WCFA SUMMARY OF NON-COMPLIANCE NOTIFICATIONS FOR JANUARY 2006
OUT-

DATE OF
STANDING
REPORT ISSUE Y/N

7/5/05

Yes

9/19/05

Yes

10/27/05

No

Monitoring
Instrument

ITEM
NO.

NON-COMPLIANCE ISSUE

CONTRACTOR RESPONSE/DATE/ CORRECTIVE ACTION
TAKEN

Warden’s response dated 8/10/05: We dispute the noncompliance in that at this time the purpose for the Security
Addendum has not yet been carried out. NCIC terminals have
not been installed at CCA facilities contracting with TDOC.
Staffing
16
Security Addendum not signed by staff.
Therefore, the non-compliance notification is premature.
[NOTE: Warden's original response of 7/18/05 was
subsequently withdrawn and this response submitted. ]
Warden's response dated 9/27/05: Warden called Asst.
Commissioner shortly after this occurred and discussed this
Inmate was segregated pending
situation with him. There is no violation of policy or contract in
investigation for fighting on 9/14/2005 at
this case as the decision to remain in the shower was made by
10:50 am. He was assigned to a cell but
the inmate. Supervisory staff acted on good intentions in
the occupant would not allow him to enter
following the Warden’s previous directives to avoid uses of
so staff placed inmate in a shower stall
force/use of OC when I/M’s refused to allow restraints to be
while arrangements could be made.
Special
(NIN)
applied to remove them from a shower based on reasoning
Segregation staff continued to document
management No item
that after a period of time they would decide on their own to
the inmates location throughout the night
Inmates
number
allow removal from the shower without the need for force. In a
as being in the shower. At approximately
number of cases over the last several weeks this occurred
6:30pm 9/15/05, after over 30 hours the
after a brief period and no need to use force. Secondly if OC
inmate was removed from the shower and
agent had been used we then would have had to put the
placed in a segregation cell. Staff has not
inmate back into the shower for decontamination. It is my belief
completed any type of reports to reflect
that in such situations force should be a last response as long
the incident that occurred.
as the inmate is not presenting a risk of harm to himself or
others.
Warden's response dated 11/3/05: The above write up
references TDOC policy 502.04. Upon detailed research of the
said policy, there is no reference to a “segregation handbook.”
Policy requires inmates to be orientated and that orientation
Policies and
may occur using a written packet of information. Although,
Procedures
policy and/or the contract does not require a segregation
WCFA does not have a current TDOC
Manual and
1d
handbook, Whiteville Correctional Facility does issue a
approved segregation handbook.
Operations
“segregation information packet” to all inmates placed in
Plan
segregation and an orientation is completed of segregation
rules and regulation. The CR-2110 is also signed by the
segregated inmate(s) and placed in his institutional file for
viewing. In addition, the Segregation Packet” is reviewed on
an annual basis.

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

Page 1
DATE/METHOD OF
CONFIRMATION BY
MONITOR/COMMENTS

CM note 1/5/06: Item
outstanding, under review.

TDOC MANAGEMENT COMMENTS/NOTES
10/24/05 CMC note:…the contractor is expected to
provide appropriate training to staff, and to
document such training on the form contained by
the addendum. A copy of the signed agreement
may be forwarded to the Liaisons' office for filing,
however, it would also be appropriate to maintain a
copy in institutional training or personnel files.

11/23/05 CMC Note: Plan of Action submitted by
Warden, is under review. 11/7/05 CMC note:
Letter has been issued by Commissioner indicating
that this is a breach and that subsequent breaches
may result in liquidated damages.

CM note 1/6/05: Item
outstanding, WCFA in process of
TDOC approval for segregation
rules. CM Note 11/10/05: WCFA
staff provided CCA form 1-13a
showing that the appropriate
segregation policies had been
reviewed by WCFA staff on
annual basis.

11/23/05 CMC Note: E-mail of clarification sent to
Warden 11/4/05 indicating that a separate
handbook, per se, may not be required, however,
approval in writing by TDOC is required for any
rules for the unit which differ from those of the
general population and are not authorized by
TDOC policy. Determination as to whether this is in
non-compliance will be made when CM determines
if all rules for segregated inmates have been
approved by TDOC.

1/06 monthly

WCFA SUMMARY OF NON-COMPLIANCE NOTIFICATIONS FOR JANUARY 2006
OUT-

DATE OF
STANDING
REPORT ISSUE Y/N

11/16/05

12/6/05

Yes

No

Monitoring
Instrument

Release
Procedures

Staffing

ITEM
NO.

3

11b

NON-COMPLIANCE ISSUE

CONTRACTOR RESPONSE/DATE/ CORRECTIVE ACTION
TAKEN

Page 2
DATE/METHOD OF
CONFIRMATION BY
MONITOR/COMMENTS

Several improper actions were taken by
WCFA staff concerning the release to
detainer of an inmate.

Warden's response dated 11/21/05 indicates that procedures
were examined and new procedures are being put in place to
cross check staff more closely to ensure this does not occur
again; records staff were counseled and trained again on
proper release procedures.

Verified 2/14/06: By review of
inmate releases, TOMIS entries
and reports and facility inmate
records.

Two non-security positions were not filled
within 45 days.
Position #118064, Clinical Supervisor,
Position #118068, Registered Nurse.

Warden’s response dated 12/8/05: WCF has advertised locally
and nationally in an attempt to fill these positions. WCF
continues to practice due diligence in filling these positions
however have not at this point been able to recruit applicants.
Recruitment continues in an effort to fill these positions as
expeditiously as possible. We are covering the CNS position
with an acting supervisor until the position is filled and covering
the RN position with overtime .

CM note 2/13/06: Item still in noncompliant and is outstanding. RN
position filled 1/10/06, vacant 81
days. Acting RN named to Clinical
Supervisor position 1/9/06 (
memo dated 2/10/06 to reflect this
announcement).

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

TDOC MANAGEMENT COMMENTS/NOTES

2/10/06 CMC note: A determination of breach
status is pending additional information
concerning RN coverage and acting CNS
credentials.

1/06 monthly

WCFA SUMMARY OF NON-COMPLIANCE NOTIFICATIONS FOR FEBRUARY 2006
OUT-

DATE OF
STANDING
REPORT ISSUE Y/N

7/5/05

Yes

10/27/05

12/6/05

Yes

Yes

Monitoring
Instrument

Staffing

Policies and
Procedures
Manual and
Operations
Plan

Staffing

ITEM
NO.

16

1d

11b

NON-COMPLIANCE ISSUE

Security Addendum not signed by staff.

WCFA does not have a current TDOC
approved segregation handbook.

Two non-security positions were not filled
within 45 days.
Position #118064, Clinical Supervisor,
Position #118068, Registered Nurse.

CONTRACTOR RESPONSE/DATE/ CORRECTIVE ACTION
TAKEN
Warden’s response dated 8/10/05: We dispute the noncompliance in that at this time the purpose for the Security
Addendum has not yet been carried out. NCIC terminals have
not been installed at CCA facilities contracting with TDOC.
Therefore, the non-compliance notification is premature.
[NOTE: Warden's original response of 7/18/05 was
subsequently withdrawn and this response submitted. ]
Warden's response dated 11/3/05: The above write up
references TDOC policy 502.04. Upon detailed research of the
said policy, there is no reference to a “segregation handbook.”
Policy requires inmates to be orientated and that orientation
may occur using a written packet of information. Although,
policy and/or the contract does not require a segregation
handbook, Whiteville Correctional Facility does issue a
“segregation information packet” to all inmates placed in
segregation and an orientation is completed of segregation
rules and regulation. The CR-2110 is also signed by the
segregated inmate(s) and placed in his institutional file for
viewing. In addition, the Segregation Packet” is reviewed on
an annual basis.
Warden’s response dated 12/8/05: WCF has advertised locally
and nationally in an attempt to fill these positions. WCF
continues to practice due diligence in filling these positions
however have not at this point been able to recruit applicants.
Recruitment continues in an effort to fill these positions as
expeditiously as possible. We are covering the CNS position
with an acting supervisor until the position is filled and covering
the RN position with overtime .

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

CM note 1/5/06: Item
outstanding, under review.

10/24/05 CMC note:…the contractor is expected to
provide appropriate training to staff, and to
document such training on the form contained by
the addendum. A copy of the signed agreement
may be forwarded to the Liaisons' office for filing,
however, it would also be appropriate to maintain a
copy in institutional training or personnel files.

CM note 1/6/05: Item
outstanding, WCFA in process of
TDOC approval for segregation
rules. CM Note 11/10/05: WCFA
staff provided CCA form 1-13a
showing that the appropriate
segregation policies had been
reviewed by WCFA staff on
annual basis.

11/23/05 CMC Note: E-mail of clarification sent to
Warden 11/4/05 indicating that a separate
handbook, per se, may not be required, however,
approval in writing by TDOC is required for any
rules for the unit which differ from those of the
general population and are not authorized by
TDOC policy. Determination as to whether this is in
non-compliance will be made when CM determines
if all rules for segregated inmates have been
approved by TDOC.

CM note 3/6/06: Item now
compliant. RN position filled
1/10/06. Clinical Supervisor
position filled 2/20/06.

4/15/06 CMC note: Notice of Breach and
Assessment of Liquidated Damages letter
dated 3/13/06 sent by Commissioner. Response
dated 3/27/06 received. Follow-up visit to
facility made 4/4/06; final determination of
Damages amount pending. 2/10/06 CMC note:
A determination of breach status is pending
additional information concerning RN coverage
and acting CNS credentials.

2/06 monthly

WCFA SUMMARY OF NON-COMPLIANCE NOTIFICATIONS FOR FEBRUARY 2006
OUT-

DATE OF
STANDING
REPORT ISSUE Y/N

2/13/06

2/27/06

No

No

Monitoring
Instrument

Disciplinary
Procedures

Records and
Reports

ITEM
NO.

4d

NIN

NON-COMPLIANCE ISSUE

On February 10th while housed in
segregation, an inmate refused to except
a general population cell assignment and
was charged with (RCA) refusing cell
assignment. On Feb.13th staff self
reported to TDOC Liaison that the
disciplinary report had not been served
according to policy. The inmate was
ordered again to leave segregation and
refused, a new (RCA) disciplinary was
issued.

CONTRACTOR RESPONSE/DATE/ CORRECTIVE ACTION
TAKEN

Page 2
DATE/METHOD OF
CONFIRMATION BY
MONITOR/COMMENTS

TDOC MANAGEMENT COMMENTS/NOTES

Wardens response dated 2/16/06: Subsequent review of the
disciplinaries received by the Disciplinary Board Chairperson
indicated that an inmate had received a disciplinary report for
refusal of a cell assignment on 10 February 2006, thus
changing his status from punitive (a release) to Pre-Hearing
Detention. However, this report had not been served in a timely
manner. Upon observation, TDOC personnel were immediately
notified by WCF staff and the problem self-reported. At that
time, the recourse for correction was also described to TDOC
personnel. It was determined the inmate would be released
from the segregation unit on 13 February 06. Yet, inmate
White again refused the cell assignment and refused housing
in general population. Thus, another disciplinary report was
generated and served to the inmate on 13 Feb. in accordance
with policy. WCF had previously implemented processes to
prevent this type incident; however as the segregation SCO
failed to alert the shift supervisor of the Disciplinary report it
was not logged and followed up on by the shift supervisor(s).
The negligent staff members responsible for ensuring inmates a

Inmates had work related injuries and
were seen by WCF medical staff for these
Warden's response dated 3/7/06: The TOMIS LIBJ entries
injuries according to CR-2592, Accident/
have been completed on the above inmates. Also, each work
Incident/ Traumatic injury reports. Staff
supervisor verified and completed the witness version section
failed to enter TOMIS LIBJ (Incident)
of CR-2592 (please see attached). To ensure future
reports for inmate work related injuries as
compliance, all work supervisors will receive training on the
required by TDOC policy, Furthermore the
policy and proper procedures involving inmate
inmates work supervisor failed to verify
injuries/accidents.
and complete the witness version section
f CR 2592

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

2/06 monthly

WCFA SUMMARY OF NON-COMPLIANCE NOTIFICATIONS FOR March 2006
OUT-

DATE OF
STANDING
REPORT ISSUE Y/N

7/5/05

Yes

10/27/05

12/6/05

Yes

Yes

Monitoring
Instrument

Staffing

Policies and
Procedures
Manual and
Operations
Plan

Staffing

ITEM
NO.

16

1d

11b

NON-COMPLIANCE ISSUE

Security Addendum not signed by staff.

WCFA does not have a current TDOC
approved segregation handbook.

Two non-security positions were not filled
within 45 days.
Position #118064, Clinical Supervisor,
Position #118068, Registered Nurse.

CONTRACTOR RESPONSE/DATE/ CORRECTIVE ACTION
TAKEN
Warden’s response dated 8/10/05: We dispute the noncompliance in that at this time the purpose for the Security
Addendum has not yet been carried out. NCIC terminals have
not been installed at CCA facilities contracting with TDOC.
Therefore, the non-compliance notification is premature.
[NOTE: Warden's original response of 7/18/05 was
subsequently withdrawn and this response submitted. ]
Warden's response dated 11/3/05: The above write up
references TDOC policy 502.04. Upon detailed research of the
said policy, there is no reference to a “segregation handbook.”
Policy requires inmates to be orientated and that orientation
may occur using a written packet of information. Although,
policy and/or the contract does not require a segregation
handbook, Whiteville Correctional Facility does issue a
“segregation information packet” to all inmates placed in
segregation and an orientation is completed of segregation
rules and regulation. The CR-2110 is also signed by the
segregated inmate(s) and placed in his institutional file for
viewing. In addition, the Segregation Packet” is reviewed on
an annual basis.
Warden’s response dated 12/8/05: WCF has advertised locally
and nationally in an attempt to fill these positions. WCF
continues to practice due diligence in filling these positions
however have not at this point been able to recruit applicants.
Recruitment continues in an effort to fill these positions as
expeditiously as possible. We are covering the CNS position
with an acting supervisor until the position is filled and covering
the RN position with overtime .

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

CM note 1/5/06: Item
outstanding, under review.

10/24/05 CMC note:…the contractor is expected to
provide appropriate training to staff, and to
document such training on the form contained by
the addendum. A copy of the signed agreement
may be forwarded to the Liaisons' office for filing,
however, it would also be appropriate to maintain a
copy in institutional training or personnel files.

CM note 1/6/05: Item
outstanding, WCFA in process of
TDOC approval for segregation
rules. CM Note 11/10/05: WCFA
staff provided CCA form 1-13a
showing that the appropriate
segregation policies had been
reviewed by WCFA staff on
annual basis.

11/23/05 CMC Note: E-mail of clarification sent to
Warden 11/4/05 indicating that a separate
handbook, per se, may not be required, however,
approval in writing by TDOC is required for any
rules for the unit which differ from those of the
general population and are not authorized by
TDOC policy. Determination as to whether this is in
non-compliance will be made when CM determines
if all rules for segregated inmates have been
approved by TDOC.

CM note 3/6/06: Item now
compliant. RN position filled
1/10/06. Clinical Supervisor
position filled 2/20/06.

4/24/CMC note: Liquidated damages assessed
4/17/06. 4/15/06 CMC note: Notice of Breach and
Assessment of Liquidated Damages letter dated
3/13/06 sent by Commissioner. Response dated
3/27/06 received. Follow-up visit to facility made
4/4/06; final determination of Damages amount
pending. 2/10/06 CMC note: A determination of
breach status is pending additional information
concerning RN coverage and acting CNS
credentials.

3/06 monthly

WCFA SUMMARY OF NON-COMPLIANCE NOTIFICATIONS FOR March 2006
OUT-

DATE OF
STANDING
REPORT ISSUE Y/N

2/13/06

2/27/06

3/14/06

Yes

Yes

No

Monitoring
Instrument

Disciplinary
Procedures

Records and
Reports

Use of Force

ITEM
NO.

4d

NON-COMPLIANCE ISSUE

On February 10th while housed in
segregation, an inmate refused to except
a general population cell assignment and
was charged with (RCA) refusing cell
assignment. On Feb.13th staff self
reported to TDOC Liaison that the
disciplinary report had not been served
according to policy. The inmate was
ordered again to leave segregation and
refused, a new (RCA) disciplinary was
issued.

Inmates had work related injuries and
were seen by WCF medical staff for these
injuries according to CR-2592, Accident/
Incident/ Traumatic injury reports. Staff
failed to enter TOMIS LIBJ (Incident)
NIN
reports for inmate work related injuries as
required by TDOC policy, Furthermore the
inmates work supervisor failed to verify
and complete the witness version section
of CR-2592.
A pre-planned non-emergency Use of
Force occurred in segregation in which
chemical agents (OC) were used to
extract an inmate from his cell due to him
4g(2) flooding the cell. Even though medical
staff was present during this incident there
isn’t documentation to show the inmate’s
medical file was reviewed prior to the Use
of Force (chemical agents).

CONTRACTOR RESPONSE/DATE/ CORRECTIVE ACTION
TAKEN

Page 2
DATE/METHOD OF
CONFIRMATION BY
MONITOR/COMMENTS

TDOC MANAGEMENT COMMENTS/NOTES

Wardens response dated 2/16/06: Subsequent review of the
disciplinaries received by the Disciplinary Board Chairperson
indicated that an inmate had received a disciplinary report for
refusal of a cell assignment on 10 February 2006, thus
changing his status from punitive (a release) to Pre-Hearing
Detention. However, this report had not been served in a timely
manner. Upon observation, TDOC personnel were immediately
notified by WCF staff and the problem self-reported. At that
time, the recourse for correction was also described to TDOC Verified 3/28/06: By review of
personnel. It was determined the inmate would be released
disciplinary log, segregation logs
from the segregation unit on 13 February 06. Yet, inmate
and TOMIS reports.
White again refused the cell assignment and refused housing
in general population. Thus, another disciplinary report was
generated and served to the inmate on 13 Feb. in accordance
with policy. WCF had previously implemented processes to
prevent this type incident; however as the segregation SCO
failed to alert the shift supervisor of the Disciplinary report it
was not logged and followed up on by the shift supervisor(s).
The negligent staff members responsible for ensuring inmates a
Warden's response dated 3/7/06: The TOMIS LIBJ entries
have been completed on the above inmates. Also, each work
supervisor verified and completed the witness version section
of CR-2592 (please see attached). To ensure future
compliance, all work supervisors will receive training on the
policy and proper procedures involving inmate
injuries/accidents.

CM note: AW has initiated
training and procedures for staff
to ensure compliance. CM will
continue to monitor.

Warden's response dated 3/20/06: Prior to the use of force in
Segregation, Asst. Shift Supervisor met with LPN in the
Medical Department and advised her that a pre-planned nonemergency use of force was going to be conducted. Therefore
the nurse reviewed the inmate’s chart to ensure there were no
health restrictions or contraindications pertaining to
administering chemical agents. After review the nurse
concluded there were no health restrictions. However, she did
not document this in the medical chart.

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

3/06 monthly

WCFA SUMMARY OF NON-COMPLIANCE NOTIFICATIONS FOR March 2006
OUT-

DATE OF
STANDING
REPORT ISSUE Y/N

3/24/06

No

Monitoring
Instrument

Special
management
Inmates

ITEM
NO.

NIN

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 3/24/06: Immediately upon
notification by facility staff that an officer had mistakenly placed
a punitive segregation inmate into the segregation rec cage
Punitive segregated inmate was placed
with another inmate who was max custody, the Warden
inside a segregation recreation pen with a directed that the Chief of Security personally investigate. After
(AS) administrative segregated inmate.
determining that the error had in fact occurred, Chief of
security at the Warden’s direction self-reported the incident to
the Contract Monitor. The officers involved in making the error
received corrective action.

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

3/06 monthly

WCFA SUMMARY OF NON-COMPLIANCE NOTIFICATIONS FOR April 2006
OUT-

DATE OF
STANDING
REPORT ISSUE Y/N

7/5/05

Yes

10/27/05

12/6/05

2/27/06

Yes

Yes

Yes

Monitoring
Instrument

Staffing

Policies and
Procedures
Manual and
Operations
Plan

Staffing

Records and
Reports

ITEM
NO.

16

NON-COMPLIANCE ISSUE

Security Addendum not signed by staff.

CONTRACTOR RESPONSE/DATE/ CORRECTIVE ACTION
TAKEN
Warden’s response dated 8/10/05: We dispute the noncompliance in that at this time the purpose for the Security
Addendum has not yet been carried out. NCIC terminals have
not been installed at CCA facilities contracting with TDOC.
Therefore, the non-compliance notification is premature.
[NOTE: Warden's original response of 7/18/05 was
subsequently withdrawn and this response submitted. ]
Warden's response dated 11/3/05: The above write up
references TDOC policy 502.04. Upon detailed research of the
said policy, there is no reference to a “segregation handbook.”
Policy requires inmates to be orientated and that orientation
may occur using a written packet of information. Although,
policy and/or the contract does not require a segregation
handbook, Whiteville Correctional Facility does issue a
“segregation information packet” to all inmates placed in
segregation and an orientation is completed of segregation
rules and regulation. The CR-2110 is also signed by the
segregated inmate(s) and placed in his institutional file for
viewing. In addition, the Segregation Packet” is reviewed on
an annual basis.

Page 1
DATE/METHOD OF
CONFIRMATION BY
MONITOR/COMMENTS

TDOC MANAGEMENT COMMENTS/NOTES

10/24/05 CMC note:…the contractor is expected to
provide appropriate training to staff, and to
CM note 4/13/06: NCR issued:
document such training on the form contained by
Contractor has failed to initiate
the addendum. A copy of the signed agreement
training. 1/5/06: Item outstanding,
may be forwarded to the Liaisons' office for filing,
under review.
however, it would also be appropriate to maintain a
copy in institutional training or personnel files.
Verified 4/28/06: Asst. Comm
approved 4/11/06. CM note
1/6/05: Item outstanding, WCFA
in process of TDOC approval for
segregation rules. CM Note
11/10/05: WCFA staff provided
CCA form 1-13a showing that the
appropriate segregation policies
had been reviewed by WCFA
staff on annual basis.

11/23/05 CMC Note: E-mail of clarification sent to
Warden 11/4/05 indicating that a separate
handbook, per se, may not be required, however,
approval in writing by TDOC is required for any
rules for the unit which differ from those of the
general population and are not authorized by
TDOC policy. Determination as to whether this is in
non-compliance will be made when CM determines
if all rules for segregated inmates have been
approved by TDOC.

11b

Two non-security positions were not filled
within 45 days.
Position #118064, Clinical Supervisor,
Position #118068, Registered Nurse.

Warden’s response dated 12/8/05: WCF has advertised locally
and nationally in an attempt to fill these positions. WCF
continues to practice due diligence in filling these positions
however have not at this point been able to recruit applicants.
Recruitment continues in an effort to fill these positions as
expeditiously as possible. We are covering the CNS position
with an acting supervisor until the position is filled and covering
the RN position with overtime .

Verified 5/5/06: By review of
WCFA staffing legend, all
positions filled within contracted
time limits.CM note 3/6/06: Item
now compliant. RN position filled
1/10/06. Clinical Supervisor
position filled 2/20/06.

4/24/CMC note: Liquidated damages assessed
4/17/06. 4/15/06 CMC note: Notice of Breach and
Assessment of Liquidated Damages letter dated
3/13/06 sent by Commissioner. Response dated
3/27/06 received. Follow-up visit to facility made
4/4/06; final determination of Damages amount
pending. 2/10/06 CMC note: A determination of
breach status is pending additional information
concerning RN coverage and acting CNS
credentials.

NIN

Inmates had work related injuries and
were seen by WCF medical staff for these
injuries according to CR-2592, Accident/
Incident/ Traumatic injury reports. Staff
failed to enter TOMIS LIBJ (Incident)
reports for inmate work related injuries as
required by TDOC policy, Furthermore the
inmates work supervisor failed to verify
and complete the witness version section
of CR-2592.

Warden's response dated 3/7/06: The TOMIS LIBJ entries
have been completed on the above inmates. Also, each work
supervisor verified and completed the witness version section
of CR-2592 (please see attached). To ensure future
compliance, all work supervisors will receive training on the
policy and proper procedures involving inmate
injuries/accidents.

Verified 4/28/06: By review of
TOMIS and (CR-2592) Accident
Incident Traumatic injury reports.
CM note: AW has initiated
training and procedures for staff
to ensure compliance. CM will
continue to monitor.

1d

WCFA does not have a current TDOC
approved segregation handbook.

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

4/06 monthly

WCFA SUMMARY OF NON-COMPLIANCE NOTIFICATIONS FOR April 2006
OUT-

DATE OF
STANDING
REPORT ISSUE Y/N

Monitoring
Instrument

ITEM
NO.

A pre-planned non-emergency Use of
Force occurred in segregation in which
chemical agents (OC) were used to
extract an inmate from his cell due to him
4g(2) flooding the cell. Even though medical
staff was present during this incident there
isn’t documentation to show the inmate’s
medical file was reviewed prior to the Use
of Force (chemical agents).

3/14/06

Yes

Use of Force

3/24/06

Yes

Special
management
Inmates

NIN

4/7/06

No

Use of Force

3h

NON-COMPLIANCE ISSUE

CONTRACTOR RESPONSE/DATE/ CORRECTIVE ACTION
TAKEN

Page 2
DATE/METHOD OF
CONFIRMATION BY
MONITOR/COMMENTS

TDOC MANAGEMENT COMMENTS/NOTES

Warden's response dated 3/20/06: Prior to the use of force in
Segregation, Asst. Shift Supervisor met with LPN in the
Medical Department and advised her that a pre-planned nonemergency use of force was going to be conducted. Therefore
the nurse reviewed the inmate’s chart to ensure there were no
health restrictions or contraindications pertaining to
administering chemical agents. After review the nurse
concluded there were no health restrictions. However, she did
not document this in the medical chart.
Warden's response dated 3/24/06: Immediately upon
notification by facility staff that an officer had mistakenly placed
a punitive segregation inmate into the segregation rec. cage
Punitive segregated inmate was placed
with another inmate who was max custody, the Warden
inside a segregation recreation pen with a directed that the Chief of Security personally investigate. After
(AS) administrative segregated inmate.
determining that the error had in fact occurred, Chief of
security at the Warden’s direction self-reported the incident to
the Contract Monitor. The officers involved in making the error
received corrective action.
An unplanned non-emergency Use of
Force occurred in segregation, an inmate
refused to remove his arm from the cell
door food flap. Officer used physical force
to secure the food flap and supervisory
staff entered TOMIS incident report
(00653467). According to Accident /
Warden's response dated 4/14/06: The Shift Supervisor and
Incident / Traumatic injury report CR-2592,
the Segregation officer on duty at the time of the incident were
medical staff didn’t see inmate Rollins until
counseled regarding procedures to follow in the event of any
6:30pm. Also according to TOMIS incident
force being utilized. In addition, accident injury reporting
report, Commissioners Designee was not
procedures will be addressed in the next Supervisor meeting.
notified until 8:00pm, which wasn’t within
the policy time frame of 1 hour of
occurrence. According to the facility
incident reports for this date, no
emergency or unusually occurrences to
prevent the notification from being
completed in a timely manner occurred.

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

4/06 monthly

WCFA SUMMARY OF NON-COMPLIANCE NOTIFICATIONS FOR April 2006
OUT-

DATE OF
STANDING
REPORT ISSUE Y/N

4/13/06

4/18/06

4/18/06

No

No

No

Monitoring
Instrument

Staffing

Special
management
Inmates

Special
management
Inmates

ITEM
NO.

NON-COMPLIANCE ISSUE

16

Signed acknowledgement of Security
Addendum (Appendix F) as required by
Contract is not present in WCFA staff
personnel files. Moreover WCFA has
failed to initiate training for applicable
contract employees who will have access
to inmate institutional records containing
NCIC reports. This training will inform staff
on proper use of, and confidentiality
requirements of, those reports.

4e

4g

Upon review of segregated inmates with
restraint orders, approximately 19 inmates
housed in segregation with different
security classifications have restraint
requirements posted on their cell doors. A
memorandum from the warden/designee
to the commissioner’s designee for review
detailing the actions taken did not occur
within the next business day as required
by policy.
According to TOMIS incident (00653688)
report posted 4/9/06, Inmate had covered
his cell door window obstructing the
officer’s view. Staff obtained verbal
approval from the chief of security and
commissioner’s designee to remove
inmates property and place him on
property restriction. The commissioner’s
designee was not notified by
memorandum by the next business day for
review and approval as required by policy.

CONTRACTOR RESPONSE/DATE/ CORRECTIVE ACTION
TAKEN

Page 3
DATE/METHOD OF
CONFIRMATION BY
MONITOR/COMMENTS

TDOC MANAGEMENT COMMENTS/NOTES

CM note 4/28/06:Warden has
contacted Asst.Comm. regarding
this issue and will forward a
response upon his advisement.

Warden's response dated 4/27/06: The initial process was to
submit a restraint memo to individual inmate’s segregation file.
We were under the perception that when TDOC Liaison
reviewed these files on a daily basis she would review the
restraint memo in the process. Asst.Warden has instructed
the Shift Supervisor to forward a copy to her office immediately
upon restraint restriction sanctions being applied. If the
restraint restriction is warranted after regular business hours,
the Shift Supervisor’s have been instructed to slide a copy
under the TDOC Liaison’s office door.
Warden's response dated 4/24/06:An interview was conducted
with Shift Supervisor who was on duty. He stated he gained
approval from TDOC Liaison on 040906 to place Inmate on
property restriction. He drafted the restriction memo and
placed the memo on Inmates cell door as required. However,
he was unaware that the Warden’s signature was required.
Shift Supervisor was counseled concerning property
procedures and understands that property restriction memos
require the Warden/Designee and the TDOC Liaison’s
signature.

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

4/06 monthly

WCFA SUMMARY OF NON-COMPLIANCE NOTIFICATIONS FOR May 2006
OUT-

DATE OF
STANDING
REPORT ISSUE Y/N

7/5/05

Yes

Monitoring
Instrument

Staffing

ITEM
NO.

16

NON-COMPLIANCE ISSUE

Security Addendum not signed by staff.

CONTRACTOR RESPONSE/DATE/ CORRECTIVE ACTION
TAKEN
Warden’s response dated 8/10/05: We dispute the noncompliance in that at this time the purpose for the Security
Addendum has not yet been carried out. NCIC terminals have
not been installed at CCA facilities contracting with TDOC.
Therefore, the non-compliance notification is premature.
[NOTE: Warden's original response of 7/18/05 was
subsequently withdrawn and this response submitted. ]

A pre-planned non-emergency Use of
Force occurred in segregation in which
chemical agents (OC) were used to
extract an inmate from his cell due to him
4g(2) flooding the cell. Even though medical
staff was present during this incident there
isn’t documentation to show the inmate’s
medical file was reviewed prior to the Use
of Force (chemical agents).

3/14/06

Yes

Use of Force

3/24/06

Yes

Special
management
Inmates

NIN

4/7/06

No

Use of Force

3h

Warden's response dated 3/20/06: Prior to the use of force in
Segregation, Asst. Shift Supervisor met with LPN in the
Medical Department and advised her that a pre-planned nonemergency use of force was going to be conducted. Therefore
the nurse reviewed the inmate’s chart to ensure there were no
health restrictions or contraindications pertaining to
administering chemical agents. After review the nurse
concluded there were no health restrictions. However, she did
not document this in the medical chart.
Warden's response dated 3/24/06: Immediately upon
notification by facility staff that an officer had mistakenly placed
a punitive segregation inmate into the segregation rec. cage
Punitive segregated inmate was placed
with another inmate who was max custody, the Warden
inside a segregation recreation pen with a directed that the Chief of Security personally investigate. After
(AS) administrative segregated inmate.
determining that the error had in fact occurred, Chief of
security at the Warden’s direction self-reported the incident to
the Contract Monitor. The officers involved in making the error
received corrective action.
An unplanned non-emergency Use of
Force occurred in segregation, an inmate
refused to remove his arm from the cell
door food flap. Officer used physical force
to secure the food flap and supervisory
staff entered TOMIS incident report
(00653467). According to Accident /
Warden's response dated 4/14/06: The Shift Supervisor and
Incident / Traumatic injury report CR-2592,
the Segregation officer on duty at the time of the incident were
medical staff didn’t see inmate Rollins until
counseled regarding procedures to follow in the event of any
6:30pm. Also according to TOMIS incident
force being utilized. In addition, accident injury reporting
report, Commissioners Designee was not
procedures will be addressed in the next Supervisor meeting.
notified until 8:00pm, which wasn’t within
the policy time frame of 1 hour of
occurrence. According to the facility
incident reports for this date, no
emergency or unusually occurrences to
prevent the notification from being
completed in a timely manner occurred.

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

10/24/05 CMC note:…the contractor is expected to
provide appropriate training to staff, and to
CM note 4/13/06: NCR issued:
document such training on the form contained by
Contractor has failed to initiate
the addendum. A copy of the signed agreement
training. 1/5/06: Item outstanding,
may be forwarded to the Liaisons' office for filing,
under review.
however, it would also be appropriate to maintain a
copy in institutional training or personnel files.

Verified 5/17/06: By review of
TOMIS reports.

Verified 5/24/06: By review of
TOMIS, segregation reports and
log entries.

5/06 monthly

WCFA SUMMARY OF NON-COMPLIANCE NOTIFICATIONS FOR May 2006
OUT-

DATE OF
STANDING
REPORT ISSUE Y/N

4/13/06

4/18/06

4/18/06

No

No

No

Monitoring
Instrument

Staffing

Special
management
Inmates

Special
management
Inmates

ITEM
NO.

NON-COMPLIANCE ISSUE

16

Signed acknowledgement of Security
Addendum (Appendix F) as required by
Contract is not present in WCFA staff
personnel files. Moreover WCFA has
failed to initiate training for applicable
contract employees who will have access
to inmate institutional records containing
NCIC reports. This training will inform staff
on proper use of, and confidentiality
requirements of, those reports.

4e

4g

Upon review of segregated inmates with
restraint orders, approximately 19 inmates
housed in segregation with different
security classifications have restraint
requirements posted on their cell doors. A
memorandum from the warden/designee
to the commissioner’s designee for review
detailing the actions taken did not occur
within the next business day as required
by policy.
According to TOMIS incident (00653688)
report posted 4/9/06, Inmate had covered
his cell door window obstructing the
officer’s view. Staff obtained verbal
approval from the chief of security and
commissioner’s designee to remove
inmates property and place him on
property restriction. The commissioner’s
designee was not notified by
memorandum by the next business day for
review and approval as required by policy.

CONTRACTOR RESPONSE/DATE/ CORRECTIVE ACTION
TAKEN

Page 2
DATE/METHOD OF
CONFIRMATION BY
MONITOR/COMMENTS

TDOC MANAGEMENT COMMENTS/NOTES

CM note 4/28/06:Warden has
contacted Asst.Comm. regarding
this issue and will forward a
response upon his advisement.

Warden's response dated 4/27/06: The initial process was to
submit a restraint memo to individual inmate’s segregation file.
We were under the perception that when TDOC Liaison
reviewed these files on a daily basis she would review the
restraint memo in the process. Asst.Warden has instructed
the Shift Supervisor to forward a copy to her office immediately
upon restraint restriction sanctions being applied. If the
restraint restriction is warranted after regular business hours,
the Shift Supervisor’s have been instructed to slide a copy
under the TDOC Liaison’s office door.
Warden's response dated 4/24/06:An interview was conducted
with Shift Supervisor who was on duty. He stated he gained
approval from TDOC Liaison on 040906 to place Inmate on
property restriction. He drafted the restriction memo and
placed the memo on Inmates cell door as required. However,
he was unaware that the Warden’s signature was required.
Shift Supervisor was counseled concerning property
procedures and understands that property restriction memos
require the Warden/Designee and the TDOC Liaison’s
signature.

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

5/06 monthly

WCFA SUMMARY OF NON-COMPLIANCE NOTIFICATIONS FOR JUNE 2006
OUT-

DATE OF
STANDING
REPORT ISSUE Y/N

7/5/05

4/7/06

4/13/06

Yes

No

No

Monitoring
Instrument

Staffing

Use of Force

Staffing

ITEM
NO.

NON-COMPLIANCE ISSUE

CONTRACTOR RESPONSE/DATE/ CORRECTIVE ACTION
TAKEN

16

Security Addendum not signed by staff.

Warden’s response dated 8/10/05: We dispute the noncompliance in that at this time the purpose for the Security
Addendum has not yet been carried out. NCIC terminals have
not been installed at CCA facilities contracting with TDOC.
Therefore, the non-compliance notification is premature.
[NOTE: Warden's original response of 7/18/05 was
subsequently withdrawn and this response submitted. ]

3h

An unplanned non-emergency Use of
Force occurred in segregation, an inmate
refused to remove his arm from the cell
door food flap. Officer used physical force
to secure the food flap and supervisory
staff entered TOMIS incident report
(00653467). According to Accident /
Incident / Traumatic injury report CR-2592,
medical staff didn’t see inmate Rollins until
6:30pm. Also according to TOMIS incident
report, Commissioners Designee was not
notified until 8:00pm, which wasn’t within
the policy time frame of 1 hour of
occurrence. According to the facility
incident reports for this date, no
emergency or unusually occurrences to
prevent the notification from being
completed in a timely manner occurred.

Warden's response dated 4/14/06: The Shift Supervisor and
the Segregation officer on duty at the time of the incident were
counseled regarding procedures to follow in the event of any
force being utilized. In addition, accident injury reporting
procedures will be addressed in the next Supervisor meeting.

16

Signed acknowledgement of Security
Addendum (Appendix F) as required by
Contract is not present in WCFA staff
personnel files. Moreover WCFA has
failed to initiate training for applicable
contract employees who will have access
to inmate institutional records containing
NCIC reports. This training will inform staff
on proper use of, and confidentiality
requirements of, those reports.

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

10/24/05 CMC note:…the contractor is expected to
provide appropriate training to staff, and to
CM note 4/13/06: NCR issued:
document such training on the form contained by
Contractor has failed to initiate
the addendum. A copy of the signed agreement
training. 1/5/06: Item outstanding,
may be forwarded to the Liaisons' office for filing,
under review.
however, it would also be appropriate to maintain a
copy in institutional training or personnel files.

Verified 6/29/06: By review of
Use of Force documentation,
TOMIS reports and
segregation logs.

CM note 4/28/06: Warden has
contacted Asst.Comm. regarding
this issue and will forward a
response upon his advisement.
Verified 6/13/06: Facility training
was provided to designated staff.

6/06 monthly

WCFA SUMMARY OF NON-COMPLIANCE NOTIFICATIONS FOR JUNE 2006
OUT-

DATE OF
STANDING
REPORT ISSUE Y/N

4/18/06

4/18/06

6/2/06

No

No

No

Monitoring
Instrument

Special
management
Inmates

Special
management
Inmates

Special
management
Inmates

ITEM
NO.

4e

4g

NIN

NON-COMPLIANCE ISSUE
Upon review of segregated inmates with
restraint orders, approximately 19 inmates
housed in segregation with different
security classifications have restraint
requirements posted on their cell doors. A
memorandum from the warden/designee
to the commissioner’s designee for review
detailing the actions taken did not occur
within the next business day as required
by policy.
According to TOMIS incident (00653688)
report posted 4/9/06, Inmate had covered
his cell door window obstructing the
officer’s view. Staff obtained verbal
approval from the chief of security and
commissioner’s designee to remove
inmates property and place him on
property restriction. The commissioner’s
designee was not notified by
memorandum by the next business day for
review and approval as required by policy.
Two inmates assaulted another inmate.
Both were segregated and charged with
the assault. Staff interviewed the
assaulted inmate and he was allowed to
stay in general population after he stated
the incident was over and he didn’t feel
threatened. Incompatibles were enter and
approved between all three inmate. After
both inmates finished their punitive time,
they were released back to general
population with pending incompatibles.

CONTRACTOR RESPONSE/DATE/ CORRECTIVE ACTION
TAKEN

Page 2
DATE/METHOD OF
CONFIRMATION BY
MONITOR/COMMENTS

TDOC MANAGEMENT COMMENTS/NOTES

Warden's response dated 4/27/06: The initial process was to
submit a restraint memo to individual inmate’s segregation file.
We were under the perception that when TDOC Liaison
reviewed these files on a daily basis she would review the
Verified 7/10/06: By review of
restraint memo in the process. Asst.Warden has instructed
segregation documentation
the Shift Supervisor to forward a copy to her office immediately
and procedures.
upon restraint restriction sanctions being applied. If the
restraint restriction is warranted after regular business hours,
the Shift Supervisor’s have been instructed to slide a copy
under the TDOC Liaison’s office door.
Warden's response dated 4/24/06:An interview was conducted
with Shift Supervisor who was on duty. He stated he gained
approval from TDOC Liaison on 040906 to place Inmate on
property restriction. He drafted the restriction memo and
placed the memo on Inmates cell door as required. However,
he was unaware that the Warden’s signature was required.
Shift Supervisor was counseled concerning property
procedures and understands that property restriction memos
require the Warden/Designee and the TDOC Liaison’s
signature.

Verified 7/10/06: By review of
segregation documentation
and procedures, property
restriction procedures.

Warden’s response date: June 6, 2006, Facility acknowledges
that an error was made in this instance and is taking measures
to ensure that prior to segregation releases, incompatibles are
checked.

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

6/06 monthly

WCFA SUMMARY OF NON-COMPLIANCE NOTIFICATIONS FOR JUNE 2006
OUT-

DATE OF
STANDING
REPORT ISSUE Y/N

6/28/06

No

Monitoring
Instrument

ITEM
NO.

Disciplinary
Procedures

Five inmates were segregated
pending investigation and charged on
6/16/06 with appropriate TOMIS
entries completed in the AM. On
6/19/06 these inmates were escorted
to the general population disciplinary
hearing room to have their hearings in
4a(5) the PM, after the policy time limit of 72
hours had lapsed. This is at least the
9th time that a non-compliance report
has been issued for the same/similar
problem (ref. non-compliance reports
dated 7/10/03, 7/18/03, 8/12/03,
8/19/03, 11/25/03, 2/25/04 4/15/04
and 4/25/05).

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: 7/5/06 Whiteville Correctional
Facility acknowledges that the hearings of the said inmates
were delayed until after the 72 hour time frame. However, with
“good cause” as quoted in TDOC Policy 502.01 IV.
DEFINITIONS: E. Good Cause: Circumstances beyond the
control of the party (e.g. illness, previously unforeseen need for
witness not immediately available, etc.)

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

6/06 monthly

WCFA SUMMARY OF NON-COMPLIANCE NOTIFICATIONS FOR JULY 2006
OUT-

DATE OF
STANDING
REPORT ISSUE Y/N

6/2/06

6/28/06

Yes

Yes

Monitoring
Instrument

Special
management
Inmates

Disciplinary
Procedures

ITEM
NO.

NON-COMPLIANCE ISSUE

NIN

Two inmates assaulted another inmate.
Both were segregated and charged with
the assault. Staff interviewed the
assaulted inmate and he was allowed to
stay in general population after he stated
the incident was over and he didn’t feel
threatened. Incompatibles were enter and
approved between all three inmate. After
both inmates finished their punitive time,
they were released back to general
population with pending incompatibles.

Five inmates were segregated pending
investigation and charged on 6/16/06 with
appropriate TOMIS entries completed in
the AM. On 6/19/06 these inmates were
4a(5)
escorted to the general population
disciplinary hearing room to have their
hearings in the PM, after the policy time
limit of 72 hours had lapsed.

CONTRACTOR RESPONSE/DATE/ CORRECTIVE ACTION
TAKEN

Page 1
DATE/METHOD OF
CONFIRMATION BY
MONITOR/COMMENTS

TDOC MANAGEMENT COMMENTS/NOTES

Warden’s response date: June 6, 2006, Facility acknowledges
Verified 8/10/06: By review of
that an error was made in this instance and is taking measures
segregation logs, TOMIS reports
to ensure that prior to segregation releases, incompatibles are
and incompatibles filed.
checked.

Warden’s response dated: 7/5/06 Whiteville Correctional
Facility acknowledges that the hearings of the said inmates
were delayed until after the 72 hour time frame. However, with
“good cause” as quoted in TDOC Policy 502.01 IV.
DEFINITIONS: E. Good Cause: Circumstances beyond the
control of the party (e.g. illness, previously unforeseen need for
witness not immediately available, etc.)

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

7/06 monthly

WCFA SUMMARY OF NON-COMPLIANCE NOTIFICATIONS FOR AUGUST 2006
OUT-

DATE OF
STANDING
REPORT ISSUE Y/N

6/28/06

8/8/06

8/30/06

No

No

No

DATE/METHOD OF
CONFIRMATION BY
MONITOR/COMMENTS

Monitoring
Instrument

ITEM
NO.

Disciplinary
Procedures

Five inmates were segregated pending
investigation and charged on 6/16/06 with
appropriate TOMIS entries completed in
the AM. On 6/19/06 these inmates were
4a(5)
escorted to the general population
disciplinary hearing room to have their
hearings in the PM, after the policy time
limit of 72 hours had lapsed.

Warden’s response dated: 7/5/06 Whiteville Correctional
Facility acknowledges that the hearings of the said inmates
were delayed until after the 72 hour time frame. However, with CM note: Non-compliance
“good cause” as quoted in TDOC Policy 502.01 IV.
issued for same/similar item
DEFINITIONS: E. Good Cause: Circumstances beyond the
8/30/06, item outstanding.
control of the party (e.g. illness, previously unforeseen need for
witness not immediately available, etc.)

Record and
Reports

Inmate attempted suicide while housed in
segregation. Staff was required to use
6a(3) force to regain control. Staff failed to enter
TOMIS (LIBJ) and disciplinary reports
concerning this and surrounding incidents.

Warden’s response dated: 8/9/06, Whiteville Correctional
Facility admits it failure to comply with policy and procedures
on this particular incident. That Shift Supervisor on shift at the
time in question has resigned due to his negligence in this
matter. Management is taking all precaution to ensure this
error does not occur in the future

Disciplinary
Procedures

Inmate was segregated pending
investigation for protective custody on
8/19/06. After the PC review panel denied
protective custody, the inmate refused a
4a(5) cell assignment in general population and
was issued a disciplinary on 8/25/06.
Inmates disciplinary hearing was not
heard within to the policy time limit of 72
hours.

Warden’s response dated: 9/1/06. Whiteville Correctional
Facility agrees with the above noted non-compliance issue.
The Disciplinary Chairman acknowledges the oversight and
has been held accountable. Also, additional procedures are
being developed to ensure future compliance in this area.
Please note: that the Chief of Security discovered this error
prior to the issued write-up and self reported to the Contract
Monitor.

NON-COMPLIANCE ISSUE

CONTRACTOR RESPONSE/DATE/ CORRECTIVE ACTION
TAKEN

Page 1

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

TDOC MANAGEMENT COMMENTS/NOTES

8/06 monthly

WCFA SUMMARY OF NON-COMPLIANCE NOTIFICATIONS FOR September 2006
OUT-

DATE OF
STANDING
REPORT ISSUE Y/N

6/28/06

8/8/06

8/30/06

No

No

No

DATE/METHOD OF
CONFIRMATION BY
MONITOR/COMMENTS

Monitoring
Instrument

ITEM
NO.

Disciplinary
Procedures

Five inmates were segregated pending
investigation and charged on 6/16/06 with
appropriate TOMIS entries completed in
the AM. On 6/19/06 these inmates were
4a(5)
escorted to the general population
disciplinary hearing room to have their
hearings in the PM, after the policy time
limit of 72 hours had lapsed.

Warden’s response dated: 7/5/06 Whiteville Correctional
Facility acknowledges that the hearings of the said inmates
were delayed until after the 72 hour time frame. However, with CM note: Non-compliance
“good cause” as quoted in TDOC Policy 502.01 IV.
issued for same/similar item
DEFINITIONS: E. Good Cause: Circumstances beyond the
8/30/06, item outstanding.
control of the party (e.g. illness, previously unforeseen need for
witness not immediately available, etc.)

Record and
Reports

Inmate attempted suicide while housed in
segregation. Staff was required to use
6a(3) force to regain control. Staff failed to enter
TOMIS (LIBJ) and disciplinary reports
concerning this and surrounding incidents.

Warden’s response dated: 8/9/06, Whiteville Correctional
Facility admits it failure to comply with policy and procedures
Verified 10/11/06: By review of
on this particular incident. That Shift Supervisor on shift at the
infirmary records/logs, TOMIS
time in question has resigned due to his negligence in this
records.
matter. Management is taking all precaution to ensure this
error does not occur in the future

Disciplinary
Procedures

Inmate was segregated pending
investigation for protective custody on
8/19/06. After the PC review panel denied
protective custody, the inmate refused a
4a(5) cell assignment in general population and
was issued a disciplinary on 8/25/06.
Inmates disciplinary hearing was not
heard within to the policy time limit of 72
hours.

Warden’s response dated: 9/1/06. Whiteville Correctional
Facility agrees with the above noted non-compliance issue.
The Disciplinary Chairman acknowledges the oversight and
has been held accountable. Also, additional procedures are
being developed to ensure future compliance in this area.
Please note: that the Chief of Security discovered this error
prior to the issued write-up and self reported to the Contract
Monitor.

NON-COMPLIANCE ISSUE

CONTRACTOR RESPONSE/DATE/ CORRECTIVE ACTION
TAKEN

Page 1

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

TDOC MANAGEMENT COMMENTS/NOTES

9/06 monthly

WCFA SUMMARY OF NON-COMPLIANCE NOTIFICATIONS FOR October 2006
OUT-

DATE OF
STANDING
REPORT ISSUE Y/N

6/28/06

Yes

Monitoring
Instrument

ITEM
NO.

Disciplinary
Procedures

Five inmates were segregated pending
investigation and charged on 6/16/06 with
appropriate TOMIS entries completed in
the AM. On 6/19/06 these inmates were
4a(5) escorted to the general population
disciplinary hearing room to have their
hearings in the PM, after the policy time
limit of 72 hours had lapsed.

8/30/06

Yes

Disciplinary
Procedures

10/3/06

No

Classification
Procedures

10/6/06

10/13/06

10/16/06

NON-COMPLIANCE ISSUE

TDOC MANAGEMENT COMMENTS/NOTES

Warden’s response dated: 7/5/06 Whiteville Correctional
CM note: Non-compliance
Facility acknowledges that the hearings of the said inmates
issued for same/similar item
were delayed until after the 72 hour time frame. However, with 8/30/06, item outstanding.
“good cause” as quoted in TDOC Policy 502.01 IV.
DEFINITIONS: E. Good Cause: Circumstances beyond the
control of the party (e.g. illness, previously unforeseen need for
witness not immediately available, etc.)

Facility did not provide to TRICOR’s
Warden's response date 10/6/06: Facility concurs that by
Director of marketing an updated semioversight this report was not submitted at the correct time. It
annual summary of clothing need
has now been completed and submitted.
projections for July through December 06.
Pervious projection dated Dec. 16, 2005
(for Jan. 2006).

Clothing,
Sanitation
and Hygiene

No

While monitoring drug testing procedures
this period, staff could not provide
Drug testing
documentation to support testing for July
and
1
Substance through and August 2006. Even though some
documentation was present for
abuse
27
Septembers testing, the 10% of population
treatment
required weren’t completed.

Records and
Reports

DATE/METHOD OF
CONFIRMATION BY
MONITOR/COMMENTS

Warden’s response dated: 9/1/06. Whiteville Correctional
Inmate was segregated pending
Verified 10/18/06: By review on
Facility agrees with the above noted non-compliance issue.
investigation for protective custody on
disciplinary, segregation logs and
8/19/06. After the PC review panel denied The Disciplinary Chairman acknowledges the oversight and
TOMIS MGM reports.
has been held accountable. Also, additional procedures are
protective custody, the inmate refused a
4a(5) cell assignment in general population and being developed to ensure future compliance in this area.
Please note: that the Chief of Security discovered this error
was issued a disciplinary on 8/25/06.
prior to the issued write-up and self reported to the Contract
Inmates disciplinary hearing was not
Monitor.
heard within to the policy time limit of 72
hours
Inmate was classified minimum trusty.
Warden’s response dated: 10/6/06 These letters were re-sent
Notification of Committing Jurisdiction (CR- and copies placed in the inmate’s file. The Records Staff and
1d(2) 1850) not present in inmate’s institutional Classifications Coordinator will ensure future copies are placed
file.
in the file immediately and not placed in the “to be filed” stack.

No

No

CONTRACTOR RESPONSE/DATE/ CORRECTIVE ACTION
TAKEN

Page 1

5a

10

Staff could not provide requested
records/documentation required for
conducting a complete quarterly audit of
inmate drug testing procedures.

Warden’s response dated: 10/16/06 Just prior to the audit of
this area, the drug testing officer went on FMLA leave and has
not returned to work. Facility staff was unable to find the
required documentation. Another employee has been assigned
the responsibility for drug testing.

Warden’s response dated: 10/18/06: As noted on the previous
finding, the UA officer went on sudden FMLA leave just prior to
the audit of this area and the supervisor’s position had been
vacant with the person hired for the position still in training.
Changes in this area of assignment have been made and
steps to correct the deficiencies and preclude their
b i t k

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

10/06 monthly

WCFA SUMMARY OF NON-COMPLIANCE NOTIFICATIONS FOR October 2006
OUT-

DATE OF
STANDING
REPORT ISSUE Y/N

10/18/06

10/19/06

10/26/06

No

No

Yes

Monitoring
Instrument

ITEM
NO.

NON-COMPLIANCE ISSUE

A planned non-emergency use of force
with chemical agents occurred to extract
inmate from his cell. The warden/designee
was not notified for prior approval of a
large canister of OC chemical agents (MKIX) to be used during this extraction.
4g(1,2, Medical staff had been notified nor was
Use of Force
3)
the inmates medical file reviewed prior”.
Staff with first–hand knowledge did enter a
TOMIS report, (00675408) Use of Force
chemical agents. This report does not
reflect a true and accurate account of the
incident as witnessed by the acting CD.

Records and
Reports

Staff with first–hand knowledge did enter a
TOMIS report, (00675408) Use of Force
chemical agents. This report does not
reflect a true and accurate account of the
incident as witnessed by the acting CD.
2b, 10

Inmate was segregated 10/16/06 pending
an investigation for protective custody.
The protective services routing form (CRSpecial
management 2b, 10 3241) was not provided to the
Commissioners Designee for approval
Inmates
within the 72-hour policy guideline.

CONTRACTOR RESPONSE/DATE/ CORRECTIVE ACTION
TAKEN

Page 2
DATE/METHOD OF
CONFIRMATION BY
MONITOR/COMMENTS

TDOC MANAGEMENT COMMENTS/NOTES

Warden’s response dated: 10/23/06 An investigation was
conducted by AW and Chief into this incident and the resulting
use of force. Facility agrees that the Lt. who was just recently
promoted into the position failed to follow applicable policy and
that the TOMIS report contained information that was not
completely accurate. The Lt. was counseled and will receive
disciplinary action.

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 being taken.
As to the failure to provide incident reports, the facility
acknowledges that due to several recent changes in staffing
including the Chief of Security, Asst. Chief of Security and the
Chief of Security’s secretary, there was some confusion
regarding the provision of the 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.
Warden’s response date: 11/6/06 Corrective actions have
been initiated to ensure that the CR-3241 form is completed
and given to the Commissioner’s Designee as soon as it is
reviewed by the Chief of Security.

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

10/06 monthly

WCFA SUMMARY OF NON-COMPLIANCE NOTIFICATIONS FOR November 2006
OUT-

DATE OF
STANDING
REPORT ISSUE Y/N

10/3/06

10/13/06

ITEM
NO.

NON-COMPLIANCE ISSUE

CONTRACTOR RESPONSE/DATE/ CORRECTIVE ACTION
TAKEN

Classification
Procedures

Inmate was classified minimum trusty. Warden’s response dated: 10/6/06 These letters were re-sent
Notification of Committing Jurisdiction (CR-and copies placed in the inmate’s file. The Records Staff and
1d(2)
1850) not present in inmate’s institutional Classifications Coordinator will ensure future copies are placed
file.
in the file immediately and not placed in the “to be filed” stack.

Yes

Clothing,
Sanitation
and Hygiene

Facility did not provide to TRICOR’s
Director of marketing an updated semiWarden's response date 10/6/06: Facility concurs that by
annual summary of clothing need
oversight this report was not submitted at the correct time. It
projections for July through December 06.
has now been completed and submitted.
Pervious projection dated Dec. 16, 2005
(for Jan. 2006).

Yes

While monitoring drug testing procedures
Drug testing
this period, staff could not provide
and
1
documentation to support testing for July
Substance through and August 2006. Even though some
abuse
7
documentation
was
present
for
treatment
Septembers testing, the 10% of population
required weren’t completed.

Yes

10/6/06

Monitoring
Instrument

10/16/06

Yes

10/18/06

Yes

5a

Page 1
DATE/METHOD OF
CONFIRMATION BY
MONITOR/COMMENTS

TDOC MANAGEMENT COMMENTS/NOTES

Warden’s response dated: 10/16/06 Just prior to the audit of
this area, the drug testing officer went on FMLA leave and has
not returned to work. Facility staff was unable to find the
required documentation. Another employee has been assigned
the responsibility for drug testing.

Warden’s response dated: 10/18/06: As noted on the previous
finding, the UA officer went on sudden FMLA leave just prior to
Staff could not provide requested
the audit of this area and the supervisor’s position had been
Records and
records/documentation
required
for
10
vacant with the person hired for the position still in training.
Reports
conducting a complete quarterly audit of
Changes in this area of assignment have been made and
inmate drug testing procedures.
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
was not notified for prior approval of a
Warden’s response dated: 10/23/06 An investigation was
large canister of OC chemical agents (MKconducted by AW and Chief into this incident and the resulting
IX) to be used during this extraction.
use of force. Facility agrees that the Lt. who was just recently
4g(1,2, Medical staff had been notified nor was
promoted into the position failed to follow applicable policy and
Use of Force
the inmates medical file reviewed prior”.
3)
that the TOMIS report contained information that was not
Staff with first–hand knowledge did enter a
completely accurate. The Lt. was counseled and will receive
TOMIS report, (00675408) Use of Force
disciplinary action.
chemical agents. This report does not
reflect a true and accurate account of the
incident as witnessed by the acting CD.

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

11/06 monthly

WCFA SUMMARY OF NON-COMPLIANCE NOTIFICATIONS FOR November 2006
OUT-

DATE OF
STANDING
REPORT ISSUE Y/N

10/19/06

10/26/06

Yes

Yes

Monitoring
Instrument

ITEM
NO.

NON-COMPLIANCE ISSUE

CONTRACTOR RESPONSE/DATE/ CORRECTIVE ACTION
TAKEN

Records and
Reports

Staff with first–hand knowledge did enter a
TOMIS report, (00675408) Use of Force
2b, 10 chemical agents. This report does not
reflect a true and accurate account of the
incident as witnessed by the acting CD.

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 being taken.
As to the failure to provide incident reports, the facility
acknowledges that due to several recent changes in staffing
including the Chief of Security, Asst. Chief of Security and the
Chief of Security’s secretary, there was some confusion
regarding the provision of the 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.

Special
management
Inmates

Inmate was segregated 10/16/06 pending
an investigation for protective custody.
The protective services routing form (CR3241) was not provided to the
Commissioners Designee for approval
within the 72-hour policy guideline.

Warden’s response date: 11/6/06 Corrective actions have
been initiated to ensure that the CR-3241 form is completed
and given to the Commissioner’s Designee as soon as it is
reviewed by the Chief of Security.

2b

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

11/06 monthly

WCFA SUMMARY OF NON-COMPLIANCE NOTIFICATIONS FOR November 2006
OUT-

DATE OF
STANDING
REPORT ISSUE Y/N

11/6/06

No

Monitoring
Instrument

ITEM
NO.

NON-COMPLIANCE ISSUE

CONTRACTOR RESPONSE/DATE/ CORRECTIVE ACTION
TAKEN

Staff used OC from a (MK IV) canister on
an inmate inside an unlocked cell without Warden's response, dated 11/28/06, makes the following
prior notification to medical staff or review points: 1. The CD's report that the Shift Supervisor had not told
of medical file. When reporting incident to her about the inmate's alleged aggressive behavior was based
the CD, shift supervisor failed to mention only on her feelings. 2. The issue raised by the CM that the
any details of inmate aggressive behavior. gas was used in a cell is irrelevant. 3. The use of force was
Use of Force 4g (2,3)
There is no documentation in inmates spontaneous and did not require prior approval. 4. Policy does
medical file to support that medical staff not require that medical be made aware that the inmate who
was advised during the pre-segregation was gassed was trying to swallow something (reportedly drugs)
evaluation
that
the
inmate
had at the time. 5. TDOC staff fails to communicate with facility
chewed/swallowed an alleged substance, staff.
possibly drugs.

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

12/11/06 DCCO CM note: A review of the
incident report and applicable policies provides
the following responses to the points raised by
the Warden: 1. The CD's report that the incident
report did not correspond with what the Shift
Supervisor told her is not based on her
feelings, it is based on what she was told by
the Shift Supervisor. 2. WCFA policy 9-112
A.5.E.5. states: "In all uses of gas in cells there
shall be a review of medical files prior to using
gas". The 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. Documentation
indicates that prior to using gas, the Shift
Supervisor called for a video camera, which
was then dispatched to the area. This was not,
therefore, a spontaneous use of force,
but a planned use of force which requires prior
TDOC approval. 4. As the Warden's response
also states, it would have been appropriate for
medical staff to have been made aware that the
inmate had swallowed something. It is TDOC's
position that it would also have been
appropriate for this to be documented in the
inmate's medical file, and for a drug screen to
have been performed (since the inmate was
thought to have swallowed drugs). Neither of
these actions is documented. 5. TDOC staff
regularly communicate with facility staff, both
verbally and in writing, in an effort to facilitate
the improvement of facility operation and to
hold the facility responsible for operating the
facility as required by the contract and
approved policies.

11/06 monthly

WCFA SUMMARY OF NON-COMPLIANCE NOTIFICATIONS FOR November 2006
OUT-

DATE OF
STANDING
REPORT ISSUE Y/N

10/26/06

No

Monitoring
Instrument

Records and
Reports

ITEM
NO.

10

NON-COMPLIANCE ISSUE

CONTRACTOR RESPONSE/DATE/ CORRECTIVE ACTION
TAKEN

Warden's response, dated 11/28/06, makes the following
points: 1. The report cited by the CM is required to be
On 10/30/06 staff used force (chemical
completed within 21 days. 2. The CM should have advised the
agents) incident #00676614. The 5-1a
Warden that the report was expected by the end of the shift. 3.
incident report packet wasn’t submitted to
The NCR is not specific enough to respond to. 4. The Liaisons
the CD by conclusion of the shift. This
do not work to improve facility operation and cooperation. 5.
report was under the TDOC Liaisons door
The Liaisons keep trying to find things that are wrong, resulting
11/2/06. Furthermore the 5-1a and TOMIS
in inaccurate reports based on assumptions rather than facts.
report does not reflect a true and accurate
6. The TDOC is not complying with many requirements of the
account of the incident told to the CM by
contract, including weekly meetings between the Warden and
the shift supervisor.
Liaisons. 7. The Liaisons continue to seek minute details to
report on without discussing them with the Warden in advance.

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

Page 4
DATE/METHOD OF
CONFIRMATION BY
MONITOR/COMMENTS

TDOC MANAGEMENT COMMENTS/NOTES
12/11/06 DCCO CM note: A review of the
incident report and applicable policies provides
the following responses to the points raised by
the Warden: 1. Policy requires the Use of Force
report to be submitted to the CD no later than
the conclusion of shift. 2. The late submission
of these reports was reported on an NCR
10/19/06. This should have served the purpose
of informing the Warden that the CM expected
policy requirements to be complied with. 3.
This incident and the shortcomings of the
facility's Use of Force report are dealt with in
depth in the NCR for Use of Force item 4g
above, which was submitted to the Warden
simultaneously with this NCR. The Warden
admits in his response that the Use of Force
report in question was not accurate. 4. TDOC
staff constantly communicate with facility staff,
both verbally and in writing, in an effort to
facilitate the improvement of facility operation
and to hold the contractor responsible for
operating the facility as required by the
contract and approved policies. 5. There are
many instances in which the Liaisons have
discussed concerns with facility management
prior to/in lieu of issuing NCRs, as well as
cases in which the CM has withdrawn NCRs or
NCRs have been withdrawn by TDOC
management. Open communication does not
preclude the use of the monitoring process
required by the contract and policy. 6. WCFA
management has been asked if weekly
meetings would be useful, and have indicated
that due to the close proximity of the Liaisons
and Warden and their immediate access to
each other, such meetings would not be helpful
or necessary. 7. The issues discussed in the
NCRs issued by the CM are not “minute”. They
are required by Policies and the contract, and
are listed on the monitoring instruments with
which the State safeguards its interests.

11/06 monthly

WCFA SUMMARY OF NON-COMPLIANCE NOTIFICATIONS FOR November 2006
OUT-

DATE OF
STANDING
REPORT ISSUE Y/N

11/15/06

No

Monitoring
Instrument

Disciplinary
Procedures

ITEM
NO.

NON-COMPLIANCE ISSUE

10 inmates were segregated 10/31/06
after being on a segregation waiting list.
The segregation packs with movement
4a (6)
confinement forms were not immediately
made available for commissioner’s
designee review until 11/13/06.

CONTRACTOR RESPONSE/DATE/ CORRECTIVE ACTION
TAKEN

Page 5
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 list, by notifying
TDOC Bettie Hammond via telephone and discussing the
placements. Additionally, per the Chief of Security’s Secretary,
on November 1, 2006, the segregation packs with movement
confinement forms were placed in the TDOC Office. However,
the 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. The
Assistant Warden and Chief of Security have counseled the
Segregation

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

11/06 monthly

WCFA SUMMARY OF NON-COMPLIANCE NOTIFICATIONS FOR December 2006
OUT-

DATE OF
STANDING
REPORT ISSUE Y/N

10/3/06

Yes

10/6/06

10/13/06

10/16/06

10/18/06

Monitoring
Instrument

Classification
Procedures

ITEM
NO.

NON-COMPLIANCE ISSUE

CONTRACTOR RESPONSE/DATE/ CORRECTIVE ACTION
TAKEN

Page 1
DATE/METHOD OF
CONFIRMATION BY
MONITOR/COMMENTS

TDOC MANAGEMENT COMMENTS/NOTES

Inmate was classified minimum trusty. Warden’s response dated: 10/6/06 These letters were re-sent
Notification of Committing Jurisdiction (CR-and copies placed in the inmate’s file. The Records Staff and Verified 12/15/06: By review
1d(2)
1850) not present in inmate’s institutional Classifications Coordinator will ensure future copies are placed inmate's institutional files.
file.
in the file immediately and not placed in the “to be filed” stack.
Facility did not provide to TRICOR’s
Director of marketing an updated semiWarden's response date 10/6/06: Facility concurs that by Verified 10/6/06: Facility
annual summary of clothing need
oversight this report was not submitted at the correct time. It submitted Clothing projections
projections for July through December 06.
has now been completed and submitted.
memo.
Pervious projection dated Dec. 16, 2005
(for Jan. 2006).

Yes

Clothing,
Sanitation
and Hygiene

Yes

While monitoring drug testing procedures
Drug testing
this period, staff could not provide
and
1
documentation to support testing for July
Substance through and August 2006. Even though some
abuse
7
documentation
was
present
for
treatment
Septembers testing, the 10% of population
required weren’t completed.

5a

Warden’s response dated: 10/16/06 Just prior to the audit of
this area, the drug testing officer went on FMLA leave and has
CM note: Monitored Jan 07 to
not returned to work. Facility staff was unable to find the
ensure staff had time to correct.
required documentation. Another employee has been assigned
the responsibility for drug testing.

Warden’s response dated: 10/18/06: As noted on the previous
finding, the UA officer went on sudden FMLA leave just prior to
Staff could not provide requested
the audit of this area and the supervisor’s position had been CM note: Non-compliance issued
records/documentation
required
for
vacant with the person hired for the position still in training. 10/19/06 and 11/6/06 for same or
conducting a complete quarterly audit of
Changes in this area of assignment have been made and similir item, item outstanding.
inmate drug testing procedures.
steps to correct the deficiencies and preclude their
reoccurrence are being taken.

Yes

Records and
Reports

Yes

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

10

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

12/06 monthly

WCFA SUMMARY OF NON-COMPLIANCE NOTIFICATIONS FOR December 2006
OUT-

DATE OF
STANDING
REPORT ISSUE Y/N

10/19/06

10/26/06

11/6/06

Monitoring
Instrument

ITEM
NO.

NON-COMPLIANCE ISSUE

CONTRACTOR RESPONSE/DATE/ CORRECTIVE ACTION
TAKEN

Records and
Reports

Yes

Special
management
Inmates

Inmate was segregated 10/16/06 pending
an investigation for protective custody.
The protective services routing form (CR3241) was not provided to the
Commissioners Designee for approval
within the 72-hour policy guideline.

No

Staff used OC from a (MK IV) canister on
an inmate inside an unlocked cell without Warden's response, dated 11/28/06, makes the following
prior notification to medical staff or review points: 1. The CD's report that the Shift Supervisor had not told
of medical file. When reporting incident to her about the inmate's alleged aggressive behavior was based
the CD, shift supervisor failed to mention only on her feelings. 2. The issue raised by the CM that the
any details of inmate aggressive behavior. gas was used in a cell is irrelevant. 3. The use of force was
Use of Force 4g (2,3)
There is no documentation in inmates spontaneous and did not require prior approval. 4. Policy does
medical file to support that medical staff not require that medical be made aware that the inmate who
was advised during the pre-segregation was gassed was trying to swallow something (reportedly drugs)
evaluation
that
the
inmate
had at the time. 5. TDOC staff fails to communicate with facility
chewed/swallowed an alleged substance, staff.
possibly drugs.

2b

DATE/METHOD OF
CONFIRMATION BY
MONITOR/COMMENTS

TDOC MANAGEMENT COMMENTS/NOTES

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 being taken.
As to the failure to provide incident reports, the facility
CM note: Non-compliance issued
acknowledges that due to several recent changes in staffing
10/19/06 and 11/6/06 for same or
including the Chief of Security, Asst. Chief of Security and the
similir item, item outstanding.
Chief of Security’s secretary, there was some confusion
regarding the provision of the 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.

Staff with first–hand knowledge did enter a
TOMIS report, (00675408) Use of Force
2b, 10 chemical agents. This report does not
reflect a true and accurate account of the
incident as witnessed by the acting CD.

Yes

Page 2

Warden’s response date: 11/6/06 Corrective actions have
been initiated to ensure that the CR-3241 form is completed
and given to the Commissioner’s Designee as soon as it is
reviewed by the Chief of Security.

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

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.

12/06 monthly

WCFA SUMMARY OF NON-COMPLIANCE NOTIFICATIONS FOR December 2006
OUT-

DATE OF
STANDING
REPORT ISSUE Y/N

10/26/06

11/15/06

Yes

Yes

Monitoring
Instrument

Records and
Reports

Disciplinary
Procedures

ITEM
NO.

10

NON-COMPLIANCE ISSUE

CONTRACTOR RESPONSE/DATE/ CORRECTIVE ACTION
TAKEN

Warden's response, dated 11/28/06, makes the following
points: 1. The report cited by the CM is required to be
On 10/30/06 staff used force (chemical
completed within 21 days. 2. The CM should have advised the
agents) incident #00676614. The 5-1a
Warden that the report was expected by the end of the shift. 3.
incident report packet wasn’t submitted to
The NCR is not specific enough to respond to. 4. The Liaisons
the CD by conclusion of the shift. This
do not work to improve facility operation and cooperation. 5.
report was under the TDOC Liaisons door
The Liaisons keep trying to find things that are wrong, resulting
11/2/06. Furthermore the 5-1a and TOMIS
in inaccurate reports based on assumptions rather than facts.
report does not reflect a true and accurate
6. The TDOC is not complying with many requirements of the
account of the incident told to the CM by
contract, including weekly meetings between the Warden and
the shift supervisor.
Liaisons. 7. The Liaisons continue to seek minute details to
report on without discussing them with the Warden in advance.

10 inmates were segregated 10/31/06
after being on a segregation waiting list.
The segregation packs with movement
4a (6)
confinement forms were not immediately
made available for commissioner’s
designee review until 11/13/06.

Page 3
DATE/METHOD OF
CONFIRMATION BY
MONITOR/COMMENTS

TDOC MANAGEMENT COMMENTS/NOTES

12/11/06 DCCO CM note (summarized): 1. Policy
requires the Use of Force report to be submitted to
the CD no later than the conclusion of shift. 2. The
late submission of these reports was reported on
an NCR 10/19/06. 3. This incident is dealt with in
the NCR for item 4g above. The Warden admits in
his response that the Use of Force report in
question was not accurate. 4. TDOC staff
CM note: Non-compliance issued
constantly communicate with facility staff. 5. Open
10/19/06 and 11/6/06 for same or
communication does not preclude the use of the
similir item, item outstanding.
monitoring process required by the contract and
policy. 6. WCFA management has indicated such
meetings would not be helpful or necessary. 7. The
issues discussed in the NCRs issued by the CM
are not “minute”. They are required by Policies and
the contract, and are listed on the monitoring
instruments with which the State safeguards its
interests.

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 list, by notifying
TDOC Bettie Hammond via telephone and discussing the
placements. Additionally, per the Chief of Security’s Secretary,
on November 1, 2006, the segregation packs with movement
confinement forms were placed in the TDOC Office. However,
the 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. The
Assistant Warden and Chief of Security have counseled the
Segregation

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

12/06 monthly