al, 2007; Zgoba, 2004). Such violations have caused offenders to be treated as “…objects, simply as means to other people’s ends rather than ends in themselves” (Ward et al, 2007, p.199). | textbooks/workforce/Corrections/Ethics_in_Law_Enforcement_(McCartney_and_Parent)/06%3A_Policing/6.03%3A_Sex_Offender_Notification_Laws.txt |
The private policing sector has grown to take over the security and, by extension, the policing of public land. Private police are often seen on public land, providing security to access points of adjacent private land. In doing so, private police are acting on behalf of corporate interests, at times against the rights of civilians and potentially by using force. Loss prevention officers also act as private police who, in the interests of the corporation that employs them, restrict the liberty and freedom of citizens who are observed breaking the law. This leads to private police using force to apprehend citizens who have been identified as breaking the law. Ultimately, it can be argued, that the private sector should not engage in functions that will likely result in the use of force, which should be the exclusive domain of the state.
Cohen provides a practical description of the private policing sector by stating: “The state ceases to provide a particular service and it is then supplied by the private enterprises which are directly paid by the public as a customer” (Cohen, 1985, p.64). Cohen’s description does not include private sector agencies that augment existing and parallel police services.
Policing is a practice that may involve authorizing coercive power, and this power must be used responsibly and with accountability (Department of Criminology, 2006/7; Girodo, 2000). The very suggestion of allowing an under-regulated private sector body to police society therefore strikes at the very core of democratic statehood (Marks and Goldsmith, 2006; Pastor, 2003). The importance of accountability cannot be minimized as it ensures that policing services are provided in an ethical manner and that service providers act with integrity, thus lessening the potential for misconduct (Girodo, 2000). The accountability of the private sector and regulations enforcing that accountability are controversial issues and opinions on them are varied. However, some argue that allowing the state to enforce accountability on private security is intrusive and unnecessary (Rothbard, 1973).
Rothbard (1973) believes state regulation of private police is not necessary because the free market rewards companies that self-regulate. Private police would therefore be answerable to their clients and would “enforce whatever their clients are willing to pay for” (Rothbard, 1973, p.221). It follows, therefore, that private policing companies, which do not satisfy their clients, would soon find themselves out of business due to free market forces. In Rothbard’s view, regulation is provided by market forces (not the state), as the market will eliminate companies that do not produce.
The most obvious problem with Rothbard’s conception of privatization is his failure to address accountability and the goals of the client. Given that the client of a private police service is seeking security, the client would be content to see the civil rights of its adversaries diminished, if that meant more security (Davis et al., 2003). The private police’s goal would be to satisfy the client who pays for the services (U.S. Congress Senate Committee on Education and Labor, 1939). Rothbard assumes the client’s goals will be altruistic and that the client will be concerned that justice is served. With this in mind, it is useful to look at two examples: one of the need for the state to tightly regulate policing and the other of the consequences when such regulation is absent.
In 1939, the U.S. Government held an inquiry into the use of privately paid police to battle protests staged by the burgeoning labour movement. The conduct of the police was anything but altruistic (U.S. Congress Senate Committee on Education and Labor, 1939). The Committee on Education and Labour was formed as the result of murder committed by the private police while serving their clients, the embattled corporations. In its final report, the committee concluded that private police systems were “…created to meet the economic needs and desires of private interests. Because there is no accountability other than the criminal code, they cannot be considered as agencies of law and order” (U.S. Congress Senate Committee on Education and Labor, 1939, p.2). The committee recognized the need for police agencies to be accountable in order to protect the interests of the public at large and stated that the criminal code – the only mechanism to enforce accountability among private police – was insufficient to fulfill this purpose.
The consequences of lax regulation were more recently seen in South Africa, where private policing resulted in the murder of civilians suspected of being criminals (Baker, 2002; Shearing and Berg, 2006). The citizens’ group Mapogo-a-mathaamaga consisted of 70,000 members and was considered a formal, albeit voluntary, police organization dedicated to assisting public police with the investigation of crimes and punishing the transgressors (Shearing and Berg, 2006). Mapogo-a-mathaamaga members were citizens from all walks of life, and the group was formed as an altruistic response to the murder of business people by gangsters (Baker, 2002). Without any mechanisms in place to ensure their accountability, the Mapogo-a-mathamaga were allowed to do as they wished and act without regard to due process, with the end result being murder. Such abuses are certain to occur when accountability is not required of a policing agency.
McLeod (2002), a security company owner, views the private security business as having distinct advantages over public police. From the perspective of crime control, McLeod believes that private police are able to do things public police agencies cannot do because of the complex procedural processes required by their large bureaucracies and the restraints imposed upon them by the Canadian Charter of Rights and Freedoms (McLeod, 2002). These observations demonstrate that due process and the guarantee of statutory rights can only be delivered by a public police agency, which is governed by the state. In McLeod’s (2002) experience, the powers of private security may be at odds with policing in a democratic society.
The problem of private policing accountability is further illuminated by comparing private police agencies to public police agencies (Wakefield, 2003). Ceyssens (2000, p.62) outlines the nine principle forms of regulation that Canadian public police are bound by: the Criminal Code, the Canadian Charter of Rights and Freedoms, supervision by independent authorities, internal processes, public complaint processes, police services, human rights legislation, commissions of inquiry, and coroners’ inquests. In contrast, Canadian private police are bound only by the Criminal Code, market accountability, insurance restrictions, and minimal licensing requirements (McLeod, 2002). McLeod states that private-sector entrepreneurs’ greatest responsibility is not accountability to government, but rather the “requirement that I meet a payroll every two weeks” (McLeod, 2002, p.60). This standpoint reflects the primary shortcoming of private policing, which is its reliance on generating money versus accountability.
Though government regulation is at times ineffective, private police require more accountability to be on a par with public police (Davis et al., 2003). Stenning, as cited in Davis et al. (2003), states that the private sector is not only regulated by market pressures but also by civil liability, and that both compensate for the lack of state regulations and controls. While civil litigation may at times be a viable method to achieve accountability, the cost of legal representation is prohibitive for many citizens. More formal, codified sanctions and rules are necessary to provide citizens whose rights have been violated by private police or security with the proper means of redress.
State regulations and controls that ensure a measure of accountability are daunting and force public police to obey the law and guarantee the rights of citizens, suspects, and lawbreakers. In Canada, Britain, and the United States, public police are required to follow procedures to ensure suspects retain their rights. From a Canadian perspective, these rights, enshrined in the Canadian Charter of Rights and Freedoms, include the right to retain counsel upon arrest (Department of Justice, 2010). Any statement taken without that right being upheld is potentially inadmissible in criminal courts (Law Commission of Canada, 2006). Private police and security officers are exempt from the requirement to uphold the Charter (Hutchinson and O’Connor, 2005; Rigakos and Greener, 2000). Private police officers are therefore able to breach the Charter to gain statements resulting in a value system based not on integrity and accountability, but rather on profit and efficiency. Furthermore, market variances affect private sector companies and would ultimately dictate the allocation of resources (Johnston, 1992). The more lucrative populations can afford more services, while the poor would be left without adequate police service. Loader (1997) refers to this as a two-tier system, which is unbalanced by its very nature. A two-tiered policing system would deliver high-quality services to the affluent and lower-quality services to the poor.
Alleviating the public police’s stretched resources has been heralded as one of the benefits of expanding private policing. The reasoning behind this is that the private sector is able to augment public policing and thereby allow public police to concentrate on activities requiring specialization related to their function as a servant of the state (Davis et al., 2003). Marks and Goldsmith (2006) assert that the public’s acceptance of the private policing phenomenon is an acceptance of private security as an extension of the state. The public sees private police as a part of the policing continuum and believes they are able to relieve the police of some of their vital and complex duties (Marks and Goldsmith, 2006). McLeod (2002) recognizes the limits of the private security sector and cannot foresee the private sector ever taking over core policing; rather, he sees the private sector absorbing up to 60% of non-core policing. In an attempt to find a middle ground, the state has permitted private companies the ability to create private policing agencies at their own costs, with state-imposed conditions.
This complex model, known as hybrid policing, allows certain private organizations to obtain official status as police (Johnston, 1992). However, hybrid policing organizations have been successful as semi-private entities due to the state’s regulation of their powers. For example, B.C. Transit Police are paid by the transit authority to serve customers who use the transit system and to protect transit system property. Officers are governed by the Police Act, which governs all municipal public police in British Columbia (Transit Police, 2009). The state ensures some accountability of the hybrid policing service, but it does not ensure an equitable allocation of the service’s resources.
Unlike private police or hybrid police, public police are available to all segments of society and will respond to calls no matter where they originate. Police often have a strong presence in urban pockets of poor or disadvantaged citizens (Johnston, 1992). The ability of disadvantaged citizens to pay for private security is limited, and if they were not served by public police, their communities would be under-policed or policed by volunteer organizations.
To resolve this issue, Rothbard (1973) suggests that private police would be expected to voluntarily police these areas out of goodwill, ignoring the market costs and essentially providing welfare policing. He furthers his extreme libertarian argument by suggesting that those who don’t pay for security would not receive the service. Here, the poor and disadvantaged would be at the mercy of the goodwill of other private police companies and societies formed by police. Even without considering the earlier example of the Mapogo-a-mathaamaga, Rothbard’s perspective is problematic. He does not consider how unlikely it is for police officers to be convinced that they should volunteer a day of their time to police-disadvantaged areas or the likelihood of a company donating labour costs to police such areas. In addition, policing can be a risky occupation and to expect the private sector and volunteers to provide adequate policing for a specific area, at all hours, is unrealistic and certainly not possible for an extended time frame. Consequently, if private sector policing replaced the public police, the impact on underprivileged neighbourhoods would most likely be increased crime and violence, thus increasing the likelihood of the police using force.
In their assessment of underprivileged neighbourhoods in South Africa, Koonings and Kruijt (2004) found that the incidence and impact of violence in underprivileged neighbourhoods is disproportionate to that in other neighbourhoods. If we accept that disadvantaged neighbourhoods are more prone to violence, it follows that the use of force by policing agencies in these areas is likely to be more common than in affluent neighbourhoods. Private police without accountability should not investigate crimes of violence or be placed in a position where the use of force is probable.
Although private security officers have a right to protect themselves, this right should extend no further than the rights afforded to other citizens. The state should be the only body entitled to legitimately use force, and this entitlement should be granted only to designated state representatives (Walker, 2000). This notion is not only shared by proponents of public police, but also by libertarians such as Nozick (1974), who advocate that the use of force be restricted to the domain of the state. Nozick (1974) reluctantly draws this conclusion in spite of his desire for a minimalist state that adopts a privatization approach in all other areas of public service. He concedes that as a state becomes more powerful or extensive, it becomes more coercive and civil rights are increasingly stripped. However, he makes an exception to this rule with regard to the use of force:
A state claims a monopoly on deciding who may use force when; it says that only it may decide who may use force and under what conditions; it reserves to itself the sole right to pass on the legitimacy and permissibility of any use of force within its boundaries; furthermore it claims the right to punish all those who violate its claimed monopoly (Nozick, 1974, p.23).
The second half of Nozick’s statement reveals a second function of policing that should never be conducted by the private sector: the investigation of crimes where force was used. The state, as the sole legitimate purveyor of the use of force, should also be the sole investigator and punisher of those who do use force illegitimately. Prominent philosophers Thomas Hobbes and Jean Bodin, as well as Max Weber in the 20th century, have also professed the axiom of the state’s sole responsibility for the use of force to protect against internal and external threats. Walker (2000) adds that a “key defining feature of statehood is ultimate control over the legitimate use of force” (Walker, 2000, p.228). Surprisingly, Nozick (1974), who argues for minimal state involvement, also concedes that statehood requires those who use force without the consent of the state be punished in order to legitimize the use of force. Furthermore, it is imperative that the arms of the law which are not focused on a profit margin must investigate the illegitimate use of force that results in violent crimes. The investigations of such offences need to be tightly controlled, highly accountable, and ethical to protect the integrity of the state.
Private security companies not only lack accountability but also likely lack an effective ethical structure (Livingstone and Hart, 2003). Ethics are a necessary component of violent crime investigations because such cases too often present a temptation to tamper with the evidence. While public police organizations cannot always guarantee ethical conduct, rules and protocols are in place to maximize it (Livingstone and Hart, 2003). Ethical conduct is far less likely to be a concern for private organizations that have to answer to their paymaster. The goal of private companies is ultimately to make profit, and ethics act as an impediment to making profit. In his analysis of corporations, Alvarez (2001, p.107) notes that many companies “create cultures of amoral calculation in which values and ethics are less important than eliminating competition and increasing profits.” This practice of ignoring ethical considerations is unlikely in a public policing environment due to the mechanisms of accountability that public policing is subject to and the freedom from the need to increase profits.
The lack of an ethical code of conduct among the private sector is reflected in private policing agencies’ lack of commitment to ethical standards. Livingstone and Hart (2003, p.168) have observed that there is a need for an “ethical component and commitment on the part of the security sector that goes further beyond strict legality and the pursuit of profit.” Until the private policing sector is forced to adopt structured ethical constitutions and mechanisms to ensure accountability, it is not qualified to use force or be directly involved in the investigation of violent offences. | textbooks/workforce/Corrections/Ethics_in_Law_Enforcement_(McCartney_and_Parent)/06%3A_Policing/6.04%3A_Ethics_of_Private_Policing.txt |
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Ward, T., Gannon, T., and Birgden, A. (2007). Human rights and the treatment of sex offenders. A Journal of Research and Treatment, 19(3), 195-204. https://doi.org/10.1177/107906320701900302
Zgoba, K. (2004). Spin doctors and moral crusaders: The moral panic behind child safety legislation. Criminal Justice Studies, 17(4), 385-404. | textbooks/workforce/Corrections/Ethics_in_Law_Enforcement_(McCartney_and_Parent)/06%3A_Policing/6.05%3A_References.txt |
According to McGregor (Kleinig,1996), discretion can only be interpreted as those decisions that are made with lawful authority rather than decisions made for illegal reasons. Furthermore, the individuals within an institution must have lawful authority to make the decisions and must operate under the constraints acceptable to others within the organization or profession. This definition is useful as it allows discretion to be considered in a legal context rather than only when police officers operate illegally and decide to commit prohibited acts, which is not considered to be lawful discretion. Kleinig (1996) accordingly considers these illegal acts not as discretion but rather as a decision to engage in forbidden conduct. In a law enforcement context, discretion only concerns decisions that are made in a legal setting. When decisions that are made by officers do not yield the desired positive results, but are made in good faith, these decisions still fall under the umbrella of discretion. Decisions made by officers without good faith are not classified as discretionary.
Discretion in law enforcement, and especially within policing, is critical to both the functioning of the police department and to the relationship with the public the police department serves. It is unusual within the paramilitary policing environment, due to the inverse relationship between discretion at the top of the rank structure and that of the lower end of the rank structure, compared to military bodies and some commercial enterprises (Manning, 2010). Officers who have recently started in patrol exercise more discretion than the chief constable or the highest rank within the department. In comparison, a general in the army possess discretionary powers at a much higher level than does a low-ranking soldier.
There is an inevitable tension that exists between paramilitary agencies that require members of all ranks to follow orders and those agencies that acknowledge discretion among members of lower ranks is necessary to function. In the military, discretion is seldom used at lower levels. Orders are given and are to be followed regardless of the feelings or desires of the subordinate. The move toward more discretion inevitably leads police services away from the military hierarchical structure to a more organic structure in which decisions are made throughout the organization (Hughes and Newton, 2010). Key to the argument, however, is that some in law enforcement view professionalism as partially gauged on the amount of discretion that is afforded to an occupation, and it is in this respect that a shift toward more discretion will result in police services being more professional.
It is also important to explain how the term professionalism will be used in the context of law enforcement. While arguments persist as to whether or not policing is a “profession” or an “occupation,” it is important to note that professionalism, within a law enforcement context, is related to the ability of police officers to exercise discretion with a level of autonomy (Villiers, 2003). More specifically, the meaning of professionalism in this context is related to the freedom of police to make discretionary operational decisions. When discretion is removed from police due to managerialism and accountability, professionalism decreases. Klofas, Stojkovic, and Kalinich (1990) use the term deprofessionalization to describe this process. Without discretion, it is argued, an organization loses its professionalism.
The shift to more professionalism requires the need for management to proactively promote operational decisions in a manner that is reflective of an organic organization and still be able to control its members (Jones, 2008).
However, Sanders and Young (2007) take a dim view of police management’s ability to control the discretion of operational police officers. Discretion, they argue, has the potential to:
• Lead officers to fabricate evidence
• Look for guilt rather than truth
• Summarize statements with bias
• Handle exhibits poorly and fail to disclose evidence
The ability to control and provide effective leadership to officers, who possess more discretion and autonomy than the management, raises serious implications for police managers.
Crawshaw, Devlin, and Williamson (1998, p.24) argue that it is due to the discretion afforded to police at the operational level that police work is unsupervised and for large amounts of the officer’s day “unsupervisorable.” Pagon (2003, p.159) refers to this as the “discretionary paradox” in which police officers are answerable to their superiors even though they operate with a high degree of autonomy and out of view of their supervisors.
An irony within law enforcement exists because while a law enforcement structure is different from the military, the police still have a quasi-military structure. To further complicate matters, within policing specifically, sergeants have an increased role in administration, which has limited their ability to provide supervision on the street. Ultimately, this does not allow for close supervision of junior officers who are forced to exercise their discretion often without the benefit of the wisdom of experienced supervisors (Butterfield, Edwards, and Woodall, 2005). Lipsky (1980) warns that the need for a high degree of control through supervision is critical in allowing discretion to be effective; without such control, officers will make decisions that are self-promoting and in opposition to organizational goals. Direct supervision and control is a difficult task for front-line managers who are faced with an increased workload.
Because of the discretionary mistakes that are inevitably made by officers, attempts have been made to control operational decision making among police officers (Butterfield, Edwards, and Woodall, 2005). Lipsky (1980) notes that discretion has been curtailed in regards to domestic assaults where police officers are encouraged to charge offenders rather than informally resolve the situation. In British Columbia, the Violence Against Women in Relationships Policy was introduced in 1993 and underwent changes in 2010. The policy makes clear to officers the protocols, roles, operational procedures, and responsibilities they must adhere to when investigating instances of domestic assault (British Columbia Ministry of Public Safety and Solicitor General Ministry of Attorney General, Ministry of Children and Family Development, 2010). Policies such as these are regarded as examples of positive arrest policies (or legislation) where the intention is to limit discretion in favour of arrests (Rowe, 2007). Since this policy is intended to limit discretion, it ultimately holds officers accountable if they choose not to arrest while still affording them the facade of autonomy (Rowe, 2007).
Studies have shown that there are problems with such policies and legislation, and an examination of such problems highlights the benefits of a shift to more discretion (Fyfe, 1996; Mastrofski, 2004; Neyroud, 2008; Rowe, 2007). In a study of officers’ perceptions of the Domestic Violence, Crime and Victims Bill, an equivalent example from Britain, Rowe (2007) found that officers were concerned about the ethics of positive arrest policies in cases where they would not have arrested had it been left to their discretion. Officers felt that when they are forced to arrest suspects in cases where they would otherwise operationally decide against charges, their ethical standards would be compromised as they believed that such charges would be unjust. Other problems associated with the legislation included such things as increased workload, reduced professionalism, and the potential for worsening a situation due to the arrest (Rowe, 2007). The Domestic Violence, Crime and Victims Bill (2003) demonstrates inherent problems when discretion is curtailed either through legislation or organizational policy; however, it does highlight three benefits that would result from a shift to more discretionary powers in operational decision making, namely greater efficiency or a smaller workload (Davies and Thomas, 2003), professionalism and ethics (Villiers, 2003), and leadership within the junior ranks of the service (Bass, 1990).
It is impossible for the police to detect all crimes all the time. However, even if the police were able to detect every crime, resources would not be sufficient to investigate each one and make an arrest. Discretion is needed to filter offences so that only those that are most important will be investigated, even though at times such discretion may be misused (Tillyer and Klahm IV, 2011). Without discretion the police, and indeed the whole criminal justice system, would become overwhelmed with cases, resulting in public displeasure (McLaughlin, 2009). Lipsky (1980) further asserts that discretion among police officers will always be mandatory due to the inevitable lack of resources and the need for an efficient service. Decisions, ethically made, will allow for charges to be limited to only those that matter and will render the police service more efficient in prosecuting only such offences.
However, while efficiency is important in all public organizations, there is the danger that police agencies will lose their way if efficiency is promoted over ethical and rightful decisions concerning the protection of the public and if citizens are denied justice. Rawls (1971, p.71), in his seminal theory on justice, observes that “the principle of efficiency cannot serve alone as a conception of justice.” Discretion, according to Rawls (1971), should not be used as a means of ensuring efficiency but rather as a way of applying a utilitarianism counterbalance to unjust laws within the justice system. The end result should never be efficiency at the expense of human rights and ethical policing. Dobel (2005, p.161) extends this thought process to discretion when noting “that the existence of discretion increases the tension between liberal democracy and public management and administration.” The end result of using discretion as a means to ensure maximum efficiency potentially leads to an abuse of process in which the rights of individuals are superseded by the will to maximize results with minimal resources (Dobel, 2005).
Therefore, the goals of the organization can become ambiguous, caught between ensuring democracy and individual rights and promoting efficiency. Goal ambiguity can lead to placing the rights of individuals at lower levels of importance and can be further fostered by the different subcultures within the police service (Lipsky, 1980).
Goal ambiguity is consistent with some of the inherent problems faced by police officers in operational decision making. Lipsky (1980) identifies a conflict that police confront between client-oriented goals, social-engineering goals, and organizational-centred goals, and spousal-assault policies are an example. In this instance, an officer is mandated to charge where there is evidence even if the officer feels charges are not appropriate and go against the goals of the client—for example, if the victim does not wish to pursue charges (Rowe, 2007). Likewise, an officer who is acting only to comply with policy guidelines may be inclined to perform poorly to compromise the investigation, thereby subverting the charge which he or she was obliged to make, however reluctantly (Lipsky,1980).
Proper use of discretion, within the parameters of McGregor’s definition (as cited in Kleinig, 1996), will effectively allow the state to save resources while enforcing only the violations that the public want enforced. According to Reiner (2010), police require the ability to use discretion due to the inevitable lack of police resources to enforce all laws all the time. While police services chronically lack the resources to formally enforce all laws, they must, as a result, allow officers to determine which laws will be enforced at the operational level (Crawshaw, Devlin and Williamson, 1998; Lipsky, 1980). The discretion allowed at the lower levels of the hierarchy allows police services to spare precious front-line resources while concentrating on those offences that should be enforced in accordance to the police service’s values and/or the values of the community the agency serves. While discretion creates an efficient system, the proper operational decisions must be made at the lower levels of the hierarchy, which will benefit the agency by fostering leadership throughout the organization. | textbooks/workforce/Corrections/Ethics_in_Law_Enforcement_(McCartney_and_Parent)/07%3A_Discretion_Supervision_and_Leadership/7.01%3A_The_Ethics_Surrounding_Discretion.txt |
Police officers who believe they are professional will more likely act in a professional manner and therefore act with accountability and ethics. In his qualitative study, Rowe (2007) observed that when discretionary powers are reduced, officers report a feeling of frustration due to the perception that superiors do not view them as trustworthy enough to make decisions. One could logically infer from this that when discretion increases so too does the feeling of professionalism. Therefore, discretion, when professionally instructed, will lead to ethical decision making and ultimately an ethical police service (Neyroud, 2008). The alternative is having a police service where trust is not shown to the lower ranks, which results in officers who do not view themselves as professionals and who likely would not conduct themselves so. Neyroud (2008) concludes that although police do possess a large amount of discretion, unfortunately, the legal framework under which they operate sharply limits their discretion and therefore their professionalism.
Professionalism in policing is also problematic due to the military hierarchical nature of policing structures previously outlined. This means that the military organizational model of the police is not compatible with a profession that uses discretion as much as it is used by the police (Hughes and Newton, 2010).
In policing, to further complicate matters, the position of sergeant in the past was that of an operational police officer with some supervisory duties whose principal responsibility included mentoring and training constables to ensure their welfare, discipline, team leadership, and ultimately controlling subordinates (Butterfield, Edwards, and Woodall, 2005). Currently, there is a devolving of the duties and responsibilities of the executive rank to those of the sergeant rank (Butterfield, Edwards, and Woodall, 2005). While sergeants were once seen as mentors and experienced practitioners on whom constables relied, they essentially have become office managers who are concerned with budgets and target-setting and are unable to spend time monitoring their subordinates (Butterfield, Edwards, and Woodall, 2005). The lessening of the direct supervisory role of the sergeant has had a negative impact on the ability of the police service to rely on the discretion of the individual officer in his or her operational decisions, and it is in these conditions that discretion is likely to be misused, thus highlighting the need for more control.
Discretion among the lower ranks in policing organizations makes control by the organization imperative so that the operational decisions represent the organization’s values. Panzarella (2003) suggests that organizational control of police discretion is a facade because police officers are an uncontrollable entity and that an increase in police discretion will further erode such control and more unethical practices will ensue. Additionally, Punch (2003) suggests that systemic failures within policing organizations result in corruption: the outcome of a lack of control by managers who, he asserts, are all too willing to let rules be bent or broken. At issue then, according to Panzarella (2003) and Punch (2003), is the inability of police management to monitor and control the inevitability of police discretion.
While police managers have access to technology that enables them to closely monitor the discretion exercised by police officers at all times (Alderson, 2003), a manager watching an officer’s every move is a superficial solution, which suggests a lack of trust in the ethics and values of the officer. Managers must instead act in ways that promote values that reflect the organization’s goals; they must also pass these values on to their subordinates so that they too will use their discretion in a similar fashion. The goal is to lead officers in enabling the effective use of discretion rather than merely overseeing their every operational decision.
7.03: Selective Enforcement
Law enforcement officers are given enormous discretion to choose which laws to enforce and when. While discretion enables them to decide when and what to investigate, issues arise when an officer’s decision may be questionable. Officers often refer to the “ways and means act” to explain selective enforcement that results in “legally” punishing poor behaviour in a way that may not be justified. An example is best used to illustrate this line of thinking.
A police officer who is accosted by a rude and obnoxious citizen may find an obsolete charge with which to charge the person to teach him or her a lesson. The charge is usually something minor, such as riding a bicycle without a bell. While technically the bylaw may require riders to have a bicycle bell, it may very rarely be used. In addition, the police officer may not have enforced this bylaw in the past and is aware that numerous people ride bicycles without bells.
While the officer has a legal right to charge the citizen, he or she should reflect on how this case will look if it is taken to court. The officer’s credibility will be questioned after the circumstances of the case are read in court. Typically, the citizen’s obnoxious behaviour, when recalled later on, will pale in comparison to what the court could rule as an abuse of authority by the police officer. Officers must be objective and treat everyone equally, regardless of the behaviour exhibited. When confronted with obnoxious citizens, officers must strive to remain unmoved, unnerved, and calm. Using discretion as a tool to charge a citizen with obsolete laws and bylaws should be avoided for the good of the officer, the agency, and society. | textbooks/workforce/Corrections/Ethics_in_Law_Enforcement_(McCartney_and_Parent)/07%3A_Discretion_Supervision_and_Leadership/7.02%3A_Discretion_and_Supervision.txt |
Most branches of law enforcement are paramilitary, having a formal rank structure while still possessing some traits of a civilian organization. One of the characteristics of a military environment is loyalty and camaraderie: loyalty to other members of the agency, loyalty to the system of rank structure, and loyalty to the values possessed by the agency. Correction guards and other law enforcement personnel work most of their careers in an unsafe environment, in which they have to rely on one another for their safety. In this context, when a law enforcement member is in danger, that member must be secure in the belief that fellow members will be loyal to him or her, even in dangerous situations or situations involving emotional risk. Loyalty is critical for ensuring law enforcement members understand that their colleagues will be willing to ignore danger and assist them regardless of the peril. Without loyalty and camaraderie, law enforcement personnel would be ineffective as they would likely be reluctant to put themselves in harm’s way.
Police investigators for one agency often assist other investigators in different agencies. Part of this compelling duty to assist in an investigation is because of a sense of loyalty to other members of the same profession. The loyalty felt by officers fosters teamwork in investigations and in general duty or patrol work. Loyalty and teamwork in all branches of law enforcement are critical in preventing crime, investigating crime, and guarding prisoners.
While loyalty is important, there are limitations; officers should be aware of how far their loyalty extends before they report misconduct. Westmarland (2010) surveyed police officers about corruption and the “blue code” of silence. Specifically, Westmarland sought the following:
• What officers think about violations of rules
• When to inform superiors of rule breaking
• Whether informing superiors of rule breaking is just as bad as the behaviour of the original rule breaker
• Behaviour the officer would definitely not report on
• What the appropriate punishment would be for each sort of behaviour
The survey included scenarios that ranged in seriousness from off-duty business interests to theft and assault. Scenarios varied and included themes that were acquisitive (where greed was the motivating factor, such as theft), administrative or internal disciplinary infringements (rule bending), and noble cause corruption. The survey was administered to 171 serving police officers in the United Kingdom. Based on the survey results, Westmarland concluded the following:
• Acquisitive cases were regarded by the officers as being the most serious.
• Officers in judging acquisitive cases severely depended largely on the perceived dollar amount that was taken.
• It is not clear whether the money amount, or the way the money/property was taken, is correlated to the perceived seriousness of the case.
• Of the acquisitive scenarios, taking bribes (95% of respondents), stealing at a crime scene (99% of respondents), and taking money from a wallet (95% of respondents) were described as very serious.
• Of these acquisitive scenarios, taking bribes (82% of respondents would report to their superiors), stealing at a crime scene (95% of respondents would report to their superiors), and taking money from a wallet (88% of respondents would report to their superiors) were highly reportable.
Of particular interest is that some officers who stated that these offences were serious said they would not report them to a supervisor. For example, 95% of officers described taking money from a wallet as very serious. However, 88% stated they would report to their supervisors, meaning 7% who considered this as very serious would not report something that they thought was very serious to their supervisor. This is a demonstration of officers who value loyalty more than the morality of other officers. Westmarland also concluded the following:
• Officers generally appear to be forgiving of noble cause corruption, brutality, and rule bending.
• Officers were generally unwilling to report the behaviours related to noble cause.
Westmarland’s study provokes the following questions:
• Are police officers right in grading the seriousness of the infringements?
• Are officers who do not report infringements as guilty as those who commit the original infringement?
• Does loyalty stop police from reporting infringements?
• Are questionnaires of this nature reliable, or do officers respond only in a way in which they think they should respond?
Police officers who breach loyalty to report minor ethical violations may be seen to damage the overall team or structure of a law enforcement agency. The importance of loyalty within law enforcement is an inhibitor for reporting instances of ethical misconduct, and law enforcement officers are required, at times, to alter their loyalty from individuals in their agency or profession to their agency or society at large. This requires a more comprehensive world view that looks past the individual and focuses on the values of the organization or society. The reporting officer will inevitably have his or her loyalty questioned by other officers in the agency; however, it is the loyalty of the officer participating in the misconduct that should be questioned, and that person should be viewed as disloyal to society and to the goals and values of his or her organization. | textbooks/workforce/Corrections/Ethics_in_Law_Enforcement_(McCartney_and_Parent)/07%3A_Discretion_Supervision_and_Leadership/7.04%3A_Loyalty.txt |
As we have learned, ethical conduct in law enforcement is critical. Leaders within law enforcement agencies play a significant role in determining the ethical orientation of their agency. Specifically, leaders must regard ethics as a key component of the agency’s culture in which officers behave ethically and respect the rights of others. This can only be accomplished by leaders demonstrating ethical actions to all members of the agency.
Zuidema and Duff (2009) believe that agency leadership can facilitate an ethical workforce in the following ways:
• Incorporate agency values or ideals through mission statements. Mission statements are a tool agencies can use to explicitly state their values for all to see. Some agencies develop mission statements and present them to their workers who sign a confirmation that they hold the same values as the agency and will adopt the values stated in the mission statement. The confirmation is strictly symbolic in nature, but it can be a powerful reminder of the values that are important.
• Focus on ethical behaviour as part of formal events and training sessions. Ethical behaviour should be woven throughout all training and stated in lesson plans. Leaders should not assume that ethical decisions are made, but rather they should remind and train members that ethical considerations are a critical component of their daily business activities.
• Emphasize ethical behaviour in the agency’s philosophy. The agency must reflect ethics in all policies and philosophies. In law enforcement, agencies must be aware of the problems that arise when crime control models are too closely adhered to at the expense of ethical behaviour.
• Do not tolerate any unethical activities, including unethical behaviour at the executive level. This means that agencies should consider a policy of zero tolerance for any unethical activity by executives. Agencies should consider universality as a test for executives: assessing the ethics of the behaviour by assessing whether the behaviour would be appropriate for every member of the agency.
Mayer et al. (2009) have proposed a “trickle down” model in which the effects of ethical leadership are mimicked by workers throughout the ranks and are eventually replicated by employees at all levels of the hierarchy. In a survey administered to employees and leaders in corporations in southeastern United States, Mayer et al. (2009) found:
• Top management has an effect on employee behaviour indirectly through supervisory leadership.
• Employees imitate the behaviour of leaders.
• Employees will behave in a manner consistent with what they believe are the values of the employer.
• It is likely that leaders who demonstrate ethical behaviour influence middle managers who influence all employees.
Mayer et al. (2009) further suggest that these findings have practical implications in large organizations; that is, because of the relationship between leaders and subordinates, it is critical to promote or hire ethical leaders. Ethics training for management is important for enhancing the ethical decision making of leaders, thereby promoting ethical behaviour throughout the hierarchy.
By extension, we can extrapolate that employees will replicate the unethical behaviour of leadership. In law enforcement, this can lead to corrupt practices among patrol officers who model the behaviour of corrupt leaders. The implication is that law enforcement agencies cannot tolerate unethical behaviour among members of the lower ranks and especially among those who serve in leadership roles.
Frisch and Huppenbauer (2014) studied ethical leadership by conducting a series of interviews with 18 executive leaders. They determined that ethical leadership leads to the following outcomes:
• Enhanced well-being of themselves, society, nature, and other people
• Financial success of their enterprise due to benefits resulting from a positive reputation
• Satisfaction from customers and employees | textbooks/workforce/Corrections/Ethics_in_Law_Enforcement_(McCartney_and_Parent)/07%3A_Discretion_Supervision_and_Leadership/7.05%3A_Ethical_Leadership.txt |
Huberts, Kaptein, and Lasthuizen (2007) found that effective role modelling is especially significant in demonstrating moral behaviour, while strictness is especially effective in limiting fraud, corruption, and the misuse of resources. As an extension of strictness, the ethics of law enforcement agencies are likely to be greater when there are rules, regulations, and systems of oversight that carefully manage law enforcement behaviour. In the case of law enforcement agencies, the behaviour usually occurs on the street, where street police officers are interacting with civilians without supervision. Because the police are out of view and not supervised for much of their working day, leadership must evolve away from strictness as a way to promote ethical conduct.
There are two distinct models of leadership that operate within large organizations: transformational and transactional. Historically, due to the paramilitary nature of law enforcement, leadership has largely been transactional. Transactional leadership in law enforcement is a style of management used by those who are more oriented toward bureaucracy and maintaining the status quo. Transactional leaders tend to take the decision-making powers away from those they supervise and to make decisions on their own, not yielding power to those beneath them in the hierarchy. This leadership style often runs contrary to what is practised in law enforcement: the requirement to exercise discretion throughout the ranks (Bass, 1990).
Bowie (2000) asserts that leadership is not effective unless managers empower subordinates to make decisions; however, the empowerment of subordinates is at odds with the military hierarchical system. What is required is a system that allows subordinates to make operational decisions and leadership that is willing to risk the mistakes that result from these decisions. Mastrofski (2004) suggests the way to achieve these goals is through transformational leadership, which guides officers to make the right decisions by following the moral lead of their managers who possess the moral standards that are shared by the organization. Failure to promote these values will lead subordinates to mirror the unethical practices of their leader, resulting in poor decisions. There are risks associated in allowing subordinates to use discretion, such as forgetting, missing, or just not adhering to the morals of their leader; risk is unavoidable when subordinates are given increased discretion.
The risk of poor decisions at the operational level requires strong leadership in which managers not only understand the risk but also are willing and able to bear the weight of this risk (Villiers, 2003). Such a style of leadership is difficult within a culture that is so deeply entrenched in a military type of structure, where following policy and rules are expected throughout the hierarchy. Villiers (2003, p. 28) describes this as “mechanistic bureaucratization” in which the policing service operates in an autocratic style, which is contrary to the autonomy police officers have in exercising their discretion. Villiers (2003) further argues that a more democratic style of leadership is required in order to effectively lead the officer who exercises more discretion than his or her manager.
Transformational leadership is conducive to discretionary policing and, in its purest form, empowers subordinates to make moral decisions that are reflective of the organization (Bass, 1990). The transformational leader requires followers to transcend their own interests to uphold the interests of the organization by focusing on future and long-term goals instead of short-term satisfaction (Bass, 1990). A transformational leader is required to exert his or her organizational morals on subordinates who will in turn make decisions that reflect the leader’s values and therefore the organization’s values. The result of such effective leadership is a subordinate who, when confronted with operational decisions, will be able to make the same decisions that his or her leader would make. In this way, a transformational leader is a “developer of people and a builder of teams who inspire their followers to act and make decisions” (Bass, 1990, p.54). Bass (1990) further describes those that possess such qualities as being naturally gifted and suggests that one is either born with the trait or not, which renders them a valuable commodity.
The notion that transformational leaders are born, not made, presents a problem for law enforcement agencies that need sergeants and other managers to possess both operational knowledge and transformational qualities. The possibility that managers cannot be taught transformational qualities potentially eliminates those who hold only operational knowledge as an attribute. Tourish, Craig, and Amernic (2010, p.41) describe such leaders as “exceptional people” who are also powerful and have the ability to understand organizational values as well as the personalities of their followers. Police managers, having risen through the ranks, may or may not be capable of developing such attributes and as result, require training. In their qualitative study of managers, Hay and Hodgkinson (2006) found managers who felt that training in these qualities is a difficult prospect and something that cannot be learned in courses. This makes it difficult for those police managers who are not born with these qualities to learn and apply them on a regular basis. Courses in leadership are used to train officers of all ranks; however, there have been few studies that have determined whether this training leads to transformational leadership or not. The question remains: can competent operational officers learn the skills to be transformational leaders?
The notion of transformational leadership in policing is sometimes at odds with police culture for the following reasons:
• Officers are unlikely to embrace the transformational leader due to their inculcation in the blame culture where blame is assessed when discretion has failed and a mistake is made (Villiers, 2003). The blame culture is a double-edged sword:
• First, operational officers mistrust their superiors, believing that if they make a mistake, they will be held accountable.
• Second, managers have difficultly extricating themselves from the blame culture when assessing the poor discretionary decision of a subordinate.
• Police culture is generally characterized by cynicism toward leadership, and this is especially true toward leaders who are charismatic and are purveyors of transformational leadership values (Villiers, 2003).
• Transformational leaders must fight the blame culture and be willing to accept the inevitable risk associated with decisions made at the operational level. As discretion increases, so too does the risk of more mistakes. The manager who assumes the role of transformational leader must accept this risk as a part of officers’ development rather than as an opportunity to blame.
• In acknowledging the inevitability of discretion, Mastrofski (2004) maps out transformational leadership as the best way to ensure proper and effective control of discretion among operational police officers. Transformational leadership convinces officers to make the right discretionary choices by persuading them to achieve the right goals without the need to directly supervise them. Officers functioning beyond the view of their superiors will need to use discretion, and if they have adopted the values of their leader (and therefore their organization), they will likely make decisions that are based on these shared values (Bass, 1990). | textbooks/workforce/Corrections/Ethics_in_Law_Enforcement_(McCartney_and_Parent)/07%3A_Discretion_Supervision_and_Leadership/7.06%3A_Transactional_and_Transformational_Leadership.txt |
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Mastrofski, S.D. (2004). To better serve and protect: Improving police practices. (W. G. Skogan, Ed.). Controlling Street-Level Police Discretion. Social Science, The Annals of The American Academy of Political And Social Science, 593100.
Mayer, D., Kuenzi, M., Greenbaum, R., Bardes, M., and Salvador, R. (2009). How low does ethical leadership flow? Test of a trickledown Model. Organizational Behavior and Human Decision Processes, 108(1), 1–13.
McLaughlin, E. (2009). Discretion. In E. McLaughlin & J. Muncie (eds), The Sage Dictionary of Criminology, (pp. 134-135). Sage.
Neyroud, P. (2008). Policing and ethics. Handbook of Policing. (pp. 666- 692). Willan Publishing.
Pagon, M. (2003). The need for a paradigm shift in police leadership. In R. Adlam and P. Villiers (eds), Police leadership in the twenty first century: Philosophy, doctrine and developments. (pp. 157-168). Waterside Press.
Panzarella, R. (2003). Leadership myths and realities. In R. Adlam and P. Villiers (eds), Police leadership in the twenty first century: Philosophy, doctrine and developments. (pp. 119-133). Waterside Press.
Punch, M. (2003). Rotten Orchards: “Pestilence”, police misconduct and system failure. Policing and Society, 13(2), 171–196.
Reiner, R. (2010). The politics of the police. Oxford University Press.
Rowe M. (2007). Rendering visible the invisible: Police discretion, professionalism and decision-making. Policing & Society, 17(3), 279-294.
Sanders, A. and Young, R. (2007). From suspect to trial. In M. Maguire, R. Morgan and R. Reiner (eds), The Oxford handbook of criminology, (pp. 953-989). Oxford University Press.
Tillyer, R. and Klahm IV, C. (2011). Searching for contraband: Assessing the use of discretion by police officers. Police Quarterly, 14(2), 166-185.
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Villiers, P. (2003). Philosophy, doctrine and leadership: Some core values. In R. Adlam and P. Villiers (eds), Police leadership in the twenty first century: Philosophy, doctrine and developments, (pp. 15-33). Waterside Press.
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Zuidema, B. V., and Duff Jr., H. (2009). Organizational ethics through effective leadership. FBI Law Enforcement Bulletin, 78(3), 8-11. | textbooks/workforce/Corrections/Ethics_in_Law_Enforcement_(McCartney_and_Parent)/07%3A_Discretion_Supervision_and_Leadership/7.07%3A_References.txt |
At the root of all that is good and bad in law enforcement, there is a strong subculture that permeates most agencies. While a common theme in academic discourse is that police culture is negative, entrenched in cynicism, masochism, loyalty above all else, and an “us versus them” mentality, it has positive aspects that are often overlooked. Members of the law enforcement subculture share values that enable officers to survive what at times is a difficult and emotionally taxing job. Values such as supportiveness, teamwork, perseverance, empathy, and caring enable officers to cope with post-traumatic stress; they are part of team of colleagues who care for their coworkers. The support received from other officers is the result of shared values within the culture. Officers who are faced with dangerous situations are able to rely on their comrades because of other values they believe these members also possess. Values such as bravery, camaraderie, and sacrifice will embolden members to place themselves in harm’s way.
The following table outlines both positive and negative attributes within the police culture.
Table 8.1 Police Culture: Positive and Negative Attributes
Positive attributes Negative attributes
Safety Cynicism
Camaraderie Close-mindedness
Empathy Biases
Support Prejudice
Caring Non-scientific tactics
Teamwork Overly conservative
Loyalty Loyalty
Sacrifice Alienated
Suspicion
Authoritarianism
In spite of the positive aspects of police subculture, what society may define as ethical or good conduct may not be viewed within the subculture as relevant to the task, which is, among other things, to continue the mission of “safe-guarding social order” (Reiner, 2010, p.120). The tactics that are relevant to the police subculture may include using trickery and lies to elicit confessions and receiving minor gratuities to foster community relations (Reiner, 2010). Examining ethics and its relation to the police subculture is important to help delineate not only the grey area of ethics but also the grey area within which the police operate.
Once selected and hired by municipal police agencies, police recruits are exposed to police subculture during their training partially due to the instruction they receive from police officers who are recently retired or seconded to the police academy. However, the choice to become a police officer is not made in a vacuum. When recruits start their training, they often think like police officers on a visceral level, because generally certain individuals are drawn to the occupation (Conti, 2010). In an ethnographic study observing police recruits at an American police academy, Conti (2010) observed that the evolution of recruits into members who reflect the police mindset likely started at an early age when they formed the belief that they would become police officers. As potential officers enter the selection process, they become involved in an extensive application process, which is their first introduction into the police subculture. Rokeach, Miller, and Snyder (1971) concluded that a police personality distinct from others does exist, and proposed the idea that individuals come into an occupation with predetermined attributes that are identified with their new occupation. However, Rokeach et al. (1971) also found that this distinct police personality is attributed to predispositions of personality that are present before the recruits’ induction into the police subculture. These distinct predispositions are conducive to a career in policing and allow the individuals to comfortably choose and fit into the subculture (Conti, 2010; Rokeach et al., 1971). While the police subculture is distinct, at times it does attempt to catch up to the norms of the mainstream culture and can shift from negative attributes to positive attributes (Skolnick, 2008).
A historical look at the police subculture offers a view into the changing nature of how police officers see the world. In analyzing the police subculture in the 1940s, Myrdal (1964) observed in an ethnographic study of police officers in America that officers behaved in an overtly bigoted fashion toward African Americans. Myrdal (1964) observed that these were the norms of the day and that the police subculture reflected the attitude of mainstream society toward African Americans. While not supported empirically, it would be a logical conclusion that police recruits or rookie police officers would have shared the same cultural bigotry as mainstream society and their fellow police officers. More recently, when we see and question incidents involving police use of force on racial minorities, it is important to look broadly at society as well. The shooting of Michael Brown in Ferguson, Missouri, is an example where prominent civic leaders pointed out that the incident was merely a manifestation of a broader issue of racism that is widespread throughout the United States.
As society has evolved so too have law enforcement agencies. Ethical conduct and diversity play a large role in recruiting and are considered important attributes of potential officers. Crank and Caldero (2010) have concluded that due to society’s emphasis on ethics and the stringent hiring process, recruits are typically very ethical. The subculture, they argue, is not only present but also highly influential; the recruits’ ethical orientations are formed earlier, well before their application process commences (Crank and Caldero, 2010). Conversely, Conti (2010) and Banish and Ruiz (2003) argue that the police subculture is present when the officers start at the police academy and that its influence on recruits’ ethics is negative and destructive.
Conti views a recruit’s induction into the police academy as a transformation of the recruit into the “organisational ideal” (Conti, 2010). It is in this way, Conti (2010) argues, that the police subculture, ever-present at the police academy, assists in the conversion of the recruit from civilian to police officer. These cultural nuances are passed on through a variety of means such as:
• Parades and drills (Campbell, 2007)
• Marching (Davis, 1996)
• Storytelling (Banish and Ruiz, 2003; Ford, 2003; Newburn and Reiner, 2007).
Storytelling by instructors in the police academy can be a valuable and effective teaching tool, as demonstrated by Conti’s (2010) study of an American police academy. Stories told by trainers must reflect ethical conduct and be relatable to the lesson plan goals and outcomes. Conversely, stories by instructors may inflate the recruits’ perception of danger (Banish and Ruiz, 2003) or cynicism (Ford, 2003), but instructors’ stories can also serve to relay positive outcomes, such as surviving life and death situations confronted by police (Conti, 2010). Ultimately, storytelling perpetuates the police subculture by passing on both truisms as well as not-so-true legends (Newburn and Reiner, 2007). Banish and Ruiz (2003) further contend that storytelling affects the police culture negatively by instilling negative traits of cynicism, suspicion, conservatism, and authoritarianism.
These negative traits are often associated with a police subculture that affects senior police officers, and it is specifically these traits that define an individual as a police officer. Skolnick (2008) considers the police vocation as being similar to that of a priest or the clergy: the culture wholly defines what it means to be a police officer by the traits that police officers share. These traits, according to Skolnick, include “skepticism, cynicism, mistrust of outsiders—all are traits observers of police apply to them and that they apply to themselves” (2008, p.36). Twersky-Glasner (2005) concurs, noting that the police are members of a unique occupation in which they are the insiders and the rest of society are the outsiders. The insiders are those who are trustworthy while outsiders are viewed with suspicion (Skolnick, 2008). This is reflected not only in the culture in which recruits find themselves, but also in the training they receive and the way in which they as civilians are accepted into the academy to begin training.
In a qualitative study of police officers, Loftus (2010) followed officers on the street and determined that two characteristics are ever-present in the police culture: cynicism and moral conservatism. While older officers exhibit these traits, Loftus (2010) did observe that newer officers are hired from a more diverse background that includes different sexual orientations, cultures, and races. This may enable the police subculture to adapt and overcome its more negative characteristics. | textbooks/workforce/Corrections/Ethics_in_Law_Enforcement_(McCartney_and_Parent)/08%3A_The_Culture_of_Law_Enforcement/8.01%3A_Police_Subculture.txt |
It is through socialization that police recruits are inducted into the police subculture, enabling the subculture to maintain its norms and to continue its existence (Newburn and Reiner, 2007; Volti, 2008). Socialization is the process in which recruits are introduced to police officers who impart not only their knowledge but also any negative qualities they possess. The influence of socialization is enormous: it can erase the positive influences from training and introduce the recruit to the darker side of the police subculture (Ellwanger, 2012; Volti, 2008). Ironically, within law enforcement the negative aspects of the socialization of officers are also, at times, positive. Two examples are loyalty and solidarity, which can be both positive and negative. The stories told in police academies may lead to confusion about what is ethical loyalty and solidarity and what is unethical solidarity and loyalty.
Ford (2003) examined this phenomenon in a content analysis study in which he observed the use of parables or stories told by experienced police officers to police recruits during lessons, showing that shifts in the ethics of the recruits resulted from the socialization process that occurs when introducing recruits to the police subculture. To Ford’s surprise, 85% of the parables were neutral about the law and only 11% referred to illegal activities, such as excessive use of force, unconstitutional searches, and lying in court.
Typical of all studies using content analysis, Ford’s (2003) study contains flaws because it relied exclusively on the memory of police recruits. The possibility of poor recollection by police recruits can render the validity of such studies susceptible to bias (Gilbert, 2008). Even police recruits who correctly recall the parables may be mistaken about their intent and may bias their meaning by failing to understand what the instructor was trying to convey (Gilbert, 2008).
Socialization is not just a law enforcement phenomenon. Socialization occurs at all levels of employment, from assembly line workers (Thompson, 2003) to medical students (Becker and Geer, 2003). In most occupations, socialization is a positive influence, as it is a means of learning unwritten rules that help the new worker assimilate into the new work environment (Coffey and Atkinson, 1994; Harper and Lawson, 2003; Volti, 2008). While some occupations possess a strong organizational subculture, which assists new workers beyond their formal training and education, other occupations have little in the way of socialization to help new workers assimilate into the organization (Volti, 2008). However, according to Harper and Lawson (2003), the socialization of all workers is a necessary component for all occupations and professions. Because police exercise a high level of discretion and at times operate outside the realm of rules, the policing occupation relies heavily on socialization to help its recruits (Volti, 2008).
Two primary conditions that Volti (2008) identifies as being associated with higher levels of socialization are occupational isolation and danger. While the policing profession is not statistically dangerous, police officers perceive certain aspects of their job as more dangerous than they are (Banish and Ruiz, 2003; Loyens, 2009; Twersky-Glasner, 2005). Unlike other more dangerous occupations, police officers are subject to acts of willful harm, in which citizens target them intentionally. These dangers are different from those faced by other occupations in which accidents occur. The belief by officers that they are targeted by some citizens who mean them harm reinforces the perceived need to protect one another. The belief in the dangerousness of the police occupation, according to Volti (2008), reinforces the need for socialization in which experienced members of the occupation share information with new recruits that will protect and keep them safe.
Isolation, as identified by Volti (2008), reflects both physical isolation (as with oil rig workers), and social isolation (as with shift workers). Police officers, according to Newburn and Reiner (2008), suffer from isolation based not only on their shift work but also from their subculture, which emphasizes moral conservatism, suspiciousness, and internal solidarity (Naus, van Iterson, and Roe, 2007). Together these make for a potentially toxic level of socialization that police recruits confront when they first start on their journey as police officers. Police officers, as a by-product of their isolation, rely on the solidarity and loyalty of other officers, which may cause increased tension between upholding this solidarity and performing ethically (Reiner, 2010).
Police socialization is particularly invasive early on due to the dominant nature of a police academy’s paramilitary structure (Chappell and Lanza-Kaduce, 2010). Police recruits at the B.C. Police Academy, located at the Justice Institute of British Columbia, are immediately introduced to a formal military-style inspection in their first hour. The nature of paramilitary-style education has historically been to strip a person of his or her individuality and force a culture of compliance upon the individual (Chappell and Lanza-Kaduce, 2010). In doing so, the individual’s personal values are replaced with those of the organization. Chappell and Lanza-Kaduce (2010) further argue that such a pervasive culture should be closely examined, and attempts should be made to neutralize it.
In spite of the negative aspects of socialization, there can be some benefits to the socialization of experienced police officers with junior officers. Paoline (2004) asserts that while socialization within the police subculture is generally negative, there are values that are learned in the process of socialization with senior police officers. Learning the craft of any complex occupation or profession is enhanced when senior members pass on vital information learned from experience (Paoline, 2004). However, it is critical for the recruit to adhere to the organization’s values even if they conflict with information received during negative socialization (Sato, 2003). Socialization can impart to a recruit values and ethics that are not formally written down, yet are needed for the recruit to function well in the job while on the road (Gould and Moore, 2003). A value that recruits learn through socialization is loyalty, which is strongly associated with the military (Loyens, 2009; Sunahara, 2002).
Campbell (2007) further states that the police academy process institutionalizes the culture of the organization in the recruit. This institutionalization is enhanced through the use of artifacts such as wearing uniforms and taking part in drill parades, which are overseen by experienced police officers who ultimately are responsible for enforcing the expectations they have of recruits to adopt the institution’s values and to prove they are suited to continue on the path of a policing career (Campbell, 2007). This is evident at the B.C. Police Academy where police recruits learn how to march and stand for inspection under the watchful eyes of senior officers. The process is designed to ready recruits for ceremonial duties and to learn formations that may be applied in situations such as crowd control.
Ellwanger (2012) agrees that recruits are socialized through these means, but sees a more sinister side to the police subculture, noting that the process of job socialization and enculturation may both purposefully and inadvertently threaten the positive ethical ideals and values brought to the police profession by new recruits. A strong or pervasive deviant subculture, according to Ellwanger (2012), may exist in some instances, which can passively or actively teach unethical behaviours to new police officers.
Chappell and Lanza-Kaduce (2010) add to this concept through their ethnographic study of a police academy in Florida. Here they observed the negative influences of the military nature of the police academy. The attributes of a military-style academy led to periods of socialization in which the recruits were indoctrinated into a paramilitary-style culture whose values included loyalty, solidarity, and dress and deportment (Chappell and Lanza-Kaduce, 2010). The socialization within the walls of the police academy was sufficient as an introduction to police culture; on the road socialization simply reinforces these ideas. Chappell and Lanza-Kaduce (2010) argue that the socialization within the academy is so pervasive that it creates an “us versus them” mentality, which is contrary to values found in community policing. Ellwanger (2012) further suggests that the socialization recruits experience on the job unintentionally thwarts the values and ethical practices they develop at the police academy. The subculture, Ellwanger (2012) argues, is responsible for teaching recruits unethical behaviours.
Additionally, to demonstrate the importance of socialization, Mastrofski and Ritti (1996) investigated the perspective of officers regarding impaired driver investigations. They found that officers trained in impaired driving investigations who returned to supportive organizations were more likely to follow their training. Those officers who returned to organizations that did not value impaired driving investigations eventually considered their training to be “technically irrelevant” (Mastrofski and Ritti, 1996, p.318). The implications of these findings suggest that socialization in a negative organization can undermine positive training.
In taking a different approach, Rokeach et al. (as cited in Twersky-Glasner, 2005) found that socialization plays a secondary role when recruits bring established values into their careers. These personality traits are congruent with those of other experienced police officers, and the socialization process is minor, likely reinforcing recruits’ long-held beliefs. According to Rokeach et al. (as cited in Twersky-Glasner, 2005), these distinctive personality traits are present when the recruit is deciding upon his or her career, and it is these traits that attracts the person to policing.
The socialization of police and other law enforcement officers has both positive and negative components. The negative components create an atmosphere that may lead some officers to immoral and/or unethical conduct that runs contrary to the stated values of the agency. As mentioned previously, citizens who have demonstrated a high level of moral conduct are recruited into policing. Despite demonstrated morality being a key required attribute, a small percentage of officers act immorally on occasion. The socialization of some of these officers may be where they learned their immoral behavior. | textbooks/workforce/Corrections/Ethics_in_Law_Enforcement_(McCartney_and_Parent)/08%3A_The_Culture_of_Law_Enforcement/8.02%3A_Socialization_of_Police.txt |
Cynicism, as mentioned previously, is a major negative component of the police subculture. Cynicism should not be confused with skepticism as they are vastly different. Skepticism refers to critical thinking, which is what we should all strive for. It allows us to question commonly held beliefs that may not be true. It forms the basis of scientific inquiry that has enabled humanity to evolve from a reliance on superstition to an ability to address difficult questions and problems in society using research and reasoned approaches. Skepticism is especially important in law enforcement as it is a critical component of being an objective investigator, one who is willing to view issues from a neutral perspective. According to Kurtz (2010, p.13) “a skeptic is one who is willing to question any claim to truth, asking for clarity in definition, consistency in logic, and adequacy of evidence.” The ability to question any claims of truth is critical for all law enforcement officers who are confronted on a daily basis with people who are disinclined to tell the truth in order to protect their own interests. Furthermore, investigators should strive for empirical evidence that eliminates a biased conclusion that can potentially lead to wrongful accusations and convictions.
Skepticism is endangered when we have difficulty distinguishing between “questioning truth” and “questioning and rejecting truth. Kurtz (2010) defines this as “nihilistic skepticism.” In essence, this is the assertion that nothing should be believed as truth, because it is unprovable. As such, nihilistic skepticism is based upon subjectivity. Nihilistic skepticism is essentially skepticism in which there is no basis for “objective moral judgment” (Kurtz, 2010, p.15).
Cynicism is similar to nihilistic skepticism; however, it embodies an element of pessimism toward everyday occurrences that may ignore the objective truth. Cynicism can include a negative response to morality that illustrates a contempt for community standards. Truth is unimportant to a cynic, and the distrust that is exhibited by the cynic belies the facts. Specifically, law enforcement officers often see themselves in an “us versus them” environment in which officers are attacked from all sides of society. Officers routinely say that the biggest stress they face is not on the streets from dangerous people but in the office before they make it to the streets. This notion is, to a degree, cynical. The objective truth is that the streets are not as safe as the office; however, officers ignore this due to their frustration in dealing with management.
Another example of cynicism is the belief some officers have that the only way to remove sex-trade workers from the area they patrol is to verbally abuse them to the point they feel threatened. In cynical officers’ minds, such behaviour is acceptable even though it may be contrary to community standards and their agency’s values.
Sunahara (2002) draws a further link between cynicism, alienation, and estrangement from management and departmental policy, suggesting that police officers who become alienated are likely to become disengaged from performing their duties and could slip into unethical behaviour. The cause of alienation is unclear, raising the possibility that cynicism begets alienation, or that alienation begets cynicism.
Graves (1996, as cited in Sunahara, 2002, p.12) describes police cynicism as “an attitude of ‘contemptuous distrust of human nature and motives.’ A cynic expects nothing but the worst in human behaviour.” The feeling of alienation stems from this attitude as officers shield themselves from those they believe they cannot trust and from those who are potentially dangerous to them and their families. This feeling is likely the result of working in a negative environment in which officers see and do things that mainstream society is not privy to. Police officers often talk about happenings on the job that “you couldn’t write in a movie script, because they are so unbelievable.” Much of what police officers see is rarely talked about in mainstream society because it is alarming and disturbing. Yet officers are confronted with these issues not only on a daily basis but multiple times a day, depending on where the officer works. It is little wonder that officers in this environment tend to want to alienate themselves from society, and little wonder why alienation, at the very least, isn’t coupled with cynicism. | textbooks/workforce/Corrections/Ethics_in_Law_Enforcement_(McCartney_and_Parent)/08%3A_The_Culture_of_Law_Enforcement/8.03%3A_Skepticism_and_Cynicism.txt |
Moral culpability is loosely tied to mens rea, meaning that there is an explanation for the intent of the actor. However, with moral culpability, the explanation put forth by the actor may excuse the immoral action from being caused due to intentional immorality. An example would be a mother who has killed her infant while suffering postnatal depression. The mother would not be charged with murder, as would a stranger who killed the same infant, or a mother who is not suffering postnatal depression who killed her infant. However, because the mother suffers from a medical diagnosis of postnatal depression, she would be charged with the lesser offence of infanticide. A mother with postpartum depression is suffering an illness, and her decision to kill her infant is not a moral one, rather it is a decision she has made due to her illness. A further example would be a person who kills someone because he threatened serious bodily harm to another person. Although the action is homicide, there may be no moral culpability because the intent was first to save another person even though the mens rea may have existed to kill the victim in order to stop him. Because the moral culpability is less than if someone killed for his or her own gain, a manslaughter charge would be used instead of a murder charge. Here we weigh moral culpability against legal culpability.
A police officer on the street may, in some instances, use his or her discretion when determining moral culpability or legal culpability for minor investigations. Where a suspect of a crime may be charged with an offence, the officer may decide not to charge because of diminished moral culpability. An example is a minor theft in which a homeless suspect steals a blanket in order to survive a frigid night on the streets. The officer may choose to forgo charges and locate a shelter for the homeless suspect.
The distinction between moral culpability and legal culpability is at times blurred; law enforcement officers must be aware that what may be legally permissible may not be morally permissible. While it is true that in solving ethical dilemmas, officers should consider the laws or regulations that are applicable, so too must they consider the moral culpability in all their actions regardless of the lack of legal restrictions. An example in a law enforcement context may be an officer who ignores a homeless person waving her hand for assistance. While there may be no policy or legal infraction, the officer’s conduct may be regarded as morally culpable if the homeless person is later harmed when the officer’s assistance may have protected her from harm. The officer who ignored the person may be regarded as morally culpable for the injury by not assisting the person. Another example would be an officer who fails to investigate a crime due to a heavy caseload. Should the omission of the investigation lead to a preventable assault, the argument may be made that the investigator’s decision not to investigate made him or her morally culpable, depending on the reasoning behind the officer’s decision. If the officer decided that the case was not as serious as others, then it may be determined that the officer was not morally culpable. However, if the officer’s decision was based upon the ethnicity of the victim, then the officer would be morally culpable for the assault that occurred as a result of the officer’s decision. | textbooks/workforce/Corrections/Ethics_in_Law_Enforcement_(McCartney_and_Parent)/08%3A_The_Culture_of_Law_Enforcement/8.04%3A_Moral_Culpability_versus_Legal_Culpability.txt |
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Becker, H. and Geer, B. (2003). The fate of idealism in medical school. In D. Harper and H. Lawson (eds.), The cultural study of work, (pp. 65-74). Rowman and Littlefield>
Campbell, M. (2007). Applying communities of practice to the learning police. Learning and Socio-cultural Theory: Exploring Modern Vygotskin Perspectives’ Workshop, 1(1). Retrieved from: http://ro.uow.edu.au/llrg.
Chappell, A. and Lanza-Kaduce, L. (2010). Police academy socialisation: Understanding the lessons learned in a paramilitary organisation. Journal of Contemporary Ethnography, 39(2), 187-214. https://doi.org/10.1177/0891241609342230
Coffey, A. and Atkinson, P. (1994). Occupational socialization and working lives. Ashgate Publishing Co.
Conti, N. (2010). Weak links and warrior hearts: A framework for judging self and others in police training. Police Practice and Research, 12(5), 410–423.
Crank, J. and Caldero, M. (2010) Police ethics: The corruption of noble cause. Mathew Bendre and Company.
Davis, M. (1996). Police, discretion, and professions. In J. Kleinig (Ed.), Handled with discretion: Ethical issues in police decision making. (pp. 1-35). Rowman and Littlefield.
Ellwanger, S. (2012). How police officers learn ethics. In M. Braswell, B. McCarthy, and B. McCarthy (eds.). Justice, crime and ethics (7th Ed). (pp. 45-71). Elsevier.
Ford, R. (2003). Saying one thing, meaning another: the role of parables in police training. Police Quarterly, 6(1), 84-110. https://doi.org/10.1177/1098611102250903
Gilbert, N. (2008) Researching social life (2nd ed.). Sage Publications.
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Loftus, B. (2010). Police occupational culture: classic themes, altered times. Policing & Society, 20(1), 1-20. https://doi.org/10.1080/10439460903281547
Loyens, K. (2009). Occupational culture in policing reviewed: a comparison of values in the public and private police. International Journal of Public Administration, 32(6), 461-490. https://doi.org/10.1080/01900690902861688
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Newburn T. and Reiner, R. (2007). Policing and the police. In M. Maguire, R. Morgan and R. Reiner, The Oxford Handbook of Criminology (4th ed.). (pp. 910-952). Oxford: Oxford University Press.
Paoline, E. (2004). Shedding light on police culture: An examination of officers’ occupational attitudes. Police Quarterly, 7, 205-236.
Reiner, R. (2010). The politics of the police. Oxford University Press.
Rokeach, M., Miller, M.G. and Snyder, J.A. (1971). The value gap between the police and the policed. Journal of Social Issues, 27, 55-171.
Sato, M. (2003). Police recruits’ training and the socialisation process: from the network perspective. The Police Journal, 76, 289-303.
Skolnick, J. (2008). Enduring issues of police culture and demographics. Policing & Society, 18(1) 35-45. https://doi.org/10.1080/10439460701718542
Sunahara, D.F. (2002). A social-psychological model of unethical and unprofessional police behaviour. Canadian Police College.
Thompson, W. (2003). Hanging tongues: A sociological encounter with the assembly line. In D. Harper and H. Lawson (Eds.). The cultural study of work. (pp. 313-334). Rowman and Littlefield.
Twersky-Glasner, A. (2005). Police personality: What is it and why are they like that? Journal of Police and Criminal Psychology, 20(1). https://doi.org/10.1007/BF02806707
Volti, R. (2008). An introduction to the sociology of work and occupations. Pine Force Press. | textbooks/workforce/Corrections/Ethics_in_Law_Enforcement_(McCartney_and_Parent)/08%3A_The_Culture_of_Law_Enforcement/8.05%3A_References.txt |
Key Terms:
Walnut Street Jail
Specific Deterrence
Rehabilitation
Recidivism
Criminogenic Needs
Pennsylvania System
General Deterrence
Retribution
Mandatory Minimum Sentences
Evidence-based Practices
Deterrence
Incapacitation
Bigotry
Three-Strikes Law
Risk Assessments
01: Concepts of Corrections as a Sub-system of the Criminal Justice System
Prior to the 1800s, common law countries relied heavily on physical punishments. Influenced by the high ideas of the enlightenment, reformers began to move the criminal justice system away from physical punishments in favor of reforming offenders. This was a dramatic shift away from the mere infliction of pain that had prevailed for centuries. Among these early reformers was John Howard, who advocated the use of penitentiaries. Penitentiaries, as the name suggests, were places for offenders to be penitent. That is, they would engage in work and reflection on their misdeeds. To achieve the appropriate atmosphere for penitence, prisoners were kept in solitary cells with much time for reflection.
Philadelphia's Walnut Street Jail was an early effort to model the European penitentiaries. The system used there later became known as the Pennsylvania System. Under this system, inmates were kept in solitary confinement in small, dark cells. A key element of the Pennsylvania System is that no communications whatsoever were allowed. Critics of this system began to speak out against the practice of solitary confinement early on. They maintained that the isolated conditions were emotionally damaging to inmates, causing severe distress and even mental breakdowns. Nevertheless, prisons across the United States began adopting the Pennsylvania model, espousing the value of rehabilitation.
Figure 1.1 Walnut Street Prison, Pennsylvania Historical Marker, on southeast corner of 6th and Walnut Streets. Creative Commons Attribution-Share Alike 4.0 International
Figure 1.2 "Jail in Walnut Street, Philadelphia." Plate 24 from W. Birch & Son. Public Domain.
The New York system evolved along similar lines, starting with the opening of New York's Auburn Penitentiary in 1819. This facility used what came to be known as the congregate system. Under this system, inmates spent their nights in individual cells, but were required to congregate in workshops during the day. Work was serious business, and inmates were not allowed to talk while on the job or at meals. This emphasis on labor has been associated with the values that accompanied the Industrial Revolution. By the middle of the nineteenth century, prospects for the penitentiary movement were grim. No evidence had been mustered to suggest that penitentiaries had any real impact on rehabilitation and recidivism.
Prisons in the South and West were quite different from those in the Northeast. In the Deep South, the lease system developed. Under the lease system, businesses negotiated with the state to exchange convict labor for the care of the inmates. Prisoners were primarily used for hard, manual labor, such as logging, cotton picking, and railroad construction. Eastern ideas of penology did not catch on in the West, with the exception of California. Prior to statehood, many frontier prisoners were held in federal military prisons.
Figure 1.3 Convict Lease. Public Domain
Disillusionment with the penitentiary idea, combined with overcrowding and understaffing, led to deplorable prison conditions across the country by the middle of the nineteenth century. New York's Sing Sing Prison was a noteworthy example of the brutality and corruption of that time. A new wave of reform achieved momentum in 1870 after a meeting of the National Prison Association (which would later become the American Correctional Association). At this meeting held in Cincinnati, members issued a Declaration of Principles. This document expressed the idea that prisons should be operated according to a philosophy that prisoners should be reformed, and that reform should be rewarded with release from confinement. This ushered in what has been called the Reformatory Movement.
One of the earliest prisons to adopt this philosophy was the Elmira Reformatory, which was opened in 1876 under the leadership of Zebulon Brockway. Brockway ran the reformatory in accordance with the idea that education was the key to inmate reform. Clear rules were articulated, and inmates that followed those rules were classified at higher levels of privilege. Under this "mark" system, prisoners earned marks (credits) toward release. The number of marks that an inmate was required to earn in order to be released was established according to the seriousness of the offense. This was a movement away from the doctrine of proportionality, and toward indeterminate sentences and community corrections.
The next major wave of corrections reform was known as the rehabilitation model, which achieved momentum during the 1930s. This era was marked by public favor with psychology and other social and behavioral sciences. Ideas of punishment gave way to ideas of treatment, and optimistic reformers began attempts to rectify social and intellectual deficiencies that were the proximate causes of criminal activity. This was essentially a medical model in which criminality was a sort of disease that could be cured. This model held sway until the 1970s when rising crime rates and a changing prison population undermined public confidence.
After the belief that "nothing works" became popular, the crime control model became the dominate paradigm of corrections in the United States. The model attacked the rehabilitative model as being "soft on crime." "Get tough" policies became the norm throughout the 1980s and 1990s, and lengthy prison sentences became common. The aftermath of this has been a dramatic increase in prison populations and a corresponding increase in corrections expenditures. Those expenditures have reached the point that many states can no longer sustain their departments of correction. The pendulum seems to be swinging back toward a rehabilitative model, with an emphasis on community corrections. While the community model has existed parallel to the crime control model for many years, it seems to be growing in prominence.
When it comes to criminal sanctions philosophy, what people believe to be appropriate is largely determined by the theory of punishment to which they subscribe. That is, people tend to agree with the theory of punishment that is most likely to generate the outcome they believe is the correct one. This system of beliefs about the purposes of punishment often spills over into the political arena. Politics and correctional policy are intricately related. Many of the changes seen in corrections policy in the United States during this time were a reflection of the political climate of the day. During the more liberal times of the 1960s and 1970s, criminal sentences were largely the domain of the judicial and executive branches of government. The role of the legislatures during this period was to design sentencing laws with rehabilitation as the primary goal. During the politically conservative era of the 1980s and 1990s, lawmakers took much of that power away from the judicial and executive branches. Much of the political rhetoric of this time was about "getting tough on crime." The correctional goals of retribution, incapacitation, and deterrence became dominate, and rehabilitation was shifted to a distant position. | textbooks/workforce/Corrections/Introduction_to_Corrections_(Wymore_and_Raber)/01%3A_Concepts_of_Corrections_as_a_Sub-system_of_the_Criminal_Justice_System/1.01%3A_History_and_Philosophy.txt |
Subsets and Splits