REPORT ON RAPE IN FEDERAL AND
STATE PRISONS IN THE U.S.
Based On Public Hearings and Review Of
Documentary Evidence By
The Review Panel On Prison Rape
Steven T. McFarland
Carroll Ann Ellis

Findings And Best Practices
September 24, 2008

CONTENTS
Page
Panel Members And Staff

1

I.

Role of the Panel

2

II.

Panel’s 2008 Prison Hearings

2

A.

Selection of Prisons Invited To Testify

2

B.

Identified Common Characteristics of Victims
and Perpetrators of Prison Rape

5

1. Identified Common Characteristics of Victims
of Inmate-On-Inmate Prison Rape

6

a.

Inmate Physical Attributes

6

b.

Smaller Inmate Paired With Larger
Cellmate

7

c.

Age

7

d.

Nature of Offense

8

e.

History of Prior Incarceration

8

f.

Mental Illness or Physical Limitations

9

g.

Sexual Orientation

9

h.

Lack of Gang Affiliation or Social Support

10

i.

Sexual Assault History

10

j.
Low Self-Confidence or Projection of
Feeling of Fear

11

k.

12

Extortion Vulnerability

2.
Identified Common Characteristics of
Victims of Staff-On-Inmate Prison Rape

12

Page
3.
Identified Common Characteristics of Inmate
Perpetrators of Prison Rape

13

a. Smaller Inmate Paired With Larger
Cellmate

14

b. History of Sexual Victimization or
Perpetration

14

c. History of Incarceration

15

d. History of Engaging in Violence

15

e. Extortion

16

f. Gang Affiliation

17

g. Aggressive Attitude During Intake

17

4.

C.

Common Characteristics of Prisons and Prison
Systems With High or Low Prevalence of Prison Rape
1.

2.

3.

D.

Appendix

Identified Common Characteristics of Staff
Perpetrators of Prison Rape

18

19

Identified Characteristics Present In
Prisons With Low Prevalence of Sexual
Victimization and Absent from One or
More Prisons or Prison Systems with a
High Prevalence of Sexual Victimization

20

Identified Unique Characteristics of Prisons
and Prison Systems With High Prevalence
of Prison Rape

22

Identification of Additional Characteristics
of Both Prisons With High and Low
Prevalence of Sexual Victimization
(including follow-up questions)

23

Best Practices to Lessen the Risk of Rape in U.S.
Prisons

29
38

Panel Members and Staff
In accordance with the Prison Rape Elimination Act of 2003 (PREA),
Public Law 108-79, 117 Stat. 972 (codified as amended at 42 U.S.C. §§ 15601-15609
(2006)), the Attorney General, in consultation with the Secretary of the Department of
Health and Human Services, appointed the members of the Review Panel on Prison Rape
(Panel) on March 29, 2006. Members of the Panel in calendar year 2008 were Director
Carroll Ann Ellis, Victim Services Division, Fairfax County, Virginia, Police
Department; Director Steven T. McFarland, Task Force for Faith-Based and Community
Initiatives, U.S. Department of Justice; Sheriff Ted Sexton, Tuscaloosa County, Alabama,
Sheriff’s Office;1 and President and CEO Walter Ridley, Ridley Group, LLC.2 Mr.
Sexton did not participate in the Panel’s hearings or in the preparation of the instant
Report. While Mr. Ridley participated in the Panel’s April 30, 2008, telephonic hearing
involving the testimony of the Estelle Unit’s current warden and his predecessor, he did
not contribute to the preparation of this Report.
The Panel expresses its sincere appreciation to Robert Siedlecki, Jr.,
Senior Legal Counsel at the Task Force For Faith-Based and Community Initiatives,
Office of the Deputy Attorney General, and to attorneys from the Office of Justice
Programs for their invaluable assistance to the Panel in arranging public hearings and
reviewing transcripts and voluminous documentary evidence.

1

Sheriff Sexton resigned from the Panel on March 6, 2008.

2

Mr. Ridley resigned from the Panel on June 17, 2008.

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I.

Role of the Panel
According to PREA, the duty of the Panel is to hold annual hearings,

based on statistics gathered by the Bureau of Justice Statistics (BJS), concerning the
operation of the three prisons with the highest incidence of prison rape and the two
prisons with the lowest incidence of prison rape in each category of facilities identified
under Section (4)(c)(4) of the statute. Id. § 15603(b)(3)(A). The purpose of the hearings
is to aid BJS in the identification of common characteristics of victims and perpetrators of
prison rape, as well as of prisons and prison systems that have the highest and lowest
incidence of prison rape.3 Id. Under PREA, each year, no later than June 30, the
Attorney General is to submit a report to Congress and the Secretary of Health and
Human Services on the activities of the Panel in the preceding calendar year. Id. §
15603(c)(1).
II.

Panel’s 2008 Prison Hearings
In 2008, the Panel conducted hearings in response to the BJS report

entitled Sexual Victimization in State and Federal Prisons Reported by Inmates, 2007
(hereinafter referred to as Sexual Victimization Survey), which was published in
December of 2007.4
A.

Selection of Prisons Invited To Testify

3

Under PREA, the Panel is to conduct hearings “to collect evidence to aid in the identification of common
characteristics of both victims and perpetrators of prison rape, and the identification of common
characteristics of prisons and prison systems with a high incidence of prison rape, and the identification of
common characteristics of prisons and prison systems that appear to have been successful in deterring
prison rape.” 42 U.S.C. § 15603(b)(3)(A).

4

The Panel also held a preliminary hearing on November 14-15, 2006 at the California State Prison,
Sacramento in Represa, California.

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The Sexual Victimization Survey did not provide an exact ranking of the
prevalence of sexual assault for the facilities in its statistical survey as required by PREA
because BJS’ estimates were based on a sample of inmates from 146 state and federal
prisons, and, consequently, its findings were subject to sampling error. BJS was able to
statistically identify a group of ten facilities among those surveyed with the highest
reported rates of sexual victimization in addition to six facilities in which no incidents of
sexual victimization were reported by inmates. The BJS report also included appendix
tables which set forth in detail the tabulated results of the survey by facility and state. In
light of the inability of BJS to provide a rank order of federal and state facilities based on
the incidence of sexual assault, the Panel relied on the data in the appendix tables to
select the facilities it planned to review at its hearings in 2008.
The Panel identified the following two prisons among the federal and state
prisons surveyed by BJS with the lowest prevalence of sexual abuse to invite to a
hearing: (1) Ironwood State Prison (Ironwood), California Department of Corrections and
Rehabilitation (CDCR); and (2) Schuylkill Federal Correctional Institution (Schuylkill),
Federal Bureau of Prisons (BOP). The Panel chose Ironwood because it was one of three
state facilities among the six that the BJS survey identified with no reported incidents of
sexual assault (id. Table 1) and because it was part of CDCR, the nation’s largest state
prison system. The Panel identified Schuylkill because it was part of the federal prison
system and had a relatively high response rate to the inmate survey. (Id.).
The BJS report showed that five out of the ten state and federal prisons
surveyed by the BJS with the highest prevalence of sexual assault were part of the Texas
Department of Criminal Justice (TDCJ): the Estelle Unit, the Clements Unit, the Allred
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Unit, the Mountain View Unit, and the Coffield Unit. (Id.). The Estelle Unit had the
highest reported prevalence of sexual victimization in the country (id.), including the
third worst record with inmate-on-inmate sexual assault involving physical force (id.
Table 4) and the fourth worst record with inmates having the highest number of incidents
of nonconsensual sexual acts per 1,000 inmates. (Id. Table 5). So, the Panel set a
separate hearing in Texas to focus on the issues at TDCJ.
The Panel also identified the following state prisons with the highest
prevalence of sexual abuse among those surveyed: (1) Charlotte Correctional Institution
(Charlotte), Florida Department of Corrections (FDOC); (2) Rockville Correctional
Facility (Rockville), Indiana Department of Correction (IDOC); and (3) Tecumseh State
Correctional Institution (Tecumseh), Nebraska Department of Correctional Services
(NDCS).
The Panel chose Charlotte because it had the fourth highest prevalence of
sexual victimization (id. Table 3); it had the third worst record for the prevalence of staff
sexual misconduct (id. Table 2); and the second worst record for incidents of
nonconsensual sexual acts per 1,000 inmates. (Id. Table 5).
The Panel chose Rockville because it had the highest prevalence of sexual
victimization among female facilities (id. Table 1) and for inmate-on-inmate (IOI) sexual
assault resulting in injury (id. Table 4), the second worst record for IOI assault involving
physical force, and the second worst record for IOI sexual assault involving pressure.
(Id.).

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Tecumseh was selected because of its ranking as the facility with the
highest number of incidents of nonconsensual sexual acts per 1,000 inmates (id. Table
5).5
The Panel held hearings on March 11, 2008, regarding two of the federal
and state prisons among those surveyed with the lowest incidence of prison rape
(Ironwood, CDCR; and Schuylkill, BOP). The Panel held hearings on March 12, 13, and
14, 2008, regarding three of the state prisons in the United States with the highest
incidence of prison rape (Charlotte, FDOC; Rockville, IDOC; and Tecumseh, NDCS) and
held hearings on March 27, March 28, and April 30, 2008, regarding TDCJ and its
Estelle, Clements, Allred, Mountain View, and Coffield Units.

B.

Identified Common Characteristics of Victims and
Perpetrators of Prison Rape

Pursuant to its mandate under PREA, the Panel held hearings in part to
identify the factors that prisons and prison systems use to detect potential sexual assault
victims, as well as potential inmate and staff sexual assault perpetrators. In preparation
for its hearings, the Panel issued document requests to each prison and prison system
invited to participate, and solicited additional documents and data from certain witnesses
during and after the hearings. After the conclusion of the hearings, the Panel reviewed
and analyzed the documents and data it received, as well as the written and oral sworn
testimony provided by hearing witnesses.
5

The Panel was initially reluctant to select this facility as one of the prisons with the highest prevalence of
prison rape because of the relatively low response rate to the inmate survey. (Id. Table 1). However, the
Panel was wary of establishing a precedent that made low response rates determinative because that could
provide an incentive for facilities to discourage inmate participation in future PREA-related BJS surveys
and thereby avoid Panel scrutiny.

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In discerning those common characteristics which were used to identify
sexual assault victims and perpetrators, the Panel sought to adopt a workable analytical
framework that gave appropriate weight to the information provided in connection with
its hearings.6 In reviewing the documentary and testimonial evidence, the Panel noted
that, in many instances, more than one prison or prison system identified a particular
characteristic in describing a sexual assault victim or predator. Specifically, at least two
prisons or prison systems identified twelve IOI victim characteristics, fifteen staff-oninmate (SOI) victim characteristics, eight inmate perpetrator characteristics, and twentynine staff perpetrator characteristics. In contrast, there were fewer instances when only
one facility or system identified a specific trait in describing potential victims or
perpetrators. Given the apparent consensus that existed among prisons and prison
systems as to certain victim and perpetrator traits, the Panel emphasizes below those
attributes that were mentioned by at least two facilities or systems.
1.

Identified Common Characteristics of Victims of
Inmate On Inmate Prison Rape
a.

Inmate Physical Attributes

According to several hearing witnesses, inmates of small stature were
more vulnerable to sexual assault. The IDOC, NDCS, and TDCJ systems, as well as
individuals from Schuylkill, Charlotte, Rockville, and Estelle, recognized that an
inmate’s small or slight physical stature could increase his or her vulnerability to sexual
assault.7

6

It is important to note that the Panel’s conclusions are based solely on the documents and testimony
provided by the prison facilities and systems in connection with its hearings.
7
(Transcript of Hearing of Review Panel on Prison Rape [hereinafter Tr.], G. Walters, 243:16-244:1 (Mar.
11, 2008) (BOP); id., A. Leonard, 352:2-6 (BOP); id., D. Colon, 327:16-328:6 (Mar. 12, 2008) (FDOC);

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b.

Smaller Inmate Paired With Larger
Cellmate

According to several hearing witnesses, smaller inmates who shared cells
with inmates of larger stature were more vulnerable to sexual assault. For instance,
CDCR Secretary James Tilton testified that, in making housing assignments, CDCR staff
members assessed an inmate’s height and weight, both of which he deemed to be
important to facility safety.8 Charlotte Lieutenant David Colon also noted that an inmate
with a smaller stature may have been especially vulnerable to attack if his cellmate was
of a larger stature.9
c.

Age

According to several hearing witnesses, younger inmates were more
vulnerable to sexual assault. Under California’s Sexual Abuse in Detention Elimination
Act of 2005 (SADEA),10 CDCR must take age into account in making housing
assignments to prevent inmates from sexual victimization.11 In considering age as a
predictive factor of prison sexual assault, witnesses asserted that younger offenders were
at risk. Representatives from Ironwood, Rockville, and Estelle noted that the most
IDOC, Sexual Violence Assessment Tool, at 2; Tr., R. Brown, 120:12-17 (Mar. 13, 2008) (IDOC); id., J.
Stout, 333:15-334:10 (IDOC); NDCS, Internal Classification Initial Screening Instrument Manual (rev.
June 26, 2006) (hereinafter referred to as 2006 Initial Screening Instrument Manual), at 4; TDCJ,
Orientation – Safe Prisons Program (SPP) Pt. 8; Tr., B. Jenkins, 14:6-10, 21:19-22:2, 23:14-19 (Mar. 28,
2008) (TDCJ); id., J. T. Morgan, 48:7-17 (Apr. 30, 2008) (TDCJ)).
8

(Tr., J. Tilton, 31:2-7 (Mar. 11, 2008) (CDCR); see also id. 31:11-13 (“We know that establishing
housing protocols and considering offenders’ size . . . is critical to . . . inmate safety.”). Schuylkill also
emphasized the importance of inmate custody and housing classification procedures in preventing sexual
assault. (Id., H. Lappin, 190:3-19 (CDCR)).
9

(Tr., D. Colon, 328:3-6 (Mar. 12, 2008) (FDOC)).

10

Cal. Penal Code §§ 2635-2643 (West 2006).

11

Id. § 2636; Tr., J. Tilton, 31:11-13 (Mar. 11, 2008) (CDCR) (“We know that establishing housing
protocols and considering offenders’ . . . age is critical to . . . inmate safety.”).

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vulnerable inmates for sexual assault were young inmates,12 while materials from IDOC’s
sexual violence assessment tool and TDCJ’s Safe Prison Plan (SPP) stated that younger
offenders faced a heightened risk of sexual assault.13
d.

Nature of Offense

Several hearing witnesses considered the nature of an inmate’s offense in
determining whether he or she was more susceptible to sexual assault. IDOC and TDCJ
recognized that the targeted offender often was a non-violent offender, and that the
typical victim would have no history of acting out in a violent manner.14 IDOC and
NDCS also concluded that an inmate was more vulnerable if he or she committed sexrelated crimes, such as those involving children.15
e.

History of Prior Incarceration

According to several hearing witnesses, first-time inmates were more
vulnerable to sexual assault. Under SADEA, CDCR evaluated whether an inmate had
served a prior term of commitment in making housing assignments to prevent inmates
from sexual victimization.16 Schuylkill, NDCS, IDOC, and TDCJ also recognized that

12

(Tr., T. Riddle, 104:2-8 (Mar. 11, 2008) (CDCR); id., R. Brown, 120:12-17 (Mar. 13, 2008) (IDOC); id.,
B. Jenkins, 21:19-22:2, 23:14-22 (Mar. 28, 2008) (TDCJ)).
13

(IDOC, Sexual Violence Assessment Tool, at 2). TDCJ’s SPP materials noted that the typical sexual
assault victim would be in his or her late teens or early twenties, while its Peer Educator training program
also highlighted the assault risks faced by younger offenders. (TDCJ, Orientation – SPP Pt. 8; TDCJ, Safe
Prisons Peer Educator Training Manual, at 52).
14

(IDOC, Sexual Violence Assessment Tool, at 2; TDCJ Orientation – SPP Pt. 8).

15

(IDOC, Sexual Violence Assessment Tool, at 1; NDCS, Aggression and Vulnerability Potential Risk
Assessment Manual (rev. Sept. 13, 2007) (hereinafter referred to as 2007 Risk Assessment Manual), at 12;
NDCS, 2006 Initial Screening Instrument Manual, at 4).

16

Cal. Penal Code § 2636; see also Tr., T. Riddle, 104:2-12 (Mar. 11, 2008) (CDCR) (noting that first-time
inmates often are vulnerable because they are not familiar with inmate politics).

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first-time offenders, in addition to other inmates who were naïve about and unfamiliar
with the prison system, faced a greater risk of sexual assault.17
f.

Mental Illness or Physical Limitations

According to several hearing witnesses, mentally ill or physically limited
inmates were more vulnerable to sexual assault. CDCR, IDOC, NDCS, as well as
representatives from Schuylkill, Charlotte, and Estelle, emphasized that an inmate who
had a mental illness or physical restriction was more likely to become a sexual assault
victim.18 NDCS specifically assessed an inmate’s ability to comprehend, speak, and
answer difficult questions, as well as his or her history of special education placements.19
Representatives from Estelle further explained that inmates with certain mental
conditions (e.g., having developmental challenges or taking psychiatric medication) or
physical limitations (e.g., being blind or deaf) were more vulnerable to sexual assault.20
g.

Sexual Orientation (Male Inmates21)

According to several hearing witnesses, gay inmates were more vulnerable
to sexual assault. In responding to the Panel’s document requests, CDCR provided a
17

(Tr., G. Walters, 243:16-244:9 (Mar. 11, 2008) (BOP); IDOC, Sexual Violence Assessment Tool, at 2-3;
Tr., R. Brown, 120:12-17 (Mar. 13, 2008) (IDOC); id., J. Stout, 333:15-334:3 (IDOC); NDCS, 2006 Initial
Screening Instrument Manual, at 4; TDCJ, Orientation – SPP Pt. 8; TDCJ, Safe Prisons Peer Educator
Training Manual, at 52; Tr., B. Jenkins, 21:19-22:2, 23:14-20 (Mar. 28, 2008) (TDCJ)).
18

Cal. Penal Code § 2636; Tr., H. Lappin, 191:12-192:9 (Mar. 11, 2008) (BOP); id., G. Walters, 243:16244:10 (BOP); FDOC, Procedure No. 108.010, Prison Rape: Prevention, Elimination and Investigation, at
6; IDOC, Sexual Violence Assessment Tool, at 2; NDCS, 2006 Initial Screening Instrument Manual, at 4-5.
However, Ironwood Lieutenant Timothy Riddle noted that, in his experience, developmentally disabled
inmates were protected by other inmates. (Tr., T. Riddle, 104:13-20 (Mar. 11, 2008) (CDCR)).
19

(NDCS, 2006 Initial Screening Instrument Manual, at 4-5).

20

(Tr., B. Jenkins, 22:21-23:22 (Mar. 28, 2008) (TDCJ); id., A. Castillo, 39:11-15 (Apr. 30, 2008) (TDCJ);
see also TDCJ, Safe Prisons Peer Educator Training Manual, at 52).

21

Gay female inmates may be perceived as less vulnerable. This invites further study.

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published study which concluded that sexual orientation was a paramount consideration
“when thinking about the correlates of sexual assault in California correctional
facilities.”22 IDOC identified gay and bisexual inmates as being susceptible to assault,23
while CDCR also identified transgender inmates as being more vulnerable to assault.24
Similarly, witnesses from Estelle also testified that being homosexual, or being perceived
as gay, was a factor that could make an inmate more vulnerable to assault.25 In contrast,
TDCJ’s SPP written materials stated that the typical victim would be heterosexual.26
h.

Lack of Gang Affiliation or Social Support

According to several hearing witnesses, inmates with no gang affiliation
were more vulnerable to sexual assault. In making housing assignments, CDCR staff
members considered an inmate’s gang affiliation.27 Schuylkill also recognized that
inmates who did not have anyone to support them, such as loners, were at risk, including
inmates with no gang affiliation.28
i.

Sexual Assault History

22

Valerie Jenness, et al., Violence in California Correctional Facilities: An Empirical Examination of
Sexual Assault 33 (Center For Evidence-Based Corrections, University of California, Irvine, April 27,
2007).
23

(IDOC, Sexual Violence Assessment Tool, at 2-3).

24

(Tr., J. Tilton, 31:13-32:1 (Mar. 11, 2008) (CDCR)).

25

(Tr., B. Jenkins, 14:6-10, 22:17-20 (Mar. 28, 2008) (TDCJ); id., A. Castillo, 39:13-18 (Apr. 30, 2008)
(TDCJ); id., J. T. Morgan, 48:7-17 (TDCJ)).
26

(TDCJ Orientation – SPP Pt. 8).

27

(Tr., J. Tilton, 30:18-31:5 (Mar. 11, 2008) (CDCR)).

28

(Id., H. Lappin, 191:12-192:2 (BOP); id., G. Walters, 243:16-244:7 (BOP)).

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According to several hearing witnesses, an inmate who had previously
been assaulted was more likely to be assaulted again. Under SADEA, CDCR was
obligated to take an offender’s sexual assault history into account in making housing
assignments to prevent inmates from sexual victimization.29 IDOC, NDCS, and TDCJ, as
well as representatives from Schuylkill and Rockville, also noted that an inmate’s history
of sexual assault or victimization may have made him or her more vulnerable to future
assaults.30
j.

Low Self-Confidence or Projection of
Feeling of Fear

According to several hearing witnesses, an inmate who had low selfconfidence or projected a feeling of fear was more vulnerable to sexual assault. At
Ironwood, the most vulnerable inmates for sexual assault were identified as those
perceived as being weak,31 while written materials from IDOC and NDCS noted that an
inmate may have become more susceptible to assault if he or she was unassertive,
appeared to be fearful, nervous, or anxious, or expressed concern about sexual
victimization during intake.32 TDCJ’s SPP written materials recognized that the typical

29

Cal. Penal Code § 2636; Tr., J. Tilton, 30:18-31:5 (Mar. 11, 2008) (CDCR). CDCR’s Initial Housing
Review Form had a question that allowed CDCR staff members to record, based on a private interview
with the inmate, whether the inmate was ever a victim of sexual assault. (CDCR, Initial Housing Review,
CDCR 1882 (rev. Oct. 2006); see also Tr., R. Anti, 120:14-21 (Mar. 11, 2008) (CDCR)).
30

(Tr., H. Lappin, 192:10-193:3 (Mar. 11, 2008) (BOP); id., R. Brown, 120:12-19 (Mar. 13, 2008) (IDOC);
id., J. Stout, 333:15-334:6 (IDOC); NDCS, 2007 Risk Assessment Manual, at 15; NDCS, 2006 Initial
Screening Instrument Manual, at 5; IDOC, Sexual Violence Assessment Tool, at 3). TDCJ’s Peer Educator
training program noted that a history of relationship abuse also was a predictor of assault. (TDCJ, Safe
Prisons Peer Educator Training Manual, at 52).

31

(Tr., T. Riddle, 104:2-9 (Mar. 11, 2008) (CDCR)).

32

(IDOC, Sexual Violence Assessment Tool, at 3; NDCS, 2006 Initial Screening Instrument Manual, at 4).

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victim was passive, soft spoken, and had no history of acting out in a violent manner,
while Estelle Captain Bobby Jenkins testified that an inmate who lacked self-confidence
may have become more vulnerable to sexual assault.33 Similarly, Rockville evaluated
whether female inmates had low self-esteem or were scared in identifying those at greater
risk of assault.34
k.

Extortion Vulnerability

According to several hearing witnesses, an inmate who had been subjected
to extortion was more vulnerable to sexual assault. Schuylkill and TDCJ recognized that
inmates who took favors from other inmates or otherwise were victims of extortion had a
heightened risk of being sexual victims in the future.35
2.

Identified Common Characteristics of Victims
Staff-On-Inmate Prison Rape

After reviewing the documentary and testimonial evidence provided in
connection with the Panel’s hearings, the Panel identified fifteen common characteristics
of SOI sexual assault victims.36
In an effort to prevent SOI sexual misconduct, BOP and IDOC developed
warning signs that identified male and female offenders who may have had a greater
33

(TDCJ, Orientation – SPP Pt. 8; Tr., B. Jenkins, 21:23-22:2 (Mar. 28, 2008) (TDCJ)).

34

(Tr., J. Stout, 333:15-334:9 (Mar. 13, 2008) (IDOC)).

35

(Tr., J. Baxter, 295:20-296:5 (Mar. 11, 2008) (BOP); id., D. Stacks, 50:24-51:1 (Mar. 27, 2008) (TDCJ)).

36

While each prison system evaluated by the Panel has male and female inmates, only two of the ten
facilities (Rockville and Mountain View) housed female inmates. The documentary and testimonial
evidence provided to the Panel through its hearings suggests that male and female inmate sexual victims
may share similar common characteristics; however, there also may be distinguishing factors between these
two offender groups that warrant further review. For instance, IDOC identified specific traits of female
offenders who are more prone to SOI assault, noting that a female inmate was more susceptible if she
(1) was unmarried, (2) experienced sexual or physical abuse since childhood, (3) was a mother, (4) never
completed high school, or (5) was unemployed before incarceration. (IDOC Sexual Misconduct Training
Module Three: Characteristics and Strategies (2003), at 6).

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tendency to be victimized by a staff member. An offender may have been identified as
being more susceptible to SOI sexual assault if he or she displayed the following
characteristics: (1) had a history of substance abuse;37 (2) engaged in horse-play or sexual
interaction with a staff member (including non-sexual interactions that may have
escalated to sexual involvement); (3) knew personal information about staff members;
(4) had letters from or photos of staff; (5) was in an unauthorized area, or was repeatedly
out of his or her assigned place; (6) exchanged telephone calls with staff; (7) became
pregnant or was diagnosed with a sexually transmitted disease; (8) underwent a drastic
behavioral change; (9) wanted to start working before or after his or her regularly
scheduled times; (10) improved his or her appearance; (11) had isolated work
assignments; (12) had family that was involved with staff’s family;
(13) worked in a secluded area with staff; (14) went out of his or her cell at unusual
times; and (15) had an unusually high balance or frequency of activity in his or her
commissary account.38
3.

Identified Common Characteristics of Inmate
Perpetrators of Prison Rape

In its Sexual Victimization Survey, BJS surveyed the prevalence rates of

37

(BOP, Annual Training FY 2006 – Sexually Abusive Behavior Prevention and Intervention Program, at
7; IDOC Sexual Misconduct Training Module Three: Characteristics and Strategies (2003), at 6).
38

(BOP, Red Flags – Are We Paying Attention to Staff?, Sexually Abusive Behavior Prevention and
Intervention Program – FY 2006 (2006), at unnumbered 1; IDOC, Sexual Misconduct Training Module
Two: Warning Signs (2003), at 7-9). BOP and IDOC also each highlighted additional characteristics to
identify offenders who are more prone to SOI assault. BOP noted that an inmate was more susceptible if
he or she (1) was the victim of abuse, (2) had a mental illness, or (3) was new to the system. (BOP, Annual
Training FY 2006 – Sexually Abusive Behavior Prevention and Intervention Program, at 7). IDOC’s
materials also asserted that an inmate was more susceptible if he or she (1) had good social skills, (2) had a
perceptive and sensitive façade, (3) was high achieving, (4) was not a behavioral problem, or (5) had a
subdued appearance. (IDOC, Sexual Misconduct Training Module Three: Characteristics and Strategies
(2003), at 5-6).

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IOI and SOI sexual assault. Various prisons and prison systems also made separate
assessments in evaluating inmate and staff predators. Given those considerations, the
Panel separately evaluated inmate and staff perpetrators. After reviewing the
documentary and testimonial evidence provided in connection with the Panel’s hearings,
the Panel identified eight common characteristics of inmate sexual assault perpetrators
that were noted by at least two prisons or prison systems.39
a.

Smaller Inmate Paired With Larger
Cellmate

According to several hearing witnesses, larger inmates who shared cells
with inmates of smaller stature were more prone to engage in sexual assault. For
instance, CDCR assessed an inmate’s height and weight in making housing
assignments.40 Representatives from Charlotte and Estelle emphasized that an inmate
perpetrator may have been big in stature and that those inmates were not housed with
inmates of a smaller stature.41
b.

History of Sexual Victimization or
Perpetration

Several hearing witnesses considered the nature of an inmate’s offense in
determining whether he or she was more prone to engage in sexual assault. Under
SADEA, CDCR had to determine if an inmate was a violent offender who would act in a

39

For discussion of characteristics of staff perpetrators of SA, see II B 4, infra.

40

(Tr., J. Tilton, 31:2-7 (Mar. 11, 2008) (CDCR)).

41

(Tr., D. Colon, 328:3-6 (Mar. 12, 2008) (FDOC); id., L. Dawson, 38:18-39:1 (Mar. 28, 2008) (TDCJ);
see also TDCJ, Orientation – SPP Pt. 8).

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sexually aggressive manner toward other inmates.42 Representatives from Schuylkill and
Estelle noted that inmates who had committed sexual offenses or who had engaged in
misconduct of a sexual nature may have been at risk for being sexual aggressors.43
Charlotte considered whether the sentencing authority designated the inmate as a sexual
offender based on his criminal history,44 while NDCS identified whether an inmate’s
offense was predatory or impulsive in nature and whether the offense was for sexual
assault or abuse.45
c.

History of Incarceration

According to several hearing witnesses, inmates with a history of
incarceration were more prone to engage in sexual assault. California’s SADEA
instructed CDCR to determine whether an inmate had served a prior term of commitment,
which may have increased his or her sexual aggressiveness toward other inmates.46
NDCS also evaluated whether an offender had multiple prior incarcerations and appeared
familiar with the prison environment.47
d.

History of Engaging in Violence

According to several hearing witnesses, inmates were more likely to be
42

Cal. Penal Code § 2635; see also Tr., J. Tilton, 30:19-31:5 (Mar. 11, 2008) (CDCR) (noting that
offender’s commitment offense may be factor in identifying sexual predators).
43

(Tr., H. Lappin, 190:3-12 (Mar. 11, 2008) (BOP); id., A. Leonard, 301:12-21 (BOP); id., B. Jenkins,
39:11-16 (Mar. 28, 2008) (TDCJ)).
44

(FDOC, Procedure No. 601.209, Reception Process – Initial Classification, at 8).

45

(NDCS, 2007 Risk Assessment Manual, at 5, 7-9; NDCS, 2006 Initial Screening Instrument Manual, at
2-3).
46

Cal. Penal Code § 2635.

47

(NDCS, 2007 Risk Assessment Manual, at 5, 9-10; NDCS, 2006 Initial Screening Instrument Manual, at
1-2).

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sexual predators if they had a history of engaging in sexually assaultive misconduct. As
John Baxter, psychologist service administrator for BOP, explained, inmate perpetrators
typically had a history of violence in their background and a pattern of disregarding the
rights of other individuals.48 Consistent with this observation, BOP’s written materials
noted that an inmate may pose a heightened risk as a sexual predator if he has a history of
sexually abusive behavior while in prison, including stalking or excessive sexual
preoccupation.49 Charlotte Lieutenant David Colon and Rockville Superintendent Julie
Stout also noted the importance of identifying an individual’s assaultive history.50
CDCR, NDCS, and TDCJ also had procedures in place to evaluate an inmate’s prior
sexual assault history. In making housing assignments, CDCR staff members were
expected to elicit information about whether an inmate was ever an assailant in a sexual
assault.51 As part of its initial classification, NDCS administered predation risk
assessment tools that included the identification of any sex-related misconduct or
charges.52 At TDCJ, its Unit Safe Prisons Program Coordinators reviewed an offender’s
history for any record of past sexual predator allegations, and sought to identify any
history of aggression.53
e.
48

Extortion.

(Tr., J. Baxter, 294:13-295:12 (Mar. 11, 2008) (BOP)).

49

(BOP, Program Statement No. P5324.06, Sexually Abusive Behavior Prevention and Intervention
Program (Apr. 27, 2005), at 7).
50

(Tr., D. Colon, 330:7-12 (Mar. 12, 2008) (FDOC); id., J. Stout, 335:8-15 (Mar. 13, 2008) (IDOC)).

51

(CDCR, Initial Housing Review Form, CDCR 1882; Tr., J. Tilton, 30:18-31:5 (Mar. 11, 2008) (CDCR)).

52

(NDCS, 2007 Risk Assessment Manual, at 3-4; NDCS, 2006 Initial Screening Instrument Manual, at 2).

53

(TDCJ, SPP, at 7; TDCJ, Orientation – SPP Pt. 8; see also Tr., L. Dawson, 38:23-39:1 (Mar. 28, 2008)
(TDCJ) (explaining that an inmate perpetrator may have raped someone previously)).

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According to several hearing witnesses, inmates who engaged in extortion
of other inmates were more prone to engage in sexual assault. As John Baxter,
psychologist service administrator for BOP, noted, inmate perpetrators may have studied
a target and then established a relationship with the potential victim; the relationship was
often characterized by real or perceived indebtedness.54 TDCJ also recognizes that
extortion may have resulted in sexual assault; its Unit Safe Prisons Program Coordinators
determined whether an inmate had a record for extortions, assault, trafficking, and
trading.55
f.

Gang Affiliation.

Several hearing witnesses considered an inmate’s gang affiliation in
determining whether he or she was more prone to engage in sexual assault. NDCS and
TDCJ noted that a sexual assault predator may have been a member of a gang or other
security threat group,56 while CDCR assessed an inmate’s gang affiliation in making
housing assignments.57
g.

Aggressive Attitude During Intake

According to IDOC and NDCS, offenders with intimidating or aggressive
attitudes during intake were more prone to engage in sexual assault.58
54

(Tr., J. Baxter, Psychology Services Administrator, retired, 295:6-12 (Mar. 11, 2008) (BOP)).

55

(TDCJ, SPP, at 7). Estelle Captain Lawrence Dawson also noted that an inmate perpetrator may have
“money on the books.” (Tr., L. Dawson, 38:23-39:1 (Mar. 28, 2008) (TDCJ)).
56

(NDCS, 2007 Risk Assessment Manual, at 5-6; TDCJ, Orientation – SPP Pt. 8). However, Estelle
Captain Bobby Jenkins suggested that gangs “don’t believe in committing rapes and stuff like that.” (Tr.,
B. Jenkins, 39:17-23 (Mar. 28, 2008) (TDCJ)).
57

(Tr., J. Tilton, 31:2-7 (Mar. 11, 2008) (CDCR)).

58

(IDOC, Sexual Violence Assessment Tool, at 4; NDCS, 2006 Initial Screening Instrument Manual, at 1).

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4.

Identified Common Characteristics of Staff
Perpetrators of Prison Rape

After reviewing the documentary and testimonial evidence provided in
connection with the Panel’s hearings, the Panel identified twenty-nine common
characteristics of staff sexual assault perpetrators.59
In an effort to prevent SOI sexual misconduct, BOP and IDOC developed
warning signs to identify staff that may have a greater tendency to engage in sexual
misconduct with an inmate. A staff member may raise a “red flag” if he or she displays
the following characteristics: (1) over-identifies with an inmate and his or her issues;
(2) engages in horse-play or sexual interaction with an inmate (including non-sexual
interactions that may have escalated to sexual involvement); (3) is isolated from other
staff; (4) grants special requests to an inmate or shows favoritism; (5) spends an
unexplainable amount of time with an inmate; (6) exchanges telephone calls with an
inmate; (7) is in the facility while off-duty (outside of his or her regular schedule); (8) is
pregnant or is diagnosed with sexually transmitted disease; (9) is overly concerned about
an inmate; (10) undergoes drastic behavioral change; (11) has sole involvement with an
inmate; (12) views an inmate as indispensable to performing his or her assignment;
(13) has unusually high or low number of inmate grievances; (14) confronts other staff
over an inmate; (15) intercepts or revises an inmate’s disciplinary infractions; (16) tracks
outside inmate calls; (17) has isolated posts, positions, or work assignments; (18) cannot
account for time; (19) has his or her family involved with an inmate’s family; (20) works
59

In evaluating information provided by prison facilities, BJS emphasized that “a large proportion of
substantiated incidents of staff sexual misconduct involve[ed] female staff with male inmates.” (Tr., A.
Beck, 21:21-22:3 (Mar. 11, 2008) (BJS)). As Ironwood Warden Debra Dexter further explained, one
common concern, at least in male institutions, was that female staff, especially teachers, may have been
prone to fall in love with male inmates. (Id., D. Dexter, 165:9-18 (CDCR)).

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in a secluded area with an inmate; (21) removes an inmate from his or her cell at unusual
times; (22) experiences a personal crisis (e.g., divorce, ill health, bankruptcy, or death in
the family); (23) has excessive knowledge about an inmate and his or her family;
(24) intervenes or helps with an inmate’s personal life and legal affairs; (25) shares food
or snacks with an inmate; (26) testifies for an inmate, or requests special treatment for an
inmate; (27) delegates duties to an inmate; (28) is lonely or depressed; or (29) brings into
the facility large amounts of food, soda, or snacks.60

C.

Common Characteristics of Prisons and Prison Systems With
High or Low Prevalence of Prison Rape

Pursuant to the Panel’s mandate under PREA, it sought to identify
common characteristics of prisons and prison systems with a high or low prevalence of
prison rape. To accomplish this, the Panel reviewed and analyzed the information
submitted by the prisons and prison systems in response to its document requests, which
comprised thousands of pages of documents, as well as the written and oral sworn
testimony of seventy-nine fact and expert witnesses in connection with the Panel’s
hearings.
As a result of the Panel’s review and analysis, and in an effort to identify
unique and common characteristics, it sought to answer seventy-two specific questions
about each pertinent facility and system that encompassed ten main areas of inquiry:
(1) general PREA factors, which evaluated the designation of PREA coordinators at the
60

(BOP, Red Flags – Are We Paying Attention to Staff?, at unnumbered 1; IDOC, Sexual Misconduct
Training Module Two, at 7-9). IDOC’s training materials also emphasized that employees who had
narcissistic personalities, those who were “rescuers,” and those who were situationally distressed, including
individuals who had relationship problems or were dissatisfied with life in general, were more likely to get
involved with offenders. (IDOC, Sexual Misconduct Training Module Three, at 7-8).

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system and facility levels; (2) policy factors, which investigated certain written policies
and procedures regarding PREA-related issues; (3) training factors, which reviewed the
extent to which certain PREA information was provided to inmates, correctional officers,
and investigators; (4) investigative process factors regarding grievances and complaints,
which assessed various facets of IOI and SOI sexual assault reports and investigations;
(5) human resource factors, which evaluated various correctional officer and staff human
resource issues; (6) operational factors, which investigated various inmate demographic
and offender supervision issues; (7) housing classification factors, which reviewed
housing assignment policies and procedures both during intake and after the report of a
sexual assault; (8) medical and mental health factors, which assessed sexual assault
response team resources and PREA training for mental health staff; (9) program services
factors, which evaluated the level of inmate involvement in a facility’s work and
educational programs; and (10) inmate population factors, which investigated issues
involving inmate sexual orientation, as well as inmate suicide and homicide rates.61
1.

Identified Characteristics Present In Prisons With Low
Prevalence of Sexual Victimization and Absent from
One or More Prisons or Prison Systems with a High
Prevalence of Sexual Victimization

After reviewing the documentary and testimonial evidence provided in
connection with the Panel’s hearings, the Panel identified five characteristics that were
common to Ironwood, CDCR, and Schuylkill, BOP, which were the prisons with low
prevalence rates of prison rape, and absent in one or more of the prisons or prison
systems with a high prevalence of sexual victimization that participated in the hearings.

61

The questions evaluated by the Panel are provided in the Appendix to the instant Report.

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While these factors were common to both of the low prevalence prisons, they were not
unique to them, in that they were also shared by one or more of the high prevalence
prisons as well.
a.
Prisons track inmate complaints alleging
inmate-on-inmate sexual assault.62
b.
Prisons track inmate complaints alleging
staff-on-inmate sexual assault.63
c.
Prisons have a low turnover rate among new
corrections officers.64
d.
staffed.65

Prisons are fully staffed or almost fully

62

Compare Cal. Penal Code § 2640; CDCR, Department Operations Manual (DOM), ch. 5. art. 44, §
54040.13; BOP, Program Statement No. P5324.06, at 15-16 (reflecting ability to track sexual assault
complaints); Tr., G. Sapp, 22:20-23:3 (Mar. 12, 2008) (FDOC); id., A. Johnson, 369:15-370:20 (grievances
are logged and tracked); id., D. Donahue, 12:8-21 (Mar. 13, 2008) (IDOC) (IDOC has new web-based
grievance tracking system); id., B. Livingston, 19:11-12 (Mar. 27, 2008) (TDCJ) (Safe Prisons Program
includes “reporting, tracking and analysis of alleged sexual assaults”), with id., R. Koester, 194:8-18 (Mar.
13, 2008) (IDOC) (there is no mechanism for tracking sexual assault complaints at Rockville); id., A.
Simon, 112:7-13 (Mar. 14, 2008) (NDCS) (an incident report that is not numbered could be lost); id., B.
Jenkins, 54:15-55:17 (Mar. 28, 2008) (TDCJ) (grievances “not numbered or tracked”).

63

Compare Cal. Penal Code § 2640; CDCR, DOM, ch. 5. art. 44, § 54040.13; BOP, Program Statement
No. P5324.06, at 15-16 (reflecting ability to track sexual assault complaints); Tr., G. Sapp, 22:20-23:3
(Mar. 12, 2008) (FDOC); id., A. Johnson, 369:15-370:20 (grievances are logged and tracked); id., D.
Donahue, 12:8-21 (Mar. 13, 2008) (IDOC) (IDOC has new web-based grievance tracking system); id., B.
Livingston, 19:11-12 (Mar. 27, 2008) (TDCJ) (Safe Prisons Program includes “reporting, tracking and
analysis of alleged sexual assaults”), with id., R. Koester, 194:8-18 (Mar. 13, 2008) (IDOC) (there is no
mechanism for tracking sexual assault complaints at Rockville); id., A. Simon, 112:7-13 (Mar. 14, 2008)
(NDCS) (an incident report that is not numbered could be lost); id., B. Jenkins, 54:15-55:17 (Mar. 28,
2008) (TDCJ) (grievances “not numbered or tracked”).

64

Compare Email from Terrie Flaherty, Correctional Business Manager, Ironwood State Prison (CDCR), to
R. Siedlecki [not sworn testimony] (Aug. 6, 2008): “The annual turnover rate for C/O’s in 2006 was .009%.
Of that rate there were 0 new C/O’s who quit/were terminated within their first year of work.” and Tr., H.
Lappin, 204:9-205:4 (Mar. 11, 2008) (BOP) (reflecting low turnover rate), with id., R. Houston, 26:4-18,
36:6-37:2 (Mar. 14, 2008) (NDCS); id., B. Livingston, 72:6-20 (Mar. 27, 2008) (TDCJ) (reflecting high
turnover rate).
65

Compare Email from T. Flaherty (CDCR) to R. Siedlecki [not sworn testimony] (Aug. 6, 2008): “ISP is
currently fully staffed in the C/O classification.”; Email from S. Batts (BOP) to S. McFarland & R.
Siedlecki [not sworn testimony] (Aug. 1, 2008), with Tr., J. Tilton, 44:17-20, 45:19-46:16 (Mar. 11, 2008)
(CDCR); id., D. Dexter, 154:12-18 (CDCR); with id., R. Houston, 34:10-18 (Mar. 14, 2008) (NDCS); id.,
B. Livingston, 31:19-32:4 (Mar. 27, 2008) (TDCJ); id., O. Black, 278:11-13 (Mar. 28, 2008) (TDCJ); id.,

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e.
Pornography (soft- and/or hard-core) among
inmates is prohibited.66
2.
Identified Unique Characteristics of Prisons and Prison
Systems With High Prevalence of Prison Rape
After reviewing the documentary and testimonial evidence provided in
connection with the Panel’s hearings, the Panel identified five characteristics that were
shared by at least two of those prisons and prison systems with a high prevalence of
prison rape that participated in the hearings and absent in both of the prisons with a low
prevalence of prison rape.
a.

Prisons are significantly understaffed.67

b.
Prisons have a high turnover rate among
new corrections officers.68
c.

Prisons house maximum security inmates.69

B. Rodeen, 278:25-279:1, 279:19-280:14 (TDCJ); id., E. Williams, 272:21-273:2, 281:19-20 (TDCJ); id.,
R. Thompson, 274:11-21, 287:7-21 (TDCJ).
66

Compare Email from T. Flaherty (CDCR) to R. Siedlecki [not sworn testimony] (Aug. 6, 2008):
“Inmates are not allowed to have pornography due to the departments Sexual Harassment Policy.
Approximately 7 years ago the departments policy was changed from allowing full frontal nudity to zero
nudity.” and Tr., A. Leonard, 282:1-20 (Mar. 11, 2008) (BOP) (prohibiting certain kinds of pornography);
Email from S. Batts (BOP) to S. McFarland & R. Siedlecki [not sworn testimony] (Aug. 1, 2008), with id.,
S. Anderson, 158:7-12 (Mar. 12, 2008) (FDOC); id., A. Simon, 99:13-21, 100:16-19 (Mar. 14, 2008)
(NDCS) (permitting certain kinds of pornography).

67

Compare Email from T. Flaherty (CDCR) to R. Siedlecki [not sworn testimony] (Aug. 6, 2008): “ISP is
currently fully staffed in the C/O classification.”, with Tr., J. Tilton, 44:17-20, 45:19-46:16 (Mar. 11, 2008)
(CDCR); id., D. Dexter, 154:12-18 (CDCR); Email from S. Batts (BOP) to S. McFarland & R. Siedlecki
[not sworn testimony] (Aug. 1, 2008), with Tr., R. Houston, 34:10-18 (Mar. 14, 2008) (NDCS); id., B.
Livingston, 31:19-32:4 (Mar. 27, 2008) (TDCJ); id., O. Black, 278:11-13 (Mar. 28, 2008) (TDCJ); id., B.
Rodeen, 278:25-279:1, 279:19-280:14 (TDCJ); id., E. Williams, 272:21-273:2, 281:19-20 (TDCJ); id., R.
Thompson, 274:11-21, 287:7-21 (TDCJ).

68

Compare Email from T. Flaherty (CDCR) to R. Siedlecki [not sworn testimony] (Aug. 6, 2008): “The
annual turnover rate for C/O’s in 2006 was .009%. Of that rate there were 0 new C/O’s who quit/were
terminated within their first year of work.” and Tr., H. Lappin, 204:9-205:4 (Mar. 11, 2008) (BOP)
(reflecting low turnover rate), with id., R. Houston, 26:4-18, 36:6-37:2 (Mar. 14, 2008) (NDCS); id., B.
Livingston, 72:6-20 (Mar. 27, 2008) (TDCJ) (reflecting high turnover rate).

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d.
inmates.70

Soft pornography is permitted among the

e.
Prisons do not track inmate grievances
alleging inmate-on-inmate sexual assault.71
3.

Identification of Additional Characteristics of Both
Prisons and Prison Systems With High and Low
Prevalence of Sexual Victimization

In the preceding sections of this report, the Panel identifies (1) those
characteristics that were true of the two prisons with a low prevalence of sexual
victimization but absent in one or more of the prisons or prison systems with a high
prevalence of sexual victimization (see Section II.C.1. above), and (2) those
characteristics that were absent in both of the “low prevalence” prisons but true of at least
two of the “high prevalence” prisons or prison systems (see Section II.C.2. above).

69

Compare Tr., J. Upchurch, 30:15-31:17 (Mar. 12, 2008) (FDOC); id., A. Simon, 115:16-19 (Mar. 14,
2008) (NDCS); id., B. Livingston, 22:23-23:3 (Mar. 27, 2008) (TDCJ) (housing maximum security
inmates), with id., D. Dexter, 155:18-21 (Mar. 11, 2008) (CDCR); id., A. Leonard, 283:21-284:4 (BOP)
(housing offenders at security levels less than maximum security).
70

Compare Email from T. Flaherty (CDCR) to R. Siedlecki [not sworn testimony] (Aug. 6, 2008):
“Inmates are not allowed to have pornography due to the departments Sexual Harassment Policy.
Approximately 7 years ago the departments policy was changed from following full frontal nudity to zero
nudity.” and Tr., A. Leonard, 282:1-20 (Mar. 11, 2008) (BOP) (prohibiting certain kinds of pornography);
Email from S. Batts (BOP) to S. McFarland & R. Siedlecki [not sworn testimony] (Aug. 1, 2008), with Tr.,
S. Anderson, 158:7-12 (Mar. 12, 2008) (FDOC); id., A. Simon, 99:13-21, 100:16-19 (Mar. 14, 2008)
(NDCS) (permitting certain kinds of pornography).

71

Compare Cal. Penal Code § 2640; CDCR, DOM, ch. 5. art. 44, § 54040.13; BOP, Program Statement
No. P5324.06, at 15-16 (reflecting ability to track sexual assault complaints); Tr., G. Sapp, 22:20-23:3
(Mar. 12, 2008) (FDOC); id., A. Johnson, 369:15-370:20 (grievances are logged and tracked); id., D.
Donahue, 12:8-21 (Mar. 13, 2008) (IDOC) (IDOC has new web-based grievance tracking system); id., B.
Livingston, 19:11-12 (Mar. 27, 2008) (TDCJ) (Safe Prisons Program includes “reporting, tracking and
analysis of alleged sexual assaults”), with id., R. Koester, 194:8-18 (Mar. 13, 2008) (IDOC) (there is no
mechanism for tracking sexual assault complaints at Rockville); id., A. Simon, 112:7-13 (Mar. 14, 2008)
(NDCS) (an incident report that is not numbered could be lost); id., B. Jenkins, 54:15-55:17 (Mar. 28,
2008) (TDCJ) (grievances “not numbered or tracked”).

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In this section, the Panel also identifies those characteristics that were
shared by at least one “low prevalence” prison and at least a majority (five of the eight)
of the “high prevalence” prisons. The Panel believes it important to identify these
common characteristics to emphasize that there may be a pivotal difference between
policies on paper and how – or whether – those policies are actually implemented.
Following each factor, the Panel suggests a more probative question that may explain
how that factor can be true of both the “high” and “low” prisons.
At least one of the “low prevalence” prison systems and a majority of the
“high prevalence” prison systems:
Have a PREA coordinator on site in the prison.72
But what is his or her training, authority to act, and opportunity to
train staff and inmates?
Have a written policy on preventing sexual victimization.73
But are the policies strictly and uniformly enforced?
Have a policy and a criminal law against staff-on-inmate sexual
misconduct.74
72

See, e.g., Tr., W. Still, 62:13-15 (Mar. 11, 2008) (CDCR); id., G. Walters, 224:20-225:2 (BOP); id., R.
Brown, 61:15-17 (Mar. 13, 2008) (IDOC); id., D. Thomas, 97:1-12 (Mar. 14, 2008) (NDCS); id., R. Bales,
104:25-105:3 (Mar. 27, 2008) (TDCJ).

73

See, e.g., CDCR, DOM, ch. 5, art. 44, Prison Rape Elimination Policy (Jan. 19, 2006), at 1-6; Ironwood,
Operational Procedure No. 062, Suspected Sexual Assault (Jan. 2008), at 1-4; BOP, Program Statement
No. P5324.06, at 1-19; BOP, Program Statement No. 3420.09, Standards of Employee Conduct (Feb. 5,
1999), at 8; Schuylkill, Institution Supplement No. SCH 5324.06, Sexually Abusive Behavior Prevention
and Intervention Program (Jan. 12, 2007), at 1-2. Within BOP, each institution also is required to develop a
supplement to the general BOP national program statement. (Tr., T. Sniezek, 333:15-334:11 (Mar. 11,
2008) (BOP)). See also FDOC, Procedure No. 108.010, Prison Rape: Prevention, Elimination and
Investigation, at 1-11; Tr., G. Sapp, 22:8-19 (Mar. 12, 2008) (FDOC); IDOC, Policy & Administrative
Procedure No. 02-01-115, Sexual Assault Prevention and Reporting, at 1-13; IDOC, Policy &
Administrative Procedure No. 00-01-103, The Operation of the Office of Internal Affairs, at 1-13; Tr., D.
Donahue, 10:8-11:2 (Mar. 13, 2008) (IDOC); Rockville, Operation Directive No. 0-08, Sexual Assault
Prevention, at 1-3; NDCS, Administrative Regulation No. 203.11, Sexual Assault, at 1-7; TDCJ, SPP, at 131. The most comprehensive and impressive written policies on sexual assault were those of TDCJ, yet
that system operates five of America’s ten facilities with the highest prevalence of sexual assault.
74

See, e.g., Cal. Code Regs. tit. 15, § 3401 (2008); Cal. Penal Code § 289.6 (West 2006); CDCR DOM, ch.
5, art. 44, § 54040.3; 18 U.S.C. §§ 2241-2248 (2000); BOP, Program Statement No. P5324.06, at 4; Fla.

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But are the policy and law enforced, are staff prosecuted, and do
other staff know about the consequences of their peer’s
misconduct?
Have a well-known grievance procedure for inmates to pursue sexual
victimization complaints.75
But are the grievances tracked or can they be “forgotten” or
destroyed?76
Establish policy on how to investigate sexual victimization.77
But are the policies carried out in practice and without
recrimination or interference?
Inform new inmates at orientation regarding sexual assault policies.78
Stat. Ann. §§ 794.011, 944.35(3)(b)(2) (West 2008); FDOC, Procedure No. 108.010, at 8; IDOC, Policy &
Administrative Procedure No. 02-01-115, at 1-2, 11-12; Ind. Code Ann. § 35-44-1-5 (West 2008); IDOC,
Policy & Administrative Procedure No. 00-01-103, at 1; Neb. Rev. Stat. §§ 28-322.01, 28-322.02, 28322.03 (2007); NDCS, Administrative Regulation No. 203.11, at 2, 4-6; Tex. Penal Code Ann. § 39.04
(Vernon 2007); TDCJ, SPP, at 8-9, 13-26; TDCJ, Executive Directive No. PD-29 (Rev. 2), Sexual
Misconduct with Offenders, at 3.
75

See, e.g., CDCR, DOM, ch. 5, art. 44, § 54040.4; CDCR, Notice to Inmates/Parolees, at 1; CDCR,
Sexual Abuse/Assault Prevention & Intervention (rev. Oct. 2005), at 4; BOP, Sexual Abuse/Assault
Prevention and Intervention (Oct. 1998), at 3-4; Tr., H. Lappin, 183:12-15 (Mar. 11, 2008) (BOP); id., G.
Sapp, 20:7-18, 21:7-14 (Mar. 12, 2008) (FDOC); IDOC, Policy & Administrative Procedure No. 02-01115, at 7-8, 10; Rockville, Operation Directive No. 0-08, at Attachment A; Tr., J. Newlin, 237:12-21,
241:15-242:4 (Mar. 13, 2008) (IDOC); NDCS, Administrative Regulation No. 203.11, at 4; Tr., F. Britten,
361:6-362:12 (Mar. 14, 2008) (NDCS); TDCJ, SPP, at 14-16; TDCJ, SPP Orientation – Pt. 9; Tr., K.
Wheat, 51:22-52:8 (Mar. 28, 2008) (TDCJ); id., B. Jenkins, 53:13-23 (TDCJ).

76

Compare Cal. Penal Code § 2640; CDCR, DOM, ch. 5. art. 44, § 54040.13; BOP, Program Statement
No. P5324.06, at 15-16 (reflecting ability to track sexual assault complaints); Tr., G. Sapp, 22:20-23:3
(Mar. 12, 2008) (FDOC); id., A. Johnson, 369:15-370:20 (grievances are logged and tracked); id., D.
Donahue, 12:8-21 (Mar. 13, 2008) (IDOC) (IDOC has new web-based grievance tracking system); id., B.
Livingston, 19:11-12 (Mar. 27, 2008) (TDCJ) (Safe Prisons Program includes “reporting, tracking and
analysis of alleged sexual assaults”), with id., R. Koester, 194:8-18 (Mar. 13, 2008) (IDOC) (there is no
mechanism for tracking sexual assault complaints at Rockville); id., A. Simon, 112:7-13 (Mar. 14, 2008)
(NDCS) (an incident report that is not numbered could be lost); id., B. Jenkins, 54:15-55:17 (Mar. 28,
2008) (TDCJ) (grievances “not numbered or tracked”).

77

See, e.g., CDCR, DOM, ch. 5, art. 44, § 54040.9; BOP, Program Statement P5324.06, at 10-15; Tr., J.
Tilton, 35:19-38:8 (Mar. 11, 2008) (CDCR); id., B. Kovach, 230:1-231:18 (BOP); FDOC, Procedure No.
108.010, at 8; Tr., W. McNeil, 10:20-11:1 (Mar. 12, 2008) (FDOC); id., G. Sapp, 21:17-22:6 (FDOC); id.,
D. Hoffman, 206:19-207:3 (FDOC); id., A. Johnson, 369:17-21 (FDOC); IDOC, Policy & Administrative
Procedure No. 02-01-115, at 1, 11; Rockville, Operation Directive No. 0-08, at 2; Tr., D. Donahue, 45:1-17
(Mar. 13, 2008) (IDOC); NDCS, Administrative Regulation No. 203.11, at 5; Tr., R. Houston 56:11-20,
62:6-11 (Mar. 14, 2008) (NDCS); id., B. Hansen, 170:12-172:12 (NDCS); TDCJ, SPP, at 16, 22-24; Tr., K.
Wheat, 28:18-29:1 (Mar. 28, 2008) (TDCJ); id., J. Moriarty, 144:14-16 (TDCJ).

78

See, e.g., CDCR, DOM, ch. 5, art. 44, § 54040.4; Tr., W. Still, 67:17-68:2 (Mar. 11, 2008) (CDCR); id.,
T. Riddle, 107:14-108:4 (CDCR); id., D. Dexter, 161:5-162:2 (CDCR). Ironwood also presented a

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But how comprehensive is the orientation?
Distribute written information to inmates on sexual assault policies.79
But can the information be actually read and understood by
inmates in their language and at their reading level?
Have a written policy on services available to sexual assault victims.80
But how well-publicized is it among inmates, especially among
likely victims?
Have a written policy or instructions requiring reporting of inmate-oninmate sexual assault.81
But are there disciplinary sanctions for staff who fail to report?
Have multiple channels for inmates to report sexual assaults.82

National Institute of Corrections video regarding sexual assault during inmate orientation. (Tr., R. Anti &
D. Dexter, 166:20-167:9 (Mar. 11, 2008) (CDCR)). See also BOP, Program Statement No. P5324.06, at 9;
Schuylkill, Admission & Orientation (A&O) Inmate Handbook, Federal Bureau of Prisons (Feb. 2008), at
24-25, 48; Tr., A. Leonard, 349:8-15 (Mar. 11, 2008) (BOP); FDOC, Procedure No. 108.010, at 7; Tr., G.
Sapp, 23:13-20 (Mar. 12, 2008) (FDOC); NDCS, Administrative Regulation No. 201.02, Inmate
Classification and Assignment – Initial Classification, Reception and Orientation, at 6, Attachment C;
IDOC, Policy & Administrative Procedure No. 02-01-115, at 6; Rockville, Operation Directive No. 0-08, at
1; Tr., J. Stout, 311:1-19 (Mar. 13, 2008) (IDOC); TDCJ, SPP Pt. 8; Tr., B. Livingston, 17:11-14 (Mar. 27,
2008) (TDCJ); id., D. Stacks, 51:22-52:2 (TDCJ).
79

See, e.g., CDCR, DOM, ch. 5, art. 44, § 54040.4; Tr., W. Still, 67:17-68:2 (Mar. 11, 2008) (CDCR); id.,
D. Dexter, 161:5-162:2 (CDCR); BOP, Program Statement No. P5324.06, at 9; Schuylkill, A&O Inmate
Handbook, at 24-25; Tr., A. Leonard, 349:8-15 (Mar. 11, 2008) (BOP); id., J. Stout, 311:1-19 (Mar. 13,
2008) (IDOC); id., B. Livingston, 17:11-14 (Mar. 27, 2008) (TDCJ); id., D. Stacks, 51:22-52:2 (TDCJ).
80

See, e.g., CDCR, DOM, ch. 5, art. 44, § 54040.14; BOP, Program Statement No. P5324.06, at 12;
Schuylkill, Institution Supplement No. SCH 5324.06, at 2; FDOC, Procedure No. 108.010, at 9; NDCS,
Administrative Regulation No. 203.11, at 4, Attachment B; IDOC, Policy & Administrative Procedure No.
02-01-115, at 12; TDCJ, SPP, at 8-9, 10.

81

See, e.g., CDCR, DOM, ch. 5, art. 44, § 54040.5; BOP, Program Statement No. P5324.06, at 10; BOP,
Program Statement No. 3420.09, at 10; Schuylkill, Institution Supplement No. SCH 5324.06, at 2; FDOC,
Procedure No. 108.010, at 5, 7; FDOC, Classification and Central Records, ch. 33-601.303; IDOC, Policy
& Administrative Procedure No. 02-01-115, at 10; IDOC, Policy & Administrative Procedures No. 00-01103, at 5; NDCS, Administrative Regulation No. 203.11, at 4; TDCJ, SPP, at 5, 22-23.

82

See, e.g., CDCR, DOM, ch. 5, art. 44, § 54040.4; CDCR, Notice to Inmates/Parolees, at 1; CDCR,
Sexual Abuse/Assault Prevention & Intervention, at 4; BOP, Sexual Abuse/Assault Prevention and
Intervention, at 3-4; Tr., H. Lappin, 183:12-15 (Mar. 11, 2008) (BOP); id., G. Sapp, 20:7-18, 21:7-14 (Mar.
12, 2008) (FDOC); IDOC, Policy & Administrative Procedure No. 02-01-115, at 7-8, 10; Rockville,
Operation Directive No. 0-08, at Attachment A; Tr., J. Newlin, 237:12-21, 241:15-242:4 (Mar. 13, 2008)
(IDOC); NDCS, Administrative Regulation No. 203.11, at 4; Tr., F. Britten, 361:6-362:12 (Mar. 14, 2008)
(NDCS); TDCJ, SPP, at 14-16; TDCJ, SPP Orientation – Pt. 9; Tr., K. Wheat, 51:22-52:8 (Mar. 28, 2008)
(TDCJ); id., B. Jenkins, 53:13-23 (TDCJ).

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But how well-publicized is it among inmates, especially among
likely victims?
Have a hotline to an agency outside the facility for both inmates and staff
to report sexual assaults.83
But how well-publicized is it among inmates, especially among
likely victims?
Have a written policy punishing inmates or staff for knowingly making
false allegations of sexual assaults.84
But are people actually prosecuted for violating it?
Provide pre-service staff training (in the academy) on sexual assault.85
But are staff tested on what is taught and are there consequences
for failure to master the material?
Provide in-service staff training and periodic “refresher” updates on sexual
assault policy and procedure.86

83

See, e.g., CDCR, DOM, ch. 5, art. 44, § 54040.4; Tr., T. Riddle, 109:17-110:4 (Mar. 11, 2008) (CDCR);
id., G. Sapp, 21:7-22:6 (Mar. 12, 2008) (FDOC); id., A. Johnson, 384:17-18 (FDOC); IDOC, Policy &
Administrative Procedure No. 00-01-103, at 7-8; Tr., J. Moriarty, 124:17-18 (Mar. 28, 2008) (TDCJ).

84

See, e.g., Cal. Penal Code § 2637(c); CDCR, DOM, ch. 5, art. 44, § 54040.11.1; Tr., D. Dexter, 173:6-16
(Mar. 11, 2008) (CDCR); id., B. Kovach, 285:18-286:16 (BOP); Schuylkill, A&O Inmate Handbook, at 67
(noting that lying or providing a false statement to a staff member was misconduct subject to sanctions);
BOP, Program Statement No. P5270.07, Inmate Discipline and Special Housing Units (Dec. 29, 1987), at
ch. 4, 11 (same); Fla. Stat. § 944.35(4)(b) (West 2008); TDCJ, Executive Directive No. PD-29 (Rev. 2),
Sexual Misconduct with Offenders, at 4.

85

See, e.g., CDCR, DOM, ch. 5, art. 44, § 54040.4; IDOC, Staff Development & Training – Preservice
Academy – PREA (June 2007); NDCS, Staff Training Academy Course Outline – Pre-Service – Sexual
Abuse/Assault Awareness (rev. July 2005); Tr., B. Livingston, 17:20-24 (Mar. 27, 2008) (TDCJ); id., D.
Stacks, 48:2-4 (TDCJ); id., J. T. Morgan, 52:14-24 (Apr. 30, 2008) (TDCJ).

86

See, e.g., CDCR, DOM, ch. 5, art. 44, § 54040.4; Tr., D. Dexter, 166:12-19 (Mar. 11, 2008) (CDCR);
BOP, Program Statement No. P5324.06, at 7-9; BOP, Annual Training FY 2006 – Sexually Abusive
Behavior Prevention and Intervention Program, at 1; Tr., B. Kovach, 279:15-280:19 (Mar. 11, 2008)
(BOP); id., A. Leonard, 281:2-17, 349:17-350:9 (BOP); id., H. Lappin, 331:21-333:14 (BOP); FDOC,
Procedure No. 108.010, at 5-6; FDOC, Job Manual of Common Tasks – On-Line In-Service for All FDOC
Staff; Tr., G. Sapp, 23:4-12 (Mar. 12, 2008) (FDOC); IDOC, Policy & Administrative Procedure No. 0101-115, at 5; IDOC, Staff Development and Training – Sexual Misconduct – Modules One, Two, Three,
and Four (2003); Rockville, Operation Directive No. 0-08, at 1; Tr., R. Brown, 119:1-19 (Mar. 13, 2008)
(IDOC); id., B. Hansen, 175:18-176:20 (IDOC); NDCS, Administrative Regulation No. 114.05, Employee
In-Service Training, at 3-5; TDCJ, SPP, at 6; Tr., B. Livingston, 17:20-24 (Mar. 27, 2008) (TDCJ); id., D.
Stacks, 48:11-15, 48:17-19, 67:3-8, 67:23-68:12 (TDCJ); id., J. T. Morgan, 52:14-53:1 (Apr. 30, 2008)
(TDCJ); id., A. Castillo, 54:12-17 (TDCJ).

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But are staff tested on what is taught and are there consequences
for failure to master the material?
They train investigators how to conduct sexual assault investigations.87
But what is the quality of the training? For example, do they
clarify what standard of review should be used in weighing
evidence (more likely than not, clear and convincing, or beyond a
reasonable doubt)?
Have a policy that the reporting of inmate-on-inmate sexual assault
automatically triggers an investigation.88
But is an investigation always carried out?
Have a policy that the reporting of staff-on-inmate sexual assault
automatically triggers an investigation.89
But is an investigation always carried out?
Use some form of assessment instrument to identify potential inmate
sexual predators.90
But what factors does the instrument consider and how accurate is
the information that is gleaned from the inmate?

87

See, e.g., CDCR, DOM, ch. 5. art. 44, § 54040.4; BOP, Program Statement No. P5324.06, at 9, 13; Tr.,
B. Kovach, 279:15-280:19 (Mar. 11, 2008) (BOP); IDOC, Policy & Administrative Procedure No. 02-01115 – Sexual Assault Prevention and Reporting, at 11; IDOC, Operation Directive No. 0-08 – Sexual
Assault Prevention, at 2; Tr., J. Moriarty, 126:14-19 (Mar. 28, 2008) (TDCJ); id., L. Dawson, 90:19-21
(TDCJ).

88

See, e.g., CDCR, DOM, ch. 5, art. 44, § 54040.9; BOP, Program Statement P5324.06, at 10-15; Tr., B.
Kovach, 230:1-231:18 (Mar. 11, 2008) (BOP); FDOC, Procedure No. 108.010, at 8; Tr., D. Hoffman,
206:19-207:3 (Mar. 12, 2008) (FDOC); id., A. Johnson, 369:17-21 (FDOC); IDOC, Policy &
Administrative Procedure No. 02-01-115, at 1, 11 (allegations referred to Internal Affairs staff); Rockville,
Operation Directive No. 0-08, at 2; NDCS, Administrative Regulation No. 203.11, at 5 (allegations referred
to corrections investigators); TDCJ, SPP, at 16, 22-24; Tr., K. Wheat, 28:18-29:1 (Mar. 28, 2008) (TDCJ).

89

See, e.g., CDCR, DOM, ch. 5, art. 44, § 54040.9; BOP, Program Statement P5324.06, at 10-15; Tr., B.
Kovach, 230:1-231:18 (Mar. 11, 2008) (BOP); FDOC, Procedure No. 108.010, at 8; Tr., D. Hoffman,
206:19-207:3 (Mar. 12, 2008) (FDOC); id., A. Johnson, 369:17-21 (FDOC); IDOC, Policy &
Administrative Procedure No. 02-01-115, at 1, 11 (allegations referred to Internal Affairs staff); Rockville,
Operation Directive No. 0-08, at 2; NDCS, Administrative Regulation No. 203.11, at 5 (allegations referred
to corrections investigators); TDCJ, SPP, at 16, 22-24; Tr., K. Wheat, 28:18-29:1 (Mar. 28, 2008) (TDCJ).

90

See, e.g., Cal. Penal Code § 2636; Tr., J. Tilton, 31:2-7 (Mar. 11, 2008) (CDCR); BOP, Intake Screening
Form (Feb. 29, 2008); Tr., A. Leonard, 299:17-300:15 (Mar. 11, 2008) (BOP); FDOC, Procedure No.
601.209, Reception Process – Initial Classification, at 5, 8; IDOC, Policy & Administrative Procedure No.
02-01-115, at 8-9; Rockville, Operation Directive No. 0-08, at 1-2; Tr., R. Brown, 80:17-81:14; 119:20120:8 (Mar. 13, 2008) (IDOC); NDCS, Administrative Regulation No. 201.02, at 4, Attachments A, B;
TDCJ, SPP, at 6-7, SPP-08; Tr., R. Bales, 117:14-121:16 (Mar. 27, 2008) (TDCJ).

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Use some form of assessment instrument to identify potential inmate
sexual victims.91
But what factors does the instrument consider and how accurate is
the information that is gleaned from the inmate? Is the assessment
appropriate to the gender of the inmate?
Assign both sexual assault victims as well as alleged sexual assault
perpetrators to administrative segregation, by policy or practice.92
Have staff assigned to respond to an allegation of sexual assault.93
But does this team have the necessary training, authority, and
responsibility to respond in a coordinated fashion, and do they
respond immediately?

D.

Best Practices to Lessen the Risk of Rape in U.S. Prisons

The publication of the preceding findings based on the Panel’s public
hearings and document review (sections II.A. – C.) complete this Panel’s responsibility
under PREA with respect to prisons and prison systems. The Panel’s findings, together
91

See, e.g., Cal. Penal Code § 2636; Tr., J. Tilton, 31:2-7 (Mar. 11, 2008) (CDCR); BOP, Intake Screening
Form; Tr., A. Leonard, 299:17-300:15 (Mar. 11, 2008) (BOP); FDOC, Procedure No. 601.209, at 5, 8;
IDOC, Policy & Administrative Procedure No. 02-01-115, at 8-9; Rockville, Operation Directive No. 0-08,
at 1-2; Tr., R. Brown, 80:17-81:14; 119:20-120:8 (Mar. 13, 2008) (IDOC); NDCS, Administrative
Regulation No. 201.02, at 4, Attachments A, B; TDCJ, SPP, at 6-7, SPP-08; Tr., R. Bales, 117:14-121:16
(Mar. 27, 2008) (TDCJ).
92

See, e.g., Tr., R. Anti, 131:11-133:20 (Mar. 11, 2008) (CDCR); id., J. Tilton, 45:15-18 (CDCR); BOP,
Program Statement No. P5270.07, ch. 9, at 7-15; Tr., H. Lappin, 314:18-315:11 (Mar. 11, 2008) (BOP);
FDOC, Procedure No. 108.10, at 7; Tr., G. Sapp, 18:11-18 (Mar. 12, 2008) (FDOC); NDCS,
Administrative Regulation No. 201.05 – Inmate Classification & Assignment – Special Management
Inmates, at 1-11; IDOC, Policy & Administrative Procedure No. 01-02-115, at 11; TDCJ, SPP, at 9-12, 16;
Tr., J. White, 164:24-165:13 (Mar. 28, 2008) (TDCJ).
93

See, e.g., Tr., T. Riddle, 90:8-12 (Mar. 11, 2008) (CDCR) (there is “not a SART [Sexual Assault
Response Team] team per se”); id., G. Walters, 231:19-232:17 (BOP) (explaining multi-person response to
sexual assault allegations, but not called SART); id., T. Sniezek, 335:8-7 (BOP); id., B. Hansen, 169:1-12
(Mar. 14, 2008) (NDCS) (testifying no official SART team exists, but personnel on staff to deal with sexual
assault); id., S. Anderson, 147:11-13 (Mar. 12, 2008) (FDOC); id., D. Stacks, 55:11-25 (Mar. 27, 2008)
(TDCJ). Although several facilities do have staff trained to respond to sexual assault allegations (e.g.
nurses, psychologists), the testimony suggests that these “teams” are composed of trained individuals, but
they respond independently to allegations, rather than as part of a coordinated effort.

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with its suggested best practices below, will be considered by the National Prison Rape
Reduction Commission. In the Prison Rape Elimination Act, Congress gave to the
Commission the exclusive responsibility of recommending to the Attorney General and
to the Secretary of Health and Human Services national standards for detecting,
preventing, reducing, and punishing prison rape. 94 To assist the Commission in
formulating those standards, the Chair of the Commission, the Honorable Reggie Walton,
asked the Panel to provide the Commission with a report on best practices in correctional
facilities, based on the Panel’s public hearings. The Commission will propose national
standards in early 2009. Under PREA, however, the Commission may not “propose a
recommended standard that would impose substantial additional costs on Federal, state,
or local prison authorities.”95 The Attorney General then will have one year to publish a
final rule adopting national standards.96
Therefore, the Panel identifies for the Commission, for BJS, and for
correctional administrators and policymakers the following list of best practices, which
are based on the Panel’s nine days of hearings involving six prison systems, thousands of
pages of documents, and seventy-nine fact and expert witnesses:
1. The management of the prison system (beginning with the Secretary of the
Department of Corrections) must believe that sexual assault – both IOI and
SOI – can and will occur in their facilities unless they make prevention a high
and unequivocal priority. Unless zero tolerance is clearly and repeatedly
conveyed from the top down, the best PREA policy will be little more than a
paper façade.97
94

42 U.S.C. 15606(e)(1).
42 U.S.C. 15606(e)(3).
96
42 U.S.C. 15607(a)(1).
97
The CEOs of two of the four systems with the highest reported prevalence of sexual assault testified that
they enforced a “zero tolerance” policy system-wide. (Tr., D. Donahue, 351:2-352:11; see also 10:8-21
(Mar. 13, 2008) (IDOC); id., R. Houston, 44:21-45:2, 64:4-7 (Mar. 14, 2008) (NDCS)). In addition, the
CEOs of the other two “highest prevalence” prisons testified that, during the course of the Panel hearings,
they developed a clearer understanding of how their systems could have a sexual assault problem, and they
95

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2. When making inmate housing assignments, staff should determine and
consider, among other factors, the risk of sexual predation or victimization of
the inmate. To do this, staff must use a risk assessment instrument that
includes questions relevant to the characteristics of potential perpetrators and
victims, including sexual orientation.98 Housing classification officers should
also request that the jail or the sending institution forward on or before the
inmate’s arrival his or her history of sexual assault.99
3. Whenever possible, interview new inmates privately when assessing them for
classification, prison job assignments, and housing assignments.100 Inmates
must be assured of confidentiality so they will be more open to discussing
sexual orientation, whether they were a victim of sexual assault in the past,
and the like. Such questions should be included in any assessment tool. Train
staff in administering this tool.
4. Video Surveillance. As funding permits:
•

•

Install more video cameras in places where assaults are more likely to
occur (backroom kitchen areas, laundry, supply closets, showers, behind
stairwells, cells of inmates who are high risk of being victims or
predators).101
Have staff monitor video cameras, at least periodically.102

ultimately testified they would expect their staff to vigorously enforce a “zero tolerance” policy in every
facility. See Tr., W. McNeil, 389:1-395:1 (Mar. 12, 2008) (FDOC); see also 11:7, 13:21, 22:11, 23:5
(FDOC); id., B. Livingston, 16:9-14 (Mar. 27, 2008) (TDCJ), 188:14-19 (Mar. 28, 2008) (TDCJ); id., N.
Quarterman, 140:9-143:23 (Apr. 30, 2008) (TDCJ); see also 16:12, 40:21, 48:4, 65:20, 68:7 (TDCJ).
98

See, e.g., Cal. Penal Code § 2636; Tr., J. Tilton, 31:2-7 (Mar. 11, 2008) (CDCR); BOP, Intake Screening
Form; Tr., A. Leonard, 299:17-300:15 (Mar. 11, 2008) (BOP); FDOC, Procedure No. 601.209, at 5, 8;
IDOC, Policy & Administrative Procedure No. 02-01-115, at 8-9; Rockville, Operation Directive No. 0-08,
at 1-2; Tr., R. Brown, 80:17-81:14; 119:20-120:8 (Mar. 13, 2008) (IDOC); NDCS, Administrative
Regulation No. 201.02, at 4, Attachments A, B; TDCJ, SPP, at 6-7, SPP-08; Tr., R. Bales, 117:14-121:16
(Mar. 27, 2008) (TDCJ).
99
(Tr., R. Anti, 120:5-13, 121:7-122:14 (Mar. 11, 2008) (CDCR); id., H. Lappin, 192:14-193:7 (BOP); id.,
A. Leonard, 306:5-13 (BOP); id., D. Colon, 321:7-9 (Mar. 12, 2008) (FDOC); id., D. Donahue, 55:3-6
(Mar. 13, 2008) (IDOC); id., R. Houston, 254:17-255:20 (Mar. 14, 2008) (NDCS); id., J. T. Morgan,
103:15-104:2 (Apr. 30, 2008) (TDCJ); id., A. Castillo, 104:3-21 (TDCJ)).
100

(Id., R. Anti, 123:2-9 (Mar. 11, 2008) (CDCR); id., D. Dexter, 159:21-160:8 (CDCR); id., D. Colon,
323:2-324:19 (Mar. 12, 2008) (FDOC); id., D. Ballard, 185:9-21 (Mar. 28, 2008) (TDCJ)).

101

(Id., W. Still, 69:17-70:3 (Mar. 11, 2008) (CDCR); id., R. Brown, 104:8-105:12 (Mar. 13, 2008)
(IDOC); id., K. Wheat, 21:2-11 (Mar. 28, 2008) (TDCJ); id., K. Wheat, L. Dawson & B. Jenkins, 46-49
(TDCJ); id., O. Black, 256:3-18 (TDCJ); id., A. Castillo, 56:21-57:22 (Mar. 30, 2008) (TDCJ)).

102

(Id., J. Upchurch, 39:15-18 (Mar. 12, 2008) (FDOC); id., A. Simon & R. Brittenham, 119:8-18 (Mar. 14,
2008) (NDCS); id., R. Thompson, 240:8-11 (Mar. 28, 2008) (TDCJ)).

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•

Ensure that video cameras are recording 24 hours per day and that the
“tapes” are archived for at least 90 days, in the event that an assault is
alleged in the recorded area.103

5. Have independent (i.e., not part of the prison system) investigators conduct or
at least oversee any investigation of sexual victimization in prisons.104
6. Except in emergencies and to the extent permissible by employment law, limit
those who participate in or observe strip searches of inmates to correctional
officers of the same sex as the inmate. Except in emergencies or upon
reasonable suspicion of contraband and to the extent permissible by
employment law, prohibit pat downs of female inmates by male officers.105
7. Train staff how childhood abuse, sexual abuse and other trauma uniquely
affect and surface among men and women inmates.106
8. As much as possible and to the extent permissible by employment law, ensure
that correctional officers assigned to floor roving during shower times or
assigned to the floor of the housing units during night shifts are of the same
sex as the inmates in that unit.107
9. In future construction, utilize better prison designs to minimize blind spots
(i.e., better lines of sight into cells and showers). 108
103

(Id., W. Still, 71:1-72:20 (Mar. 11, 2008) (CDCR); id., J. Upchurch, 39:15-18 (Mar. 12, 2008) (FDOC);
id., G. Sapp, 54:15-55:1 (FDOC); id., D. Hoffman, 214:20-213:4 (FDOC); id., A. Simon, 161:5-11 (Mar.
14, 2008) (NDCS); id., D. Stacks, 52:24-53:9 (Mar. 27, 2008) (TDCJ)).

104

See, e.g., CDCR, DOM, ch. 5, art. 44, § 54040.9; BOP, Program Statement P5324.06, at 10-15; Tr., J.
Tilton, 35:19-38:8 (Mar. 11, 2008) (CDCR); id., B. Kovach, 230:1-231:18 (Mar. 11, 2008) (BOP); FDOC,
Procedure No. 108.010, at 8; Tr., W. McNeil, 10:20-11:1 (Mar. 12, 2008) (FDOC); id., G. Sapp, 21:17-22:6
(FDOC); id., D. Hoffman, 206:19-207:3 (FDOC); id., A. Johnson, 369:17-21 (FDOC); IDOC, Policy &
Administrative Procedure No. 02-01-115, at 1, 11; Rockville, Operation Directive No. 0-08, at 2; Tr., D.
Donahue, 45:1-17 (Mar. 13, 2008) (IDOC); NDCS, Administrative Regulation No. 203.11, at 5; Tr., R.
Houston 56:11-20, 62:6-11 (Mar. 14, 2008) (NDCS); id., B. Hansen, 170:12-172:12 (NDCS); TDCJ, SPP,
at 16, 22-24; Tr., K. Wheat, 28:18-29:1 (Mar. 28, 2008) (TDCJ); id., J. Moriarty, 144:14-16 (TDCJ).
105

(Id., W. Still, 78:20-79:16 (Mar. 11, 2008) (CDCR); id., J. Upchurch, 105:21-112:12 (Mar. 12, 2008)
(FDOC); id., R. M. Lawson, 136:13-140:9 (Mar. 13, 2008) (IDOC); id., A. Simon, 148:12-150:3 (Mar. 14,
2008) (NDCS)).

106

(Id., J. Stout, 309:5-14, 320:12-321:8 (Mar. 13, 2008) (IDOC); id., O. Black, 191:11-192:1, 212:20213:10 (Mar. 28, 2008) (TDCJ)).

107

(Id., J. Upchurch, 105:21-107:20 (Mar. 12, 2008) (FDOC); id., A. Johnson, 343:9-17 (FDOC); id., R. M.
Lawson, 136:13-138:2 (Mar. 13, 2008) (IDOC)).

108

(Id., T. Riddle, 92:7-19 (Mar. 11, 2008) (CDCR); H. Lappin, 217:5-218:14 (BOP); id., J. Upchurch,
40:9-12 (Mar. 12, 2008) (FDOC)). The Federal Bureau of Prisons, which administers one of the prisons

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10. Except in emergencies, do not routinely require mandatory overtime for
correctional officers.109 Ensure that officers-especially those who often
volunteer for overtime-do not establish a pattern of working in the same
location in the prison.
11. Subject to negotiation in collective bargaining agreements, provide wardens
with greater flexibility in shift arrangements (e.g., to permit shorter shifts,
such as 10 to12-hour shifts instead of 16-hour shifts).110
12. Maintain adequate numbers of correctional officers at high-risk times and
areas.111
13. Offer higher pay to prison staff so as to better attract and retain recruits and to
retain experienced staff.112 After the Panel’s hearings, the Texas prison system
instituted on its own initiative signing bonuses for new correctional officer
recruits at their unit with the highest reported prevalence (Estelle).113
14. Further enhance staff careers by certifying them to be law enforcement
officers.114
15. Provide more and better training of prison staff in the requirements of PREA
and the system’s sexual assault policies, and require that staff perform
satisfactorily in testing of same, with meaningful career consequences for
with a low incidence of sexual victimization, said doing this had greatly helped with its supervision of
inmates.
109

(Id., R. Houston, 34:10-18 (Mar. 14, 2008) (NDCS); id., A. Simon, 130:16-131:7 (NDCS); id., B.
Rodeen, 269:25-270:13 (Mar. 28, 2008) (TDCJ)).

110

(Id., R. Houston, 35:13-36:5, 83:7-84:21 (Mar. 14, 2008) (NDCS)). The director of one prison system
with a high incidence of sexual victimization (NDCS) said it would help him to have 10-12 hour shifts as
this would cut down on mandatory overtime. (Union work rules presently forbid him from doing this.)

111

Two of the prisons with the highest prevalence of sexual assault (NDCS and TDCJ) reported significant
shortages of staff. See supra note 71 and accompanying text.

112

(Tr., J. Tilton, 46:4-16 (Mar. 11, 2008) (CDCR)). The prison system with five of the ten prisons with the
highest reported prevalence of sexual assault – TDCJ – reported that it loses 43% of its officers in their first
year and suffers a 24% overall correctional staff attrition rate, and attributes this largely to low staff
salaries. (Id., B. Livingston, 72:6-20 (Mar. 27, 2008) (TDCJ); id., B. Jenkins, 8:2-10 (Mar. 28, 2008)
(TDCJ); id., O. Black, 267:12-20 (TDCJ)).

113

(Id., N. Quarterman, 142:6-15 (Apr. 30, 2008) (TDCJ)).

114

(Id., H. Lappin, 197:20-198:4 (Mar. 11, 2008) (BOP); id., B. Hansen, 171:16-19 (Mar. 14, 2008)
(NDCS)).

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those who repeatedly fail such testing.115 The latter may require negotiation
with staff labor unions.
16. Establish close control and supervision over staff who have access to remote,
higher-risk areas (e.g., laundry, commissary, classroom), including strict
accounting for who checks out keys to such unsupervised areas.116
17. Remove doors that conceal high-risk areas (food preparation, laundry, etc.).
Install see-through doors on closets, high-risk cells, meat coolers, and laundry
rooms, and increase visibility inside offices and rooms where medical or
mental health staff meet in private with inmates.117
18. Establish a telephone hotline whereby inmates can report threats and sexual
victimization confidentially and directly to the office of the prosecutor or
system inspector general.118
19. Implement a peer training program in which appropriately-selected and –
trained inmates teach new inmates about how to avoid sexual victimization in
that facility and how to report threats and assaults. One of the prisons with the
115

There is TDCJ testimony that there were adverse consequences for an individual who failed pre-service
or in-service training. (Id., D. Stacks, 67:3-8, 67:23-68:12 (Mar. 27, 2008) (TDCJ)). See also CDCR,
DOM, ch. 5, art. 44, § 54040.4; Tr., D. Dexter, 166:12-19 (Mar. 11, 2008) (CDCR); BOP, Program
Statement No. P5324.06, at 7-9; BOP, Annual Training FY 2006 – Sexually Abusive Behavior Prevention
and Intervention Program, at 1; Tr., B. Kovach, 279:15-280:19 (Mar. 11, 2008) (BOP); id., A. Leonard,
281:2-17, 349:17-350:9 (BOP); id., H. Lappin, 331:21-333:14 (BOP); FDOC, Procedure No. 108.010, at 56; FDOC, Job Manual of Common Tasks – On-Line In-Service for All FDOC Staff; Tr., G. Sapp, 23:4-12
(Mar. 12, 2008) (FDOC); IDOC, Policy & Administrative Procedure No. 01-01-115, at 5, 11; IDOC,
Operation Directive No. 0-08 – Sexual Assault Prevention, at 2; IDOC, Staff Development & Training –
Preservice Academy – PREA (June 2007); NDCS, Staff Training Academy Course Outline – Pre-Service –
Sexual Abuse/Assault Awareness (rev. July 2005); IDOC, Staff Development and Training – Sexual
Misconduct – Modules One, Two, Three, and Four (2003); Rockville, Operation Directive No. 0-08, at 1;
Tr., R. Brown, 119:1-19 (Mar. 13, 2008) (IDOC); id., B. Hansen, 175:18-176:20 (IDOC); NDCS,
Administrative Regulation No. 114.05, Employee In-Service Training, at 3-5; TDCJ, SPP, at 6; Tr., B.
Livingston, 17:20-24 (Mar. 27, 2008) (TDCJ); id., D. Stacks, 48:2-19, 67:3-8, 67:23-68:12 (TDCJ); id., J.
Moriarty, 126:14-19 (Mar. 28, 2008) (TDCJ); id., L. Dawson, 90:19-21 (TDCJ); id., J. T. Morgan, 52:1453:1 (Apr. 30, 2008) (TDCJ); id., A. Castillo, 54:12-17 (TDCJ).
116

(Tr., H. Lappin, 342:4-8 (Mar. 11, 2008) (BOP); id., R. Brown, 92:14-95:1 (Mar. 13, 2008) (IDOC); id.,
J. Newlin, 278:21-280:20 (IDOC); id., D. Thomas, 208:8-209:2 (Mar. 14, 2008) (NDCS); id., F. Britten, R.
Brittenham & A. Simon, 343:21-347:5 (NDCS); id., J. Moriarty, 148:12-24 (Mar. 28, 2008) (TDCJ); id., L.
Dawson, 88:14-89:3 (TDCJ); id., R. Thompson, 245:16-246:9 (TDCJ)).

117

(Id., D. Thomas, 207:21-209:1 (Mar. 14, 2008) (NDCS); id., D. Stacks, 54:21-55:4 (Mar. 27, 2008)
(TDCJ); id., L. Dawson, 88:2-23 (Mar. 28, 2008) (TDCJ); id., E. Williams, 282:22-23 (TDCJ); id., B.
Rodeen, 283:3-284:8 (TDCJ)).
118
See, e.g., CDCR, DOM, ch. 5, art. 44, § 54040.4; Tr., T. Riddle, 109:17-110:4 (Mar. 11, 2008) (CDCR);
id., G. Sapp, 21:7-22:6 (Mar. 12, 2008) (FDOC); id., A. Johnson, 384:17-18 (FDOC); IDOC, Policy &
Administrative Procedure No. 00-01-103, at 7-8; Tr., J. Moriarty, 124:17-18 (Mar. 28, 2008) (TDCJ).

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lowest incidence of sexual victimization (CDCR) used such a program with
significant effect.119
20. Place staff offices inside housing units, so staff are more present and familiar
with their inmates and the environment.120
21. Replace inmate idleness with work and programming (vocational, educational,
chemical dependency therapy, etc.).121
22. Reduce prison overcrowding. Obviously, an overcrowded prison must divert
staff to supervision and away from programming. Triple-bunked maximum
security felons crammed in a gymnasium with little recreation or
programming is a “perfect storm” in the making as far as sexual assault is
concerned.122 This may require more money, faster adjudication of pre-trial
detainees, and/or amendment of sentencing guidelines.
23. Encourage the warden and senior management to make themselves available
to inmates for conversation at one meal per day.123
24. Ban pornography among inmates, especially those who have a history of
sexual assault or are assessed as higher risks of becoming sexual predators.124
25. As much as practicable without compromising their safety, provide sexual
assault victims or those at higher risk of assault with safe housing in a
“safekeeping” cellblock but with the same programming and privileges as

119

(Tr., J. Tilton, 32:17-21, 35:9-12 (Mar. 11, 2008) (CDCR); id., W. Still, 65:10-66:4 (CDCR); id., D.
Dexter, 150:2-151:16, 161:19-2 (CDCR)). However, the system with the highest incidence of sexual
victimization (TDCJ) also has a peer training program in effect. (Id., B. Livingston, 17:20-22, 22:3-9 (Mar.
27, 2008) (TDCJ); id., R. Bales, 123:23-126:21 (TDCJ); id., D. Stacks, 56:8-15 (TDCJ); id., O. Black,
192:6-20 (Mar. 28, 2008) (TDCJ); id., B. Rodeen, 280:15-22 (TDCJ)).

120

(Id., H. Lappin, 183:12-20 (Mar. 11, 2008) (BOP)).

121

(Id., H. Lappin, 208:13-209:3 (Mar. 11, 2008) (BOP); id., D. Donahue, 266:11-267:3 (Mar. 13, 2008)
(IDOC); id., R. Houston, 40:13-41:6, 80:18-81:4 (Mar. 14, 2008) (NDCS); id., F. Britten, 372:11-373:19
(NDCS)).

122

(Id., J. Tilton, 43:12-44:8 (Mar. 11, 2008) (CDCR); id., W. Still, 67:1-5 (CDCR); id., D. Dexter, 153:112 (CDCR); id., B. Livingston, 30:13-20 (Mar. 27, 2008) (TDCJ)).

123

(Id., H. Lappin, 214:13-216:6 (Mar. 11, 2008) (BOP); id., L. Dawson, 56:5-10 (Mar. 28, 2008) (TDCJ);
id., J. T. Morgan, 62:18-22 (Apr. 30, 2008) (TDCJ)).

124

Compare Tr., A. Leonard, 282:1-20 (Mar. 11, 2008) (BOP) (prohibiting certain kinds of pornography);
Email from S. Batts (BOP) to S. McFarland & R. Siedlecki [not sworn testimony] (Aug. 1, 2008), with Tr.,
S. Anderson, 158:7-12 (Mar. 12, 2008) (FDOC); id., A. Simon, 99:13-21, 100:16-19 (Mar. 14, 2008)
(NDCS) (permitting certain kinds of pornography).

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general population (i.e., protect the victim without penalizing him or her for
reporting).125
26. Make available more beds in administrative segregation, safekeeping, close
custody, and other areas for inmates assessed to be at higher risk of being
sexual victims.126 Again this may require additional staffing and beds.
27. Map where sexual assault occurs or may occur in the facility and assign more
intense staff supervision accordingly.127
28. Ensure that inmates know that they may report threats or occurrences of
sexual assault – either inmate-on-inmate or staff-on-inmate – to any staff
member, not just the correctional officers or shift supervisor in their housing
unit.128
29. Establish an effective system for tracking victim complaints; e.g., sequentially
number request slips for medical appointments or complaints so they can be
better tracked and less easily “lost” in the system.129

125

See, e.g., Tr., J. Tilton, 45:15-18 (Mar. 11, 2008) (CDCR); id., R. Anti, 131:11-133:20 (CDCR); BOP,
Program Statement No. P5270.07, ch. 9, at 7-15; Tr., H. Lappin, 314:18-315:11 (Mar. 11, 2008) (BOP);
FDOC, Procedure No. 108.10, at 7; Tr., G. Sapp, 18:11-18 (Mar. 12, 2008) (FDOC); NDCS,
Administrative Regulation No. 201.05, at 1-11; IDOC, Policy & Administrative Procedure No. 01-02-115,
at 11; TDCJ, SPP, at 9-12, 16; Tr., J. White, 164:24-165:13 (Mar. 28, 2008) (TDCJ).

126

(Tr., R. Anti, 129:15-21 (Mar. 11, 2008) (CDCR); id., F. Smith, 246:13-249:11 (Mar. 13, 2008)
(IDOC)).

127

(Id., D. Hoffman, 240:16-241:12 (Mar. 12, 2008) (FDOC); id., D. Donahue, 17:10-16 (Mar. 13, 2008)
(IDOC); id., J. Newlin, 263:11-264:4 (IDOC); id., R. Brittenham, 225:4-226:9 (Mar. 14, 2008) (NDCS);
id., R. Bales & N. Quarterman, 111:4-114:14 (Mar. 27, 2008) (TDCJ); id., J. Moriarty, 127:10-21 (Mar. 28,
2008) (TDCJ)).

128

See, e.g., CDCR, DOM, ch. 5, art. 44, § 54040.4; CDCR, Notice to Inmates/Parolees, at 1; CDCR,
Sexual Abuse/Assault Prevention & Intervention, at 4; BOP, Sexual Abuse/Assault Prevention and
Intervention, at 3-4; Tr., H. Lappin, 183:12-15 (Mar. 11, 2008) (BOP); id., G. Sapp, 20:7-18, 21:7-14 (Mar.
12, 2008) (FDOC); IDOC, Policy & Administrative Procedure No. 02-01-115, at 7-8, 10; Rockville,
Operation Directive No. 0-08, at Attachment A; Tr., J. Newlin, 237:12-21, 241:15-242:4 (Mar. 13, 2008)
(IDOC); NDCS, Administrative Regulation No. 203.11, at 4; Tr., F. Britten, 361:6-362:12 (Mar. 14, 2008)
(NDCS); TDCJ, SPP, at 14-16; TDCJ, SPP Orientation – Pt. 9; Tr., K. Wheat, 51:22-52:8 (Mar. 28, 2008)
(TDCJ); id., B. Jenkins, 53:13-23 (TDCJ).
129

Compare Cal. Penal Code § 2640; CDCR, DOM, ch. 5. art. 44, § 54040.13; BOP, Program Statement
No. P5324.06, at 15-16 (reflecting ability to track sexual assault complaints); Tr., G. Sapp, 22:20-23:3
(Mar. 12, 2008) (FDOC); id., A. Johnson, 369:15-370:20 (grievances are logged and tracked); id., D.
Donahue, 12:8-21 (Mar. 13, 2008) (IDOC) (IDOC has new web-based grievance tracking system); id., B.
Livingston, 19:11-12 (Mar. 27, 2008) (TDCJ) (Safe Prisons Program includes “reporting, tracking and
analysis of alleged sexual assaults”), with id., R. Koester, 194:8-18 (Mar. 13, 2008) (IDOC) (there is no
mechanism for tracking sexual assault complaints at Rockville); id., A. Simon, 112:7-13 (Mar. 14, 2008)

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30. Publicize among staff any case of staff sexual misconduct and its negative
consequences (dismissal, felony prosecution). Applicable privacy law may
require that the warden omit the name or other identifying information about
the disciplined staff member.130
31. Have staff review weekly the list of sexual predators in the facility. Notify
staff immediately when the list changes.131
32. Segregate and, subject to staffing limitations, provide enhanced security for
transgendered inmates, but with the same programming and privileges of
general population inmates.132

(NDCS) (an incident report that is not numbered could be lost); id., B. Jenkins, 54:15-55:17 (Mar. 28,
2008) (TDCJ) (grievances “not numbered or tracked”).
130

(Tr., T. Riddle, 99:10-100:1 (Mar. 11, 2008) (CDCR); id., R. Koester, 347:19-348:1 (Mar. 13, 2008)
(IDOC)).

131

(Id., H. Lappin, 302:4-19 (Mar. 11, 2008) (BOP); id., M. Hillman, 272:10-273:17 (Mar. 14, 2008)
(NDCS); id., R. Bales, 105:19-108:10 (Mar. 27, 2008) (TDCJ); id., R. Thompson, 207:18-208:7 (Mar. 28,
2008) (TDCJ)).
132
(Id., J. Tilton, 31:13-32:1 (Mar. 11, 2008) (CDCR); id., T. Riddle, 101:2-17 (CDCR); id., D. Ballard,
175:22-176:7 (Mar. 28, 2008) (TDCJ); id., J. T. Morgan, 125:16-127:17 (Apr. 30, 2008) (TDCJ)).

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APPENDIX
Potential Common Characteristics of Victims
1.

What risk factors, if any, did the department or facility use to identify potential
inmate sexual victims?

Potential Common Characteristics of Perpetrators
2.

What risk factors, if any, did the department or facility use to identify potential
inmate sexual predators?

3.

What risk factors, if any, did the department or facility use to identify potential
staff sexual predators?

Potential Common Characteristics of Facilities With High or Low Prevalence of
Prison Rape
General PREA Factors
4.

Was there a PREA coordinator at the system level?

5.

Was there a PREA coordinator at the facility level?

Policy Factors
6.

Did the department or facility have a written policy addressing sexual assault
prevention?

7.

Did the department or facility have a written policy addressing staff-on-inmate
sexual assault?

8.

Did the department or facility have a written policy addressing opposite-gender
staff searches of inmates?

9.

Did the department or facility have a written grievance procedure for inmates to
pursue sexual assault complaints?

10.

Did the department or facility have a written policy addressing the conducting of
a sexual assault investigation?

11.

Did the department or facility have a written policy addressing sexual assault
victim’s services?

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12.

Did the department or facility have a written policy addressing safety concerns of
gay, lesbian, and transgendered sexual assault victims?

13.

Did the department or facility have a written policy requiring mandatory reporting
of sexual assaults by staff?

14.

Did the department or facility have a written policy providing for multiple
channels for inmates to report sexual assault?

15.

Did the department or facility have a hotline for inmates to report sexual assault?

16.

Did the department or facility have a written policy addressing sanctions for false
sexual assault reports by staff or offenders?

Training Factors
17.

Did the facility review its sexual assault policies in inmate orientation?

18.

Did the facility distribute written materials to inmates regarding its sexual assault
policies?

19.

Did correctional officers receive pre-service sexual assault training?

20.

Did correctional officers receive sexual assault training after they began working
at the facility?

21.

Did the facility provide refresher sexual assault policy training to correctional
officers who received training in the past?

22.

Did the facility test correctional officers regarding its sexual assault policies?

23.

Did investigators receive training about conducting sexual assault investigations?

24.

Did the facility provide refresher investigations training to investigators who
received training in the past?

Investigative Process Factors Regarding Grievances and Complaints
25.

Did the department or facility have a policy that reporting of inmate-on-inmate
sexual assault would automatically initiate an investigation?

26.

Did the facility have a system that tracked all reports of alleged inmate-on-inmate
sexual assault?

27.

How many alleged inmate-on-inmate sexual assaults were reported?
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28.

Of the reported alleged inmate-on-inmate sexual assaults, how many occurred in a
victim’s cell?

29.

If the reported alleged inmate-on-inmate sexual assault did not occur in a victim’s
cell, where did it occur?

30.

Of the reported alleged inmate-on-inmate sexual assaults, how many victims
requested a different housing assignment?

31.

Of those victims that requested a different housing assignment, how many
received it?

32.

How many alleged inmate-on-inmate sexual assaults were investigated?

33.

Of the investigated alleged inmate-on-inmate sexual assaults, how many
complaints were unsubstantiated?

34.

Did the department or facility have a policy that reporting of staff-on-inmate
sexual assault would automatically initiate an investigation?

35.

Did the facility have a system that tracked all reports of alleged staff-on-inmate
sexual assault?

36.

How many alleged staff-on-inmate sexual assaults were reported?

37.

Of the reported alleged staff-on-inmate sexual assaults, how many occurred in a
victim’s cell?

38.

Of the reported alleged staff-on-inmate sexual assaults, how many involved the
pairing of a male staff offender and a female inmate victim?

39.

Of the reported alleged staff-on-inmate sexual assaults, how many involved the
pairing of a male staff offender and a male inmate victim?

40.

Of the reported alleged staff-on-inmate sexual assaults, how many involved the
pairing of a female staff offender and a male inmate victim?

41.

Of the reported alleged staff-on-inmate sexual assaults, how many involved the
pairing of a female staff offender and a female inmate victim?

42.

How many alleged staff-on-inmate sexual assaults were investigated?

43.

Of the investigated alleged staff-on-inmate sexual assaults, how many complaints
were unsubstantiated?
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44.

Of the investigated alleged staff-on-inmate sexual assaults, how many offenders
were indicted?

45.

Of the investigated alleged staff-on-inmate sexual assaults, how many offenders
were sentenced?

46.

Did the facility halt a criminal investigation if a staff member resigned during the
pendency of that investigation?

Human Resources Factors
47.

What was the gender breakdown of correctional officers at the facility?

48.

What was the average ratio of correctional officers to inmates at the facility?

49.

What was the average ratio of staff to inmates at the facility?

50.

Of entry-level correctional officers, how many left the facility within the first
twelve months?

51.

What was the minimum age required to be a correctional officer?

52.

What was the minimum level of education required to become a correctional
officer?

53.

Did the facility require correctional officers to work mandatory overtime?

Operational Factors
54.

Is the facility for male or female inmates?

55.

What was the security level of the facility?

56.

What was the inmate capacity level of the facility?

57.

What was the average size of the facility's general population of inmates?

58.

What was the facility's design?

59.

Were cameras located at the facility?

Housing Classification Factors

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24 September 2008
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60.

Was an assessment instrument in place to identify potential inmate sexual
predators?

61.

Was an assessment instrument in place to identify potential inmate sexual
victims?

62.

Did the facility have a policy regarding reassignment of victims to administrative
segregation?

63.

Did the facility have a policy regarding reassignment of alleged perpetrators to
administrative segregation?

64.

What percentage of inmates was in administrative segregation?

Medical and Mental Health Factors
65.

Was there a Sexual Assault Response Team at the facility?

66.

Did the facility train mental health staff regarding responding to victims of sexual
assault?

Program Services Factors
67.

Did the facility offer work programs?

68.

Did the facility offer educational programs?

69.

What percentage of inmates attended some type of program on a daily basis?

Inmate Population Factors
70.

What percentage of inmates at the facility was identified as gay, lesbian,
transgendered?

71.

How many suicides and suicide attempts occurred at the facility?

72.

How many homicides and homicide attempts occurred at the facility?

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