CCA Whiteville WCFA Contract Violations, CCA, 2004

• May 26, 2016 • Locations: United States of America -> Tennessee • Topics: Corrections Corporation of America/CoreCivic, Corrections Audits

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WCFA SUMMARY OF NON-COMPLIANCE NOTIFICATIONS FOR JANUARY 2004
OUT-

DATE OF
STANDING
REPORT ISSUE Y/N

9/24/03

Yes

Monitoring
Instrument

Visitation

ITEM
NO.

NON-COMPLIANCE ISSUE

Page 1

CONTRACTOR RESPONSE/DATE/ CORRECTIVE ACTION
TAKEN

9 inmate had visits denied or Warden's 10/12/03 response indicates that all past/previous
terminated but the reports were not suspension documents have been forwarded to the Contract
7b(1)
simultaneously forwarded to the Monitor, as of October 3, 2003 and future daily
Contract Monitor
documentation will be forwarded as required.
In cases where the warden provided
written notice to the inmate and visitor
that privileges had been suspended the Same as above.
reports were not forwarded to the
contract monitor.

9/24/03

Yes

Visitation

10/7/03

Yes

Transfer of
Inmates

10/8/03

Yes

Inmate
Personal
Property

10/21/03

Yes

Security and
Control Searches

Cell search requests not conducted Warden's response 10/30/03: A/W has developed a calendar
according to TOMIS LIBR.
to help track and monitor cell search requests and follow-ups.

COMMENTS/NOTES

DATE/METHOD OF
CONFIRMATION BY
MONITOR
Verified 10/29/03: Reports
forwarded to monitor.

Same as above.

Protective custody inmate transferred to Warden's response, dated 10/14/03, indicates that training
Verified 2/11/04 by monitoring
another facility on chain bus without was conducted with records staff and that there would be
chain schedule and roster.
continued monitoring of this area in the future.
special transfer consideration.
Inmate temporarily sent to SPND
New non-compliance report issued
Warden's response 10/30/03: No documentation of property
became permanently assigned there,
on same item. See 12/15/03 item
inventoried or removed from housing unit upon transfer.
WCFA didn't store property, no record
below.
Personnel deemed responsible have received documented
of property sent to SPND or placed in
counseling.
storage at WCFA.

10/22/03

Yes

Inmate
Orientation

10 of 21 inmates checked signed
Warden's 11/6/03 response indicates that pre-printed
Orientation Acknowledgement form CRpackets with pre-marked CR-2110 forms indicate appropriate
2110 but didn't check appropriate
orientation, however there have been some blank forms in
orientation procedures; 3 had no
some packets.
checklist in file.

10/22/03

Yes

Inmate
Orientation

Segregation files containing orientation Warden's response, dated 11/6/03, indicates that a search
information were not present for review. was done and the missing information was found.

10/28/03

Yes

Inmate
Personal
Property

Warden's 11/12/03 response concurs and indicates that the
Inmate present in a property room. This
property room supervisor has been reassigned and training
post is restricted to staff only.
regarding proper security procedures has been conducted.

1~04 monthly

Verified 1/8/04 by reinspection

WCFA SUMMARY OF NON-COMPLIANCE NOTIFICATIONS FOR JANUARY 2004
OUT-

DATE OF
STANDING
REPORT ISSUE Y/N

10/28/03

11/6/03

11/10/03

11/12/03

Monitoring
Instrument

Yes

Disciplinary
Procedures

Yes

Release
payments

ITEM
NO.

NON-COMPLIANCE ISSUE

Inmate segregated and released after
4a(5) 72 hours without being served a formal
disciplinary.

Page 2

CONTRACTOR RESPONSE/DATE/ CORRECTIVE ACTION
TAKEN

COMMENTS/NOTES

Warden's response dated 11/14/03 states: "Inmate...was Non-compliance reports issued on
placed in segregation on another charge, with some same item (items dated 11/19/03,
confusion as to when he should have actually been released 12/30/03, 11/25/03 below).
from segregation. The inmate requested protective custody,
Verified 2/10/04 by
and when denied, refused to move to his assigned cell. On
reinspection of Warden's,
duty supervisors did not release the inmate, and failed to
incidents and disciplinary
charge him with refusal of cell assignment. Asst. Chief was
reports.
assigned the responsibility of the Segregation Unit effective
11-03-03, and will monitor future operational issues to ensure
continued compliance."
Warden's response, dated 12/11/03, indicates that Records
Verified 1/5/04: Records clerk
staff had been operating on misunderstood information
forwards e-mail, inmate name
received at TDOC Tullahoma training, and that now
and amount of release monies
procedures are performed in accordance with TDOC Policy
if eligible.
511.03.

Inmates released on expiration of
sentence didn't receive proper release
monies.

N/A

Warden's response, dated 12/29/03, states: "Assistant
Chief...and Executive Assistant... have conducted specific
Inmate work crew (outside perimeter)
site training to reemphasized policy requirements for both
not signed out properly.
Sallyport staff and Inmate Crew supervisors in an effort to
maintain future compliance."

Yes

CCA Policy 9121

Yes

Warden's response, dated 12/11/03, states: "Do not Central Office monitor's note: If
Concur...inmate had been inaccurately scored at his initial Dir. of Classification agrees that
Inmate scored for detained/warrant
(12/10/02) Classification Hearing (at BCMX), with +5 points WCFA acted correctly in correcting
Classification 1a(2)(C) inaccurately, TOMIS LSTS doesn't
for a “Current Detainer/Charge Pending” assessed..." and mistake made by other institution,
show detainer
indicates that the reclass done at WCFA was to correct the this should not be a non-compliance
issue.
problem.

Yes

11/20/03 response indicates that vacancies are a result of 3 Non-compliance
report
issued
dozen recent terminations of poorly performing staff, as the 12/9/03, 1/6/04 and 2/11/04 for
12 security positions vacant over 30 Warden indicates he has discussed with TDOC same item (see below).
representatives. Efforts to fill positions include posting
days.
vacancies, job fairs, media ads, assignment of full-time
recruiter. Duties are being covered via overtime.

Staffing

11a

DATE/METHOD OF
CONFIRMATION BY
MONITOR

1~04 monthly

Verified 1/21/04 by reinspection of gate passes and
sallyport documentation.

WCFA SUMMARY OF NON-COMPLIANCE NOTIFICATIONS FOR JANUARY 2004
OUT-

DATE OF
STANDING
REPORT ISSUE Y/N

Monitoring
Instrument

ITEM
NO.

NON-COMPLIANCE ISSUE

Page 3

CONTRACTOR RESPONSE/DATE/ CORRECTIVE ACTION
TAKEN

COMMENTS/NOTES

DATE/METHOD OF
CONFIRMATION BY
MONITOR

11/19/03

Yes

Disciplinary
Procedures

Non-compliance report issued on
Warden's response, dated 12/12/03, states: “The “Out-to- same item 11/25 (see below).
Court” situation interrupting both the Pending Investigation
Verified 2/9/04 by reviewing
Inmate segregated 11/14/03 was not and subsequent Assault disciplinary were outside routine
4a(5) served with disciplinary report until policy guidance. Misinterpretation of policy, coupled with
warden's reports and
11/17/03.
administrative error(s), compounded the issue. AW Gunn
segregation documentation.
and his staff will continually monitor to ensure future
compliance.”

11/19/03

Yes

Disciplinary
Procedures

4a(6)

11/25/03

Yes

Disciplinary
Procedures

12/9/03

Yes

Staffing

12/15/03

Yes

Inmate
Personal
Property

12/15/03

Yes

Inmate
Personal
Property

Inmate was segregated 11/14/03
Same as above.
without prior approval from CD.

Warden's response, dated 12/11/03, states: "On the dates in
question, the TOMIS terminals at WCF were inoperable for
approximately 48 hours. Thus staff were unable to
print/produce copies of the aforementioned reports to serve.
Five inmates released from segregation However, staff did not utilize the system developed in order
4a(5) after 72 hours without being served to alleviate problems of this nature. The staff members who
disciplinaries.
failed to serve the reports have received corrective action. A
procedure has been developed in order to prevent
recurrences of this type. The procedure will be reviewed in Inservice training currently scheduled 12/10/03, documentation
will be provided."
Warden's response, dated 12/11/03, states: "...Overtime is Non-compliance report issued for
11 vacant security positions not filled utilized as necessary to cover staff shortages and/or provide same item 1/6/04 (see below).
11a
within 30 days.
additional staffing where needed..." and indicates that many
efforts are ongoing to fill positions.
Inmate
received
package
that
Warden's response, dated 1/13/04, states: "...This matter has
contained
non-consumable
items;
1d
since been corrected. In addition, staffing changes have
none of the items was entered on
taken place in the property room due to errors of this nature."
TOMIS LIBN.

Warden's response, dated 1/13/04, states: "The item is now
Same incident as above: no CR-1412 entered on TOMIS LIBN. Segregation staff did not obtain
Storage Request form was completed clarification for proper issue of the item. The segregation staff
for cooler inmate was not allowed to in question has worked segregation previously and was not in
have in segregation that was placed in the habit of issuing this type of item. This matter has since
been corrected. A new allowable items list for the segregation
storage.
unit will be submitted to the Warden for review and approval."

1~04 monthly

Same as above.

Verified 2/9/04 by reviewing
warden's reports and
segregation documentation.

WCFA SUMMARY OF NON-COMPLIANCE NOTIFICATIONS FOR JANUARY 2004
OUT-

DATE OF
STANDING
REPORT ISSUE Y/N

12/15/03

12/19/03

Yes

Monitoring
Instrument

Inmate
Personal
Property

Special
Management
inmates

ITEM
NO.

NON-COMPLIANCE ISSUE

Page 4

CONTRACTOR RESPONSE/DATE/ CORRECTIVE ACTION
TAKEN

Warden's response, dated 1/13/04, states: "Policy indicates
that the inmate will be provided a copy of said document
Same incident as above: Inmate wasn’t
when possible. If not possible, the CR1412 will be placed in
given a copy of a CR 1412.
the inmate’s property file. This error has been corrected. The
1412 was placed in the inmate’s property file."

Same incident as above: The stored
property did not have a CR-1413 Warden's response, dated 1/13/04, states: "The CR1413 was
property tag when viewed by monitor. not present at the time of observation, as the Segregation
Furthermore, the inmate did not receive staff had just recently brought the items into the property
an 8” fan that was on the package room. This is the occurrence in which some items were
inventory but was not entered on issued to the inmate and then removed from his possession.
TOMIS LIBN or placed in storage with a This matter has since been corrected."
CR 1412/1413.

Warden's response, dated 1/13/04, states: "Per TDOC Policy
504.01 “ items in possession of an inmate shall not occupy
more than six cubic feet. This size shall be used for cell or
room searches and transportation requirements.” In an effort
to adhere to TDOC Policies, property room staff allowed only
On 11/14 and 12/8 3 inmates were the six cubic feet of property for transport purposes. The
transferred to other facilities without all inmates were permitted the option of mailing the items out or
of their personal property.
donating said items. Again, per policy 504.01 and specific
directives from the warden, no more than six cubic feet of
property will be transferred with the inmates (except
televisions, fans etc). However, at the direction of the
contract monitor the property room staff did forward the
excess property items."

Warden's response dated 1/14/04: The system that was in
place devised to appropriately initiate, maintain and/or purge
From
a
random
selection
of
Protective Custody files proved inadequate. The time and
segregation files for protective custody
date of the Commissioner’s Designee notification and verbal
inmates, 2 movement/confinement
approval was documented on the Movement/Confinement
checklists were not signed by the CD
Routing Sheet(s), however, the counselor failed to obtain the
and the file containing the checklist for
required signatures. The three (3) files referenced above
1 inmate could not be located.
have been corrected and forwarded to the Liaison for review
and signature.

1~04 monthly

COMMENTS/NOTES

DATE/METHOD OF
CONFIRMATION BY
MONITOR

Verified 1/21/04, the
misplaced documentation was
provided for review, CD signed
and approved.

WCFA SUMMARY OF NON-COMPLIANCE NOTIFICATIONS FOR JANUARY 2004
OUT-

DATE OF
STANDING
REPORT ISSUE Y/N

12/30/03

12/31/03

1/6/04

Yes

Page 5

CONTRACTOR RESPONSE/DATE/ CORRECTIVE ACTION
TAKEN

DATE/METHOD OF
CONFIRMATION BY
MONITOR

Monitoring
Instrument

ITEM
NO.

Disciplinary
Procedures

1 disciplinary hearing was continued
without documentation of reason on Warden's response, dated 1/9/04, indicates that the failure to
continuance form or hearing summary; properly document, or distribute documentation, resulted
4a(2)
additionally, 4 inmates did not receive from misinterpretation by staff of memo from Chairman;
copies
of
disciplinary
hearing clarification memo issued 1/5/04.
documents.

Verified 1/12/04: reviewed
disciplinary procedures and
memo from Hearing officer.

Use of Force

N/A

Wardens response, dated 1/6/04, states: "As noted in the
A Senior Correctional Officer used
report of finding above the facility investigated and took
unnecessary force to secure an inmate
immediate corrective action. While use of force was relatively
in a segregation cell. The inmate was
speaking very minor and involved only a push, the employee
being escorted from D-Board in
was disciplined and a 2-day suspension issued.
restraints. The findings of CCA 5-1A
While the employee violated policy, I personally feel that this
report #03-0118-185-IV concluded that
should not have been a contract non-compliance issue. It
the Senior use improper force and was
was rather an individual employee act that CCA on it’s own
suspended for 2 days.
addressed and was immediately reported to the monitor."

Verified 2/9/04 by reviewing
Warden's, incident,
disciplinary reports, and
segregation documentation.

11a

Non- Compliance report issued for
Warden's response, dated 1/8/04, indicates that many efforts
same item 2/11/04(see below).
are ongoing to fill vacant positions, and states: "...all required
11 security position vacancies were not
positions that are vacant are manned on a daily basis by
filled within 30 days.
utilizing overtime. Copies of daily staffing rosters are provided
that shows the manning of all mandatory post assignments."

NON-COMPLIANCE ISSUE

Staffing

1/30/04

Inmate Trust
Fund

3a-e

Institution has not prepared quarterly
reports concerning "earned interest"
account, was not aware of the account
or policy requirement.

2/11/04

Staffing

11a

8 security positions were not filled
within 30 days.

2/11/04

Staffing

11b

1 non-security position was not filled
within 45 days.

1~04 monthly

COMMENTS/NOTES

WCFA SUMMARY OF NON-COMPLIANCE NOTIFICATIONS FOR FEBRUARY 2004
OUTDATE OF
Monitoring
STANDING
REPORT ISSUE Y/N Instrument

10/8/03

Yes

Inmate
Personal
Property

10/21/03

Yes

Security and
Control Searches

ITEM
NO.

Warden's response 10/30/03: A/W has
Cell search requests not conducted
developed a calendar to help track and
according to TOMIS LIBR.
monitor cell search requests and follow-ups.

Yes

Inmate
Orientation

10/22/03

Yes

Inmate
Orientation

Yes

CONTRACTOR RESPONSE/DATE/
CORRECTIVE ACTION TAKEN

Inmate temporarily sent to SPND Warden's
response
10/30/03:
No
became permanently assigned there, documentation of property inventoried or
WCFA didn't store property, no record removed from housing unit upon transfer.
of property sent to SPND or placed in Personnel deemed responsible have received
storage at WCFA.
documented counseling.

10/22/03

11/12/03

NON-COMPLIANCE ISSUE

Page 1
TDOC MANAGEMENT
COMMENTS/NOTES

DATE/METHOD OF
CONFIRMATION BY
MONITOR/COMMENTS
Verified 2/12/04 by reinspection of inmate
transferred to SPND and
inmate personal property.

10 of 21 inmates checked signed Warden's 11/6/03 response indicates that preOrientation Acknowledgement form printed packets with pre-marked CR-2110
CR-2110 but didn't check appropriate forms
indicate
appropriate
orientation,
orientation procedures; 3 had no however there have been some blank forms in
checklist in file.
some packets.
Segregation files containing orientation Warden's response, dated 11/6/03, indicates
information were not present for that a search was done and the missing
review.
information was found.

4/24/04: Determined by Deputy
Warden's response, dated 12/11/03, states:
"Do not Concur...inmate had been inaccurately Comm. not to be in nonNon-compliance
Inmate scored for detained/warrant scored at his initial (12/10/02) Classification compliance.
indication
removed
from
Classification 1a(2)(C) inaccurately, TOMIS LSTS doesn't Hearing (at BCMX), with +5 points for a
show detainer
“Current
Detainer/Charge
Pending” Recurring Non-Compliance Issues
assessed..." and indicates that the reclass report.
done at WCFA was to correct the problem.

11/12/03

12/9/03

Yes

Staffing

11a

Warden's response dated 11/20/03: indicates 4/24/04: Deputy Comm. notes that
that vacancies are a result of 3 dozen recent Warden
has
not
requested
terminations of poorly performing staff, as the Temporary Exemption/Waiver Due
12 security positions vacant over 30 Warden indicates he has discussed with to Extreme Circumstances. NOTE:
days.
TDOC representatives. Efforts to fill positions See item dated 2/10/04 below.
include posting vacancies, job fairs, media
ads, assignment of full-time recruiter. Duties
are being covered via overtime.
Warden's response, dated 12/11/03, states:
"...Overtime is utilized as necessary to cover
11 vacant security positions not filled
staff shortages and/or provide additional
within 30 days.
staffing where needed..." and indicates that
many efforts are ongoing to fill positions.

2~04 wcfa 2 monthly

Non-compliance report issued
12/9/03, 1/6/04, 2/11/04 and
3/11/04 for same item (see
below).

Non-compliance report issued
for same item 1/6/04, 2/11/04
and 3/11/04 (see below).

WCFA SUMMARY OF NON-COMPLIANCE NOTIFICATIONS FOR FEBRUARY 2004
OUTDATE OF
Monitoring
STANDING
REPORT ISSUE Y/N Instrument

12/15/03

Yes

Inmate
Personal
Property

ITEM
NO.

12/15/03

Yes

Inmate
Personal
Property

12/15/03

Yes

Inmate
Personal
Property

12/15/03

Yes

Inmate
Personal
Property

NON-COMPLIANCE ISSUE

CONTRACTOR RESPONSE/DATE/
CORRECTIVE ACTION TAKEN

Inmate
received
package
that Warden's response, dated 1/13/04, states:
contained
non-consumable items; "...This matter has since been corrected. In
none of the items was entered on addition, staffing changes have taken place in
TOMIS LIBN.
the property room due to errors of this nature."
Warden's response, dated 1/13/04, states:
"The item is now entered on TOMIS LIBN.
Segregation staff did not obtain clarification for
Same incident as above: no CR-1412
proper issue of the item. The segregation staff
Storage Request form was completed
in question has worked segregation previously
for cooler inmate was not allowed to
and was not in the habit of issuing this type of
have in segregation that was placed in
item. This matter has since been corrected. A
storage.
new allowable items list for the segregation
unit will be submitted to the Warden for review
and approval."
Warden's response, dated 1/13/04, states:
"Policy indicates that the inmate will be
provided a copy of said document when
Same incident as above: Inmate
possible. If not possible, the CR1412 will be
wasn’t given a copy of a CR 1412.
placed in the inmate’s property file. This error
has been corrected. The 1412 was placed in
the inmate’s property file."
Same incident as above: The stored Warden's response, dated 1/13/04, states:
property did not have a CR-1413 "The CR1413 was not present at the time of
property tag when viewed by monitor. observation, as the Segregation staff had just
Furthermore, the inmate did not recently brought the items into the property
receive an 8” fan that was on the room. This is the occurrence in which some
package inventory but was not entered items were issued to the inmate and then
on TOMIS LIBN or placed in storage removed from his possession. This matter has
with a CR 1412/1413.
since been corrected."

2~04 wcfa 2 monthly

Page 2
TDOC MANAGEMENT
COMMENTS/NOTES

DATE/METHOD OF
CONFIRMATION BY
MONITOR/COMMENTS
Verified 2/12/04 by reinspection of inmate packages
and inmate personal property.

Verified 2/12/04

WCFA SUMMARY OF NON-COMPLIANCE NOTIFICATIONS FOR FEBRUARY 2004
OUTDATE OF
Monitoring
STANDING
REPORT ISSUE Y/N Instrument

ITEM
NO.

NON-COMPLIANCE ISSUE

CONTRACTOR RESPONSE/DATE/
CORRECTIVE ACTION TAKEN

Page 3
TDOC MANAGEMENT
COMMENTS/NOTES

DATE/METHOD OF
CONFIRMATION BY
MONITOR/COMMENTS

Warden's response, dated 1/13/04, states: 4/24/04: Deputy Comm. requests
"Per TDOC Policy 504.01 “ items in that contract monitor advise in
possession of an inmate shall not occupy writing if monitor requested
more than six cubic feet. This size shall be contractor to disregard policy in
used for cell or room searches and this instance.

12/15/03

Yes

Inmate
Personal
Property

12/31/03

Yes

Use of Force

N/A

1/6/04

Yes

Staffing

11a

transportation requirements.” In an effort to
adhere to TDOC Policies, property room staff
On 11/14 and 12/8 3 inmates were allowed only the six cubic feet of property for
transferred to other facilities without all transport purposes. The inmates were
permitted the option of mailing the items out or
of their personal property.
donating said items. Again, per policy 504.01
and specific directives from the warden, no
more than six cubic feet of property will be
transferred
with the inmates
(except
televisions, fans etc). However, at the direction
of the contract monitor the property room staff
did forward the excess property items."

Verified 2/12/04

Wardens response, dated 1/6/04, states: "As 4/24/04: Determined by Deputy
noted in the report of finding above the facility Comm. not to be a nonA Senior Correctional Officer used investigated and took immediate corrective compliance issue. Institution
unnecessary force to secure an action. While use of force was relatively investigated, reported, and took
inmate in a segregation cell. The speaking very minor and involved only a push, corrective action concerning this
Verified 2/9/04 by reviewing
inmate was being escorted from D- the employee was disciplined and a 2-day incident. Finding to be deleted.
Warden's, incident,
Board in restraints. The findings of suspension issued.
disciplinary reports, and
CCA 5-1A report #03-0118-185-IV While the employee violated policy, I
segregation documentation.
concluded that the Senior use personally feel that this should not have been
improper force and was suspended for a contract non-compliance issue. It was rather
2 days.
an individual employee act that CCA on it’s
own addressed and was immediately reported
to the monitor."
See Deputy Comm. note on same Non-compliance report issued
Warden's response, dated 1/8/04, indicates
for same item 2/11/04 and
that many efforts are ongoing to fill vacant item dated 11/12/03 above, and
3/11/04 (see below).
2/10/04
below.
positions, and states: "...all required positions
11 security position vacancies were
that are vacant are manned on a daily basis by
not filled within 30 days.
utilizing overtime. Copies of daily staffing
rosters are provided that shows the manning
of all mandatory post assignments."

2~04 wcfa 2 monthly

WCFA SUMMARY OF NON-COMPLIANCE NOTIFICATIONS FOR FEBRUARY 2004
OUTDATE OF
Monitoring
STANDING
REPORT ISSUE Y/N Instrument

1/22/04

1/30/04

Yes

Inmate
Access to
Courts

Inmate Trust
Fund

ITEM
NO.

3a-e

NON-COMPLIANCE ISSUE

CONTRACTOR RESPONSE/DATE/
CORRECTIVE ACTION TAKEN

Page 4
TDOC MANAGEMENT
COMMENTS/NOTES

DATE/METHOD OF
CONFIRMATION BY
MONITOR/COMMENTS

Warden's response, dated 3/17/04, indicates
Specific services by contract attorney
that the list had been posted, but was removed
not posted in units.
by inmates. It has been replaced.
Institution has not prepared quarterly
reports concerning "earned interest"
account, was not aware of the account
or policy requirement.

2/10/04

Yes

Staffing

11a

8 security positions were not filled
within 30 days.

2/10/04

Yes

Staffing

11b

1 non-security position was not filled
within 45 days.

2/12/04

Special
Management
Inmates

Inmate was placed in segregation
pending a protective custody hearing
without the Commissioner’s
Designee’s signature.

2/12/04

Special
Management
Inmates

2c(2)

The Commissioner’s Designee did not
approve the recommended action of
the protective custody board.

2/18/04

Policies and
Procedures

9 posts and their post orders were
overdue for annual review by the
Warden.

2/20/04

Inmate
Commissary

9 items on commissary order form
were not accurately priced.

Warden's response dated 2/18/04.A Trust
Fund interest report was provided to the
Contract Monitor dated 1/26/04 with all
necessary information by the fiscal officer. The
report will be maintained for audit and
historical reference.

Verified 2/18/04 by
documentation of trust fund
interest report.

See Deputy Comm. note on same
item dated 11/12/03, above.
Determined to be recurring noncompliance issue due to 3 or
more findings of non-compliance
in 12 month period ( instruments
for 7/03, 10/03, 11/03, 12/03, 1/04).
Notice of Breach, Cure Period,
and Assessment of Liquidated
Damages letter to be issued
concerning this item.

2~04 wcfa 2 monthly

WCFA SUMMARY OF NON-COMPLIANCE NOTIFICATIONS FOR FEBRUARY 2004
OUTDATE OF
Monitoring
STANDING
REPORT ISSUE Y/N Instrument

2/25/04

Disciplinary
Procedures

2/25/04

Drug Testing

2/25/04

Drug Testing

2/25/04

Drug Testing

2/26/04

Classification
Procedures

2/26/04

ITEM
NO.

NON-COMPLIANCE ISSUE

CONTRACTOR RESPONSE/DATE/
CORRECTIVE ACTION TAKEN

Inmate was segregated pending
hearing. Staff failed to enter formal
disciplinary report on TOMIS or serve
report to the inmate. Although the
inmate was released before the 72hour time limit for conducting a
4a(5)
hearing, this is at least the 6th time
that a non-compliance report has been
issued for the same/similar problem
(ref. non-compliance reports dated
7/10/03, 7/18/03, 8/12/03, 8/19/03 and
11/25/03).
According to TOMIS LIBS a
reasonable suspicion drug test was
not done. There is no documentation
1c
of who requested the test nor of the
Warden or designee approving the
test.
Inmate was drug tested and a positive
field test was sent to the designated
lab for confirmation. It was discovered
inmate had failed to complete the
2c(1)
chain of custody properly, all required
signatures were not present even
through a positive test result was
returned from Lab.
Drug testing procedures chain of
custody not properly completed before
2c(6) being sent to designed lab: Lab
returned a positive test result sans
inmate's required signature.
Checked 25 inmate classifications for
past 6 months, Commissioner’s
1a(3)
designee hadn’t approved a custody
change for 1 inmate.
8 minimum direct inmate records
checked, there wasn’t a signed
1d(1)
Assignment of Responsibility present
in 1 record.

2~04 wcfa 2 monthly

Page 5
TDOC MANAGEMENT
COMMENTS/NOTES

DATE/METHOD OF
CONFIRMATION BY
MONITOR/COMMENTS

WCFA SUMMARY OF NON-COMPLIANCE NOTIFICATIONS FOR FEBRUARY 2004
OUTDATE OF
Monitoring
STANDING
REPORT ISSUE Y/N Instrument

3/11/04

Staffing

ITEM
NO.

NON-COMPLIANCE ISSUE

11a

2 security positions not filled within 30
days.

CONTRACTOR RESPONSE/DATE/
CORRECTIVE ACTION TAKEN

2~04 wcfa 2 monthly

Page 6
TDOC MANAGEMENT
COMMENTS/NOTES

DATE/METHOD OF
CONFIRMATION BY
MONITOR/COMMENTS

WCFA SUMMARY OF NON-COMPLIANCE NOTIFICATIONS FOR March 2004
OUTDATE OF
STANDING
REPORT ISSUE Y/N

Monitoring
Instrument

ITEM
NO.

10/21/03

Security and
Control Searches

Yes

10/22/03

Yes

Inmate
Orientation

10/22/03

Yes

Inmate
Orientation

11/12/03

Yes

Staffing

11a

12/9/03

Yes

Staffing

11a

Yes

Inmate
Personal
Property

12/15/03

NON-COMPLIANCE ISSUE

Page 1
CONTRACTOR RESPONSE/DATE/
CORRECTIVE ACTION TAKEN

TDOC MANAGEMENT
COMMENTS/NOTES

Warden's response dated 10/30/03: A/W has
Cell search requests not conducted
developed a calendar to help track and
according to TOMIS LIBR.
monitor cell search requests and follow-ups.

Verified 3/29/04 by re-inspection of
documentation, calendar and TOMIS
reports.

10 of 21 inmates checked signed
Orientation Acknowledgement form
CR-2110 but didn't check appropriate
orientation procedures; 3 had no
checklist in file.
Segregation
files
containing
orientation information were not
present for review.

Warden's response dated 11/6/03: indicates
that pre-printed packets with pre-marked CR2110 forms indicate appropriate orientation,
however there have been some blank forms in
some packets.
Warden's response dated 11/6/03: Indicates
that a search was done and the missing
information was found.
Warden's response dated 11/20/03: indicates
that vacancies are a result of 3 dozen recent
terminations of poorly performing staff, as the
12 security positions vacant over 30 Warden indicates he has discussed with
days.
TDOC representatives. Efforts to fill positions
include posting vacancies, job fairs, media
ads, assignment of full-time recruiter. Duties
are being covered via overtime.
Warden's response, dated 12/11/03, states:
"...Overtime is utilized as necessary to cover
11 vacant security positions not filled
staff shortages and/or provide additional
within 30 days.
staffing where needed..." and indicates that
many efforts are ongoing to fill positions.
Warden s response, dated 1/13/04, states:
"Per TDOC Policy 504.01 “ items in
possession of an inmate shall not occupy
more than six cubic feet. This size shall be
used for cell or room searches and
transportation requirements.” In an effort to
adhere to TDOC Policies, property room staff
allowed only the six cubic feet of property for
On 11/14 and 12/8 3 inmates were
transport purposes. The inmates were
transferred to other facilities without
permitted the option of mailing the items out
all of their personal property.
or donating said items. Again, per policy
504.01 and specific directives from the
warden, no more than six cubic feet of
property will be transferred with the inmates
(except televisions, fans etc). However, at the
direction of the contract monitor the property
room staff did forward the excess property
items "

3~04 monthly

DATE/METHOD OF
CONFIRMATION BY
MONITOR/COMMENTS

Verified 3/25/04 by re-inspection of
random selection of inmate files.
Verified 11/20/03 by reviewing
recovered file and 3/25/04 by
reviewing sample of other IIRs..
4/24/04: Deputy Comm. notes that
Warden has not requested Temporary
Exemption/Waiver Due to Extreme
Circumstances. NOTE: See item dated
2/10/04 below.

Non-compliance report issued
12/9/03, 1/6/04, 2/10/04, 3/11/04,
and 4/13/04 for same item (see
below).

Non-compliance report issued for
See Deputy Comm. comments on same
same item 1/6/04, 2/10/04 and
items dated 11/12/03 and 2/10/04.
3/11/04 (see below).

4/24/04: Deputy Comm. requests that
contract monitor advise in writing
regarding Warden's note that monitor
requested contractor to disregard
policy in this instance.

Verified 2/12/04

WCFA SUMMARY OF NON-COMPLIANCE NOTIFICATIONS FOR March 2004
OUTDATE OF
STANDING
REPORT ISSUE Y/N

Monitoring
Instrument

ITEM
NO.

1/6/04

Yes

Staffing

11a

1/22/04

Yes

Inmate Access
to Courts

2/10/04

Yes

Staffing

NON-COMPLIANCE ISSUE

Page 2
CONTRACTOR RESPONSE/DATE/
CORRECTIVE ACTION TAKEN

TDOC MANAGEMENT
COMMENTS/NOTES

DATE/METHOD OF
CONFIRMATION BY
MONITOR/COMMENTS

Warden's response, dated 1/8/04, indicates
that many efforts are ongoing to fill vacant
positions, and states: "...all required positions
Subsequent non-compliance reports
See Deputy Comm. comments on same
11 security position vacancies were
that are vacant are manned on a daily basis
issued for same item 2/10/04 and
not filled within 30 days.
items dated 11/12/03 and 2/10/04.
by utilizing overtime. Copies of daily staffing
3/11/04 (see below).
rosters are provided that shows the manning
of all mandatory post assignments."
Warden's response, dated 3/17/04: Indicates
Specific services by contract attorney
that the list had been posted, but was
not posted in units.
removed by inmates. It has been replaced.

Verified 3/21/04 by inspection of unit
pod bulletin boards.

4/24/04: Determined to be recurring noncompliance issue due to 3 or more
Warden's response dated 3/17/04: "With a full findings of non-compliance in 12 month
time Recruiter employed. (31) new
period ( instruments for 7/03, 10/03,
Correctional Officers are to begin training on
11/03, 12/03, 1/04). Notice of Breach,
March 15th; and (9) will graduates the same
Cure Period, and Assessment of
day. In addition, we have also temporarily lost
Liquidated Damages letter to be issued
staff to the National Guard in support of the
concerning this item. Also, see Deputy
war."
Comm. note on same item dated
11/12/03, above.

11a

8 security positions were not filled
within 30 days.

11b

1 non-security position was not filled
Same as above
within 45 days.

3~04 monthly

See comments on same item dated
4/13/04 below.

Non-compliance reports issued
11/12/03, 12/9/03, 1/6/04, 2/11/04,
3/11/04, and 4/13/04 for same item
(see above and below).

Verified 3/11/04 by re-inspection of
2/04 staffing legend, however, item
found in non-compliance again
4/13/04 (see below).

WCFA SUMMARY OF NON-COMPLIANCE NOTIFICATIONS FOR March 2004
OUTDATE OF
STANDING
REPORT ISSUE Y/N

2/12/04

Yes

Monitoring
Instrument

Special
Management
Inmates

ITEM
NO.

2/12/04

Yes

Special
Management
Inmates

2c(2)

2/18/04

Yes

Policies and
Procedures

2/20/04

Yes

Inmate
Commissary

NON-COMPLIANCE ISSUE

Inmate was placed in segregation
pending a protective custody hearing
without the Commissioner’s
Designee’s signature.

Page 3
CONTRACTOR RESPONSE/DATE/
CORRECTIVE ACTION TAKEN
Warden's response dated 3/18/04 indicates
that proper signatures were subsequently
obtained. All parties have been informed;
management will closely monitor future
instances to maintain compliance.

Warden's response dated 3/18/04 states: "A
miscommunication occurred whereas the form
was misread when interpreting
The Commissioner’s Designee did not
approval/disapproval information between the
approve the recommended action of
Commissioner’s Designee and the Warden’s
the protective custody board.
input... All parties have been informed;
management will closely monitor future
instances to maintain compliance."
Warden's response dated 3/18/04 states: "All
Post Orders have been reviewed for 2003;
COS Pritchard checked each post and
ensured that all manuals were updated with
current copy. Additionally, Warden Dotson
has initiated the 2004 Annual Post Order
Review process effective 3/17/04 to be
9 posts and their post orders were
completed not later than 4/30/04. Any and all
overdue for annual review by the
revisions will be approved by TDOC prior to
Warden.
implementation. In the investigation of why
this occurred it was discovered that the QA
office had failed to distribute the 2003 Post
Orders as required after completion of the
review process. Corrective action was
planned for this, however, the QA Manager
has resigned."

9 items on commissary order form
were not accurately priced.

Warden's response dated 3/17/04 states: "All
obsolete order forms have been destroyed
and the revised form is now being issued to
inmates. Going forward, WCF will comply
with policy by issuing an updated commissary
order form at the same time that approved
price changes are incorporated in TOMIS."

3~04 monthly

TDOC MANAGEMENT
COMMENTS/NOTES

DATE/METHOD OF
CONFIRMATION BY
MONITOR/COMMENTS

5/11/04: Deputy Comm. Determined that
Notice of Breach, Cure Period, and
Assessment of Liquidated Damages
letter to be issued concerning this item.
Verified 3/4/04 by review of
5/7/04 DCCO CM note: Item has become
segregation files and TOMIS reports.
recurring non-compliance issue due to
3 or more findings of non-compliance in
12 month period (instruments for 7-9/03,
10-12/03, 1-3/04).

Verified 3/4/04 by review of
segregation files and TOMIS reports.

Verified 3/19/04 by random price
check of commissary order form and
item cost list.

WCFA SUMMARY OF NON-COMPLIANCE NOTIFICATIONS FOR March 2004
OUTDATE OF
STANDING
REPORT ISSUE Y/N

2/25/04

Yes

Monitoring
Instrument

ITEM
NO.

Disciplinary
Procedures

Drug Testing

2/25/04

Yes

Drug Testing

2/26/04

Yes

Classification
Procedures

2/26/04

Yes

Classification
Procedures

NON-COMPLIANCE ISSUE

Inmate was drug tested for reasonable
suspicion, according to TOMIS LIBS
no entry of the test was done for
reasonable suspicion. There is no
documentation of who requested the
test and of the Warden or designee
approving the test.

Inmate was drug tested and a positive
field test was sent to the designated
lab for confirmation. It was discovered
inmate had failed to complete the
2c(1)
chain of custody properly, all required
signatures were not present even
through a positive test result was
returned from Lab.
Drug testing procedures chain of
custody not properly completed before
2c(6) being sent to designed lab: Lab
returned a positive test result sans
inmate's required signature.
Checked 25 inmate classifications for
past 6 months, Commissioner’s
1a(3)
designee hadn’t approved a custody
change for 1 inmate.
8 minimum direct inmate records
checked, there wasn’t a signed
1d(1)
Assignment of Responsibility present
in 1 record.

Page 4
CONTRACTOR RESPONSE/DATE/
CORRECTIVE ACTION TAKEN

TDOC MANAGEMENT
COMMENTS/NOTES

DATE/METHOD OF
CONFIRMATION BY
MONITOR/COMMENTS

5/11/04: Deputy Comm. Determined that
Warden's response dated 3/18/04 states:
Notice
of Breach, Cure Period, and
"Inmate was placed into segregation 2/22/04
and it was discovered by staff on 2/24/04 that Assessment of Liquidated Damages
the inmate had not been issued a disciplinary. letter to be issued concerning this item.
5/7/04 DCCO CM note: Item has become
Procedures and checklists are in place to
ensure compliance, however, simply were not a recurring non-compliance issue due
followed in this instance by [a] Capt., Lt., and to 3 or more findings of non-compliance
Sgt. Problem Solving Notices have been
in 12 month period (instruments for 7placed in each personnel file.
9/03, 10-12/03, 1-3/04).

Warden's previous responses
include: "Misinterpretation of policy",
"administrative error(s)", "TOMIS
terminals inoperable", "staff didn't
utilize the system developed". The
Warden has developed procedures
in order to prevent recurrences,
taken corrective action against staff
and implemented new training
procedures which have not
alleviated this area of noncompliance.

Warden's response dated 4/12/04 states:
"Responsible suspicion drug testing is
approved by the Assistant Chief of Security
and above per designation of the Warden.
These approvals are documented in the
Reasonable Suspicion Log Book and
annotated as such. This documentation failed
to occur in this instance. Appropriate
disciplinary action has been taken."

Verified 3/8/04 by re-inspection of
drug testing records and
documentation.

Warden's response dated 4/12/04 states: "...it
was found that the chain of custody was not
properly completed. The employee
responsible for completing the chain of
custody has since been terminated for not
completing job duties as required."

Same as above.

Warden's response dated 4/12/04 indicates
that since the non-compliance report was
issued the officer has received the proper
training.

Non-compliance report issued
3/8/04 for same item.

Wardens response dated 3/17/04 indicates
that the reclass was signed by
Commissioner’s Designee 3/4/04.

Verified 3/17/04 by review of
inmates' institutional file.

Warden's response dated 3/17/04 indicates
that the inmate assignment of responsibility
form is now in the institutional file (it previously
was with the reclass at the time it was to be
filed).

Same as above.

3~04 monthly

WCFA SUMMARY OF NON-COMPLIANCE NOTIFICATIONS FOR March 2004
OUTDATE OF
STANDING
REPORT ISSUE Y/N

3/4/04

Monitoring
Instrument

Vocational
Academic

ITEM
NO.

2c(4)

NON-COMPLIANCE ISSUE

Page 5
CONTRACTOR RESPONSE/DATE/
CORRECTIVE ACTION TAKEN

Warden's response dated 3/18/04 indicates:
One Academic Instructor's application for
alternative licensure was submitted via
TDOC’s education department to the
Tennessee Department of Education in
August 2003. She received notification from
the Tennessee Department of Education in
December 2003 that additional information
Principle’s personnel files do not have was needed. This information was submitted
current teacher’s license or waiver for in February 2004. We are currently awaiting
the processing of the application from the
2 Academic instructor’s.
Tennessee Department of Education. She is
not assigned to teach academic classes at
this time and is being used to deliver the Life
Skills program at the facility. The other
Academic Instructor's application for licensure
was submitted via TDOC education
department to the Tennessee Department of
Education in September 2003. She
received notification from the Tennessee
Department of Education in December 2003
that additional coursework would be required
prior to licensure, and is currently enrolled in
those classes at Freed Hardeman University.
The licensure office at Freed Hardeman has
indicated that her coursework will be
completed in April 2003. The licensure office
Two academic instructor’s do not have at Freed Hardeman has also indicated that
required proof of teacher’s licensure
they will provide the necessary information for
or waiver on file.
licensure to the Tennessee Department of
Education dependent upon her successful
completion of these classes. She is not
assigned to teach an academic class at this
time and is being utilized as a substitute
teacher. The status of both instructors will be
reviewed no later than May 15, 2004, in order
to determine their continued employment
status.

3~04 monthly

TDOC MANAGEMENT
COMMENTS/NOTES

5/11/04: Deputy Comm. requests
Contract Monitor to review issue by May
30, 2004, and advise Deputy Comm. re:
compliance status.

DATE/METHOD OF
CONFIRMATION BY
MONITOR/COMMENTS

WCFA SUMMARY OF NON-COMPLIANCE NOTIFICATIONS FOR March 2004
OUTDATE OF
STANDING
REPORT ISSUE Y/N

Monitoring
Instrument

ITEM
NO.

NON-COMPLIANCE ISSUE

Page 6
CONTRACTOR RESPONSE/DATE/
CORRECTIVE ACTION TAKEN

Vocational
Academic

2c(6)

The annual report to the Warden and
Education Director could not be
provided.

3/8/04

Inmate Drug
Testing

2c(6)

Untrained staff have conducted field
Wardens response dated 4/6/04 indicates that
drug testing, however, no
the 2 staff have received training, and that
documentation of training in their files. documentation is now in their training files.

Inmate Drug
Testing

3/8/04

Inmate Drug
Testing

3/11/04

3/21/04

Yes

Staffing

Security and
Control Counts

11a

DATE/METHOD OF
CONFIRMATION BY
MONITOR/COMMENTS

Warden's response dated 3/18/04 indicates
that the principle did not complete the annual
report to the warden and education director
because TDOC inmates had not been
assigned to classes for a sufficient amount of
time to complete this report in July 2003. He
will be instructed to complete this report with a
completion date of March 19, 2004 for this
task. Copies will be provided to the contract
monitor upon completion.

3/4/04

3/8/04

TDOC MANAGEMENT
COMMENTS/NOTES

Warden's response dated 4/6/04 indicates
5 inmates had positive lab results that that the officer was aware of policy
did not result in a disciplinary report
requirements and failed to complete
issuance.
appropriate entries; the received disciplinary
action and her employment terminated.
Warden's response dated 4/6/04 states: "An
administrative error was made, however,
4 inmates were reclassified and
effective immediately the records department
transferred to MTCX annex for prewill e-mail the drug testing department to
release without prior drug tests.
ensure notification is made. The drug testing
department will file all incoming e-mails to
ensure compliance."
Warden's response dated 4/6/04 states: "The
Warden and Executive Team continue to keep
both retention and quality recruitment a high
5/11/04: included in Notice. See
priority. We continually advertise in local
2 security positions not filled within 30
media, and maintain a close relationship with comments on same item dated 2/10/04
days.
the State Employment Office. A new training and 11/12/03, above.
Pre-Service class is scheduled for 4/19/04
and hopefully will provide staffing exceeding
current requirements."
Warden's response dated 4/7/04 states:
"Policy and procedures are in place to
During 4:30 AM count, cell doors
educate staff in proper count procedures.
were discovered open (unlocked) with These procedures were not followed, and
inmates present inside during count. Problem Solving Notices were issued on
The floor officer was not present
those officers assigned. Additionally, the
during this inspection.
Chief of Security has scheduled a briefing
3/25/04 with all Shift Captains to reinforce
these directives."

3~04 monthly

Non-compliance reports issued
11/12/03, 12/9/03, 1/6/04, 2/11/04,
3/11/04, and 4/13/04 for same item
(see above and below).

WCFA SUMMARY OF NON-COMPLIANCE NOTIFICATIONS FOR March 2004
OUTDATE OF
STANDING
REPORT ISSUE Y/N

3/23/04

Monitoring
Instrument

Visitation

ITEM
NO.

NON-COMPLIANCE ISSUE

Page 7
CONTRACTOR RESPONSE/DATE/
CORRECTIVE ACTION TAKEN

TDOC MANAGEMENT
COMMENTS/NOTES

Warden's response dated 4/7/04 indicates
that the appropriate notifications were made
on TOMIS as per TDOC policy 507.01. That
policy requires TOMIS LCD2 to reflect
suspensions. In addition, policy 502.02 states
similar language. Neither policy requires that
disciplinary sanctions for drug screens be
placed in the visitation file, only that entries be
made on TOMIS.

5/11/04: Deputy Comm. Requests
Contract Monitor to verify finding based
on Warden's response related to policy
requirements.

Inmate was found guilty of drugs
possession and issued a 6-month
visitation suspension. No
documentation present in visitation
file.

Warden's response dated 4/7/04 indicates
that no docket was received by Visitation from
TOMIS LCD2 visitor status entry does
the DHO to indicate a disciplinary sanction
not reflect the suspension identified in
The DHO will in the future forward a copy of
item 8a, above.
the docket to the visitation senior correctional
officer as they are generated.

11a

Inmate had his visit terminated for
misconduct. Warden issued a noncontact visit restriction. No
documentation sent visitation
supervisor or placed in visitation file.

5/13/04 DCCO CM note: Documentation
sent to SCO and placed in file was for
The Warden's response, dated 4/7/04, states: suspension, not non-contact visitation.
"Documentation regarding the suspension of (Emphasis added to "Issue" and
"warden's response" columns for
[the inmate's] visitor was forwarded to the
clarification.) SCO is Visitation
visitation senior correctional officer. The
Supervisor per staffing pattern; policy
visitation SCO did notate the restriction on
requires notification to Vis. Supv. and
TOMIS and placed a copy of the restriction
document in the inmate’s file on March 2,
file of non-contact visit restrictions.
2004. In addition to the letter, the postmarked
envelope is also placed in the file on the day
that the visitation senior receives it."

3~04 monthly

DATE/METHOD OF
CONFIRMATION BY
MONITOR/COMMENTS

WCFA SUMMARY OF NON-COMPLIANCE NOTIFICATIONS FOR March 2004
OUTDATE OF
STANDING
REPORT ISSUE Y/N

Monitoring
Instrument

ITEM
NO.

3/23/04

Visitation

11b

3/24/04

Inmate Jobs

3/24/04

Inmate Jobs

4/13/04

Staffing

11a

11b

NON-COMPLIANCE ISSUE

Page 8
CONTRACTOR RESPONSE/DATE/
CORRECTIVE ACTION TAKEN

TDOC MANAGEMENT
COMMENTS/NOTES

Warden's response dated 4/7/04 states: "The
visitor for [the inmate] was incorrectly
TOMIS entry shows a visitor was
suspended. The correct revision for nonsuspended from visiting an inmate for
contact status has been made. To prevent
60 days. TOMIS should reflect
future reoccurrences, only the visitation senior
restricted to non-contact.
correctional officer will input this data into
TOMIS.
Warden's response dated 4/7/04 states: ": It
Inmates with a disciplinary dismissal was a misunderstanding of policy that all
are being listed and restricted from
inmates that have received a Class A
any job register for 90 days, not just
disciplinary were to be removed from all job
registers for the same or higher pay
registers and current job assignments, not
level.
being allowed another job for 90 days. As of
4/08/04 this has been corrected."
Warden's response dated 4/7/04 states:
"Three of the five February Job Audits were
not entered on TOMIS/LJEF. TOMIS LJEF will
Of the 5 job assessments required
not accept Education Classes (ABE, etc.).
monthly, only 2 were completed and The Jobs Coordinator has been instructed that
entered on TOMIS LJEF.
to comply with the Policy requirement, 5 job
class audits will be conducted over-and-above
any audits conducted on Educational job
positions."

During monitoring the Jobs
Coordinator said she hadn't done
the job audit on TOMIS.

12 security positions not filled within
30 days. Non-compliance report
issued 4/13/04.

See comments on same item dated
2/10/04 and 11/12/03, above.

1 non-security position not filled within
45 days.

5/11/04: Deputy Comm. Determined that
Notice of Breach, Cure Period, and
Assessment of Liquidated Damages
letter to be issued concerning this item.
5/7/04 DCCO CM note: Item has become
recurring non-compliance issue due to
3 or more findings of non-compliance in
12 month period (instruments for 10/03,
1/04, 3/04).

3~04 monthly

DATE/METHOD OF
CONFIRMATION BY
MONITOR/COMMENTS

Non-compliance report issued
11/12/03, 12/9/03, 1/6/04, 2/11/04,
3/11/04, and 4/13/04 for same item
(see above).

WCFA SUMMARY OF NON-COMPLIANCE NOTIFICATIONS FOR APRIL 2004
OUTDATE OF
STANDING
REPORT ISSUE Y/N

11/12/03

12/9/03

12/15/03

1/6/04

Yes

Monitoring
Instrument

Staffing

Inmate
Personal
Property

Staffing

ITEM
NO.

11a

NON-COMPLIANCE ISSUE

CONTRACTOR RESPONSE/DATE/
CORRECTIVE ACTION TAKEN

Warden's response dated 11/20/03: indicates
that vacancies are a result of 3 dozen recent
terminations of poorly performing staff, as the
12 security positions vacant over 30 Warden indicates he has discussed with
days.
TDOC representatives. Efforts to fill positions
include posting vacancies, job fairs, media
ads, assignment of full-time recruiter. Duties
are being covered via overtime.
Warden's response, dated 12/11/03, states:
"...Overtime is utilized as necessary to cover
11 vacant security positions not filled
staff shortages and/or provide additional
within 30 days.
staffing where needed..." and indicates that
many efforts are ongoing to fill positions.
Warden s response, dated 1/13/04, states:
"Per TDOC Policy 504.01 “ items in
possession of an inmate shall not occupy
more than six cubic feet. This size shall be
used for cell or room searches and
transportation requirements.” In an effort to
adhere to TDOC Policies, property room staff
allowed only the six cubic feet of property for
On 11/14 and 12/8 3 inmates were
transport purposes. The inmates were
transferred to other facilities without
permitted the option of mailing the items out
all of their personal property.
or donating said items. Again, per policy
504.01 and specific directives from the
warden, no more than six cubic feet of
property will be transferred with the inmates
(except televisions, fans etc). However, at the
direction of the contract monitor the property
room staff did forward the excess property
items "
Warden's response, dated 1/8/04, indicates
that many efforts are ongoing to fill vacant
positions, and states: "...all required positions
11 security position vacancies were
that are vacant are manned on a daily basis
not filled within 30 days.
by utilizing overtime. Copies of daily staffing
rosters are provided that shows the manning
of all mandatory post assignments."

Instrument name and Item numbers for Liquidated Damages issues are in BOLD print

Page 1
TDOC MANAGEMENT
COMMENTS/NOTES

DATE/METHOD OF
CONFIRMATION BY
MONITOR/COMMENTS

4/24/04: Deputy Comm. notes that Warden
has not requested Temporary
Non-compliance reports issued
Exemption/Waiver Due to Extreme
12/9/03, 1/6/04, 2/10/04, 3/11/04,
Circumstances. NOTE: See item dated
4/13/04, and 5/10/04 for same item
2/10/04 below.
(see below).

See Deputy Comm. comments on same
items dated 11/12/03 and 2/10/04.

Non-compliance reports issued for
same item 1/6/04, 2/10/04, 3/11/04,
4/13/04, and 5/10/04 (see below).

5/25/04: Deputy Comm. requested that
contract monitor advise in writing
regarding Warden's note that monitor
requested contractor to disregard
policy in this instance (see last
sentence of Warden's response at left).
Monitor advised that property in
question was taken from inmates prior
Verified 2/12/04
to placement in segregation due to
segregation property restrictions, not
due to violation of 6 cubic feet limit.
When inmates were transferred,
property not transferred with them.
Inmates were entitled to property.

See Deputy Comm. comments on same
items dated 11/12/03 and 2/10/04.
Subsequent non-compliance reports
issued for same item 2/10/04,
3/11/04, 4/13/04, and 5/10/04 (see
below).

4/04 monthly

WCFA SUMMARY OF NON-COMPLIANCE NOTIFICATIONS FOR APRIL 2004
OUTDATE OF
STANDING
REPORT ISSUE Y/N

2/10/04

Yes

Monitoring
Instrument

Staffing

ITEM
NO.

11a

NON-COMPLIANCE ISSUE

8 security positions were not filled
within 30 days.

CONTRACTOR RESPONSE/DATE/
CORRECTIVE ACTION TAKEN

Page 2
TDOC MANAGEMENT
COMMENTS/NOTES

5/20/04: Letter of Notice issued. 4/24/04:
Determined to be recurring noncompliance issue due to 3 or more findings
of non-compliance in 12 month period (
Warden's response dated 3/17/04: "With a full
instruments for 7/03, 10/03, 11/03, 12/03,
time Recruiter employed. (31) new
1/04). Notice of Breach, Cure Period, and
Correctional Officers are to begin training on
Assessment of Liquidated Damages letter
March 15th; and (9) will graduates the same
to be issued concerning this item. Also,
day. In addition, we have also temporarily lost
see Deputy Comm. note on same item
staff to the National Guard in support of the
dated 11/12/03, above.
war."

DATE/METHOD OF
CONFIRMATION BY
MONITOR/COMMENTS

Non-compliance reports issued
11/12/03, 12/9/03, 1/6/04, 2/11/04,
3/11/04, 4/13/04, and 5/10/04 for
same item (see above and below).

See comments on same item dated
4/13/04 below.

2/10/04

2/12/04

Yes

Staffing

Special
Management
Inmates

11b

1 non-security position was not filled
Same as above
within 45 days.

Inmate was placed in segregation
pending a protective custody hearing
without the Commissioner’s
Designee’s signature.

Warden's response dated 3/18/04 indicates
that proper signatures were subsequently
obtained. All parties have been informed;
management will closely monitor future
instances to maintain compliance.

Instrument name and Item numbers for Liquidated Damages issues are in BOLD print

Verified 3/11/04 by re-inspection of
2/04 staffing legend, however, item
found in non-compliance again
4/13/04 (see below).

5/20/04: Letter of Notice issued. 5/11/04:
Deputy Comm. Determined that Notice of
Breach, Cure Period, and Assessment of
Liquidated Damages letter to be issued
concerning this item. 5/7/04 DCCO CM
note: Item has become recurring nonVerified 3/4/04 by review of
compliance issue due to 3 or more findings
segregation files and TOMIS reports.
of non-compliance in 12 month period
(instruments for 7-9/03, 10-12/03, 1-3/04).

4/04 monthly

WCFA SUMMARY OF NON-COMPLIANCE NOTIFICATIONS FOR APRIL 2004
OUTDATE OF
STANDING
REPORT ISSUE Y/N

2/18/04

2/25/04

Yes

Monitoring
Instrument

Policies and
Procedures

Disciplinary
Procedures

Drug Testing

ITEM
NO.

NON-COMPLIANCE ISSUE

9 posts and their post orders were
overdue for annual review by the
Warden.

2c(6)

Drug testing procedures chain of
custody not properly completed before
being sent to designed lab: Lab
returned a positive test result sans
inmate's required signature.

CONTRACTOR RESPONSE/DATE/
CORRECTIVE ACTION TAKEN

Page 3
TDOC MANAGEMENT
COMMENTS/NOTES

DATE/METHOD OF
CONFIRMATION BY
MONITOR/COMMENTS

Warden's response dated 3/18/04 states: "All
Post Orders have been reviewed for 2003;
COS...checked each post and ensured that all
manuals were updated with current copy.
Additionally, Warden...has initiated the 2004
Annual Post Order Review process effective
3/17/04 to be completed not later than
4/30/04. Any and all revisions will be
approved by TDOC prior to implementation.
In the investigation of why this occurred it was
discovered that the QA office had failed to
distribute the 2003 Post Orders as required
after completion of the review process.
Corrective action was planned for this,
however, the QA Manager has resigned."
5/20/04: Letter of Notice issued. 5/11/04:
Deputy Comm. Determined that Notice of
Breach, Cure Period, and Assessment of
Warden's response dated 3/18/04 states:
"Inmate was placed into segregation 2/22/04 Liquidated Damages letter to be issued
and it was discovered by staff on 2/24/04 that concerning this item. 5/7/04 DCCO CM
the inmate had not been issued a disciplinary. note: Item has become a recurring nonProcedures and checklists are in place to
compliance issue due to 3 or more findings
ensure compliance, however, simply were not of non-compliance in 12 month period
followed in this instance by [a] Capt., Lt., and (instruments for 7-9/03, 10-12/03, 1-3/04).
Sgt. Problem Solving Notices have been
placed in each personnel file.

Warden's response dated 4/12/04 indicates
that since the non-compliance report was
issued the officer has received the proper
training.

Instrument name and Item numbers for Liquidated Damages issues are in BOLD print

Non-compliance report issued
3/8/04 for same item.

4/04 monthly

WCFA SUMMARY OF NON-COMPLIANCE NOTIFICATIONS FOR APRIL 2004
OUTDATE OF
STANDING
REPORT ISSUE Y/N

3/4/04

Yes

Monitoring
Instrument

Vocational
Academic

ITEM
NO.

2c(4)

NON-COMPLIANCE ISSUE

CONTRACTOR RESPONSE/DATE/
CORRECTIVE ACTION TAKEN

Instrument name and Item numbers for Liquidated Damages issues are in BOLD print

Page 4
TDOC MANAGEMENT
COMMENTS/NOTES

DATE/METHOD OF
CONFIRMATION BY
MONITOR/COMMENTS

5/11/04: Deputy Comm. requests Contract
Monitor to review issue by May 30, 2004,
and advise Deputy Comm. re: compliance
status.

4/04 monthly

WCFA SUMMARY OF NON-COMPLIANCE NOTIFICATIONS FOR APRIL 2004
OUTDATE OF
STANDING
REPORT ISSUE Y/N

Monitoring
Instrument

ITEM
NO.

NON-COMPLIANCE ISSUE

CONTRACTOR RESPONSE/DATE/
CORRECTIVE ACTION TAKEN

Yes

Vocational
Academic

2c(6)

The annual report to the Warden and
Education Director could not be
provided.

3/8/04

Yes

Inmate Drug
Testing

2c(6)

Yes

Inmate Drug
Testing

3/8/04

Yes

Inmate Drug
Testing

3/11/04

3/21/04

Yes

Staffing

Security and
Control Counts

11a

TDOC MANAGEMENT
COMMENTS/NOTES

3/4/04

3/8/04

Page 5
DATE/METHOD OF
CONFIRMATION BY
MONITOR/COMMENTS

Verified 3/19/04 by review of report
submitted.

Warden's response dated 4/6/04 indicates
5 inmates had positive lab results that that the officer was aware of policy
did not result in a disciplinary report
requirements and failed to complete
issuance.
appropriate entries; the received disciplinary
action and her employment terminated.
Warden's response dated 4/6/04 states: "An
administrative error was made, however,
4 inmates were reclassified and
effective immediately the records department
transferred to MTCX annex for prewill e-mail the drug testing department to
release without prior drug tests.
ensure notification is made. The drug testing
department will file all incoming e-mails to
ensure compliance."
5/11/04: included in Notice. See comments
Warden's response dated 4/6/04 states: "The
Warden and Executive Team continue to keep on same item dated 2/10/04 and 11/12/03,
both retention and quality recruitment a high above.
priority. We continually advertise in local
2 security positions not filled within 30
media, and maintain a close relationship with
days.
the State Employment Office. A new training
Pre-Service class is scheduled for 4/19/04
and hopefully will provide staffing exceeding
current requirements."
Warden's response dated 4/7/04 states:
"Policy and procedures are in place to
During 4:30 AM count, cell doors
educate staff in proper count procedures.
were discovered open (unlocked) with These procedures were not followed, and
inmates present inside during count. Problem Solving Notices were issued on
The floor officer was not present
those officers assigned. Additionally, the
during this inspection.
Chief of Security has scheduled a briefing
3/25/04 with all Shift Captains to reinforce
these directives."

Instrument name and Item numbers for Liquidated Damages issues are in BOLD print

Non-compliance reports issued
11/12/03, 12/9/03, 1/6/04, 2/11/04,
3/11/04, 4/13/04, and 5/10/04 for
same item (see above and below).

Verified 4/28/04 by monitoring count
procedures on shift.

4/04 monthly

WCFA SUMMARY OF NON-COMPLIANCE NOTIFICATIONS FOR APRIL 2004
OUTDATE OF
STANDING
REPORT ISSUE Y/N

3/23/04

Yes

Monitoring
Instrument

Visitation

ITEM
NO.

NON-COMPLIANCE ISSUE

CONTRACTOR RESPONSE/DATE/
CORRECTIVE ACTION TAKEN

TDOC MANAGEMENT
COMMENTS/NOTES

5/11/04: Deputy Comm. Requests Contract
Monitor to verify finding based on
Warden's response related to policy
requirements.

Inmate was found guilty of drugs
possession and issued a 6-month
visitation suspension. No
documentation present in visitation
file.

11a

Inmate had his visit terminated for
misconduct. Warden issued a noncontact visit restriction. No
documentation sent visitation
supervisor or placed in visitation file.

Page 6
DATE/METHOD OF
CONFIRMATION BY
MONITOR/COMMENTS

5/13/04 DCCO CM note: Documentation
sent to SCO and placed in file was for
The Warden's response, dated 4/7/04, states: suspension, not non-contact visitation.
"Documentation regarding the suspension of (Emphasis added to "Issue" and "warden's
response" columns for clarification.) SCO
[the inmate's] visitor was forwarded to the
is Visitation Supervisor per staffing pattern;
visitation senior correctional officer. The
policy requires notification to Vis. Supv.
visitation SCO did notate the restriction on
and file of non-contact visit restrictions.
TOMIS and placed a copy of the restriction
document in the inmate’s file on March 2,
2004. In addition to the letter, the postmarked
envelope is also placed in the file on the day
that the visitation senior receives it."

Instrument name and Item numbers for Liquidated Damages issues are in BOLD print

4/04 monthly

WCFA SUMMARY OF NON-COMPLIANCE NOTIFICATIONS FOR APRIL 2004
OUTDATE OF
STANDING
REPORT ISSUE Y/N

Monitoring
Instrument

ITEM
NO.

3/23/04

Yes

Visitation

11b

3/24/04

Yes

Inmate Jobs

3/24/04

Yes

Inmate Jobs

4/13/04

Yes

Staffing

11a

11b

NON-COMPLIANCE ISSUE

CONTRACTOR RESPONSE/DATE/
CORRECTIVE ACTION TAKEN

Page 7
TDOC MANAGEMENT
COMMENTS/NOTES

1 non-security position not filled within
45 days.

Instrument name and Item numbers for Liquidated Damages issues are in BOLD print

DATE/METHOD OF
CONFIRMATION BY
MONITOR/COMMENTS

During monitoring the Jobs
Coordinator said she hadn't done
the job audit on TOMIS.

See comments on same item dated
2/10/04 and 11/12/03, above.

Non-compliance reports issued
11/12/03, 12/9/03, 1/6/04, 2/11/04,
3/11/04, 4/13/04, and 5/10/04 for
same item (see above).

5/20/04: Letter of Notice issued. 5/11/04:
Deputy Comm. Determined that Notice of
Breach, Cure Period, and Assessment of
Liquidated Damages letter to be issued
Non-compliance reports previously
concerning this item. 5/7/04 DCCO CM
issued 10/03, 1/04, 3/04, 4/04
note: Item has become recurring noncompliance issue due to 3 or more findings
of non-compliance in 12 month period
(instruments for 10/03, 1/04, 3/04).

4/04 monthly

WCFA SUMMARY OF NON-COMPLIANCE NOTIFICATIONS FOR APRIL 2004
OUTDATE OF
STANDING
REPORT ISSUE Y/N

Monitoring
Instrument

4/15/04

Disciplinary
Procedures

4/20/04

Policy and
Procedures

4/22/04

4/28/04

Commissary

Inmate
Orientation

ITEM
NO.

NON-COMPLIANCE ISSUE

CONTRACTOR RESPONSE/DATE/
CORRECTIVE ACTION TAKEN

Warden's response, dated 4/27/04, states:
"Inmates were placed into segregation on
04/10/04 at 2:50 a.m. The hearings on the
inmates were conducted on 04/13/04. The
2 inmates segregated pending
inmates were locked up on the third shift and
hearing. Staff failed to schedule
cases were heard with in three days; however,
hearings within proscribed policy time they were not heard until the middle on the
limit of 72 hours. This is at least the
third day. This was done to ensure that the
4a(5) 7th time that a non-compliance report inmate were given time for advisors to prepare
has been issued for the same/similar the cases to ensure that due process
problem (ref. non-compliance reports procedures were met. Cases can be heard
dated 7/10/03, 7/18/03, 8/12/03,
earlier than the third day with the
8/19/03, 11/25/03 and 2/25/04).
understanding that the inmate’s advisors will
only be given one to one and half days to
prepare the case. I believe that although the
letter of the policy was not followed that the
intent and spirit of the policy was followed."
Warden’s response, dated 4/27/04, indicates
that a Unit Manager has placed new post
orders in the effective areas and that Shift
During inspection of 15 WCFA posts
Supervisors and Unit Managers were
and their post orders the following 3
instructed to check post orders routinely and
post orders were not present for
1b
to instruct their Senior Correctional Officer to
review and 1 was overdue for annual
review and ensure that post orders are
review by the Warden.
located in the required locations on a daily
basis.

During monitoring of WCFA inmate
commissary, copies of order forms
obtained from institutional commissary
for general population and
segregation were compared. A
sample of 15 items was selected.
There were 5 items with different
prices (Items # 131, 137, 605, 606,
and 611); therefore, inmates in
general population and segregation
are charged different prices for the
same items.
2 inmates signed and dated CR-2110
inmate orientation acknowledgment
form, but not within the 7 day period
stated in policy.

Wardens response, dated: 4/22/04, indicates
that he does not concur with a noncompliance finding because, although some
outdated segregation commissary forms were
still in circulation, the segregation inmates and
general population inmates actually paid the
same prices. Outdated forms have all been
collected and destroyed.

Page 8
TDOC MANAGEMENT
COMMENTS/NOTES

DATE/METHOD OF
CONFIRMATION BY
MONITOR/COMMENTS

5/18/04 DCCO CM note: This noncompliance report issued to Warden
prior to Notice letter for same issue
being sent from Commissioner to
contractor.

Verified 4/23/04 by review of new
commissary forms and destruction
of out-dated forms.

Warden’s response, dated 5/404, indicates
that he concur with monitor’s findings: 1
inmate was oriented 2 days late, 1 oriented 4
days late.

Instrument name and Item numbers for Liquidated Damages issues are in BOLD print

4/04 monthly

WCFA SUMMARY OF NON-COMPLIANCE NOTIFICATIONS FOR APRIL 2004
OUTDATE OF
STANDING
REPORT ISSUE Y/N

5/10/04

Monitoring
Instrument

Staffing

ITEM
NO.

11a

11b

NON-COMPLIANCE ISSUE

CONTRACTOR RESPONSE/DATE/
CORRECTIVE ACTION TAKEN

9 security positions vacant over 30
days.

1 non-security position vacant over 45
days.

Instrument name and Item numbers for Liquidated Damages issues are in BOLD print

Page 9
TDOC MANAGEMENT
COMMENTS/NOTES
5/18/04 DCCO CM note: This noncompliance report issued to Warden
prior to Notice letter for same issue
being sent from Commissioner to
contractor.

5/18/04 DCCO CM note: This noncompliance report issued to Warden
prior to Notice letter for same issue
being sent from Commissioner to
contractor.

DATE/METHOD OF
CONFIRMATION BY
MONITOR/COMMENTS

Non-compliance reports issued
11/12/03, 12/9/03, 1/6/04, 2/11/04,
3/11/04, 4/13/04, and 5/10/04 for
same item (see above).

Non-compliance reports previously
issued 10/03, 1/04, 3/04, 4/04

4/04 monthly

WCFA SUMMARY OF NON-COMPLIANCE NOTIFICATIONS FOR May 2004
OUTDATE OF
Monitoring
STANDING
REPORT ISSUE Y/N Instrument

11/12/03

12/9/03

1/6/04

Yes

Staffing

ITEM
NO.

11a

NON-COMPLIANCE
ISSUE

CONTRACTOR RESPONSE/DATE/
CORRECTIVE ACTION TAKEN

Page 1
TDOC MANAGEMENT
COMMENTS/NOTES

DATE/METHOD OF
CONFIRMATION BY
MONITOR/COMMENTS

See Deputy Comm. note dated
7/6/04 on same item dated 2/10/04,
below. 6/18/04 DCCO CM note: 45
day temporary waiver granted 6/4/04
Warden's response dated 11/20/03: indicates to provision requiring security
that vacancies are a result of 3 dozen recent positions to be filled within 30 days.
terminations of poorly performing staff, as the Warden requested by Deputy Comm.
Verified: See verification
12
security
positions Warden indicates he has discussed with TDOC to provide info explaining means of
comment for same item dated
vacant over 30 days.
representatives. Efforts to fill positions include providing adequate service during
2/10/04.
posting vacancies, job fairs, media ads, vacancies. 5/20/04: Letter of Notice
assignment of full-time recruiter. Duties are issued (based on 2/10/04 report).
4/24/04: Deputy Comm. notes that
being covered via overtime.
Warden has not requested
Temporary Exemption/Waiver Due to
Extreme Circumstances. NOTE: See
item dated 2/10/04 below.

Warden's response, dated 12/11/03, states:
11
vacant
security "...Overtime is utilized as necessary to cover
positions not filled within 30 staff shortages and/or provide additional staffing
days.
where needed..." and indicates that many efforts
are ongoing to fill positions.
Warden's response, dated 1/8/04, indicates that
many efforts are ongoing to fill vacant positions,
and states: "...all required positions that are
11 security position
vacant are manned on a daily basis by utilizing
vacancies were not filled
overtime. Copies of daily staffing rosters are
within 30 days.
provided that shows the manning of all
mandatory post assignments."

Instrument name and Item numbers for Liquidated Damages issues are in BOLD print

See Deputy Comm. note dated
7/6/04 on same item dated 2/10/04,
below. 6/18/04 DCCO CM note:
Same as above for 11/12/03. 5/20/04:
Letter of Notice issued (based on
2/10/04 report). See Deputy Comm.
comments on same items dated
11/12/03 and 2/10/04.
See Deputy Comm. note dated
7/6/04 on same item dated 2/10/04,
below. 6/18/04 DCCO CM note:
Same as above for 11/12/03. 5/20/04:
Letter of Notice issued (based on
2/10/04 report). See Deputy Comm.
comments on same items dated
11/12/03 and 2/10/04

Verified: See verification
comment for same item dated
2/10/04.

5/04 monthly

WCFA SUMMARY OF NON-COMPLIANCE NOTIFICATIONS FOR May 2004
OUTDATE OF
Monitoring
STANDING
REPORT ISSUE Y/N Instrument

2/10/04

Yes

Staffing

ITEM
NO.

11a

NON-COMPLIANCE
ISSUE

8 security positions were
not filled within 30 days.

CONTRACTOR RESPONSE/DATE/
CORRECTIVE ACTION TAKEN

Page 2
TDOC MANAGEMENT
COMMENTS/NOTES

7/6/04: Deputy Comm. granted 45
day waiver of 30 day fill
requirement 6/4/04. Warden's
response indicates that
appropriate steps were taken to
ensure proper coverage of security
positions when positions were
vacant, and that efforts to fill
vacancies are being diligently
pursued. Since this nonWarden's response dated 3/17/04: "With a full
compliance issue was addressed
time Recruiter employed. (31) new Correctional within the cure period, no
Officers are to begin training on March 15th; and liquidated damages will be
(9) will graduates the same day. In addition, we assessed at this time, however,
have also temporarily lost staff to the National
future non-compliance concerning
Guard in support of the war."
this issue will result in immediate
Warden's 6/10/04 response to 5/20/04 Letter assessment of liquidated damages.
of Notice indicates that request for temporary This determination also applies to
waiver of 30 day fill requirement requested. same items dated 3/11/04, 4/13/04,
Response also indicates amount of overtime 5/10/04, and 6/7/04, below, which
paid to ensure that required posts were
were found in non-compliance
covered during periods in which positions
subsequent to this report but prior
were not filled.
to receipt of the Letter of Notice
and the corrective actions taken.
6/18/04 DCCO CM note: Same as
above for 11/12/03. 5/20/04: Letter of
Notice issued (based on this report).
4/24/04 DCCO CM note: Determined
to be recurring non-compliance issue
due to 3 findings in 12 month period
(7/03, 10/03, 11/03, 12/03, 1/04).
Letter of Notice to be issued. Also,
see Deputy Comm. note on same
item dated 11/12/03, above.

Instrument name and Item numbers for Liquidated Damages issues are in BOLD print

DATE/METHOD OF
CONFIRMATION BY
MONITOR/COMMENTS

Verified: WCFA verified waiver
request and approval and use of
overtime to cover posts approx.
6/11/04.

5/04 monthly

WCFA SUMMARY OF NON-COMPLIANCE NOTIFICATIONS FOR May 2004
OUTDATE OF
Monitoring
STANDING
REPORT ISSUE Y/N Instrument

2/10/04

2/12/04

2/18/04

Yes

Staffing

Special
Management
Inmates

Policies and
Procedures

ITEM
NO.

11b

NON-COMPLIANCE
ISSUE

CONTRACTOR RESPONSE/DATE/
CORRECTIVE ACTION TAKEN

Page 3
TDOC MANAGEMENT
COMMENTS/NOTES

See Deputy Comm. note dated
7/6/04 on same item dated 4/13/04,
1 non-security position was
below. 5/20/04: Letter of Notice
Same as above
not filled within 45 days.
issued based on report dated 4/13/04.
See comments on same item dated
4/13/04 below.
7/6/04: Deputy Comm. determined
that procedures effected by
institution have apparently
resolved the non-compliance,
based upon the monitor's
verification. No liquidated damages
Warden's response dated 3/18/04 indicates that
will be assessed at this time,
proper signatures were subsequently obtained.
however, future non-compliance
All parties have been informed; management will
concerning this issue will result in
Inmate was placed in
closely monitor future instances to maintain
immediate assessment of
segregation pending a
compliance.
protective custody hearing
Warden's 6/10/04 response to 5/20/04 Letter liquidated damages. 5/20/04: Letter
without the
of Notice issued. 5/11/04: Deputy
of Notice indicates that the PC procedures
Commissioner’s
Comm. determined that Notice of
have been reviewed by appropriate
Designee’s signature.
Breach, Cure Period, and
supervisory staff, who will monitor the
Assessment of Liquidated Damages
process to ensure proper procedures are
letter to be issued concerning this
adhered to.
item. 5/7/04 DCCO CM note: Item
has become recurring noncompliance issue due to 3 or more
findings of non-compliance in 12
month period (instruments for 7-9/03,
10-12/03, 1-3/04).
9 posts and their post
orders were overdue for
annual review by the
Warden.

Instrument name and Item numbers for Liquidated Damages issues are in BOLD print

DATE/METHOD OF
CONFIRMATION BY
MONITOR/COMMENTS

Verified: See verification
comment for same item dated
4/13/04.

Verified approx. 6/11/04: CM
indicates no recurrences of
problem between receipt of
original response of Warden and
subsequent Warden's response
to 5/20/04 Letter of Notice.
Verified 3/4/04 by review of
segregation files and TOMIS
reports.

Non-compliance issued 4/20/04
for same/similar item.

5/04 monthly

WCFA SUMMARY OF NON-COMPLIANCE NOTIFICATIONS FOR May 2004
OUTDATE OF
Monitoring
STANDING
REPORT ISSUE Y/N Instrument

2/25/04

Yes

ITEM
NO.

NON-COMPLIANCE
ISSUE

CONTRACTOR RESPONSE/DATE/
CORRECTIVE ACTION TAKEN

Page 4
TDOC MANAGEMENT
COMMENTS/NOTES

DATE/METHOD OF
CONFIRMATION BY
MONITOR/COMMENTS

Disciplinary
Procedures

7/6/04: Deputy Comm. determined
that procedures effected by
institution should be sufficient to
ensure appropriate documentation
is completed and distributed in
cases of segregation. Disciplinary
action against staff who fail to
Inmate was segregated
follow procedures is appropriate.
pending hearing. Staff
Warden's response dated 3/18/04 states:
Since this issue was adequately
failed to enter formal
"Inmate was placed into segregation 2/22/04 and addressed during the cure period,
disciplinary report on
it was discovered by staff on 2/24/04 that the
no liquidated damages will be
TOMIS or serve report to inmate had not been issued a disciplinary.
the inmate. Although the Procedures and checklists are in place to ensure assessed, however, continued
violations of policy procedures in
inmate was released
compliance, however, simply were not followed this regard may result in immediate
before the 72-hour time
in this instance by [a] Capt., Lt., and Sgt.
assessment of Liquidated
limit for conducting a
Problem Solving Notices have been placed in
4a(5)
Damages with no cure period. This
hearing, this is at least the each personnel file.
determination also applies to the
6th time that a nonWarden's 6/10/04 response to 5/20/04 Letter
same item found in noncompliance report has
of Notice indicates that the inmate was
compliance on 4/15/04, below.
been issued for the
released from segregation as soon as staff
5/20/04: Letter of Notice issued.
same/similar problem (ref.
discovered the error, and that disciplinary
5/11/04: Deputy Comm. Determined
non-compliance reports
action was taken against supervisory staff
that Notice of Breach, Cure Period,
dated 7/10/03, 7/18/03,
who failed to follow correct procedures.
and Assessment of Liquidated
8/12/03, 8/19/03 and
Damages letter to be issued
11/25/03).
concerning this item. 5/7/04 DCCO
CM note: Item has become a
recurring non-compliance issue due
to 3 or more findings of noncompliance in 12 month period
(instruments for 7-9/03, 10-12/03, 13/04).

Verified: WCFA CM verified
release of inmates and
disciplinary action against staff
approx. 3/22/04. No subsequent
instances of failure to serve
segregated inmates with
appropriate documents between
this incident and Warden's
6/10/04 response to
Commissioner's 5/20/04 Letter
of Notice. See also same item
number dated 4/15/04, below.

Drug Testing

Drug testing procedures
chain of custody not
properly completed before Warden's response dated 4/12/04 indicates that
2c(6) being sent to designed lab: since the non-compliance report was issued the
Lab returned a positive test officer has received the proper training.
result sans inmate's
required signature.

Verified 6/1/04: By review of
drug testing procedures and past
chain of custody forms.

Instrument name and Item numbers for Liquidated Damages issues are in BOLD print

5/04 monthly

WCFA SUMMARY OF NON-COMPLIANCE NOTIFICATIONS FOR May 2004
OUTDATE OF
Monitoring
STANDING
REPORT ISSUE Y/N Instrument

ITEM
NO.

NON-COMPLIANCE
ISSUE

CONTRACTOR RESPONSE/DATE/
CORRECTIVE ACTION TAKEN

Page 5
TDOC MANAGEMENT
COMMENTS/NOTES

DATE/METHOD OF
CONFIRMATION BY
MONITOR/COMMENTS

5/11/04: Deputy Comm. requests
Contract Monitor to review issue by
May 30, 2004, and advise Deputy
Comm. re: compliance status.

3/4/04

3/8/04

Yes

Vocational
Academic

Inmate Drug
Testing

Principle’s personnel files
do not have current
2c(4)
teacher’s license or waiver
for 2 Academic instructor’s.

Two academic instructor’s
do not have required proof
of teacher’s licensure or
waiver on file.

Untrained staff have
conducted field drug
2c(6) testing, however, no
documentation of training
in their files.

Warden's response dated 3/18/04 indicates:
One Academic Instructor's application for
alternative licensure was submitted August 2003.
Additional info was requested by TDOE 12/03
and was supplied 2/04. We are currently awaiting
the processing of the application. She is not
teaching classes at this time and is being used to
deliver the Life Skills program. The other
Academic Instructor's application for licensure
was submitted in September 2003. TDOE
advised 12/03 that additional coursework would
be required prior to licensure, and is currently
enrolled in those classes at Freed Hardeman
5/11/04: Deputy Comm. requests
University, which indicates coursework will be
Contract Monitor to review issue by
completed in April 2003. Freed Hardeman has May 30, 2004, and advise Deputy
also indicated that they will provide the
Comm. re: compliance status.
necessary information for licensure to the TDOE
upon her successful completion of these
classes. She is not assigned to teach an
academic class at this time and is being utilized
as a substitute teacher. The status of both
instructors will be reviewed no later than May 15,
2004, in order to determine their continued
employment status.

Verified 6/18/04 (by DCCO CM
based on comment: Monitor's
Note 6/14/04: 1 Instructor failed
to meet requirements of
employment and was terminated
from service 5/20/04. The other
instructor had her license (B)
renewed 4/20/04 pending
successful completion of state
NTE exam, her current license
expires 8/31/04.

Wardens response dated 4/6/04 indicates that
the 2 staff have received training, and that
documentation is now in their training files.

Warden's response dated 4/6/04 indicates that
5 inmates had positive lab
the officer was aware of policy requirements and
results that did not result in
failed to complete appropriate entries; the
a disciplinary report
received disciplinary action and her employment
issuance.
terminated.

Instrument name and Item numbers for Liquidated Damages issues are in BOLD print

5/04 monthly

WCFA SUMMARY OF NON-COMPLIANCE NOTIFICATIONS FOR May 2004
OUTDATE OF
Monitoring
STANDING
REPORT ISSUE Y/N Instrument

3/8/04

3/11/04

3/21/04

Yes

Inmate Drug
Testing

Staffing

Security and
Control Counts

ITEM
NO.

11a

NON-COMPLIANCE
ISSUE

CONTRACTOR RESPONSE/DATE/
CORRECTIVE ACTION TAKEN

Warden's response dated 4/6/04 states: "An
administrative error was made, however,
4 inmates were reclassified
effective immediately the records department will
and transferred to MTCX
e-mail the drug testing department to ensure
annex for pre-release
notification is made. The drug testing
without prior drug tests.
department will file all incoming e-mails to
ensure compliance."

Page 6
TDOC MANAGEMENT
COMMENTS/NOTES

DATE/METHOD OF
CONFIRMATION BY
MONITOR/COMMENTS

Second NCN issued
same/similar item (ref:2/25/04)

2 security positions not
filled within 30 days.

See Deputy Comm. note dated
7/6/04
on same item dated 2/10/04,
Warden's response dated 4/6/04 states: "The
above.
6/18/04 DCCO CM note:
Warden and Executive Team continue to keep
Same
as
above for 11/12/03. 5/11/04
both retention and quality recruitment a high
DCCO
CM
note: Deputy Comm.
priority. We continually advertise in local media,
Verified: See verification
and maintain a close relationship with the State determined that, for verification
comment for same item dated
Employment Office. A new training Pre-Service purposes, this non-compliance report 2/10/04.
class is scheduled for 4/19/04 and hopefully will would be covered by Letter of Notice
triggered by 2/10/04 report. See
provide staffing exceeding current
comments on same item dated
requirements."
2/10/04 and 11/12/03, above.

During 4:30 AM count, cell
doors were discovered
open (unlocked) with
inmates present inside
during count. The floor
officer was not present
during this inspection.

Warden's response dated 4/7/04 states: "Policy
and procedures are in place to educate staff in
proper count procedures. These procedures
were not followed, and Problem Solving Notices
were issued on those officers assigned.
Additionally, the Chief of Security has scheduled
a briefing 3/25/04 with all Shift Captains to
reinforce these directives."

Instrument name and Item numbers for Liquidated Damages issues are in BOLD print

Verified 5/27/04: By monitoring
unit counts on all shifts.

5/04 monthly

WCFA SUMMARY OF NON-COMPLIANCE NOTIFICATIONS FOR May 2004
OUTDATE OF
Monitoring
STANDING
REPORT ISSUE Y/N Instrument

3/23/04

Yes

Visitation

ITEM
NO.

NON-COMPLIANCE
ISSUE

CONTRACTOR RESPONSE/DATE/
CORRECTIVE ACTION TAKEN

Page 7
TDOC MANAGEMENT
COMMENTS/NOTES

7/6/04: Deputy Comm. requests
Warden to provide CM with
documentation that written notice
was provided to individuals whose
visitation was suspended and that
written justification for the
suspension was done, per policy
Warden's response dated 4/7/04 indicates that
requirements. 6/18/04 DCCO CM
Inmate was found guilty of the appropriate notifications were made on
note: TDOC Policy does not
TOMIS as per TDOC policy 507.01. That policy
drugs possession and
specifically require form to be placed
issued a 6-month visitation requires TOMIS LCD2 to reflect suspensions. In
in file, however, does require written
addition, policy 502.02 states similar language.
suspension. No
justification for the record and notice
documentation present in Neither policy requires that disciplinary sanctions
to the individuals suspended.
visitation file.
for drug screens be placed in the visitation file,
Institutional policy requires written
only that entries be made on TOMIS.
notice from Warden to inmate and
visitation staff. TDOC Policy
clarification under consideration.
5/11/04: Deputy Comm. Requests
Contract Monitor to verify finding
based on Warden's response related
to policy requirements.

TOMIS LCD2 visitor status
entry does not reflect the
suspension identified in
item 8a, above.

Warden's response dated 4/7/04 indicates that
no docket was received by Visitation from the
DHO to indicate a disciplinary sanction The
DHO will in the future forward a copy of the
docket to the visitation senior correctional officer
as they are generated.

Instrument name and Item numbers for Liquidated Damages issues are in BOLD print

DATE/METHOD OF
CONFIRMATION BY
MONITOR/COMMENTS

Monitor Note 6/14/04: Policy
does not dictate suspension be
in inmates visitation file.
However using the instrument
item as a driving tool, having a
hard copy of suspensions in visit
files is beneficial to staff.

Verified 5/17/04: By review of
inmates visitation file and TOMIS
reports.

5/04 monthly

WCFA SUMMARY OF NON-COMPLIANCE NOTIFICATIONS FOR May 2004
OUTDATE OF
Monitoring
STANDING
REPORT ISSUE Y/N Instrument

3/23/04

3/24/04

Yes

Visitation

Inmate Jobs

ITEM
NO.

NON-COMPLIANCE
ISSUE

CONTRACTOR RESPONSE/DATE/
CORRECTIVE ACTION TAKEN

Page 8
TDOC MANAGEMENT
COMMENTS/NOTES

DATE/METHOD OF
CONFIRMATION BY
MONITOR/COMMENTS

5/13/04 DCCO CM note:
Documentation sent to SCO and
placed in file was for suspension, not
non-contact visitation. (Emphasis
added to "Issue" and "warden's
response" columns for clarification.) Same as above
SCO is Visitation Supervisor per
staffing pattern; policy requires
notification to Vis. Supv. and file of
non-contact visit restrictions.

11a

The Warden's response, dated 4/7/04, states:
"Documentation regarding the suspension of
Inmate had his visit
[the inmate's] visitor was forwarded to the
terminated for misconduct.
visitation senior correctional officer. The
Warden issued a nonvisitation SCO did notate the restriction on
contact visit restriction. No
TOMIS and placed a copy of the restriction
documentation sent
document in the inmate’s file on March 2, 2004.
visitation supervisor or
In addition to the letter, the postmarked envelope
placed in visitation file.
is also placed in the file on the day that the
visitation senior receives it."

11b

TOMIS entry shows a
visitor was suspended
from visiting an inmate for
60 days. TOMIS should
reflect restricted to noncontact.

Warden's response dated 4/7/04 states: "The
visitor for [the inmate] was incorrectly
suspended. The correct revision for non-contact
status has been made. To prevent future
reoccurrences, only the visitation senior
correctional officer will input this data into
TOMIS.

Same as above

Inmates with a disciplinary
dismissal are being listed
and restricted from any job
register for 90 days, not
just registers for the same
or higher pay level.

Warden's response dated 4/7/04 states: ": It
was a misunderstanding of policy that all inmates
that have received a Class A disciplinary were to
be removed from all job registers and current job
assignments, not being allowed another job for
90 days. As of 4/08/04 this has been corrected."

Verified 5/17/04: By review of
Jobs tracking board and TOMIS
reports.

Warden's response dated 4/7/04 states: "Three
of the five February Job Audits were not entered
Of the 5 job assessments on TOMIS/LJEF. TOMIS LJEF will not accept
required monthly, only 2
Education Classes (ABE, etc.). The Jobs
were completed and
Coordinator has been instructed that to comply
entered on TOMIS LJEF. with the Policy requirement, 5 job class audits
will be conducted over-and-above any audits
conducted on Educational job positions."

Instrument name and Item numbers for Liquidated Damages issues are in BOLD print

Verified 5/17/04: By review of
Job audits done in May 04 and
TOMIS reports.

5/04 monthly

WCFA SUMMARY OF NON-COMPLIANCE NOTIFICATIONS FOR May 2004
OUTDATE OF
Monitoring
STANDING
REPORT ISSUE Y/N Instrument

4/13/04

Yes

Staffing

ITEM
NO.

11a

11b

NON-COMPLIANCE
ISSUE

12 security positions not
filled within 30 days. Noncompliance report issued
4/13/04.

CONTRACTOR RESPONSE/DATE/
CORRECTIVE ACTION TAKEN

Page 9
TDOC MANAGEMENT
COMMENTS/NOTES

DATE/METHOD OF
CONFIRMATION BY
MONITOR/COMMENTS

See Deputy Comm. note dated
7/6/04 on same item dated 2/10/04,
Warden's response dated 5/4/04: With a full time above. 6/18/04 DCCO CM note:
Same as above for 11/12/03. 5/11/04
Recruiter employed we have made significant
progress in filling vacant positions. At this time DCCO CM note: Deputy Comm.
Verified: See verification
determined that, for verification
25 correctional officers are scheduled to begin
comment for same item dated
purposes, this non-compliance report 2/10/04.
training on April 19, 2004. Our goal is 30 new
would be covered by Letter of Notice
correctional officers. We are still conducting
triggered by 2/10/04 report. See
interviews for the remainder of this week.
comments on same item dated
2/10/04 and 11/12/03, above.

7/6/04: Deputy Comm. determined
that appropriate steps were taken
to provide services via contract
dentist pending newly hired dentist
beginning duties. Since this issue
Warden's response dated 5/4/04: Currently we was addressed during the cure
period, no liquidated damages will
do have a contract dentist completing 10 to 20
hours per week on site. The Dentist schedules
be assessed at this time, however,
off site visits with UT Dental when necessary.
future non-compliance concerning
Letters have been sent to several colleges in the the same issue will result in
adjoining counties for the dentist position. Also, immediate assessment of
1 non-security position not we are advertising daily on the local radio station liquidated damages. This
and with the time and temperature audio
filled within 45 days.
determination also applies to same
recording.
items dated 5/10/04 and 6/7/04,
Warden's 6/10/04 response to 5/20/04 Letter below. 5/20/04: Letter of Notice
of Notice indicates that services are being
issued triggered by this report.
provided by contract dentist pending newly 5/11/04: Deputy Comm. determined
hired dentist being notified of licensure and that Notice letter to be issued. 5/7/04
coming on board at facility.
DCCO CM note: Item has become
recurring non-compliance issue due
to 3 or more findings of noncompliance in 12 month period
(instruments for 10/03, 1/04, 3/04).

Instrument name and Item numbers for Liquidated Damages issues are in BOLD print

Verified: WCFA CM verified
provisional hiring of dentist and
temporary use of contract dentist
approx. 5/6/04.

5/04 monthly

WCFA SUMMARY OF NON-COMPLIANCE NOTIFICATIONS FOR May 2004
OUTDATE OF
Monitoring
STANDING
REPORT ISSUE Y/N Instrument

4/15/04

4/20/04

Yes

Disciplinary
Procedures

Policy and
Procedures

ITEM
NO.

NON-COMPLIANCE
ISSUE

2 inmates segregated
pending hearing. Staff
failed to schedule hearings
within proscribed policy
time limit of 72 hours. This
is at least the 7th time that
4a(5) a non-compliance report
has been issued for the
same/similar problem (ref.
non-compliance reports
dated 7/10/03, 7/18/03,
8/12/03, 8/19/03, 11/25/03
and 2/25/04).

During inspection of 15
WCFA posts and their post
orders the following 3 post
orders were not present for
review and 1 was overdue
for annual review by the
Warden.

Page 10

CONTRACTOR RESPONSE/DATE/
CORRECTIVE ACTION TAKEN

TDOC MANAGEMENT
COMMENTS/NOTES

Warden's response dated 4/27/04: Inmates were
placed into segregation on 04/10/04 at 2:50 a.m.
The hearings on the inmates were conducted on
04/13/04. The inmates were locked up on the
third shift and cases were heard with in three
days; however, they were not heard until the
middle on the third day. This was done to
ensure that the inmate were given time for
advisors to prepare the cases to ensure that due
process procedures were met. Cases can be
heard earlier than the third day with the
understanding that the inmate’s advisors will only
be given one to one and half days to prepare the
case. I believe that although the letter of the
policy was not followed that the intent and spirit
of the policy was followed.

7/6/04: Deputy Commissioner has
determined that, per legal staff and
disciplinary appeal staff, the 72
hour time limit is to be strictly
interpreted and adhered to. The
Warden is requested to ensure that
this is communicated to WCFA
segregation and disciplinary
supervisory staff. 6/18/04 DCCO
CM note: Although indicated by same
item number, the issue in this case is
different from the issue raised by item
dated 2/25/04, above, which involved
failure to provide documentation to
inmates following segregation. For
recurring non-compliance issue
tracking purposes, this incident is not
considered resolved by the Warden's
responses to the 2/25/04 noncompliance report or subsequent
Letter of Notice. 5/18/04 DCCO CM
note: This non-compliance report
issued to Warden prior to Notice letter
for same issue being sent from
Commissioner to contractor.

Warden's response dated 4/27/04: Unit Manager
has corrected the issue and placed new post
orders in the effective areas prior to receiving the
non-compliant violation. A management meeting
was held on April 22, 2004. All Shift Supervisors
and Unit Managers were instructed to check post
orders routinely and to instruct their Senior
Correctional Officer to review and ensure that
post orders are located in the required locations
on a daily basis.

Instrument name and Item numbers for Liquidated Damages issues are in BOLD print

DATE/METHOD OF
CONFIRMATION BY
MONITOR/COMMENTS

Prior NCN issued 2/18/04
same/similar item.

5/04 monthly

WCFA SUMMARY OF NON-COMPLIANCE NOTIFICATIONS FOR May 2004
OUTDATE OF
Monitoring
STANDING
REPORT ISSUE Y/N Instrument

4/28/04

5/10/04

Yes

Inmate
Orientation

Staffing

ITEM
NO.

NON-COMPLIANCE
ISSUE

CONTRACTOR RESPONSE/DATE/
CORRECTIVE ACTION TAKEN

Page 11
TDOC MANAGEMENT
COMMENTS/NOTES

DATE/METHOD OF
CONFIRMATION BY
MONITOR/COMMENTS

2 inmates signed and
dated CR-2110 inmate
Warden’s response, dated 5/404, indicates that
orientation
he concur with monitor’s findings: 1 inmate was
acknowledgment form, but
oriented 2 days late, 1 oriented 4 days late.
not within the 7 day period
stated in policy.

11a

See Deputy Comm. note dated
Warden's response dated 5/13/04: Whiteville
7/6/04 on same item dated 2/10/04,
Correctional Facility still continues to work
above. 6/18/04 DCCO CM note:
diligently towards recruiting new staff. To date, Same as above for 11/12/03. For
we have 20 correctional officer hired to begin pre- verification purposes, this report to be
Verified: See verification
9 security positions vacant service training on 05/24/04. Interviews are
covered by Letter of Notice issued
comment for same item dated
scheduled for the following week, in hopes, to
over 30 days.
5/20/04 (triggered by 2/10/04 report). 2/10/04.
increase that number to 30. We are still running 5/18/04 DCCO CM note: This nonemployment adds on the local radio station and compliance report issued to Warden
on the audio taping “time and temperature” a
prior to Notice letter for same issue
service of First South Bank of Bolivar.
being sent from Commissioner to

11b

contractor
See Deputy Comm. note dated
7/6/04 on same item dated 4/13/04,
above. 6/18/04 DCCO CM note: For
Warden's response dated 5/13/04: Doctor Beard verification purposes, this report will
be covered by Letter of Notice issued Verified: See verification
is still providing contract dentistry services. A
comment for same item dated
new Dentist has been hired to begin pre-service 5/20/04 (triggered by 4/13/04 report).
4/13/04.
5/18/04 DCCO CM note: This nontraining at the end on May 2004.
compliance report issued to Warden
prior to Notice letter for same issue
being sent from Commissioner to
contractor

5/27/04

Count
Procedures

5/27/04

Count
Procedures

1 non-security position
vacant over 45 days.

2:45pm out count sheet in
Jobs office wasn’t picked
up prior to 3:15pm formal
count. Inmates were
escorted back to assigned
unit for count.
Inmate counted in J B-205
during 3:15 formal count,
Inmate is assigned in G B
–103.

Instrument name and Item numbers for Liquidated Damages issues are in BOLD print

5/04 monthly

WCFA SUMMARY OF NON-COMPLIANCE NOTIFICATIONS FOR May 2004
OUTDATE OF
Monitoring
STANDING
REPORT ISSUE Y/N Instrument

6/7/04

Staffing

ITEM
NO.

11a

11b

NON-COMPLIANCE
ISSUE

CONTRACTOR RESPONSE/DATE/
CORRECTIVE ACTION TAKEN

Warden's response dated 6/11/04 indicates the
Warden 5/12/04 request for temporary
exemption/waiver due to extreme circumstances
in accordance with Section 9.2 (b) of the
contract. No response has been received as of
this date, possibly due to the recent
11security positions vacant
reorganization in TDOC management. Per
over 30 days.
previous responses, WCFA has made every
reasonable effort to fill positions in timely
manner. Whiteville is experiencing the same
difficulties as other state managed facilities in
recruiting and retaining qualified applicants.

1 non-security position
vacant over 45 days.

Warden's response dated 6/11/04 indicates that
immediately following the notice given by the
former dentist, search and recruitment efforts
began for a new dentist. The only applicant was
in her final semester of dental school; she was
extended a conditional offer of employment
when she had passed her board exams and
received her license to practice. She has taken
the boards and is currently awaiting results. To
provide services in the interim, WCFA initiated a
contract with a licensed dentist to provide parttime services until the position was filled. The
contract dentist has provided service to
approximately 75% of the patient load that was
being seen by the full-time dentist. We plan and
he has agreed to continue to provide time after
the new dentist is hired to train her and to ensure
that the dental waiting list is completely
exhausted.

Instrument name and Item numbers for Liquidated Damages issues are in BOLD print

Page 12
TDOC MANAGEMENT
COMMENTS/NOTES

DATE/METHOD OF
CONFIRMATION BY
MONITOR/COMMENTS

See Deputy Comm. note dated
7/6/04 on same item dated 2/10/04,
above. 6/18/04 DCCO CM note:
Same as above for 11/12/03. For
verification purposes, this report to be
Verified: See verification
covered by Letter of Notice issued
5/20/04 (triggered by 2/10/04 report). comment for same item dated
2/10/04.

See Deputy Comm. note dated
7/6/04 on same item dated 4/13/04,
above. 6/18/04 DCCO CM note: For
verification purposes, this report will
be covered by Letter of Notice issued
5/20/04 (triggered by 4/13/04 report).

Verified: See verification
comment for same item dated
4/13/04.

5/04 monthly

WCFA SUMMARY OF NON-COMPLIANCE NOTIFICATIONS FOR June 2004
OUT-

DATE OF
STANDING
REPORT ISSUE Y/N

Monitoring
Instrument

Yes

Policies and
Procedures

3/8/04

Yes

Inmate Drug
Testing

3/8/04

Yes

Inmate Drug
Testing

3/8/04

Yes

Inmate Drug
Testing

2/18/04

ITEM
NO.

NON-COMPLIANCE ISSUE

CONTRACTOR RESPONSE/DATE/ CORRECTIVE
ACTION TAKEN

9 posts and their post orders
were overdue for annual review
by the Warden.

Page 1
TDOC MANAGEMENT COMMENTS/NOTES

Untrained staff have conducted
Wardens response dated 4/6/04 indicates that the 2
field drug testing, however, no
2c(6)
staff have received training, and that documentation
documentation of training in their
is now in their training files.
files.
Warden's response dated 4/6/04 indicates that the
7/19/04 DCCO CM note: See same item dated
5 inmates had positive lab
officer was aware of policy requirements and failed to 6/15/04 below.
2e results that did not result in a
complete appropriate entries; the received disciplinary
disciplinary report issuance.
action and her employment terminated.
7/19/04 DCCO CM note: See same item dated
Warden's response dated 4/6/04 states: "An
6/15/04 below.
4 inmates were reclassified and administrative error was made, however, effective
transferred to MTCX annex for
immediately the records department will e-mail the
6a
pre-release without prior drug
drug testing department to ensure notification is
tests.
made. The drug testing department will file all
incoming e-mails to ensure compliance."

Instrument name and Item numbers for Liquidated Damages issues are in BOLD print

DATE/METHOD OF
CONFIRMATION BY
MONITOR/COMMENTS

Non-compliance issued 4/20/04
for same/similar item.

Verified 6/10/04: By review of
staff training files.

Non-compliance issued 6/15/04
for same/similar item.

6/04 monthly

WCFA SUMMARY OF NON-COMPLIANCE NOTIFICATIONS FOR June 2004
OUT-

DATE OF
STANDING
REPORT ISSUE Y/N

3/23/04

Yes

Monitoring
Instrument

Visitation

ITEM
NO.

NON-COMPLIANCE ISSUE

CONTRACTOR RESPONSE/DATE/ CORRECTIVE
ACTION TAKEN

Page 2
TDOC MANAGEMENT COMMENTS/NOTES

8/30/04: Deputy comm. determined that this is
not a non-compliance issue, since policy, as
written, was complied with, as verified by
Monitor. Policy change being considered to
specify placement of documents in question.
Instrument to be revised in keeping with
policy requirements. Non-compliance
notation to be removed from tracking system.
Warden's response dated 4/7/04 indicates that the
7/6/04: Deputy Comm. requests Warden to
appropriate notifications were made on TOMIS as per provide CM with documentation that written
Inmate was found guilty of drugs
TDOC policy 507.01. That policy requires TOMIS
notice was provided to individuals whose
possession and issued a 6LCD2 to reflect suspensions. In addition, policy
visitation was suspended and that written
month visitation suspension. No
502.02 states similar language. Neither policy
justification for the suspension was done, per
documentation present in
requires that disciplinary sanctions for drug screens policy requirements. 6/18/04 DCCO CM note:
visitation file.
be placed in the visitation file, only that entries be
TDOC Policy does not specifically require form to
made on TOMIS.
be placed in file, however, does require written
justification for the record and notice to the
individuals suspended. Institutional policy
requires written notice from Warden to inmate
and visitation staff. TDOC Policy clarification
under consideration. 5/11/04: Deputy Comm.
Requests Contract Monitor to verify finding
based on Warden's response related to policy
requirements.

Instrument name and Item numbers for Liquidated Damages issues are in BOLD print

DATE/METHOD OF
CONFIRMATION BY
MONITOR/COMMENTS

Monitor Note 7/7/04: The
Warden has provided CM with a
copy of written documentation of
suspension, a copy was sent to
inmate and placed in visitation
file after NCN issued. Monitor
note 6/14/04: Policy does not
dictate suspension be in inmates
visitation file, however, having a
hard copy of suspensions in visit
files is beneficial to staff.

6/04 monthly

WCFA SUMMARY OF NON-COMPLIANCE NOTIFICATIONS FOR June 2004
OUT-

DATE OF
STANDING
REPORT ISSUE Y/N

4/15/04

4/20/04

4/28/04

Yes

Monitoring
Instrument

ITEM
NO.

NON-COMPLIANCE ISSUE

CONTRACTOR RESPONSE/DATE/ CORRECTIVE
ACTION TAKEN

Disciplinary
Procedures

Warden's response dated 4/27/04: Inmates were
placed into segregation on 04/10/04 at 2:50 a.m. The
hearings on the inmates were conducted on 04/13/04.
The inmates were locked up on the third shift and
cases were heard with in three days; however, they
2 inmates segregated pending
were not heard until the middle on the third day. This
hearing. Staff failed to schedule was done to ensure that the inmate were given time
4a(5)
hearings within proscribed policy for advisors to prepare the cases to ensure that due
process procedures were met. Cases can be heard
time limit of 72 hours.
earlier than the third day with the understanding that
the inmate’s advisors will only be given one to one
and half days to prepare the case. I believe that
although the letter of the policy was not followed that
the intent and spirit of the policy was followed.

Policy and
Procedures

Warden's response dated 4/27/04: Unit Manager has
corrected the issue and placed new post orders in the
During inspection of 15 WCFA
effective areas prior to receiving the non-compliant
posts 3 post orders were not
violation. A management meeting was held on April
present for review and 1 was
22, 2004. All Shift Supervisors and Unit Managers
overdue for annual review by the
were instructed to check post orders routinely and to
Warden.
instruct their Senior Correctional Officer to review and
ensure that post orders are located in the required
locations on a daily basis.

2 inmates signed and dated CR2110 inmate orientation
acknowledgment form, but not
within the 7 day period stated in
policy.

Inmate
Orientation

Page 3
TDOC MANAGEMENT COMMENTS/NOTES

DATE/METHOD OF
CONFIRMATION BY
MONITOR/COMMENTS

8/30/04: Deputy Commissioner has
determined that, per legal staff and
disciplinary appeal staff, the 72 hour time
limit is to be strictly interpreted and adhered
to. The Warden is requested to ensure that
this is communicated to WCFA segregation
and disciplinary supervisory staff. 6/18/04
DCCO CM note: Although indicated by same
item number, the issue in this case is different
from the issue raised by item dated 2/25/04,
above, which involved failure to provide
documentation to inmates following segregation.
For recurring non-compliance issue tracking
purposes, this incident is not considered resolved
by the Warden's responses to the 2/25/04 noncompliance report or subsequent Letter of
Notice. 5/18/04 DCCO CM note: This noncompliance report issued to Warden prior to
Notice letter for same issue being sent from
Commissioner to contractor.

Non-compliance report
previously issued for same item,
dated 2/18/04 (above) remains
outstanding.

Warden’s response, dated 5/404, indicates that he
concurs with monitor’s findings, has requested staff
access to TOMIS screen which will help track
orientation requirements.

Instrument name and Item numbers for Liquidated Damages issues are in BOLD print

6/04 monthly

WCFA SUMMARY OF NON-COMPLIANCE NOTIFICATIONS FOR June 2004
OUT-

DATE OF
STANDING
REPORT ISSUE Y/N

5/27/04

6/1/04

Yes

Monitoring
Instrument

Count
Procedures

Visitation

ITEM
NO.

NON-COMPLIANCE ISSUE

CONTRACTOR RESPONSE/DATE/ CORRECTIVE
ACTION TAKEN

Warden's response, dated 6/10/04, states: "On the
date in question, Inmate was released from
segregation and assigned to GB 103. The inmate, in
turn, moved to JB-205. The inmate was discovered
“out of place” during count. In order not to delay
count; the inmate was counted in JB housing unit.
Inmate counted in J B-205 during The cause of the error was accurately ascertained by
3:15 formal count, Inmate is
identifying the “out of place inmate”. The count room
assigned in G B 103.
took corrective action by moving the inmate on the
count board. The inmate was temporally assigned to
JB unit for the purpose of clearing count. Upon
completion of count, the inmate was moved back to
the original assigned housing unit." Warden indicates
that he believes there is no violation by institution
involved.

TDOC MANAGEMENT COMMENTS/NOTES

DATE/METHOD OF
CONFIRMATION BY
MONITOR/COMMENTS

Warden's response 6/10/04: Concur: Program
Manager corrected the error prior to count, and
moved the inmate back to his housing unit to be
counted. He was not actually counted or out counted
in the jobs office. Disciplinary action has been taken
on the Jobs Coordinator to ensure this does not
happen in the future. In addition, a memo was
forwarded from the warden to all staff regarding out
count procedures and limits on the counts to facilitate
future compliance.

2:45pm out count sheet in Jobs
office wasn’t picked up prior to
3:15pm formal count. Inmates
were escorted back to assigned
unit for count.

On 5/29/04 an SCO suspended
the visitation privileges of an
inmate for the following day,
5/30/04. Allegedly the inmate had
carried contraband from
visitation. No TOMIS incident or
disciplinary reports were entered
for this incident.

Page 4

Warden's response, dated 6/10/04, indicates that
5/30/04 was not a scheduled visitation day for the
inmate, and that policy allows action other than
issuance of a disciplinary report for alleged rule
infractions.

Instrument name and Item numbers for Liquidated Damages issues are in BOLD print

8/30/04: Deputy Comm. determined that this
is not a non-compliance issue. The inmate
was out of place during count, so the
institution counted him where he was. Noncompliance indication to be removed from
tracking system. 8/30/04: Dir./IAA requests
Warden advise monitor how inmate was able
to move himself and his property from one
unit to another without permission, and what
steps have been taken to prevent this from
occurring in the future. Monitor to include
this information on monthly summary.
8/30/04: Deputy Comm. determined that this
is not a non-compliance issue. The inmate
was not scheduled to have visitation
privileges on the day in question, and the
determination not to issue a disciplinary
report is a matter of judgement. The Warden
does not indicate that he questioned the
officer's judgement in this case. Noncompliance notation will not be added to
tracking system.

6/04 monthly

WCFA SUMMARY OF NON-COMPLIANCE NOTIFICATIONS FOR June 2004
OUT-

DATE OF
STANDING
REPORT ISSUE Y/N

6/15/04

Monitoring
Instrument

Drug Testing

ITEM
NO.

NON-COMPLIANCE ISSUE

CONTRACTOR RESPONSE/DATE/ CORRECTIVE
ACTION TAKEN

In March 2004, 96 inmates were
tested from the TDOC issued
random drug test list which is
less than the mandatory 10% of
the population.

Warden's response, dated 7/6/04, indicates that the
institution was aware that the required number of
tests were not conducted and notified the Monitor of
the problem, and that the institution has taken action
to ensure that this does not happen in the future.

For 5 inmates tested for
reasonable suspicion, there is no
documentation of staff requesting
the test or of the
warden/designee approving the
test.

Warden's response, dated 7/6/04, concurs, indicates
that the Warden has since put out a memo stating
who the designee(s) are, and that anytime there is a
reasonable suspicion test, there will be a memo
attached by the designee stating reasons and/or
circumstances in which the test is being requested.

6/15/04

Drug Testing

6/15/04

Drug Testing

Page 5
TDOC MANAGEMENT COMMENTS/NOTES

DATE/METHOD OF
CONFIRMATION BY
MONITOR/COMMENTS

8/30/04: Deputy Comm. determined that
Warden's response, dated 7/6/04, concurs, indicates
3 inmates had positive lab results
Letter of Notice should be issued. 7/19/04
that there was a break down in the communications in
that did not result in disciplinary
DCCO CM note: Item became recurring nonthis instance and that new tracking procedures have
report insurance.
compliance issue with this report (ref. previous
been implemented.
rpts. dated 3/8/04 and 9/23/03).
From a sample of 10 inmates
Warden's response, dated 7/6/04, concurs, indicates
issued disciplinary reports for
that there was a break down in the communications in
Positive Drug Screen in April 04,
this instance and that new tracking procedures have
none were retested in May
been implemented.
according to TOMIS LIBS.
Warden's response dated 7/6/04: Do not Concur:
TDOC Policy 404.07: Change Notice 03-12 dated
061503 instructions state: Please delete Section VI
(H) (7), which states: An unannounced drug screen
must yield negative results prior to placement; if
positive, the inmate shall not be reconsidered for
placement for at least six months. Therefore, no
violation occurred.

6/15/04

Drug Testing

2 inmates were reclassified and
transferred to CBCX annex
without prior drug test.

6/15/04

Drug Testing

WCFA quarterly report for period Warden's response, dated 7/6/04, concurs, indicates
from 1/1/04 to 3/31/04 does not that WCF has taken corrective action to ensure this
reflect March 04 results.
non-compliant issue does not occur in the future.

Instrument name and Item numbers for Liquidated Damages issues are in BOLD print

8/30/04: Deputy Comm. determined that
pending clarification in the apparent conflict
and confusion between policies 404.07 and
506.21, this is not a non-compliance issue.
Non-compliance indication to be removed
from tracking system.

6/04 monthly

WCFA SUMMARY OF NON-COMPLIANCE NOTIFICATIONS FOR June 2004
OUT-

DATE OF
STANDING
REPORT ISSUE Y/N

6/15/04

6/23/04

Monitoring
Instrument

CONTRACTOR RESPONSE/DATE/ CORRECTIVE
ACTION TAKEN

Page 6

ITEM
NO.

NON-COMPLIANCE ISSUE

NIN

Policy issue 506.21: No log book
is kept for staff to sign with
appropriate information in the
vicinity of the refrigerator/freezer
where specimens are stored
awaiting lab pick-up. .

Warden's response dated 7/6/04: A log book is
currently located on top of the freezer to ensure a
current record is kept on all reasonable suspicion
drug tests.

NIN

Policy issue 506.21: WCFA did
not submit a March 04 monthly
summary report to the Director of
Substance Abuse Programs.

Warden's response dated 7/6/04: A quarterly report
has now been sent to Director of Substance Abuse;
however, it will only refer to 96 drug test as quoted in
the first response.

Classification 1a(4)

Inmate was reclassed on 4/02/04
to Minimum Direct custody.
According to the classification
summary and assessment form
in the inmate’s record, he was
reclassed to MD custody
because he was approved for a
gate pass to work outside the
facility fences. However, TOMIS
LCLN screen reflects that he
received a special rush reclass
and Option 3 recommendations
shows job code shoe /shoe
shiner. Inmate has been
assigned as a shoe shiner since
10/07/03.

8/30/04: Determined by Deputy Comm. not to
Warden's response, dated 6/29/04, indicates that the be a non-compliance issue. The Warden
indicates that the inmate's job duties were
custody level reduction was effected so that the
possibly going to include working outside
inmate could help clean up the area outside the
admin building, if needed, and states: "...the decision the administration building in a securitysensitive area. Reclassification to Minimum
to reclass the inmate to Minimum Direct was the
Direct is appropriate in such a position. The
decision of the Warden and falls within the
discretionary authority of the Warden. TDOC policy Warden is advised that the job description
allows the discretion and the action taken and in this and eligibility requirements for the position
case does not violate policy. It was the Warden’s
should be reviewed and revised to more
decision to classify the administration building
accurately reflect the needs of the institution
workers minimum direct due to the proximity it is to
for this position. Non-compliance notation
the entrance/ exit of the facility."
will be removed from tracking system and
instrument."

Drug Testing

Instrument name and Item numbers for Liquidated Damages issues are in BOLD print

TDOC MANAGEMENT COMMENTS/NOTES

DATE/METHOD OF
CONFIRMATION BY
MONITOR/COMMENTS

Monitor Note: There was no
notification that the inmate would
be kept in position he held. The
classification summary
recommendation states
"Recommend MID custody level
for outside gate pass". LCDG
contact note states "… he was
receiving gate pass to work
outside and was reclassed to
MID custody". The classification
summary and LCLN data are in
conflict.

6/04 monthly

WCFA SUMMARY OF NON-COMPLIANCE NOTIFICATIONS FOR June 2004
OUT-

DATE OF
STANDING
REPORT ISSUE Y/N

6/23/04

6/25/04

Monitoring
Instrument

Classification

Special
Management Inmates

ITEM
NO.

NIN

NON-COMPLIANCE ISSUE

Policy issue: Inmate has an
approved gate pass but is not
assigned to a housing unit or
program, which requires MD
custody. Accuracy and
appropriateness of CAF and
panel recommendations and
accurate entry on TOMIS LCLN
are in conflict.

No segregation supervisor
signatures on CR-2857, 6/24/04
2f(1)
1st and 2nd shifts, 6/23/04 1st
shift.

CONTRACTOR RESPONSE/DATE/ CORRECTIVE
ACTION TAKEN

Same as above.

Page 7
TDOC MANAGEMENT COMMENTS/NOTES

Same as above.

DATE/METHOD OF
CONFIRMATION BY
MONITOR/COMMENTS

Same as above.

Warden's response 7/9/04: A conference was held
that included Segregation Unit Manager and Chief of
Security. The purpose was to identify the correct
“supervisory” staff to ensure the appropriate
signatures are obtained on the CR 2857 form. Also,
to ensure that Unit Manager understands his role as
the Segregation Unit Manager. Unit Manager has
been instructed to monitor the CR-2857 forms in
order to maintain compliance at all times

Instrument name and Item numbers for Liquidated Damages issues are in BOLD print

6/04 monthly

WCFA SUMMARY OF NON-COMPLIANCE NOTIFICATIONS FOR July 2004
OUT-

DATE OF
STANDING
REPORT ISSUE Y/N

Monitoring
Instrument

ITEM
NO.

2/18/04

Yes

Policies and
Procedures

3/8/04

Yes

Inmate Drug
Testing

4/15/04

Yes

Disciplinary
Procedures

NON-COMPLIANCE
ISSUE

CONTRACTOR RESPONSE/DATE/
CORRECTIVE ACTION TAKEN

Page 1
TDOC MANAGEMENT
COMMENTS/NOTES

Warden's response dated 3/18/04 indicates
that post orders have all been revised and
distributed. Missing post orders due to failure
of QA to distribute properly, corrective action
was planned for this, however, the QA
Manager has resigned."
Warden's response dated 4/6/04 indicates that 7/19/04 DCCO CM note: See same
5 inmates had positive lab
the officer was aware of policy requirements
item dated 6/15/04, below.
results that did not result in
and failed to complete appropriate entries; the
a disciplinary report
received disciplinary action and her
issuance.
employment terminated.
9 posts and their post
orders were overdue for
annual review by the
Warden.

Warden's response dated 4/27/04: Inmates
were placed into segregation on 04/10/04 at
2:50 a.m. The hearings on the inmates were
conducted on 04/13/04. The inmates were
locked up on the third shift and cases were
heard with in three days; however, they were
not heard until the middle on the third day.
This was done to ensure that the inmate were
given time for advisors to prepare the cases to
ensure that due process procedures were met.
Cases can be heard earlier than the third day
with the understanding that the inmate’s
advisors will only be given one to one and half
days to prepare the case. I believe that
although the letter of the policy was not
followed that the intent and spirit of the policy
was followed.

Instrument name and Item numbers for Liquidated Damages issues are in BOLD print

8/30/04: Deputy Commissioner has
determined that, per legal staff and
disciplinary appeal staff, the 72 hour
time limit is to be strictly interpreted and
adhered to. The Warden is requested
to ensure that this is communicated to
WCFA segregation and disciplinary
supervisory staff. 6/18/04 DCCO CM
note: Although indicated by same item
number, the issue in this case is
different from the issue raised by item
dated 2/25/04, above, which involved
failure to provide documentation to
inmates following segregation. For
recurring non-compliance issue
tracking purposes, this incident is not
considered resolved by the Warden's
responses to the 2/25/04 noncompliance report or subsequent Letter
of Notice. 5/18/04 DCCO CM note:
This non-compliance report issued to
Warden prior to Notice letter for same
issue being sent from Commissioner to
contractor.

DATE/METHOD OF
CONFIRMATION BY
MONITOR/COMMENTS

Verified 7/28/04: By review of
post and post orders.

Monitor note: Non-compliance
issued for same/similar item.
(ref: 6/15/04)

Verified 7/28/04: By review of
disciplinary, segregation logs
and wardens and TOMIS
reports.

7/04 monthly

WCFA SUMMARY OF NON-COMPLIANCE NOTIFICATIONS FOR July 2004
OUT-

DATE OF
STANDING
REPORT ISSUE Y/N

4/20/04

4/28/04

Yes

Monitoring
Instrument

Policy and
Procedures

Inmate
Orientation

ITEM
NO.

5/27/04

Yes

Count
Procedures

6/15/04

Yes

Drug Testing

NON-COMPLIANCE
ISSUE

During inspection of 15
WCFA posts and their post
orders the following 3 post
orders were not present for
review and 1 was overdue
for annual review by the
Warden.

2 inmates signed and
dated CR-2110 inmate
orientation
acknowledgment form, but
not within the 7 day period
stated in policy.

CONTRACTOR RESPONSE/DATE/
CORRECTIVE ACTION TAKEN

Page 2
TDOC MANAGEMENT
COMMENTS/NOTES

DATE/METHOD OF
CONFIRMATION BY
MONITOR/COMMENTS

Warden's response dated 4/27/04: Unit
Manager has corrected the issue and placed
new post orders in the effective areas prior to
receiving the non-compliant violation. A
management meeting was held on April 22,
2004. All Shift Supervisors and Unit Managers
were instructed to check post orders routinely
and to instruct their Senior Correctional Officer
to review and ensure that post orders are
located in the required locations on a daily
basis.

Verified 7/19/04: By review of
post and post orders.

Warden’s response, dated 5/404, indicates
that he concurs with monitor’s findings, has
requested staff access to TOMIS screen which
will help track orientation requirements.

Verified 7/19/04: By review of
Inmate institutional and
segregation files.

Warden's response 6/10/04: Concur: Program
Manager corrected the error prior to count, and
moved the inmate back to his housing unit to
2:45pm out count sheet in
be counted. He was not actually counted or
Jobs office wasn’t picked
out counted in the jobs office. Disciplinary
up prior to 3:15pm formal
action has been taken on the Jobs Coordinator
count. Inmates were
to ensure this does not happen in the future.
escorted back to assigned
In addition, a memo was forwarded from the
unit for count.
warden to all staff regarding out count
procedures and limits on the counts to facilitate
future compliance.
In March 2004, 96 inmates Warden's response, dated 7/6/04, indicates
that the institution was aware that the required
were tested from the
TDOC issued random drug number of tests were not conducted and
test list which is less than notified the Monitor of the problem, and that
the mandatory 10% of the the institution has taken action to ensure that
population.
this does not happen in the future.

Instrument name and Item numbers for Liquidated Damages issues are in BOLD print

7/04 monthly

WCFA SUMMARY OF NON-COMPLIANCE NOTIFICATIONS FOR July 2004
OUT-

DATE OF
STANDING
REPORT ISSUE Y/N

6/15/04

Yes

Monitoring
Instrument

Drug Testing

ITEM
NO.

NON-COMPLIANCE
ISSUE

CONTRACTOR RESPONSE/DATE/
CORRECTIVE ACTION TAKEN

Page 3
TDOC MANAGEMENT
COMMENTS/NOTES

DATE/METHOD OF
CONFIRMATION BY
MONITOR/COMMENTS

Warden's response, dated 7/6/04, concurs,
For 5 inmates tested for
indicates that the Warden has since put out a
reasonable suspicion, there memo stating who the designee(s) are, and
is no documentation of
that anytime there is a reasonable suspicion
staff requesting the test or test, there will be a memo attached by the
of the warden/designee
designee stating reasons and/or
circumstances in which the test is being
approving the test.
requested.

3 inmates had positive lab
results that did not result in
disciplinary report
insurance.

Warden's response, dated 7/6/04, concurs,
indicates that there was a break down in the
communications in this instance and that new
tracking procedures have been implemented.

8/30/04: Deputy Comm. determined
that Letter of Notice should be issued.
Monitor note: Prior NCN issued
7/19/04 DCCO CM note: Item became
same/similar item 9/23/03recurring non-compliance issue with
3/8/04.
this report (ref. previous reports dated
3/8/04 and 9/23/03).

From a sample of 10
inmates issued disciplinary
reports for Positive Drug
Screen in April 04, none
were retested in May
according to TOMIS LIBS.

Warden's response, dated 7/6/04, concurs,
indicates that there was a break down in the
communications in this instance and that new
tracking procedures have been implemented.

Monitor note: Prior NCN issued
same/similar item 9/23/03.

WCFA quarterly report for
period from 1/1/04 to
3/31/04 does not reflect
March 04 results.

Warden's response, dated 7/6/04, concurs,
indicates that WCF has taken corrective action
to ensure this non-compliant issue does not
occur in the future.

Policy issue 506.21: No log
book is kept for staff to
sign with appropriate
information in the vicinity of
the refrigerator/freezer
where specimens are
stored awaiting lab pick-up.
.

Warden's response dated 7/6/04: A log book is
currently located on top of the freezer to
ensure a current record is kept on all
reasonable suspicion drug tests.

NIN

Instrument name and Item numbers for Liquidated Damages issues are in BOLD print

Monitor note: Prior NCN issued
same/similar item 2/25/04.

7/04 monthly

WCFA SUMMARY OF NON-COMPLIANCE NOTIFICATIONS FOR July 2004
OUT-

DATE OF
STANDING
REPORT ISSUE Y/N

6/15/04

6/25/04

7/12/04

Yes

Monitoring
Instrument

ITEM
NO.

NON-COMPLIANCE
ISSUE

CONTRACTOR RESPONSE/DATE/
CORRECTIVE ACTION TAKEN

Drug Testing

NIN

Policy issue 506.21: WCFA
did not submit a March 04
monthly summary report to
the Director of Substance
Abuse Programs.

Warden's response dated 7/6/04: A quarterly
report has now been sent to Director of
Substance Abuse; however, it will only refer to
96 drug test as quoted in the first response.

Special
Management Inmates

Warden's response 7/9/04: A conference was
held that included Segregation Unit Manager
and Chief of Security. The purpose was to
No segregation supervisor identify the correct “supervisory” staff to ensure
signatures on CR-2857,
the appropriate signatures are obtained on the
2f(1)
6/24/04 1st and 2nd shifts, CR 2857 form. Also, to ensure that Unit
6/23/04 1st shift.
Manager understands his role as the
Segregation Unit Manager. Unit Manager has
been instructed to monitor the CR-2857 forms
in order to maintain compliance at all times

Disciplinary
Procedures

Two inmates were
segregated 7/2/04 pending
investigation. The
investigation was
conducted and disciplinary
reports were entered
4a(1)
7/9/04 and served on
7/10/04, however the
disciplinary reports were
not served within
proscribed policy time limits
of 7 calendar days.

Warden's response indicates that disciplinary
reports were entered in TOMIS prior to 9:00
PM 7/9/04, therefore, inmates were charged as
required. When attempt was made to print the
reports at 11:27 PM, after count was cleared,
the staff person received a "bind failure"
message indicating that the system was down.

Instrument name and Item numbers for Liquidated Damages issues are in BOLD print

Page 4
TDOC MANAGEMENT
COMMENTS/NOTES

DATE/METHOD OF
CONFIRMATION BY
MONITOR/COMMENTS

Monitor's note: These inmates
were not immediately charged
with the infraction after the
conclusion of the investigation.
The CD did not approve any
delay nor was the inmate notified
as per policy.

7/04 monthly

WCFA SUMMARY OF NON-COMPLIANCE NOTIFICATIONS FOR July 2004
OUT-

DATE OF
STANDING
REPORT ISSUE Y/N

7/15/04

7/27/04

Monitoring
Instrument

ITEM
NO.

Drug Testing

On 7/5/04 3 inmates were
given a random drug
screen. Staff failed to
include the inmate’s name,
number and specimen
temperature on the
PHARMCHEM chain of
custody form. After the
2c(1)
positive lab results were
returned staff filled in the
necessary information.
Furthermore 1 inmate did
not sign the lab chain of
custody form but was
issued a Positive Drug
Screen disciplinary.

Inmate
Access to
courts

NON-COMPLIANCE
ISSUE

The contract attorney was
not available according to
schedule memo posted:
According to billing
documentation April, May
and June 3 dates were
changed.

No list of specific attorney
services and schedule
available to inmates is
posted in the units. In a
check of 3 housing units, F,
H and I only 3 pods had
attorney visit schedule
posted.

CONTRACTOR RESPONSE/DATE/
CORRECTIVE ACTION TAKEN

Page 5
TDOC MANAGEMENT
COMMENTS/NOTES

DATE/METHOD OF
CONFIRMATION BY
MONITOR/COMMENTS

After careful review of the above stated
violation, WCF was in error concerning the
inmates name and number not being included
on the Pharmchem form. Documented training
has been conducted with the staff member that
conducted this test. (see attached). Additional
training will be conducted with staff conducting
drug tests to ensure future compliance.

Instrument name and Item numbers for Liquidated Damages issues are in BOLD print

Monitor note: Prior NCN issued
same/similar item 1/22/04.

7/04 monthly

WCFA SUMMARY OF NON-COMPLIANCE NOTIFICATIONS FOR August 2004
OUTDATE OF
STANDING
REPORT ISSUE Y/N

3/8/04

5/27/04

Yes

Monitoring
Instrument
Inmate Drug
Testing

Count
Procedures

ITEM
NO.

2:45pm out count sheet in Jobs
office wasn’t picked up prior to
3:15pm formal count. Inmates
were escorted back to assigned
unit for count.

Warden's response 6/10/04: Concur: Program
Manager corrected the error prior to count, and moved
the inmate back to his housing unit to be counted. He
was not actually counted or out counted in the jobs
office. Disciplinary action has been taken on the Jobs
Coordinator to ensure this does not happen in the
future. In addition, a memo was forwarded from the
warden to all staff regarding out count procedures and
limits on the counts to facilitate future compliance.

In March 2004, 96 inmates were
tested from the TDOC-issued
random drug test list, which is less
than the mandatory 10% of the
population.

Yes

Drug Testing

6/15/04

Yes

Drug Testing

Yes

Drug Testing

6/15/04

Yes

Drug Testing

6/15/04

Yes

Drug Testing

6/15/04

Yes

Drug Testing

CONTRACTOR RESPONSE/DATE/ CORRECTIVE
ACTION TAKEN

Warden's response dated 4/6/04: Indicates that the
5 inmates had positive lab results
officer was aware of policy requirements and failed to
that did not result in a disciplinary
complete appropriate entries; the received disciplinary
report issuance.
action and her employment terminated.

6/15/04

NON-COMPLIANCE ISSUE

NIN

Page 1
TDOC MANAGEMENT
COMMENTS/NOTES

DATE/METHOD OF
CONFIRMATION BY
MONITOR/COMMENTS

7/19/04 DCCO CM note: See same item
dated 6/15/04, below.

Warden's response dated 7/6/04: Indicates that the
institution was aware that the required number of tests
were not conducted and notified the Monitor of the
problem, and that the institution has taken action to
ensure that this does not happen in the future.
Warden's response dated 7/6/04: Concur: Indicates
For 5 inmates tested for
that the Warden has since put out a memo stating who
reasonable suspicion, there is no
the designee(s) are, and that anytime there is a
documentation of staff requesting
reasonable suspicion test, there will be a memo
the test or of the warden/designee
attached by the designee stating reasons and/or
approving the test.
circumstances in which the test is being requested.

3 inmates had positive lab results
that did not result in disciplinary
report insurance.

From a sample of 10 inmates
issued disciplinary reports for
Positive Drug Screen in April 04,
none were retested in May
according to TOMIS LIBS.
WCFA quarterly report for period
from 1/1/04 to 3/31/04 does not
reflect March 04 results.
Policy issue 506.21: No log book
is kept for staff to sign with
appropriate information in the
vicinity of the refrigerator/freezer
where specimens are stored
awaiting lab pick-up.

Warden's response dated 7/6/04: Concur: Indicates
that there was a break down in the communications in
this instance and that new tracking procedures have
been implemented.

9/22/04: Letter of Notice issued by
Commissioner. 8/30/04: Deputy Comm.
determined that Letter of Notice should be
issued. 7/19/04 DCCO CM note: Item
became recurring non-compliance issue
with this report (ref. previous reports dated
3/8/04 and 9/23/03).

Warden's response dated 7/6/04: Concur: Indicates
that there was a break down in the communications in
this instance and that new tracking procedures have
been implemented.
Warden's response dated 7/6/04: Concur: Indicates
that WCF has taken corrective action to ensure this
non-compliant issue does not occur in the future.
Warden's response dated 7/6/04: A log book is
currently located on top of the freezer to ensure a
current record is kept on all reasonable suspicion drug
tests.

Instrument name and Item numbers for Liquidated Damages issues are in BOLD print

8/04 monthly

WCFA SUMMARY OF NON-COMPLIANCE NOTIFICATIONS FOR August 2004
OUTDATE OF
STANDING
REPORT ISSUE Y/N

6/15/04

6/25/04

7/12/04

7/15/04

Monitoring
Instrument

ITEM
NO.

NON-COMPLIANCE ISSUE
Policy issue 506.21: WCFA did not
submit a March 04 monthly
summary report to the Director of
Substance Abuse Programs.

CONTRACTOR RESPONSE/DATE/ CORRECTIVE
ACTION TAKEN

Drug Testing

NIN

Yes

Special
Management Inmates

No segregation supervisor
signatures on CR-2857, 6/24/04
2f(1)
1st and 2nd shifts, 6/23/04 1st
shift.

Disciplinary
Procedures

Two inmates were segregated
7/2/04 pending investigation. The
investigation was conducted and
disciplinary reports were entered
4a(1) 7/9/04 and served on 7/10/04,
however the disciplinary reports
were not served within prescribed
policy time limits of 7 calendar
days.

Warden's response dated 8/2/04: Indicates that
disciplinary reports were entered in TOMIS prior to 9:00
PM 7/9/04, therefore, inmates were charged as
required. When attempt was made to print the reports
at 11:27 PM, after count was cleared, the staff person
received a "bind failure" message indicating that the
system was down.

Drug Testing

On 7/5/04 3 inmates were given a
random drug screen. Staff failed to
include the inmate’s name,
number and specimen
temperature on the PHARMCHEM
chain of custody form. After the
2c(1)
positive lab results were returned
staff filled in the necessary
information. Furthermore 1 inmate
did not sign the lab chain of
custody form but was issued a
Positive Drug Screen disciplinary.

Warden's response dated 8/3/04: After careful review
of the above stated violation, WCF was in error
concerning the inmates name and number not being
included on the Pharmchem form. Documented training
has been conducted with the staff member that
conducted this test. (see attached). Additional training
will be conducted with staff conducting drug tests to
ensure future compliance.

TDOC MANAGEMENT
COMMENTS/NOTES

Warden's response dated 7/6/04: A quarterly report
has now been sent to Director of Substance Abuse;
however, it will only refer to 96 drug test as quoted in
the first response.
Warden's response 7/9/04: A conference was held that
included Seg U/M and Chief to identify the correct
“supervisory” staff to ensure the appropriate signatures
are obtained on the CR 2857 form and ensure that the
Seg U/M understands his role. U/M has been instructed
to monitor the CR-2857 forms in order to maintain
compliance at all times

Yes

Page 2

Instrument name and Item numbers for Liquidated Damages issues are in BOLD print

DATE/METHOD OF
CONFIRMATION BY
MONITOR/COMMENTS

Verified 8/11/04: By review of
segregation forms CR-2857.

9/29/04 DCCO CM note: Determined not
to be a non-compliance issue. The
Warden indicates that the infractions
were entered on TOMIS within the policy
time limit and were delayed from being
served by a computer malfunction.

Monitor's note: These inmates
were not immediately charged
with the infraction after the
conclusion of the investigation.
The CD did not approve any delay
nor was the inmate notified as per
policy.

8/04 monthly

WCFA SUMMARY OF NON-COMPLIANCE NOTIFICATIONS FOR August 2004
OUTDATE OF
STANDING
REPORT ISSUE Y/N

7/27/04

8/23/04

Monitoring
Instrument

Inmate
Access to
courts

Use of Force

ITEM
NO.

NON-COMPLIANCE ISSUE

CONTRACTOR RESPONSE/DATE/ CORRECTIVE
ACTION TAKEN

Page 3
TDOC MANAGEMENT
COMMENTS/NOTES

Warden's response dated 8/26/04: An Attorney
schedule is posted in the Inmate Library as required by
policy. In April the schedule was changed from the 7th
to the 12th. In May the schedule was changed from
the 18th to the 17th. In June the schedule was
changed from the 8th to the 6th. In August the
schedule has been changed from the 2nd to the 9th.
The contract attorney was not
(See supporting documentation) “In addition, any
available according to schedule
request that is made in advance for a previously
memo posted: According to billing
scheduled date would also be seen on the next
documentation April, May and
scheduled date”. Neither policy nor contract requires
June 3 dates were changed.
individual inmate notifications in the event the attorney
schedule changes. Regardless of schedule changes
the inmates are seen by the contracted attorney if they
follow procedures. The changes to the attorney
schedules are reflected and communicated to the
inmate population by marking the revised dates in the
library.

9/29/04 DCCO CM note: Determined not
to be a non-compliance issue at this
time. Schedules may be changed as
needed, as long as the required level of
service is being provided. Consideration
is being given to performing a more indepth inquiry into the level of services
requested by the inmates and the
timeliness/amount of service provided by
the contract attorney.

Warden's response dated 8/26/04: Attorney visit
schedules are posted at the facility as required by
policy. Policy does not require attorney visit schedules
No list of specific attorney services
to be posted in all housing units as referenced in ITEM
and schedule available to inmates
6. WCF has exceeded policy requirements by posting
is posted in the units. In a check of
schedules in all units for inmate’s convenience. These
3 housing units, F, H and I only 3
schedules are consistently replaced to better inform
pods had attorney visit schedule
the inmate population. We are reviewing additional
posted.
methods to post information so that the postings can
not be removed by inmates. In addition, CCA policy 148, ACCESS TO COURTS is posted in the library.

9/29/04 DCCO CM note: Determined not
to be a non-compliance issue. The
instrument item requires monitoring of a
procedure not required by policy or
contract. A revision of the instrument is
pending.

Chemical agents were used in an
incident. The CD was notified by
phone of this incident and
approval for segregation; however,
the shift supervisor made no
mention of the use of chemical
agents.

DATE/METHOD OF
CONFIRMATION BY
MONITOR/COMMENTS

Warden's response, dated 8/26/04, verifies CM's
report, indicates that the Shift Supervisor met with the
Warden and received a written notice concerning
policy requirements and job responsibilities.

Instrument name and Item numbers for Liquidated Damages issues are in BOLD print

8/04 monthly

WCFA SUMMARY OF NON-COMPLIANCE NOTIFICATIONS FOR SEPTEMBER 2004
OUTDATE OF
STANDING
REPORT ISSUE Y/N

3/8/04

5/27/04

Yes

Monitoring
Instrument
Inmate Drug
Testing

Count
Procedures

ITEM
NO.

2:45pm out count sheet in Jobs
office wasn’t picked up prior to
3:15pm formal count. Inmates
were escorted back to assigned
unit for count.

Warden's response 6/10/04: Concur: Program
Manager corrected the error prior to count, and moved
the inmate back to his housing unit to be counted. He
was not actually counted or out counted in the jobs
office. Disciplinary action has been taken on the Jobs
Coordinator to ensure this does not happen in the
future. In addition, a memo was forwarded from the
warden to all staff regarding out count procedures and
limits on the counts to facilitate future compliance.

In March 2004, 96 inmates were
tested from the TDOC-issued
random drug test list, which is less
than the mandatory 10% of the
population.

Yes

Drug Testing

6/15/04

Yes

Drug Testing

Yes

Drug Testing

6/15/04

Yes

Drug Testing

6/15/04

Yes

Drug Testing

6/15/04

Yes

Drug Testing

CONTRACTOR RESPONSE/DATE/ CORRECTIVE
ACTION TAKEN

6/15/04

NON-COMPLIANCE ISSUE

NIN

Page 1
TDOC MANAGEMENT
COMMENTS/NOTES
7/19/04 DCCO CM note: See same item
dated 6/15/04, below.

Warden's response dated 7/6/04: Concur: Indicates
that there was a break down in the communications in
this instance and that new tracking procedures have
been implemented.

Verified 9/2/04: By review of Drug
Testing procedures and
documentation.

Verified 8/27/04: By review of
documentation and monitoring
count procedures on different shift
and times.

3 inmates had positive lab results
that did not result in disciplinary
report insurance.

DATE/METHOD OF
CONFIRMATION BY
MONITOR/COMMENTS

Verified 9/2/04: By review of Drug
Testing procedures and
documentation.

Same as Above

Warden's response dated 7/6/04: Concur: Indicates
that there was a break down in the communications in
this instance and that new tracking procedures have
been implemented.

Monitor's note: NCN issued for
same/similar item. (ref:9/20/04,
6/15/04, 9/23/03)

Warden's response dated 7/6/04: Concur: Indicates
that WCF has taken corrective action to ensure this
non-compliant issue does not occur in the future.

Verified 9/20/04: By review of
Drug Testing procedures and
documentation.

Warden's response dated 7/6/04: A log book is
currently located on top of the freezer to ensure a
current record is kept on all reasonable suspicion drug
tests.

Same as Above

Instrument name and Item numbers for Liquidated Damages issues are in BOLD print

9/04 monthly

WCFA SUMMARY OF NON-COMPLIANCE NOTIFICATIONS FOR SEPTEMBER 2004
OUTDATE OF
STANDING
REPORT ISSUE Y/N

6/15/04

7/15/04

8/23/04

9/20/04

Yes

Monitoring
Instrument

Page 2

ITEM
NO.

NON-COMPLIANCE ISSUE

Drug Testing

NIN

Policy issue 506.21: WCFA did not
submit a March 04 monthly
summary report to the Director of
Substance Abuse Programs.

Drug Testing

On 7/5/04 3 inmates were given a
random drug screen. Staff failed to
include the inmate’s name,
number and specimen
temperature on the PHARMCHEM
chain of custody form. After the
2c(1)
positive lab results were returned
staff filled in the necessary
information. Furthermore 1 inmate
did not sign the lab chain of
custody form but was issued a
Positive Drug Screen disciplinary.

Use of Force

Chemical agents were used in an
incident. The CD was notified by
phone of this incident and
approval for segregation; however,
the shift supervisor made no
mention of the use of chemical
agents.

Warden's response dated 8/26/04: Verifies CM's
report, indicates that the Shift Supervisor met with the
Warden and received a written notice concerning
policy requirements and job responsibilities.

From a random sample of 10
inmates convicted for a positive
drug screen in July 04. 5 inmates
had 2 or more prior related
disciplinarys, none were retested
in August 04.

Warden’s response dated 10/11/04: Whiteville
Correctional Facility acknowledges the error made in
the drug testing department. Effective October 11,
2004 an officer has been assigned the sole
responsibility to conduct inmate drug testing. In
addition, the Wardens’ Executive Assistant will monitor
compliance on a weekly basis.

NIN

From a random sample of 10
inmates paroling from this facility
in August 04, none were drugtested 30 days prior to their
release date or 30 days prior to
their parole hearing date.

Same as above

Drug Testing

CONTRACTOR RESPONSE/DATE/ CORRECTIVE
ACTION TAKEN

TDOC MANAGEMENT
COMMENTS/NOTES

DATE/METHOD OF
CONFIRMATION BY
MONITOR/COMMENTS

Warden's response dated 7/6/04: A quarterly report
has now been sent to Director of Substance Abuse;
however, it will only refer to 96 drug test as quoted in
the first response.

Same as Above

Verified 9/20/04: By review of
Drug Testing procedures and
documentation.

Instrument name and Item numbers for Liquidated Damages issues are in BOLD print

10/13/04 DCCO CM note: This is now a
Monitor's note: NCN issued for
breach issue: this is 3rd non-compliance
same/similar item. (ref:9/20/04,
finding in 12 months. Letter of Notice has
6/15/04, 9/23/03)
been drafted.

9/04 monthly

WCFA SUMMARY OF NON-COMPLIANCE NOTIFICATIONS FOR October 2004
OUTDATE OF
STANDING
REPORT ISSUE Y/N

6/15/04

Yes

Monitoring
Instrument

Drug Testing

ITEM
NO.

8/23/04

Yes

Use of Force

9/20/04

Yes

Drug Testing

NON-COMPLIANCE ISSUE

Warden's response dated 7/6/04: Concur: Indicates
10 inmates issued disciplinary
that there was a break down in the communications in
reports for Positive Drug Screen in
this instance and that new tracking procedures have
April were not retested in May.
been implemented.
The CD was notified of an incident
Warden's response dated 8/26/04: Verifies CM's
and approval for segregation;
report, indicates that the Shift Supervisor met with the
however, the shift supervisor
Warden and received a written notice concerning
made no mention of the use of
policy requirements and job responsibilities.
chemical agents.
Warden’s response dated 10/11/04: Whiteville
Correctional Facility acknowledges the error made in
5 inmates convicted for a positive the drug testing department. Effective October 11,
2004 an officer has been assigned the sole
drug screen in July were not
responsibility to conduct inmate drug testing. In
retested in August.
addition, the Wardens’ Executive Assistant will monitor
compliance on a weekly basis.

Yes

Drug Testing

NIN

10/26/04

Security and
Control
Searches

Visitors and venders not frisk
searched before entering at
checkpoint.

The Shift Supervisor designates a
random selected number to be
searched at checkpoint, this
number is not documented in the
checkpoint logbook to verify this.
Furthermore staff are frisk
searched only during shift change.

11 of 36 cell search requests
entered on TOMIS were not
preformed according to TOMIS.

1. Items requested from Internal
Affairs by CM were not provided.
2. Monthly Drug Testing reports
not provided to monitor for June,
July, August and September 04.

10/26/04

10/27/04

Security and
Control
Searches

Records and
Reports

Monitor's note: NCN issued for
same/similar item. (ref:9/20/04,
6/15/04, 9/23/03)

TDOC MANAGEMENT
COMMENTS/NOTES
11/18/04 DCCO CM note: Letter of Breach
drafted. See same item dated 9/20/04,
below.

Verified 11/8/04: By review of
CCA 5-1A reports, TOMIS
incident reports and Comm.
Designee log.

Monitor's note: NCN issued for
same/similar item. (ref:9/20/04,
6/15/04, 9/23/03)

11/18/04 DCCO CM note: Letter of Breach
drafted.

10 inmates paroling in August,
were not drug-tested 30 days prior
Same as above.
to their release date or 30 days
prior to their parole hearing date.

9/20/04

10/26/04

CONTRACTOR RESPONSE/DATE/ CORRECTIVE
ACTION TAKEN

Page 1
DATE/METHOD OF
CONFIRMATION BY
MONITOR/COMMENTS

Instrument name and Item numbers for Liquidated Damages issues are in BOLD print

11/18/04 DCCO CM note: Now a recurring
non-compliance issue (2nd report in 18
months, ref. 10/21/03 rpt.) Letter of
Breach drafted.

10/04 monthly

WCFA SUMMARY OF NON-COMPLIANCE NOTIFICATIONS FOR November 2004
OUTDATE OF
STANDING
REPORT ISSUE Y/N

Monitoring
Instrument

ITEM
NO.

6/15/04

Yes

Drug Testing

9/20/04

Yes

Drug Testing

9/20/04

10/26/04

Yes

Drug Testing

Yes

Security and
Control
Searches

NIN

NON-COMPLIANCE ISSUE

CONTRACTOR RESPONSE/DATE/ CORRECTIVE
ACTION TAKEN

Page 1
DATE/METHOD OF
CONFIRMATION BY
MONITOR/COMMENTS

TDOC MANAGEMENT
COMMENTS/NOTES

Monitor's note: NCN issued for
same/similar item. (ref:9/20/04,
6/15/04, 9/23/03)

12/20/04 DCCO CM note: Letter of Breach
issued by Commissioner 11/29/04.

Monitor's note: NCN issued for
same/similar item. (ref:9/20/04,
6/15/04, 9/23/03)

12/20/04 DCCO CM note: Letter of Breach
issued by Commissioner 11/29/04.

Monitor's note: NCN issued for
same/similar item. (ref:10/21/03)

12/20/04 DCCO CM note: Letter of Breach
issued by Commissioner 11/29/04.

10 inmates paroling in August,
were not drug-tested 30 days prior
Same as above.
to their release date or 30 days
prior to their parole hearing date.

Visitors and venders not frisk
searched before entering at
checkpoint.

Warden's response 11/29/04: The Chief of
Security will ensure that proper procedures are
strictly enforced concerning documentation being
entered into the logbook in the future.

10/26/04

Yes

Security and
Control
Searches

Warden's response 11/29/04: Partial Concurrence
The Chief of Security along with Shift Supervisors
The Shift Supervisor designates a will ensure all staff assigned to check point are in
random selected number to be
strict compliance with posted memo and
searched at checkpoint, this
procedures.
number is not documented in the
On the day in question, searches were conducted
checkpoint logbook to verify this.
as per written directives, however; the officer did
Furthermore staff are frisk
searched only during shift change. fail to document the searches in the logbook.
Please Note: The searches were documented on
the shift roster as required.

10/26/04

Yes

Security and
Control
Searches

11 of 36 cell search requests
entered on TOMIS were not
preformed according to TOMIS.

Warden's response 11/29/04: New procedures
have been put into place to ensure future
compliance.

Instrument name and Item numbers for Liquidated Damages issues are in BOLD print

11/04 monthly

WCFA SUMMARY OF NON-COMPLIANCE NOTIFICATIONS FOR November 2004
OUTDATE OF
STANDING
REPORT ISSUE Y/N

10/27/04

Yes

Monitoring
Instrument

Records and
Reports

ITEM
NO.

NON-COMPLIANCE ISSUE

1. Items requested from Internal
Affairs by CM were not provided.
2. Monthly Drug Testing reports
not provided to monitor for June,
July, August and September 04.

CONTRACTOR RESPONSE/DATE/ CORRECTIVE
ACTION TAKEN

Page 2
DATE/METHOD OF
CONFIRMATION BY
MONITOR/COMMENTS

TDOC MANAGEMENT
COMMENTS/NOTES

Warden's response 12/1/04: Due to concerns
addressed to the Warden by the C M regarding
Internal Affairs Assistant truthfulness and integrity,
an internal investigation was conducted. As a
result there was a determination that this
employee had violated CCA’s core principles and
had been less than truthful with C M and Warden.
Based upon these findings the employee will be
removed from Internal Affairs duties and receive
strong disciplinary actions. Warden met with C M
and advised him of these findings and his planned
actions.

Instrument name and Item numbers for Liquidated Damages issues are in BOLD print

11/04 monthly

WCFA SUMMARY OF NON-COMPLIANCE NOTIFICATIONS FOR December 2004
OUTDATE OF
STANDING
REPORT ISSUE Y/N

Monitoring
Instrument

ITEM
NO.

6/15/04

Yes

Drug Testing

9/20/04

Yes

Drug Testing

9/20/04

10/26/04

Yes

Drug Testing

Yes

Security and
Control
Searches

NIN

10/26/04

Yes

Security and
Control
Searches

10/26/04

Yes

Security and
Control
Searches

NON-COMPLIANCE ISSUE

CONTRACTOR RESPONSE/DATE/ CORRECTIVE
ACTION TAKEN

Warden's response dated 7/6/04: Concur: Indicates
10 inmates issued disciplinary
that there was a break down in the communications in
reports for Positive Drug Screen in
this instance and that new tracking procedures have
April were not retested in May.
been implemented.
Warden’s response dated 10/11/04: Whiteville
Correctional Facility acknowledges the error made in
5 inmates convicted for a positive the drug testing department. Effective October 11,
drug screen in July were not
2004 an officer has been assigned the sole
retested in August.
responsibility to conduct inmate drug testing. In
addition, the Wardens’ Executive Assistant will monitor
compliance on a weekly basis.
10 inmates paroling in August,
were not drug-tested 30 days prior
Same as above.
to their release date or 30 days
prior to their parole hearing date.
Visitors and venders not frisk
searched before entering at
checkpoint.

Page 1
DATE/METHOD OF
CONFIRMATION BY
MONITOR/COMMENTS

TDOC MANAGEMENT
COMMENTS/NOTES

Verified 12/30/04: By review of
Drug Testing procedures and
documentation.

12/20/04 DCCO CM note: Letter of Breach
issued by Commissioner 11/29/04.

Same as above

12/20/04 DCCO CM note: Letter of Breach
issued by Commissioner 11/29/04.

CM Note: NCN issued for
same/similar NIN issue. (ref:
9/20/04,12/29/04)

Warden's response 11/29/04: The Chief of Security will
ensure that proper procedures are strictly enforced
concerning documentation being entered into the
logbook in the future.

Warden's response 11/29/04: Partial Concurrence The
Chief of Security along with Shift Supervisors will
The Shift Supervisor designates a
ensure all staff assigned to check point are in strict
random selected number to be
compliance with posted memo and procedures.
searched at checkpoint, this
On the day in question, searches were conducted as
number is not documented in the
per written directives, however; the officer did fail to
checkpoint logbook to verify this.
document the searches in the logbook. Please Note:
Furthermore staff are frisk
The searches were documented on the shift roster as
searched only during shift change.
required.

11 of 36 cell search requests
entered on TOMIS were not
preformed according to TOMIS.

Warden's response 11/29/04: New procedures have
been put into place to ensure future compliance.

Instrument name and Item numbers for Liquidated Damages issues are in BOLD print

Monitor's note: NCN issued for
same/similar item. (ref:10/21/03)

12/20/04 DCCO CM note: Letter of Breach
issued by Commissioner 11/29/04.

12/04 monthly

WCFA SUMMARY OF NON-COMPLIANCE NOTIFICATIONS FOR December 2004
OUTDATE OF
STANDING
REPORT ISSUE Y/N

10/27/04

12/7/04

Yes

Monitoring
Instrument

Records and
Reports

Disciplinary
Procedures

ITEM
NO.

NON-COMPLIANCE ISSUE

CONTRACTOR RESPONSE/DATE/ CORRECTIVE
ACTION TAKEN

1. Items requested from Internal
Affairs by CM were not provided.
2. Monthly Drug Testing reports
not provided to monitor for June,
July, August and September 04.

Warden's response 12/1/04: Due to concerns
addressed to the Warden by the C M regarding Internal
Affairs Assistant truthfulness and integrity, an internal
investigation was conducted. As a result there was a
determination that this employee had violated CCA’s
core principles and had been less than truthful with C
M and Warden. Based upon these findings the
employee will be removed from Internal Affairs duties
and receive strong disciplinary actions. Warden met
with C M and advised him of these findings and his
planned actions.

NIN

It appears that inmates may not
have been allowed the opportunity
to sign or refuse to sign (CR-2727)
withdrawal request forms after
final disposition of Class A and B
disciplinaries..

Warden's response 12/7/04: Whiteville Correctional
Facility has corrected the error effective 120704.
Inmates will be required to place their signature on the
CR-2727 while present at the hearing. If the inmate
refuses to sign the CR-2727 it will be signed by the DBoard Chairman “refused to sign” and witnessed by an
alternate employee while the inmate is present.

12/29/04

Drug Testing

1 inmate refused to give a
specimen for drug testing.
Disciplinary report was entered but
wasn’t heard by D-Board.

12/29/04

Drug Testing

NIN

8 inmates paroling in November
04, were not drug-tested 30 days
prior to their release date.

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

CM Note: NCN issued for
same/similar NIN issue. (ref:
9/20/04)

12/04 monthly