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Cca Whiteville Contract Violations 2007

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WCFA SUMMARY OF NON-COMPLIANCE NOTIFICATIONS FOR January 2007
OUT-

DATE OF
STANDING
REPORT ISSUE Y/N

10/13/06

Yes

10/16/06

Yes

10/18/06

Yes

10/19/06

Yes

Monitoring
Instrument

ITEM
NO.

NON-COMPLIANCE ISSUE

CONTRACTOR RESPONSE/DATE/ CORRECTIVE
ACTION TAKEN

Page 1
DATE/METHOD OF
CONFIRMATION BY
MONITOR/COMMENTS

TDOC MANAGEMENT COMMENTS/NOTES

While monitoring drug testing procedures
Warden’s response dated: 10/16/06 Just prior to the
this period, staff could not provide
Drug testing
audit of this area, the drug testing officer went on FMLA
documentation to support testing for July
1
and
CM note: Non-compliance issued
leave and has not returned to work. Facility staff was
Substance through and August 2006. Even though some
1/25/07 for same or similar items,
unable to find the required documentation. Another
documentation
was
present
for
7
abuse
items outstanding.
employee has been assigned the responsibility for drug
Septembers testing,
the 10% of
treatment
testing.
population required weren’t completed.
Warden’s response dated: 10/18/06: As noted on the
previous finding, the UA officer went on sudden FMLA
Staff could not provide requested leave just prior to the audit of this area and the
Verified 1/25/07: By review of
records/documentation
required
for supervisor’s position had been vacant with the person
Records and
10
drug testing documentation and
conducting a complete quarterly audit of hired for the position still in training. Changes in this area
Reports
TOMIS entries.
inmate drug testing procedures.
of assignment have been made and steps to correct the
deficiencies and preclude their reoccurrence are being
taken.
A planned non-emergency use of force
with chemical agents occurred to extract
inmate from his cell. The warden/designee
Warden’s response dated: 10/23/06 An investigation
was not notified for prior approval of a
was conducted by AW and Chief into this incident and
large canister of OC chemical agents (MKthe resulting use of force. Facility agrees that the Lt. who
IX) to be used during this extraction.
CM note: Non-compliance issued
was just recently promoted into the position failed to
4g(1,2,
Use of Force
Medical staff had been notified nor was
11/6/06 for same or similar item,
follow applicable policy and that the TOMIS report
3)
the inmates medical file reviewed prior”.
item outstanding.
contained information that was not completely accurate.
Staff with first–hand knowledge did enter
The Lt. was counseled and will receive disciplinary
a TOMIS report, (00675408) Use of Force
action.
chemical agents. This report does not
reflect a true and accurate account of the
incident as witnessed by the acting CD.

Records and
Reports

Warden’s response dated: 10/23/06 First issue is a
repeat of the other NC finding of same date and incident
and as answered on that response, corrective action is
Staff with first–hand knowledge did enter being taken. As to the failure to provide incident reports,
a TOMIS report, (00675408) Use of Force the facility acknowledges that due to several recent Verified 2/6/07: By review of
2b, 10 chemical agents. This report does not changes in staffing including the Chief of Security, Asst. incident reports UOF chemical
reflect a true and accurate account of the Chief of Security and the Chief of Security’s secretary, agents 1/4/07 and 2/6/07.
there was some confusion regarding the provision of the
incident as witnessed by the acting CD.
CCA incident report to the monitor and communications
have been made to appropriate staff to provide the 5-1A
to the monitor in the future.

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

1/07 monthly

WCFA SUMMARY OF NON-COMPLIANCE NOTIFICATIONS FOR January 2007
OUT-

DATE OF
STANDING
REPORT ISSUE Y/N

10/26/06

Yes

10/26/06

Yes

11/6/06

Yes

Monitoring
Instrument

Special
management
Inmates

ITEM
NO.

2b

NON-COMPLIANCE ISSUE

CONTRACTOR RESPONSE/DATE/ CORRECTIVE
ACTION TAKEN

Page 2
DATE/METHOD OF
CONFIRMATION BY
MONITOR/COMMENTS

TDOC MANAGEMENT COMMENTS/NOTES

Inmate was segregated 10/16/06 pending
an investigation for protective custody. Warden’s response date: 11/6/06 Corrective actions
Verified 12/26/06: by review of
The protective services routing form (CR- have been initiated to ensure that the CR-3241 form is
segregation documentation,
3241) was not provided to the completed and given to the Commissioner’s Designee as
inmates files and TOMIS entries.
Commissioners Designee for approval soon as it is reviewed by the Chief of Security.
within the 72-hour policy guideline.

12/11/06 DCCO CM note (summarized): 1. Policy
requires the Use of Force report to be submitted
Warden's response, dated 11/28/06, makes the following
to the CD no later than the conclusion of shift. 2.
points: 1. The report cited by the CM is required to be
The late submission of these reports was reported
completed within 21 days. 2. The CM should have
on an NCR 10/19/06. 3. This incident is dealt with
On 10/30/06 staff used force (chemical
advised the Warden that the report was expected by the
in the NCR for item 4g above. The Warden admits
agents) incident #00676614. The 5-1a
end of the shift. 3. The NCR is not specific enough to
in his response that the Use of Force report in
incident report packet wasn’t submitted to
respond to. 4. The Liaisons do not work to improve
question was not accurate. 4. TDOC staff
CM note: Non-compliance issued
the CD by conclusion of the shift. This
facility operation and cooperation. 5. The Liaisons keep
Records and
constantly communicate with facility staff. 5. Open
10/19/06 and 11/6/06 for same or
report was under the TDOC Liaisons door
10
trying to find things that are wrong, resulting in
Reports
communication does not preclude the use of the
similar item, item outstanding.
11/2/06. Furthermore the 5-1a and TOMIS
inaccurate reports based on assumptions rather than
monitoring process required by the contract and
report does not reflect a true and accurate
facts. 6. The TDOC is not complying with many
policy. 6. WCFA management has indicated such
account of the incident told to the CM by
requirements of the contract, including weekly meetings
meetings would not be helpful or necessary. 7.
the shift supervisor.
between the Warden and Liaisons. 7. The Liaisons
The issues discussed in the NCRs issued by the
continue to seek minute details to report on without
CM are not “minute”. They are required by
discussing them with the Warden in advance.
Policies and the contract, and are listed on the
monitoring instruments with which the State
safeguards its interests.
12/11/06 DCCO CM note (summarized): The
Staff used OC from a (MK IV) canister on
CD's report is based on what she was told by the
Warden's response, dated 11/28/06, makes the following
an inmate inside an unlocked cell without
Shift Supervisor. 2. WCFA policy requires medical
points: 1. The CD's report that the Shift Supervisor had
prior notification to medical staff or review
review prior to gas use; use of gas to make an
not told her about the inmate's alleged aggressive
of medical file. When reporting incident to
inmate spit something out is questionable, and
behavior was based only on her feelings. 2. The issue
the CD, shift supervisor failed to mention
the cell door could simply have been closed if the
raised by the CM that the gas was used in a cell is
any details of inmate aggressive behavior.
inmate was aggressive. 3. This was not a
irrelevant. 3. The use of force was spontaneous and did
Use of Force 4g (2,3)
There is no documentation in inmates
spontaneous use of force. 4. it would have been
not require prior approval. 4. Policy does not require that
medical file to support that medical staff
appropriate for medical staff to have been made
medical be made aware that the inmate who was gassed
was advised during the pre-segregation
aware that the inmate had swallowed something
was trying to swallow something (reportedly drugs) at the
evaluation
that
the
inmate
had
and for this to be documented in the inmate's
time. 5. TDOC staff fails to communicate with facility
chewed/swallowed an alleged substance,
medical file, and for a drug screen to have been
staff.
possibly drugs.
performed. 5. TDOC staff regularly communicate
with facility staff.

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

1/07 monthly

WCFA SUMMARY OF NON-COMPLIANCE NOTIFICATIONS FOR January 2007
OUT-

DATE OF
STANDING
REPORT ISSUE Y/N

11/15/06

Yes

1/25/07

No

Monitoring
Instrument

ITEM
NO.

NON-COMPLIANCE ISSUE

CONTRACTOR RESPONSE/DATE/ CORRECTIVE
ACTION TAKEN

Page 3
DATE/METHOD OF
CONFIRMATION BY
MONITOR/COMMENTS

TDOC MANAGEMENT COMMENTS/NOTES

Warden’s response dated: 11/20/06 On October 31,
2006, Disciplinary Chairperson SCO Ponds sought and
received approval for the above Segregation placements
and four additional inmates who are not on the above
10 inmates were segregated 10/31/06
list, by notifying TDOC Bettie Hammond via telephone
after being on a segregation waiting list.
and discussing the placements. Additionally, per the
The segregation packs with movement
Disciplinary
Chief of Security’s Secretary, on November 1, 2006, the
4a (6)
confinement forms were not immediately
Procedures
segregation packs with movement confinement forms
made available for commissioner’s
were placed in the TDOC Office. However, the
designee review until 11/13/06.
employee who retrieved the files from the TDOC Office
failed to check all of the files to ensure they were signed
and therefore ten out of the fourteen files were not
signed.
1c. Staff conducted 16 reasonable
suspicion drug screens during December
06. Only 4 were documented as
authorized/approved by designated staff.
Warden’s response dated: 1/29/07 Warden concurs with
Drug testing
2f. Positive test results were not
findings. A new Drug Testing Officer was recently
and
maintained in a confidential file.
appointed and while he has made significant progress in
1c,2f,2g
Substance
2g. No documentation to support
improving this area of operations, was deficient in the
,2i
abuse
treatment services are recommended for
areas noted. Corrections have been made in all areas
treatment
inmates convicted of a positive drug test.
noted to ensure these findings are not repeated.
2i. No documentation to support that
inmates who test positive on a drug
screen are retested as required.

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

1/07 monthly

WCFA SUMMARY OF NON-COMPLIANCE NOTIFICATIONS FOR January 2007
OUT-

DATE OF
STANDING
REPORT ISSUE Y/N

1/31/07

NO

CONTRACTOR RESPONSE/DATE/ CORRECTIVE
ACTION TAKEN

Monitoring
Instrument

ITEM
NO.

Use of Force

Assistant Shift Supervisor used chemical
agents (OC) inappropriately to control an
inmate inside a segregation cell. When
staff opened the food flap to retrieve food
trays the inmate threw a substance. Asst.
Supervisor immediately reacted by
spraying the inmates twice with a MK-IX
fogger through the food flap. The Shift Warden’s response dated 2/6/07: Warden concurs that
Supervisor approved for a large canister the Assistant Shift Supervisor failed to follow proper
4g(1), (MK-IX) of OC chemical agents to be
procedure in this incident and reacted to the inmate
4g(2) issued without question or a complete
throwing what was believed to be urine on the staff
understanding of the events surrounding involved by utilizing inflammatory agent (OC).
the incident. Prior precautions were not
taken in advance to minimize OC
exposure to inmate Griffin who was not an
active participant. Medical staff was not
notified prior or present during the use of
force nor were the affected inmates
medical records reviewed prior to the use
of chemical agents

NON-COMPLIANCE ISSUE

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

Page 4
DATE/METHOD OF
CONFIRMATION BY
MONITOR/COMMENTS

TDOC MANAGEMENT COMMENTS/NOTES

1/07 monthly

WCFA SUMMARY OF NON-COMPLIANCE NOTIFICATIONS FOR February 2007
OUT-

CONTRACTOR RESPONSE/DATE/ CORRECTIVE
ACTION TAKEN

DATE/METHOD OF
CONFIRMATION BY
MONITOR/COMMENTS

DATE OF
STANDING
REPORT ISSUE Y/N

Monitoring
Instrument

10/13/06

Yes

While monitoring drug testing procedures
Warden’s response dated: 10/16/06 Just prior to the
this period, staff could not provide
Drug testing
audit of this area, the drug testing officer went on FMLA
documentation to support testing for July
1
and
CM note: Non-compliance issued
leave and has not returned to work. Facility staff was
Substance through and August 2006. Even though some
1/25/07 for same or similar items,
unable to find the required documentation. Another
documentation
was
present
for
7
abuse
items outstanding.
employee has been assigned the responsibility for drug
Septembers testing,
the 10% of
treatment
testing.
population required weren’t completed.

Yes

A planned non-emergency use of force
with chemical agents occurred to extract
inmate from his cell. The warden/designee
Warden’s response dated: 10/23/06 An investigation
was not notified for prior approval of a
was conducted by AW and Chief into this incident and
large canister of OC chemical agents (MKthe resulting use of force. Facility agrees that the Lt. who
IX) to be used during this extraction.
CM note: Non-compliance issued
4g(1,2,
was just recently promoted into the position failed to
Use of Force
Medical staff had been notified nor was
11/6/06 and 1/31/07 for same or
3)
follow applicable policy and that the TOMIS report
the inmates medical file reviewed prior”.
similar item, item outstanding.
contained information that was not completely accurate.
Staff with first–hand knowledge did enter
The Lt. was counseled and will receive disciplinary
a TOMIS report, (00675408) Use of Force
action.
chemical agents. This report does not
reflect a true and accurate account of the
incident as witnessed by the acting CD.

10/18/06

10/26/06

Yes

Records and
Reports

ITEM
NO.

Page 1

10

NON-COMPLIANCE ISSUE

TDOC MANAGEMENT COMMENTS/NOTES

12/11/06 DCCO CM note (summarized): 1. Policy
requires the Use of Force report to be submitted
Warden's response, dated 11/28/06, makes the following
to the CD no later than the conclusion of shift. 2.
points: 1. The report cited by the CM is required to be
The late submission of these reports was reported
completed within 21 days. 2. The CM should have
on an NCR 10/19/06. 3. This incident is dealt with
On 10/30/06 staff used force (chemical
advised the Warden that the report was expected by the
in the NCR for item 4g above. The Warden admits
agents) incident #00676614. The 5-1a
end of the shift. 3. The NCR is not specific enough to
in his response that the Use of Force report in
incident report packet wasn’t submitted to
respond to. 4. The Liaisons do not work to improve
question was not accurate. 4. TDOC staff
CM note: Non-compliance issued
the CD by conclusion of the shift. This
facility operation and cooperation. 5. The Liaisons keep
constantly communicate with facility staff. 5. Open
10/19/06 and 11/6/06 for same or
report was under the TDOC Liaisons door
trying to find things that are wrong, resulting in
communication does not preclude the use of the
similar item, item outstanding.
11/2/06. Furthermore the 5-1a and TOMIS
inaccurate reports based on assumptions rather than
monitoring process required by the contract and
report does not reflect a true and accurate
facts. 6. The TDOC is not complying with many
policy. 6. WCFA management has indicated such
account of the incident told to the CM by
requirements of the contract, including weekly meetings
meetings would not be helpful or necessary. 7.
the shift supervisor.
between the Warden and Liaisons. 7. The Liaisons
The issues discussed in the NCRs issued by the
continue to seek minute details to report on without
CM are not “minute”. They are required by
discussing them with the Warden in advance.
Policies and the contract, and are listed on the
monitoring instruments with which the State
safeguards its interests.

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

2/07 monthly

WCFA SUMMARY OF NON-COMPLIANCE NOTIFICATIONS FOR February 2007
OUT-

DATE OF
STANDING
REPORT ISSUE Y/N

11/6/06

Yes

11/15/06

Yes

1/25/07

Yes

Monitoring
Instrument

ITEM
NO.

NON-COMPLIANCE ISSUE

CONTRACTOR RESPONSE/DATE/ CORRECTIVE
ACTION TAKEN

Page 2
DATE/METHOD OF
CONFIRMATION BY
MONITOR/COMMENTS

Staff used OC from a (MK IV) canister on
Warden's response, dated 11/28/06, makes the following
an inmate inside an unlocked cell without
points: 1. The CD's report that the Shift Supervisor had
prior notification to medical staff or review
not told her about the inmate's alleged aggressive
of medical file. When reporting incident to
behavior was based only on her feelings. 2. The issue
the CD, shift supervisor failed to mention
raised by the CM that the gas was used in a cell is CM note: Non-compliance issued
any details of inmate aggressive behavior.
irrelevant. 3. The use of force was spontaneous and did 10/18/06 and 1/31/07 for same or
Use of Force 4g (2,3)
There is no documentation in inmates
not require prior approval. 4. Policy does not require that similar item, item outstanding.
medical file to support that medical staff
medical be made aware that the inmate who was gassed
was advised during the pre-segregation
was trying to swallow something (reportedly drugs) at the
evaluation
that
the
inmate
had
time. 5. TDOC staff fails to communicate with facility
chewed/swallowed an alleged substance,
staff.
possibly drugs.
Warden’s response dated: 11/20/06 On October 31,
2006, Disciplinary Chairperson SCO Ponds sought and
received approval for the above Segregation placements
and four additional inmates who are not on the above
10 inmates were segregated 10/31/06
list, by notifying TDOC Bettie Hammond via telephone
after being on a segregation waiting list.
and discussing the placements. Additionally, per the
The segregation packs with movement
Disciplinary
Chief of Security’s Secretary, on November 1, 2006, the
4a (6)
confinement forms were not immediately
Procedures
segregation packs with movement confinement forms
made available for commissioner’s
were placed in the TDOC Office. However, the
designee review until 11/13/06.
employee who retrieved the files from the TDOC Office
failed to check all of the files to ensure they were signed
and therefore ten out of the fourteen files were not
signed.
1c. Staff conducted 16 reasonable
suspicion drug screens during December
06. Only 4 were documented as
authorized/approved by designated staff.
Warden’s response dated: 1/29/07 Warden concurs with
Drug testing
2f. Positive test results were not
findings. A new Drug Testing Officer was recently
and
appointed and while he has made significant progress in
1c,2f,2g maintained in a confidential file. 2g. No
Substance
documentation to support treatment
improving this area of operations, was deficient in the
,2i
abuse
services are recommended for inmates
areas noted. Corrections have been made in all areas
treatment
convicted of a positive drug test. 2i. No
noted to ensure these findings are not repeated.
documentation to support that inmates
who test positive on a drug screen are
retested as required.

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

TDOC MANAGEMENT COMMENTS/NOTES
12/11/06 DCCO CM note (summarized): The
CD's report is based on what she was told by the
Shift Supervisor. 2. WCFA policy requires medical
review prior to gas use; use of gas to make an
inmate spit something out is questionable, and
the cell door could simply have been closed if the
inmate was aggressive. 3. This was not a
spontaneous use of force. 4. it would have been
appropriate for medical staff to have been made
aware that the inmate had swallowed something
and for this to be documented in the inmate's
medical file, and for a drug screen to have been
performed. 5. TDOC staff regularly communicate
with facility staff.

2/07 monthly

WCFA SUMMARY OF NON-COMPLIANCE NOTIFICATIONS FOR February 2007
OUT-

DATE OF
STANDING
REPORT ISSUE Y/N

1/31/07

Yes

CONTRACTOR RESPONSE/DATE/ CORRECTIVE
ACTION TAKEN

Page 3
DATE/METHOD OF
CONFIRMATION BY
MONITOR/COMMENTS

Monitoring
Instrument

ITEM
NO.

Use of Force

Assistant Shift Supervisor used chemical
agents (OC) inappropriately to control an
inmate inside a segregation cell. When
staff opened the food flap to retrieve food
trays the inmate threw a substance. Asst.
Supervisor immediately reacted by
spraying the inmates twice with a MK-IX
fogger through the food flap. The Shift Warden’s response dated 2/6/07: Warden concurs that
Supervisor approved for a large canister the Assistant Shift Supervisor failed to follow proper
CM note: Non-compliance issued
4g(1), (MK-IX) of OC chemical agents to be
procedure in this incident and reacted to the inmate
10/18/06 and 11/6/06 for same or
4g(2) issued without question or a complete
throwing what was believed to be urine on the staff
similar item, item outstanding.
understanding of the events surrounding involved by utilizing inflammatory agent (OC).
the incident. Prior precautions were not
taken in advance to minimize OC
exposure to inmate Griffin who was not an
active participant. Medical staff was not
notified prior or present during the use of
force nor were the affected inmates
medical records reviewed prior to the use
of chemical agents
Warden’s response dated: 3/2/07: It is my understanding

2/27/07

NO

Use of Force

3a

2/27/07

NO

Records and
Reports

2b

NON-COMPLIANCE ISSUE

TDOC MANAGEMENT COMMENTS/NOTES

that on the date of this incident the Shift Supervisor
On January 1, 2007 staff used physical entered an LIBJ incident report on the finding of the
force to conduct a strip search of an drugs (TOMIS #00683027) but did fail to enter a
inmate. A TOMIS (LIBJ) report was not separate incident report for the Use of Force. Upon
entered for this incident within policy discovery of this the necessary report was entered into
guidelines.
the TOMIS system. (See #689631). The supervisor on
this shift is one of the most experienced supervisors and
simply forgot to do the additional report.
Same as above

Same as above

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

2/07 monthly

WCFA SUMMARY OF NON-COMPLIANCE NOTIFICATIONS FOR March 2007
OUT-

CONTRACTOR RESPONSE/DATE/ CORRECTIVE
ACTION TAKEN

DATE/METHOD OF
CONFIRMATION BY
MONITOR/COMMENTS

DATE OF
STANDING
REPORT ISSUE Y/N

Monitoring
Instrument

10/13/06

Yes

While monitoring drug testing procedures
Warden’s response dated: 10/16/06 Just prior to the
this period, staff could not provide
Drug testing
Verified 3/29/07: By review of
audit of this area, the drug testing officer went on FMLA
documentation to support testing for July
1
and
documentation and log books.
leave and has not returned to work. Facility staff was
Substance through and August 2006. Even though some
CM note: Non-compliance issued
unable to find the required documentation. Another
documentation
was
present
for
7
abuse
1/25/07 for same or similar items,
employee has been assigned the responsibility for drug
Septembers testing,
the 10% of
treatment
items outstanding.
testing.
population required weren’t completed.

Yes

A planned non-emergency use of force
with chemical agents occurred to extract
inmate from his cell. The warden/designee
Warden’s response dated: 10/23/06 An investigation Verified 3/31/07: By review of
was not notified for prior approval of a
was conducted by AW and Chief into this incident and UOF chemical agents incidents
large canister of OC chemical agents (MKthe resulting use of force. Facility agrees that the Lt. who 2/6, 2/17, 3/6, 3/11, 3/24
IX) to be used during this extraction.
4g(1,2,
was just recently promoted into the position failed to appropriate procedures and
Use of Force
Medical staff had been notified nor was
3)
follow applicable policy and that the TOMIS report documentation. CM note: Nonthe inmates medical file reviewed prior”.
contained information that was not completely accurate. compliance issued 11/6/06 and
Staff with first–hand knowledge did enter
The Lt. was counseled and will receive disciplinary 1/31/07 for same or similar item,
a TOMIS report, (00675408) Use of Force
action.
item outstanding.
chemical agents. This report does not
reflect a true and accurate account of the
incident as witnessed by the acting CD.

10/18/06

10/26/06

Yes

Records and
Reports

ITEM
NO.

Page 1

10

NON-COMPLIANCE ISSUE

TDOC MANAGEMENT COMMENTS/NOTES

12/11/06 DCCO CM note (summarized): 1. Policy
requires the Use of Force report to be submitted
Warden's response, dated 11/28/06, makes the following
to the CD no later than the conclusion of shift. 2.
points: 1. The report cited by the CM is required to be
The late submission of these reports was reported
completed within 21 days. 2. The CM should have
on an NCR 10/19/06. 3. This incident is dealt with
On 10/30/06 staff used force (chemical
advised the Warden that the report was expected by the Verified 3/31/07: By review of
in the NCR for item 4g above. The Warden admits
agents) incident #00676614. The 5-1a
end of the shift. 3. The NCR is not specific enough to UOF chemical agents incidents
in his response that the Use of Force report in
incident report packet wasn’t submitted to
respond to. 4. The Liaisons do not work to improve 2/6, 2/17, 3/6, 3/11, 3/24
question was not accurate. 4. TDOC staff
the CD by conclusion of the shift. This
facility operation and cooperation. 5. The Liaisons keep appropriate procedures and
constantly communicate with facility staff. 5. Open
report was under the TDOC Liaisons door
trying to find things that are wrong, resulting in documentation. CM note: Non- communication does not preclude the use of the
11/2/06. Furthermore the 5-1a and TOMIS
inaccurate reports based on assumptions rather than compliance issued 10/19/06 and monitoring process required by the contract and
report does not reflect a true and accurate
facts. 6. The TDOC is not complying with many 11/6/06 for same or similar item, policy. 6. WCFA management has indicated such
account of the incident told to the CM by
requirements of the contract, including weekly meetings item outstanding.
meetings would not be helpful or necessary. 7.
the shift supervisor.
between the Warden and Liaisons. 7. The Liaisons
The issues discussed in the NCRs issued by the
continue to seek minute details to report on without
CM are not “minute”. They are required by
discussing them with the Warden in advance.
Policies and the contract, and are listed on the
monitoring instruments with which the State
safeguards its interests.

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

3/07 monthly

WCFA SUMMARY OF NON-COMPLIANCE NOTIFICATIONS FOR March 2007
OUT-

DATE OF
STANDING
REPORT ISSUE Y/N

11/6/06

Yes

11/15/06

Yes

1/25/07

Yes

Monitoring
Instrument

ITEM
NO.

NON-COMPLIANCE ISSUE

CONTRACTOR RESPONSE/DATE/ CORRECTIVE
ACTION TAKEN

Page 2
DATE/METHOD OF
CONFIRMATION BY
MONITOR/COMMENTS

Staff used OC from a (MK IV) canister on
Warden's response, dated 11/28/06, makes the following
an inmate inside an unlocked cell without
points: 1. The CD's report that the Shift Supervisor had
Verified 3/31/07: By review of
prior notification to medical staff or review
not told her about the inmate's alleged aggressive
UOF chemical agents incidents
of medical file. When reporting incident to
behavior was based only on her feelings. 2. The issue
2/6, 2/17, 3/6, 3/11, 3/24
the CD, shift supervisor failed to mention
raised by the CM that the gas was used in a cell is
appropriate procedures and
any details of inmate aggressive behavior.
irrelevant. 3. The use of force was spontaneous and did
Use of Force 4g (2,3)
There is no documentation in inmates
documentation. CM note: Nonnot require prior approval. 4. Policy does not require that
medical file to support that medical staff
compliance issued 11/6/06 and
medical be made aware that the inmate who was gassed
was advised during the pre-segregation
1/31/07 for same or similar item,
was trying to swallow something (reportedly drugs) at the
evaluation
that
the
inmate
had
item outstanding.
time. 5. TDOC staff fails to communicate with facility
chewed/swallowed an alleged substance,
staff.
possibly drugs.
Warden’s response dated: 11/20/06 On October 31,
2006, Disciplinary Chairperson SCO Ponds sought and
received approval for the above Segregation placements
and four additional inmates who are not on the above
10 inmates were segregated 10/31/06
list, by notifying TDOC Bettie Hammond via telephone
after being on a segregation waiting list.
and discussing the placements. Additionally, per the Verified 3/31/07: By review of
The segregation packs with movement
Disciplinary
Chief of Security’s Secretary, on November 1, 2006, the segregation pack, unit logs and
4a (6)
confinement forms were not immediately
Procedures
segregation packs with movement confinement forms TOMIS reports
made available for commissioner’s
were placed in the TDOC Office. However, the
designee review until 11/13/06.
employee who retrieved the files from the TDOC Office
failed to check all of the files to ensure they were signed
and therefore ten out of the fourteen files were not
signed.
1c. Staff conducted 16 reasonable
suspicion drug screens during December
06. Only 4 were documented as
authorized/approved by designated staff.
Warden’s response dated: 1/29/07 Warden concurs with Verified 3/29/07: By review of
Drug testing
2f. Positive test results were not
findings. A new Drug Testing Officer was recently testing procedures,
and
appointed and while he has made significant progress in documentation and log books.
1c,2f,2g maintained in a confidential file. 2g. No
Substance
documentation to support treatment
improving this area of operations, was deficient in the CM note: Prior non-compliance
,2i
abuse
services are recommended for inmates
areas noted. Corrections have been made in all areas issued 10/13/06 for same or
treatment
convicted of a positive drug test. 2i. No
noted to ensure these findings are not repeated.
similar items, items outstanding.
documentation to support that inmates
who test positive on a drug screen are
retested as required.

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

TDOC MANAGEMENT COMMENTS/NOTES
12/11/06 DCCO CM note (summarized): The
CD's report is based on what she was told by the
Shift Supervisor. 2. WCFA policy requires medical
review prior to gas use; use of gas to make an
inmate spit something out is questionable, and
the cell door could simply have been closed if the
inmate was aggressive. 3. This was not a
spontaneous use of force. 4. it would have been
appropriate for medical staff to have been made
aware that the inmate had swallowed something
and for this to be documented in the inmate's
medical file, and for a drug screen to have been
performed. 5. TDOC staff regularly communicate
with facility staff.

3/07 monthly

WCFA SUMMARY OF NON-COMPLIANCE NOTIFICATIONS FOR March 2007
OUT-

DATE OF
STANDING
REPORT ISSUE Y/N

1/31/07

Yes

CONTRACTOR RESPONSE/DATE/ CORRECTIVE
ACTION TAKEN

Monitoring
Instrument

ITEM
NO.

Use of Force

Assistant Shift Supervisor used chemical
agents (OC) inappropriately to control an
inmate inside a segregation cell. When
staff opened the food flap to retrieve food
trays the inmate threw a substance. Asst.
Supervisor immediately reacted by
spraying the inmates twice with a MK-IX
fogger through the food flap. The Shift Warden’s response dated 2/6/07: Warden concurs that
Supervisor approved for a large canister the Assistant Shift Supervisor failed to follow proper
4g(1), (MK-IX) of OC chemical agents to be
procedure in this incident and reacted to the inmate
4g(2) issued without question or a complete
throwing what was believed to be urine on the staff
understanding of the events surrounding involved by utilizing inflammatory agent (OC).
the incident. Prior precautions were not
taken in advance to minimize OC
exposure to inmate Griffin who was not an
active participant. Medical staff was not
notified prior or present during the use of
force nor were the affected inmates
medical records reviewed prior to the use
of chemical agents
Warden’s response dated: 3/2/07: It is my understanding

NON-COMPLIANCE ISSUE

DATE/METHOD OF
CONFIRMATION BY
MONITOR/COMMENTS

TDOC MANAGEMENT COMMENTS/NOTES

Verified 3/31/07: By review of
UOF chemical agents incidents
2/6, 2/17, 3/6, 3/11, 3/24
appropriate procedures and
documentation. CM note: Noncompliance issued 10/18/06 and
11/6/06 for same or similar item,
item outstanding.

that on the date of this incident the Shift Supervisor
On January 1, 2007 staff used physical entered an LIBJ incident report on the finding of the
force to conduct a strip search of an drugs (TOMIS #00683027) but did fail to enter a
inmate. A TOMIS (LIBJ) report was not separate incident report for the Use of Force. Upon
entered for this incident within policy discovery of this the necessary report was entered into
guidelines.
the TOMIS system. (See #689631). The supervisor on
this shift is one of the most experienced supervisors and
simply forgot to do the additional report.

2/27/07

Yes

Use of Force

3a

2/27/07

Yes

Records and
Reports

2b

Same as above

NO

Security and
ControlCounts

5

Warden’s response dated: 3/12/07: Facility concurs that
Routine inmate movement is not ceased
inmates have not been in cells 15 minutes prior to count.
15 minutes prior to count. Inmates are not
The facility schedule has been revised and every effort
in their assigned cells 15 minutes before
will be made to have inmates in their cell 15 minutes
count time.
prior to count times.

3/8/07

Page 3

Same as above

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

3/07 monthly

WCFA SUMMARY OF NON-COMPLIANCE NOTIFICATIONS FOR March 2007
OUT-

DATE OF
STANDING
REPORT ISSUE Y/N

3/9/07

NO

3/23/07

NO

Monitoring
Instrument

Policies and
Procedures
manual

Records and
Reports

ITEM
NO.

1a

NON-COMPLIANCE ISSUE

CONTRACTOR RESPONSE/DATE/ CORRECTIVE
ACTION TAKEN

Page 4
DATE/METHOD OF
CONFIRMATION BY
MONITOR/COMMENTS

TDOC MANAGEMENT COMMENTS/NOTES

Warden’s response dated: 3/9/07: Policies have been
made accessible. Policy nor contract requires these
December 1, 2006, while monitoring the
policies to be made available but we concur it is the right
inmate library, CM discovered that some
thing to do and had agreed to place them there when
TDOC policies that WCFA is not required
this issue arose several months ago. The clerk tasked
to follow but should be accessible to
with the directive to place these in the library in the
TDOC inmates were not in the library. To
library miscommunicated the intention to the librarian
this date these policies are not readily
and the policies were provided to the librarian but not
accessible to the inmate general
made available to the inmate population. This was not
population.
the intention of facility management and has been
corrected.

Inmate was transported and admitted to
outside hospital after attempting suicide.
A suicide note was left in the cell for staff Wardens response dated: 4/16/07 The Warden concurs
to find. Staff failed to enter TOMIS (LIBJ) that the supervisor on duty failed to enter the appropriate CM note: Non-compliance
6a(3) reports within eights (8) hours of the LIBJ report. The LIBJ has since been entered and the issued 8/8/06 for same or similar
incident’s
occurrence/discovery supervisor that was responsible for the incident entry item, item outstanding.
concerning the attempted suicide and was disciplined
transportation to outside hospital and
surrounding incidents.

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

5/3/07 CMC note: Determined to be a Breach
issue (2nd finding on semi-annual instrument
in 18 mo [ref. NCR dated 8/8/06]). Notice of
Breach letter pending.

3/07 monthly

WCFA SUMMARY OF NON-COMPLIANCE NOTIFICATIONS FOR April 2007
OUT-

DATE OF
STANDING
REPORT ISSUE Y/N

Monitoring
Instrument

ITEM
NO.

NON-COMPLIANCE ISSUE

CONTRACTOR RESPONSE/DATE/ CORRECTIVE
ACTION TAKEN

2/27/07

Yes

Use of Force

3a

Warden’s response dated: 3/2/07: It is my understanding
that on the date of this incident the Shift Supervisor
On January 1, 2007 staff used physical entered an LIBJ incident report on the finding of the
force to conduct a strip search of an drugs (TOMIS #00683027) but did fail to enter a
inmate. A TOMIS (LIBJ) report was not separate incident report for the Use of Force. Upon
entered for this incident within policy discovery of this the necessary report was entered into
guidelines.
the TOMIS system. (See #689631). The supervisor on
this shift is one of the most experienced supervisors and
simply forgot to do the additional report.

2/27/07

Yes

Records and
Reports

2b

Same as above

3/8/07

Yes

Security and
ControlCounts

5

3/9/07

Yes

Policies and
Procedures
manual

1a

3/23/07

Yes

Records and
Reports

Page 1
DATE/METHOD OF
CONFIRMATION BY
MONITOR/COMMENTS

TDOC MANAGEMENT COMMENTS/NOTES

Same as above

Warden’s response dated: 3/12/07: Facility concurs that
Routine inmate movement is not ceased
inmates have not been in cells 15 minutes prior to count.
15 minutes prior to count. Inmates are not
The facility schedule has been revised and every effort
in their assigned cells 15 minutes before
will be made to have inmates in their cell 15 minutes
count time.
prior to count times.
Warden’s response dated: 3/9/07: Policies have been
made accessible. Policy nor contract requires these
December 1, 2006, while monitoring the
policies to be made available but we concur it is the right
inmate library, CM discovered that some
thing to do and had agreed to place them there when
TDOC policies that WCFA is not required
this issue arose several months ago. The clerk tasked
to follow but should be accessible to
with the directive to place these in the library in the
TDOC inmates were not in the library. To
library miscommunicated the intention to the librarian
this date these policies are not readily
and the policies were provided to the librarian but not
accessible to the inmate general
made available to the inmate population. This was not
population.
the intention of facility management and has been
corrected.

Inmate was transported and admitted to
outside hospital after attempting suicide.
A suicide note was left in the cell for staff Wardens response dated: 4/16/07 The Warden concurs
to find. Staff failed to enter TOMIS (LIBJ) that the supervisor on duty failed to enter the appropriate CM note: Non-compliance
6a(3) reports within eights (8) hours of the LIBJ report. The LIBJ has since been entered and the issued 8/8/06 for same or similar
incident’s
occurrence/discovery supervisor that was responsible for the incident entry item, item outstanding.
concerning the attempted suicide and was disciplined
transportation to outside hospital and
surrounding incidents.

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

6/6/07 CMC note: Breach letter issued by
Commissioner 5/14/07. 5/3/07 CMC note:
Determined to be a Breach issue (2nd finding on
semi-annual instrument in 18 mo [ref. NCR dated
8/8/06]). Notice of Breach letter pending.

4/07 monthly

WCFA SUMMARY OF NON-COMPLIANCE NOTIFICATIONS FOR April 2007
OUT-

DATE OF
STANDING
REPORT ISSUE Y/N

4/18/07

5/1/07

NO

NO

Monitoring
Instrument

Special
Management
Inmates

Records and
Reports

ITEM
NO.

NON-COMPLIANCE ISSUE

CONTRACTOR RESPONSE/DATE/ CORRECTIVE
ACTION TAKEN

Page 2
DATE/METHOD OF
CONFIRMATION BY
MONITOR/COMMENTS

2b

Warden’s response date: 4/18/07: Concur that the
supervisor failed to obtain signature within proscribed
time frame. He had obtained the Designee’s verbal
Inmate was segregated 4/14/07 pending approval at the time of the placement but filed the form in
an investigation for protective custody. the segregation packet. The error was later discovered
CM note: Non-compliance
The protective services routing form (CR- and TDOC liaison’s signature obtained but it was outside
issued 10/26/06 for same or
3241) was not provided to the the time frame in policy. The Shift Supervisor handling
similar item, item outstanding.
Commissioners Designee for approval the Protective Custody Investigation routing process had
transferred from another facility shortly before this and
within the 72-hour policy guideline.
followed the procedure used at that facility, as he had
become accustomed. He has subsequently had the
TDOC required process communicated to him.

10

According to TOMIS incident report
Warden’s response dated 5/9/07: I was notified at
#00697394, at 6:05am an inmate was
approx. 6:15 at home that the inmate had been found
found unresponsive by the facility medical
unresponsive, medical staff was performing CPR and
clinic officer. The inmate was transported
EMS was en-route. There was no intention to delay in
to outside hospital where he was
this instance. At 6:05 I had no information other than an
pronounced dead. WCF Warden notified
inmate who was unresponsive was being transported to
Acting Assistant Commissioner at 7:40am.
CM note: Non-compliance
the emergency room and made the notification
As per Department of Corrections Central
issued 10/16/06, 10/19/06 and
immediately upon reaching the facility and obtaining the
Office memorandum dated July 2004 to all
11/6/06 for same or similar item,
information that he had died and the particulars. From
facility warden's. “Class (A) incidents, and
item outstanding.
what I have since discovered the shift supervisor erred in
other incidents assessed by the facility
prematurely telling the TDOC Liaison that an inmate had
official
as significant and requiring
died long before receiving a death pronouncement from
prompt notification, shall be reported to
the hospital. TDOC Liaison then called the Asst.
the Assistant Commissioner of Operations
Commissioner and informed him that we had an inmate
immediately by phone on a 24 hour basis
death.
by the warden”.

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

TDOC MANAGEMENT COMMENTS/NOTES

6/6/07 CMC note: Since this is the second
instrument in an 18-month period on which
this item has been found in non-compliance
(ref. NCRs dated 10/16/06, 10/19/06 and
10/26/06), this item is now in breach. Breach
letter pending.

4/07 monthly

WCFA SUMMARY OF NON-COMPLIANCE NOTIFICATIONS FOR May 2007
OUT-

DATE OF
STANDING
REPORT ISSUE Y/N

Monitoring
Instrument

ITEM
NO.

2/27/07

Yes

Use of Force

3a

2/27/07

Yes

Records and
Reports

2b

3/8/07

Yes

Security and
ControlCounts

5

3/9/07

Yes

Policies and
Procedures
manual

1a

3/23/07

Yes

Records and
Reports

NON-COMPLIANCE ISSUE

CONTRACTOR RESPONSE/DATE/ CORRECTIVE
ACTION TAKEN

Page 1
DATE/METHOD OF
CONFIRMATION BY
MONITOR/COMMENTS

TDOC MANAGEMENT COMMENTS/NOTES

Warden’s response dated: 3/2/07: It is my understanding
that on the date of this incident the Shift Supervisor
On January 1, 2007 staff used physical entered an LIBJ incident report on the finding of the
force to conduct a strip search of an drugs (TOMIS #00683027) but did fail to enter a
Verified 5/22/07: By review of
inmate. A TOMIS (LIBJ) report was not separate incident report for the Use of Force. Upon
TOMIS incident reports, facility
entered for this incident within policy discovery of this the necessary report was entered into reports and segregation logs.
guidelines.
the TOMIS system. (See #689631). The supervisor on
this shift is one of the most experienced supervisors and
simply forgot to do the additional report.
Verified 5/22/07: By review of
Same as above
Same as above
TOMIS incident reports, facility
reports and segregation logs.
Warden’s response dated: 3/12/07: Facility concurs that
Routine inmate movement is not ceased
inmates have not been in cells 15 minutes prior to count.
15 minutes prior to count. Inmates are not
The facility schedule has been revised and every effort
in their assigned cells 15 minutes before
will be made to have inmates in their cell 15 minutes
count time.
prior to count times.
Warden’s response dated: 3/9/07: Policies have been
made accessible. Policy nor contract requires these
December 1, 2006, while monitoring the
policies to be made available but we concur it is the right
inmate library, CM discovered that some
thing to do and had agreed to place them there when
TDOC policies that WCFA is not required
this issue arose several months ago. The clerk tasked
to follow but should be accessible to
with the directive to place these in the library in the
TDOC inmates were not in the library. To
library miscommunicated the intention to the librarian
this date these policies are not readily
and the policies were provided to the librarian but not
accessible to the inmate general
made available to the inmate population. This was not
population.
the intention of facility management and has been
corrected.

Verified 5/24/07: By review of
inmate movement prior to counts,
outcount count sheets, countroom
procedures and routine
movement.

Verified 5/22/07: By review of
applicable/accessable TDOC and
facility policies in inmate library.

Inmate was transported and admitted to
outside hospital after attempting suicide.
A suicide note was left in the cell for staff Wardens response dated: 4/16/07 The Warden concurs
to find. Staff failed to enter TOMIS (LIBJ) that the supervisor on duty failed to enter the appropriate CM note: Non-compliance
6a(3) reports within eights (8) hours of the LIBJ report. The LIBJ has since been entered and the issued 8/8/06 for same or similar
incident’s
occurrence/discovery supervisor that was responsible for the incident entry item, item outstanding.
concerning the attempted suicide and was disciplined
transportation to outside hospital and
surrounding incidents.

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

6/6/07 CMC note: Breach letter issued by
Commissioner 5/14/07. 5/3/07 CMC note:
Determined to be a Breach issue (2nd finding on
semi-annual instrument in 18 mo [ref. NCR dated
8/8/06]). Notice of Breach letter pending.

5/07 monthly

WCFA SUMMARY OF NON-COMPLIANCE NOTIFICATIONS FOR May 2007
OUT-

DATE OF
STANDING
REPORT ISSUE Y/N

4/18/07

5/1/07

No

No

Monitoring
Instrument

Special
Management
Inmates

Records and
Reports

ITEM
NO.

NON-COMPLIANCE ISSUE

CONTRACTOR RESPONSE/DATE/ CORRECTIVE
ACTION TAKEN

Page 2
DATE/METHOD OF
CONFIRMATION BY
MONITOR/COMMENTS

2b

Warden’s response date: 4/18/07: Concur that the
supervisor failed to obtain signature within proscribed
time frame. He had obtained the Designee’s verbal
Inmate was segregated 4/14/07 pending approval at the time of the placement but filed the form in
an investigation for protective custody. the segregation packet. The error was later discovered
CM note: Non-compliance
The protective services routing form (CR- and TDOC liaison’s signature obtained but it was outside
issued 10/26/06 for same or
3241) was not provided to the the time frame in policy. The Shift Supervisor handling
similar item, item outstanding.
Commissioners Designee for approval the Protective Custody Investigation routing process had
transferred from another facility shortly before this and
within the 72-hour policy guideline.
followed the procedure used at that facility, as he had
become accustomed. He has subsequently had the
TDOC required process communicated to him.

10

According to TOMIS incident report
Warden’s response dated 5/9/07: I was notified at
#00697394, at 6:05am an inmate was
approx. 6:15 at home that the inmate had been found
found unresponsive by the facility medical
unresponsive, medical staff was performing CPR and
clinic officer. The inmate was transported
EMS was en-route. There was no intention to delay in
to outside hospital where he was
this instance. At 6:05 I had no information other than an
pronounced dead. WCF Warden notified
inmate who was unresponsive was being transported to
Acting Assistant Commissioner at 7:40am.
CM note: Non-compliance
the emergency room and made the notification
As per Department of Corrections Central
issued 10/16/06, 10/19/06 and
immediately upon reaching the facility and obtaining the
Office memorandum dated July 2004 to all
11/6/06 for same or similar item,
information that he had died and the particulars. From
facility warden's. “Class (A) incidents, and
item outstanding.
what I have since discovered the shift supervisor erred in
other incidents assessed by the facility
prematurely telling the TDOC Liaison that an inmate had
official
as significant and requiring
died long before receiving a death pronouncement from
prompt notification, shall be reported to
the hospital. TDOC Liaison then called the Asst.
the Assistant Commissioner of Operations
Commissioner and informed him that we had an inmate
immediately by phone on a 24 hour basis
death.
by the warden”.

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

TDOC MANAGEMENT COMMENTS/NOTES

7/5/07 CMC note: Notice of Breach letter
issued by Commissioner 6/7/07. 6/6/07 CMC
note: Since this is the second instrument in an 18month period on which this item has been found
in non-compliance (ref. NCRs dated 10/16/06,
10/19/06 and 10/26/06), this item is now in
breach. Breach letter pending.

5/07 monthly

WCFA SUMMARY OF NON-COMPLIANCE NOTIFICATIONS FOR June 2007
OUT-

DATE OF
STANDING
REPORT ISSUE Y/N

3/23/07

4/18/07

5/1/07

Yes

No

No

Monitoring
Instrument

Records and
Reports

Special
Management
Inmates

Records and
Reports

ITEM
NO.

NON-COMPLIANCE ISSUE

CONTRACTOR RESPONSE/DATE/ CORRECTIVE
ACTION TAKEN

Page 1
DATE/METHOD OF
CONFIRMATION BY
MONITOR/COMMENTS

Inmate was transported and admitted to
outside hospital after attempting suicide.
A suicide note was left in the cell for staff Wardens response dated: 4/16/07 The Warden concurs
to find. Staff failed to enter TOMIS (LIBJ) that the supervisor on duty failed to enter the appropriate
6a(3) reports within eights (8) hours of the LIBJ report. The LIBJ has since been entered and the
incident’s
occurrence/discovery supervisor that was responsible for the incident entry
concerning the attempted suicide and was disciplined
transportation to outside hospital and
surrounding incidents.

2b

Warden’s response date: 4/18/07: Concur that the
supervisor failed to obtain signature within proscribed
time frame. He had obtained the Designee’s verbal
Inmate was segregated 4/14/07 pending approval at the time of the placement but filed the form in Verified 7/19/07 by review of
an investigation for protective custody. the segregation packet. The error was later discovered segregation logs, TOMIS entries
The protective services routing form (CR- and TDOC liaison’s signature obtained but it was outside and PC routing. CM note: Non3241) was not provided to the the time frame in policy. The Shift Supervisor handling compliance issued 10/26/06 for
Commissioners Designee for approval the Protective Custody Investigation routing process had same or similar item, item
transferred from another facility shortly before this and outstanding.
within the 72-hour policy guideline.
followed the procedure used at that facility, as he had
become accustomed. He has subsequently had the
TDOC required process communicated to him.

10

According to TOMIS incident report
Warden’s response dated 5/9/07: I was notified at
#00697394, at 6:05am an inmate was
approx. 6:15 at home that the inmate had been found
found unresponsive by the facility medical
unresponsive, medical staff was performing CPR and
clinic officer. The inmate was transported
EMS was en-route. There was no intention to delay in
to outside hospital where he was
this instance. At 6:05 I had no information other than an
pronounced dead. WCF Warden notified
inmate who was unresponsive was being transported to
Acting Assistant Commissioner at 7:40am.
the emergency room and made the notification
As per Department of Corrections Central
immediately upon reaching the facility and obtaining the
Office memorandum dated July 2004 to all
information that he had died and the particulars. From
facility warden's. “Class (A) incidents, and
what I have since discovered the shift supervisor erred in
other incidents assessed by the facility
prematurely telling the TDOC Liaison that an inmate had
official
as significant and requiring
died long before receiving a death pronouncement from
prompt notification, shall be reported to
the hospital. TDOC Liaison then called the Asst.
the Assistant Commissioner of Operations
Commissioner and informed him that we had an inmate
immediately by phone on a 24 hour basis
death.
by the warden”.

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

TDOC MANAGEMENT COMMENTS/NOTES

6/6/07 CMC note: Breach letter issued by
Commissioner 5/14/07. 5/3/07 CMC note:
Determined to be a Breach issue (2nd finding on
semi-annual instrument in 18 mo [ref. NCR dated
8/8/06]). Notice of Breach letter pending.

7/5/07 CMC note: Notice of Breach letter
issued by Commissioner 6/7/07. 6/6/07 CMC
note: Since this is the second instrument in an 18month period on which this item has been found
in non-compliance (ref. NCRs dated 10/16/06,
10/19/06 and 10/26/06), this item is now in
breach. Breach letter pending.

6/07 monthly

WCFA SUMMARY OF NON-COMPLIANCE NOTIFICATIONS FOR July 2007
OUT-

DATE OF
STANDING
REPORT ISSUE Y/N

3/23/07

4/18/07

5/1/07

Yes

Yes

Yes

Monitoring
Instrument

Records and
Reports

Special
Management
Inmates

Records and
Reports

ITEM
NO.

NON-COMPLIANCE ISSUE

CONTRACTOR RESPONSE/DATE/ CORRECTIVE
ACTION TAKEN

Page 1
DATE/METHOD OF
CONFIRMATION BY
MONITOR/COMMENTS

Inmate was transported and admitted to
outside hospital after attempting suicide.
A suicide note was left in the cell for staff Wardens response dated: 4/16/07 The Warden concurs
to find. Staff failed to enter TOMIS (LIBJ) that the supervisor on duty failed to enter the appropriate
6a(3) reports within eights (8) hours of the LIBJ report. The LIBJ has since been entered and the
incident’s
occurrence/discovery supervisor that was responsible for the incident entry
concerning the attempted suicide and was disciplined
transportation to outside hospital and
surrounding incidents.

2b

Warden’s response date: 4/18/07: Concur that the
supervisor failed to obtain signature within proscribed
time frame. He had obtained the Designee’s verbal
Inmate was segregated 4/14/07 pending approval at the time of the placement but filed the form in Verified 7/19/07 by review of
an investigation for protective custody. the segregation packet. The error was later discovered segregation logs, TOMIS entries
The protective services routing form (CR- and TDOC liaison’s signature obtained but it was outside and PC routing. CM note: Non3241) was not provided to the the time frame in policy. The Shift Supervisor handling compliance issued 10/26/06 for
Commissioners Designee for approval the Protective Custody Investigation routing process had same or similar item, item
transferred from another facility shortly before this and outstanding.
within the 72-hour policy guideline.
followed the procedure used at that facility, as he had
become accustomed. He has subsequently had the
TDOC required process communicated to him.

10

According to TOMIS incident report
Warden’s response dated 5/9/07: I was notified at
#00697394, at 6:05am an inmate was
approx. 6:15 at home that the inmate had been found
found unresponsive by the facility medical
unresponsive, medical staff was performing CPR and
clinic officer. The inmate was transported
EMS was en-route. There was no intention to delay in
to outside hospital where he was
this instance. At 6:05 I had no information other than an
pronounced dead. WCF Warden notified
inmate who was unresponsive was being transported to
Acting Assistant Commissioner at 7:40am.
the emergency room and made the notification
As per Department of Corrections Central
immediately upon reaching the facility and obtaining the
Office memorandum dated July 2004 to all
information that he had died and the particulars. From
facility warden's. “Class (A) incidents, and
what I have since discovered the shift supervisor erred in
other incidents assessed by the facility
prematurely telling the TDOC Liaison that an inmate had
official
as significant and requiring
died long before receiving a death pronouncement from
prompt notification, shall be reported to
the hospital. TDOC Liaison then called the Asst.
the Assistant Commissioner of Operations
Commissioner and informed him that we had an inmate
immediately by phone on a 24 hour basis
death.
by the warden”.

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

TDOC MANAGEMENT COMMENTS/NOTES

6/6/07 CMC note: Breach letter issued by
Commissioner 5/14/07. 5/3/07 CMC note:
Determined to be a Breach issue (2nd finding on
semi-annual instrument in 18 mo [ref. NCR dated
8/8/06]). Notice of Breach letter pending.

7/5/07 CMC note: Notice of Breach letter issued
by Commissioner 6/7/07. 6/6/07 CMC note: Since
this is the second instrument in an 18-month
period on which this item has been found in noncompliance (ref. NCRs dated 10/16/06, 10/19/06
and 10/26/06), this item is now in breach. Breach
letter pending.

7/07 monthly

WCFA SUMMARY OF NON-COMPLIANCE NOTIFICATIONS FOR July 2007
OUT-

DATE OF
STANDING
REPORT ISSUE Y/N

7/18/07

7/18/07

7/18/07

No

Monitoring
Instrument

Secuity
Equipment

No

Use of Force

No

Records and
Reports

ITEM
NO.

NON-COMPLIANCE ISSUE

4

WCFA staff notified TDOC Liaison that a
MK IX chemical agent fogger was missing
from central control.

7i

This security equipment (fogger) was not
logged out nor any documentation as to
its location. It was later discovered a staff
member had removed the fogger from the
facility without permission.

10

No CCA 5-1 report packet was submitted
to the CD by conclusion of the shift, nor
was a finalized report submitted within 21
days of occurrence.

CONTRACTOR RESPONSE/DATE/ CORRECTIVE
ACTION TAKEN
Warden’s response July 24, 2007: The Warden concurs
that the item was found to be missing from Central
Control and that it was not logged out. He also indicates
that an investigation was conducted and remains open,
but has not identified the person responsible. He
indicates that it appears to have been stolen rather than
issued and not returned. He states that this is not a
contractual violation but is rather the act of an individual
acting outside the scope of their employment and the
policies and practices of the facility. Both the
Commissioner’s Designee and the Contract Monitor
were fully apprised as well as the Acting Assistant
Commissioner . An LIBJ entry was made in accordance
with TDOC policy. No 5-1 packet was provided to TDOC
because one was not prepared. This incident is not
categorized as requiring a 5-1 packet.

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

Page 2
DATE/METHOD OF
CONFIRMATION BY
MONITOR/COMMENTS

TDOC MANAGEMENT COMMENTS/NOTES

9/24/07 CMC note: Determined not to be a noncompliance issue for this item. The CCA 5-1
policy is currently under review and the
distribution requirement is in question.

7/07 monthly

WCFA SUMMARY OF NON-COMPLIANCE NOTIFICATIONS FOR August 2007
OUT-

DATE OF
STANDING
REPORT ISSUE Y/N

3/23/07

5/1/07

Yes

Yes

7/18/07

7/18/07

No

No

Monitoring
Instrument

ITEM
NO.

NON-COMPLIANCE ISSUE

CONTRACTOR RESPONSE/DATE/ CORRECTIVE
ACTION TAKEN

Records and
Reports

Inmate was transported and admitted to
outside hospital after attempting suicide.
A suicide note was left in the cell for staff Wardens response dated: 4/16/07 The Warden concurs
to find. Staff failed to enter TOMIS (LIBJ) that the supervisor on duty failed to enter the appropriate
6a(3) reports within eights (8) hours of the LIBJ report. The LIBJ has since been entered and the
incident’s
occurrence/discovery supervisor that was responsible for the incident entry
concerning the attempted suicide and was disciplined
transportation to outside hospital and
surrounding incidents.

Records and
Reports

According to TOMIS incident report
Warden’s response dated 5/9/07: I was notified at
#00697394, at 6:05am an inmate was
approx. 6:15 at home that the inmate had been found
found unresponsive by the facility medical
unresponsive, medical staff was performing CPR and
clinic officer. The inmate was transported
EMS was en-route. There was no intention to delay in
to outside hospital where he was
this instance. At 6:05 I had no information other than an
pronounced dead. WCF Warden notified
inmate who was unresponsive was being transported to
Acting Assistant Commissioner at 7:40am.
the emergency room and made the notification
As per Department of Corrections Central
immediately upon reaching the facility and obtaining the
Office memorandum dated July 2004 to all
information that he had died and the particulars. From
facility warden's. “Class (A) incidents, and
what I have since discovered the shift supervisor erred in
other incidents assessed by the facility
prematurely telling the TDOC Liaison that an inmate had
official
as significant and requiring
died long before receiving a death pronouncement from
prompt notification, shall be reported to
the hospital. TDOC Liaison then called the Asst.
the Assistant Commissioner of Operations
Commissioner and informed him that we had an inmate
immediately by phone on a 24 hour basis
death.
by the warden”.

Secuity
Equipment

Use of Force

10

4

WCFA staff notified TDOC Liaison that a
MK IX chemical agent fogger was missing
from central control. There is no record in
the equipment issuance log in Central
Control that the fogger was issued.

7i

This security equipment (fogger) was not
logged out nor any documentation as to
its location. It was later discovered a staff
member had removed the fogger from the
facility without permission.

Warden’s response July 24, 2007: The Warden concurs
that the item was found to be missing from Central
Control and that it was not logged out. He also indicates
that an investigation was conducted and remains open,
but has not identified the person responsible. He
indicates that it appears to have been stolen rather than
issued and not returned. He states that this is not a
contractual violation but is rather the act of an individual
acting outside the scope of their employment and the
policies and practices of the facility. Both the
Commissioner’s Designee and the Contract Monitor
were fully apprised as well as the Acting Assistant
Commissioner . An LIBJ entry was made in accordance
with TDOC policy. No 5-1 packet was provided to TDOC
because one was not prepared. This incident is not
categorized as requiring a 5-1 packet.

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

Page 1
DATE/METHOD OF
CONFIRMATION BY
MONITOR/COMMENTS

TDOC MANAGEMENT COMMENTS/NOTES

9/24/07 CMC note: Verification of Breach cure
pending. 6/6/07 CMC note: Breach letter issued
by Commissioner 5/14/07. 5/3/07 CMC note:
Determined to be a Breach issue (2nd finding on
semi-annual instrument in 18 mo [ref. NCR dated
8/8/06]). Notice of Breach letter pending.

9/24/07 CMC note: Verification of Breach cure
pending.7/5/07 CMC note: Notice of Breach
letter issued by Commissioner 6/7/07. 6/6/07
CMC note: Since this is the second instrument in
an 18-month period on which this item has been
found in non-compliance (ref. NCRs dated
10/16/06, 10/19/06 and 10/26/06), this item is now
in breach. Breach letter pending.

9/24/07 CMC note: It has been determined that
the non-compliance item Security Equipment
#4, above, is more appropriately applicable to
this incident. Use of Force item 7i will not be
found in non-compliance due to this incident.

8/07 monthly

WCFA SUMMARY OF NON-COMPLIANCE NOTIFICATIONS FOR September 2007

OUT-

DATE OF
STANDING
REPORT ISSUE Y/N

3/23/07

5/1/07

Yes

Yes

Monitoring
Instrument

Records and
Reports

Records and
Reports

ITEM
NON-COMPLIANCE ISSUE
NO.

Inmate was transported and admitted to
outside hospital after attempting suicide.
A suicide note was left in the cell for staff
to find. Staff failed to enter TOMIS (LIBJ)
6a(3) reports within eights (8) hours of the
incident’s occurrence/discovery
concerning the attempted suicide and
transportation to outside hospital and
surrounding incidents.

10

An inmate was found unresponsive by the
facility medical clinic officer and
transported to outside hospital where he
was pronounced dead. WCFA Warden
notified Acting Assistant Commissioner at
7:40am. As per Department of Corrections
Central Office memorandum dated July
2004 to all facility warden's. “Class (A)
incidents, and other incidents assessed
by the facility official as significant and
requiring prompt notification, shall be
reported to the Assistant Commissioner of
Operations immediately by phone on a 24
hour basis by the warden”.

CONTRACTOR RESPONSE/DATE/ CORRECTIVE
ACTION TAKEN

Page 1

DATE/METHOD OF
CONFIRMATION BY
MONITOR/COMMENTS

TDOC MANAGEMENT COMMENTS/NOTES

Wardens response dated: 4/16/07 The Warden concurs
that the supervisor on duty failed to enter the appropriate
LIBJ report. The LIBJ has since been entered and the
supervisor that was responsible for the incident entry
was disciplined.

10/16/07 CMC note: Warden's response dated
10/1/07 indicates there have been no
reoccurrrences since initial response to the
NCR.This has been verified. The Breach is
determined to be cured. 9/24/07 CMC note:
Verification of Breach cure pending. 6/6/07 CMC
note: Breach letter issued by Commissioner
5/14/07. 5/3/07 CMC note: Determined to be a
Breach issue (2nd finding on semi-annual
instrument in 18 mo [ref. NCR dated 8/8/06]).
Notice of Breach letter pending.

Warden’s response dated 5/9/07: I was notified at
approx. 6:15 at home that the inmate had been found
unresponsive, medical staff was performing CPR and
EMS was en-route. There was no intention to delay in
this instance. At 6:05 I had no information other than an
inmate who was unresponsive was being transported to
the emergency room and made the notification
immediately upon reaching the facility and obtaining the
information that he had died and the particulars. From
what I have since discovered the shift supervisor erred in
prematurely telling the TDOC Liaison that an inmate had
died long before receiving a death pronouncement from
the hospital. TDOC Liaison then called the Asst.
Commissioner and informed him that we had an inmate
death.

10/16/07 CMC note: Warden's response dated
10/1/07 indicates there have been no
reoccurrrences since initial response to the
NCR.This has been verified. The Breach is
determined to be cured. 9/24/07 CMC note:
Verification of Breach cure pending.7/5/07 CMC
note: Notice of Breach letter issued by
Commissioner 6/7/07. 6/6/07 CMC note: Since
this is the second instrument in an 18-month
period on which this item has been found in noncompliance (ref. NCRs dated 10/16/06, 10/19/06
and 10/26/06), this item is now in breach. Breach
letter pending.

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

9/07 monthly

WCFA SUMMARY OF NON-COMPLIANCE NOTIFICATIONS FOR September 2007

OUT-

DATE OF
STANDING
REPORT ISSUE Y/N

Monitoring
Instrument

ITEM
NON-COMPLIANCE ISSUE
NO.

CONTRACTOR RESPONSE/DATE/ CORRECTIVE
ACTION TAKEN

7/19/07

Yes

Security
Equipment

4

Warden’s response July 24, 2007: The Warden concurs
that the item was found to be missing from Central
Control and was not logged out. He also indicates that
an investigation was conducted and remains open, but
has not identified the person responsible, and that it
WCFA staff notified TDOC Liaison that a appears to have been stolen rather than issued and not
MK IX chemical agent fogger was missing returned. He states that this is not a contractual violation
from central control. There is no record in but is rather the act of an individual acting outside the
scope of their employment and the policies and practices
the equipment issuance log in Central
of the facility. Both the CD and CM were fully apprised
Control that the fogger was issued.
as well as the Acting Assistant Commissioner . An LIBJ
entry was made in accordance with TDOC policy. No 5-1
packet was provided to TDOC because one was not
prepared. This incident is not categorized as requiring a
5-1 packet.

9/11/07

No

Staffing

1b

All three shifts and the administrative shift
Warden's response September 24, 2007: Revised
are using rosters that are not approved by
rosters have been submitted for approval.
TDOC.

3

Warden's response September 24, 2007: Verification
that the noted posts were covered was provided to the
monitor. The shift supervisor had inadvertently failed to
Several posts not manned according to
the shift rosters provided by the institution. show the staff on the shift rosters but records/logbooks
reflect these posts were manned. Monitor was provided
Weekend rosters not provided to the
monitor. SCO in segregation unit was not the rosters in question. The rosters did not reflect a
being reflected on the rosters as a critical supervisor as mandatory in segregation, however the
practice since this meeting has been to assign a
post.
supervisor to segregation. Logbooks and rosters reflect
this was done.

9/11/07

9/18/07

No

No

Staffing

Staffing

16

Three of six personnel files of applicable
staff did not contain copies of signed
security addendum form.

Page 2

DATE/METHOD OF
CONFIRMATION BY
MONITOR/COMMENTS

TDOC MANAGEMENT COMMENTS/NOTES

Warden's response September 24, 2007: Training was
conducted in the past year for all applicable staff
however the three (3) files that did not have a signed
security addendum had been promoted/hired since that
time and had not had this completed. The HR Manager
will ensure that this is accomplished for all future hires in
the applicable positions and the ones currently lacking
this will have a signed copy placed in their file.

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

9/07 monthly

WCFA SUMMARY OF NON-COMPLIANCE NOTIFICATIONS FOR September 2007

OUT-

DATE OF
STANDING
REPORT ISSUE Y/N

9/19/07

9/19/07

9/19/07

9/19/07

9/27/07

No

No

No

No

No

Monitoring
Instrument

Use of Force

Use of Force

Use of Force

Use of Force

Security and
Controls Counts

ITEM
NON-COMPLIANCE ISSUE
NO.

CONTRACTOR RESPONSE/DATE/ CORRECTIVE
ACTION TAKEN

3h

Warden's response September 24, 2007: Facility
attempted to reach CD within the hour time frame but the
time shown on the incident report was the actual time
that contact was made. There are times when the
On two different incidents, one on 6-2-07
supervisors are unable to reach CD within the specified
and one on 8-14-07, notification exceeded
time frame. In the future if the CM is not immediately
the one (1) hour timeframe.
available, call will be made to the CM. Additionally
supervisors will log times in report that calls were made
with no answer and if neither the CD or CM can be
reached then Turney Center will be notified.

4a

The requirements of the applicable
approved Use of Force policies were not
Warden's response: September 24, 2007: See 3h above
followed concerning issuance of chemical
and 7e below.
agents and reporting use, as noted in
Items 3h above and 7e below.

7e

On 7-1-07, a MK 9 fogger was issued to
the Assistant Shift Supervisor. On 8-2107, a MK 9 fogger was issued to a
Correctional Officer. Per CCA approved
policy neither of these positions are
authorized.

Warden's response September 24, 2007: Warden does
not concur.TDOC approved facility policy specifies that
use of OC must be approved by Shift supervisor or
higher authority. It does not state that OC cannot be
issued to other staff. He notes in both incidents the
supervisor sent personnel to pick up the OC.

7i

On 7-22-07, at 7:20 p.m. a MK 9 fogger
was used in a Use of Force incident.
There is no record of a MK9 fogger being
issued by Central Control.

Warden's response September 24, 2007: The facility
concurs that the staff in central control failed to log the
issuance of OC in this instance as required. Corrective
steps have been taken to address their failure.

On 9-3-07, 9-12.07 and 9-21-07, there
were count slips filled out incorrectly or
not in their entirety.

Warden's response October 3, 2007: Facility agrees
with the noncompliance issues concerning S/C - Count.
After review, it was discovered that each of the three
shifts had contributed to the noncompliance issues.
Therefore, on Oct. 2, 2007, a meeting was held with all
Shift Supervisors and Count Room Officers to conduct
training on the proper count procedures and
expectations of count. Additionally, the Shift Supervisors
will personally observe the count procedure while each
count is being conducted and ensure that the policy is
being followed. Also, the Chief of Security will monitor
the count procedure and the Shift Supervisors to ensure
compliance

1b

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

Page 3

DATE/METHOD OF
CONFIRMATION BY
MONITOR/COMMENTS

TDOC MANAGEMENT COMMENTS/NOTES

10/30/07 CMC note: This is the 2nd instrument
in 12 months on which this item has been
found in non-compliance. A third noncompliance finding will trigger a Breach.

9/07 monthly

WCFA SUMMARY OF NON-COMPLIANCE NOTIFICATIONS FOR September 2007

OUT-

DATE OF
STANDING
REPORT ISSUE Y/N

9/27/07

No

Monitoring
Instrument

Security and
Controls Counts

ITEM
NON-COMPLIANCE ISSUE
NO.

4d

On 9-25-07, at 10:30 am count, all outcount slips were not received prior to
count being announced.

10/3/07

No

Food Service

2

On 7-29-07, sack lunches were served for
the dinner meal, however, no
documentation could be found to support
this substitution.

10/3/07

No

Food Service

20

Eating utensils are sent by the case to
segregation unit, however, they are in bulk
form and have no covering whatsoever.

10/3/07

No

Food Service

34b

On two different dates, hot food delivered
to segregation unit never reached
required temperature of 140 degrees.

CONTRACTOR RESPONSE/DATE/ CORRECTIVE
ACTION TAKEN

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

Page 4

DATE/METHOD OF
CONFIRMATION BY
MONITOR/COMMENTS

TDOC MANAGEMENT COMMENTS/NOTES

9/07 monthly

WCFA SUMMARY OF NON-COMPLIANCE NOTIFICATIONS FOR October 2007
OUT-

DATE OF
STANDING
REPORT ISSUE Y/N

5/1/07

7/19/07

9/11/07

9/11/07

Yes

Yes

Yes

Yes

Monitoring
Instrument

Records and
Reports

Security
Equipment

Staffing

Staffing

ITEM
NO.

NON-COMPLIANCE ISSUE

CONTRACTOR RESPONSE/DATE/ CORRECTIVE ACTION TAKEN

10

An inmate was found unresponsive by the
facility medical clinic officer and
transported to outside hospital where he Warden’s response dated 5/9/07: I was notified at approx. 6:15 at home that
the inmate had been found unresponsive, medical staff was performing CPR
was pronounced dead. WCFA Warden
notified Acting Assistant Commissioner at and EMS was en-route. There was no intention to delay in this instance. At
7:40am. As per Department of Corrections 6:05 I had no information other than an inmate who was unresponsive was
being transported to the emergency room and made the notification
Central Office memorandum dated July
immediately upon reaching the facility and obtaining the information that he
2004 to all facility warden's. “Class (A)
had died and the particulars. From what I have since discovered the shift
incidents, and other incidents assessed by supervisor erred in prematurely telling the TDOC Liaison that an inmate had
the facility official as significant and
died long before receiving a death pronouncement from the hospital. TDOC
requiring prompt notification, shall be
Liaison then called the Asst. Commissioner and informed him that we had an
reported to the Assistant Commissioner of inmate death.
Operations immediately by phone on a 24
hour basis by the warden”.

4

Warden’s response July 24, 2007: The Warden concurs that the item
was found to be missing from Central Control and was not logged out.
He also indicates that an investigation was conducted and remains
open, but has not identified the person responsible, and that it appears
WCFA staff notified TDOC Liaison that a
to have been stolen rather than issued and not returned. He states that
MK IX chemical agent fogger was missing
this is not a contractual violation but is rather the act of an individual
from central control. There is no record in
acting outside the scope of their employment and the policies and
the equipment issuance log in Central
practices of the facility. Both the CD and CM were fully apprised as
Control that the fogger was issued.
well as the Acting Assistant Commissioner . An LIBJ entry was made
in accordance with TDOC policy. No 5-1 packet was provided to TDOC
because one was not prepared. This incident is not categorized as
requiring a 5-1 packet.

1b

All three shifts and the administrative shift
Warden's response September 24, 2007: Revised rosters have been
are using rosters that are not approved by
submitted for approval.
TDOC.

3

Several posts not manned according to
the shift rosters provided by the institution.
Weekend rosters not provided to the
monitor. SCO in segregation unit was not
being reflected on the rosters as a critical
post.

Page 1

DATE/METHOD OF CONFIRMATION
BY MONITOR/COMMENTS

TDOC MANAGEMENT COMMENTS/NOTES
11/21/07 CMC note: After additional discussion of this
incident and NCR between CCA and TDOC
management staff, it has been determined that this
specific incident was not a non-compliance issue. The
NCR and subsequent finding of Breach have,
therefore, been withdrawn and removed from the
tracking system. NOTE: Previous non-compliance
findings are still valid for this item. 10/16/07 CMC
note: Warden's response dated 10/1/07 indicates there
have been no reoccurrences since initial response to the
NCR. This has been verified. The Breach is determined to
be cured. 9/24/07 CMC note: Verification of Breach cure
pending.7/5/07 CMC note: Notice of Breach letter issued
by Commissioner 6/7/07. 6/6/07 CMC note: Since this is
the second instrument in an 18-month period on which
this item has been found in non-compliance (ref. NCRs
dated 10/16/06, 10/19/06 and 10/26/06), this item is now
in breach Breach letter pending
11/21/07 CMC note: The theft of the chemical agent
was an illegal act by an individual acting outside of
Policy, however, the accountability for chemical
agents and the secure storage and accessibility to
such security devices is an institutional and
contractual issue. This is a valid compliance concern.
The monitor will check the appropriate storage,
issuance, use and accessibility to chemical agents to
verify that appropriate corrective action has been
taken.

CM note: Asst. Commissioner
approved rosters on 10-11-07.

Approval of the rosters has occurred. The institution
is advised that only approved rosters are to be used.
PRIOR TDOC approval is required for any changes to
rosters, staffing patterns or policies.

Warden's response September 24, 2007: Verification that the noted
posts were covered was provided to the monitor. The shift supervisor
had inadvertently failed to show the staff on the shift rosters but
This is a valid monitoring issue. The approved rosters
records/logbooks reflect these posts were manned. Monitor was
CM note: Log books and records did
for documentation of security post assignments must
provided the rosters in question. The rosters did not reflect a supervisor show posts were manned as required.
be accurately completed.
as mandatory in segregation, however the practice since this meeting
has been to assign a supervisor to segregation. Logbooks and rosters
reflect this was done.

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

9/07 monthly

WCFA SUMMARY OF NON-COMPLIANCE NOTIFICATIONS FOR October 2007
OUT-

DATE OF
STANDING
REPORT ISSUE Y/N

9/18/07

9/19/07

Yes

Yes

Monitoring
Instrument

Staffing

Use of Force

ITEM
NO.

NON-COMPLIANCE ISSUE

CONTRACTOR RESPONSE/DATE/ CORRECTIVE ACTION TAKEN

Three of six personnel files of applicable
staff did not contain copies of signed
security addendum form.

3h

Warden's response September 24, 2007: Facility attempted to reach
CD within the hour time frame but the time shown on the incident report
was the actual time that contact was made. There are times when the
On two different incidents, one on 6-2-07
supervisors are unable to reach CD within the specified time frame. In
and one on 8-14-07, notification exceeded
the future if the CM is not immediately available, call will be made to
the one (1) hour timeframe.
the CM. Additionally supervisors will log times in report that calls were
made with no answer and if neither the CD or CM can be reached then
Turney Center will be notified.

9/19/07

Yes

Use of Force

4a

9/19/07

Yes

Use of Force

7e

9/19/07

Yes

Use of Force

7i

9/27/07

Yes

Security and
Controls Counts

1b

9/27/07

Yes

Security and
Controls Counts

4d

10/3/07

Yes

Food Service

2

10/3/07

Yes

Food Service

20

On 9-3-07, 9-12.07 and 9-21-07, there
were count slips filled out incorrectly or
not in their entirety.

On 9-25-07, at 10:30 am count, all outcount slips were not received prior to
count being announced.
On 7-29-07, sack lunches were served for
the dinner meal, however, no
documentation could be found to support
this substitution.

DATE/METHOD OF CONFIRMATION
BY MONITOR/COMMENTS

TDOC MANAGEMENT COMMENTS/NOTES

Warden's response September 24, 2007: Training was conducted in
the past year for all applicable staff however the three (3) files that did
not have a signed security addendum had been promoted/hired since
that time and had not had this completed. The HR Manager will ensure
that this is accomplished for all future hires in the applicable positions
and the ones currently lacking this will have a signed copy placed in
their file.

16

The requirements of the applicable
approved Use of Force policies were not
followed concerning issuance of chemical
agents and reporting use, as noted in
Items 3h above and 7e below.
Redacted
On 7-22-07, at 7:20 p.m. a MK 9 fogger
was used in a Use of Force incident.
There is no record of a MK9 fogger being
issued by Central Control.

Page 2

11/21/07 CMC note: The procedures cited in the
response to this NCR as corrective action to be taken
are already required by Policy. The monitor will check
subsequent Use of Force notifications to verify that
Policy is now being adhered to. 10/30/07 CMC note:
This is the 2nd instrument in 12 months on which this item
has been found in non-compliance. A third noncompliance finding will trigger a Breach.

Warden's response: September 24, 2007: See 3h above and 7e
below.

Warden's response September 24, 2007: The facility concurs that the
staff in central control failed to log the issuance of OC in this instance
as required. Corrective steps have been taken to address their failure.
Warden's response October 3, 2007 indicates that the facility agrees with the
noncompliance issues. After review, it was discovered that each of the three
shifts had contributed to the noncompliance issues. Therefore, on Oct. 2,
2007, a meeting was held with all Shift Supervisors and Count Room Officers
to conduct training on the proper count procedures and expectations of count.
Additionally, the Shift Supervisors will personally observe the count procedure
while each count is being conducted and ensure that the policy is being
followed. Also, the Chief of Security will monitor the count procedure and the
Shift Supervisors to ensure compliance.

Same as above.
Warden's response dated 10/18/07: Facility concurs and the following
actions have been taken to correct the identified areas: All substitutions
will have a hard copy of form sent to AW and will be checked to verify
they are being properly completed;

Eating utensils are sent by the case to
Warden's response dated 10/18/07: Starting 10/2/07 separately presegregation unit, however, they are in bulk
wrapped utensils are being used.
form and have no covering whatsoever.

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

Monitored on 11/5/07 and eating
utensils were individually wrapped.

9/07 monthly

WCFA SUMMARY OF NON-COMPLIANCE NOTIFICATIONS FOR October 2007
OUT-

DATE OF
STANDING
REPORT ISSUE Y/N

10/3/07

Yes

10/24/07

No

Monitoring
Instrument

Food Service

Release and
Pre-Release

ITEM
NO.

34b

16

10/29/07

No

Security and
Control Searches

6

10/31/07

No

Inmate
Identification

2

NON-COMPLIANCE ISSUE

CONTRACTOR RESPONSE/DATE/ CORRECTIVE ACTION TAKEN

Page 3

DATE/METHOD OF CONFIRMATION
BY MONITOR/COMMENTS

TDOC MANAGEMENT COMMENTS/NOTES

Warden response dated 10/18/07: A warming cart is now being used to
On two different dates, hot food delivered
transport trays from FS to seg unit and meals will be checked on a
Monitored on 11/5/07 and food was
to segregation unit never reached required
random basis each week by the Chief of Security and the FS Manager still not at the required temperatures.
temperature of 140 degrees.
for temp compliance.

No copies of Health Care Discharge
Summary CR-3616 could be located.

Wardens response dated 10/30/07: Facility concurs that this document
has not been maintained in the medical files. As verified by the facility
IPO's WCFA medical staff have been completing the required
document and forwarding to the IPO's but have not retained and filed a
copy.

Warden response dated 11/01/07: WCFA agrees with the
Checked twenty (20) cells where
noncompliance issue. The Unit Managers and Shift Captains have
contraband was found and disciplinary
been advised that each time a cell is searched, regardless of the
issued. Eleven (11) did not have
reason (confidential information or other reason) that a LIBQ and LIBR
LIBQ/LIBR, six (6) had LIBQ but LIBR was
must be completed. The Chief of Unit Management and Chief of
incorrect. It do show items found in cell
Security will follow up to ensure this is being completed in every
as charged on LIBJ.
instance.
Inmate Institutional Files, Volumes I & II
Wardens response dated 11/2/07: Facility concurs that the files were
were checked on twenty-five (25) files.
in non-compliance as stated and a process to ensure compliance has
Thirteen (13)were noncompliant in regards
been initiated. However would note that the TDOC equipment used to
to the Face Sheet. Five (5) were missing
take and print the photos was not working for several months (Junethe face sheet either in Volume I or II or
September 2007) thus created a serious backlog. Additional
both. Two (2) had black and white photos;
employees were assigned to assist in this process as at the time the
policy requires they be in color. six (6)
equipment was repaired there was a backlog of 175 inmates needing
files exceeded the four (4) year timeframe
photos.
required by policy.

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

11/21/07 CMC note: This issue was not caused by
equipment malfunction. The photos had been made,
but were not placed in the IIR, as required.

9/07 monthly

WCFA SUMMARY OF NON-COMPLIANCE NOTIFICATIONS FOR NOVEMBER 2007
OUT-

DATE OF
STANDING
REPORT ISSUE Y/N

7/19/07

Yes

Monitoring
Instrument

Security
Equipment

ITEM
NON-COMPLIANCE ISSUE
NO.

4

9/11/07

No

Staffing

3

9/18/07

No

Staffing

16

9/19/07

No

Use of Force

3h

9/19/07

No

Use of Force

4a

9/19/07

No

Use of Force

7e

9/19/07

No

Use of Force

7i

CONTRACTOR RESPONSE/DATE/ CORRECTIVE ACTION
TAKEN

Warden’s response July 24, 2007: The Warden concurs that the
item was found to be missing from Central Control and was not
logged out. He also indicates that an investigation was conducted
and remains open, but has not identified the person responsible,
and that it appears to have been stolen rather than issued and not
WCFA staff notified TDOC Liaison that a MK IX
returned. He states that this is not a contractual violation but is
chemical agent fogger was missing from central
rather the act of an individual acting outside the scope of their
control. There is no record in the equipment issuance
employment and the policies and practices of the facility. Both the
log in Central Control that the fogger was issued.
CD and CM were fully apprised as well as the Acting Assistant
Commissioner . An LIBJ entry was made in accordance with
TDOC policy. No 5-1 packet was provided to TDOC because one
was not prepared. This incident is not categorized as requiring a 51 packet.
Warden's response September 24, 2007: Verification that the
noted posts were covered was provided to the monitor. The shift
Several posts not manned according to the shift
supervisor had inadvertently failed to show the staff on the shift
rosters provided by the institution. Weekend rosters
rosters but records/logbooks reflect these posts were manned.
not provided to the monitor. SCO in segregation unit
Monitor was provided the rosters in question. The rosters did not
was not being reflected on the rosters as a critical
reflect a supervisor as mandatory in segregation, however the
post.
practice since this meeting has been to assign a supervisor to
segregation. Logbooks and rosters reflect this was done.
Warden's response September 24, 2007: Training was conducted
in the past year for all applicable staff however the three (3) files
that did not have a signed security addendum had been
Three of six personnel files of applicable staff did not
promoted/hired since that time and had not had this completed.
contain copies of signed security addendum form.
The HR Manager will ensure that this is accomplished for all future
hires in the applicable positions and the ones currently lacking this
will have a signed copy placed in their file.
Warden's response September 24, 2007: Facility attempted to
reach CD within the hour time frame but the time shown on the
incident report was the actual time that contact was made. There
On two different incidents, one on 6-2-07 and one on are times when the supervisors are unable to reach CD within the
8-14-07, notification exceeded the one (1) hour
specified time frame. In the future if the CM is not immediately
timeframe.
available, call will be made to the CM. Additionally supervisors will
log times in report that calls were made with no answer and if
neither the CD or CM can be reached then Turney Center will be
notified.
The requirements of the applicable approved Use of
Force policies were not followed concerning issuance Warden's response: September 24, 2007: See 3h above and 7e
below.
of chemical agents and reporting use, as noted in
Items 3h above and 7e below.
Redacted
Warden's response September 24, 2007: The facility concurs that
On 7-22-07, at 7:20 p.m. a MK 9 fogger was used in a
the staff in central control failed to log the issuance of OC in this
Use of Force incident. There is no record of a MK9
instance as required. Corrective steps have been taken to
fogger being issued by Central Control.
address their failure.

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

Page 1
DATE/METHOD OF
CONFIRMATION BY
MONITOR/COMMENTS

TDOC MANAGEMENT COMMENTS/NOTES

11/21/07 CMD note: The theft of the chemical agent
was an illegal act by an individual acting outside of
Policy, however, the accountability for chemical agents
and the secure storage and accessibility to such
security devices is an institutional and contractual
issue. This is a valid compliance concern. The monitor
will check the appropriate storage, issuance, use and
accessibility to chemical agents to verify that
appropriate corrective action has been taken.

12/21/07 CMD note: The monitor will examine the
rosters in a subsequent month to ensure that the
Log books and records did show corrective action has been effective, 1/21/07 CMD
posts were manned as required. note: This is a valid monitoring issue. The approved
rosters for documentation of security post assignments
must be accurately completed.

Security addendum forms have
been signed by all applicable
staff.

12/21/07 CMD note: The monitor will check files for
applicable new hires in a subsequent month to
ensure corrective action has been effective.

11/21/07 CMD note: The procedures cited in the
response to this NCR as corrective action to be taken
are already required by Policy. The monitor will check
subsequent Use of Force notifications to verify that
Policy is now being adhered to. 10/30/07 CMD note:
This is the 2nd instrument in 12 months on which this
item has been found in non-compliance. A third noncompliance finding will trigger a Breach.

9/07 monthly

WCFA SUMMARY OF NON-COMPLIANCE NOTIFICATIONS FOR NOVEMBER 2007
OUT-

DATE OF
STANDING
REPORT ISSUE Y/N

Monitoring
Instrument

ITEM
NON-COMPLIANCE ISSUE
NO.

CONTRACTOR RESPONSE/DATE/ CORRECTIVE ACTION
TAKEN

9/27/07

No

Security and
Controls Counts

1b

On 9-3-07, 9-12.07 and 9-21-07, there were count
slips filled out incorrectly or not in their entirety.

Warden's response October 3, 2007: Facility agrees with the
noncompliance issues concerning S/C - Count. After review, it was
discovered that each of the three shifts had contributed to the
noncompliance issues. Therefore, on Oct. 2, 2007, a meeting was held
with all Shift Supervisors and Count Room Officers to conduct training on
the proper count procedures and expectations of count. Additionally, the
Shift Supervisors will personally observe the count procedure while each
count is being conducted and ensure that the policy is being followed.
Also, the Chief of Security will monitor the count procedure and the Shift
Supervisors to ensure compliance.

9/27/07

No

Security and
Controls Counts

4d

On 9-25-07, at 10:30 am count, all out-count slips
were not received prior to count being announced.

Same as above.

2

Warden's response dated 10/18/07: Facility concurs and the
On 7-29-07, sack lunches were served for the dinner
following actions have been taken to correct the identified areas:
meal, however, no documentation could be found to
All substitutions will have a hard copy of form sent to AW and will
support this substitution.
be checked to verify they are being properly completed;

20

Eating utensils are sent by the case to segregation
unit, however, they are in bulk form and have no
covering whatsoever.

34b

Warden response dated 10/18/07: A warming cart is now being
On two different dates, hot food delivered to
used to transport trays from FS to seg unit and meals will be
segregation unit never reached required temperature
checked on a random basis each week by the Chief of Security
of 140 degrees.
and the FS Manager for temp compliance.

10/3/07

No

10/3/07

No

10/3/07

Food Service

Food Service

No

Food Service

No

Release and
Pre-Release

10/29/07

No

Security and
Control Searches

6

10/31/07

No

Inmate
Identification

2

10/24/07

16

Warden's response dated 10/18/07: Starting 10/2/07 separately
pre-wrapped utensils are being used.

Wardens response dated 10/30/07: Facility concurs that this
document has not been maintained in the medical files. As verified
by the facility IPO's WCFA medical staff have been completing the
required document and forwarding to the IPO's but have not
retained and filed a copy.
Warden response dated 11/01/07: WCFA agrees with the
Checked twenty (20) cells where contraband was
noncompliance issue. The Unit Managers and Shift Captains have
found and disciplinary issued. Eleven (11) did not
been advised that each time a cell is searched, regardless of the
have LIBQ/LIBR, six (6) had LIBQ but LIBR was
reason (confidential information or other reason) that a LIBQ and
incorrect. It do show items found in cell as charged LIBR must be completed. The Chief of Unit Management and
on LIBJ.
Chief of Security will follow up to ensure this is being completed in
every instance.
Wardens response dated 11/2/07: Facility concurs that the files
Inmate Institutional Files, Volumes I & II were
were in non-compliance as stated and a process to ensure
checked on twenty-five (25) files. Thirteen (13)were
compliance has been initiated. However would note that the
noncompliant in regards to the Face Sheet. Five (5)
TDOC equipment used to take and print the photos was not
were missing the face sheet either in Volume I or II or
working for several months (June-September 2007) thus created a
both. Two (2) had black and white photos; policy
serious backlog. Additional employees were assigned to assist in
requires they be in color. six (6) files exceeded the
this process as at the time the equipment was repaired there was
four (4) year timeframe required by policy.
a backlog of 175 inmates needing photos.

Page 2
DATE/METHOD OF
CONFIRMATION BY
MONITOR/COMMENTS

TDOC MANAGEMENT COMMENTS/NOTES

Corrective action verified:
Monitored on 11/5/07 and eating
utensils were individually
wrapped.
Monitored on 11/5/07 and food
was still not at the required
temperatures. AWO Collins and
F/Mgr. Logan are working to
come up with a solution. At this
point, temperatures are not
consistently at the required
temperature.

No copies of Health Care Discharge Summary CR3616 could be located.

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

Corrective action verified:
Monitor checked searches daily
and LIBQ/LIBR are now being
done for cell searches where
contraband is found.

11/21/07 CMD note: This issue was not caused by
equipment malfunction. The photos had been made,
but were not placed in the IIR, as required.

9/07 monthly

WCFA SUMMARY OF NON-COMPLIANCE NOTIFICATIONS FOR NOVEMBER 2007
OUT-

DATE OF
STANDING
REPORT ISSUE Y/N

11/8/07

Yes

11/19/07

Yes

Monitoring
Instrument

Security and
Control Counts

Special
Management
Inmates

ITEM
NON-COMPLIANCE ISSUE
NO.

4a

NIN

While monitoring the 4:30 am count in I pod on
November 5, 2007, the control room light was
showing unsecure for cell IA-110. Both officers said
no one was assigned to that cell. However, the count
room had 2 inmates assigned to cell IA-110. One
inmate had been moved to cell IA-103 and the other
had been moved to cell IA-107. The count room was
not notified that these inmates had changed cells.
This apparently meant that these inmates were not
properly accounted for on TOMIS or the count room
locator board, and had gone through counts
uncorrected.

CONTRACTOR RESPONSE/DATE/ CORRECTIVE ACTION
TAKEN
Wardens response dated 11/15/07: A directive has been given to
facility employees that in no circumstance are inmates to be
moved without count room approval. The employee who initiated
these moves was identified and corrective action has been taken.
Unit Managers and other supervisory staff are conducting
meetings with line staff to ensure all staff know not to move
inmates unless approved by the count room. This has also been
added to the Warden's agenda for the upcoming staff recall
meetings on November 27th that all employees are expected to
attend.

Wardens response dated 12/3/07: The facility agrees that staff
assigned to supervise and monitor the segregation unit activities
had failed to follow applicable policy and post orders resulting in
Per TDOC incident #721199, on November 16, 2007
this incident. As a result of this incident a thorough review of
at approximately 12:30 p.m., a maximum custody
segregation operations was conducted by external CCA
inmate and a protective custody inmate were placed
management staff and areas were identified that contributed to this
in the recreation cage together. The max. inmate
incident. A number of immediate actions were taken to ensure a
pulled a 10 inch homemade weapon and held to the
higher level of supervision and accountability of staff assigned to
PC inmate's throat. Verbal attempts by the Mental
the recreation unit and to full compliance with TDOC/CCA policies
Health Supervisor and Nurse Practitioner were
and post orders. In addition, a meeting was held with Managing
successful to retrieve the weapon. No use of force or
Director Kevin Myers and Wardens of all 3 TDOC contract
injury resulted.
facilities. This meeting addressed segregation concerns at WCFA,
HCCF and SCCF and outlined a plan to establish a focus team to
evaluate current operations at each facility.

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

Page 3
DATE/METHOD OF
CONFIRMATION BY
MONITOR/COMMENTS

TDOC MANAGEMENT COMMENTS/NOTES

1/7/08 CMD note: This item is identified as an
Essential item. It has been determined that a
Breach notification will not be issued at this time;
however, a letter of concern will be sent
addressing this issue.

1/7/08 CMD note: This issue, due to the
significance of the incident, is being considered an
Essential requirement. As such, a notification of
Breach is being drafted for distribution.

9/07 monthly

WCFA SUMMARY OF NON-COMPLIANCE NOTIFICATIONS FOR DECEMBER 2007
OUT-

DATE OF
STANDING
REPORT ISSUE Y/N

7/19/07

9/19/07

Yes

Yes

Monitoring
Instrument

Security
Equipment

Use of Force

ITEM
NON-COMPLIANCE ISSUE
NO.

CONTRACTOR RESPONSE/DATE/ CORRECTIVE ACTION
TAKEN

Page 1
DATE/METHOD OF
CONFIRMATION BY
MONITOR/COMMENTS

1/31/08 CMD note: The issue of proper procedures
for the issuance and documentation of security
equipment, including chemical agents, needs to be
effectively addressed. The monitor is requested to
verify the effectiveness of the corrective action
taken within 30 days. If the problem persists,
another NCR should be issued. 11/21/07 CMD note:
Verified 12/4/07: Equipment
The theft of the chemical agent was an illegal act by an
issuance properly documented in
individual acting outside of Policy, however, the
logs.
accountability for chemical agents and the secure
storage and accessibility to such security devices is an
institutional and contractual issue. This is a valid
compliance concern. The monitor will check the
appropriate storage, issuance, use and accessibility to
chemical agents to verify that appropriate corrective
action has been taken.

4

Warden’s response July 24, 2007: The Warden concurs that the
item was found to be missing from Central Control and was not
logged out. He also indicates that an investigation was conducted
and remains open, but has not identified the person responsible,
and that it appears to have been stolen rather than issued and not
WCFA staff notified TDOC Liaison that a MK IX
returned. He states that this is not a contractual violation but is
chemical agent fogger was missing from central
rather the act of an individual acting outside the scope of their
control. There is no record in the equipment issuance
employment and the policies and practices of the facility. Both the
log in Central Control that the fogger was issued.
CD and CM were fully apprised as well as the Acting Assistant
Commissioner . An LIBJ entry was made in accordance with
TDOC policy. No 5-1 packet was provided to TDOC because one
was not prepared. This incident is not categorized as requiring a 51 packet.

3h

Warden's response September 24, 2007: Facility attempted to
reach CD within the hour time frame but the time shown on the
incident report was the actual time that contact was made. There
On two different incidents, one on 6-2-07 and one on are times when the supervisors are unable to reach CD within the
Verified 12/7/07: All notifications
8-14-07, notification exceeded the one (1) hour
specified time frame. In the future if the CM is not immediately
have been within required time.
timeframe.
available, call will be made to the CM. Additionally supervisors will
log times in report that calls were made with no answer and if
neither the CD or CM can be reached then Turney Center will be
notified.

11/21/07 CMD note: The procedures cited in the
response to this NCR as corrective action to be taken
are already required by Policy. The monitor will check
subsequent Use of Force notifications to verify that
Policy is now being adhered to. 10/30/07 CMD note:
This is the 2nd instrument in 12 months on which this
item has been found in non-compliance. A third noncompliance finding will trigger a Breach.
1/31/08 CMD note: The non-compliance finding for
this item is being removed. The problem is
addressed separately and sufficiently by findings
for other monitored items. The issue of proper
procedures for the issuance and documentation of
security equipment, including chemical agents,
needs to be effectively addressed.

9/19/07

Yes

Use of Force

4a

The requirements of the applicable approved Use of
Force policies were not followed concerning issuance Warden's response: September 24, 2007: See 3h above and 7e
of chemical agents and reporting use, as noted in
below.
Items 3h above and 7e below.

9/19/07

Yes

Use of Force

7e

Redacted

7i

Warden's response September 24, 2007: The facility concurs that
On 7-22-07, at 7:20 p.m. a MK 9 fogger was used in a
the staff in central control failed to log the issuance of OC in this
Use of Force incident. There is no record of a MK9
Repeat finding 12/7/07 below.
instance as required. Corrective steps have been taken to
fogger being issued by Central Control.
address their failure.

9/19/07

Yes

Use of Force

TDOC MANAGEMENT COMMENTS/NOTES

Repeat finding 12/7/07 below.

9/27/07

Yes

Security and
Controls Counts

1b

On 9-3-07, 9-12.07 and 9-21-07, there were count
slips filled out incorrectly or not in their entirety.

Warden's response October 3, 2007: "Facility agrees... a meeting was
held with all Shift Supervisors and Count Room Officers to conduct
Corrective Action Verified
training on the proper count procedures and expectations of count.
11/7/07: Count slips were
Additionally, the Shift Supervisors will personally observe the count
procedure while each count is being conducted and...the Chief of Security completed accurately.
will monitor the count procedure and the Shift Supervisors..."

9/27/07

Yes

Security and
Controls Counts

4d

On 9-25-07, at 10:30 am count, all out-count slips
were not received prior to count being announced.

Same as above.

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

Corrective Action Verified
11/5/07: Paperwork received prior
to count being announced.

WCFA SUMMARY OF NON-COMPLIANCE NOTIFICATIONS FOR DECEMBER 2007
OUT-

DATE OF
STANDING
REPORT ISSUE Y/N

10/3/07

Yes

10/3/07

Yes

10/24/07

10/31/07

11/8/07

11/19/07

Monitoring
Instrument

Food Service

Food Service

Yes

Release and
Pre-Release

Yes

Inmate
Identification

Yes

Security and
Control Counts

Yes

Special
Management
Inmates

ITEM
NON-COMPLIANCE ISSUE
NO.

2

34b

16

2

4a

NIN

CONTRACTOR RESPONSE/DATE/ CORRECTIVE ACTION
TAKEN

Page 2
DATE/METHOD OF
CONFIRMATION BY
MONITOR/COMMENTS

Warden's response dated 10/18/07: Facility concurs and the
On 7-29-07, sack lunches were served for the dinner
following actions have been taken to correct the identified areas:
meal, however, no documentation could be found to
All substitutions will have a hard copy of form sent to AW and will
support this substitution.
be checked to verify they are being properly completed;

Corrective Action Verified December 18, 2007: All
substitutions had documentation.

Warden response dated 10/18/07: A warming cart is now being
On two different dates, hot food delivered to
used to transport trays from FS to seg unit and meals will be
segregation unit never reached required temperature
checked on a random basis each week by the Chief of Security
of 140 degrees.
and the FS Manager for temp compliance.

Outstanding: Monitored on
11/5/07 and food was still not at
the required temperatures. AWO
F/Mgr. are working to come up
with a solution. At this point,
temperatures are not consistently
at the required temperature.

Wardens response dated 10/30/07: Facility concurs that this
document has not been maintained in the medical files. As verified
No copies of Health Care Discharge Summary CRby the facility IPO's WCFA medical staff have been completing the
3616 could be located.
required document and forwarding to the IPO's but have not
retained and filed a copy.
Wardens response dated 11/2/07: Facility concurs that the files
Inmate Institutional Files, Volumes I & II were
were in non-compliance as stated and a process to ensure
checked on twenty-five (25) files. Thirteen (13)were
compliance has been initiated. However would note that the
noncompliant in regards to the Face Sheet. Five (5)
TDOC equipment used to take and print the photos was not
were missing the face sheet either in Volume I or II or
working for several months (June-September 2007) thus created a
both. Two (2) had black and white photos; policy
serious backlog. Additional employees were assigned to assist in
requires they be in color. six (6) files exceeded the
this process as at the time the equipment was repaired there was
four (4) year timeframe required by policy.
a backlog of 175 inmates needing photos.
Wardens response dated 11/15/07: A directive has been given to
facility employees that in no circumstance are inmates to be
moved without count room approval. The employee who initiated
The count room was not notified that 2 inmates had
these moves was identified and corrective action has been taken.
changed cells. This apparently meant that these
Unit Managers and other supervisory staff are conducting
inmates were not properly accounted for on TOMIS or
meetings with line staff to ensure all staff know not to move
the count room locator board, and had gone through
inmates unless approved by the count room. This has also been
counts uncorrected.
added to the Warden's agenda for the upcoming staff recall
meetings on November 27th that all employees are expected to
attend.
Wardens response dated 12/3/07: "The facility agrees that
staff...failed to follow applicable policy and post orders... As a
result of this incident a thorough review of segregation operations
Per TDOC incident #721199, on November 16, 2007 was conducted by external CCA management staff... A number of
at approximately 12:30 p.m., a maximum custody
immediate actions were taken to ensure a higher level of
inmate and a protective custody inmate were placed supervision and accountability...In addition, a meeting...with
in the recreation cage together.
Managing Director Kevin Myers and Wardens of all 3 TDOC
contract facilities...addressed segregation concerns at WCFA,
HCCF and SCCF and outlined a plan to establish a focus team to
evaluate current operations at each facility."

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

TDOC MANAGEMENT COMMENTS/NOTES

Corrective Action Verified December 21, 2007: Checked
medical files, a copy of CR-3616
is being kept now.

Corrective Action Verified 11/21/07 CMD note: This issue was not caused by
December 12, 2007: All files
equipment malfunction. The photos had been made,
have been checked and face
but were not placed in the IIR, as required.
sheets are in the files as required.

Monitors Note: On 12/19/07
went to the unit to verify that the
1/31/08 CMD note: Letter of Concern issued
problem had been fixed. An
1/16/08. 1/7/08 CMD note: This item is identified as an
Inmate, according to LIMC/count
Essential item. It has been determined that a Breach
room was assigned to IA202, but
notification will not be issued at this time; however, a
he was living in IA103. Therefore I
letter of concern will be sent addressing this issue.
will continue to monitor
compliance on this item.

1/31/08 CMD note: Breach letter issued 1/16/08.
1/7/08 CMD note: This issue, due to the significance
of the incident, is being considered an Essential
requirement. As such, a notification of Breach is being
drafted for distribution.

WCFA SUMMARY OF NON-COMPLIANCE NOTIFICATIONS FOR DECEMBER 2007
OUT-

DATE OF
STANDING
REPORT ISSUE Y/N

12/4/07

12/4/07

12/4/07

12/4/07

12/4/07

12/4/07

12/4/07

Monitoring
Instrument

No

Drug Testing
and
Substance
Abuse
Treatment

No

Drug Testing
and
Substance
Abuse
Treatment

No

Drug Testing
and
Substance
Abuse
Treatment

No

Drug Testing
and
Substance
Abuse
Treatment

No

No

No

Drug Testing
and
Substance
Abuse
Treatment
Drug Testing
and
Substance
Abuse
Treatment
Drug Testing
and
Substance
Abuse
Treatment

Page 3

DATE/METHOD OF
CONFIRMATION BY
TDOC MANAGEMENT COMMENTS/NOTES
MONITOR/COMMENTS
Corrective action verified on
Wardens response dated 12/4/07. WCFA concurs with the
1/8/08. Checking LIBJ daily and
There were ten (10) positive drug screens. Four (4)
noncompliance issues. Staff did not follow already established
maintaining tickler file on all
inmates never received a disciplinary for this charge.
2e
procedures to ensure all DR's were logged, entered printed and
positive drug screens to ensure
(They were entered into the computer, but never
served. This resulted in some DR's being entered but
proper procedures are followed.
issued.) Essential Item.
unprocessed.
No finding of non-compliance
since this NCR.
Corrective action verified on
Four (4) inmates never received a disciplinary charge. Wardens response dated 12/4/07. WCFA concurs with the
1/8/08. Checking LIBJ daily and
(They were entered into the computer, but never
noncompliance issues. As noted above the 4 not charged were the maintaining tickler file on all
2h
issued.) Therefore, this resulted in no charge for the result of employee negligence. The 2 that were heard but not
positive drug screens to ensure
test. In addition, two (2) inmates found guilty were not assessed the test fee were found to have occurred when a new D- proper procedures are followed.
charged the lab confirmation test cost.
Board clerk assumed that responsibility and made the error.
No finding of non-compliance
since this NCR
Wardens response dated 12/4/07. WCFA concurs with the
noncompliance issues. These inmates will be drug tested this
Corrective action verified on
It was verified that four (4) inmates did not receive an week. Additionally, upon admission into the Drug and Alcohol
1/8/08. ATU Manager is now
8c
initial drug screening upon being moved into J
Program, the ATU Manager will ensure that the inmates receive an maintaining listing and ensuring
housing unit in September and October.
initial drug screen. The ATU Manager is currently creating a step drug screens are placed in the
by step procedure to ensure that this will be completed once an
treatment file.
inmate is admitted into the program.
Wardens response dated 12/4/07. The ATU Manager will be
implementing a detailed process and spreadsheet to ensure that Corrective action verified on
Treatment plans are not being completed within the the treatment plans are completed within the thirty (30) day
1/8/08. Treatment plans are now
8d(1)
thirty (30) day requirement.
requirement. The staff will be conducting a complete audit of the
being completed within the
program files to ensure all required paperwork has been
required time frame.
completed.

ITEM
NON-COMPLIANCE ISSUE
NO.

CONTRACTOR RESPONSE/DATE/ CORRECTIVE ACTION
TAKEN

The Participation Agreements CR-3586 were not
8d(2)
completed in eight (8) out of twenty (20) files.

Wardens response dated 12/4/07. The ATU Manager will ensure
that this form is completed within the intake into the program
paperwork.

Corrective action verified on
1/8/08. The Participation
Agreement CR-3586 is now being
completed as required.

The program drug test copy was not in the program
file.

Wardens response dated 12/4/07. In the past, the drug test copies
were stored in the ATU Manager's office. That procedure has
changed and the copies will be placed in the inmate's program file.
Therefore, this part of the admission process will also be placed on
a spreadsheet to ensure that it is being completed.

Corrective action verified on
1/8/08. ATU Manager is now
maintaining listing and ensuring
drug screens are placed in the
treatment file.

The program file did not contain the completed
assessment form.

Wardens response dated 12/4/07. The ATU Manager will ensure
that this form is completed upon admission into the program. After
the new process is set up, the staff will be conducting a complete
audit of the program files to ensure all required paperwork has
been completed.

Corrective action verified on
1/8/08. The assessment form has
been completed on all inmates in
the ATU program.

8d(3)

8e

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

WCFA SUMMARY OF NON-COMPLIANCE NOTIFICATIONS FOR DECEMBER 2007
OUT-

DATE OF
STANDING
REPORT ISSUE Y/N

12/7/07

12/7/07

12/7/07

12/7/07

12/7/07

12/7/07

12/7/07

Monitoring
Instrument

ITEM
NON-COMPLIANCE ISSUE
NO.

CONTRACTOR RESPONSE/DATE/ CORRECTIVE ACTION
TAKEN

No

Security and
Control Security
Equipment

5

MK 3 Fogger actual count was nine (9). Perpetual
inventory showed ten (10). October and November
monthly inventories showed twelve (12). Essential.

No

Security and
Control Security
Equipment

6

Documented inventories present, however due to
Wardens response dated 12/12/07. Weekly inventories will be
Item 5 above, inventoried did not match the perpetual conducted and any discrepancies will be immediately reported to
records.
the Chief of Security and the Duty Officer.

No

Security and
Control Security
Equipment

7

Redacted

No

Security and
Control 12a (1) Redacted
Security
Equipment

No

Security and
Control Security
Equipment

12b

Quarterly reports are not being done for key
inventories. Essential.

No

Security and
Control Security
Equipment

12c

Redacted

No

Security and
Control Security
Equipment

NIN

Wardens response dated 12/12/07. A complete inventory has been
scheduled for the week of 12/17/07.

Wardens response dated 12/7/07. Quarterly reports will be
documented in regards to keys in the future.

On 11-6-07, 11/12/07, and 11/27/07 the concave
Wardens response dated 12/7/07. Supervisors have been given
shield was used but no record of it being checked out clear directives that they will be held accountable for ensuring the
in the armory.
items are signed out and back in when used.

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

Page 4
DATE/METHOD OF
CONFIRMATION BY
MONITOR/COMMENTS

TDOC MANAGEMENT COMMENTS/NOTES
2/1/08 CMD note: Per Policy, essential items found
in non-compliance may result in a breach
determination regardless of the number of times
the item has been found in non-compliance. At this
time, a breach determination is being held in
abeyance in this instance, however, another
finding of non-compliance for this item in the next
12 months shall result in a breach finding and
immediate assessment of liquidated damages.

See 2/1/08 CMD note above.

1/31/08 CMD note: The issue of proper procedures
for the issuance and documentation of security
equipment, including chemical agents, needs to be
effectively addressed. The monitor is requested to
verify the effectiveness of the corrective action
taken within 30 days. If the problem persists,
another NCR should be issued.

WCFA SUMMARY OF NON-COMPLIANCE NOTIFICATIONS FOR DECEMBER 2007
OUT-

DATE OF
STANDING
REPORT ISSUE Y/N

12/11/07

12/11/07

No

No

Monitoring
Instrument

Use of Force

Use of Force

ITEM
NON-COMPLIANCE ISSUE
NO.

4a

7e

12/11/07

No

Use of Force

7i

12/11/07

No

Use of Force

NIN

CONTRACTOR RESPONSE/DATE/ CORRECTIVE ACTION
TAKEN

Page 5
DATE/METHOD OF
CONFIRMATION BY
MONITOR/COMMENTS

TDOC MANAGEMENT COMMENTS/NOTES

Wardens response dated 12/11/07, The Warden concurs that
central control staff and shift supervisors have failed to maintain
The requirements of the applicable approved Use of
issuance logs appropriately and in accordance with policy.
Force policies were not followed concerning issuance
Expectations have been communicated to all staff responsible and
of chemical agents and reporting use, as noted in
to the managers they report to. Procedures are in place and
Items 7e and 7i. Repeat finding - NCR dated
management will be ensuring staff comply with the policy(s). A
9/19/07.
tracking process has been implemented to provide oversight and
ensure employees continue to follow procedures.

1/31/08 CMD note: The non-compliance finding for
this item is being removed. The problem is
addressed separately and sufficiently by findings
for other monitored items. The issue of proper
procedures for the issuance and documentation of
security equipment, including chemical agents,
needs to be effectively addressed.

On 11/30/07, six (6) cans of MK9 were issued to a
correctional officer with no authorizing supervisor's
signature. Repeat finding - NCR dated 9/19/07.

1/31/08 CMD note: The issue of proper procedures
for the issuance and documentation of security
equipment, including chemical agents, needs to be
effectively addressed. The monitor is requested to
verify the effectiveness of the corrective action
taken within 30 days. If the problem persists,
another NCR should be issued.

Same as above.

On 12/3/07, incident #723026 MK9 was used in a Use
of Force incident. On 11/14/07, incident #720934 MK9
was used in a Use Force incident. There was no
Same as above.
record of MK9 being issued by Central Control in
either of these incidents. Repeat finding - NCR
dated 9/19/07.
On 10/29/07, log shows one MK9 in the cabinet with
Chief of Security being notified. Explanation entered
on 11/1/07 that canister was empty and removed by
Captain. Armory personnel are to remove/add
canisters. On 11/8/07, log sheet showed three (3)
MK9's exchanged but the count was changed to four
Same as above.
(4). Also supervisors are not signing the central
control chemical agent check out log consistently.
Note: There were fourteen (14) occasions during the
monitoring period (Oct. 1-Dec.7) that the supervisor
did not sign the central control check out log for
chemical agents.

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

1/31/08 CMD note: Same as above.

1/31/08 CMD note: Same as above.

 

 

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