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Journal of Forensic and Legal Medicine 34 (2015) 127e132

Contents lists available at ScienceDirect

Journal of Forensic and Legal Medicine


j o u r n a l h o m e p a g e : w w w . e l s e v i e r . c o m / l o c a t e / j fl m

Clinical practice

Prevention of violence in prison e The role of health care professionals


€rg Pont a, Heino Sto
Jo taz c, Alejandra Casillas c, *, Hans Wolff c
€ ver b, Laurent Ge
a
Medical University of Vienna, Austria
b
University of Applied Sciences, Faculty Health and Social Work, Frankfurt am Main, Germany
c
Division of Medicine and Psychiatry, Department of Community Medicine, Primary Care and Emergency Medicine, University Hospitals of Geneva and
Faculty of Medicine, University of Geneva, Switzerland

a r t i c l e i n f o a b s t r a c t

Article history: The World Health Organization (WHO) classifies violence prevention as a public health priority. In
Received 15 October 2014 custodial settings, where violence is problematic, administrators and custodial officials are usually tasked
Received in revised form with the duty of addressing this complicated issue-leaving health care professionals largely out of a
12 February 2015
discussion and problem-solving process that should ideally be multidisciplinary in approach.
Accepted 29 May 2015
Available online 9 June 2015
Health care professionals who care for prisoners are in a unique position to help identify and prevent
violence, given their knowledge about health and violence, and because of the impartial position they
must sustain in the prison environment in upholding professional ethics. Thus, health care professionals
Keywords:
Prevention
working in prisons should be charged with leading violence prevention efforts in custodial settings.
Prison violence In addition to screening for violence and detecting violent events upon prison admission, health care
Health care professional duty professionals in prison must work towards uniform in-house procedures for longitudinal and systemized
Harm reduction medical recording/documentation of violence. These efforts will benefit the future planning, imple-
Medical ethics mentation, and evaluation of focused strategies for violence prevention in prisoner populations.
© 2015 Elsevier Ltd and Faculty of Forensic and Legal Medicine. All rights reserved.

1. Introduction: Prevention of violence in prison- A call to Deprivation of liberty, oppressive conditions, overcrowding10,11 and
action for health care professionals impunity of violence (in some penitentiary systems) have been
known to be associated with violent incidents.
In accordance with worldwide laws,1,2 rules, recommendations The WHO Report on Violence8 sheds light on the victimization of
and declarations3e6 prisoners have the “right to a safe and healthy certain vulnerable groups like children, adolescents, women and the
environment”7- this includes the right to protection from all elderly. However, little, if any mention, is made about imprisoned
aspects of violence. Despite international consensus on various persons, a particularly vulnerable population with respect to violence.
position documents, and contributions from prison law enforce- As reflected in current theories that address the issue of prison
ment officials, custodians, and guardians, violent perpetration and violence, approaches for violence prevention up until this point
victimization continue to be an everyday reality in many prisons all have really only dissected this issue as a subject which solely
over the world. For one, many prisoners already possess risk factors concerns custodial officials, instead of including a role for health
that are associated with being a perpetrator and/or victim of partners in the discussion.12,13 The scope of this paper is to examine
violence. They include: young age, male, family history of abuse or the role that health care professionals can take for the prevention of
neglect, low socio-economic and educational status, unemploy- violence in prison and other custodial institutions. This perspective
ment, mental illness and drug dependency.8 Next, these already actually mirrors the community-based Global Campaign for
vulnerable individuals enter the context of a “total institution”9 Violence Prevention, which advocates for a close partnership
(prison) which can be further de-stabilizing. The prison environ- between public health services and police/criminal justice systems
ment has been well documented as a trigger for violent behavior. for community violence prevention.14 Prison policies for violence
prevention should closely model community policies, which
already value the role of the health care professional and mean-
* Corresponding author. Tel.: þ41 766735915. ingful partnership between public health and custodial officials.
E-mail addresses: joerg.pont@meduniwien.ac.at (J. Pont), hstoever@fb4.fh- Like for any other health care promotion/preventive activities, the
€ver), Laurent.Getaz@hcuge.ch (L. Ge
frankfurt.de (H. Sto taz), Alejandra.Casillas@ ethical medical principle of equivalence of health care applies.
hcuge.ch, Doctorale05@gmail.com (A. Casillas), Hans.Wolff@hcuge.ch (H. Wolff).

http://dx.doi.org/10.1016/j.jflm.2015.05.014
1752-928X/© 2015 Elsevier Ltd and Faculty of Forensic and Legal Medicine. All rights reserved.
128 J. Pont et al. / Journal of Forensic and Legal Medicine 34 (2015) 127e132

2. What do we know? Definition, prevalence, and the impact by the WHO8) and the “systematic recording and compiling of
of interpersonal violence in prison periodic statistics” on violence by health care professionals work-
ing in prisons (as proposed by the European Committee for the
The WHO defines violence as “the intentional use of physical Prevention of Torture and Inhuman or Degrading Treatment and
force or power, threatened or actual, against oneself, another per- Punishment (CPT),3 are lacking in most correctional facilities. As
son, or against a group or community, that either results in, or has a one unique example, the 2010 Clinical Indicators of Sexual Violence
high likelihood of resulting in injury, death, psychological harm, in Custody study (U.S. National Institute of Justice and the Centers
mal-development, or deprivation.”15 To clarify the scope of this of Disease Control and Prevention) did propose the use of medical
paper, we should mention that suicide and other “self-harm” pre- indicators and medical surveillance methodologies for the collec-
vention efforts in prison have been thoroughly addressed by WHO tion of sexual assault data in prison on a national level. However,
documents and other publications,16e18 while “collective violence” the study was later deemed “not feasible” by the U.S. Bureau of
(prison riots), is outside the likely sphere of influence for many Justice Statistics, and henceforth, has not been pursued since.24
health care providers. Thus, to simplify, we confine this present Physical injuries have been reported for 40% of physical
discussion to interpersonal (person-to-person) violence by phys- assaults,23,28 and 67% of sexual assaults.28 Data on the psychologi-
ical, sexual and/or psychological attack, and abuse/neglect. cal/emotional short and long-term trauma of interpersonal prison
Data on the prevalence of prison violence have been obtained violence are also important. These include pathological anger
mostly by anonymous surveys of current or former prisoners. (instigating further violent behavior), depression, post-traumatic
However, the interpretations of these surveys are limited by stress reactions, fear, “fight or flight” maladaptive responses, and
low/modest response rates, varying methodologies and different inescapable paranoia/insecurity for one's welfare.23,28,29 In two
definitions (inclusion criteria) for violent events. Because inter- studies, psychological trauma developed in over half of all vic-
personal violence is the result of a complex interplay between in- tims.23,28 Transmission of sexually transmissible infections in
dividual, socio-cultural and environmental factors, the results of prison, through sexual assault, is a common report in many parts of
the limited available studies are not fully representative of the the world.30 However, less than a third of the assaults received
complete issue. Nevertheless, they can begin to outline the medical attention or were brought to the attention of medical
magnitude of the problem. authorities28 (the numbers are actually lower for staffeon-prisoner
A prior survey of 13 American state prisons (7221 male and 564 sexual assaults).28
female participants, out of roughly 19,000 prisoners), reporting on
the past six-month period, found that inmate-on-inmate physical
3. Challenges for prison administration and custodial staff
violence was experienced by 13%e35% of all prisoners; staff-on-
colleagues
inmate violence was reported by 8e32%.19 Sexual victimization
was reported by 4% (inmate-on-inmate) and 8% (staff-on-inmate)
The inherent structures within prison pose a serious problem for
of male prisoners; among female prisoners, sexual violence was
prison staff trying to address violence prevention solely through
21% (inmate-on-inmate) and 8% (staff-on-inmate).20 In addition,
the legal/custodial perspective. For example, following trauma in
inmates with a prior history of mental health disorders had a higher
prison, victims of violence tend to seek protection through alliance
risk for physical21 and for sexual victimization.22
with a gang for protection (these individuals then fight violently for
Results of roughly the same magnitude were found in a recent
power and influence in prison against other gangs, as part of the
survey of 33 prisons in north and east Germany: more than 25% of
group).31 In addition, several penitentiary systems passively
males and females of the 6384 participants (nearly 12,000 pris-
enforce unofficial prisoner hierarchies, organized in cast-like
oners total) reported being physically victimized in the prior four-
structures, where certain individuals control money, goods and
week prison period. Among males, 5% reported sexual assault,
drugs in prison by violent means, often with tacit acquiescence by
with 4% among women. Indirect (i.e. non-physical) victimization
prison staff and administration.32 Clearly, it is a complicated and
included verbal/psychological assault or theft, and was experienced
multifaceted issue where one act of violence begets more violence.
by more than half of the respondents in the past 4-week period. The
Although various theory models on the response to violence in
authors estimated that their results, at best, shed some light on the
prison exist, prerequisites for any prevention programs will require
lower limit of prison violent events; the numbers in reality, are
the engagement from multiple parties. Health care professionals
likely much higher.23
can help in the partnering discourse. This engagement includes a
The United States Bureau of Justice Statistics via the Prison Rape
strong commitment to the defense of human rights by all stake-
Elimination Act of 2003 administers the largest surveys on
holders, a sufficient number of staff in relation to the number of
violence- but these are, of course, limited to reports of only sexual
inmates, appropriate staff training and supervision, and a policy
violence. In its most recent National Inmate Survey, 4% of the more
and everyday practice of non-tolerance of violence among all staff
than the 92,000 participating inmates reported that they experi-
and inmates within the prison.12,13
enced at least one incident of sexual victimization by another
inmate or facility staff member in the past 12 months.24 In the
National Former Prisoner Survey, based on over 18,000 interviews, 4. A new source of aid in the prison violence prevention
9.6% of former state prisoners reported at least one incident of model-why health care professionals should partner
sexual victimization during their most recent period of incarcera-
tion in a jail, prison, and/or post-release community-treatment Until recently, health professionals in the community and in
facility.25 In the National Survey of Youth in Custody, an estimated prison limited their violence role to the medical care of victims post
9.5% of the 8707 adjudicated youth in state juvenile facilities and a violent event: diagnostic examination, treatment, documentation
state-contract facilities who participated in the survey reported of trauma in the individual patient file and reporting the case to the
experiencing one or more incidents of sexual victimization by authorities for prosecution (with or without consent of the victim,
another youth or staff member in the past 12 months.24 depending on the national law). Today, the WHO stresses an active
There is a scarcity of medical reports on injuries suffered at the role for the health sector in the prevention of violence in the
hands of prison violence.26,27 The “enhancement of capacity for community.8 Similarly, health care professionals working in prison
collecting data on violence” by health care staff (as recommended should prioritize this mission, particularly because, according to
J. Pont et al. / Journal of Forensic and Legal Medicine 34 (2015) 127e132 129

international standards, prevention of violence is an implicit part of and no clear chain-of-command. Actually, it has been shown that
health care worker's professional obligations: an almost “military-like” organizational structure is detrimental in
protecting the role of the prison health care worker: this type of
1) The 1982 United Nations Principles of Medical Ethics Relevant to work environment impinges on the health professional's rights and
the Role of Health Personnel, particularly Physicians in the due boundaries, inevitably affecting the best interests of the
Protection of Prisoners and Detainees against Torture and Other patient/prisoner. Health care workers integrated in these hierarchal
Cruel, Inhuman or Degrading Treatment or Punishment state structures have less professional independence and suffer much
that “Health personnel, particularly physicians, charged with more under the dual loyalty dilemma, thus impairing the rights of
the medical care of prisoners and detainees have a duty to their patients.36,37
provide them with protection of their physical and mental The extent of this crisis is exemplified in the numerous inves-
health …”.4 tigative country reports from the European Committee on the
2) According to the United Nations (UN) Standard Minimum Rules, Prevention of Torture (CPT) which highlight the lack, delay and/or
“the medical officer shall have the care of the physical and cursory medical examinations of inmates and complete omission of
mental health of the prisoner …” and “shall report to the di- violence signs/symptoms screens at admission, and the lack of
rector whenever he considers that a prisoner's physical or systematic statistical recordings for injuries/signs of violence
mental health has been or will be injuriously affected … by any during the period of incarceration.7,38
condition of imprisonment.”5 Since physical and mental But even in the most professional prison settings, health care
victimization are explicitly linked to interpersonal violence, professionals must be prepared for conflicting ethical obligations
prevention of interpersonal violence should therefore fall under with regards to prison violence. The physician's obligation towards
the auspices and obligations of prison health care professionals. the victimized patient is, indeed, to respect confidentiality and
3) The Committee on the Prevention of Torture (CPT) standards his/her consent to report the violent crime. However, the physi-
state that prison health care services in relation to violence cian's obligation to society is to follow the law-a lawful citizen
prevention should be performed through (but not limited to) would alert the authorities about a violent individual, in order to
high quality medical screenings and data collection. Medical prevent further harming of innocents. This is of particular impor-
documentation and record services should concentrate on the tance in cases of torture and abuse. The Istanbul Protocol39 and the
detection of markers/signs of violence, a systematic and World Medical Association quoting the Istanbul Protocol in its
continuously updated database about related injuries, and lon- Resolution on the Responsibility of Physicians in the Documenta-
gitudinal data (follow-up) on all recorded injuries that are sec- tion and Denunciation of Acts of Torture or Cruel or Inhuman or
ondary to all forms of violence. These periodic data would then Degrading Treatment or Punishment provide the following advice
be reviewed by prison health officials, prison management, for dealing with this ethical dilemma:40
penitentiary authorities, and community public health officials.3
“Health professionals should seek solutions that promote justice
A similar approach is recommended by the World Medical As-
without breaching the individual's right to confidentiality,”
sociation in a web-based course for prison physicians.33
“… they may discover evidence of unacceptable violence, which
Overall, medical professionals caring for prisoners are in a prisoners themselves are not in a realistic position to denounce.
particularly unique position to prevent violence in prison. First, In such situations, doctors must bear in mind the best interests
they are usually the first-line responders to a violent situation of the patient and their duties of confidentiality to that person,
when treating and documenting suffered injuries. This simple and but the moral arguments for the doctor to denounce evident
immediate association provides these professionals with access to maltreatment are strong, since prisoners themselves are often
information and data that facilitates research and prevention.8 unable to do so effectively.”
Second, health care professionals who maintain the principles of
medical ethics in prison (professional independence, confidenti-
In the end, how to resolve this ethical dilemma rests solely on
ality, respect for patient autonomy and humanitarian assis-
the physician after conducting a careful assessment, evaluation and
tance),3,4,6 develop relationships with victims and potential victims
ethical consideration of the individual case. Nevertheless, in the
that may lead to new information about violence triggers in the
spirit of shared decision-making, the medical provider should keep
prison. However, since less than 30% of events of violent events are
the victim informed at all points of the decision-making process.
brought to the attention of a medical professional,28 doctors still
Ideally physician and patient should share in the final decision
have much work to do in gaining these patients' trust. Third, within
about reporting a violent event, should an ethical dilemma initially
the confines of the total and repressive institution9 -that is prison-
exist.
the doctor's office might just be the only space where any com-
plaints about abuse (and particularly, victimization of prisoners by
staff), can be expressed by inmates without the fear of retribution, 5. Action items e Prevention of violence in prison by health
given the ethics of medical confidentiality and professional inde- care professionals
pendence of health care workers (which custodial guardians and
prison staff are not obligated to adhere to). 5.1. Medical screening on admission
Nevertheless, the protected role of the prison health care worker
(medical confidentiality and professional independence from the Violence prevention by prison health professionals starts with
custodial authorities) is not yet respected in many custodial set- the medical examination of a prisoner on admission. A carefully
tings. There are well-documented reports of health care workers obtained history permits screening for particular risk factors-
who succumb to custodial pressures and avoid reporting incidents mental impairment,21,22 drug dependence, and other socio-
of violence, thus becoming complicit in the original abuse.34,35 cultural characteristics associated with vulnerability and victimi-
Health care professionals in these settings frequently face the zation.8 If appropriate and with consent of the patient, health pro-
ethical dilemma of dual loyalty and are in a vulnerable position if fessionals should assist and advise the prison administration
they are not sufficiently trained in medical ethics and are working regarding treatment and placement plan of a vulnerable inmate. For
under unorganized organizational structures with shady policies example, prisoners diagnosed with antisocial personality disorders
130 J. Pont et al. / Journal of Forensic and Legal Medicine 34 (2015) 127e132

(impulsive, reckless and irresponsible behavior) should be referred and may serve as a practicable and feasible example to others
to undergo group-based cognitive and behavioral interventions. (Box1):
These patients should also be placed in a more controlled envi- Systematic statistical recording is best performed by standard-
ronment that will not trigger violent and harmful behavior. The ized injury surveillance systems that use international classifica-
physical examination on admission should also pay attention to tions of injuries such as the chapters XIX and XX of ICD-1042 and/or
signs/symptoms of violence that may have occurred at arrest/ the International Classification of External Causes of Injury ICECI.43
holding (before admission to the prison), and should be thoroughly These systems facilitate international data exchange and compa-
documented and reported. rability. The WHO/CDC publication “Injury Surveillance Guide-
In addition, the admit exam is a key opportunity to build initial lines”44 is a good tool for implementing a passive surveillance
trust with a new prisoner by informing him/her about the health system that collects, codes and processes data in settings where
care professionals' commitment to confidentiality, respect for the resources (like trained staff and electronic equipment) are limited.
patient's autonomy, professional independence and humanitarian Implementing such systems would likely require just a few extra
assistance. It is as well an opportunity to invite the new inmate to steps on top of routine medical recording, and little additional
address the health care team if they at all ever feel threatened or financial cost.
victimized during their stay. Periodic analysis and reporting of collected data to prison and
health authorities help in the longitudinal real-time assessment of
5.2. Post-violence current interventions. In addition, sharing de-identified informa-
tion about violence-related harm between health services, execu-
Medical examination and documentation after incidents of tive bodies and the community in an interdisciplinary, data driven,
violence are fundamental safeguards against abuse, impunity and
future inter-prisoner violence. Any allegation of violence or abuse
and any observation/suspicion of violence in the prison community
should be brought forward, without delay, to the attention of the The Geneva experience of systematic screening for
health care professionals and investigated fully. Authorities should violence
also ensure that every victim be fully examined right way under the
sole care of health professionals.3,36,39 The medical unit of the Geneva prison, attached to the
In order for these efforts to have an effective impact, medical Geneva University Hospitals and completely independent
documentation of violent events should be performed in a manner of the prison administration, offers a low-threshold primary
that is valid before a court. According to the Istanbul Protocol this care approach to prison health care. The facility operates
document must contain a) the detailed record of the victim's report 24 h/day with a nurse present at all times. All detainees who
and complaints b) the exact documentation of the physician's complain about violence, or present with a traumatic lesion
findings c) the physician's interpretation of the consistency be- on admission or during their prison course are immediately
tween a and b and d) the current course or recommended treat- brought to a primary care physician who documents on a
ment plan.39 As many health professionals have no formal forensic standardized form. Required data include the alleged time,
training, the World Medical Association recommends the dissem- place and perpetrator(s) as well as the extent and localiza-
ination of the Istanbul Protocol (which is helpful for health pro- tion of any traumatic lesions. Whenever appropriate,
fessionals working in prison).40 However, in keeping with medical photos or results of additional examinations are enclosed.
ethics, a physician caring for prisoners must remember to not
If the detainee consents, the medical certificate and a copy
abandon his professional role as caregiver by switching to the role
are sent to the head of the responsible service (head of the
of a forensic expert.37
police or prison warden) and to the commissioner of
Medical documentation of any violent event should also be
deontology (who is in charge of surveillance and detection
made available to the victim and forwarded to the relevant prose-
of incorrect and violent behavior of police and prison ser-
cuting authority with his/her consent.
vices in Geneva). This commissioner (in place after severe
In cases of sexual violence, secondary prevention measures
allegations of police violence in the 1990's), reports annually
should be in place immediately after the event is reported or
to Geneva's minister. If the detainee refuses, the certificate
observed. This includes counseling and voluntary testing about
is only kept in the medical record, but violence complaints
HIV, hepatitis B and other sexually transmitted infections. If
are reported to the authorities by the medical unit in a de-
appropriate, post-exposure prophylaxis should be offered. For the
identified manner.
victim's psychological benefit, re-assignment of perpetrators and
victims in terms of placement/accommodation should be consid- A peak value of 297 illegitimate violence allegations was
ered and discussed with the custodial staff. reported in 2004e2005. This corresponded to 2% of the
prison population, with 85% concerning a police officer
5.3. Systematic statistical recording during arrest or custody. Ten percent of the official certifi-
cates were related to violence between detainees and less
Given the scarcity of medical data on prison violence, systematic than 5% were related to violence by prison officers.41 A
statistical recording and periodic statistics about violence pro- remarkable drop in allegations against the police have
cessed through the prison health service could reveal key infor- occurred since 2011, after the modification of the Swiss
mation about how to reduce the number of violent acts,3 Routine Criminal Procedure Code which permits the presence of a
data collection by health professional would help to assess inci- lawyer at arrest. Of the 125 reports in 2013, 70 (56%)
dence, risk factors and identify persons at risk for injury by inter- involved allegations against the police, 16 (12.8%) against
personal violence. These data, acting as a “needs assessment,” prison officers and 39 (31.2%) against co-detainees. For
would facilitate future implementation for targeted interventions 2013 as well, 27.2% of cases refused to be identified
in preventing or reducing violent injuries. The Geneva model for (violence complaint was reported in a de-identified
systematic violence screening, to the best of our knowledge, is manner).
currently the only systematic violence detection program in prison,
J. Pont et al. / Journal of Forensic and Legal Medicine 34 (2015) 127e132 131

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