Cca Whiteville Contract Violations 2008
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WCFA SUMMARY OF NON-COMPLIANCE NOTIFICATIONS FOR JANUARY 2008 OUT- DATE OF STANDING REPORT ISSUE Y/N 9/19/07 Yes Monitoring Instrument Use of Force ITEM NON-COMPLIANCE ISSUE NO. 7e 9/19/07 Yes Use of Force 7i 10/3/07 Yes Food Service 34b 11/8/07 Yes Security and Control Counts 4a 11/19/07 Yes Special Management Inmates NIN Yes Security and Control Security Equipment 5 Yes Security and Control Security Equipment 6 12/7/07 12/7/07 CONTRACTOR RESPONSE/DATE/ CORRECTIVE ACTION TAKEN Page 1 DATE/METHOD OF CONFIRMATION BY MONITOR/COMMENTS TDOC MANAGEMENT COMMENTS/NOTES Redacted Warden's response September 24, 2007: The facility concurs that On 7-22-07, at 7:20 p.m. a MK 9 fogger was used in a the staff in central control failed to log the issuance of OC in this Use of Force incident. There is no record of a MK9 Repeat finding 12/7/07 below. 2/8/08 CMD note: Letter of concern issued 2/5/08. instance as required. Corrective steps have been taken to fogger being issued by Central Control. address their failure. 1/7/08 CM Comment: The Warden response dated 10/18/07: A warming cart is now being facility has purchased a steam On two different dates, hot food delivered to used to transport trays from FS to seg unit and meals will be line for the segregation unit. They segregation unit never reached required temperature checked on a random basis each week by the Chief of Security started heating the food in the unit of 140 degrees. and the FS Manager for temp compliance. on 2/4/08, I will monitor to ensure compliance. Wardens response dated 11/15/07: A directive has been given to facility employees that in no circumstance are inmates to be Monitors Note: On 12/19/07 moved without count room approval. The employee who initiated went to the unit to verify that the The count room was not notified that 2 inmates had 1/31/08 CMD note: Letter of Concern issued 1/16/08. these moves was identified and corrective action has been taken. problem had been fixed. An changed cells. This apparently meant that these 1/7/08 CMD note: This item is identified as an Unit Managers and other supervisory staff are conducting Inmate, according to LIMC/count inmates were not properly accounted for on TOMIS or Essential item. It has been determined that a Breach meetings with line staff to ensure all staff know not to move room was assigned to IA202, but the count room locator board, and had gone through notification will not be issued at this time; however, a inmates unless approved by the count room. This has also been he was living in IA103. Therefore I counts uncorrected. letter of concern will be sent addressing this issue. added to the Warden's agenda for the upcoming staff recall will continue to monitor meetings on November 27th that all employees are expected to compliance on this item. attend. Wardens response dated 12/3/07: "The facility agrees that staff...failed to follow applicable policy and post orders... As a result of this incident a thorough review of segregation operations 1/31/08 CMD note: Breach letter issued 1/16/08. Per TDOC incident #721199, on November 16, 2007 was conducted by external CCA management staff... A number of 1/7/08 CMD note: This issue, due to the significance at approximately 12:30 p.m., a maximum custody immediate actions were taken to ensure a higher level of of the incident, is being considered an Essential inmate and a protective custody inmate were placed supervision and accountability...In addition, a meeting...with requirement. As such, a notification of Breach is being in the recreation cage together. Managing Director Kevin Myers and Wardens of all 3 TDOC drafted for distribution. contract facilities...addressed segregation concerns at WCFA, HCCF and SCCF and outlined a plan to establish a focus team to evaluate current operations at each facility." 2/8/08 CMD note: Letter of concern issued 2/5/08. 2/1/08 CMD note: Per Policy, essential items found in non-compliance may result in a breach determination regardless of the number of times the item has been MK 3 Fogger actual count was nine (9). Perpetual Wardens response dated 12/12/07. A complete inventory has been found in non-compliance. At this time, a breach inventory showed ten (10). October and November scheduled for the week of 12/17/07. determination is being held in abeyance in this monthly inventories showed twelve (12). Essential. instance, however, another finding of non-compliance for this item in the next 12 months shall result in a breach finding and immediate assessment of liquidated damages. Documented inventories present, however due to Wardens response dated 12/12/07. Weekly inventories will be Item 5 above, inventoried did not match the perpetual conducted and any discrepancies will be immediately reported to records. the Chief of Security and the Duty Officer. Instrument name and Item numbers for Liquidated Damages issues are in BOLD print 2/8/08 CMD note: Letter of concern issued 2/5/08. WCFA SUMMARY OF NON-COMPLIANCE NOTIFICATIONS FOR JANUARY 2008 OUT- DATE OF STANDING REPORT ISSUE Y/N 12/7/07 12/7/07 12/7/07 12/7/07 Monitoring Instrument ITEM NON-COMPLIANCE ISSUE NO. CONTRACTOR RESPONSE/DATE/ CORRECTIVE ACTION TAKEN DATE/METHOD OF CONFIRMATION BY MONITOR/COMMENTS TDOC MANAGEMENT COMMENTS/NOTES Yes Security and Control Security Equipment Yes Security and Control 12a (1) Redacted Security Equipment Yes Security and Control Security Equipment 12b Quarterly reports are not being done for key inventories. Essential. Wardens response dated 12/7/07. Quarterly reports will be documented in regards to keys in the future. 2/8/08 CMD note: Letter of concern issued 2/5/08. See 2/1/08 CMD note above. Yes Security and Control Security Equipment 12c CCA policy requires monthly testing of emergency keys to be done on 3rd shift. No monthly reports could be located. Essential. Wardens response dated 12/7/07. Monthly checks of all emergency keys will be conducted on third shift and documented. 2/8/08 CMD note: Letter of concern issued 2/5/08. See 2/1/08 CMD note above. 7 Redacted 12/7/07 Yes Security and Control Security Equipment NIN 12/11/07 Yes Use of Force 7e On 11/30/07, six (6) cans of MK9 were issued to a correctional officer with no authorizing supervisor's signature. Repeat finding - NCR dated 9/19/07. 7i On 12/3/07, incident #723026 MK9 was used in a Use of Force incident. On 11/14/07, incident #720934 MK9 was used in a Use Force incident. There was no Same as above. record of MK9 being issued by Central Control in either of these incidents. Repeat finding - NCR dated 9/19/07. 12/11/07 Page 2 Yes Use of Force On 11-6-07, 11/12/07, and 11/27/07 the concave Wardens response dated 12/7/07. Supervisors have been given shield was used but no record of it being checked out clear directives that they will be held accountable for ensuring the in the armory. items are signed out and back in when used. Same as above. Instrument name and Item numbers for Liquidated Damages issues are in BOLD print 2/8/08 CMD note: Letter of concern issued 2/5/08. 1/31/08 CMD note: The issue of proper procedures for the issuance and documentation of security equipment, including chemical agents, needs to be effectively addressed. The monitor is requested to verify the effectiveness of the corrective action taken within 30 days. If the problem persists, another NCR should be issued. 2/8/08 CMD note: Letter of concern issued 2/5/08. 1/31/08 CMD note: The issue of proper procedures for the issuance and documentation of security equipment, including chemical agents, needs to be effectively addressed. The monitor is requested to verify the effectiveness of the corrective action taken within 30 days. If the problem persists, another NCR should be issued. 2/8/08 and 1/31/08 CMD note: Same as above. WCFA SUMMARY OF NON-COMPLIANCE NOTIFICATIONS FOR JANUARY 2008 OUT- DATE OF STANDING REPORT ISSUE Y/N 12/11/07 1/15/08 1/25/08 1/25/08 Yes Monitoring Instrument Use of Force ITEM NON-COMPLIANCE ISSUE NO. NIN No Security and Control Security Equipment 4 No Vocational and Academic Programs 2c (3) No Vocational and Academic Programs 6 CONTRACTOR RESPONSE/DATE/ CORRECTIVE ACTION TAKEN On 10/29/07, log shows one MK9 in the cabinet with Chief of Security being notified. Explanation entered on 11/1/07 that canister was empty and removed by Captain. Armory personnel are to remove/add canisters. On 11/8/07, log sheet showed three (3) MK9's exchanged but the count was changed to four Same as above. (4). Also supervisors are not signing the central control chemical agent check out log consistently. Note: There were fourteen (14) occasions during the monitoring period (Oct. 1-Dec.7) that the supervisor did not sign the central control check out log for chemical agents. On 1/14/08, TOMIS incident #728106, the concave shield and the Nova Stun Shield were present at the incident, however there was no record of the Stun Shield being activated. Upon checking the armory equipment issuance log, there was no record of either the concave shield or the Stun Shield being properly checked out. The armory log reflected the captain entered the armory at 8:20 pm and exited 22:10 with the reason listed as "shield". Wardens response dated 1/18/08 received from Acting Warden Perry: From this point forward the Chiefs will be called after each incident to go over a prepared check list. The check list will include but not limited to the items listed on this NCR. This will be effective as of 1/15/08. There were no minutes for staff meetings. Agendas were available but minutes have not been done. Wardens response dated 1/28/08: Concur. The A/W of Programs will monitor and ensure that minutes are maintained in the future. Wardens response dated 1/28/08: Facility requests additional information regarding when homework is appropriate. It is agreed that this practice is not optimum and it is not acceptable. However, based on the practice of recording time for which homework is assigned and paying inmates for that time is utilized in other TDOC One teacher has actual classroom time only one day facilities, it is questioned whether this is a policy violation. Absent a a week and assigns homework the remainder of the standard acceptable threshold, then to find this item non-compliant time. She has been doing the TABE testing, as well could be construed to mean all homework assignments for which as, other testing for the facility. Note: This has been inmates are credited for attendance and pay must therefore be in on-going for 24 months. violation of policy. This punishes inmates when a teacher is absent for illness, etc. Request that additional direction be given as to the appropriate level of homework that can account for classroom participation. Immediate corrective action in this matter has been taken by ensuring that TABE testing is performed by the education counselor. Instrument name and Item numbers for Liquidated Damages issues are in BOLD print Page 3 DATE/METHOD OF CONFIRMATION BY MONITOR/COMMENTS TDOC MANAGEMENT COMMENTS/NOTES 2/8/08 and 1/31/08 CMD note: Same as above. 2/8/08 CMD note: This issue detailed in this item more appropriately applies to item number 15a. The Non-compliance finding for item 6 will be deleted, and this issue will be dealt with in item 15a (below). WCFA SUMMARY OF NON-COMPLIANCE NOTIFICATIONS FOR JANUARY 2008 OUT- DATE OF STANDING REPORT ISSUE Y/N 1/25/08 No Monitoring Instrument Vocational and Academic Programs ITEM NON-COMPLIANCE ISSUE NO. 15a The teacher noted above is entering time for which inmates are not in class on TOMIS LJEN as actual attendance, however, TDOC Policy 504.04, VI.C.4 (b) indicates that this time should have been entered in the excused hour's column. Several teachers are entering an excess of 6.0 hours a day on LJEN, i.e., 18 hours, 12 hours, 6 hours attend/6 hours excused on the same day. CONTRACTOR RESPONSE/DATE/ CORRECTIVE ACTION TAKEN Wardens response dated 1/28/08: Concur. The Warden met with all department heads on January 23rd and gave clear instructions on the expectations of all managers and supervisors to ensure attendance/pay was being entered accurately. Department heads were advised that they would be held accountable for the performance of their staff in this area, and they were expected to review and monitor their employees and hold them accountable. On January 25th, this issue was addressed to all education staff and additional training provided by the job coordinator to ensure education staff understood how to record attendance and pay. Instrument name and Item numbers for Liquidated Damages issues are in BOLD print Page 4 DATE/METHOD OF CONFIRMATION BY MONITOR/COMMENTS TDOC MANAGEMENT COMMENTS/NOTES WCFA SUMMARY OF NON-COMPLIANCE NOTIFICATIONS FOR FEBRUARY 2008 OUT- DATE OF STANDING REPORT ISSUE Y/N 9/19/07 Yes Monitoring Instrument Use of Force ITEM NON-COMPLIANCE ISSUE NO. 7e 9/19/07 Yes Use of Force 7i 10/3/07 Yes Food Service 34b 11/8/07 Yes Security and Control Counts 4a 11/19/07 Yes Special Management Inmates NIN Yes Security and Control Security Equipment 5 Yes Security and Control Security Equipment 6 Yes Security and Control Security Equipment 12b 12/7/07 12/7/07 12/7/07 CONTRACTOR RESPONSE/DATE/ CORRECTIVE ACTION TAKEN Page 1 DATE/METHOD OF CONFIRMATION BY MONITOR/COMMENTS TDOC MANAGEMENT COMMENTS/NOTES Redacted Warden's response September 24, 2007: The facility concurs that On 7-22-07, at 7:20 p.m. a MK 9 fogger was used in a the staff in central control failed to log the issuance of OC in this Use of Force incident. There is no record of a MK9 Repeat finding 12/7/07 below. 2/8/08 CMD note: Letter of concern issued 2/5/08. instance as required. Corrective steps have been taken to fogger being issued by Central Control. address their failure. 1/7/08 CM Comment: The Warden response dated 10/18/07: A warming cart is now being facility has purchased a steam On two different dates, hot food delivered to used to transport trays from FS to seg unit and meals will be line for the segregation unit. They segregation unit never reached required temperature checked on a random basis each week by the Chief of Security started heating the food in the unit of 140 degrees. and the FS Manager for temp compliance. on 2/4/08, I will monitor to ensure compliance. Wardens response dated 11/15/07: A directive has been given to facility employees that in no circumstance are inmates to be Monitors Note: On 12/19/07 moved without count room approval. The employee who initiated went to the unit to verify that the The count room was not notified that 2 inmates had 1/31/08 CMD note: Letter of Concern issued 1/16/08. these moves was identified and corrective action has been taken. problem had been fixed. An changed cells. This apparently meant that these 1/7/08 CMD note: This item is identified as an Unit Managers and other supervisory staff are conducting Inmate, according to LIMC/count inmates were not properly accounted for on TOMIS or Essential item. It has been determined that a Breach meetings with line staff to ensure all staff know not to move room was assigned to IA202, but the count room locator board, and had gone through notification will not be issued at this time; however, a inmates unless approved by the count room. This has also been he was living in IA103. Therefore I counts uncorrected. letter of concern will be sent addressing this issue. added to the Warden's agenda for the upcoming staff recall will continue to monitor meetings on November 27th that all employees are expected to compliance on this item. attend. Wardens response dated 12/3/07: "The facility agrees that staff...failed to follow applicable policy and post orders... As a result of this incident a thorough review of segregation operations 1/31/08 CMD note: Breach letter issued 1/16/08. Per TDOC incident #721199, on November 16, 2007 was conducted by external CCA management staff... A number of Verified 3/11/08 by CM: No 1/7/08 CMD note: This issue, due to the significance recurrences of this or similar at approximately 12:30 p.m., a maximum custody immediate actions were taken to ensure a higher level of of the incident, is being considered an Essential issues since corrective action inmate and a protective custody inmate were placed supervision and accountability...In addition, a meeting...with requirement. As such, a notification of Breach is being taken. in the recreation cage together. Managing Director Kevin Myers and Wardens of all 3 TDOC drafted for distribution. contract facilities...addressed segregation concerns at WCFA, HCCF and SCCF and outlined a plan to establish a focus team to evaluate current operations at each facility." 2/8/08 CMD note: Letter of concern issued 2/5/08. 2/1/08 CMD note:...At this time, a breach MK 3 Fogger actual count was nine (9). Perpetual determination is being held in abeyance in this Wardens response dated 12/12/07. A complete inventory has been inventory showed ten (10). October and November instance, however, another finding of non-compliance scheduled for the week of 12/17/07. monthly inventories showed twelve (12). Essential. for this item in the next 12 months shall result in a breach finding and immediate assessment of liquidated damages. Documented inventories present, however due to Wardens response dated 12/12/07. Weekly inventories will be Item 5 above, inventoried did not match the perpetual conducted and any discrepancies will be immediately reported to records. the Chief of Security and the Duty Officer. 2/8/08 CMD note: Letter of concern issued 2/5/08. Quarterly reports are not being done for key inventories. Essential. 2/8/08 CMD note: Letter of concern issued 2/5/08. See 2/1/08 CMD note above. Wardens response dated 12/7/07. Quarterly reports will be documented in regards to keys in the future. Instrument name and Item numbers for Liquidated Damages issues are in BOLD print WCFA SUMMARY OF NON-COMPLIANCE NOTIFICATIONS FOR FEBRUARY 2008 OUT- DATE OF STANDING REPORT ISSUE Y/N 12/7/07 Yes Monitoring Instrument Security and Control Security Equipment 12/7/07 Yes Security and Control Security Equipment 12/11/07 Yes Use of Force ITEM NON-COMPLIANCE ISSUE NO. 12c NIN 7e 12/11/07 Yes Use of Force 7i 12/11/07 Yes Use of Force NIN 1/15/08 Yes Security and Control Security Equipment 4 CCA policy requires monthly testing of emergency keys to be done on 3rd shift. No monthly reports could be located. Essential. DATE/METHOD OF CONFIRMATION BY MONITOR/COMMENTS Corrective Action Verified Wardens response dated 12/7/07. Monthly checks of all 3/11/08: CM received Jan./Feb. emergency keys will be conducted on third shift and documented. 2008 monthly checks of emergency keys. CONTRACTOR RESPONSE/DATE/ CORRECTIVE ACTION TAKEN On 11-6-07, 11/12/07, and 11/27/07 the concave Wardens response dated 12/7/07. Supervisors have been given shield was used but no record of it being checked out clear directives that they will be held accountable for ensuring the in the armory. items are signed out and back in when used. On 11/30/07, six (6) cans of MK9 were issued to a correctional officer with no authorizing supervisor's signature. Repeat finding - NCR dated 9/19/07. Same as above. On 12/3/07, incident #723026 MK9 was used in a Use of Force incident. On 11/14/07, incident #720934 MK9 was used in a Use Force incident. There was no Same as above. record of MK9 being issued by Central Control in either of these incidents. Repeat finding - NCR dated 9/19/07. On 10/29/07, log shows one MK9 in the cabinet with Chief of Security being notified. Explanation entered on 11/1/07 that canister was empty and removed by Captain. Armory personnel are to remove/add canisters. On 11/8/07, log sheet showed three (3) MK9's exchanged but the count was changed to four Same as above. (4). Also supervisors are not signing the central control chemical agent check out log consistently. Note: There were fourteen (14) occasions during the monitoring period (Oct. 1-Dec.7) that the supervisor did not sign the central control check out log for chemical agents. On 1/14/08, TOMIS incident #728106, the concave shield and the Nova Stun Shield were present at the incident, however there was no record of the Stun Shield being activated. Upon checking the armory equipment issuance log, there was no record of either the concave shield or the Stun Shield being properly checked out. The armory log reflected the captain entered the armory at 8:20 pm and exited 22:10 with the reason listed as "shield". Wardens response dated 1/18/08 received from Acting Warden Perry: From this point forward the Chiefs will be called after each incident to go over a prepared check list. The check list will include but not limited to the items listed on this NCR. This will be effective as of 1/15/08. Instrument name and Item numbers for Liquidated Damages issues are in BOLD print Page 2 TDOC MANAGEMENT COMMENTS/NOTES 2/8/08 CMD note: Letter of concern issued 2/5/08. See 2/1/08 CMD note above. 2/8/08 CMD note: Letter of concern issued 2/5/08. 1/31/08 CMD note: The issue of proper procedures for the issuance and documentation of security equipment, including chemical agents, needs to be effectively addressed. The monitor is requested to verify the effectiveness of the corrective action taken within 30 days. If the problem persists, another NCR should be issued. 2/8/08 CMD note: Letter of concern issued 2/5/08. 1/31/08 CMD note: The issue of proper procedures for the issuance and documentation of security equipment, including chemical agents, needs to be effectively addressed. The monitor is requested to verify the effectiveness of the corrective action taken within 30 days. If the problem persists, another NCR should be issued. 2/8/08 and 1/31/08 CMD note: Same as above. 2/8/08 and 1/31/08 CMD note: Same as above. WCFA SUMMARY OF NON-COMPLIANCE NOTIFICATIONS FOR FEBRUARY 2008 OUT- DATE OF STANDING REPORT ISSUE Y/N 1/25/08 1/25/08 1/28/08 Yes Yes No Monitoring Instrument ITEM NON-COMPLIANCE ISSUE NO. Vocational and Academic Programs 2c (3) Vocational and Academic Programs Special Management Inmates There were no minutes for staff meetings. Agendas were available but minutes have not been done. Page 3 CONTRACTOR RESPONSE/DATE/ CORRECTIVE ACTION TAKEN DATE/METHOD OF CONFIRMATION BY MONITOR/COMMENTS Wardens response dated 1/28/08: Concur. The A/W of Programs will monitor and ensure that minutes are maintained in the future. Corrective Action Verified: 3/11/08 Minutes are now being taken of staff meetings. TDOC MANAGEMENT COMMENTS/NOTES 15a Wardens response dated 1/28/08:"...Facility requests additional information regarding when homework is appropriate. It is agreed One teacher has actual classroom time only one day that this practice is not optimum... it is questioned whether this is a a week and assigns homework the remainder of the policy violation. Request that additional direction be given as to the time. She has been doing the TABE testing, as well appropriate level of homework that can account for classroom as other testing for the facility. The teacher noted participation. Immediate corrective action in this matter has been above is entering time for which inmates are not in taken by ensuring that TABE testing is performed by the education class on TOMIS LJEN as actual attendance, counselor." Cocerning entry of attendence: "Concur. The Warden however, Policy 504.04 indicates that this time should met with all department heads on January 23rd and gave clear have been entered in the excused hour's column. instructions on the expectations of all managers and supervisors to Several teachers are entering an excess of 6.0 hours ensure attendance/pay was being entered accurately... On a day on LJEN, i.e., 18 hours, 12 hours, 6 hours January 25th, this issue was addressed to all education staff and attend/6 hours excused on the same day. additional training provided by the job coordinator to ensure education staff understood how to record attendance and pay." Corrective Action Verified: 3/11/08. Education Counselor is now doing the TABE testing. The attendance monitored has been correctly entered. 3a Inmate D. Smith #122954 was scheduled to be released from segregation on 1/27/08 at 4:00 pm. He Wardens response dated 2/6/08. The Shift Supervisor was was not released until 6:30 a.m. on 1/28/08. Captain directed by Chief of Unit Management to contact the called TDOC liaison at 3:00 a.m. on 1/28.08 Commissioner's designee regarding this inmate. He did not do as requesting inmate Smith be allowed to stay on directed. The S/S has been talked to and corrective action has segregation pending PC. This request was denied. He been taken. A PSN is completed and will be served on 2/6/08. was held in segregation 14.5 hours beyond his approved time. Essential Item. 3/17/08 CMD note: Although this is an Essential item, no breach notification is being issued at this Corrective Action Verified: time. Disciplinary action was taken with the staff 3/11/08. BI01MGM report is being involved, and ther were no recurrences of the checked daily by monitor. No issue in the 6 weeks after noted. Any subsequent other deficiencies noted. instances of this will result in assessment of liquidated damages. On 2/23/08, a part-time officer was working the critical Wardens response dated 2/23/08. Concurs. Captain did send Utility Escort/Search post. She was allowed to go officer home at 4 pm with no relief. This is a violation of policy and home at 4:00 pm. No replacement was made for this post orders. The weekend roster will be routinely checked against critical post. Upon entering Central Control, only one Kronos to assure proper staffing. The C/C officer left her post to officer was present. The other officer came in prior to take a break. This was not authorized by the supervisor and my leaving. These are both designated as critical corrective action is being taken on the officer. This is a violation of posts. Essential Item. policy and post orders and unacceptable. 2/26/08 No Staffing 3 2/26/08 No Security & Controls Count 4d 2/26/08 No Security & Controls Count NIN Wardens response dated 2/23/08. Concurs. The out-counts did arrive at the count room late. The Chief and AW will routinely monitor this area to ensure the policy is followed. Wardens response dated 2/23/08. Concurs. The 4:30 pm count is Central Control called for the 4:30 p.m. count to be a a sitting and standing count and staff are expected to hold inmates sit/stand count. I conducted an i.d. count after the accountable for complying with the count procedure. I have issued officer. Inmate in KC 214 and inmate in KC 110 were a directive to Unit Management staff, the Chiefs and the AW's to both covered with a blanket and did not wake up for monitor this count frequently to ensure that all staff are conducting count. count as expected and as directed. On 2/23/08, the out-counts for visitation and kitchen were not received till 4:25 p.m., count began at 4:30 p.m. Instrument name and Item numbers for Liquidated Damages issues are in BOLD print 3/17/08 CMD note: Breach notification pending. WCFA SUMMARY OF NON-COMPLIANCE NOTIFICATIONS FOR MARCH 2008 OUT- DATE OF STANDING REPORT ISSUE Y/N 9/19/07 Yes Monitoring Instrument Use of Force ITEM NON-COMPLIANCE ISSUE NO. 7e 9/19/07 Yes Use of Force 7i 10/3/07 Yes Food Service 34b 11/8/07 Yes 11/19/07 12/7/07 12/7/07 Yes Security and Control Counts Special Management Inmates CONTRACTOR RESPONSE/DATE/ CORRECTIVE ACTION TAKEN Page 1 DATE/METHOD OF CONFIRMATION BY MONITOR/COMMENTS TDOC MANAGEMENT COMMENTS/NOTES Redacted Warden's response September 24, 2007: The facility concurs that Monitors Note: 3/31/08: CM will On 7-22-07, at 7:20 p.m. a MK 9 fogger was used in a the staff in central control failed to log the issuance of OC in this Use of Force incident. There is no record of a MK9 continue to monitor this item. 2/8/08 CMD note: Letter of concern issued 2/5/08. instance as required. Corrective steps have been taken to fogger being issued by Central Control. Repeat finding 12/7/07 below. address their failure. Corrective Action Verified 3/31/08: No reoccurrence of this Warden response dated 10/18/07: A warming cart is now being issue. 1/7/08 CM Comment: The On two different dates, hot food delivered to used to transport trays from FS to seg unit and meals will be facility has purchased a steam segregation unit never reached required temperature checked on a random basis each week by the Chief of Security line for the segregation unit. They of 140 degrees. and the FS Manager for temperature compliance. started heating the food in the unit on 2/4/08, I will monitor to ensure compliance. 4a Wardens response dated 11/15/07: A directive has been given to facility employees that in no circumstance are inmates to be moved without count room approval. The employee who initiated The count room was not notified that 2 inmates had these moves was identified and corrective action has been taken. changed cells. This apparently meant that these Unit Managers and other supervisory staff are conducting inmates were not properly accounted for on TOMIS or meetings with line staff to ensure all staff know not to move the count room locator board, and had gone through inmates unless approved by the count room. This has also been counts uncorrected. added to the Warden's agenda for the upcoming staff recall meetings on November 27th that all employees are expected to attend. Monitors Note: 3/31/08: I will continue to monitor this item due to a similar problem arising this month. Monitors Note: On 12/19/07 went to the unit to verify that the problem had been fixed. An inmate, according to LIMC/count room was assigned to IA202, but he was living in IA103. Therefore I will continue to monitor compliance on this item. 1/31/08 CMD note: Letter of Concern issued 1/16/08. 1/7/08 CMD note: This item is identified as an Essential item. It has been determined that a Breach notification will not be issued at this time; however, a letter of concern will be sent addressing this issue. NIN Wardens response dated 12/3/07: "The facility agrees that staff...failed to follow applicable policy and post orders... As a result of this incident a thorough review of segregation operations Per TDOC incident #721199, on November 16, 2007 was conducted by external CCA management staff... A number of at approximately 12:30 p.m., a maximum custody immediate actions were taken to ensure a higher level of inmate and a protective custody inmate were placed supervision and accountability...In addition, a meeting...with in the recreation cage together. Managing Director Kevin Myers and Wardens of all 3 TDOC contract facilities...addressed segregation concerns at WCFA, HCCF and SCCF and outlined a plan to establish a focus team to evaluate current operations at each facility." Corrective Action Verified: 3/31/08: WCFA does not presently have any administrative segregation inmates. Verified 3/11/08 by CM: No recurrences of this or similar issues since corrective action taken. 4/22/08 CMD note: Breach has been cured. Any subsequent incident of this nature within 12 months will result in issuance of a Breach notification and immediate liquidated damagaes.1/31/08 CMD note: Breach letter issued 1/16/08. 1/7/08 CMD note: This issue, due to the significance of the incident, is being considered an Essential requirement. As such, a notification of Breach is being drafted for distribution. Yes Security and Control Security Equipment 5 MK 3 Fogger actual count was nine (9). Perpetual inventory showed ten (10). October and November monthly inventories showed twelve (12). Essential. Yes Security and Control Security Equipment 6 Documented inventories present, however due to Wardens response dated 12/12/07. Weekly inventories will be Item 5 above, inventories did not match the perpetual conducted and any discrepancies will be immediately reported to records. the Chief of Security and the Duty Officer. Corrective Action Verified: Wardens response dated 12/12/07. A complete inventory has been 3/31/08: Inventories have been scheduled for the week of 12/17/07. correct. No reoccurrence. Instrument name and Item numbers for Liquidated Damages issues are in BOLD print Corrective Action Verified: 3/31/08: No further problems in regards to the inventories. 2/8/08 CMD note: Letter of concern issued 2/5/08. 2/1/08 CMD note:...At this time, a breach determination is being held in abeyance in this instance, however, another finding of non-compliance for this item in the next 12 months shall result in a breach finding and immediate assessment of liquidated damages. 2/8/08 CMD note: Letter of concern issued 2/5/08. WCFA SUMMARY OF NON-COMPLIANCE NOTIFICATIONS FOR MARCH 2008 OUT- DATE OF STANDING REPORT ISSUE Y/N 12/7/07 Yes Monitoring Instrument Security and Control Security Equipment ITEM NON-COMPLIANCE ISSUE NO. 12b Yes Security and Control Security Equipment 12c 12/7/07 Yes Security and Control Security Equipment NIN 12/11/07 Yes Use of Force 7e 12/11/07 Yes Use of Force 7i 12/11/07 Yes Use of Force NIN 12/7/07 Quarterly reports are not being done for key inventories. Essential. Page 2 CONTRACTOR RESPONSE/DATE/ CORRECTIVE ACTION TAKEN DATE/METHOD OF CONFIRMATION BY MONITOR/COMMENTS Wardens response dated 12/7/07. Quarterly reports will be documented in regards to keys in the future. Corrective Action Verified: 3/31/08: CM was provided a copy 2/8/08 CMD note: Letter of concern issued 2/5/08. See 2/1/08 CMD note above. of the quarterly key inventory report. TDOC MANAGEMENT COMMENTS/NOTES Corrective Action Verified:3/31/08: CM received CCA policy requires monthly testing of emergency Mar. 2008 monthly check of Wardens response dated 12/7/07. Monthly checks of all 2/8/08 CMD note: Letter of concern issued 2/5/08. keys to be done on 3rd shift. No monthly reports emergency keys. Corrective emergency keys will be conducted on third shift and documented. See 2/1/08 CMD note above. could be located. Essential. Action Verified: 3/11/08: CM received Jan./Feb. 2008 monthly checks of emergency keys. 2/8/08 CMD note: Letter of concern issued 2/5/08. 1/31/08 CMD note: The issue of proper procedures for the issuance and documentation of security On 11-6-07, 11/12/07, and 11/27/07 the concave Wardens response dated 12/7/07. Supervisors have been given Monitors Note: 3/31/08: CM will equipment, including chemical agents, needs to be shield was used but no record of it being checked out clear directives that they will be held accountable for ensuring the continue to monitor this item due effectively addressed. The monitor is requested to in the armory. items are signed out and back in when used. to findings this month. verify the effectiveness of the corrective action taken within 30 days. If the problem persists, another NCR should be issued. 2/8/08 CMD note: Letter of concern issued 2/5/08. 1/31/08 CMD note: The issue of proper procedures for the issuance and documentation of security On 11/30/07, six (6) cans of MK9 were issued to a Monitors Note: 3/31/08: CM will equipment, including chemical agents, needs to be correctional officer with no authorizing supervisor's Same as above. continue to monitor this item due effectively addressed. The monitor is requested to signature. Repeat finding - NCR dated 9/19/07. to findings on 3/11/08. verify the effectiveness of the corrective action taken within 30 days. If the problem persists, another NCR should be issued. On 12/3/07, incident #723026 MK9 was used in a Use of Force incident. On 11/14/07, incident #720934 MK9 Monitors Note: 3/31/08: CM will was used in a Use Force incident. There was no Same as above. continue to monitor this item due 2/8/08 and 1/31/08 CMD note: Same as above. record of MK9 being issued by Central Control in to findings this month. either of these incidents. Repeat finding - NCR dated 9/19/07. On 10/29/07, log shows one MK9 in the cabinet with Chief of Security being notified. Explanation entered on 11/1/07 that canister was empty and removed by Captain. Armory personnel are to remove/add canisters. On 11/8/07, log sheet showed three (3) Monitors Note: 3/31/08: CM will MK9's exchanged but the count was changed to four Same as above. continue to monitor this item due 2/8/08 and 1/31/08 CMD note: Same as above. (4). Also supervisors are not signing the central to findings this month. control chemical agent check out log consistently. Note: There were fourteen (14) occasions during the monitoring period (Oct. 1-Dec.7) that the supervisor did not sign the central control check out log for chemical agents. Instrument name and Item numbers for Liquidated Damages issues are in BOLD print WCFA SUMMARY OF NON-COMPLIANCE NOTIFICATIONS FOR MARCH 2008 OUT- DATE OF STANDING REPORT ISSUE Y/N 1/15/08 1/28/08 Yes Yes Monitoring Instrument Security and Control Security Equipment Special Management Inmates ITEM NON-COMPLIANCE ISSUE NO. 4 3a CONTRACTOR RESPONSE/DATE/ CORRECTIVE ACTION TAKEN On 1/14/08, TOMIS incident #728106, the concave shield and the Nova Stun Shield were present at the incident, however there was no record of the Stun Wardens response dated 1/18/08 received from Acting Warden Shield being activated. Upon checking the armory Perry: From this point forward the Chiefs will be called after each equipment issuance log, there was no record of either incident to go over a prepared check list. The check list will include the concave shield or the Stun Shield being properly but not limited to the items listed on this NCR. This will be checked out. The armory log reflected the captain effective as of 1/15/08. entered the armory at 8:20 pm and exited 22:10 with the reason listed as "shield". Inmate D. Smith #122954 was scheduled to be released from segregation on 1/27/08 at 4:00 pm. He Wardens response dated 2/6/08. The Shift Supervisor was was not released until 6:30 a.m. on 1/28/08. Captain directed by Chief of Unit Management to contact the called TDOC liaison at 3:00 a.m. on 1/28.08 Commissioner's designee regarding this inmate. He did not do as requesting inmate Smith be allowed to stay on directed. The S/S has been talked to and corrective action has segregation pending PC. This request was denied. He been taken. A PSN is completed and will be served on 2/6/08. was held in segregation 14.5 hours beyond his approved time. Essential Item. Page 3 DATE/METHOD OF CONFIRMATION BY MONITOR/COMMENTS Monitors Note: 3/31/08: CM will continue to monitor this item due to findings this month. Corrective Action Verified: 3/31/08: No reoccurrence. This item is monitored daily. Corrective Action Verified: 3/11/08. BI01MGM report is being checked daily by monitor. No other deficiencies noted. 2/26/08 Yes Staffing 3 On 2/23/08, a part-time officer was working the critical Wardens response dated 2/23/08. Concurs. Captain did send Utility Escort/Search post. She was allowed to go officer home at 4 pm with no relief. This is a violation of policy and home at 4:00 pm. No replacement was made for this post orders. The weekend roster will be routinely checked against Monitors Note: 3/31/08: Due to critical post. Upon entering Central Control, only one Kronos to assure proper staffing. The C/C officer left her post to findings on 3/24/08, CM will officer was present. The other officer came in prior to take a break. This was not authorized by the supervisor and continue to monitor this item. my leaving. These are both designated as critical corrective action is being taken on the officer. This is a violation of posts. Essential Item. policy and post orders and unacceptable. 2/26/08 Yes Security & Controls Count 4d On 2/23/08, the out-counts for visitation and kitchen were not received till 4:25 p.m., count began at 4:30 p.m. Wardens response dated 2/23/08. Concurs. The out-counts did arrive at the count room late. The Chief and AW will routinely monitor this area to ensure the policy is followed. NIN Central Control called for the 4:30 p.m. count to be a sit/stand count. I conducted an i.d. count after the officer. Inmate in KC 214 and inmate in KC 110 were both covered with a blanket and did not wake up for count. Wardens response dated 2/23/08. Concurs. The 4:30 pm count is a sitting and standing count and staff are expected to hold inmates accountable for complying with the count procedure. I have issued Monitors Note: 3/31/08: CM will continue to monitor this item. a directive to Unit Management staff, the Chiefs and the AW's to monitor this count frequently to ensure that all staff are conducting count as expected and as directed. 2/26/08 Yes Security & Controls Count Instrument name and Item numbers for Liquidated Damages issues are in BOLD print TDOC MANAGEMENT COMMENTS/NOTES Corrective Action Verified: 3/31/08: No reoccurrence for this item. 3/17/08 CMD note: Although this is an Essential item, no breach notification is being issued at this time. Disciplinary action was taken with the staff involved, and there were no recurrences of the issue in the 6 weeks after noted. Any subsequent instances of this will result in assessment of liquidated damages. 4/17/08 CMD note: Breach notification sent via email 4/17, with hard copy to follow. 3/17/08 CMD note: Breach notification pending. WCFA SUMMARY OF NON-COMPLIANCE NOTIFICATIONS FOR MARCH 2008 OUT- DATE OF STANDING REPORT ISSUE Y/N 3/10/08 No Monitoring Instrument Staffing ITEM NON-COMPLIANCE ISSUE NO. 11a CONTRACTOR RESPONSE/DATE/ CORRECTIVE ACTION TAKEN Warden's response dated 3/19/08: While facility concurs that this position was not filled within the 30 day time frame, we submit that due diligence was performed attempting to fill within the designated time frame and further that overtime was utilized to maintain coverage of posts throughout this period. There was an SCO position #118162 was vacated 1/29/08 and not unusual occurrence of 4 SCO vacancies occurring very closely filled until 3/2/08 a total of 34 days. Security positions together. Only 6 applicants applied for those positions and of those are to be filled within 30 days per contract 4 either did not have the requisite 6 months experience or were requirements. completely unsuitable for a supervisory position. The remaining vacancies were reposted and the remaining vacancies filled from that selection of applicants. It is also noted that the last occasion WCFA failed to fill a security position within the 30 day limit was June 2004: a period of nearly 4 years. Instrument name and Item numbers for Liquidated Damages issues are in BOLD print Page 4 DATE/METHOD OF CONFIRMATION BY MONITOR/COMMENTS TDOC MANAGEMENT COMMENTS/NOTES WCFA SUMMARY OF NON-COMPLIANCE NOTIFICATIONS FOR APRIL 2008 OUT- DATE OF STANDING REPORT ISSUE Y/N 9/19/07 Yes 9/19/07 Yes 11/8/07 Yes 12/7/07 Yes 12/11/07 Yes Monitoring Instrument Use of Force Use of Force Security and Control Counts Security and Control Security Equipment Use of Force ITEM NON-COMPLIANCE ISSUE NO. Page 1 CONTRACTOR RESPONSE/DATE/ CORRECTIVE ACTION TAKEN DATE/METHOD OF CONFIRMATION BY MONITOR/COMMENTS TDOC MANAGEMENT COMMENTS/NOTES 2/8/08 CMD note: Letter of concern issued 2/5/08. 11/21/07 CMD note: In both cases cited in the NCR, the log entry for the issuance of the chemical agents was incorrectly completed: neither indicated that the issuance was approved by an authorized supervisor. Complete and accurate documentation of issuance of chemical agents and other security devices is a valid contractual concern. 7e Corrective Action Verified: 5/6/08: No further finding of Warden's response September 24, 2007: Warden does not On 7-1-07, a MK 9 fogger was issued to the Assistant noncompliance. Monitors Note: concur. TDOC approved facility policy specifies that use of OC Shift Supervisor. On 8-21-07, a MK 9 fogger was must be approved by Shift supervisor or higher authority. It does 03/31/08: CM will continue to issued to a Correctional Officer. Per CCA approved not state that OC cannot be issued to other staff. He notes in both monitor due to findings this policy neither of these positions are authorized. incidents the supervisor sent personnel to pick up the OC. month. ****Repeat finding 12/7/07 below. 7i Warden's response September 24, 2007: The facility concurs that On 7-22-07, at 7:20 p.m. a MK 9 fogger was used in a the staff in central control failed to log the issuance of OC in this Use of Force incident. There is no record of a MK9 instance as required. Corrective steps have been taken to fogger being issued by Central Control. address their failure. 4a Corrective Action Verified: 5/6/08: No further finding of Wardens response dated 11/15/07: A directive has been given to noncompliance. Monitors Note: facility employees that in no circumstance are inmates to be 3/31/08: I will continue to monitor moved without count room approval. The employee who initiated this item due to a similar problem The count room was not notified that 2 inmates had these moves was identified and corrective action has been taken. arising this month. Monitors changed cells. This apparently meant that these Unit Managers and other supervisory staff are conducting Note: On 12/19/07 went to the inmates were not properly accounted for on TOMIS or meetings with line staff to ensure all staff know not to move unit to verify that the problem had the count room locator board, and had gone through inmates unless approved by the count room. This has also been been fixed. An inmate, according counts uncorrected. added to the Warden's agenda for the upcoming staff recall to LIMC/count room was meetings on November 27th that all employees are expected to assigned to IA202, but he was attend. living in IA103. Therefore I will continue to monitor compliance on this item. 1/31/08 CMD note: Letter of Concern issued 1/16/08. 1/7/08 CMD note: This item is identified as an Essential item. It has been determined that a Breach notification will not be issued at this time; however, a letter of concern will be sent addressing this issue. NIN Corrective Action Verified: 5/6/08: No further finding of On 11-6-07, 11/12/07, and 11/27/07 the concave Wardens response dated 12/7/07. Supervisors have been given noncompliance. Monitors Note: shield was used but no record of it being checked out clear directives that they will be held accountable for ensuring the 3/31/08: CM will continue to in the armory. items are signed out and back in when used. monitor this item due to findings this month. 2/8/08 CMD note: Letter of concern issued 2/5/08. 1/31/08 CMD note: The issue of proper procedures for the issuance and documentation of security equipment, including chemical agents, needs to be effectively addressed. The monitor is requested to verify the effectiveness of the corrective action taken within 30 days. If the problem persists, another NCR should be issued. Corrective Action Verified: 5/6/08: No further finding of noncompliance. Monitors Note: 3/31/08: CM will continue to monitor this item due to findings on 3/11/08. 2/8/08 CMD note: Letter of concern issued 2/5/08. 1/31/08 CMD note: The issue of proper procedures for the issuance and documentation of security equipment, including chemical agents, needs to be effectively addressed. The monitor is requested to verify the effectiveness of the corrective action taken within 30 days. If the problem persists, another NCR should be issued. 7e On 11/30/07, six (6) cans of MK9 were issued to a correctional officer with no authorizing supervisor's signature. Repeat finding - NCR dated 9/19/07. Same as above. Instrument name and Item numbers for Liquidated Damages issues are in BOLD print Corrective Action Verified: 5/6/08: No further finding of noncompliance. Monitors Note: 3/31/08: CM will continue to monitor this item. Repeat finding 12/7/07 below. 2/8/08 CMD note: Letter of concern issued 2/5/08. WCFA SUMMARY OF NON-COMPLIANCE NOTIFICATIONS FOR APRIL 2008 OUT- DATE OF STANDING REPORT ISSUE Y/N 12/11/07 12/11/07 1/15/08 2/26/08 2/26/08 Yes Yes Yes Yes Yes Monitoring Instrument Use of Force Use of Force Security and Control Security Equipment Staffing Security & Controls Count Page 2 DATE/METHOD OF CONFIRMATION BY MONITOR/COMMENTS TDOC MANAGEMENT COMMENTS/NOTES 7i On 12/3/07, incident #723026 MK9 was used in a Use of Force incident. On 11/14/07, incident #720934 MK9 was used in a Use Force incident. There was no Same as above. record of MK9 being issued by Central Control in either of these incidents. Repeat finding - NCR dated 9/19/07. Corrective Action Verified: 5/6/08: No further finding of noncompliance. Monitors Note: 3/31/08: CM will continue to monitor this item due to findings this month. 2/8/08 and 1/31/08 CMD note: Same as above. NIN On 10/29/07, log shows one MK9 in the cabinet with Chief of Security being notified. Explanation entered on 11/1/07 that canister was empty and removed by Captain. Armory personnel are to remove/add canisters. On 11/8/07, log sheet showed three (3) MK9's exchanged but the count was changed to four Same as above. (4). Also supervisors are not signing the central control chemical agent check out log consistently. Note: There were fourteen (14) occasions during the monitoring period (Oct. 1-Dec.7) that the supervisor did not sign the central control check out log for chemical agents. Corrective Action Verified: 5/6/08: No further finding of noncompliance. Monitors Note: 3/31/08: CM will continue to monitor this item due to findings this month. 2/8/08 and 1/31/08 CMD note: Same as above. 4 On 1/14/08, TOMIS incident #728106, the concave shield and the Nova Stun Shield were present at the incident, however there was no record of the Stun Shield being activated. Upon checking the armory equipment issuance log, there was no record of either the concave shield or the Stun Shield being properly checked out. The armory log reflected the captain entered the armory at 8:20 pm and exited 22:10 with the reason listed as "shield". Wardens response dated 1/18/08 received from Acting Warden Perry: From this point forward the Chiefs will be called after each incident to go over a prepared check list. The check list will include but not limited to the items listed on this NCR. This will be effective as of 1/15/08. Corrective Action Verified: 5/6/08: No further finding of noncompliance. Monitors Note: 3/31/08: CM will continue to monitor this item due to findings this month. 3 On 2/23/08, a part-time officer was working the critical Wardens response dated 2/23/08. Concurs. Captain did send Utility Escort/Search post. She was allowed to go officer home at 4 pm with no relief. This is a violation of policy and home at 4:00 pm. No replacement was made for this post orders. The weekend roster will be routinely checked against critical post. Upon entering Central Control, only one Kronos to assure proper staffing. The C/C officer left her post to officer was present. The other officer came in prior to take a break. This was not authorized by the supervisor and my leaving. These are both designated as critical corrective action is being taken on the officer. This is a violation of posts. Essential Item. policy and post orders and unacceptable. Corrective Action Verified: 5/6/08: No further finding of noncompliance. Monitors Note: 3/31/08: CM will continue to monitor this item. Wardens response dated 2/23/08. Concurs. The 4:30 pm count is a sitting and standing count and staff are expected to hold inmates accountable for complying with the count procedure. I have issued a directive to Unit Management staff, the Chiefs and the AW's to monitor this count frequently to ensure that all staff are conducting count as expected and as directed. Corrective Action Verified: 5/6/08: No further finding of noncompliance. Monitors Note: 3/31/08: CM will continue to monitor this item. ITEM NON-COMPLIANCE ISSUE NO. NIN Central Control called for the 4:30 p.m. count to be a sit/stand count. I conducted an i.d. count after the officer. Inmate in KC 214 and inmate in KC 110 were both covered with a blanket and did not wake up for count. CONTRACTOR RESPONSE/DATE/ CORRECTIVE ACTION TAKEN Instrument name and Item numbers for Liquidated Damages issues are in BOLD print 4/17/08 CMD note: Breach notification sent via e-mail 4/17, with hard copy to follow. 3/17/08 CMD note: Breach notification pending. WCFA SUMMARY OF NON-COMPLIANCE NOTIFICATIONS FOR APRIL 2008 OUT- DATE OF STANDING REPORT ISSUE Y/N 3/10/08 4/10/08 4/10/08 4/10/08 No No No No Monitoring Instrument Staffing PREA PREA PREA ITEM NON-COMPLIANCE ISSUE NO. 11a Page 3 CONTRACTOR RESPONSE/DATE/ CORRECTIVE ACTION TAKEN Warden's response dated 3/19/08: While facility concurs that this position was not filled within the 30 day time frame, we submit that due diligence was performed attempting to fill within the designated time frame and further that overtime was utilized to maintain coverage of posts throughout this period. There was an SCO position #118162 was vacated 1/29/08 and not unusual occurrence of 4 SCO vacancies occurring very closely filled until 3/2/08 a total of 34 days. Security positions together. Only 6 applicants applied for those positions and of those are to be filled within 30 days per contract 4 either did not have the requisite 6 months experience or were requirements. completely unsuitable for a supervisory position. The remaining vacancies were reposted and the remaining vacancies filled from that selection of applicants. It is also noted that the last occasion WCFA failed to fill a security position within the 30 day limit was June 2004: a period of nearly 4 years. Two (2) out of twenty (20) checked did not have the predictor scales showing they were screened fro PREA. Warden's response dated 4/29/08: WCFA agrees with the noncompliance item. The Case Manager did complete the two (2) predicator scales in question, however, she did not ensure placement into the institutional file as required by policy. Training has been conducted with all unit teams to ensure that all Case Managers are in compliance with this requirement. Additionally, both predictor scales have been placed in the IIR. 4c Seven (7) out of thirty-seven (37) inmates identified as predators did not have the required quarterly contact not on TOMIS: LCDG. Warden's response dated 4/29/08: The facility concurs with the NCR. The department heads responsible for monitoring this process failed to ensure that their employees completed the required quarterly contact notes on LCDG. The department heads were held accountable for the subpar performance of their staff in this area and lack of follow-up on their part. They were advised of the expectation that they are to review and monitor their employees and hold them accountable when the policy is not followed. 4d Warden's response dated 4/29/08: WCFA acknowledges and agrees with the NCR. This information has been a training tool for all staff since the requirements are outlined in Policy 502.06 and not also included in the reclassification policy. Additionally, a request has been submitted to TDOC during the policy review Thirty-seven (37) out of thirty-seven (37) did not have process requesting the requirement to be included in the the results of predator status review entered on LCLN reclassification process. Training has been conducted with all U/M during annual reclassification process. Teams regarding classification and PREA issues. Furthermore, an additional off site training will be conducted on May 30, 2008 for all U/M Teams regarding classification, PREA, and other items. The U/M and CCC will monitor/audit this area on a weekly basis to ensure future compliance. 1 Instrument name and Item numbers for Liquidated Damages issues are in BOLD print DATE/METHOD OF CONFIRMATION BY MONITOR/COMMENTS Corrective Action Verified: 5/6/08: All positions have been filled within the required timeframe. TDOC MANAGEMENT COMMENTS/NOTES WCFA SUMMARY OF NON-COMPLIANCE NOTIFICATIONS FOR MAY 2008 OUT- DATE OF STANDING REPORT ISSUE Y/N 2/26/08 4/10/08 4/10/08 4/10/08 Yes Yes Yes Yes Monitoring Instrument Staffing PREA PREA PREA ITEM NON-COMPLIANCE ISSUE NO. 3 Page 1 CONTRACTOR RESPONSE/DATE/ CORRECTIVE ACTION TAKEN On 2/23/08, a part-time officer was working the critical Wardens response dated 2/23/08. Concurs. Captain did send Utility Escort/Search post. She was allowed to go officer home at 4 pm with no relief. This is a violation of policy and home at 4:00 pm. No replacement was made for this post orders. The weekend roster will be routinely checked against critical post. Upon entering Central Control, only one Kronos to assure proper staffing. The C/C officer left her post to officer was present. The other officer came in prior to take a break. This was not authorized by the supervisor and my leaving. These are both designated as critical corrective action is being taken on the officer. This is a violation of posts. Essential Item. policy and post orders and unacceptable. DATE/METHOD OF CONFIRMATION BY MONITOR/COMMENTS Cure Verified: 5/30/08. Monitoring of this item indicated no further problems as of this 4/17/08 CMD note: Breach notification sent via e-mail date. Corrective Action Verified: 4/17, with hard copy to follow. 3/17/08 CMD note: 5/6/08: No further finding of Breach notification pending. noncompliance. Monitors Note: 3/31/08: CM will continue to monitor this item. Two (2) out of twenty (20) checked did not have the predictor scales showing they were screened for PREA. Warden's response dated 4/29/08: WCFA agrees with the noncompliance item. The Case Manager did complete the two (2) predicator scales in question, however, she did not ensure placement into the institutional file as required by policy. Training has been conducted with all unit teams to ensure that all Case Managers are in compliance with this requirement. Additionally, both predictor scales have been placed in the IIR. Corrective Action Verified: May 30, 2008. Predictor scales are now in the institutional files. 4c Seven (7) out of thirty-seven (37) inmates identified as predators did not have the required quarterly contact not on TOMIS: LCDG. Warden's response dated 4/29/08: The facility concurs with the NCR. The department heads responsible for monitoring this process failed to ensure that their employees completed the required quarterly contact notes on LCDG. The department heads were held accountable for the subpar performance of their staff in this area and lack of follow-up on their part. They were advised of the expectation that they are to review and monitor their employees and hold them accountable when the policy is not followed. Corrective Action Verified: May 30, 2008. The seven (7) inmates now have a quarterly contact note. 4d Warden's response dated 4/29/08: WCFA acknowledges and agrees with the NCR. This information has been a training tool for all staff since the requirements are outlined in Policy 502.06 and not also included in the reclassification policy. Additionally, a request has been submitted to TDOC during the policy review Thirty-seven (37) out of thirty-seven (37) did not have process requesting the requirement to be included in the the results of predator status review entered on LCLN reclassification process. Training has been conducted with all U/M during annual reclassification process. Teams regarding classification and PREA issues. Furthermore, an additional off site training will be conducted on May 30, 2008 for all U/M Teams regarding classification, PREA, and other items. The U/M and CCC will monitor/audit this area on a weekly basis to ensure future compliance. Corrective Action Verified: May 30, 2008. All predators that have had an annual reclass since this finding had comments regarding predator status. 1 Instrument name and Item numbers for Liquidated Damages issues are in BOLD print TDOC MANAGEMENT COMMENTS/NOTES WCFA SUMMARY OF NON-COMPLIANCE NOTIFICATIONS FOR MAY 2008 OUT- DATE OF STANDING REPORT ISSUE Y/N 5/30/08 No Page 2 Monitoring Instrument ITEM NON-COMPLIANCE ISSUE NO. CONTRACTOR RESPONSE/DATE/ CORRECTIVE ACTION TAKEN Drug Testing & Substance Abuse Treatment Warden's response received 6/6/08: The facility agrees with the finding and both treatment plans are now completed. During the month of May, the Addictions Treatment Unit implemented a major procedural change in the method of assigning inmates to Checked twenty (20) files, two (2) did not have a counselors which simplified the completion and tracking of the treatment plan. Inmate R. Cotey #430066 and inmate required documentation. Prior to this, from admission to 8d (1) C. Gaines #322857 both entered the program on completion, an inmate was assigned to four separate counselors 3/27/08. Policy requires that treatment plan be done and each counselor was required to compete a portion of the within a thirty (30) day timeframe. program documentation which created much confusion. in addition to this change, the ATU Manager will continue to audit the files and monitor the tracking sheets that have been put into place to ensure all requirements are completed. Instrument name and Item numbers for Liquidated Damages issues are in BOLD print DATE/METHOD OF CONFIRMATION BY MONITOR/COMMENTS TDOC MANAGEMENT COMMENTS/NOTES WCFA SUMMARY OF NON-COMPLIANCE NOTIFICATIONS FOR JUNE 2008 OUT- DATE OF STANDING REPORT ISSUE Y/N 5/30/08 6/23/08 Yes No Page 1 Monitoring Instrument ITEM NON-COMPLIANCE ISSUE NO. Drug Testing & Substance Abuse Treatment Warden's response received 6/6/08: The facility agrees with the finding and both treatment plans are now completed. During the month of May, the Addictions Treatment Unit implemented a major procedural change in the method of assigning inmates to counselors which simplified the completion and tracking of the Checked twenty (20) files, two (2) did not have a required documentation. Prior to this, from admission to 8d (1) treatment plan. Policy requires that treatment plan be completion, an inmate was assigned to four separate counselors done within a thirty (30) day timeframe. and each counselor was required to compete a portion of the program documentation which created much confusion. in addition to this change, the ATU Manager will continue to audit the files and monitor the tracking sheets that have been put into place to ensure all requirements are completed. Use of Force Warden's response received 6/24/08: The Warden concurs there was a failure to communicate within the proscribed time frame. As the Use of Force occurred during the evening meal and the shift On 6/15/08, at 6:09 p.m., TOMIS incident #747923 supervisor was managing the chow hall process of feeding he chemical agents were used. Notification was not failed to call or have someone call in a timely manner. This has made to CD till 7:45 p.m. TDOC policy 506.07 been addressed and supervisors directed to use the assigned requires notification within one (1) hour of occurrence. Captain's cell phone if necessary immediately upon notification of Essential item. a use of force. In some instances such as this one, they may need to make a preliminary notification then subsequently made a followup call if needed after the meal ends. 3h CONTRACTOR RESPONSE/DATE/ CORRECTIVE ACTION TAKEN Instrument name and Item numbers for Liquidated Damages issues are in BOLD print DATE/METHOD OF CONFIRMATION BY MONITOR/COMMENTS TDOC MANAGEMENT COMMENTS/NOTES 7/21/08 CMD note. As an ESSENTIAL item, this item is subject to a Breach notification when found in non-compliance. This notification is pending. WCFA SUMMARY OF NON-COMPLIANCE NOTIFICATIONS FOR JULY 2008 OUT- DATE OF STANDING REPORT ISSUE Y/N 2/26/08 5/30/08 6/23/08 7/7/080 7/7/08 Yes Yes Monitoring Instrument Staffing Drug Testing & Substance Abuse Treatment ITEM NON-COMPLIANCE ISSUE NO. 3 Page 1 CONTRACTOR RESPONSE/DATE/ CORRECTIVE ACTION TAKEN On 2/23/08, a part-time officer was working the critical Wardens response dated 2/23/08. Concurs. Captain did send Utility Escort/Search post. She was allowed to go officer home at 4 pm with no relief. This is a violation of policy and home at 4:00 pm. No replacement was made for this post orders. The weekend roster will be routinely checked against critical post. Upon entering Central Control, only one Kronos to assure proper staffing. The C/C officer left her post to officer was present. The other officer came in prior to take a break. This was not authorized by the supervisor and my leaving. These are both designated as critical corrective action is being taken on the officer. This is a violation of posts. Essential Item. policy and post orders and unacceptable. DATE/METHOD OF CONFIRMATION BY MONITOR/COMMENTS TDOC MANAGEMENT COMMENTS/NOTES Cure Verified: 5/30/08. Monitoring of this item indicated no further problems as of this 4/17/08 CMD note: Breach notification sent via e-mail date. Corrective Action Verified: 4/17, with hard copy to follow. 3/17/08 CMD note: 5/6/08: No further finding of Breach notification pending. noncompliance. Monitors Note: 3/31/08: CM will continue to monitor this item. Warden's response received 6/6/08: The facility agrees with the finding and both treatment plans are now completed. During the month of May, the Addictions Treatment Unit implemented a major procedural change in the method of assigning inmates to Corrective Action Checked twenty (20) files, two (2) did not have a counselors which simplified the completion and tracking of the Verified:8/5/08: I checked five (5) treatment plan. Both inmates entered the program on required documentation. Prior to this, from admission to 8d (1) files, in addition to the two (2) in 3/27/08. Policy requires that treatment plan be done completion, an inmate was assigned to four separate counselors noncompliance. No further within a thirty (30) day timeframe. and each counselor was required to compete a portion of the finding of noncompliance. program documentation which created much confusion. in addition to this change, the ATU Manager will continue to audit the files and monitor the tracking sheets that have been put into place to ensure all requirements are completed. 3h Warden's response received 6/24/08: The Warden concurs there was a failure to communicate within the proscribed timeframe. As the Use of Force occurred during the evening meal and the shift On 6/15/08, at 6:09 p.m., TOMIS incident #747923 supervisor was managing the chow hall process of feeding he chemical agents were used. Notification was not failed to call or have someone call in a timely manner. This has made to CD till 7:45 p.m. TDOC policy 506.07 been addressed and supervisors directed to use the assigned requires notification within one (1) hour of occurrence. Captain's cell phone if necessary immediately upon notification of a use of force. In some instances such as this one, they may need to make a preliminary notification then subsequently make a followup if needed after the meal ends. No Use of Force No Security and Control 12a (1) Redacted Security Equipment No Security and Control Counts 7a On 7/7/08, while monitoring count on H (ABC) unit, only one (1) officer conducted the count. Essential item. Warden's response received 7/8/08: The facility concurs with Contract Monitor's non-compliant finding. Policy and procedures are in place however, staff did not follow in this instance. All staff involved have been counseled and/or received disciplinary action to ensure future compliance. Instrument name and Item numbers for Liquidated Damages issues are in BOLD print 8/26/08 CMD note: As an ESSENTIAL instrument item, this is subject to notification of Breach of Contract. Due to the frequency of count-related issues, that notification is pending. WCFA SUMMARY OF NON-COMPLIANCE NOTIFICATIONS FOR JULY 2008 OUT- DATE OF STANDING REPORT ISSUE Y/N 7/14/08 7/30/08 7/30/08 No No No Monitoring Instrument Staffing Drug Testing & Substance Abuse Treatment Security and Control Counts ITEM NON-COMPLIANCE ISSUE NO. Page 2 CONTRACTOR RESPONSE/DATE/ CORRECTIVE ACTION TAKEN DATE/METHOD OF CONFIRMATION BY MONITOR/COMMENTS TDOC MANAGEMENT COMMENTS/NOTES Warden's response received 7/16/08: The Warden agrees that Whiteville Correctional Facility failed to comply with TDOC Policy 506.07.2, amendment 07-16. Please note that the required training had been scheduled however, not within the compliance date. Practices have been reviewed and scheduling procedures addressed to ensure that no future violation may occur. 14c Four (4) of the SORT members did not receive the required quarterly training for April, May, June 2008. 2e Warden's response received 8/1/08: The facility does not concur in this NC finding. AW Perry conducted a thorough investigation of the drug screen procedures as it pertains to incident #750932. His findings were that no procedures were compromised by C/O Jackson. All disciplinary and tests were completed by Mr. Jackson An inmate was charged with a disciplinary for a and properly turned in for processing and a disciplinary was positive drug screen, however, the disciplinary report initiated by Officer Jackson. While the investigation is on-going at was never processed by the disciplinary hearing this point it does appear that at some point between the initiation of the DR by the U/A officer and the disciplinary reaching the D-board officer, and no hearing was held. Essential Item. for hearing that it disappeared. The investigation into how the disciplinary disappeared and who is responsible is continuing, but the Drug testing policy in this case was conducted in accordance with the policy. We respectively ask that this NCR be removed as a result of the preliminary findings of this investigation. 8/26/08 CMD note: The issue of who was responsible for mishandling the disciplinary report is not at issue. The fact remains that an inmate with a positive drug test did not receive a disciplinary hearing. The non-compliance report is valid and will stand. As an ESSENTIAL instrument item, this is subject to notification of Breach of Contract. The determination of whether to issue such notification is pending. A follow-up response by the Warden, indicating the final results of the investigation, and corrective action, will be considered in making this decision. 4f Warden's response received 8/1/08: Prior to this NCR facility management had already taken steps to improve the count process. The Warden agrees that the count function is of highest priority and has personally reviewed count processes with the Assistant Warden and Chiefs, and the Unit Managers. The entire management team is focusing on count with monitoring of daily On 7/29/08, WCF was unable to clear the 10:30 a.m. counts being conducted by all management team staff to include count. This resulted in an emergency count being out counts, housing unit counts and the count room process. We done with it not clearing until 12:47 p.m. Essential are identifying where specific employees may have become lax in this process and will take corrective measures where appropriate item. and retraining where appropriate. No facility can expect that every employee, at every count will always be perfect, and some errors will occur in the best situations from time to time. While it is not disputed that errors were made in the referenced count; it is important to remember that the process did catch the error and the count was not cleared until rectified as is the ultimate goal. 8/26/08 CMD note: As an ESSENTIAL instrument item, this is subject to notification of Breach of Contract. The CMD was present for a discussion of this incident, which appears to have caused, in part, by an inexperienced staff member in the count room. The Associate Warden's explanation of the problem and corrective action plan is acceptable, and no Breach notification will be issued. Instrument name and Item numbers for Liquidated Damages issues are in BOLD print WCFA SUMMARY OF NON-COMPLIANCE NOTIFICATIONS FOR AUGUST 2008 OUT- DATE OF STANDING REPORT ISSUE Y/N 6/23/08 7/7/080 7/7/08 7/14/08 7/30/08 Monitoring Instrument ITEM NON-COMPLIANCE ISSUE NO. Warden's response received 6/24/08: The Warden concurs there was a failure to communicate within the proscribed timeframe. As the Use of Force occurred during the evening meal and the shift On 6/15/08, at 6:09 p.m., TOMIS incident #747923 supervisor was managing the chow hall process of feeding he chemical agents were used. Notification was not failed to call or have someone call in a timely manner. This has made to CD till 7:45 p.m. TDOC policy 506.07 been addressed and supervisors directed to use the assigned requires notification within one (1) hour of occurrence. Captain's cell phone if necessary immediately upon notification of a use of force. In some instances such as this one, they may need to make a preliminary notification then subsequently make a followup if needed after the meal ends. Yes Use of Force Yes Security and Control 12a (1) Redacted Security Equipment Yes Security and Control Counts Yes Yes Staffing Drug Testing & Substance Abuse Treatment 3h CONTRACTOR RESPONSE/DATE/ CORRECTIVE ACTION TAKEN On 7/7/08, while monitoring count on H (ABC) unit, only one (1) officer conducted the count. Essential item. Warden's response received 7/8/08: The facility concurs with Contract Monitor's non-compliant finding. Policy and procedures are in place however, staff did not follow in this instance. All staff involved have been counseled and/or received disciplinary action to ensure future compliance. 14c Four (4) of the SORT members did not receive the required quarterly training for April, May, June 2008. Warden's response received 7/16/08: The Warden agrees that Whiteville Correctional Facility failed to comply with TDOC Policy 506.07.2, amendment 07-16. Please note that the required training had been scheduled however, not within the compliance date. Practices have been reviewed and scheduling procedures addressed to ensure that no future violation may occur. 2e Warden's response received 8/1/08: The facility does not concur in this NC finding. AW Perry conducted a thorough investigation of the drug screen procedures as it pertains to incident #750932. His findings were that no procedures were compromised by C/O Jackson. All disciplinary and tests were completed by Mr. Jackson An inmate was charged with a disciplinary for a and properly turned in for processing and a disciplinary was positive drug screen, however, the disciplinary report initiated by Officer Jackson. While the investigation is on-going at was never processed by the disciplinary hearing this point it does appear that at some point between the initiation of the DR by the U/A officer and the disciplinary reaching the D-board officer, and no hearing was held. Essential Item. for hearing that it disappeared. The investigation into how the disciplinary disappeared and who is responsible is continuing, but the Drug testing policy in this case was conducted in accordance with the policy. We respectively ask that this NCR be removed as a result of the preliminary findings of this investigation. 7a Instrument name and Item numbers for Liquidated Damages issues are in BOLD print Page 1 DATE/METHOD OF CONFIRMATION BY MONITOR/COMMENTS TDOC MANAGEMENT COMMENTS/NOTES 9/9/08 CMD note: Breach notification issued 7/31/08. 7/21/08 CMD note. As an ESSENTIAL item, this item is subject to a Breach notification when found in non-compliance. This notification is pending. 9/9/08 CMD note: Breach notification issued 9/3/08. 8/26/08 CMD note: As an ESSENTIAL instrument item, this is subject to notification of Breach of Contract. Due to the frequency of count-related issues, that notification is pending. 8/26/08 CMD note: The issue of who was responsible for mishandling the disciplinary report is not at issue. The fact remains that an inmate with a positive drug test did not receive a disciplinary hearing. The noncompliance report is valid and will stand. As an ESSENTIAL instrument item, this is subject to notification of Breach of Contract. The determination of whether to issue such notification is pending. A followup response by the Warden, indicating the final results of the investigation, and corrective action, will be considered in making this decision. WCFA SUMMARY OF NON-COMPLIANCE NOTIFICATIONS FOR AUGUST 2008 OUT- DATE OF STANDING REPORT ISSUE Y/N 7/30/08 Yes Monitoring Instrument Security and Control Counts ITEM NON-COMPLIANCE ISSUE NO. 4f CONTRACTOR RESPONSE/DATE/ CORRECTIVE ACTION TAKEN Warden's response received 8/1/08: Prior to this NCR facility management had already taken steps to improve the count process. The Warden agrees that the count function is of highest priority and has personally reviewed count processes with the Assistant Warden and Chiefs, and the Unit Managers. The entire management team is focusing on count with monitoring of daily On 7/29/08, WCF was unable to clear the 10:30 a.m. counts being conducted by all management team staff to include count. This resulted in an emergency count being out counts, housing unit counts and the count room process. We done with it not clearing until 12:47 p.m. Essential are identifying where specific employees may have become lax in this process and will take corrective measures where appropriate item. and retraining where appropriate. No facility can expect that every employee, at every count will always be perfect, and some errors will occur in the best situations from time to time. While it is not disputed that errors were made in the referenced count; it is important to remember that the process did catch the error and the count was not cleared until rectified as is the ultimate goal. Instrument name and Item numbers for Liquidated Damages issues are in BOLD print Page 2 DATE/METHOD OF CONFIRMATION BY MONITOR/COMMENTS TDOC MANAGEMENT COMMENTS/NOTES 8/26/08 CMD note: As an ESSENTIAL instrument item, this is subject to notification of Breach of Contract. The CMD was present for a discussion of this incident, which appears to have caused, in part, by an inexperienced staff member in the count room. The Associate Warden's explanation of the problem and corrective action plan is acceptable, and no Breach notification will be issued. WCF SUMMARY OF NON-COMPLIANCE NOTIFICATIONS FOR SEPTEMBER 2008 OUT- DATE OF STANDING REPORT ISSUE Y/N 6/23/08 7/7/080 7/7/08 7/14/08 Monitoring Instrument ITEM NON-COMPLIANCE ISSUE NO. Use of Force Yes Security and Control 12a (1) Redacted Security Equipment Yes Security and Control Counts Staffing 7a 14c DATE/METHOD OF CONFIRMATION BY MONITOR/COMMENTS Warden's response received 6/24/08: The Warden concurs there was a failure to communicate within the proscribed timeframe. As the Use of Force occurred during the evening meal and the shift On 6/15/08, at 6:09 p.m., TOMIS incident #747923 supervisor was managing the chow hall process of feeding he Corrective Action Verified: chemical agents were used. Notification was not failed to call or have someone call in a timely manner. This has 9/28/08. No further finding of made to CD till 7:45 p.m. TDOC policy 506.07 been addressed and supervisors directed to use the assigned noncompliance. requires notification within one (1) hour of occurrence. Captain's cell phone if necessary immediately upon notification of a use of force. In some instances such as this one, they may need to make a preliminary notification then subsequently make a followup if needed after the meal ends. Yes Yes 3h CONTRACTOR RESPONSE/DATE/ CORRECTIVE ACTION TAKEN Page 1 On 7/7/08, while monitoring count on H (ABC) unit, only one (1) officer conducted the count. Essential item. Warden's response received 7/8/08: The facility concurs with Contract Monitor's non-compliant finding. Policy and procedures are in place however, staff did not follow in this instance. All staff involved have been counseled and/or received disciplinary action to ensure future compliance. Four (4) of the SORT members did not receive the required quarterly training for April, May, June 2008. Warden's response received 7/16/08: The Warden agrees that Whiteville Correctional Facility failed to comply with TDOC Policy 506.07.2, amendment 07-16. Please note that the required training had been scheduled however, not within the compliance date. Practices have been reviewed and scheduling procedures addressed to ensure that no future violation may occur. Instrument name and Item numbers for Liquidated Damages issues are in BOLD print Corrective Action Verified: 9/28/08. No further finding of noncompliance. TDOC MANAGEMENT COMMENTS/NOTES 9/9/08 CMD note: Breach notification issued 7/31/08. 7/21/08 CMD note. As an ESSENTIAL item, this item is subject to a Breach notification when found in noncompliance. This notification is pending. 9/9/08 CMD note: Breach notification issued 9/3/08. 8/26/08 CMD note: As an ESSENTIAL instrument item, this is subject to notification of Breach of Contract. Due to the frequency of count-related issues, that notification is pending. WCF SUMMARY OF NON-COMPLIANCE NOTIFICATIONS FOR SEPTEMBER 2008 OUT- DATE OF STANDING REPORT ISSUE Y/N 7/30/08 7/30/08 Yes Yes Monitoring Instrument Drug Testing & Substance Abuse Treatment Security and Control Counts ITEM NON-COMPLIANCE ISSUE NO. CONTRACTOR RESPONSE/DATE/ CORRECTIVE ACTION TAKEN Page 2 DATE/METHOD OF CONFIRMATION BY MONITOR/COMMENTS TDOC MANAGEMENT COMMENTS/NOTES 2e On 7/7/08, i/c #750932, inmate Burl #315577 and Collins #393206 were charged with positive drug screen. Inmate Collins was processed correctly. Inmate Burl's disciplinary report was never received by disciplinary chairperson. No hearing was held. Warden's response received 8/1/08: The facility does not concur in this NC finding. AW Perry conducted a thorough investigation of the drug screen procedures as it pertains to incident #750932. His findings were that no procedures were compromised by C/O Jackson. All disciplinary and tests were completed by Mr. Jackson and properly turned in for processing and a disciplinary was initiated by Officer Jackson. While the investigation is on-going at this point it does appear that at some point between the initiation of the DR by the U/A officer and the disciplinary reaching the D-board for hearing that it disappeared. The investigation into how the disciplinary disappeared and who is responsible is continuing, but the Drug testing policy in this case was conducted in accordance with the policy. We respectively ask that this NCR be removed as a result of the preliminary findings of this investigation. F/U investigation : 9/17/08. WCF has made procedural changes to enhance the disciplinary process and ensure accountability and the integrity of the process. Also some staffing changes have been 8/26/08 CMD note: The issue of who was responsible for mishandling the disciplinary report is not at issue. The fact remains that an inmate with a positive drug test did not receive a disciplinary hearing. The noncompliance report is valid and will stand. As an ESSENTIAL instrument item, this is subject to notification of Breach of Contract. The determination of whether to issue such notification is pending. A followup response by the Warden, indicating the final results of the investigation, and corrective action, will be considered in making this decision. 4f Warden's response received 8/1/08: Prior to this NCR facility management had already taken steps to improve the count process. The Warden agrees that the count function is of highest priority and has personally reviewed count processes with the Assistant Warden and Chiefs, and the Unit Managers. The entire management team is focusing on count with monitoring of daily On 7/29/08, WCF was unable to clear the 10:30 a.m. counts being conducted by all management team staff to include count. This resulted in an emergency count being out counts, housing unit counts and the count room process. We done with it not clearing until 12:47 p.m. Essential are identifying where specific employees may have become lax in this process and will take corrective measures where appropriate item. and retraining where appropriate. No facility can expect that every employee, at every count will always be perfect, and some errors will occur in the best situations from time to time. While it is not disputed that errors were made in the referenced count; it is important to remember that the process did catch the error and the count was not cleared until rectified as is the ultimate goal. 8/26/08 CMD note: As an ESSENTIAL instrument item, this is subject to notification of Breach of Contract. The CMD was present for a discussion of this incident, which appears to have caused, in part, by an inexperienced staff member in the count room. The Associate Warden's explanation of the problem and corrective action plan is acceptable, and no Breach notification will be issued. Instrument name and Item numbers for Liquidated Damages issues are in BOLD print WCF SUMMARY OF NON-COMPLIANCE NOTIFICATIONS FOR SEPTEMBER 2008 OUT- DATE OF STANDING REPORT ISSUE Y/N 9/2/08 9/2/08 9/2/08 No No No Monitoring Instrument Security Management Inmates Special Management Inmates Use of Force ITEM NON-COMPLIANCE ISSUE NO. 3d CONTRACTOR RESPONSE/DATE/ CORRECTIVE ACTION TAKEN Warden's response received 9/4/08: On 8/27/08, inmate Barnhill's #433067 punitive segregation status (RCA) was exhausted. He refused a new housing assignment. The steps to properly reInmate Barnhill #433067 was scheduled to finish his segregate him were not taken by the segregation staff, therefore punitive time at 1:30 p.m. on 8/27/08. He was not the CD was not notified by the SS on duty. Employees were found released from segregation, nor was he placed on to be negligent and are being held accountable. On 9/1/08, at 1:25 pending status. Approval was not obtained from CD p.m. inmate Piercy #363223 completed his pending hearing status for him to remain in segregation. He was also not and was being released to K unit. He refused to go to K unit. He issued a disciplinary. was placed back into a cell for holding and the Captain was Inmate William Piercy #363223 was scheduled to be notified. He contacted the CD and received authorization to rereleased from segregation at 1:25 p.m. on 9/1/08. segregate him on RCA. He remained in segregation with no active According to LIMC, he did not leave till 8:50 p.m. CM LIBD initiated. 2nd shift captain released the inmate due to his checked the segregation logbook and it reflected he LIBD had expired. Due to the failure to communicate between 1st did to leave till 2100. This was in excess of seven (7) & 2nd shifts, the captain was not aware of a disc. pending for RCA. hours past his scheduled release time. I/M agreed to go to population with another unit assignment and was released. At no point, was the inmate held without CD authorization but with better communication he could have been released to pop. earlier. NIN On 8/26/08, CM requested to view PELCO camera system to ensure the administrative segregation inmates were being allowed recreation. The inmates received their recreation. However in the course of viewing PELCO, the following was observed: I/M Scales #368349 (medium custody) had been brought in the seg. unit for pending board status. He had not been placed in his cell, when i/m McGee #298224, (administrative segregation custody) inmate was escorted from the shower to segregation cell 107 by one (1) officer. NIN Warden's response received 9/4/08: The MK-9 fogger in question was issued to a captain. The captain turned the MK-9 into Central On 8/26/08, the issuance log, in central control, Control at 4:30 p.m. Second shift staff did not properly record the showed a MK-9 being issued @ 8:30 a.m., the MK-9 fogger being turned in. Third shift captain failed to follow proper was in the cabinet, however the issuance log did not procedures during her third shift equipment check. Proper training show it had been returned. with second shift staff was completed by ACOS. A letter of concern was issued to 3rd shift captain. Warden's response received 9/4/08: On 8/26/08, staff failed to follow procedure in escorting i/m McGee #298224. Staff have been properly trained with specialized segregation training. Seg. Supervisor was present but failed to monitor staff. All staff concerned will receive personnel actions for this failure to comply with procedures. Instrument name and Item numbers for Liquidated Damages issues are in BOLD print Page 3 DATE/METHOD OF CONFIRMATION BY MONITOR/COMMENTS TDOC MANAGEMENT COMMENTS/NOTES WCF SUMMARY OF NON-COMPLIANCE NOTIFICATIONS FOR SEPTEMBER 2008 OUT- DATE OF STANDING REPORT ISSUE Y/N 9/9/08 No Monitoring Instrument Security and control Counts ITEM NON-COMPLIANCE ISSUE NO. 4f CONTRACTOR RESPONSE/DATE/ CORRECTIVE ACTION TAKEN Warden's response received 9/15/08: It was determined that the 2 referenced inmates did in fact leave the property/intake area and On 9-8-08, WCF was unable to clear the 4:30 p.m. went back to the units/cells they had been assigned to before they count. An emergency count was done at 6:00 p.m. went to court. The property room supervisor admits she was busy with it clearing at 6:30 p.m. Inmate George E. Harris and forgot to contact the count room and the CR officer that the #366524 and Mark D. Cole 3156495 was returned by two inmates had returned. As a result of this incident, the facility Gibson count sheriff's department at 12:47 p.m. has implemented another step to ensure there is not a according to the sally port logbook. Both inmates reoccurrence. Upon the arrival of any inmate(s) to the vehicle gate, were returned to the housing unit without the count the vehicle gate officer will notify the count room and the shift room being notified. Essential Item. supervisor in addition to the property room staff making the second notification. Instrument name and Item numbers for Liquidated Damages issues are in BOLD print Page 4 DATE/METHOD OF CONFIRMATION BY MONITOR/COMMENTS TDOC MANAGEMENT COMMENTS/NOTES 11/10/08 CMD note: Letter of Concern e-mailed. 10/31/08 CMD note: This is an essential item. The same item was found in non-compliance in the previous monitoring period. A notification of Breach was considered, however, since the problem was not in the count room, and the problem was discovered and corrected, as stated by the Warden, a Breach notification is being withheld. A notice of concern will be issued concerning count issues. WCFA SUMMARY OF NON-COMPLIANCE NOTIFICATIONS FOR OCTOBER 2008 OUT- DATE OF STANDING REPORT ISSUE Y/N 7/14/08 7/30/08 7/30/08 Yes Yes Yes Monitoring Instrument Staffing Drug Testing & Substance Abuse Treatment Security and Control Counts ITEM NON-COMPLIANCE ISSUE NO. Page 1 CONTRACTOR RESPONSE/DATE/ CORRECTIVE ACTION TAKEN DATE/METHOD OF CONFIRMATION BY MONITOR/COMMENTS Warden's response received 7/16/08: The Warden agrees that Whiteville Correctional Facility failed to comply with TDOC Policy 506.07.2, amendment 07-16. Please note that the required training had been scheduled however, not within the compliance date. Practices have been reviewed and scheduling procedures addressed to ensure that no future violation may occur. Corrective Action Verified: 11/12/08: All members received quarterly training for Jul. Aug. Sept. 08. 14c Four (4) of the SORT members did not receive the required quarterly training for April, May, June 2008. 2e Warden's response received 8/1/08: The facility does not concur in this NC finding. AW conducted a thorough investigation of the drug screen procedures as it pertains to incident #750932. His findings were that no procedures were compromised by the C/O. All disciplinary and tests were completed by the C/O and properly turned in for processing and a disciplinary was initiated by the Officer. While the investigation is on-going at this point it does On 7/7/08, i/c #750932, 2 inmates were charged with appear that at some point between the initiation of the DR by the On 11/12/08 a NCR was issued positive drug screen. One was processed correctly. U/A officer and the disciplinary reaching the D-board for hearing for a reoccurrence of similar The other disciplinary report was never received by that it disappeared. The investigation into how the disciplinary issue. disciplinary chairperson. No hearing was held. disappeared and who is responsible is continuing, but the Drug testing policy in this case was conducted in accordance with the policy. We respectively ask that this NCR be removed as a result of the preliminary findings of this investigation. F/U investigation : 9/17/08. WCF has made procedural changes to enhance the disciplinary process and ensure accountability and the integrity of the process. Also some staffing changes have been made. 4f On 7/29/08, WCFA was unable to clear the 10:30 a.m. count. This resulted in an emergency count being done with it not clearing until 12:47 p.m. Essential item. Warden's response received 8/1/08: Prior to this NCR facility management had already taken steps to improve the count process. The Warden agrees that the count function is of highest priority and has personally reviewed count processes with the Assistant Warden and Chiefs, and the Unit Managers. The entire management team is focusing on count with monitoring of daily counts being conducted by all management team staff to include Per letter of concern dated out counts, housing unit counts and the count room process. We November 10, 2008, CM will are identifying where specific employees may have become lax in continue to monitor this item. this process and will take corrective measures where appropriate and retraining where appropriate. No facility can expect that every employee, at every count will always be perfect, and some errors will occur in the best situations from time to time. While it is not disputed that errors were made in the referenced count; it is important to remember that the process did catch the error and the count was not cleared until rectified as is the ultimate goal. Instrument name and Item numbers for Liquidated Damages issues are in BOLD print TDOC MANAGEMENT COMMENTS/NOTES 8/26/08 CMD note: The issue of who was responsible for mishandling the disciplinary report is not at issue. The fact remains that an inmate with a positive drug test did not receive a disciplinary hearing. The noncompliance report is valid and will stand. As an ESSENTIAL instrument item, this is subject to notification of Breach of Contract. The determination of whether to issue such notification is pending. A followup response by the Warden, indicating the final results of the investigation, and corrective action, will be considered in making this decision. 8/26/08 CMD note: As an ESSENTIAL instrument item, this is subject to notification of Breach of Contract. The CMD was present for a discussion of this incident, which appears to have caused, in part, by an inexperienced staff member in the count room. The Associate Warden's explanation of the problem and corrective action plan is acceptable, and no Breach notification will be issued. WCFA SUMMARY OF NON-COMPLIANCE NOTIFICATIONS FOR OCTOBER 2008 OUT- DATE OF STANDING REPORT ISSUE Y/N 9/2/08 9/2/08 9/2/08 Yes Yes Yes Monitoring Instrument Security Management Inmates Special Management Inmates Use of Force ITEM NON-COMPLIANCE ISSUE NO. 3d CONTRACTOR RESPONSE/DATE/ CORRECTIVE ACTION TAKEN Page 2 DATE/METHOD OF CONFIRMATION BY MONITOR/COMMENTS Warden's response received 9/4/08: On 8/27/08, the first inmate's punitive segregation status (RCA) was exhausted. He refused a new housing assignment. The steps to properly re-segregate him An inmate was scheduled to finish his punitive time at were not taken by the segregation staff, therefore the CD was not 1:30 p.m. on 8/27/08. He was not released from notified by the SS on duty. Employees were found to be negligent segregation, nor was he placed on pending status. and are being held accountable. On 9/1/08, at 1:25 p.m. the other Approval was not obtained from CD for him to remain inmate completed his pending hearing status and was being in segregation. He was also not issued a disciplinary. released to K unit. He refused to go to K unit. He was placed back Corrective Action Verified: Another inmate was scheduled to be released from into a cell for holding and the Captain was notified. He contacted 11/12/08 No further finding of nonsegregation at 1:25 p.m. on 9/1/08. According to the CD and received authorization to re-segregate him on RCA. He compliance. LIMC, he did not leave till 8:50 p.m. CM checked the remained in segregation with no active LIBD initiated. 2nd shift segregation logbook and it reflected he did to leave till captain released the inmate due to his LIBD had expired. Due to 2100. This was in excess of seven (7) hours past his the failure to communicate between 1st & 2nd shifts, the captain was not aware of a disc. pending for RCA. I/M agreed to go to scheduled release time. population with another unit assignment and was released. At no point, was the inmate held without CD authorization but with better communication he could have been released to pop. earlier. NIN On 8/26/08, CM requested to view PELCO camera system to ensure the administrative segregation inmates were being allowed recreation. The inmates received their recreation. However in the course of viewing PELCO, the following was observed: an inmate (medium custody) had been brought in the seg. unit for pending board status. He had not been placed in his cell, when i/m another inmate (administrative segregation custody) inmate was escorted from the shower to segregation cell 107 by one (1) officer. NIN Warden's response received 9/4/08: The MK-9 fogger in question was issued to a captain. The captain turned the MK-9 into Central On 8/26/08, the issuance log, in central control, Control at 4:30 p.m. Second shift staff did not properly record the Corrective Action Verified: showed a MK-9 being issued @ 8:30 a.m., the MK-9 fogger being turned in. Third shift captain failed to follow proper 11/12/08 No further finding of nonwas in the cabinet, however the issuance log did not procedures during her third shift equipment check. Proper training compliance. show it had been returned. with second shift staff was completed by ACOS. A letter of concern was issued to 3rd shift captain. Warden's response received 9/4/08: On 8/26/08, staff failed to follow procedure in escorting the A/S inmate. Staff have been properly trained with specialized segregation training. Seg. Supervisor was present but failed to monitor staff. All staff concerned will receive personnel actions for this failure to comply with procedures. Instrument name and Item numbers for Liquidated Damages issues are in BOLD print Corrective Action Verified: 11/12/08 No further finding of noncompliance. TDOC MANAGEMENT COMMENTS/NOTES WCFA SUMMARY OF NON-COMPLIANCE NOTIFICATIONS FOR OCTOBER 2008 OUT- DATE OF STANDING REPORT ISSUE Y/N 9/9/08 Yes 10/15/08 10/16/08 No No Monitoring Instrument Security and control Counts Inmate Identification Disciplinary Procedures ITEM NON-COMPLIANCE ISSUE NO. 4f 1 &2 4d On 9-8-08, WCFA was unable to clear the 4:30 p.m. count. An emergency count was done at 6:00 p.m. with it clearing at 6:30 p.m. 2 inmates were returned by Gibson count sheriff's department at 12:47 p.m. according to the sally port logbook. Both inmates were returned to the housing unit without the count room being notified. Essential Item. CONTRACTOR RESPONSE/DATE/ CORRECTIVE ACTION TAKEN DATE/METHOD OF CONFIRMATION BY MONITOR/COMMENTS Warden's response received 9/15/08: It was determined that the 2 referenced inmates did in fact leave the property/intake area and went back to the units/cells they had been assigned to before they went to court. The property room supervisor admits she was busy and forgot to contact the count room and the CR officer that the Per letter of concern dated two inmates had returned. As a result of this incident, the facility November 10, 2008, CM will has implemented another step to ensure there is not a continue to monitor this item. reoccurrence. Upon the arrival of any inmate(s) to the vehicle gate, the vehicle gate officer will notify the count room and the shift supervisor in addition to the property room staff making the second notification. Warden's response received 10/20/08: WCFA concurs. An immediate plan of action has been completed. The STG Of the twenty-five (25) annual reclassification that coordinator will verify that all inmates on the annual reclass list indicated a new photograph was needed, nine (9) had dated back to January have received an updated photo. STG not been updated. Eighteen (18) did not have the coordinator will print these out to be placed in the IIR. The updated photographs placed in the Volume I and II of classification supervisor will continue to send out the spreadsheet the inmate record. to the STG coordinator and records supervisor. The records supervisor will be responsible to ensure a tickler file has been established to monitor those inmates in need of updated photo. An inmate was placed in segregation on 10/14/08 pending disciplinary hearing; however he was not issued a disciplinary report according to LIBL. Another inmate was placed back in segregation on 10/13/08 pending disciplinary hearing; however he was not issued a disciplinary report according to LIBL. Page 3 Warden's response received 10/20/08: WCFA concurs. The final check of these packets is with the shift supervisors, there are step by step instructions attached to each packet. Staff responsible will be held accountable. Chief Scott and ACOS Rice will monitor this process for the next few weeks to help train staff. Instrument name and Item numbers for Liquidated Damages issues are in BOLD print TDOC MANAGEMENT COMMENTS/NOTES 11/10/08 CMD note: Letter of Concern e-mailed. 10/31/08 CMD note: This is an essential item. The same item was found in non-compliance in the previous monitoring period. A notification of Breach was considered, however, since the problem was not in the count room, and the problem was discovered and corrected, as stated by the Warden, a Breach notification is being withheld. A notice of concern will be issued concerning count issues. WCFA SUMMARY OF NON-COMPLIANCE NOTIFICATIONS FOR NOVEMBER 2008 OUT- DATE OF STANDING REPORT ISSUE Y/N 7/30/08 7/30/08 Yes Yes Monitoring Instrument Drug Testing & Substance Abuse Treatment Security and Control Counts ITEM NON-COMPLIANCE ISSUE NO. 2e 4f CONTRACTOR RESPONSE/DATE/ CORRECTIVE ACTION TAKEN Page 1 DATE/METHOD OF CONFIRMATION BY MONITOR/COMMENTS Warden's response received 8/1/08: The facility does not concur in this NC finding. AW conducted a thorough investigation of the drug screen procedures as it pertains to incident #750932. His findings were that no procedures were compromised by the C/O. All disciplinary and tests were completed by the C/O and properly turned in for processing and a disciplinary was initiated by the On 7/7/08, i/c #750932, two inmates were charged Officer. While the investigation is on-going at this point it does with positive drug screen. One was processed appear that at some point between the initiation of the DR by the On 11/12/08 a NCR was issued correctly. The other disciplinary report was never U/A officer and the disciplinary reaching the D-board for hearing for a reoccurrence of similar received by disciplinary chairperson. No hearing was that it disappeared. The investigation into how the disciplinary issue. held. disappeared and who is responsible is continuing, but the Drug testing policy in this case was conducted in accordance with the policy. We respectively ask that this NCR be removed as a result of the preliminary findings of this investigation. F/U investigation : 9/17/08. WCF has made procedural changes to enhance the disciplinary process and ensure accountability and the integrity of the process. Also some staffing changes have been made. On 7/29/08, WCFA was unable to clear the 10:30 a.m. count. This resulted in an emergency count being done with it not clearing until 12:47 p.m. Essential item. Warden's response received 8/1/08: Prior to this NCR facility management had already taken steps to improve the count process. The Warden agrees that the count function is of highest priority and has personally reviewed count processes with the Assistant Warden and Chiefs, and the Unit Managers. The entire management team is focusing on count with monitoring of daily counts being conducted by all management team staff to include Per letter of concern dated out counts, housing unit counts and the count room process. We November 10, 2008, CM will are identifying where specific employees may have become lax in continue to monitor this item. this process and will take corrective measures where appropriate and retraining where appropriate. No facility can expect that every employee, at every count will always be perfect, and some errors will occur in the best situations from time to time. While it is not disputed that errors were made in the referenced count; it is important to remember that the process did catch the error and the count was not cleared until rectified as is the ultimate goal. Instrument name and Item numbers for Liquidated Damages issues are in BOLD print TDOC MANAGEMENT COMMENTS/NOTES 8/26/08 CMD note: The issue of who was responsible for mishandling the disciplinary report is not at issue. The fact remains that an inmate with a positive drug test did not receive a disciplinary hearing. The noncompliance report is valid and will stand. As an ESSENTIAL instrument item, this is subject to notification of Breach of Contract. The determination of whether to issue such notification is pending. A followup response by the Warden, indicating the final results of the investigation, and corrective action, will be considered in making this decision. 8/26/08 CMD note: As an ESSENTIAL instrument item, this is subject to notification of Breach of Contract. The CMD was present for a discussion of this incident, which appears to have caused, in part, by an inexperienced staff member in the count room. The Associate Warden's explanation of the problem and corrective action plan is acceptable, and no Breach notification will be issued. WCFA SUMMARY OF NON-COMPLIANCE NOTIFICATIONS FOR NOVEMBER 2008 OUT- DATE OF STANDING REPORT ISSUE Y/N 9/2/08 Yes 9/9/08 Yes 10/15/08 10/16/08 Yes Yes Monitoring Instrument Special Management Inmates Security and control Counts Inmate Identification Disciplinary Procedures ITEM NON-COMPLIANCE ISSUE NO. NIN 4f 1 &2 4d On 8/26/08, CM requested to view PELCO camera system to ensure the administrative segregation inmates were being allowed recreation. The inmates received their recreation. However in the course of viewing PELCO, the following was observed: an inmate (medium custody) had been brought in the seg. unit for pending board status. He had not been placed in his cell, when i/m another inmate (administrative segregation custody) inmate was escorted from the shower to segregation cell 107 by one (1) officer. Page 2 CONTRACTOR RESPONSE/DATE/ CORRECTIVE ACTION TAKEN DATE/METHOD OF CONFIRMATION BY MONITOR/COMMENTS Warden's response received 9/4/08: On 8/26/08, staff failed to follow procedure in escorting the A/S inmate. Staff have been properly trained with specialized segregation training. Seg. Supervisor was present but failed to monitor staff. All staff concerned will receive personnel actions for this failure to comply with procedures. On NCR's dated 12/2/08 and 12/4/08, similar incidents occurred regarding maximum security inmates. Warden's response received 9/15/08: It was determined that the 2 referenced inmates did in fact leave the property/intake area and On 9-8-08, WCFA was unable to clear the 4:30 p.m. went back to the units/cells they had been assigned to before they count. An emergency count was done at 6:00 p.m. went to court. The property room supervisor admits she was busy with it clearing at 6:30 p.m. twp inmates were and forgot to contact the count room and the CR officer that the Per letter of concern dated returned by Gibson count sheriff's department at two inmates had returned. As a result of this incident, the facility November 10, 2008, CM will 12:47 p.m. according to the sally port logbook. Both has implemented another step to ensure there is not a continue to monitor this item. inmates were returned to the housing unit without the reoccurrence. Upon the arrival of any inmate(s) to the vehicle gate, the vehicle gate officer will notify the count room and the shift count room being notified. Essential Item. supervisor in addition to the property room staff making the second notification. Warden's response received 10/20/08: WCFA concurs. An immediate plan of action has been completed. The STG Of the twenty-five (25) annual reclassification that coordinator will verify that all inmates on the annual reclass list indicated a new photograph was needed, nine (9) had dated back to January have received an updated photo. STG not been updated. Eighteen (18) did not have the coordinator will print these out to be placed in the IIR. The updated photographs placed in the Volume I and II of classification supervisor will continue to send out the spreadsheet to the STG coordinator and records supervisor. The records the inmate record. Essential item. supervisor will be responsible to ensure a tickler file has been established to monitor those inmates in need of updated photo. An inmate was placed in segregation on 10/14/08 pending disciplinary hearing; however he was not issued a disciplinary report according to LIBL. Another inmate was placed back in segregation on 10/13/08 pending disciplinary hearing; however he was not issued a disciplinary report according to LIBL. Essential item. 11/10/08 CMD note: Letter of Concern e-mailed. 10/31/08 CMD note: This is an essential item. The same item was found in non-compliance in the previous monitoring period. A notification of Breach was considered, however, since the problem was not in the count room, and the problem was discovered and corrected, as stated by the Warden, a Breach notification is being withheld. A notice of concern will be issued concerning count issues. 12/29/08 CMD note: This is an essential instrument item, and could therefore be subject to a Breach Corrective Action Verified: notification. The CM, however, indicates that the 12/15/08: All missing photographs problem has been corrected by the facility. No have been done and placed in the Breach notification will be issued at this time, IIR. however, any subsequent non-compliance may result in such action. Warden's response received 10/20/08: WCFA concurs. The final check of these packets is with the shift supervisors, there are step Corrective Action Verified: by step instructions attached to each packet. Staff responsible will 12/4/08: No further finding of nonbe held accountable. Chief Scott and ACOS Rice will monitor this compliance. process for the next few weeks to help train staff. Instrument name and Item numbers for Liquidated Damages issues are in BOLD print TDOC MANAGEMENT COMMENTS/NOTES 12/29/08 CMD note: This is an essential instrument item, and could therefore be subject to a Breach notification. The CM, however, indicates that the problem has been corrected by the facility. No Breach notification will be issued at this time, however, any subsequent non-compliance may result in such action. WCFA SUMMARY OF NON-COMPLIANCE NOTIFICATIONS FOR NOVEMBER 2008 OUT- DATE OF STANDING REPORT ISSUE Y/N 11/6/08 No 11/12/08 12/2/08 12/4/08 No No No Monitoring Instrument PREA Drug Testing and Substance Abuse Treatment Special Management Inmates Special Management Inmates Page 3 CONTRACTOR RESPONSE/DATE/ CORRECTIVE ACTION TAKEN DATE/METHOD OF CONFIRMATION BY MONITOR/COMMENTS Four (4) of twenty (20) checked did not have the predictor scales showing they were screened for PREA. Warden's response received 11/10/08: Case managers are to evaluate their caseloads and identify those inmates who arrived to WCFA before 2006. They will then look in the IIR to ensure a predictor scale is there. If not, they will complete a PREA assessment to include the contact note and paperwork. It will then be forwarded to records to be filed in the IIR. Corrective Action Verified: 12/15/08: All inmates have been identified that have been at WCFA prior to 2006. All inmates had a predictor scale or it have been done and placed in the IIR. On 10/17/08, TOMIS incident #765290, an inmate was charged with positive drug screen. The inmate was never served the disciplinary, therefore no hearing was held. Essential item. Warden's response received 11/25/08: Drug testing officer completed the disciplinary and took it to the count room to be logged and entered. Once entered on TOMIS, the DR was logged on the tracking sheet to be served. The person who picked up the disciplinary did not sign for it and we were unable to confirm who may have taken it. To prevent future occurrences, we have changed steps #7and #9 of our procedures. #7. The DR will be assigned to a staff member to be served. #9. Shift Supervisor will check the DR log to be sure that'll all disciplinaries have been served and properly logged. 12/29/08 CMD note: This essential item was also found in non-compliance on 7/30/08. A Breach notification is pending. 4f On 11/26/08, TOMIS incident #771014, a maximum security inmate was allowed out of his cell unrestrained. He then assaulted another inmate (medium custody), who was a worker in the segregation unit. Essential item. Warden's response received 12/03/08: Warden agrees that the event occurred as described. The individual employee violated policy, post orders and training in opening the door of a maximum custody inmate without a second employee and without first securing the inmate with restraints. WCFA had earlier this year completed a specialized training program conducted for staff assigned to segregation and the employee involved in this incident had completed this training. The employee responsible has been terminated. 12/29/08 CMD note: This essential item was also found in non-compliance subsequently on 12/4/08. A Breach notification is pending for both items. 1b Warden's response received 12/10/08: The failure in this instance to immediately contact the A/C was a result of communications to the designated ADO or to the Warden not being made when the medical determination at the hospital was known. At the time of the incident, the injuries were not believed to be serious. The TOMIS incident #771899 was a Class A incident and employee was adamant that he did not want outside medical no one at the facility notified the Assistant treatment. He was directed to go the ER as a precautionary Commissioner or the Commissioner's Designee of the measure due to the possibility of eye damage. When the injuries employee's injuries. Essential item. were found to be more serious, neither the Warden or ADO were updated. Central office staff had already contacted the C/M due to the TOMIS entry. As a result a directive had been put out to all supervisors and all ADO's specifying responsibilities of contacting the A/C whenever a Class A incident occurs. The directive was provided to C/M. ITEM NON-COMPLIANCE ISSUE NO. 1 2e Instrument name and Item numbers for Liquidated Damages issues are in BOLD print TDOC MANAGEMENT COMMENTS/NOTES 12/29/08 CMD note: A Breach notification is being withheld at this time, due to the apparent unusual circumstances of this incident, however, such notification may result from any future noncompliance. WCFA SUMMARY OF NON-COMPLIANCE NOTIFICATIONS FOR NOVEMBER 2008 OUT- DATE OF STANDING REPORT ISSUE Y/N 12/4/08 No Monitoring Instrument Special Management Inmates ITEM NON-COMPLIANCE ISSUE NO. 4f On 12/3/08, a maximum custody inmate came out of his handcuffs and assaulted two (2) staff members, one (1) which had a serious injury. Upon review of PELCO camera system the following was observed: Other inmates were in the pod while he was being escorted from the shower; no leg restraints; at no time did either escorting officer have a hold on the handcuffs; one of the escorting officers walked away from the inmate prior to him being placed in the cell. Essential item. CONTRACTOR RESPONSE/DATE/ CORRECTIVE ACTION TAKEN Warden's response received 12/10/08: Warden concurs that the staff assigned to segregation on this occasion were negligent in the movement of a maximum custody inmate and failed to follow established policy and post orders regarding leg restraints. As a result of this incident and a previous incident, I have directed a Shift Supervisor be assigned to segregation indefinitely, but not less than the remainder of this year to supervise and mentor staff assigned to segregation and ensure compliance with procedures in place for that post. Instrument name and Item numbers for Liquidated Damages issues are in BOLD print Page 4 DATE/METHOD OF CONFIRMATION BY MONITOR/COMMENTS TDOC MANAGEMENT COMMENTS/NOTES 12/29/08 CMD note: This essential item was also found in non-compliance previously on 12/2/08. A Breach notification is pending for both items. WCFA SUMMARY OF NON-COMPLIANCE NOTIFICATIONS FOR DECEMBER 2008 OUT- DATE OF STANDING REPORT ISSUE Y/N 7/30/08 7/30/08 Yes Yes Monitoring Instrument Drug Testing & Substance Abuse Treatment Security and Control Counts ITEM NON-COMPLIANCE ISSUE NO. 2e 4f CONTRACTOR RESPONSE/DATE/ CORRECTIVE ACTION TAKEN Page 1 DATE/METHOD OF CONFIRMATION BY MONITOR/COMMENTS Warden's response received 8/1/08: The facility does not concur in this NC finding. AW conducted a thorough investigation of the drug screen procedures as it pertains to incident #750932. His findings were that no procedures were compromised by the C/O. All disciplinary and tests were completed by the C/O and properly turned in for processing and a disciplinary was initiated by the On 7/7/08, i/c #750932, two inmates were charged Officer. While the investigation is on-going at this point it does with positive drug screen. One was processed appear that at some point between the initiation of the DR by the On 11/12/08 a NCR was issued correctly. The other disciplinary report was never U/A officer and the disciplinary reaching the D-board for hearing for a reoccurrence of similar received by disciplinary chairperson. No hearing was that it disappeared. The investigation into how the disciplinary issue. held. disappeared and who is responsible is continuing, but the Drug testing policy in this case was conducted in accordance with the policy. We respectively ask that this NCR be removed as a result of the preliminary findings of this investigation. F/U investigation : 9/17/08. WCF has made procedural changes to enhance the disciplinary process and ensure accountability and the integrity of the process. Also some staffing changes have been made. On 7/29/08, WCFA was unable to clear the 10:30 a.m. count. This resulted in an emergency count being done with it not clearing until 12:47 p.m. Essential item. Warden's response received 8/1/08: Prior to this NCR facility management had already taken steps to improve the count process. The Warden agrees that the count function is of highest priority and has personally reviewed count processes with the Assistant Warden and Chiefs, and the Unit Managers. The entire management team is focusing on count with monitoring of daily counts being conducted by all management team staff to include Per letter of concern dated out counts, housing unit counts and the count room process. We November 10, 2008, CM will are identifying where specific employees may have become lax in continue to monitor this item. this process and will take corrective measures where appropriate and retraining where appropriate. No facility can expect that every employee, at every count will always be perfect, and some errors will occur in the best situations from time to time. While it is not disputed that errors were made in the referenced count; it is important to remember that the process did catch the error and the count was not cleared until rectified as is the ultimate goal. Instrument name and Item numbers for Liquidated Damages issues are in BOLD print TDOC MANAGEMENT COMMENTS/NOTES 8/26/08 CMD note: The issue of who was responsible for mishandling the disciplinary report is not at issue. The fact remains that an inmate with a positive drug test did not receive a disciplinary hearing. The noncompliance report is valid and will stand. As an ESSENTIAL instrument item, this is subject to notification of Breach of Contract. The determination of whether to issue such notification is pending. A followup response by the Warden, indicating the final results of the investigation, and corrective action, will be considered in making this decision. 8/26/08 CMD note: As an ESSENTIAL instrument item, this is subject to notification of Breach of Contract. The CMD was present for a discussion of this incident, which appears to have caused, in part, by an inexperienced staff member in the count room. The Associate Warden's explanation of the problem and corrective action plan is acceptable, and no Breach notification will be issued. WCFA SUMMARY OF NON-COMPLIANCE NOTIFICATIONS FOR DECEMBER 2008 OUT- DATE OF STANDING REPORT ISSUE Y/N 9/2/08 Yes 9/9/08 Yes 10/15/08 10/16/08 Yes Yes Monitoring Instrument Special Management Inmates Security and control Counts Inmate Identification Disciplinary Procedures ITEM NON-COMPLIANCE ISSUE NO. NIN 4f 1 &2 4d On 8/26/08, CM requested to view PELCO camera system to ensure the administrative segregation inmates were being allowed recreation. The inmates received their recreation. However in the course of viewing PELCO, the following was observed: an inmate (medium custody) had been brought in the seg. unit for pending board status. He had not been placed in his cell, when i/m another inmate (administrative segregation custody) inmate was escorted from the shower to segregation cell 107 by one (1) officer. Page 2 CONTRACTOR RESPONSE/DATE/ CORRECTIVE ACTION TAKEN DATE/METHOD OF CONFIRMATION BY MONITOR/COMMENTS Warden's response received 9/4/08: On 8/26/08, staff failed to follow procedure in escorting the A/S inmate. Staff have been properly trained with specialized segregation training. Seg. Supervisor was present but failed to monitor staff. All staff concerned will receive personnel actions for this failure to comply with procedures. On NCR's dated 12/2/08 and 12/4/08, similar incidents occurred regarding maximum security inmates. Warden's response received 9/15/08: It was determined that the 2 referenced inmates did in fact leave the property/intake area and On 9-8-08, WCFA was unable to clear the 4:30 p.m. went back to the units/cells they had been assigned to before they count. An emergency count was done at 6:00 p.m. went to court. The property room supervisor admits she was busy with it clearing at 6:30 p.m. twp inmates were and forgot to contact the count room and the CR officer that the Per letter of concern dated returned by Gibson count sheriff's department at two inmates had returned. As a result of this incident, the facility November 10, 2008, CM will 12:47 p.m. according to the sally port logbook. Both has implemented another step to ensure there is not a continue to monitor this item. inmates were returned to the housing unit without the reoccurrence. Upon the arrival of any inmate(s) to the vehicle gate, the vehicle gate officer will notify the count room and the shift count room being notified. Essential Item. supervisor in addition to the property room staff making the second notification. Warden's response received 10/20/08: WCFA concurs. An immediate plan of action has been completed. The STG Of the twenty-five (25) annual reclassification that coordinator will verify that all inmates on the annual reclass list indicated a new photograph was needed, nine (9) had dated back to January have received an updated photo. STG not been updated. Eighteen (18) did not have the coordinator will print these out to be placed in the IIR. The updated photographs placed in the Volume I and II of classification supervisor will continue to send out the spreadsheet to the STG coordinator and records supervisor. The records the inmate record. Essential item. supervisor will be responsible to ensure a tickler file has been established to monitor those inmates in need of updated photo. An inmate was placed in segregation on 10/14/08 pending disciplinary hearing; however he was not issued a disciplinary report according to LIBL. Another inmate was placed back in segregation on 10/13/08 pending disciplinary hearing; however he was not issued a disciplinary report according to LIBL. Essential item. 11/10/08 CMD note: Letter of Concern e-mailed. 10/31/08 CMD note: This is an essential item. The same item was found in non-compliance in the previous monitoring period. A notification of Breach was considered, however, since the problem was not in the count room, and the problem was discovered and corrected, as stated by the Warden, a Breach notification is being withheld. A notice of concern will be issued concerning count issues. 12/29/08 CMD note: This is an essential instrument Corrective Action Verified: item, and could therefore be subject to a Breach 12/15/08: All missing photographs notification. The CM, however, indicates that the have been done and placed in the problem has been corrected by the facility. No Breach notification will be issued at this time, however, any IIR. subsequent non-compliance may result in such action. Warden's response received 10/20/08: WCFA concurs. The final check of these packets is with the shift supervisors, there are step Corrective Action Verified: by step instructions attached to each packet. Staff responsible will 12/4/08: No further finding of nonbe held accountable. Chief Scott and ACOS Rice will monitor this compliance. process for the next few weeks to help train staff. Instrument name and Item numbers for Liquidated Damages issues are in BOLD print TDOC MANAGEMENT COMMENTS/NOTES 12/29/08 CMD note: This is an essential instrument item, and could therefore be subject to a Breach notification. The CM, however, indicates that the problem has been corrected by the facility. No Breach notification will be issued at this time, however, any subsequent non-compliance may result in such action. WCFA SUMMARY OF NON-COMPLIANCE NOTIFICATIONS FOR DECEMBER 2008 OUT- DATE OF STANDING REPORT ISSUE Y/N 11/6/08 No 11/12/08 12/2/08 12/4/08 No No No Monitoring Instrument PREA Drug Testing and Substance Abuse Treatment Special Management Inmates Special Management Inmates Page 3 CONTRACTOR RESPONSE/DATE/ CORRECTIVE ACTION TAKEN DATE/METHOD OF CONFIRMATION BY MONITOR/COMMENTS Four (4) of twenty (20) checked did not have the predictor scales showing they were screened for PREA. Warden's response received 11/10/08: Case managers are to evaluate their caseloads and identify those inmates who arrived to WCFA before 2006. They will then look in the IIR to ensure a predictor scale is there. If not, they will complete a PREA assessment to include the contact note and paperwork. It will then be forwarded to records to be filed in the IIR. Corrective Action Verified: 12/15/08: All inmates have been identified that have been at WCFA prior to 2006. All inmates had a predictor scale or it have been done and placed in the IIR. On 10/17/08, TOMIS incident #765290, an inmate was charged with positive drug screen. The inmate was never served the disciplinary, therefore no hearing was held. Essential item. Warden's response received 11/25/08: Drug testing officer completed the disciplinary and took it to the count room to be logged and entered. Once entered on TOMIS, the DR was logged on the tracking sheet to be served. The person who picked up the disciplinary did not sign for it and we were unable to confirm who may have taken it. To prevent future occurrences, we have changed steps #7and #9 of our procedures. #7. The DR will be assigned to a staff member to be served. #9. Shift Supervisor will check the DR log to be sure that'll all disciplinaries have been served and properly logged. 2/3/09 CMD note: Breach notification issued 1/16/08. 12/29/08 CMD note: This essential item was also found in non-compliance on 7/30/08. A Breach notification is pending. 4f On 11/26/08, TOMIS incident #771014, a maximum security inmate was allowed out of his cell unrestrained. He then assaulted another inmate (medium custody), who was a worker in the segregation unit. Essential item. Warden's response received 12/03/08: Warden agrees that the event occurred as described. The individual employee violated policy, post orders and training in opening the door of a maximum custody inmate without a second employee and without first securing the inmate with restraints. WCFA had earlier this year completed a specialized training program conducted for staff assigned to segregation and the employee involved in this incident had completed this training. The employee responsible has been terminated. 2/3/09 CMD note: Breach notification issued 1/16/08. 12/29/08 CMD note: This essential item was also found in non-compliance subsequently on 12/4/08. A Breach notification is pending for both items. 1b Warden's response received 12/10/08: The failure in this instance to immediately contact the A/C was a result of communications to the designated ADO or to the Warden not being made when the medical determination at the hospital was known. At the time of the incident, the injuries were not believed to be serious. The TOMIS incident #771899 was a Class A incident and employee was adamant that he did not want outside medical no one at the facility notified the Assistant treatment. He was directed to go the ER as a precautionary Commissioner or the Commissioner's Designee of the measure due to the possibility of eye damage. When the injuries employee's injuries. Essential item. were found to be more serious, neither the Warden or ADO were updated. Central office staff had already contacted the C/M due to the TOMIS entry. As a result a directive had been put out to all supervisors and all ADO's specifying responsibilities of contacting the A/C whenever a Class A incident occurs. The directive was provided to C/M. ITEM NON-COMPLIANCE ISSUE NO. 1 2e Instrument name and Item numbers for Liquidated Damages issues are in BOLD print TDOC MANAGEMENT COMMENTS/NOTES 12/29/08 CMD note: A Breach notification is being withheld at this time, due to the apparent unusual circumstances of this incident, however, such notification may result from any future non-compliance. WCFA SUMMARY OF NON-COMPLIANCE NOTIFICATIONS FOR DECEMBER 2008 OUT- DATE OF STANDING REPORT ISSUE Y/N 12/4/08 No Monitoring Instrument Special Management Inmates ITEM NON-COMPLIANCE ISSUE NO. 4f On 12/3/08, a maximum custody inmate came out of his handcuffs and assaulted two (2) staff members, one (1) which had a serious injury. Upon review of PELCO camera system the following was observed: Other inmates were in the pod while he was being escorted from the shower; no leg restraints; at no time did either escorting officer have a hold on the handcuffs; one of the escorting officers walked away from the inmate prior to him being placed in the cell. Essential item. CONTRACTOR RESPONSE/DATE/ CORRECTIVE ACTION TAKEN Warden's response received 12/10/08: Warden concurs that the staff assigned to segregation on this occasion were negligent in the movement of a maximum custody inmate and failed to follow established policy and post orders regarding leg restraints. As a result of this incident and a previous incident, I have directed a Shift Supervisor be assigned to segregation indefinitely, but not less than the remainder of this year to supervise and mentor staff assigned to segregation and ensure compliance with procedures in place for that post. Instrument name and Item numbers for Liquidated Damages issues are in BOLD print Page 4 DATE/METHOD OF CONFIRMATION BY MONITOR/COMMENTS TDOC MANAGEMENT COMMENTS/NOTES 2/3/09 CMD note: Breach notification issued 1/16/08. 12/29/08 CMD note: This essential item was also found in non-compliance previously on 12/2/08. A Breach notification is pending for both items.