DEPARTMENT OF CORRECTIONS
Adult Institutions

Steven L. Beshear
Governor

P.O. Box 2400
Frankfort, Kentucky 40602-2400
Phone (502) 564-2220
Fax (502) 564·3520

LaDorina H. Thompson
Commissioner

AI C. Parke
Deputy CommissIoner

MEMORANDUM

Date: September 14,2009
To:

LaDonna H. Thompson, Commissioner

~~

From: James Erwin, Director of Operations
RE:

OCCC Investigative Rep0l1

Please find attached the requested Investigative Report in regard to the allegations of
sexual misconduct by staff membets of the Otter Creek Correctional Complex in July of
2009.

Cc:

JE/mss

Al C. Parke, Deputy Commissioner

This report documents the investigation conducted by an investigative
team from the Kentucky Department of Corrections in response to
allegations of sexual misconduct by staff members at the Otter Creek
Correctional Complex as managed by Corrections Corporation of America.
I. Incident Details:
eeA notified KDOC on July 2,2009 that a list of nineteen (19) inmate names
was sent by an OCCC inmate to a Hawaiian inmate's mother. The list contained
names of inmates alleged to have been sexually assaulted by accc staff,
sixteen (16) of the names were Kentucky inmates. The list included several
cases involving KDOC inmates that had previously been reported and
investigated; it also included names of inmates not reported to KDOC. The list
was also sent to the Honolulu Advertiser Newspaper and to CCA.
Upon receipt of the allegation, Commissioner L. Thompson assigned an
Investigative Team to immediately review the allegations.
*OCCC housed Inmates from both the Kentucky and Hawaii Department of Corrections at the time that the
letter was authored.

II. KDOC Investigative Team Members:
Wende Abernathy-Perkins, Corrections Program Administrator
Jeff Hulker, Adult Institutions PREA Program Administrator
Eric Buckley, Contract Management Branch Manager
Gary Prestigiacomo, Deputy Warden FCDC
Darryl Neace, acce State Monitor

III. Review Process:
•
•
•

•

Review of aeee Incident Reports and Investigative files
Review of Personnel records for each alleged perpetrator.
Each case was re-investigated regardless of the original disposition for
the case. In some instances, this required interviewing inmates released
from incarceration.
Review of the aeee protocol and process for investigating PREA
allegations

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IV. Guidelines of PREA (Prison Rape Elimination Act)
A.

The Prison Rape Elimination Act is a federal law passed in 2003 whose
overall purpose is "to provide for the analysis of the incidence and effects
of prison rape in Federal, State, and local institutions and to provide
information, resources, recommendation and funding to protect individuals
from prison rape."

B.

KDOC's Sexual Abuse / Assault Prevention and Interventions Programs
(KDOC Policy and Procedure 14.7) supports PREA goals and
standards and requires the following incidents to be reported:
•
•
•
•

Inmate"to-inmate non"consensual sexual acts
Inmate-to-inmate abusive sexual contacts
Staff Sexual Misconduct (All Staff to Inmate sexual contact shall be
considered Non-Consensual)
Staff Sexual Harassment

C.

KDOC Policy 14.7 requires that each alleged PREA incident is reported in
three steps:
1. Extraordinary Occurrence Report (EOR)
2. Sexual Acts/Contact Allegation Form
3. Notification of the Kentucky State Police

D.

PREA Investigations result in one of the following dispositions:
1. Substantiated - Event determined to have occurred
2. Unsubstantiated - Insufficient evidence to make determination
3. Unfounded - Determined not to have occurred

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V.

Summary of Investigative Findings

A. The below listed sixteen (16) names are the KDOC inmates identified in
the letter that was submitted to the Honolulu Advertiser Newspaper.

B. In order to establish a baseline for the investigation, the Team reviewed
KDOC Records to identify the eleven (11) PREA cases that had been
reported by acee to KDOe in accordance with CPP 14.7 for 2007, 2008,
and prior to July 2, 2009:
INMATE

1.
2.
3.

STAFF
George Hale
Randy Hagans

..
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C. After comparison of the reported 16 allegations (A.) to the 11 cases
previously reported (8.), the Team determined that there were eight cases
that had not been reported by oeee as PREA cases to KOOe:
STAFF

D. Investigative interviews by KDOe and reviews of oeee investigative files
were conducted on all eight (8) cases listed above in section V. e. The
file revIews determined that there was no evidence to warrant a PREA
..
I"
investigation for the cases involving inmates
. . . . . . or
Furthermore, during the
interviews of the inmates by KOOe, the inmates did not reveal any PREA
allegations or concerns.
DISPOSITION
No PREA Evidence
No PREA Evidence
No PREA Evidence
No PREA Evidence

E. Investigative interviews and reviews of oeee investigative files by KOOC
were conducted on all eight (8) cases listed above in section V. C. The
file reviews determined that there was sufficient evidence to warrant a
PREA investigation for the four (4) below listed cases. These cases were
not reported or investigated as PREA events as required by epp 14.7.
1.

was discharged for violations of
inappropriate correspondence. Review of investigative file revealed
that
alleged that _made sexual comments to her.

4

2.

was terminated for
MisconducUDestruc Ion of Property. Staff Contact form states that
• •rwas observed kissing inmate :
i.

3.

was terminated for
Inappropriate Contact with Former Resident.

4.

was terminated for Transfer of
Contraband to Residents.
wrote in a statement that he "talked to
her a lot", and that he brought her cigarettes.

F. During the KDOC interviews and file reviews, an additional three (3)
possible PREA cases were revealed. These three cases were not
reported or investigated as PREA events as required by C.PP 14.7:
5.

. Unknown writer authored a report that she
witnesse~try to g e t - . , the staff bathroom.

6.

.~ported'
; making sexual remarks
to her and that she witnessed him touching another inmate's breast.

7.

'::=~===~J':2i
~nd.
2<issing.

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reported that he observed

VI. Review Team Recommendations
1. OCCC to conduct PREA investigations in accordance with CPP
14.7 for the seven cases identified in Section V. E. and F.
2. Provide Direct supervision of Kentucky inmates by female staff in
housing units and medical unit
3. Increase Female staffing ratio for Security Staff
4. CCA occe to conduct a security assessment of vulnerable areas
to include those areas where PREA incidents have been reported
and implement measures to mitigate future occurrences. The
measures can include but are not limited to use of technology and
automation (cameras and remote sensors), policy and procedures,
or improvements to physical structures. The assessment must be
reviewed and proposed corrective actions approved by the KYDOC
5. eCA ocee to report any sexual contact involving any inmate
incarcerated at the facility, to include inmates from other
jurisdictions, to KYDOe in accordance with Prison Rape Elimination
Act (PREA) standards as those incorporated by the Kentucky
Department of Corrections and as required by KYDOe Corrections
Policies and Procedures.
6. Enhance effectiveness of Internal Affairs through training on PREA
investigations
7. Enhance the organization of the Internal Affairs by implementing a
cross..;,referenced filing system.
8. Interpersonal Communications training included in the Basic Officer
Training and annual in-service training curriculum
9. Implementation of new policy Iimitinglrestricting inmate access to
areas where PREA incidents have been alleged to have occurred
10. PREA Retraining for CCA OCCC staff
11. Implement plan to provide additional security surveillance cameras
12. Establishment of a new staff position to monitor institution's security
cameras
13. Revise Key Control Policy to limit access to secure areas
14. Reinforcement of policies to prohibit non-assigned staff from
entering other posts

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