Case 2:15-cv-00368-MHT-TFM Document 1 Filed 05/28/15 Page 1 of 7

IN THE UNITED STATES PTRICT COURT FOR THE MU E1VOF ALABAMA

UNITED STATES OF AMERICA,

28 tt : OL

PLAINTIFF,
V.
STATOF.ALABAMAAND ALABAMA DEPARTMENT OF

itE \ST)CT

)

. )

Civil

tEANTS.

COMPLAINT PLAINTIFF, THE UNITED STATES OF AMERICA, by its undersigned attorneys, hereby alleges upon information and belief: .1. The United States files this Complaint pursuant to the Civil Rights of Institutionalized Persons Act, 42.U.S.C. § 1997, -to enjoin the named Defendants from depriving persons incarcerated at the Julia Tutwiler Prison for Women in Wetumpka, Alabama, of rights, privileges ,or inii unities secured and protected by the Constitution of the United States
JURISDICTION AND VENUE 2. This Court has jurisdiction over this action under 28 U.S.C. § 1331 and 1345. 3. The United States is authorized to initiate this action pursuant to 42 U.S.C. § 1 997a(a). 4. The Attorney General has certified that all pre-Piling requirements specified in 42 U.S.C.
§:1997b have been met. The Certificate of the Attorney General is appended to this Complaint as Attachment A and is incorporated herein.

Case 2:15-cv-00368-MHT-TFM Document 1 Filed 05/28/15 Page 2 of 7
-25. Venue in the United States District Court for the Middle District of Alabama is proper
pursuant to 28 U.S.C. § 1391. PARTIES
6. Plaintiff is the UNITED STATES OF AMERICA. 7. Defendants STATE OF ALABAMA and ALABAMA DEPARTMENT OF
CORRECTIONS operate Tutwiler, and are responsible for the safety, care, custody, and control of women incarcerated there, as Well as for the actions of the Tutwiler and Alabama Department of Corrections staff and for the actions of any entity or individual contracting and providing services at Tutwiler. 8. At all relevant times, Defendants have acted or failed to act under color of state law.
FACTS 9. Tutwiler is an institution within the meaning of 42 U.S.C. § 1997(1). 10. Tutwiler is a maximum-security prison for women in Wetumpka, Alabama with a capacity
of 975. 11. In 2013, the Department of Justice's Civil Rights Division, Special Litigation Section
investigated allegations of staff sexual abuse and sexual harassment of Tutwiler prisoners, and determined that Defendants, through their acts and omissions, engage in a patter Or practice of deliberately disregarding known or serious risks of harm from sexual abuse and sexual harassment of Tutwiler prisoners. 12.The United States' investigation included an on-site inspection with an expert consultant in custodial sexual abuse and sexual harassment, during which Department of Justice
WE
representatives toured the prison, interviewed staff and prisoners, and reviewed a wide array of documents, including policies, procedures, reports and training records.

Case 2:15-cv-00368-MHT-TFM Document 1 Filed 05/28/15 Page 3 of 7
-311 The United States' findings are outlined in its January 17, 2014 Findings Letter regarding
constitutional violations at Tutwiler, including those described in paragraphs 14 through 25 below. 14. Women prisoners at Tutwiler suffer serious harm from sexual abuse and sexual harassment by staff, including rape, fondling, voyeurism, and sexually explicit verbal abuse. 15. Women prisoners at Tutwiler are subjected to the high risk and threat of sexual abuse by staff. 16. Defendants have allowed Tutwiler staff members to encourage individual and group sexual activities by and among prisoners. 17. Defendants have allowed a sexualized environment to exist at Tutwiler, such that sexual abuse and sexual harassment are constant, and prisoners must sometimes submit to unlawful sexual advances from staff in order to obtain necessities or to avoid punishment. 18. Defendants-do not have a grievance system, or other .reliable reporting system, and thereby effectively deny women prisoners the ability to report sexual abuse and sexual harassment. 19. Defendants retaliate against women who attempt to report sexual abuse and sexual harassment. Women prisoners who attempt to report such abuse are routinely placed in segregation and face threats of physical assault by staff. 20. Defendants fail to adequately investigate allegations of sexual abuse and harassment. 21. Defendants fail to appropriately discipline officers found to have engaged in sexual abuse. For example, several officers have been permitted to resign in lieu of termination after having allegedly engaged in sexual abuse. Other staff alleged to have engaged in sexual abuse or sexual harassment have been reassigned to other ADOC facilities. Similarly, highlevel Tutwiler officials who allowed the climate of sexual abuse and sexual harassment to

Case 2:15-cv-00368-MHT-TFM Document 1 Filed 05/28/15 Page 4 of 7
-4 flourish received transfers to equally high or higher level positions at other ADOC facilities. 22. Defendants have failed to institute gender-responsive policies and procedures to address sexual abuse and sexual harassment and to remedy the sexualized atmosphere at Tutwiler. 23. Defendants have failed to collect and analyze data to identify potential misconduct before it occurs, thus subjecting prisoners to sexual harassment and sexual abuse that could have been prevented. 24. Defendants have maintained dangerously low staffing levels, including a dearth of female officers, thus placing prisoners at serious risk of harm frOm other prisoners and Staff. 25. Defendants' classification system does not identify or protect potential victims from abuse, thereby dispersing vulnerable populations amongst the various units and subjecting them to risk of harm. In addition, Tutwiler has no pre-classification screening, so that prisoners spend weeks waiting for a housing assignment without any assessment of risk. 26. The factual allegations set forth in paragraphs 13 through 25 have been obvious and known to Defendants for a substantial period of time, yet Defendants have deliberately failed to adequately address the conditions described. 27. In 1994, the Department of Justice's Civil Rights Division, Special Litigation Section investigated Tutwiler and consequently issued a Findings Letter on March 27, 1995, Vnforming Defendants of, inter alia, inappropriate sexual contact between staff and prisoners. 28. In 2007, the Department of Justice's Office of Justice Programs, Bureau of Justice Statistics published a report in which it identified Tutwiler as the women's prison with the highest rate of sexual assault allegations in the country.

Case 2:15-cv-00368-MHT-TFM Document 1 Filed 05/28/15 Page 5 of 7
-5-
29. In 2012, the Equal Justice Initiative issued a report detailing staff sexual violence against women prisoners at Tutwiler, indicating that little had changed since the 2007 findings by the Bureau of Justice Statistics.
30. On November 1, 2012, the NIC issued a letter to Defendants indentifying deficiencies at Tutwiler that contributed to the sexualized environment and harm to prisoners. VIOLATIONS ALLEGED
31. The allegations of Paragraphs 1 through 30 are hereby re-alleged and incorporated by reference.
32. Through the acts and omissions alleged in paragraphs 13 through 30, Defendants have subjected prisoners at Tutwiler to a pattern and practice of conditions of confinement that deprive them of rights, privileges, and immunities secured and protected under the Constitution of the United States, causing such prisoners to suffer grievous harm:. U.S.; Const. Amend. VIII.
33. Through the acts and omissions alleged in paragraphs 13 through 30, Defendants have exhibited deliberate indifference to the healthatid safety of Tutwiler prisoners, in violation of the rights, privileges, or immunities of those prisoners as secured or protected by the Constitution of the United States. U.S. Const. Amend. VIII.
34. Unless restrained by this Court, Defendants will continue to engage in the acts and omissions, set forth in paragraphs 13 through 30, that deprive persons confined at Tutwiler of privileges or immunities secured or protected by the Constitution of the United States.

Case 2:15-cv-00368-MHT-TFM Document 1 Filed 05/28/15 Page 6 of 7

PRAYER FOR RELIEF 35. The Attorney General is authorized under 42 U.S.C. § 1997a to seek appropriate equitable
relief. 36. WHEREFORE, the United States prays that this court enter an order:
a. declaring that the acts, omissions, and practices of Defendants set forth in paragraphs 13 through 30 above constitute a pattern or practice of conduct that deprives prisoners confined at Tutwiler of rights, privileges, or immunities secured or protected by the Constitution of the United States and that those acts, omissions, and practices violate the Constitution of the United States;
b. permanently enjoining Defendants, their officers, agents, employees, subordinates, successors in office, and all those acting in concert or participation with them from continuing the acts, omissions, and practices set fOrth in paragraphs 13 through 30 above and requiring Defendants to take such actions as will ensure lawful conditions of confinement are afforded to prisoners at Tutwiler; and
C. granting such other and further equitable relief as it may deem just and proper.

FOR THE UNITED STATES:

Respectfully submitted,
LORETTA E. LYNCH Attorney General United States

Case 2:15-cv-00368-MHT-TFM Document 1 Filed 05/28/15 Page 7 of 7

GEORGE L... BECK JR., UNITED STATES ATTORNEY

—7-
VANITA GUPTA Principal Deputy Assistant Attorney General Civil Rights Division

4 B
Assistant United States Attorney United States Attorney's Office Middle District of Alabama 131 Clayton Street
MontgomeryI,AAL\ 36104
Facsjmile:(334) 223-7560 Email: Robett.Anderson@usdoi.gov

LIZ Deputy Assistant Attorney General
Civil Rights Division
JUDITH C. PSTON Acting Chief Special Litigation Section
JULIE K. AB
Special Litigation Section
AARON S. FLEISHER ZAZY I. LOPEZ Trial Attorneys Special Litigation Section Civil Rights Division U.S. Department of Justice 950 Pennsylvania Avenue, NW Washington, DC 20530 Telephone: (202) 307-6457 Facsimile: (202) 514-6903 Email: aaron.fleisher@usdoi.gov,

 </s> Case 2:15-cv-00368-MHT-TFM Document 2 Filed 05/28/15 Page 1 of 9

IN THEDISTRICT COURT

FOR THE

g CT OF ALABAMA

ZHJS MAY 2,8 A II : 03

UNITED

STATES

OF

AMERICA DMA

P.

HACcETT.)K

PLAINTIFF,

U.S. DISIFdCT cOUR

V.

)

STATE OF ALABAMA AND

)

ALABAMA DEPARTMENT OF CORRECTIONS,)

)

DEFENDANTS.

)

Civil No/4SV-3ji

JOINT MOTION TO ENTER SETTLEMENT AGREEMENT The United States of America, Plaintiff, and the State of Alabama and the Alabama Department of Corrections, Defendants, having entered into a Settlement Agreement concerning conditions of confinement at the Julia Tutwiler Prison for Women in Wetumpka, Alabama, jointly and respectfully move this Court for entry of the attached Agreement as an Order of the Court to resolve the above-captioned case. The Parties further respectfully request that this Court conditionally dismiss the United States' Complaint without prejudice, pursuant to Fed. R. Civ. P. 41(a)(2), and retain jurisdiction over the Agreement for enforcement purposes. The Court should approve and enter this Agreement as an Order because negotiated settlements are favored over costly and lengthy contested litigation. In addition, the Agreement satisfies all the factors courts look to in determining whether approval is warranted. The Agreement is fair and reasonable, having been negotiated Over many months in good faith by the Parties. Furthermore, it is not unconstitutional or unlawful, and in fact will have the effect of protecting the constitutional rights of Tutwilet prisoners. Nor is the Agreement a product of

Case 2:15-cv-00368-MHT-TFM Document 2 Filed 05/28/15 Page 2 of 9
collusion. Finally, as the Parties have stipulated, it complies with the Prison Litigation Reform Act, in that it is narrowly tailored to remedy the violations alleged in the Complaint.
The Agreement, if entered as an Order by this Court, will resolve all claims that the United States raised in its contemporaneously filed Complaint.
I. BACKGROUND On February 26, 2013, the Civil Rights Division of the United States Department of
Justice notified Tutwiler officials of its intent to open an investigation pursuant to the Civil Rights of Institutionalized Persons Act, 42 U.S.C. § 1997 ("CRIPA"), as to whether prisoners confined at Tutwiler were subject to sexual abuse and sexual harassment by staff. On January 17, 2014, the United States issued a findings letter pursuant to 42 U.S.C. § 1997 that concluded that the State of Alabama violated the Eighth Amendment of the United States Constitution by failing.to protect women prisoners at Tutwiler from harm due to sexual abuse and sexual harassment from correctional staff, and listed the minimum remedial measures necessary to rectify such conditions.
Following the issuance Of the fmdings letter, the Parties conducted numerous negotiation sessions over many months and ultimately reached resolution on the disputed issues in this matter. The Parties have embodied that resolution in this Agreement, and seek this Court's approval of the Agreement and entry of the Agreement as an Order of this Court.
H. DISCUSSION Negotiated settlements are encouraged as a way of avoiding contested litigation. Indeed,
there is a "strong judicial policy favoring settlement as well as. .. the realization that compromise is the essence of [the] settlement." Bennett v. Behring Corp., 737 F.2d 982, 986
2

Case 2:15-cv-00368-MHT-TFM Document 2 Filed 05/28/15 Page 3 of 9
(11th Cir. 1984); see also Murchison v. Grand Cypress Hotel Corp., 13 F.3d 1483, 1486 (11th Cir. 1994) ("We favor and encourage settlements in order to conserve judicial resources").
Before approving a settlement agreement, a court should ensure that the agreement satisfies several factors. First, the court should ascertain that the settlement is fair, adequate and reasonable as between the parties. See In re Smith, 926 F.2d 1027, 1028-29 (11th Cir. 1991). The court should also ensure that the agreement is not "unconstitutional, unlawful, unreasonable, or contrary to public policy." Stovall v. City of Cocoa, 117 F.3d 1238, 1240 (11th Cir. 1997) (citation omitted); see also Howard v. McLucas, 871 17 .2d 1000, 1008 (11th Cir. 1989) (holding that a court should determine whether a consent decree "represent[s] a reasonable factual and legal determination based on the record, and ensure that it [does] not violate federal law"). In addition, the court should ensure that the agreement is a not a product of coHusion. See Smith, izo r.za at iuzo-zi.
Finally, because the Agreement here constitutes prospective relief regarding prison conditions, this Court must also find that the Agreement complies with the Prison Litigation Reform Act ("PLRA"), 18 U.S.C. § 3626. The PLRA requires that the Court find the Agreement's "relief is narrowly drawn, extends no further than necessary to correct the violation of the Federal right, and is the least intrusive means necessary to correct the violation of the Federal right." 18 U.S.C. § 3626(a)(1)(A) & (c)(1).
As explained below, the Agreement here satisfies all the conditions for approval, and thus this Court should approve and enter the Agreement.'
a. The Agreement is Fair, Adequate, and Reasonable Acomprehensive investigation followed by numerous rounds of negotiations resulted in

Case 2:15-cv-00368-MHT-TFM Document 2 Filed 05/28/15 Page 4 of 9
an agreement that is fair, adequate, and reasonable. The United States' CRIPA investigation and the details included in its findings letter clearly establish an adequate factual record supporting the legitimacy of the Agreement. The United States is intimately familiar with the conditions and practices at Tutwiler and spent months negotiating an agreement that will address the deficiencies identified in the findings letter and the Complaint.
The Settlement Agreement contains comprehensive provisions designed to prevent, detect, and respond to sexual abuse and sexual harassment at Tutwiler. These comprehensive provisions directly coincide with the particular constitutional violations identified in the findings letter and alleged in the Complaint. Along with substantive provisions, the Agreement also contains requirements regarding the implementation of a quality assurance program. Defendants will track and analyze data in order to identify and address deficiencies in Defendants' prevention, detection, and response to sexual misconduct at Tutwiler, and to assess and ensure compliance with the terms of the Agreement. Defendants will provide semi-annual selfassessment compliance reports to the United States and to a jointly-selected independent monitor. The monitor will be retained by Defendants to monitor implementation of the Agreement. The monitor will have full and complete access to Tutwiler and its records, and all staff of TutWiler will be directed to cooperate fully with the monitor. The monitor will provide compliance reports to the Court every six months.
Defendants have agreed to implement all policies and procedures required by the Agreement within nine months of the effective date of the Agreement. The Agreement will terminate when Defendants have achieved subtanfia1 compliance with each provision of the Agreement, and have maintained substantial compliance for three consecutive Court-filed
4

Case 2:15-cv-00368-MHT-TFM Document 2 Filed 05/28/15 Page 5 of 9
compliance reports. The Agreement thus is fair, adequate, and reasonable. All Parties have validly consented
to the Agreement, which does not unreasonably affect third parties. The Parties agree that the Agreement is a fair, reasonable, and adequate resolution of all the issues related to the United States' investigation of Tutwiler pursuant to CRIPA.
b. The Agreement is not Unconstitutional, Unlawful, or Contrary to Public Policy
The Agreement does not violate the Constitution, any statutes or public policy. On the contrary, the Agreement serves to protect the constitutional rights of prisoners at Tutwiler. Protecting constitutional rights is manifestly an important public policy interest.
c. The Agreement is not a Product of Collusion The Agreement is the result of months of arms-length negotiations by the Parties, and therefore "is not the product of collusion between the parties." Bennett, 737 F.2d 982, 986. After the United States issued its findings on January 17, 2014, the United States began settlement discussions with Defendants in March 2014, and the Parties subsequently conducted many months of face-to-face negotiations. The Parties in the instant case are represented by experienced litijators who engaged in "a process of compromise in which, 'in exchange for the saving[s] of cost and elimination of risk, the parties each give up something they might have won had they proceeded with the litigation." U.S. i'. City ofJackson, Miss., 519 F.2d 1147,1152 (5th Cir. 1975), quoting United States v. Armour & CO., 402 U.S. 673, 681 (1971). The respective duties of each government agency towards those they represent provides this Court with assurance that the Settlement Agreement is not the product of collusion.

Case 2:15-cv-00368-MHT-TFM Document 2 Filed 05/28/15 Page 6 of 9
d. The Agreement is Narrowly Tailored to Remedy Ongoing Violations As referenced above, because the Agreement here constitutes prospective relief regarding prison conditions, this Court must find that it complies with the PLRA. The PLRA requires that the Court find the Settlement Agreement's "relief is narrowly drawn, extends no further than necessary to correct the violation of the Federal right, and is the least intrusive means necessary to correct the violation Of the Federal right." 18 U.S.C. § 3626(a)(1)(A) & (c)(1). Here, the relief agreed upon is narrowly tailored to remedy the United States' allegations that Defendants violated the Eighth Amendment of the United States Constitution by failing to protect women prisoners at Tutwiler from harm due to sexual abuse and harassment from correctional staff. Each provision of the Agreement addresses an allegation outlined in the January 17, 2014 findings letter of the United States, which formed the factual basis of its Complaint filed in conjunction with this Agreement. The remedies contained in the Agreement were developed from the findings letter of the United States in which, as required under CRIPA, the United States listed only "the minimum measures which the Attorney General believes may remedy the alleged conditions and the alleged pattern or practice of resistance." 42 U.S.C. § 1997b(a)(1)(C). Thus, from the outset of negotiations, the Parties have focused on agreeing only to those "minimum corrective measures necessary to insure the full enjoyment of such rights, privileges, or immunities. secured or protected by the Constitution [or laws] of the United States." 42 U.S.C. § 1997a(a) Although "[t]he PLRA generally requires that the court 'engage in aspecific, provisionby-provision examination of [a] consent decree[ ], measuring each requirement against the

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statutory criteria' ... '[t]he parties are free to make any concessions or enter into any stipulations they deem appropriate,' and the district court does not need to 'conduct an evidentiary hearing about or enter particularized findings concerning any facts or factors about which there is not dispute." Henderson v. Thomas, No. 2:11 cv224, 2013 WL 5493197, at * 8 (M.D. Ala. Sept. 30, 2013) (quoting Cason v. Seckinger, 231 F.3d 777, 785 & n.8 (11th Cir. 2000)); see also Laube v. Campbell, 333 F. Supp. 2d 1234, 1239 (M.D. Ala. 2004) (relying on Cason, the Court finds that "the remedial provisions to which the parties have agreed. . . represent the parties' considered judgment as to what is necessary, narrow, and least intrusive with respect to the specific problems presented in this case, with which the parties are intimately familiar") (internal quotation omitted).
Accordingly, the Parties stipulated in Part XII of the Agreement that the relief required therein: complies in all respects with the provisions of 18 U.S.C. § 3626(a). The Parties further stipulated that the prospective relief in this Agreement is narrowly drawn, extends no further than necessary to remedy Plaintiffs allegations that Defendants violated the Eighth Amendment of the United States Constitution by failing to protect women prisoners at Tutwiler from harm due to sexual abuse and harassment from correctional staff, is the least intrusive means necessary to correct these alleged 'violations, and will not have an adverse impact on public safety or the operation of a criminal justice system.
III. CONCLUSION For the reasons above, this Court should find that the Agreement is fair, adequate, and
reasonable; is not unconstitutional, unlawful, or contrary to public policy; is not a product of collusion; and complies in all respects with the PLRA.
VA

Case 2:15-cv-00368-MHT-TFM Document 2 Filed 05/28/15 Page 8 of 9

Wherefore, the Parties respectfully andjointly request that this Court approve the Agreement in its entirety, enter it as an Order of the Court, conditionally dismiss the United States' Complaint without prejudice, and retain jurisdiction for enforcement purposes.

FOR THE UNITED STATES:
GEORGE L. BECK JR., UNITED STATES ATTORNEY

Respectfully submitted,
VANITA GUPTA Principal Deputy Assistant Attorney General Civil Rights Division

MARK KAPPELHOFF Deputy Assistant Attorney General Civil Rights Division

B ROyS-.ERZT Assistant United States Attofney United States Attorney's Office Middle District of Alabama 131 Clayton Street Montgomery, AL 36104 Telephone: (334) 223-7280 Facsimile: (334) 223-7560 Email: Robert.Anderson(usdoj.gov

PRESTON
Speci1 Litigation Section
UL U Deputy Chief Special Litigation Section
AARON S. FLEISHER ZAZY I. LOPEZ Trial Attorneys Special Litigation Section Civil Rights Division U.S. Department of Justice

8

Case 2:15-cv-00368-MHT-TFM Document 2 Filed 05/28/15 Page 9 of 9

103 9XII0 UUM-IND &I

950 Pennsylvania Avenue, NW Washington, DC 20530 Telephone: (202) 307-6457 Facsimile: (202) 514-6903 Email: aaron.fleisher@usdoj.gov

301 South Ripley Street P.O. Box 301501 Montgomery, Alabama 36130-1501 Telephone: (334) 353-3884 Email: Anne.Hi1l2doc.alabama.gov

Vj

 </s> Case 2:15-cv-00368-MHT-TFM Document 2-1 Filed 05/28/15 Page 1 of 44

IN THE UNITED STATES DISTRICT COURT FOR THE MIDDLE DISTRICT OF ALABAMA

UNITED STATES OF AMERICA, PLAINTIFF,

)
CEVEb

V.
THE STATE OF ALABAMA and THE ALABAMA DEPARTMENT OF CORRECTIONS,
DEFENDANTS.

7015 ^AY28 Ali : O

)

Civil No

DEBRA P. FIACKET.T.cL

U S tISTR1CT COURT

M!DDE DISTRC1 ALA

)

) )

SETTLEMENT AGREEMENT
I. INTRODUCTION
The State of Alabama, the Alabama Department of Corrections ("ADOC"), and the United States of America enter into this Agreement with the goal of ensuring that inmates at the Julia Tutwiler Prison for Women are provided with constitutional conditions that protect them from sexual abuse and sexual harassment.
2. The Civil Rights Division of the United States Department of Justice commenced an investigation of allegations of sexual abuse and sexual harassment at Tutwiler pursuant to the Civil Rights of Institutionalized Persons Act, 42 U.S.C. § 1997 ("CRIPA").
3. On January 17, 2014, the United States issued an investigative findings letter that concluded that certain conditions at Tutwiler violated inmates' constitutional rights ("Findings Letter") (attached as Appendix A). Specifically, the United States concluded that ADOC violated the Eighth Amendment of the United States Constitution by failing to protect women inmates at Tutwiler from harm due to sexual abuse and sexual harassment from correctional staff.
4. DOJ acknowledges and appreciates the cooperation and good faith shown to the Department of Justice and its representatives on the part of the Governor of Alabama, the Commissioner of the Alabama Department of Corrections, ADOC's leadership, and staff. DOJ was given full access to Tutwiler's physical plant, its inmates, its staff, its vendors, and thousands of pages of documents requested by DOJ and its experts for review. The Governor, Commissioner, and the ADOC's management team have demonstrated a commitment to improving conditions at Tutwiler for the women inmates who reside there and staff who work there and have devoted significant monetary and personnel resources towards making Tutwiler a safer facility and towards PREA compliance.

Case 2:15-cv-00368-MHT-TFM Document 2-1 Filed 05/28/15 Page 2 of 44
In March 2014, the Commissioner created a new position, Deputy Commissioner for Women's Facilities. The primary mission of this new position is to provide executive and operational oversight of the management of women irates in the custody of ADOC, specifically the Tutwiler Prison for Women, Montgomery Women's Facility and Birmingham Work Release Center. Dr. Wendy Williams was appointed to be the first Deputy Commissioner of Women's Facilities On April 16, 2014. Since her appointment, Dr. Williams has dedicated her time to ensure that major changes were taking place at Tutwiler and at all of the ADOC's women facilities. ADOC will continue to seek sustainable improvements to promote positive outcomes for staff and the women they supervise.
5. DOJ recognizes Alabama and ADOC's high level of cooperation and willingness to enter into this Agreement without the need for litigation. As a result of this cooperation, DOJ, ADOC, and Alabama believe this Agreement represents the best opportunity to address the United States' concerns regarding sexual abuse and sexual harassment at Tutwiler.
6. Resolving this matter with this Agreement is in the best interests of the ADOC and Tutwiler inmates. Pursuant to Fed. R. Civ. P. 41(a)(2), this Agreement will be filed in the United States District Court, Middle District of Alabama, together with a Joint motion to conditionally dismiss the Complaint under the conditions set forth in this Agreement. This case will remain on the Court's inactive docket during the term of this Agreement. DOJ, ADOC, Alabama, or the Monitor may request status conferences to assist in informally resolving disputes, if needed. The Court will retain jurisdiction only to enforce the terms of this Agreement and to resolve disputes between DOJ, ADOC, and Alabama.
7. This Agreement shall be filed in the United States District Court, Middle District of Alabama. The Court has jurisdiction over this action pursuant to 28 U.S.C. §1331 .- 28 U.S.C.. § 1345; and 42 U.S.C. § 1997. Venue is proper in this district pursuant to 28 U.S.C. § 1391(b).
8. This Agreement shall constitute the entire integrated Agreement of DOJ, ADOC, and Alabama. Except for the United States' January 17, 2014, Findings Letter, no prior or contemporaneous communications, oral or written, or prior drafts shall be relevant or admissible for purposes of determining the meaning of any provisions of the Agreement..
9. This Agreement is binding upon DOJ, ADOC, and Alabama, by and through their officials, agents, employees, and successors. This Agreement is enforceable only by DOJ, ADOC, and Alabama. No person or entity is intended to be a third-party beneficiary of the provisions of this Agreement or any reports drafted, compiled, completed, or filed as a result of this Agreement for purposes of any civil, criminal, or administrative action, and accordingly, no person or entity may assert any claim or right as a beneficiary or protected class under this Agreement or any such reports. This Agreement and any reports drafted, compiled, completed, or filed as a result of this Agreement are not intended to impair or expand the right of any person or organization to seek relief against
2

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the ADOC for its conduct or the conduct of ADOC employees; accordingly, they do not alter legal standards governing any such claims, including those under Alabama law. This Agreement and any reports drafted, compiled, completed, or filed as'a result of this Agreement do not authorize, nor shall they be construed to authorize, access to any ADOC, contractor, or DOJ documents by persons or entities other than the DOJ, the ADOC, and the Monitor.

II. DEFINITIONS

A. "ADOC" means the Alabama Department of Corrections.'

B. "Compliance" is discussed throughout this Agreement in the following terms: substantial compliance, partial compliance, and non-compliance. "Substantial Compliance" indicates that ADOC and Tutwiler have achieved material compliance with most or all components of the relevant provision of the Agreement. "Partial Compliance" indicates that ADOC and Tutwiler have achieved material compliance on some of the components of the relevant provision of the Agreement, but significant work remains. "Noncompliance" indicates that ADOC and Tutwiler have not met most or all of the components of the relevant provision of the Agreement. "Material Compliance" requires that, for each provision, ADOC and Tutwiler have developed and implemented a policy incorporating the requirement, trained relevant personnel on the policy, and relevant personnel are complying with the requirement in actual practice.

C. "Contractor" means a person who provides services on a recurring basis pursuant to a contractual agreement with the State of Alabama or ADOC.

D. "Corrections staff' means all ADOC employees and contractors, irrespective of job title, whose regular duties include the supervision and control of inmates throughout Tutwiler.

E. "Document" is defined to include any designated documents or electronically stored

information - including writings, handwritten notes, letters, emails, memoranda, policies,

procedures, protocols, curricula, drawings, graphs, charts, photographs, sound recordings,

images, and other data or data compilations - stored in any medium from which

information can be obtained either directly or, if necessary, after translation by ADOC

and Alabama into a reasonably usable form.. A draft or non-identical copy is a separate

document within the meaning of this term.

-

F. "DOJ" shall refer to the United States Department of Justice, which represents the United States in this matter.

G. "Employee" means a person who works directly for ADOC or Tutwiler.

H. "Exigent circumstances" means any set of temporary and unforeseen circumstances that requite immediate action in order to combat a threat to the security or institutional order of Tutwiler.

For purposes of this Agreement, the ADOC's commitments are Iiniited to Tütwiler Prison for Women.
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I. "Effective Date" shall mean the date the Agreement is signed by DO!, ADOC, and Alabama.
J. "Gender dysphoria" is when a person's gender at birth is contrary to the one they identify with.
K. "Gender nonconforming" means a person whose appearance or manner does not conform to traditional societal gender expectations.
L. "Gender-responsive principles" reflect operational practices in a prison setting based on empirical and gender based differences Being gender-responsive means adopting the principles, training employees, and creating and maintaining a prison environment that is grounded in evidence based practice, experience, research, and theory that acknowledges women's pathways into the criminal justice system and addresses issues such as history of sexual and physical abuse, violence, family relationships, substance abuse, mental illness and co-occurring disorders.
M. To "implement" a policy means: the policy has been drafted and disseminated to all staff responsible for following or applying the policy, all relevant staff have been trained on the policy, compliance with the policy is monitored and tracked through compliance tools, the policy is consistently applied and followed, as demonstrated by the compliance tools, and there are corrective action measures to address lapses in application of the policy.
N. "Include" or "including" means "include, but not be limited, to" or "including, but not limited to."
0. "Inmate" means any person incarcerated or detained at Tutwiler Or any facility that is built or used to replace TutWiler.
P. "Intersex" means a person whose sexual or reproductive anatomy or chromosomal pattern does not seem to fit typical definitions of male or female Intersex medical conditions are sometimes referred to as disorders of sex development.
Q. "Medical Practitioner" means a health professional who, by virtue of education, credentials, and experience, is licensed (if required by law) and permitted to evaluate and Care for patients within the scope of his or her professional practice.
R. "Mental Health Practitioner" means a mental health professional who, by virtue of education, credentials, and experience, is licensed (if required by law) and permitted to evaluate and care for patients within the scope of his or her professional practice
S. "Monitor" means an individual selected to oversee implementation of the Agreement.
T., "Pat-down search" means a running of the hands over the clothed body of an inmate by an employee to determine whether the individual possesses contraband.
U. "PREA" means the Prison Rape Elimination Act of 2003 and implementing regulations,
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28C.F.R.pt. 115.
V. A "qualified medical practitioner" means a health professional who, by virtue Of education, credentials, and experience, is licensed (if required by law) and permitted to evaluate and care for patients within the scope of his or her professional practice and who has also successfully completed specialized training for treating sexual abuse victims.
W. A "qualified mental health practitioner" means a mental health professional who, by virtue of education, credentials, and experience, is licensed (if required by law) and permitted to evaluate and care for patients Within the scope of his or her professional practice and who has also successfully completed. specialized training for treating sexual abuse victims.
X. "Real-time video monitoring" means a staff member is assigned to monitor video feeds contemporaneously with recorded events and has the capacity to intervene or cause intervention in an emergency to ensure the protection and safety of inmates and/or staff.
Y. "Sexual abuse" includes:
Sexual abuse of an inmate by a staff member, includes any of the following acts, with or without consent of the inmate:
i. Contact between the penis and the vulva or the penis and the anus, including penetration, however slight;
ii. Contact between the mouth and the penis, vulva, or anus;
iii. Contact between the mouth and any body part where the staff member has the intent to abuse, arouse, or gratify sexual desire;
iv. Penetration of the anal or genital opening, however slight, by a hand, finger, object, or other instrument, that is unrelated to official duties or where the staff member has the intent to abuse, arouse or gratify sexual desire;
V. Any other intentional contact, either directly or through the clothing of, or with the genitalia, anus, groin, breast, inner thigh, or the buttocks, that is unrelated to official duties or Where the staff member has the intent to abuse, arouse or gratify sexual desire;
vi. Any attempt, threat, or request by a staff member to engage in the activities described in paragraphs (i)-(v) immediately above;
vii. Any display by a staff member of his or her uncovered genitalia, buttocks, or breast; in the presence of an inmate; and
viii. Voyeurism by a staff member.

Case 2:15-cv-00368-MHT-TFM Document 2-1 Filed 05/28/15 Page 6 of 44
2. Sexual abuse of an inmate by another inmate, including any of the following acts, if the victim does not consent, is coerced into such act by overt or implied threats of violence, or is unable to consent or refuse-
Contact between the penis and the vulva or the penis and the anus, including penetration, however slight;
ii. Contact between the mouth and the penis, vulva, or anus;
iii. Penetration of the anal or genital opening of another person, however slight, by a hand, finger, object, or other instrument; and
iv. Any other intentional touching, either directly or through the clothing, of the genitalia, anus, groin, breast, inner thigh, or the buttocks of another person, excluding contact incidental to a physical altercation,
Z. "Sexual harassment" includes:
1. Repeated and unwelcome sexual advances, requests for sexual favors, or verbal comments, gestures, or actions of a derogatory or offensive sexual nature by one inmate directed toward another; and
2. Repeated verbal comments or gestures of a sexual nature to an inmate by a staff member including demeaning references to gender, sexually suggestive or derogatory comments about body or clothing, or obscene language or gestures.
AA. "Shift relief factor" means the number of full-time equivalent staff needed to fill a relieved post (one that is covered on a continuous basis) for a single shift Four basic variables are considered in determining the shift relief factor how often and how long posts are to be filled, number of days per week posts are authorized to be filled, whether the post must be relieved to keep it filled dunng the shift (e.g., meal relief, scheduled breaks), and leave and absence patterns of the workforce, including both paid and unpaid leave.
BB. "Staff' or "staff member" includes all persons who are assigned to work at Tutwiler or provide services to inmates at Tutwiler, including corrections staff, medical practitioners, mental health practitioners, and employees of any agency of the State, and including contractors and volunteers who provide services at Tutwiler without pay.
CC. "Strip search" means a search that requires a person to remove or arrange some or all clothing so as to permit a visual inspection of the person's breasts, buttocks, or genitalia.
DD. "Substantiated allegation" means an allegation that was investigated and determined to have occurred.
EE. "Supervisory staff' means any staff member who has the responsibility to oversee the work of another staff member or inmate or groups of staff or inmates and includes anyone that ADOC designates as having the responsibility to oversee the work of another

Case 2:15-cv-00368-MHT-TFM Document 2-1 Filed 05/28/15 Page 7 of 44
Staff member and/or inmate or group of staff and/or inmates.
FF. "Train" means that qualified instructors educate employees in the skills, knowledge and/or abilities addressed to a level at which the trainee has the demonstrated proficiency to implement those skills as, and when called for, in the training. "Trained" means a demonstration of staff proficiency through documented testing or other means.
GG. "Transgender" means a person whose gender identity (i.e., internal sense of feeling male or female) is different from the person's assigned sex at birth.
HH. "Tutwiler" refers to the Julia Tutwiler Prison for Women located in Wetumpka, Alabama and includes all buildings located on the Tutwiler campus.
H. "Unfounded allegation" means an allegation that was investigated and determined not to have occurred.
JJ. "Unsubstantiated allegation" means an allegation that was investigated and the investigation produced insufficient evidence to make a final determination as to whether or not the event occurred.
KK. "Volunteer" means an individual who donates time and effort on a recurring basis to enhance the activities and programs of ADOC.
LL. "Voyeurism" by a staff member means an invasion of privacy of an inmate by staff for reasons unrelated to official duties, Such as peering at an inmate who is using a toilet to perform bodily functions, requiring an inmate to expose her buttocks, genitals, or breasts, or taking images of all or part of an inmate's naked body or of an inmate performing bodily functions.
III. SUBSTANTIVE PROVISIONS
ADOC and Tutwiler shall take all actions necessary to comply with the substantive provisions of this Agreement detailed below in order to prevent, detect, and respond to allegations of sexual abuse and sexual harassment at Tutwiler. Compliance with the Agreement will be measured both by whether the technical provisions are implemented and whether women at Tutwiler are provided a safe and secure environment free of sexual abuse and sexual harassment as required by the United States Constitution.
A. General Policies and Procedures
ADOC and Tutwiler shall develop and implement gender-responsive policies, procedures, and practices to ensure that inmates at Tutwiler are protected from harm due to sexual abuse and sexual harassment. Accordingly:
ADOC and Tutwiler shall comply with all provisions of PREA. ADOC and Tutwiler shall continue to comply with the ADOC's written policies and procedures mandating zero tolerance toward all forms of sexual abuse and sexual harassment. This Agreement takes precedence over any ADOC and/or Tutwiler
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policy governing the operation of Tutwiler and that may conflict with this Agreement.

2. ADOC and Tutwiler shall develop, submit to the Monitor and DOJ for review consistent with Section III.A.6., and implement policies and procedures regarding the management of lesbian, gay, bisexual, transgender, intersex, and gender nonconforming inmates. The policy shall emphasize the rights of lesbian, gay, bisexual, transgender, intersex, gender nonconforming and gender dysphoric inmates to a safe, non-discriminatory and respectful environment and shall include the following-

i. A qualified mental health practitioner with experience in recognizing and diagnosing co-existing mental health concerns and distinguishing these from gender dysphoria, knowledge about gender non-conforming identities and expressions and the assessment and treatment of gender dysphoria, should be assigned inmates with gender non-conforming identities, including gender dysphoric inmates;

ii. An inmate diagnosed with gender dysphoria should be offered appropriate non-surgiaI treatment as determined by a qualified health care practitioner; and

iii. ADOC and Tutwiler shall provide ADOC-issued clothing and hygiene items and facilities appropriate to the needs of transgender and gender dysphoric inmates.

3. ADOC and Tutwiler shall continue to comply with its policy that ensures women receive essential Supplies, including hygiene and feminine hygiene products, tampons and pads; linens; and uniforms by making them available on a monthly basis or more frequently as needed. The policy will continue to require the tracking and distribution of these products ADOC and Tutwiler will continue to ensure that both tampons and sanitary pads are readily available, free of charge, to Tutwiler inmates.

4. ADOC and Tutwiler shall develop and implement policies and procedures that incorporate gender-responsive strategies, including policies and procedures governing the use of force against women inmates and discipline of women inmates.

5. ADOC and Tutwiler shall continue to develop, submit to the Monitor and DOJ for review consistent with Section III.A.6., and implement facility-specific policies and operational practices specific to Tutwiler' s population regarding the Supervision and monitoring necessary to prevent inmates from being exposed to an unreasonable risk of harm from sexual abuse and harassment The policies and practices must include:

i.

Post orders for first-line supervision of corrections staff for each housing

unit in accordance with the operational practices developed;

8

Case 2:15-cv-00368-MHT-TFM Document 2-1 Filed 05/28/15 Page 9 of 44
ii. Procedures regarding communication to and from corrections staff assigned to housing units;
iii. The continued requirement of supervision by corrections staff assigned to all housing areas and dormitory settings, including direct supervision of Dorm A, if that unit continues to be used for intake, and the administration of adequate rounds by corrections staff and security supervisors in all areas of the prison, including dormitories Such rounds shall occur unannounced, at least every hour, inside each general population housing unit and at least once every 30 minute period for special management inmates, or more often if necessary. Video surveillance may be used to supplement, but must not be used to replace rounds by correctional officers;
iv. The continued requirement that intermediate level or higher-level supervisors conduct and document unannounced rounds during both the day and night shifts to identify and deter staff sexual abuse and sexual harassment. Other staff members should not be alerted that these rounds are occurring; and
V. The continued requirement to document all security rounds On forms or logs that do not contain pre-printed rounding times.
6. ADOC and Tutwiler shall revise andlor develop and implement, as necessary, any other policies, practices, procedures, protocols, training curricula, and other written documents, including but not limited to, screening tools, logs, handbooks, manuals, and forms, to effectuate the provisions of this Agreement.
ADOC and Tutwiler shall work together with the Monitor to draft new policies and procedures and/or revise existing policies and procedures pursuant to this Agreement. ADOC and Tutwiler will then send copies of such policies and procedures to DOJ for review and comment consistent with this Agreement.
ii. DOJ shall signify its approval, or provide any comments to ADOC and Tutwiler within 15 days of receipt of policies and procedures
iii. ADOC and Tutwiler, in consultation with the Monitor, will consider DOJ's comments and input when determining whether to further revise the policies and procedures.
iv. If ADOC and Tutwiler choose not to incorporate DOJ's comments into further revisions, they will explain to DOJ in writing the reasons for doing so While ADOC and Tutwiler should refrain from implementing policies and procedures during the period they are under review by DOJ, ADOC and Tutwiler need not postpone the implementation of any policies or procedures once they have received DOJ's comments (or the 15 day period for commenting expires).

Case 2:15-cv-00368-MHT-TFM Document 2-1 Filed 05/28/15 Page 10 of 44
B. Camera Management
The ADOC has implemented, a state-of-the-art camera system at Tutwiler, and contracted with an expert who has conducted a review of the ADOC's Camera Plan, including a review of each camera's placement As a result of that review, cameras are strategically placed to maximize supervision while protecting privacy. Policies directing the appropriate use of cameras and periodic staff training to ensure sustainability and effective operation of the camera system will remain as standard operational practice.
1. Camera Management policies and procedures will remain in effect at Tutwiler.
2. Camera management policies and procedures, including the locations where cameras have been placed, will be reviewed at least annually to ensure that they are serving their goal of maximizing supervision To the extent that any changes to the Camera Management policies and procedures, or to a camera location, need to be made they will be made within 30 days of the completion of the annual review. If a change cannot be made within 30 days, the reason for exceeding 30 days will be documented.
C. Staffing
In Order to address low staffing levels and the need for more women officers, ADOC and Tutwiler shall ensure that correctional staffing and supervision is sufficient to adequately supervise inmates and staff and allow for the safe operation of Tutwiler. Accordingly:
Phase I:
ADOC and Tutwiler shall continue to develop, Submit to the Monitor and DOJ to assess for compliance with this Agreement, and implement its plan to recruit women correctional officers at Tutwiler. To this end, ADOC shall:
Continue working with the Alabama Peace Officers Standards and Training Commission (APOSTC) in screening, selecting, or hiring applicants for the entry-level corrections officer positions until such standards, or any other physical test employed, are:
a. Validated for a corrections environment; and
b. Examined for the necessity of gender-norming certain components.
2. Continue to conduct physical fitness assessments on all correctional officer trainees, to include the provision of training recommendations to meet APOSTC physical training requirements.
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3. Examine workplace practices such as mandatory overtime and shift length to assess whether any of those practices may negatively impact hiring and retaining women candidates.
ii. ADOC shall continue the practice of allowing officers from other ADOC facilities to serve overtime or otherwise be temporarily assigned at Tutwiler only after those officers have been trained as required by this Agreement.
iii. Within six months of the Effective Date, and every six months thereafter, ADOC and Tutwiler will provide to the Monitor and DOJ the numbers of men and women who have taken any required entry-level physical examination(s) and the results of any such tests broken down by gender for each test administration.
iv. ADOC shall continue to employ an upper-level, Department-wide PREA Coordinator with sufficient time and authority to develop, implement, and oversee its efforts to comply with the PREA standards at Tutwiler and all of its facilities.
V. ADOC and Tutwiler shall designate a full-time (40 hours/week) PP.A Compliance Manager who has no other duties within ADOC or Tutwiler and who is assigned to oversee PREA compliance at Tutwiler. In addition, this person will work closely with the PREA Compliance Managers at Montgomery Women's Facility and Birmingham Work Release for consistency in women's services and monitor any other facility that is built to house women inmates on PREA-related matters. This individual will have sufficient authority to coordinate Tutwiler's efforts to comply with the PREA standards. Further, ADOC and Tutwiler shall:
Ensure that Tutwiler's PRJA Compliance Manager reports directly to the Warden or the Department-wide PREA Coordinator;
2. Develop, in policy, ajob description for Tutwiler's PREA Compliance Manager with expected responsibilities, and submit this policy to the Monitor and DOJ for review consistent with Section III.A.6.;
3. Provide training to the Tutwiler PREA Compliance Manager necessary to fulfill his or her duties; and
4. Document the Tutwiler PREA Compliance Manager's activities.
2. Phase II:
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ADOC and Tutwiler shall develop, document, and implement a staffing plan, based on gender-responsive principles and PREA requirements, that provides for adequate staffing levels and, where applicable, video monitoring, to protect inmates against sexual abuse and sexual harassment This staffing plan shall be provided to the Monitor and DOJ and shall include the following:
Identification of all posts and positions at Tutwiler, including any gender-specific posts required for the safe operation of the facility;
2. Shift relief factor for Tutwiler;
Policies and procedures for reviewing and amending Tutwiler's staffing plan.
ii. In calculating adequate staffing levels, ADOC and Tutwiler shall, as part of a staffing analysis, consider:
1. Generally accepted detention and correctional practices;
2. ADOC and Tutwiler's determination of which necessary duties will be handled by Tutwiler staff, ADOC staff, or outside agencies,
3. Any findings of inadequacy from any investigative agencies within ADOC;
4. Any findings of inadequacy from internal or external oversight bodies;
5. The Camera Management Plan and all components of the facility's physical plant;
6. The composition of the inmate population;
7. The number and placement of supervisory staff;
Institution programming and options for supervision of inmates;
9. A Tutwiler specific shift relief-factor;
10. Any applicable state or local laws, regulations, or standards; and
11. The prevalence of. substantiated and unsubstantiated incidents of sexual abuse and sexual harassment.
Within nine months of the Effective Date, ADOC and Tutwiler shall submit this staffing plan and staffing analysis to the Monitor and DOJ for review and comment, and shall maintain the underlying data utilized in conducting the staffing analysis and plan and provide thisdata to DOJ or
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the Monitor if requested.
iv. Within one year of the Effective Date, ADOC and Tutwiler shall adopt the results of the staffing plan consistent with PREA standards.
V. ADOC and Tutwiler, in consultation with the Department-wide PREA Coordinator and Tutwiler's PREA Compliance Manager, shall assess, determine, and document via a Staffing Update and Staffing Report, whether adjustments are needed to the staffing plan, and —taking into account available resources— implement such adjustments.
vi. The Staffing Update shall be provided to the Monitor and DOJ quarterly and shall include the following information:
A listing of staff hired at Tutwiler, by gender and positions filled; and
2. A listing of staff who ended their employment at Tutwiler, including gender, position, and reason for separation.
vii. The Staffing Report shall be provided to the Monitor and DOJ every six months in the first year after the Effective Date and yearly thereafter until termination of this Agreement. Each Staffing Report will include the following information:
1. An evaluation of existing staffing levels and need for adjustments;
2. A listing of each post and position needed;
3. The number of hours needed for each post and position;
4. A listing of staff, by gender, working overtime at Tutwiler and the amount of overtime worked by each staff member;
5. A listing of supervisors by gender working overtime at Tutwiler; and
6. Ti.itwiler's assessment of its ability to comply with the staffing plan.
viii. To the extent such policy does not already exist, the ADOC and Tutwiler shall develop, submit to the Monitor and DOJ for review consistent with Section IILA.6., and implement a policy that includes:
That ADOC and Tutwiler not hire or promote, or enlist the services of anyone who may have contact with inmates, and shall not enlist the services of any contractor who may have contact with inmates at Tutwiler, who: (1) has engaged in sexual abuse or sexual
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Case 2:15-cv-00368-MHT-TFM Document 2-1 Filed 05/28/15 Page 14 of 44

harassment in a prison, jail, lockup, community confinement facility, juvenile facility, or other institution; (2) has been convicted of engaging or attempting to engage in sexual activity in the community facilitated by force, overt or implied threats of force, or coercion, or if the victim did not consent or was unable to consent or refuse; or, (3) has been civilly or administratively adjudicated to have engaged in the activity described in this section. To this end, ADOC and Tutwiler shall:

a

Follow ADOC policy that requires that all new employees

be asked about previous misconduct, as defined above in

Subsection 1. This can be in written application or

documented as part of an interview. ADOC policy shall be

amended to state the same in regards to promotions.

b. Perform a criminal background records check; and

C. Contact all prior institutional employers for information on substantiated allegations of sexual abuse and sexual harassment or any resignation during a pending investigation of an allegation of sexual abuse and sexual harassment.

2. ADOC and Tutwiler shall conduct criminal background records checks at least once every five years for current employees and respond to any relevant results of those checks as described in Section IILK below.
3. ADOC and Tutwiler shall conduct criminal background records checks at least Once every five years for contractors who may have contact with inmates. For any current ADOC staff temporarily assigned to Tutwiler for regular or overtime duty, Tutwiler will create a system to manage and track any allegations of sexual harassment or sexual abuse made against them at the ADOC facility they are assigned to.
4. Consistent with ADOC policy, employees have an affirmative duty to disclose any previous sexual abuse and sexual harassment, as described in Subsection 1. above. Material omissions of such information shall be grounds for termination.
ADOC and Tutwiler will conduct an initial criminal records check on all Tutwiler volunteers. Any volunteer with a background that includes engaging in sexual abuse may not be-utilized as a volunteer. At least every five years, Tutwiler and ADOC will perform an additional criminal background check on all current

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volunteers.
ix. When ADOC or any other governmental entity responsible for collective bargaining on ADOC's behalf contracts for services with individuals, private agencies or Other entities, including other government agencies, they shall include in any new contracts or contract renewals the entity's obligation to adopt and comply With Tutwiler's policies and procedures governing sexual abuse and sexual harassment.
X. ADOC and/or Tutwiler policies and procedures require that contractors and volunteers who have contact with inmates but are not directly supervised by ADOC or Tutwiler employees comply with Tutwiler's sexual abuse and sexual harassment policies and procedures.
D. Training
ADOC and Tutwiler shall ensure that all staff have the adequate knowledge, skill, and ability to prevent, detect, and respond to sexual abuse and sexual harassment at Tutwiler, and to manage, interact, and communicate appropriately with women inmates and lesbian, gay, bisexual, transgender, and gender nonconforming inmates. Accordingly:
Staff Training: ADOC and Tutwiler shall train all staff who may have contact with inmates on the following:
i. Its zero-tolerance policy for sexual abuse and sexual harassment;
ii. How to ftilfill its responsibilities under its sexual abuse and sexual harassment prevention, detection, reporting, and response policies and procedures;
iii. Inmates' right to be free from sexual abuse and sexual harassment;
iv. The right of inmates and employees to be free from retaliation for reporting sexual abuse and sexual harassment;
V. The dynamics of sexual abuse and sexual harassment in confinement;
vi. The common reactions of sexual abuse and sexual harassment victims;
vii. How to detect and respond to signs of threatened and actual sexual abuse;
viii. How to respond to sexual abuse and sexual harassment, including:
1. How to respond effectively and professionally to victims of sexual abuse and sexual harassment;
2. How and to whom to report allegations or suspicions of sexual abuse and sexual harassment, including how to comply with
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relevant laws related to mandatory reporting of sexual abuse to Outside authorities; and
3. How to preserve physical evidence of sexual abuse (this provision does not apply to volunteers).
ix. How to avoid inappropriate relationships with inmates;
X. Gender-responsive principles, including those applicable to the use of force against women inmates (the provision regarding use of force does not apply to volunteers); and
xi. How to communicate effectively and professionally with inmates, including lesbian, gay, bisexual, transgender, intersex, and gender nonconforming inmates, including the use of appropriate name and pronoun for an inmate's gender presentation and identity. This training shall emphasize that verbal abuse- including name calling and the use of racially insensitive or offensive, profane or vulgar language-will not be tolerated.
2. Within six months of the Effective Date, all staff shall have received training as set out in Section III. D.1.
ADOC and Tutwilet shall provide annual refresher training to all staff to ensure that they know the current sexual abuse and sexual harassment policies and procedures. If staff cannot successfully demonstrate knowledge of these policies and procedures, they shall not be permitted to have any contact with inmates until such time as they can demonstrate proficiency. ADOC and Tutwiler shall have and implement policies and procedures setting forth the levels of discipline, up to and including termination, for any staff member who cannot perform his or her job duties due to a failure to demonstrate proficiency in these policies and procedures.
4. The Monitor will work with the ADOC and Tutwiler in drafting new training materials and/or revising current training materials set out in Section III.D.1 and 3.
5. ADOC shall certify and document to Tutwiler's PREA Compliance Manager, the Department-wide PREA Coordinator, the Monitor, and DOJ, that all staff have been trained.
E. Inmate Education
ADOC and Tutwiler shall effectively and meaningfully communicate to all inmates their right to be free from sexual abuse and sexual harassment and the protections in place at Tutwiler to ensure that such abuse and harassment does not occur or, if it does occur, is reported so it can be responded to promptly, appropriately, and without retaliation. Accordingly:
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1. ADOC and Tutwiler shall -ensure that, during the intake process, all inmates receive information regarding the following:

i. ADOC's zero-tolerance policy regarding sexual abuse and harassment;

ii. Definitions of sexual abuse and sexual harassment;

iii. The right to be free from sexual abuse and sexual harassment and from retaliation for reporting such incidents;

iv. The right to be free from verbal abuse, including name calling, racially insensitive or offensive language, and profane or vulgar language;

V. How to report incidents or suspicions of sexual abuse and harassment, including the availability of non-inmate interpreters; and

vi. The process of accessing medical and mental health care.

2. Within 14 days of intake, ADOC and Tutwiler shall provide comprehensive

orientation education to inmates either conducted in-person or through a video

presented by an in-person facilitator regarding their rights to be free from sexual

abuse and sexual harassment and to be free from retaliation for reporting such

incidents, and regarding their policies and procedures for responding to such

incidents.

-

3. Current Tutwiler inmates will receive the information and education described in llI.E.1 and 2 within three months of the Effective Date.

4. ADOC and Tutwiler shall ensure that the individual conducting or facilitating the comprehensive inmate educational orientation is trained on Tutwiler and ADOC's policies and procedures related to sexual abuse and sexual harassment, the PREA -standards, and the terms of this Agreement.

5. The individual conducting or facilitating the comprehensive inmate orientation education shall remain in the room during the entire orientation and shall monitor the inmates for reactions to and understanding of the information. A mental health practitioner will serve as an advisor to the orientation process and services will be available during the orientation process if indicated.

6. Consistent with current policy, ADOC and Tutwiler shall ensure that the

information outlined in 111.E. I and 1II.E.2 is conveyed and made available in

formats accessible to all inmates, including those who are limited English

proficient, deaf, visually impaired, or otherwise disabled as well as to inmates

who have limited reading skills.

-

7. ADOC and Tutwiler shall provide the Monitor and DOJ for their review

consistent with Section III A 6 any materials or curriculum utilized to satisfy the

-

requirements of III.E.1 and I1I.E.2.

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8. ADOC and Tutwiler shall maintain documentation of inmate participation in the education sessions required by III.E.2.

F. Gender-Responsive Classification

Consistent with constitutional standards, ADOC and Tutwiler shall develop and implement a classification process including custody classification, and risk/need assessment, and screening for risk of vulnerability or perpetration of sexual abuse or sexual harassment and use that information to inform housing, bed, work, education, and program assignments with the goal of maximizing safety. Accordingly:

1. Within two months of the Effective Date, ADOC shall convene a working group to evaluate methods to decrease or eliminate Tutwiler' s use of Dorm A for a period of time that exceeds 48 hours while screenings are completed, including an examination of the necessity of PAP test and/or other medical, mental health, or intellectual test results prior to classification and any failures to provide adequate continuity in medical and mental health care to Dorm A residents.

2. Within six months of convening of the working group, ADOC and Tutwiler shall

retain an expert in gender responsive assessment and classification. The retained

expert shall develop and submit for review to the Workgroup and Monitor for a

summary of recommendations and proposed deliverables that outline a plan for

implementation and validation of an objective and internal classification system

ci'fi' tr thp wnmn rin2tPQ 2t TiifiiUr T1HP '12

tnn vtm Qhi11

incorporate gender responsive principles and address the needs of women inmates

at TUtwiler, including housing safety, mental health (depression/anxiety/

psychosis), abuse and trauma, family conflict, relationship dysfunction, and parental stress. The system will also focus on strength or resiliency factors

including educational assets, family support, and self-efficacy. The proposed plan

shall also examine the designation of "restricted status" for inmates at Tutwiler to

determine the appropriateness of the designation as it relates to classification,

housing, programming, and community custody. The proposed plan shall be

based on expert review and address adjustments to the classification system,

adequate data collection and analysis, and appropriate ongoing testing for

effectiveness.

3. The approved plan for implementation of the classification system shall be managed by an implementation workgroup and completed within two years Of the approval of the plan.

4. Based on the implemented assessment processes, the system shall provide programs that incorporate gender responsive principles and address the needs of women inmates at Tutwiler, including those addressing sexual abuse, sexual harassment, and trauma; domestic violence; dating violence; and medical and mental health care.

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G. Risk Assessment

1. ADOC and Tutwiler shall continue to utilize a risk assessment instrument to screen for risk of victimization and abusiveness. Such process shall include the following:

i. Ensure that Tutwiler initiates and documents communication with the

facility from which the inmate is received to learn about their

incarceration, adjustment issues, disciplinary history, and any other factors

relevant to identification of potential predators and victims including

pregnancy status. If an inmate arrives at Tutwiler from another custodial

institution, including a county jail, work release placement, or half-way

house - the transferring facility shall be notified if it is suspected, as a

result of either the

s self-reporting or after the initial medical

evaluation, that sexual abuse in a custodial setting could have caused the

pregnancy.

ii. All inmates shall be assessed during an intake screening Within 72 hours of arrival. The screening shall include an assessment of an inmate's risk of being sexually abused by other inmates, or sexually abusive toward. other inmates;

iii. The intake screening shall include, at a minimum, the following criteria to 'assess inmates for risk of sexual victimization:

Whether the inmate has a mental, physical, or developmental disability;

2. The age of the inmate;

3. The physical build of the inmate;

4. Whether the inmate has previously been incarcerated;

5. Whether the inmate has a history of substance abuse arid/or alcohol dependency;

6. Whether the inmate has a history of self injurious behavior and/or suicidal ideation;

7. Whether the inmate's criiiiinal history is exclusively nonviolent;

Whether the inmate has prior convictions for sex offenses against an adult or child;

9. Whether the inmate is or is perceived to be gay, lesbian, bisexual, transgender, intersex, or gender nonconforming;

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10. Whether the inmate has previously experienced sexual victimization;
11. The inmate's own perception of vulnerability; and
12. Any other factors that have been selected for Tutwiler.
iv. In assessing inmates for risk of being sexually abusive, the initial
screening shall consider prior acts of sexual abuse, prior convictions for violent offenses, and history of prior institutional violence and/or sexual abuse;
V. Within a set time period, not to exceed 30 days from the inmate's arrival at Tutwiler, Tutwiler shall reassess the inmate's risk of victimization or abusiveness based upon a trauma screening and assessment developed under Section III. F.2 and any additional, relevant information received by Tutwiler since the intake screening;
vi. An inmate's risk level shall be reassessed when warranted due to a referral, request, incident of sexual abuse, or receipt of additional information that bears on the inmate's risk of sexual victimization or abusiveness;
vii. If the screening indicates that an inmate has experienced prior sexual victimization or perpetrated sexual abuse, whether it occurred in an institutional setting or in the community, staff shall ensure that the inmate is offered a follow-up with a medical or mental health practitioner within 14 days of the intake screening;
viii. ADOC and Tutwiler shall use information from the risk screening to make an individualized and safety-based determination of prisoners' housing, bed, work, education, and program assignments; and
ix. Placement and programming assignments for inmates at high risk of sexual victimization shall be reassessed at least twice each year to review any threats to safety experienced by the inmate and such inmate's own views with respect to her own safety shall be given serious consideration.
2. Inmates at high risk for sexual victimization shall not be placed in involuntary segregated housing due to their high risk of victimization unless an assessment of all available alternatives has been made, and a determination has been made that there is no available alternative means of separation from likely abusers. Such an assessment and determination shall be documented, explaining the basis for Tutwiler's concern for the inmate's safety and the reason why no alternative means of separation can be arranged. A review of such determination must be afforded each inmate at least every 30 days to determine whether there is a continuing need for separation from the general population.
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3. Inmates placed in segregated housing due to potential victimization shall, to the extent possible, have full access to programs, privileges, education, and work opportunities as inmates in general population housing.

H. Inmates' Right to Privacy

ADOC and Tutwiler shall prevent officers from unnecessarily viewing inmates who are naked or performing bodily functions. Accordingly:

Cross-Gender Searches

i. ADOC and Tutwiler shall comply with its policy regarding cross-gender pat and strip searches and shall ensure that appropriate modifications to the policy are made and implemented to include, at a minimum, the items specified in III.H.1.ii to III.H.1.v below.

ii. Tutwiler will continue to not conduct cross-gender strip searches or visual body cavity searches (meaning a search of the anal or genital opening) except in exigent circumstances or when performed by medical practitioners.

iii. Tutwiler will continue to prohibit cross-gender pat-down searches of women inmates, absent exigent circumstances. Inmates' access to regularly available programming or other out-of-cell opportunities shall not be restricted in order to comply with this provision.

iv. Tutwiler shall document all cross-gender strip searches, cross-gender visual body cavity searches, and cross-gender pat-down searches of women inmates, and shall document the exigent circumstances that warranted the search. To the extent any such searches were conducted, Tutwiler shall provide this documentation to the Monitor and DOJ on a quarterly basis.

V. ADOC and Tutwiler shall train security staff in how to conduct crossgender pat-down searches, and searches of transgender and intersex inmates, when required, in a professional and respectful manner, and in the least intrusive manner possible, consistent with security needs.

2. Cross-Gender Viewing

i.

ADOC and TutWiler shall develop, submit to the Monitor and DOJ for

review consistent with Section III.A.6., and implement policies and

procedures that enable inmates to perform bodily functions -such as

showering, bathing, and using the toilet- and change clothing without

nonmedical staff of the opposite gender viewing their breasts, buttocks, or

genitalia, except in exigent circumstances or when such viewing is

incidental to routine cell checks. Such policies and procedures shall

require staff of the opposite gender to announce their presence before

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entering an inmate housing unit and again before entering the shower or toilet areas.

ii. ADOC and Tutwiler shall develop, submit to the Monitor and DOJ for review consistent with Section IILA.6., and implement policies and procedures regarding the method of conducting inmate counts. This policy and procedure shall limit inmate movement during inmate counts and shall prohibit the practice of conducting inmate counts while inmates are likely to be in the shower and toilet areas.

ADOC and Tutwiler shall continue to implement its plan to address the architectural features that contribute to a lack of privacy for inmates while showering or using the toilet.

4. ADOC and Tutwiler shall not search or physically examine a transgender or intersex inmate for the sole purpose of determining the inmate's genital status. If the inmate's genital status is unknown, it may be determined during conversations with the inmate or by a qualified medical practitioner reviewing the medical records or, if necessary, by learning that information during the intake physical exam conducted in private by a medical practitioner.

5. Transgender and intersex inmates shall be given the opportunity to shower separately from other inmates.

I. Reporting Allegations of Sexual Abuse and Sexual Harassment

In order to adequately identify and respond to all instances of sexual abuse and sexual harassment at Tutwiler, ADOC and Tutwiler shall ensure that inmates, staff, and third-parties have multiple unimpeded methods to report incidents of sexual abuse and sexual harassment free from retaliation. Accordingly:

ADOC and Tutwiler shall continue to comply with its policy on reporting allegations of sexual abuse and sexual harassment. Any modification of that policy shall be submitted to DOJ and the Monitor for review consistent with Section III.A.6. ADOC and Tutwiler shall provide multiple internal methods, including a grievance process and at least one confidential method, for inmates to report sexual abuse and sexual harassment, retaliation by other inmates or staff for reporting sexual abuse and sexual harassment, and staff neglect or violation of responsibilities that may have contributed to such incidents. The inmate reporting system must include:

i. Provisions for accepting reports made verbally, in writing, anonymously,

and from third parties including other inmates, Tutwiler staff, and the

inmate's friends and family, advocates or legal representation. In the case

of reports made 'erbally, staff shall promptly document those reports in

writing; and

-

ii. Information on how to report sexual abuse or sexual harassment on behalf

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of an inmate shall be distributed publicly.
2. ADOC and Tutwiler shall also provide at least one way for inmates to report abuse or harassment to a public or private entity or office that is not part of the agency, and that is able to receive and immediately forward inmate reports of sexual abuse and sexual harassment to agency officials, allowing the inmate to remain anonymous upon request. The preferred method provided should be through a toll-free number, or other method as agreed.
3. ADOC and Tutwiler shall provide a method for staff to confidentially report sexual abuse and sexual harassment of inmates.
4. Third parties shall be permitted to assist inmates in filing requests for administrative remedies relating to allegations of sexual abuse and sexual harassment, and shall also be permitted to file such requests on behalf of inmates.
5. All third party reports of sexual abuse and sexual harassment shall be forwarded immediately to the Departmental PREA Coordinator and be investigated and processed in accordance WithADOC policy. As part of this process, the Departmental PREA Coordinator will inform Tutwiler's PREA Compliance Manager of all third party reports received.
6. Grievances
i. ADOC and Tutwiler shall continue to develop and submit policies and procedures for an inmate Grievance System to the Monitor and DOJ for review within three months of the effective date and, within four months of the effective date, implement the inmate Grievance System. This policy shall clearly prohibit retaliatory practices by staff against inmates who file a grievance and should include the requirements listed in III.L6.ii-ix below.
ii. ADOC and Tutwiler shall ensure that all inmates receive orientation on the Grievance System during orientation. The ADOC will offer quarterly education on the Grievance System throughout the first year of implementation. Inmates will be required to attend at least once.
iii. During the first year of implementation, ADOC and Tutwiler shall ensure that all staff receive training on the Grievance System upon implementation and through annual in-service training.
iv. ADOC and Tutwiler shall ensure that grievance forms are available on all units ADOC and Tutwiler shall assist inmates who are limited English proficient, visually impaired, have a mental health impairment, are otherwise disabled, or who have limited reading or writing skills in accessing the grievance system.
V. ADOC and Tutwiler shall ensure that an inmate, who alleges sexual abuse
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or sexual harassment, or any other verbal or physical abuse by staff, may submit a complaint without submitting it to a staff member who is the subject of the complaint, and such complaint is not referred to a staff member who is the subject of the complaint.

vi. ADOC and Tutwiler shall not require an inmate to use any informal grievance process, or to otherwise attempt to resolve with staff, an alleged incident of sexual abuse, sexual harassment, or any other verbal or physical abuse by staff.

vii. ADOC and Tutwiler shall issue a final decision on the merits of any

portion of a complaint alleging sexual abuse, sexual harassment, or any

other verbal or physical abuse by staff, within 30 days of the initial filing

of the complaint, with the option of-an extension of up to an additional 30

r

days, approved and documented by the facility designee, with written

notice of status update provided to the inmate.

viii. ADOC and Tutwiler shall develop, submit to the Monitor and OJ for review consistent with Section H1.A.6., and implement policies and procedures for the filing of an emergency grievance where an inmate is subject to a substantial risk of imminent sexual or physical abuse.

ix. After receiving an emergency oral or written complaint alleging an inmate is subject to a substantial risk of imminent sexual Or physical abuse, ADOC and Tutwiler shall immediately forward the grievance (or any portion that alleges the substantial risk of imminent sexual or physical abuse) to a level of review at which imrnediate'corrective action may be taken, shall provide an initial response within 48 hours, and shall issue a final decision within five calendar days. The initial response and final agency decision shall document the ADOC's and/or Tutwiler's determination whether the inmate is in substantial risk of imminent sexual or physical abuse and the action taken in response to the emergency grievance.

ADOC and Tutwiler shall require all employees to report immediately:

i. Any knowledge, suspicion, or information regarding an incident or alleged incident of sexual abuse or sexual harassment that occurred in Tutwiler, in transport vehicles, or in any off-site facilities under the control and supervision of ADOC or Tutwiler;

ii; Retaliation against inmates or staff who repotted such an incident; and

iii. Any staff neglect or violation of responsibilities that may have contributed to an incident or retaliation.

8. Apart from reporting to designated supervisors or officials, staff shall not reveal any information related to a sexual abuse or sexual harassment report to anyone

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other than to the extent necessary to make treatment, investigation, and Other security and management decisions.
9. ADOC and Tutwiler shall report all allegations of sexual abuse and sexual harassment, including third party reports, anonymous reports, and inmate grievances, to Tutwiler's or ADOC's designated investigator
10. Protecting Inmates and Staff from Retaliation:
i. Consistent with ADOC policies, ADOC and Tutwiler shall protect all inmates and staff, who report allegations of sexual abuse or sexual harassment or cooperate with sexual abuse or sexual harassment investigations from retaliation by other inmates or staff, and shall designate Tutwiler's PREA Compliance Manager with monitoring allegations of retaliation concerning inmates. Allegations of retaliation against employees will be investigated and processed in accordance with ADOC personnel policy.
ii. ADOC and Tutwiler shall employ multiple protection measures, such as housing changes or transfers for inmate victims or abusers, removal of alleged staff or inmate abusers from contact with victims, and emotional support services for inmates or staff who fear retaliation for reporting sexual abuse or sexual harassment or for cooperating with investigations.
iii. ADOC and Tutwiler shall ensure that any Tutwiler staff who is alleged to have engaged in sexual abuse or sexual harassment are immediately removed from positions of inmate contact at Tutwiler until an investigation is concluded.
iv. ADOC and Tutwiler shall monitor all inmates and staff who report sexual abuse or sexual harassment and inmates who have been reported to have suffered or cooperated with sexual abuse or sexual harassment investigations from retaliation by other inmates or staff for at least 90 days following a report of sexual abuse or sexual harassment, to see if there are changes that may suggest possible retaliation by inmates or staff, including inmate disciplinary reports, housing or program changes, and negative performance reviews or reassignments, and shall act promptly to remedy any such retaliation. ADOC and Tutwiler shall continue such monitoring beyond 90 days if the initial monitoring indicates a continuing need In the case of inmates, such monitoring shall also include periodic status checks.
V. If any other individual who cooperates with an investigation expresses a fear of retaliation, ADOC and Tutwiler shall take appropriate measures to protect that individual against retaliation.
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J. Official Response to an Allegation of Sexual Abuse and Sexual Harassment
ADOC and Tutwiler shall ensure that all alleged victims of sexual abuse and sexual harassment are offered timely, unimpeded access to medical treatment and crisis intervention services as appropriate and that staff appropriately respond to and counsel the alleged victim while taking steps to preserve evidence. Accordingly:
1. When ADOC or Tutwiler learns that an inmate maybe Subject to a substantial. risk of imminent sexual abuse, ADOC or Tutwiler shall take immediate action to protect the inmate.
2. ADOC and Tutwiler shall continue to comply with ADOC policy and Tutwiler Standard Operating Procedures to coordinate actions taken in response to an allegation of sexual abuse, among first staff responders, medical and mental health practitioners, investigators, and Tutwiler leadership, including time frames and lists of whom staff should report to in specific situations and guidelines regarding the collectiän of physical evidence.
ADOC and Tutwiler shall respond to reports of sexual abuse and sexual harassment or threats of sexual abuse or sexual harassment without regard to an inmate's known or perceived sexual orientation or gender identity.
4. The written institutional plan shall include procedures that address how staff respond upon learning of an allegation that an inmate was sexually abused. The first security staff member to respond to the report shall be required to:
Separate the alleged victim and abuser;
ii. Preserve and protect any crime scene until appropriate steps can be taken to collect any evidence; and
iii. Request that the alleged victim not take any actions that could destroy physical evidence, including, as appropriate, washing, brushing teeth, changing clothes, urinating, defecating, smoking, drinking, or eating if the abuse occurred within a time period that still allows for the collection of physical evidence.
5. If the first staff responder is not a security staff member, the responder shall be required to request the alleged victim not take any actions that could destroy physical evidence, and then notify security staff.
6. ADOC and Tutwiler shall not place in protective custody an inmate who is alleged to have suffered sexual abuse or sexual harassment solely for the purpose of protecting that inmate, unless a determination, documented in writing and reviewed by the PREA Compliance Manager or the warden's designee within 24 hours, has been made that there is no available alternative means of separation from likely abusers.
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7. To the extent they do not already exist, ADOC and Tutwiler shall develop, submit to the Monitor and DOJ for review consistent with Section III.A.6., and implement policies and procedures to provide access to medical and mental health services to women identified as potential or actual victims of sexual abuse and sexual harassment, that occurred either at Tutwiler or elsewhere, including the following:
Inmate victims of sexual abuse shall receive timely, unimpeded access to emergency medical and mental health care and treatment and crisis intervention services, the nature and scope of which are determined by medical and mental health practitioners according to their professional judgment;
ii. If no qualified medical or mental health practitioners are on duty at the time a report of recent abuse is made, security staff and first responders shall take preliminary steps to protect the victim and shall immediately notify the appropriate medical and mental health practitioners;
iii. Tutwiler shall offer further medical and mental health evaluation and, as appropriate, treatment, to all inmates who have been victimized by sexual abuse and/or sexual harassment in any prison, jail, lockup, or juvenile facility;
I v. The evaluation and treatment of such victims shall include, as appropriate, follow-up services, treatment plans, and, when necessary, referrals for continued care following their transfer to, or placement in, other facilities, or their release from custody;
V. ADOC and Tütwiler shall ensure appropriate mental health counseling and emotional support services are made available to victims of sexual abuse and sexual harassment, provided by a qualified staff member or a victim advocate from a community-based organization that provides services to sexual abuse victims;
vi. ADOC and Tutwiler shall attempt to enter into and maintain memoranda of understanding or other agreements with community service providers that are able to provide inmates with confidential emotional support services related to sexual abuse or sexual harassment. ADOC and Tutviler shall maintain copies of agreements or documentation of attempts.
vii. Inmate victims of sexual abuse or sexual harassment while incarcerated shall be Offered timely information about and timely access to emergency contraception, pregnancy tests, and tests for sexually transmitted infections prophylaxis, where medically appropriate;
viii. If inmate pregnancy results from sexual abuse while incarcerated, such victims shall receive timely and comprehensive information about and
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access to all lawful pregnancy-related medical services; and
ix. All treatment services in this subsection shall be provided to the victim without financial cost and regardless of whether the victim names the abuser or cooperates with any investigation arising out of the incident
K. Referrals and Investigations
ADOC and Tutwiler shall ensure that all allegations of sexual abuse and sexual harassment are promptly, thoroughly, and objectively investigated and appropriately referred for prosecutorial review, and that alleged victims are advised of the outcome of their allegations. Accordingly:
[. ADOC investigators shall continue to investigate allegations of sexual abuse or sexual harassment consistent with their authority as criminal investigators and consistent with ADOC policy and Alabama law. Completed investigations of sexual abuse and sexual harassment will be referred to local prosecutors as appropriate.
2. When ADOC conducts its own investigations into allegations of sexual abuse or sexual harassment, it shall do so promptly, thoroughly, and objectively for all allegations, including third party and anonymous reports. Administrative investigations shall be completed regardless of the results of any criminal investigations and regardless of the subject's continued employment by ADOC.
3. The use of pre-hearing segregation shall be limited to inmates whose continuing behavior is a threat to facility safety, or who will not stop the prohibited behavior. Such pre-hearing segregation shall not be used for more than 72 hours, at Which time an inmate must be afforded a disciplinary hearing, or provided a written explanation of why the hearing is postponed and when the hearing will be rescheduled.
4. ADOC and Tutwiler shall develop, submit to the Monitor and DOJ for review consistent with Section III.A.6., and implement guidelines for the immediate initiation of an investigation and/or review upon learning of an allegation of sexual abuse or sexual harassment and develop a process for monitoring those guidelines. The guidelines shall also ensure that investigations that include any allegations of sexual abuse or sexual harassment are properly labeled as such.
5. Where sexual abuse or sexual harassment is alleged, ADOC shall use investigators who have received special training in institutional sexual abuse and sexual harassment investigation. Specialized training shall include techniques for interviewing sexual abuse victims, proper use of Miranda and Garrity warnings, sexual abuse evidence collection in confinement settings, and the criteria and evidence required to substantiate a case for administrative action or prosecution referral. ADOC shall maintain documentation that agency investigators have completed the required specialized training in conducting sexual abuse investigations. The Department-wide PREA Coordinator and Tutwiler's PREA
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Compliance Manager shall not serve as investigators for sexual abuse investigations.
6. Investigators shall gather and preserve direct and circumstantial evidence, including any available physical and DNA evidence and any available electronic monitoring data; shall interview alleged victims, suspected perpetrators, and witnesses; and shall review prior complaints and reports of sexual abuse and sexual harassment involving the suspected perpetrator.
7. The credibility of an alleged victim, suspect, or witness shall be assessed on an individual basis and shall not be determined by the person's status as inmate or staff. ADOC or Tutwiler are prohibited from offering or administering polygraph examinations or other truth-telling devices to an inmate who alleges sexual abuse or sexual harassment.
8. ADOC shall issue a written investigative report within 30 days after the conclusion of a sexual abuse or sexual harassment investigation that indicates whether the allegation is substantiated, unsubstantiated, or unfounded The investigator may request in writing, approved by the facility designee, an extension for cause that identifies the remaining actions necessary to complete the investigation. In no case shall the investigation be unfounded solely due to the expiration of the 30 days. The investigative report shall include an effort to determine whether staff actions or failures to act contributed to the abuse, a description of the physical and testimonial evidence, the reasoning behind credibility assessments, and investigative facts and findings.
9. ADOC shall work with the Monitor on ensuring that an investigative summary sheet that provides an overview of the current status of an investigation is included. The summary information should include, among other things, basic information such as staff name(s), prisoner names(s), location of incident, and the time of day.
10. The departure of the alleged perpetrator or victim from the employment or control of ADOC or Tutwiler shall not provide a basis for terminating an investigation.
11. When outside agencies investigate alleged incidents of sexual abuse, ADOC and Tutwiler shall cooperate with outside investigators and shall endeavor to remain informed, to the extent appropriate, about the progress of the investigation.
12. Following an investigation into an inmate's allegation that she suffered sexual abuse or sexual harassment in any ADOC facility or while within the physical custody and control of the ADOC,. ADOC and Tutwiler shall inform the inmate as to whether the allegation has been determined to be substantiated, unsubstantiated, or unfounded.
13. If ADOC or Tutwiler did not conduct the investigation, it shall request the relevant information from the investigative agency in order to inform the
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14. Following an inmate's allegation that a staff member has committed sexual abuse or sexual harassment against the inmate, ADOC and Tutwiler shall subsequently inform the inmate whenever:
L The staff member is no longer posted within the inmate's unit;
ii. The staff member is no longer employed at Tutwiler; or
iii. ADOC and/or Tutwiler learn that the staff member has been indicted or convicted on a charge related to sexual abuse within Tutwiler.
15. All such notifications or attempted notifications shall be documented.
16. A review team, including upper-level management officials at Tutwiler, with input from line supervisors, investigators, and medical and mental health practitioners, shall conduct an incident review within 30 days of the conclusion of every investigation of substantiated and unsubstantiated allegations of sexual abuse or staff-on-inmate sexual harassment. The review team shall:
Consider whether the allegation or investigation indicates a need to change policy or practice to better prevent, detect, or respond to sexual abuse or staff-on-inmate sexual harassment;
ii. Consider whether the incident or allegation was motivated by race; ethnicity, gender identity, lesbian, gay, bisexual, transgender, or intersex identification, status, or perceived status, gang affiliation, or was motivated or otherwise caused by other group dynamics at Tutwiler;
iii. Examine the area in Tutwiler where the incident allegedly occurred to assess whether physical barriers in the area may enable abuse;
iv. Assess the adequacy of staffing levels in that area during different shifts;
v. Review, by a warden or senior management, the personnel file of any involved employees to assess needs in background screening, training, and/or supervision;
vi. Assess whether monitoring technology should be deployed or augmented to supplement supervision by staff; and
vii. Prepare a report of its findings and any recommendations for improvement and submit such report to the Monitor, DOJ, the Warden, the Departmentwide PREA Coordinator, and Tutwiler's PREA Compliance Manager.
17. ADOC and Tutwiler shall implement the recommendations for improvement or shall document its reasons for not doing so.
19. Within 60 days of the Effective Date, ADOC and Tutwiler shall review all
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pending investigations alleging sexual abuse and sexual harassment to determine whether the investigation was conducted according to the requirements of Section III. K. of this Agreement. Within 120 days of the Effective Date, ADOC and Tutwiler will conduct a similar review of all unfounded allegations of sexual assault and sexual harassment for the past 360 days to determine whether the investigation was conducted according to the requirements of Section III. K. of this Agreement.
L. Staff Disciplinary Actions
ADOC and Tutwiler shall take appropriate disciplinary action against staff found to have engaged in sexual abuse or sexual harassment or to have violated Tutwiler' s policies and procedures regarding sexual abuse or sexual harassment. Accordingly:
ADOC and Tutwiler shall develop, submit to the Monitor and.DOJ for review consistent with Section III.A.6.1 and implement policies and procedures that track staff disciplinary actions related to allegations of sexual abuse or sexual harassment, to ensure that the directives in IILL.2-ffl.L.6 below are met.
2. ADOC and Tutwiler shall ensure prompt corrective action following any substantiated finding or recommendation resulting from either an administrative or criminal investigation surrounding an incident of sexual abuse or sexual harassment. This will include, but not be limited to:
Documented disciplinary sanctions of staff; and
ii. Permanent removal of staff from the post where the incident occurred.
3. Staff shall be subject to disciplinary sanctions up to and including termination for Violating ADOC's sexual abuse or sexual harassment policies.
4. Termination shall be the presumptive discipljrary sanction for staff who have engaged in sexual abuse.
Disciplinary sanctions for violations of agency policies relating to sexual abuse or sexual harassment (other than actually engaging in sexual abuse) shall be commensurate with the nature and circumstances of the acts committed, the staff member's disciplinary history, and the sanctions imposed for comparable offenses by other staff with similar histories.
6. All terminations for violations of ADOC's and Tutwiler's sexual abuse or sexual harassment policies, or resignations by staff who would have been terminated for sexual abuse or sexual harassment, if not for their resignation, shall be reported to local prosecutors, unless the activity was clearly not criminal in conformance with Alabama law, and to any relevant licensing bodies.
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M. Limited English Proficient (LEP) Inmates

ADOC and Tutwiler shall work with the Monitor to develop and implement a policy providing for a method of interpretation services for LEP inmates This method may be through a language telephone line, if necessary. ADOC and Tutwiler shall not rely on other inmates or non-certified employees to translate and/or interpret for LEP inmates.

IV. QUALITY IMPROVEMENT AND DATA COLLECTION

A.

Within one year of the Effective Date, ADOC and Tutwiler shall develop and submit to the Monitor and DOJ for review consistent with Section III.A.6., and implement, written quality improvement policies and procedures adequate to identify and address any deficiencies in ADOC and Tutwiler's prevention, detection and response to sexual abuse and sexual harassment at Tutwiler and to assess and ensure compliance with the terms of this Agreement. These quality improvement policies and procedures shall include:

Required monthly quality assurance meetings;

2. Qualitative review procedures to ensure investigations of sexual abuse and sexual harassment conform to the requirements of this Agreement;

3. Data collection requirements, including:

a. The procedures for data maintenance and collection for every allegation of sexual abuse and harassment;

b. The sources for data collection including the data required by subsections IV.C., regarding inmate polling, and IV.D regarding data collection (below), documentation of announced and unannounced rounds, grievances, reports, investigation files, and incident reviews;

C. The instrument(s) used to collect data;

d. The standardized definitions used;

e. The methodology employed to analyze the data; and

f. Quality control mechanisms to verify data accuracy.

4. A requirement to create or modify and implement policies and procedures to address problems that are uncovered during the course of quality improvement activities.

B. Within three months of the Effective Date, ADOC shall convene a state-wide working group to evaluate how other state and ADOC entities may contribute to Tutwiler's compliance with this Agreement.

C. ADOC and Tutwiler shall establish a system wherein they routinely poll inmates

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regarding their perceptions of the implementation of the specific terms of this Agreement including the prevalence of staff sexual abuse and sexual harassment, inmate vulnerability to sexual abuse and sexual harassment, the investigation and discipline of staff accused of sexual abuse and sexual harassment, the efficacy of inmate education regarding sexual abuse and sexual harassment, privacy in the showers and toilets, the appropriateness of inmate classification, the levels of staff supervision, the efficacy of the reporting systems for sexual abuse and sexual harassment including grievances, and official responses to, and retaliation for, allegations of sexual abuse and sexual harassment.

D. ADOC and Tutwiler shall develop, implement, and maintain, in consultation with the • Monitor, a Risk Management System ("RMS") that will document and track facility trends related to: (1) sexual abuse or sexual harassment; (2) unprofessional staff conduct involving inmates, including sexually explicit, vulgar, or degrading language; and (3) use of force incidents. The RMS will consist of the data analysis described in this Section. To this end, ADOC and Tutwiler shall:

Develop, implement, and maintain a tracking system to ensure that trends and incidents involving sexual abuse and sexual harassment are identified and corrected in a timely manner. ADOC and Tutwiler shall submit the proposed tracking system to the Monitor and DOJ for review consistent with Section IILA.6.

2. Collect, consolidate, analyze, track, and otherwise use its data to assist with the

prevention of sexual abuse and sexual harassment. ADOC and Tutwiler data

collection shall include:

-

Number of inmate and third-party reports of:

sexual abuse at Tutwiler;

2. sexual harassment at Tutwiler;

staff presence in the shower and toilet areas of the bathrooms at Tutwiler;

4. unprofessional staff conduct involving inmates, including sexually explicit, vulgar, degrading, or racially insensitive or offensive language at Tutwiler;

5. Tutwiler staff located in areas other than their assigned posts; and

6. retaliatory treatment and threats to inmates or third-parties, including disciplinary actions or housing relocation;

ii. Number and names of Tutwiler staff, as well as staff assigned to Tutwiler on overtime, who:

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engaged in or allegedly engaged in sexual abuse at Tutwiler;
2. engaged in or allegedly engaged in sexual harassment at Tutwiler;
3. engaged in or allegedly engaged in use of force at Tutwiler;
4. allegedly violated ADOC and Tutwiler policies governing sexual abuse and sexual harassment;
5. allegedly violated the privacy rights of inmates at Tutwiler by entering the shower and toilet areas unannounced;
6. allegedly used sexually explicit, vulgar, degrading, or racially insensitive or offensive language on a frequent or repeated basis at Tutwiler;
7. allegedly were located in areas other than their assigned post at Tutwiler on a frequent or repeated basis;
were disciplined for actions at Tutwiler involving sexual abuse, sexual harassment, use of force, use of sexually explicit, vulgar, degrading, or racially insensitive or offensive language, or unprofessional staff conduct With inmates, including terminations, suspensions, and resignations; and
9. resigned while a sexual abuse or sexual harassment allegation, or other investigation, was pending at Tutwiler;
iii. Number of forensic medical exams, exams performed by sexual assault forensic examiners, and exams performed by sexual assault nurse examiners
iv: Staffing levels, divided by gender, during different shifts, correlated to the number of sexual abuse and sexual harassment allegations;
V. Locations within Tutwiler where alleged sexual abuse and sexual harassment occurred;
vi. Length of stay for all inmates who are housed in Dorm A or other intake housing area prior to classification;
vii. Number of inmates who were held in or assigned to involuntary segregation because of a risk of sexual victimization for a period longer than 24 hours organized by length of stay;
viii. Number of inmates held in pre-hearing segregation and the length of time they spent there;
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ix. Number and names of pregnant ininates at Tutwiler;
X. Number of cross-gender strip, visual cavity, and pat-down searches;
xi. Upon the implementation of a grievance system at Tutwiler, the number of all grievances, emergency grievances, and number of grievances referred to I&I for investigation;
xii. Number of times ADOC or Tutwiler has determined that a Tutwiler inmate was subject to Substantial risk of imminent sexual or physical abuse;
xiii. Number of administrative investigations initiated regarding allegations of sexual abuse or sexual harassment;
xiv. Number of sexual abuse Or sexual harassment investigations that involved extensions because a final decision had not been reached within 30 days;
xv. Number of instances when inmate interpreters were used in connection with sexual abuse or sexual harassment allegations or investigations;
xvi. Total number of investigations, total number substantiated, total number unsubstantiated, and total number unfounded complaints of sexual abuse or sexual harassment;
xvii. Number of PREA related allegations from Tutwiler referred for criminal investigation and the number of criminal prosecutions;
xviii. Number of Tutwiler staff disciplined for on- or off-duty conduct consistent with departmental policy;
xix. Number of times an incident of retaliation occurred, consistent with PREA guidelines and involving Tutwiler staff or inmates; and
xx. ADOC, Tutwiler, and staff reports of training attendance, frequency, and evaluation measures.
Aggregate the data collected on a quarterly basis.
4. Review data collected and aggregated pursuant to Section IV.D in order to assess and improve the effectiveness of its sexual abuse and sexual harassment prevention, detection, and response policies, practices, and training, including by:
i. Identifying potential patterns, changes, and problem areas (including for individual officers; for individual inmates; and for housing units); to include problems in Tutwiler's staffing levels, policies, practices, staff discipline system, and staff and prisoner training/education that might have contributed to those patterns if such patterns reflect increased sexual
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Case 2:15-cv-00368-MHT-TFM Document 2-1 Filed 05/28/15 Page 36 of 44
abuse and sexual harassment , decreased sexual abuse and sexual harassment detection, or inadequate responses to sexual abuse and sexual harassment;
ii. Identifying staff or supervisors in need of retraining, performance plans, and discipline, while considering all aspects of the employee's assignment;
iii. Developing an array of intervention options to facilitate an effective response to identified problems;
iv. Taking corrective action on an ongoing basis; and
V. Preparing bi-annual reports of its findings and corrective actions, including a comparison to the findings in previous reports to assess progress.
The RMS will rely on the data analysis described above. All appropriate supervisors and investigative staff shall have access to this data described above.
Tutwiler' s Warden shall use information from the RMS to improve quality management practices, identify patterns and trends, and take necessary corrective action both on an individual and systemic level.
ii. Supervisors assigned to Tutwilet will assure that remedial activities are completed, as well as report if the intervention was effective in changing behaviors.
iii. The commissioner responsible for women's facilities or her designee Will manage the RMS and will conduct quarterly audits of the RMS to ensure that analysis and intervention are working effectively, and to identify potential patterns or trends resulting in harm to inmates.
6. ADOC and Tutwiler will provide to the Monitor and DOJ on a bi-annual basis a list of all staff members identified through the RMS, and any corrective action taken. On an annual basis, ADOC and Tutwiler shall conduct a documented review of the RMS to ensure that it has been effective in identifying concerns regarding policy, training, or the need for discipline ADOC and Tutwiler will document their review and conclusions and provide them to the Monitor and DOJ.
7. If three consecutive reports suggest that the Agreement's intended outcome may not be occurring, ADOC and Tutwiler shall convene a team, including the Monitor and representatives of DOJ, to consider modifications to Tutwiler's policies, procedures, and practices.
V. IMPLEMENTATION
A. ADOC and Tutwiler shall begin implementing the requirements of this Agreement
36

Case 2:15-cv-00368-MHT-TFM Document 2-1 Filed 05/28/15 Page 37 of 44
immediately upon the Effective Date.
B. Unless otherwise specified in this Agreement, ADOC and Tutwiler shall have fully implemented, including the training of staff, all policies and procedures required under this Agreement within nine months of the Effective Date. The Monitor may grant ADOC an extension of time to meet a particular deadline, not to exceed three additional months.
C. ADOC and Tutwiler shall revise and/or develop and implement, as necessary, any other policies, practices, procedures, protocols, training curricula, and other written documents, including but not limited to, screening tools, logs, handbooks, manuals, and forms, to effectuate the provisions of this Agreement.
D. If, during the course of this Agreement, the State of Alabama or ADOC decides to replace or supplement the physical structures at Tutwiler with other building(s), they shall notify the Monitor and DOJ and shall include the Monitor in any transition planning.
VI. ADOC AND TUTWILER'S REPORTING REQUIREMENTS
A, ADOC and Tutwiler shall provide to the Monitor and DOJ a confidential bi-annual selfassessment compliance report until the Agreement is terminated, the first of which shall be filed within six months of the Effective Date.
B. Each self-assessment compliance report shall describe the actions ADOC and Tutwiler have taken during the reporting period to implement this Agreement and shall make specific reference to the Agreement provisions being implemented. The report shall also summarize audits and continuous improvement and quality assurance activities, and contain findings and recommendations that would be used to track and trend data compiled at Tutwjler.
C. ADOC and Tutwiler shall maintain sufficient records to document that the requirements of this Agreement are being properly implemented and shall make such records available to the DOJ at all reasonable times for inspection and copying. In addition, ADOC and Tutwiler shall maintain and submit upon request records or other documents to verify that they have taken such actions as described in their self-assessment compliance reports (e.g., census summaries, policies, procedures, protocols, training materials and incident reports) and will also provide all documents reasonably requested by DOJ.
VII. DOJ'S RIGHT OF ACCESS
A. DOJ and its attorneys, consultants, and agents shall have access to Tutwiler, Tutwiler inmates, ADOC and Tutwiler staff and documents as is reasonably necessary to evaluate compliance with this Agreement DOJ will provide written notice prior to any site visits
B. ADOC shall promptly notify DOJ upon any substantiated findings of sexual abuse and sexual harassment, retaliation and/or injury requiring emergency medical attention related to an allegation and/or incident of sexual abuse Or sexual harassment, including any incidents of self-harm. With this notification, ADOC and Tutwiler shall forward to DOJ
37

Case 2:15-cv-00368-MHT-TFM Document 2-1 Filed 05/28/15 Page 38 of 44
any related incident reports and medical and/or mental health reports and investigations as they become available.
C. DOJ shall notify ADOC promptly of any information received that an inmate is at risk of harm.
VIII. MONITORING
A. Selection and Autonomy of the Monitor:
DOJ, ADOC, and Alabama have jointly selected a Monitor, Jennie Lancaster, to assess and report whether the provisions of this Agreement have been implemented, and whether this implementation is resulting in a reduction of incidents of sexual abuse and sexual harassment and professional treatment of inmates.
2. The cost of the Monitor's fees and expenses will be borne by ADOC and Alabama. ADOC will contract with the Monitor to provide these auditing services. As part of that contract, a reasonable budget will be agreed upon by and between ADOC and the Monitor to include a maximum dollar amount that can be spent in a given 12 month period. ADOC and Alabama will provide the Monitor with a budget sufficient to carry out the responsibilities described in this Agreement.
The Monitor shall only have the duties, responsibilities, and authority conferred by this Agreement. The Monitor shall be subjected to the supervision and Orders of the Court, the Court's dismissal order, and applicable law.
4. Neither ADOC, Tutwiler, DOJ, nor any of their staff or agents shall have any supervisory authority over the Monitor's activities, reports, findings, or recommendations. The Monitor may be terminated only for good cause unrelated to the Monitor's findings and only with prior notice to, and approval of, Alabama, ADOC, and DOJ, acting jointly or by court order.
5. The Monitor may contract or consult with other persons or entities to assist in the evaluation of compliance. The Monitor will pay for the services out of his/her budget. The Monitor shall be permitted to engage in ex parte communications with Alabama, ADOC, Tutwiler, DOJ, and the Court regarding this Agreement.
B. Monitor's Access
The Monitor shall have full and complete access to Tutwiler, all Tutwiler documents and records, inmate medical and mental health records, staff, and inmates. The Monitor shall also have access to any ADOC documents or data she requests related to any facility built to supplement Tutwiler. ADOC and Tutwiler shall direct all employees to cooperate fully with the Monitor. All information obtained by the Monitor shall be maintained in a confidential manner.
38

Case 2:15-cv-00368-MHT-TFM Document 2-1 Filed 05/28/15 Page 39 of 44
2. Within seven days of receipt, the Monitor shall distribute to DOJ all documents, forms, assessments, and reports submitted by ADOC or Tutwiler unless Alabama and ADOC have already distributed such items to DOJ.
C. Reporting
Within three months of the Effective Date, the Monitor will conduct a baseline site visit. As a result of the baseline site visit, the Monitor will design a monitoring plan. The baseline site visit will allow the Monitor to become familiar with the facility and this Agreement, and will allow the Monitor to inform ADOC, Tutwiler, and DOJ regarding what information the Monitor will require ADOC and Alabama to routinely report and with what frequency consistent with this Agreement.
2. The Monitor shall conduct an on-site inspection and issue a Compliance Report six months after the baseline visit, and then every six months thereafter. A draft Report shall be provided to ADOC, Tutwiler, and DOJ in draft form for comment at least 30 days prior to its issuance. ADOC, Tutwiler, and DOJ shall provide comments, if any, to the Monitor within 15 days of receipt of the draft Report. The Monitor shall consider the responses of ADOC, Tutwiler, and DOJ and make appropriate changes, if any, before issuing the final Report.
3. The Compliance Reports Shall describe the steps taken by ADOC and Tutwiler to implement this Agreement and evaluate the extent to which ADOC and Tutwiler have complied with each substantive provision of the Agrecment. Each Report:
Shall evaluate the status of compliance for each relevant provision of the Agreement using the following standards: (1) Substantial Compliance; (2) Partial Compliance; and (3) Non-compliance. The Monitor shall review a sufficient number of pertinent documents and interview a sufficient number of staff and inmates to accurately assess current conditions. The Monitor may also communicate with ex-inmates, family members, and relevant community members to assist the Monitor's assessment of current conditions;
H. Shall describe the steps taken by each member of the monitoring team to analyze conditions and assess compliance, including documents reviewed and individuals interviewed, and the factual basis for each of the Monitor's findings;
iii. Will contain the Monitor's independent verification of representations from ADOC and Tutwiler regarding progress toward compliance, and examination of supporting documentation; and
iv. Shall provide recommendations for each of the provisions in the Agreement outlining proposed actions for at least the next six months for ADOC and Tutwiler to complete toward achieving compliance with the particular provision.
39

Case 2:15-cv-00368-MHT-TFM Document 2-1 Filed 05/28/15 Page 40 of 44
4. These Reports will be filed with the Court and shall be written with due regard for the privacy interests of individuals.
5. Nothing in this Section prohibits the Monitor from issuing interim letters or reports to DOJ, ADOC, and Alabama or the Court via the public record in this case should s/he deem it necessary.
D. Limitations
Except as required or authorized by or necessary to evaluate the terms of this Agreement, or as directed by the court, or as authorized by ADOC, Tutwiler, and DOJ acting together, the Monitor shall not make any public statements (at a press conference or otherwise) with regard to any act or omission of ADOC or Tutwiler or their agents, representatives or employees, or disclose information provided to the Monitor pursuant to this Agreement.
2. The Monitor shall not testify in any other litigation or proceeding with regard to any act or omission of ADOC or Tutwiler or any of their agents, representatives, or employees related to this Agreement, nor testify regarding any matter or subject that he Or she may have learned as a result of his or her performance under this Agreement, nor serve as a non-testifying expert regarding any matter or subject that he or she may have learned as a result of his or her performance under this Agreement.
Unless such conflict, is waived by ADOC, Tutwiler, and DOJ, the Monitor shall not accept employment or provide consulting services that would present a conflict of interest with the Monitor's responsibilities under this Agreement, including being retained (on a paid or unpaid basis) by any current or future litigant or claimant, or such litigant's or claimant's attorney, in connection with a claim or suit against ADOC or Tutwiler, their departments, officers, agents or employees.
4. The Monitor is not a State/County or local agency or an agent thereof, and accordingly the records maintained by the Monitor shall not be deemed public records subject to public inspection.
Neither the Monitor nor any person or entity hired or otherwise retained by the Monitor to assist in furthering any provision of this Agreement shall be liable for any claim, lawsuit or demand arising out of the Monitor's performance pursuant to this Agreement.
E. The Monitor shall provide A.DOC and Tutwiler with technical assistance as requested. Technical assistance should be reasonable and should not interfere with the Monitor's ability to assess compliance.
F. The Monitor may convene regular monthly conference calls with the DOJ, ADOC, and Alabama to discuss implementation of the terms of the Agreement, updates, and any other items that the Monitor and/or DOJ, ADOC, and Alabama wish to discuss.
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Case 2:15-cv-00368-MHT-TFM Document 2-1 Filed 05/28/15 Page 41 of 44
G. ADOC and Tutwiler representatives and Staff shall not retaliate against any person because that person has provided information or assistance to the Monitor or DOJ relating to this Agreement.
H. DOJ, ADOC, and Alabama and the Monitor will treat all personally identifiable information obtained pursuant to this Agreement as confidential
IX. ENFORCEMENT
A. The United States District Court for the Middle District of Alabama will retain jurisdiction over this matter for the purposes of enforcing this Agreement.
B. During the period that this Agreement is in force, prior to initiating any enforcement proceedings in Court for an alleged failure to fulfill an obligation under this Agreement, the aggrieved party will notify the other party in writing of the facts supporting the aggrieved party's belief that the other party is not in compliance The responding party will investigate the allegations and respond in writing within 30 days. If the aggrieved party is not Satisfied with the Other party's response, DOJ, ADOC, and Alabama will conduct negotiations to resolve the issue(s) If DOJ, ADOC, and Alabama are unable to resolve the issue(s) satisfactorily within 30 days of the other party's written response, the aggrieved party may move the Court for any relief permitted by law or equity
X. CONSTRUCTION AND TERMINATION
A. If any unforeseen circumstance occurs that causes a failure to timely carry out any requirements of this Agreement, ADOC and Tutwiler shall notify DOJ in writing within 30 days (or as soon as reasonably practicable) after ADOC and Tutwiler become aware of the unfOreseen circumstance and its impact on ADOC's and Tutwiler's ability to perform under the Agreement. The notice shall describe the cause of the failure to perform and the measures taken to prevent or minimize the failure. ADOC and Tutwiler shall implement all reasonable measures to avoid or minimize any such failure.
B. This Agreement shall terminate when ADOC and Tutwiler have achieved substantial compliance with all of the substantive provisions of this Agreement in three consecutive Compliance Reports.
C. The burden will be on ADOC and Tutwiler to demonstrate that they have maintained substantial compliance with each of the provisions of this Agreement Non-compliance with mere technicalities, or temporary failure to comply during a period of otherwise sustained compliance, will not constitute failure by ADOC and Tutwiler to maintain substantial compliance. At the same time, temporary compliance during a period of sustained non-compliance will not constitute substantial compliance.
D. The burden shall be On ADOC and, Tutwiler to demonstrate they have achieved substantial compliance with a particular section of this Agreement.
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Case 2:15-cv-00368-MHT-TFM Document 2-1 Filed 05/28/15 Page 42 of 44 XII. STIPULATION PURSUANT TO THE PRISON LITIGATION REFORM ACT S 18 U.S.C. 4 3626
DOJ, ADOC, and Alabama stipulate and agree that this Agreement complies in all respects with the requirements for prospective relief under the Prison Litigation Reform Act, 18 U.S.C. § 3626 (a).
DOJ, ADOC, and Alabama stipulate and agree that all of the prospective relief in this Agreement is narrowly tailored, extends no further than would be necessary to correct the violations of federal rights as set forth by the United States in its Complaint and Findings Letter, is the least intrusive means necessary to correct these violations, and will not have an adverse impact on public safety or the operation of a criminal justice system Any admission made for the purposes of this Agreement is not admissible if presented by third parties in another proceeding.
42

Case 2:15-cv-00368-MHT-TFM Document 2-1 Filed 05/28/15 Page 43 of 44 For the UNITED STATES OF AMERICA:

GEORGE L. BECK, Jr. United States Attorney Middle District of Alabama

LORETTA E. LYNCH Atto y General
ANITA GUPTA Principal Deputy Assistant Attorney General Civil Rights Division
*IL
MARK KAPPELHOFF Deputy Assistant Attorney General Civil Rights Division
ATE Deputy Chief
_/ ZAZY I. LOPEZ AARON FLEISHER Senior Trial Attorneys Civil Rights Division Special Litigation Section 950 Pennsylvania Avenue, NW Washington, DC 20530 Tel. (202) 305-8702 Fax. (202) 514-0212

43

Case 2:15-cv-00368-MHT-TFM Document 2-1 Filed 05/28/15 Page 44 of 44 For the UNITED STATES OF AMERICA:

For the STATE OF ALABAMA:

JUD C.RE7 Ac Chit Special Litigation Section
DUNN Department of Corrections

44

 </s> IN THE DISTRICT COURT OF THE UNITED STATES FOR THE MIDDLE DISTRICT OF ALABAMA, NORTHERN DIVISION

UNITED STATES OF

)

AMERICA,

)

)

Plaintiff,

)

)

v.

)

)

STATE OF ALABAMA and

)

ALABAMA DEPARTMENT OF

)

CORRECTIONS,

)

)

Defendants.

)

CIVIL ACTION NO. 2:15cv368-MHT (WO)

OPINION

Pursuant to the Civil Rights of Institutionalized

Persons Act, 42 U.S.C. § 1997 et seq., plaintiff United

States of America filed this lawsuit naming as

defendants the State of Alabama and the Alabama

Department of Corrections (hereinafter jointly referred

to as “the State”) and claiming that the State has

subjected prisoners at the Julia Tutwiler Prison for

Women to an ongoing and systemic practice of sexual

abuse and sexual harassment in violation of the Eighth

Amendment. The court has jurisdiction over this action

under 28 U.S.C. §§ 1331 (federal question) and 1345 (proceeding commenced by United States).
This cause is before the court on the parties’ joint motion to enter settlement agreement. For the reasons that follow and based on the representations made at an on-the-record hearing on June 8, 2015, the court will adopt the terms of the agreement as a consent decree of this court; grant the motion to dismiss, albeit conditionally and without prejudice, that is, with final dismissal dependent on compliance with the settlement agreement; and retain jurisdiction for the purpose of enforcing the consent decree, including as well to resolve any disputes arising out of the agreement and to enter final dismissal of the matter as contemplated by the agreement in accordance with federal law.
I. Before the United States filed this complaint, the parties had already engaged in protracted negotiations
2

and come to an agreement as to what needed to be done to remedy alleged sexual abuse at Tutwiler. Their detailed plan, which is set forth in their settlement agreement, is the product of commendable cooperation on both sides. In reaching this settlement, the parties determined that they need the injunctive power of this court to ensure that women confined at the Tutwiler facility will be treated in accordance with constitutional standards. As such, the same day that the United States filed its complaint, the parties jointly filed a motion for the court to enter their agreement as an order of the court. As succinctly embodied in their proposed order, the parties also asked the court, first, to dismiss the complaint “conditionally” and “WITHOUT PREJUDICE pursuant to Rule 41(a)(2) of the Federal Rules of Civil Procedure,” that is, to make “Final dismissal ... conditioned on compliance with the Settlement Agreement,” Proposed order (doc. no. 2-2); and, second, to retain jurisdiction over the agreement for enforcement
3

purposes, including as well “to resolve any disputes arising out of the Settlement Agreement and to enter final dismissal of the matter as contemplated by the Settlement Agreement.” Id.
II. As stated above, this case arises from the United States’ allegations that the State has subjected prisoners at Tutwiler to sexual abuse and sexual harassment. Accordingly, in assessing the agreement, the court relies on these allegations (unchallenged by the State for the limited purpose of assessing the agreement) as set forth in the complaint. Tutwiler is a maximum-security women’s prison operated by the State in Wetumpka, Alabama. In 2013, the Department of Justice investigated allegations of staff sexual abuse and sexual harassment there. What it asserts to have found is, if true, gut-wrenching and horrific. It is alleged that staff at Tutwiler raped and sexually abused women in their custody; required
4

them to submit to sexual advances in order to obtain necessities or avoid punishment; and knowingly allowed a sexually violent environment to persist. It is further alleged that the State does not provide women any means to file administrative grievances to report sexual abuse and that the State failed to investigate allegations of abuse adequately. Moreover, it is alleged that staff retaliated against those who did attempt to report abuse by placing them in segregation and threatening them with physical assault. It is further alleged that the State failed to discipline appropriately both low-level staff and high-level officials who engaged in, encouraged, or deliberately disregarded the abuse and that some staff members were permitted to resign in lieu of termination, others were reassigned to different facilities, and others were promoted.
It is also alleged that the State failed to implement policies or manage the facility in a way that met constitutional standards and failed to institute
5

gender-responsive policies and procedures to address sexual abuse and harassment, to staff the facility at safe levels, or to develop a classification system that would protect potential victims of abuse.
These allegations are not new. In 1995, the Department of Justice notified the State of allegations of sexual abuse by staff at Tutwiler; and, in 2007, it identified Tutwiler as the women’s prison with the highest rate of sexual-assault allegations in the country. Several reports have been issued since then by other organizations that discuss the continuing nature of the alleged problem.
The proposed settlement agreement mandates numerous changes in prison policies and establishes procedures to ensure more rigorous protection from sexual abuse for prisoners at Tutwiler.
The agreement requires the State to implement fully all changes within nine months. At that time, and every six months thereafter, it requires that the court receive a compliance report from the parties’
6

independent monitor, a corrections expert who will ensure that the terms of the agreement are met. After the State has achieved substantial compliance with all substantive provisions of the agreement in three consecutive compliance reports, that is, for 18 consecutive months, the agreement will terminate.
III. Federal law requires litigation over prison conditions to comply with the Prison Litigation Reform Act (PLRA), 18 U.S.C. § 3626. “The PLRA strictly limits the prospective relief a federal court may order in cases concerning prison conditions.” Gaddis v. Campbell, 301 F. Supp. 2d 1310, 1313 (M.D. Ala. 2004) (Thompson, J.). The PLRA’s restrictions extend to consent decrees. 18 U.S.C. § 3626(c)(1). By contrast, private settlement agreements whose terms are not subject to federal-court enforcement (but may be enforceable under state law) do not need to abide by the PLRA’s requirements. 18 U.S.C. § 3626(c)(2). In
7

this case, the parties confirmed orally during the June

8 hearing that their settlement agreement should be

treated as a “consent decree” governed by the PLRA and

is enforceable by this court.

The PLRA provides that “a court shall not grant or

approve any prospective relief unless the court finds

that such relief [(1)] is narrowly drawn, [(2)] extends

no further than necessary to correct the violation of a

Federal right, and [(3)] is the least intrusive means

necessary to correct the violation of the Federal

right.” 18 U.S.C. § 3626(a)(1)(A). The court must

also “give substantial weight to any adverse impact on

public safety or the operation of a criminal justice

system caused by the relief.”

18 U.S.C.

§ 3626(a)(1)(B).

The PLRA generally requires that the court “engage

in a specific, provision-by-provision examination of

[a] consent decree[], measuring each requirement

against the statutory criteria.” Cason v. Steckinger,

231 F.3d 777, 785 (11th Cir. 2000). However, the

8

district court does not need to “conduct an evidentiary hearing about or enter particularized findings concerning any facts or factors about which there is not dispute.” Id. at 785 n.8. “The parties are free to make any concessions or enter into stipulations they deem appropriate.” Id.
The PLRA allows the court, upon the motion of any party or intervener, to terminate prospective relief two years after the court approves or grants the relief or one year after the court has entered an order denying termination of relief. 18 U.S.C. § 3626(b)(1). However, should any party move for termination while violations of federal rights continue to exist, the PLRA makes clear that relief need not terminate merely because a party has so moved. Rather, the law requires the court to assess whether prospective relief remains necessary at that time. See id. at § 3626(b)(3) (“Prospective relief shall not terminate if the court makes written findings based on the record that prospective relief remains necessary to correct a
9

current and ongoing violation of the Federal right, extends no further than necessary to correct the violation of the Federal right, and that the prospective relief is narrowly drawn and the least intrusive means to correct the violation.”).
In this case, the parties all agree that the proposed settlement, which, according to them, should be treated as a proposed consent decree, satisfies the so-called “need-narrowness-intrusiveness” requirements of the PLRA. 18 U.S.C. § 3626(a)(1)(A); see also Laube v. Campbell, 333 F. Supp. 2d 1234, 1239 (M.D. Ala. 2004) (Thompson, J.). They stipulate accordingly in Section XII of their agreement. Furthermore, in the June 8 hearing, the parties stated their reasons for believing the agreement meets these requirements. They argued that the remedy is narrowly tailored because it is limited to the Tutwiler prison and because it exclusively addresses the problem of sexual abuse and sexual harassment at that facility. The parties further noted that the abuses alleged in this case were
10

pervasive and severe, so the extensive level of oversight provided for in this agreement is necessary. Finally, the parties took care in their negotiations not to interfere with the State’s penal mission, and the State was willing to agree only to provisions it felt were necessary to address the identified problems, and nothing more. Based on its own independent assessment of the settlement, the court agrees and finds that the settlement’s relief, as it will be embodied in a consent decree, is necessary, narrowly tailored and no more intrusive than necessary to remedy the identified constitutional violations.
The court further finds that the settlement agreement will have no adverse effect on public safety or the operation of the criminal-justice system. See 18 U.S.C. § 3626(a)(1)(B). As the parties themselves have noted, the settlement will promote public safety by not only protecting the prisoners at Tutwiler from sexual abuse and harassment, it will also protect the prison guards. In sum, the court is satisfied that the
11

terms of the settlement agreement, as they will be embodied in a consent decree, are in full compliance with the PLRA, and approves the agreement.
In the event that any party moves for termination of prospective relief after two years but before the parties have maintained at least 18 consecutive months of substantial compliance, the court will assess whether prospective relief remains necessary at that time.
IV. The parties request that the court “conditionally” dismiss the case under Federal Rule of Civil Procedure 41(a)(2), but retain jurisdiction while the terms of the agreement are being carried out. Rule 41(a)(2) provides that, except in circumstances not applicable here, “an action may be dismissed at the plaintiff’s request only by court order, on terms that the court considers proper.” Fed. R. Civ. P. 41(a)(2) (emphasis added). In Kokkonen v.
12

Guardian Life Ins. Co. of America, the Supreme Court

explained that, “If the parties [to a case] wish to

provide for the court’s enforcement of a

dismissal-producing settlement agreement, they can seek

to do so.” 511 U.S. 375, 381 (1994) (emphasis

removed).

Under Kokkonen, a court may retain

enforcement jurisdiction over a matter if the

settlement agreement is made part of the order of

dismissal either by a separate provision “retaining

jurisdiction” or by incorporating the terms of the

agreement into the order itself. Id.; see also Anago

Franchising, Inc. v. Shaz, LLC, 667 F.3d 1272, 1278-79

(11th Cir. 2012). “When dismissal is pursuant to

Federal Rule of Civil Procedure 42(a)(2) ... the

parties’ compliance with the terms of the settlement

contract (or the court’s ‘retention of jurisdiction’

over the settlement contract) may, in the court’s

discretion, be one of the terms set forth in the

order.” Kokkonen, 511 U.S. at 381.

13

Here, the parties have asked for the court to dismiss the case conditionally and without prejudice, but to preserve jurisdiction over the case while the terms of the agreement are being carried out. The court obliges, and will retain enforcement under both mechanisms provided by Kokonnen: by express provision and by incorporating the terms of the parties’ agreement into a consent decree. In other words, the court dons both belt and suspenders.
An appropriate consent decree and judgment will be entered.
DONE, this the 18th day of June, 2015. _ /s/ Myron H. Thompson
UNITED STATES DISTRICT JUDGE
14

 </s> Case 2:15-cv-00368-MHT-TFM Document 11 Filed 06/18/15 Page 1 of 127

IN THE DISTRICT COURT OF THE UNITED STATES FOR THE MIDDLE DISTRICT OF ALABAMA, NORTHERN DIVISION

UNITED STATES OF

)

AMERICA,

)

)

Plaintiff,

)

)

v.

)

)

STATE OF ALABAMA and

)

ALABAMA DEPARTMENT OF

)

CORRECTIONS,

)

)

Defendants.

)

CIVIL ACTION NO. 2:15cv368-MHT (WO)

CONSENT DECREE

It is ORDERED that all parties are enjoined and

restrained from failing to comply with this consent

decree, which replicates the parties’ settlement

agreement (doc. no. 2-1).

I. INTRODUCTION

1. The State of Alabama, the Alabama Department of

Corrections (“ADOC”), and the United States of

America enter into this Agreement with the goal of

ensuring that inmates at the Julia Tutwiler Prison

for Women are provided with constitutional

1

Case 2:15-cv-00368-MHT-TFM Document 11 Filed 06/18/15 Page 2 of 127
conditions that protect them from sexual abuse and sexual harassment. 2. The Civil Rights Division of the United States Department of Justice commenced an investigation of allegations of sexual abuse and sexual harassment at Tutwiler pursuant to the Civil Rights of Institutionalized Persons Act, 42 U.S.C. § 1997 (“CRIPA”). 3. On January 17, 2014, the United States issued an investigative findings letter that concluded that certain conditions at Tutwiler violated inmates’ constitutional rights (“Findings Letter”) (attached as Appendix A). Specifically, the United States concluded that ADOC violated the Eighth Amendment of the United States Constitution by failing to protect women inmates at Tutwiler from harm due to sexual abuse and sexual harassment from correctional staff. 4. DOJ acknowledges and appreciates the cooperation and good faith shown to the Department of Justice
2

Case 2:15-cv-00368-MHT-TFM Document 11 Filed 06/18/15 Page 3 of 127

and its representatives on the part of the Governor

of Alabama, the Commissioner of the Alabama

Department of Corrections, ADOC’s leadership, and

staff. DOJ was given full access to Tutwiler’s

physical plant, its inmates, its staff, its

vendors, and thousands of pages of documents

requested by DOJ and its experts for review. The

Governor, Commissioner, and the ADOC’s management

team have demonstrated a commitment to improving

conditions at Tutwiler for the women inmates who

reside there and staff who work there and have

devoted significant monetary and personnel

resources towards making Tutwiler a safer facility

and towards PREA compliance.

In March 2014, the

Commissioner created a new position, Deputy

Commissioner for Women’s Facilities. The primary

mission of this new position is to provide

executive and operational oversight of the

management of women inmates in the custody of ADOC,

specifically the Tutwiler Prison for Women,

3

Case 2:15-cv-00368-MHT-TFM Document 11 Filed 06/18/15 Page 4 of 127

Montgomery Women’s Facility and Birmingham Work

Release Center. Dr. Wendy Williams was appointed

to be the first Deputy Commissioner of Women’s

Facilities on April 16, 2014.

Since her

appointment, Dr. Williams has dedicated her time to

ensure that major changes were taking place at

Tutwiler and at all of the ADOC’s women facilities.

ADOC will continue to seek sustainable improvements

to promote positive outcomes for staff and the

women they supervise.

5. DOJ recognizes Alabama and ADOC’s high level of

cooperation and willingness to enter into this

Agreement without the need for litigation. As a

result of this cooperation, DOJ, ADOC, and Alabama

believe this Agreement represents the best

opportunity to address the United States’ concerns

regarding sexual abuse and sexual harassment at

Tutwiler.

6. Resolving this matter with this Agreement is in the

best interests of the ADOC and Tutwiler inmates.

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Pursuant to Fed. R. Civ. P. 41(a)(2), this Agreement will be filed in the United States District Court, Middle District of Alabama, together with a joint motion to conditionally dismiss the Complaint under the conditions set forth in this Agreement. This case will remain on the Court’s inactive docket during the term of this Agreement. DOJ, ADOC, Alabama, or the Monitor may request status conferences to assist in informally resolving disputes, if needed. The Court will retain jurisdiction only to enforce the terms of this Agreement and to resolve disputes between DOJ, ADOC, and Alabama. 7. This Agreement shall be filed in the United States District Court, Middle District of Alabama. The Court has jurisdiction over this action pursuant to 28 U.S.C. §1331; 28 U.S.C. § 1345; and 42 U.S.C. § 1997. Venue is proper in this district pursuant to 28 U.S.C. § 1391(b).
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8. This Agreement shall constitute the entire integrated Agreement of DOJ, ADOC, and Alabama. Except for the United States’ January 17, 2014, Findings Letter, no prior or contemporaneous communications, oral or written, or prior drafts shall be relevant or admissible for purposes of determining the meaning of any provisions of the Agreement.
9. This Agreement is binding upon DOJ, ADOC, and Alabama, by and through their officials, agents, employees, and successors. This Agreement is enforceable only by DOJ, ADOC, and Alabama. No person or entity is intended to be a third-party beneficiary of the provisions of this Agreement or any reports drafted, compiled, completed, or filed as a result of this Agreement for purposes of any civil, criminal, or administrative action, and accordingly, no person or entity may assert any claim or right as a beneficiary or protected class under this Agreement or any such reports. This
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Agreement and any reports drafted, compiled, completed, or filed as a result of this Agreement are not intended to impair or expand the right of any person or organization to seek relief against the ADOC for its conduct or the conduct of ADOC employees; accordingly, they do not alter legal standards governing any such claims, including those under Alabama law. This Agreement and any reports drafted, compiled, completed, or filed as a result of this Agreement do not authorize, nor shall they be construed to authorize, access to any ADOC, contractor, or DOJ documents by persons or entities other than the DOJ, the ADOC, and the Monitor.
II. DEFINITIONS A. “ADOC” means the Alabama Department of
Corrections.1
1. For purposes of this Agreement, the ADOC’s commitments are limited to Tutwiler Prison for Women.
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B. “Compliance” is discussed throughout this Agreement in the following terms: substantial compliance, partial compliance, and noncompliance. “Substantial Compliance” indicates that ADOC and Tutwiler have achieved material compliance with most or all components of the relevant provision of the Agreement. “Partial Compliance” indicates that ADOC and Tutwiler have achieved material compliance on some of the components of the relevant provision of the Agreement, but significant work remains. “Noncompliance” indicates that ADOC and Tutwiler have not met most or all of the components of the relevant provision of the Agreement. “Material Compliance” requires that, for each provision, ADOC and Tutwiler have developed and implemented a policy incorporating the requirement, trained relevant personnel on the policy, and relevant personnel are complying with the requirement in actual practice.
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C. “Contractor” means a person who provides services

on a recurring basis pursuant to a contractual

agreement with the State of Alabama or ADOC.

D. “Corrections staff” means all ADOC employees and

contractors, irrespective of job title, whose

regular duties include the supervision and control

of inmates throughout Tutwiler.

E. “Document” is defined to include any designated

documents or electronically stored information -

including writings, handwritten notes, letters,

emails,

memoranda,

policies,

procedures,

protocols, curricula, drawings, graphs, charts,

photographs, sound recordings, images, and other

data or data compilations - stored in any medium

from which information can be obtained either

directly or, if necessary, after translation by

ADOC and Alabama into a reasonably usable form. A

draft or non-identical copy is a separate document

within the meaning of this term.

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F. “DOJ” shall refer to the United States Department of Justice, which represents the United States in this matter.
G. “Employee” means a person who works directly for ADOC or Tutwiler.
H. “Exigent circumstances” means any set of temporary and unforeseen circumstances that require immediate action in order to combat a threat to the security or institutional order of Tutwiler.
I. “Effective Date” shall mean the date the Agreement is signed by DOJ, ADOC, and Alabama.
J. “Gender dysphoria” is when a person’s gender at birth is contrary to the one they identify with.
K. “Gender nonconforming” means a person whose appearance or manner does not conform to traditional societal gender expectations.
L. “Gender-responsive principles” reflect operational practices in a prison setting based on empirical and gender based differences. Being genderresponsive means adopting the principles, training
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employees, and creating and maintaining a prison environment that is grounded in evidence based practice, experience, research, and theory that acknowledges women’s pathways into the criminal justice system and addresses issues such as history of sexual and physical abuse, violence, family relationships, substance abuse, mental illness and co-occurring disorders. M. To “implement” a policy means: the policy has been drafted and disseminated to all staff responsible for following or applying the policy; all relevant staff have been trained on the policy; compliance with the policy is monitored and tracked through compliance tools; the policy is consistently applied and followed, as demonstrated by the compliance tools; and there are corrective action measures to address lapses in application of the policy. N. “Include” or “including” means “include, but not be limited to” or “including, but not limited to.”
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O. “Inmate” means any person incarcerated or detained at Tutwiler or any facility that is built or used to replace Tutwiler.
P. “Intersex” means a person whose sexual or reproductive anatomy or chromosomal pattern does not seem to fit typical definitions of male or female. Intersex medical conditions are sometimes referred to as disorders of sex development.
Q. “Medical Practitioner” means a health professional who, by virtue of education, credentials, and experience, is licensed (if required by law) and permitted to evaluate and care for patients within the scope of his or her professional practice.
R. “Mental Health Practitioner” means a mental health professional who, by virtue of education, credentials, and experience, is licensed (if required by law) and permitted to evaluate and care for patients within the scope of his or her professional practice.
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S. “Monitor” means an individual selected to oversee implementation of the Agreement.
T. “Pat-down search” means a running of the hands over the clothed body of an inmate by an employee to determine whether the individual possesses contraband.
U. “PREA” means the Prison Rape Elimination Act of 2003 and implementing regulations, 28 C.F.R. pt. 115.
V. A ‘‘qualified medical practitioner’’ means a health professional who, by virtue of education, credentials, and experience, is licensed (if required by law) and permitted to evaluate and care for patients within the scope of his or her professional practice and who has also successfully completed specialized training for treating sexual abuse victims.
W. A ‘‘qualified mental health practitioner’’ means a mental health professional who, by virtue of education, credentials, and experience, is
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licensed (if required by law) and permitted to evaluate and care for patients within the scope of his or her professional practice and who has also successfully completed specialized training for treating sexual abuse victims. X. “Real-time video monitoring” means a staff member is assigned to monitor video feeds contemporaneously with recorded events and has the capacity to intervene or cause intervention in an emergency to ensure the protection and safety of inmates and/or staff. Y. “Sexual abuse” includes: 1. Sexual abuse of an inmate by a staff member,
includes any of the following acts, with or without consent of the inmate:
i. Contact between the penis and the vulva or the penis and the anus, including penetration, however slight;
ii. Contact between the mouth and the penis, vulva, or anus;
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iii. Contact between the mouth and any body part where the staff member has the intent to abuse, arouse, or gratify sexual desire;
iv. Penetration of the anal or genital opening, however slight, by a hand, finger, object, or other instrument, that is unrelated to official duties or where the staff member has the intent to abuse, arouse or gratify sexual desire;
v. Any other intentional contact, either directly or through the clothing of, or with the genitalia, anus, groin, breast, inner thigh, or the buttocks, that is unrelated to official duties or where the staff member has the intent to abuse, arouse or gratify sexual desire;
vi. Any attempt, threat, or request by a staff member to engage in the activities
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described

in

paragraphs

(i)-(v)

immediately above;

vii. Any display by a staff member of his or

her uncovered genitalia, buttocks, or

breast in the presence of an inmate; and

viii. Voyeurism by a staff member.

2. Sexual abuse of an inmate by another inmate,

including any of the following acts, if the

victim does not consent, is coerced into such act

by overt or implied threats of violence, or is

unable to consent or refuse:

i. Contact between the penis and the vulva or

the penis and the anus, including

penetration, however slight;

ii. Contact between the mouth and the penis,

vulva, or anus;

iii. Penetration of the anal or genital opening

of another person, however slight, by a

hand, finger, object, or other instrument;

and

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iv. Any other intentional touching, either directly or through the clothing, of the genitalia, anus, groin, breast, inner thigh, or the buttocks of another person, excluding contact incidental to a physical altercation.
Z. “Sexual harassment” includes: 1. Repeated and unwelcome sexual advances, requests for sexual favors, or verbal comments, gestures, or actions of a derogatory or offensive sexual nature by one inmate directed toward another; and 2. Repeated verbal comments or gestures of a sexual nature to an inmate by a staff member including demeaning references to gender, sexually suggestive or derogatory comments about body or clothing, or obscene language or gestures.
AA. “Shift relief factor” means the number of full-time equivalent staff needed to fill a relieved post
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(one that is covered on a continuous basis) for a single shift. Four basic variables are considered in determining the shift relief factor: how often and how long posts are to be filled; number of days per week posts are authorized to be filled; whether the post must be relieved to keep it filled during the shift (e.g., meal relief, scheduled breaks); and leave and absence patterns of the workforce, including both paid and unpaid leave. BB. “Staff” or “staff member” includes all persons who are assigned to work at Tutwiler or provide services to inmates at Tutwiler, including corrections staff, medical practitioners, mental health practitioners, and employees of any agency of the State, and including contractors and volunteers who provide services at Tutwiler without pay. CC. “Strip search” means a search that requires a person to remove or arrange some or all clothing
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so as to permit a visual inspection of the person’s breasts, buttocks, or genitalia. DD. “Substantiated allegation” means an allegation that was investigated and determined to have occurred. EE. “Supervisory staff” means any staff member who has the responsibility to oversee the work of another staff member or inmate or groups of staff or inmates and includes anyone that ADOC designates as having the responsibility to oversee the work of another staff member and/or inmate or group of staff and/or inmates. FF. “Train” means that qualified instructors educate employees in the skills, knowledge and/or abilities addressed to a level at which the trainee has the demonstrated proficiency to implement those skills as, and when called for, in the training. “Trained” means a demonstration of staff proficiency through documented testing or other means.
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GG. “Transgender” means a person whose gender identity (i.e., internal sense of feeling male or female) is different from the person’s assigned sex at birth.
HH. “Tutwiler” refers to the Julia Tutwiler Prison for Women located in Wetumpka, Alabama and includes all buildings located on the Tutwiler campus.
II. “Unfounded allegation” means an allegation that was investigated and determined not to have occurred.
JJ. “Unsubstantiated allegation” means an allegation that was investigated and the investigation produced insufficient evidence to make a final determination as to whether or not the event occurred.
KK. “Volunteer” means an individual who donates time and effort on a recurring basis to enhance the activities and programs of ADOC.
LL. “Voyeurism” by a staff member means an invasion of privacy of an inmate by staff for reasons
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unrelated to official duties, such as peering at an inmate who is using a toilet to perform bodily functions; requiring an inmate to expose her buttocks, genitals, or breasts; or taking images of all or part of an inmate’s naked body or of an inmate performing bodily functions.
III. SUBSTANTIVE PROVISIONS ADOC and Tutwiler shall take all actions necessary to comply with the substantive provisions of this Agreement detailed below in order to prevent, detect, and respond to allegations of sexual abuse and sexual harassment at Tutwiler. Compliance with the Agreement will be measured both by whether the technical provisions are implemented and whether women at Tutwiler are provided a safe and secure environment free of sexual abuse and sexual harassment as required by the United States Constitution.
A. General Policies and Procedures
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ADOC and Tutwiler shall develop and implement

gender-responsive policies, procedures, and practices

to ensure that inmates at Tutwiler are protected from

harm due to sexual abuse and sexual harassment.

Accordingly:

1. ADOC and Tutwiler shall comply with all

provisions of PREA. ADOC and Tutwiler shall

continue to comply with the ADOC’s written

policies and procedures mandating zero tolerance

toward all forms of sexual abuse and sexual

harassment. This Agreement takes precedence over

any ADOC and/or Tutwiler policy governing the

operation of Tutwiler and that may conflict with

this Agreement.

2. ADOC and Tutwiler shall develop, submit to the

Monitor and DOJ for review consistent with

Section III.A.6., and implement policies and

procedures regarding the management of lesbian,

gay, bisexual, transgender, intersex, and gender

nonconforming inmates.

The policy shall

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emphasize the rights of lesbian, gay, bisexual,

transgender, intersex, gender nonconforming and

gender dysphoric inmates to a safe, non-

discriminatory and respectful environment and

shall include the following:

i. A qualified mental health practitioner

with experience in recognizing and

diagnosing co-existing mental health

concerns and distinguishing these from

gender dysphoria, knowledge about gender

non-conforming identities and expressions

and the assessment and treatment of gender

dysphoria, should be assigned inmates with

gender

non-conforming

identities,

including gender dysphoric inmates;

ii. An inmate diagnosed with gender dysphoria

should be offered appropriate non-surgical

treatment as determined by a qualified

health care practitioner; and

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iii. ADOC and Tutwiler shall provide ADOCissued clothing and hygiene items and facilities appropriate to the needs of transgender and gender dysphoric inmates.
3. ADOC and Tutwiler shall continue to comply with its policy that ensures women receive essential supplies, including hygiene and feminine hygiene products, tampons and pads; linens; and uniforms by making them available on a monthly basis or more frequently as needed. The policy will continue to require the tracking and distribution of these products. ADOC and Tutwiler will continue to ensure that both tampons and sanitary pads are readily available, free of charge, to Tutwiler inmates.
4. ADOC and Tutwiler shall develop and implement policies and procedures that incorporate genderresponsive strategies, including policies and procedures governing the use of force against women inmates and discipline of women inmates.
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5. ADOC and Tutwiler shall continue to develop, submit to the Monitor and DOJ for review consistent with Section III.A.6., and implement facility-specific policies and operational practices specific to Tutwiler’s population regarding the supervision and monitoring necessary to prevent inmates from being exposed to an unreasonable risk of harm from sexual abuse and harassment. The policies and practices must include: i. Post orders for first-line supervision of corrections staff for each housing unit in accordance with the operational practices developed; ii. Procedures regarding communication to and from corrections staff assigned to housing units; iii. The continued requirement of supervision by corrections staff assigned to all housing areas and dormitory settings,
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including direct supervision of Dorm A, if

that unit continues to be used for intake,

and the administration of adequate rounds

by corrections staff and security

supervisors in all areas of the prison,

including dormitories. Such rounds shall

occur unannounced, at least every hour,

inside each general population housing

unit and at least once every 30 minute

period for special management inmates, or

more often if necessary.

Video

surveillance may be used to supplement,

but must not be used to replace rounds by

correctional officers;

iv. The

continued

requirement

that

intermediate level or higher-level

supervisors

conduct

and

document

unannounced rounds during both the day and

night shifts to identify and deter staff

sexual abuse and sexual harassment. Other

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staff members should not be alerted that these rounds are occurring; and v. The continued requirement to document all security rounds on forms or logs that do not contain pre-printed rounding times. 6. ADOC and Tutwiler shall revise and/or develop and implement, as necessary, any other policies, practices, procedures, protocols, training curricula, and other written documents, including but not limited to, screening tools, logs, handbooks, manuals, and forms, to effectuate the provisions of this Agreement. i. ADOC and Tutwiler shall work together with the Monitor to draft new policies and procedures and/or revise existing policies and procedures pursuant to this Agreement. ADOC and Tutwiler will then send copies of such policies and procedures to DOJ for review and comment consistent with this Agreement.
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ii. DOJ shall signify its approval, or provide

any comments to ADOC and Tutwiler within

15 days of receipt of policies and

procedures.

iii. ADOC and Tutwiler, in consultation with

the Monitor, will consider DOJ’s comments

and input when determining whether to

further revise the policies and

procedures.

iv. If ADOC and Tutwiler choose not to

incorporate DOJ’s comments into

further

revisions, they will explain to DOJ in

writing the reasons for doing so. While

ADOC and Tutwiler should refrain from

implementing policies and procedures

during the period they are under review by

DOJ, ADOC and Tutwiler need not postpone

the implementation of any policies or

procedures once they have received DOJ’s

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comments (or the 15 day period for commenting expires).
B. Camera Management The ADOC has implemented a state-of-the-art camera
system at Tutwiler, and contracted with an expert who has conducted a review of the ADOC’s Camera Plan, including a review of each camera’s placement. As a result of that review, cameras are strategically placed to maximize supervision while protecting privacy. Policies directing the appropriate use of cameras and periodic staff training to ensure sustainability and effective operation of the camera system will remain as standard operational practice.
1. Camera Management policies and procedures will remain in effect at Tutwiler.
2. Camera management policies and procedures, including the locations where cameras have been placed, will be reviewed at least annually to ensure that they are serving their goal of
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maximizing supervision. To the extent that any changes to the Camera Management policies and procedures, or to a camera location, need to be made they will be made within 30 days of the completion of the annual review. If a change cannot be made within 30 days, the reason for exceeding 30 days will be documented. C. Staffing In order to address low staffing levels and the need for more women officers, ADOC and Tutwiler shall ensure that correctional staffing and supervision is sufficient to adequately supervise inmates and staff and allow for the safe operation of Tutwiler. Accordingly: 1. Phase I:
i. ADOC and Tutwiler shall continue to develop, submit to the Monitor and DOJ to assess for compliance with this Agreement, and implement its plan to recruit women
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correctional officers at Tutwiler. To

this end, ADOC shall:

1. Continue working with the Alabama

Peace Officers Standards and Training

Commission (APOSTC) in screening,

selecting, or hiring applicants for

the entry-level corrections officer

positions until such standards, or any

other physical test employed, are:

a. Validated for a corrections

environment; and

b. Examined for the necessity of

gender-norming

certain

components.

2. Continue to conduct physical fitness

assessments on all correctional

officer trainees, to include the

provision of training recommendations

to meet APOSTC physical training

requirements.

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3. Examine workplace practices such as mandatory overtime and shift length to assess whether any of those practices may negatively impact hiring and retaining women candidates.
ii. ADOC shall continue the practice of allowing officers from other ADOC facilities to serve overtime or otherwise be temporarily assigned at Tutwiler only after those officers have been trained as required by this Agreement.
iii. Within six months of the Effective Date, and every six months thereafter, ADOC and Tutwiler will provide to the Monitor and DOJ the numbers of men and women who have taken any required entry-level physical examination(s) and the results of any such tests broken down by gender for each test administration.
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iv. ADOC shall continue to employ an upper-

level, Department-wide PREA Coordinator

with sufficient time and authority to

develop, implement, and oversee its

efforts to comply with the PREA standards

at Tutwiler and all of its facilities.

v. ADOC and Tutwiler shall designate a full-

time (40 hours/week) PREA Compliance

Manager who has no other duties within

ADOC or Tutwiler and who is assigned to

oversee PREA compliance at Tutwiler. In

addition, this person will work closely

with the PREA Compliance Managers at

Montgomery Women’s Facility and Birmingham

Work Release for consistency in women’s

services and monitor any other facility

that is built to house women inmates on

PREA-related matters.

This individual

will have sufficient authority to

coordinate Tutwiler’s efforts to comply

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with the PREA standards. Further, ADOC and

Tutwiler shall:

1. Ensure that Tutwiler’s PREA Compliance

Manager reports directly to the Warden

or

the

Department-wide

PREA

Coordinator;

2. Develop, in policy, a job description

for Tutwiler’s PREA Compliance Manager

with expected responsibilities, and

submit this policy to the Monitor and

DOJ for review consistent with Section

III.A.6.;

3. Provide training to the Tutwiler PREA

Compliance Manager necessary to fulfill

his or her duties; and

4. Document the Tutwiler PREA Compliance

Manager’s activities.

2. Phase II:

i. ADOC and Tutwiler shall develop, document,

and implement a staffing plan, based on

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gender-responsive principles and PREA requirements, that provides for adequate staffing levels and, where applicable, video monitoring, to protect inmates against sexual abuse and sexual harassment. This staffing plan shall be provided to the Monitor and DOJ and shall include the following: 1. Identification of all posts and
positions at Tutwiler, including any gender-specific posts required for the safe operation of the facility; 2. Shift relief factor for Tutwiler; 3. Policies and procedures for reviewing and amending Tutwiler’s staffing plan. ii. In calculating adequate staffing levels, ADOC and Tutwiler shall, as part of a staffing analysis, consider: 1. Generally accepted detention and
correctional practices;
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2. ADOC and Tutwiler’s determination of which necessary duties will be handled by Tutwiler staff, ADOC staff, or outside agencies;
3. Any findings of inadequacy from any investigative agencies within ADOC;
4. Any findings of inadequacy from internal or external oversight bodies;
5. The Camera Management Plan and all components of the facility’s physical plant;
6. The composition of the inmate population;
7. The number and placement of supervisory staff;
8. Institution programming and options for supervision of inmates;
9. A Tutwiler specific shift relieffactor;
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10. Any applicable state or local laws, regulations, or standards; and
11. The prevalence of substantiated and unsubstantiated incidents of sexual abuse and sexual harassment.
iii. Within nine months of the Effective Date, ADOC and Tutwiler shall submit this staffing plan and staffing analysis to the Monitor and DOJ for review and comment, and shall maintain the underlying data utilized in conducting the staffing analysis and plan and provide this data to DOJ or the Monitor if requested.
iv. Within one year of the Effective Date, ADOC and Tutwiler shall adopt the results of the staffing plan consistent with PREA standards.
v. ADOC and Tutwiler, in consultation with the Department-wide PREA Coordinator and Tutwiler's PREA Compliance Manager, shall
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assess, determine, and document via a Staffing Update and Staffing Report, whether adjustments are needed to the staffing plan, and –taking into account available resources– implement such adjustments. vi. The Staffing Update shall be provided to the Monitor and DOJ quarterly and shall include the following information: 1. A listing of staff hired at Tutwiler,
by gender and positions filled; and 2. A listing of staff who ended their
employment at Tutwiler, including gender, position, and reason for separation. vii. The Staffing Report shall be provided to the Monitor and DOJ every six months in the first year after the Effective Date and yearly thereafter until termination of
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this Agreement. Each Staffing Report will include the following information: 1. An evaluation of existing staffing
levels and need for adjustments; 2. A listing of each post and position
needed; 3. The number of hours needed for each
post and position; 4. A listing of staff, by gender, working
overtime at Tutwiler and the amount of overtime worked by each staff member; 5. A listing of supervisors by gender working overtime at Tutwiler; and 6. Tutwiler’s assessment of its ability to comply with the staffing plan. viii. To the extent such policy does not already exist, the ADOC and Tutwiler shall develop, submit to the Monitor and DOJ for review consistent with Section
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III.A.6., and implement a policy that

includes:

1. That ADOC and Tutwiler not hire or

promote, or enlist the services of

anyone who may have contact with

inmates, and shall not enlist the

services of any contractor who may have

contact with inmates at Tutwiler, who:

(1) has engaged in sexual abuse or

sexual harassment in a prison, jail,

lockup, community confinement facility,

juvenile

facility,

or

other

institution; (2) has been convicted of

engaging or attempting to engage in

sexual activity in the community

facilitated by force, overt or implied

threats of force, or coercion, or if

the victim did not consent or was

unable to consent or refuse; or, (3)

has been civilly or administratively

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adjudicated to have engaged in the

activity described in this section. To

this end, ADOC and Tutwiler shall:

a. Follow ADOC policy that requires

that all new employees be asked

about previous misconduct, as

defined above in Subsection 1.

This can be in written

application or documented as part

of an interview. ADOC policy

shall be amended to state the

same in regards to promotions.

b. Perform a criminal background

records check; and

c. Contact all prior institutional

employers for information on

substantiated allegations of

sexual

abuse

and

sexual

harassment or any resignation

during a pending investigation of

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an allegation of sexual abuse and sexual harassment. 2. ADOC and Tutwiler shall conduct criminal background records checks at least once every five years for current employees and respond to any relevant results of those checks as described in Section III.K below. 3. ADOC and Tutwiler shall conduct criminal background records checks at least once every five years for contractors who may have contact with inmates. For any current ADOC staff temporarily assigned to Tutwiler for regular or overtime duty, Tutwiler will create a system to manage and track any allegations of sexual harassment or sexual abuse made against them at the ADOC facility they are assigned to.
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4. Consistent with ADOC policy, employees have an affirmative duty to disclose any previous sexual abuse and sexual harassment, as described in Subsection 1. above. Material omissions of such information shall be grounds for termination.
5. ADOC and Tutwiler will conduct an initial criminal records check on all Tutwiler volunteers. Any volunteer with a background that includes engaging in sexual abuse may not be utilized as a volunteer. At least every five years, Tutwiler and ADOC will perform an additional criminal background check on all current volunteers.
ix. When ADOC or any other governmental entity responsible for collective bargaining on ADOC’s behalf contracts for services with individuals, private agencies or other
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entities, including other government agencies, they shall include in any new contracts or contract renewals the entity’s obligation to adopt and comply with Tutwiler’s policies and procedures governing sexual abuse and sexual harassment. x. ADOC and/or Tutwiler policies and procedures require that contractors and volunteers who have contact with inmates but are not directly supervised by ADOC or Tutwiler employees comply with Tutwiler’s sexual abuse and sexual harassment policies and procedures. D. Training ADOC and Tutwiler shall ensure that all staff have the adequate knowledge, skill, and ability to prevent, detect, and respond to sexual abuse and sexual harassment at Tutwiler, and to manage, interact, and communicate appropriately with women inmates and
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lesbian, gay, bisexual, transgender, and gender nonconforming inmates. Accordingly:
1. Staff Training: ADOC and Tutwiler shall train all staff who may have contact with inmates on the following: i. Its zero-tolerance policy for sexual abuse and sexual harassment; ii. How to fulfill its responsibilities under its sexual abuse and sexual harassment prevention, detection, reporting, and response policies and procedures; iii. Inmates’ right to be free from sexual abuse and sexual harassment; iv. The right of inmates and employees to be free from retaliation for reporting sexual abuse and sexual harassment; v. The dynamics of sexual abuse and sexual harassment in confinement; vi. The common reactions of sexual abuse and sexual harassment victims;
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vii. How to detect and respond to signs of threatened and actual sexual abuse;
viii. How to respond to sexual abuse and sexual harassment, including:
1. How to respond effectively and professionally to victims of sexual abuse and sexual harassment;
2. How and to whom to report allegations or suspicions of sexual abuse and sexual harassment, including how to comply with relevant laws related to mandatory reporting of sexual abuse to outside authorities; and
3. How to preserve physical evidence of sexual abuse (this provision does not apply to volunteers).
ix. How to avoid inappropriate relationships with inmates;
x. Gender-responsive principles, including those applicable to the use of force
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against women inmates (the provision regarding use of force does not apply to volunteers); and xi. How to communicate effectively and professionally with inmates, including lesbian, gay, bisexual, transgender, intersex, and gender nonconforming inmates, including the use of appropriate name and pronoun for an inmate’s gender presentation and identity. This training shall emphasize that verbal abuseincluding name calling and the use of racially insensitive or offensive, profane or vulgar language-will not be tolerated. 2. Within six months of the Effective Date, all staff shall have received training as set out in Section III.D.1. 3. ADOC and Tutwiler shall provide annual refresher training to all staff to ensure that they know the current sexual abuse and sexual harassment
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policies and procedures.

If staff cannot

successfully demonstrate knowledge of these

policies and procedures, they shall not be

permitted to have any contact with inmates until

such time as they can demonstrate proficiency.

ADOC and Tutwiler shall have and implement

policies and procedures setting forth the levels

of discipline, up to and including termination,

for any staff member who cannot perform his or

her job duties due to a failure to demonstrate

proficiency in these policies and procedures.

4. The Monitor will work with the ADOC and Tutwiler

in drafting new training materials and/or

revising current training materials set out in

Section III.D.1 and 3.

5. ADOC shall certify and document to Tutwiler’s

PREA Compliance Manager, the Department-wide PREA

Coordinator, the Monitor, and DOJ, that all staff

have been trained.

E. Inmate Education

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ADOC and Tutwiler shall effectively and

meaningfully communicate to all inmates their right to

be free from sexual abuse and sexual harassment and the

protections in place at Tutwiler to ensure that such

abuse and harassment does not occur or, if it does

occur, is reported so it can be responded to promptly,

appropriately, and without retaliation. Accordingly:

1. ADOC and Tutwiler shall ensure that, during the

intake process, all inmates receive information

regarding the following:

i. ADOC’s zero-tolerance policy regarding

sexual abuse and harassment;

ii. Definitions of sexual abuse and sexual

harassment;

iii. The right to be free from sexual abuse and

sexual harassment and from retaliation for

reporting such incidents;

iv. The right to be free from verbal abuse,

including

name

calling,

racially

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insensitive or offensive language, and profane or vulgar language; v. How to report incidents or suspicions of sexual abuse and harassment, including the availability of non-inmate interpreters; and vi. The process of accessing medical and mental health care. 2. Within 14 days of intake, ADOC and Tutwiler shall provide comprehensive orientation education to inmates either conducted in-person or through a video presented by an in-person facilitator regarding their rights to be free from sexual abuse and sexual harassment and to be free from retaliation for reporting such incidents, and regarding their policies and procedures for responding to such incidents. 3. Current Tutwiler inmates will receive the information and education described in III.E.1 and 2 within three months of the Effective Date.
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4. ADOC and Tutwiler shall ensure that the individual conducting or facilitating the comprehensive inmate educational orientation is trained on Tutwiler and ADOC’s policies and procedures related to sexual abuse and sexual harassment, the PREA standards, and the terms of this Agreement.
5. The individual conducting or facilitating the comprehensive inmate orientation education shall remain in the room during the entire orientation and shall monitor the inmates for reactions to and understanding of the information. A mental health practitioner will serve as an advisor to the orientation process and services will be available during the orientation process if indicated.
6. Consistent with current policy, ADOC and Tutwiler shall ensure that the information outlined in III.E.1 and III.E.2 is conveyed and made available in formats accessible to all inmates,
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including those who are limited English proficient, deaf, visually impaired, or otherwise disabled as well as to inmates who have limited reading skills. 7. ADOC and Tutwiler shall provide the Monitor and DOJ for their review consistent with Section III.A.6. any materials or curriculum utilized to satisfy the requirements of III.E.1 and III.E.2. 8. ADOC and Tutwiler shall maintain documentation of inmate participation in the education sessions required by III.E.2. F. Gender-Responsive Classification Consistent with constitutional standards, ADOC and Tutwiler shall develop and implement a classification process including custody classification, and risk/need assessment, and screening for risk of vulnerability or perpetration of sexual abuse or sexual harassment and use that information to inform housing, bed, work, education, and program assignments with the goal of maximizing safety. Accordingly:
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1. Within two months of the Effective Date, ADOC

shall convene a working group to evaluate methods

to decrease or eliminate Tutwiler’s use of Dorm A

for a period of time that exceeds 48 hours while

screenings are completed, including an

examination of the necessity of PAP test and/or

other medical, mental health, or intellectual

test results prior to classification and any

failures to provide adequate continuity in

medical and mental health care to Dorm A

residents.

2. Within six months of convening of the working

group, ADOC and Tutwiler shall retain an expert

in

gender

responsive

assessment

and

classification. The retained expert shall develop

and submit for review to the Workgroup and

Monitor for a summary of recommendations and

proposed deliverables that outline a plan for

implementation and validation of an objective and

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internal classification system specific to the

women inmates at Tutwiler. The classification

system shall incorporate gender responsive

principles and address the needs of women inmates

at Tutwiler, including housing safety, mental

health (depression/anxiety/ psychosis), abuse and

trauma,

family

conflict,

relationship

dysfunction, and parental stress. The system

will also focus on strength or resiliency factors

including educational assets, family support, and

self-efficacy. The proposed plan shall also

examine the designation of “restricted status”

for inmates at Tutwiler to determine the

appropriateness of the designation as it relates

to classification, housing, programming, and

community custody. The proposed plan shall be

based on expert review and address adjustments to

the classification system, adequate data

collection and analysis, and appropriate ongoing

testing for effectiveness.

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3. The approved plan for implementation of the classification system shall be managed by an implementation workgroup and completed within two years of the approval of the plan.
4. Based on the implemented assessment processes, the system shall provide programs that incorporate gender responsive principles and address the needs of women inmates at Tutwiler, including those addressing sexual abuse, sexual harassment, and trauma; domestic violence; dating violence; and medical and mental health care.
G. Risk Assessment 1. ADOC and Tutwiler shall continue to utilize a risk assessment instrument to screen for risk of victimization and abusiveness. Such process shall include the following: i. Ensure that Tutwiler initiates and documents communication with the facility from which the inmate is received to learn about their incarceration, adjustment
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issues, disciplinary history, and any other factors relevant to identification of potential predators and victims including pregnancy status. If an inmate arrives at Tutwiler from another custodial institution, including a county jail, work release placement, or half-way house - the transferring facility shall be notified if it is suspected, as a result of either the inmate’s self-reporting or after the initial medical evaluation, that sexual abuse in a custodial setting could have caused the pregnancy. ii. All inmates shall be assessed during an intake screening within 72 hours of arrival. The screening shall include an assessment of an inmate’s risk of being sexually abused by other inmates, or sexually abusive toward other inmates;
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iii. The intake screening shall include, at a

minimum, the following criteria to assess

inmates for risk of sexual victimization:

1. Whether the inmate has a mental,

physical, or developmental disability;

2. The age of the inmate;

3. The physical build of the inmate;

4. Whether the inmate has previously been

incarcerated;

5. Whether the inmate has a history of

substance

abuse

and/or

alcohol

dependency;

6. Whether the inmate has a history of self

injurious behavior and/or suicidal

ideation;

7. Whether the inmate’s criminal history is

exclusively nonviolent;

8. Whether the inmate has prior convictions

for sex offenses against an adult or

child;

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9. Whether the inmate is or is perceived to be gay, lesbian, bisexual, transgender, intersex, or gender nonconforming;
10. Whether the inmate has previously experienced sexual victimization;
11. The inmate’s own perception of vulnerability; and
12. Any other factors that have been selected for Tutwiler.
iv. In assessing inmates for risk of being sexually abusive, the initial screening shall consider prior acts of sexual abuse, prior convictions for violent offenses, and history of prior institutional violence and/or sexual abuse;
v. Within a set time period, not to exceed 30 days from the inmate’s arrival at Tutwiler, Tutwiler shall reassess the inmate’s risk of victimization or abusiveness based upon a trauma screening
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and assessment developed under Section III. F.2 and any additional, relevant information received by Tutwiler since the intake screening; vi. An inmate’s risk level shall be reassessed when warranted due to a referral, request, incident of sexual abuse, or receipt of additional information that bears on the inmate’s risk of sexual victimization or abusiveness; vii. If the screening indicates that an inmate has experienced prior sexual victimization or perpetrated sexual abuse, whether it occurred in an institutional setting or in the community, staff shall ensure that the inmate is offered a follow-up with a medical or mental health practitioner within 14 days of the intake screening; viii. ADOC and Tutwiler shall use information
from the risk screening to make an
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individualized

and

safety-based

determination of prisoners’ housing, bed,

work, education, and program assignments;

and

ix. Placement and programming assignments for

inmates at high risk of sexual

victimization shall be reassessed at

least twice each year to review any

threats to safety experienced by the

inmate and such inmate’s own views with

respect to her own safety shall be given

serious consideration.

2. Inmates at high risk for sexual victimization

shall not be placed in involuntary segregated

housing due to their high risk of victimization

unless an assessment of all available

alternatives has been made, and a determination

has been made that there is no available

alternative means of separation from likely

abusers. Such an assessment and determination

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shall be documented, explaining the basis for Tutwiler’s concern for the inmate’s safety and the reason why no alternative means of separation can be arranged. A review of such determination must be afforded each inmate at least every 30 days to determine whether there is a continuing need for separation from the general population. 3. Inmates placed in segregated housing due to potential victimization shall, to the extent possible, have full access to programs, privileges, education, and work opportunities as inmates in general population housing. H. Inmates’ Right to Privacy ADOC and Tutwiler shall prevent officers from unnecessarily viewing inmates who are naked or performing bodily functions. Accordingly: 1. Cross-Gender Searches
i. ADOC and Tutwiler shall comply with its policy regarding cross-gender pat and strip searches and shall ensure that
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appropriate modifications to the policy are made and implemented to include, at a minimum, the items specified in III.H.1.ii to III.H.1.v below. ii. Tutwiler will continue to not conduct cross-gender strip searches or visual body cavity searches (meaning a search of the anal or genital opening) except in exigent circumstances or when performed by medical practitioners. iii. Tutwiler will continue to prohibit crossgender pat-down searches of women inmates, absent exigent circumstances. Inmates’ access to regularly available programming or other out-of-cell opportunities shall not be restricted in order to comply with this provision. iv. Tutwiler shall document all cross-gender strip searches, cross-gender visual body cavity searches, and cross-gender pat-down
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searches of women inmates, and shall document the exigent circumstances that warranted the search. To the extent any such searches were conducted, Tutwiler shall provide this documentation to the Monitor and DOJ on a quarterly basis. v. ADOC and Tutwiler shall train security staff in how to conduct cross-gender patdown searches, and searches of transgender and intersex inmates, when required, in a professional and respectful manner, and in the least intrusive manner possible, consistent with security needs. 2. Cross-Gender Viewing i. ADOC and Tutwiler shall develop, submit to the Monitor and DOJ for review consistent with Section III.A.6., and implement policies and procedures that enable inmates to perform bodily functions –such as showering, bathing, and using the
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toilet– and change clothing without nonmedical staff of the opposite gender viewing their breasts, buttocks, or genitalia, except in exigent circumstances or when such viewing is incidental to routine cell checks. Such policies and procedures shall require staff of the opposite gender to announce their presence before entering an inmate housing unit and again before entering the shower or toilet areas. ii. ADOC and Tutwiler shall develop, submit to the Monitor and DOJ for review consistent with Section III.A.6., and implement policies and procedures regarding the method of conducting inmate counts. This policy and procedure shall limit inmate movement during inmate counts and shall prohibit the practice of conducting inmate
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counts while inmates are likely to be in the shower and toilet areas. 3. ADOC and Tutwiler shall continue to implement its plan to address the architectural features that contribute to a lack of privacy for inmates while showering or using the toilet. 4. ADOC and Tutwiler shall not search or physically examine a transgender or intersex inmate for the sole purpose of determining the inmate’s genital status. If the inmate’s genital status is unknown, it may be determined during conversations with the inmate or by a qualified medical practitioner reviewing the medical records or, if necessary, by learning that information during the intake physical exam conducted in private by a medical practitioner. 5. Transgender and intersex inmates shall be given the opportunity to shower separately from other inmates.
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I. Reporting Allegations of Sexual Abuse and Sexual

Harassment

In order to adequately identify and respond to all

instances of sexual abuse and sexual harassment at

Tutwiler, ADOC and Tutwiler shall ensure that inmates,

staff, and third-parties have multiple unimpeded

methods to report incidents of sexual abuse and sexual

harassment free from retaliation. Accordingly:

1. ADOC and Tutwiler shall continue to comply with

its policy on reporting allegations of sexual

abuse and sexual harassment. Any modification of

that policy shall be submitted to DOJ and the

Monitor for review consistent with Section

III.A.6.

ADOC and Tutwiler shall provide

multiple internal methods, including a grievance

process and at least one confidential method, for

inmates to report sexual abuse and sexual

harassment, retaliation by other inmates or staff

for reporting sexual abuse and sexual harassment,

and staff neglect or violation of

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responsibilities that may have contributed to such incidents. The inmate reporting system must include:
i. Provisions for accepting reports made verbally, in writing, anonymously, and from third parties including other inmates, Tutwiler staff, and the inmate’s friends and family, advocates or legal representation. In the case of reports made verbally, staff shall promptly document those reports in writing; and
ii. Information on how to report sexual abuse or sexual harassment on behalf of an inmate shall be distributed publicly.
2. ADOC and Tutwiler shall also provide at least one way for inmates to report abuse or harassment to a public or private entity or office that is not part of the agency, and that is able to receive and immediately forward inmate reports of sexual abuse and sexual harassment to agency officials,
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allowing the inmate to remain anonymous upon request. The preferred method provided should be through a toll-free number, or other method as agreed. 3. ADOC and Tutwiler shall provide a method for staff to confidentially report sexual abuse and sexual harassment of inmates. 4. Third parties shall be permitted to assist inmates in filing requests for administrative remedies relating to allegations of sexual abuse and sexual harassment, and shall also be permitted to file such requests on behalf of inmates. 5. All third party reports of sexual abuse and sexual harassment shall be forwarded immediately to the Departmental PREA Coordinator and be investigated and processed in accordance with ADOC policy. As part of this process, the Departmental PREA Coordinator will inform
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Tutwiler’s PREA Compliance Manager of all third party reports received. 6. Grievances
i. ADOC and Tutwiler shall continue to develop and submit policies and procedures for an inmate Grievance System to the Monitor and DOJ for review within three months of the effective date and, within four months of the effective date, implement the inmate Grievance System. This policy shall clearly prohibit retaliatory practices by staff against inmates who file a grievance and should include the requirements listed in III.I.6.ii-ix below.
ii. ADOC and Tutwiler shall ensure that all inmates receive orientation on the Grievance System during orientation. The ADOC will offer quarterly education on the Grievance System throughout the first year
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of implementation. Inmates will be required to attend at least once. iii. During the first year of implementation, ADOC and Tutwiler shall ensure that all staff receive training on the Grievance System upon implementation and through annual in-service training. iv. ADOC and Tutwiler shall ensure that grievance forms are available on all units. ADOC and Tutwiler shall assist inmates who are limited English proficient, visually impaired, have a mental health impairment, are otherwise disabled, or who have limited reading or writing skills in accessing the grievance system. v. ADOC and Tutwiler shall ensure that an inmate, who alleges sexual abuse or sexual harassment, or any other verbal or physical abuse by staff, may submit a
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complaint without submitting it to a staff member who is the subject of the complaint, and such complaint is not referred to a staff member who is the subject of the complaint. vi. ADOC and Tutwiler shall not require an inmate to use any informal grievance process, or to otherwise attempt to resolve with staff, an alleged incident of sexual abuse, sexual harassment, or any other verbal or physical abuse by staff. vii. ADOC and Tutwiler shall issue a final decision on the merits of any portion of a complaint alleging sexual abuse, sexual harassment, or any other verbal or physical abuse by staff, within 30 days of the initial filing of the complaint, with the option of an extension of up to an additional 30 days, approved and documented by the facility designee, with
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written notice of status update provided to the inmate. viii. ADOC and Tutwiler shall develop, submit
to the Monitor and DOJ for review consistent with Section III.A.6., and implement policies and procedures for the filing of an emergency grievance where an inmate is subject to a substantial risk of imminent sexual or physical abuse. ix. After receiving an emergency oral or written complaint alleging an inmate is subject to a substantial risk of imminent sexual or physical abuse, ADOC and Tutwiler shall immediately forward the grievance (or any portion that alleges the substantial risk of imminent sexual or physical abuse) to a level of review at which immediate corrective action may be taken, shall provide an initial response within 48 hours, and shall issue
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a final decision within five calendar days. The initial response and final agency decision shall document the ADOC’s and/or Tutwiler’s determination whether the inmate is in substantial risk of imminent sexual or physical abuse and the action taken in response to the emergency grievance. 7. ADOC and Tutwiler shall require all employees to report immediately: i. Any knowledge, suspicion, or information regarding an incident or alleged incident of sexual abuse or sexual harassment that occurred in Tutwiler, in transport vehicles, or in any off-site facilities under the control and supervision of ADOC or Tutwiler; ii. Retaliation against inmates or staff who reported such an incident; and
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iii. Any staff neglect or violation of responsibilities that may have contributed to an incident or retaliation.
8. Apart from reporting to designated supervisors or officials, staff shall not reveal any information related to a sexual abuse or sexual harassment report to anyone other than to the extent necessary to make treatment, investigation, and other security and management decisions.
9. ADOC and Tutwiler shall report all allegations of sexual abuse and sexual harassment, including third party reports, anonymous reports, and inmate grievances, to Tutwiler’s or ADOC’s designated investigator.
10. Protecting Inmates and Staff from Retaliation: i. Consistent with ADOC policies, ADOC and Tutwiler shall protect all inmates and staff who report allegations of sexual abuse or sexual harassment or cooperate with sexual abuse or sexual harassment
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investigations from retaliation by other

inmates or staff, and shall designate

Tutwiler’s PREA Compliance Manager with

monitoring allegations of retaliation

concerning inmates.

Allegations of

retaliation against employees will be

investigated and processed in accordance

with ADOC personnel policy.

ii. ADOC and Tutwiler shall employ multiple

protection measures, such as housing

changes or transfers for inmate victims or

abusers, removal of alleged staff or

inmate abusers from contact with victims,

and emotional support services for inmates

or staff who fear retaliation for

reporting sexual abuse or sexual

harassment or for cooperating with

investigations.

iii. ADOC and Tutwiler shall ensure that any

Tutwiler staff who is alleged to have

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engaged in sexual abuse or sexual harassment are immediately removed from positions of inmate contact at Tutwiler until an investigation is concluded. iv. ADOC and Tutwiler shall monitor all inmates and staff who report sexual abuse or sexual harassment and inmates who have been reported to have suffered or cooperated with sexual abuse or sexual harassment investigations from retaliation by other inmates or staff for at least 90 days following a report of sexual abuse or sexual harassment, to see if there are changes that may suggest possible retaliation by inmates or staff, including inmate disciplinary reports, housing or program changes, and negative performance reviews or reassignments, and shall act promptly to remedy any such retaliation. ADOC and Tutwiler shall continue such
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monitoring beyond 90 days if the initial monitoring indicates a continuing need. In the case of inmates, such monitoring shall also include periodic status checks. v. If any other individual who cooperates with an investigation expresses a fear of retaliation, ADOC and Tutwiler shall take appropriate measures to protect that individual against retaliation. J. Official Response to an Allegation of Sexual Abuse and Sexual Harassment ADOC and Tutwiler shall ensure that all alleged victims of sexual abuse and sexual harassment are offered timely, unimpeded access to medical treatment and crisis intervention services as appropriate and that staff appropriately respond to and counsel the alleged victim while taking steps to preserve evidence. Accordingly: 1. When ADOC or Tutwiler learns that an inmate may be subject to a substantial risk of imminent
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sexual abuse, ADOC or Tutwiler shall take immediate action to protect the inmate. 2. ADOC and Tutwiler shall continue to comply with ADOC policy and Tutwiler Standard Operating Procedures to coordinate actions taken in response to an allegation of sexual abuse, among first staff responders, medical and mental health practitioners, investigators, and Tutwiler leadership, including time frames and lists of whom staff should report to in specific situations and guidelines regarding the collection of physical evidence. 3. ADOC and Tutwiler shall respond to reports of sexual abuse and sexual harassment or threats of sexual abuse or sexual harassment without regard to an inmate’s known or perceived sexual orientation or gender identity. 4. The written institutional plan shall include procedures that address how staff respond upon learning of an allegation that an inmate was
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sexually abused. The first security staff member to respond to the report shall be required to:
i. Separate the alleged victim and abuser; ii. Preserve and protect any crime scene until
appropriate steps can be taken to collect any evidence; and iii. Request that the alleged victim not take any actions that could destroy physical evidence, including, as appropriate, washing, brushing teeth, changing clothes, urinating, defecating, smoking, drinking, or eating if the abuse occurred within a time period that still allows for the collection of physical evidence. 5. If the first staff responder is not a security staff member, the responder shall be required to request the alleged victim not take any actions that could destroy physical evidence, and then notify security staff.
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6. ADOC and Tutwiler shall not place in protective custody an inmate who is alleged to have suffered sexual abuse or sexual harassment solely for the purpose of protecting that inmate, unless a determination, documented in writing and reviewed by the PREA Compliance Manager or the warden’s designee within 24 hours, has been made that there is no available alternative means of separation from likely abusers.
7. To the extent they do not already exist, ADOC and Tutwiler shall develop, submit to the Monitor and DOJ for review consistent with Section III.A.6., and implement policies and procedures to provide access to medical and mental health services to women identified as potential or actual victims of sexual abuse and sexual harassment, that occurred either at Tutwiler or elsewhere, including the following: i. Inmate victims of sexual abuse shall receive timely, unimpeded access to
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emergency medical and mental health care and treatment and crisis intervention services, the nature and scope of which are determined by medical and mental health practitioners according to their professional judgment; ii. If no qualified medical or mental health practitioners are on duty at the time a report of recent abuse is made, security staff and first responders shall take preliminary steps to protect the victim and shall immediately notify the appropriate medical and mental health practitioners; iii. Tutwiler shall offer further medical and mental health evaluation and, as appropriate, treatment, to all inmates who have been victimized by sexual abuse and/or sexual harassment in any prison, jail, lockup, or juvenile facility;
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iv. The evaluation and treatment of such victims shall include, as appropriate, follow-up services, treatment plans, and, when necessary, referrals for continued care following their transfer to, or placement in, other facilities, or their release from custody;
v. ADOC and Tutwiler shall ensure appropriate mental health counseling and emotional support services are made available to victims of sexual abuse and sexual harassment, provided by a qualified staff member or a victim advocate from a community-based organization that provides services to sexual abuse victims;
vi. ADOC and Tutwiler shall attempt to enter into and maintain memoranda of understanding or other agreements with community service providers that are able to provide inmates with confidential
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emotional support services related to

sexual abuse or sexual harassment. ADOC

and Tutwiler shall maintain copies of

agreements or documentation of attempts.

vii. Inmate victims of sexual abuse or sexual

harassment while incarcerated shall be

offered timely information about and

timely access to emergency contraception,

pregnancy tests, and tests for sexually

transmitted infections prophylaxis, where

medically appropriate;

viii. If inmate pregnancy results from sexual

abuse while incarcerated, such victims

shall receive timely and comprehensive

information about and access to all

lawful

pregnancy-related

medical

services; and

ix. All treatment services in this subsection

shall be provided to the victim without

financial cost and regardless of whether

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the victim names the abuser or cooperates with any investigation arising out of the incident. K. Referrals and Investigations ADOC and Tutwiler shall ensure that all allegations of sexual abuse and sexual harassment are promptly, thoroughly, and objectively investigated and appropriately referred for prosecutorial review, and that alleged victims are advised of the outcome of their allegations. Accordingly: 1. ADOC investigators shall continue to investigate allegations of sexual abuse or sexual harassment consistent with their authority as criminal investigators and consistent with ADOC policy and Alabama law. Completed investigations of sexual abuse and sexual harassment will be referred to local prosecutors as appropriate. 2. When ADOC conducts its own investigations into allegations of sexual abuse or sexual harassment, it shall do so promptly, thoroughly, and
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objectively for all allegations, including third

party and anonymous reports. Administrative

investigations shall be completed regardless of

the results of any criminal investigations and

regardless of the subject’s continued employment

by ADOC.

3. The use of pre-hearing segregation shall be

limited to inmates whose continuing behavior is a

threat to facility safety, or who will not stop

the prohibited behavior.

Such pre-hearing

segregation shall not be used for more than 72

hours, at which time an inmate must be afforded a

disciplinary hearing, or provided a written

explanation of why the hearing is postponed and

when the hearing will be re-scheduled.

4. ADOC and Tutwiler shall develop, submit to the

Monitor and DOJ for review consistent with

Section III.A.6., and implement guidelines for

the immediate initiation of an investigation

and/or review upon learning of an allegation of

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sexual abuse or sexual harassment and develop a

process for monitoring those guidelines. The

guidelines shall also ensure that investigations

that include any allegations of sexual abuse or

sexual harassment are properly labeled as such.

5. Where sexual abuse or sexual harassment is

alleged, ADOC shall use investigators who have

received special training in institutional sexual

abuse and sexual harassment investigation.

Specialized training shall include techniques for

interviewing sexual abuse victims, proper use of

Miranda and Garrity warnings, sexual abuse

evidence collection in confinement settings, and

the criteria and evidence required to

substantiate a case for administrative action or

prosecution referral.

ADOC shall maintain

documentation that agency investigators have

completed the required specialized training in

conducting sexual abuse investigations. The

Department-wide PREA Coordinator and Tutwiler's

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PREA Compliance Manager shall not serve as

investigators for sexual abuse investigations.

6. Investigators shall gather and preserve direct

and circumstantial evidence, including any

available physical and DNA evidence and any

available electronic monitoring data; shall

interview

alleged

victims,

suspected

perpetrators, and witnesses; and shall review

prior complaints and reports of sexual abuse and

sexual harassment involving the suspected

perpetrator.

7. The credibility of an alleged victim, suspect, or

witness shall be assessed on an individual basis

and shall not be determined by the person’s

status as inmate or staff. ADOC or Tutwiler are

prohibited from offering or administering

polygraph examinations or other truth-telling

devices to an inmate who alleges sexual abuse or

sexual harassment.

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8. ADOC shall issue a written investigative report

within 30 days after the conclusion of a sexual

abuse or sexual harassment investigation that

indicates

whether

the

allegation

is

substantiated, unsubstantiated, or unfounded.

The investigator may request in writing, approved

by the facility designee, an extension for cause

that identifies the remaining actions necessary

to complete the investigation. In no case shall

the investigation be unfounded solely due to the

expiration of the 30 days. The investigative

report shall include an effort to determine

whether staff actions or failures to act

contributed to the abuse, a description of the

physical and testimonial evidence, the reasoning

behind credibility assessments, and investigative

facts and findings.

9. ADOC shall work with the Monitor on ensuring that

an investigative summary sheet that provides an

overview of the current status of an

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investigation is included.

The summary

information should include, among other things,

basic information such as staff name(s), prisoner

names(s), location of incident, and the time of

day.

10. The departure of the alleged perpetrator or

victim from the employment or control of ADOC

or Tutwiler shall not provide a basis for

terminating an investigation.

11. When outside agencies investigate alleged

incidents of sexual abuse, ADOC and Tutwiler

shall cooperate with outside investigators and

shall endeavor to remain informed, to the

extent appropriate, about the progress of the

investigation.

12. Following an investigation into an inmate’s

allegation that she suffered sexual abuse or

sexual harassment in any ADOC facility or while

within the physical custody and control of the

ADOC, ADOC and Tutwiler shall inform the inmate

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as to whether the allegation has been

determined

to

be

substantiated,

unsubstantiated, or unfounded.

13. If ADOC or Tutwiler did not conduct the

investigation, it shall request the relevant

information from the investigative agency in

order to inform the inmate.

14. Following an inmate’s allegation that a staff

member has committed sexual abuse or sexual

harassment against the inmate, ADOC and

Tutwiler shall subsequently inform the inmate

whenever:

i. The staff member is no longer posted

within the inmate’s unit;

ii. The staff member is no longer employed at

Tutwiler; or

iii. ADOC and/or Tutwiler learn that the staff

member has been indicted or convicted on a

charge related to sexual abuse within

Tutwiler.

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15. All such notifications or attempted notifications shall be documented.
16. A review team, including upper-level management officials at Tutwiler, with input from line supervisors, investigators, and medical and mental health practitioners, shall conduct an incident review within 30 days of the conclusion of every investigation of substantiated and unsubstantiated allegations of sexual abuse or staff-on-inmate sexual harassment. The review team shall: i. Consider whether the allegation or investigation indicates a need to change policy or practice to better prevent, detect, or respond to sexual abuse or staff-on-inmate sexual harassment; ii. Consider whether the incident or allegation was motivated by race; ethnicity; gender identity; lesbian, gay, bisexual, transgender, or intersex
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identification, status, or perceived status; gang affiliation; or was motivated or otherwise caused by other group dynamics at Tutwiler; iii. Examine the area in Tutwiler where the incident allegedly occurred to assess whether physical barriers in the area may enable abuse; iv. Assess the adequacy of staffing levels in that area during different shifts; v. Review, by a warden or senior management, the personnel file of any involved employees to assess needs in background screening, training, and/or supervision; vi. Assess whether monitoring technology should be deployed or augmented to supplement supervision by staff; and vii. Prepare a report of its findings and any recommendations for improvement and submit such report to the Monitor, DOJ, the
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Warden,

the

Department-wide

PREA

Coordinator,

and

Tutwiler's

PREA

Compliance Manager.

17. ADOC and Tutwiler shall implement the

recommendations for improvement or shall

document its reasons for not doing so.

18. Within 60 days of the Effective Date, ADOC and

Tutwiler

shall

review

all

pending

investigations alleging sexual abuse and sexual

harassment to determine whether the

investigation was conducted according to the

requirements of Section III. K. of this

Agreement. Within 120 days of the Effective

Date, ADOC and Tutwiler will conduct a similar

review of all unfounded allegations of sexual

assault and sexual harassment for the past 360

days to determine whether the investigation was

conducted according to the requirements of

Section III. K. of this Agreement.

L. Staff Disciplinary Actions

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ADOC and Tutwiler shall take appropriate disciplinary action against staff found to have engaged in sexual abuse or sexual harassment or to have violated Tutwiler’s policies and procedures regarding sexual abuse or sexual harassment. Accordingly:
1. ADOC and Tutwiler shall develop, submit to the Monitor and DOJ for review consistent with Section III.A.6., and implement policies and procedures that track staff disciplinary actions related to allegations of sexual abuse or sexual harassment, to ensure that the directives in III.L.2-III.L.6 below are met.
2. ADOC and Tutwiler shall ensure prompt corrective action following any substantiated finding or recommendation resulting from either an administrative or criminal investigation surrounding an incident of sexual abuse or sexual harassment. This will include, but not be limited to:
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i. Documented disciplinary sanctions of staff; and
ii. Permanent removal of staff from the post where the incident occurred.
3. Staff shall be subject to disciplinary sanctions up to and including termination for violating ADOC’s sexual abuse or sexual harassment policies.
4. Termination shall be the presumptive disciplinary sanction for staff who have engaged in sexual abuse.
5. Disciplinary sanctions for violations of agency policies relating to sexual abuse or sexual harassment (other than actually engaging in sexual abuse) shall be commensurate with the nature and circumstances of the acts committed, the staff member’s disciplinary history, and the sanctions imposed for comparable offenses by other staff with similar histories.
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6. All terminations for violations of ADOC’s and Tutwiler’s sexual abuse or sexual harassment policies, or resignations by staff who would have been terminated for sexual abuse or sexual harassment, if not for their resignation, shall be reported to local prosecutors, unless the activity was clearly not criminal in conformance with Alabama law, and to any relevant licensing bodies.
M. Limited English Proficient (LEP) Inmates ADOC and Tutwiler shall work with the Monitor to
develop and implement a policy providing for a method of interpretation services for LEP inmates. This method may be through a language telephone line, if necessary. ADOC and Tutwiler shall not rely on other inmates or non-certified employees to translate and/or interpret for LEP inmates.
IV. QUALITY IMPROVEMENT AND DATA COLLECTION
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A. Within one year of the Effective Date, ADOC and Tutwiler shall develop and submit to the Monitor and DOJ for review consistent with Section III.A.6., and implement, written quality improvement policies and procedures adequate to identify and address any deficiencies in ADOC and Tutwiler’s prevention, detection and response to sexual abuse and sexual harassment at Tutwiler and to assess and ensure compliance with the terms of this Agreement. These quality improvement policies and procedures shall include: 1. Required monthly quality assurance meetings; 2. Qualitative review procedures to ensure investigations of sexual abuse and sexual harassment conform to the requirements of this Agreement; 3. Data collection requirements, including: a. The procedures for data maintenance and collection for every allegation of sexual abuse and harassment;
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b. The sources for data collection including the data required by subsections IV.C., regarding inmate polling, and IV.D regarding data collection (below), documentation of announced and unannounced rounds, grievances, reports, investigation files, and incident reviews;
c. The instrument(s) used to collect data; d. The standardized definitions used; e. The methodology employed to analyze the
data; and f. Quality control mechanisms to verify data
accuracy. 4. A requirement to create or modify and implement
policies and procedures to address problems that are uncovered during the course of quality improvement activities. B. Within three months of the Effective Date, ADOC shall convene a state-wide working group to evaluate how
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other state and ADOC entities may contribute to Tutwiler’s compliance with this Agreement. C. ADOC and Tutwiler shall establish a system wherein they routinely poll inmates regarding their perceptions of the implementation of the specific terms of this Agreement including the prevalence of staff sexual abuse and sexual harassment, inmate vulnerability to sexual abuse and sexual harassment, the investigation and discipline of staff accused of sexual abuse and sexual harassment, the efficacy of inmate education regarding sexual abuse and sexual harassment, privacy in the showers and toilets, the appropriateness of inmate classification, the levels of staff supervision, the efficacy of the reporting systems for sexual abuse and sexual harassment including grievances, and official responses to, and retaliation for, allegations of sexual abuse and sexual harassment. D. ADOC and Tutwiler shall develop, implement, and maintain, in consultation with the Monitor, a Risk
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Management System (“RMS”) that will document and

track facility trends related to: (1) sexual abuse

or sexual harassment; (2) unprofessional staff

conduct involving inmates, including sexually

explicit, vulgar, or degrading language; and (3) use

of force incidents.

The RMS will consist of the

data analysis described in this Section. To this

end, ADOC and Tutwiler shall:

1. Develop, implement, and maintain a tracking

system to ensure that trends and incidents

involving sexual abuse and sexual harassment are

identified and corrected in a timely manner.

ADOC and Tutwiler shall submit the proposed

tracking system to the Monitor and DOJ for review

consistent with Section III.A.6.

2. Collect, consolidate, analyze, track, and

otherwise use its data to assist with the

prevention of sexual abuse and sexual harassment.

ADOC and Tutwiler data collection shall include:

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i. Number of inmate and third-party reports of: 1. sexual abuse at Tutwiler; 2. sexual harassment at Tutwiler; 3. staff presence in the shower and toilet areas of the bathrooms at Tutwiler; 4. unprofessional staff conduct involving inmates, including sexually explicit, vulgar, degrading, or racially insensitive or offensive language at Tutwiler; 5. Tutwiler staff located in areas other than their assigned posts; and 6. retaliatory treatment and threats to inmates or third-parties, including disciplinary actions or housing relocation;
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ii. Number and names of Tutwiler staff, as well as staff assigned to Tutwiler on overtime, who: 1. engaged in or allegedly engaged in sexual abuse at Tutwiler; 2. engaged in or allegedly engaged in sexual harassment at Tutwiler;
3. engaged in or allegedly engaged in use of force at Tutwiler;
4. allegedly violated ADOC and Tutwiler policies governing sexual abuse and sexual harassment;
5. allegedly violated the privacy rights of inmates at Tutwiler by entering the shower and toilet areas unannounced;
6. allegedly used sexually explicit, vulgar, degrading, or racially insensitive or offensive language on a frequent or repeated basis at Tutwiler;
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7. allegedly were located in areas other

than their assigned post at Tutwiler on a

frequent or repeated basis;

8. were disciplined for actions at Tutwiler

involving

sexual

abuse,

sexual

harassment, use of force, use of sexually

explicit, vulgar, degrading, or racially

insensitive or offensive language, or

unprofessional staff conduct with

inmates,

including

terminations,

suspensions, and resignations; and

9. resigned while a sexual abuse or sexual

harassment

allegation,

or

other

investigation, was pending at Tutwiler;

iii. Number of forensic medical exams, exams

performed by sexual assault forensic

examiners, and exams performed by sexual

assault nurse examiners;

iv. Staffing levels, divided by gender, during

different shifts, correlated to the number

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of sexual abuse and sexual harassment allegations; v. Locations within Tutwiler where alleged sexual abuse and sexual harassment occurred; vi. Length of stay for all inmates who are housed in Dorm A or other intake housing area prior to classification; vii. Number of inmates who were held in or assigned to involuntary segregation because of a risk of sexual victimization for a period longer than 24 hours organized by length of stay; viii. Number of inmates held in pre-hearing
segregation and the length of time they spent there; ix. Number and names of pregnant inmates at Tutwiler; x. Number of cross-gender strip, visual cavity, and pat-down searches;
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xi. Upon the implementation of a grievance system at Tutwiler, the number of all grievances, emergency grievances, and number of grievances referred to I&I for investigation;
xii. Number of times ADOC or Tutwiler has determined that a Tutwiler inmate was subject to substantial risk of imminent sexual or physical abuse;
xiii. Number of administrative investigations initiated regarding allegations of sexual abuse or sexual harassment;
xiv. Number of sexual abuse or sexual harassment investigations that involved extensions because a final decision had not been reached within 30 days;
xv. Number of instances when inmate interpreters were used in connection with sexual abuse or sexual harassment allegations or investigations;
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xvi. Total number of investigations, total

number substantiated, total number

unsubstantiated, and total number

unfounded complaints of sexual abuse or

sexual harassment;

xvii. Number of PREA related allegations from

Tutwiler

referred

for

criminal

investigation and the number of criminal

prosecutions;

xviii. Number of Tutwiler staff disciplined for

on- or off-duty conduct consistent with

departmental policy;

xix. Number of times an incident of

retaliation occurred, consistent with

PREA guidelines and involving Tutwiler

staff or inmates; and

xx. ADOC, Tutwiler, and staff reports of

training attendance, frequency, and

evaluation measures.

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3. Aggregate the data collected on a quarterly basis.
4. Review data collected and aggregated pursuant to Section IV.D in order to assess and improve the effectiveness of its sexual abuse and sexual harassment prevention, detection, and response policies, practices, and training, including by: i. Identifying potential patterns, changes, and problem areas (including for individual officers; for individual inmates; and for housing units); to include problems in Tutwiler’s staffing levels, policies, practices, staff discipline system, and staff and prisoner training/education that might have contributed to those patterns if such patterns reflect increased sexual abuse and sexual harassment , decreased sexual abuse and sexual harassment detection, or
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inadequate responses to sexual abuse and

sexual harassment;

ii. Identifying staff or supervisors in need

of retraining, performance plans, and

discipline, while considering all aspects

of the employee’s assignment;

iii. Developing an array of intervention

options to facilitate an effective

response to identified problems;

iv. Taking corrective action on an ongoing

basis; and

v. Preparing bi-annual reports of its

findings and corrective actions, including

a comparison to the findings in previous

reports to assess progress.

5. The RMS will rely on the data analysis described

above.

All appropriate supervisors and

investigative staff shall have access to this

data described above.

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i. Tutwiler’s Warden shall use information from the RMS to improve quality management practices, identify patterns and trends, and take necessary corrective action both on an individual and systemic level.
ii. Supervisors assigned to Tutwiler will assure that remedial activities are completed, as well as report if the intervention was effective in changing behaviors.
iii. The commissioner responsible for women’s facilities or her designee will manage the RMS and will conduct quarterly audits of the RMS to ensure that analysis and intervention are working effectively, and to identify potential patterns or trends resulting in harm to inmates.
6. ADOC and Tutwiler will provide to the Monitor and DOJ on a bi-annual basis a list of all staff members identified through the RMS, and any
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corrective action taken. On an annual basis, ADOC and Tutwiler shall conduct a documented review of the RMS to ensure that it has been effective in identifying concerns regarding policy, training, or the need for discipline. ADOC and Tutwiler will document their review and conclusions and provide them to the Monitor and DOJ. 7. If three consecutive reports suggest that the Agreement’s intended outcome may not be occurring, ADOC and Tutwiler shall convene a team, including the Monitor and representatives of DOJ, to consider modifications to Tutwiler’s policies, procedures, and practices.
V. IMPLEMENTATION A. ADOC and Tutwiler shall begin implementing the
requirements of this Agreement immediately upon the Effective Date. B. Unless otherwise specified in this Agreement, ADOC and Tutwiler shall have fully implemented, including
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the training of staff, all policies and procedures required under this Agreement within nine months of the Effective Date. The Monitor may grant ADOC an extension of time to meet a particular deadline, not to exceed three additional months. C. ADOC and Tutwiler shall revise and/or develop and implement, as necessary, any other policies, practices, procedures, protocols, training curricula, and other written documents, including but not limited to, screening tools, logs, handbooks, manuals, and forms, to effectuate the provisions of this Agreement. D. If, during the course of this Agreement, the State of Alabama or ADOC decides to replace or supplement the physical structures at Tutwiler with other building(s), they shall notify the Monitor and DOJ and shall include the Monitor in any transition planning.
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VI. ADOC AND TUTWILER’S REPORTING REQUIREMENTS A. ADOC and Tutwiler shall provide to the Monitor and
DOJ a confidential bi-annual self-assessment compliance report until the Agreement is terminated, the first of which shall be filed within six months of the Effective Date. B. Each self-assessment compliance report shall describe the actions ADOC and Tutwiler have taken during the reporting period to implement this Agreement and shall make specific reference to the Agreement provisions being implemented. The report shall also summarize audits and continuous improvement and quality assurance activities, and contain findings and recommendations that would be used to track and trend data compiled at Tutwiler. C. ADOC and Tutwiler shall maintain sufficient records to document that the requirements of this Agreement are being properly implemented and shall make such records available to the DOJ at all reasonable times for inspection and copying. In addition, ADOC and
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Tutwiler shall maintain and submit upon request records or other documents to verify that they have taken such actions as described in their selfassessment compliance reports (e.g., census summaries, policies, procedures, protocols, training materials and incident reports) and will also provide all documents reasonably requested by DOJ.
VII. DOJ’S RIGHT OF ACCESS A. DOJ and its attorneys, consultants, and agents shall
have access to Tutwiler, Tutwiler inmates, ADOC and Tutwiler staff and documents as is reasonably necessary to evaluate compliance with this Agreement. DOJ will provide written notice prior to any site visits. B. ADOC shall promptly notify DOJ upon any substantiated findings of sexual abuse and sexual harassment, retaliation and/or injury requiring emergency medical attention related to an allegation and/or incident of sexual abuse or sexual harassment, including any
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incidents of self-harm. With this notification, ADOC and Tutwiler shall forward to DOJ any related incident reports and medical and/or mental health reports and investigations as they become available. C. DOJ shall notify ADOC promptly of any information received that an inmate is at risk of harm.
VIII. MONITORING A. Selection and Autonomy of the Monitor:
1. DOJ, ADOC, and Alabama have jointly selected a Monitor, Jennie Lancaster, to assess and report whether the provisions of this Agreement have been implemented, and whether this implementation is resulting in a reduction of incidents of sexual abuse and sexual harassment and professional treatment of inmates.
2. The cost of the Monitor’s fees and expenses will be borne by ADOC and Alabama. ADOC will contract with the Monitor to provide these auditing services. As part of that contract, a reasonable
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budget will be agreed upon by and between ADOC and the Monitor to include a maximum dollar amount that can be spent in a given 12 month period. ADOC and Alabama will provide the Monitor with a budget sufficient to carry out the responsibilities described in this Agreement. 3. The Monitor shall only have the duties, responsibilities, and authority conferred by this Agreement. The Monitor shall be subjected to the supervision and orders of the Court, the Court’s dismissal order, and applicable law. 4. Neither ADOC, Tutwiler, DOJ, nor any of their staff or agents shall have any supervisory authority over the Monitor’s activities, reports, findings, or recommendations. The Monitor may be terminated only for good cause unrelated to the Monitor’s findings and only with prior notice to, and approval of, Alabama, ADOC, and DOJ, acting jointly or by court order.
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5. The Monitor may contract or consult with other persons or entities to assist in the evaluation of compliance. The Monitor will pay for the services out of his/her budget. The Monitor shall be permitted to engage in ex parte communications with Alabama, ADOC, Tutwiler, DOJ, and the Court regarding this Agreement.
B. Monitor’s Access 1. The Monitor shall have full and complete access to Tutwiler, all Tutwiler documents and records, inmate medical and mental health records, staff, and inmates. The Monitor shall also have access to any ADOC documents or data she requests related to any facility built to supplement Tutwiler. ADOC and Tutwiler shall direct all employees to cooperate fully with the Monitor. All information obtained by the Monitor shall be maintained in a confidential manner. 2. Within seven days of receipt, the Monitor shall distribute to DOJ all documents, forms,
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assessments, and reports submitted by ADOC or Tutwiler unless Alabama and ADOC have already distributed such items to DOJ. C. Reporting 1. Within three months of the Effective Date, the Monitor will conduct a baseline site visit. As a result of the baseline site visit, the Monitor will design a monitoring plan. The baseline site visit will allow the Monitor to become familiar with the facility and this Agreement, and will allow the Monitor to inform ADOC, Tutwiler, and DOJ regarding what information the Monitor will require ADOC and Alabama to routinely report and with what frequency consistent with this Agreement. 2. The Monitor shall conduct an on-site inspection and issue a Compliance Report six months after the baseline visit, and then every six months thereafter. A draft Report shall be provided to ADOC, Tutwiler, and DOJ in draft form for comment
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at least 30 days prior to its issuance. ADOC, Tutwiler, and DOJ shall provide comments, if any, to the Monitor within 15 days of receipt of the draft Report. The Monitor shall consider the responses of ADOC, Tutwiler, and DOJ and make appropriate changes, if any, before issuing the final Report. 3. The Compliance Reports shall describe the steps taken by ADOC and Tutwiler to implement this Agreement and evaluate the extent to which ADOC and Tutwiler have complied with each substantive provision of the Agreement. Each Report:
i. Shall evaluate the status of compliance for each relevant provision of the Agreement using the following standards: (1) Substantial Compliance; (2) Partial Compliance; and (3) Non-compliance. The Monitor shall review a sufficient number of pertinent documents and interview a sufficient number of staff and inmates to
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accurately assess current conditions. The

Monitor may also communicate with ex-

inmates, family members, and relevant

community members to assist the Monitor’s

assessment of current conditions;

ii. Shall describe the steps taken by each

member of the monitoring team to analyze

conditions and assess compliance,

including

documents

reviewed

and

individuals interviewed, and the factual

basis for each of the Monitor’s findings;

iii. Will contain the Monitor’s independent

verification of representations from ADOC

and Tutwiler regarding progress toward

compliance, and examination of supporting

documentation; and

iv. Shall provide recommendations for each of

the provisions in the Agreement outlining

proposed actions for at least the next six

months for ADOC and Tutwiler to complete

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toward achieving compliance with the particular provision. 4. These Reports will be filed with the Court and shall be written with due regard for the privacy interests of individuals. 5. Nothing in this Section prohibits the Monitor from issuing interim letters or reports to DOJ, ADOC, and Alabama or the Court via the public record in this case should s/he deem it necessary. D. Limitations 1. Except as required or authorized by or necessary to evaluate the terms of this Agreement, or as directed by the court, or as authorized by ADOC, Tutwiler, and DOJ acting together, the Monitor shall not make any public statements (at a press conference or otherwise) with regard to any act or omission of ADOC or Tutwiler or their agents, representatives or employees, or disclose
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information provided to the Monitor pursuant to this Agreement. 2. The Monitor shall not testify in any other litigation or proceeding with regard to any act or omission of ADOC or Tutwiler or any of their agents, representatives, or employees related to this Agreement, nor testify regarding any matter or subject that he or she may have learned as a result of his or her performance under this Agreement, nor serve as a non-testifying expert regarding any matter or subject that he or she may have learned as a result of his or her performance under this Agreement. 3. Unless such conflict is waived by ADOC, Tutwiler, and DOJ, the Monitor shall not accept employment or provide consulting services that would present a conflict of interest with the Monitor’s responsibilities under this Agreement, including being retained (on a paid or unpaid basis) by any current or future litigant or claimant, or such
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litigant’s or claimant’s attorney, in connection

with a claim or suit against ADOC or Tutwiler,

their departments, officers, agents or employees.

4. The Monitor is not a State/County or local agency

or an agent thereof, and accordingly the records

maintained by the Monitor shall not be deemed

public records subject to public inspection.

5. Neither the Monitor nor any person or entity

hired or otherwise retained by the Monitor to

assist in furthering any provision of this

Agreement shall be liable for any claim, lawsuit

or demand arising out of the Monitor’s

performance pursuant to this Agreement.

E. The Monitor shall provide ADOC and Tutwiler with

technical assistance as requested.

Technical

assistance should be reasonable and should not

interfere with the Monitor’s ability to assess

compliance.

F. The Monitor may convene regular monthly conference

calls with the DOJ, ADOC, and Alabama to discuss

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implementation of the terms of the Agreement, updates, and any other items that the Monitor and/or DOJ, ADOC, and Alabama wish to discuss. G. ADOC and Tutwiler representatives and staff shall not retaliate against any person because that person has provided information or assistance to the Monitor or DOJ relating to this Agreement. H. DOJ, ADOC, and Alabama and the Monitor will treat all personally identifiable information obtained pursuant to this Agreement as confidential.
IX. ENFORCEMENT A. The United States District Court for the Middle
District of Alabama will retain jurisdiction over this matter for the purposes of enforcing this Agreement. B. During the period that this Agreement is in force, prior to initiating any enforcement proceedings in Court for an alleged failure to fulfill an obligation under this Agreement, the aggrieved party will notify
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the other party in writing of the facts supporting

the aggrieved party’s belief that the other party is

not in compliance.

The responding party will

investigate the allegations and respond in writing

within 30 days. If the aggrieved party is not

satisfied with the other party’s response, DOJ, ADOC,

and Alabama will conduct negotiations to resolve the

issue(s). If DOJ, ADOC, and Alabama are unable to

resolve the issue(s) satisfactorily within 30 days of

the other party’s written response, the aggrieved

party may move the Court for any relief permitted by

law or equity.

X. CONSTRUCTION AND TERMINATION A. If any unforeseen circumstance occurs that causes a
failure to timely carry out any requirements of this Agreement, ADOC and Tutwiler shall notify DOJ in writing within 30 days (or as soon as reasonably practicable) after ADOC and Tutwiler become aware of the unforeseen circumstance and its impact on ADOC’s
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and Tutwiler’s ability to perform under the Agreement. The notice shall describe the cause of the failure to perform and the measures taken to prevent or minimize the failure. ADOC and Tutwiler shall implement all reasonable measures to avoid or minimize any such failure. B. This Agreement shall terminate when ADOC and Tutwiler have achieved substantial compliance with all of the substantive provisions of this Agreement in three consecutive Compliance Reports. C. The burden will be on ADOC and Tutwiler to demonstrate that they have maintained substantial compliance with each of the provisions of this Agreement. Non-compliance with mere technicalities, or temporary failure to comply during a period of otherwise sustained compliance, will not constitute failure by ADOC and Tutwiler to maintain substantial compliance. At the same time, temporary compliance during a period of sustained non-compliance will not constitute substantial compliance.
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D. The burden shall be on ADOC and Tutwiler to demonstrate they have achieved substantial compliance with a particular section of this Agreement.
XII. STIPULATION PURSUANT TO THE PRISON LITIGATIONREFORM ACT, 18 U.S.C. § 3626 DOJ, ADOC, and Alabama stipulate and agree that this Agreement complies in all respects with the requirements for prospective relief under the Prison Litigation Reform Act, 18 U.S.C. § 3626 (a). DOJ, ADOC, and Alabama stipulate and agree that all of the prospective relief in this Agreement is narrowly tailored, extends no further than would be necessary to correct the violations of federal rights as set forth by the United States in its Complaint and Findings Letter, is the least intrusive means necessary to correct these violations, and will not have an adverse impact on public safety or the operation of a criminal justice system. Any admission made for the purposes of
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this Agreement is not admissible if presented by third parties in another proceeding.
DONE, this the 18th day of June, 2015. _ /s/ Myron H. Thompson
UNITED STATES DISTRICT JUDGE
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 </s> Case 2:15-cv-00368-MHT-TFM Document 16-1 Filed 02/26/16 Page 1 of 33
IN THE UNITED STATES DISTRICT COURT FOR THE MIDDLE DISTRICT OF ALABAMA, NORTHERN DIVISION

UNITED STATES OF AMERICA,

)

)

PLAINTIFF,

)

)

v.

)

)

THE STATE OF ALABAMA AND THE )

ALABAMA DEPARTMENT OF

)

CORRECTIONS,

)

)

DEFENDANTS

)

Civil No. 02:15cv368-MHT

Monitor’s First Compliance Report

Case 2:15-cv-00368-MHT-TFM Document 16-1 Filed 02/26/16 Page 2 of 33
Table of Contents Introduction ...........................................................................................................1
Specific Actions to Evaluate Compliance ...........................................................1 Monitoring Tool ..................................................................................................3 Executive Summary...............................................................................................4 Intent of the Report..............................................................................................4 Alabama Department of Correction: Progress, Strengths and Challenges..........5
Progress ...........................................................................................................5 Alabama Strengths...........................................................................................6 Alabama Challenges ......................................................................................10 Logistics ................................................................................................................13 Baseline Visit.....................................................................................................13 Compliance Visit ...............................................................................................15 Monitoring Tool ................................................................................................19 Summary of Compliance ....................................................................................20 Closing Observations...........................................................................................28 Attachment: List of Documents Used for Compliance Assessment................30

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Introduction
The State of Alabama and the United States Department of Justice entered into a settlement agreement on May 28, 2015. Specifically, the agreement involves a comprehensive set of provisions regarding the safety and security of the female offenders housed at the Tutwiler Prison for Women (Tutwiler). The purpose for the compliance report is to document the progress of the actions of the Alabama Department of Correction (ADOC) and Tutwiler in response to the specific requirements of the provisions in the settlement. The first court report is due February 28, 2016 and then every six months after the initial report is filed.
The parties agreed on the selection of Jennie Lancaster as an objective settlement monitor to evaluate the ADOC and Tutwiler level of compliance with the requirements detailed in the settlement. The monitor began her responsibilities on September 17, 2015. The court has the resume of Ms. Lancaster and her 36 years of experience in the North Carolina Department of Correction.
This report will describe the actions taken by the monitor to determine compliance, as required by the settlement. The period of evaluation is May 28 December 4, 2015. The settlement uses four (4) levels of measurements for compliance: Substantial Compliance, Partial Compliance, Non-Compliance and Not Applicable (N/A). The settlement definitions for these terms are included in the compliance summary section of this report, along with a chart summarizing the compliance status with each provision.
Specific Actions to Evaluate Compliance Specific actions taken by the monitor to evaluate compliance were as follows:
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1) The monitor and parties met with Judge Myron Thompson on September 29, 2015.
2) Monitor conducted a baseline visit/tour from September 28 to October 1, 2015. This visit included informal interviews with ADOC and Tutwiler staff. The monitor toured the entire Tutwiler facility on September 29 and 30, 2015. Details of these visits are included in the Logistics section of this report.
3) Monitor conducted an official compliance visit from November 30 to December 4, 2015. The monitor conducted 28 individual interviews of ADOC and Tutwiler staff who have specific responsibilities related to ADOC and Tutwiler compliance with the settlement. The monitor also conducted four (4) staff focus groups and one (1) inmate focus group of individuals randomly selected by the monitor at Tutwiler that week. The monitor observed two sessions of inmate orientation and the operations of the camera room. Details of these visits and observations are included in the Logistics section of the report.
4) The monitor requested and reviewed approximately 77 different sets and/or types of ADOC and Tutwiler policies and documents after the baseline visit in advance of, and in preparation for the ADOC and Tutwiler compliance interviews and the tours. The monitor requested and reviewed more documents during the visit. Additionally, the monitor requested 20 additional documents (sets) after the completion of the compliance visit. All of these documents were used to inform the monitor's ratings for compliance, as well
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as information learned during the interviews and observations made during the tours. 5) The monitor has had multiple discussions with ADOC, the United States Department of Justice, and the leadership for Tutwiler concerning the settlement provisions and compliance requirements.
Monitoring Tool The parties agreed on a "monitoring tool" format for each of the provisions and
their subsections. The front page of each provision in the tool includes both the specific requirements for that section and the dates for ADOC compliance. The settlement provides, for most requirements, that: ADOC create a policy; the staff is trained in that policy; and the policy is implemented in the regular activities at Tutwiler and the ADOC. Specifically, an approved ADOC policy must first be published for operational practice in a facility. At Tutwiler, the facility will develop a written "Standard Operating Procedure" (SOP) to apply ADOC policy and to direct specific operational practices at the prison. The second step is to train all staff subject to the policy and SOP using an approved training curriculum. The third step is to then implement these policies and SOP's in the actual practice of the directives at the facility.
The attached monitoring tool report is the set of documents detailing specific actions taken by ADOC and Tutwiler and the extent of their compliance with the requirements of each provision. For each set of requirements, there are six separate areas (boxes) for the monitor to complete. The monitor has one box to discuss "The Steps Taken by ADOC and Tutwiler Towards Implementation", and a separate box to discuss the "Extent to which ADOC and Tutwiler have Complied with the Agreement”. The
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monitor uses the interviews, review of documents, and on-site observations to form the discussions.
The monitor was required to, and did establish the "Measures of Compliance" for each provision in the monitoring tool prior to the compliance visit. The monitor identified the documents and interviews to be used to assess compliance on the visit and listed them in this box. ADOC responded to these requests by submission of the documents prior to the visit, and setting the agenda for interviews during the visit.
Executive Summary
Intent of the Report This report is to inform the court and the parties of the monitor’s assessment of
the current progress and status of the ADOC and Tutwiler compliance with the settlement provisions and requirements.
The monitor completed this initial report through the following actions: 1) Examining the settlement agreement, its provisions and the specific
requirements listed in the monitoring tool. 2) Requesting and examining specific documents to identify and assess the
extent of the ADOC and Tutwiler actions in response to the agreement requirements. Examples include: staff rosters for training; staff reports and spreadsheets to document actions; inmate grievances; training curricula; and policies and standard operating procedures from Tutwiler. 3) Selecting specific ADOC and Tutwiler staff for compliance interviews based on the individual’s overall and direct responsibilities for settlement implementation.
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4) Conducting focus groups with randomly selected staff and inmates to obtain feedback and perspective on Tutwiler activities and practices related to the settlement terms and requirements.
5) Reviewing any letters submitted confidentially to the monitor from inmates or staff. The monitor has received five (5) letters from inmates and has taken action, as believed appropriate, in response to each.
6) Using routine communication with the parties to ask for more information or clarification regarding the settlement, its terms and requirements.
Alabama Department of Correction: Progress, Strengths and Challenges
Progress ADOC and Tutwiler have made steady progress since the effective date of the
settlement agreement, May 28, 2015. Further, information received and reviewed reflects positive actions taken by ADOC in 2014, prior to the settlement, to address the Prison Rape Elimination Act (PREA) standards in training, policy development and to address concerns regarding sexual safety at Tutwiler, some of which are required to be continued by the settlement terms.
The settlement has a number of sections, lettered A-M, with each containing specific sub-sections, citing requirements for ADOC and Tutwiler to address in order to achieve substantial compliance by the listed date. The assessment period for this first compliance report is May 28 - December 4, 2015. The monitor applied the terms and definitions for compliance as listed in the agreement. The chart listing the compliance ratings for each section/sub-section is on page 21 of this report.
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The monitor notes that ADOC requested a 3-month extension for the compliance dates for Section A.1-5 and Section D. 1-5, and the monitor granted both extensions. The extensions are noted on the Compliance Chart. ADOC and Tutwiler are in the process of reviewing and revising the PREA policy and numerous SOP’s at Tutwiler, and are revising the training curriculum to include the finalized policy. The SOP's are being reviewed in view of gender responsive principles, required in the settlement.
Alabama Strengths Alabama has a strong foundation for continued progress in reaching all of the
goals outlined and compliance terms required in the settlement agreement.
Executive leadership from Governor Robert Bentley. The governor has publicly committed to compliance with PREA and the
settlement agreement, and has responded to the challenges identified and affecting the ADOC and Tutwiler by retaining expert national resources, The Moss Group, Inc., for managing PREA compliance. The contract with The Moss Group was initiated in March, 2014 and renewed in September, 2015. The Moss Group and its role will be discussed in more detail below. The governor’s public commitment to compliance is a great asset to ADOC leadership in accomplishing the culture change needed to achieve compliance with PREA and the settlement agreement.
Governor Bentley has expressed commitment for the construction of a new facility to house female inmates; specifically, in his State of the State address he declared that “…by constructing a brand new female prison facility, the State of Alabama will permanently slam the door on Tutwiler Prison for Women." It is apparent to the monitor that a new prison for the female inmates is an obvious, current necessity for planning in
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Alabama. The projected timeline for a new facility is lengthy and contains several critical milestones. It is expected that it will take 3-4 years to eventually have a new prison for women. ADOC will remain focused on the settlement agreement; it's requirements, timetables, and all the necessary actions to achieve full compliance with the agreement.
Alabama Department of Correction The monitor is impressed with the knowledge, professionalism and energy in the
top leadership of ADOC. Commissioner Jefferson S. Dunn has committed to providing all of the agency resources and staff necessary to comply with the settlement, and to take the management of women's services to a level of national recognition.
ADOC made a critical and timely decision in April, 2014 to create the position of Deputy Commissioner for Women's Services on the executive team. Dr. Wendy Williams was selected for this position and she is providing outstanding leadership to ADOC, Tutwiler and the other female facilities.
The monitor interviewed 15 members of the ADOC top administration and found them knowledgeable of their roles regarding the settlement implementation and committed to the successful implementation of the settlement.
Tutwiler Prison for Women The monitor met the Tutwiler leadership team, which was assembled mid-2014,
during the baseline visit in September, 2015. The primary purpose of the leadership staff is to provide a safe and secure environment for the staff, inmates and general public. The monitor was impressed with Warden Bobby Barrett and his strong leadership that directs the facility’s efforts to comply with the agreement. Additionally, he has a strong
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executive team, which includes two assistant wardens, Gwendolyn Tarrance and Deidra Wright, Captain LaGreta McClain, and Lieutenant Yvette Young. The monitoring tool report mentions these individuals frequently, as they have significant responsibilities at Tutwiler for PREA compliance and training, and adherence to the terms in the settlement affecting daily operations. This team is positive, energetic, and knowledgeable. Importantly, they "believe" in what they are doing and this helps set a positive tone with staff and inmates. Additionally, based on experienced observation and information provided by inmates, Warden Barrett has a positive relationship with the Tutwiler inmates. Further, and critically important, the staff respects him.
The monitor notes for the court that in her experience the presence of a strong, positive and competent executive team is a critical stabilizing factor when a prison is subjected to the many institutional challenges that occur when it is involved in the level of change Tutwiler is and has been facing. The quality of leadership provided by the executive team is and will continue to be an important factor in the successful implementation of “change” necessary for compliance over the length of this agreement.
The Moss Group, Inc. The monitor makes reference to actions by Moss Group consultants in various
sections of the monitoring report. The ADOC executed a contract with the Moss Group, Inc. in March 2014 to provide support and technical assistance prior to the effective date of the settlement. The areas of expertise include training and policy development reflecting gender responsive principles, implementation of the PREA standards and strategic planning for women offenders. The contract continues in 2016.
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Strategic Planning Committee ADOC initiated a strategic planning process to provide the foundation for
prioritization and implementation of a comprehensive, multi-year, gender responsive, strategic plan for the agency. It was designed to develop a plan that will integrate the work completed through the Bureau of Justice Assistance PREA grant that was received in 2014 and 2015, as well as the resources provided by The Moss Group, and the ongoing work within ADOC women’s services. Development of the settlement implementation plan (underway) and strategic planning for all of the ADOC women's services will:
a) Articulate a vision and mission for gender responsiveness in ADOC, consistent with its mission.
b) Include both agency-wide and individual facility strategies to implement and sustain goals.
c) Address functional areas such as leadership, facility culture, assessment and classification, case management, programming, services, discipline and sanctions, sexual safety.
d) Sequence strategies, training, resources and time frames - so the ultimate goal of sustainability is achieved and maintained.
e) Address and prioritize all settlement agreement issues. f) Provide a detailed work plan to achieve each goal, including specific
tasks, responsibilities, and timelines. g) Specify performance measures and a strategy for gathering information to
inform those measures.
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It is the monitor's strong opinion, and experience, that the development of a strategic plan, as described, is often a critical missing element in agency change related to managing women offenders. ADOC has established a pathway for sustainability in this process that can inform external stakeholders for support and resource allocation.
Alabama Challenges
Tutwiler prison facility challenges The Tutwiler facility was opened in 1942 at a cost of $350,000. It has remained
the main prison for women in the state of Alabama. The original design had an operating capacity of 350 and the annex was rated at 128. Currently, the operational capacity is 700 for the main campus and 250 at the annex. It is noted that Tutwiler is at almost twice its designed capacity - every day.
The monitor observed a well-used, old physical plant, which has been occupied by scores of female inmates for years. It is evident that Tutwiler receives routine maintenance attention, and that crisis physical plant situations are handled, but the persistent problems inherent in old public facilities will continue.
The most difficult facility problems at Tutwiler are with crowded housing areas, minimal or sparse day room space in the dorms, minimal spaces for classes, recreation programs, activities, medical housing and treatment rooms for groups, etc. The crowded housing areas make the sight and sound supervision more challenging for the assigned officers. This is a safety and security issue. The monitor has experience with similar crowding at an older female prison that was eventually replaced with new structures. The implementation of the PREA standards at Tutwiler require routine staff supervision and
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the monitor observed officers moving around the dorms, answering phones, checking bathrooms, interacting with inmates; however, it is a daily challenge.
Ideally, the state requires a facility with the ability to house together different populations such as new admissions, pregnant women, substance abuse treatment, kitchen workers, etc., and to separate inmates from each other due to behavior issues. It is a common dilemma that states that have one main facility have faced for receiving and housing the higher custody inmates. The new gender based classification system that is required in the settlement will address housing and programming and ADOC needs the ability to respond to the classification recommendations, including housing and programming. The classification expert, Dr. Pat Van Voorhis, started her plan development in January, 2016.
Staffing Challenges The monitor reviewed staffing rosters, employee separations from Tutwiler, the
use of overtime staff from other prisons and the vacancy rates they routinely have in their daily operations. ADOC and Tutwiler discussed their ongoing concerns about the rate of vacancies in security staffing, which average about 50% of the staffing pattern. The monitor requested a current daily census of the vacancies for this report. On February 16, there were 160 officer positions, with 74 occupied and 86 vacant. ADOC has addressed this critical issue in recruiting efforts, review of separations, and now in the APOSTC physical fitness standards in new recruit basic training. The monitor's discussions in Section III.C.1,2 of the agreement describe the ADOC efforts and the requirements of the settlement to conduct a staffing analysis, address the staffing pattern, physical standards and related information to the PREA standards guiding staffing a facility.
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The staffing analysis, required in the settlement, began in January 2016. The monitor will review the results of this analysis once completed. ADOC will continue to work with the consultants who are conducting the analysis in developing a plan for implementation of any recommendations.
The chronic officer vacancy problem at Tutwiler affects operations. It also burdens the current staff as they perform their daily responsibilities and respond to various settlement requirements for implementation of PREA policies and procedures.
Data Analysis There are settlement provisions that require the reporting of data. Overall, the
monitor and all parties recognize the importance of data for analysis, where possible, in evaluating ADOC and Tutwiler compliance. The Deputy Commissioner for Women's services is actively working with ADOC Information Systems to provide electronic methods of collecting data. In the monitor's experience, it is important to electronically report work, program, and training data, share information between ADOC and Tutwiler entities, and to have the ability to collect data in a central ADOC location. ADOC has convened a working group to address the “Quality Improvement and Data Collection”, as required in Section IV of the settlement. The identification of all settlement requirements for which electronic data collection would be beneficial, and the implementation of an electronic data collection system will be valuable to the assessment process and for future court reports.
Classification and Disciplinary Program Changes The settlement requires the development of a gender responsive classification
system for the women and a gender responsive discipline and sanctions policy. The work - 12 -

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has been initiated for the classification system. The development of both programs will utilize national expertise and models.
The revisions for a new classification system and, eventually, a new gender responsive disciplinary system will have significant impact, in the monitor's experience, directly in the female facilities and indirectly in the ADOC system as a whole. It is extremely important that the various stakeholders in ADOC be engaged as these processes are developed, and that they stay informed and involved in regular discussions with Deputy Commissioner Williams. There are housing and programming implications in a new classification system. There will be many questions that arise as a result of the revision of the discipline system. The Tutwiler staff will be the most impacted but other ADOC staff also will be impacted. Classification and disciplinary processes are fundamental processes in every prison system. These changes must be approached incrementally and it is critically important to successful implementation of changes that staff and stakeholders are appropriately informed and educated. The need for staff education is vital to successful implementation in the monitor's opinion and experience.
Logistics
Baseline Visit The monitor began her work in mid-September, 2015. The parties arranged for a
baseline visit/tour for the monitor from September 28 to October 1, 2015. The agenda included the following schedule: 1) September 28: Meeting in the Alabama Department of Corrections executive office.
Monitor met Commissioner Dunn, General Counsel Anne Hill, ADOC attorney Bart Harmon, Deputy Commissioner for Women’s Services Dr. Wendy Williams, and
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U.S. Department of Justice attorneys, Ms. Julie Abbate, Mr. Aaron Fleisher, and Ms. Andie Moss of The Moss Group. This group received a lengthy presentation from Dr. Williams on “Tutwiler’s Journey”. This was a very informative session for the monitor to review the pre-settlement actions and the settlement process that occurred in Alabama. The attorneys briefed the monitor on the settlement process and the various provisions of the settlement agreement. 2) September 29: The attorneys and the monitor met with Judge Myron Thompson. This was an informative dialogue between Judge Thompson and the monitor. After the court visit, the parties went to Tutwiler. The monitor was at Tutwiler on September 29 and 30th. 3) During the two days at Tutwiler the monitor’s visit included: a) Touring the Tutwiler main campus housing and the annex. The main facility has
11 general housing areas, a mental health dorm, a medical dorm, a 15-cell segregation area and five (5) death row cells. The operational capacity for the main facility is 700. The annex houses inmates in a separate fenced area with several buildings. The annex has two (2) housing areas and one (1) multi-purpose building. A law library is at the annex. The operational capacity is 250. b) Touring the kitchen, auditorium, medical infirmary, dental office, pharmacy area, the building for community college classes, chapel, control center, camera room, intake area, laundry and clothing storage, admissions gate, canteen storage, and various offices. c) Meeting with Warden Barrett and his institution management team. The monitor met with Warden Barrett and his executive team, who are primarily responsible
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for managing the settlement and PREA compliance. The monitor discussed her background and her role as a monitor and asked about the different responsibilities of the executive team. d) The monitor suggested meeting with a group of inmates to discuss her role and, thereby, increase the general inmate awareness of who she was and her role. Tutwiler suggested that the facility convene a meeting of “long term inmates” for the monitor and the monitor readily agreed. Tutwiler selected these inmates from among those with whom the warden meets occasionally and who have been at the facility for 8 years or longer. The monitor has a great deal of experience in her career working with long term female inmates and knows their ability to communicate broadly to other inmates within a female facility. The monitor notes that any subsequent inmate meetings will be selected solely by the monitor, through either random selection or selected for a specific purpose. e) During the two days of walking around the entire facility, the monitor routinely talked with officers assigned to housing areas and to inmates in those dorms. These inmates either approached the monitor or the monitor went over to group areas. 4) On October 1, the monitor met with Dr. Williams in the ADOC Central Office to go over a number of draft policies that had been recently given to the monitor for her review.
Compliance Visit The parties arranged the first compliance visit from November 30, 2015 to
December 4, 2015. This purpose of this visit was for the monitor to conduct specific staff
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interviews, selected by the monitor. During these interviews, the monitor showed documents to the staff members for their authentication and comment. Additionally, the monitor requested that she observe the operation of the camera room at Tutwiler, observe two sessions of the weekly inmate orientation program (PREA and Grievance system presentations), and conduct four staff focus groups and one inmate focus group, with members randomly selected by the monitor on the day of the groups. 1) In preparation for this visit, the monitor requested approximately 77 different
documents (sets) from ADOC after the baseline visit. The monitor received the documents over the six-week period preceding the time of the visit. In addition to receiving them at her office, the monitor had all of these documents available to her at the Tutwiler facility. The monitor also received some documents during the course of the week during the compliance visit. The monitor made a request for approximately 20 additional documents (sets) after the compliance visit as a result of her interviews. These documents were received by mid-December. All of these documents and results of the interviews were used extensively in the preparation of the monitoring tool report. All of the documents are listed in the attachment and in all of the monitoring tool sections. They are listed in several places where they were used to evaluate the specific requirements for each individual provision. The documents used can be found in the following sections of the report:
- Monitor measures of compliance - Steps taken by monitor to analyze conditions and access compliance - Monitor discussion on steps taken by ADOC and Tutwiler towards
implementation - Monitor discussion on extent to which ADOC and Tutwiler have complied
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See the attachment for a list of documents requested and reviewed by the monitor.
2) The monitor requested specific interviews during the compliance visits. Below is a
list of all ADOC and Tutwiler staff, with their job classification, that were
interviewed by the monitor during the week.
• September 30 and December 4, 2015 - ADOC staff interviews - Commissioner Dunn - Deputy Commissioner for Women's Services, Dr. Wendy Williams - Deputy Commissioner Matthew Brand, Training and Development - Associate Commissioner Ruth Naglich, Health Services - Region Health Director, Lynn Brown - General Counsel, Anne Hill - Personnel Director, Bill Lawley - PREA Director, Christy Vincent - Assistant PREA Coordinator, Lieutenant TanyaArrington - Recruiting Manager, Captain Mark Loman - Chief Psychologist, Dr. David Tytell - Investigations and Intelligence Director, Arnaldo Mercado - Investigator, Kelley Smith - Grievance Coordinator, Tamara Jackson - Andie Moss, CEO, The Moss Group - Mara Dodson, The Moss Group
• December 1-3, 2015 - Tutwiler staff interviews - Warden III Bobby Barrett - Warden I Deidra Wright - Captain LaGreta McClain, PREA Settlement Manager - Lieutenant Yvette Young, Institutional PREA Compliance Manager (IPCM) - Lieutenant Brian Coleman, Grievance Coordinator - MHM Mental Health Site Administrator (MHM is the contractor for mental health)
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- Psychological Associate, Dr. Scott Holmes - Shift Lieutenant, Napoleon Goodson - Shift Lieutenant, Berda Nelson - Camera room supervisor, Sergeant Darryl Finch - Classification Supervisor, Chitema Westry - Hygiene Supply manager, correctional officer Monica Wheat - Corizon Director of Nursing (Corizon-medical contractor) - Laundry Supervisor, Ms. Cheryl Garner
There were a total of 28 compliance interviews. These staff were selected by the monitor according to the responsibilities they have for managing and implementing various parts of the agreement, directly or indirectly. 3) The monitor conducted four (4) staff focus groups on December 1 and 3, 2015. The monitor reviewed the daily roster of correctional officers and randomly selected five people that were a mix of male and female, racially diverse officers. The group on December 1 was from the second shift rotation staff. The staff were working in housing areas. The monitor asked the same questions to each group and then had discussions with them according to their comments. 4) The monitor conducted an inmate focus group on December 2, 2015. The monitor reviewed the various housing rosters of assigned inmates and randomly selected a mix of male and female, racially diverse inmates from different housing dorms. There were 21 inmates in the group. The monitor asked basic questions to them regarding their knowledge and awareness of PREA and various policies. The monitor discussed the new grievance system at length, the sexual safety culture at Tutwiler and their understanding of how to report an allegation. The monitor conducted two follow up interviews the next day with inmates on issues non-related to PREA.
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Monitoring Tool 1) The Monitor sent the first draft report to both parties on January 20, 2016. The
agreement allows for a two-week period of review by both parties. 2) The monitor received the comments from the Department of Justice on January 30,
2016. 3) The monitor received the comments from the Alabama Department of Correction on
February 5, 2016. 4) The monitor participated in a conference call with both parties on January 20 to
discuss the draft report and expectations of how and when the parties would provide their comments. It was agreed that the review period would be 14 days. ADOC indicated they would send their final comments after reviewing the ones submitted by DOJ, in order to provide any clarifying information in their comments. 5) The monitor considered all of the comments submitted by ADOC and DOJ. The monitor made some revisions and provided additional information to the parties in response to comments. 6) The monitor submitted the final draft of the report on February 15 for the last review by both parties.
- 19 -

Case 2:15-cv-00368-MHT-TFM Document 16-1 Filed 02/26/16 Page 22 of 33
Summary of Compliance
"Compliance" is discussed throughout this Agreement in the following terms: substantial compliance, partial compliance, and non-compliance. "Substantial Compliance" indicates that ADOC and Tutwiler have achieved material compliance with most or all components of the relevant provision of the settlement agreement. "Partial Compliance" indicates that ADOC and Tutwiler have achieved material compliance on some of the components of the relevant provision of the settlement agreement, but significant work remains. "Noncompliance" indicates that ADOC and Tutwiler have not met most or all of the components of the relevant provision of the settlement agreement. "Material Compliance" requires that, for each provision, ADOC and Tutwiler have developed and implemented a policy incorporating the requirement, trained relevant personnel on the policy, and relevant personnel are complying with the requirement in actual practice.
- 20 -

Requirement CSoubmsptliaantnicale NonC-oPCmaoprltimiaapllnicaence
N/A

Description

Monitor Report Summary of Compliance Tutwiler Settlement Agreement

Notes

Case 2:15-cv-00368-MHT-TFM Document 16-1 Filed 02/26/16 Page 23 of 33

III.A. GENERAL POLICIES AND PROCEDURES ADOC and Tutwiler shall DEVELOP and IMPLEMENT gender-responsive policies, procedures and practices to ensure that inmates at Tutwiler are protected from harm due to sexual abuse and harassment.
ADOC and Tutwiler shall comply with all provisions of PREA.

ADOC and Tutwiler shall continue to comply with the ADOC’s written policies and procedures mandating zero tolerance

A.1

toward all forms of sexual abuse and sexual harassment.

x Monitor granted an extension until 5/28/16

This agreement takes precedence over any ADOC and/or Tutwiler policy governing the operation of Tutwiler that may conflict with this agreement.

Shall develop; submit to the Monitor and DOJ for review consistent with III.A.6; and Implement policies and procedures

A.2

regarding the management of lesbian, gay, bisexual, transgender, intersex, and gender nonconforming inmates. The policy shall emphasize the rights of lesbian, gay, bisexual, transgender, intersex, gender nonconforming and gender dysphoric

x Monitor granted an extension until 5/28/16

inmates to a safe, non-discriminatory and respectful environment.

Continue to comply with ensuring women receive essential supplies, including hygiene and feminine hygiene products,

A.3

tampons and pads; linens; and uniforms by making them available on a monthly basis or more frequently as needed. The policy will continue to require the tracking and distribution of these products. ADOC and Tutwiler will continue to ensure that

x

both tampons and sanitary pads are readily available, free of charge, to Tutwiler inmates.

A.4

Shall develop and implement policies and procedures that incorporate gender-responsive strategies, including policies and procedures governing the use of force against women inmates and discipline of women inmates

x Monitor granted an extension until 5/28/16

Shall continue to develop, submit to the Monitor and DOJ for review consistent with III.A.6, and implement facility-specific

A.5

policies and operational practices specific to Tutwiler’s population regarding the supervision and monitoring necessary to

prevent inmates from being exposed to unreasonable risk of harm from sexual abuse and harassment.

x Monitor granted an extension until 5/28/16

III.B. CAMERA MANAGEMENT

The ADOC has implemented a state-of-the-art camera system at Tutwiler, and contracted with an expert who has conducted a review of the ADOC’s Camera Plan, including a review of each camera’s

placement. As a result of that review, cameras are strategically placed to maximize supervision while protecting privacy. Policies directing the appropriate use of cameras and periodic staff training to

ensure sustainability and effective operation of the camera

B.1

Camera management policies and procedures will remain in effect at Tutwiler

x

B.2

Camera management policies and procedures, including the locations where cameras have been placed, will be reviewed at least annually to ensure they are serving their goal of maximum supervision.

x

III.C. STAFFING

In order to address low staffing levels and the need for more women officers, ADOC and Tutwiler shall ensure that correctional staffing and supervision is sufficient to adequately supervise inmates and

staff and allow for the safe operation of Tutwiler

C.1(i)

ADOC and Tutwiler shall continue to develop, submit to the monitor and DOJ to assess for compliance with this agreement and implement its plan to recruit women correctional officers at Tutwiler

x

C.2

Placeholder

x

III.D. TRAINING ADOC and Tutwiler shall ensure that all staff have the adequate knowledge, skill, and ability to prevent, detect, and respond to sexual abuse and sexual harassment at Tutwiler, and to manage, interact, and communicate appropriately with women inmates and lesbian, gay, bisexual, transgender, and gender nonconforming inmates.

D.1

ADOC and Tutwiler shall train all staff who may have contact with inmates with the following:

D.2

Within six months of the Effective Date, all staff shall have received training as set out in Section III.D.1

D.3

ADOC and Tutwiler shall provide annual refresher training to all staff

D.4

The Monitor will work with ADOC and Tutwiler in drafting new training materials and/or revising current training materials set out in III.D.1 and III.D.3

D.5

ADOC shall certify and document to Tutwiler’s PREA Compliance Manager, the Department-wide PREA Coordinator, the Monitor, and DOJ, that all staff have been trained

Page 1 of 6

x Monitor granted an extension until 2/28/16 x Monitor granted an extension until 2/28/16 x Monitor granted an extension until 2/28/16 x Monitor granted an extension until 2/28/16
x Monitor granted an extension until 2/28/16

Requirement CSoubmsptliaantnicale NonC-oPCmaoprltimiaapllnicaence
N/A

Description

Monitor Report Summary of Compliance Tutwiler Settlement Agreement

Notes

Case 2:15-cv-00368-MHT-TFM Document 16-1 Filed 02/26/16 Page 24 of 33

III.E INMATE EDUCATION ADOC and Tutwiler shall effectively and meaningfully communicate to all inmates their right to be free from sexual abuse and harassment and the protections in place at Tutwiler to ensure that such abuse and harassment does not occur or, if it does occur, is reported so it can be responded to promptly, appropriately, and without retaliation.

(Inmate Education: Intake)

1. ADOD and Tutwiler shall ensure that, during the intake process, all inmates receive information regarding the following

(listed below):

3. Current Tutwiler inmates will receive the information and education described in III.E.1 within three months of the Effective

E.1,3,6,7

Date (by August 28, 2015). 6. Consistent with current policy, ADOC and Tutwiler shall ensure that the information outlined in III.E.1 is conveyed and made

x

available in formats accessible to all inmates, including those who are limited English proficient, deaf, visually impaired, or

otherwise disabled as well as to inmates who have limited reading skills.

7. ADOC and Tutwiler shall provide the Monitor and DOJ for their review consistent with Section III.A.6 any materials or

curriculum utilized to satisfy the requirements of III.E.1

(Inmate Education: Comprehensive)

2. Within 14 days of intake, ADOC and Tutwiler shall provide comprehensive orientation education to inmates either

conducted in-person or through a video presented by an in-person facilitator regarding their rights to be free from sexual

abuse and sexual harassment and to be free from retaliation for reporting such incidents, and regarding their policies and

procedures for responding to such incidents.

3. Current Tutwiler inmates will receive the information and education described in III.E.2 within three months of the Effective

Date (by August 28, 2015).

4. ADOC and Tutwiler shall ensure that the individual conducting or facilitating the comprehensive inmate educational

orientation is trained on Tutwiler’s and ADOC’s policies and procedures related to sexual abuse and sexual harassment, the

E.

PREA standards, and this Agreement.

2,3,4,5,6,7,8

5. The individual conducting or facilitating the comprehensive inmate orientation education shall remain in the room during the entire orientation and shall monitor the inmates for reactions to and understanding of the information. A mental health

x

practitioner will serve as an advisor to the orientation process and services will be available during the orientation process if

indicated.

6. Consistent with current policy, ADOC and Tutwiler shall ensure that the information outlined in III.E.2 is conveyed and made

available in formats accessible to all inmates, including those who are limited English proficient, deaf, visually impaired, or

otherwise disabled as well as to inmates who have limited reading skills.

7. ADOC and Tutwiler shall provide the Monitor and DOJ for their review consistent with Section III.A.6 any materials or

curriculum utilized to satisfy the requirements of III.E.1

8. ADOC and Tutwiler shall maintain documentation of inmate participation in the education sessions required by III.E.2.

III.F. GENDER-RESPONSIVE CLASSIFICATION Consistent with constitutional standards, ADOC and Tutwiler shall develop and implement a classification process including custody classification, and risk/need assessment, and screening for risk of vulnerability or perpetration of sexual abuse or sexual harassment and use that information to inform housing, bed, work, education, and program assignments with the goal of maximizing safety.

F.1 F.2 F.3,4

Within two months of the Effective Date, ADOC and Tutwiler shall convene a working group to evaluate methods to decrease

or eliminate Tutwiler’s use of Dorm A for a period of time that exceeds 48 hours while screenings are completed, including an examination of the necessity of PAP test and/or other medical, mental health, or intellectual test results prior to classification

x

and failures to provide adequate continuity in medical and mental health care to Dorm A residents

Within six months of convening of the working group, ADOC and Tutwiler shall retain an expert in gender responsive assessment and classification.

x

3. The approved plan for implementation of the classification system shall be managed by an implementation workgroup and

completed within two years of the approval of plan

4. The system shall provide programs that incorporate gender responsive principles and address the needs of women inmates

at Tutwiler, including those addressing sexual abuse, sexual harassment, and trauma; domestic violence; dating violence; and

medical and mental health care.

III.G RISK ASSESSMENT

G.1

ADOC and Tutwiler shall continue to utilize a risk assessment instrument to screen for risk of victimization and abusiveness

x

Page 2 of 6

x n/a, September, 2016

Case 2:15-cv-00368-MHT-TFM Document 16-1 Filed 02/26/16 Page 25 of 33

Requirement CSoubmsptliaantnicale NonC-oPCmaoprltimiaapllnicaence
N/A

Description

Monitor Report Summary of Compliance Tutwiler Settlement Agreement

Notes

G.2,3

2. Inmates at high risk for sexual victimization shall not be placed in involuntary segregation housing due to their high risk of victimization unless an assessment of all available alternatives has been made, and a determination has been made that there is no available alternative means of separation from likely abusers. Such an assessment and determination shall be documented, explain the basis for Tutwiler’s concern for the inmate’s safety and the reason why no alternative means of separation can be arranged. A review of such determination must be afforded each inmate at least every 30 days to determine whether there is a continuing need for separation from the general population.

3. Inmates placed in segregated housing Due to potential victimization shall, to the extent possible, have full access to programs, privileges, education, and work opportunities as inmates in general population housing.
III.H. INMATES’ RIGHT TO PRIVACY ADOC and Tutwiler shall prevent officers from unnecessarily viewing inmates who are naked or performing bodily functions

x Due 2/28/2016

H.1

Cross-Gender Searches : ADOC and Tutwiler shall continue to comply with its policy regarding cross-gender pat and strip searches

x

2.i Cross- Gender Viewing: ADOC and Tutwiler shall develop, submit to the Monitor and DOJ for review consistent with

Section A.III.6, and implement policies and procedures that enable inmates to perform bodily functions – such as showering,

bathing, and using the toilet – and change clothing without nonmedical staff of the opposite gender viewing their breasts,

buttocks, or genitalia, except in exigent circumstances of when such viewing is incidental to routine cell checks
H.2

x Due 2/28/2016

2.ii ADOC and Tutwiler shall develop, submit to the Monitor and DOJ for review consistent with Section III.A., and implement

policies and procedures regarding the method of conducting inmate counts. This policy and procedure shall limit inmate

movement during inmate counts and shall prohibit the practice of conducting inmate counts while inmates are likely to be in

the shower and toilet areas

H.3

ADOC and Tutwiler shall continue to implement its plan to address the architectural features that contribute to a lack of privacy for inmates while showering or using the toilet

x

III.I REPORTING ALLEGATIONS OF SEXUAL ABUSE AND SEXUAL HARASSMENT

In order to adequately identify and respond to all instances of sexual abuse and sexual harassment at Tutwiler, ADOC and Tutwiler shall ensure that all inmates, staff, and third-parties have multiple

unimpeded methods to report incidents of sexual abuse and sexual harassment free from retaliation

ADOC and Tutwiler shall continue to comply with its policy on reporting allegations of sexual abuse and sexual harassment.

Any modification of that policy shall be submitted to DOJ and the Monitor for review consistent with Section III.A.6. ADOC

I.1

and Tutwiler shall provide multiple internal methods, including a grievance process and at least one confidential method, for

x

inmates to report sexual abuse and sexual harassment, retaliation by other inmates or staff for reporting sexual abuse and

sexual harassment, and staff neglect or violation of responsibilities that may have contributed to such incidents.

I.2,3

2. ADOC and Tutwiler shall also provide at least one way for inmates to report abuse or harassment to a public or private entity or office that is not part of the agency, and that is able to receive and immediately forward inmate reports of sexual abuse and sexual harassment to agency officials, allowing the inmate to remain anonymous upon request. The method provided should be through a toll-free number or other method as agreed to by the Monitor and DOJ.

I.4,5

3. ADOC and Tutwiler shall provide a method for staff to confidentially report sexual abuse and sexual harassment of inmates
4. Third parties shall be permitted to assist inmates in filing requests for administrative remedies relating to allegations of sexual abuse and sexual harassment, and shall also be permitted to file such requests on behalf of inmates
5. All third party reports of sexual abuse and sexual harassment shall be forwarded immediately to the Departmental PREA Coordinator and be investigated and processed in accordance with Policy. As part of this process, the Departmental PREA Coordinator will inform Tutwiler’s PREA Compliance Manager of all third party reports received.

x Due 2/28/2016 x Due 2/28/2016

Page 3 of 6

Case 2:15-cv-00368-MHT-TFM Document 16-1 Filed 02/26/16 Page 26 of 33

Requirement CSoubmsptliaantnicale NonC-oPCmaoprltimiaapllnicaence
N/A

Description

Monitor Report Summary of Compliance Tutwiler Settlement Agreement

Notes

6. Grievances: ADOC and Tutwiler shall continue to develop and submit policies and procedures for an inmate Grievance

System to the Monitor and DOJ for review within three months of the effective date and, within four months of the effective

date, implement the inmate Grievance System. This policy shall clearly prohibit retaliatory practices by staff against inmates

who file a grievance and should include the requirements listed in III.I.6.ii-ix

I.6, 6.viii

x

6.viii ADOC and Tutwiler shall develop, submit to the Monitor and DOJ for review consistent with Section III.A.6, and

implement policies and procedures for the filing of an emergency grievance where an inmate is subject to a substantial risk of

imminent sexual or physical abuse

7.ADOC and Tutwiler shall require all employees to report immediately: Any knowledge, suspicion, or information regarding an incident or alleged incident of sexual abuse or sexual harassment that occurred in Tutwiler, in transport vehicles, or in any off-site facilities under the control and supervision of ADOC or Tutwiler; Retaliation against inmates or staff who reported such an incident; and any staff neglect or violation of responsibilities that may have contributed to an incident or retaliation.

I.7,8,9

8.Apart from reporting to designated supervisors or officials, staff shall not reveal any information related to a sexual abuse or sexual harassment report to anyone other than to the extent necessary to make treatment, investigation, and other security and management decisions.

9.ADOC and Tutwiler shall report all allegations of sexual abuse and sexual harassment, including third party reports, anonymous reports, and inmate grievances, to Tutwiler’s or ADOC’s designated investigator

Protecting Inmates and Staff from Retaliation:

i.Consistent with ADOC policies, ADOC and Tutwiler shall protect all inmates and staff who report allegations of sexual abuse

I.10.i

or sexual harassment or cooperate with sexual abuse or sexual harassment investigations from retaliation by other inmates or staff, and shall designate Tutwiler’s PREA Compliance Manager with monitoring allegations of retaliation concerning inmates.

x

Allegations of retaliation against employees will be investigated and processed in accordance with ADOC personnel policy.

x Due 2/28/2016

III.J. OFFICIAL RESPONSE TO AN ALLEGATION OF SEXUAL ABUSE AND SEXUAL HARASSMENT ADOC and Tutwiler shall ensure that all alleged victims of sexual abuse and sexual harassment are offered timely, unimpeded access to medical treatment and crisis intervention services as appropriate and that staff appropriately respond to and counsel the alleged victim while taking steps to preserve evidence.

J.1 J.2 J.3,6
J.4,5

When ADOC or Tutwiler learns that an inmate may be subject to a substantial risk of imminent sexual abuse, ADOC or

Tutwiler shall take immediate action to protect the inmate.

ADOC and Tutwiler shall continue to comply with Policy and Tutwiler Standard Operating Procedures to coordinate actions

taken in response to an allegation of sexual abuse, among first staff responders, medical and mental health practitioners, investigators, and Tutwiler leadership, including time frames and lists of whom staff should report to in specific situations and

x

guidelines regarding the collection of physical evidence.

3.ADOC and Tutwiler shall respond to reports of sexual abuse and sexual harassment or threats of sexual abuse or sexual

harassment without regard to an inmate’s known or perceived sexual orientation or gender identity.

6.ADOC and Tutwiler shall not place in protective custody an inmate who is alleged to have suffered sexual abuse or sexual harassment solely for the purpose of protecting that inmate, unless a determination, documented in writing and reviewed by the PREA Compliance Manager or the Warden’s designee within 24 hours, has been made that there is no available alternative means of separation from likely abusers.

4.The written institutional plan shall include procedures that address how staff respond upon learning of an allegation that an inmate was sexually abused; described below

5. If the first staff responder is not a security staff member, the responder shall be required to request the alleged victim not take any actions that could destroy physical evidence, and then notify security staff.

x Due 2/28/2016 x Due 2/28/2016 x Due 2/28/2016

Page 4 of 6

Case 2:15-cv-00368-MHT-TFM Document 16-1 Filed 02/26/16 Page 27 of 33

Requirement CSoubmsptliaantnicale NonC-oPCmaoprltimiaapllnicaence
N/A

Description

Monitor Report Summary of Compliance Tutwiler Settlement Agreement

Notes

To the extent they do not already exist, ADOC and Tutwiler shall develop, submit to the Monitor and DOJ for review consistent

J.7

with Section III.A.6., and implement policies and procedures to provide access to medical and mental health services to women identified as potential or actual victims of sexual abuse and sexual harassment, that occurred either at Tutwiler or

x

elsewhere, including the following:

III.K REFERRALS AND INVESTIGATIONS

ADOC and Tutwiler shall ensure that all allegations of sexual abuse and sexual harassment are promptly, thoroughly, and objectively investigated and appropriately referred for prosecutorial review,

and that alleged victims are advised of the outcome of their allegations.

K.1,2

1.ADOC investigators shall continue to investigate allegations of sexual abuse or sexual harassment consistent with their

authority as criminal investigators and consistent with Policy and Alabama law. Completed investigations of sexual abuse and

sexual harassment will be referred to local prosecutors as appropriate.

2. When ADOC conducts its own investigations into allegations of sexual abuse or sexual harassment, it shall do so promptly, thoroughly, and objectively for all allegations, including third party and anonymous reports. Administrative investigations shall

x

be completed regardless of the results of any criminal investigations and regardless of the subject’s continued employment by

ADOC

ADOC and Tutwiler shall develop, submit to the Monitor and DOJ for review consistent with Section III.A.6., and implement

K.4

guidelines for the immediate initiation of an investigation and/or review upon learning of an allegation of sexual abuse or sexual harassment and develop a process for monitoring those guidelines. The guidelines shall also ensure that

investigations that include any allegations of sexual abuse or sexual harassment are properly labeled as such.

Investigators

3.The use of pre-hearing segregation shall be limited to inmates whose continuing behavior is a threat to facility safety, or who

will not stop the prohibited behavior. Such pre-hearing segregation shall not be used for more than 72 hours, at which time an

inmate must be afforded a disciplinary hearing, or provided a written explanation of why the hearing is postponed and when

the hearing will be re-scheduled.

5.Where sexual abuse or sexual harassment is alleged, ADOC shall use investigators who have received special training in

institutional sexual abuse and sexual harassment investigation. Specialized training shall include techniques for interviewing

sexual abuse victims, proper use of Miranda and Garrity warnings, sexual abuse evidence collection in confinement settings,

and the criteria and evidence required to substantiate a case for administrative action or prosecution referral. ADOC shall

maintain documentation that agency investigators have completed the required specialized training in conducting sexual

abuse investigations. The Department-wide PREA Coordinator and Tutwiler's PREA Compliance Manager shall not serve as

investigators for sexual abuse investigations.

7.The credibility of an alleged victim, suspect, or witness shall be assessed on an individual basis and shall not be determined

K.3,5,7,8,9,10

by the person’s status examinations or other

as inmate or staff. ADOC or Tutwiler are prohibited from offering or administering polygraph truth-telling devices to an inmate who alleges sexual abuse or sexual harassment.

8.ADOC shall issue a written investigative report within 30 days after the conclusion of a sexual abuse or sexual harassment

investigation that indicates whether the allegation is substantiated, unsubstantiated, or unfounded. The investigator may

request in writing, approved by the facility designee, an extension for cause that identifies the remaining actions necessary to

complete the investigation. In no case shall the investigation be unfounded solely Due to the expiration of the 30 days. The

investigative report shall include an effort to determine whether staff actions or failures to act contributed to the abuse, a

description of the physical and testimonial evidence, the reasoning behind credibility assessments, and investigative facts and

findings.

9.ADOC shall work with the Monitor on ensuring that an investigative summary sheet that provides an overview of the current

status of an investigation is included. The summary information should include, among other things, basic information such

as staff name(s), prisoner names(s), location of incident, and the time of day.

10.The departure of the alleged perpetrator or victim from the employment or control of ADOC or Tutwiler shall not provide a

basis for terminating an investigation.

x Due 2/28/2016 x Due 2/28/2016

Page 5 of 6

Case 2:15-cv-00368-MHT-TFM Document 16-1 Filed 02/26/16 Page 28 of 33

Requirement CSoubmsptliaantnicale NonC-oPCmaoprltimiaapllnicaence
N/A

Description

Monitor Report Summary of Compliance Tutwiler Settlement Agreement

Notes

K.11,12,13, 14, 15

Outside Investigations; Inmate Notification 11.When outside agencies investigate alleged incidents of sexual abuse, ADOC and Tutwiler shall cooperate with outside investigators and shall endeavor to remain informed, to the extent appropriate, about the progress of the investigation. 12.Following an investigation into an inmate’s allegation that she suffered sexual abuse or sexual harassment in any ADOC facility or while within the physical custody and control of the ADOC, ADOC and Tutwiler shall inform the inmate as to whether the allegation has been determined to be substantiated, unsubstantiated, or unfounded. 13.If ADOC or Tutwiler did not conduct the investigation, it shall request the relevant information from the investigative agency in order to inform the inmate. 14.Following an inmate’s allegation that a staff member has committed sexual abuse or sexual harassment against the inmate, ADOC and Tutwiler shall subsequently inform the inmate whenever: (see below) 15.All such notifications or attempted notifications shall be documented.

x Due 2/28/2016

K.16,17

Investigations Review 16.A review team, including upper-level management officials at Tutwiler, with input from line supervisors, investigators, and medical and mental health practitioners, shall conduct an incident review within 30 days of the conclusion of every investigation of substantiated and unsubstantiated allegations of sexual abuse or staff-on-inmate sexual harassment. The review team shall: (see below) 17.ADOC and Tutwiler shall implement the recommendations for improvement or shall document its reasons for not doing so.

x Due 2/28/2016

K.18

.Within 60 days of the Effective Date, ADOC and Tutwiler shall review all pending investigations alleging sexual abuse and

sexual harassment to determine whether the investigation was conducted according to the requirements of Section III. K. of

this Agreement.

Within 120 days of the Effective Date, ADOC and Tutwiler will conduct a similar review of all unfounded allegations of sexual

x

assault and sexual harassment for the past 360 days to determine whether the investigation was conducted according to the

requirements of Section III. K. of this Agreement.

III.L STAFF DISCIPLINARY ACTIONS ADOC and Tutwiler shall take appropriate disciplinary action against staff found to have engaged in sexual abuse or sexual harassment or to have violated Tutwiler’s policies and procedures regarding sexual abuse or sexual harassment.

ADOC and Tutwiler shall develop, submit to the Monitor and DOJ for review consistent with Section III.A.6., and implement

L.1

policies and procedures that track staff disciplinary actions related to allegations of sexual abuse or sexual harassment, to

ensure that the directives in III.L.2-III.L.6 below are met.

III.M Limited English Proficient (LEP) Inmates

ADOC and Tutwiler shall work with the Monitor to develop and implement a policy providing for a method of interpretation

M

services for LEP inmates. This method may be through a language telephone line, if necessary. ADOC and Tutwiler shall not

rely on other inmates or non-certified employees to translate and/or interpret for LEP inmates.

x Due 2/28/2016 x Due 2/28/2016

Page 6 of 6

Case 2:15-cv-00368-MHT-TFM Document 16-1 Filed 02/26/16 Page 29 of 33
Closing Observations
The monitor and the Department of Justice have been updated on the ADOC and Tutwiler continuing actions since December 4, 2015. Specifically, we have received for comment and feedback revised policies and SOP's that have been reviewed for gender responsive principles. We have received and reviewed the revised PREA curriculum for staff training and the new PREA training for volunteers. We have initiated a regular conference call between parties to discuss any current issues. The current monitoring tool report recommends a number of items to be sent to the monitor, once completed or partially completed, for the monitor’s ongoing knowledge of actions taken by ADOC and Tutwiler. The monitor notes that the Alabama Department of Correction understands the necessary steps for substantial compliance include the development of specific policy, training staff and inmates, as required per the policy and the full operational implementation of the policy directives.
In conclusion, the monitor sees a strong commitment to the successful implementation of the settlement agreement by the State of Alabama, the Alabama Department of Correction and the Tutwiler Prison for Women. There is a "strong skeleton" for the body of this work to be completed in designated intervals, as required. There is a collaborative working relationship and communication between the ADOC, the Department of Justice and the monitor and the consultants on contract with ADOC.
The monitor recognized a positive and proactive culture in both ADOC and Tutwiler. The "culture" of a prison is partly an attitude of staff and inmates in their daily operations environment regarding their safety and interactions with each other. Tutwiler has been subjected to external scrutiny for several years, with numbers of people touring
- 28 -

Case 2:15-cv-00368-MHT-TFM Document 16-1 Filed 02/26/16 Page 30 of 33 and inspecting their operations, media stories, consultants working in their daily routines and now the scrutiny of a monitor. The monitor observed consistently during each visit positive leadership, starting with the warden, and from all of the executive team, for managing PREA and the settlement. The executive team members have a "can do attitude" and it is felt by the inmates and staff that the monitor met. The monitor observed the "culture of change" accepted, and generally understood as a positive and necessary journey. This culture is an essential element for changes to occur at Tutwiler, in their current environment.
- 29 -

Case 2:15-cv-00368-MHT-TFM Document 16-1 Filed 02/26/16 Page 31 of 33
Attachment: List of Documents Used for Compliance Assessment
- Tutwiler Standard operating Procedures (SOP) o 5.0 Dorm Security Procedures for each separate dorm o 5-32 Gender Specific Posts o 5-33 Video Surveillance o 13-3 Inmate Grievance Procedures o 15-28 Hygiene Item issue o 15-39B Youthful Offenders -draft o 9-6 Use of Force-draft o 5-9 Administrative Segregation-draft o 9-1 Searches -draft o 5-9A Disciplinary Segregation-draft
Note: these SOP's were requested in September - some numbering may have changed due to revisions to policy and SOP
- Tutwiler Women Offender Education Lesson Plan and PowerPoint Presentation - Gender-Responsive Approaches for Women Offenders Facilitator Guide (for training ) - Key Control Policy - Draft Inmate Survey - ADOC Disciplinary Policy - ADOC Classification Policy - ADOC Chart of Custody Levels - ADOC Call-in Policy - Physical Fitness Standards for CO Recruits - Alabama Peace Officer Training and Standards
Commission (APOSTC) - Correctional Officer job description - Documents related to the camera/video surveillance system at Tutwiler - ADOC PREA training curriculum - ADOC Administrative Regulation, 454, PREA policy - ADOC Investigation and Intelligence Investigators - demographics, experience - Tutwiler spreadsheet for the assignment of inmates to pre-investigation segregation - Tutwiler SOP-8-12 PREA policy - Tutwiler SOP 8-27 Hygiene issue - Alabama state law regarding staff sexual misconduct - Tutwiler post orders for Dorm A - Demographic information on camera operators at Tutwiler - Six months of ADOC HR personnel actions at Tutwiler (hiring, separations , etc.) - Tutwiler PREA Compliance Manager job description - Monthly reports by the PREA Compliance Manager - Cross Gender Search SOP - Tutwiler procedures for inmates to report allegations of sexual abuse and harassment - Tutwiler staff training curriculum for the grievance policy - Staff training rosters/attendance for grievance training
- 30 -

Case 2:15-cv-00368-MHT-TFM Document 16-1 Filed 02/26/16 Page 32 of 33
- Alabama state law providing directives for ADOC investigators to pursue/refer criminal charges for staff conduct
- Tutwiler PREA training for staff-attendance rosters for a year - Training records for Tutwiler staff training on cross gender search procedures - Copies of any written referrals to local prosecutors by ADOC Division of Investigations and
Intelligence (I+I) - Monitor review of five completed PREA investigations by ADOC I+I from June -Nov. 2015 - ADOC and Tutwiler written directives to staff about PREA compliance - from top executives - Three months of maintenance logs for the camera system at Tutwiler - Tutwiler staff assignment shift rosters for two months for each housing area - Documents regarding the ADOC physical fitness assessments for new applicants.
o Information used by ADOC to administer this program - Inmate attendance rosters for the July Offender Education program - Documents, meeting notes regarding the ADOC Dorm A workgroup - Roster of inmates assigned to Dorm A from September - November 1, 2015 - Video for PREA intake program - Documents/spreadsheets used in the Tutwiler inmate hygiene program-ordering, inventory,
distribution, inmate requests - Documentation of any ADOC work with APOSTC regarding the hiring processes for female
staff - Documentation of any Tutwiler inmate needing LEP interpreter services - Documentation of any specialized training received by the staff trainers/facilitators for the
Offender Education program - Lists of any inmates transferring into Tutwiler for four months - Documents for any Tutwiler warden notifications to other confinement facilities of an inmate
allegation of sexual abuse and harassment at their facility - Copies of inmate grievances for September - November 1, 2015 - Monitoring tool used by Tutwiler PREA compliance manager to track PREA allegations and
reports of retaliation - ADOC and Tutwiler documents, logs that document PREA allegations - Documents regarding the requirement that ADOC shall review all pending investigations on
May 28, 2015, alleging sexual abuse and harassment to determine if the investigations were conducted according to Section K. of the settlement - Video for the LGBTI training - Video for PREA information for inmates in intake process - Documents used at Tutwiler in the classification risk assessment checklist used in intake. Three months of the completed checklists any logs maintained by classification and mental health - Tutwiler logs, shift logs that document the required "unannounced rounds " by shift supervisors and the leadership team August - October 2015 - Job description of the ADOC PREA coordinator - Three months of staff assignment rosters at Tutwiler - highlighting the staff working in an overtime status-evidence of their PREA training - Professional credentials of Tutwiler mental health professionals - ADOC Statewide Advisory Group meeting minutes - Training outline used by Corizon healthcare for PREA staff education
- 31 -

Case 2:15-cv-00368-MHT-TFM Document 16-1 Filed 02/26/16 Page 33 of 33 - ADOC Health Services logs - ADOC training schedule for state Institutional PREA Compliance Manager training in
January, 2016 - Tutwiler inmate disciplinary log May 30 - Nov. 14, 2015 - ADOC facilitator guide for the Institutional PREA Compliance Manager training
- 32 -

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GENERAL POLICIES AND PROCEDURES

III.A. ADOC and Tutwiler shall DEVELOP and IMPLEMENT gender-responsive policies, procedures and practices to ensure that inmates at Tutwiler are protected

from harm due to sexual abuse and harassment.

Policy Develop

Implement

Policy

Policy

1. ADOC and Tutwiler shall comply with all provisions of PREA. ADOC and Tutwiler shall continue to comply with the ADOC’s written policies and procedures mandating zero tolerance toward all forms of sexual abuse and sexual harassment. This agreement takes precedence over any ADOC and/or Tutwiler policy governing the operation of

8-12 III.A.1 (15-
39A)

May 28, 2015

May 28, 2015 AND February 28,
2016

Tutwiler that may conflict with this agreement.

REQUIREMENTS

Policy Developed

Staff Trained Policy Implemented

Comply with PREA
Comply with ADOC Policies
This agreement takes precedence over any ADOC and/or Tutwiler policy governing the operation of Tutwiler that may conflict with this agreement

Y N N/A Y N N/A Y N N/A Y N N/A Y N N/A Y N N/A

Y N N/A Y N N/A Y N N/A

MONITOR’S MEASURES OF COMPLIANCE
A. Agency PREA policy mandating zero tolerance. B. Tutwiler Standard Operating Procedures (hereinafter “SOPs”) and procedures for implementation of the PREA policy. C. Alabama State law regarding sexual misconduct of staff. D. Training schedules for staff attending PREA training at Tutwiler. E. PREA Training Curriculum for staff. F. Any memos, written directives from the Commissioner, Deputy Commissioner and Warden that direct PREA policy compliance and zero tolerance. G. Interviews with various officials regarding their knowledge and roles in implementing the PREA policy. H. Focus group meetings with staff (a randomly selected group from each staff rotation) and one inmate group (randomly selected from various housing areas, to include new admissions). I. Tour impressions-PREA posters, phone.

III.A.1

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Documents

STEPS TAKEN BY MONITOR TO ANALYZE CONDITIONS AND ASSESS COMPLIANCE, AND FACTUAL BASIS FOR MONITOR’S FINDINGS

(for each member of monitoring team)

Interviews

On-site/Observations / Other

1. ADOC Administrative policy 454; the PREA policy for ADOC. It was issued 2/27/2014. 2. Tutwiler SOP 15-39 A: revised SOP 8-12 "Inmate Sexual Assault and Harassment Awareness: PREA policy.” It was issued 2/04/2014. NOTE: SOP 8-12 is currently under review for updates related to ADOC policy and settlement provisions. 3. Alabama state law §13A-6-65. Class A misdemeanor. 4. Training records for Tutwiler staff PREA training. 5. PREA Training Curriculum for staff. 6. Two memos issued by Warden Barrett to all staff regarding 1) zero tolerance regarding staff reporting of ANY wrong doing under PREA or other ADOC directives, and 2) memo issued to all Tutwiler staff regarding PREA information, procedures, definitions of sexual violence and sexual harassment. Staff was required to sign receipt of the memoranda. 7. On site tours of facility, Monitor noted an adequate number of PREA posters scattered all over facility. 8. ADOC contract with the Moss Group to provide PREA training, policy development, gender responsive training, and other related types of training and assistance to Tutwiler and ADOC.

1. Deputy Commissioner Wendy Williams 2. Warden Bobby Barrett 3. Captain McClain 4. Lt. Young 5. Warden Wright 6. Four staff focus groups of 5 employees, randomly selected by Monitor 7. One inmate focus group, 21 inmates randomly selected by Monitor 8. Tutwiler managers: Lt. Coleman, Lt. Goodson, Lt. Nelson, Dr. Scott Holmes, the MHM Site Administrator, the Classification Supervisor Ms. Westry, and the Corizon Director of Nursing 9. ADOC Commissioner Dunn 10. ADOC General Counsel Anne Hill 11. ADOC Associate Commissioner for Health Services, Ruth Naglich 12. ADOC Deputy Commissioner for Training and Development Matt Brand 13. ADOC Personnel Director Bill Lawley 14. ADOC PREA Director Ms. Christy Vincent 15. ADOC EEO Officer Ms. Tamara Jackson, who is also the Inmate Grievance Appeal Coordinator 16. ADOC Director of Investigations Mr. Arnaldo Mercado 17. ADOC Investigator Ms. Kelley Smith 18. Regional ADOC Health Manager Ms. Lynn Brown

1. Baseline tour conducted by Monitor from September 28-October 1, 2015. Monitor toured the entire institution over a two-day period. Informal interviews were held with inmates in every housing area. 2. Compliance tour was conducted on November 30-December 4, 2015

III.A.1

Not applicable

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UNRESOLVED/PARTIALLY RESOLVED ISSUES FROM PREVIOUS TOUR

Page 3 of 226

MONITOR’S FINDINGS: Substantial Compliance Partial Compliance Non-compliance n/a monitor granted an extension until 5/28/16

DATE: 2/15/16

III.A.1

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MONITOR’S DISCUSSION: STEPS TAKEN BY ADOC AND TUTWILER TOWARDS IMPLEMENTATION

DATE: 1/17/2016

Monitor evaluates steps taken by ADOC and Tutwiler in 1) interviews, as noted, 2) review of documents, as noted, and 3) baseline and compliance tours.

1. ADOC AR 454 is the agency PREA policy as of February, 2014, and it defines expectations for all the facilities to follow a zero tolerance approach in the application of the standards for sexual abuse and sexual harassment. It is currently under review for any potentially needed revisions. In the Monitor interview with ADOC Commissioner Dunn, he reiterated the agency commitment to be in full compliance at Tutwiler. In the 18 interviews listed, the Monitor found staff to be very knowledgeable of AR 454 and its applicability to their work disciplines and the agency and Tutwiler. Alabama state law §13-6-65 is the legal foundation for the agency PREA policy.
2. Tutwiler' s SOP 8 -12 is the provision to implement ADOC 454 and PREA standards, as outlined in the settlement. In their operational practices written in various other SOP's for Tutwiler. SOP 8-12 is under revision to specifically include all requirements in the settlement agreement.

3. Monitor discussed the PREA standards in each interview, as noted, with individual interviewees regarding their individual roles and responsibilities in ADOC and at Tutwiler.

4. Monitor review of training records reveals the annual PREA training in 2014 and 2015 for Tutwiler staff on ADOC 454. Monitor reviewed the PREA training curriculum and found it adequate for staff training. The training is under revision to make it more inclusive. The revised curriculum is expected by 1/5/2016.

5. ADOC entered a multi-year contract with the Moss Group to provide expert resources to ADOC and Tutwiler in a variety of areas, including training, policy development, gender responsive policies, strategic planning, development and implementation of a gender responsive classification system, staffing workforce review, and assistance with settlement agreement/PREA compliance.

6. Alabama, prior to settlement in some areas, has followed PREA guidelines in the following areas: a. PREA pre-audit conducted in April 2014. b. Installation of an excellent video surveillance camera system at Tutwiler. Monitor observed its operations on both visits. c. Moss Group contracted with Dr. James Wells and Dr. Barbara Owens to conduct a sexual safety survey at Tutwiler in July 2014. d. Moss Group has provided specific best practice trainings to the Tutwiler Institutional PREA Coordinator, Lieutenant Young, to include PREA audits. e. Tutwiler has addressed specific inmate privacy issues by placing shower curtains and privacy curtains around/in all bathroom and shower units. Monitor observed them to be in place and functional on each visit. f. Background checks on all employees have been completed since June 2015.

7. ADOC recruited and hired an agency PREA Director, Ms. Christy Vincent, who began these duties in July 2015. She has an excellent background in PREA standards, including as a result of her previous roles and responsibilities with the juvenile system.

III.A.1

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8. ADOC created a new position, Deputy Commissioner for Women's Services, in April 2014. Dr. Wendy Williams was appointed to this position. Dr. Williams is a career professional and the monitor believes she is a competent, experienced, passionate selection for this job. The monitor has observed the organizational skills, the capacity for planning and follow up implementation in her work on the settlement . She provides leadership to Tutwiler and is actively engaged with the warden daily. 9. The monitor selected five completed PREA investigations by the ADOC Division of Investigations and Intelligence. These five cases were reviewed in total by the monitor during the compliance visit. Monitor found that these investigations were conducted according to the PREA standards in the settlement.

MONITOR’S DISCUSSION: EXTENT TO WHICH ADOC AND TUTWILER HAVE COMPLIED WITH THE AGREEMENT

DATE: 1/17/2016

Monitor evaluates the extent of ADOC compliance with the agreement by 1) interviews as noted, 2) review of documents as noted, and 3) baseline and compliance visits.

1. ADOC has developed Agency PREA Policy AR 454 and it is currently in practice. 2. Tutwiler SOP 8-12 has been in practice at Tutwiler since February 2014. It is under revision for inclusion of PREA settlement specific items. 3. Staff at Tutwiler has received annual PREA training since 2008. In 2014 and 2015, staff at Tutwiler has received PREA annual training that is responsive to and consistent with the ADOC 454. 4. Monitor has observed the "zero tolerance " mandate and philosophy in practice by ADOC and Tutwiler in interviews, documents and visits. 5. Monitor conducted four staff focus groups and one inmate focus group. All participants were knowledgeable of PREA policy and zero-tolerance at Tutwiler. NOTE: the monitor randomly selected the staff participants for the focus groups on December 1 and 2 by reviewing the shift rosters and pointing to names on each shift. Monitor selected both genders. The monitor randomly selected a group of 22 inmates by reviewing the bed assignment rosters for each housing area. The monitor chose more inmates from Dorm A, due to its inclusion in the settlement, but had inmates from all housing areas, including the annex. Segregation inmates were excluded. The monitor visited segregation and death row on the baseline visit and segregation on the compliance visit. Monitor talked with all inmates confined each visit-except a few sleeping. 6. The ADOC multi-year contract with the Moss Group will continue to provide expert resources and assistance in complying with provisions of the settlement and PREA. 7. ADOC and Tutwiler have established training schedules for the completion of the revised PREA training, and will be using the new curriculum by February 28, 2016. The required training on Gender Responsive Principles will be completed by the same date. 8. ADOC is actively involved in reviewing all new or revised policies for the inclusion of gender responsive principles. 9. ADOC and Tutwiler are preparing for the PREA audit in May 2016, tentatively. This audit will review their compliance with PREA standards and establish benchmarks for future actions, revisions, training, policies and procedures at Tutwiler. 10. ADOC implemented a grievance system in September 2015 that gives inmates another method for reporting PREA issues, events or concerns. It is noted that the current policy is under review with Ms Wendy Leach, a Moss group consultant and national expert, and she is expected to provide feedback and potential
III.A.1

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training for the Tutwiler leadership team and Lt. Coleman, grievance manager , after the revised policy is reviewed by the monitor and DOJ and approved by ADOC. 11. ADOC has their investigative unit, Division of Investigations and Intelligence, responding and completing PREA investigations according to the PREA standards. Their investigations are submitted to a prosecuting attorney for review for criminal charges per the agreement. The monitor has reviewed investigations and letters to the prosecutors. ADOC AR 454 provides the policy for their operational practices. 12. ADOC is preparing to deliver their first comprehensive PREA training for volunteers in The first week of February 2016.

MONITOR’S RECOMMENDATIONS: (for at least the next 6 months) NOTE: ADOC requested a three-month extension for compliance with III A., and to make other policy revisions to comply with the agreement. The monitor approved the extension on January 26, 2016.

DATE DUE:

1. Implement any revised procedures in ADOC 454 in SOP's at Tutwiler. 2. Implement/plan for revised procedures in Tutwiler SOP 8-12. 3. Complete annual revised PREA training for all Tutwiler staff.

1.May 26, 2016 2.May 26, 2016 3.May 26, 2016

4. Continue development of the data information systems to track data.

4. Ongoing

5. ADOC will continue to have all their new or revised Tutwiler policies reviewed for the inclusion of gender responsive principles.

5. Ongoing

6. Tutwiler should train their staff in any new or revised procedures contained in ADOC AR 454 and Tutwiler SOP 8-12- " Inmate 6.Ongoing Sexual Assault and Harassment Awareness: PREA policy”.

III.A.1

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GENERAL POLICIES AND PROCEDURES

III.A. ADOC and Tutwiler shall DEVELOP and IMPLEMENT gender-responsive policies, procedures and practices to ensure that inmates at Tutwiler are protected

from harm due to sexual abuse and harassment

Policy

Develop Implement

Policy Policy

2. Shall develop; submit to the Monitor and DOJ for review consistent with III.A.6; and Implement policies

and procedures regarding the management of lesbian, gay, bisexual, transgender, intersex, and gender

III.A.2 (17-2)

February February

nonconforming inmates. The policy shall emphasize the rights of lesbian, gay, bisexual, transgender,

(III.H.5

28, 2016 28, 2016

intersex, gender nonconforming and gender dysphoric inmates to a safe, non-discriminatory and respectful III.H.4

environment.

see

below)

Policy

Staff Trained Policy

REQUIREMENTS

Developed

Implemented

Policy emphasizes the rights of lesbian, gay, bisexual, transgender, intersex, gender nonconforming and gender dysphoric inmates to a safe, non-discriminatory and respectful environment

Y N N/A Y N N/A Y N N/A

Qualified mental health practitioner: -Has experience in recognizing and diagnosing co-existing mental health concerns and distinguishing
these from gender dysphoria; is knowledgeable about gender non-conforming identities and expressions and the assessment and treatment of gender dysphoria; and
-Is assigned inmates with gender non-conforming identities, including gender dysphoria
Inmate diagnosed with gender dysphoria should be offered appropriate non-surgical treatment as determined by a qualified health care practitioner.
Provide ADOC-issued clothing and hygiene items and facilities appropriate to the needs to transgender and gender dysphoric inmates.
Transgender and intersex inmates are given the opportunity to shower separately from other inmates. (III.H.5)
Transgender or intersex inmates are not searched or physically examined for the sole purpose of determining the inmate’s genital status. If the inmate’s genital status is unknown, it may be determined during conversations with the inmate or by a qualified medical practitioner reviewing the medical records or, if necessary, by learning that information during the intake physical exam conducted in private by a medical practitioner. (III.H.4)

Y N N/A Y N N/A Y N N/A
Y N N/A Y N N/A Y N N/A Y N N/A Y N N/A Y N N/A Y N N/A Y N N/A Y N N/A Y N N/A Y N N/A Y N N/A Y N N/A Y N N/A Y N N/A

III.A.2

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MONITOR’S MEASURES OF COMPLIANCE
Shall develop; submit to Monitor and DOJ for review; Implement policies regarding management of LGBTI - emphasizing rights
POLICY emphasizes the rights of LGBTI inmates… a. Policy regarding LGBTI, gender dysphoric and gender non-conforming inmates and their rights for a safe, non-discriminatory and respectful environment. b. Training record to document staff training regarding these rights. c. Interviews with Warden Barrett, Capt. McClain, Lt. Young, Lt. Coleman, Site Health Administrator, DOC PREA Director.
QUALITY mental health practitioner... a. Identification and qualifications for mental health professional. b. Proof of the professionals experience in recognizing and diagnosing co-existing mental health concerns and distinguishing these from gender dysphoric; knowledge about gender non-conforming identities and expressions; assessment and treatment of gender dysphoria; and is assigned inmates with gender non-conforming inmates. c. Identification of any inmate(s) who has been treated by named mental health professional. Records review on site. d. Interviews with the named professional, Tutwiler Health Care Administrator, Warden Barrett, Capt. McClain, Lt. Young, Dr. Williams and DOC Health Care Administrator, DOC PREA Director.
INMATE diagnosed as gender dysphoric should be offered... a. Identification of inmates diagnosed as gender dysphoric since June 1, 2015. b. Review health care records to determine if they have been assessed for treatment and recommended for any non-surgical interventions. c. Interview with, site medical doctor, site mental health professional treating these inmates d. Interviews with Warden, Capt. McClain, Lt. Young, DOC Health Administrator or Regional Administrator.
PROVIDE ADOC issued clothing and hygiene items. a. Tutwiler SOP for providing clothes and hygiene. Proof of issuance to named gender dysphoric inmates. b. ADOC designation for facilities to house these inmates. Monitor needs to be advised of any plans. c. Interview of inmates identified as gender dysphoric, if available. d. Interviews with Warden, Capt. McClain, Lt. Young.
TRANSGENDER and intersex inmates are given the opportunity to shower... a. See H. 5 and SOP to shower inmates separately. b. Interviews with Warden, Capt. McClain, Lt. Young, Lt. Coleman. c. Interview available inmates if on site.
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TRANSGENDER or intersex inmates are not to be searched or physically examined for the sole purpose of determining the inmates genital status. a. Policy and SOP for admission searches for possible gender non-conforming inmates. b. Interviews with staff assigned to admissions and Lt. Coleman who supervises intake area. c. Documentation of any searches that occurred in intake for these inmates. d. Interview with Site Health Administrator, Warden, Capt. McClain, Lt. Young.

Documents

STEPS TAKEN BY MONITOR TO ANALYZE CONDITIONS AND ASSESS COMPLIANCE, AND FACTUAL BASIS FOR MONITOR’S FINDINGS

(for each member of monitoring team)

Interviews

On-site/Observations /

Other

1. ADOC AR 454 and Tutwiler SOP 8-12. 2. Draft Tutwiler SOP 8-29. 3. Training records for Annual in-service 2015 for Tutwiler on the LGBTI population. It was a 4-hour block of training. 4. Training Brochure, offered by Dr. David Tytell, that is named "Transgender Health: Best Practices in Medical and Mental Health Care". He will attend this training in Atlanta, Ga. January 20-23, 2016, as is Dr. Holmes, from Tutwiler.

1. Deputy Commissioner Williams 2. Associate Commissioner Ruth Naglich 3. ADOC Chief Psychologist Dr. David Tytell 4. Warden Barrett 5. Captain McClain 6. Lt. Young 7. Dr. Scott Holmes, Tutwiler Psychological Associate 8. MHM Site Administrator at Tutwiler

None

Not applicable

UNRESOLVED/PARTIALLY RESOLVED ISSUES FROM PREVIOUS TOUR

III.A.2

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NOTE: THIS SECTION INCLUDES III.A.2, III.H.4, and III.H.5. Please provide separate findings, discussion, and recommendations for all

provisions.

DATE: 2/15/16

MONITOR’S FINDINGS:

Substantial Compliance

Partial Compliance

Non-compliance

n/a monitor granted an extension until 5/28/16

MONITOR’S DISCUSSION: STEPS TAKEN BY ADOC AND TUTWILER TOWARDS IMPLEMENTATION

DATE: 1/17/2016

Monitor will evaluate steps taken by ADOC and Tutwiler by 1) interviews, as noted 2) review of documents, as noted, and 3) baseline and compliance visits. 1. ADOC AR 454. 2. Tutwiler SOP 8-12 (Note: this SOP has been revised to include settlement specific items. Monitor will reference 8-12 as the completed revised policy in these provisions that require compliance by February 28, 2016 or later in 2016. ) 3. Tutwiler has had some of the requirements in practice in this provision since February 2014. Specifically, it includes: a. Providing transgender and intersex inmates the opportunity to shower separately from other inmates; b. Facility staff shall not search or physically examine a transgender or intersex inmate for the sole purpose of determining the inmate's genital status; 4. Tutwiler has a draft SOP 8-29-LGBTI population, that is currently under review. The Monitor will review this policy after review is completed; 5. Tutwiler plans policy implementation after all III. A. 6 provisions have been exhausted and final approval has been granted by the Deputy Commissioner of Women's Services and the Tutwiler Warden. 6. Health care contractors, Corizon and MHM, are educating their providers on transgender inmates and their provision of appropriate health services for these inmates. Interviews with Ms. Lynn Brown, ADOC Region Director, and Dr. David Tytell, ADOC Chief Psychologist, confirm these activities. Monitor reviewed the Corizon PREA training content for their contractual staff. All contractual staff for Corizon and MHM are required to attend ADOC PREA and Gender Responsive Principles training. Monitor reviewed training rosters. The monitor found the training as responsive to the role of health care providers 7. ADOC Chief Psychologist Dr. David Tytell and Dr. Scott Holmes, Tutwiler Psychological Associate, will attend a national certified program in Atlanta on January 20-23, 2016. The training, "Transgender Health: Best Practices in Medical and Mental Health Care", is presented by WPATH, a gold standard provider of training for this specific population. 8. Tutwiler staff has received a four-hour block of training on the LGBTI populations. This was presented during the 2015 annual in-service training. It will continue to be presented annually.

III.A.2

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9. During the Monitor interview with ADOC Associate Commissioner for Health Services, Ms. Ruth Naglich, she stated it is ADOC’s intent that Dr. Tytell will become the expert practitioner regarding the specific requirements in this provision for expertise in gender dysphoria and co-occurring mental health issues in the inmate population at Tutwiler.

MONITOR’S DISCUSSION: EXTENT TO WHICH ADOC AND TUTWILER HAVE COMPLIED WITH THE AGREEMENT

DATE: 1/17/2016

Monitor will evaluate ADOC and Tutwiler compliance by 1) interviews, as noted, 2) review of documents, as noted, and 3) baseline and compliance visits.

1. Tutwiler expects to implement SOP 8-29, as described above, by February 28, 2016.

MONITOR’S RECOMMENDATIONS: (for at least the next 6 months)
1. Provide any additional training update to Tutwiler staff, if necessary, after the completed 8-29 is implemented.
2. ADOC should continue to provide training for Dr. Tytell in gender dysphoria and he should communicate that information with Tutwiler staff and in protocols for Tutwiler staff and MHM.

DATE DUE:
1. as needed by May 1, 2016
2. Feb. 1, 2016 and continuing

III.A.2

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Page 12 of 226

GENERAL POLICIES AND PROCEDURES

III.A. ADOC and Tutwiler shall DEVELOP and IMPLEMENT gender-responsive policies, procedures and practices to ensure that inmates at Tutwiler are protected

from harm due to sexual abuse and harassment

Policy

Develop Implement

Policy Policy

3. Continue to comply with ensuring women receive essential supplies, including hygiene and feminine

hygiene products, tampons and pads; linens; and uniforms by making them available on a monthly

III.A.3

8-27

May 28, May 28,

basis or more frequently as needed. The policy will continue to require the tracking and distribution of

2015 2015

these products. ADOC and Tutwiler will continue to ensure that both tampons and sanitary pads are

readily available, free of charge, to Tutwiler inmates.

Policy

Staff Trained

Policy

REQUIREMENTS

Developed

Implemented

Supplies: hygiene; tampons and pads; linens; uniforms

Y N N/A Y N N/A

Y N N/A

Availability: Readily; monthly; more frequently as needed.

Y N N/A Y N N/A

Y N N/A

Track distribution of these products. Both tampons and sanitary pads are readily available, free of charge, to Tutwiler inmates.

Y N N/A Y N N/A Y N N/A Y N N/A

Y N N/A Y N N/A

MONITOR’S MEASURES OF COMPLIANCE
A. Policy/SOP for this directive B. Implementation memos and procedures for this SOP C. Tracking documents, inventory sheets for distribution, monthly reports D. Interview with staff responsible for direct implementation of this routinely and the supervisor responsible for oversight and monitoring this process E. Interviews with inmate and staff focus groups F. Tour impressions

III.A.3

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Documents

STEPS TAKEN BY MONITOR TO ANALYZE CONDITIONS AND ASSESS COMPLIANCE, AND FACTUAL BASIS FOR MONITOR’S FINDINGS

(for each member of monitoring team)

Interviews

On-site/Observations / Other

a. Settlement Agreement--requires policy/SOP implementation by 5/28/15.
b. Tutwiler SOP 15-28. Issued 8/24/15. Hygiene Item Issuance.
c. Excel spreadsheet created and maintained by Correctional Officer Monica Wheat. She has maintained this responsibility since 5/2015.
d. Example Invoice from C.S. Jail Suppliers for hygiene supplies issued 5/26/15. CO Wheat orders all hygiene supplies.
e. Clothing inventory tracking spreadsheet that is maintained by Laundry Supervisor, Ms. Garner. Monitor also observed the laundry operation, and clothing inventory stored in laundry.
f. December 4, 2014 Memo from Dr. Williams to the 3 Tutwiler wardens with directives on hygiene item issuance.

a. Warden Barrett b. Captain McClain c. Lt. Young (PREA) d. Lt. Coleman (Grievances) e. CO Monica Wheat f. Deputy Commissioner Wendy Williams g. Four Staff Focus Groups. 17 staff randomly
selected by Monitor h. Inmate focus group(s) of 21 Tutwiler
inmates randomly selected by Monitor i. Laundry Supervisor Garner

1. Baseline and compliance tour visits to every housing area and bathroom.
2. Compliance visit to the laundry

III.A.3

Not applicable

Case 2:15-cv-00368-MHT-TFM Document 16-2 Filed 02/26/16 Page 14 of 226
UNRESOLVED/PARTIALLY RESOLVED ISSUES FROM PREVIOUS TOUR

Page 14 of 226

MONITOR’S FINDINGS: Substantial Compliance Partial Compliance Non-compliance n/a no assessment due until __________

DATE: 2/15/16

III.A.3

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MONITOR’S DISCUSSION: STEPS TAKEN BY ADOC AND TUTWILER TOWARDS IMPLEMENTATION

DATE: 1/17/2016

Monitor evaluates steps taken by ADOC and Tutwiler by 1) interviews, as noted, 2) review of documents, as noted, and 3) baseline and compliance visits.

Requirements (summary) Inmate Supplies, including hygiene, tampons and pads, linens, uniforms. These supplies will be readily available -monthly or more frequently (sanitary items to be free of charge to inmates)

1. Tutwiler SOP 15-28 issued 8/24/15-Hygiene Item Issuance. 2. Warden Barrett appointed Correctional Officer Monica Wheat to be responsible for maintaining and implementing SOP 15-28 in May 2015. Monitor found her to be very competent, knowledgeable and assertive in her role. 3. Officer Wheat created and maintains an Excel spreadsheet to manage the inventory of supplies, the issuance of supplies on a routine schedule and the inmate written requests she receives. 4. Memo was issued by Deputy Commissioner Williams on 12/04/14 to Warden Barrett with directives regarding the issuance of hygiene supplies as prescribed in this provision. Information received from Commissioner Williams gave the Monitor the history of the development/implementation of this provision since 2014. 5. Monitor reviewed an invoice from C. S jail Suppliers that documented the ordering and stocking of an adequate warehouse inventory of supplies. 6. There is a written document describing the number of items to be issued to each inmate on a schedule for each dorm, which was developed by Ms. Wheat. Items are refilled weekly, bi-weekly or monthly. 7. Interviews with ALL noted staff in this provision reflected that they are knowledgeable of the requirements in this provision. Lt. Young tracks grievances, along with Lt. Coleman, to look for any issues being raised by inmates, to include hygiene supplies. 8. Staff and inmate focus groups were knowledgeable about this provision and the Monitor only received one complaint from inmates, which was that the current soap "wears out too quickly." 9. Monitor visited the inmate laundry on compliance visit. Monitor discussed the issuance to all inmates of clothing with the Laundry Supervisor, Ms. Garner. Monitor examined the typical uniforms, sleepwear, underwear and linens distributed to inmates. Ms. Garner keeps a spreadsheet that tracks clothing issued to each inmate. Each inmate has her clothes marked with her number. Ms. Garner maintains a Clothing Issue card on each inmate. 10. Monitor reviewed inmate grievances and none were noted about clothing or hygiene items as of the time of compliance visit. 11. CO Wheat keeps each inmate request for more supplies or replacements and she scans the request into the inmate’s file. 12. On the baseline visit, Monitor visited every bathroom in the institution and annex. Monitor observed large boxes of tampons and separate large boxes for pads in each bathroom.

III.A.3

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MONITOR’S DISCUSSION: EXTENT TO WHICH ADOC AND TUTWILER HAVE COMPLIED WITH THE AGREEMENT

DATE: 1/17/2016

Monitor evaluates extent of compliance by 1) interviews as noted, 2) review of documents, as noted, and 3) baseline and compliance visits.

1. Tutwiler SOP 15-28 was implemented after the May 28, 2015 settlement agreement was finalized. An initial directive from Commissioner Williams in August 2014 regarding issuance of hygiene supplies was the result of collaborative efforts between the Moss Group, ADOC research and information from the National Resource Center on Justice Involved Women. This initial procedure was fully Implemented on December 4, 2014. This policy met the requirements of this provision.

2. Monitor confirmed their compliance by observations of all bathrooms, interviews with inmates, informal focus group, staff focus groups and CO Wheat and Tutwiler Management team

3. Physical evidence of ordering supplies and warehouse inventory.

4. Visit to laundry and examination of inmate clothing and linens.

MONITOR’S RECOMMENDATIONS: (for at least the next 6 months)
1. Continue to track issuance of supplies on the scheduled basis. 2. Track inmate grievances and any that involve hygiene supplies should be copied and shared with CO Wheat. 3. Lt. Coleman should continue to work with Laundry Supervisor on the issuance of appropriate sizes of clothing to the women
and the condition of clothing items like tee shirts and sleeping wear. 4. Monitor will review these recommendations during June 2016 compliance visit

DATE DUE:
1. Ongoing 2. Ongoing 3. Ongoing
4.Ongoing

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Page 17 of 226

GENERAL POLICIES AND PROCEDURES

III.A. ADOC and Tutwiler shall DEVELOP and IMPLEMENT gender-responsive policies, procedures and practices to ensure that inmates at Tutwiler are protected

from harm due to sexual abuse and harassment

Policy

Develop Implement

Policy Policy

4. Shall develop and implement policies and procedures that incorporate gender-responsive strategies,

7-8

February February

including policies and procedures governing the use of force against women inmates and discipline of women III.A.4

28, 2016 28, 2016

inmates

Policy

Staff Trained

Policy

REQUIREMENTS

Developed

Implemented

Governing use of force against women inmates

Y N N/A Y N N/A

Governing discipline of women inmates

Y N N/A Y N N/A

Other policies: ADOC has identified 36 policies , in addition to use of force and inmate disciplinary, And Y N N/A Y N N/A "Standard Operating Procedures" ( SOP) for inclusion of gender responsive principles , as required by this provision. These policies are specified in the box for "monitor's discussion of steps taken by ADOC and Tutwiler"

Y N N/A Y N N/A Y N N/A

MONITOR’S MEASURES OF COMPLIANCE
GOVERNING use of force a. Policy and Tutwiler SOP for use of force on inmates. b. Curriculum used to train Tutwiler staff to implement gender responsive use of force procedures. c. Roster or documented training for security staff in use of force. d. Copies or review on site use of force documents and video demonstrating gender responsive use of force procedures. e. Interviews with Warden, Capt. McClain, Lt. Young, shift captains, video camera operators, Dr. Williams, DOC PREA Director, Lt. Coleman. f. Interview with Andie Moss to verify the policy is gender responsive per national standards.
GOVERNING discipline of women inmates a. Policy and SOP for comprehensive discipline system adapted for use at Tutwiler
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Page 18 of 226

b. Curriculum for staff training for applying these procedures c. Review of random completed disciplinaries on inmates from time of implementation of new procedures d. Review of segregation records (assignments, why, how long) since new discipline system implemented e. Interview with Warden, Capt. McClain, Lt. Young, disciplinary hearing officer, individual responsible for hearing disciplinary appeals, Dr. Williams f. Interview with Andie Moss. g. Focus groups with staff and inmates.
Monitor will review each Tutwiler SOP under current review/ revision for gender responsive principles. Currently, Commissioner Williams reports there are 17 in process. They are listed on the spreadsheet developed by Dr. Williams.

Documents

STEPS TAKEN BY MONITOR TO ANALYZE CONDITIONS AND ASSESS COMPLIANCE, AND FACTUAL BASIS FOR MONITOR’S FINDINGS

(for each member of monitoring team)

Interviews

On-site/Observations / Other

1. ADOC 454 and Tutwiler Sop 8-12 2. Gender Responsive curriculum, developed by the Moss Group. Moss Group used this curriculum to train Tutwiler Master Trainers and all staff have been trained. This curriculum was developed with a number of best practice policies at the NRCJIW (National Resource Center for Justice involved Women). In addition, the National Institute of Corrections provided technical assistance to Alabama through Dr. Marilyn Van Dieten for the development of a gender responsive policy for ADOC in September 2014. 3. Deputy Commissioner Williams developed a comprehensive spreadsheet to track every phase of policy development, review and final implementation. This spreadsheet details the SOPs in development, revision or review that will reflect gender responsive principles. Approximately 17 of these draft policies/ procedures are in progress 4. Tutwiler maintains a log for inmate disciplinaries and sanctions imposed since May 30-current time. Captain Sharon Rogers maintains this log and it is reviewed routinely by Warden Barrett and Warden I Wright at Tutwiler. Monitor reviewed this detailed comprehensive log.
III.A.4

1. Deputy Commissioner Williams 2. Warden Barrett 3. Ms. Christy Vincent, ADOC PREA Director 4. Captain McClain 5. Lt. Young 6. Andie Moss, the Moss Group

None

Not applicable

Case 2:15-cv-00368-MHT-TFM Document 16-2 Filed 02/26/16 Page 19 of 226
UNRESOLVED/PARTIALLY RESOLVED ISSUES FROM PREVIOUS TOUR

Page 19 of 226

MONITOR’S FINDINGS: Substantial Compliance Partial Compliance Non-compliance n/a monitor granted an extension until 5/28/16

DATE: 2/15/16

III.A.4

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Page 20 of 226

MONITOR’S DISCUSSION: STEPS TAKEN BY ADOC AND TUTWILER TOWARDS IMPLEMENTATION

DATE: 1/17/2016

Monitor will evaluate steps taken by ADOC and Tutwiler by 1) interviews, as noted 2) review of documents, as noted, and 3) baseline and compliance visits.

1. ADOC AR 454 and Tutwiler SOP 8-12 require the development and implementation of a number of policies at Tutwiler for full implementation of the PREA standards and the settlement. This provision specifically requires that the policies developed or revised, be gender responsive in the areas of 1) use of force for female inmates and 2) discipline of the female inmates. ADOC has identified currently 17 such draft policies and the Monitor agrees with these selections. It is understood that ADOC will continue to identify policies that are subject to this provision. 2. ADOC created a process/spreadsheet to track policies in the development and eventual implementation process. This is a excellent document that provides information for all parties about the status of various policies, as required by the settlement. Monitor has this spreadsheet available to assist in reviewing submitted policies. 3. ADOC asked The Moss Group to submit draft policies to designated expert consultants in the field of policy for inclusion of gender responsive principles. In addition, ADOC requested the Moss group use the resources available through the "National Resource Center for Justice Involved Women" . The monitor believes this is a good process for a national "best practices" review of Tutwiler policies before final approval and implementation. The monitor and DOJ will review these policies and give feedback to ADOC. 4. The initial work at Tutwiler for gender responsive training and strategic planning occurred in July 2014 and was funded through a grant from the National Institute of Corrections. Dr. Marilyn Dieten, a nationally recognized expert in this field, completed an analysis and provided a draft for a Gender Responsive policy in September 2014. This document is currently used by Captain McClain and others at Tutwiler in the initial policy development process. ADOC states that it is their intention that the Moss Group will assist in developing an AR for ADOC for use in the agency. 5. ADOC will utilize reviews by national experts with experience in gender responsive "Use of Force and Inmate Disciplinary " policies for guidelines in their development of revising these two current ADOC policies. Monitor notes that these revisions can have significant agency-wide impact on ADOC, and its similar policies currently in practice across the agency, not only on Tutwiler. The process for development of a gender based disciplinary system will be an extensive, lengthy total process. 6. Regarding the current Tutwiler use of force incidents, they are all reviewed by the Warden and the Deputy Commissioner for Women's Services. The current UOF policy was issued on May 13, 2015. 7. Tutwiler implemented a process for a continuous review of disciplinary charges and sanctions for inmates. Captain Sharon Rogers completes a weekly log of all disciplinary hearings, outcomes of these hearings and final approved sanctions for inmates. Warden Barrett and Warden I Gwendolyn Tarrance both review these logs weekly. The monitor reviewed the logs from June 1- November 13, 2015. There is specific information captured on each incident; date, location of incident, charging staff, rule violation and circumstances and the hearing date, findings and sanctions . The final approval of sanctions is by Warden II Tarrance. The monitor will review specific data from these logs in next compliance review after the data collection process has been initiated. The logs have enough information that trends can be tracked. 8. ADOC has asked the Moss Group to develop a "Gender Responsive Discipline. And Sanctions policy" for Tutwiler, incorporating the work of the NRCJIW, titled "'Gender Responsive Discipline and Sanctions Policy Guide for Women's Facilities". Monitor was a participant in some of the expert feedback for the development of this guide. 9. Other SOPs under revision to incorporate gender-responsive strategies include: • All Post Orders

III.A.4

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Page 21 of 226

• Gender Specific Posts (5-23) • Referrals to Mental Health Services (6-2) • Reception Mental Health Screening (6-4) • Crisis Intervention (6-6) • Mental Health Watch Procedures (6-9) • Closed Residential Treatment Units (6-11) • Mental Health Unit Dormitory H Stabilization (6-12_ • Mental Health Dormitory H Religious Services (6-14) • Incentives for Residential Treatment Unit Inmates (6-15) • Institutional Security, Sanitation, & Security Control (7-3) • Use of Electronic Restraining Equipment (7-6) • Search of Inmates (7-7) • Inmate Count Procedures (7-9) • Emergency Medical Treatment (7-10) • Inmate Hunger Strikes (7-11) • Pregnant Inmates / Placement of Infants / Death of Inmates and / or Inmate Mothers (7-14) • Crisis Messages (7-16) • Security Threat Groups (7-17) • Inmate Visitation Privileges, Denial, and Suspension (7-19) • Staff / Inmate Relationships (7-29) • Reception and Orientation (7-20) • Inmate Transport (8-3) • Sexual Abuse and Harassment – PREA (8-12) • Inmate Personal Property (8-14)

MONITOR’S DISCUSSION: EXTENT TO WHICH ADOC AND TUTWILER HAVE COMPLIED WITH THE AGREEMENT

DATE: 1/17/2016

Monitor will evaluate ADOC and Tutwiler compliance by 1) interviews, as noted 2) review of documents, as noted, and 3) baseline and compliance visits.

1. ADOC has developed an excellent process for required policy development, review and implementation. This process includes specific review for gender responsive principles. ADOC provides an updated spreadsheet for all parties to track these policies.

2. ADOC has indicated that they will request a three month extension of this provision from the Monitor. All parties were made aware of this future request during the compliance visit.

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Page 22 of 226

MONITOR’S RECOMMENDATIONS: (for at least the next 6 months)

DATE DUE:

1. Continue the current process of policy review by the Moss Group and various national experts for more gender responsive principles. ADOC needs to request an updated schedule for these reviews routinely so they can keep all parties knowledgeable of the timeframes.
2. ADOC needs to begin tracking specific data from the inmate disciplinary logs. This data should include at a minimum : a. Identification and position of charging staffb. Types of charges c. Location of offenses d. Number of types of sanctions imposed-how often are visiting privileges suspended-how often does disciplinary segregation get imposed, etc. e. Inmates demographics-race, age, housing would be good
3. ADOC will begin reporting data, per IV. D. 2. ii. 3 in May 2016 for Use of Force.

1. Ongoing 2. Report data in
May, 2016
3. May, 2016

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Page 23 of 226

GENERAL POLICIES AND PROCEDURES

III.A. ADOC and Tutwiler shall DEVELOP and IMPLEMENT gender-responsive policies, procedures and practices to ensure that inmates at Tutwiler are protected

from harm due to sexual abuse and harassment

Policy

Develop Implement

Policy Policy

5. Shall continue to develop, submit to the Monitor and DOJ for review consistent with III.A.6, and

May 28, May 28,

implement facility-specific policies and operational practices specific to Tutwiler’s population regarding the III.A.5

2015

2015

supervision and monitoring necessary to prevent inmates from being exposed to unreasonable risk of

AND

AND

harm from sexual abuse and harassment.

February February

28, 2016 28, 2016

Policy

Staff Trained Policy

REQUIREMENTS

Developed

Implemented

Specific to Tutwiler’s population;

Y N N/A Y N N/A

Y N N/A

Post orders for first-line supervision of corrections staff for each housing unit in accordance with the operational practices developed;

Y N N/A Y N N/A

Y N N/A

Procedures regarding communication to and from corrections staff assigned to housing units;

Y N N/A Y N N/A

Y N N/A

The continued requirement of supervision by corrections staff assigned to all housing areas and dormitory settings including:
1. Direct supervision of Dorm A, if that unit continues to be used for intake 2. Administration of adequate rounds by corrections staff and security supervisors in all areas of prison,
including dormitories 3. Such rounds shall occur unannounced, at least every hour, inside each general population housing unit 4. Such rounds shall occur at least once every 30-minute period for special management inmates, or more
often if necessary.

Y N N/A Y N N/A
Y N N/A Y N N/A Y N N/A Y N N/A
Y N N/A Y N N/A Y N N/A Y N N/A

Y N N/A
Y N N/A Y N N/A
Y N N/A Y N N/A

Video surveillance may be used to supplement, but must not be used to replace rounds by correctional officers;

Y N N/A Y N N/A

Y N N/A

The continued requirement that intermediate level or higher-level supervisors conduct and document unannounced Y N N/A Y N N/A rounds during both the day and night shifts to identify and deter staff sexual abuse and sexual harassment;
1. Other staff members should not be alerted that these rounds are occurring;

The continued requirement to document all security rounds on forms or logs that do not contain pre-printed rounding times

Y N N/A Y N N/A

Y N N/A Y N N/A

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MONITOR’S MEASURES OF COMPLIANCE
A. SOPs from Tutwiler for direction and implementation of this directive. B. Post orders from Dorm A and another dorm giving COs instructions. C. Methods of communication from dorm to dorm for staff-SOP. D. All documents, logs, reports that capture the required rounds by supervisors-3 months (August-October). E. Documents/logs that show the direct supervision of Dorm A. F. Review video surveillance by direct observation in camera room and interviews with camera staff. G. Focus groups with staff and inmates. H. Dormitory(s) shift logs and any reports created by Lt. Young or shift commanders, that document the required "unannounced rounds" conducted by "intermediate or higher level staff”. The logs should include both shifts, day and night. I. Any monthly reports generated by the Warden, PREA Coordinator or A Warden I that routinely capture the compliance with these unannounced rounds. J. Interviews with PREA and settlement captains, Warden and two shift supervisors.

Documents

STEPS TAKEN BY MONITOR TO ANALYZE CONDITIONS AND ASSESS COMPLIANCE, AND FACTUAL BASIS FOR MONITOR’S FINDINGS

(for each member of monitoring team)

Interviews

On-site/Observations / Other

1. Tutwiler SOP 5.0 Dormitory Security. It was published originally at Tutwiler on July 16, 2015. The Monitor contract was issued in September and this SOP was reviewed by Monitor and DOJ. After receiving comments from Monitor and DOJ, ADOC decided to submit the comments to the Moss group for their review and we await the final ADOC SOP 5.0 product at time of this report. 2. SOP 5.0 drafts have methods of communication between staff supervising these housing areas and supervisors 3. SOP 5.01 specifically describes the direct DORM A supervision requirements for 24/7. Supervision by assigned correctional officers 4. Review of Tutwiler shift duty rosters for all housing units for the months of August, September and October 2015. These rosters show the daily assignment of officers to each housing unit for both A and B day/night rotation of the officers sign in

1. Deputy Commissioner Williams 2. Warden Barrett 3. Captain McClain 4. Lt. Young 5. Lt. Nelson and Lt. Goodson, shift commanders 6. Sergeant Finch, Camera room/ video surveillance supervisor 7. Four staff focus groups 8. Warden I Wright

1. Baseline Monitor tour September 28October 1, 2015. Monitor spent thirty minutes in camera room, as well as touring entire institution 2. Monitor Compliance tour, including specific time in camera room and observations of camera operations.

III.A.5

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and out of their assigned areas. 5. Duty Post logs on September 22, 2015 for every housing area at Tutwiler. The Monitor randomly selected this date. These logs document, by signature and time, the unannounced rounds by shift supervisors and upper management officials at Tutwiler. 6. Notebook maintained by Lt. Young, PREA Coordinator, that contain logs/emails that document the unannounced rounds made by management staff at Tutwiler in housing areas. These staff includes all wardens, PREA Lt., Captain McClain. 7. Tutwiler shift commander PREA check reports for October 2015. They document the exact times the rounds begin and end on each date and the signatures of the shift supervisors. 8. Video camera system policy, logs and camera operations.

Not applicable

UNRESOLVED/PARTIALLY RESOLVED ISSUES FROM PREVIOUS TOUR

Page 25 of 226

III.A.5

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MONITOR’S FINDINGS: Substantial Compliance Partial Compliance Non-compliance n/a monitor granted an extension until 5/28/16

DATE: 2/15/16

MONITOR’S DISCUSSION: STEPS TAKEN BY ADOC AND TUTWILER TOWARDS IMPLEMENTATION

DATE: 1/17/2016

Monitor evaluates steps taken by ADOC and Tutwiler by 1) interviews, as noted; 2) review of documents, as noted, and 3) baseline and compliance visits.

Requirements (summary) Post orders for correctional officer supervision in housing areas Procedures for communication to and from staff in housing areas

1. Tutwiler published and implemented SOP 5.0 on July 16, 2015. This SOP provides the guidance for correctional officer dorm supervision, as required, for each housing area at Tutwiler.

Note: This SOP was implemented prior to the appointment and contract for the settlement Monitor. The Monitor was placed on contract in mid September. Since the Monitor had not had the opportunity to review drafts of these policies, ADOC shared them with the Monitor and DOJ as "drafts" . ADOC received comments from both Monitor and DOJ. Monitor concurred with ADOC decision to ask the Moss Group to review SOP 5.0, along with other policies for any gender responsive issues and /or national standard protocols for similar procedures. The Monitor and DOJ will review the revised "drafts" as soon as received. Currently, Tutwiler operates according to SOP 5.0 and the Monitor evaluates their performance according to these procedures.

2. Tutwiler SOP 5.0 has the required duties and responsibilities for monitoring and supervising the inmates to prevent inmates from being exposed to sexual abuse and sexual harassment. It also contains directives about staff communications between dorms and the facility shift leaders.

3. Interviews with Tutwiler staff reflected that in this provision all were very knowledgeable of the current SOP 5 requirements. The randomly selected staff focus groups also reflected that staff was knowledgeable of their responsibilities regarding supervision.
III.A.5

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4. Monitor observations noted during both visits that staff were assigned to all housing areas and were engaged in managing their responsibilities at that time.
Requirements: • Continued Requirement for supervision by staff, to include unannounced rounds by security supervisors, hourly in each housing unit and every 30 minutes in special management housing. • Direct supervision of Dorm A • Continued Requirement for shift commanders and upper management at Tutwiler to conduct unannounced rounds
1. SOP 5.0 draft includes all the requirements of this section for supervision and unannounced rounds. 2. All Tutwiler staff received training in these procedures in July 2015. 3. Monitor review of Tutwiler duty post logs for September 22, 2015, for EVERY housing area. Monitor saw documentation in the logs of assigned CO actions and the presence of shift supervisors routinely coming into their housing area. 4. Monitor review of Tutwiler shift duty rosters from August-October 2015 revealed the assignment of officers daily, on both rotations, and unannounced rounds being made by shift commanders and upper management at Tutwiler. 5. SOP 5.01 described specific duties for supervising Dorm A on every shift. 6. Lt. Young maintained a notebook, as PREA Coordinator, that contained logs and emails documenting unannounced rounds by shift supervisors and upper management. It was clear to Monitor this provision is and has been followed since the requirement began with the settlement agreement. 7. Staff and inmate focus groups confirmed procedures used in this provision.
Requirements: • Video Surveillance system
1. SOP 5-24 Video Surveillance has been in operation at Tutwiler since November 2014. 2. Monitor observed the operations of the video system on both visits. These observations clearly indicate the usefulness and accuracy of using video review for determining if rounds are being made, and by whom, in the housing areas. It is NOT the primary method of documenting dorm rounds.

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MONITOR’S DISCUSSION: EXTENT TO WHICH ADOC AND TUTWILER HAVE COMPLIED WITH THE AGREEMENT

DATE: 1/17/2016

Monitor evaluates ADOC and Tutwiler compliance by 1) interviews, as noted 2) review of documents, as noted, and 3) baseline and compliance visits.

1. Tutwiler implemented SOP 5.0 in July 2015 and staff was trained to observe and perform duties outlined in the procedures. 2. Numerous documents, as noted, demonstrate that unannounced rounds are being conducted per this provision. 3. Shift assignment rosters demonstrate the assignment of officers to all housing areas 24-7, including Dorm A. 4. Implementation of excellent video surveillance system that is being used frequently in compliance for various PREA issues. 5. Baseline visit of every housing area and informal questions to supervising officers indicated their knowledge of their responsibilities as required by this provision. 6. Staff and inmate focus groups confirmed these practices.

MONITOR’S RECOMMENDATIONS: (for at least the next 6 months) 1. Implement any revisions to SOP 5.0 currently in use at Tutwiler. 2. Train staff on any revisions made to SOP 5.0 that differs from content of draft policy. 3. Staff making unannounced rounds SHOULD sign their name or initials on the dorm activity log themselves. In the review of these logs, during compliance visit, Monitor noted to Tutwiler Warden that several entries of shift commander rounds had been noted in the log by the assigned CO. 4. Staff making unannounced rounds should attempt to routinely engage the supervising officer on each roundenhancing communication between CO and upper management. 5. Continue data collection IT development process for the Risk Management system in IV. D. 6. Several portions of Section IV.D – Risk Management System, are contained in SOP 5-0 and subsequent Post Orders, and will be monitored to track staff adherence. Data will be aggregated every six months as required by the Agreement. Those sections include, but are not limited to: 1) staff presence in the shower and toilet areas of the bathroom; 2) staff located in areas other than their assigned posts; 3) violation of privacy rights of inmates by entering the shower and toilet areas; and 4) using sexual explicit, vulgar, degrading, or racially insensitive or offensive language on a frequent or repeated basis.

DATE DUE: 1. Upon final approval of revised SOP 5.0 by ADOC 2. As needed 3. Immediate
4. Immediate
5. Ongoing 6. May, 2016

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CAMERA MANAGEMENT

III.B. The ADOC has implemented a state-of-the-art camera system at Tutwiler, and contracted with an expert who has conducted a review of the ADOC’s

Camera Plan, including a review of each camera’s placement. As a result of that review, cameras are strategically placed to maximize supervision while

protecting privacy. Policies directing the appropriate use of cameras and periodic staff training to ensure sustainability and effective operation of the camera

system will remain as standard operational practice.

Policy

Develop Implement

Policy Policy

1. Camera management policies and procedures will remain in effect at Tutwiler

III.B.1

May 28, May 28,

2015 2015

Policy

Staff Trained

Policy

REQUIREMENTS

Developed

Implemented

Camera management policies

Y N N/A Y N N/A

Y N N/A

Camera management procedures

Y N N/A Y N N/A

Y N N/A

MONITOR’S MEASURES OF COMPLIANCE

A. Policy and SOPs for their Video Surveillance. B. Direct observation of cameras in video room. C. Interviews with video supervisor and operators. D. Background experience, race and sex of camera operators. E. Incident reports in last six months that "captured" a PREA violation on surveillance. F. Monthly maintenance checklists for last three months. G. Training schedule for operators. H. Incident reports on "serious, suspicious and unusual incidents” that were completed in last three months. F. Staff roster for two months showing 24 hour posting. G. Interviews with Captain overseeing program and Warden. H. Documents regarding any changes to camera policy.

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Page 30 of 226

Documents

STEPS TAKEN BY MONITOR TO ANALYZE CONDITIONS AND ASSESS COMPLIANCE, AND FACTUAL BASIS FOR MONITOR’S FINDINGS

(for each member of monitoring team)

Interviews

On-site/Observations / Other

1. Tutwiler SOP 5-24 (formerly 5-33) Video surveillance (published 11/20/14).
2. Staff Training provided by Moss Group in July 2014. System was launched August, 2014.
3. Background and experience of all current operators.
4. Monthly maintenance records for camera system, November, 2015.
5. Incident reports from June-November, 2015 that related to a PREA related issue/violation. Reviewed.
6. Staff rosters for months of August – October, 2015 showing 24 hour staffing.
7. Logs kept in the camera room that document requests to view footage.

1. Dr. Wendy Williams 2. Warden Barrett 3. Captain McClain 4. Lt. Young (PREA) 5. Lt. Coleman (Grievances) 6. Shift Commanders: Lt. Goodson, Lt.
Nelson 7. Sergeant Finch (camera room
supervisor) 8. Camera room operators on 12/1/15. 9. Andie Moss, the Moss Group 10. Staff and Inmate focus groups 11. Internal Affairs – Kelley Smith

Monitor toured Tutwiler on September 29, 2015. At that time, Monitor went into camera room and received detailed explanation of all cameras. Monitor asked to see the cameras that had ‘camera blocks’ for privacy. Monitor observed all of these and was satisfied they were effective. Sergeant Finch was present and answered all Monitor’s questions about 24 hour staffing, daily and monthly maintenance, qualifications of the camera operators, and the working relationship of Tutwiler and the camera vendor for troubleshooting.
Monitor revisited the camera room on December 1, 2015, during compliance visit. Monitor talked to Sergeant Finch about the annual review that was conducted on that specific morning. Sergeant Finch made several suggestions for slight alterations of camera angles and expects that they will be implemented by mid-February 2016.

III.B.1

Not applicable

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UNRESOLVED/PARTIALLY RESOLVED ISSUES FROM PREVIOUS TOUR

Page 31 of 226

MONITOR’S FINDINGS: Substantial Compliance Partial Compliance Non-compliance n/a no assessment due until __________

DATE: 2/15/16

III.B.1

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MONITOR’S DISCUSSION: STEPS TAKEN BY ADOC AND TUTWILER TOWARDS IMPLEMENTATION

DATE: 1/17/2016

Monitor will evaluate steps taken by ADOC and Tutwiler by 1) interviews, as noted, 2) review of documents, as noted, and 3) baseline and compliance visits.

Requirements (summary) 1. Camera management policies 2. Camera management procedures

1. ADOC AR 454 - PREA compliance policy and procedures. 2. Tutwiler SOP 5-24 Video Surveillance. It was published 11/20/14. 3. Moss Group provided staff training in July 2014 and the system was implemented in August 2014. 4. Monitor reviewed the resume of each employee selected to work in the camera room and found them experienced in the requirements for this position. It is noted that ADOC specifically recruited staff who have a background in camera monitoring and working in law enforcement. 5. Monitor reviewed Tutwiler maintenance records for November 2015 for the camera system. 6. Monitor reviewed the camera room work rosters from June-November 2015 to verify the 24 hour staffing. 7. Monitor reviewed the logs maintained in the camera room that document various requests to view and use camera footage in investigations, and grievance responses. 8. Monitor reviewed Tutwiler incident reports that documented any PREA allegation from June-November to review the use of the camera system in the incident investigations. Monitor observed that these investigations routinely use the review of camera footage in investigations where the footage can be of evidentiary value 9. Monitor reviewed all grievances submitted at Tutwiler from September-November and saw that Lt. Coleman used the footage to assist him in responding to some of the grievances. 10. Monitor interviewed Ms. Kelley Smith, ADOC Investigator, regarding her process for conducting PREA investigations. Ms. Smith stated she always used a review of camera footage during her Tutwiler PREA investigations.

MONITOR’S DISCUSSION: EXTENT TO WHICH ADOC AND TUTWILER HAVE COMPLIED WITH THE AGREEMENT

DATE: 1/17/2016

Monitor will evaluate ADOC and Tutwiler compliance by 1) interviews, as noted 2) review of documents, as noted, and 3) baseline and compliance visits.

1. Tutwiler SOP 5-24 -Video Surveillance. Implemented in August 2014.

2. Monitor baseline and compliance visits involved spending time in the camera room. Monitor observed the effective operation of the system. Monitor interviewed Sgt. Finch, system supervisor, on both occasions and the staff working. Monitor found staff knowledgeable of the purpose, operations and rules regarding the use of the video system.

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3. Monitor review of rosters of staff indicate the system is operating 24/7, 365 days a year at Tutwiler. 4. On the compliance visit, the annual review had just been conducted on 12/01/15. It was a good review.

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MONITOR’S RECOMMENDATIONS: (for at least the next 6 months)
1. Annual review of camera operations

DATE DUE:
1. December, 2016

III.B.1

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CAMERA MANAGEMENT

III.B. The ADOC has implemented a state-of-the-art camera system at Tutwiler, and contracted with an expert who has conducted a review of the ADOC’s

Camera Plan, including a review of each camera’s placement. As a result of that review, cameras are strategically placed to maximize supervision while

protecting privacy. Policies directing the appropriate use of cameras and periodic staff training to ensure sustainability and effective operation of the camera

system will remain as standard operational practice.

Policy

Develop Implement

Policy

Policy

2. Camera management policies and procedures, including the locations where cameras have been placed,

will be reviewed at least annually to ensure they are serving their goal of maximum supervision.

III.B.2

May 28, May 28,

2015

2016

REQUIREMENTS Ensure that cameras are serving their goal of maximum supervision.
To the extent that any changes to the Camera Management policies and procedures, or to a camera location, need to be made they will be made within 30 days of the completion of the annual review.
If a change cannot be made within 30 days, the reason for exceeding 30 days will be documented.

Policy Developed

Staff Trained

Policy Implemented

Y N N/A Y N N/A Y N N/A

Y N N/A Y N N/A Y N N/A

Y N N/A Y N N/A Y N N/A

MONITOR’S MEASURES OF COMPLIANCE
1. Schedule for annual reviews, to include the December 2015 review. 2. Written report of annual review. 3. Documentation that changes recommended by annual review have been completed within 30 days of the review. 4. Monitor will review PREA incident reports, inmate grievance investigations and PREA investigations conducted by ADOC Division of Investigations and Intelligence. These reviews will determine if the video surveillance system is being used appropriately, consistent with the requirement to provide maximum supervision.

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Documents

STEPS TAKEN BY MONITOR TO ANALYZE CONDITIONS AND ASSESS COMPLIANCE, AND FACTUAL BASIS FOR MONITOR’S FINDINGS

(for each member of monitoring team)

Interviews

On-site/Observations / Other

1. Settlement Agreement III, B. 1. 2. Tutwiler SOP 5-24 (formerly 5-33) Video
surveillance (published 11/20/14). 3. Staff Training provided by Moss Group in July
2014. System was launched August, 2014. 4. Background and experience of all current
operators. 5. Monthly maintenance records for camera
system, November, 2015. 6. Incident reports from June-November, 2015 that
related to a PREA related issue/violation. 7. Staff rosters for months of August–October,
2015 showing 24 hour staffing. 8. Logs kept in camera room that document
requests to view footage. 9. Annual review conducted on 12/3/2015. 10. Review of Tutwiler PREA investigations, inmate
grievance investigations to determine if the video system footage was used to complete investigations. 11. Review of ADOC Division of I+I PREA investigations at Tutwiler that used the camera footage in investigations. 12. Report from December 3, 2015 annual review.

All conducted week of 12/1-4, 2015 1. Dr. Wendy Williams 2. Warden Barrett 3. Captain McClain 4. Lt. Young (PREA) 5. Lt. Coleman (Grievances) 6. Shift Commanders: Lt. Goodson, Lt. Nelson 7. Sergeant Finch (camera room supervisory) 8. Camera room operators on 12/1/15. 9. Andie Moss, of the Moss Group 10. Staff and Inmate focus groups Internal Affairs – Kelley Smith

Monitor toured Tutwiler on September 29, 2015. At that time, Monitor went into the camera room and received a detailed explanation of all cameras and their operation. Monitor also asked to see the cameras that had ‘camera blocks’ for privacy. Monitor observed all of these and was satisfied the camera operations were effective, and included appropriate privacy blocks. Sergeant Finch was present and answered all Monitor’s questions about 24 hour staffing, daily and monthly maintenance, qualifications of the camera operators, and the working relationship of Tutwiler and the camera vendor for troubleshooting.
Monitor revisited the camera room on December 1, 2015 during compliance visit. Monitor talked to Sergeant Finch about the annual review that was conducted on that specific morning. Sergeant Finch made several suggestions for slight alterations of camera angles and expects that they will be implemented by 12/7/15.
Monitor asked almost all staff interviewed at Tutwiler about the acceptance of the camera system and its value. Every employee interviewed was 100% supportive of the value of the video surveillance. The four staff focus groups and one inmate focus group were all supportive of the camera system.

III.B.2

In Monitor’s interview with Lt. Coleman, who manages

Not applicable

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the grievance system, he stated he routinely uses camera footage to resolve issues related to grievances.
Monitor interviewed Lt. Young about her initial actions taken regarding PREA allegations. She routinely reviews camera footage in her process.
Monitor interviewed ADOC Internal Affairs Investigator, Kelley Smith. She stated she routinely reviews oncamera footage in her PREA investigations.
UNRESOLVED/PARTIALLY RESOLVED ISSUES FROM PREVIOUS TOUR

MONITOR’S FINDINGS: Substantial Compliance Partial Compliance Non-compliance n/a no assessment due until __________
III.B.2

DATE: 2/15/16

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MONITOR’S DISCUSSION: STEPS TAKEN BY ADOC AND TUTWILER TOWARDS IMPLEMENTATION

DATE: 1/17/2016

Monitor will evaluate steps taken by ADOC and Tutwiler by 1) interviews, as noted, 2) review of documents, as noted, and 3) baseline and compliance visits.

Requirements (summary) 1. Camera management policies 2. Camera management procedures

1. ADOC AR 454 and Tutwiler SOP 8-12- PREA compliance policy and procedures. 2. Tutwiler SOP 5-24 Video Surveillance. It was published 11/20/14. 3. Moss Group provided staff training in July 2014 and the system was implemented in August 2014. 4. Monitor reviewed the resume of each employee selected to work in the camera room and found them experienced in the requirements for this position. It is noted that ADOC specifically recruited staff who have a background in camera monitoring and working in law enforcement. 5. Monitor visited camera room on the afternoon after the annual review. The review found all cameras working, maintenance records appropriately maintained, logs maintained for visitors who enter camera room and requests for any review of specific camera footage. Sgt. Finch stated he made a few recommendations for angle changes to some cameras. Monitor was notified that the warden requested the vendor make these changes to be made as soon as possible. This request comes AFTER ADOC signed a contractual maintenance agreement with the installation vendor in January 2016. The monitor has observed the camera operations on both visits. There is excellent coverage by the cameras of the important inmate areas at Tutwiler, while still respecting personal privacy boundaries. Monitor observed the use of the "privacy screens" in camera operations and found them adequate and acceptable. 6. Monitor reviewed the camera room work rosters from June-November 2015 to verify the 24 hour staffing. 7. Monitor reviewed the logs maintained in the camera room that document various requests to view and use camera footage in investigations, grievance responses. 8. Monitor reviewed Tutwiler incident reports that document any PREA allegation from June -November to observe the use of the camera system in the investigations. Monitor observed that these investigations routinely use the review of camera footage in investigations where the footage can be evidential 9. Monitor reviewed all grievances submitted at Tutwiler from September-November and saw that Lt. Coleman used the footage to assist him in responding to some of the grievances. 10. Monitor interviewed Ms. Kelley Smith, ADOC Investigator, regarding her process for conducting PREA investigations. Ms. Smith stated she always used a review of camera footage during her Tutwiler PREA investigations. During the interview, monitor discussed one specific case at Tutwiler. Ms. Smith discussed her investigatory protocol: she reviews any videotape for the location of an "incident" if applicable, at the beginning of any of her investigations onsite at Tutwiler. She takes a copy of the video footage to a private area and views it as long as she feels is necessary. She uses the knowledge gained as important information guiding her selection of witnesses for interviews and actual interview of the inmate. Ms. Smith and Director Mercado both stated the camera system was a critical investigative tool at Tutwiler.

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MONITOR’S DISCUSSION: EXTENT TO WHICH ADOC AND TUTWILER HAVE COMPLIED WITH THE AGREEMENT

DATE: 1/17/2016

Monitor will evaluate ADOC and Tutwiler compliance by 1) interviews, as noted, 2) review of documents, as noted, and 3) baseline and compliance visits. 1. Tutwiler SOP 5-24 -Video Surveillance. Implemented in August 2014. 2. Monitor baseline and compliance visits involved spending time in the camera room. Monitor observed the effective operation of the system. Monitor interviewed Sgt. Finch, system supervisor, on both occasions and the staff working. Monitor found staff knowledgeable of the purpose, operations and rules regarding the use of the video system. 3. Monitor review of rosters of staff indicate the system is operating 24/7, 365 days a year at Tutwiler. 4. On the compliance visit, the annual review had just been conducted on 12/01/15. It was a good review.
5. Monitor and DOJ recently (January 28, 2016) reviewed two investigations, #'s 16-0088 and 15-5157 that used the video footage for significant investigative
evidence regarding the allegations.

MONITOR’S RECOMMENDATIONS: (for at least the next 6 months)
1. Continue process for annual reviews date. 2. Continue to utilize the camera footage for various investigative assistance to Tutwiler and ADOC I+I Division.

DATE DUE:
1. December, 2016 2. Ongoing

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STAFFING

III.C In order to address low staffing levels and the need for more women officers, ADOC and Tutwiler shall ensure that correctional staffing and supervision is

sufficient to adequately supervise inmates and staff and allow for the safe operation of Tutwiler.

Policy

Develop Implement

Policy Policy

1. (i) ADOC and Tutwiler shall continue to develop, submit to the monitor and DOJ to assess for

ADOC? May 28,

compliance with this agreement and implement its plan to recruit women correctional officers at

III.C.1

2015

Tutwiler

AND

November

28, 2015

Policy

Staff Trained

Policy

REQUIREMENTS

Developed

Implemented

Continue to work with the Alabama Peace Officer Standards and Training Commission (APOSTC) in screening, selecting, or hiring applicants for the entry-level corrections officer positions until such standards, or any other physical test employed, are:
1. validated for a corrections environment; and 2. examined for the necessity of gender-norming certain components.

Y N N/A Y N N/A
Y N N/A Y N N/A Y N N/A Y N N/A

Y N N/A
Y N N/A Y N N/A

Continue to conduct physical fitness assessments on all correctional office trainees, to include the provision of training recommendations to meet APOSTC physical training requirements.

Y N N/A Y N N/A

Y N N/A

Examine workplace practices such as mandatory overtime and shift length to assess whether any of those practices may negatively impact hiring and retaining women candidates.

Y N N/A Y N N/A

Y N N/A

Continue the practice of allowing officers from other ADOC facilities to serve overtime or otherwise be Y N N/A temporarily assigned at Tutwiler only after those officers have been trained as required by this agreement.

Y N N/A

Y N N/A

By November 28, 2015 and every six months thereafter, provide to the Monitor and DOJ the numbers of men and women who have taken any required entry-level physical examintion(s) and the results of any such tests broken down by gender for each test administration.

Y N N/A

Y N N/A

Y N N/A

ADOC shall continue to employ an upper-level, Department-wide PREA Director with sufficient time and authority to develop, implement, and oversee its efforts to comply with the PREA standards at Tutwiler and all of its facilities.

Y N N/A Y N N/A

Y N N/A

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Designate a full-time (40 hours/week) PREA Compliance Manager who: 1. Has no other duties within ADOC or Tutwiler and who is assigned to oversee PREA compliance at Tutwiler. 2. Works closely with the PREA Compliance Managers at Montgomery Women’s Facility and Birmingham Work Release for consistency in women’s services. 3. Monitors any other facility that is built to house women inmates on PREA-related matters. 4. Has sufficient authority to coordinate Tutwiler’s efforts to comply with the PREA standards.

Y N N/A

Y N N/A

ADOC and Tutwiler shall ensure that Tutwiler’s PREA Compliance Manager reports directly to the Warden or the Department-wide PREA Coordinator.

Y N N/A Y N N/A

Develop, in policy, a job description for Tutwiler’s PREA Compliance Manager with expected responsibilities and submit the policy to the Monitor and DOJ for review.
Provide training to the Tutwiler PREA Compliance Manager necessary to fulfill his or her duties.
Document the Tutwiler PREA Compliance Manager’s activities.

Y N N/A Y N N/A

Y N N/A Y N N/A

Y N N/A Y N N/A

Y N N/A
Y N N/A Y N N/A Y N N/A Y N N/A

MONITOR’S MEASURES OF COMPLIANCE

A. Documentation of work by ADOC with the Alabama Peace Officers Standards and Training Commission on efforts to hire applicants. B. Six months of DOC HR personnel actions at Tutwiler. C. Interview of appropriate central office manager who is directly involved in these efforts. D. Interviews with Commissioner, Dr. Williams and Training Director, if applicable. E. Documents regarding the procedures currently utilized for the physical fitness assessments of new applicants and the curriculum used. F. Three (3) months of staff assignment rosters at Tutwiler-highlighting the staff working that are on overtime status. Documents showing their PREA training. G. Interview of at least two of these staff working during my visit. H. Documents establishing their PREA training; signature pages are sufficient. I. Plans for the required every six months report of test results of physical exams by gender. J. Job description of DOC PREA Director. K. Interviews with DOC PREA Coordinator and Dr. Williams. L. Job description of Tutwiler PREA Compliance Manager.
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K. Interview with facility PREA Compliance Manager, including discussion of job duties relative to Tutwiler, Montgomery+Birmingham facilities and production of any work documents she created/that were created to assist her in her daily responsibilities, such as checklists, etc. L. Documents that capture her monthly duties, including monthly reports to Wardens, Dr. Williams. M. Interviews with Warden Barrett, Captain McClain.

Documents

STEPS TAKEN BY MONITOR TO ANALYZE CONDITIONS AND ASSESS COMPLIANCE, AND FACTUAL BASIS FOR MONITOR’S FINDINGS

(for each member of monitoring team)

Interviews

On-site/Observations / Other

1. Sample Staffing report for all female facilities. It indicated women represented 69 percent of the total security staff at Tutwiler. 2. Roster showing all staff positions at Tutwiler, by numbers of positions and classification. 3. Tutwiler SOP 15-25 Staffing plan. NOTE: It is currently under review. 4. ADOC Trainee Physical Fitness contract agreement. It describes APOSTC standards. 5. Correctional Officer Trainee PT Short Term Goal Assessment results for all new officers for August, September and October 2015. These charts document the pre-academy physical training (requirement for DOC testing physical fitness of new recruits). 6. DOC personnel records of staff movements, including separations at Tutwiler for six (6) months. 7. Tutwiler staff rosters for three (3) months that designate officers who are in overtime status. Documentation of their PREA training. 8. Job duties for Tutwiler PREA Compliance Manager, currently Lt. Young. 9. Job duties for ADOC PREA Director. 10. Calendar of ADOC recruiting events across the state, JanuaryNovember 2015. 12. List of training completed by Tutwiler PREA Compliance Manager (interview and Moss Group sponsored training).

1. Deputy Commissioner Williams 2. Tutwiler Warden Barrett 3. Captain McClain 4. Lt. Young 5. Four staff focus groups 6. ADOC Personnel Director Bill Lawley 7. ADOC Deputy Commissioner Matt Brand, Training and Development 8. Captain Mark Loman-Recruitment Specialist for ADOC 9. ADOC PREA Director, Christy Vincent 10. ADOC Commissioner Dunn

1. Monitor Baseline tour 2. Monitor Compliance tour 3. Staff interviews

III.C.1

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UNRESOLVED/PARTIALLY RESOLVED ISSUES FROM PREVIOUS TOUR

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MONITOR’S FINDINGS: Substantial Compliance Partial Compliance Non-compliance n/a no assessment due until __________
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DATE: 2/15/16

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MONITOR’S DISCUSSION: STEPS TAKEN BY ADOC AND TUTWILER TOWARDS IMPLEMENTATION

DATE: 1/17/2016

Monitor evaluates steps taken by ADOC and Tutwiler in 1) interviews as noted, 2) review of documents, as noted, and 3) baseline and compliance tours.

Requirements (summary) 1. Continue work with Alabama Peace Officers Standards and Training Commission (hereafter “APOSTC”) on screening, selecting, hiring CO applicants _____________________ 1. ADOC Commissioner Dunn appointed Mr. Matthew Brand as Deputy Commissioner for Training and Development in September 2015. He is a retired Air Force Colonel who worked extensively in training and education and standards for staff. The Commissioner asked Mr. Brand to review, assess the current physical fitness standards for male and female staff recruits and the APOSTC fitness standards. In his interviews, Mr. Brand was familiar with this provision of the settlement and his responsibilities. He is tasked with reviewing the correctional officer hiring process as a part of this provision.

Mr. Brand is developing a short and long-range strategic plan for ADOC to address these issues and a number of other staffing/training issues.

The Monitor is impressed with Deputy Commissioner Brand and his passion and expertise for his areas of responsibility. The Monitor is also personally familiar with a state “Training and Standards Criminal Justice Commission” and the difficulty in making any significant changes related to the duties of correctional officers, particularly in view of a Commission’s concerns regarding its other responsibilities for law enforcement certification. It is believed Mr. Brand will continue to make progress in working with them over a period of time.

In addition, the Moss Group will assist ADOC in conducting a staffing analysis in 2016 to address specific needs and operational realities of staffing at Tutwiler.

Captain Mark Loman reports to Mr. Brand and previously/currently works on staff recruitment issues, statewide. Monitor saw a schedule of job fairs and efforts made specifically for recruitment at Tutwiler.

Requirement 2. Continue to conduct physical fitness assessments on all CO trainees, including the APOSTC standards currently used at the academy. ____________________ 1. ADOC continues to conduct physical fitness assessments. There is an ADOC physical fitness contract signed by every trainee. It describes the required APOSTC fitness standards that recruits have to pass at the academy. The contract also provides recommendations for activities and exercises recruits can do to improve their skills. 2. Monitor reviewed CO Trainee Short Term Goal assessment results for all new officers in August, September and October. It was evident that the pre-academy training efforts are having positive impacts on passing rates at the academy. The success for women passing the academy fitness tests went up each month. 3. Captain Elliott Sanders is the Academy Commander and is tracking this data and reporting it to Deputy Commissioner Williams. 4. Monitor reviewed the COT (correctional officer trainee) pre-academy training results for the months of August, September, October 2015. In August, 4 women passed/2 failed.In September, 6 passed/1 failed. In October, 5 women passed /1 failed. ADOC provides this pre-academy training and testing. They use the APOSTC physical fitness standards.

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5. Monitor reviewed the ADOC Training Academy APOSTC test results for the training class 2015-2 and 2015-3. -Class 2 : 21 women took the first test and 19 passed the test. -Class 3: 18 women took the first test and 15 passed the test.
6. The monitor believes the COT pre-academy training is preparing female recruits for successful completion of the APOSTC first test given all new academy students on the first day of the academy.
Requirement 3. Continue to allow the use of "overtime staff" at Tutwiler, if properly trained. Examine the use of overtime and shift schedules at Tutwiler to see if it has effects on hiring and retaining women staff. The term "overtime" means staff assigned to other prisons and who volunteer to work "overtime" at Tutwiler to fill in critical vacancies. ___________________ 1. Review of rosters of staff assigned at Tutwiler for three months to identify all staff working in "overtime" status. Monitor saw that all overtime staff working had received PREA training and some also had completed the Gender Responsiveness training. Tutwiler informed all staff approved to work overtime of the mandate that they HAD to receive required training by 12/31/15, and if they had not they could not work at Tutwiler anymore until trained. 2. Tutwiler SOP 9-5 is under review. It is responsive to the training requirement for overtime staff and the use of this staff at Tutwiler. 3. The Warden and his executive staff routinely review the staffing vacancies and challenges regarding retention of officers. It is their opinion that the use of mandatory overtime and shift schedules have not had a negative impact on retention. **Monitor suggested to Warden Barrett that he conduct exit interviews with all staff in a structured manner, in order to receive data about separations.
Requirement 4. By November 2015, ADOC will provide to Monitor and DOJ, the numbers of recruits taking and passing/failing the fitness tests, broken down by gender. This will occur every six months _________________ 1. This information has been tracked since June 2015 and Monitor and DOJ have received it.
Requirement 5. ADOC will employ a full time agency PREA Coordinator for all facilities. _________________ 1. ADOC employed Ms. Christy Vincent in July 2015. She is experienced in PREA compliance due to her previous jobs as a PREA Compliance Director with Juvenile Services. She is assisted by Lt. Tanya Arrington, who has previously been the PREA Coordinator for ADOC.
Requirement 6. ADOC designate a full time PREA compliance manager for Tutwiler. This person reports directly to the Warden, has an appropriate job description for her PREA duties and receives appropriate training for her role as Tutwiler PREA Coordinator. This person has a collaborative relationship to the ADOC Director, Ms. Vincent and routinely shares information. __________________
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1. Tutwiler named Lt. Yvette Young as the facility PREA Manager in March 2015. Her career started in 1991 and, absent a few years, has continued until the present. She was promoted to Lieutenant in 2014. She reports directly to Warden Barrett. 2. Tutwiler SOP 9-16 -Institutional PREA Compliance Manager. This SOP is under review by the Moss Group experts but has been operational since March 2015. All of the specific duties outlined in this provision are in the job description. 3. The Moss Group provided extensive training in August 2015 to the IPCM. It includes the basic responsibilities of the position, PREA audits and pre-audits, and other tasks that are a standard for PREA managers. In addition, Lt. Young received training in Gender Responsiveness. She is a facilitator in inmate orientation and presents the PREA Awareness module. She attended ‘Sexual Harassment Investigation’ training conducted by The Moss Group on October, 2015. She also participates in PREA related webinars. 4. Tutwiler SOP 9-16 requires formal documentation of all of Lt. Young's activities. It is under final review by Moss Group.
Note: Monitor was extremely impressed with the professionalism, competence, dedication and thoroughness of the work ethic of Lt. Young. She walked into her interview with five organized notebooks that were filled with various types of documentations related to her responsibilities to track many activities as PREA Coordinator. She is an excellent choice for this position.

MONITOR’S DISCUSSION: EXTENT TO WHICH ADOC AND TUTWILER HAVE COMPLIED WITH THE AGREEMENT

DATE: 1/17/2016

Monitor will evaluate the extent of ADOC compliance with this provision by 1) interviews, as noted, 2) review of documents, as noted, and 3) baseline and compliance visits.

1. ADOC has employed a new Deputy Commissioner for Training and Development, Mr. Matthew Brand. Mr. Brand began an immediate assessment of the specific staffing issues related to this provision, specifically including the hiring, screening and retention of female corrections officer for Tutwiler.

2. Physical fitness assessments continue to be performed on new recruits by trained ADOC staff. These assessments include APOSTC physical fitness standards. Recruits sign assessment contracts. A review of three months of the trainee physical training short-term goal assessments showed slight improvement each month in the APOSTC passing scores of female officers.

3. Tutwiler executive leadership track their vacancies and staffing challenges on a weekly basis. Tutwiler continues to use "overtime" staff from other facilities to staff critical vacancies. Monitor reviewed documentation of the required training received by the overtime staff working at Tutwiler.

4. Monitor and DOJ receive every six months a spreadsheet that documents all recruits taking the physical fitness exams and the pass/fail results for staff, broken down by gender.

5. ADOC hired a full time PREA Director in July 2015, Ms. Christy Vincent.

6. Tutwiler selected a competent manager, Lt. Young, to be the Institution PREA Compliance Manager. There is a detailed job description, SOP 9-16, under review by Moss Group. Lt. Young reports directly to Warden Barrett. She has received excellent training from the Moss Group regarding these duties, in addition III.C.1

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to Troy University training. SOP 9-16 will require documentation of her activities. Monitor saw excellent documentation in the various notebooks Lt. Young maintains to comply with her PREA and settlement agreement tracking responsibilities.
7. SOP 9-16 details the responsibilities of the IPCM to work closely with the other ADOC female facilities and is a contact for jail issues related to PREA allegations.
8. SOP 9-5 Overtime/Mandatory Overtime is in review status.

MONITOR’S RECOMMENDATIONS: (for at least the next 6 months) 1. IPCM attend ADOC pre-audit training in January 2016. 2. IPCM prepare Tutwiler for the first PREA audit in 2016. 3. IPCM continue to work closely with Lt. Coleman and track the use of the grievance system. 4. Continue to review the current physical pre-academy fitness assessments and look to make any improvements that enhance the ability of women to pass APOSTC standards.

DATE DUE:
1. January 2016 2. June 2016 3. Continuous 4. Continuous

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PLACEHOLDER

STAFFING

III.C In order to address low staffing levels and the need for more women officers, ADOC and Tutwiler shall ensure that correctional staffing and supervision is

sufficient to adequately supervise inmates and staff and allow for the safe operation of Tutwiler.

Policy

Develop Implement

Policy Policy

III.C.2.i – III.C.2.x (Consent Decree p. 34-44 Doc # 11).

Policy Developed

Date: 1/17/2016 Monitor was asked to review the requirement of III. C. 2. i-x regarding the extensive requirements in this provision C. 2 for an exhaustive review of various staffing principles to respond to the III. C. Two consultants have been selected, Rod Miller and Jane Parnell, to start work in January 2016 on a staff analysis. This analysis will guide ADOC in the development of a staffing plan, based on gender responsive principles, and PREA requirements that provide adequate staffing that will protect inmates from sexual abuse and sexual harassment"

Monitor notes the following actions by ADOC to address this complex multi-faceted project. ADOC has partnered with their consultants to hire a team of staffing expert consultants to research and develop a staffing plan, following a detailed staffing analysis at Tutwiler. The plan is for the Moss Group to hire Rod Miller and Jane Parnell to conduct the analysis, to begin in January 2016. The Moss Group will assist ADOC in the development of a staffing plan, based on gender responsive principles and PREA requirements that provide adequate staffing that will protect inmates against sexual abuse and sexual harassment. The staffing plan should include supervision and monitoring capabilities per PREA standards.
Monitor has reviewed the ADOC long-range plan that is inclusive of all of the specific requirements in III. C. 2. i and ii . It is comprehensive and will require collaboration between ADOC personnel, Tutwiler staff and other resources as needed.

Staff Trained

Policy Implemented

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Monitor has reviewed the tentative ADOC schedule for 1) initiation of the staffing analysis in January 2016, 2) staffing analysis completion by February 28, 2016, and 3) implementation of the staffing plan by May 28, 2016. It is the experienced opinion of the Monitor that this is an ambitious schedule. Tutwiler is currently operating daily with many vacancies, as noted elsewhere in this report. The consultants need to be on-site and become familiar with unique physical, staffing, programming and operational requirements for Tutwiler. They will need data from ADOC and possibly the State of Alabama personnel agency and APOSTC.
It is noted that ADOC is in the process of reviewing current draft policies and future ones for gender responsiveness by the Moss Group and other expert resources. The Monitor has been notified that ADOC will request a three-month extension for implementation of the policies/procedures slated for a February 28, 2016 compliance date. Monitor will approve this request, if made. NOTE: An extension may impact the timing for completion of the staffing analysis. It is important that the new/revised policies be completed and implemented so that any resultant impact on Tutwiler staffing can be taken into consideration during the staffing analysis. It would be ill advised to require a staffing analysis to be completed without knowledge of the staffing impacts on operations that may result from the policies.
The monitor requests that ADOC discuss with the consultants the projected new dates for completion of the staffing plan and implementation. The staffing plan needs to include the specifics of what " implementation" actions will require from ADOC and possible other stakeholders. ADOC is requested to share with the monitor and DOJ the suggested new compliance dates and revised timetable. The monitor would like to review the draft staffing analysis and the subsequent plan when it is feasible to share with monitor and DOJ.
MONITOR’S MEASURES OF COMPLIANCE
1. Resume for Rod Miller and Jane Parnell, Moss Group consultants. 2. Staffing analysis developed to be used at Tutwiler. 3. Specifics of the review of posts, gender specific at Tutwiler. 4. Shift relief factor formula developed and used for Tutwiler. Documentation of how did relief factor get calculated. Understand if they used a model from another state, etc. 5. Instruments used for the Job Task Analysis and their origin. 6. Quarterly staffing reports from Tutwiler, beginning January-March 2016.
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Documents

STEPS TAKEN BY MONITOR TO ANALYZE CONDITIONS AND ASSESS COMPLIANCE, AND FACTUAL BASIS FOR MONITOR’S FINDINGS

(for each member of monitoring team)

Interviews

On-site/Observations / Other

1. Spreadsheet reflecting the Tutwiler staffing, employee gender, position classifications, separations/dates/reasons given for separation--for employees at Tutwiler from May 28-November 28, 2015. 2. ADOC 454 and SOP 8-12 (under revision). 3. Moss Group plan to hire a team of consultants to research and develop a staffing plan via a detailed staffing analysis at Tutwiler. The planned consultants are Rod Miller and Jane Parnell. Work is expected to begin on this project in January 2016.

1. Deputy Commissioner Williams 2. Deputy Commissioner Matt Brand 3. ADOC Personnel Director Bill Lawley

None

Not applicable

UNRESOLVED/PARTIALLY RESOLVED ISSUES FROM PREVIOUS TOUR

III.C.2

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MONITOR’S FINDINGS: Substantial Compliance Partial Compliance Non-compliance n/a no rating-placeholder

DATE: 2/15/16

MONITOR’S DISCUSSION: STEPS TAKEN BY ADOC AND TUTWILER TOWARDS IMPLEMENTATION

DATE: 1/17/2016

Monitor will evaluate the steps taken by ADOC and Tutwiler by 1) interviews, as noted, 2) review of documents, as noted, and 3) baseline and compliance visits.

1. Section III. C. 2. vi requires Tutwiler to provide a staffing update to the Monitor and DOJ quarterly. It includes 1) listing of staff hired at Tutwiler, by gender and positions filled, and 2) a listing of staff who ended their employment at Tutwiler, including their gender, position, and reason for separation. 2. Monitor and DOJ received their first required staffing update November 28, 2015. It included dates from May 28, 2015 to November 28, 2015. Subsequent quarterly updates should be received by both parties. Ms. Stephanie Henderson, Tutwiler Personnel Manager, supplies this information. 3. Section III. C. 2. viii requires ADOC to develop a policy to implement the provisions outlined in this section. It is noted that ADOC AR 454 and Tutwiler SOP 8-12 include these requirements and have so included them since February 2014.

III.C.2

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MONITOR’S DISCUSSION: EXTENT TO WHICH ADOC AND TUTWILER HAVE COMPLIED WITH THE AGREEMENT

DATE: 1/17/2016

Monitor will evaluate ADOC and Tutwiler compliance by 1) interviews, as noted, 2) review of documents, as noted, and 3) baseline and compliance visits.

1. Monitor and DOJ have the staffing update from May 2015 - November 2015.

2. Staffing analysis by Rod Miller and Jane Parnell should begin in January, 2016.

3. Staffing reports will be submitted to Monitor and DOJ. The 2016 report will be contingent on the completion of the scheduled staffing analysis.

4. Monitor will review the draft/completed staff analysis and the revised timelines suggested by ADOC and the consultants and their final report

MONITOR’S RECOMMENDATIONS: (for at least the next 6 months)
1. ADOC will continue to work with Deputy Commissioner Brand and Personnel Director, Bill Lawley, on the results of the staffing analysis and actions necessary for implementation of any recommendations.
2. ADOC will recommend revised dates and timelines for this provision after the analysis, staffing plan are submitted by Mr. Miller and Ms. Parnell

DATE DUE: 1. Immediately 2. following #1

III.C.2

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TRAINING

III.D ADOC and Tutwiler shall ensure that all staff have the adequate knowledge, skill, and ability to prevent, detect, and respond to sexual abuse and sexual

harassment at Tutwiler, and to manage, interact, and communicate appropriately with women inmates and lesbian, gay, bisexual, transgender, and gender

nonconforming inmates.

Policy

Develop Policy Implement

Policy

1. ADOC and Tutwiler shall train all staff who may have contact with inmates with the following:

Before

III.D.1

November 28, November

2015

28, 2015

REQUIREMENTS

Policy Developed

Staff Trained

Policy Implemented

Zero-Tolerance policy for sexual abuse and sexual harassment.

Y N N/A Y N N/A

Y N N/A

How to fulfill its responsibilities under its sexual abuse and sexual harassment prevention, detection, Y N N/A Y N N/A reporting, and response policies and procedures.

Y N N/A

Inmates’ right to be free from sexual abuse and sexual harassment;

Y N N/A Y N N/A

The right of inmates and employees to be free from retaliation for reporting sexual abuse and sexual Y N N/A Y N N/A harassment;

The dynamics of sexual abuse and sexual harassment in confinement;

Y N N/A Y N N/A

The common reactions of sexual abuse and sexual harassment victims;

Y N N/A Y N N/A

How to detect and respond to signs of threatened and actual sexual abuse;

Y N N/A Y N N/A

How to respond to sexual abuse and sexual harassment, including:

1. How to respond effectively and professionally to victims of sexual abuse and sexual

Y N N/A Y N N/A

harassment;

2. How and to whom to report allegations or suspicions of sexual abuse and sexual harassment; Y N N/A Y N N/A

3. How to comply with relevant laws related to mandatory reporting of sexual abuse to outside Y N N/A Y N N/A authorities; and

4. How to preserve physical evidence of sexual abuse (this provision does not apply to

III.D.1

Y N N/A Y N N/A
Y N N/A Y N N/A Y N N/A
Y N N/A Y N N/A Y N N/A

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volunteers)

Y N N/A Y N N/A

How to avoid inappropriate relationships with inmates;
Gender-responsive principles, including those applicable to the use of force against women inmates (the provision regarding use of force does not apply to volunteers);

Y N N/A Y N N/A Y N N/A Y N N/A

How to communicate effectively and professionally with inmates, including lesbian, gay, bisexual,

transgender, intersex and gender nonconforming inmates:

1. Including the use of appropriate name and pronoun for an inmate’s gender presentation and

identity.

Y N N/A Y N N/A

2. This training shall emphasize that verbal abuse- including name calling and the use of racially

insensitive or offensive, profane or vulgar language – will not be tolerated.

Y N N/A Y N N/A

MONITOR’S MEASURES OF COMPLIANCE

Y N N/A Y N N/A Y N N/A
Y N N/A Y N N/A

1. Extension of three (3) months was requested by Dr. Williams and approved by Monitor on 11/8/15. 2. Training curriculum utilized for PREA. 3. Rosters of completed training by assigned Tutwiler staff. 4. Interviews with three of the prison trainers responsible for conducting PREA staff training. 5. Staff focus groups, interview with COs from other prisons. 6. Interview of Andie Moss and discussion regarding origins of training curriculum. 7. Interview with Dr. Williams.

III.D.1

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Documents

STEPS TAKEN BY MONITOR TO ANALYZE CONDITIONS AND ASSESS COMPLIANCE, AND FACTUAL BASIS FOR MONITOR’S FINDINGS

(for each member of monitoring team)

Interviews

On-site/Observations / Other

1. PREA training curriculum (draft curriculum-under revision by Moss Group). 2. Staff rosters for attendance at PREA training. 3. Training curriculum for Gender Responsiveness (developed by Moss Group). 4. Staff rosters for attendance at Gender Responsiveness training. 5. Training curriculum for LGBTI training for Tutwiler staff. 6. PREA and Gender Responsiveness training rosters for staff in "overtime status" at Tutwiler. They actually are assigned to other facilities but are approved to work at Tutwiler due to their staff shortages. 7. Roster of 12 Tutwiler Master Trainers. This team has a variety of staff disciplines represented. 8. Documentation of the three-day instructor development training for Tutwiler Master Trainers, conducted by Troy University. 9. Request by Deputy Commissioner Williams for a threemonth extension for completion of the PREA training requirements in this section. It was approved by Monitor on November 8, 2015.

1. Deputy Commissioner Williams 2. Warden Barrett 3. Captain McClain 4. Lt. Young 5. Tutwiler Master Trainers-Dr. Scott Holmes, Lt. Goodson, Ms. Westry, Lt. Nelson, and the MHM Site Administrator 6. Andie Moss, The Moss Group. 7. Four staff focus groups

1. Monitor observed a staff training for overtime staff on Gender Responsiveness at Tutwiler.

III.D.1

Not applicable

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UNRESOLVED/PARTIALLY RESOLVED ISSUES FROM PREVIOUS TOUR

Page 55 of 226

MONITOR’S FINDINGS: Substantial Compliance Partial Compliance Non-compliance n/a monitor granted an extension until 2/28/16

DATE: 2/15/16

MONITOR’S DISCUSSION: STEPS TAKEN BY ADOC AND TUTWILER TOWARDS IMPLEMENTATION

DATE: 1/17/2016

Monitor evaluates Steps taken by ADOC and Tutwiler by 1) interviews, as noted, 2) review of documents, as noted, and 3) baseline and compliance tours.

NOTE: ADOC requested a three month extension of the November 2015 timeline for the completion of the curriculum based PREA training and the Gender Responsive principles. Monitor granted an extension on November 8, 2015. Tutwiler has until February 28, 2016, to complete the required training in this provision.

Requirements (summary) 1. ADOC and Tutwiler shall train all staff who may have contact with inmates in 11 detailed areas (on monitoring tool). These areas are covered by comprehensive PREA training and Gender Responsive principles training.

III.D.1

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_____________________ 1. ADOC AR 454 is the PREA policy for the agency. 2. Tutwiler SOP 8-12 (under revision by Moss Group) details the elements of PREA training identified in this requirement. 3. The Moss Group developed the Gender Responsive training curriculum in August 2015. The curriculum represents the nationally recognized principles of gender responsiveness in managing female inmates. Monitor reviewed the curriculum. The Moss Group conducted a thorough "train the trainers" for selected Tutwiler staff in early September 2015. The Moss Group consultants assisted with providing the first two gender responsive training sessions for Tutwiler staff in September 2015. 4. Monitor reviewed the proposed "post settlement" PREA draft training curriculum. After a subsequent review by the Moss Group, the Monitor and DOJ have received the revised curriculum for their review and comment. The Tutwiler staff has received training, using the "pre-settlement" PREA curriculum, as required by ADOC AR 454.
The revised PREA curriculum will be presented, after final approval by all parties, in 8-12 hour training sessions to all Tutwiler staff by the Tutwiler training team.
5. Monitor reviewed the training curriculum "Dealing Effectively and Professionally with LGBTI Offenders" which is a part of this requirement. It was developed to be used in ADOC annual in-service training for all employees. It is a four-hour module. 6. Monitor has reviewed numbers of randomly selected training rosters for Tutwiler staff completing PREA (pre-settlement), Gender Responsiveness. 7. In order to facilitate the varied requirements in the section for training, Tutwiler leadership and Commissioner Williams selected 12 staff members, who were considered key leaders in their respective disciplines, to serve on a training team for Tutwiler. The team is multi-discipline, multi-racial and mixed-gender. Monitor reviewed the composition of the training team and it was a representative group. During the compliance tour, Monitor interviewed 5 of the team members. These staff attended a three-day instructor development course offered by Troy University prior to facilitating any training. In addition, the trainers attended ‘Subject Matter Expert (SME) Training on Gender-Responsive Principles” conducted by The Moss Group in August, 2015, and also attended a PREA Training update in December 2015 and January 2016. 8. Relevant Tutwiler SOPs impacting compliance with the settlement agreement terms will have a Moss Group review for the inclusion of gender responsive principles where needed.

MONITOR’S DISCUSSION: EXTENT TO WHICH ADOC AND TUTWILER HAVE COMPLIED WITH THE AGREEMENT

DATE: 1/17/2016

Monitor will evaluate the extent of ADOC and Tutwiler compliance with this provision by 1) interviews, as noted, 2) review of documents, as noted, and 3) baseline and compliance tours.

1. Tutwiler staff have received the ADOC required PREA training at the academy or in annual in service, prior to the effective date of the settlement, May 28, 2015. The monitor and DOJ have reviewed the revised PREA curriculum that will be used to train Tutwiler staff by February 28, 2016

2. Tutwiler staff has received the Gender Responsive training, as developed by the Moss Group.

3. ADOC is offering a four-hour training module in annual in-service "Dealing Effectively and Professionally with LGBTI offenders." Staff receives this in annual

III.D.1

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training as offered. 4. Tutwiler selected and trained 12 competent multi-discipline staff to become Master Trainers. The Master Trainers received expert training from the Moss Group and Troy University. 5. Tutwiler SOP development process, pursuant to this settlement, includes a Moss Group review for gender responsive principles. 6. As of October 9, 2015, the following percentages of Tutwiler staff have received "Gender -Responsive Approaches for Women Offenders" training
Security staff (officers, custody supervisors, wardens) -95% Corizon contract medical staff-89. 8% MHM mental health contract staff-95% Support staff and part-time staff- 98% Overtime staff-21.95% 7. The Revised PREA curriculum, the LGBTI training and the Gender -Responsive training contain all the elements of the requirements in this provision.

MONITOR’S RECOMMENDATIONS: (for at least the next 6 months) 1. Complete PREA training for all staff. 2. Complete Gender Responsiveness training for all staff.
3. Continue review of SOP polices for gender responsive principles.
4. Monitor recommends that Tutwiler conduct staff focus groups, informally, to get feedback on staff reaction to the gender responsiveness training. The four staff focus groups indicated a level of sensitivity to their perceived message of "take it easy on the women" or "you have to treat women differently from men-does that make women less accountable." The Moss Group can conduct these groups. It is important that staff receive the "intent" of this training clearly. Monitor discussed this at length during the compliance tour with Tutwiler staff, ADOC and attorneys present from DOJ.

DATE DUE: 1. Feb 28, 2016 2. January, 2016
3. Ongoing
4. May, 2016

III.D.1

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TRAINING

III.D ADOC and Tutwiler shall ensure that all staff have the adequate knowledge, skill, and ability to prevent, detect, and respond to sexual abuse and sexual

harassment at Tutwiler, and to manage, interact, and communicate appropriately with women inmates and lesbian, gay, bisexual, transgender, and gender

nonconforming inmates

Policy

Develop Implement

Policy Policy

2. Within six months of the Effective Date, all staff shall have received training as set out in

November

Section III.D.1

III.D.2

28, 2015

REQUIREMENTS

Policy Developed

Staff Trained

Policy Implemented

Train all Staff (*See Monitor’s Discussion below): 1. Corrections Staff 2. Medical Practitioners 3. Mental Health Practitioners 4. Employees of any State agency 5. Contractors 6. Volunteers

Y N N/A Y N N/A Y N N/A Y N N/A Y N N/A Y N N/A Y N N/A

Y N N/A Y N N/A Y N N/A Y N N/A Y N N/A Y N N/A Y N N/A

Y N N/A Y N N/A Y N N/A Y N N/A Y N N/A Y N N/A Y N N/A

MONITOR’S MEASURES OF COMPLIANCE

1. ADOC 454, with any final revisions approved and completed. 2. Tutwiler SOP 8-12 in final policy form. 3. Revised PREA curriculum as developed by the Moss Group. 4. Gender Responsiveness Training Curriculum. 5. Training rosters for ALL named class employees in this section for PREA and Gender Responsiveness Training who have completed the trainings by February 28, 2016.

III.D.2

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Documents

STEPS TAKEN BY MONITOR TO ANALYZE CONDITIONS AND ASSESS COMPLIANCE, AND FACTUAL BASIS FOR MONITOR’S FINDINGS

(for each member of monitoring team)

Interviews

On-site/Observations / Other

NOTE. Alabama requested an extension of three months for compliance for this requirement. It was granted by the Monitor on 11/08/15. Date for completion of this requirement is 2/28/16.
1. Rosters of completed training by assigned Tutwiler staff.

1. Deputy Commissioner Williams 2. Warden Barrett 3. Captain McClain 4. Lt. Young 5. Tutwiler Master Trainers-Dr. Scott Holmes, Lt. Goodson, Ms. Westry, Lt. Nelson, and the MHM Site Administrator 6. Andie Moss, Moss Group. 7. Four staff focus groups 8. Warden Deidra Wright

None

Not applicable

UNRESOLVED/PARTIALLY RESOLVED ISSUES FROM PREVIOUS TOUR

III.D.2

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MONITOR’S FINDINGS: Substantial Compliance Partial Compliance Non-compliance n/a monitor granted an extension until 2/28/16

DATE: 2/15/16

MONITOR’S DISCUSSION: STEPS TAKEN BY ADOC AND TUTWILER TOWARDS IMPLEMENTATION

DATE: 1/17/2016

Monitor will evaluate steps taken by ADOC and Tutwiler by 1) interviews, as noted, 2) review of documents, as noted, and 3) baseline and compliance visits. * NOTE: Monitor believes ADOC policy exists for this section, specifically AR 454 and Tutwiler SOP 8-12. ADOC requested the Moss Group to revise the Tutwiler SOP 8-12 and the PREA training curriculum to address the settlement specific details for Tutwiler. The Monitor reviewed the revised curriculum for 8-12 in January, 2016, and Tutwiler began using the revised curriculum the third week of January, 2016. Additionally, the Moss Group provided the Gender Responsive Training curriculum in August and staff training using it began in September, 2015. 1. ADOC AR 454 and Tutwiler SOP 8-12. 2. Tutwiler started the "Gender-Responsive Approaches for Women Offenders" training on September 5, 2015. It was noted that in early October 2015, 95 percent of security staff had received the training. The required staff groups specified in this requirement completed this training by early January 2016 (except for military leave, etc.) 3. ADOC requested that the Moss Group revise the PREA curriculum for inclusion of settlement issues at Tutwiler. This revision was completed and Monitor reviewed it in mid-January 2016. Monitor found it comprehensive and very relevant for the staff at Tutwiler. It is an excellent training curriculum. 4. Tutwiler started the PREA training with the revised curriculum the third week in January 2016 and expects to have it completed with all Tutwiler staff by February 28, 2016. 5. Warden Barrett appointed Warden I Wright as the coordinator for all staff training at Tutwiler on January 1, 2016. 6. ADOC requested a three-month extension for this provision from the Monitor. The Monitor granted this extension on November 8, 2015. The current compliance date for this provision is February 28, 2016.

III.D.2

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MONITOR’S DISCUSSION: EXTENT TO WHICH ADOC AND TUTWILER HAVE COMPLIED WITH THE AGREEMENT

DATE: 1/17/2016

Monitor will evaluate compliance by ADOC and Tutwiler by 1) interviews, as noted, 2) review of documents, as noted, and 3) baseline and compliance visits.

Requirements (summary) 1. Train all staff -six months from effective date. 2. It includes; corrections staff, medical and mental health practitioners, contractors and volunteers and employees of any state agency.

NOTE: ADOC requested a three-month extension for the implementation date of this provision. Monitor granted this extension on November 8, 2015, and the current compliance date to complete training is February 28, 2016.

1. Training rosters from Tutwiler for revised PREA training and ADOC certification that all required PREA training has been completed by February 28, 2016. 2. Training rosters and certification from ADOC that all required training in this module has been completed by February 28, 2016.

MONITOR’S RECOMMENDATIONS: (for at least the next 6 months)

DATE DUE:

1. Establish feedback structure for staff responses to the Revised PREA training.
2. Establish a feedback structure for staff responses to the Gender Responsive training. It is recommended that small staff focus groups could be useful. Revise or add to this training based on any significant staff feedback. Monitor discussed with all parties the concerns expressed in the staff focus groups during the compliance visit. Staff concerns were around "mixed message" of managing women offenders, such as offender “accountability” versus listening with awareness of offender institutional behaviors and the reasons for the behaviors. Overall the staff was positive about something that they learned from this training but all shared a concern, as noted. Date April 1, 2016.
3. Monitor to review a written summary of these feedback groups once ADOC has had the opportunity to review the information.

1. April, 2016 2. April, 2016
3. After ADOC review

III.D.2

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TRAINING

III.D ADOC and Tutwiler shall ensure that all staff have the adequate knowledge, skill, and ability to prevent, detect, and respond to sexual abuse and sexual

harassment at Tutwiler, and to manage, interact, and communicate appropriately with women inmates and lesbian, gay, bisexual, transgender, and gender

nonconforming inmates

Policy

Develop Implement

Policy Policy

3. ADOC and Tutwiler shall provide annual refresher training to all staff

III.D.3

February February

28, 2016 28, 2016

Policy

Staff Trained

Policy

REQUIREMENTS

Developed

Implemented

Ensure that all staff know current sexual abuse and sexual harassment policies and procedures.

Y N N/A Y N N/A

Y N N/A

If staff cannot successfully demonstrate knowledge of these policies and procedures, they shall not be Y N N/A permitted to have any contact with inmates until such time as they can demonstrate proficiency.

Y N N/A

Y N N/A

Have and implement policies and procedures setting forth the levels of discipline, up to and including Y N N/A termination, for any staff member who cannot perform his or her job duties due to a failure to demonstrate proficiency in these policies and procedures.

Y N N/A

Y N N/A

MONITOR’S MEASURES OF COMPLIANCE

ENSURE all staff know current sexual abuse and sexual harassment policies and procedures. a. Policy requiring annual refresher training to prevent, detect and respond to sexual abuse and sexual harassment at Tutwiler, and to manage, interact, and communicate appropriately with women inmates, including lesbian, gay, bisexual, transgender and gender non-conforming inmates. b. Curriculum used to train staff in this policy. Discuss with Andie Moss. c. Documentation of staff receiving, this training, and the date received. d. List of trainers and how they received their training to teach this refresher training. e. Staff focus groups: A and B staff rotations. f. Interviews with Warden, Capt. McClain, Lt. Young, DOC PREA Director, Site Health Administrator, Lt. Coleman, Dr. Williams.
IF staff cannot successfully demonstrate knowledge of these policies and procedures, they shall not be allowed to have contact with inmates until such time they can demonstrate proficiency a. Documentation of staff proficiency testing and who fails. b. ADOC and Tutwiler SOP for placement of staff who do NOT pass requirements for this training.
III.D.3

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c. Documentation of these placements, designations, etc., used at Tutwiler--posts used for these staff. d. Plan for re-testing and results of re-testing that has occurred since implementation. e. Interviews with trainers who test and re-test staff the staff. f. Interviews with reassigned staff at Tutwiler who either failed the test once and succeeded on their next attempt or staff that are currently assigned for non-inmate contact. g. Interviews with Warden, Capt. McClain, Lt. Young, Dr. Williams, DOC PREA Director, DOC Human Resources Manager.

Documents

STEPS TAKEN BY MONITOR TO ANALYZE CONDITIONS AND ASSESS COMPLIANCE, AND FACTUAL BASIS FOR MONITOR’S FINDINGS

(for each member of monitoring team)

Interviews

On-site/Observations / Other

1. ADOC 454-any final revisions. 2. Tutwiler SOP 8-12 with final/ approved revisions. 3. Revised training curriculum for PREA. 4. Rosters of staff who have completed PREA training by February 28, 2016, and the testing, retesting results, and final status of these employees who fail the test. 5. Documentation of assistance offered to any/all staff who fail PREA training the first time. 6. Policies, SOPs, procedures used by ADOC and Tutwiler for staff who fail to pass the PREA test. 7. Personnel documentation for employees who failed the test.

1. Deputy Commissioner Williams 2. Warden Barrett 3. Captain McClain 4. Lt. Young 5. Tutwiler Master Trainers-Dr. Scott Holmes, Lt. Goodson, Ms. Westry, Lt. Nelson, and the MHM Site Administrator 6. Andie Moss, Moss Group. 7. Four staff focus groups 8. Warden Deidra Wright

None

III.D.3

Not applicable

Case 2:15-cv-00368-MHT-TFM Document 16-2 Filed 02/26/16 Page 64 of 226
UNRESOLVED/PARTIALLY RESOLVED ISSUES FROM PREVIOUS TOUR

Page 64 of 226

MONITOR’S FINDINGS: Substantial Compliance Partial Compliance Non-compliance n/a monitor granted an extension until 2/28/16

DATE: 2/15/16

MONITOR’S DISCUSSION: STEPS TAKEN BY ADOC AND TUTWILER TOWARDS IMPLEMENTATION

DATE: 1/17/2016

Monitor will evaluate steps taken by ADOC and Tutwiler by 1) interviews, as noted, 2) review of documents, as noted, and 3) baseline and compliance visits.

1. Tutwiler began the settlement required PREA training classes on September 5, 2015. The PREA training curriculum was revised by the Moss Group to include more settlement specific directives and information. The Monitor reviewed the revised curriculum in January 2016 and found it an excellent teaching/training tool for Tutwiler staff on PREA. Tutwiler began required staff training, using this revised curriculum, the week of January 15, 2016. All required staff PREA training will be completed by February 28, 2016. 2. The required annual refresher training will begin in September 2016, using the revised curriculum. 3. Tutwiler will develop an SOP on Staff Training that will be a comprehensive document regarding the delivery of all required training. It is slated for review by the Monitor and DOJ. 4. Warden Barrett appointed Warden I Wright as the Tutwiler Training Coordinator for ALL required training for their employees.
III.D.3

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MONITOR’S DISCUSSION: EXTENT TO WHICH ADOC AND TUTWILER HAVE COMPLIED WITH THE AGREEMENT

DATE: 1/17/2016

Monitor will evaluate ADOC and Tutwiler compliance by 1) interviews, as noted 2) review of documents, as noted, and 3) baseline and compliance visits.

1. ADOC certification that all required PREA training has been completed by February 28, 2016, for all listed classes of employees.

2. Review the revised PREA curriculum that will be used in annual in service training by September 2016

3. Review the Tutwiler master training schedule, as developed by Warden Wright.

4. Review the post training test results for staff being trained using the revised curriculum.

MONITOR’S RECOMMENDATIONS: (for at least the next 6 months)
ADOC will report the test, initial and retest, scores for PREA test results for all staff required in this provision. The results will identify the classes of employees -correctional staff, medical and mental health, contractors, volunteers, employees of any state agency who receive PREA training

DATE DUE: April 15, 2016

III.D.3

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TRAINING

III.D ADOC and Tutwiler shall ensure that all staff have the adequate knowledge, skill, and ability to prevent, detect, and respond to sexual abuse and sexual

harassment at Tutwiler, and to manage, interact, and communicate appropriately with women inmates and lesbian, gay, bisexual, transgender, and gender

nonconforming inmates

Policy

Develop Implement

Policy Policy

4. The Monitor will work with ADOC and Tutwiler in drafting new training materials and/or revising current

training materials set out in III.D.1 and III.D.3

III.D.4

May 28, May 28,

2015 2015

Policy

Staff Trained Policy

REQUIREMENTS

Developed

Implemented

Draft/Revise training materials for staff (all persons assigned to work at Tutwiler; corrections staff; medical Y N N/A Y N N/A and mental health practitioners; employees of any state agency; contractors; and volunteers) (III.D.1)

Y N N/A

Draft/Revise training materials for annual refresher training (III.D.3)

Y N N/A Y N N/A Y N N/A

MONITOR’S MEASURES OF COMPLIANCE
1. Extension of three months was requested by Dr. Williams and approved by Monitor on 11/8/15. 2. Training curriculum utilized for PREA. 3. Rosters of completed training by assigned Tutwiler staff. 4. Interviews with three of the prison trainers responsible for conducting PREA staff training. 5. Staff focus groups, interview with COs from other prisons. 6. Interview of Andie Moss and discussion regarding the origins of training curriculum. 7. Interview with Dr. Williams.

III.D.4

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Page 67 of 226

Documents

STEPS TAKEN BY MONITOR TO ANALYZE CONDITIONS AND ASSESS COMPLIANCE, AND FACTUAL BASIS FOR MONITOR’S FINDINGS

(for each member of monitoring team)

Interviews

On-site/Observations / Other

1. PREA training curriculum (draft curriculumunder revision by Moss Group). 2. Staff rosters for attendance at PREA training 3. Training curriculum for Gender. Responsiveness (developed by Moss Group). 4. Staff rosters for attendance at Gender Responsiveness training. 5. Training curriculum for LGBTI training for Tutwiler staff. 6. PREA and Gender Responsiveness training rosters for staff in "overtime status" at Tutwiler. They actually are assigned to other facilities but are approved to work at Tutwiler due to their staff shortages. 7. Roster of 12 Tutwiler Master Trainers. This team has a variety of staff disciplines represented. 8. Documentation of the three-day instructor development training for Tutwiler Master Trainers, conducted by Troy University. 9. Request by Deputy Commissioner Williams for a three-month extension for completion of the PREA training requirements in this section. It was approved by Monitor on November 8, 2015.

1. Deputy Commissioner Williams 2. Warden Barrett 3. Captain McClain 4. Lt. Young 5. Tutwiler Master Trainers-Dr. Scott Holmes, Lt. Goodson, Ms. Westry, Lt. Nelson, and the MHM Site Administrator 6. Andie Moss, Moss Group 7. Four staff focus groups

1. Monitor observed a staff training for overtime staff on Gender Responsiveness at Tutwiler.

III.D.4

Not applicable

Case 2:15-cv-00368-MHT-TFM Document 16-2 Filed 02/26/16 Page 68 of 226
UNRESOLVED/PARTIALLY RESOLVED ISSUES FROM PREVIOUS TOUR

Page 68 of 226

MONITOR’S FINDINGS: Substantial Compliance Partial Compliance Non-compliance n/a monitor granted an extension until 2/28/16

DATE: 2/15/16

MONITOR’S DISCUSSION: STEPS TAKEN BY ADOC AND TUTWILER TOWARDS IMPLEMENTATION

DATE: 1/17/2016

Monitor will evaluate the steps taken by ADOC and Tutwiler by 1) interviews, as noted 2) review of documents, as noted and 3) baseline and compliance visits.

Requirement 1. Draft/revise training materials for all staff (d.1). 2. Draft/revise training materials for annual refresher training. ____________________ 1. ADOC AR 454 is under revision--agency PREA policy. 2. Tutwiler SOP 8-12--PREA procedures/policy, is under revision by Moss Group. 3. PREA staff training curriculum (post settlement) has been under revision by the Moss Group. Monitor and DOJ received new draft PREA curriculum in January, 2016.
III.D.4

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4. The Moss Group developed gender responsive principles training in August 2015. This training has been implemented at Tutwiler since September 2015. 5. ADOC developed annual in-service training for LGBTI awareness. This training, "Dealing Effectively and Professionally with LGBTI Offenders" is being presented to all staff in all ADOC facilities. 6. After revised PREA policies (AR 454 and SOP 8-12) are approved by ADOC, any revisions to annual refresher training can be modified appropriately.

MONITOR’S DISCUSSION: EXTENT TO WHICH ADOC AND TUTWILER HAVE COMPLIED WITH THE AGREEMENT

DATE: 1/17/2016

Monitor will evaluate ADOC and Tutwiler compliance by 1) interviews, as noted, 2) review of documents, as noted, and 3) baseline and compliance visit

1. ADOC implementation of the revised PREA training curriculum and train all staff by February 28, 2016

2. ADOC annual in service training curriculum. ADOC needs to notify monitor if any additional changes or revisions are made to the "new" PREA curriculum used to do the annual PREA training in 1. above. Monitor would like to review any changes

MONITOR’S RECOMMENDATIONS: (for at least the next 6 months)

DATE DUE:

1. Complete all Tutwiler staff PREA training, using revised curriculum. 2. Initiate work on modifying the annual refresher training on PREA after new curriculum is implemented into policy. 3. Coordinate training efforts with contractors, Corizon and MHM, to complete their contract employees training by February 28, 2016. 4. ADOC should review current post PREA training test and consider adding any new questions as a result of the revised "settlement inclusive" PREA curriculum.

1. 2/28/2016 2. 5/28/2016 3. 2/28/16 4. 5/28/2016

III.D.4

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TRAINING

III.D ADOC and Tutwiler shall ensure that all staff have the adequate knowledge, skill, and ability to prevent, detect, and respond to sexual abuse and sexual

harassment at Tutwiler, and to manage, interact, and communicate appropriately with women inmates and lesbian, gay, bisexual, transgender, and gender

nonconforming inmates

Policy

Develop Implement

Policy

Policy

5. ADOC shall certify and document to Tutwiler’s PREA Compliance Manager, the Department-wide PREA

Coordinator, the Monitor, and DOJ, that all staff have been trained

III.D.5

November November

28, 2015 28, 2015

REQUIREMENTS

Policy Developed

Staff Trained

Policy Implemented

Certify that all staff have been trained (*See Monitor’s discussion in III. D. 2.) 1. Corrections Staff 2. Medical Practitioners 3. Mental Health Practitioners 4. Employees of any State agency 5. Contractors 6. Volunteers

Y N N/A Y N N/A Y N N/A Y N N/A Y N N/A Y N N/A Y N N/A

Y N N/A Y N N/A Y N N/A Y N N/A Y N N/A Y N N/A Y N N/A

Y N N/A Y N N/A Y N N/A Y N N/A Y N N/A Y N N/A Y N N/A

MONITOR’S MEASURES OF COMPLIANCE
1. Implementation of revised PREA training curriculum. 2. Revised ADOC AR 454. 3. Training rosters for ALL staff covered under these requirements-by February 28, 2016 and then subsequent training rosters for required training that occurs for ANY staff referenced in this provision, after the February 28, 2016 date. 4. ADOC letters or correspondence used to certify ALL staff training submitted to the monitor and DOJ.

III.D.5

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Documents

STEPS TAKEN BY MONITOR TO ANALYZE CONDITIONS AND ASSESS COMPLIANCE, AND FACTUAL BASIS FOR MONITOR’S FINDINGS

(for each member of monitoring team)

Interviews

On-site/Observations / Other

1. Revised PREA training curriculum.
2. Rosters for staff training participation as listed in Measures of compliance.

1. Deputy Commissioner Williams 2. Andie Moss, the Moss Group

None

Not applicable

UNRESOLVED/PARTIALLY RESOLVED ISSUES FROM PREVIOUS TOUR

MONITOR’S FINDINGS: Substantial Compliance Partial Compliance Non-compliance n/a monitor granted an extension until 2/28/16

DATE: 2/15/16

III.D.5

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MONITOR’S DISCUSSION: STEPS TAKEN BY ADOC AND TUTWILER TOWARDS IMPLEMENTATION
Requirements (summary) 1. Certify that All staff are trained, as listed above _________________

DATE: 1/17/2016

Monitor discussion on steps taken

Monitor will evaluate steps taken by ADOC and Tutwiler by 1) interviews, as noted, 2) review of documents, as noted, and 3) baseline and compliance visits. 1. Implementation of revised PREA training curriculum for ALL Tutwiler staff, as outlined in requirement. 2. Training rosters for all staff training pursuant to this requirement.

MONITOR’S DISCUSSION: EXTENT TO WHICH ADOC AND TUTWILER HAVE COMPLIED WITH THE AGREEMENT

DATE: 1/17/2016

Monitor will evaluate ADOC and Tutwiler compliance by 1) interviews, as noted, 2) review of documents, as noted, and 3) baseline and compliance visits. 1. Monitor receipt of the ADOC certification that all employees named in this provision have received the required PREA training. 2. Training rosters for staff completing this training from all disciplines. 3. ADOC requires a post PREA training test for all staff. Review of these results from 2016 PREA training using the new curriculum. Compare these results with the 2015 staff post training tests for PREA training. Share results with monitor and DOJ.

MONITOR’S RECOMMENDATIONS: (for at least the next 6 months)
ADOC will provide the monitor the various PREA training rosters for staff completing the required training. Identification should be made of the different groups of employees that are outlined in this provision.

DATE DUE: April 15, 2016

III.D.5

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INMATE EDUCATION

III.E ADOC and Tutwiler shall effectively and meaningfully communicate to all inmates their right to be free from sexual abuse and harassment and the

protections in place at Tutwiler to ensure that such abuse and harassment does not occur or, if it does occur, is reported so it can be responded to promptly,

appropriately, and without retaliation.

Policy

Develop Implement

Policy Policy

(Inmate Education: Intake)

1. ADOD and Tutwiler shall ensure that, during the intake process, all inmates receive information regarding the III.E.1

May 28, Current

following (listed below):

III.E.3

2015 inmates:

3. Current Tutwiler inmates will receive the information and education described in III.E.1 within three months III.E.6

AND May 28,

of the Effective Date (by August 28, 2015).

III.E.7

Before 2015

6. Consistent with current policy, ADOC and Tutwiler shall ensure that the information outlined in III.E.1 is

August AND

conveyed and made available in formats accessible to all inmates, including those who are limited English

28,

Before

proficient, deaf, visually impaired, or otherwise disabled as well as to inmates who have limited reading skills.

2015 August 28,

7. ADOC and Tutwiler shall provide the Monitor and DOJ for their review consistent with Section III.A.6 any

2015

materials or curriculum utilized to satisfy the requirements of III.E.1

REQUIREMENTS

Policy Developed

Intake information includes:

1. ADOC’s Zero-Tolerance Policy regarding sexual abuse and harassment; 2. Definitions of sexual abuse and sexual harassment; 3. The right to be free from sexual abuse and sexual harassment and from retaliation for
reporting such incidents;

Y N N/A Y N N/A Y N N/A

4. The right to be free from verbal abuse, including name calling, racially insensitive or offensive

language, and profane or vulgar language;

Y N N/A

5. How to report incidents or suspicions of sexual abuse and harassment, including the availability

of non-inmate interpreters;

Y N N/A

6. The process of accessing medical and mental health care.

Current Tutwiler inmates received the information and education by August 28, 2015.

Y N N/A

This information must be conveyed and made available in formats accessible to all inmates, including those who are limited English proficient, deaf, visually impaired, or otherwise disabled as well as to inmates who have limited reading skills.
ADOC and Tutwiler have provided the materials or curriculum to the Monitor and DOJ for their review.

Y N N/A Y N N/A

Staff Trained Policy Implemented
Y N N/A Y N N/A Y N N/A Y N N/A Y N N/A Y N N/A Y N N/A Y N N/A Y N N/A Y N N/A Y N N/A Y N N/A Y N N/A Y N N/A
Y N N/A Y N N/A

III.E.1 / III.E.3 / III.E.6 / III.E.7

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MONITOR’S MEASURES OF COMPLIANCE
Intake Information provided to inmates upon admission 1. SOP for intake education. 2. Interview an intake staff provider and observe the intake process, if possible. See any documentation of this education-inmates signatures, etc. 3. Interview inmates in processing, if available. 4. Inmate focus group. 5. Interview Captain McClain and Lt. Young, Warden Barrett, Dr. Williams.

Documents

STEPS TAKEN BY MONITOR TO ANALYZE CONDITIONS AND ASSESS COMPLIANCE, AND FACTUAL BASIS FOR MONITOR’S FINDINGS

(for each member of monitoring team)

Interviews

On-site/Observations / Other

1. ADOC AR 454- PREA policy. 2. Tutwiler SOP 8-12 (under revision). 3. Tutwiler lesson plan for "Women Offender Education" 2015. 4. Offender Education power point presentation. 5. Rosters for inmate attendance for July 2015. Women Offender Education" two hour training. Training was completed for all inmates assigned at that time. 6. Rosters for inmate attendance for Inmate Education module for the month of November 2015. 7. Memo issued July 15, 2015 by Deputy Commissioner Williams. Memo was directed to the staff facilitators who presented the education module the week of July 20-24 for all assigned inmates at Tutwiler. This memo reiterated the PREA topical areas included in the training.

1. Deputy Commissioner Williams 2. Warden Barrett 3. Captain McClain 4. Lt. Young 5. Ms. Chitema Westry 6. Lt. Brian Coleman 7. Ms Christy Vincent, ADOC PREA Director 8. Inmate focus group

1. Baseline Tour- September 30, 2015. Monitor toured the intake/new admission area at Tutwiler. Monitor observed the video PREA presentation for four new admissions, right after it was completed. All inmates responded they understood the material presented in the video in discussion with Monitor. Monitor received the processes used for intake explained by an admissions officer. Monitor observed a PREA screening interview, conducted by a classification specialist. 2. Compliance tour-Monitor observed part of the Weekly Inmate Orientation Program on Dec. 3, 2015. Specifically, Monitor observed the full presentation on the inmate grievance system by Lt. Coleman and most of the PREA presentation by Lt. Young. Monitor observed the use of the PREA video during this presentation.

III.E.1 / III.E.3 / III.E.6 / III.E.7

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8. Memo issued by Deputy Commissioner Williams to Tutwiler staff assigned to an "Inmate Orientation Curriculum (extended) Work Group. 9. Voucher and payment for certified provider of interpretive services for the hearing impaired. She was available to provide the inmate education two hour module for any hearing impaired inmates on July 24, 2015. 10. PREA inmate orientation, per E.1, to be provided for new admission inmate intake processing at Tutwiler. 11. PREA video, "PREA- What You Need to Know”, utilized in the Intake initial processing 12. Tutwiler inmate orientation schedule, presented every Thursday, and providers of the various segments.

Not applicable

UNRESOLVED/PARTIALLY RESOLVED ISSUES FROM PREVIOUS TOUR

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III.E.1 / III.E.3 / III.E.6 / III.E.7

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NOTE: THIS SECTION INCLUDES III.E.1, III.E.6, and III.E.7. Please provide separate findings for each provision. MONITOR’S FINDINGS:
Substantial Compliance Partial Compliance Non-compliance n/a no assessment due until __________

DATE: 2/15/16

MONITOR’S DISCUSSION: STEPS TAKEN BY ADOC AND TUTWILER TOWARDS IMPLEMENTATION

DATE: 1/17/2016

Monitor evaluates steps taken by ADOC and Tutwiler by 1) interviews, as noted, 2) review of documents, as noted, and 3) baseline and compliance visits.

Requirements (summary) 1. ADOC and Tutwiler shall provide information to inmates in the intake process, which includes 6 PREA specific items for inclusion, via the provision. 2. Current Tutwiler inmates by August 28, 2015 shall receive this information and training. 3. The required information shall be provided in formats accessible to all inmates--including those with limited English proficiency (LEP), deaf, visually impaired, or otherwise disabled. 4. ADOC and Tutwiler will provide the information materials and curriculum to the monitor and DOJ. ___________________ 1. ADOC AR 454. 2. Tutwiler SOP 8-12. 3. Deputy Commissioner Williams developed the PREA inmate orientation presentation for use in the intake process. It was created using the National PREA Resource Center's program, " PREA-What You Need to Know". This program is considered a “gold standard” nationally for inmate PREA information, for use in the intake process. ADOC developed it in June 2015. The video portion of the NPRC program is used in the Tutwiler Offender Education curriculum. This curriculum includes all of the requirements outlined in this provision. 4. Tutwiler provides an intake process for new admissions that includes the following: a. Video-" PREA-What You Need to Know" -referenced in #3 above. Monitor has this video and has viewed it. b. After viewing the video, officers inquire about any questions. The inmates sign an acknowledgement form. Video is close captioned and available in Spanish. c. If an inmate demonstrates any reaction of concern after seeing the video, a mental health professional is available to discuss it with her.
III.E.1 / III.E.3 / III.E.6 / III.E.7

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d. A classification PREA checklist is completed with each inmate and a classification analyst administers it. Monitor reviewed it. 5. Tutwiler and ADOC Women's Services developed a two-hour Offender Education module. It includes all of the information required in this provision. It was presented to ALL Tutwiler inmates in July 20-24, 2015, as required. Deputy Commissioner Williams conducted a specialized facilitator training class, prior to providing the module, for the five selected staff who would deliver the Offender Education module to all inmates. The groups of employees selected were excellent choices. 6. Monitor reviewed the entire Offender Education module and found it very adequate and informative. Monitor viewed the power point presentation also. Note: ADOC acknowledges that the Monitor did not review the Offender Education module/curriculum until September 2015. The Monitor did not begin work until mid-September and ADOC believed it was critical to provide the required training to the inmates on the required schedule. Monitor agrees. Monitor and DOJ reviewed the curriculum and provided comments to ADOC on October 15, 2015. ADOC has not responded to their final decision regarding their inclusion of any of the comments as of the time of this writing. ADOC has responded that if any changes are made to the current curriculum, the inmates will receive this information in planned quarterly review sessions. 7. Monitor reviewed the inmate rosters for their attendance for the required training sessions in July 2015. 8. Documentation of the employment of a specialist for the hearing impaired inmates was reviewed by Monitor. A special session was held by the specialist for hearing impaired inmates. 9. ADOC notes that SOP 8-12 contains most of the elements in III. E. 1. ADOC noted an exception is III. E 1. iv. and vi. Section E. iv. has been placed in SOP 5.0 dorm security. Section III. E. vi. is currently in the ADOC Office of Health Services policy, which is available for review by inmates. 10. Monitor discussed the intake and education module in the inmate focus group. All inmates except one remembered the intake PREA information and some had attended the July education module presentation. 11. Monitor observed most of the PREA presentation in the weekly inmate orientation session during the compliance visit. Lt. Young was the presenter and used the video, and presented thoughtful questions for the inmates in the group. 12. Monitor discussed the requirement for interpreter services with Deputy Commissioner Williams during the compliance visit and in a phone call in early January 2016.
a. Dr. Williams reported that interpreter services were not required for the Offender Education services. ADOC has identified an individual in Montgomery who is qualified and available to assist Tutwiler for any inmates needing assistance with language. b. Tutwiler administers a "risk assessment " checklist to all new admissions by a classification specialist. This employee is required to notify Lt. Young or the warden, if she is not available, that she has identified an inmate who will need evaluation ASAP for the need of interpreter services. c. Dr. Scott Holmes, Tutwiler psychological associate, has been identified to evaluate any "special services" that are required by an inmate , as defined in this provision. Dr. Holmes has the resources of both Corizon and MHM, as ADOC Tutwiler contractors, to provide needed resources on site or elsewhere.

III.E.1 / III.E.3 / III.E.6 / III.E.7

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MONITOR’S DISCUSSION: EXTENT TO WHICH ADOC AND TUTWILER HAVE COMPLIED WITH THE AGREEMENT

DATE: 1/17/2016

Monitor will evaluate ADOC and Tutwiler compliance by 1) interviews, as noted, 2) review of documents, as noted, and 3) baseline and compliance visits.

1. Tutwiler has an intake process that includes all the required information in this provision. The video "PREA-What You Need to Know" is used. This is a best practice. The video is used also in the offender orientation module.

2. The video is available in Spanish and close captioned.

3. Documentation showed that the Offender Education program was delivered to all Tutwiler inmates the week of July 20-24, 2015.

4. The monitor reviewed the Offender Education curriculum in September 2015-after contract for monitor was signed, and submitted comments. The monitor believes the curriculum used for the July training was sufficient to meet the requirements in this provision. It is under review for inclusion of more settlement specific items, that will enhance the module but not fundamentally affect its PREA factual content.

5. Inmate focus group responses reflected that inmates were ALL aware of PREA information at Tutwiler and knew how to report, the availability of the toll free phone line, and the inmate grievance system.

6. Monitor confirmed that ADOC can provide required interpreter service if an inmate requires them. At the time of this report, there has not been an inmate identified who is LEP or in need of an interpreter since the effective date of the settlement, May 28, 2015.

III.E.1 / III.E.3 / III.E.6 / III.E.7

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MONITOR’S RECOMMENDATIONS: (for at least the next 6 months) 1. Obtain a contract for routine availability of a hearing impaired specialist.

DATE DUE: 1. 2/28/2016

2. ADOC will make appropriate revisions to the offender education curriculum after reviewing the comments and the revised PREA training curriculum

2. Immediately

3. Establish a method to receive inmate feedback every six months on the PREA Intake and Offender Education module. Inmate survey can include these areas. Inmate feedback should be obtained three months after changes made to Offender Education curriculum as a result of the revised 8-12 SOP.

3. 3 months after curriculum revision

4. ADOC needs to write their plan for securing interpreter resources in a SOP, a contract with the Montgomery designated individual or an agreement with an agent who provides these services. The monitor will receive a copy of any documents created or executed as a result of this recommendation.

4. As soon as possible

III.E.1 / III.E.3 / III.E.6 / III.E.7

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INMATE EDUCATION

III.E ADOC and Tutwiler shall effectively and meaningfully communicate to all the inmates their right to be free from sexual abuse and harassment and the

protections in place at Tutwiler to ensure that such abuse and harassment does not occur or, if it does occur, is reported so it can be responded to promptly,

appropriately, and without retaliation.

Policy

Develop Implement

Policy Policy

(Inmate Education: Comprehensive)

2. Within 14 days of intake, ADOC and Tutwiler shall provide comprehensive orientation education to

III.E.2

May 28, Current

inmates either conducted in-person or through a video presented by an in-person facilitator regarding their rights to be free from sexual abuse and sexual harassment and to be free from retaliation for

III.E.3 III.E.4

2015 AND

inmates: May 28,

reporting such incidents, and regarding their policies and procedures for responding to such incidents.

III.E.5

Before 2015

3. Current Tutwiler inmates will receive the information and education described in III.E.2 within three

III.E.6

August AND

months of the Effective Date (by August 28, 2015).

III.E.7

28,

Before

4. ADOC and Tutwiler shall ensure that the individual conducting or facilitating the comprehensive inmate III.E.8

2015 August 28,

educational orientation is trained on Tutwiler’s and ADOC’s policies and procedures related to sexual

2015

abuse and sexual harassment, the PREA standards, and this Agreement.

5. The individual conducting or facilitating the comprehensive inmate orientation education shall remain

in the room during the entire orientation and shall monitor the inmates for reactions to and

understanding of the information. A mental health practitioner will serve as an advisor to the orientation

process and services will be available during the orientation process if indicated.

6. Consistent with current policy, ADOC and Tutwiler shall ensure that the information outlined in III.E.2 is

conveyed and made available in formats accessible to all inmates, including those who are limited English

proficient, deaf, visually impaired, or otherwise disabled as well as to inmates who have limited reading

skills.

7. ADOC and Tutwiler shall provide the Monitor and DOJ for their review consistent with Section III.A.6

any materials or curriculum utilized to satisfy the requirements of III.E.1

8. ADOC and Tutwiler shall maintain documentation of inmate participation in the education sessions

required by III.E.2.

III.E.2-8

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REQUIREMENTS

Policy Developed

Staff Trained

Comprehensive inmate education:

1. Includes inmates’ rights to be free from sexual abuse and sexual harassment and to be free from Y N N/A Y N N/A retaliation for reporting such incidents;

2. ADOC’s policies and procedures for responding to such incidents.

Y N N/A Y N N/A

Education is conducted in-person or through a video presented by an in-person facilitator. 1. The individual conducting or facilitating the comprehensive inmate educational orientation is trained on Tutwiler’s and ADOC’s policies and procedures related to sexual abuse and sexual harassment, the PREA standards, and this Agreement. 2. The individual conducting or facilitating the comprehensive inmate orientation education shall remain in the room during the entire orientation and shall monitor the inmates for reactions to and understanding of the information.

Y N N/A Y N N/A Y N N/A Y N N/A

A mental health practitioner will serve as an advisor to the orientation process and services will be available during the orientation process if indicated.

Y N N/A Y N N/A

The information is conveyed and made available in formats accessible to all inmates, including those who are limited English proficient, deaf, visually impaired, or otherwise disabled as well as to inmates who have limited reading skills.

Y N N/A Y N N/A

Materials and curriculum have been provided to the Monitor and DOJ for their review Documentation is maintained of inmate participation in the education sessions. Current Tutwiler inmates have received this information and education by August 28, 2015.

Y N N/A Y N N/A Y N N/A Y N N/A Y N N/A Y N N/A

Incoming Tutwiler inmates receive the comprehensive orientation education within 14 days of intake.

Y N N/A Y N N/A

Policy Implemented Y N N/A Y N N/A Y N N/A Y N N/A
Y N N/A Y N N/A
Y N N/A Y N N/A Y N N/A Y N N/A

III.E.2-8

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MONITOR’S MEASURES OF COMPLIANCE
Current Tutwiler inmates will receive the information and education described in III E. 1 1. Copy of curriculum for the Education module. 2. Schedule and SOP/memo implementing this process. 3. Documentation certifying that the assigned inmates received the training and who provided it, including the July 15 memo to staff and the schedule for July 20-24 for education sessions. 4 SOP for future delivery of this education module and providers. 5. Inmate focus group. 6. Interview of two of the trainers who provided/provide this module. 7. If Moss Group provided, interview with Andie Moss regarding curriculum origin. 8. Any evaluations of the training by inmates OR 9. Documentation of the training received by trainers providing this function.
This training is to be conveyed and made available in formats accessible to all inmates, including those who are limited English proficient, hearing impaired,.etc. 1. SOP to implement this requirement. 2. Documentation of any inmate who received this education training and is included in ANY of the groups described above. 3. Interview with two trainers. 4. Interview with two inmates included in these categories and have received the training. 5. Interviews with Captain McClain and Lt. Young and Warden Barrett.
ADOC and Tutwiler will provide the Monitor and DOJ....any materials or curriculum utilized to satisfy the requirements of III. E 1 1. Education module curriculum. 2. Any materials used, other than the curriculum. 3. Interview with Dr. Williams.
Trainers must be trained on ADOC and Tutwilers policies and procedures related to sexual abuse, sexual harassment, PREA and agreement 1. Documentation of trainers "training" and when it occurred. 2. Interviews with two trainers, Warden Barrett and Dr. Williams. 3. Evidence of trainer remaining in room. 4. Interview with mental health professional who served as an advisor to orientation process, including information about their participation in any session and documentation of her role, if any.

III.E.2-8

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Documents

STEPS TAKEN BY MONITOR TO ANALYZE CONDITIONS AND ASSESS COMPLIANCE, AND FACTUAL BASIS FOR MONITOR’S FINDINGS

(for each member of monitoring team)

Notes: Note: items 3, 6, 7 responses were addressed in Monitor tool III. E. 1,3,6,7. Monitor will address items 2, 4, 5, 8 in this monitoring tool

Interviews

On-site/Observations / Other

1. ADOC AR 454- PREA policy. 2. Tutwiler SOP 8-12 (under revision). 3. Tutwiler lesson plan for "Women Offender Education"
2015. 4. Offender Education power point presentation. 5. Rosters for inmate attendance for July 2015 " Women
Offender Education" two hour training. Training was completed for all inmates assigned at that time. 6. Rosters for inmate attendance for Inmate Education module for the month of November 2015. 7. Memo issued July 15, 2015 by Deputy Commissioner Williams. Memo was directed to the staff facilitators that presented the education module the week of July 20-24 for all assigned inmates at Tutwiler. This memo reiterated the PREA topical areas included in the training. 8. Memo issued by Deputy Commissioner Williams to Tutwiler staff assigned to an "Inmate Orientation Curriculum (extended) Work Group. 9. Voucher and payment for certified provider of interpretive services for the hearing impaired. She was available to provide the inmate education two hour module for any hearing impaired inmates on July 24, 2015. 10. PREA inmate orientation, per E.1, to be provided for new admission inmate intake processing at Tutwiler. 11. PREA video, "PREA- What You Need to Know", utilized in the Intake initial processing. 12. Tutwiler inmate orientation schedule, presented every Thursday and providers of the various segments.
III.E.2-8

1. Deputy Commissioner Williams 2. Warden Barrett 3. Captain McClain 4. Lt. Young 5. Andie Moss, the Moss Group 6. Inmate focus group 7. Informal interview with four new
admissions on September 30, 2015, by Monitor, during baseline tour

None

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13. Documentation of Inmate Education module staff facilitator training by Deputy Commissioner Williams on July 13, 2015. It was a three-hour training session attended by seven selected trainers for the week-long session for all inmates July 20-24. These trainers were Lt. Young, Lt. Coleman, Lt. Arrington, Lt. Blanding, the MHM Site Administrators, the Corizon Site Administrator, and Cpt. McClain.
14. Documentation indicating the presence of Lt. Young during the inmate training sessions.
15. Memo from Deputy Commissioner Williams appointing a group to review and revise the current inmate orientation program. Updates will include policy/SOP updates, revisions.

Not applicable

UNRESOLVED/PARTIALLY RESOLVED ISSUES FROM PREVIOUS TOUR

Page 84 of 226

III.E.2-8

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NOTE: THIS SECTION INCLUDES III.E.2, III.E.3, III.E.4, III.E.5, III.E.6, III.E.7 and III.E.8. Please provide separate findings for each provision
MONITOR’S FINDINGS: Substantial Compliance Partial Compliance Non-compliance n/a no assessment due until __________

DATE: 2/15/16

MONITOR’S DISCUSSION: STEPS TAKEN BY ADOC AND TUTWILER TOWARDS IMPLEMENTATION

DATE: 1/17/2016

Requirements (summary) 1. ADOC and Tutwiler shall provide a comprehensive orientation program for inmates within 14 days of intake. This program instructs inmates about their rights to be free from sexual abuse and sexual harassment and to be free from Retaliation for reporting these incidents. They shall ensure that this information is conveyed and accessible to all inmates, including the LEP, hearing and visually impaired or otherwise disabled or have limited reading skills. Current Tutwiler inmates shall ALL receive this orientation education by August 28, 2015. 2. ADOC and Tutwiler shall ensure that the facilitator(s) are trained regarding ADOC and Tutwiler PREA policies and procedures. The person who is the program facilitator should remain in the room the entire time, to observe and monitor inmate reactions to the information they are receiving. A mental health professional will be an advisor to the orientation and will ensure services are available during the orientation if needed. 3. ADOC and Tutwiler shall maintain documentation of inmate participation in these required education sessions. ____________________

Monitor will evaluate steps taken by ADOC and Tutwiler by 1) interviews, as noted 2) review of documents, as noted, and 3) baseline and compliance visits.

1. ADOC AR 454 and Tutwiler SOP 8-12. 2. ADOC Women's Services developed a comprehensive PREA Offender Education Orientation module in June 2015--to comply with III. E. 1. This curriculum used materials from the National PREA Resource center and includes their program "PREA-What You Need to Know" and a video of this information. The NPRC program was developed as a resource for agencies to use in an intake process. The video is used in the intake process at Tutwiler and in the weekly comprehensive inmate orientation program that includes this PREA module, presented by Lt. Young. 3. Deputy Commissioner Williams selected five professionals to be the primary facilitators for the required sessions for the entire Tutwiler population by August
III.E.2-8

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28, 2015. These staff included ADOC PREA Director, Ms. Vincent, her Assistant Coordinator, Lt. Arrington, Tutwiler PREA Coordinator, Lt. Young, Lt. ColemanTutwiler Grievance Manager. Commissioner Williams conducted a special training for these facilitators prior to actual sessions that included all requirements of this provision. 4. Pursuant to this requirement, all Tutwiler inmates received the two-hour PREA Offender Education module in July 20-24, 2015. Monitor reviewed rosters for inmate attendance for these sessions as documentation. 5. These July sessions had the services of a hearing impaired specialist who conducted special session for inmates needing that service. 6. Tutwiler provides weekly inmate orientation sessions every Thursday. Lt. Young, IPCM, conducts the in-depth PREA Offender Education module, developed by Commissioner Williams in June 2015 and delivered to the entire Tutwiler population in July. 7. Monitor observed most of the presentation by Lt. Young at orientation during the compliance visit. The video was used as part of the module. 8. The MHM Site Administrator, and Dr. Scott Holmes, Psychological Associate at Tutwiler, are advisors in the orientation program and facilitate mental health services for inmates. 9. Monitor reviewed the offender information module.

MONITOR’S DISCUSSION: EXTENT TO WHICH ADOC AND TUTWILER HAVE COMPLIED WITH THE AGREEMENT

DATE: 1/17/2016

Monitor will evaluate ADOC and Tutwiler compliance by 1) interviews, as noted, 2) review of documents, as noted, and 3) baseline and compliance visits.

1. ADOC AR 454--PREA agency policy. 2. Tutwiler SOP 8-12 PREA procedures and policy. 3. Offender Education module, developed by ADOC Women's Services, in June 2015. 4. Documentation of all Tutwiler inmates receiving the Offender Education module in July 2015. 5. Facilitators presenting the July sessions received special training developed by Commissioner Williams prior to conducting training. 6. The July training sessions had a hearing impaired specialist available. 7. Tutwiler has a weekly inmate orientation program. One session is the PREA orientation module/video and it is presented by Lt. Young, IPCM, as required by this provision. 8. Monitor and DOJ received the Offender Education curriculum in September 2015. Both submitted comments back to ADOC in mid-October. ADOC is reviewing the comments, and other information, and will respond back to Monitor and DOJ as soon as the final decision is made by ADOC. 9. ADOC has complied with this provision by offering the required Offender Education module in July 2015. The information presented used materials from the National PREA Resource center and was NOT dependent on the revised PREA staff-training curriculum that became available in January 2016. The PREA session of inmate orientation also relies on the video and materials produced by the NPRC.

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MONITOR’S RECOMMENDATIONS: (for at least the next 6 months) 1. The offender Education module is under review for inclusion of any settlement specific PREA information and any comments made by monitor and DOJ. The monitor shall receive the revised curriculum once completed. The monitor believes that the curriculum used in the July training was sufficient in the provision of the basic required PREA information.

DATE DUE:
1. As soon as completed

2. Commissioner Williams appointed a work group of staff to review and revise the current inmate orientation program at Tutwiler. The goal is to create an orientation curriculum that organizes the material presented and avoids the redundancy present now. The PREA education module remains intact in the future orientation program. The workgroup may submit a draft revised inmate orientation format in early 2016. The monitor has requested to review it once completed .

2. 2/1/2016

3. Create process for inmate feedback of the orientation program, after the revised curriculum has been used for six months.

3. April, 2016

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GENDER-RESPONSIVE CLASSIFICATION III.F Consistent with constitutional standards, ADOC and Tutwiler shall develop and implement a classification process including custody classification, and risk/need assessment, and screening for risk of vulnerability or perpetration of sexual abuse or sexual harassment and use that information to inform housing,

bed, work, education, and program assignments with the goal of maximizing safety.

Policy

Develop Implement Policy Policy

1. Within two months of the Effective Date, ADOC and Tutwiler shall convene a working group to evaluate methods to decrease or eliminate Tutwiler’s use of Dorm A for a period of time that exceeds 48 hours while screenings are completed, including an examination of the necessity of PAP test and/or other medical, mental health, or intellectual test results prior to classification and failures to provide adequate continuity in medical and mental health care to Dorm A residents

III.F.1

Convene Working Group by July 28, 2015

Policy

Staff Trained

Policy

REQUIREMENTS

Developed

Implemented

Working Group Convened

Y N N/A Y N N/A

Y N N/A

Evaluate methods to decrease or eliminate use of Dorm A for a period that exceeds 48 hours

Y N N/A Y N N/A

Y N N/A

Examine necessity of receiving PAP test and/or other medical, mental health, or intellectual test results Y N N/A Y N N/A prior to classification

Y N N/A

Examine any failures to provide adequate continuity in medical and mental health care to Dorm A residents

Y N N/A Y N N/A

Y N N/A

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MONITOR’S MEASURES OF COMPLIANCE

A. Directive to appoint a Dorm A working group. List of members and their position. B. Minutes of any meetings that have been held and recommendations documented for actions regarding the requirements in this section. C. Written evaluation of methods for decreasing or eliminating use of Dorm A for a period that exceeds 48 hours. D. Written review and recommendations regarding necessity of PAP test and other medical, mental health and intellectual tests results prior to classification. Any minutes of a sub group health services meetings to address this issue including who participated. E. Written recommendations received from staff about their review of these tests and recommendations. F. SOP and directives followed to examine any failures to provide adequate continuity of care in medical and mental health care to Dorm A residents. G. Any published SOPs and directives implementing action plans in response to this requirement. Include any forms used or developed. Logs, etc. H. Interviews with Dr. WIlliams, Warden Barrett, Capt. McClain, Lt. Young, Site Health Administrator, chief housing officer who assigns inmates out of dorm A, inmate focus group. I. Roster of inmates assigned to dorm A since September 1-November 1 and the dates assigned and reassigned out of the dorm.

Documents

STEPS TAKEN BY MONITOR TO ANALYZE CONDITIONS AND ASSESS COMPLIANCE, AND FACTUAL BASIS FOR MONITOR’S FINDINGS

(for each member of monitoring team)

Interviews

On-site/Observations / Other

1. Memo of July 10, 2015, documenting the appointment and convening of the Dorm A workgroup, per this section, by Deputy Commissioner Williams. Workgroup was chaired by Dr. David Tytell and Warden Wright. Members were Ms. Westry (ADOC Inmate Classification Supervisor), F. Hardy (Tutwiler Corrections Officer), Dr. Holmes (ADOC Tutwiler Psychological Associate), the Corizon Director of Nursing at Tutwiler, and the MHM Site Administrator,
2. Minutes of the Dorm A workgroup that met on July 23 and On October 16, 2015. Minutes were submitted by the group co-chairs.
3. Spreadsheet, maintained by Tutwiler CO Felicia Hardy, that documents the length of stay for all inmates assigned to Dorm A and when they were assigned to population housing.

1. Deputy Commissioner Williams 2. Warden Barrett 3. Captain McClain 4. Lt. Young 5. Dr. David Tytell - ADOC Chief
Psychologist-co- chair, Dorm A workgroup 6. Warden I Wright, Tutwiler and co-chair of Dorm A workgroup 7. Ms. Chitema Westry-Classification Supervisor 8. Inmate focus group

1. Monitor visited and spent time in Dorm A during baseline visits. Informal discussions were held with inmates and staff assigned there. Monitor observed that other housing dorms at Tutwiler were either fully occupied or there were just a few vacant bunks available.

III.F.1

Not applicable

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UNRESOLVED/PARTIALLY RESOLVED ISSUES FROM PREVIOUS TOUR

Page 90 of 226

MONITOR’S FINDINGS: Substantial Compliance Partial Compliance Non-compliance n/a no assessment due until __________

DATE: 2/15/16

MONITOR’S DISCUSSION: STEPS TAKEN BY ADOC AND TUTWILER TOWARDS IMPLEMENTATION

DATE: 1/17/2016

Monitor will evaluate the steps taken by ADOC and Tutwiler by 1) interviews, as noted 2) review of documents, as noted and 3) baseline and compliance visits.

Requirements (summary) 1. ADOC and Tutwiler shall convene a working group, by July 28, 2015, to evaluate methods to decrease or eliminate use of Dorm A for a period that exceeds 48 hours 2. Examine necessity of receiving PAP test and other medical, mental health, intellectual tests prior to classification 3. Examine any failures to provide adequate continuity of medical and mental health care to dorm A inmates
III.F.1

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_____________________
NOTE FOR THE COURT: Dorm A is utilized at Tutwiler for housing new admissions to the facility. Inmates there are 1) involved actively in the intake, processing part of their initial incarceration, or have 2) completed the initial processing requirements and are ready to be classified and transferred into general population housing at Tutwiler. It is a large dormitory. Some Inmates have remained there for extended periods of time after their classification readiness, due to lack of bed vacancies in other housing areas at Tutwiler or due to “medical holds”.
1. Deputy Commissioner Williams appointed the dorm A work group in a memo sent July 10, 2015. The group consisted of: Dr. David Tyrell, ADOC Chief Psychologist, (co-chair), Warden I Deidra Wright (co-chair), Dr. Scott Holmes, Ms. Christy Vincent (ADOC PREA), Ms. Felicia Hardy (Tutwiler CO, reception unit), Ms. Chitema Westry (Classification Supervisor), the MHM Site Administrator, the Corizon Site Administrator, and Ms. Lynn Brown (ADOC Office of Health Services). 2. Workgroup meetings were held on July 23 and October 16, 2015 and Monitor reviewed minutes of the meetings. Monitor interviewed Dr. Tytell and Warden Wright regarding their role as co-chairs. The initial meeting discussed various options for additional housing spaces at Tutwiler, to relieve the delay of inmate movement due to limited bed space elsewhere. The second meeting discussed their findings, which included information received about their proposed options for housing. It was concluded that it was currently impossible to move forward with plans for additional housing for a variety of structural, logistical and financial reasons. A decision was made to continue to meet as a group quarterly and review options/ideas as they change or come forward. 3. Ms. Felicia Hardy, Tutwiler housing officer, maintains a spreadsheet for the inmate assignments into Dorm A and their movement out of Dorm A. Monitor has reviewed these spreadsheets. Monitor saw that assigned inmates in Dorm A are routinely moved out to general housing within 2 weeks. At times, inmates are ready to move within a few days and cannot due to a lack of vacant beds. 4. Monitor interviewed Ms. Brown and Associate Commissioner for Health Services, Ruth Naglich, regarding any impediments to moving inmates out of dorm A due to initial testing requirements (PAP, etc.). 5. Monitor discussed Dorm A with inmate focus group and no one complained about being kept in there for any extended period of time.

MONITOR’S DISCUSSION: EXTENT TO WHICH ADOC AND TUTWILER HAVE COMPLIED WITH THE AGREEMENT

DATE: 1/17/2016

Monitor will evaluate ADOC and Tutwiler compliance by 1) interviews, as noted, 2) review of documents, as noted, and 3) baseline and compliance visits.

1. Pursuant to this provisions, Deputy Commissioner appointed the Dorm A workgroup on July 10, 2015. The workgroup is comprised by professionals whose work disciplines are involved with the mission of Dorm A.

2. The workgroup met on July 23 and October 16, 2015 and minutes revealed robust discussions of possible options for additional housing at Tutwiler. Monitor notes that this provision requires that a work group "evaluate" methods to decrease or eliminate Tutwiler’s use of Dorm A. This group did make an evaluation, as required.

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3. Monitor reviewed the spreadsheet documenting inmate movements in and out of Dorm A from September 1-November 1, 2016. Monitor observed routine inmate movements out of this dorm on a timely basis.
4. In interviews with various medical/mental health staff, no testing impediments were noted that would require keeping new admissions in Dorm A. It is clear to Monitor that the inmate movements out of Dorm A are as result of the lack of available bed space, not medical tests. The health care staff did not see any impediments to treatment occurring to inmates in dorm A. Monitor did not see or hear any inmate complaints about any impediment to treatment occurring, due to dorm A movements, in the review of the grievance review or in the inmate focus group.

MONITOR’S RECOMMENDATIONS: (for at least the next 6 months)

DATE DUE:

1. Dorm A workgroup should meet quarterly in 2016. Minutes need to be sent to the Monitor and DOJ.
2. The Dorm A workgroup evaluated available options at Tutwiler for additional housing. They concluded that their recommended possible options were not feasible. The monitor concurs with their review. ADOC should seriously explore additional facility housing for female inmates in long range planning.

1. First meeting to occur by 3/1/2016
2. Ongoing

III.F.1

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GENDER-RESPONSIVE CLASSIFICATION

III.F Consistent with constitutional standards, ADOC and Tutwiler shall develop and implement a classification process including custody classification, and

risk/need assessment, and screening for risk of vulnerability or perpetration of sexual abuse or sexual harassment and use that information to inform housing,

bed, work, education, and program assignments with the goal of maximizing safety.

Policy

Develop Implement

Policy Policy

2. Within six months of convening of the working group, ADOC and Tutwiler shall retain an expert in

Retain

gender responsive assessment and classification.

III.F.2

expert by

January

28, 2016

REQUIREMENTS

Policy Developed

Staff Trained

Policy Implemented

The retained expert develops and submits for review to the Workgroup and Monitor a summary of recommendations and proposed deliverables that outline a plan for implementation and validation of an objective and internal classification system specific to the women inmates at Tutwiler.

Y N N/A

The classification system incorporates gender responsive principles and addresses the needs of women Y N N/A inmates at Tutwiler including housing safety, mental health (depression/anxiety/psychosis), abuse and
trauma, family conflict, relationship dysfunction, and parental stress.

The system focuses on strength and resiliency factors including educational assets, family support, and Y N N/A self-efficacy

Proposed plan examines the designation of “restricted status” for inmates at Tutwiler to determine the

appropriateness of the designation as it relates to classification, housing, programming, and

Y N N/A

community custody.

The proposed plane is based on expert review and addresses adjustments to the classification system,

adequate data collection and analysis, and appropriate ongoing testing for effectiveness.

Y N N/A

Y N N/A Y N N/A Y N N/A Y N N/A Y N N/A

Y N N/A Y N N/A Y N N/A Y N N/A Y N N/A

III.F.2

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MONITOR’S MEASURES OF COMPLIANCE
RETAINED expert develops, and submits for review to the workgroup and Monitor, a summary of recommendations. a. Resume and experience in gender classification plans for Dr. Pat Van Voorhis. b. Review of contract for Dr. Van Voorhis. c. Review of the summary/ deliverables developed and submitted by Dr. Van Voorhis. d. Review of previous assessment of Tutwiler classification system in February 2015 by Dr. Van Voorhis. e. Interviews with Dr. Williams, Warden, Andie Moss and Dr. Van Voorhis.
The classification system incorporates gender responsive principles and addresses the needs of women inmates at Tutwiler, including housing,.... a. Policies and practices used by Dr. Van Voorhis to develop the gender classification system. b. Examples of a similar classification system that will guide the Tutwiler system-if available-Dr. Van Voorhis can direct Monitor to a site for this review. c. Interviews with Dr. Van Voorhis, Andie Moss, Dr. Williams.
SYSTEM focuses on strength and resiliency factors... a. Same measures as stated above.
PROPOSED plan examines the designation of "restricted status" for inmates at Tutwiler... a. Review of proposed plan submitted by Dr. Van Voorhis and specifically, the area addressing the use of "restricted status" at Tutwiler. b. Interviews with Dr. Williams, Warden and Dr. Van Voorhis, Andie Moss.
PROPOSED plan is based on expert review and addresses adjustments to the classification system, adequate data collection... a. Review of plan and implementation schedule. b. Interviews as indicated previously.

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Documents

STEPS TAKEN BY MONITOR TO ANALYZE CONDITIONS AND ASSESS COMPLIANCE, AND FACTUAL BASIS FOR MONITOR’S FINDINGS

(for each member of monitoring team)

Interviews

On-site/Observations / Other

1. Documentation that, per ADOC request, the Moss Group has retained Dr. Pat Van Voorhis as a gender classification expert, per requirement in this section. 2. Review of the credentials of Dr. Van Voorhis relevant to her selection as an expert in gender classification. Monitor is familiar with her expertise and finds her highly qualified.

1. Deputy Commissioner Williams 2. Captain McClain 3. Lt. Young 4. Ms. Westry 5. Andie Moss, the Moss Group

1. On both visits to Tutwiler, Monitor observed the crowded dorms and the challenges present to manage multiple classified populations. It is hoped that the new system will provide a more thoughtful and operationally relevant classification system for these female offenders.

Not applicable

UNRESOLVED/PARTIALLY RESOLVED ISSUES FROM PREVIOUS TOUR

III.F.2

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MONITOR’S FINDINGS: Substantial Compliance Partial Compliance Non-compliance n/a no assessment due until __________

DATE: 2/15/16

MONITOR’S DISCUSSION: STEPS TAKEN BY ADOC AND TUTWILER TOWARDS IMPLEMENTATION

DATE: 1/17/2016

Monitor will evaluate steps taken by ADOC and Tutwiler by 1) interviews, as noted 2) review of documents, as noted and 3) baseline and compliance visits.

Requirements (summary) 1. Within six months of convening the work group (by January 28, 2016), ADOC and Tutwiler shall retain an expert in gender responsive assessment and classification 2. The expert will develop and submit for review to the workgroup and Monitor a summary of recommendations and proposed deliverables that outline a plan for implementation and validation of an objective and internal classification system specific to the women inmates at Tutwiler. 2. Rest of requirements are specific to the content of the classification system that will be developed ___________________ 1. Dr. Pat Van Voorhis has been retained to be the gender- responsive classification expert. She is a consultant for the Moss group and has been involved in a number of gender classification projects. 2. Monitor is very familiar with the extensive experience and credentials for Dr. Van Voorhis and finds her an excellent choice for this project. Among many examples of her expertise, Dr. Van Voorhis was a member of federal study teams that contributed to the American Bar Association's standards for classifying women offenders, as well as the design of the National Institute of Corrections "Effective Interventions Program" -Gender Informed Practice Assessment. 3. Dr. Van Voorhis begins this work in January 2016 and she will develop a summary of recommendations and proposed deliverables to ADOC. 4. It is noted that Dr. Van Voorhis reviewed the Tutwiler programs and classification in February 2015.

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MONITOR’S DISCUSSION: EXTENT TO WHICH ADOC AND TUTWILER HAVE COMPLIED WITH THE AGREEMENT

DATE: 1/17/2016

Monitor will evaluate the ADOC and Tutwiler compliance by 1) interviews, as noted 2) review of documents, as noted and 3) baseline and compliance visits.

1. ADOC has multi-year contract with the Moss Group. The Moss Group retained the services of Dr. Pat Van Voorhis, a nationally recognized expert in gender assessments and classification.

2. Dr. Van Voorhis is completing the required summary of her recommendations and deliverables, pursuant to this provision, for ADOC. Monitor and DOJ will receive for their review and comment.

MONITOR’S RECOMMENDATIONS: (for at least the next 6 months)
1. Review the documents submitted by Dr. Van Voorhis.

DATE DUE: 1. 1/28/2016.

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GENDER-RESPONSIVE CLASSIFICATION III.F Consistent with constitutional standards, ADOC and Tutwiler shall develop and implement a classification process including custody classification, and risk/need assessment, and screening for risk of vulnerability or perpetration of sexual abuse or sexual harassment and use that information to inform housing,

bed, work, education, and program assignments with the goal of maximizing safety.

Policy

Develop Policy

Implement Policy

3. The approved plan for implementation of the classification system shall be managed by an implementation workgroup and completed within two years of the approval of plan 4. The system shall provide programs that incorporate gender responsive principles and address the needs of women inmates at Tutwiler, including those addressing sexual abuse, sexual harassment, and trauma; domestic violence; dating violence; and medical and mental health care.

III.F.3 III.F.4

September September 28, 2016 28, 2018 (

Policy

Staff Trained

Policy

REQUIREMENTS

Developed

Implemented

Managed by an implementation workgroup

Y N N/A Y N N/A

Y N N/A

Completed within 2 years of approval

Y N N/A Y N N/A

Y N N/A

System provides programs that address the needs of women inmates at Tutwiler, including: 1. Gender responsive programming addressing sexual abuse/harassment and trauma 2. Gender responsive programming addressing domestic violence and dating violence 3. Gender responsive programming addressing medical care 4. Gender responsive programming addressing mental health care

Y N N/A Y N N/A Y N N/A Y N N/A Y N N/A

Y N N/A Y N N/A Y N N/A Y N N/A Y N N/A

Y N N/A Y N N/A Y N N/A Y N N/A Y N N/A

MONITOR’S MEASURES OF COMPLIANCE

1. Interviews with Dr. Williams, Warden Barrett, Captain McClain, Lt. Young, ADOC Classification Supervisor, Andie Moss, the Moss Group, phone interview with Dr. Van Voorhis. 2. Draft copies of gender classification system as it is submitted for review. 3. Reference materials utilized to develop a gender responsive classification system for ADOC. 4. Implementation plan developed and submitted by Dr. Van Voorhis for new classification system. 5. Composition of Tutwiler Implementation workgroup for new classification system.

III.F.3 / III.F.4

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Documents

STEPS TAKEN BY MONITOR TO ANALYZE CONDITIONS AND ASSESS COMPLIANCE, AND FACTUAL BASIS FOR MONITOR’S FINDINGS

(for each member of monitoring team)

Interviews

On-site/Observations / Other

1. Implementation plan developed and submitted by Dr. Pat Van Voorhis, for a gender responsive classification system. 2. Draft policy for a Gender Responsive Classification system for female inmates. 3. Tutwiler SOP for revised/new classification system.

1. Deputy Commissioner Williams 2. Andie Moss, the Moss Group

None

Not applicable

UNRESOLVED/PARTIALLY RESOLVED ISSUES FROM PREVIOUS TOUR

III.F.3 / III.F.4

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NOTE: THIS SECTION INCLUDES III.F.3 and III.F.4. Please provide separate findings, discussion, and recommendations for all provisions. MONITOR’S FINDINGS:
Substantial Compliance Partial Compliance Non-compliance n/a September, 2016

DATE: 2/15/16

MONITOR’S DISCUSSION: STEPS TAKEN BY ADOC AND TUTWILER TOWARDS IMPLEMENTATION

DATE: 1/17/2016

Monitor will evaluate steps taken by ADOC and Tutwiler by 1) interviews 2) review of documents, as noted and 3) baseline and compliance visit

1. Deputy Commissioner Williams worked with the Moss Group to identify a national expert for gender classification. Dr. Pat Van Voorhis was recommended and hired by the Moss Group. Her work in gender classification and gender responsive principles is well known nationally and by the Monitor. 2. Dr. Van Voorhis will begin the development of the master plan for a gender based classification system in January, 2016 for implementation at Tutwiler at a later date to be determined. 3. Once the master plan is completed, the draft will be submitted to the Monitor and DOJ for review and comment. 4. This section requires the appointment of an implementation work group by ADOC. This group will be created by ADOC Women's Services, the Moss Group and Dr. Van Voorhis. The appointment of the group will be made after all parties have reviewed and ADOC has approved the final plan for the development of a gender based classification system. 5. The requirements of this section will all be included in the classification plan.

III.F.3 / III.F.4

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MONITOR’S DISCUSSION: EXTENT TO WHICH ADOC AND TUTWILER HAVE COMPLIED WITH THE AGREEMENT

DATE: 1/17/2016

Monitor will evaluate the compliance of ADOC and Tutwiler by 1) interviews, as noted, 2) review of documents, as noted, and 3) baseline and compliance visits.

1. The dates regarding final compliance with this provision will be established after the final plan is approved and the implementation workgroup has been appointed.

2. Monitor would like to see the implementation workgroup establish timelines for this process. Monitor is personally aware of the challenges facing an agency regarding the development and implementation of a new classification process.

3. ADOC should establish a proposed validation process with Dr. Van Voorhis for evaluation after the system has been operational.

MONITOR’S RECOMMENDATIONS: (for at least the next 6 months)
1. ADOC to submit a summary progress update on June 1, 2016 for Monitor and DOJ.

DATE DUE: 1. June 1, 2016

III.F.3 / III.F.4

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III.G Risk Assessment

RISK ASSESSMENT

1. ADOC and Tutwiler shall continue to utilize a risk assessment instrument to screen for risk of victimization and abusiveness

REQUIREMENTS

Policy
III.G.1 Policy Developed

Develop Implement Policy Policy
May 28, May 28, 2015 2015 Staff Trained Policy
Implemented

Initiate and document communication with facility from which the inmate is received to learn about their incarceration, adjustment issues, disciplinary history, and any other factors relevant to identification of potential predators and victims including pregnancy status.

Y N N/A Y N N/A Y N N/A

If an inmate arrives at Tutwiler from another custodial institution, including a county jail, work release placement, or halfway house, the transferring facility is notified that if it is suspected, as a result of either the inmate’s self-reporting or after the initial medical evaluation, that sexual abuse in a custodial setting could have caused the pregnancy.

Y N N/A Y N N/A Y N N/A

All inmates are assessed during an intake screening within 72 hours of arrival. The screening includes an assessment of an inmate’s risk of being sexually abused by other inmates or sexually abusive toward other Y N N/A Y N N/A inmates.
1. In assessing inmates for risk of being sexually abusive, the initial screening considers prior acts of sexual abuse, prior convictions for violent offenses, and history of prior institutional violence and/or Y N N/A Y N N/A sexual abuse
2. If the screening indicates that an inmate has experienced prior sexual victimization or perpetrated sexual abuse, whether it occurred in an institutional setting or in the community, staff ensure that Y N N/A Y N N/A the inmate is offered a follow-up with a medical or mental health practitioner within 14 days of the intake screening.

Y N N/A Y N N/A Y N N/A

The intake screening includes: Whether the inmate has a mental, physical, or developmental disability; the Y N N/A Y N N/A age of the inmate; the physical build of the inmate; whether the inmate has previously been incarcerated; whether the inmate has a history of substance abuse and/or alcohol dependency; whether the inmate has a history of self injurious behavior and/or suicidal ideation; whether the inmate’s criminal history is exclusively nonviolent; whether the inmate has prior convictions for sex offenses against an adult or child; whether the inmate is or is perceived to be gay, lesbian, bisexual, transgender, intersex, or gender nonconforming; whether the inmate has previously experienced sexual victimization; the inmate’s own

Y N N/A

III.G.1

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perception of vulnerability; and any other factors that have been selected for Tutwiler.

Within 30 days of an inmate’s arrival at Tutwiler, Tutwiler reassesses the inmate’s risk of victimization or abusiveness based upon a trauma screening and assessment developed under III.F2 and any additional, relevant information received by Tutwiler since the intake screening.
An inmate’s risk level is reassessed when warranted due to a referral, request, incident of sexual abuse, or receipt of additional information that bears on the inmate’s risk of sexual victimization or abusiveness
ADOC and Tutwiler use information from the risk screening to make an individualized and safety-based determination of prisoners’ housing, bed, work, education, and program assignments

Y N N/A Y N N/A Y N N/A Y N N/A Y N N/A Y N N/A Y N N/A Y N N/A Y N N/A

Placement and programming assignments for inmates at high risk of sexual victimization are reassessed at least twice each year to review any threats to safety experienced by the inmate and such inmate’s own views with respect to her own safety are given serious consideration.

Y N N/A Y N N/A Y N N/A

MONITOR’S MEASURES OF COMPLIANCE

Communication with transferring facilities regarding about several factors relevant to identification of potential predators and victims, including pregnancy status A. Tutwiler SOP for initiating and documentation for communications with jails, halfway house, work release placement for inmates transferring to Tutwiler. B. List showing numbers of inmates transferred from other facilities to Tutwiler over last four months. All documentation preserved for the official communication from Tutwiler to sending facility. I will review random samples. C. Interview the individual(s) who are responsible for making these calls and creating the documents. I can talk to one staff member-if two shifts, then 15 minute brief interview with one from each rotation. D. SOP for notifying a sending facility of any suspicions of sexual abuse that may have resulted in a pregnancy. Copies of any reports made to another facility. Who makes this notification?

III.G.1

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Documents

STEPS TAKEN BY MONITOR TO ANALYZE CONDITIONS AND ASSESS COMPLIANCE, AND FACTUAL BASIS FOR MONITOR’S FINDINGS

(for each member of monitoring team)

Interviews

On-site/Observations / Other

1. Draft of Tutwiler SOP 8-12, which is currently under revision. Revisions will include this section’s requirements.
2. Form 454 C- classification risk assessment checklist. Developed in May 2014 by ADOC office of Health Services. Tutwiler began using it in July 2014.
3. Completed risk assessments on all inmates received at Tutwiler in October 2015.
4. Letters from Warden Barrett that informed two different jails that allegations had been received by his office. The allegations were related to the inmate’s custody in the respective jails.
5. Tutwiler classification form that documents a referral is submitted to mental health based on their classification review of the risk assessment checklist, per the requirements of this section. Classification developed the form and keeps on file.
6. Tutwiler/ADOC mental health PREA interview form used to document an interview response to the Risk assessment checklist. Monitor reviewed ten of these completed interview responses by Tutwiler mental health staff.
7. Review of ADOC/Tutwiler mental health staff General Screening form used for new admission evaluations.
8. Tutwiler Mental Health log of PREA referrals and why the referral was made. Twelve referrals were noted on the log submitted October 2014-November 2015.
9. ADOC psychological evaluation form used to for initial evaluation of any inmate referred to them.
10. List of all inmate transfer movements in and out of Tutwiler for August 2015. It lists the reason for the movement and the locations involved in the transfers.
III.G.1

1. Deputy Commissioner Williams 2. ADOC Associate Commissioner for Health
Services, Ms. Ruth Naglich 3. Warden Barrett 4. Captain McClain 5. Lt. Young 6. Ms. Westry 7. Dr. Scott Holmes, Tutwiler Psychological
Associate 8. MHM Site Administrator 9. Tutwiler Corizon Director of Nursing 10. Ms. Lynn Brown, ADOC Regional
Manager 11. Ms. Christy Vincent, ADOC PREA Director 12. Inmate focus group

1. Monitor compliance tour on December 2. Several inmate medical files were reviewed to verify the referral process used in response to the classification risk assessment checklist. Monitor learned that these documents are retained by Dr. Holmes in mental health at Tutwiler. Monitor observed several general mental health interview forms/notes completed by staff.
2. Monitor had multiple discussions with staff about the development, implementation and use of the PREA Classification Risk Assessment checklist. Staff included Ms. Naglich, Ms. Christy Vincent, Ms. Westry, Dr. Holmes, Ms. Lynn Brown, Lt. Young.
3. Inmate focus group.

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Not applicable

UNRESOLVED/PARTIALLY RESOLVED ISSUES FROM PREVIOUS TOUR

MONITOR’S FINDINGS: Substantial Compliance Partial Compliance Non-compliance n/a no assessment due until __________

DATE: 2/15/16

III.G.1

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MONITOR’S DISCUSSION: STEPS TAKEN BY ADOC AND TUTWILER TOWARDS IMPLEMENTATION

DATE: 1/17/2016

Monitor will evaluate steps taken by ADOC and Tutwiler by 1) interviews, as noted, 2) review of documents, as noted, and 3) baseline and compliance visits.

Requirements (summary) 1. ADOC and Tutwiler shall continue to utilize a risk assessment instrument to screen for risk for victimization and abusiveness 2. Tutwiler shall initiate, and document, communication with a transferring facility regarding the Tutwiler inmate arriving, in Intake period. The information request involves background information, like disciplinary history and adjustment to incarceration etc. and any other factors relevant to identification of potential predators and victims, including pregnancy status. In addition, Tutwiler shall notify any transferring custodial facility of any suspicion, as a result of either the inmate self-report or after initial medical exam, that sexual abuse in a custodial setting could have caused the pregnancy 3. All inmates are accessed within 72 hours of arrival at Tutwiler. The screening includes an assessment of an inmates' risk of being sexually abused by other inmates or sexually aggressive toward other inmates. Two sub sections detail more specific requirements for the risk assessment tool. One specific requirement is: if the screening tool indicates that there is a history of prior sexual victimization, staff will ensure that the inmate is offered a followup with a medical or mental health professional within 14 days of the intake screening. 4. Specific details of information that must be included in the risk assessment Intake screening 5. Inmates must receive a reassessment, with thirty days of arrival, of their risk of victimization or abusiveness based on the III. F. 2 requirements and any additional relevant information developed at Tutwiler. Inmates will receive a reassessment if warranted by a referral, incident of sexual abuse or receipt of additional information that bears on inmate risk of sexual abusiveness or victimization 6. Tutwiler will use risk assessment information to make individual and safety based housing, program, bed, work and education. Placement of inmates who are high risk of sexual victimization are reassessed twice a year to review any threats to safety experienced by the inmate and her personal views regarding her safety _______________________ 1. ADOC AR 454 2. Tutwiler SOP 8-12 (revisions of both will include all required information in this provision, including form 454-C used for risk assessment) 3. Tutwiler began using form 454-C PREA Risk Factors checklist in July 2014. This form is used to assess women admissions for risk of sexual abusiveness and victimization. This form was created in the ADOC Office of Health Services, as confirmed in my interview with Associate Commissioner Naglich during the compliance visit. She reviewed with the Monitor the resources the group used to develop the checklist, to include other states, the PREA Resource center and PREA standards. Her goal was to create an objective tool rather than a subjective one. It took several months to develop and a pilot period of use was initiated. This tool is referred to as the PREA classification risk assessment and its administered by a trained classification analyst. All classification and mental health were trained to use and respond to this risk assessment checklist. Monitor has a copy and is familiar with this form. 4. The risk assessment tool is administered within 72 hours of admission by a classification analyst, trained to use it. One requirement of this provision is for a follow-up visit with a health care professional, within 14 days, if the assessment reveals a history of victimization or sexual abusiveness. The classification analyst initiates this referral via a form, to the office of Dr. Scott Holmes. Once the inmate is seen, Dr. Holmes or mental health staff completes a referral log they maintain. In addition, there is a form they use to document seeing the inmate, initial assessment and IF the provider recommends the inmate see a mental health professional for an evaluation. These forms are NOT in the inmate medical/mental health records but are maintained by Dr. Holmes in his office.

III.G.1

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Classification analyst has the mental health professional, receiving their (hand carried) referral form, sign receipt of the referral and they maintain a file in classification offices. Monitor reviewed evidence of these classification and mental health forms and also saw formal mental health evaluations that were filed in the Inmate health record. Monitor reviewed a number of medical records on site during the compliance visit. **NOTE: these forms mentioned above are specifically for response to the PREA classification risk assessment checklist. Mental health has a separate log for documenting any PREA referrals made to their office after allegations are made. Monitor observed 12 referrals on this log from October 2012-November 2015.
5. Classification analysts attempt to communicate and receive information from transferring facilities, per this requirement. The transferring facility does not always respond. The analysts use any PSI (pre-sentence information) available for the court, the court commitment and transcript, where available. 6. Lt. Young, IPCM, is the designated staff who contact any custodial transferring agency regarding any information received that might indicate issues of sexual abuse and possible pregnancy as a result. 7. Monitor reviewed three letters from Warden Barrett, that were sent to three jails regarding allegations of sexual abuse at their facility, according to information received from inmates. 8. Monitor reviewed logs for August 2015, documenting inmate transfers in and out of the facility. 9. Currently Tutwiler reassesses an inmate within 30 days of arrival of additional information or relevant information is received by Tutwiler. The same form, 454-C, is used. They plan to add a new form to the revised SOP 8-12 once revised. 10. Currently, Tutwiler is not formally using information received from the PREA risk assessment Checklist to make the required individual and safety based assignments in their institution. They do not have an electronic system to properly transmit information between various Tutwiler staff who have a need to know. However, routinely Lt. Young and Dr. Holmes receive a copy of the risk assessment checklist on each inmate. They follow up with any inmates who are either at risk for sexual abuse or at risk for being a sexual abuser. They can, and do occasionally, get involved in recommendations regarding the inmate logistics at Tutwiler. 11. Currently, programming and placement decisions for inmates with a high risk of sexual victimization are NOT reassessed every six months. This provision is being added to the revised SOP 8-12. 12. In the inmate focus group, all inmates but one remembered the risk assessment tool and were comfortable giving the information

MONITOR’S DISCUSSION: EXTENT TO WHICH ADOC AND TUTWILER HAVE COMPLIED WITH THE AGREEMENT

DATE: 1/17/2016

Monitor will evaluate ADOC and Tutwiler compliance by 1) interviews, as noted, 2) review of documents, as noted, and 3) baseline and compliance visits.

1. Revised ADOC AR 454 and Tutwiler SOP 8-12 are under revisions and will include all requirements, forms and procedures in this provision. 2. A PREA Risk Assessment checklist continues to be used within 72 hours of an inmate’s arrival. This is a responsive checklist pursuant to this provision. 3. Classification and mental health are staff trained to use the checklist. They have both created forms to use to document referrals for inmates to receive a mental health review. 4. Warden Barrett contacts another custodial facility to report any allegations they receive from inmates about sexual abuse allegations or pregnancy.
III.G.1

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5. Lt. Young communicates with other custodial facilities to solicit any information they have about prior sexual victimization, if they will communicate. She maintains records of all of her contacts. 6. There are portions of III. G. 1 that are not currently in Tutwiler policy but are present in AR 454 and 8-12.
NOTE. ADOC notified the monitor that the form 454-C PREA Risk Factors checklist was revised and published on January 4, 2016 as a part of the revised ADOC AR 454 PREA policy.

MONITOR’S RECOMMENDATIONS: (for at least the next 6 months)

DATE DUE:

1. Monitor discussed the current method of documenting and transmitting information from the risk assessment checklist between classification and mental health. I suggest getting one approved form, signed by both parties and a secure place for maintaining these records.
2. Monitor discussed with Ms. Naglich 1) inmate ability to refuse to provide the information to the analyst and asked them to review that process, and 2) the requirement that the checklist must be filled out, again, when inmates transfer between ADOC facilities.
3. Monitor suggested that the Warden and Captain McClain spend more time with health care staff to increase communication between them all (easy for health care staff to get isolated) and to increase awareness of what they are doing relative to the settlement requirements.

1. May, 2016 2. May, 2016 3. Immediately

III.G.1

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III.G Risk Assessment

RISK ASSESSMENT

Policy

2. Inmates at high risk for sexual victimization shall not be placed in involuntary segregation housing due to their high risk of victimization unless an assessment of all available alternatives has been made, and a determination has been made that there is no available alternative means of separation from likely abusers. Such an assessment and determination shall be documented, explain the basis for Tutwiler’s concern for the inmate’s safety and the reason why no alternative means of separation can be arranged. A review of such determination must be afforded each inmate at least every 30 days to determine whether there is a continuing need for separation from the general population.

III.G.2

Develop Implement Policy Policy
February February 28, 2016 28, 2016

3. Inmates placed in segregated housing due to potential victimization shall, to the extent possible, have full III.G.3 access to programs, privileges, education, and work opportunities as inmates in general population housing.

REQUIREMENTS

Policy Developed

Staff Trained

Inmates at high risk for sexual victimization are not placed in involuntary segregated housing due to their high risk of victimization unless:
1. An assessment of all available alternatives has been made, and 2. A determination has been made that there is no available means of separation from likely
abusers

Y N N/A

Y N N/A

The assessment and determination is documented and explains the basis for Tutwiler’s concern for the inmate’s safety and the reason why no alternative means of separation can be arranged.

Y N N/A Y N N/A

Each inmate is afforded a review of a segregation determination at least every 30 days to determine whether there is a continuing need for separation from the general population.

Y N N/A Y N N/A

Policy Implemented Y N N/A
Y N N/A Y N N/A

Inmates placed in segregated housing due to potential victimization shall, to the extent possible, have full

access to programs, privileges, education, and work opportunities as inmates in general population

Y N N/A

housing

Y N N/A

Y N N/A

III.G.2 / III.G.3

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MONITOR’S MEASURES OF COMPLIANCE
Intake Screening A. SOP and procedures for complying with requirement to provide intake screening within 72 hours of arrival. B. Documents, logs, reports that indicate that inmates have received this screening and when it occurred. If contained in inmate files, I will select five records to view for this document. C. Monitor observed one Mental Health professional screening briefly during a previous tour. Will interview this screener for 30 minutes or less, or another person. D. Copy of blank screening tool and several examples of completed screenings in the month of October. E. Inmate focus group F. Interviews with Capt. McClain and Lt. Young G. Documentation showing any referrals to medical or mental health provider. H. Interview with a medical and mental health provider that receive these referrals. I can talk to both together-30 minutes I. Who developed this instrument? J. Evidence of the reassessment occurring within 30 days for inmates risk of victimization.....will review five of these randomly selected while there. How was reassessment prompted-copy of five referrals, including a self referral for three women if applicable K. Copy of the trauma screening tool developed in III. F. 2
Housing, bed, program and education assignments using information gained from the instrument L. SOP or directives for using the risk assessment information in making housing, bed, program decisions. Who makes these assessments? I would like to interview someone who routinely completely completes this process.... M. Interview with people actually making bed/ housing selection-may be same as above. N. Inmate focus group O. Interviews with Warden Barrett, Capt. McClain and Lt. Young and Lt. Coleman (to discuss any grievances filed about housing or programs relevant to this section) P. Evidence of the twice-yearly reassessment for inmates who are high risk for sexual victimization. I would like to review three "reports" or forms that document this review with inmate, randomly selectively.

III.G.2 / III.G.3

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Documents

STEPS TAKEN BY MONITOR TO ANALYZE CONDITIONS AND ASSESS COMPLIANCE, AND FACTUAL BASIS FOR MONITOR’S FINDINGS

(for each member of monitoring team)

Interviews

On-site/Observations / Other

1. ADOC 454. 2. Tutwiler SOP 8-12 (under revision). 3. ADOC form 302A-incident report.

1. Deputy Commissioner Williams 2. Warden Barrett 3. Captain McClain 4. Lt. Yvette Young 5. Inmate focus group

1. Tutwiler use of form 302A for documenting Incident Report

Not applicable

UNRESOLVED/PARTIALLY RESOLVED ISSUES FROM PREVIOUS TOUR

MONITOR’S FINDINGS: Substantial Compliance Partial Compliance Non-compliance n/a 2/28/2016
III.G.2 / III.G.3

DATE: 2/15/16

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MONITOR’S DISCUSSION: STEPS TAKEN BY ADOC AND TUTWILER TOWARDS IMPLEMENTATION

DATE: 1/18/16

Monitor will evaluate steps taken by ADOC and Tutwiler by 1) interviews, as noted, 2) review of documents, and 3) baseline and compliance visits.

1. ADOC 454 and Tutwiler SOP 8-12 include policy on G. 2, 3 in this section. 2. Tutwiler has had this practice in place since February 2014 and staff has received training. 3. Tutwiler procedure requires that ADOC form 302 A (incident report) is used in the event an inmate must be placed in involuntary segregation. Proper documentation, per this section, would be completed. 4. Lt. Young is the designated staff responsible for tracking the number of inmates who are held in or assigned in involuntary segregation because of a risk of sexual victimization for a period longer than 24 hours. Lt. Young will use an Excel spreadsheet to document any event, and this data will be reported in May 2016.

NOTE: the term "involuntary segregation" refers to those inmates who are placed into a segregation status by Tutwiler due to their "risk of possible victimization" if they remain in the general population, while a PREA investigation is initiated and continued.

MONITOR’S DISCUSSION: EXTENT TO WHICH ADOC AND TUTWILER HAVE COMPLIED WITH THE AGREEMENT

DATE:1/18/16

Monitor will evaluate ADOC and Tutwiler compliance by 1) interviews, as noted, 2) review of documents, as noted, and 3) baseline and compliance visits

1. Monitor requests they be informed regarding any inmate placed in involuntary segregation from January, 2016 ongoing. Monitor would review ADOC form 302A, documentation from Tutwiler required by this section and the excel spreadsheet maintained by Lt. Young. 2. Monitor requests this notification after 1) when inmate is removed from segregation status on "hold" 2) if extensions are granted beyond 72 hours 3. Monitor will interview any inmate subject to these actions on next compliance visit in 2016.

III.G.2 / III.G.3

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NOTE: THIS SECTION INCLUDES III.G.2 and III.G.3. Please provide separate findings, discussion, and recommendations for all provisions. MONITOR’S RECOMMENDATIONS: (for at least the next 6 months)
1. Tutwiler to notify Deputy Commissioner Williams immediately if an inmate is placed in involuntary segregation.

DATE DUE:
1. Immediately upon occurrence

III.G.2 / III.G.3

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INMATES’ RIGHT TO PRIVACY III.H ADOC and Tutwiler shall prevent officers from unnecessarily viewing inmates who are naked or performing bodily functions
Policy
1. Cross-Gender Searches : ADOC and Tutwiler shall continue to comply with its policy regarding cross- III.H.1. gender pat and strip searches

Develop Policy May 28, 2015

Implement Policy May 28, 2015

REQUIREMENTS

Policy Developed

Staff Trained

Policy Implemented

i. ADOC and Tutwiler shall comply with its policy regarding cross gender pat and strip searches and shall Y N N/A ensure that appropriate modifications to the policy are made and implemented to include, at a minimum, the items specified in III.H.1.ii to III.H.1.v

Y N N/A

Y N N/A

ii. Tutwiler will continue to not conduct cross-gender strip searches or visual body cavity searches

Y

(meaning a search of the anal or genital opening) except in exigent circumstances or when performed

by medical practitioners

Y iii. Tutwiler will continue to prohibit cross-gender pat-down searches of women inmates, absent exigent
circumstances. Inmates’ access to regularly available programming or other out-of-cell opportunities
shall not be restricted in order to comply with this provision.

N N/A Y N N/A Y

N N/A N N/A

Y N N/A Y N N/A

iv. Tutwiler shall document all cross-gender strip searches, cross-gender visual body cavity searches, and cross gender pat-down searches of women inmates, and shall document the exigent circumstances that Y N N/A Y N N/A warranted the search. To the extent that any such searches were conducted, Tutwiler shall provide this documentation to the Monitor and DOJ on a quarterly basis

Y N N/A

v. ADOC and Tutwiler shall train security staff in how to conduct cross-gender pat-down searches and searches of transgender and intersex inmates, when required, in a professional and respectful manner, Y N N/A Y N N/A and in the least intrusive manner possible, consistent with security needs

Y N N/A

III.H.1.i-v

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MONITOR’S MEASURES OF COMPLIANCE

i. ADOC and Tutwiler shall comply with its policy regarding cross gender pat and strip searches and shall ensure that appropriate modifications to the policy are made and implemented to include, at a minimum, the items specified in III.H.1.ii to III.H.1.v
A. Policy/ SOP for cross gender searches-any modifications that have occurred B. Documents generated for ANY strip search or visual body search under exigent circumstances since June 2015 C. Documents generated for any cross gender pat downs that occurred due to exigent circumstances June 2015 D. Interviews to determine if any inmates' access to programming or other out of cell activities have been impacted by this policy. Interviews-Warden Barrett, Capt. McClain, Lt. Young, Lt. Coleman, staff member who supervises inmate assignments to programs, inmate focus group and staff focus group and overtime employee interviews E. Training records, schedules for training for all security staff, who have been trained, regarding proper methods to conduct cross gender pat down searches and searches of transgender and intersex inmates. Numbers of staff who need this training F. Curriculum used for this training and who developed it. G. Plan/SOP for continuing to provide this training to new hires/transfers in to Tutwiler

Documents

STEPS TAKEN BY MONITOR TO ANALYZE CONDITIONS AND ASSESS COMPLIANCE, AND FACTUAL BASIS FOR MONITOR’S FINDINGS

(for each member of monitoring team)

Interviews

On-site/Observations / Other

1. ADOC AR 454. 2. Tutwiler SOP 8-12- Monitor read draft. It is currently under revision to
be more inclusive of all settlement issues. They have operated from the SOP 8-12 since February 2014. 3. Documentation of ADOC 2015 annual in-service training for "PREA update, AR 454, Cross Gender Searches and LGBTI Liabilities Standards" for Tutwiler employees. 4. Lt. Young logs to document any searches falling under this provision. 5. NIC video " Guidance in Cross Gender and Transgender Pat Searches"

1. Deputy Commissioner Williams 1. Baseline tour of entire Tutwiler

2. Warden Barrett

institution and informal interviews

3. Captain McClain

with inmates and staff.

4. Lt. Young

2. Compliance tour, with formal inmate

5. Lt. Coleman

focus group, and informal inmate

6. Lt. Goodson- Shift Commander interviews.

and Master Trainer

3. The monitor did not see any

7. Lt. Nelson-annex Shift

evidence of either cross gender strip

Commander and Master Trainer or pat searches, since February 2014,

8. Staff focus groups

during either of the compliance

9. Inmate focus group

tours.

10. Andie Moss, the Moss Group

III.H.1.i-v

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Not applicable

UNRESOLVED/PARTIALLY RESOLVED ISSUES FROM PREVIOUS TOUR

MONITOR’S FINDINGS: Substantial Compliance Partial Compliance Non-compliance n/a no assessment due until __________

DATE: 2/15/16

MONITOR’S DISCUSSION: STEPS TAKEN BY ADOC AND TUTWILER TOWARDS IMPLEMENTATION

DATE: 1/17/2016

Monitor will evaluate the steps taken by ADOC and Tutwiler by 1) interviews, as noted 2) review of documents, as noted and 3) baseline and compliance visits.

Requirements (summary) 1. ADOC AR 454 and Tutwiler SOP 8-12 currently include the policy regarding cross gender strip searches and cross gender pat searches 2. Tutwiler shall not allow cross gender strip searches or pat searches, absent exigent circumstances 3. Inmates access to programming or out of cell activities will not be restricted by adherence to this provision 4. Tutwiler shall document all cross gender strip searches and cross gender pat searches. Documentation will include full description of exigent circumstances
III.H.1.i-v

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5. ADOC and Tutwiler shall train all security staff in methods to conduct cross gender pat searches and searches of transgender and intersex inmates in a professional and respectful manner, least intrusive manner. _____________________________ 1. ADOC 454 and Tutwiler SOP 8-12 contain this specific policy and its been in practice since February 2014 at Tutwiler 2. At the time of the compliance visit, there had not been any cross gender strip searches or cross gender pat searches since the effective date of the settlement. Monitor verified this with interviews, review of grievances, and conducting staff and inmate focus groups 3. Tutwiler trained all security staff during annual ADOC in-service training. The training was developed by ADOC trainers and is a three hour module. Resources used for the training included the video produced through the National Institute of Corrections, "Guidance in Cross Gender and Transgender Pat Searches". Monitor participated in the development of this video through a grant to the Moss Group from NIC. 4. Interviews with Tutwiler leadership staff, inmate focus group and review of grievances did not reveal any evidence of any inmate having restricted access to programming or other out of cell activities.

MONITOR’S DISCUSSION: EXTENT TO WHICH ADOC AND TUTWILER HAVE COMPLIED WITH THE AGREEMENT

DATE: 1/17/2016

Monitor will evaluate ADOC and Tutwiler compliance by 1) interviews, as noted, 2) review of documents, as noted, and 3) baseline and compliance visits.

1. ADOC policy 454 and Tutwiler SOP 8-12 has been in practice since February 2014. 2. There have been NO incidences of cross gender strip searches or pat searches since February 2014. 3. Staff has been trained, as required, in 2015. National resources were used in this training.

MONITOR’S RECOMMENDATIONS: (for at least the next 6 months) Continue compliance with this provision
III.H.1.i-v

DATE DUE: Ongoing

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INMATES’ RIGHT TO PRIVACY III.H ADOC and Tutwiler shall prevent officers from unnecessarily viewing inmates who are naked or performing bodily functions
Policy

2.i Cross- Gender Viewing: ADOC and Tutwiler shall develop, submit to the Monitor and DOJ for review consistent with Section A.III.6, and implement policies and procedures that enable inmates to perform bodily functions – such as showering, bathing, and using the toilet – and change clothing without nonmedical staff of the opposite gender viewing their breasts, buttocks, or genitalia, except in exigent circumstances of when such viewing is incidental to routine cell checks

III.H.2.i

Develop Implement Policy Policy
February February 28, 2016 28, 2016

2.ii ADOC and Tutwiler shall develop, submit to the Monitor and DOJ for review consistent with Section III.A., and implement policies and procedures regarding the method of conducting inmate counts. This policy and procedure shall limit inmate movement during inmate counts and shall prohibit the practice of conducting inmate counts while inmates are likely to be in the shower and toilet areas
REQUIREMENTS

III.H.2.ii
Policy Developed

Staff trained

Policy Implemented

Inmates can perform bodily functions – such as showering, bathing, and using the toilet – and change clothing without nonmedical staff of the opposite gender viewing their breasts, buttocks, or genitalia

Y N N/A Y N N/A

Y N N/A

1. Except in exigent circumstances or 2. When such viewing is incidental to routine cell checks

Male staff is required to announce their presence before entering an inmate housing unit and again before entering the shower or toilet areas.
Inmate movement during count is limited
Conducting inmate counts while inmates are likely to be in the shower and toilet areas is prohibited

Y N N/A Y N N/A

Y N N/A

Y N N/A Y N N/A Y N N/A Y N N/A

Y N N/A Y N N/A

III.H.2.i / III.H.2.ii

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MONITOR’S MEASURES OF COMPLIANCE
INMATES can perform bodily functions -such as showering, bathing, and using the toilet-change clothing without non-medical staff of the opposite gender viewing... a. Tutwiler SOP for inmates right to privacy for using bathroom facilities and change clothing without being viewed by opposite gender. b. Documentation memo/rosters confirming staff training for these practices. c. Review of SOP 5-0 for dorm supervision. d. Interviews with Warden, Capt. McClain, Lt. Young, shift captains, Lt. Coleman. e. Focus groups with staff and inmates. f. Review of any shift logs (on site) of count times routinely used and shower schedule for inmates. h. Tours of facility housing areas.

Documents

STEPS TAKEN BY MONITOR TO ANALYZE CONDITIONS AND ASSESS COMPLIANCE, AND FACTUAL BASIS FOR MONITOR’S FINDINGS

(for each member of monitoring team)

Interviews

On-site/Observations / Other

1. ADOC 454. 2. Tutwiler SOP 8-12. 3. Tutwiler SOP 5 (for all dorms)--under review. 4. Shift logs for dorm officers. 5. Logs for shift commanders’ random dorm inspections. 6. Logs for top leadership random dorm inspections. 7. Staff training rosters.

1. Deputy Commissioner Williams 2. Warden Barrett 3. Captain McClain 4. Lt. Young 5. Lt. Coleman 6. Ms. Christy Vincent, ADOC PREA Director 7. Ms. Tamara Jackson, ADOC Grievance Appeal Coordinator 8. Staff focus groups 9. Inmate focus group

1. Baseline visit involved tours of all housing units and bathrooms. Random informal interviews with inmates and officers assigned to these areas. Monitor observed proper protocol by staff regarding provisions of this requirement. 2. Compliance visit, Monitor observed adherence to principles in these requirements.

III.H.2.i / III.H.2.ii

Not applicable

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UNRESOLVED/PARTIALLY RESOLVED ISSUES FROM PREVIOUS TOUR

Page 120 of 226

MONITOR’S FINDINGS: Substantial Compliance Partial Compliance Non-compliance n/a 2/28/2016

DATE: 2/15/16

III.H.2.i / III.H.2.ii

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MONITOR’S DISCUSSION: STEPS TAKEN BY ADOC AND TUTWILER TOWARDS IMPLEMENTATION

DATE:1/18/16

Monitor will evaluate steps taken by ADOC and Tutwiler by 1) interviews, as noted, 2) review of documents, as noted, and 3) baseline and compliance visits.

1. ADOC 454 and Tutwiler SOP 8-12 include policy for III.H. 2 and it has been in practice since February 2014. 2. Tutwiler SOP 5.0 -Dorm Security-is in practice since July 2015 in all Tutwiler housing areas. This SOP is under revision by the Moss Group to be more inclusive of settlement issues. Monitor reviewed the 5.0 set of procedures for every named housing area in September 2015. 3. Monitor discussed dorm supervisor responsibilities for officers in the four staff focus groups, held during compliance visit. The staff were all knowledgeable of their roles regarding privacy requirements in this section. Monitor observed staff announcing their presence while doing checks. Staff acknowledged the positive benefit of announcing their presence in bathroom areas. 4. Monitor reviewed shift logs for each housing area and saw the scheduling of dorm counts, which were not held during established shower times in each dorm. 5. Monitor reviewed logs for shift commanders and Tutwiler leadership that documented their unannounced inspections in the housing areas. One purpose of these unannounced inspections/visits is to monitor the activities of the officers and ensure that proper protocols are being followed. 6. Monitor reviewed all inmate grievances from September-October at Tutwiler and found no complaints about privacy issues in the shower, toilet areas. 7. Monitor toured every housing area at Tutwiler on baseline visit.

MONITOR’S DISCUSSION: EXTENT TO WHICH ADOC AND TUTWILER HAVE COMPLIED WITH THE AGREEMENT

DATE: 1/18/16

Monitor will evaluate ADOC and Tutwiler compliance by 1) interviews, as noted, 2) review of documents, as noted, and 3) baseline and compliance visits.

1. Monitor will review shift logs during time period of January-May 2016. 2. Monitor will review documentation of shift commanders and Tutwiler leadership and their unannounced inspections of housing areas 3. Monitor will review random inmate grievances from January-May 2016 4. Monitor will conduct staff and inmate focus groups during next compliance visit 5. There is a posted address for the monitor that is on inmate bulletin boards throughout the facility. It is available for inmates to submit letters confidentially. The monitor has received several inmate letters and reviews them for any alleged PREA violation or provisions of the settlement. Monitor contacts ADOC and DOJ when it is believed that the allegations need investigation.

III.H.2.i / III.H.2.ii

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MONITOR’S RECOMMENDATIONS: (for at least the next 6 months)
1. All staff supervisors sign their own name or initials in the shift logs for each housing area. 2. ADOC keep a record of staff who violate the privacy rights of inmates, as described in this section, and report this data. 3. Monitor will be notified of any employee who receives active discipline for violation of inmate privacy, according to this section.

DATE DUE:
1. Immediately 2. May 2016 3. Upon issuance
of discipline

III.H.2.i / III.H.2.ii

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INMATES’ RIGHT TO PRIVACY

III.H ADOC and Tutwiler shall prevent officers from unnecessarily viewing inmates who are naked or performing bodily functions

Policy

Develop Implement

Policy Policy

3. ADOC and Tutwiler shall continue to implement its plan to address the architectural features that

contribute to a lack of privacy for inmates while showering or using the toilet

III.H.3

May 28, May 28,

2015 2015

Policy

Staff Trained Policy

REQUIREMENTS

Developed

Implemented

Continue to implement plan to address the architectural features that contribute to a lack of privacy for Y N N/A inmates while showering or using the toilet.

Y N N/A Y N N/A

MONITOR’S MEASURES OF COMPLIANCE
A. Documents that describe procedurally how this requirement has been implemented. Specifically what renovations/additions occurred. B. Tour of housing facilities (previous visit Sept. 29-30) and visit this time. C. Interviews with Warden Barrett, Captain McClain, Lt. Young, Dr. Williams - inmate focus group, staff focus group.

III.H.3

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Documents

STEPS TAKEN BY MONITOR TO ANALYZE CONDITIONS AND ASSESS COMPLIANCE, AND FACTUAL BASIS FOR MONITOR’S FINDINGS

(for each member of monitoring team)

Interviews

On-site/Observations / Other

1. ADOC 454 2. Tutwiler SOP 8-12

1. Deputy Commissioner Williams 2. Warden Barrett 3. Lt. Young 4. Captain McClain 5. Staff focus groups 6. Inmate focus groups 7. Lt. Coleman

1. Baseline visit toured all areas 2. Focus groups of staff and inmates

Not applicable

UNRESOLVED/PARTIALLY RESOLVED ISSUES FROM PREVIOUS TOUR

III.H.3

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Page 125 of 226

MONITOR’S FINDINGS: Substantial Compliance Partial Compliance Non-compliance n/a no assessment due until __________

DATE: 2/15/16

MONITOR’S DISCUSSION: STEPS TAKEN BY ADOC AND TUTWILER TOWARDS IMPLEMENTATION

DATE: 1/17/2016

Monitor will evaluate steps taken by ADOC and Tutwiler by 1) interviews, as noted 2) review of documents, as noted and 3) baseline and compliance visits.

Requirements (summary) 1. ADOC and Tutwiler will continue to implement its plan to address the architectural features that contribute to a lack of privacy for inmates while showering or using there toilet ______________________ 1. Tutwiler completed the structural privacy requirements in October 2014. This includes shower curtains on all showers and privacy partitions in for each toilet. Monitor visited every housing area at Tutwiler on the baseline visits and toured every bathroom. Monitor observed these privacy features in each one 2. Tutwiler SOP 5-0 requires dorm officers to monitor the routine maintenance needs in these bathrooms and make a request for maintenance assistance whenever necessary. Monitor observed maintenance staff working In the bathroom areas on both visits. 3. Inmate and staff focus groups were asked about these privacy features and all groups agreed with the necessity of having them at Tutwiler.

III.H.3

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MONITOR’S DISCUSSION: EXTENT TO WHICH ADOC AND TUTWILER HAVE COMPLIED WITH THE AGREEMENT

DATE: 1/17/2016

Monitor will evaluate ADOC and Tutwiler compliance by 1) interviews, as noted 2) review of documents, as noted and 3) baseline and compliance visits. 1. Monitor visited every bathroom and shower area at Tutwiler on baseline visit and found these privacy features present in all areas 2. Daily unannounced rounds by shift commanders involve walking through dorm and females, walk into the bathroom/shower areas.

MONITOR’S RECOMMENDATIONS: (for at least the next 6 months)
1. Continue to watch the "wear and tear" on the shower curtains and particularly the salon doors. Monitor recommends using only salon doors as much as possible. Monitor understands that handicapped toilets need a curtain.
2. Monitor inmate grievances to see any privacy complaints.

DATE DUE: 1. Ongoing 2. Ongoing

III.H.3

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REPORTING ALLEGATIONS OF SEXUAL ABUSE AND SEXUAL HARASSMENT

III.I In order to adequately identify and respond to all instances of sexual abuse and sexual harassment at Tutwiler, ADOC and Tutwiler shall ensure that all

inmates, staff, and third-parties have multiple unimpeded methods to report incidents of sexual abuse and sexual harassment free from retaliation

Policy

Develop Implement

Policy Policy

1. ADOC and Tutwiler shall continue to comply with its policy on reporting allegations of sexual

abuse and sexual harassment. Any modification of that policy shall be submitted to DOJ and the

III.I.1

May May 28,

Monitor for review consistent with Section III.A.6. ADOC and Tutwiler shall provide multiple internal

28,

2015

methods, including a grievance process and at least one confidential method, for inmates to report

2015

sexual abuse and sexual harassment, retaliation by other inmates or staff for reporting sexual abuse

and sexual harassment, and staff neglect or violation of responsibilities that may have contributed

to such incidents.

REQUIREMENTS

Policy Developed

Staff Trained

Policy Implemented

Inmates have multiple internal methods, including a grievance process and at least one confidential Y N N/A method, to report sexual abuse and sexual harassment, retaliation by other inmates or staff for reporting sexual abuse and sexual harassment, and staff neglect or violation of responsibilities that may have contributed to such incidents.

Y N N/A

Y N N/A

Reports are accepted verbally, in writing, anonymously, and from third parties including other inmates, Tutwiler staff, and the inmate’s friends and family, advocates or legal representation.

Y N N/A Y N N/A

Y N N/A

Staff promptly document verbal reports in writing.

Y N N/A Y N N/A

Y N N/A

Information on how to report sexual abuse or sexual harassment on behalf of an inmate is distributed publicly.

Y N N/A Y N N/A

Y N N/A

III.I.1

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MONITOR’S MEASURES OF COMPLIANCE

ADOC and Tutwiler shall continue to comply with its policy on reporting allegations of sexual abuse and sexual harassment.....shall provide multiple internal methods, including a grievance process and at least one confidential method...

A. Policy and SOP for inmate reporting of allegations of sexual abuse and harassment. B. Description in a list of ALL ways ADOC and Tutwiler expect inmates to have access to in order to report allegations C. Grievances submitted regarding complaints about reporting issues D. Copies of documents containing inmate and/or another inmate (3rd party) reports/concerns about sexual abuse/ harassment E. Interviews with Warden Barrett, Dr. Williams, Capt. McClain, Lt. Young, Lt. Coleman, psychologist, DOC internal affairs director, DOC PREA Director, staff focus groups and inmate group F. Documents/ logs (copies of individual reports is ok) showing staff receiving reports of inmate allegations during this time frame G. Information/SOP on how "information on how to report sexual abuse or sexual harassment on behalf of an inmate is distributed publicly" H. Reports from ADOC and Tutwiler that capture routinely the number, type etc of inmates reports from June-Nov. 1 I. In interview with Dr. Williams, progress on process for an inmate report to public/ private entity and staff to report confidentially. (#2, 3 in III. I.)

Documents

STEPS TAKEN BY MONITOR TO ANALYZE CONDITIONS AND ASSESS COMPLIANCE, AND FACTUAL BASIS FOR MONITOR’S FINDINGS

(for each member of monitoring team)

Interviews

On-site/Observations / Other

1. ADOC AR 454 and Tutwiler SOP 8-12 (under revision) 2. Documentation of the 1-800 PREA phone system
usage at Tutwiler. Emails from ADOC central office to Lt. Young reporting calls received-three were noted. 3. Inmate Orientation module and rosters for inmate attendance 4. Inmate education two hour module-includes specifics on grievances 5. ADOC website (third parties can report on a link on home page) 6. Posters around Tutwiler that direct inmates on how to reports any allegations of sexual abuse and sexual harassment 7. Postings for inmates and staff at Tutwiler, informing them of how to confidentially contact the Monitor. III.I.1

1. Deputy Commissioner Williams 2. Warden Barrett 3. Ms. Christy Vincent, ADOC PREA Director 4. Ms. Tamara Jackson, ADOC grievance appeal
manager 5. Anne Hill, ADOC General Counsel and supervisor
for Ms. Jackson 6. Captain McClain 7. Lt. Young 8. Lt. Coleman 9. Warden I Wright 10. Staff focus groups 11. Inmate focus groups 12. Shift Commanders Lt. Goodson and Lt. Nelson 13. Dr. Scott Holmes-Tutwiler Psychological Associate

1. Baseline and compliance visits observed the PREA posters, system for filing grievances confidentially, toll free PREA hotline phones, law library boxes for inmate letters and a locked box for grievances.

Case 2:15-cv-00368-MHT-TFM Document 16-2 Filed 02/26/16 Page 129 of 226

Monitor has received one letter. 8. Monitor reviewed all grievances submitted in
September and October 2015. 9. Tutwiler SOP 8-22 Inmate Grievance Procedure. 10. ADOC spreadsheet documenting ALL allegations of a
PREA violation in the four categories. The four categories of PREA violations are: Sexual abuse; Sexual harassment; Retaliation by other inmates or staff for reporting sexual abuse or harassment; and Staff neglect or violation of responsibilities that may have contributed to these incidents. 11. Monitor reviewed five completed PREA investigations, conducted by the ADOC Investigations Unit. Two were allegations made against Tutwiler employees. Monitor reviewed these files in interview with Mr. Arnaldo Mercado, Director of Investigations unit. 12. Institutional grievance log of all grievances filed, maintained by Lt. Coleman, since initiation of the process on August 31, 2015. First grievance filed on 9/02/15. 13. Log created and maintained by Ms. Tamara Jackson, of all the Tutwiler grievance appeals she has received since initiation of the process. At time of the compliance visit, she had received 32 appeals.

14. ADOC Investigations Director, Mr. Arnaldo Mercado
15. ADOC investigator Ms. Kelley Smith

Page 129 of 226

III.I.1

Not applicable

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UNRESOLVED/PARTIALLY RESOLVED ISSUES FROM PREVIOUS TOUR

Page 130 of 226

MONITOR’S FINDINGS: Substantial Compliance Partial Compliance Non-compliance n/a no assessment due until __________

DATE: 2/15/16

MONITOR’S DISCUSSION: STEPS TAKEN BY ADOC AND TUTWILER TOWARDS IMPLEMENTATION

DATE: 1/17/2016

Monitor will evaluate steps taken by ADOC and Tutwiler by 1) interviews, as noted, 2) review of documents, as noted, and 3) baseline and compliance visits.

Requirements (summary) 1. ADOC and Tutwiler shall continue to comply with its policy on reporting allegations of sexual abuse and sexual harassment 2. Inmates should have multiple internal methods, including a grievance system and at least one confidential method, to report sexual abuse and sexual harassment, retaliation......and staff neglect or violation of their responsibility that may have contributed to the alleged incident 3. Reports are accepted verbally, in writing, anonymously, and from third parties, to include other inmates, staff, friends and family, advocates or lawyers. The verbal reports will be documented by Tutwiler staff 4. Information on how to report is distributed publicly ____________________
III.I.1

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Page 131 of 226

1. ADOC 454 and Tutwiler 8-12 both include policy referenced in III. 1. I. which has been in practice since February 2014. 2. Staff have received training on this provision. 3. ADOC and Tutwiler provide multiple methods of reporting allegations of sexual abuse and sexual harassment, retaliation and staff conduct that would interfere with reporting. The Monitor has verified the following methods by policy, interviews, documents and on site observations: a. Inmates can report allegations to any Tutwiler employee, verbally or in writing b. Inmates may place a call on the PREA toll free hotline phone-available for LEP inmates also- and these phones are located in housing areas throughout the facility and annex. This phone is monitored in ADOC central office. The staff member who takes the calls in ADOC contacts Lt. Young immediately upon receiving any PREA allegation, retaliation or issues of safety. Monitor observed these phone operations during both visits, reviewed the email notifications sent from ADOC to Lt. Young. Monitor also discussed the use of these phones in the staff and inmate focus groups and all were aware of their purpose. Monitor did have to clarify, in the inmate group that no Tutwiler employee is involved in hearing the initial confidential call made--it goes to ADOC. c. Inmates may report to Lt. Young, IPCM, and interview with Lt. Young and Inmates indicate that inmates are aware of her role-- her assistance to inmates. d. Inmates may use pre-addressed envelopes to ADOC Investigations unit in Montgomery, and make a direct report to their investigators. The box for these letters is in the inmate law library. e. Tutwiler and ADOC accept any third party reports, pursuant to requirements in this provision f. The grievance policy was developed and made operational on August 26, 2015. Inmates can file grievances regarding allegations. They can also file an Emergency Grievance, which has an expedited method for review and process. 4. ADOC provides external methods of reporting by individuals accessing the ADOC website. There is a place on the bottom of the site where the public can make a report. 5. Tutwiler has PREA posters located throughout the facility and annex.

MONITOR’S DISCUSSION: EXTENT TO WHICH ADOC AND TUTWILER HAVE COMPLIED WITH THE AGREEMENT

DATE: 1/17/2016

Monitor will evaluate ADOC and Tutwiler compliance by 1) interviews, as noted 2) review of documents, as noted and 3) baseline and compliance visits.

1. ADOC 454 and Tutwiler include policy for this provision and it has been operational since February 2014. 2. Monitor confirms 7 different methods, detailed above, available for inmates, third parties or the public to report allegations of sexual abuse and sexual harassment and retaliation. 3. Staff and inmate focus groups were all aware of multiple methods of reporting available to inmates and staff 4. Monitor reviewed inmate grievances filed in September/October 2015 and see that it a viable tool for use by inmates. The credibility of the new grievance system is in the "development stage" for inmates, as the Monitor would anticipate in her experience. 5. Monitor reviewed the ADOC Internal Investigation PREA log that demonstrated that allegations are made and properly investigated. 6. In the interview with Lt. Young, she shared a practice she employs, not required by the settlement, to informally allow inmates to talk to her about any concerns. Weekly, she asks five random inmates to come to her office and she goes over a checklist of PREA issues with these inmates. They include any concerns, their awareness of reporting methods and any known incidents that made them or others uncomfortable. The Monitor felt this was an excellent idea and representative of how seriously Lt. Young takes her responsibilities at Tutwiler PREA Coordinator.
III.I.1

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7. There are postings throughout the facility and annex that describe the methods available for inmates to contact the Monitor confidentially-through email (external availability for family) and in written letters. There is a similar posting for employees to report any concern confidentially to the Monitor. NOTE: Monitor has recently received several inmate letters. The Monitor has referred one letter to ADOC for investigation and one letter to ADOC for further discussion for policy implications and review. 8. Tutwiler weekly orientation sessions include a thorough PREA education session by Lt. Young and a informational session of the grievance system by Lt. Coleman

MONITOR’S RECOMMENDATIONS: (for at least the next 6 months) 1. ADOC is in process of revising AR 319-Grievance Policy. The current Tutwiler SOP 22 is under revision for expert external review and in light of comments made by the monitor and DOJ. The monitor believes that a strong grievance system is a critical component of having a routine access for inmates to report ANY type of allegation, including PREA violations. ADOC needs the completed and published AR 319 and Tutwiler SOP 8-22 to be in full material compliance with this provision. The monitor notes a functioning grievance system presently that is being used by inmates but believes the revisions will provide a more robust system per the requirements in the settlement. Monitor and DOJ will review the revised AR 319 and SOP 8-22.

DATE DUE: 1. As soon as possible
2. As soon as possible

2. ADOC implement a method for inmates to report to a non-ADOC entity, either public or private, per this provision. Inmates, staff and inmate families need to be made aware, in writing, of the availability of this non-ADOC entity as soon as it's available. Procedures need to be developed for the reporting relationship of this entity to ADOC-who and how before it’s implemented.
3. Inmates need to be clearly aware that the PREA hotline and its operations is answered-reviewed by ADOC and not Tutwiler staff. This information should be in intake information, orientation and posted on the phones themselves.

3.Immediately 4. Ongoing

4. ADOC should collect and report data required in this provision and in IV. D. 2.Specifically, this should include all allegations of sexual abuse and sexual harassment and retaliation, including allegations received by a third party. This data should include dates, type, summary of allegation, source of allegation, initial actions taken by ADOC. In addition, data for the use of the inmate toll free phone system, to include date, summary of call and referral to Tutwiler and their response. Currently, the grievances filed by inmates are documented in a spreadsheet. These grievances should be tracked according to inmate, type of allegation, summary of investigation or referral for an investigation, and dates for initiation and resolution.

III.I.1

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REPORTING ALLEGATIONS OF SEXUAL ABUSE AND SEXUAL HARASSMENT

III.I In order to adequately identify and respond to all instances of sexual abuse and sexual harassment at Tutwiler, ADOC and Tutwiler shall ensure that all

inmates, staff, and third-parties have multiple unimpeded methods to report incidents of sexual abuse and sexual harassment free from retaliation

Policy

Develop Implement

Policy Policy

2. ADOC and Tutwiler shall also provide at least one way for inmates to report abuse or harassment to a

public or private entity or office that is not part of the agency, and that is able to receive and immediately III.I.2

forward inmate reports of sexual abuse and sexual harassment to agency officials, allowing the inmate to

February February

remain anonymous upon request. The method provided should be through a toll-free number or other

28, 2016 28, 2016

method as agreed to by the Monitor and DOJ.

3. ADOC and Tutwiler shall provide a method for staff to confidentially report sexual abuse and sexual harassment of inmates
REQUIREMENTS

III.I.3
Policy Developed

Staff Trained

Inmates have at least one way to report abuse or harassment to a public or private entity or office that is not part of the agency, and that is able to receive and immediately forward inmate reports of sexual abuse and sexual harassment to agency officials
An inmate may remain anonymous upon request when making such a report

Y N N/A Y N N/A Y N N/A Y N N/A

The method provided should be through a toll-free number or other method as agreed Staff have a method to confidentially report sexual abuse and sexual harassment of inmates

Y N N/A Y N N/A Y N N/A Y N N/A

Policy Implemented Y N N/A
Y N N/A Y N N/A Y N N/A

MONITOR’S MEASURES OF COMPLIANCE

1. ADOC 454. 2. Tutwiler SOP 8-12. 3. Contract/ agreement with external agency. 4. Review of instructions given to staff and inmates for use/ access to this external agency. 5. Interviews with Commissioner Williams, Warden Barrett, Captain McClain, Lt. Young, Ms. Christy Vincent,

III.I.2 /III.I.3

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Page 134 of 226

Documents

STEPS TAKEN BY MONITOR TO ANALYZE CONDITIONS AND ASSESS COMPLIANCE, AND FACTUAL BASIS FOR MONITOR’S FINDINGS

(for each member of monitoring team)

Interviews

On-site/Observations / Other

1. Review of revised ADOC AR 454. 2. Review of revised Tutwiler SOP 8-12 (to include these provisions in policy). 3. Written agreements negotiated with an external agency available for inmate to report allegations confidentially and anonymously. 4. Tutwiler SOP or written instruction provided to inmates to access the external agency. 5. Documentation in inmate orientation program where this access is described. 6. Any staff training documentation for employees to understand access to this external agency. 7. Review of any written correspondence received by Monitor by inmates or staff at Monitor’s PO Box in NC.

1. Deputy Commissioner Williams 2. Warden Barrett 3. Captain McClain 4. Lt. Young 5. Lt. Coleman 6. Ms. Christy Vincent, ADOC PREA Director 7. Interview with representative of external agency 8. Staff focus groups 9. Inmate focus group

None

Not applicable

UNRESOLVED/PARTIALLY RESOLVED ISSUES FROM PREVIOUS TOUR

III.I.2 /III.I.3

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NOTE: THIS SECTION INCLUDES III.I.2 and III.I.3. Please provide separate findings, discussion, and recommendations for all provisions.

MONITOR’S FINDINGS:

DATE: 2/15/16

Substantial Compliance Partial Compliance Non-compliance n/a 2/28/2016

MONITOR’S DISCUSSION: STEPS TAKEN BY ADOC AND TUTWILER TOWARDS IMPLEMENTATION

DATE:1/18/16

Monitor will evaluate steps taken by ADOC and Tutwiler by 1) interviews, as noted, 2) review of documents, as noted, and 3) baseline and compliance visits

1. ADOC 454 and Tutwiler SOP 8-12. The revision of both of these policies will contain this section. 2. During compliance visit, Monitor interviewed Ms. Christy Vincent, ADOC PREA Director, and Ms. Anne Hill, ADOC General Counsel. The Monitor discussed the section requiring a public or private entity for inmates to report sexual abuse or harassment, with Ms. Christy Vincent and Ms. Hill. Ms. Vincent is tasked with identifying a public or private entity that will provide the services required by this section. Ms. Hill stated that they hoped to have a contract extended to a community provider by February 28, 2016. Monitor will review an executed contract.

3. Tutwiler has PREA toll free hotline phones available in each housing areas. They can be used in either English or Spanish. Signs are clearly posted for use of these phones. Monitor observed these phones during baseline visit. Monitor discussed the awareness and use of these phones during the inmate focus group. The inmates were aware of the phone and a few had used it.

4. The ADOC website has a 'box' in red for the public, including staff, to make a direct report to the ADOC Division of Investigations and Intelligence. It is not specific to PREA. The website has a listing for all ADOC Administrative Regulations and AR-454 for PREA is listed there.

5. Staff and inmates can write a letter confidentially to the Monitor. There are postings for inmates and staff at Tutwiler that give the post office box and address for written or email contact to be made with the Monitor. The Monitor has received four inmate letters. The posting for an address for inmates to contact the monitor was placed on the inmate bulletin boards in late November 2015. It was posted by the compliance visit and monitor saw them. The monitor received one letter in the third week of December and three letters the first week of January 2016. The monitor had not received any more letters, as of February 1, 2016.

III.I.2 /III.I.3

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MONITOR’S DISCUSSION: EXTENT TO WHICH ADOC AND TUTWILER HAVE COMPLIED WITH THE AGREEMENT

DATE:1/18/16

Monitor will evaluate ADOC and Tutwiler compliance by 1) interviews, as noted, 2) review of documents, as noted, and 3) baseline and compliance visits.

1. Review of ADOC contract with a public or private community provider. 2. Interview with staff from community provider during next compliance visit in 2016. 3. Review of use of the hotline phone from January-May 2016. 4. Review of grievances from January-May 2016 for complaints about confidential reporting access by inmates. 5. Monitor will discuss confidential staff and inmate access to report allegations during the focus groups for staff and inmates during next compliance 2016 visit.

MONITOR’S RECOMMENDATIONS: (for at least the next 6 months)

DATE DUE:

1. Provide information to All Tutwiler inmates clearly about the availability of their access to a contracted public or private provider. It should be posted in all housing areas.

1. Upon execution of contract.

2. This information should be included in orientation.

2. Upon execution of contract

3. ADOC should provide an orientation and tour for the staff of the contracted provider upon contract execution and before notice 3. As soon as contract is

is posted to inmates. The posting can go up the same day of the tour.

executed and before notice posted to

inmates.

4. ADOC and Tutwiler shall educate all of their staff about the community provider and document how this is accomplished
5. The ADOC website has "red box" on their home page for individuals to make a report to their Division of Investigation and Intelligence. I suggest they make a more specific reference regarding the ability to make a PREA report - it can be on the next link that takes specific information from the sender.

4. After contract execution
5. As soon as feasible

III.I.2 /III.I.3

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REPORTING ALLEGATIONS OF SEXUAL ABUSE AND SEXUAL HARASSMENT III.I In order to adequately identify and respond to all instances of sexual abuse and sexual harassment at Tutwiler, ADOC and Tutwiler shall ensure that all inmates, staff, and third-parties have multiple unimpeded methods to report incidents of sexual abuse and sexual harassment free from retaliation

Policy

Develop Implement Policy Policy

4. Third parties shall be permitted to assist inmates in filing requests for administrative remedies relating to allegations of sexual abuse and sexual harassment, and shall also be permitted to file such requests on behalf of inmates

III.I.4

5. All third party reports of sexual abuse and sexual harassment shall be forwarded immediately to the Departmental PREA Coordinator and be investigated and processed in accordance with Policy. As part of this process, the Departmental PREA Coordinator will inform Tutwiler’s PREA Compliance Manager of all third party reports received.

III.I.5

February February 28, 2016 28, 2016

Policy

Staff Trained Policy

REQUIREMENTS

Developed

Implemented

Third parties can assist inmates in filing requests for administrative remedies relating to allegations of sexual abuse and sexual harassment

Y N N/A Y N N/A Y N N/A

Third parties can file requests for administrative remedies relating to allegations of sexual abuse and sexual harassment on behalf of inmates

Y

N N/A

Y

N N/A

All third party reports of sexual abuse and sexual harassment are forwarded immediately to the Departmental PREA Coordinator and are investigated and processed in accordance with Policy.

Y N N/A Y N N/A

The Departmental PREA Coordinator informs Tutwiler’s PREA Compliance Manager of all third party reports received

Y N N/A Y N N/A

Y N N/A Y N N/A Y N N/A

III.I.4/III.I.5

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MONITOR’S MEASURES OF COMPLIANCE

Page 138 of 226

THIRD parties can assist inmates in filing requests for grievances. a. Review of ADOC and Tutwiler policy for third party assistance. b. Review of revised AR 454 and SOP 8-12 c. Training documentation for staff regarding this SOP d. Review of grievances filed since Nov. 2015-compliance visit in 2016 e. Interviews with Dr. Williams, Warden, Capt. McClain, Lt. Young, Lt. Coleman, DOC staff member who reviews inmate grievance appeals, DOC PREA Director F. Tracking logs, etc. used for documenting third party assistance

Documents

STEPS TAKEN BY MONITOR TO ANALYZE CONDITIONS AND ASSESS COMPLIANCE, AND FACTUAL BASIS FOR MONITOR’S FINDINGS

(for each member of monitoring team)

Interviews

On-site/Observations / Other

1. Revised ADOC AR 454. 2. Revised Tutwiler SOP 8-12. 3. Documentation of training /instruction given to staff and inmates regarding this requirement affecting use of third party reports. 4. Review of any revisions made to the Grievance policy.

1. Deputy Commissioner Williams 2. Warden Barrett 3. Captain McClain 4. Lt. Young 5. Ms. Christy Vincent, ADOC PREA Director 6. Lt. Coleman 7. Ms. Tamara Jackson 8. ADOC General Counsel, Ms. Anne Hill

None

III.I.4/III.I.5

Not applicable

Case 2:15-cv-00368-MHT-TFM Document 16-2 Filed 02/26/16 Page 139 of 226
UNRESOLVED/PARTIALLY RESOLVED ISSUES FROM PREVIOUS TOUR

Page 139 of 226

NOTE: THIS SECTION INCLUDES III.I.4 and III.I.5. Please provide separate findings, discussion, and recommendations for all provisions.

MONITOR’S FINDINGS:

DATE: 2/15/16

Substantial Compliance

Partial Compliance Non-compliance

n/a 2/28/2016

MONITOR’S DISCUSSION: STEPS TAKEN BY ADOC AND TUTWILER TOWARDS IMPLEMENTATION

DATE: 1/18/16

Monitor will evaluate steps taken by ADOC and Tutwiler by 1) interviews, as noted, 2) review of documents, as noted, and 3) baseline and compliance visits

1. ADOC 454 and Tutwiler SOP 8-12 are under revision by the Moss Group and will contain these specific requirements in this section 2. Tutwiler states they have these requirements in practice but not in policy. Staff will receive training after the policies are revised. 3. Tutwiler grievance procedures should be appropriately revised to make it clear that third parties, assisting inmates with filing administrative remedies, can include other inmates. Monitor has discussed this issue in inmate focus group and believes it is a necessary component at this stage of the implementation of the grievance system. The grievance Coordinator, Lt. Coleman, can report the suspected abuse of this process to the Warden. Monitor knows that one or more inmates could abuse this opportunity by using other inmates' grievances to address their personal concerns or issues. Monitor is willing to discuss this suggestion with ADOC and Tutwiler. 4. Inmate orientation should include directives regarding this section. Written guidelines would be helpful.
III.I.4/III.I.5

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Page 140 of 226

MONITOR’S DISCUSSION: EXTENT TO WHICH ADOC AND TUTWILER HAVE COMPLIED WITH THE AGREEMENT

DATE: 1/18/16

Monitor will evaluate ADOC and Tutwiler compliance by 1) interviews, as noted, 2) review of documents, as noted, and 3) baseline and compliance visits

1. See items 1, 3 and 4 in above section. 2. Monitor will hold staff and inmate focus groups during next compliance 2016 visit. 3. Review of inmate grievances from January-May 2016. 4. Interviews with Ms. Christy Vincent, ADOC PREA Director, and review any third party reports received by her once the policy is initiated. 5. Interview with Lt. Young , IPCM, and review any third party reports.

MONITOR’S RECOMMENDATIONS: (for at least the next 6 months)

DATE DUE:

See items 1, 3 and 4 in the monitor discussion on steps taken by ADOC and Tutwiler. 1. Revise ADOC 454 and Tutwiler SOP 8-12 as in item 1 in monitor discussion of steps taken by ADOC and Tutwiler above.

Concurrent with policy revision and implementation

3. Revise Grievance procedure as in item 3 in monitor discussion of steps taken by ADOC and Tutwiler above.

4. Include written directives regarding this section in inmate orientation as in item 4 in monitor discussion of steps taken by ADOC and Tutwiler above.

III.I.4/III.I.5

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REPORTING ALLEGATIONS OF SEXUAL ABUSE AND SEXUAL HARASSMENT

III.I In order to adequately identify and respond to all instances of sexual abuse and sexual harassment at Tutwiler, ADOC and Tutwiler shall ensure that all

inmates, staff, and third-parties have multiple unimpeded methods to report incidents of sexual abuse and sexual harassment free from retaliation

Policy

Develop Policy Implement

Policy

6. Grievances: ADOC and Tutwiler shall continue to develop and submit policies and procedures for an

inmate Grievance System to the Monitor and DOJ for review within three months of the effective date and, III.I.6

August 28,

September

within four months of the effective date, implement the inmate Grievance System. This policy shall clearly

2015

28, 2015

prohibit retaliatory practices by staff against inmates who file a grievance and should include the

TO DOJ

requirements listed in III.I.6.ii-ix

6.viii ADOC and Tutwiler shall develop, submit to the Monitor and DOJ for review consistent with Section III.A.6, and implement policies and procedures for the filing of an emergency grievance where an inmate is subject to a substantial risk of imminent sexual or physical abuse
REQUIREMENTS

III.I.6.viii
Policy Developed

Staff Trained Policy Implemented

All inmates receive orientation on the Grievance system during orientation

Y N N/A Y N N/A Y N N/A

ADOC will offer quarterly education on the Grievance System throughout the first year of implementation. Inmates will be required to attend at least once. [Dec 2015, Mar 2016, June 2016, Sep 2016]

Y N N/A Y N N/A Y N N/A

ADOC and Tutwiler shall ensure that all staff receive training on the Grievance System upon implementation Y N N/A Y N N/A Y N N/A and through annual in-service training

Grievance forms are available on all units

Y N N/A Y N N/A Y N N/A

ADOC and Tutwiler assist inmates who are limited English proficient, visually impaired, have a mental health impairment, are otherwise disabled, or who have limited reading or writing skills in accessing the grievance system

Y N N/A Y N N/A Y N N/A

An inmate who alleges sexual abuse or sexual harassment, or any other verbal or physical abuse by staff, may Y submit a complaint without submitting it to a staff member who is the subject of the complaint, and such complaint is not referred to a staff member who is the subject of the complaint

N N/A Y

N N/A Y

N N/A

An inmate is not required to use any informal grievance process, or to otherwise attempt to resolve with staff, an alleged incident of sexual abuse, sexual harassment, or any other verbal or physical abuse by staff.

Y N N/A Y N N/A Y N N/A

III.I.6 / III.I.6.viii

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Page 142 of 226

A final decision on the merits of any portion of a complaint alleging sexual abuse, sexual harassment, or any other verbal or physical abuse by staff is issued within 30 days of the initial filing of the complaint, with the option of an extension of up to an additional 30 days, approved and documented by facility designee, with written notice of status provided to inmate

Y N N/A

Emergency Grievances: After receiving an emergency oral or written complaint alleging an inmate is subject Y N N/A

to a substantial risk of imminent sexual or physical abuse, ADOC and Tutwiler shall:

1. Immediately forward the Grievance (or any portion that alleges the substantial risk of imminent

Y N N/A

sexual or physical abuse) to a level of review at which immediate corrective action may be taken

Y N N/A

2. Provide an initial response within 48 hours 3. And issue a final decision within five calendar days 4. The initial response and final agency decision documents the ADOC’s and/or Tutwiler’s
determination whether the inmate is in substantial risk of imminent sexual or physical abuse and the

Y N N/A Y N N/A Y N N/A

action taken in response to the emergency grievance

Y N N/A
Y N N/A
Y N N/A Y N N/A Y N N/A Y N N/A Y N N/A

Y N N/A
Y N N/A
Y N N/A Y N N/A Y N N/A Y N N/A Y N N/A

MONITOR’S MEASURES OF COMPLIANCE

6 viii. ADOC and Tutwiler shall continue to develop and submit policies and procedures for an inmate Grievance system to the Monitor and DOJ for review; implementation of system within 4 months of effective date.

ADOC and Tutwiler shall develop....and implement policies and procedures for the filing of an emergency grievance where an inmate is subject to a substantial risk of imminent sexual or physical abuse.

A. Grievance policy and procedures B. Implementation plan from Warden, Dr. Williams C. Training module for inmate education on grievance policy and examples of documentation of all inmates receiving it- written directive on process for continuing to inform inmates about grievance system on initial day of admission to Tutwiler. Orientation D. Staff training /education curriculum about Grievance system- schedule for in service training. How many staff have been trained on each rotation. New employees process of education that is utilized. E. Review of grievances filed since grievance system was implemented and inmate’s received education on the process -I can review on site Lt. Coleman’s files-pending and completed. Review of his logs and any documents he created or anyone else to manage the grievance process and extensions F. Grievance form G. Location of all boxes, methods of inmates filing a grievance H. Documents that demonstrate Tutwiler Assistance with inmates who are limited English proficient, have mental health impairment, disabled or have
III.I.6 / III.I.6.viii

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Page 143 of 226

reading / writing limitations in accessing the grievance process I. Interviews with Dr. Williams, Warden Barrett, Capt. McClain, Lt. Young, Lt. Coleman, staff and inmate focus groups. Shift Captain on each rotation-15 minutes or less. DOC PREA manager, DOC person receiving all inmate grievance appeals. J. Comments received from DOJ review of this policy K. Evidence of final resolution in 30 days of filing...reviewing the documents and interviews should verify this requirement L. Review of any "emergency grievances" filed. Compliance with requirements of this section will occur in interviews with named staff and document review.

Documents

STEPS TAKEN BY MONITOR TO ANALYZE CONDITIONS AND ASSESS COMPLIANCE, AND FACTUAL BASIS FOR MONITOR’S FINDINGS

(for each member of monitoring team)

Interviews

On-site/Observations / Other

1. ADOC AR 454. 2. Tutwiler SOP 8-22, Inmate Grievance System. 3. Memo from Commissioner Williams, dated August 6,
2015, to Warden Barrett regarding implementation of new grievance system on August 31, 2015. Attached was information Poster that will be placed all around the Tutwiler facility. 4. Inmate grievance form, appeal forms. 5. Inmate Education program--all inmates received this module the week of July 20, 2015. They continue to receive information in Orientation and quarterly sessions. 6. Inmate Orientation program-offered since July 27, 2015. 7. Staff training schedules for New grievance system in August 2015 and curriculum utilized. 8. Grievances filed with Lt. Coleman from September -
III.I.6 / III.I.6.viii

1. Deputy Commissioner Williams 2. Warden Barrett 3. Ms. Christy Vincent, ADOC PREA Director 4. Ms. Tamara Jackson, ADOC grievance appeal manager 5. Anne Hill, ADOC General Counsel and supervisor for Ms. Jackson 6. Captain McClain 7. Lt. Young 8. Lt. Coleman 9. Warden I Wright 10. Staff focus groups 11. Inmate focus groups 12. Shift Commanders Lt. Goodson and Lt. Nelson 13. Dr. Scott Holmes-Tutwiler Psychological Associate 14. ADOC Investigations Director, Mr. Arnaldo Mercado 15. ADOC investigator Ms. Kelley Smith

1. Baseline and compliance tours. Monitor saw the availability of grievances and the locked boxes for confidential deposit of the grievances by inmates.
2. Monitor observed the orientation presentation on the grievance process by Lt. Coleman on 12/03/2015.

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October 2015. 9. Tutwiler institutional grievance log that was created
and maintained by Lt. Coleman, since initiation of the program 8/31/15. 10. Log of grievance appeals that was created and maintained by Ms. Tamara Jackson since initiation of the process. She has received 32 appeals at time of her interview during compliance visit.

Not applicable

UNRESOLVED/PARTIALLY RESOLVED ISSUES FROM PREVIOUS TOUR

Page 144 of 226

MONITOR’S FINDINGS: Substantial Compliance Partial Compliance Non-compliance n/a no assessment due until __________
III.I.6 / III.I.6.viii

DATE: 2/15/16

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MONITOR’S DISCUSSION: STEPS TAKEN BY ADOC AND TUTWILER TOWARDS IMPLEMENTATION

DATE: 1/17/2016

Monitor will evaluate the steps taken by ADOC and Tutwiler by 1) interviews, as noted 2) review of documents, as noted and 3) baseline and compliance visits.

Requirements (summary) 1. ADOC and Tutwiler shall continue to develop and submit policies for an Inmate Grievance system by August 28, 2915 and implement said policy by September 28, 2015. 2. The policy will clearly prohibit retaliatory practices by staff against inmates who file a grievance. 3. Policy should include requirements in III. I. 6. II-ix 4. This grievance policy shall include procedures for inmate to file an emergency grievance, consistent with III. A. 6., where an inmate is subject to a substantial risk of imminent sexual or physical abuse 5. Inmates will receive education on the grievance system during orientation. Inmates will receive quarterly education every quarter from December 2015September 2016. Inmates must attend one of these future sessions 6. Grievance forms are available on all units 7. ADOC and Tutwiler will give inmates assistance if they are LEP, visually impaired, or have a mental illness or disabilities. 8. Inmates are not required to submit a grievance, alleging sexual abuse and sexual harassment or any other verbal/ physical staff abuse, to the employee(s) named in the complaint 9. Inmates are not required to file an informal grievance or in any way attempt to resolve a PREA allegations or any verbal/ physical by staff 10. The final decision by Tutwiler on the merits of a PREA issues or alleged staff verbal/ physical abuse grievance will be issued by 30 days from date of initial filing. There is an option for a 30 day extension which can be approved, and documented by the facility designee. 11. Emergency grievances: ADOC and Tutwiler shall: a. Immediately forward the grievance to a level of review at which immediate corrective action can occur b. Provide an initial response within 48 hours and issue a final decision within 5 calendar days c. The initial response and the final agency response documents ADOC / and or Tutwiler's determination whether the inmate is in imminent sexual or physical abuse and the action taken in response to the emergency grievance _________________________

1. ADOC 454 and Tutwiler SOP 8-12 (revised) 2. ADOC AR- 319; Inmate Grievance Procedures are not published currently 3. Tutwiler SOP 8-22; Inmate Grievance Procedures. It was published on August 26, 2015 per this provision. ADOC could not have Monitor review this policy before it was issued as there was not a Monitor contract in place until mid-September. Monitor reviewed the published policy and submitted comments, to include a recommendation for review by the Moss Group. Tutwiler is currently operating under SOP 8-22, but it is currently under Moss Group review. 4. Tutwiler inmates assigned received a two hour orientation/ training in grievance procedures during the week of July 20-24, 2015. All new inmates started receiving the Grievance procedure information on July 27, 2015. 5. Lt. Brian Coleman was appointed Tutwiler Grievance Coordinator by Warden Barrett. The actual grievance process was implemented on August 31, 2015, per this provision. Grievance forms are available throughout the institution, as observed by the Monitor on both visits. Monitor also observed the locked boxes for

III.I.6 / III.I.6.viii

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the inmate to deposit their grievance confidentially. Lt. Coleman has the only staff key for opening these boxes. If he is unavailable at work for any period of time, the key would be given to Lt. Young and she would collect the grievances and continue the process.
6. Tutwiler has scheduled the required quarterly Offender Education sessions for December 2015 and March, June and September 2016 7. All Tutwiler staff received grievance training the week of August 20-26, 2015, as required. Annual in-service training will begin in 2016 8. During the compliance tour, the provision requiring assistance for LEP, disabled, visually impaired or inmates with mental impairment was discussed by Monitor and Tutwiler staff. It was agreed that Dr. Scott Holmes, Psychological Associate and Master Trainer, will be the contact staff member to provide these services. 9. Inmates are NOT required to submit a grievance regarding sexual abuse/ harassment or staff verbal/ physical abuse, to the employee who is subject of the complaint. Inmates are not required to use any informal grievance process or otherwise attempt to resolve these kinds of complaints with Tutwiler employees. If the complaint is about Lt. Coleman, he will turn it over to the Warden and Lt. Young for further action. SOP 8-22 contains these provisions 10. Tutwiler complies with the 30 day schedule of resolving grievances, unless an extension has been approved by the Warden, in their operations. Monitor observed the log that was developed and maintained by Lt. Coleman that tracks each grievance in detail, to include dates for submission and resolution 11. SOP 8-22 has required provision for the stated requirements for Emergency Grievances. Monitor read ALL grievances submitted in September and October 2015 and noted several marked as "emergency". Lt. Coleman made the timely assessment and response required, even though the grievances marked were not indicating imminent or potential danger of sexual or physical abuse. Emergency grievances were discussed at length in the interview with Lt. Coleman and the Warden during the compliance visit. Lt. Coleman received a total of 270 grievances as of November 1, 2015. 99 of those grievances were marked as “Emergency” by the inmate, however only 1 was an emergency grievance as delineated by SOP 8-22. 12. Also the Monitor discussed emergency grievances with Ms. Tamara Jackson, ADOC Grievance Coordinator. The Monitor reviewed Ms. Jackson’s log of 32 appeals she had received from Tutwiler. She had not received an appeal, or a grievance marked emergency. We discussed proper procedures if one was sent to her by a third party or mailed by an inmate. Ms. Jackson understood her role and currently visits Tutwiler to gather more information on a grievance appeal before making her decision. 13. Monitor discussed the grievance system in all the staff focus groups and the inmate focus group. The staff were totally aware of their responsibilities, several had grievances filed against them and had a professional approach to the process. The inmates were knowledgeable about how to file grievances, Lt. Coleman’s role, and appeals. The inmates still have their "trust" of the system in an infancy stage (as Monitor would expect). They understood how to appeal and knew who Ms. Tamara Jackson was and she had visited Tutwiler several times to meet with inmates.

III.I.6 / III.I.6.viii

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MONITOR’S DISCUSSION: EXTENT TO WHICH ADOC AND TUTWILER HAVE COMPLIED WITH THE AGREEMENT

DATE: 1/17/2016

Monitor will evaluate ADOC and Tutwiler compliance by 1) interviews, as noted 2) review of documents, as noted and 3) baseline and compliance visits.

1. ADOC 454 and Tutwiler SOP 8-12 and Tutwiler SOP 8-22 contains this provision. 2. ADOC 319 will address Inmate Grievance Procedures. Tutwiler SOP 8-22 was cross-walked with AR 319 and is the current grievance policy for Tutwiler. 3. All currently assigned Inmates received training in July 2015, staff was trained in August 2015. 4. Grievance system was initiated on August 31, 2015. New admission inmates receive the Grievance training in weekly orientation session, conducted by Lt. Coleman. A schedule for the required quarterly reviews is in place. 5. The inmates who are LEP will be referred to Lt. Young, who will secure the services of a qualified interpreter. The inmates who have a mental illness or disabilities will be referred to Dr. Scott Holmes, or if he is unavailable, the MHM site administrator, to receive appropriate assistance in filing grievance. Lt. Coleman and Lt. Young will consult on these inmates as soon as they are identified and will ensure that the inmate receives services per the requirement. 6. During the Monitor interview with Lt. Coleman and Tutwiler staff it was decided that if Lt. Coleman opens a grievance and it involves any PREA allegation or staff verbal/physical abuse, he will contact Lt. Young to sit with him in the initial review of the grievance. Lt. Young will take the investigation process over if the inmate confirms it is their grievance and it involves a PREA allegation. 7. Tutwiler adheres to the required schedule of 30 days resolution, from receipt, of a grievance unless an extension has been granted and documented. 8. SOP 8-22 contains required process for emergency grievances. 9. Staff and inmate focus groups were all aware of the grievance procedures.

III.I.6 / III.I.6.viii

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MONITOR’S RECOMMENDATIONS: (for at least the next 6 months)

DATE DUE:

1. Tutwiler should include the role of Dr. Holmes in 8-22 and also the suggestions to involve Lt. Young at the beginning if the grievance has any PREA or staff verbal/physical abuse allegations.

1. Immediately

2. During the orientation, Monitor recommends Lt. Coleman have copies of all grievance and appeal forms for all inmates to see during his session. He needs to balance his presentation with discussion with the Inmates and not just use lecture style/power point, with time for questions all along.
3. The grievance should be printed with multiple copies that can be distributed (torn off) to the inmate, upon appeal and final resolution.

2. Immediately 3. May, 2016

4. Monitor shares a concern voiced by Ms. Jackson about the volume of her grievance responsibility when all facilities are involved. She 4. Immediately
is the EEO officer for ADOC. Review is needed immediately.

5. ADOC needs to submit any suggested revisions by the Moss Group to SOP 8-22 and also their response to comments offered by Monitor and DOJ to SOP 8-22.
6. ADOC will track the grievance process in its entirety (filing to final resolution) and will be required to start reporting this data in May 2016. There should be formal tracking, aside from the spreadsheet maintained by Lt. Coleman.
7. ADOC is in process of revising AR 319-Grievance Policy. The current Tutwiler SOP 22 is under revision for expert external review and in light of comments made by the monitor and DOJ. The monitor believes that a strong grievance system is a critical component of having a routine access for inmates to report ANY type of allegation, including PREA violations. ADOC needs the completed and published AR 319 and Tutwiler SOP 8-22 to be in full material compliance with this provision. The monitor notes a functioning grievance system presently that is being used by inmates but believes the revisions will provide a more robust system per the requirements in the settlement. Monitor and DOJ will review the revised AR 319 and SOP 8-22.

5. April, 2016 or sooner
6. Immediately
7. As soon as possible

III.I.6 / III.I.6.viii

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REPORTING ALLEGATIONS OF SEXUAL ABUSE AND SEXUAL HARASSMENT

III.I In order to adequately identify and respond to all instances of sexual abuse and sexual harassment at Tutwiler, ADOC and Tutwiler shall ensure that inmates,

staff, and third-parties have multiple unimpeded methods to report incidents of sexual abuse and sexual harassment free from retaliation.

Policy

Develop Implement

Policy Policy

7.ADOC and Tutwiler shall require all employees to report immediately: Any knowledge, suspicion, or information regarding an incident or alleged incident of sexual abuse or sexual harassment that occurred in Tutwiler, in transport vehicles, or in any off-site facilities under the control and supervision of ADOC or Tutwiler; Retaliation against inmates or staff who reported such an incident; and any staff neglect or violation of responsibilities that may have contributed to an incident or retaliation.

III.I.7

February February 28, 2016 28, 2016

8.Apart from reporting to designated supervisors or officials, staff shall not reveal any information

III.I.8

related to a sexual abuse or sexual harassment report to anyone other than to the extent necessary to

make treatment, investigation, and other security and management decisions.

9.ADOC and Tutwiler shall report all allegations of sexual abuse and sexual harassment, including third III.I.9 party reports, anonymous reports, and inmate grievances, to Tutwiler’s or ADOC’s designated investigator

REQUIREMENTS

Policy Developed

Staff Trained

Policy Implemented

Employees are required to report immediately: 1. Any knowledge, suspicion, or information regarding an incident or alleged incident of sexual abuse or sexual harassment that occurred in Tutwiler, in transport vehicles, or in any off-site facilities under the control and supervision of ADOC or Tutwiler; 2. Retaliation against inmates or staff who reported such an incident; and 3. Any staff neglect or violation of responsibilities that may have contributed to an incident or retaliation.

Y N N/A
Y N N/A Y N N/A

Y N N/A
Y N N/A Y N N/A

Y N N/A
Y N N/A Y N N/A

Staff do not reveal any information related to a sexual abuse or sexual harassment report to anyone other than to the extent necessary to make treatment, investigation, and other security and management decisions, apart from reporting to designated supervisors or officials.
ADOC and Tutwiler report all allegations of sexual abuse and sexual harassment, including third party reports, anonymous reports, and inmate grievances, to Tutwiler’s or ADOC’s designated investigator

Y N N/A Y N N/A

Y N N/A Y N N/A

Y N N/A Y N N/A

III.I.7 / III.I.8 / III.I.9

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MONITOR’S MEASURES OF COMPLIANCE

Page 150 of 226

EMPLOYEES are required to report immediately... a. Review of AR 454 and revised SOP 8-12 to address allegations occurring in transport or at off site facilities under control of ADOC and Tutwiler b. Logs, reports used to document staff reporting of allegations related to this requirement. Examples of these documents can be mailed and all reviewed on site during compliance visit c. Interviews with Dr. Williams, Warden, Capt. McClain, Lt. Young, Lt. Coleman, Tutwiler transportation supervisor (Sergeant, Lt or captain), DOC Director of Internal Investigations d. Review of investigations completed since November 2015 until compliance visit in 2016. Review of documentation of "unfounded allegations " after an investigation e. Staff and inmate focus groups
STAFF do not reveal any information related to sexual abuse/ sexual harassment report... a. Reports of any staff member violating this confidentiality provision b. Interviews with Warden, Capt. McClain, Lt. Young, DOC PREA Coordinator and director of Internal Affairs
ADOC and Tutwiler report all allegations.....to Tutwiler's investigators a. Interviews with Warden, Capt. McClain, Lt. Young, b. SOP for reporting and documentation used to reflect reported allegations-monthly reports, PREA reports

III.I.7 / III.I.8 / III.I.9

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Documents

STEPS TAKEN BY MONITOR TO ANALYZE CONDITIONS AND ASSESS COMPLIANCE, AND FACTUAL BASIS FOR MONITOR’S FINDINGS

(for each member of monitoring team)

Interviews

On-site/Observations / Other

1. Revised ADOC AR 454. 2. Revised Tutwiler SOP 8-12. 3. Revisions to grievance policy, if made. 4. Inmate orientation, if revised. 5. Documentation kept by Tutwiler PREA Coordinator for report to I + I regarding allegations of sexual abuse and harassment. 6. Documentation of any employee violations of this set of requirements.

1. Deputy Commissioner Williams 2. Warden Barrett 3. Captain McClain 4. Lt. Young 5. Lt. Coleman 6. Ms. Christy Vincent, ADOC PREA Director 7. Ms. Tamara Jackson, ADOC Grievance Coordinator 8. Staff focus group 9. Inmate focus group

None

Not applicable

UNRESOLVED/PARTIALLY RESOLVED ISSUES FROM PREVIOUS TOUR

III.I.7 / III.I.8 / III.I.9

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NOTE: THIS SECTION INCLUDES III.I.7, III.I.8, and III.I.9. Please provide separate findings, discussion, and recommendations for all provisions. MONITOR’S FINDINGS:
Substantial Compliance Partial Compliance Non-compliance
n/a 2/28/2016

DATE: 2/15/16

MONITOR’S DISCUSSION: STEPS TAKEN BY ADOC AND TUTWILER TOWARDS IMPLEMENTATION

DATE:1/18/16

Monitor will evaluate steps taken by ADOC and Tutwiler by 1) interviews, as noted, 2) review of documents, as noted, and 3) baseline and compliance visits

1. ADOC 454 and Tutwiler SOP 8-12 contain all portions for these requirements, except two specific requirements. Namely, I. 7 adds " in transport vehicles " , which is being added in the review/ revision of SOP 8-12 by the Moss Group. 2. The current review and revision of 8-12 will also address the requirement to address the reporting responsibilities for staff at any " off site facilities under the control and supervision of ADOC or Tutwiler".

MONITOR’S DISCUSSION: EXTENT TO WHICH ADOC AND TUTWILER HAVE COMPLIED WITH THE AGREEMENT

DATE: 1/18/16

Monitor will evaluate ADOC and Tutwiler compliance by 1) interviews, as noted, 2) review of documents, as noted, and 3) baseline and compliance visits

1. Review of the revised Tutwiler SOP 8-12 to contain the required reporting functions 2. Review any additional staff training or updates administered after the revisions to SOP 8-12 3. Monitor will interview selected staff to verify compliance during next visit. 4. Monitor will conduct staff focus groups on next compliance visit. 5. Monitor will review any documentation regarding the implementation of these requirements at the " off site facilities under the control and supervision by ADOC or Tutwiler"
III.I.7 / III.I.8 / III.I.9

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MONITOR’S RECOMMENDATIONS: (for at least the next 6 months)
1. Train staff as needed at Tutwiler and other off-site facilities under the supervision of ADOC or Tutwiler.

DATE DUE: 1. As required

III.I.7 / III.I.8 / III.I.9

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REPORTING ALLEGATIONS OF SEXUAL ABUSE AND SEXUAL HARASSMENT

III.I In order to adequately identify and respond to all instances of sexual abuse and sexual harassment at Tutwiler, ADOC and Tutwiler shall ensure that inmates,

staff, and third-parties have multiple unimpeded methods to report incidents of sexual abuse and sexual harassment free from retaliation.

Policy

Develop Implement

Policy Policy

10.Protecting Inmates and Staff from Retaliation: i.Consistent with ADOC policies, ADOC and Tutwiler shall protect all inmates and staff who report allegations of sexual abuse or sexual harassment or cooperate with sexual abuse or sexual harassment investigations from retaliation by other inmates or staff, and shall designate Tutwiler’s PREA Compliance

III.I.10

May 28, 2015 AND February 28, 2016

May 28, 2015 AND February 28, 2016

Manager with monitoring allegations of retaliation concerning inmates. Allegations of retaliation against

employees will be investigated and processed in accordance with ADOC personnel policy.

(III.I.10 1-v listed below)

REQUIREMENTS

Policy Developed

Staff Trained

Policy Implemented

Inmates and staff who report allegations of sexual abuse or sexual harassment or cooperate with sexual abuse or sexual harassment investigations are protected from retaliation by other inmates or staff. [May Y N N/A 28, 2015]

Y N N/A

Y N N/A

Tutwiler’s PREA Compliance Manager monitors allegations of retaliation concerning inmates. [May 28, 2015]

Y N N/A

Y N N/A

Y N N/A

Allegations of retaliation against employees are investigated and processed in accordance with ADOC personnel policy. [May 28, 2015]

Y N N/A Y N N/A

Y N N/A

---------------[provisions below due February 28, 2016]-----------------------ADOC and Tutwiler use multiple protection measures, such as housing changes or transfers for inmate victims or abusers, removal of alleged staff or inmate abusers from contact with victims, and emotional support services for inmates or staff who fear retaliation for reporting sexual abuse or sexual harassment Y or for cooperating with investigations.

N N/A

Y N N/A

Y N N/A

ADOC and Tutwiler ensure that any Tutwiler staff who is alleged to have engaged in sexual abuse or sexual harassment are immediately removed from positions of inmate contact at Tutwiler until an investigation is concluded.

Y N N/A Y N N/A

Y N N/A

III.I.10

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ADOC and Tutwiler monitor all inmates and staff who report sexual abuse or sexual harassment and inmates who have been reported to have suffered or cooperated with sexual abuse or sexual harassment investigations from retaliation by other inmates or staff for at least 90 days following a report of sexual abuse or sexual harassment, to see if there are changes that may suggest possible retaliation by inmates Y or staff, including inmate disciplinary reports, housing or program changes, and negative performance reviews or reassignments, and shall act promptly to remedy any such retaliation.

N N/A

-such monitoring is continued beyond 90 days if the initial monitoring indicates a continuing need. Y N N/A

-monitoring also includes periodic status checks for inmates
ADOC and Tutwiler take appropriate measures to protect from retaliation any other individual who cooperates with an investigation and expresses a fear of retaliation.

Y N N/A Y N N/A

Y N N/A
Y N N/A Y N N/A Y N N/A

Y N N/A
Y N N/A Y N N/A Y N N/A

MONITOR’S MEASURES OF COMPLIANCE
i, v Protecting inmates and staff from retaliation: Consistent with ADOC policies, ADOC and Tutwiler shall protect all inmates and staff who report allegations of sexual abuse or sexual harassment or cooperate with...investigations from retaliation by other inmates and staff and designate Tutwiler’s PREA compliance manager with monitoring allegations of retaliation concerning inmates. Allegations of retaliation against employees will be investigated and process in accordance with ADOC personnel policy
A. Policy/SOP regarding retaliation protection for staff and inmates B. Documents that have been investigated by ADOC and/or Tutwiler PREA Compliance Coordinators regarding retaliation. C. Monitoring tool used by Tutwiler’s PREA manager to document allegations. D. Copies or review investigations that are completed or in process for retaliation allegations. E. Interviews with Dr. Williams, Warden Barrett, Capt. McClain, Lt. Young, Lt. Coleman, DOC Internal Affairs director, staff and inmate focus groups, DOC PREA manager F. Discussion with Dr. Williams about ADOC methods of multiple protection measures for inmates and staff- reassignment etc.

III.I.10

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Documents

STEPS TAKEN BY MONITOR TO ANALYZE CONDITIONS AND ASSESS COMPLIANCE, AND FACTUAL BASIS FOR MONITOR’S FINDINGS

(for each member of monitoring team)

Interviews

On-site/Observations / Other

1. ADOC AR 454. 2. Tutwiler DOP 8-12 (under revision). 3. Tutwiler SOP 15-44 Institutional PREA Compliance manager responsibilities. 4. Training records for Tutwiler staff and overtime staff assigned to work there. 5. Review of Tutwiler grievances from SeptemberNovember 10, 2015. 6. Review of Grievance appeals submitted to Ms. Tamara Jackson-ADOC Grievance Coordinator. 7. PREA information posters located in multiple places. 8. Review of alleged PREA violations in Tutwiler Incident Reports-ADOC 302-A.

1. Deputy Commissioner Williams 2. Warden Barrett 3. Captain McClain 4. Lt. Young 5. Ms. Christy Vincent-ADOC PREA Director 6. Lt. Coleman 7. Mr. Arnaldo Mercado -Director of ADOC Investigations Division 8. Ms. Kelley Smith-ADOC investigator (assigned to Tutwiler, among other places) 9. Staff focus groups 10. Inmate focus group

1. Baseline and Compliance tours. Monitor observed PREA informational posters located throughout facility and annex. Toll free PREA hotline phones observed in housing areas.

Not applicable

UNRESOLVED/PARTIALLY RESOLVED ISSUES FROM PREVIOUS TOUR

III.I.10

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MONITOR’S FINDINGS: Substantial Compliance Partial Compliance Non-compliance n/a no assessment due until __________

DATE: 2/15/16

MONITOR’S DISCUSSION: STEPS TAKEN BY ADOC AND TUTWILER TOWARDS IMPLEMENTATION

DATE: 1/17/2016

Monitor will evaluate steps taken by ADOC and Tutwiler by 1) interviews, as noted 2) review of documents, as noted and 3) baseline and compliance visits.

Requirement (summary) 1. ADOC and Tutwiler shall protect inmates who report allegations of sexual abuse and sexual harassment or cooperate with investigations from retaliation by staff or inmates - May 28, 2015 2. Tutwiler's PREA Compliance manager monitors allegations of retaliation concerning inmates-May 28, 2015 3. Allegations of retaliation against employees are investigated and processed according to ADOC personnel policies. May 28, 2015

***requirements for February 28, 2016 (summary)

a. ADOC and Tutwiler will use multiple protection measures (housing changes, transfer, removal of staff or inmates abusers from victim contact) and emotional support services for inmates or staff who fear retaliation b. ADOC and Tutwiler ensure that any Tutwiler staff who is alleged to have engaged in sexual abuse or sexual harassment are immediately removed from positions of inmate contact at Tutwiler until investigation is concluded c. ADOC and Tutwiler will monitor all inmates and staff who report sexual abuse or harassment and inmates who report to have suffered retaliation for at least 90 days after a report of sexual abuse or harassment: looking for changes that that may suggest retaliation by inmates or staff (disciplinary reports, housing or program changes) and shall act promptly to remedy any such retaliation **monitoring continues beyond 90 days if initial monitoring indicates a need to continue the monitoring. It also will include periodic status checks on inmates _____________________ 1. The revised ADOC 454 and Tutwiler SOP 8-12 will contain all of the requirements for III. I. 10. i . by February 28, 2016. 2. SOP 8-12 will contain 10. ii and iii in revised version. Also a few sentences in 10. iv will be added
III.I.10

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3. The monitor discussed PREA with the inmate focus group. The inmates were encouraged to discuss any issues, lack of understanding, confusion or problems with Tutwiler procedures. Specifically, the monitor discussed the inmate’s knowledge of what the PREA issues are, how to report, investigations, and the role of the IPCM. The monitor's questions did not the issue of retaliation directly. The inmates did not raise any concern or issue with retaliation in the comments and discussion that occurred. 4. Monitor reviewed grievances from September and October 2015 and there were no claims of retaliation. Reviewing the entire log maintained by Lt. Coleman did not reveal a grievance filed regarding retaliation. 5. Monitor interviewed Warden Barrett, Captain McClain and Lt. Young from Tutwiler and none of them had received or knew of an allegation of retaliation pursuant to these provisions. Lt. Young understands her responsibilities as IPCM regarding tracking inmates who make allegations of sexual abuse or sexual harassment and to monitor them. 6. Lt. Young will use a form, ADOC -E, called PREA, Sexual abuse Retaliation. Monitor reviewed this form and found it adequate to currently track the requirements in this provision. It is Two pages: 1) it documents basic information about the allegation 2) it provides weekly tracking boxes for the required areas for monitoring (housing, programming, disciplinary charges) 3) it indicates if the monitoring period is the first required 90 days or an extension of that monitoring, as required.

MONITOR’S DISCUSSION: EXTENT TO WHICH ADOC AND TUTWILER HAVE COMPLIED WITH THE AGREEMENT

DATE: 1/17/2016

Monitor will evaluate ADOC and Tutwiler compliance by 1) interviews, as noted 2) review of documents, as noted and 3) baseline and compliance visits.

1. Tutwiler revised SOP 8-12 will contain all the requirements for 10. i. 2. Staff will receive the revised PREA training curriculum in January 2016. 3. Inmate focus group did not discuss any issues related to retaliation. 4. ADOC form 454-D. PREA Sexual Abuse / Harassment Retaliation Monitoring Checklist is a thorough form and includes all requirements for tracking/monitoring in this provision.

MONITOR’S RECOMMENDATIONS: (for at least the next 6 months)
1. Lt. Young submit her documents, logs, ADOC form – 454-D, she will use to track inmates who make PREA allegations for possible retaliation to the monitor for review if an incident of retaliation is reported.

DATE DUE: 1. March, 2016

III.I.10

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OFFICIAL RESPONSE TO AN ALLEGATION OF SEXUAL ABUSE AND SEXUAL HARASSMENT

III.J ADOC and Tutwiler shall ensure that all alleged victims of sexual abuse and sexual harassment are offered timely, unimpeded access to medical treatment

and crisis intervention services as appropriate and that staff appropriately respond to and counsel the alleged victim while taking steps to preserve evidence.

Policy

Develop Implement

Policy Policy

1.When ADOC or Tutwiler learns that an inmate may be subject to a substantial risk of imminent sexual abuse, ADOC or Tutwiler shall take immediate action to protect the inmate.

III.J.1

February February 28, 2016 28, 2016

REQUIREMENTS
Immediate action is taken immediate to protect an inmate when ADOC or Tutwiler learns that the inmate may subject to a substantial risk of imminent sexual abuse.

Policy Developed

Staff Trained

Y N N/A Y N N/A

Policy Implemented
Y N N/A

MONITOR’S MEASURES OF COMPLIANCE
ADOC and Tutwiler...shall take immediate action to protect an inmate... a. Review SOP 8-12 for inclusion of this requirement b. Documentation of any inmate identified and managed under this provision. Review of all actions taken initially in regard to said inmates c. Interviews with Warden, Capt. McClain, Lt. Young, and the MHM Site Administrator d. Staff and inmate focus groups

III.J.1

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Documents

STEPS TAKEN BY MONITOR TO ANALYZE CONDITIONS AND ASSESS COMPLIANCE, AND FACTUAL BASIS FOR MONITOR’S FINDINGS

(for each member of monitoring team)

Interviews

On-site/Observations / Other

1. Revised ADOC AR 454. 2. Revised Tutwiler SOP 8-12. 3. Any MHM or Corizon written protocols for their Tutwiler staff responses, interventions for inmates subject to this requirement. 4. Documentation of any specialized training via this requirement at Tutwiler. 5. Any written reports made at Tutwiler, and submitted to Lt. Young, Warden Barrett, Lt. Coleman/others, of management responses to an Inmate that is subject to substantial risk of imminent abuse at Tutwiler.

1. Deputy Commissioner Williams 2. Warden Barrett 3. Captain McClain 4. Lt. Young 5. MHM Site Administrator at Tutwiler 6. Acting Corizon Director of Nursing at Tutwiler ** The MHM site administrator and the Corizon site administrator are designated as crisis intervention/medical services managers for inmates subject to this requirement. The Corizon site administrator is currently on leave. 7. Staff focus group 8. Inmate focus group 9. Grievances filed at Tutwiler since December 1, 2015.

None

Not applicable

UNRESOLVED/PARTIALLY RESOLVED ISSUES FROM PREVIOUS TOUR

III.J.1

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DATE: 2/15/16 Substantial Compliance Partial Compliance Non-compliance n/a 2/28/2016

DATE: 2/15/16

MONITOR’S DISCUSSION: STEPS TAKEN BY ADOC AND TUTWILER TOWARDS IMPLEMENTATION

DATE:1/18/16

Monitor will evaluate steps taken by ADOC and Tutwiler by 1) interviews, as noted, 2) review of documents, as noted, and 3) baseline and compliance visits 1. ADOC 454 and Tutwiler SOP 8-12 2. The revised SOP 8-12 will include the specific requirement for " immediate action is taken to protect an inmate when ADOC or Tutwiler learns than an inmate may be subject to a substantial risk of imminent sexual abuse." 3. Tutwiler staff have been trained to report incidences that are in this requirement. The revised PREA curriculum will have specific training for protocols for this provision.

MONITOR’S DISCUSSION: EXTENT TO WHICH ADOC AND TUTWILER HAVE COMPLIED WITH THE AGREEMENT

DATE:1/18/16

Monitor will evaluate ADOC and Tutwiler compliance by 1) interviews, as noted 2) review of documents, as noted 3) baseline and compliance visits

1. Review of the revised Tutwiler SOP 8-12. 2. Interviews with selected Tutwiler staff regarding this requirement, to include the MHM Site Administrator, and the Corizon Site Administrator at Tutwiler. They are responsible for crisis intervention services for inmates. 3. Documentation regarding any additional staff training developed relative to requirements in this provision.

NOTE: monitor was informed by Deputy Commissioner a Williams that neither ADOC or Tutwiler have been informed of any inmate who may be at substantial risk of imminent sexual abuse since the effective date of the agreement, May 28, 2015.

III.J.1

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MONITOR’S RECOMMENDATIONS: (for at least the next 6 months)

DATE DUE:

1. The monitor requests to be notified if Tutwiler takes administrative actions to protect an inmate from any threat of imminent harm. Deputy Commissioner Williams stated that Tutwiler has not had to take this action since the effective date of the agreement, May 28, 2015.

1. As required

III.J.1

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OFFICIAL RESPONSE TO AN ALLEGATION OF SEXUAL ABUSE AND SEXUAL HARASSMENT

III.J ADOC and Tutwiler shall ensure that all alleged victims of sexual abuse and sexual harassment are offered timely, unimpeded access to medical treatment

and crisis intervention services as appropriate and that staff appropriately respond to and counsel the alleged victim while taking steps to preserve evidence.

Policy

Develop Implement

Policy Policy

2.ADOC and Tutwiler shall continue to comply with Policy and Tutwiler Standard Operating Procedures to coordinate actions taken in response to an allegation of sexual abuse, among first staff responders, medical and mental health practitioners, investigators, and Tutwiler leadership, including time frames and lists of whom staff should report to in specific situations and guidelines regarding the collection of physical evidence.

III.J.2

May 28, 2015

May 28, 2015

REQUIREMENTS

Policy Developed

Staff Trained Policy Implemented

Actions are coordinated in response to allegations of sexual abuse among first staff responders, medical and mental health practitioners, investigators, and leadership.

Y N N/A Y N N/A Y N N/A

Time frames are provided

Y N N/A Y N N/A Y N N/A

Lists of whom staff should report to in specific situations and guidelines regarding the collection of physical evidence are provided.

Y N N/A Y N N/A Y N N/A

MONITOR’S MEASURES OF COMPLIANCE
DOC and Tutwiler shall continue to comply with policy and Tutwiler SOP to coordinate actions taken in response to allegations of sexual abuse-among first responders, health staff, investigators and leadership-including time frames and lists of whom staff should report to in specific situations and guidelines regarding the collection of physical evidence
A. Policy/SOP for action plan to coordinate actions in response to allegations of sexual abuse B. Training schedule and records of staff training/orientations for this requirement. Curriculum used, if applicable. C. Review of incident reports describing this coordinated effort. Any documents the Warden or Dr. Williams have in reacting to any event that occurred and how it was handled. D. Guidelines/SOP/directives for collections of physical evidence. E. Incident reports that have occurred regarding collections of any physical evidence for use in sexual abuse allegations/investigations F. Interviews with Dr. Williams, Warden Barrett, Capt. McClain, Lt. Young, psychologist, medical , shift captains, Tutwiler investigator, Internal Affairs director, DOC PREA manager
III.J.2

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Documents

STEPS TAKEN BY MONITOR TO ANALYZE CONDITIONS AND ASSESS COMPLIANCE, AND FACTUAL BASIS FOR MONITOR’S FINDINGS

(for each member of monitoring team)

Interviews

On-site/Observations / Other

1. ADOC AR 454 and Tutwiler SOP 8-12 (under revision). 2. PREA logs maintained at Tutwiler in mental health and medical NET form (nursing encounter tool). 3. Risk assessment classification checklist.

1. Deputy Commissioner Williams 2. Warden Barrett 3. Captain McClain 4. Lt. Young 5. Ms. Christy Vincent, ADOC PREA Director 6. Associate Commissioner Ruth Naglich, Health Services 7. Ms. Lynn Brown, ADOC Health Region Manager 8. Dr. David Tytell, ADOC Chief Psychologist 9. MHM Site Administrator, at Tutwiler 10. Dr. Scott Holmes, Tutwiler Psychological Associate 11. Staff training record for PREA 12. Mr. Arnaldo Mercado, Director of the ADOC Investigations unit

1. Baseline tour of all health care areas at Tutwiler and informal discussions with health care staff. Monitor observed PREA information distributed throughout the facility and toll free hotline phones.

III.J.2

Not applicable

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UNRESOLVED/PARTIALLY RESOLVED ISSUES FROM PREVIOUS TOUR

Page 165 of 226

MONITOR’S FINDINGS: Substantial Compliance Partial Compliance Non-compliance n/a no assessment due until __________

DATE: 2/15/16

MONITOR’S DISCUSSION: STEPS TAKEN BY ADOC AND TUTWILER TOWARDS IMPLEMENTATION

DATE: 1/17/2016

Monitor will evaluate steps taken by ADOC and Tutwiler by 1) interviews, as noted, 2) review of documents, as noted, and 3) baseline and compliance visits.

Requirements (summary) 1. ADOC and Tutwiler will continue to coordinate actions in response to allegations of sexual abuse and sexual harassment, among first staff responders, medical and mental health staff, investigators and leadership 2. Time frames and lists of whom staff should report to in specific situations and guidelines regarding the collection of physical evidence are provided ______________________ 1. ADOC 454 and Tutwiler SOP 8-12 (revised) outline these provisions. These practices have been in place since February 2014 and remain currently in practice. 2. Monitor reviewed a PREA log maintained in Tutwiler mental health. 3. Tutwiler medical staff (Corizon) use the NET tool-nursing encounter form -to document their involvement in any PREA case. Monitor has form 4. Monitor discussed the health care protocols for a response to a PREA allegation at Tutwiler with Associate Commissioner Naglich and regional ADOC manager
III.J.2

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Ms. Lynn Brown. They both indicated that their staff have received PREA training, are aware of the role of Lt. Young, IPCM, at Tutwiler and how their staff interface with her and the in any PREA allegation/ investigation. Interview with Dr. Gams in the health care section at Tutwiler during baseline visit indicated his awareness of health care role in PREA5. The Tutwiler MHM Site Administrator for mental health is aware of the responsibilities of her section to provide supportive services, intervention and evaluation services once a PREA allegation has been made. 6. The Tutwiler classification Risk Assessment checklist, administered during intake, requires follow up by health care staff if an inmate responds affirmatively to any of the risk factors for being a possible victim or predator. This is an excellent early review, prior to an allegation being made, for health care staff of what the issues are in PREA 7. Interviews with staff focus groups demonstrated routine interface with health care providers and a general understanding of the health care role regarding allegations. 8. The revised PREA training curriculum for staff includes detailed discussion of this provision and allows for Tutwiler staff to discuss and ask questions about specific procedures at Tutwiler 9. Information regarding initial evidence collection is included in PREA training. 10. Warden Barrett meets daily with his executive management team, that includes all Wardens, Captain McClain and Lt. Young. He has a monthly facility management meeting. In his interview, the Warden described how he uses these meetings to discuss PREA protocols or current events occurring in the facility regarding the settlement agreement operational requirements. 11. Monitor has reviewed documents that are used to train staff in health care PREA related standards, establish a protocol with a community provider for a SANE examination, and a PREA checklist for health care staff. Documents provided by Associate Commissioner Naglich and Ms. Lynn Brown. a. Ms. Brown, ADOC region manager, provided a "PREA Quick Reference" guide for health care definitions and protocols for staff at Tutwiler. b. Monitor reviewed a copy of the PREA NET (nursing encounter tool) form, used by nursing staff to document an PREA medical intervention. c. Monitor reviewed the Corizon "New Employee Orientation Part II-Clinical." It is an abbreviated PREA training, specifically referencing standards that apply to health care staff responsibilities. Tutwiler health care staff all participates in the required full PREA training at the facility. d. Monitor reviewed a protocol developed by the community group, STAR (Standing Together Against Rape) in Montgomery. It gives instructions for scheduling a forensic examination, required by PREA if necessary, by a SANE (sexual assault nurse examiner) trained nurse in the community. It gives instructions regarding the preservation of possible evidence and other directives for Tutwiler responding staff. e. Monitor reviewed a copy of the "Combined PREA Log" used by health staff at Tutwiler to document specific tests, dates administered and evaluation dates.

III.J.2

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MONITOR’S DISCUSSION: EXTENT TO WHICH ADOC AND TUTWILER HAVE COMPLIED WITH THE AGREEMENT

DATE: 1/17/2016

Monitor will evaluate ADOC and Tutwiler compliance by 1) interviews, as noted 2) review of documents, as noted and 3) baseline and compliance visits.
1. ADOC 454 and Tutwiler SOP 8-12 contain these provisions since February 2014.
2. Interviews with ADOC health care management, the Corizon management and staff at Tutwiler, the MHM site management at Tutwiler, and Dr. Holmes confirm their understanding, and training, in responding to an allegation of sexual abuse at Tutwiler.
3. PREA posters are in the health care areas of the institution
4. Warden Barrett has routine daily meetings with executive staff, monthly facility management meetings where issues regarding the operational responsibilities of this provision and other PREA related protocols are discussed
5. Ms. Lynn Brown, ADOC Regional Manager, frequently visits medical staff at Tutwiler. She reviews charts, answers questions and gives directions necessary for the staff to be responsive in their roles at Tutwiler. Ms. Brown is very diligent about the PREA responsibilities and has an excellent relationship with Warden Barrett and the management staff at Tutwiler.
6. Monitor has reviewed documents that are used to train staff in health care PREA related standards, establish a protocol with a community provider for a SANE examination, and a PREA checklist for health care staff. Documents provided by Associate Commissioner Naglich and Ms. Lynn Brown.
a. Ms. Brown, ADOC region manager, provided a "PREA Quick Reference" guide for health care definitions and protocols for staff at Tutwiler.
b. Monitor reviewed a copy of the PREA NET (nursing encounter tool) form, used by nursing staff to document an PREA medical intervention.
c. Monitor reviewed the Corizon "New Employee Orientation Part II-Clinical." It is an abbreviated PREA training, specifically referencing standards that apply to health care staff responsibilities. Tutwiler health care staff all participates in the required full PREA training at the facility.
d. Monitor reviewed a protocol developed by the community group, STAR (Standing Together Against Rape) in Montgomery. It gives instructions for scheduling a forensic examination, required by PREA if necessary, by a SANE (sexual assault nurse examiner) trained nurse in the community. It gives instructions regarding the preservation of possible evidence and other directives for Tutwiler responding staff.
e. Monitor reviewed a copy of the "Combined PREA Log" used by health staff at Tutwiler to document specific tests, dates administered and evaluation dates.
7. The monitor reviewed 5 completed PREA investigations by the ADOC Division of Investigations and Intelligence. The monitor selected these after reviewing the I+I spreadsheet documenting their PREA investigations at Tutwiler. Monitor selected one to review in detail with Director Mercodo and investigator Kellie Smith. This investigation included allegations made in the medical health area. The monitor observed a thorough investigation by Ms. smith that involved interviews with several health care staff and review of documents. Monitor agreed with the "non-substantiated " conclusion reached by I+I.

III.J.2

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MONITOR’S RECOMMENDATIONS: (for at least the next 6 months)

DATE DUE:

1. Tutwiler hold an interdisciplinary meeting every four months, of all relevant disciplines named in this provision, to review and develop the coordinated response to an allegation. It's important for these disciplines to communicate, and not when there is a crisis, about the protocols and forms they will all use.
2. Tutwiler Warden meet routinely with all NEW health care staff hired at Tutwiler, to introduce them to his expectations regarding their role and Warden should document these meetings to his file. Date- Immediately.
3. ADOC Associate Commissioner Naglich should ensure that all new health care staff at Tutwiler are receiving timely PREA training and knowledge specifically about the management of physical evidence. Documentation should be maintained.
4. Tutwiler medical and mental health staff should hold scheduled staff meetings that reviews their PREA responsibilities, and other related topics. These meetings should be documented, with the Warden receiving a copy. Medical and mental health managers meeting jointly together at least every four months, starting April 1, 2016, will only increase their understanding of each other's rolesnew forms. Monitor believes quarterly meetings are sufficient, based on their experience, to have substantive exchange of information.

1. 3/1/2016
2. Immediately 3. 4/1/2016 4. 4/1/2016

III.J.2

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OFFICIAL RESPONSE TO AN ALLEGATION OF SEXUAL ABUSE AND SEXUAL HARASSMENT

III.J ADOC and Tutwiler shall ensure that all alleged victims of sexual abuse and sexual harassment are offered timely, unimpeded access to medical treatment

and crisis intervention services as appropriate and that staff appropriately respond to and counsel the alleged victim while taking steps to preserve evidence.

Policy

Develop Implement

Policy Policy

3.ADOC and Tutwiler shall respond to reports of sexual abuse and sexual harassment or threats of sexual

abuse or sexual harassment without regard to an inmate’s known or perceived sexual orientation or gender III.J.3

February February

identity.

III.J.6

28, 2016 28, 2016

6.ADOC and Tutwiler shall not place in protective custody an inmate who is alleged to have suffered sexual abuse or sexual harassment solely for the purpose of protecting that inmate, unless a determination, documented in writing and reviewed by the PREA Compliance Manager or the Warden’s designee within 24 hours, has been made that there is no available alternative means of separation from likely abusers.

REQUIREMENTS

Policy Developed

Staff Trained Policy Implemented

ADOC and Tutwiler respond to reports of sexual abuse and sexual harassment or threats of sexual abuse or Y N N/A Y N N/A Y N N/A sexual harassment without regard to an inmate’s known or perceived sexual orientation or gender identity.

Inmates who are alleged to have suffered sexual abuse or sexual harassment are not placed in protective custody solely for the purpose of protecting that inmate, unless:
1. a determination that there is no available alternative means of separation from likely abusers is documented in writing, and
2. the determination is reviewed by the PREA Compliance Manager or the Warden’s designee within 24 hours.

Y N N/A Y N N/A Y N N/A Y N N/A Y N N/A Y N N/A Y N N/A Y N N/A Y N N/A

III.J.3 / III.J.6

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MONITOR’S MEASURES OF COMPLIANCE

ADOC and Tutwiler respond to reports of sexual Abuse and sexual harassment....without regard to an inmates' known or perceived sexual orientation or gender identity a. Review of revised SOP 8-12. b. Review of inmate or third party reports / investigations since Nov. 2015-compliance visit 2016 c. Interviews with Warden, McClain, Young, Lt. Coleman, and DOC PREA Director d. Inmate focus group

Inmates who are alleged to have suffered sexual abuse or sexual harassment are not placed in protective custody solely for the purpose of protecting the inmate, unless... a. Review of SOP used since Nov. 2015 to respond to this requirement. b. Review of proposed plans, logs etc. being developed by May 2016 for documenting use of involuntary segregation because a risk of sexual victimization for a period longer than 24 hours c. Review of segregation logs and reasons for placement since November 2015-compliance visit-on site d. Interviews with Dr. Williams, Warden, McClain, Young, Coleman, DOC PREA, DOC grievance appeal authority, e. Review of any emails or memos issued by Warden to address placement or detainment of an inmate on protective status due to risk for sexual victimization f. Inmate focus group

Documents

STEPS TAKEN BY MONITOR TO ANALYZE CONDITIONS AND ASSESS COMPLIANCE, AND FACTUAL BASIS FOR MONITOR’S FINDINGS

(for each member of monitoring team)

Interviews

On-site/Observations / Other

1. Revised ADOC AR 454. 2. Revised Tutwiler SOP 8-12. 3. Review of protective custody logs for JanuaryMay 2016. 4. Review of Tutwiler segregation logs/reason for placement January-May 2016. 5. Review of logs maintained by Lt. Young.

1. Deputy Commissioner Williams 2. Warden Barrett 3. Captain McClain 4. Lt. Young 5. Lt. Coleman 6. MHM Site Administrator 7. Dr. Scott Holmes, Tutwiler Psychological Associate

1. Tour of Tutwiler, to include segregation and mental health unit.

III.J.3 / III.J.6

Not applicable

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UNRESOLVED/PARTIALLY RESOLVED ISSUES FROM PREVIOUS TOUR

Page 171 of 226

NOTE: THIS SECTION INCLUDES III.J.3 and III.J.6. Please provide separate findings, discussion, and recommendations for all provisions.

MONITOR’S FINDINGS:

DATE: 2/15/16

Substantial Compliance Partial Compliance Non-compliance n/a 2/28/2016

III.J.3 / III.J.6

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MONITOR’S DISCUSSION: STEPS TAKEN BY ADOC AND TUTWILER TOWARDS IMPLEMENTATION

DATE:1/18/16

Monitor will evaluate steps taken by ADOC and Tutwiler by 1) interviews, as noted, 2) review of documents, as noted, and 3) baseline and compliance visits

1. ADOC 454 and Tutwiler SOP 8-12 does NOT currently contain J. 3, 6. The revised Tutwiler SOP 8-12 will include this specific requirement. 2. Review of segregation logs, noting "protective custody" and administrative segregation for "investigative reasons" in the documentation. Logs from MarchMay 2016. Review logs maintained by Captain Rogers 3. Review of inmate grievances from March-May 2016 4. Review of spreadsheets maintained by Lt. Young to track the use of administrative segregation related to a PREA investigation. 5. Review of Tutwiler documentation created to place an inmate in " protective custody" via this provision.

MONITOR’S DISCUSSION: EXTENT TO WHICH ADOC AND TUTWILER HAVE COMPLIED WITH THE AGREEMENT

DATE:1/18/16

Monitor will evaluate ADOC and Tutwiler compliance by 1) interviews, as noted, 2) review of documents, as noted, 3) baseline and compliance visits
1. Review of revised Tutwiler SOP 8-12 2. Review of documentation, as noted in previous discussion box 3. Inmate and staff focus groups during next compliance visit 4. Monitor asked Deputy Commissioner Williams if there has been an event at Tutwiler that required them to place an inmate into administrative segregation (protective custody, involuntary segregation) since the May 28, 2015 effective date of the agreement. There has NOT been any instance that required the placement of an inmate Into protective custody, per this provision.

NOTE: ADOC has reported, on February 5, 2016, the following PREA allegations that have been reported and investigated at Tutwiler since May 28, 2015: Inmate on inmate sexual abuse-2( 1 pending, 1 substantiated) Inmate on inmate sexual harassment -6 ( 5 unsubstantiated,1 unfounded) Staff on inmate sexual abuse- 6 (4 unsubstantiated, 2 unfounded) Staff on inmate sexual harassment -3 (2 unsubstantiated, 1 unfounded)

III.J.3 / III.J.6

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MONITOR’S RECOMMENDATIONS: (for at least the next 6 months)
1. Train staff in 8-12 revisions as it applies to this provision, if necessary

DATE DUE: 1. As needed

III.J.3 / III.J.6

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OFFICIAL RESPONSE TO AN ALLEGATION OF SEXUAL ABUSE AND SEXUAL HARASSMENT

III.J ADOC and Tutwiler shall ensure that all alleged victims of sexual abuse and sexual harassment are offered timely, unimpeded access to medical treatment

and crisis intervention services as appropriate and that staff appropriately respond to and counsel the alleged victim while taking steps to preserve evidence.

Policy

Develop Implement

Policy Policy

4.The written institutional plan shall include procedures that address how staff respond upon learning of an III.J.4

February February

allegation that an inmate was sexually abused; described below

28, 2016 28, 2016

5. If the first staff responder is not a security staff member, the responder shall be required to request the III.J.5 alleged victim not take any actions that could destroy physical evidence, and then notify security staff.

REQUIREMENTS

Policy Developed

Staff Trained Policy Implemented

The written institutional plan includes procedures that address how staff respond upon learning of an allegation that an inmate was sexually abused.

Y N N/A Y N N/A Y N N/A

The first security staff member to respond to the report is required to: -Separate the alleged victim and abuser; -Preserve and protect any crime scene until appropriate steps can be taken to collect any evidence; and Y N N/A Y N N/A Y N N/A -Request that the alleged victim not take any actions that could destroy physical evidence, including, as Y N N/A Y N N/A Y N N/A
appropriate, washing, brushing teeth, changing clothes, urinating, defecating, smoking, drinking, or eating if Y N N/A Y N N/A Y N N/A the abuse occurred within a time period that still allows for the collection of physical evidence.

If the first staff responder is not a security staff member, the responder is required to request the alleged victim not take any actions that could destroy physical evidence, and then notify security staff.

Y N N/A Y N N/A Y N N/A

III.J.4 / III.J.5

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MONITOR’S MEASURES OF COMPLIANCE

WRITTEN institutional plan includes procedures that address how staff will respond upon learning of an allegation that an inmate was sexually abused a. Review of SOP and institutional plan to address this requirement. Revised AR 454 and 8-12 b. Interviews with Warden, McClain, Young, Coleman, Site MHM and Health Service administrators, and DOC PREA Director c. Review of completed investigations of allegations reported by inmates during the reporting period-on site agreeable. d.Staff focus group

Requirements for first staff member response.. **included in previous group of measures

Documents

STEPS TAKEN BY MONITOR TO ANALYZE CONDITIONS AND ASSESS COMPLIANCE, AND FACTUAL BASIS FOR MONITOR’S FINDINGS

(for each member of monitoring team)

Interviews

On-site/Observations / Other

1. Revised ADOC AR 454. 2. Revised Tutwiler SOP 8-12. 3. Written Tutwiler institutional plan showing how the institution will comply with this requirement.

1. Deputy Commissioner Williams 2. Warden Barrett 3. Captain McClain 4. Lt. Young 5. Shift Commanders

None

Not applicable

UNRESOLVED/PARTIALLY RESOLVED ISSUES FROM PREVIOUS TOUR

III.J.4 / III.J.5

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NOTE: THIS SECTION INCLUDES III.J.4 and III.J.5. Please provide separate findings, discussion, and recommendations for all provisions. DATE: 2/15/16
MONITOR’S FINDINGS:
Substantial Compliance
Partial Compliance
Non-compliance
n/a 2/28/2016

MONITOR’S DISCUSSION: STEPS TAKEN BY ADOC AND TUTWILER TOWARDS IMPLEMENTATION

DATE:1/18/16

Monitor will evaluate steps taken by ADOC and Tutwiler by 1) interviews, as noted, 2) review of documents, as noted, and 3) baseline and compliance visits

1. ADOC 454 and Tutwiler SOP 8-12 both outline these provisions in J. 4,5 and they have been in practice since February 2014. It is noted that both of these PREA policies are under revision and will contain specific requirements and protocols for this provision. 2. Monitor reviewed the Corizon PREA training orientation for new employees. Associate Commissioner Naglich should review and modify this training to include any new or revised information to inform their employees of correct actions to take via this provision.

MONITOR’S DISCUSSION: EXTENT TO WHICH ADOC AND TUTWILER HAVE COMPLIED WITH THE AGREEMENT

DATE:1/18/16

Monitor will evaluate ADOC and Tutwiler compliance by 1) interviews, as noted, 2) review of documents, as noted, and 3) baseline and compliance visits

1. Review of Tutwiler revised SOP 8-12. 2. Review of any revised or updated training materials used for Corizon and MHM staff at Tutwiler 3. Review of completed Tutwiler incident reports on a PREA allegation, completed from January -May 2016.

III.J.4 / III.J.5

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MONITOR’S RECOMMENDATIONS: (for at least the next 6 months)
1. ADOC Associate Commissioner Naglich should review, and modified as needed, the Corizon training curriculum, to include the revised PREA training curriculum. Work with Corizon and Dr. Williams to identify any revisions.
2. Deputy Commissioner Williams should work with Ms. Vincent to identify ADOC stakeholders that may need to revise any PREA training or protocols as the new gender responsive policies are implemented and updates in training.

DATE DUE:
1. Implement changes by May 1, 2016
2. Ongoing

III.J.4 / III.J.5

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OFFICIAL RESPONSE TO AN ALLEGATION OF SEXUAL ABUSE AND SEXUAL HARASSMENT

III.J ADOC and Tutwiler shall ensure that all alleged victims of sexual abuse and sexual harassment are offered timely, unimpeded access to medical treatment

and crisis intervention services as appropriate and that staff appropriately respond to and counsel the alleged victim while taking steps to preserve evidence.

Policy

Develop Implement

Policy Policy

7.To the extent they do not already exist, ADOC and Tutwiler shall develop, submit to the Monitor and DOJ for review consistent with Section III.A.6., and implement policies and procedures to provide access to medical and mental health services to women identified as potential or actual victims of sexual abuse and sexual harassment, that occurred either at Tutwiler or elsewhere, including the following:

III.J.7

May 28, 2015 AND February 28, 2016

May 28, 2015 AND February 28, 2016

REQUIREMENTS

Policy Developed

Staff Trained

Policy Implemented

Inmate victims of sexual abuse receive timely, unimpeded access to emergency medical and mental health

Y N N/A Y N N/A

care and treatment and crisis intervention services, the nature and scope of which are determined by medical

and mental health practitioners according to their professional judgment.

Y N N/A

If no qualified medical or mental health practitioners are on duty at the time a report of recent abuse is made, Y N N/A Y N N/A security staff and first responders take preliminary steps to protect the victim and shall immediately notify the appropriate medical and mental health practitioners

Y N N/A

Tutwiler offers further medical and mental health evaluation and, as appropriate, treatment, to all inmates who have been victimized by sexual abuse and/or sexual harassment in any prison, jail, lockup, or juvenile facility.

Y N N/A Y N N/A Y N N/A

The evaluation and treatment of such victims includes, as appropriate, follow-up services, treatment plans, and, when necessary, referrals for continued care following their transfer to, or placement in, other facilities, or their release from custody.

Y N N/A Y N N/A

Y N N/A

Appropriate mental health counseling and emotional support services are made available to victims of sexual Y N N/A Y N N/A abuse and sexual harassment, provided by a qualified staff member or a victim advocate from a communitybased organization that provides services to sexual abuse victims.

Y N N/A

ADOC and Tutwiler shall attempt to enter into and maintain memoranda of understanding or other agreements with community service providers that are able to provide inmates with confidential emotional support services related to sexual abuse or sexual harassment.

Y N N/A Y N N/A

Y N N/A

III.J.7

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ADOC and Tutwiler maintain copies of agreements or documentation of attempts.

Y N N/A Y N N/A

Inmate victims of sexual abuse or sexual harassment while incarcerated are offered timely information about Y N N/A Y N N/A and timely access to emergency contraception, pregnancy tests, and tests for sexually transmitted infections prophylaxis, where medically appropriate.

If inmate pregnancy results from sexual abuse while incarcerated, such victims receive timely and comprehensive information about and access to all lawful pregnancy-related medical services.

Y N N/A Y N N/A

All treatment services in this subsection are provided to the victim without financial cost and regardless of whether the victim names the abuser or cooperates with any investigation arising out of the incident.

Y N N/A Y N N/A

Y N N/A Y N N/A
Y N N/A Y N N/A

MONITOR’S MEASURES OF COMPLIANCE
To the extent they do not already exist, ADOC and Tutwiler shall develop, submit to Monitor and DOJ for review...shall implement polices and procedures to provide access to medical and mental health services to women identified as potential or actual victims of sexual abuse and sexual harassment, that occurred at Tutwiler or elsewhere...
A. Policy/SOP' s for this requirement and implementation directives from Dr. Williams, central office health managers and Warden B. SOP's specifically for the mental health and medical departments at Tutwiler regarding their response to this requirement C. Logs or shift documents since June-Nov. 1 that contain mention of these referrals by shift supervisors D. Review of inmate medical and mental health records for inmates referred via this requirement. E. Documentation of any efforts security staff/supervisors took to protect inmate victims when health care staff not available F. Documentation in health records of any intervention by staff for inmates who report abuse in another facility. G. Documents created by health staff regarding treatment for any inmates they evaluate/ treat that will show the follow up actions and plans. H. List of "qualified" staff, via this requirement, that can/ have provided mental health counseling -any documents supporting their qualification -memo from their clinical supervisor verifying their credentials is sufficient I. Any documents of agreements (memo of understanding) with any community providers that may provide inmates with confidential emotional support services J. Review of medical record/ documents that inmates victims received to inform them of available services for contraception, pregnancy, sexually transmitted disease tests K. Medical record review for any inmate who became pregnant due to sexual abuse. L. Interviews with Dr. Williams, Warden Barrett, Capt. McClain, Lt. Young, on site medical administrator, central office health services manager, DOC PREA Director M. Site review of records
III.J.7

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Documents

STEPS TAKEN BY MONITOR TO ANALYZE CONDITIONS AND ASSESS COMPLIANCE, AND FACTUAL BASIS FOR MONITOR’S FINDINGS

(for each member of Monitoring team)

Interviews

On-site/Observations / Other

1. ADOC AR 454 and Tutwiler SOP 8-12. 2. Credentials of assigned mental health staff at Tutwiler. 3. Letter and grievance filed by an inmate in the Monitor’s inmate focus group. Monitor reviewed the information regarding health status with the Warden and received a briefing from a Corizon manager - this was NOT directly related to PREA but showed the issues of responsiveness, documentation from health care and the Warden's knowledge of this inmate’s unusual medical condition.

1. Deputy Commissioner Williams 2. Warden Barrett 3. Captain McClain 4. Lt. Young 5. Ms. Christy Vincent, ADOC PREA Director 6. Associate Commissioner Ruth Naglich, Health Services 7. Ms. Lynn Brown, ADOC Health Region Manager 8. Dr. David Tytell, ADOC Chief Psychologist 9. MHM Site Administrator at Tutwiler 10. Dr. Scott Holmes, Tutwiler Psychological Associate 11. Staff training record for PREA 12. Mr. Arnaldo Mercado, Director of the ADOC Investigations unit

1. Baseline tours of the medical treatment areas and the mental health treatment and office space.

Not applicable

UNRESOLVED/PARTIALLY RESOLVED ISSUES FROM PREVIOUS TOUR

III.J.7

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MONITOR’S FINDINGS: Substantial Compliance Partial Compliance Non-compliance n/a no assessment due until __________

DATE: 2/15/16

MONITOR’S DISCUSSION: STEPS TAKEN BY ADOC AND TUTWILER TOWARDS IMPLEMENTATION

DATE: 1/17/2016

Monitor will evaluate steps taken by ADOC and Tutwiler by 1) interviews, as noted 2) review of documents, as noted and 3) baseline and compliance visits.

Requirements (summary) May 28, 2015 and February 28, 2016 1. ADOC and Tutwiler shall develop (new or revised) policies and procedures regarding access to medical/ mental health services to women identified as potential or actual victims of sexual abuse and sexual harassment, that occurred either at Tutwiler or elsewhere: including a. Inmate victims of sexual abuse receive unimpeded access to emergency medical and mental health care and treatment /crisis intervention services. If there are no qualified medical/ mental health providers on site at Tutwiler at time of abuse report, immediate steps are taken by Tutwiler shift commanders to protect the inmate and the health care providers on call are contacted ASAP. Tutwiler health care staff will provide these same Evaluations and services, to all inmates who have been victimized by sexual abuse/ harassment at ANY prison, jail, lockup or juvenile facility b. Evaluations and treatment provided to these victims, include appropriate follow up services/appointments or placement in other facilities or their release from custody c. Mental health counseling and emotional support for victims are available and provided by qualified staff or a community victim advocate for sexual abuse victims d. ADOC and Tutwiler shall attempt to enter a written agreement with community providers that are capable of giving confidential support services for victims of sexual abuse and harassment. Documentation maintained of such agreements and attempts to establish them e. Inmate victims are offered timely information about emergency contraception, pregnancy tests and tests for sexually transmitted diseases, where appropriate f. In the event of a pregnancy occurring as a result of sexual abuse while incarcerated, inmate will receive information and access to lawful pregnancy services. All services are provided at no cost to the inmate, regardless if the inmate names her abuser or cooperates with an investigation _______________________ 1. ADOC 454 2. The current (pre-revision)’ Tutwiler SOP 8-12 currently includes 4 of the requirements of this provision. In summary, the requirements for inmates to receive
III.J.7

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timely, unimpeded access to emergency medical/mental health care, treatment and intervention services; the treatment services include, as appropriate, followup services, plans, and referrals for continued care, to include upon transfer to other facilities or release; if a pregnancy occurs as a result of a sexual abuse while incarcerated, the inmates will receive timely and comprehensive information about and access to all lawful pregnancy-related medical services. 3. The additional requirements in this provision will be addressed by ADOC by February 28, 2016 4. Monitor reviewed the credentials of the assigned MHM mental health professional staff at Tutwiler and find them "qualified", in the Monitor' s experience, to provide the required evaluations and emotional support services to sexual abuse and harassment victims 5. Monitor reviewed a mental health PREA log that documented all PREA related referrals. This has been addressed previously. The medical staff use the NET tool to document their PREA response in the inmate medical file 6. Monitor reviewed some inmate medical records for inmates who scored positively on the classification risk assessment checklist. Monitor reviewed several mental health evaluations that were completed via a referral after the initial mental health response on the risk assessment form was completed. These were very adequate responses in the Monitor’s experience 7. There have not been any instances where a qualified health care professional was not available on site for intervention and response, as required by this provision 8. Documentation of Tutwiler response to any inmate who makes a PREA allegation after transferring in from another confinement. The Warden and Lt. Young document their responses to the inmate and to the sending facility. 9. During the interview with ADOC General Counsel, Ms. Anne Hill, she indicated that a RFP for a community based service provider for confidential emotional support for inmate victims was in process and expected to be issued by February 1, 2016.
Monitor has reviewed documents that are used to train staff in health care PREA related standards, establish a protocol with a community provider for a SANE examination, and a PREA checklist for health care staff. Documents provided by Associate Commissioner Naglich and Ms. Lynn Brown. a. Ms. Brown, ADOC region manager, provided a "PREA Quick Reference" guide for health care definitions and protocols for staff at Tutwiler. b. Monitor reviewed a copy of the PREA NET (nursing encounter tool) form, used by nursing staff to document an PREA medical intervention. c. Monitor reviewed the Corizon "New Employee Orientation Part II-Clinical." It is an abbreviated PREA training, specifically referencing standards that apply to health care staff responsibilities. Tutwiler health care staff all participates in the required full PREA training at the facility. d. Monitor reviewed a protocol developed by the community group, STAR (Standing Together Against Rape) in Montgomery. It gives instructions for scheduling a forensic examination, required by PREA if necessary, by a SANE (sexual assault nurse examiner) trained nurse in the community. It gives instructions regarding the preservation of possible evidence and other directives for Tutwiler responding staff. e. Monitor reviewed a copy of the "Combined PREA Log" used by health staff at Tutwiler to document specific tests, dates administered and evaluation dates.

III.J.7

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MONITOR’S DISCUSSION: EXTENT TO WHICH ADOC AND TUTWILER HAVE COMPLIED WITH THE AGREEMENT

DATE: 1/17/2016

Monitor will evaluate ADOC and Tutwiler compliance by 1) interviews, as noted 2) review of documents, as noted and 3) baseline and compliance visits.

1. ADOC 454 and Tutwiler SOP 8-12 contain the compliance requirements, due for implementation in 2015, in this provision. Tutwiler has been operating by them since February 2014.

2. Monitor had interviews with both ADOC health managers, as listed, and health staff managers at Tutwiler. Monitor is satisfied that both medical and mental health managers at Tutwiler are aware and trained in their responsibilities under this provision.

3. Monitor reviewed documents, as listed, that provide documentation of health services responses to inmates who are involved with PREA allegations.

4. Monitor has reviewed documents that are used to train staff in health care PREA related standards, establish a protocol with a community provider for a SANE examination, and a PREA checklist for health care staff. Documents provided by Associate Commissioner Naglich and Ms. Lynn Brown.

a. Ms. Brown, ADOC region manager, provided a "PREA Quick Reference" guide for health care definitions and protocols for staff at Tutwiler.

b. Monitor reviewed a copy of the PREA NET (nursing encounter tool) form, used by nursing staff to document a PREA medical intervention.

c. Monitor reviewed the Corizon "New Employee Orientation Part II-Clinical." It is an abbreviated PREA training, specifically referencing standards that apply to health care staff responsibilities. Tutwiler health care staff all participates in the required full PREA training at the facility.

d. Monitor reviewed a protocol developed by the community group, STAR (Standing Together Against Rape) in Montgomery. It gives instructions for scheduling a forensic examination, required by PREA if necessary, by a SANE (sexual assault nurse examiner) trained nurse in the community. It gives instructions regarding the preservation of possible evidence and other directives for Tutwiler responding staff.

e. Monitor reviewed a copy of the "Combined PREA Log" used by health staff at Tutwiler to document specific tests, dates administered and evaluation dates.

III.J.7

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MONITOR’S RECOMMENDATIONS: (for at least the next 6 months)

DATE DUE:

1. ADOC and Tutwiler shall complete the 7. iii, v, vi, vii, viii in policy and SOP. Health care staff should review a thorough review of these protocols and their orientation /training should be documented.
2. See recommendations in III. J. 2 for meetings, interdisciplinary meetings.
3. Health care operations at Tutwiler should have written protocols in their work areas to give direction for their specific responsibilities via this requirement.

1. 2/28/2016 2. see III.J.2
3. 2/28/2016

III.J.7

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REFERRALS AND INVESTIGATIONS III.K ADOC and Tutwiler shall ensure that all allegations of sexual abuse and sexual harassment are promptly, thoroughly, and objectively investigated and appropriately referred for prosecutorial review, and that alleged victims are advised of the outcome of their allegations.

Policy

Develop Implement Policy Policy

1.ADOC investigators shall continue to investigate allegations of sexual abuse or sexual harassment consistent with their authority as criminal investigators and consistent with Policy and Alabama law. Completed investigations of sexual abuse and sexual harassment will be referred to local prosecutors as appropriate. 2. When ADOC conducts its own investigations into allegations of sexual abuse or sexual harassment, it shall do so promptly, thoroughly, and objectively for all allegations, including third party and anonymous reports. Administrative investigations shall be completed regardless of the results of any criminal investigations and regardless of the subject’s continued employment by ADOC

III.K.1 III.K.2

May 28, May 28, 2015 2015

Policy

Staff Trained Policy

REQUIREMENTS

Developed

Implemented

ADOC investigators investigate allegations of sexual abuse or sexual harassment consistent with their authority.

Y N N/A Y N N/A Y N N/A

Completed investigations of sexual abuse and sexual harassment will be referred to local prosecutors as appropriate.

Y N N/A Y N N/A Y N N/A

When ADOC conducts its own investigations into allegations of sexual abuse or sexual harassment, it does so promptly, thoroughly, and objectively for all allegations, including third party and anonymous reports.

Y N N/A Y N N/A Y N N/A

Administrative investigations are completed regardless of the results of any criminal investigations and regardless of the subject’s continued employment by ADOC.

Y N N/A Y N N/A Y N N/A

III.K.1 / III.K.2

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MONITOR’S MEASURES OF COMPLIANCE

ADOC investigators shall continue to investigate allegations of sexual abuse or sexual harassment...consistent with policy and Alabama law. Referrals to local DA if appropriate

A. ADOC policy/state law guiding these investigators B. PREA SOP's developed/ created for these investigators and their response. C. List, gender/ race, experience of each DOC investigator used in PREA investigations. D. Training attended/description of training related to PREA investigations any of them have attended-training schedule for them if one exists E. Review copies of any completed investigations they have conducted. Three spread over time Frame of June-Nov. 1 2015. F. Copy/documentation of any referrals to local DA. If not at Tutwiler, three that they have referred due to PREA investigation at other prisons G. Written protocols used regarding time frames used to guide their investigations. H. Interviews with Dr. Williams, Warden Barrett, Capt. McClain, both PREA Coordinators for prison/DOC, internal affairs director, Anne Hill, and Commissioner.

Documents

STEPS TAKEN BY MONITOR TO ANALYZE CONDITIONS AND ASSESS COMPLIANCE, AND FACTUAL BASIS FOR MONITOR’S FINDINGS

(for each member of monitoring team)

Interviews

On-site/Observations / Other

1. ADOC AR 454 and Tutwiler SOP 8-12 (under revision) 2. Alabama state law. SB-342, 166368-3 4/07/15 3. Monitor review of five completed PREA allegation investigations, by ADOC Office of Investigations. 15-2545, 3647, 3671, 2220, 2540 4. Monitor conducted a thorough review of a completed PREA investigation by investigator Smith in her interview. 5. ADOC Investigations PREA log for Tutwiler 5/2815-11/18/15--10 investigations completed by this office. 6. Memo to District Attorney from Mr. Arnaldo Mercado (Director of Investigations) that documented ADOC responsibility to report state law violations. Specifically, the "Code of Alabama 1975, Title 14-3-9 -' It shall be the duty of the Investigation and Intelligence Division of the Department of Corrections to refer all violations of the law regarding prisons, correctional facilities, employees, and inmates that may come to its knowledge to the proper district attorney' ". This memo was submitted on July 13, 2015 and documented violations starting 1/04/13- 5/08/15. Tutwiler had 16 entries-

1. Deputy Commissioner Williams 2. ADOC General Counsel, Anne Hill 3. ADOC Commissioner Dunn 4. ADOC Director of Investigations, Mr. Arnaldo Mercado 5. ADOC investigator Ms. Kelley Smith 6. Warden Barrett 7. Captain McClain 8. Lt. Young 9. Inmate focus groups 10. ADOC PREA Director, Ms. Christy Vincent

1. Review of five PREA investigation files during compliance visit. 2. Inmate focus group

III.K.1 / III.K.2

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11/23/13- 5/08/15. Memo asked the District Attorney to sign receipt and return original to the I+I office. 7. ADOC I+I office PREA logs of allegations made to them for 2015 for Tutwiler. 8. Nine Tutwiler incident reports for PREA allegations/ reports. 6/09/1510/08/15. 9. ADOC form -E. PREA Sexual Abuse Retaliation Monitoring. It is a very detailed form. 10. ADOC SOP OPR. I and I number 454-PREA Sexual Assault Investigations. 11. ADOC AR 300- Investigations and Intelligence Division. This is basically an operational SOP for conducting all investigations. It was issued July 2004. It includes the distribution list for I+I reports in ADOC. 12. Memo dated 11/18/15 from Director Mercado to the District Attorney, reporting as described in # 6 above, that included 4 incidents at Tutwiler 13. Demographics of the staff in I and I Division. 14. Resume experience for Mr. Mercado, Director of I and I Division. 15. Two letters from Mr. Mercado to different district attorneys, reporting possible criminal misconduct related to PREA violations.

Not applicable

UNRESOLVED/PARTIALLY RESOLVED ISSUES FROM PREVIOUS TOUR

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III.K.1 / III.K.2

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NOTE: THIS SECTION INCLUDES III.K.1 and III.K.2. Please provide separate findings, discussion, and recommendations for all provisions. MONITOR’S FINDINGS:
Substantial Compliance Partial Compliance Non-compliance n/a no assessment due until __________

DATE: 2/15/16

MONITOR’S DISCUSSION: STEPS TAKEN BY ADOC AND TUTWILER TOWARDS IMPLEMENTATION

DATE: 1/17/2016

Monitor will evaluate steps taken by ADOC and Tutwiler by 1) interviews, as noted 2) review of documents, as noted and 3) baseline and compliance visits.

Requirements (summary) 1. ADOC investigators shall continue to investigate allegations of sexual abuse and sexual harassment consistent with their authority as investigators, policy, and Alabama law 2. ADOC investigators will refer completed PREA investigations to local prosecutors 3. ADOC conducts investigations into allegations of sexual abuse and harassment promptly, thoroughly, and objectively, including third party and anonymous reports 4. ADOC will complete administrative investigations, regardless of the results of any criminal investigation and of the subjects continued employment with ADOC. ______________________ 1. ADOC 454 and Tutwiler SOP 8-12 have included the K. 1 requirement since February 2014. 2. The requirement K. 2 is in practice at Tutwiler and will be included in the revised SOP 8-12. 3. The ADOC Division of Investigation and Intelligence refers PREA investigations once completed. The referrals are made in reference to Code of Alabama 1975, Title 14-3-9, " It shall be the duty of the Investigation and Intelligence division of the Department of Correction to refer all violations of the law relating to prisons, correctional facilities, employees and inmates that may come to its knowledge, to the district attorney."

Monitor reviewed letters from ADOC I+I Director Arnaldo Mercado, referring completed PREA cases from Tutwiler to the District Attorney’s office. The dates III.K.1 / III.K.2

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range from November 23, 2014- May 8, 2015. There were 16 referrals made in that period of time. 4. Monitor reviewed the ADOC PREA investigations log/spreadsheet maintained in I+I. It is used for tracking each case. The monitor selected and reviewed five completed PREA investigations during the compliance visits. Monitor reviewed the entire file on each one. These cases were discussed during the interviews with Director Mercado and investigator Kelley Smith. There were 10 completed Tutwiler investigations. The monitor saw thorough, serious investigative actions in each completed investigation. Monitor concurred with the investigative conclusions 5. In the inmate focus group, monitor asked questions about the credibility of the ADOC investigations. There were only several comments made and they were favorable, specifically about Ms. Smith. The sentiment was that she was fair and thorough. 6. Interview with ADOC General Counsel discussed the independence of the I+I investigations.

MONITOR’S DISCUSSION: EXTENT TO WHICH ADOC AND TUTWILER HAVE COMPLIED WITH THE AGREEMENT

DATE: 1/17/2016

Monitor will evaluate ADOC and Tutwiler compliance by 1) interviews, as noted, 2) review of documents, as noted, and 3) baseline and compliance visits.

1. ADOC 454 and Tutwiler SOP 8-12 have the requirement K. 1 since February 2014. The agency has followed these directives in the Division of Investigations and Intelligence. Monitor reviewed the I+I PREA log/spreadsheet that documented the Tutwiler cases they received and had completed investigations.

2. Monitor reviewed the entire investigative files of five PREA cases while on the compliance visit. The cases, and one in specific, were discussed by Monitor with Director Mercado and investigator Smith. The Monitor was satisfied, by her extensive experience in similar investigations, that the investigations were conducted according to all of the provisions in III. K. 1, 2.

3. Investigator Kelley Smith is the primary Tutwiler investigator. She has received the Gender Responsiveness training at Tutwiler. In the interview, she spoke favorably about her experience during the training. Monitor discussed an investigation in detail that Ms. Smith completed, concerning a health care professional at Tutwiler. She had clear memory of how she conducted the investigation and Monitor felt it was very thorough in view of the multiple health disciplines and protocols that were involved in the case.

4. Monitor reviewed the demographics of the I+I Division in ADOC. It is a diverse group in race and gender, which contributes to the perception of objectivity and enhances the investigations relating to the offender population. Also the investigators and Mr. Mercado have extensive law enforcement experience that qualifies them for these positions, from the Monitor’s experience.

5. Documents confirm that completed PREA investigations are referred to prosecutors, as required.

6. ADOC informed the monitor that Director Mercado received a 8 hour block of training, "What You Need to Know: PREA and Creating Safety for Women Offenders" on February 4, 2016. Investigator Kellie Smith, assigned to Tutwiler PREA investigations, has completed both PREA training and Gender Responsive training.

III.K.1 / III.K.2

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MONITOR’S RECOMMENDATIONS: (for at least the next 6 months)
1. The ADOC Director of I+I must receive PREA training immediately. He has been scheduled before but had to cancel. Monitor noted this issue in his interview. NOTE : Monitor was notified that Director Mercado completed a comprehensive 8 hour training course on February 4, 2016.
2. ADOC needs to develop an official form to be used as a witness statement, interview statement, etc. for inmates and staff for investigative purposes. It is noted that staff subject to criminal charges would follow protocols for statements differently. Monitor discussed this issue in Mr. Mercado's interview and submitted a sample/example of what NC corrections uses in their investigations.
3. ADOC shall document to the monitor any specialized investigators training in institutional sexual abuse and sexual harassment.

DATE DUE: 1. Immediately 2. ADOC decision 3. As occur

III.K.1 / III.K.2

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Page 191 of 226

REFERRALS AND INVESTIGATIONS

III.K ADOC and Tutwiler shall ensure that all allegations of sexual abuse and sexual harassment are promptly, thoroughly, and objectively investigated and

appropriately referred for prosecutorial review, and that alleged victims are advised of the outcome of their allegations.

Policy

Develop Implement

Policy Policy

4.ADOC and Tutwiler shall develop, submit to the Monitor and DOJ for review consistent with Section III.A.6.,

February February

and implement guidelines for the immediate initiation of an investigation and/or review upon learning of an III.K.4

28, 2016 28, 2016

allegation of sexual abuse or sexual harassment and develop a process for monitoring those guidelines. The

guidelines shall also ensure that investigations that include any allegations of sexual abuse or sexual

harassment are properly labeled as such.

REQUIREMENTS
Tutwiler has guidelines for immediately initiating an investigation and/or review upon learning of an allegation of sexual abuse or sexual harassment.
1. Tutwiler has a process for monitoring the guidelines.
2. The guidelines shall also ensure that investigations that include any allegations of sexual abuse or sexual harassment are properly labeled as such

Policy Developed

Staff Trained Policy Implemented

Y N N/A Y N N/A Y N N/A

Y N N/A Y N N/A Y N N/A Y N N/A Y N N/A Y N N/A

MONITOR’S MEASURES OF COMPLIANCE

ADOC and Tutwiler shall develop, submit to Monitor and DOJ for review...and implement guidelines for immediate initiation of an investigation and /or review upon learning of an allegation of sexual abuse or sexual harassment...develop process for monitoring these guidelines
A. Review of SOP 8-12 and SOP 9-16(IPCM) for inclusion of this requirement B. Documents reflecting the initiation of a PREA investigation C. Review the tracking process developed to monitor these guidelines compliance D. Review PREA investigations to reflect the wording " sexual abuse or sexual harassment" E. Interviews with Dr. Williams, Warden, McClain, Young, DOC PREA
III.K.4

Case 2:15-cv-00368-MHT-TFM Document 16-2 Filed 02/26/16 Page 192 of 226

Page 192 of 226

Documents

STEPS TAKEN BY MONITOR TO ANALYZE CONDITIONS AND ASSESS COMPLIANCE, AND FACTUAL BASIS FOR MONITOR’S FINDINGS

(for each member of monitoring team)

Interviews

On-site/Observations / Other

1. Revised ADOC AR 454. 2. Tutwiler revised SOP 8-12. 3. Tutwiler SOP 916- Institutional PREA Coordinator.

1. Deputy Comm. Williams 2. Warden Barrett 3. Captain McClain 4. Lt. Young 5. Ms. Christy Vincent, ADOC PREA Director

None

Not applicable

UNRESOLVED/PARTIALLY RESOLVED ISSUES FROM PREVIOUS TOUR

MONITOR’S FINDINGS: Substantial Compliance Partial Compliance Non-compliance n/a 2/28/2016
III.K.4

DATE: 2/15/16

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MONITOR’S DISCUSSION: STEPS TAKEN BY ADOC AND TUTWILER TOWARDS IMPLEMENTATION

DATE:1/18/16

Monitor will evaluate steps taken by ADOC and Tutwiler by 1) interviews, as noted, 2) review of documents, as noted, and 3) baseline and compliance visits

1. Tutwiler currently does not have this requirement documented in a SOP. It is expected that this requirement will either be incorporated in SOP 8-12 or SOP 916 (IPCM) or a new SOP for investigations will be created
2. The Deputy Commissioner for Women's Services Williams stated that she reviews all investigative reports involving Tutwiler incidents. She reports that if she observes any discrepancies or she has questions, she directs them to Director Mercado, I+I.

Note: There have not been any ADOC referrals, to a prosecutor, of a Tutwiler case involving PREA violations since the May 28, 2015 effective date of the agreement. The monitor reviewed the PREA investigations spreadsheet in I+I and interview with Deputy Commissioner Williams.

MONITOR’S DISCUSSION: EXTENT TO WHICH ADOC AND TUTWILER HAVE COMPLIED WITH THE AGREEMENT

DATE:1/18/16

Monitor will evaluate ADOC and Tutwiler compliance by 1) interviews, as noted, 2) review of documents, as noted, and 3) baseline and compliance visits

1. Review of the SOP created or revised by Tutwiler in response to this requirement. 2. Review of the specific guidelines, protocols developed by Tutwiler via this provision 3. Review of Tutwiler PREA incident reports from March-May 2016 4. Interviews with selected ADOC and Tutwiler staff

MONITOR’S RECOMMENDATIONS: (for at least the next 6 months)
1. Training be revised or updated to respond to the new or revised SOP

DATE DUE: 1. May 1, 2016

III.K.4

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REFERRALS AND INVESTIGATIONS

III.K ADOC and Tutwiler shall ensure that all allegations of sexual abuse and sexual harassment are promptly, thoroughly, and objectively investigated and

appropriately referred for prosecutorial review, and that alleged victims are advised of the outcome of their allegations.

Policy

Develop Implement

Policy Policy

Investigators

February February

3.The use of pre-hearing segregation shall be limited to inmates whose continuing behavior is a threat to

III.K.3

facility safety, or who will not stop the prohibited behavior. Such pre-hearing segregation shall not be used

28, 2016 28, 2016

for more than 72 hours, at which time an inmate must be afforded a disciplinary hearing, or provided a

written explanation of why the hearing is postponed and when the hearing will be re-scheduled.

5.Where sexual abuse or sexual harassment is alleged, ADOC shall use investigators who have received special training in institutional sexual abuse and sexual harassment investigation. Specialized training shall include techniques for interviewing sexual abuse victims, proper use of Miranda and Garrity warnings, sexual abuse evidence collection in confinement settings, and the criteria and evidence required to substantiate a case for administrative action or prosecution referral. ADOC shall maintain documentation that agency investigators have completed the required specialized training in conducting sexual abuse investigations. The Department-wide PREA Coordinator and Tutwiler's PREA Compliance Manager shall not serve as investigators for sexual abuse investigations.

III.K.5

7.The credibility of an alleged victim, suspect, or witness shall be assessed on an individual basis and shall not be determined by the person’s status as inmate or staff. ADOC or Tutwiler are prohibited from offering or administering polygraph examinations or other truth-telling devices to an inmate who alleges sexual abuse or sexual harassment.

III.K.7

8.ADOC shall issue a written investigative report within 30 days after the conclusion of a sexual abuse or sexual harassment investigation that indicates whether the allegation is substantiated, unsubstantiated, or unfounded. The investigator may request in writing, approved by the facility designee, an extension for cause that identifies the remaining actions necessary to complete the investigation. In no case shall the investigation be unfounded solely due to the expiration of the 30 days. The investigative report shall include an effort to determine whether staff actions or failures to act contributed to the abuse, a description of the physical and testimonial evidence, the reasoning behind credibility assessments, and investigative facts and findings.
9.ADOC shall work with the Monitor on ensuring that an investigative summary sheet that provides an overview of the current status of an investigation is included. The summary information should include, among other things, basic information such as staff name(s), prisoner names(s), location of incident, and the

III.K.8 III.K.9

III.K.5 / III.K.3 / III.K.7 / III.K.8 / III.K.9 / III.K.10

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time of day.

III.K.10

10.The departure of the alleged perpetrator or victim from the employment or control of ADOC or Tutwiler shall not provide a basis for terminating an investigation.

REQUIREMENTS

Policy Developed

Staff Trained

Policy Implemented

Pre-hearing segregation is limited to inmates whose continuing behavior is a threat to facility safety, Y N N/A Y N N/A or who will not stop the prohibited behavior.

Pre-hearing segregation is not used for more than 72 hours, at which time an inmate must be afforded a disciplinary hearing, or provided a written explanation of why the hearing is postponed and when the hearing will be re-scheduled.

Y N N/A Y N N/A

Only investigators who have received special training in institutional sexual abuse and harassment investigations are used in such investigations.

Y N N/A Y N N/A

1. Specialized training includes techniques for interviewing sexual abuse victims, proper use of Y N N/A

Miranda and Garrity warnings, sexual abuse evidence collection in confinement settings,

and the criteria and evidence required to substantiate a case for administrative action or

prosecution referral.

2. ADOC maintains documentation that agency investigators have completed the required specialized training in conducting sexual abuse investigations.

Y N N/A

3. The Department-wide PREA Coordinator and Tutwiler's PREA Compliance Manager do not

serve as investigators for sexual abuse investigations.

Y N N/A

Y N N/A
Y N N/A Y N N/A

Investigators gather and preserve direct and circumstantial evidence, including any available physical and DNA evidence, and electronic monitoring data; interview alleged victims, suspected perpetrators and witnesses; and review prior complaints and reports of sexual abuse and sexual harassment involving the suspected perpetrator.

Y N N/A

Y N N/A The credibility of an alleged victim, suspect or witness is assessed on an individual basis and shall not
be determined by the person's status as inmate or staff

ADOC and Tutwiler are prohibited from administering polygraph examinations or other truth-telling Y N N/A devices to an inmate who alleges sexual abuse/harassment.
III.K.5 / III.K.3 / III.K.7 / III.K.8 / III.K.9 / III.K.10

Y N N/A Y N N/A Y N N/A

Y N N/A Y N N/A Y N N/A Y N N/A
Y N N/A Y N N/A Y N N/A Y N N/A Y N N/A

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ADOC issues a written investigative report within 30 days after the conclusion of a sexual abuse or sexual harassment investigation that indicates whether the allegation is substantiated, unsubstantiated, or unfounded.
The investigator may request in writing, approved by the facility designee, an extension for cause that identifies the remaining actions necessary to complete the investigation.

Y N N/A Y N N/A

1. In no case shall the investigation be unfounded solely due to the expiration of the 30 days. Y N N/A

The investigative report includes:

1. an effort to determine whether staff actions or failures to act contributed to the abuse, 2. a description of the physical and testimonial evidence, 3. the reasoning behind credibility assessments, 4. and investigative facts and findings.

Y N N/A Y N N/A Y N N/A Y N N/A

ADOC shall work with the Monitor on ensuring that an investigative summary sheet that provides an

overview of the current status of an investigation is included. The summary information should

Y N N/A

include, among other things, basic information such as staff name(s), prisoner names(s), location of

incident, and the time of day.

An alleged perpetrator or victim’s departure from the employment or control of ADOC or Tutwiler shall not provide a basis for terminating an investigation.

Y N N/A

Y N N/A
Y N N/A
Y N N/A
Y N N/A Y N N/A Y N N/A Y N N/A Y N N/A
Y N N/A

Y N N/A
Y N N/A
Y N N/A
Y N N/A Y N N/A Y N N/A Y N N/A Y N N/A
Y N N/A

MONITOR’S MEASURES OF COMPLIANCE

USE of Pre-hearing segregation shall be limited to inmates whose continuing behavior is a threat to facility safety, or will not stop the prohibited behavior. Such pre-hearing will not be used for more than 72 hours......
a. Review SOP 5-9 Administrative Segregation revised to include this provision. b. Review spreadsheet that is is kept to document every inmate placed in administrative segregation (pre-hearing) since the time Lt. Coleman began keeping the log until time of the compliance tour. Spreadsheet should specifically name the behavior reason for the placement-and who determined it. c. Review randomly selected segregation daily logs of a number of inmates named on the spreadsheet. d. Any emails or administrative memos from Warden Barrett and/or from any of the three Warden I staff regarding their review of the administrative
III.K.5 / III.K.3 / III.K.7 / III.K.8 / III.K.9 / III.K.10

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segregation process, routine reports generated by them. e. Interviews with Dr. Williams, Warden, McClain, Young, Coleman, shift captain responsible for oversight of segregation, unit disciplinary hearing officer, DOC PREA. f. Interviews with random inmates confined in administrative segregation for the past three months to the compliance visit. g. Review written explanations made to inmates regarding their place on AS longer than 72 hours.
ONLY investigators who have received special training in institutional sexual abuse and harassment investigations are used in such investigations a. Review AR 454 and SOP 8-12 regarding this provision for specialized training. b. Training curriculum provided by Moss Group and used to train staff. Note the issues addressed in the training that are required by this provision. Interview Andie Moss regarding the selection and background of the curriculum used. c. Documentation of FBI training to investigators on the Miranda and Garrity warnings. d. Training rosters or documents showing the completion of this Specialized training. e. Identify the trainers used to train the investigators and their resume/expertise. f. Identity of investigators used since June 2015 to the date of the compliance tour. g. Interviews with Dr. Williams, DOC PREA Director, Warden, McClain, Young. h. Interviews with currently used investigators and detailed description of their duties while conducting an investigation -per requirements of this provision. Review internal documents generated by them that document their duties (i.e. interview forms, submission of DNA for analysis, review of prior complaints against suspected perpetrator).
CREDIBILITY of an alleged victim, suspect or witness is assessed on an individual basis and shall not be determined by the person's status as inmate or staff....ADOC and Tutwiler is prohibited from offering or administering polygraph exams.... a. Review policy and SOP 8-12 that include these requirements in practice at time of the visit. b. Record of any polygraph exams administered since June 2015 until time of compliance visit. c. Interviews of completed investigations, to include reviewing witness statements, inmate victim(s) and alleged perpetrator(s), security staff statements. d. Interviews with Dr. Williams, Warden, McClain, Young, DOC PREA Director, internal affairs director (supervisor of investigators-if not this person).
ADOC shall issue a written investigative report within 30 days after the conclusion of a sexual abuse or sexual harassment investigates that indicates whether the allegation is substantiated, unsubstantiated, or unfounded... a. Review of policy and SOP establishing these guidelines. b. Review of completed investigative reports, completed within the 30 days, and those with an extension from November 2015-compliance visit in 2016. c. Copies of written extensions granted by Deputy Commissioner for Women's Services and the specific requests/reason they were made and sent to her. d. Interview investigators, along with reports they completed, for the details required in this provision. e. Interviews with Dr. Williams, Warden, McClain, Young, DOC PREA Director, DOC investigators and their immediate supervisor, Coleman and DOC Grievance Appeal Authority. e. Written timeline with each PREA investigation -when initiated, process of investigation, conclusion and submission of final report.
ADOC shall work with the Monitor on ensuring an investigative summary sheet that provides an overview of the current status of the investigation is
III.K.5 / III.K.3 / III.K.7 / III.K.8 / III.K.9 / III.K.10

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included.... a. Policy and SOP addressing this requirement. b. Copies of completed investigative summary sheets-discuss with investigators. c. Interview with Dr. Williams, Warden, McClain, Young, DOC PREA. **these interviews will discuss reasons for terminating an investigations and also previous interviews to determine the appropriate reason for termination

Documents

STEPS TAKEN BY MONITOR TO ANALYZE CONDITIONS AND ASSESS COMPLIANCE, AND FACTUAL BASIS FOR MONITOR’S FINDINGS

(for each member of monitoring team)

Interviews

On-site/Observations / Other

1. Revised ADOC AR 454. 2. Revised Tutwiler SOP 8-12. 3. Tutwiler SOP 5-9-administrative segregation. NOTE- not currently in policy. 4. Tutwiler "Pre-Hearing Segregation" log-maintained by Lt. Coleman. 5. Documentation of the Moss Group training for ADOC investigators. 6. Curriculum used by Moss group for training investigators. 7. Documents maintained by Lt. Young related to these requirements. 8. Logs or documented created by/ maintained by Lt. Colemanseparate from pre-hearing segregation log. 9. Three months of official segregation administrative logs at Tutwiler. 10. Review of Tutwiler grievances, January-April 2016. 11. Documentation of any additional investigative training received by I+I investigators in 2016- also proof of FBI Garrity training received. 12. Review of ADOC investigative reports from January-May 2016. 13. Review documents of any extensions of 30 day time frame,

1. Deputy Commissioner Williams 2. Warden Barrett 3. Captain McClain 4. Lt. Young 5. Ms. Christy Vincent, ADOC PREA Director 6. Mr. Arnaldo Mercado, ADOC Director of Investigations Division 7. Ms. Kelley Smith, ADOC investigation (assigned to Tutwiler), and other I+I investigators 8. Andie Moss, the Moss Group 9. Lt. Coleman 10. Shift Commanders

None

III.K.5 / III.K.3 / III.K.7 / III.K.8 / III.K.9 / III.K.10

Case 2:15-cv-00368-MHT-TFM Document 16-2 Filed 02/26/16 Page 199 of 226
approved by Commissioner Williams. 14. Review of ANY documents created for these requirements, not previously requested by name -by Tutwiler or ADOC. 15. Investigative summary sheet, created by #9 of this section.

Not applicable

UNRESOLVED/PARTIALLY RESOLVED ISSUES FROM PREVIOUS TOUR

Page 199 of 226

NOTE: THIS SECTION INCLUDES III.K.3, III.K.5, III.K.7, III.K.8, III.K.9 and III.K.10. Please provide separate findings, discussion, and recommendations for all provisions. MONITOR’S FINDINGS:
Substantial Compliance Partial Compliance Non-compliance n/a 2/28/2016

DATE: 2/15/16

III.K.5 / III.K.3 / III.K.7 / III.K.8 / III.K.9 / III.K.10

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MONITOR’S DISCUSSION: STEPS TAKEN BY ADOC AND TUTWILER TOWARDS IMPLEMENTATION

DATE: 1/18/16

Monitor will evaluate steps taken by ADOC and Tutwiler by 1) interviews, as noted. 2) review of documents, as noted, and 3) baseline and compliance visits

1. ADOC 454 and Tutwiler SOP 8-12 (revised) 2. Tutwiler has SOP 5-9, Administrative Segregation, and it has been revised to include K. 3. In this provision. It is not currently in published policy. 3. Lt. Coleman is keeping a spreadsheet for "pre-segregation" on all inmates assigned to administrative segregation. 4. In section III. K.5, portions of this requirement are in ADOC 454 and Tutwiler SOP 8-12. Specifically, the Moss Group and the National Institute of Corrections provided specialized training for investigators; including techniques for interviewing sexual abuse victims, sexual abuse evidence collection and criteria required to substantiate a case for administrative action or prosecution. This is in both ADOC and Tutwiler policy. 5. Monitor interviewed Director Mercado of the Investigations and Intelligence division in ADOC. He verified that both Garrity and Miranda training has been received from the FBI for their investigators. 6. Tutwiler stopped administering polygraphs to Inmates since May 28, 2015 but it is not in policy currently 7. Requirement K. 8 will be added in the revision of 8-12 for Tutwiler 8. Requirement K. 9 has not been accomplished to date. 9. Requirement K. 10 is not in policy but in practice at Tutwiler and it will be added to the revised 8-13.

NOTE: the generic correctional term " administrative segregation” is used to describe all inmate assignments to a segregated status, to include the placement of an inmate on " pre-hearing segregation”. Disciplinary segregation is a sanction used in the disciplinary hearing process, once inmate guilt has been determined. Tutwiler maintains a log for those inmates placed in administrative segregation in a " pre-hearing status"

MONITOR’S DISCUSSION: EXTENT TO WHICH ADOC AND TUTWILER HAVE COMPLIED WITH THE AGREEMENT

DATE:1/18/16

Monitor will evaluate ADOC and Tutwiler compliance by 1) interviews, as noted 2) review of documents, as noted 3) baseline and compliance visits

1. Review the revised Tutwiler SOP 8-12 for the inclusion of all the requirements noted above in the monitor discussion 2. Review of the "pre-hearing segregation" spreadsheet 3. Review completed PREA investigations by I+I in January-May 2016 4. Interviews with various Tutwiler staff, ADOC PREA Director, ADOC investigators in I+I

III.K.5 / III.K.3 / III.K.7 / III.K.8 / III.K.9 / III.K.10

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MONITOR’S RECOMMENDATIONS: (for at least the next 6 months)
1. Revise and update staff training to include the revisions noted above for III K.

DATE DUE:
1. Upon implementation of revised SOP 8-12 at Tutwiler

III.K.5 / III.K.3 / III.K.7 / III.K.8 / III.K.9 / III.K.10

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REFERRALS AND INVESTIGATIONS

III.K ADOC and Tutwiler shall ensure that all allegations of sexual abuse and sexual harassment are promptly, thoroughly, and objectively investigated and

appropriately referred for prosecutorial review, and that alleged victims are advised of the outcome of their allegations.

Policy

Develop Implement

Policy Policy

Outside Investigations; Inmate Notification

February February

11.When outside agencies investigate alleged incidents of sexual abuse, ADOC and Tutwiler shall cooperate with outside investigators and shall endeavor to remain informed, to the extent appropriate, about the progress of the investigation.

III.K.11 III.K.12 III.K.13 III.K.14

28, 2016 28, 2016

12.Following an investigation into an inmate’s allegation that she suffered sexual abuse or sexual

III.K.15

harassment in any ADOC facility or while within the physical custody and control of the ADOC, ADOC and

Tutwiler shall inform the inmate as to whether the allegation has been determined to be substantiated,

unsubstantiated, or unfounded.

13.If ADOC or Tutwiler did not conduct the investigation, it shall request the relevant information from the investigative agency in order to inform the inmate.

14.Following an inmate’s allegation that a staff member has committed sexual abuse or sexual harassment against the inmate, ADOC and Tutwiler shall subsequently inform the inmate whenever: (see below)

15.All such notifications or attempted notifications shall be documented.

REQUIREMENTS

Policy Developed

Staff Trained

When outside agencies investigate alleged incidents of sexual abuse, ADOC and Tutwiler cooperate with outside investigators and endeavor to remain informed, to the extent appropriate, about the progress of the investigation.

Y N N/A Y N N/A

Following an investigation (external or internal) into an inmate’s allegation that she suffered sexual abuse

or sexual harassment in any ADOC facility or while within the physical custody and control of the ADOC, ADOC and Tutwiler informs the inmate as to whether the allegation has been determined to be

Y N N/A Y N N/A

substantiated, unsubstantiated, or unfounded.

Policy Implemented Y N N/A
Y N N/A

III.K.11 / III.K.12 / III.K.13 / III.K.14 / III.K.15

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If ADOC or Tutwiler did not conduct the investigation, it requests the relevant information from the investigative agency in order to inform the inmate.

Y N N/A Y N N/A

Following an inmate’s allegation that a staff member has committed sexual abuse or sexual harassment against the inmate, ADOC and Tutwiler subsequently inform the inmate whenever:

Y N N/A Y N N/A

The staff member is no longer posted within the inmate’s unit;

The staff member is no longer employed at Tutwiler; or

ADOC and/or Tutwiler learn that the staff member has been indicted or convicted on a charge related to sexual abuse within Tutwiler.
Y N N/A Y N N/A All such notifications or attempted notifications are documented.

Y N N/A Y N N/A
Y N N/A

MONITOR’S MEASURES OF COMPLIANCE

When outside agencies investigate alleged incidents of sexual abuse, ADOC and Tutwiler shall cooperate with outside investigators and shall remain informed, to the extent appropriate, about the progress of the investigation.
If Tutwiler did not conduct the investigation, it shall request the relevant information from the investigative agency in order to inform the inmate.
a. Review the policy and SOP's for this set of requirements. b. Documentation of referrals of ALL cases to outside investigation authorities since November 2015 until date of compliance visit 2016. Who referred, what agency, and documents, emails, memos used. c. During outside investigations, who in DOC is the point person for contact/ coordination--submission of evidence, etc. interviews with that individual (s). Memos, emails created by these staff to update Dr. Williams, Warden Barrett, etc., on the progress of these investigations. d. At the conclusion of an outside investigation, copies of finalized reports, analysis, recommendations from outside authority. e. Interviews with Dr. Williams, DOC PREA, DOC internal affairs and investigators, Warden, McClain and Young.
Following an investigation (internal or external) into an inmates allegation that she suffered sexual abuse or sexual harassment in any ADOC facility.......informs the inmate as to whether or not the allegation has been determined to be substantiated, unsubstantiated, or unfounded a. SOP for this requirement. b. Documentation of all cases that REQUIRED this type of notification-number of investigations since November 2015 that were conducted, completed and received a status. Review these investigations. c. Review of evidence of the inmates being notified via this requirement-names of inmates and staff informing them, when and where. III.K.11 / III.K.12 / III.K.13 / III.K.14 / III.K.15

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d. Interviews with random selection of the inmates named in c. e. Interviews with Dr. Williams, Warden, McClain, Young, DOC PREA, DOC internal investigators.
ALL such notifications or attempted notifications shall be documented a. Review of documentation by Tutwiler IPCM of inmate notifications placed in the inmate "vault files" and the investigation file for the case. b. Interview with Internal investigators responsible for making the notifications -review investigation files with them. c. Interviews with Dr. Williams, DOC PREA Director, Warden, McClain, Young.

Documents

STEPS TAKEN BY MONITOR TO ANALYZE CONDITIONS AND ASSESS COMPLIANCE, AND FACTUAL BASIS FOR MONITOR’S FINDINGS

(for each member of monitoring team)

Interviews

On-site/Observations / Other

1. Revised ADOC 454. 2. Revised Tutwiler SOP 8-12. 3. Form used to inform inmates of employee/investigation status. 4. Notebooks/ logs created, maintained by Lt. Young via this section. 5. Completed Tutwiler incident reports on PREA allegations JanuaryMay 2016. 6. Documentation/ communications from any outside agency conducting a PREA investigation with ADOC I+I. 7. PREA investigation logs in I+I January-May 2016 8. Review of selected inmate "vault" files that received notification via this section. 9. Completed I+I PREA investigations January-May 2016-on site review. 10. Letters, memos from ADOC to local district attorney for investigation referrals.

1. Deputy Commissioner Williams 2. Warden Barrett 3. Captain McClain 4. Lt. Young 5. Mr. Arnaldo Mercado, Director of ADOC Investigations Division 6. Ms. Christy Vincent, ADOC PREA Director 7. Inmate focus group 8. Inmates who have received this notification from January -May 2016

1. Review of "vault" files on select inmates 2. Review of completed ADOC PREA investigation reports January-May 2016

III.K.11 / III.K.12 / III.K.13 / III.K.14 / III.K.15

Not applicable

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UNRESOLVED/PARTIALLY RESOLVED ISSUES FROM PREVIOUS TOUR

Page 205 of 226

NOTE: THIS SECTION INCLUDES III.K.11, III.K.12, III.K.13, III.K.14 and III.K.15. Please provide separate findings, discussion, and recommendations for all provisions. MONITOR’S FINDINGS:
Substantial Compliance Partial Compliance Non-compliance n/a 2/28/2016

DATE: 2/15/16

MONITOR’S DISCUSSION: STEPS TAKEN BY ADOC AND TUTWILER TOWARDS IMPLEMENTATION

DATE: 1/18/16

Monitor will evaluate steps taken by ADOC and Tutwiler by 1) interviews, as noted, 2) review of documents, as noted, and 3) baseline and compliance visits

1. Requirements III. K. 11, 12, 13, 14 and 15 were put in practice at Tutwiler and ADOC I+I on May 28, 2015. They are not currently all in policy but all requirements will be included in the revised Tutwiler SOP 8-12. 2. Monitor discussed completed PREA investigations with Director Mercado and investigator Ms. Kelley Smith during the compliance tour. Monitor saw the form used to notify the inmate of the outcome of an investigation. This is K. 14. iii requirement and is placed in the "vault" file of the inmate. ADOC uses the term "vault files" in reference to the Central inmate computerized files maintained on all ADOC inmates. 3. Section K. 15 is currently in ADOC 454 and Tutwiler SOP 8-12
III.K.11 / III.K.12 / III.K.13 / III.K.14 / III.K.15

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MONITOR’S DISCUSSION: EXTENT TO WHICH ADOC AND TUTWILER HAVE COMPLIED WITH THE AGREEMENT

DATE:1/18/16

Monitor will evaluate ADOC and Tutwiler compliance by 1) interviews, as noted, 2) review of documents, as noted, and 3) baseline and compliance visits

1. Review all of the revised policies, ADOC 454, and Tutwiler SOP 8-12 for inclusion of all these requirements 2. Interviews with ADOC I+I and Tutwiler staff during compliance visit in June 2016 3. Inmate and staff focus groups during compliance 2016 visit

MONITOR’S RECOMMENDATIONS: (for at least the next 6 months)
1. Train staff in revised or updated policies, as needed upon implementation of all of the K. Requirements in this provision

DATE DUE: 1. As needed

III.K.11 / III.K.12 / III.K.13 / III.K.14 / III.K.15

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Page 207 of 226

REFERRALS AND INVESTIGATIONS

III.K ADOC/Tutwiler shall ensure that all allegations of sexual abuse and sexual harassment are promptly, thoroughly, and objectively investigated and

appropriately referred for prosecutorial review, and that alleged victims are advised of the outcome of their allegations.

Policy

Develop Implement

Policy Policy

Investigations Review

February February

III.K.16 16.A review team, including upper-level management officials at Tutwiler, with input from line supervisors, III.K.17 investigators, and medical and mental health practitioners, shall conduct an incident review within 30 days of

28, 2016 28, 2016

the conclusion of every investigation of substantiated and unsubstantiated allegations of sexual abuse or

staff-on-inmate sexual harassment. The review team shall: (see below)

17.ADOC and Tutwiler shall implement the recommendations for improvement or shall document its reasons for not doing so.

REQUIREMENTS

Policy Developed

Staff Trained Policy Implemented

A review team conducts an incident review within 30 days of the conclusion of every investigation of substantiated and unsubstantiated allegations of sexual abuse or staff-on-inmate sexual harassment.

Y N N/A Y N N/A Y N N/A

1. the review team include upper-level management officials at Tutwiler 2. the review team has input from line supervisors, investigators, and medical and mental health
practitioners.

Y N N/A Y N N/A Y N N/A Y N N/A Y N N/A Y N N/A

The review team:
1. Considers whether the allegation or investigation indicates a need to change policy or practice to better prevent, detect, or respond to sexual abuse or staff-on-inmate sexual harassment;
2. Considers whether the incident or allegation was motivated by race; ethnicity; gender identity; lesbian, gay, bisexual, transgender, or intersex identification, status, or perceived status; gang affiliation; or was motivated or otherwise caused by other group dynamics at Tutwiler;
3. Examines the area in Tutwiler where the incident allegedly occurred to assess whether physical barriers in the area may enable abuse;
4. Assesses the adequacy of staffing levels in that area during different shifts; 5. Includes a review, by a Warden or senior management, of the personnel file of any involved
employees to assess needs in background screening, training, and/or supervision;
III.K.16 / III.K.17

Y N N/A Y N N/A Y N N/A Y N N/A Y N N/A Y N N/A

Y N N/A Y N N/A Y N N/A

Y N Y N Y N

N/A Y N N/A N/A Y N N/A N/A Y N N/A

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6. Assesses whether monitoring technology should be deployed or augmented to supplement

Y N N/A

supervision by staff; and

7. Prepares a report of its findings and any recommendations for improvement and submits such report

to the Monitor, DOJ, the Warden, the Department-wide PREA Coordinator, and Tutwiler's PREA

Y N N/A

Compliance Manager.

Y N N/A Y N N/A Y N N/A Y N N/A

ADOC and Tutwiler implement the recommendations for improvement or document its reasons for not doing

so.

Y N N/A Y N N/A Y N N/A

MONITOR’S MEASURES OF COMPLIANCE
Referrals and Investigations (2 requirements-first is lengthy about review team) a. Review of AR 454 and SOP 8-12 and revisions that include all specific requirements of this provision. b. Memos establishing the review team, identify each team member and their position. c. Documents prepared for the meetings, minutes of each meeting (dates etc.) and final outcomes in documents prepared as a result of the review. d. How is ''input ' gathered/heard by review team from line supervisors, investigators, health care personnel practitioners. e. Interviews with random selected team members since June 2015 until compliance visit in 2016. The process required for each review will be examined for each case. f. Review ANY subsequent actions that are recommended by the team meeting. Memos, emails, new SOPs. Interview anyone that could be recipient of these documents. g. Final reports prepared for Monitor, DOJ, Warden and other parties. h. Interviews with Dr. Williams, DOC PREA Director, DOC investigators, Warden, McClain, Young.
ADOC and Tutwiler implements the recommendations for improvement or document its reasons for not doing so a. Review of written recommendations and any concrete changes that occurred as a result of the recommendations. b. Documents that describe "why" recommended actions were not taken. c. Interviews with Dr. Williams, DOC PREA, Warden, McClain, Young.

III.K.16 / III.K.17

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Page 209 of 226

Documents

STEPS TAKEN BY MONITOR TO ANALYZE CONDITIONS AND ASSESS COMPLIANCE, AND FACTUAL BASIS FOR MONITOR’S FINDINGS

(for each member of monitoring team)

Interviews

On-site/Observations / Other

1. Revised ADOC AR 454. 2. Revised Tutwiler SOP 8-12. 3. Membership of the Tutwiler PREA review team form January-May 31, 2016. Review of minutes taken for each committee meeting 4. Logs, documents maintained by the IPCM related to the committee recommendations and actions taken.

1. Deputy Commissioner Williams 2. Warden Barrett 3. Captain McClain 4. Lt. Young 5. MHM Site Administrator 6. Dr. Scott Holmes, Tutwiler Psychological Associate 7. Corizon Site Administrator at Tutwiler 8. Lt. Coleman 9. Ms. Christy Vincent, ADOC PREA Director 10. Mr. Arnaldo Mercado, ADOC Investigations Director

None

Not applicable

UNRESOLVED/PARTIALLY RESOLVED ISSUES FROM PREVIOUS TOUR

III.K.16 / III.K.17

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Page 210 of 226

NOTE: THIS SECTION INCLUDES III.K.16 and III.K.17. Please provide separate findings, discussion, and recommendations for all provisions.
MONITOR’S FINDINGS: Substantial Compliance Partial Compliance Non-compliance n/a 2/28/2016

DATE: 2/15/16

MONITOR’S DISCUSSION: STEPS TAKEN BY ADOC AND TUTWILER TOWARDS IMPLEMENTATION

DATE: 1/18/16

Monitor will evaluate the steps taken by ADOC and Tutwiler by 1) interviews, as noted, 2) review of documents, as noted, and 3) baseline and compliance visits

1. ADOC 454 and Tutwiler SOP 8-12. 2. Tutwiler put into practice K. 16, 17 in February 2014. The revised 454 and SOP 8-12 will contain the specific requirements of this provision 3. Section K. 16. ii, iii, vi are in practice and in SOP 8-12 4. Section K. i, v, vii are not comprehensively in ADOC and Tutwiler policy but will be covered in the revisions of both policies 5. Lt. Young maintains a log/notebook containing all the minutes of the meeting s held. 6. Monitor discussed the Tutwiler review team with the Warden and top staff at Tutwiler. It is a knowledgeable, professional group of staff. The review team meets after every substantiated or unsubstantiated allegation of sexual abuse and staff-on-inmate sexual harassment. ADOC reports it met 11 times since the effective date of the settlement, May 28, 2015. ADOC will submit the minutes of these 11 meetings to the monitor and DOJ immediately, as required.

III.K.16 / III.K.17

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Page 211 of 226

MONITOR’S DISCUSSION: EXTENT TO WHICH ADOC AND TUTWILER HAVE COMPLIED WITH THE AGREEMENT

DATE: 1/18/16

Monitor will evaluate ADOC and Tutwiler compliance by 1) interviews, as noted, 2) review of documents, as noted, and 3) baseline and compliance visits

1. Review of revised Tutwiler SOP 8-12 for the inclusion of all the requirements of III. K. 16 and 17. 2. Review the minutes of team meetings from January-May 2016 3. Examine any report generated after a thorough review, via this section, of a PREA incident at Tutwiler 4. Interviews of the Tutwiler Review team during June 2016 compliance visit. Interview with ADOC PREA Director.

MONITOR’S RECOMMENDATIONS: (for at least the next 6 months)

DATE DUE:

1. If an incident review report is complete, send to monitor and DOJ immediately. ADOC will send the minutes of the prior 11 meetings 1. Immediately, as

of the review committee.

reports are completed

2. After the team review of the incident, the warden should review the video camera footage, if applicable, for any improvements in camera angles.
3. Document any actions taken at Tutwiler as a result of implementing any changes made as a result of the post event review by the Tutwiler team.

2. One month after report
3. After completion of implementation of changes

III.K.16 / III.K.17

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Page 212 of 226

REFERRALS AND INVESTIGATIONS

III.K ADOC/Tutwiler shall ensure that all allegations of sexual abuse and sexual harassment are promptly, thoroughly, and objectively investigated and

appropriately referred for prosecutorial review, and that alleged victims are advised of the outcome of their allegations.

Policy

Develop Implement

Policy

Policy

18.Within 60 days of the Effective Date, ADOC and Tutwiler shall review all pending investigations alleging

July 28, July 28,

sexual abuse and sexual harassment to determine whether the investigation was conducted according to the III.K.18

2015

2015

requirements of Section III. K. of this Agreement.

Within 120 days of the Effective Date, ADOC and Tutwiler will conduct a similar review of all unfounded

September September 28, 2015 28, 2015

allegations of sexual assault and sexual harassment for the past 360 days to determine whether the

investigation was conducted according to the requirements of Section III. K. of this Agreement.

REQUIREMENTS

Policy Developed

Staff Trained

Policy Implemented

Within 60 days of the Effective Date, ADOC and Tutwiler shall review all pending investigations alleging

Y N N/A

sexual abuse and sexual harassment to determine whether the investigation was conducted according to the

requirements of Section III. K. of this Agreement.

Y N N/A

Y N N/A

Within 120 days of the Effective Date, ADOC and Tutwiler will conduct a similar review of all unfounded allegations of sexual assault and sexual harassment for the past 360 days to determine whether the investigation was conducted according to the requirements of Section III. K. of this Agreement.

Y N N/A Y N N/A Y N N/A

MONITOR’S MEASURES OF COMPLIANCE
Within 60 days of the effective date, ADOC and Tutwiler shall review all pending investigations alleging sexual abuse and sexual harassment to determine whether the investigation was conducted according to requirement s of section K of this agreement. A. Documentation of this review by anyone involved in the process. B. Summary list of the review-time frames completed C. Any documents that reflect an investigation that did NOT comfort with the requirements of this section. Documents describing the actions taken and final resolution of these cases
Within 120 days of effective date, similar review of all unfounded allegations of sexual assault and sexual harassment for the past 360 days to determine whether the investigation was conducted according to requirements of this section
III.K.18

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D. Documents/directives/memos used on this review processE. Process used to identify these cases. List of the cases reviewed, dates of cases and dates of review F. Documentation of resolution in each review. G. Any remedial actions taken in any of these cases as a result of the review

Page 213 of 226

Documents

STEPS TAKEN BY MONITOR TO ANALYZE CONDITIONS AND ASSESS COMPLIANCE, AND FACTUAL BASIS FOR MONITOR’S FINDINGS

(for each member of monitoring team)

Interviews

On-site/Observations / Other

1. Memo from Commissioner Williams, 11/20/15, to the Monitor regarding "Review of Unfounded Investigations". 2. Moss Group document, " Investigative Review Summary report", 11/18/15, that reviewed Tutwiler cases in 2014/2015 that were " unfounded and unsubstantiated" per PREA guidelines. This summary report involved 55 cases reviewed by the Moss Group via this settlement requirement. 3. Moss Group document, " Investigative Review Summary report"- requirement to review ANY pending cases at the time or near the time of the execution of the agreement. It contained a brief summary review of 4 cases and their observations.

1. Deputy Commissioner Williams 2. Warden Barrett 3. Captain McClain 4. Lt. Young 5. ADOC General Counsel, Anne Hill. 6. Andie Moss, the Moss Group

1. Baseline and Compliance tours observations of PREA information posters, toll free Hotline phones for reporting and location of grievances boxes in annex and main facility.

III.K.18

Not applicable

Case 2:15-cv-00368-MHT-TFM Document 16-2 Filed 02/26/16 Page 214 of 226
UNRESOLVED/PARTIALLY RESOLVED ISSUES FROM PREVIOUS TOUR

Page 214 of 226

MONITOR’S FINDINGS: Substantial Compliance Partial Compliance Non-compliance n/a no assessment due until __________

DATE: 2/15/16

III.K.18

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Page 215 of 226

MONITOR’S DISCUSSION: STEPS TAKEN BY ADOC AND TUTWILER TOWARDS IMPLEMENTATION

DATE: 1/17/2016

Monitor will evaluate steps taken by ADOC and Tutwiler by 1) interviews, as noted 2) review of documents, as noted and 3) baseline and compliance visits.

Requirements (summary) 1. Within 60 days of the effective date of settlement, ADOC and Tutwiler shall review all pending investigations alleging sexual abuse and sexual harassment to determine whether the investigation was conducted according to requirements K. Of this agreement 2. Within 120 days of effective date, ADOC and Tutwiler shall conduct a similar review of all unfounded allegations of sexual assault and sexual harassment for the past 360 days to determine whether the investigation was conducted according to requirements of section K. Of the agreement ________________________ 1. ADOC contracted with the Moss Group to conduct these two required assessments of PREA allegations and investigations. 2. The Moss Group review included: all exhibits, such as medical and mental health inmate victim files, and any protective custody documentation. 3. Meeting was held on November 20, 2015 with ADOC leadership to discuss the findings of the Moss Group review. 4. Monitor reviewed the Moss Group executive summary of the pending PREA cases, at the time of the execution of the agreement. There were four cases and the summary. The summary included eight observations for ADOC and Tutwiler. After review of these observations, it is noted that there were several operational protocols that were addressed as concerns for the ADOC and Tutwiler investigators. It is noted three of the cases were in 2014 and one was on 6/09/15 and the finding was it was a false allegation. Monitor is recommending that ADOC review the suggestions made in this review. 5. Monitor reviewed the Moss Group executive summary of the "unfounded" PREA cases for the period of 360 days PRIOR to the effective date of the agreement, May 28,2015. In addition, the monitor received and reviewed the 370 page complete report the consultants prepared for these 55 cases. It is noted that the consultants prepared a thorough and detailed matrix spreadsheet that was used for each case. The matrix they created has 29 different questions/inquiry about the sequential elements of each investigation. The questions follow the investigative requirements in PREA and the settlement. It will be very informative for ADOC. The monitor is recommending that ADOC review the generic suggestions made by these consultants for improvement in their investigations The Monitor is familiar with the two Moss Group consultants used for this review. They are both lawyers and very knowledgeable and experienced in addressing PREA investigative issues. It is an excellent summary of their observations. It is noted that most of the cases were in 2014. There is detailed feedback to ADOC and Tutwiler concerning their investigative processes and now it can be improved, enhanced, refined.

III.K.18

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MONITOR’S DISCUSSION: EXTENT TO WHICH ADOC AND TUTWILER HAVE COMPLIED WITH THE AGREEMENT

DATE: 1/17/2016

Monitor will evaluate ADOC and Tutwiler compliance by 1) interviews, as noted 2) review of documents, as noted and 3) baseline and compliance visits.

1. Monitor has and reviewed both of the required reviews by the Moss Group.

2. The reviews were thorough and offers detailed feedback for ADOC and Tutwiler

3. The requirements for this provision are specific for the detailed reviews that were conducted and produced.

MONITOR’S RECOMMENDATIONS: (for at least the next 6 months)

DATE DUE:

1. ADOC and Tutwiler management should review these observations in both reports-thoroughly.
2. ADOC and Tutwiler should create one document regarding the various generic observations made by the Moss Group in both reviews. There are similar issues raised in both reviews. Tutwiler should establish a review session with possible investigators and executive staff, to be reminded of the basic requirements of a PREA investigation.
3. ADOC and Tutwiler should modify and existing SOP's if their review of the reports observations warrant any revision or additions of information.
4. ADOC shall give a copy of the summary it created of the investigated issues to Director Mercado in I&I. The monitor and DOJ should receive a copy of this summary report.

1. 4/1/2016 2. 4/15/2016
3. 5/28/2016
4. As soon as report is completed

III.K.18

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STAFF DISCIPLINARY ACTIONS

III.L ADOC and Tutwiler shall take appropriate disciplinary action against staff found to have engaged in sexual abuse or sexual harassment or to have violated

Tutwiler’s policies and procedures regarding sexual abuse or sexual harassment.

Policy

Develop Implement

Policy Policy

1. ADOC and Tutwiler shall develop, submit to the Monitor and DOJ for review consistent with Section III.A.6., III.L.1

and implement policies and procedures that track staff disciplinary actions related to allegations of sexual

III.L.2

February February

abuse or sexual harassment, to ensure that the directives in III.L.2-III.L.6 below are met.

III.L.3

28, 2016 28, 2016

III.L.4 III.L.5

III.L.6

Policy

Staff Trained Policy

REQUIREMENTS

Developed

Implemented

ADOC and Tutwiler ensure prompt corrective action following any substantiated finding or recommendation resulting from either an administrative or criminal investigation surrounding an incident of sexual abuse or sexual harassment. This will include, but not be limited to:
1. Documented disciplinary sanctions of staff; and 2. Permanent removal of staff from the post where the incident occurred.
Staff are subject to disciplinary sanctions up to and including termination for violating ADOC’s sexual abuse or sexual harassment policies.

Y N N/A Y N N/A
Y N N/A Y N N/A Y N N/A Y N N/A Y N N/A Y N N/A

Y N N/A
Y N N/A Y N N/A Y N N/A

Termination is the presumptive disciplinary sanction for staff who have engaged in sexual abuse.

Y N N/A Y N N/A Y N N/A

Disciplinary sanctions for violations of agency policies relating to sexual abuse or sexual harassment (other

Y N N/A Y N N/A Y N N/A

than actually engaging in sexual abuse) are commensurate with the nature and circumstances of the acts

committed, the staff member’s disciplinary history, and the sanctions imposed for comparable offenses by

other staff with similar histories.

All terminations for violations of ADOC’s and Tutwiler’s sexual abuse or sexual harassment policies, or

Y N N/A Y N N/A Y N N/A

resignations by staff who would have been terminated for sexual abuse or sexual harassment, if not for their

resignation, are reported to local prosecutors, unless the activity was clearly not criminal in conformance with

Alabama law, and to any relevant licensing bodies.

Y N N/A Y N N/A Y N N/A

Develop and implement policies (submitted for review) and procedures that track staff disciplinary actions related to allegations of sexual abuse or harassment

III.L.1 / III.L.2 / III.L.3 / III.L.4 / III.L.5 / III.L.6

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Page 218 of 226

Ensure prompt corrective action following any substantiated finding or recommendation resulting from either

an administrative or criminal investigation surrounding an incident of sexual abuse or harassment including

Y N N/A Y N N/A

(but not limited to) document disciplinary sanctions and permanent removal of staff from post where incident

occurred

Y N N/A

Staff shall be subject to disciplinary sanctions up to and including termination for violating ADOC’s sexual abuse or harassment policies

Y N N/A Y N N/A Y N N/A

Terminations for violations of sexual harassment or sexual abuse policies shall be reported to local prosecutors Y N N/A Y N N/A Y N N/A unless the activity was clearly not criminal in conformance with AL law.

MONITOR’S MEASURES OF COMPLIANCE
Staff Disciplinary Actions (looks like 5 will be combining some of them).
ADOC and Tutwiler ensure prompt corrective action following any substantiated finding or recommendation resulting from either an administrative or criminal investigation; including documented disciplinary sanctions of staff ; and permanent removal of staff from the post where the incident occurred a. ADOC and Tutwiler policy and SOP regarding the personnel actions of the department after an PREA investigation finds a substantiated finding of an incident of sexual abuse or sexual harassment. b. Memos, emails generated by Warden, Dr. Williams or others that direct action for disciplinary sanctions against any Tutwiler employee for a PREA violation, removal from a post or the facility. c. Any HR documentation generated by disciplinary sanctions taken against an employee at Tutwiler via this provision. d. Interviews with Dr. Williams, DOC PREA and HR manager, Warden, McClain, Young.
STAFF is subject to disciplinary sanctions up to and including termination for violating ADOC's sexual abuse or sexual harassment policies.
TERMINATION is the presumptive disciplinary sanction for staff who engaged in sexual abuse
DISCIPLINARY sanctions for violations of agency policies relating to sexual abuse or sexual harassment...are commensurate with circumstances of the acts committed, past disciplinary history for the employee...
a. Review ADOC AR 208 for "Employees Standards of Conduct and Discipline" and SOP 9-9. b. ADOC PREA policy indicating a zero tolerance policy.
III.L.1 / III.L.2 / III.L.3 / III.L.4 / III.L.5 / III.L.6

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c. Review of completed investigations that required personnel sanctions against an employee since June 2015-compliance visit of 2016. d. Review of personnel records(on site) with the HR manager to verify employees disciplinary actions pursuant to this requirement. e. Interviews with Dr. Williams, DOC PREA Director and DOC Human Resources Manager, Warden, McClain, Young.

ALL terminations for violations of ADOC and Tutwiler's sexual abuse and sexual harassment policies, or resignations by staff under/after investigation, are reported to local prosecutors....any relevant licensing bodies. a. Review of AR policy and SOP pursuant to this provision. b. Review of any documents created to make a request to local prosecutors of a completed PREA investigation and any documents / emails received from any local prosecutor in response. c. Review of any documents reflecting the actual prosecution of an employee. d. Interviews with Dr. Williams, DOC PREA, DOC investigators, Anne Hill, Warden, McClain, Young. e. Any reports to licensing bodies of employee conduct in a PREA investigation.

DEVELOP and implement polices (submitted for review) and procedures that track staff disciplinary actions related to allegations of sexual abuse or harassment a. Review of a document, report that has been created to track employee disciplinary actions. Review all such documents, reports. b. Interviews with Dr. Williams, DOC PREA, DOC Human Resources Manager, Warden, McClain, Young.

Documents

STEPS TAKEN BY MONITOR TO ANALYZE CONDITIONS AND ASSESS COMPLIANCE, AND FACTUAL BASIS FOR MONITOR’S FINDINGS

(for each member of monitoring team)

Interviews

On-site/Observations / Other

1. Revised ADOC AR 454. 2. Revised SOP 8-12. 3. ADOC AR 208 -Employee Standards of Conduct+ Discipline. 4. Tutwiler SOP 9-9-staff disciplinary. 5. ADOC personnel documentation of dismissals of Tutwiler staff for violation of PREA standards. January-May 2016. 6. Any written documents generated by Warden Barrett for employee actions regarding a PREA allegation -and investigation. 7. Letters from ADOC I+I division to local district attorney for staff criminal charges. Documentation of
III.L.1 / III.L.2 / III.L.3 / III.L.4 / III.L.5 / III.L.6

1. Deputy Commissioner Williams 2. Warden Barrett 3. Captain McClain 4. Lt. Young 8. Ms. Christy Vincent, ADOC PREA Director 9. Mr. Bill Lawley, ADOC Personnel Director 10. ADOC General Counsel, Ms. Anne Hill

1. Review of staff personnel records on site

Case 2:15-cv-00368-MHT-TFM Document 16-2 Filed 02/26/16 Page 220 of 226
any criminal charges taken against an employee January-May 2016. 8. Logs maintained by Captain McCain regarding staff disciplines.

Not applicable

UNRESOLVED/PARTIALLY RESOLVED ISSUES FROM PREVIOUS TOUR

Page 220 of 226

NOTE: THIS SECTION INCLUDES III.L.I, III.L.2, III.L.3, III.L.4, III.L.5 and III.L.6. Please provide separate findings, discussion, and recommendations for all provisions. MONITOR’S FINDINGS:
Substantial Compliance Partial Compliance Non-compliance n/a 2/28/2016

DATE: 2/15/16

III.L.1 / III.L.2 / III.L.3 / III.L.4 / III.L.5 / III.L.6

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MONITOR’S DISCUSSION: STEPS TAKEN BY ADOC AND TUTWILER TOWARDS IMPLEMENTATION

DATE: 1/18/16

Monitor will evaluate the steps taken by ADOC and Tutwiler by 1) interviews, as noted 2) review of documents, as noted 3) baseline and compliance visits

1. Section L. of the agreement was put in practice at Tutwiler, on the settlement effective date of May 28, 2015 2. Requirements L. 1 , 2 -do not currently exist in Tutwiler policy. These provisions will be added to SOP 9-9- Employee Standards of Conduct and Discipline. This SOP will be reviewed by monitor and DOJ after draft is completed. 3. Requirements L. 3, 4, 5 and 6 are addressed in ADOC AR 208, Employee Standards of Conduct and Discipline. Tutwiler SOP 9-9 has these requirements 4. Section IV. D. 2. ii requires the ADOC to track the number and names of staff assigned at Tutwiler and any events of staff behavior in violation of inmate rights. Additionally, IV. D. 2. xviii. Requires Tutwiler to track staff disciplined for on/off duty conduct consistent with ADOC policy. This data collection will begin May 2016 5. Interviews with ADOC leadership support the zero tolerance practice in employee discipline when an investigation finds them responsible for a PREA violation of sexual abuse or sexual harassment

MONITOR’S DISCUSSION: EXTENT TO WHICH ADOC AND TUTWILER HAVE COMPLIED WITH THE AGREEMENT

DATE: 1/18/16

NOTE: monitor verified that there have not been any employee dismissals since the effective date of the agreement, May 28, 2015. Interviews with Deputy Commissioner Williams, ADOC personnel Director Bill Lawley and ADOC I+I Director Mercado.

Monitor will evaluate ADOC and Tutwiler compliance by 1) interviews, as noted 2) review of documents, as noted 3) baseline and compliance visits

1. Review of Tutwiler SOP 9-9 for inclusion of requirements L. 1, 2 of this provision

2. Monitor review of the personnel discipline actions by ADOC for any employee who is found guilty of a PREA violation after an investigation by I+I from January-May 2016

3. Interviews of ADOC leadership, Tutwiler leadership regarding personnel investigation involving alleged PREA violations of sexual abuse and sexual harassment

III.L.1 / III.L.2 / III.L.3 / III.L.4 / III.L.5 / III.L.6

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MONITOR’S RECOMMENDATIONS: (for at least the next 6 months)
1. ADOC notify monitor and DOJ of employee discipline taken via these requirements from January-May 2016.

DATE DUE: 1. As occur

III.L.1 / III.L.2 / III.L.3 / III.L.4 / III.L.5 / III.L.6

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III.M Limited English Proficient (LEP) Inmates

Policy

ADOC and Tutwiler shall work with the Monitor to develop and implement a policy providing for a method of interpretation services for LEP inmates. This method may be through a language telephone line, if necessary. ADOC and Tutwiler shall not rely on other inmates or non-certified employees to translate and/or interpret for LEP inmates.
REQUIREMENTS

III.M
Policy Developed

Develop Implement Policy Policy
February February 28, 2016 28, 2016
Staff Trained Policy Implemented

Tutwiler provides for interpretation services for LEP inmates.

Y N N/A Y N N/A Y N N/A

This method may be through a language telephone line, if necessary.

Y N N/A Y N N/A Y N N/A

ADOC and Tutwiler do not rely on other inmates or non-certified employees to translate and/or interpret for LEP inmates.

Y N N/A Y N N/A Y N N/A

MONITOR’S MEASURES OF COMPLIANCE

Limited English Proficient (LEP) inmates
ADOC and Tutwiler shall work with Monitor to develop and implement a policy providing for a method of interpretation services for LEP inmates.... a. SOP for requirements and implementation of method(s) provided for LEP inmates. b. Documentation of ALL methods created to provide access for LEP inmates and directive for NON-INVOLVEMENT of other inmates for this purpose. c. Details of the usage of any LEP inmates to access interpretation services -records, logs, phone call use, etc. d. Inmate focus group of LEP identified inmates. e. Review of any grievances submitted since implementation of the grievance process regarding any requirements of the provision. f. Tour impressions. g. Interviews with Warden, McClain, Young, Lt. Coleman, DOC Grievance Appeal Authority, DOC PREA Director.

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Documents

STEPS TAKEN BY MONITOR TO ANALYZE CONDITIONS AND ASSESS COMPLIANCE, AND FACTUAL BASIS FOR MONITOR’S FINDINGS

(for each member of monitoring team)

Interviews

On-site/Observations / Other

1. Revised ADOC AR 454. 2. Revised Sop 8-12. 3. RFP developed by legal staff to secure services for LEP inmates. 4. Logs, documents used by Dr. Holmes to follow and provide services to LEP inmates.

1. Deputy Commissioner Williams 2. Warden Barrett 3. Captain McClain 4. Lt. Young 5. General Counsel, Ms. Anne Hill 6. Ms. Christy Vincent, ADOC PREA Director 7. Dr. Scott Holmes, Tutwiler Psychological Associate (responsible for LEP services) 8. Inmate focus group

None

Not applicable

UNRESOLVED/PARTIALLY RESOLVED ISSUES FROM PREVIOUS TOUR

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MONITOR’S FINDINGS: Substantial Compliance Partial Compliance Non-compliance n/a 2/28/2016

DATE: 2/15/16

MONITOR’S DISCUSSION: STEPS TAKEN BY ADOC AND TUTWILER TOWARDS IMPLEMENTATION

DATE:1/18/16

Monitor will evaluate steps taken by ADOC and Tutwiler by 1) interviews, as noted, 2) review of documents, as noted, and 3) baseline and compliance visits

1. ADOC 454 and Tutwiler SOP 8-12 2. ADOC PREA Director, Ms. Christy Vincent, is working to enter a written contractual agreement with a public or private entity for interpretation services for LEP inmates at Tutwiler. 3. Tutwiler has designated Dr. Scott Holmes, Psychological Associate, as the LEP Coordinator. Dr. Holmes will coordinate, with Lt. Young, securing the services of an ADOC identified qualified interpreter. Since the effective date of the agreement, May 28, 2015, Tutwiler had not been required to use the services of an interpreter.

MONITOR’S DISCUSSION: EXTENT TO WHICH ADOC AND TUTWILER HAVE COMPLIED WITH THE AGREEMENT

DATE:1/18/16

Monitor will evaluate ADOC and Tutwiler compliance by 1) interviews, as noted, 2) review of documents, as noted, and 3) baseline and compliance visits

1. Review of written agreement between ADOC and a competent public or private entity to provide interpreter services for LEP inmates at Tutwiler

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MONITOR’S RECOMMENDATIONS: (for at least the next 6 months)
1. Interview an inmate, if available, who used/ uses LEP services at Tutwiler, during June 2016 compliance visit.

DATE DUE: 1. June 2016

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 </s> Case 2:15-cv-00368-MHT-TFM Document 12 Filed 06/18/15 Page 1 of 2

IN THE DISTRICT COURT OF THE UNITED STATES FOR THE MIDDLE DISTRICT OF ALABAMA, NORTHERN DIVISION

UNITED STATES OF

)

AMERICA,

)

)

Plaintiff,

)

)

v.

)

)

STATE OF ALABAMA and

)

ALABAMA DEPARTMENT OF

)

CORRECTIONS,

)

)

Defendants.

)

CIVIL ACTION NO. 2:15cv368-MHT (WO)

JUDGMENT

In accordance with the opinion entered this date,

it is the ORDER, JUDGMENT, and DECREE of the court

that:

(1) The parties’ joint motion to enter settlement

agreement (doc. no. 2) is granted as outlined

below.

(2) The court adopts the parties’ settlement

agreement, and its terms have been entered

separately as a consent decree of the court.

Case 2:15-cv-00368-MHT-TFM Document 12 Filed 06/18/15 Page 2 of 2
(3) This case is dismissed conditionally and without prejudice. Final dismissal is conditioned on compliance with the consent decree.
(4) The court retains jurisdiction for the purpose of enforcing the consent decree as well as to resolve any disputes arising out of the consent decree and to enter final dismissal of this matter as contemplated by the consent decree.
(5) No costs are taxed at this time. (6) This case is closed administratively.
The clerk of the court is DIRECTED to enter this document on the civil docket as a final judgment pursuant to Rule 58 of the Federal Rules of Civil Procedure.
DONE, this the 18th day of June, 2015. ___/s/ Myron H. Thompson____ UNITED STATES DISTRICT JUDGE

 </s> U.S. Department of Justice Civil Rights Division

Office of the Assistant AI/o rn ey Genera l

Washillgtoll, D.C. 20530

The Honorable Robeli Bentley Govemor State Capitol 600 Dexter Avenue Montgomery, AL 36130

JAN 172014

Re: Investigation of the Julia Tutwiler Plison for Women and Notice of Expanded In vest igation

Dear Govemor Bentley:

The Special Litigation Section of the Civil Rights Division has concluded its investigation of allegations of sexual abuse and sexual harassment at the Julia Tutwiler Prison for Women pursuant to the Civil Rights ofInstitutionalized Persons Act ("CRIPA"), 42 U.S.C. § 1997. CRIPA authorizes the Department of Justice ("001") to seek equitable relief where prison conditions violate the constitutional ri ghts ofprisoners in state cOlTectional facilities. Consistent witl1 the statutory requirements of CRIPA, we write to infonn you of our findings, the facts SUppoliing tl1em, and the minimum remedial steps necessary to address the identified deficiencies. We conclude that the State of Alabama violates the Eighth Amendment of the United States Constitution by failing to protect women plisoners at Tutwi ler from ham1 due to sexual abuse and harassment from correctional staff.

Tutwiler has a history of unabated staff-on-pri soner sexual abuse and harassment. The women at Tutwiler universally fear for their safety. They live in a sexualized envirolunent with repeated and open sexual behavior, including : abusive sexual contact between staff and prisoners; sexualized activity, including a strip show condoned by staff; profane and unprofessional sexualized language and harassment; and deliberate cross-gender viewing of prisoners showering, urinating, and defecating. The inappropriate sexual behavior, including sexual abuse, continues, and is grossly undelTepOlied, due to insufficient staffing and supervision, inadequate policies and procedures, a heightened fear of retaliation, and an inadequate investigative process.

Officials at the Alabama Department of Con·ections ("ADOC") and Tutwiler have failed to remedy the myriad systemic causes ofhann to the women prisoners at Tutwiler despite repeated notification of the problems. ADOC and Tutwi ler have demonstrated a clear deliberate indifference to the hann and substantial risk ofhann to women prisoners. They have failed to take reasonable steps to protect people in their custody from the known and readily apparent threat of sexual abuse and sexual harass ment. Officials have been on notice for over eighteen years of the risks to women prisoners and, for over eighteen years, have chosen to ignore them.

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During the course of our investigation, we reviewed information suggesting that the systemic deficiencies at Tutwiler that facilitated staff sexual misconduct may also lead to excessive use of force, constitutionally inadequate conditions of confinement, constitutionally inadequate medical and mental health care, and discriminatory treatment based on national origin, sexual orientation, and gender identity. Therefore, in addition to informing you of our findings, this letter serves as notice of our intent to expand our investigation into these areas.1
Alabama Department of Corrections Commissioner Kim T. Thomas, Warden Bobby Barret, and Warden II Karla Jones have fully cooperated with our investigation. We recognize that Warden Barret has recently assumed the position, and was not present at the Facility when much of the alleged misconduct took place. We commend ADOC and Tutwiler leadership for recognizing the need for reform at Tutwiler, and appreciate their receptiveness to our suggestions for change thus far. We look forward to continuing to work cooperatively with all interested parties.
I. Summary of Findings
We have made the following factual determinations:
 For nearly two decades, Tutwiler staff have harmed women in their care with impunity by sexually abusing and sexually harassing them.2 Staff have raped,
1 Because our expanded investigation will evaluate Tutwiler’s overall provision of medical and mental health care, we do not issue findings at this time with regard to our investigation into whether women who have alleged that they are subject to sexual abuse receive adequate medical and mental health care. This is, in part, due to the fact that the inquiries and remedies will overlap to such an extent that it will be more efficient to issue them all at once so that the state can implement broad based remedies in a coordinated fashion. In addition, our investigation of the medical and mental health system with regard to sexual abuse victims could not be completed satisfactorily because we were prevented from interviewing prisoners outside of the presence of counsel for the mental health provider. We trust that this dispute will be resolved by our next site visit.
2 The terms sexual abuse, sexual harassment, and sexual misconduct have varied in definition depending on context. In this letter, we define the term sexual misconduct to include both sexual abuse and sexual harassment. For the terms sexual abuse and sexual harassment, we adopt the definitions set forth in the National Standards to Prevent, Detect, and Respond to Prison Rape, 28 C.F.R. § 115.6 (2012):
Sexual abuse of an inmate, detainee, or resident by a staff member, contractor, or volunteer includes any of the following acts, with or without consent of the inmate, detainee, or resident:
(1) Contact between the penis and the vulva or the penis and the anus, including penetration, however slight; (2) Contact between the mouth and the penis, vulva, or anus; (3) Contact between the mouth and any body part where the staff member, contractor, or volunteer has the intent to abuse, arouse, or gratify sexual desire; (4) Penetration of the anal or genital opening, however slight, by a hand, finger, object, or other instrument, that is unrelated to official duties or where the staff member, contractor, or volunteer has the intent to abuse, arouse, or gratify sexual desire; (5) Any other intentional contact, either directly or through the clothing, of or with the genitalia, anus, groin, breast, inner thigh, or the buttocks, that is unrelated to official duties or where the staff member, contractor, or volunteer has the intent to abuse, arouse, or gratify sexual desire; (6) Any attempt, threat, or request by a staff member, contractor, or volunteer to engage in the activities described in paragraphs (1)-(5) of this section;

- 3 -
sodomized, fondled, and exposed themselves to prisoners. They have coerced prisoners to engage in oral sex. Staff engage in voyeurism, forcing women to disrobe and watching them while they use the shower and use the toilet. Staff sexually harass women, subjecting them to a daily barrage of sexually explicit verbal abuse.
 Tutwiler staff also harm women prisoners through a constant threat of sexual violence. Because women prisoners typically experience a high incidence of sexual victimization prior to incarceration, subjecting them to a constant fear of sexual abuse and repeated sexual harassment is particularly injurious. This risk is well known to correctional leadership and staff. The toxic, sexualized environment of Tutwiler, coupled with aggressive and threatening behavior by staff, increases emotional harm inflicted on prisoners and reinforces the cycle of abuse.
 Tutwiler has a toxic, sexualized environment that permits staff sexual abuse and harassment.
o Prisoners are compelled to submit to unlawful sexual advances to either obtain necessities, such as feminine hygiene products and laundry service, or to avoid punishment. Inconsistent application of facility rules and disciplinary sanctions causes many prisoners to believe that acceding to staff sexual abuse will engender improved treatment.
o Tutwiler staff encourage and participate in sexual activities by and among prisoners.
 Prison officials have failed to curb the sexual abuse and sexual harassment despite possessing actual knowledge of the harm, including a federal statistical analysis identifying sexual misconduct at Tutwiler as occurring at one of the highest rates in the country.
(7) Any display by a staff member, contractor, or volunteer of his or her uncovered genitalia, buttocks, or breast in the presence of an inmate, detainee or resident, and (8) Voyeurism by a staff member, contractor or volunteer.
Voyeurism by a staff member, contractor, or volunteer means an invasion of privacy of an inmate, detainee, or resident by staff for reasons unrelated to official duties, such as peering at an inmate who is using a toilet in his or her cell to perform bodily functions; requiring an inmate to expose his or her buttocks, genitals, or breasts; or taking images of all or part of an inmate’s naked body or of an inmate performing bodily functions.
Id. Sexual harassment includes:
Repeated verbal comments or gestures of a sexual nature to an inmate, detainee, or resident by a staff member, contractor, or volunteer, including demeaning references to gender, sexually suggestive or derogatory comments about body or clothing, or obscene language or gestures.
Id.

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 Prison officials discourage prisoner reporting of sexual abuse due to actual and perceived retaliation against individuals who make allegations. For example, immediately after making allegations, Tutwiler often places women in segregation and gives them lie detector tests. In some instances, reporting the sexual abuse of one staff member results in additional abuse from other staff members.
 When confronted with allegations of sexual abuse and harassment, Tutwiler fails to adequately respond or investigate. For example:
o Sexual misconduct investigations are cursory and do not follow clear leads; and
o Tutwiler does not properly discipline officers for substantiated sexual abuse.
 Systemic deficiencies at Tutwiler directly contribute to staff and prisoner sexual abuse and staff sexual harassment that injures prisoners, and creates a substantial risk of further harm. These systemic deficiencies include:
o A lack of gender-responsive strategies in Tutwiler’s operational practices and internal policies that could address the sexual abuse and harassment at Tutwiler and remedy the sexualized environment;
o Failure to adequately collect and analyze existing data to identify potential misconduct, thus subjecting women to continued sexual abuse and harassment that could have been prevented;
o The complete absence of a grievance system, thus limiting alternative reporting options for women prisoners who fear retaliation for using the facility’s Prison Rape Elimination Act (“PREA”) hotline;
o Dangerously low staffing levels, including a dearth of female officers, thus placing women prisoners at serious risk of harm from other prisoners and staff;
o An architectural structure that is not suited for housing women offenders including a floor plan that affords little privacy to women prisoners to undress, shower, or use the toilet and numerous blind spots throughout the facility that allow sexual activity to occur undetected; and
o A classification system that does not identify or protect potential victims from abuse, thus subjecting vulnerable prisoners to sexual and physical abuse.
These factual determinations provide us with reasonable cause to conclude that Tutwiler violates prisoners’ Eighth Amendment rights to be protected from harm, Farmer v. Brennan, 511 U.S. 825, 833 (1994), and serious risk of harm, Helling v. McKinney, 509 U.S. 25, 33-35 (1993), as well as the constitutional right to bodily privacy, Fortner v. Thomas, 983 F.2d 1024, 1029-30 (11th Cir. 1993).

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II. Investigation
On February 26, 2013, we notified you of our intent to conduct an investigation of the Julia Tutwiler Prison for Women in Wetumpka, Alabama, pursuant to CRIPA. Specifically, we notified you that we would focus our investigation on whether prisoners confined at Tutwiler are subject to sexual abuse by staff, and whether women who have alleged that they are subject to sexual abuse are provided with adequate medical and mental health care.
From April 1 to April 4, 2013, we conducted an on-site inspection at Tutwiler with an expert consultant in custodial sexual abuse and sexual harassment. During the inspection, we interviewed administrative staff, security staff, medical and mental health staff, facilities management staff, training staff, and prisoners. Additionally, we received and analyzed a broad array of documents, including policies and procedures, incident reports, investigative reports, disciplinary reports, logs, orientation materials, and staff training materials.
We also interviewed dozens of prisoners and received 233 letters from current Tutwiler prisoners –roughly a quarter of Tutwiler’s prison population at the time of our tour– detailing a variety of concerns including sexual abuse and harassment; unprofessional and profane language; dehumanizing behavior; and discriminatory treatment on the basis of national origin, gender identity, and sexual orientation or perceived sexual orientation. Prisoners also reported inadequate medical care; excessive use of force and threats of force; and inadequate access to clean clothes, uniforms, and hygiene products, including tampons and sanitary pads (especially for indigent prisoners).
We based the findings in this letter on each of these sources. Internal incident and investigation reports, external organizations’ reports, and interviews of current and former staff corroborate many prisoner allegations. Further, the internal corroboration of prisoner reports has been unprecedented: multiple women over the period of several years, with no opportunity or basis to collaborate, told a markedly similar story, often with similar details or repeat perpetrators. Thus, even assuming that an isolated prisoner allegation recounted in this letter is untrue, the extent of corroboration makes us confident in our conclusions.
In keeping with our pledge to be transparent and to provide technical assistance where appropriate, at the close of our site visit we conveyed our preliminary findings to ADOC and Tutwiler officials, including Commissioner Thomas, Warden Barret, and Warden II Jones. We thank Warden Barret and his staff, as well as ADOC’s officials and attorneys with whom we have worked, for their conduct throughout the course of the investigation.
III. Background
Julia Tutwiler Prison for Women is a maximum-security prison in Wetumpka, Alabama. Opened in 1942, Tutwiler was originally designed to house 417 prisoners. As of April 4, 2013, however, the facility housed 928 prisoners, including 248 prisoners in the Annex. For nearly two decades, Tutwiler has had a sordid history of sexual abuse and harassment of prisoners that has included rape and pregnancies. Although officials have known since at least 1995 of the risks of sexual abuse and harassment that prisoners at Tutwiler face, ADOC and Tutwiler officials have failed to take reasonable steps to protect the women in their custody from these abuses.

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This is not the first time that we have notified Tutwiler and ADOC of unconstitutional conditions of confinement at Tutwiler.3 In 1995, we issued a findings letter detailing unconstitutional medical and mental health care treatment at Tutwiler. Although not a subject of the investigation, the 1995 letter also noted inappropriate sexual contact between prisoners and staff.4 Specifically, we informed officials that “[o]ur penologist . . . received credible reports of sexual relations between inmates and staff,” and that the “offending staff members reportedly reward inmates with food, cosmetics, and money for their participation” in sexual activity with staff.5 Eighteen years since notifying ADOC and Tutwiler officials of inappropriate sexual activity between staff and prisoners, problems in the area of sexual abuse and harassment have only worsened.
In 2007, the DOJ’s Office of Justice Programs, Bureau of Justice Statistics (“BJS”) published a report revealing Tutwiler as the women’s prison with the highest rate of sexual assaults in the nation. The report ranked Tutwiler eleventh out of 146 prison facilities, including men’s facilities.6 In 2013, BJS published an updated statistical report and Tutwiler remains one of the women’s facilities with a high rate of sexual abuse; in fact incidents of sexual misconduct have increased substantially since the release of the 2007 report.7
In May 2012, the Equal Justice Initiative (“EJI”), a Montgomery, Alabama based organization that provides legal representation to indigent defendants and prisoners, issued a public report detailing sexual violence at Tutwiler.8 The report, Investigation into Sexual Violence at Tutwiler Prison for Women, detailed pervasive sexual misconduct at the Facility and confirmed that little had changed since BJS’s 2007 findings. Following an extensive investigation that included interviews with over fifty current and former prisoners, EJI found that corrections staff were raping, sexually assaulting, and sexually harassing prisoners. Additionally, EJI found that punitive responses to prisoners’ reports of sexual abuse created an atmosphere of intimidation and effectively silenced prisoners from reporting abuse. They also found that ADOC and Tutwiler officials underreported the number of sexual assaults at the facility. Finally, EJI found that Tutwiler’s continued failure to restrict male correctional officers’ ability to view naked prisoners had created an unnecessary risk of sexual misconduct.
3 Notice of Findings from Investigation of Julia Tutwiler Prison for Women, U.S. Dep’t of Justice, Civil Rights Division, Special Litigation Section, Mar. 27, 1995.
4 Id. at 7.
5 Id.
6 ALLEN J. BECK, PH.D., PAIGE M. HARRISON, SEXUAL VICTIMIZATION IN STATE AND FEDERAL PRISONS REPORTED BY INMATES 2007, at 5 (Bureau of Justice Statistics 2007), available at
http://www.bjs.gov/index.cfm?ty=pbdetail&iid=1149.
7 ALLEN BECK, PH.D., MARCUS BERZOFSKY, DR.P.H., RACHEL CASPAR, CHRISTOPHER KREBS, PH.D., RTI INTERNATIONAL, SEXUAL VICTIMIZATION IN PRISONS AND JAILS REPORTED BY INMATES 2011-12, at 13 (Bureau of Justice Statistics 2013), available at http://www.bjs.gov/index.cfm?ty=pbdetail&iid=4654.
8 EQUAL JUSTICE INITIATIVE INVESTIGATION INTO SEXUAL VIOLENCE AT TUTWILER PRISON FOR WOMEN (Equal Justice Initiative, May 22, 2012), available at http://www.eji.org/node/637.

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Following the receipt of EJI’s report, ADOC requested that the National Institute of Corrections (“NIC”) review their operations with a specific focus on sexual misconduct. Engaging with NIC is a voluntary, largely policy-driven process that seeks to strengthen administrative systems.9 On November 1, 2012, the NIC issued a technical assistance letter that identified deficiencies contributing to the sexualized environment at Tutwiler. The deficiencies included staff reluctance to report on the activity of their peers;10 no commitment to genderinformed and gender-responsive strategies;11 and a physical plant layout that is not conducive to “promoting privacy, safety and security.”12 In January 2013, ADOC announced an action plan to address deficiencies identified by NIC. These proposed changes included specific policy changes, increased training, a promise to seek an increased budget, and plans to recruit more women. However, as illustrated below, little appeared to have changed in practice when we were on-site in April 2013. Further, the Special Litigation Section’s analysis revealed deeper and more expansive problems that Tutwiler must address in order to meet constitutional standards.
IV. Findings
We find that ADOC and Tutwiler violate prisoners’ constitutional rights by violating their right to bodily safety and privacy and continuing to expose them to actual harm and the serious risk of harm from sexual abuse and harassment by correctional staff and other prisoners. Despite the various reports and investigative findings detailing unconstitutional treatment and the obvious defects in operational practices, ADOC and Tutwiler officials have simply failed to address these deficiencies and have remained deliberately indifferent to the constitutional harms to prisoners in their care. Given the dysfunctional systems in place at Tutwiler, the harm we find and describe in this letter is likely far deeper than documented and reported.
A. Staff Sexual Abuse and Sexual Harassment Subjects Prisoners to Harm and the Serious Risk of Harm
Tutwiler staff sexually abuse and sexually harass prisoners in their care in violation of the Eighth Amendment and constitutional right to privacy. Of the 233 prisoner letters we received, forty-four alleged pervasive sexual abuse and harassment. Throughout the course of our investigation, we received numerous reports of staff engaging in prohibited sexual contact with
9 SUSAN E. POOLE, JEFF SHORBA, DAVID M. MARCIAL, BIANCA HARRIS, ONSITE ASSESSMENT RE: CROSS-GENDER SUPERVISION IN CORRECTIONAL FACILITIES 2 (U.S. Dep’t of Justice, Nat’l Inst. of Corr. Technical Assistance Report November 1, 2012) (“The assessment was not an audit, but rather an opportunity to document strengths, challenges and observations as it relates to sexual safety and gender informed practices.”). Notably, the current CRIPA investigation conducted by the Special Litigation Section examines constitutional violations and related systemic deficiencies. Thus, the review and constitutional analysis conducted by the Special Litigation Section substantially differs from the assessment conducted by the NIC in methodology, scope, and inquiry.
10 Id. at 15.
11 Id. at 11.
12 Id. at 8.

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prisoners. At least thirty-six of the ninety-nine total employees were identified as having had sex with prisoners—approximately 36% of current staff. If we include staff that were identified for other forms of sexual abuse and sexual harassment, the number of staff involved in sexually inappropriate behavior nearly doubles. In some cases, prisoners describe the misconduct as non-consensual, unwelcome, and/or the result of physical force. In other cases, women describe their sexual contacts with staff as “consensual,” despite the fact that staff are prohibited from engaging in such contact under Alabama law, and despite the fact that women are compelled to submit to staff demands in order to obtain necessities or avoid punishment.
The literature shows that men and women respond differently to incarceration.13 Women prisoners have a higher rate of prior victimization, sexual assault, and domestic violence. Many of these women also suffer from mental illness that is traceable to prior physical and/or sexual abuse.14 This history makes women more vulnerable. As one prisoner explained, “victims of domestic violence are subjected to more abuse [and] victims of sexual violence - are subjected to more sexual abuse whether by implication or more bluntly ….” [sic]. In one illustrative example, in May 2011, a prisoner reported that Sergeant A touched her thigh, caressed her back, and entered a storage area where she was working. According to the prisoner, Sergeant A’s actions affected her particularly profoundly due to her prior victimization.15 Studies have repeatedly shown that women with histories of being subjected to sexual abuse—including women in prison—are particularly traumatized by becoming a victim of or witnessing subsequent abuse.16 These studies must be considered when evaluating the harm inflicted by Tutwiler staff’s actions.
13 BARBARA BLOOM, BARBARA OWEN, & STEPHANIE COVINGTON, NAT’L INST. OF CORR., GENDER-RESPONSIVE STRATEGIES: RESEARCH, PRACTICE, AND GUIDING PRINCIPLES FOR WOMEN OFFENDERS 64 (2002), available at http://nicic.org/pubs/2003/018017.pdf (“Research on female offenders has established conclusively that women enter the criminal justice system” in different ways as compared to male offenders.).
14 A 2004 Bureau of Justice Statistics survey found that 42% of women prisoners reported that they had been sexually abused before their incarceration. National Standards to Prevent, Detect, and Respond to Prison Rape, 77 Fed. Reg. 37106, 37131 (June 20, 2012) (codified in 28 C.F.R. §115.15 (2012)) (citing Bureau of Justice Statistics, unpublished data, 2004 Survey of Inmates in State and Federal Correctional Facilities and 2002 Survey of Inmates in Local Jails); see also BLOOM ET AL., supra note 13, at 64 (“According to the Bureau of Justice Statistics (1999a), nearly eight in ten female offenders with a mental illness reported having experienced prior physical or sexual abuse.”)
15 In this example, ADOC concluded that Sergeant A was guilty of violating institutional policy on sexual harassment. Sergeant A’s actions actually constitute sexual abuse. See supra note 2.
16 See OFFICE OF THE INSPECTOR GENERAL, U.S. DEP’T OF JUSTICE, THE DEPARTMENT OF JUSTICE’S EFFORTS TO PREVENT STAFF SEXUAL ABUSE OF FEDERAL INMATES 1 (2009) (“[B]ecause female prisoners in particular often have histories of being sexually abused, they are even more traumatized by further abuse inflicted by correctional staff while in custody”); Catherine C. Classen, Oxana Gronskaya Palesh, & Rashi Aggarwal, Sexual Revictimization: A Review of the Empirical Literature, 6 TRAUMA, VIOLENCE, & ABUSE 103, 117 (2005) (“There is considerable evidence that sexual revictimization is associated with more distress compared to one incident of sexual victimization . . . The general finding appears to be that women who are revictimized suffer more PTSD symptoms.”); Danielle Dirks, Sexual Revictimization and Retraumatization of Women in Prison, 32 WOMEN’S STUD. Q. 102, 102 (2004) (“For women with previous histories of abuse, prison life is apt to simulate the abuse dynamics already established in these women’s lives, thus perpetuating women’s further revictimization and retraumatization while serving time.”); BLOOM ET AL., supra note 13, at 37 (“In addition, standard policies and

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1. Tutwiler Staff Members Are Harming Prisoners by Sexually Abusing Them
The Eighth Amendment’s ban on cruel and unusual punishment requires that corrections officials not be deliberately indifferent to the risk of sexual abuse in prisons and jails. Farmer, 511 U.S. at 834 (noting that sexual abuse is not part of the penalty that criminal offenders pay for their offenses against society); see also Boxer X v. Harris, 437 F.3d 1107, 1111 (11th Cir. 2006) (noting that “[s]evere or repetitive sexual abuse of a prisoner by a prison official can violate the Eighth Amendment”)17; Dixon v. Sutton, No. 2:08-CV-745-WC, 2011 WL 1770295, *14 (M.D. Ala. May 9, 2011) (citations omitted) (holding, in a case involving a woman prisoner at Tutwiler, that “[i]f an inmate is forced to perform oral sex, it is objectively harmful” under an Eighth Amendment analysis); Women Prisoners of the District of Columbia Dep’t of Corr. v. District of Columbia, 877 F. Supp. 634, 665 (D.D.C. 1994) (staff sexual assaults of women prisoners “unquestionably violate the Eighth Amendment”), vacated and modified in part on other grounds, 899 F. Supp. 659 (D.D.C. 1995), vacated in part and remanded on other grounds, 93 F.3d 910 (D.C. Cir. 1996).
The Eleventh Circuit also recognizes a prisoner’s right to “bodily privacy” separate and apart from Eighth Amendment guarantees. See Boxer X, 437 F.3d at 1110 (holding that compelled masturbation in front of a woman corrections officer violated male prisoner’s right to privacy); see also Fortner, 983 F.2d at 1027 (finding a privacy violation where women correctional officers “solicit[ed] ... [male prisoners] to masturbate and otherwise exhibit their genitals for the female officers’ viewing”). Under the Fourth Amendment, a prisoner has the right “to shield . . . [her] unclothed figure from [the] view of strangers, and particularly strangers of the opposite sex.” Byrd v. Maricopa Cnty. Sheriff’s Dep’t, 629 F.3d 1135, 1141-43 (9th Cir. 2011) (quoting York v. Story, 324 F.2d 450, 455 (9th Cir. 1963)) (holding that a woman cadet touching a male pretrial detainee’s genitals and buttocks during a pat down while the detainee was only wearing boxer shorts violated his right to privacy); see also, e.g., Kent v. Johnson, 821 F.2d 1220, 1226 (6th Cir. 1987) (noting that “there must be a fundamental constitutional right to be free from forced exposure of one’s person to strangers of the opposite sex”). Moreover, corrections officials may not subject prisoners to invasive, demeaning, and humiliating treatment that is not justified by legitimate penological purposes. See, e.g., Canedy v. Boardman, 16 F.3d 183, 184-88 (7th Cir. 1994) (holding that an inmate was entitled to reasonable accommodation to prevent unnecessary observations of his naked body by female guards); Lee v. Downs, 641 F.2d
procedures in correctional settings (e.g., searches, restraints, and isolation) can have profound effects on women with histories of trauma and abuse, and often act as triggers to retraumatize women who have post-traumatic stress disorder (PTSD).”).
17 Although the Boxer X Court held that “a female prison guard’s solicitation of a male prisoner’s manual masturbation . . . does not present more than de minimis injury” and that “an injury can be ‘objectively, sufficiently serious [as required to establish a Eighth Amendment violation] only if there is more than a de minimis injury,” 437 F.3d at 1111 (citing Johnson v. Breeden, 280 F.3d 1308, 1321 (11th Cir. 2002), the viability of this holding in light of recent Supreme Court precedent is in doubt. Boxer X relied on Johnson, which involved an excessive force claim under the Eighth Amendment and the de minimis injury proposition set forth therein has since been overruled because the de minimis nature of an inmate’s injuries is not dispositive of an Eighth Amendment claim. Wilkins v. Gaddy, 559 U.S. 34, 34 (2010) (reversing dismissal of “a prisoner’s excessive force claim based entirely on . . . [a] determination that his injuries were ‘de minimis’” because such a holding “is at odds with” the Supreme Court’s “direction to decide excessive force claims based on the nature of the force rather than the extent of the injury”).

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1117, 1120 (4th Cir. 1981) (finding a privacy violation where male guards remained in the room and restrained a woman inmate while her underclothing was forcefully removed).
We found repeated documented instances of staff sexual abuse of Tutwiler prisoners over the last three years. Individual prisoner allegations have been corroborated by paternity tests, polygraph examinations, staff admissions, ADOC investigations, and internal corroboration from other prisoners with no opportunity to coordinate stories. The following are a few of the many instances of sexual abuse at Tutwiler:
 Several prisoners report that Officer B solicits and receives oral sex from prisoners in exchange for gifts or new uniforms and underwear. He has a reputation for being aggressive and threatening, and one prisoner described him as a “sexual predator.” In 2012 and 2013, several women reported that he touches prisoners inappropriately, licks his lips at them, and watches them shower at the Tutwiler Annex.
 More than one prisoner reported being sexually abused by Sergeant C in 2010 and 2011, including being forced to touch his penis and engaging in sex with him. Sergeant C, while denying some allegations, admitted kissing one prisoner on two separate occasions and receiving several sexually explicit letters from another prisoner that he did not report and allegedly destroyed.
 In late 2010, a prisoner reported that Officer D had exchanged sexually explicit letters with her and ultimately engaged in sexual intercourse with her while another prisoner stood watch. The prisoner submitted to a polygraph regarding these incidents and showed no signs of deception.
 In May 2010, Officer E raped a prisoner. In 2011, the prisoner gave birth to a child, and subsequent testing confirmed Officer E was the father. Officer E served 180 days in jail.18
A specific type of sexual abuse that occurs frequently at Tutwiler is male officers unnecessarily viewing prisoners who are naked or performing bodily functions. As discussed further below, Tutwiler provides no guidance on cross-gender viewing in showers and bathrooms, and male officers at Tutwiler have unrestricted access to shower and bathroom areas. Many of the showers are open at Tutwiler, without curtains or saloon doors, exposing the women prisoners’ naked bodies. During our April 2013 tour, we witnessed male officers entering bathroom and shower areas unannounced. The NIC also reported19 similar violations to the unofficial policy requiring cross-gender officers to announce their presence before entering an
18 According to the statistical data provided, there was only one pregnancy at Tutwiler in the last three years. However, the inadequate investigative process (discussed below), and the notable discrepancies in the pregnancy data received, call this figure into doubt. Prison officials should examine the data to ensure that the pregnancies occurred outside of the facility and promptly address any discrepancies in the information discovered.
19 ONSITE ASSESSMENT RE: CROSS-GENDER SUPERVISION IN CORRECTIONAL FACILITIES, supra note 9, at 9. NIC inspectors also witnessed male staff entering the shower and toilet areas without announcing himself.

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area where prisoners are likely to be in a state of undress.20 We received numerous reports from current and former prisoners that male officers enter these areas unannounced and linger— watching prisoners as they shower or engaging them in conversation.
Based on our expert consultant’s first-hand observations and other information we collected, we conclude:
 there is no privacy in the bathroom or showers;
 male officers come into the bathroom unannounced and carry on conversations while prisoners were on the toilet or in the shower;
 male officers make prisoners feel uncomfortable during count when they are in the showers. One prisoner noted: “I really don’t feel comfortable when a man comes in and yells count and stands at the shower door then later I feel as if he is disgusted with what he saw;”
 officers routinely come into the shower during count and tell the prisoners to reposition themselves to face the officers, causing the prisoners to expose their naked bodies. According to the prisoner, “[a]s tall as [the guards] are they should be able to count us by our hands, like the other officers does”; [sic]
 male officers sit in the cubes and watch prisoners shower; and
 male officers enter the shower throughout the evening presumably as a site check, but only when certain women are showering.
PREA limits cross-gender viewing of prisoners in shower and bathroom areas to exigent circumstances or when viewing is incidental to routine cell checks. See 28 C.F.R. § 115.15(d). Tutwiler officials stated that staff actions in the shower and bathroom areas were justified based on Tutwiler’s belief that sexual contact between prisoners occurs more often in the shower. Even assuming that Tutwiler staff based this belief on the statistical support in their incident reports, the circumstance is predictable and permanent and thus not exigent by definition.21 Neither is deliberately scheduling prisoner count when prisoners are showering—an activity that frequently occurs at Tutwiler. According to one prisoner, some officers purposefully miscount so that they can stay in the shower longer. Prior to count, most institutions suspend movement, including shower time and restroom usage. According to Tutwiler’s institutional rules that prisoners receive upon intake, prisoners are required to “[s]it on [their] bed[s] and … [W]ait until count is announced cleared by the dorm Officer of the Shift Commander” before resuming movement. However, in response to a prisoner’s complaint that a male officer was watching her in the shower, a Lieutenant replied, “counting the inmates in the shower was a part of [the]
20 While this requirement is not officially memorialized in Tutwiler policy, it is generally accepted correctional practice and required by the PREA regulations, 28 C.F.R. § 115.15 (2012).
21 The National Standards to Prevent, Detect, and Respond to Prison Rape, 28 C.F.R. § 115.5 (2012), define exigent circumstances as “any set of temporary and unforeseen circumstances that require immediate action in order to combat a threat to the security or institutional order of a facility.”

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Officer[’s] job and he is only doing his job not watching inmates.” This level of cross-gender viewing for an administrative purpose is unacceptable and constitutes sexual abuse. Further, it emboldens officers to engage in other sexual contact, thus placing prisoners at further risk of sexual abuse and sexual harassment.
In total, nearly twenty-five percent of the prisoner letters we received reported sexual abuse by staff. Fifteen percent of all prisoner letters received reported unrestricted viewing in the shower and bathroom area making them feel uncomfortable and concerned for their privacy. Twenty percent of ADOC’s own incident reports involved sexual abuse by staff. These examples show the pervasive sexual abuse of prisoners in a variety of ways, from voyeurism and sexual contact, to sexual intercourse, violating their right to privacy and the Eighth Amendment.
2. Tutwiler Staff Members Sexually Harass Prisoners
In addition to sexual abuse, we found documented instances of sexual harassment by male staff at Tutwiler. A malicious level of sexual harassment in a prison can violate contemporary standards of decency. Women Prisoners, 877 F. Supp. at 665. “There is a substantial risk of injury when officers make sexual remarks in an environment where sexual assaults of women prisoners by officers are well known and inadequately addressed.” Id. In other words, “vulgar comments” and “sexual remarks” must be evaluated in the context in which they occur: a prison environment with an extreme lack of privacy and pervasive sexual misconduct. Id. Repeated sexually explicit and threatening language, coupled with pervasive sexual misconduct, “mutually heighten the psychological injury of women prisoners.” Id. The health problems created by sexual harassment include significant depression, nausea, frequent headaches, insomnia, fatigue, anxiety, irritability, nervousness, and a loss of self-esteem. Id. As one Tutwiler prisoner explained: “[officers] call us bitches, stupid bitches, and hating ass bitches . . . Verbal abuse & mentally . . . I need to see mental health on occasions. My depression has gotten worse. This place . . . has stressed me out badly.”
Nearly fifteen percent of all the reports we reviewed, including those from former prisoners and ADOC’s own files, involved sexual harassment. Years of ignoring the issue of sexual misconduct at Tutwiler have emboldened its staff to continue to sexually harass women. As a result, unchecked sexual harassment at Tutwiler has often escalated to sexual abuse. Some examples of sexual harassment that occurred in 2012 and 2013 at Tutwiler include:
 Officer F sexualized a prisoner’s everyday water bottle by telling her that he “thought the water bottle would be too small for him and he liked being ‘fucked’ up the ass with bigger things.” When asked by an ADOC investigator, Officer F admitted to only discussing objects that could be turned into dildos or sexual tools. The ADOC investigator noted that the matter should be referred to ADOC officials to address the officer’s lack of professionalism and inappropriate sexual discussions with prisoners, but ADOC provided no evidence that any such follow-up occurred.
 Several women have complained that Steward G sexually harassed them. For example, in January 2012, a prisoner alleged that Steward G made sexual gestures, informed her of his home address, and informed her that he wanted to see her when she was released from Tutwiler. Steward G admitted to an ADOC investigator that

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he had discussed where he lived and called another prisoner “too cute to be in prison,” yet investigators concluded that the allegation was unfounded. Later in 2012, Tutwiler discovered another prisoner had sent mail to Steward G’s personal post office box. Steward G resigned in April 2012.
 On May 23, 2011, a prisoner reported that Sergeant A was sexually harassing her. She reported that Sergeant A made her feel uncomfortable on several occasions, telling her that “she was fine, she had nice legs, that he likes medium build women” and making other sexual comments. She also reported that he took her ID card to obtain personal information about her and asked her whether she had a boyfriend. Sergeant A admitted to an ADOC investigator that he had looked up the prisoner’s personal information and sang sexually explicit rap songs around prisoners.
In total, fifty-five percent of the prisoner letters we received reported vile and degrading language directed at prisoners. Several women reported that an officer yelled at a prisoner to get her “cum sucking mouth over here.” Women reported being called “bitches,” “hoes,” and “crack whores” at a staggering rate.22 The verbal abuse at Tutwiler is so pervasive that prisoners identified at least thirty-four officers who are verbally abusive and threatening. For example, several prisoners identified Officer I as verbally abusive and physically threatening. We received at least twenty prisoner letters identifying Officer I as one of the officers who verbally abuses prisoners the most. According to the letters we received, Officer I referred to women in the drug rehabilitation dorm as “dope whores,” told a prisoner who wanted to speak to him to “shut her ‘cum-catcher’” and to “get the fuck out of his face.”23 Another prisoner reported that when Officer I is assigned to the medication line, she “skips [her] medication rather than be subjected to his abuse.” In one incident, when questioned about his vulgar language, Officer I admitted it, saying, “I talk to them how they talk to me.” As these examples illustrate, verbal abuse coupled with sexual, physical, and emotional abuse harms prisoners and places them at substantial risk of harm.
22 Although not a focus of our investigation, we received multiple reports of discriminatory treatment by Tutwiler staff of prisoners based on national origin, gender identity and sexual orientation. We have received reports of officers compelling Latina prisoners to solely speak English and threatening to discipline them if they spoke Spanish. According to one prisoner, when a Spanish-speaking prisoner asked her to fill out a sick call slip, Officer H would not allow it, stating that the prisoner needed to ask in English herself. As discussed further below, we also received reports of discriminatory treatment based on gender identity and known or perceived sexual orientation. Discriminating against prisoners is unconstitutional and further places the prisoners at risk of harm. See also infra Part VII.
23 We also received information that Officer I is also physically threatening; one prisoner reported that he lifted her off the ground by her left arm and pinned her against the wall as he screamed in her face. See also infra Part VII.

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B. Tutwiler’s Toxic Sexualized Environment Permits Staff Sexual Abuse and Harassment
The harm inflicted by Tutwiler staff on women prisoners did not arise in a vacuum. Instead, Tutwiler incubates a “sexualized environment” where “boundaries and expectations of behavior are not clear.” See Women Prisoners, 877 F. Supp. at 639. First, in order to obtain necessities and avoid punishment from guards, women at Tutwiler feel they must submit to guards’ sexual advances. Second, Tutwiler staff encourage and participate in sexual activities by and among prisoners. A flagrant disregard for routine, and even seemingly benign, rule infractions such as a failure to provide soap or allowing a prisoner’s relationship with another prisoner telegraphs to both staff and prisoners that boundaries are easily transgressed and ignored. The harm detailed in Part A of this letter occurred in the context of the sexualized environment that Tutwiler leadership allowed to develop and become part of Tutwiler’s entrenched culture.
1. Prisoners Must Submit to Unlawful Sexual Advances to Obtain Necessities and Avoid Punishment
In a custodial setting, staff holds the power and authority. According to our expert consultant, Tutwiler’s extremely restrictive and punitive environment forces women to submit to sexual demands as a means of navigating institutional landmines. Prisoner reports support this conclusion. As one woman explained: “if you exchange[] sexual favors you are treated better. If you don’t you are treated like crap.” We received thirty-seven reports from prisoners concerning the inconsistent application of prison rules at Tutwiler. According to the reports we received, rules often differ by shift, staff, and supervisor, and staff often threaten prisoners with disciplinary action and segregation. In order to find a safe balance, prisoners justify submission to sexual advances with staff in order to become one of “the favorites.”24 According to one prisoner, “if you are not one of the favorites, you can be written up for petty offenses and may be given a maximum sentence.” According to another prisoner, officers “play and cut up with the younger inmates, that’s why there is all this sex going on in here these young officers think it’s a great playground for them.” [sic].
Prisoners often submit to sexual advances as the only means to secure assistance or protection. Our expert consultant observed inadequate and unhygienic supplies while at Tutwiler. Essential resources at Tutwiler, including feminine necessities such as tampons, maxi pads, and toilet tissue, are severely limited, which unnecessarily creates a black market for goods that the State is required to provide. Thirty-one percent of the correspondence we received reported a lack of basic hygiene and laundry services, especially for indigent prisoners.25 Prisoners reported that hygiene products were not evenly distributed and alleged that staff either took supplies for themselves or provided additional supplies to their “favorites.” Several prisoners reported going two to three months without supplies, including feminine hygiene
24 See BRENDA V. SMITH & JAIME M. YARUSSI, BREAKING THE CODE OF SILENCE: CORRECTION OFFICERS’ HANDBOOK ON IDENTIFYING AND ADDRESSING SEXUAL MISCONDUCT 13 (Nat’l Inst. of Corr. 2007) (“What may appear to be consent or willingness to participate can often be a survival strategy or a response to prior or current victimization.”).
25 See also infra Part VII.

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products, and others reported having to borrow supplies. Prisoners also complained of inadequate laundry service, supplies, and unsanitary and undersupplied uniforms. Our onsite observations lend credence to these reports.
Feminine hygiene products and access to uniforms are necessities, not luxuries. The lack of protocols to ensure the dissemination of uniforms and feminine hygiene products means that prisoners must “borrow” or “barter” from other women or employees, which is often the first step toward an unwanted relationship or protective partnering, as sex is one form of currency. For example, uniforms are in high demand. Prisoners can either submit to sexual advances from an officer known to exchange a uniform for a sexual favor, submit to the sexual advances of another prisoner in exchange for a uniform, or purchase a uniform for five or ten dollars, depending on the seller. For many indigent prisoners spending money is not an option, and sex is therefore the only solution. Bartering for necessities is not an acceptable practice and places prisoners at Tutwiler at an even greater risk of sexual victimization and abuse from both staff and prisoners.
A few of the examples of protectionism and favoritism that we identified include:
 In July 2012, Prisoner 1 alleged that she witnessed Officer J engage in sexual discussions with Prisoner 2, and that Prisoner 2 told her that Officer J was interested in sexual contact with her but that “Tutwiler was too hot right now.” Prisoner 1 also alleged that Officer J allowed Prisoner 2 to bring coffee, sugar, and cream into the segregation unit, despite its prohibition.
 In April 2012, ADOC investigated Instructor K and found he acted inappropriately when he allowed prisoners access to his computer to send emails, letters to judges and the IRS, and work on their resumes. In exchange, women posed for photographs in underclothing and, in one instance, had sex with Instructor K while on parole. An ADOC investigation confirmed the presence of prisoners’ posed photographs on the Instructor K’s unapproved cell phone.
 A prisoner reported that Sergeant L is having a sexual relationship with at least three prisoners, and that he allegedly plays favorites by ignoring drug use and destroying discipline charges.
 In August 2011, a prisoner reported sexual contact between prisoners and officers in exchange for makeup, perfume, drugs and alcohol.
If actual physical force is not involved, it may be tempting to view sexual encounters as “consensual.” However, physical force need not be employed in order for women prisoners to be coerced into sexual contact. Therefore, “there is no such thing as ‘consensual’ sexual relationships between staff and [prisoners].”26 Under Alabama law, it is a Class C felony for “any employee to engage in sexual conduct with a person who is in the custody of the
26 SUSAN W. MCCAMPBELL & ELIZABETH P. LAYMAN, TRAINING CURRICULUM FOR INVESTIGATING ALLEGATIONS OF STAFF SEXUAL MISCONDUCT WITH INMATES 7-8 (Center for Innovative Public Policies, Inc. 2000).

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Department of Corrections, the Department of Youth Services, a sheriff, a county, or a municipality.” ALA. CODE § 14-11-31. Despite knowing this very fundamental premise and receiving training on the subject, Tutwiler staff continue to engage in inappropriate sexual contact with prisoners.
2. Tutwiler Staff Encourage and Participate in Sexual Activities by and Among Prisoners
Officers are placing prisoners at serious risk of sexual and physical abuse by encouraging and even participating in sexual activities by and between prisoners. Officers flagrantly encourage sexual relationships and create an environment that tolerates coercive sexual behavior. Promoting prisoner sexual activity ignores the reality that sexual activity amongst the prisoner population can be coercive, and that many prisoners have histories of predation and victimization. As discussed above, the lack of personal necessities available to prisoners causes many women to submit to sexual advances from others in order to get by; this coercion also exists when prisoners submit to sexual demands of other prisoners with more power and access.
In a particularly egregious example, staff’s encouragement of prisoner sexual activity appears to be at least partially motivated by voyeurism. Pursuant to a State investigation, it has been established that in December 2011, staff allowed, and in one case participated in, several sexually themed parties, including a strip show. Prisoners conducted several dorm contests and events, including a Christmas Eve “Victoria’s Secret Show,” where the prisoners made sexual apparel, dildos, and other sex toys. On New Year’s Eve, two male officers participated in a prisoner-led New Year’s Eve strip show, where one of the officers provided strobe lighting with his flashlight. Neither of the officers involved were assigned to work in the dorm in question on that evening, and both failed to provide a justification as to why they were present in the incorrect area.
Even when not actively participating in the sexual activity, staff permitting prisoners from different dorms and classification levels to engage freely with each other is a serious breach of security.27 According to one prisoner, an officer in her dorm would allow prisoners from other dorms to enter and remain in her dorm if the prisoner was engaging in a sexual relationship with someone in her dorm. On the eve of our visit to Tutwiler in April 2013, officers orchestrated an “Easter Spoon Hunt” in this same dorm, where prisoners were required to search throughout the dorm for hidden spoons. Prisoners who found a spoon were then allowed to privately dine in the yard with their “girlfriend.” All eighty prisoners in the dorm were required to participate. These actions by officers disregard the fact that prisoner-on-prisoner sexual contact can be coercive.
Promoting prisoner sexual activity sends the message to staff and prisoners alike that following the rules is discretionary. Similar to engaging in inappropriate sexual behavior with prisoners, allowing prisoner-on-prisoner sexual activity to occur promotes the officer’s dominance over the Facility and becomes one more tool used by staff to manipulate and dominate prisoners.
27 Our initial review suggests that the classification system at Tutwiler does not in fact make housing assignments based on a complete analysis of these issues and how they affect prisoner safety. See also infra Part VII.

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C. ADOC and Tutwiler Officials are Deliberately Indifferent to the Constitutional Harms to Women Prisoners
Tutwiler prison officials are aware of, and deliberately indifferent to, the substantial harm and serious risk of harm to its prison population due to sexual abuse and harassment and they have failed to take reasonable steps to prevent harm and risk of harm. See Farmer, 511 U.S. at 828. In determining whether conduct violates the deliberate indifference standard of the Eighth Amendment, the Eleventh Circuit requires: (1) facts presenting an objectively substantial risk to prisoners and awareness of these facts on the part of the officials charged with deliberate indifference; (2) that the officials drew the subjective inference from known facts that a substantial risk of serious harm existed; and (3) that the officials responded in an objectively unreasonable manner. Doe v. Georgia Dep’t of Corr., 248 F. App’x 67, 70 (11th Cir. 2007); see also Cooper v. Rogers, No. 2:11-CV-964-MEF, 2012 WL 2050577, at *3 (M.D. Ala. June 6, 2012). The subjective component requires that the prison official “acted with a sufficiently culpable state of mind” while an objective component requires that “the alleged wrongdoing was objectively harmful enough to establish a constitutional violation.” Hudson v. McMillian, 503 U.S. 1, 8 (1992).
For over eighteen years, ADOC and Tutwiler officials have been aware of staff sexual misconduct at Tutwiler and have failed to implement the changes necessary to remedy this harm. Following the release of the 2007 BJS report, ADOC officials failed to implement operational practices to address the issue of sexual abuse at Tutwiler—no cameras were added or adjustments made to staffing or the physical plant. Instead, officials allow staff to continue to retaliate against women who make allegations relating to sexual misconduct, fail to adequately respond to or investigate allegations, and fail to properly discipline staff found to have engaged in sexual abuse or harassment. These actions and inactions, when combined with the various systemic deficiencies at Tutwiler, violate the law and foster an environment where additional sexual abuse can occur.
1. Prisoners’ Reports of Sexual Abuse Are Discouraged Due to Actual and Perceived Retaliation.
Women feel retaliated against after making reports, through direct harassment, involuntary segregation, and having their credibility immediately questioned. This retaliation— real or perceived—discourages further reporting.
BJS reports in both 2007 and 2013 identified that sexual abuse at Tutwiler is underreported. Many prisoners confirmed this, citing fear of retaliation as a reason for not reporting sexual abuse and harassment. Prisoners have the right to report abuse without being subject to retaliation. See Boxer X, 437 F. 3d at 1112 (holding that a prisoner who was punished for complaining about officer abuse had grounds for a retaliation claim pursuant to §1983). However, prisoners universally fear reporting sexual abuse. EJI provided multiple examples of women who, after reporting sexual abuse, were placed in segregation with limited or no access to a telephone, visitors, or programs for an extended time period. Prison officials treated these women with the presumption that they were lying, subjecting them to polygraph examinations as a prerequisite to investigating the allegation. Staff verbally harassed them for reporting allegations of sexual abuse involving their colleagues. Women reported observing the

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accused officers on duty even after they made their allegations, and never being informed of the outcome of their allegations.
The information we independently received supports the allegations made by EJI. For example:
 A prisoner attempted to report sexual harassment three times and was chastised, dismissed, and threatened with segregation. Warden M admonished the prisoner (erroneously) for confiding in her parents about being sexually harassed rather than using the PREA Hotline. She then reported the sexual harassment to a sergeant, who in turn referred her to a lieutenant. The lieutenant then threatened to put her in segregation.
 In February 2013, Officer O pulled a prisoner aside and told the prisoner to drop her complaint against Officer N or else Officer O would write the prisoner up next time she was late for pill call. The prisoner had complained about Officer N loudly and repeatedly mocking her for scratching her inner thigh due to a razor burn and causing other staff and prisoners to laugh at the prisoner. The ADOC investigator characterized Officer O as hostile and defensive during her interview. Despite this, there was no finding regarding Officer O’s act of intimidating the prisoner to drop her complaint.
 Another prisoner reported that Officers F and P sexually harassed and threatened to physically assault her in retaliation for admitting to Tutwiler investigators in 2011 that she had a sexual relationship with Officer Q; Officer Q was terminated shortly thereafter. Specifically, Officers F and P have threatened to “whoop her ass” and called her a “piece of shit” for getting Officer Q fired. Officer A also repeatedly made sexually harassing statements to the prisoner. When Officer F was subsequently stationed in her dorm, the prisoner suffered a panic attack and feared for her safety. She left the dorm, met with a crisis counselor, explained that she was afraid of the officer because he had threatened to retaliate against her, and requested protective custody. Instead, the Lieutenant on duty sent her back to the dorm—where the officer who had threatened her remained on duty. Fearing sexual assault, this prisoner who has a history of self-injurious behavior, cut her arm because of the stress and was transferred to suicide watch. The matter was not investigated further.
Because of actions like these, prisoners at Tutwiler are afraid to report sexual misconduct fearing retaliation by staff. Failing to address underreporting of sexual abuse and sexual harassment allows abuses to continue.
2. Tutwiler Fails to Respond Reasonably Upon Discovering Abuses
Even when Tutwiler receives or identifies allegations of sexual abuse, staff does not respond reasonably to the reports. Staff discredit reports of sexual abuse and harassment if prisoners do not immediately report the abuse. When Tutwiler does investigate, its review of sexual abuse allegations is marginal at best. Investigations and Intelligence Division investigators rely heavily on polygraph results in conducting their investigations and fail to

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follow logical leads that may further advance their review of the prisoner allegations. Finally, inadequate or inconsistent discipline of officers who have committed sexual abuse sends a message that Tutwiler tolerates misconduct and fails to deter future violations.
a. Inadequate Investigations
The Investigations and Intelligence Division conducts investigations at Tutwiler. Investigators are obligated to gather and preserve evidence (including available electronic monitoring data), and interview witnesses, victims, and suspected perpetrators.28 Tutwiler does not do this. Investigators often fail to use basic investigative tools and techniques, such as witness interviews or record reviews, and instead close investigations prematurely based on limited information. For example, investigations have been closed solely because: both parties to a sexual relationship—an officer and a prisoner—denied a sexual relationship; a prisonervictim reported in an interview that the “matter [was] squashed” and that she “does not have anything against [Officer R];” and because a prisoner-victim became uncooperative and argumentative after recounting an earlier allegation in an interview. Similarly, investigations are frequently closed as “unfounded” if a reporting prisoner has a mental illness. In these and other cases, investigators fail to seek out potential witnesses or check verifiable facts, including prisoner accounts and movement records. Simply because a prisoner cannot or will not cooperate with an investigation into an allegation of sexual misconduct does not mean that ADOC cannot conduct a thorough investigation of the underlying allegation. The requirement for cooperation by a particular prisoner is especially improper considering many complaints about sexual abuse are made anonymously or by a third party.
Investigators also rely heavily—and often exclusively—on prisoner polygraph examinations in sexual abuse and harassment investigations. Using polygraphs in this manner is highly questionable. PREA prohibits compelled polygraphs as a prerequisite to investigations,29 and the Preamble sheds further light on the limits to their use. The Preamble recognizes that “polygraph examinations are imperfect assessors of credibility,”30 yet did not want to ban polygraphs “to victims who request them.”31 At Tutwiler, however, prisoners perceive that they are compelled to submit to polygraphs, and it is unclear whether any prisoner would feel able to refuse a polygraph. Even if polygraphs were to be used in a non-coercive manner, they cannot be the sole investigative tool. Yet we reviewed several investigative summaries where allegations of inappropriate sexual behavior were determined to be “unfounded” simply because a prisoner failed a polygraph, or because an accused employee refused to submit to a polygraph. Additionally, an investigation often stops if a prisoner’s results come back as “deceptive,” despite other investigative avenues available to evaluate the allegations.
28 28 C.F.R. § 115.71(c) (2012).
29 28 C.F.R. § 115.71(e) (2012).
30 77 Fed. Reg. 119 at 37171.
31 Id.

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Additionally, ADOC and Tutwiler senior management are apparently not reviewing the investigative reports for quality assurance. Tutwiler must improve supervision of its investigators and implement a process to review all investigations—regardless of whether they result in sustained violations. Without these measures, prisoners remain in jeopardy because senior administrators are unable to identify and correct actual and potential patterns or trends of sexual misconduct.
b. Officers are Not Properly Disciplined for Sexual Abuses
The long and unabated history of staff sexual abuse and harassment is facilitated by a disciplinary system that fails to substantiate the conduct of, and discipline, sexual predators. As discussed below, Tutwiler fails to adequately manage and analyze existing data to identify potential sexual misconduct and problematic staff behavior. As a result, officers who are identified in several prisoners’ allegations are not flagged for further review and are less likely to be disciplined and prevented from further abuse. After the prisoners who file those reports see the officers remain on the unit, they decide that reporting is futile.
ADOC provided seven records, for the period 2011 through March 2013, of employees who were separated from the organization for conduct related to sexual abuse or harassment. Of the seven employee separation records produced, one officer resigned, two officers resigned in lieu of termination, and four officers were terminated, two of whom were subsequently reinstated to their jobs via the appeal process. Allowing officers to resign in lieu of termination or reinstating officers who engaged in sexual misconduct sends a message to prisoners and staff that sexual misconduct will be tolerated.
These seven records do not capture the true extent of officers involved in sexual abuse allegations. For example, ADOC reported, as required by law, to the District Attorney of the 19th Judicial Circuit the names of individuals who were being investigated for various allegations of criminal conduct, including custodial sexual misconduct. The forms reporting this data for 2011 to 2013 included seventeen unique names that were referred for potential sexual misconduct. Even seventeen officers is an understated number; our review of data provided by Tutwiler, and letters and interviews with prisoners, lead us to conclude that Tutwiler vastly understates the number of officers involved in sexual abuse.
ADOC and Tutwiler do not effectively maintain the names and assignments of officers who are charged either with rule violations or suspended or reassigned pending investigations, or the outcome(s) of the investigation. This is a compelling reason for a centralized database that includes an early warning system. As noted elsewhere in this report, several Tutwiler employees involved in sexual misconduct remained on the job, and were ultimately terminated for these offenses. Until Tutwiler holds officers uniformly accountable for their actions, the prevalence of sexual abuse at Tutwiler will continue unabated, and women will continue to be harmed.
3. Systemic Deficiencies at Tutwiler Directly Contribute to the Sexual Abuse and Sexual Misconduct of Women Prisoners and Create Harm and a Substantial Risk of Further Harm

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Our investigation revealed serious systemic deficiencies in Tutwiler’s operations that directly contribute to the sexual abuse and harassment at Tutwiler and create a substantial risk of further harm if not remedied. As discussed below, Tutwiler’s failure to adopt gender-responsive strategies is one of the factors that has resulted in the sexualized environment that continues to harm the prisoners in its care. Tutwiler has failed to provide sufficient operational guidance to prevent sexual abuse and harassment, including guidance on cross-gender viewing. Tutwiler has also failed to collect and analyze existing data to identify potential misconduct and does not have a system in place to identify problem employees evidencing sexually inappropriate behavior. Tutwiler’s attempts to prevent staff sexual abuses are severely hampered by not having a grievance system in place that would allow prisoners to report concerns that could flag inappropriate sexualized behavior by staff or sexualized activity within the institution. Although ADOC has a system in place to respond to reports of sexual abuse and sexual misconduct, the system at Tutwiler is compromised. Women prisoners are afraid of reporting incidents of sexual abuse and harassment, and staff is not reporting allegations either. Catastrophically low staffing and supervision levels impact not only the reporting of, but also the identification of sexual abuse, allowing opportunities for abuse to occur undetected. Tutwiler has no proactive plan to increase staffing ratios based upon an adequate staffing analysis. The Facility has no cameras, is an architectural structure ill suited for housing women, and has an inadequate classification system that puts vulnerable prisoners at increased risk.
a. Tutwiler Lacks Gender-Responsive Policies and Procedures To Prevent Sexual Abuse and Harassment
Clear, gender-responsive policies and procedures are essential to protecting prisoners from sexual abuse and harassment. Gender-responsive policies, programs, and procedures are those that reflect empirical and gender based differences.32 Being gender-responsive means creating an environment that is grounded in research and theory that acknowledges women’s pathways into the criminal justice system and addresses issues such as abuse, violence, family relationships, substance abuse, and co-occurring disorders.33 Developing a gender-responsive approach to managing women offenders at Tutwiler is critical to addressing decades of sexual abuse and harassment at the Facility. It requires a fundamental understanding and appreciation, by prison officials and staff, for gender differences among the offender population—an understanding particularly true for male correctional officers assigned to male prisons but who work overtime at Tutwiler. There is a correlation between improved behavioral outcomes for women offenders and providing a safe and supportive setting for supervision.34
Tutwiler officials are well aware of the concept of gender-responsive strategies. In 2010, approximately twenty Tutwiler officials attended a NIC training that addressed gender-responsive strategies to managing women offenders. Despite Warden II Jones’ attendance at the training, Tutwiler officials have yet to embrace gender-responsive strategies to manage the institution, or incorporate the strategies into their operational policies, practices, and
32 BLOOM ET AL., supra note 13, at 5.
33 Id. at Xvi.
34 Id. at 81.

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procedures. Had Tutwiler adopted these strategies, a number of the harms identified in our investigation could have been avoided.
For example, as previously discussed, Tutwiler provides no guidance on cross-gender viewing in showers and bathrooms, and male officers at Tutwiler have unrestricted access to shower and bathroom areas. Although officers are reportedly told, via an unofficial policy, to announce their presence prior to entering the shower and bathroom areas, this requirement is often not complied with or enforced. In another example, Tutwiler could have developed a policy regarding gender-responsive management of the prisoner population, including ensuring basic sanitation necessities. As discussed above, the scarcity of these necessities leads to sexual abuse. Finally, Tutwiler’s prisoner handbook fails to inform prisoners of their right to be free of sexual abuse, does not provide definitions of sexual abuse or sexual misconduct, or information about how to report sexual abuse or sexual misconduct. While we appreciate that Tutwiler provides an orientation for incoming prisoners, it is unclear why this or similar information is not included in the prisoner handbook.35 If prisoners are unaware of their rights and the methods by which they can report abuse, it is more likely for abuse to go undetected by facility leadership.
Successful incorporation of gender-responsive strategies into Tutwiler’s operations and practices also requires prison officials to review existing policies that may have a harmful effect on women offenders. The only staff policy directly addressing sexual abuse prevention is Standard Operating Procedure (“SOP”) 15-39, entitled “Prison Rape Elimination Act.” Presumably, Tutwiler intended SOP 15-39 to mirror the requirements of PREA.36 While attempting to draft policies incorporating PREA’s requirements is commendable, SOP 15-39 does not succeed in capturing even a portion of the PREA requirements.37 Instead, Tutwiler’s most recent revision to SOP 15-39, dated June 29, 2012, is an abridged version of the Department of Justice’s May 17, 2012 press release summarizing the goals of the standards, not detailing the standards themselves. Rather than incorporate language directly from the PREA regulations into its policy, Tutwiler officials merely pulled language from the DOJ press release, manipulating the text to their liking. For example, when transferring the list of requirements
35 Moreover, Tutwiler must ensure that non-English speaking prisoners receive the orientation in their native language to ensure understanding of sexual safety issues in prison and reporting incidents of sexual abuse or misconduct. During our tour we spoke with a prisoner whose native language was Spanish who reported that she did not receive orientation in Spanish. Although she could say a few words in English, it was clear that she was not proficient. See also infra Part VII.
36 On September 4, 2003, Congress passed the Prison Rape Elimination Act to establish a zero-tolerance standard for the incidence of rape in prisons across the United States and to increase the accountability of prison officials who fail to detect, prevent, reduce, and punish prison rape. Prison Rape Elimination Act of 2003, 42 U.S.C. § 15601 (2003). On May 16, 2012, the Attorney General issued a final rule establishing national standards for the detection, prevention, and punishment of prison rape. 42 U.S.C. § 15607. Any correctional accreditation organization seeking federal grants must conform to the national standards on sexual abuse proscribed by the final rule. 42 U.S.C. § 15608. While the Special Litigation Section of the Civil Rights Division does not have the authority to enforce PREA, the National Standards to Prevent, Detect, and Respond to Prison Rape, 28 C.F.R. § 115 (2012), serve as a strong remedial point of reference.
37 We recognize that ADOC sent staff to training regarding PREA, with a focus on gender-informed strategies, but any knowledge gained from this training is not evident at Tutwiler. This failure is likely due, in part, to the systemic deficiencies and inadequate correctional practices discussed throughout.

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outlined in the press release, Tutwiler officials deleted the term “among other things,” converting the summary list of examples to a finite list of requirements. To be clear, an institution need not have a policy that explicitly parrots all of PREA’s requirements word for word. However, Tutwiler’s policy fails to provide guidance and specificity and fails to set forth standards for staff, contractors, and volunteers.
In addition to having imprecise definitions, Tutwiler’s SOP 15-39 lacks specificity in terms of required actions of staff in providing support to victims of sexual abuse. For example, pursuant to policy, Tutwiler staff must “provide access to victim advocates from rape crisis centers for emotional support services related to sexual abuse.” There is no direction, however, on how this should be accomplished, whom employees should contact, or within what time frame the victim advocates should be contacted.
Moreover, Tutwiler’s SOP 15-39 provides no guidance on cross-gender viewing in showers and bathrooms. Tutwiler has given its officers unrestricted access to shower and bathroom areas without any guidance on the appropriateness of the intrusion. Although we were told that male officers are required to announce their presence prior to entering the shower and bathroom areas, this practice is not codified in any institutional policy. The only language we could find in the policies produced by Tutwiler related to cross-gender viewing in showers and bathroom only governed prisoners housed in Dorms D and H, the special housing dorms at the Facility. As discussed above, Tutwiler’s failure to amend its policy to address cross-gender viewing in shower and bathroom areas has caused significant harm to women prisoners who report being sexually harassed by officers while in these private areas.
Finally, SOP 15-39 is similarly silent on the management of lesbian, gay, bisexual, transgender, and intersex (“LGBTI”), and gender nonconforming prisoners. Without adequate education of and direction to staff, LGBTI and gender nonconforming prisoners at Tutwiler are at a disproportionately increased risk for sexual abuse, discrimination, and harassment. During the course of the investigation, we have become increasingly concerned about the treatment of LGBTI and gender nonconforming prisoners beyond policy issues. Staff indicated discomfort when using these terms, and internal documents reduce regulatory requirements regarding LGBTI and gender nonconforming prisoners to the shorthand “those with non-traditional sexual identities.” In addition to containing normative language, this shorthand exhibits a lack of education regarding gender identity, separate and apart from sexual orientation. Further, the one report we have regarding treatment of a gender nonconforming prisoner warns that the lack of policies and direction will cause grave harm to any gender nonconforming prisoner who enters Tutwiler. In 2009, an intersex prisoner was repeatedly humiliated and degraded by a multitude of Tutwiler staff who entered his cell in segregation merely to look at his genitals. Tutwiler refused to allow the prisoner to shower alone, which forced him to make informal arrangements with prison cleaning crews to shower at night. This intersex prisoner remains in ADOC’s system. We expressed our concern regarding his treatment to ADOC general counsel and were informed that the issue had been remedied and he is now allowed to shower in private.38
38 See also infra Part VII.

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Perhaps recognizing the insufficiency of their current policies, Tutwiler leadership noted that the Facility was waiting for the passage of amendments to Section 454 of the Alabama Administrative Code (Inmate Sexual Offenses and Custodial Sexual Misconduct) before updating its own policies. However, it is simply unacceptable to wait for these revisions before addressing any of the sexual safety issues at Tutwiler—as one Tutwiler official admitted. The minimal changes to SOP 15-39 made in 2012 are insufficient to remedy the widespread and pervasive sexual abuse and harassment at Tutwiler. Further, given Tutwiler’s extensive history of sexual abuse and harassment, ADOC officials must take a more proactive approach in ensuring sexual safety at Tutwiler, including advising on Tutwiler’s sexual abuse prevention policies.
We recognize the increasing attention ADOC officials are giving Tutwiler. We were pleased to learn that Commissioner Thomas has visited the Facility on several occasions, including a visit with the PREA Coordinator assigned to Tutwiler, and that Commissioner Thomas has encouraged the PREA Coordinators to conduct unannounced visits during the day and at off hours. However, given the severity of the problems at Tutwiler, ADOC officials should be more engaged in the review of the operational practices of Tutwiler, rather than leaving this critical work to the Facility.
Tutwiler’s failure to develop gender-responsive practices has facilitated and allowed years of continued sexual abuse and harassment. Attending NIC training is an important first step, but more is needed. Tutwiler must adopt the principles in terms of recruitment, management services, and the full range of behavior management to ensure women’s safety. Tutwiler’s failure to adopt these strategies illustrates a deliberate indifference to the needs of this prison population.
b. Tutwiler Fails To Adequately Manage and Analyze Existing Data To Identify Potential Sexual Misconduct and Problem Staff Behavior
Data management is critically important to identify and prevent sexual misconduct in an institutional setting. The importance of data collection, analysis, and management is not lost on ADOC, as it relies heavily on data for its monthly and annual statistical reports. Tutwiler collects data, but fails to manage, analyze, or effectively use the information.
ADOC and Tutwiler officials provided us with two separate databases that documented sexual abuse allegations at Tutwiler. We received a log of sexual misconduct incidents maintained by ADOC’s PREA Coordinator, and a general incident report log maintained by Tutwiler that tracked the level of disorder in the Facility, such as prisoner violence, contraband, and sexual abuse.
Tutwiler officials should be reviewing its general incident report logs for activity that suggests or implies sexual undertones. For example, there are a large number of disciplinary write-ups involving prisoners who are classified as being in an “unauthorized area.” Based on our review of the investigations conducted, the investigator never questioned how or why the prisoner was in an unauthorized area. The prevalence and types of contraband found is another infraction recorded in incident reports that should be examined for a potential connection to

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sexual activity. The prisoners who hosted the New Years Eve strip show with sex toys and lingerie could not have done so without contraband, either provided by or tacitly permitted by staff. Indeed, many prisoners reported that staff bring items such as food, cosmetics, and drugs to their “favorites.” Staff bringing in items that are identified as contraband is a potential indicator of the existence or risk of inappropriate sexual behavior. Thus, a closer examination of the incidents occurring within the Facility could shed light on some of the contributing factors to sexual abuse and harassment at Tutwiler.
Alarmingly, we found serious discrepancies between the information maintained by Tutwiler in its incident report log related to allegations of sexual misconduct, and the sexual abuse log maintained by ADOC’s PREA Coordinator. According to our review, there were at least sixteen reports of sexual abuse missing from Tutwiler’s incident report log. In addition, the general incident report log contained over 113 incidents labeled “pending.” When we inquired about, and were provided, the investigations labeled “pending,” we found thirty-eight reports alleging a range of sexually inappropriate behavior by staff and prisoners including allegations of rape, sexual touching, cross-gender viewing, and sexual harassment. Of those, twenty-five involved allegations of staff sexual misconduct.39 Many of the incidents had been “pending” for a substantial period of time, and there was no clear indication that further action was being taken that would cause the investigation to be taken out of a pending status.
In addition, the practice of labeling incidents as “pending” without providing any underlying information as to the allegation is particularly troubling because it may lead to underreporting of sexual misconduct statistics. For example, prison officials reviewing the incident report log would erroneously believe that there were no allegations of staff sexual misconduct in 2012. The discrepancies in the collection and management of this data make it difficult for prison officials to assess the prevalence and severity of sexual abuse and harassment at Tutwiler. We encountered this same difficulty when we requested investigations related to sexual abuse and harassment in March 2013. While on our tour, we obtained ADOC’s PREA log and the Tutwiler general log, which listed investigations related to sexual abuse and harassment that ADOC had not previously produced to us. While we understand supplementing discovery requests as information becomes known, the late production of over fifty responsive investigative reports, only in response to a follow-up inquiry from us, suggests mismanagement and a serious deficiency in Tutwiler’s data management system. Because of these deficiencies, the efficacy of the incident report log as a repository of incidents that occurred at Tutwiler is compromised.
Moreover, titles given to incidents are also important for tracking purposes and by mislabeling or not labeling the incidents, the offense data could be skewed. Multiple reports that discussed sexual misconduct in the text of the report were simply labeled “employee misconduct.” In one example, a complaint from a prisoner regarding an officer touching her lower back in a manner that caused her to become uncomfortable was entitled “possible false
39 It bears noting that it was only after we employed substantial effort to resolve these discrepancies that we were able to gather a comprehensive sample of investigations related to alleged staff sexual misconduct and reach the conclusions regarding investigations. Given our difficulties in reconciling conflicting data to identify relevant documents, the substantial time it took ADOC to locate and produce the supplemental documents, and the differing scope of NIC’s analysis, it is not surprising that the NIC offered a somewhat different review of Tutwiler’s investigations.

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inmate complaint” and dismissed with no follow-up. If Tutwiler were to do a quick search of the complaints entitled “possible employee sexual misconduct,” the results would far underrepresent the number of actual complaints.
Properly tracking and analyzing the information contained in the data Tutwiler collects could help identify and track staff behavior that might indicate staff sexual abuse and harassment. For example, an early warning system is a database management tool designated to identify potentially problematic behavior, allow early intervention to correct misconduct, and assist in identifying deficiencies in supervision, management, and policies. Such a system would allow prison officials to track allegations of sexual abuse and harassment and to intervene before boundaries are crossed and prisoners harmed. Had a system been in place, ADOC might have been able to intervene with officers and employees whose names are associated with multiple sexual misconduct or harassment allegations, PREA hotline calls, complaints, use of force allegations, or alleged criminal activity. One officer, for example, was named in at least four allegations of sexual misconduct in 2012. While the allegations may be unfounded, the fact that an employee is implicated in several allegations of inappropriate sexual conduct should warrant further review by Tutwiler officials. We also learned of a Sergeant who had a restraining order against him for domestic violence and battery. This same Sergeant was later caught receiving oral sex from a prisoner. An employee with this background should not be assigned to work in a woman’s facility.
The lack of a data management system has allowed Tutwiler officials to willfully blind themselves to the repeated and serious incidents of sexual abuse and harassment. Tutwiler officials must actively review and analyze their existing data for trends that suggest or identify patterns of sexual abuse and harassment.
c. Non-existent Grievance Procedures
The lack of a grievance system severely undermines prison officials’ ability to identify and prevent sexual abuse and harassment. Although ADOC has advised us that they are developing a grievance program, the failure to have one contributed directly to the harms discussed. We received 233 letters from prisoners raising a variety of concerns including sexual abuse by staff and prisoner-on-prisoner sexual conduct. These letters reported officers notorious for abusive or threatening behavior, officers who would view prisoners in the shower during count, and officers who had special relationships with prisoners. These letters also reported on other conditions at the Facility that were troubling, including allegations of discrimination based on national origin, gender identity, sexual orientation and of physical force.40 The sheer volume of letters received suggests that prisoners at Tutwiler have a lot to say, but not many avenues to be heard. For example, over half of the reports of sexual harassment we received were undocumented in ADOC’s files. If Tutwiler had even a small percentage of the information provided in the 233 letters, they would be much more equipped to identify and prevent abusive behavior.
40 During our review of documents produced by ADOC, we were alarmed by the frequency by which physical force was used at Tutwiler and are concerned that the levels of force used are the result of insufficient administrative safeguards, understaffed and overwhelmed officers, and poor investigations. See also infra Part VII.

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For example, the general incident report log identified four officers whose involvement in incidents at Tutwiler far exceeded those of their peers. Of the four outliers, Officer S was involved in thirty-eight incidents, Officer T in twenty-seven, and Officers U and D in nineteen each. Had a grievance system been in place, Tutwiler officials would have known the following about these outliers:
 All four officers are known by prisoners for their use of profane and degrading language when speaking with prisoners.
 Prisoners report that two of the four officers, Officers U and D, are physically abusive and sexually inappropriate. Prisoners report that Officers U and D enter the shower areas unannounced and watch the women as they shower during count. Prisoners reported that Officer D refers to the women in the drug and alcohol rehabilitation unit as “dope whores,” and discriminates against Caucasian prisoners. One prisoner alleged that she reported Officer U to investigators for violating the prison’s unofficial policy requiring that male officers announce their presence before entering an area where prisoners are likely to be in a state of undress, but did not know whether anything was done.
 Officer T has an alleged violent history at Tutwiler. Several women reported that he has physically assaulted them. One prisoner alleged that Officer T grabbed her by the throat and threw her in the dorm when she approached him about a telephone dispute. Another prisoner alleged that Officer T and another officer slammed a prisoner on a desk, spat in her face, and threw her to the ground. While she was on the ground, Officer T reportedly handcuffed the prisoner and jerked her up from the ground by her bra, causing it to tear. Yet another prisoner reported that Officer T watched as another officer slammed a prisoner against the shower wall, hitting her head against the shower grills, and cutting her lip.
The lack of a grievance system places prisoners in harm’s way; not only are prison officials limiting prisoners’ ability to report allegations, they are also ignoring a key source of critical information necessary to identify and discipline staff and prisoners engaging in sexual misconduct. Had there been a grievance system, Tutwiler officials could have known about many of these same issues and responded to them in a timely manner. See Section (B)(1)(c), supra.
d. Tutwiler is Dangerously Understaffed
Tutwiler fails to provide adequate supervision of its prisoners in violation of the Eighth Amendment. See Laube v. Haley, 234 F. Supp. 2d 1227, 1244-46 (M.D. Ala. 2002) (“the combination of substantial overcrowding and significantly inadequate supervision in open dorms” at Tutwiler violates the Eighth Amendment right to protection from violence); see also Krein v. Norris, 309 F.3d 487, 489-91 (8th Cir. 2002) (evidence that officials provided only one guard for three barracks housing 150 inmates, and did not change staffing even though one of the barracks was known to be extremely violent, supported an Eighth Amendment claim). Roughly ninety-nine officers manage a prison population of over 900 women spread across fifteen housing units. In addition to the housing units, officers are required to secure the Kitchen, the

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Medical Unit, the Educational Building, the Chapel, Laundry, Central Waiting, the external perimeters, and manage prisoner movement. According to our assessment of staffing patterns, Tutwiler assigns, on average, twenty-four officers to the day shift, with ten of those officers assigned to various posts throughout the Facility.41 This leaves only fourteen officers assigned to supervise and manage the prison population. In the evenings, the numbers are even lower: fifteen officers are assigned to Tutwiler, with five assigned throughout the Facility, leaving only ten officers to supervise over 900 women. While there are no national staff/prisoner ratio requirements, these figures are abysmal. According to the United States’ expert’s analysis of Tutwiler, it is impossible for ten officers to adequately maintain order and security in Tutwiler.
Staffing shortages have plagued ADOC’s management of Tutwiler for over a decade. In 2002, fifteen prisoners housed at Tutwiler, the Edwina Mitchell Work Release Center, and the Birmingham Work Release Center sued ADOC officials alleging unconstitutional conditions based on the operations of the facilities. Specifically, the plaintiffs alleged, and the court agreed, that the facilities were overcrowded and understaffed and, as a result, placed prisoners at serious risk of harm. Laube, 234 F. Supp. 2d at 1230. The district court conducted a staffing analysis of Tutwiler and found that at the time of the litigation, Tutwiler housed “1,017 inmates with a total security staff of 92” and relied heavily on overtime employees to supplement the rest. Id. at 1233. This led to a ratio of officer to prisoner population that was dangerously low, with one officer assigned to supervise 228 prisoners. Id. While the staffing figures at Tutwiler are not as bad as they were in 2002, they remain dangerously low. Low staff assignment, coupled with officers absconding from their post to engage in sexually inappropriate behavior, places prisoners at serious risk of harm, especially when housed in an open dorm. See id. at 1232-33 (finding the open dorm system “while acceptable, still raises significant safety issues” regarding officer visibility and disruptive behavior due to idleness).
Many of the prisoners are acutely aware of Tutwiler’s staffing needs and take advantage of the shortages, to the detriment of the prisoner population. Prisoner sexual activity is prevalent throughout Tutwiler, occurring at all hours of the day. According to the United States’ expert consultant’s review of incident reports, approximately 44% of prisoner-on-prisoner sexual contact occurs in the showers, 21% outside of the buildings, and 12% in the dorms. Sexual activity that occurs in the dorms is in plain view and takes place during the daytime hours— indicative of a facility stretched thin on staff and lacking supervision. According to Tutwiler’s Incident Report Log, in 2012, there were at least 30 reported incidents of prisoner-on-prisoner sexual contact and 74 incidents of prisoner-on-prisoner physical assaults. Given the discrepancies in the data produced by Tutwiler officials, we project this figure to be larger than reported. According to BJS’s report on sexual violence for 2011-2012, despite a slip in the rankings, Tutwiler remains one of the top four women’s facilities for sexual violence.
41 ADOC and Tutwiler officials have not conducted a staffing analysis to determine staffing needs and projections. Staffing deficiencies likely have broad consequences in permitting a range of unlawful and unconstitutional conduct. See also infra Part VII. In order to assess the severity of the staffing issues, our expert prepared a staffing plan based on the employee roster produced by ADOC. In order to assess the accuracy of the staffing plan prepared by our expert, we reviewed staffing patterns over a three-day period for March, April, and May excluding weekends and holidays. This examination revealed only slight deviations from the expert’s staffing plan. Oddly, according to the roster produced, there were no officers assigned to the Annex where approximately 248 prisoners reside. It is difficult to believe that Tutwiler would not assign officer(s) to supervise the Annex, but the roster did not reflect this.

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Data derived from the employee roster illustrates the severity of the staffing problem. For example, that one officer is assigned to supervise 153 prisoners in a single dorm, or 135 prisoners spread across two dorms, places prisoners at risk of serious harm. These numbers are dangerously low for a facility of this size. Even with the dorms visible from the corridor, blind spots still exist within the Facility, which prisoners can manipulate. To be effective, open dorm housing requires direct supervision. It is impossible to believe that prisoners can be protected from harm when one officer is assigned to supervise multiple dorms. Dorm F, for example, was the dorm where prisoners organized several sex parties in December 2011 without officer intervention. Had there been more supervision, Tutwiler might have been able to disband the sex parties before the culminating New Years Eve strip show. As noted, the staffing patterns in Dorm A, which houses the unclassified prisoner population, are particularly troubling and date as far back as 2002. See Laube, 234 F. Supp at 1234 (finding “understaffing poses a special danger in the intake dorm [at Tutwiler] . . . because it has both a unique physical structure and an unclassified inmate population”). Currently, the officer assigned to Dorm A is also required to supervise Dorm E. Thus, at numerous points throughout the day, these housing units are unattended. Given these staffing statistics, it is clear how prisoners are able to organize sex parties, strip shows, and engage in sexual activity in their housing units during the day.
Moreover, ADOC simply does not employ enough women officers at Tutwiler to meet its operational needs while protecting the rights of prisoners. The dearth of women officers at Tutwiler results in an inability to conduct specific rounds in all units, such as entering the bathroom and shower areas, and provides an opportunity for sexual abuse by staff and other prisoners. The opportunity for cross-gender viewing of nude or potentially nude women by male officers in the bathroom and shower areas increases where there are insufficient numbers of women officers assigned to supervise housing units. ADOC and Tutwiler officials are aware of the problem and recognize the need to hire additional women officers, but have taken little action to address this concern. Difficulty in recruitment may be related to a number of factors, including the physical standards set by the Alabama Peace Officer Standards and Training Commission (which have not been validated for a corrections environment),42 mandatory overtime, and Tutwiler’s current 12-hour shift requirement. The 12-hour shift requirement poses a considerable barrier in hiring those with children who are attempting to accommodate childcare needs; those challenges may fall particularly harshly on women. While ADOC and Tutwiler officials recognize a need for improved staffing, remediation is slow and not innovative. ADOC and Tutwiler officials appear to have resigned themselves to the limitations of recruiting and are “making do.” Given the severity of the staff sexual abuse and harassment allegations at Tutwiler, it is important for ADOC to take a more proactive approach in addressing the barriers to the recruitment and retention of women officers—including addressing the physical exam.43
42 The Alabama Peace Officer Standards and Training Commission originally developed Alabama’s physical standards to reflect law enforcement duties. While applied to correctional officers, it is our understanding that the test has not been validated for corrections. The test involves pushing, climbing, window entry, balance, weight drag, timed push-ups, timed sit-ups, and a 1.5 mile run. None of the components of the test are gender-normed.
43 To the extent that the State’s physical test disproportionately screen out female candidates, its use by the ADOC may violate Title VII’s prohibition on sex discrimination. 42 U.S.C. § 2000e-6.

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During two unannounced visits to the Facility on July 15, 2012 and August 7, 2012, ADOC’s Regional PREA coordinator, Sergeant Melissa Crawford, made the following observations about staffing at Tutwiler:
 Not enough women officers assigned to the Dorm A night shift and only two women officers were assigned to dorms;
 Male officers assigned to Dorm C are susceptible to increased allegations of abuse—sexual or physical—due to the dorm’s proximity to the Chapel (the Chapel is an unmonitored location where several sexual encounters have allegedly occurred). There were also two male officers assigned to the Mental Health Unit;
 A high number of male officers from other ADOC correctional facilities are working overtime at Tutwiler;
 The remodeled bathrooms require officers to enter the shower area for count; and
 No supervisors roved the halls or dorms. According to Sergeant Crawford, “officers complained about not getting breaks” and “never [being] checked on by a supervisor” when on post.
The lack of women officers assigned to Dorm A is extremely troubling because young or new prisoners in the intake dorm are particularly vulnerable to inappropriate sexual advances by staff. Similarly troublesome is assignment of male officers to the Mental Health Unit. This Unit is secluded from the main hallway and has several single cells. The layout of the Unit may foster sexual misconduct and subject extremely vulnerable prisoners to sexual abuse. As discussed above, investigators consider a prisoner’s mental health when investigating allegations of sexual abuse and have closed investigations solely based on that factor. Finally, the lack of supervisors roving the Facility during the night shift is concerning. Supervisors should be checking on their officers to make sure that the officers are at their assigned posts and are not engaging in sexually inappropriate behavior.
e. Tutwiler Fails to take Necessary Measures to Address an Architectural Structure that is Ill-Suited for Protecting Women Prisoners from Sexual Abuse and Harassment
The physical plant conditions at Tutwiler create increased risks that place women at risk of harm because Tutwiler does nothing to address them. According to the NIC’s report, “the current design layout and population levels of the facility are not conducive to managing a female population. The physical plant layout is not conducive to reinforcing privacy, safety and security protocols of an inmate population and more specifically, the female offender.”44 While a long-term solution may be to consider a new physical plant for housing women offenders in Alabama, as long Tutwiler is still used, ADOC can and must address these limitations through other means.
44 ONSITE ASSESSMENT RE: CROSS-GENDER SUPERVISION IN CORRECTIONAL FACILITIES, supra note 9, at 8.

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For example, Tutwiler has blind spots throughout the Facility, including in the laundry room and in the death row unit. We have reviewed several accounts of sexual activity occurring in these areas. Tutwiler is fully aware of these risks. In one incident in 2011, an officer admitted to kissing a prisoner on death row on two separate occasions. The prisoner reported that after the officer delivered her mail he kissed her, touched her, and placed her hand on his penis. Tutwiler investigated the matter, but did not find enough evidence to present the incident to a grand jury. According to the investigatory report, Tutwiler took no further administrative action. The officer has since resigned. Despite their knowledge of the challenges associated with death row housing, Tutwiler has not taken any action to minimize the risk.45 One potential action would be to add cameras and increased staffing to monitor these areas. Yet ADOC has not conducted a physical plant or vulnerability assessment of Tutwiler to determine which areas facilitate sexual violence and where Tutwiler should install cameras. Tutwiler only has three cameras in the entire Facility, which is simply not enough to capture the actions of prisoners and staff or to deter abusive behavior. Given the age of the Facility, it will require considerable resources not only to install the cameras, but also to establish a control center and hire more staff to monitor the cameras.
In another example, women prisoners at Tutwiler have complained about the lack of privacy to undress, shower, or use the bathroom. The design of the bathrooms allows for blind spots and makes it difficult for officers to observe activities without entering the bathroom. Moreover, the bathrooms that were redesigned to accommodate prisoners with disabilities now afford prisoners with even less privacy since they are open to officers and other prisoners. Tutwiler could have focused on sexual safety and developed improvements for privacy in toileting, showering, and undressing while maintaining security and accommodating prisoners with disabilities, rather than rely on unrestricted cross-gender viewing. Tutwiler officials are fully aware of the risk of abuse associated with unrestricted cross-gender viewing in showers and bathrooms, yet they continue to permit the practice as a means of curbing prisoner sexual activity. Although the majority of prisoner sexual activity occurs in the showers, the lack of supervision and the paucity of women officers assigned to Tutwiler means this level of intrusion, in addition to being a constitutional violation itself, is ripe for further abuse. Tutwiler officials have failed to identify alternatives to patrolling these areas without undermining prisoner privacy. For example, saloon doors would allow officers to see the prisoners’ feet and heads— enough to determine whether any misconduct is occurring in the showers.
f. Tutwiler’s Classification System is Unable to Protect Potential Victims From Abuse
Tutwiler’s classification and risk assessment process does not adequately identify potential predators and potential victims. Marsh v. Butler Cnty., Ala., 268 F.3d 1014 (11th Cir. 2001) (lack of classification and risk assessment system constitutes deliberate indifference where inmates were harmed by other inmates because housing assignments did not account for the risk violent prisoners posed); Jensen v. Clarke, 94 F.3d 1191 (8th Cir. 1996) (failure to account for size, age, or length of sentence of inmates entering facility in determining appropriate housing assignment may amount to deliberate indifference). Although ADOC’s Director of Treatment has updated a risk assessment tool to identify sexual predators and victims, at the time of our
45 Id.

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visit, ADOC had not conferred with any Tutwiler classification, security, mental health, or medical staff regarding the tool, and Tutwiler was not using it. Without the ability to identify sexual predators, Tutwiler cannot appropriately manage their behavior, thus exposing women to harm. Furthermore, Tutwiler has no systems in place that would enable re-classification of women who may be identified as sexual predators as a result of actions in the Facility. With the exception of the women housed in the specialized units, including segregation and death row, there is only one classification level: general population. Thus, Tutwiler disperses vulnerable populations amongst the various units, thereby subjecting them to risk of harm.
Perhaps most alarmingly, Tutwiler has no pre-classification screening. When women first arrive at Tutwiler, they are housed in Dorm A, where they undergo several medical and mental health screenings and a classification analysis. Prisoners spend anywhere from three to four weeks waiting for a housing assignment, with the delay in placement purportedly related to the receipt of medical results. Many of these prisoners arrive at Tutwiler from other facilities without critical documents, including medical and mental health files. Accordingly, Tutwiler is blindly housing prisoners in the same dormitory without an adequate assessment of risk, thus placing the prisoners at serious risk of harm.
V. Conclusion
Tutwiler violates the constitutional rights of its prisoners, resulting in harm and risk of harm, due to staff-on-prisoner and prisoner-on-prisoner sexual abuse and harassment. The Facility’s leadership has been well aware of the multitude of structural problems that allow this abuse and harassment to continue unabated. Tutwiler has not only failed to implement the recommendations provided by the NIC and the EJI, Tutwiler has also failed to proactively address the harm by conducting a PREA assessment to determine compliance and to identify remediation. Staff and prisoners continue to engage in overt and inappropriate sexual behavior at Tutwiler, most recently within days of our arrival. This behavior is indicative of the need for critical institutional reforms that will not only address the underlining causes of the harm, but also identify and implement sustainable reforms. To this end, ADOC must take on an active role in monitoring the changes made at Tutwiler. It is no longer enough to delegate the changes to the Tutwiler officials without expansive oversight.
ADOC and Tutwiler remain deliberately indifferent to the serious and significant need to protect women prisoners at Tutwiler from sexual assault, abuse, and harassment. Without putting reforms in place in a timely fashion and addressing understaffing and employee turnover, Tutwiler will continue to violate the constitutional rights of its prisoners due to the harm and substantial risk of harm from sexual abuse and harassment.
VI. Minimal Remedial Measures
In order to rectify the deficiencies identified in this findings letter, Tutwiler should implement, at a minimum, the following remedial measures:46
46 Implementation of these policies shall not be delayed by proposed amendments to the Alabama Administrative Code.

- 33 -

1. PREA Standards
a. ADOC and Tutwiler shall comply with all provisions of the National Standards to Prevent, Detect, and Respond to Prison Rape as promulgated by the United States Department of Justice in 28 C.F.R. §115.
2. Reporting and Retaliation
a. ADOC and Tutwiler shall provide multiple internal methods for prisoners to privately report sexual abuse and sexual harassment. The agency shall also provide at least one way for residents to report abuse or harassment to a public or private entity or office that is not part of the agency and that is able to receive and immediately forward resident reports of sexual abuse and sexual harassment to agency officials, allowing the resident to remain anonymous upon request.
b. ADOC and Tutwiler shall protect all prisoners who report sexual abuse or sexual harassment or cooperate with sexual abuse or sexual harassment investigations from retaliation by other prisoners or staff, and shall designate which staff members or departments are charged with monitoring retaliation.
c. ADOC and Tutwiler shall provide a method for staff to privately report sexual abuse and sexual harassment of prisoners.
3. Investigations
a. ADOC and Tutwiler shall ensure that an administrative and/or criminal investigation is completed for all allegations of sexual abuse and sexual harassment.
b. ADOC and Tutwiler shall prepare a written report of its investigative findings for each investigation.
c. ADOC and Tutwiler shall establish guidelines for timely and thorough investigations and develop a process for monitoring those timelines. Investigations shall not solely rely on polygraph examinations and Tutwiler shall not require a prisoner to submit to a polygraph examination as a condition for proceeding with an investigation.
d. ADOC shall ensure that all allegations of sexual abuse or sexual harassment are properly labeled and tracked.
4. Policies and Procedures
a. ADOC and Tutwiler shall have a written policy mandating zero tolerance toward all forms of sexual abuse and sexual harassment and outlining their approach to preventing, detecting, and responding to misconduct.

- 34 -

b. ADOC and Tutwiler shall develop and implement a detailed policy on prevention, detection, reporting, and investigation of sexual abuse, including prisoner-on-prisoner and staff-on-prisoner sexual abuse.
c. ADOC and Tutwiler shall develop a written, institution specific plan to coordinate actions taken in response to an incident of sexual abuse, among staff first responders, medical and mental health practitioners, investigators, and facility leadership, including timelines and lists of whom staff should contact in specific situations.
d. ADOC and Tutwiler shall implement policies and procedures that enable prisoners to shower, use the bathroom, and change clothing without nonmedical staff of the opposite gender viewing their breasts, buttocks, or genitalia. Policies and procedures shall require staff of the opposite gender to announce their presence when entering a prisoner-housing unit.
e. ADOC and Tutwiler shall implement policies and procedures regarding the management of LGBTI and gender nonconforming prisoners.
f. ADOC and Tutwiler shall ensure that all newly admitted prisoners receive information in their native language, through a prisoner handbook and, at the discretion of ADOC and Tutwiler, an orientation video, regarding the following: facility rules and regulations; definitions of sexual abuse and sexual harassment; how to report misconduct; how to report sexual abuse and sexual harassment; the process for accessing medical and mental health care; the disciplinary process; and how to access the grievance process once it is developed.
5. Use of Data
a. ADOC and Tutwiler shall collect, consolidate, analyze, track and otherwise use its data, including incident reports and grievances, to identify sexual abuse and sexual harassment and problematic staff behavior.
6. Grievances
a. ADOC and Tutwiler shall develop and implement an adequate grievance process.
b. ADOC and Tutwiler shall ensure that a prisoner who alleges sexual abuse or sexual harassment may submit a grievance without submitting it to a staff member who is the subject of the complaint, and the grievance is not referred to a staff member who is the subject of the complaint.
7. Staffing

- 35 -

a. ADOC and Tutwiler shall ensure that Tutwiler develop, implement, and document a staffing plan, based on gender-responsive principles, that provides for adequate levels of staffing, and, where applicable, real-time video monitoring, to protect prisoners against sexual abuse.
b. ADOC and Tutwiler shall develop a plan to recruit additional women correctional officers at Tutwiler.
c. Tutwiler shall establish a policy to ensure that any employee, contractor or volunteer who is suspected of sexual abuse or sexual harassment does not interact with prisoners until an investigation is concluded.
d. ADOC and Tutwiler shall provide appropriate orientation, basic, and in-service training to all employees who may have contact with prisoners. All modules must include gender-responsive strategies and strategies related to the management of LGBTI and gender nonconforming prisoners.
8. Architectural Structure
a. ADOC and Tutwiler shall address architectural features that contribute to a lack of privacy for prisoners while showering or using the bathroom and conduct an assessment to identify physical plant vulnerabilities, including blind-spots within the facility, that could contribute to sexual misconduct.
9. Classification
a. ADOC and Tutwiler shall implement a gender-normed classification system specific to women prisoners at Tutwiler.
b. ADOC and Tutwiler shall implement a risk assessment process that adequately identifies potential predators and victims.
VII. Notice of Expanded Investigation
As noted throughout this letter, information we have received compels us to expand our investigation. Therefore, this letter also serves to inform you that, pursuant to our authority under CRIPA, we are expanding our investigation to evaluate allegations regarding excessive use of force, constitutionally inadequate conditions of confinement, constitutionally inadequate medical and mental health care, and discriminatory treatment on the basis of national origin, sex, sexual orientation, gender identity, and gender nonconformity.
While we have gathered a substantial amount of information about policies and practices that affect prisoners at Tutwiler, and have commented on some of our concerns in this letter, we have not reached any conclusions about the subject matter of the expanded investigation. During the course of our expanded investigation, we will consider all relevant information, and, where

- 36 ­
appropriate, will offer recommendations on ways to improve prison conditions. Ifwe find no systemic constitutional violations, we will notify you that we are closing the investigation.
On the other hand, if we find violations, we will infonn you of the findings and attempt to work with ADOC to remedy any violations. In addition, we will identity any financial, technical, or other assistance the United States may be able to provide to assist ADOC in correcting the identified deficiencies. In our many years of enforcing CRIPA, the good faith cooperation we receive from state or local jurisdictions frequently enables us to resolve our claims without resOli to contested litigation.
We encourage ADOC to continue to cooperate with our investigation and can assure you that we will seek to minimize any potential disruption our investigation may have on Tutwiler's operations. We hope to work collaboratively with ADOC to efficiently and expeditiously collect the information we need. We commend Commissioner Thomas and his staff for the cooperation they have already shown us and their receptivity to our concerns. Now that we are expanding our investigation, we look forward to continuing to work with ADOC and Tutwiler in a collaborative maimer.
Please note that this Findings Letter is a public document. It will be posted on the Civil Rights Division's website.
We are obligated to advise you that, in the event that we are unable to reach a resolution regarding our concerns with regard to sexual abuse, the Attorney General may initiate a lawsuit pursuant to CRIPA to correct deficiencies of the kind identified in this letter anytime following the date that is 49 days after appropriate officials have been notified of them. 42 U.S.C. § 1997b(a)(1).
We would prefer, however, to resolve this matter by working cooperatively with you. The lawyers assigned to this investigation will be contacting ADOC to discuss this matter in further detail. If you have any questions regarding this letter, please call Jonathall M. Smith, Chief of the Civil Rights Division's Special Litigation Section, at (202) 514-5393.
Sincerely,

cc: Kim Thomas Commissioner Alabama Department of Corrections

Jocelyn Samuels Acting Assistant Attorney General

 </s> Case 2:15-cv-00368-MHT-TFM Document 26 Filed 03/28/17 Page 1 of 2

IN THE UNITED STATES DISTRICT COURT FOR THE MIDDLE DISTRICT OF ALABAMA

UNITED STATES OF AMERICA,
Plaintiff,
Vs.
STATE OF ALABAMA AND ALABAMA DEPARTMENT OF CORRECTIONS,
Defendants.

)

)

)

)

)

Civil No: 2:15-cv-368-MHT

)

)

)

)

)

)

NOTICE OF FILING TUTWILER PRISON FOR WOMEN “MONITOR’S THIRD COMPLIANCE REPORT” Defendants, by counsel, hereby give notice of the filing of the “Monitor’s Third
Compliance Report” in the above styled case. This Report is being filed pursuant to Section
VIII(C), subpart 4, at page 40, of the Settlement Agreement executed and filed May 28, 2015
[Dkt No. 2], and approved by Order of this Court dated June 18, 2015 [Dkt No. 12].
A true and correct copy of the Report is attached and submitted herewith.
Respectfully submitted,

s/s Anne A. Hill ANNE ADAMS HILL General Counsel Alabama Department of Corrections 301 South Ripley Street Montgomery, Alabama 36104 Telephone: (334) 353-3884 Email: Anne.Hill@doc.alabama.gov

Case 2:15-cv-00368-MHT-TFM Document 26 Filed 03/28/17 Page 2 of 2
s/s Bart G. Harmon BART G. HARMON (HAR127) Assistant Attorney General Alabama Department of Corrections 301 South Ripley Street Montgomery, Alabama 36104 Telephone: (334) 353-3881 Email: Bart.Harmon@doc.alabama.gov
CERTIFICATE OF SERVICE
I hereby certify that on March 28, 2017, I electronically filed the foregoing document
with the Clerk of the Court using CM/ECF, which will provide notice of such filing to all
registered parties.
s/s Anne A. Hill ANNE ADAMS HILL General Counsel Alabama Department of Corrections 301 South Ripley Street P.O. Box 301501 Montgomery, Alabama 36130-1501 Telephone: (334) 353-3884 Email: Anne.Hill@doc.alabama.gov

Case 2:15-cv-00368-MHT-TFM Document 26-1 Filed 03/28/17 Page 1 of 198

Page 1 of 198

GENERAL POLICIES AND PROCEDURES

III.A. ADOC and Tutwiler shall DEVELOP and IMPLEMENT gender-responsive policies, procedures and practices to ensure that inmates at Tutwiler are protected

from harm due to sexual abuse and harassment.

Policy Develop

Implement

Policy

Policy

1. ADOC and Tutwiler shall comply with all provisions of PREA.

SOP May 28,

May 28, 2015

ADOC and Tutwiler shall continue to comply with the ADOC’s written policies and procedures

III.A.1 8-12 2015

AND

mandating zero tolerance toward all forms of sexual abuse and sexual harassment.

AR

February 28,

This agreement takes precedence over any ADOC and/or Tutwiler policy governing the operation of

454

Tutwiler that may conflict with this agreement.

2016

REQUIREMENTS

Policy Developed

Staff Trained Policy Implemented

Comply with PREA Comply with ADOC Policies This agreement takes precedence over any ADOC and/or Tutwiler policy governing the operation of Tutwiler that may conflict with this agreement
MONITOR’S MEASURES OF COMPLIANCE

Y N N/A Y N N/A Y N N/A Y N N/A Y N N/A Y N N/A
Y N N/A Y N N/A Y N N/A

1. ADOC 454 agency PREA policy and Tutwiler Standard Operating Procedure (SOP) 8-12, Inmate Sexual Abuse and Harassment. 2. Current PREA staff training curriculum. 3. Revised PREA staff training curriculum for annual refresher training. 4. PREA training rosters for required staff at Tutwiler. 5. Interviews with Tutwiler leadership: Warden Wright, Lt. Young, Captain McClain, Lt. Coleman, Ms. Greer, Dr. Holmes, Ms. Love, Ms. Westry. 6. ADOC interviews: Commissioner Dunn, Deputy Commissioner Williams, Deputy Commissioner Brand, Associate Commissioner Naglich, Dr. Tytell, Mr.
Mercado, Ms. T. Jackson, Ms. Vincent. 7. Inmate focus groups. 8. Individual inmate interviews. 9. Inmate correspondence received by the Monitor. 10. Review of grievances: June-December 2016.
III.A.1

Case 2:15-cv-00368-MHT-TFM Document 26-1 Filed 03/28/17 Page 2 of 198

Page 2 of 198

11. Staff interviews. 12. Tutwiler PREA Incident Review Committee monthly meeting notes. 13. PREA Audit Report: June 2016. 14. Review of ADOC’s Investigations and Intelligence (I &I) PREA investigations: June-December 2016. 15. The Monitor may request additional documents through the next reporting period.

STEPS TAKEN BY MONITOR TO ANALYZE CONDITIONS AND ASSESS COMPLIANCE, AND FACTUAL BASIS FOR MONITOR’S FINDINGS

(for each member of monitoring team)

Documents

Interviews

On-site/Observations / Other

Reviewed: • Tutwiler SOP 8-12 Inmate Sexual
Abuse and Harassment Policy • PREA training curriculum • PREA staff training rosters • PREA Incident Review Committee
reports: June-December 2016 • PREA investigations conducted by
ADOC's Investigations & Intelligence Unit ((I&I) • Randomly selected inmate grievances: June-December 2016 • Review of inmate correspondence received by Monitor: June-December 2016

• Deputy Commissioner Williams • Warden Wright • ADOC PREA Coordinator-Ms. Christy Vincent • ADOC Director of Investigations and Intelligence (I+I),
Arnaldo Mercado • ADOC Commissioner Jefferson Dunn • ADOC Associate Commissioner Ruth Naglich,
Health Services • Tutwiler Institutional PREA Compliance Manager,
(IPCM) Lt. Young • Tutwiler Grievance Coordinator, Lt. Coleman • Tutwiler Settlement Coordinator Captain McClain • Tutwiler Corizon Site Administrator Ms. Love • MHM Site Administrator Ms. Greer
• Tutwiler Psychological Associate Dr. Holmes

Compliance Visit: December 5-9, 2016

III.A.1

Case 2:15-cv-00368-MHT-TFM Document 26-1 Filed 03/28/17 Page 3 of 198

Page 3 of 198

UNRESOLVED/PARTIALLY RESOLVED ISSUES FROM PREVIOUS TOUR
None. The Monitor found ADOC and Tutwiler to be ‘Substantially Compliant” with this provision during the June 2016 Compliance Visit. The ADOC and Tutwiler have addressed all recommendations made by the Monitor during the June 2016 Compliance Visit.

MONITOR’S FINDINGS:
Substantial Compliance Partial Compliance Non-compliance n/a no assessment due until __________

DATE: December 31, 2016

MONITOR’S DISCUSSION: STEPS TAKEN BY ADOC AND TUTWILER TOWARDS IMPLEMENTATION

DATE: December 31, 2016

The Alabama Department of Corrections (ADOC) and Tutwiler Prison for Women (Tutwiler) continue to maintain written policies to comply with the provisions of PREA. The current policy in place at Tutwiler that contains PREA provisions is Standard Operating Procedure (SOP) 8-12, Inmate Sexual Abuse and Sexual Harassment.

An official PREA audit was conducted at Tutwiler on May 9-11, 2016, by Mr. William Boehnemann of PREA Auditors of America, LLC. The final audit report and certificate of successful completion was dated June 8, 2016. Mr. Boehnemann is a DOJ-certified PREA Auditor and his credentials may be verified on the PREA Resource Center list of Certified Auditors.

Annual refresher training on PREA began in November, 2016. The Tutwiler Training Team received refresher specialized facilitator training on PREA in September, 2016. The training team was trained by the agency’s PREA consultant (The Moss Group, Inc.).
III.A.1

Case 2:15-cv-00368-MHT-TFM Document 26-1 Filed 03/28/17 Page 4 of 198

Page 4 of 198

Fifteen (15) investigators received specialized training in October 2016 as required by PREA. This training was provided by The Moss Group, Inc. Tutwiler continues to conduct PREA education sessions for newly admitted inmates.

MONITOR’S DISCUSSION: EXTENT TO WHICH ADOC AND TUTWILER HAVE COMPLIED WITH THE AGREEMENT

DATE: December 31, 2016

Note: The Monitor uses the time frame June 25 - December 31, 2016 as the "reporting period" throughout this report. The Monitor received documents and updates from ADOC prior to, during and after the compliance visit of December 5-9, 2016.
The Monitor found ADOC and Tutwiler to be ‘Substantially Compliant” with this provision during the June 2016 Compliance Visit and again in December 2016. To date, ADOC and Tutwiler have sustained "Substantial Compliance" with ADOC's written policies and procedures mandating zero tolerance toward all forms of sexual abuse and sexual harassment. As previously mentioned, SOP 8-12 includes the PREA standards plus provisions from the Agreement.
The Monitor determined the rating of "Substantial Compliance" based upon the following observations:
• Tutwiler staff continues to be trained annually on PREA, and specifically SOP 8-12. The Monitor reviewed documentation of this training, including attendance rosters and post tests.
• Specialized training is being provided to investigators and medical staff as required by PREA. The Monitor reviewed attendance rosters. • Inmates continue to be provided PREA education in the inmate orientation program. The Monitor observed a session and reviewed the
curriculum. • The Monitor’s review of randomly selected investigations, grievances demonstrate ADOC's and Tutwiler's continued compliance with ADOC AR 454 and
SOP 8-12. • The Monitor's review of PREA Incident Review Committee reports and Risk Management System reports also reflected ADOC and Tutwiler's continued
compliance with this provision. • In both individually scheduled interviews and in spontaneous communications with the Monitor, staff consistently demonstrate knowledge of their
roles and responsible to maintain sexual safety. • In both formally convened inmate focus groups and in spontaneous communications with the Monitor, inmates expressed confidence in the Tutwiler
leadership's commitment to the inmates’ sexual safety and acknowledge the positive changes made to date at Tutwiler. • The Monitor reviewed the results of the inmate survey, which documents the inmates' overall positive perceptions of ADOC and Tutwiler's compliance.

III.A.1

Case 2:15-cv-00368-MHT-TFM Document 26-1 Filed 03/28/17 Page 5 of 198

Page 5 of 198

MONITOR’S RECOMMENDATIONS: (for at least the next 6 months) None.

DATE DUE: N/A

III.A.1

Case 2:15-cv-00368-MHT-TFM Document 26-1 Filed 03/28/17 Page 6 of 198

GENERAL POLICIES AND PROCEDURES III.A. ADOC and Tutwiler shall DEVELOP and IMPLEMENT gender-responsive policies, procedures and practices to ensure that inmates at Tutwiler are protected

from harm due to sexual abuse and harassment

Policy

Develop Implement

Policy Policy

2. Shall develop, submit to the Monitor and DOJ for review consistent with III.A.6, and Implement policies

and procedures regarding the management of lesbian, gay, bisexual, transgender, intersex, and gender

III.A.2 AR 454

February February

nonconforming inmates. The policy shall emphasize the rights of lesbian, gay, bisexual, transgender,

(III.H.5 SOP 8-12 28, 2016 28, 2016

intersex, gender nonconforming and gender dysphoric inmates to a safe, non-discriminatory and respectful III.H.4 SOP 8-29

environment.

see below)

Policy

Staff Trained Policy

REQUIREMENTS

Developed

Implemented

Policy emphasizes the rights of lesbian, gay, bisexual, transgender, intersex, gender nonconforming and gender dysphoric inmates to a safe, non-discriminatory and respectful environment

Y N N/A Y N N/A Y N N/A

Qualified mental health practitioner: -Has experience in recognizing and diagnosing co-existing mental health concerns and distinguishing
these from gender dysphoria; knowledge about gender non-conforming identities and expressions; and the assessment and treatment of gender dysphoria; and
-Is assigned inmates with gender non-conforming identities, including gender dysphoria

Y N N/A Y N N/A Y N N/A Y N N/A

Y N N/A Y N N/A

Inmates diagnosed with gender dysphoria should be offered appropriate non-surgical treatment as determined by a qualified health care practitioner

Y N N/A Y N N/A Y N N/A

Provide ADOC-issued clothing and hygiene items and facilities appropriate to the needs to transgender and gender dysphoric inmates
Transgender and intersex inmates are given the opportunity to shower separately from other inmates. (III.H.5)
Transgender or intersex inmates are not searched or physically examined for the sole purpose of determining the inmate’s genital status. If the inmate’s genital status is unknown, it may be determined during conversations with the inmate or by a qualified medical practitioner reviewing the medical records or, if necessary, by learning that information during the intake physical exam conducted in private by a medical practitioner. (III.H.4)

Y N N/A Y N N/A Y N N/A Y N N/A Y N N/A Y N N/A Y N N/A Y N N/A Y N N/A

III.A.2

Case 2:15-cv-00368-MHT-TFM Document 26-1 Filed 03/28/17 Page 7 of 198
MONITOR’S MEASURES OF COMPLIANCE
1. SOP 8-12 Inmate Sexual Abuse and Harassment and 8-29 LGBTI Inmate Population and 7-7 Searches. 2. 2016 training records for staff attendance at LGBTI training and PREA training. 2. Documentation on any transgender, intersex or gender dysphoric inmates who have been admitted during the reporting period and their management. 3. Review any relevant documents generated and maintained by Lt. Young. 4. Review of inmate grievances: June-December 2016. 5. Inmate correspondence received by Monitor: June-December 2016. 6. Interviews with Warden Wright, Lt. Young, Lt. Coleman, Associate Commissioner Naglich, and Dr. Tytell. 7. Inmate focus groups. 8. Individual inmate interviews.

STEPS TAKEN BY MONITOR TO ANALYZE CONDITIONS AND ASSESS COMPLIANCE, AND FACTUAL BASIS FOR MONITOR’S FINDINGS

Documents

(for each member of monitoring team) Interviews

On-site/Observations / Other

Reviewed: • Tutwiler SOP 8-12 Inmate Sexual Abuse and
Harassment • Tutwiler SOP 8-29 LGBTI Inmate Population • Tutwiler SOP 7-7 Searches • 2016 training records for staff LGBTI training • Review of random grievances monthly: June-
December 2016 • Review of inmate correspondence received
by Monitor

• Associate Commissioner Ruth Naglich • ADOC Chief Psychologist David Tytell • Warden Wright • Lt. Young • Lt. Coleman

• Compliance Visit December 5-9, 2016

III.A.2

Case 2:15-cv-00368-MHT-TFM Document 26-1 Filed 03/28/17 Page 8 of 198
UNRESOLVED/PARTIALLY RESOLVED ISSUES FROM PREVIOUS TOUR
None. The Monitor found ADOC and Tutwiler to be ‘Substantially Compliant” with this provision during the June 2016 Compliance Visit. ADOC and Tutwiler addressed all recommendations made by the Monitor during the June 2016 Compliance Visit.

NOTE: THIS SECTION INCLUDES III.A.2, III.H.4, and III.H.5. Please provide separate findings, discussion, and recommendations for all provisions.

DATE: December 31, 2016

MONITOR’S FINDINGS:

Substantial Compliance

Partial Compliance

Non-compliance

n/a no assessment due until __________

III.A.2

Case 2:15-cv-00368-MHT-TFM Document 26-1 Filed 03/28/17 Page 9 of 198

MONITOR’S DISCUSSION: STEPS TAKEN BY ADOC AND TUTWILER TOWARDS IMPLEMENTATION

DATE:

December 31, 2016

The current policy in place at Tutwiler that contains provisions / rights of LGBTI inmates is SOP 8-29, LGBTI Inmate Population. All provisions outlined in

this section are part of this policy, and continue to guide practice at Tutwiler.

ADOC licensed Chief Psychologist, Dr. David Tytell, and Tutwiler Psychological Associate, Dr. Scott Holmes continue to chair the ADOC Gender Identity Disorder and Treatment Team as outlined in AR 637 Gender Identity Disorder (currently under revision) in addition to MHM's Statewide Medical Director. Upon the recommendation of the Monitor, Warden Wright was added to this team in September, 2016.

MONITOR’S DISCUSSION: EXTENT TO WHICH ADOC AND TUTWILER HAVE COMPLIED WITH THE AGREEMENT

DATE:

December 31, 2016

The Monitor found ADOC and Tutwiler to be ‘Substantially Compliant” with this provision during the June 2016 Compliance Visit. As of December 31, 2016,

ADOC and Tutwiler continue to be in “Substantial Compliance” with this provision.

The Monitor determined the rating of "Substantial Compliance" based upon the following observations:
• Tutwiler SOP 8-29, LGBTI Inmate Population, emphasizes the rights of lesbian, gay, bisexual, transgender, intersex, gender nonconforming and gender dysphoric inmates to a safe, non-discriminatory and respectful environment.
• ADOC and Tutwiler have qualified mental health practitioners with experience in recognizing and diagnosing co-existing mental health concerns and distinguishing these from gender dysphoria; these practitioners have knowledge about gender non-conforming identities and expressions; and the assessment and treatment of gender dysphoria; and are assigned inmates with gender non-conforming identities, including gender dysphoria.
• ADOC and Tutwiler policy indicates that inmates diagnosed with gender dysphoria shall be offered appropriate non-surgical treatment as determined by a qualified health care practitioner.
• Tutwiler policy contains provisions to issue clothing and hygiene items and facilities appropriate to the needs of transgender and gender dysphoric inmates, to include the opportunity to shower separately from other inmates.
• Tutwiler policy includes provisions that transgender or intersex inmates are not searched or physically examined for the sole purpose of determining the inmate’s genital status. If the inmate’s genital status is unknown, it may be determined during conversations with the inmate or by a qualified medical practitioner reviewing the medical records or, if necessary, by learning that information during the intake process.
• Monthly review of inmate grievances did not reveal any that concerned the hygiene item issue. • Inmate correspondence received by the Monitor did not have any complaints about hygiene items. Inmate focus group and individual inmate
interviews did not surface any complaints about hygiene or laundry. • While on tour, the Monitor observed the abundance of hygiene items available in inmate bathrooms.

III.A.2

Case 2:15-cv-00368-MHT-TFM Document 26-1 Filed 03/28/17 Page 10 of 198
MONITOR’S RECOMMENDATIONS: (for at least the next 6 months)
1. Corizon and MHM, Tutwiler’s contracted health care providers, to ensure their policies reflect terminology used in the current Diagnostic Statistical Manual regarding gender dysphoria.
2. The Monitor received correspondence from inmate #802 during this reporting period. During the December 2016 Compliance Visit, the Monitor discussed inmate #802 concerns regarding a delay experienced in receiving male hygiene and boxer briefs previously approved for the inmate's retention. The Monitor confirmed that these items were not part of the routine facility inventory and required a special order. That order had been placed and the inmate had received the items. Recommend monitoring on-hand inventory supplies needed for inmate #802 to ensure an adequate supply.

DATE DUE: May 1, 2017 Ongoing

III.A.2

Case 2:15-cv-00368-MHT-TFM Document 26-1 Filed 03/28/17 Page 11 of 198

GENERAL POLICIES AND PROCEDURES III.A. ADOC and Tutwiler shall DEVELOP and IMPLEMENT gender-responsive policies, procedures and practices to ensure that inmates at Tutwiler are protected

from harm due to sexual abuse and harassment

Policy

Develop Implement

Policy Policy

3. Continue to comply with ensuring women receive essential supplies, including hygiene and feminine

hygiene products, tampons and pads; linens; and uniforms by making them available on a monthly

III.A.3

SOP 8-27

May 28, May 28,

basis or more frequently as needed. The policy will continue to require the tracking and distribution of these products. ADOC and Tutwiler will continue to ensure that both tampons and sanitary pads are

SOP 5.00 for 2015 all housing

2015

readily available, free of charge, to Tutwiler inmates.

units

Policy

Staff Trained

Policy

REQUIREMENTS

Developed

Implemented

Supplies: hygiene; tampons and pads; linens; uniforms.

Y N N/A Y N N/A

Y N n/a

Availability: Readily; monthly; more frequently as needed.

Y N N/A Y N N/A

Y N n/a

Track distribution of these products. Both tampons and sanitary pads are readily available, free of charge, to Tutwiler inmates.

Y N N/A Y N N/A

Y N N/A Y N N/A

Y N n/a Y N n/a

MONITOR’S MEASURES OF COMPLIANCE
1. SOP 8-27 Hygiene Item Issuance and SOP 5-00 Dormitory Security for all housing areas. 2. Interviews with Lt. Young, Lt. Coleman, Warden Wright, staff who manage the hygiene supply program. 3. Review documentation for ordering. 4. Inmate focus groups. 5. Individual inmate interviews. 6. Inmate correspondence received by Monitor. 7. Review of inmate grievances: June-December 2016. 8. Observations during tour of facility.

III.A.3

Case 2:15-cv-00368-MHT-TFM Document 26-1 Filed 03/28/17 Page 12 of 198

STEPS TAKEN BY MONITOR TO ANALYZE CONDITIONS AND ASSESS COMPLIANCE, AND FACTUAL BASIS FOR MONITOR’S FINDINGS

Documents

(for each member of monitoring team) Interviews

On-site/Observations / Other

• SOP 8-12, Inmate Sexual Abuse and
Harassment • SOP 8-27 Hygiene Item Issuance • Review of monthly grievances, June-
December 2016

• Warden Wright • Lt. Young • Lt. Coleman • Inmate focus groups • Individual inmate interviews • Review of grievances: June-December 2016 • Inmate correspondence received by the Monitor

• Compliance Visit December 5-9, 2016 • Tour of dorm bathrooms

None.

UNRESOLVED/PARTIALLY RESOLVED ISSUES FROM PREVIOUS TOUR

The Monitor found ADOC and Tutwiler to be ‘Substantially Compliant” with this provision during the June 2016 Compliance Visit.

The Monitor made no recommendations regarding this provision during the June 2016 Compliance Visit.

III.A.3

Case 2:15-cv-00368-MHT-TFM Document 26-1 Filed 03/28/17 Page 13 of 198
MONITOR’S FINDINGS:
Substantial Compliance Partial Compliance Non-compliance n/a no assessment due until __________

DATE: December 31, 2016

MONITOR’S DISCUSSION: STEPS TAKEN BY ADOC AND TUTWILER TOWARDS IMPLEMENTATION
The current policy at Tutwiler that contains provisions on hygiene supplies is SOP 8-27, Hygiene Item Issuance. A Housekeeping Officer has been assigned to track the distribution of these products.

DATE: December 31, 2016

MONITOR’S DISCUSSION: EXTENT TO WHICH ADOC AND TUTWILER HAVE COMPLIED WITH THE AGREEMENT

DATE: December 31, 2016

Note: The Monitor uses the time frame June 25 - December 31, 2016 as the "reporting period" throughout this report. The Monitor received documents and updates from ADOC prior to, during and after the compliance visit of December 5-9, 2016.
The Monitor found ADOC and Tutwiler to be ‘Substantially Compliant” with this provision during the January and June 2016 Compliance Visits and December 2016. To date, ADOC and Tutwiler have sustained "Substantial Compliance".
If linens are worn they are replaced upon the inmate bringing it to staff attention or completing a laundry request. The items are also checked on a weekly basis during dormitory inspection. On December 14, 2016, all inmates at Tutwiler Annex received new sheets and pillow cases. Tutwiler Main Camp received new sheets and pillow cases on December 28, 2016.
A newly assigned kitchen worker wrote to the Monitor because she had not received new uniforms. Inmates assigned to the kitchen receive two additional uniforms in accordance with Administrative Regulation 338; however, the uniforms are not brand new. While not brand new, these additional uniforms are
III.A.3

Case 2:15-cv-00368-MHT-TFM Document 26-1 Filed 03/28/17 Page 14 of 198
clean and are stenciled with the inmate's laundry number. The Monitor observed the ready availability of feminine hygiene products in inmate bathrooms.

MONITOR’S RECOMMENDATIONS: (for at least the next 6 months)

DATE DUE:

1. During this reporting period, the Monitor received correspondence from inmates describing a shortfall in inventory supplies of bras and underpants. The Monitor also reviewed inmate grievances on the same issue. Lt. Coleman provided the Monitor a report explaining a temporary shortfall in inventory supplies as a result of the vendor having the items on backorder. There was a shortage of undergarments sizes 5-8. As a result, some inmates were issued underwear in larger than needed sizes. A shipment of panties was received on December 4, 2016. Recommend increasing purchase orders levels to ensure adequate supplies of bras and underpants in the most frequently called for sizes.

Ongoing

III.A.3

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GENERAL POLICIES AND PROCEDURES

III.A. ADOC and Tutwiler shall DEVELOP and IMPLEMENT gender-responsive policies, procedures and practices to ensure that inmates at Tutwiler are protected

from harm due to sexual abuse and harassment

Policy

Develop Implement

Policy Policy

4. Shall develop and implement policies and procedures that incorporate gender-responsive strategies,

SOP7-8

February February

including policies and procedures governing the use of force against women inmates and discipline of women III.A.4

28, 2016 28, 2016

inmates

Policy

Staff Trained

Policy

REQUIREMENTS

Developed

Implemented

Governing use of force against women inmates
Governing discipline of women inmates
ADOC submitted 63 draft policies for review and comment by the Monitor and DOJ. ADOC and Tutwiler completed a total of 65 new/revised SOP's. Attachment B to this report documents the names of these SOP's.

Y N N/A Y N N/A Y N N/A Y N N/A Y N N/A Y N N/A

Y N N/A Y N N/A Y N N/A

MONITOR’S MEASURES OF COMPLIANCE
1. SOP 8-12., Inmate Sexual Abuse and Harassment, SOP 7-8 Use of Force. 2. ADOC spreadsheet of 68 of the policies drafted (by Monitor’s count) that received a gender responsive review for appropriate inclusion of gender
responsive principles. These policies were reviewed subsequently by the Monitor and DOJ, who submitted comments/suggestions back to ADOC. Then ADOC and Tutwiler reviewed the comments and made changes/revisions they determined were appropriate. The final executive review occurred and the policies were published, staff trained and implemented into daily operations at Tutwiler. 3. Review of the disciplinary segregation logs for June- December 2016. 4. Discuss appropriate policies with the staff member primarily responsible for implementation. 5. Training documentation for implementation of the SOP's. 6. Inmate focus groups. 7. Individual inmate interviews. 8. Inmate correspondence received by the Monitor. 9. Review Use of Force incidents on the ADOC incident form: June-December 2016.

III.A.4

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STEPS TAKEN BY MONITOR TO ANALYZE CONDITIONS AND ASSESS COMPLIANCE, AND FACTUAL BASIS FOR MONITOR’S FINDINGS

Documents

(for each member of monitoring team) Interviews

On-site/Observations / Other

• SOP 8-12 Inmate Sexual Abuse and Harassment • SOP 7-8 Use of Force • SOP 8-23 Administrative Segregation • Draft SOP 8-30 Gender Responsive Discipline and
Sanctions • Draft SOP 8-24 Disciplinary Segregation • ADOC spreadsheet for new or revised policies and
SOP's for Tutwiler. There are 64 that have been
submitted in draft form to the Monitor and DOJ for
their comment and suggestions. • Documentation of staff
training/orientation for new policies • Tutwiler disciplinary hearing / sanction log: June-
December 2016 • Review of Use of Force reports: June-December
2016

• Deputy Commissioner Williams • Warden Wright • Captain McClain • Lt. Young • Staff interviews

Compliance Visit December 5 -9, 2016

UNRESOLVED/PARTIALLY RESOLVED ISSUES FROM PREVIOUS TOUR

The Monitor found ADOC and Tutwiler to be ‘Partially Compliant” with this provision during the June 2016 Compliance Visit.

•

The ADOC and Tutwiler have addressed all recommendations made by the Monitor during the June 2016 Compliance Visit.

SOP 8-30, Gender-Responsive Discipline and Sanctions and SOP 8-24 Disciplinary Segregation are currently under development.

III.A.4

Case 2:15-cv-00368-MHT-TFM Document 26-1 Filed 03/28/17 Page 17 of 198
MONITOR’S FINDINGS: Substantial Compliance Partial Compliance Non-compliance n/a no assessment due until __________

DATE: December 31, 2016

MONITOR’S DISCUSSION: STEPS TAKEN BY ADOC AND TUTWILER TOWARDS IMPLEMENTATION

DATE: December 31, 2016

The current policy at Tutwiler that contains provisions governing the use of force is SOP 7-8, Use of Force. This revised SOP 7-8 (modified to add genderresponsive and trauma-informed procedures) was reviewed by DOJ and the Monitor, and was published on May 3, 2016. The implementation of this revised policy immediately followed, and all Tutwiler staff were trained by May 20, 2016. In November, 2016, the Tutwiler Training Team provided additional training on gender-responsive and trauma-informed use of force.
Tutwiler SOP 8-30, Gender Responsive Discipline and Sanctions, has been drafted and is under final review at the agency level. The implementation and training on this policy will follow, once the policy is published. The training on this SOP will be conducted by the Tutwiler Training Team.
SOP 8-24, Disciplinary Segregation, is being finalized presently and will be sent to the DOJ and Monitor for review in early 2017. This is the last of the SOPs remaining to be finalized and published in accordance with this provision.
An updated schedule for the implementation of the classification plan was provided to the Monitor and DOJ on October 11, 2016 by ADOC.
ADOC and Tutwiler will conduct a staff polling survey in March 2017 to receive feedback on a number of operational issues, specifically work schedules, overtime, etc. This survey also solicited suggestions about the current practices of training staff on new policies.

III.A.4

Case 2:15-cv-00368-MHT-TFM Document 26-1 Filed 03/28/17 Page 18 of 198

MONITOR’S DISCUSSION: EXTENT TO WHICH ADOC AND TUTWILER HAVE COMPLIED WITH THE AGREEMENT

DATE: December 31, 2016

Note: The Monitor uses the time frame June 25 - December 31, 2016 as the "reporting period" throughout this report. The Monitor received documents and updates from ADOC prior to, during and after the compliance visit of December 5-9, 2016.
The ADOC and Tutwiler are in " Partial Compliance" with this provision. "Substantial compliance” is expected in early 2017 when the two remaining, required policies are published, and staff is trained, and the policies are implemented.
SOP 8-30, Gender-Responsive Discipline and Sanctions, is being finalized by ADOC. Once work is completed on this SOP, work on SOP 8-24 Disciplinary Segregation can also be finalized. All other 63 SOPs and Post Orders have been implemented, to include staff training.

MONITOR’S RECOMMENDATIONS: (for at least the next 6 months)

DATE DUE:

1. The Monitor will receive and review the curriculum developed to provide staff training on the SOP 8-30 Gender Responsive Discipline and Sanctions and SOP 8-24 Disciplinary Segregation.
2. The Monitor will receive documentation of the completed training on the SOP 8-30 Gender Responsive Discipline and Sanctions and SOP 8-24 Disciplinary Segregation.
3. Provide Monitor with the plan for the implementation of the new SOP 8-30 Gender Responsive Discipline and Sanctions. 4. Provide the Monitor with the results of the March 2017 staff polling survey activity.

As completed
As completed
As completed As completed

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GENERAL POLICIES AND PROCEDURES III.A. ADOC and Tutwiler shall DEVELOP and IMPLEMENT gender-responsive policies, procedures and practices to ensure that inmates at Tutwiler are protected

from harm due to sexual abuse and harassment

Policy

Develop Implement

Policy Policy

5. Shall continue to develop, submit to the Monitor and DOJ for review consistent with III.A.6, and

SOP 5.00 May 28, May 28,

implement facility-specific policies and operational practices specific to Tutwiler’s population regarding the III.A.5

SOP 8-12 2015

2015

supervision and monitoring necessary to prevent inmates from being exposed to unreasonable risk of

AND

AND

harm from sexual abuse and harassment.

February February

28, 2016 28, 2016

Policy

Staff Trained Policy

REQUIREMENTS

Developed

Implemented

Specific to Tutwiler’s population;

Y N N/A Y N N/A

Y N N/A

Post orders for first-line supervision of corrections staff for each housing unit in accordance with the operational practices developed;

Y N N/A Y N N/A

Y N N/A

Procedures regarding communication to and from corrections staff assigned to housing units;

Y N N/A Y N N/A

Y N N/A

The continued requirement of supervision by corrections staff assigned to all housing areas and dormitory settings including:
1. Direct supervision of Dorm A, if that unit continues to be used for intake 2. Administration of adequate rounds by corrections staff and security supervisors in all areas of prison,
including dormitories 3. Such rounds shall occur unannounced, at least every hour, inside each general population housing unit 4. Such rounds shall occur at least once every 30 minute period for special management inmates, or more
often if necessary.

Y N N/A
Y N N/A Y N N/A

Y N N/A
Y N N/A Y N N/A

Y N N/A Y N N/A

Y N N/A Y N N/A

Y N N/A
Y N N/A Y N N/A
Y N N/A Y N N/A

Video surveillance may be used to supplement, but must not be used to replace rounds by correctional officers;

Y N N/A Y N N/A

Y N N/A

The continued requirement that intermediate level or higher-level supervisors conduct and document unannounced Y rounds during both the day and night shifts to identify and deter staff sexual abuse and sexual harassment;
1. Other staff members should not be alerted that these rounds are occurring;

The continued requirement to document all security rounds on forms or logs that do not contain pre-printed

Y

rounding times

N N/A N N/A

Y N N/A Y N N/A

Y N N/A Y N N/A

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Case 2:15-cv-00368-MHT-TFM Document 26-1 Filed 03/28/17 Page 20 of 198
MONITOR’S MEASURES OF COMPLIANCE

1. Review of all SOP 5.00 policies for each housing area. The Monitor and DOJ have reviewed all of these. 2. SOP 8-12 Inmate Sexual Abuse and Harassment. 3. Review of shift logs in the dorms for randomly selected dates. Looking for the unannounced rounds by higher-level supervisors and the required
security rounds by the officer and supervisors; signatures, notations, times. Monitor may review some on tour. 4. Review of the notebook maintained by Lt. Young for the unannounced rounds by facility management. 5. Review of video camera system operation. 6. Staff interviews. 7. Inmate focus groups. 8. Individual inmate interviews. 9. Inmate correspondence received by the Monitor. 10. Review of inmate grievances: June-December 2016. 11. Review of PREA incidents investigated by ADOC Investigations & Intelligence Unit. 12. Review of shift duty rosters for each housing area for randomly selected dates. 13. Tour of facility. 14. Training documentation for staff on 5.00 policies. 15. Discuss and review Risk Management documentation and any reports generated by this process. Interviews with Warden Wright, Lt. Young, shift
commanders, Lt. Coleman.

STEPS TAKEN BY MONITOR TO ANALYZE CONDITIONS AND ASSESS COMPLIANCE, AND FACTUAL BASIS FOR MONITOR’S FINDINGS

(for each member of monitoring team)

Documents

Interviews

On-site/Observations / Other

• SOP 8-12 Inmate Sexual Abuse and Harassment • Tutwiler SOP's 5.00 for each individual housing unit
at Tutwiler • Shift logs for A and B rotation for each housing
area for randomly selected dates • Review of notebook for unannounced rounds,
maintained by Lt. Young • Review of video camera system
operation/monitors • Review of monthly grievances: June-December
2016 • Review of PREA investigations completed by ADOC
Investigations & Intelligence Unit.

• Warden Wright • Lt. Young • Captain McClain • Lt. Coleman • Staff interviews • Inmate focus groups • Individual inmate interviews • Inmate correspondence received by Monitor

• Compliance tour December 5-9, 2016
• Tour of camera room and monitors at
Tutwiler

III.A.5

Case 2:15-cv-00368-MHT-TFM Document 26-1 Filed 03/28/17 Page 21 of 198
• Review of randomly selected shift duty rosters for June-December 2016
• Review of annual camera assessment meeting minutes
• Documentation of the Tutwiler Risk Management system records

None.

UNRESOLVED/PARTIALLY RESOLVED ISSUES FROM PREVIOUS TOUR

The Monitor found ADOC and Tutwiler to be ‘Substantially Compliant” with this provision during the June 2016 Compliance Visit.

The ADOC and Tutwiler have addressed all recommendations made by the Monitor during the June 2016 Compliance Visit.

MONITOR’S FINDINGS: Substantial Compliance Partial Compliance Non-compliance n/a no assessment due until __________

DATE: December 31, 2016

MONITOR’S DISCUSSION: STEPS TAKEN BY ADOC AND TUTWILER TOWARDS IMPLEMENTATION

DATE: December 31, 2016

All Dormitory Post Orders were previously revised, reviewed by DOJ and the Monitor, and published. All provisions outlined in this section are noted in each post order. Staff has been trained in these Post Orders.

III.A.5

Case 2:15-cv-00368-MHT-TFM Document 26-1 Filed 03/28/17 Page 22 of 198

MONITOR’S DISCUSSION: EXTENT TO WHICH ADOC AND TUTWILER HAVE COMPLIED WITH THE AGREEMENT

DATE: December 31, 2016

Note: The Monitor uses the time frame June 25 - December 31, 2016 as the "reporting period" throughout this report. The Monitor received documents and updates from ADOC prior to, during and after the compliance visit of December 5-9, 2016.
The Monitor found ADOC and Tutwiler to be ‘Substantially Compliant” with this provision during the June 2016 Compliance Visit. To date, ADOC and Tutwiler have sustained substantial compliance.
The Monitor determined the rating of "Substantial Compliance" based upon the following observations:
• The Monitor reviewed the previously developed and implemented SOP 5-0 Dormitory Security. • The Monitor reviewed the required documentation of unannounced rounds in each unit's logs. • The Monitor reviewed the required documentation for unannounced rounds by upper management, maintained by Lt. Young, on the ADOC authorized
log form 454-G. Monitor reviewed documentation for June-December 2016. It was in order. • Monitor reviewed the operation of the camera room during the tour and the logs maintained in the camera room. The cameras are used to
appropriately supplement the supervision capabilities in the dorms and other locations in the facility and annex. • Dorm A post order contains the requirement for continual direct supervision. The Monitor visited Dorm A during the tour, talked with a number of
inmates and observed the officer and supervisors doing their jobs. • There are portions of SOP 5.0 that require data to be aggregated in the Risk Management System. This process began after SOP 11-1 Data Collection
and Quality Improvement was implemented.

MONITOR’S RECOMMENDATIONS: (for at least the next 6 months)
1. Review the feedback about ideas on enhanced supervision techniques in the dorms from the March 2017 staff survey.
2. Track grievances to follow any unusual patterns of complaints regarding staff adherence to the dorm post orders.

DATE DUE: May 15, 2017 Ongoing

III.A.5

Case 2:15-cv-00368-MHT-TFM Document 26-1 Filed 03/28/17 Page 23 of 198

CAMERA MANAGEMENT

III.B. The ADOC has implemented a state-of-the-art camera system at Tutwiler, and contracted with an expert who has conducted a review of the ADOC’s

Camera Plan, including a review of each camera’s placement. As a result of that review, cameras are strategically placed to maximize supervision while

protecting privacy. Policies directing the appropriate use of cameras and periodic staff training to ensure sustainability and effective operation of the camera

system will remain as standard operational practice.

Policy

Develop Implement

Policy Policy

1. Camera management policies and procedures will remain in effect at Tutwiler

III.B.1

SOP 5-24

May 28, May 28,

2015 2015

REQUIREMENTS

Policy Developed

Staff Trained

Policy Implemented

Camera management policies

Y N N/A Y N N/A

Y N N/A

Camera management procedures

Y N N/A Y N N/A

Y N N/A

MONITOR’S MEASURES OF COMPLIANCE
1. SOP 5-24 Camera Management. 2. Monthly maintenance records for camera system. 3. Camera room logs for visitors, requests for video. 4. Interviews with camera operators. 5. Review of ADOC Investigations & Intelligence Unit PREA investigations. 6. Observation of camera operations. 7. Staff interviews. 8. Interviews with Warden Wright, Lt. Young.

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STEPS TAKEN BY MONITOR TO ANALYZE CONDITIONS AND ASSESS COMPLIANCE, AND FACTUAL BASIS FOR MONITOR’S FINDINGS

(for each member of monitoring team)

Documents

Interviews

On-site/Observations / Other

• SOP 5-24 Camera Management • Monthly maintenance records for camera:
June-December 2016 • Camera room logs for requests to
view/receive camera footage • Camera room surveillance logs • Review PREA investigations: June-
December 2016 • Review Tutwiler PREA Incident Review
Committee reports

• Warden Wright • Lt. Young • ADOC Investigations & Intelligence
Unit investigator for Tutwiler, Ms.
Kelley Smith • Staff interviews • Inmate focus group • Individual Inmate interviews

• Compliance Visit December 5-9, 2016 • Tour of camera room operation during
Compliance Visit

None.

UNRESOLVED/PARTIALLY RESOLVED ISSUES FROM PREVIOUS TOUR

The Monitor found ADOC and Tutwiler to be ‘Substantially Compliant” with this provision during the June 2016 Compliance Visit. As of December 31, 2016, ADOC and Tutwiler continue to be in “Substantial Compliance” with this provision.

The Monitor made no recommendations regarding this provision during the June 2016 Compliance Visit.

MONITOR’S FINDINGS: Substantial Compliance Partial Compliance Non-compliance n/a no assessment due until __________

DATE: December 31, 2016

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MONITOR’S DISCUSSION: STEPS TAKEN BY ADOC AND TUTWILER TOWARDS IMPLEMENTATION

DATE: December 31, 2016

The current Tutwiler camera management policies and procedures remain in effect. Tutwiler SOP 5-24, Video Surveillance, was published on November 20, 2014, and remains in effect to date. Compliance with all provisions is on-going.

MONITOR’S DISCUSSION: EXTENT TO WHICH ADOC AND TUTWILER HAVE COMPLIED WITH THE AGREEMENT

DATE: December 31, 2016

The Monitor found ADOC and Tutwiler to be ‘Substantially Compliant” with this provision during the January and June 2016 Compliance Visits. As of December 31, 2016, ADOC and Tutwiler continue to be in “Substantial Compliance “with this provision.

The Monitor determined the rating of "Substantial Compliance" based upon the following observations:
• SOP 8-12 Inmate Sexual Abuse and Harassment. • SOP 8-24 Camera Management. • Monitor read the minutes from the annual review of the Camera System held on November 16, 2016. The Monitor reviewed the findings of this
review. The camera operation review recommended three follow-up action items. • The Monitor reviewed the daily logs maintained in the camera room for June-December 2016. These logs were maintained according to the SOP
directives. • These logs make a specific notation when a supervisor requests to review specific camera footage, and then any request to export the footage for use
in an investigation. • Monitor interviewed ADOC investigator Kelly Smith, assigned to Tutwiler, and asked her about her use of the camera during her PREA investigations.
She routinely uses this footage, if available. The PREA investigations reviewed by the Monitor showed an appropriate use of the cameras, where appropriate. • The Monitor visited the camera room during the December 2016 Compliance Visit and viewed the monitor operations and interviewed the officer present.

MONITOR’S RECOMMENDATIONS: (for at least the next 6 months)
None.

DATE DUE: N/A

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Case 2:15-cv-00368-MHT-TFM Document 26-1 Filed 03/28/17 Page 26 of 198

CAMERA MANAGEMENT

III.B. The ADOC has implemented a state-of-the-art camera system at Tutwiler, and contracted with an expert who has conducted a review of the ADOC’s

Camera Plan, including a review of each camera’s placement. As a result of that review, cameras are strategically placed to maximize supervision while

protecting privacy. Policies directing the appropriate use of cameras and periodic staff training to ensure sustainability and effective operation of the camera

system will remain as standard operational practice.

Policy

Develop Implement

Policy Policy

2. Camera management policies and procedures, including the locations where cameras have been placed,

will be reviewed at least annually to ensure they are serving their goal of maximum supervision.

III.B.2

SOP 5-24

May May 28,

28,

2016

2015

REQUIREMENTS

Policy Developed

Staff Trained

Policy Implemented

Ensure that cameras are serving their goal of maximum supervision.

Y N N/A Y N N/A Y N N/A

To the extent that any changes to the Camera Management policies and procedures, or to a camera location, need to be made they will be made within 30 days of the completion of the annual review.

Y N N/A Y N N/A Y N N/A

If a change cannot be made within 30 days, the reason for exceeding 30 days will be documented.

Y N N/A Y N N/A Y N N/A

MONITOR’S MEASURES OF COMPLIANCE
1. Report from Annual Camera Review Meeting: November 2016. 2. Review of Warden Wright’s Annual Camera Action Plan Update which lists action plan items resulting from the annual camera assessment and the
status of each. 3. Monitor’s observations of camera room operations.

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STEPS TAKEN BY MONITOR TO ANALYZE CONDITIONS AND ASSESS COMPLIANCE, AND FACTUAL BASIS FOR MONITOR’S FINDINGS

(for each member of monitoring team)

Documents

Interviews

On-site/Observations / Other

• SOP 5-24 Camera Management • November 2016 annual
review of the camera room monitors and facility cameras

• Warden Wright • Lt. Young • ADOC Investigations & Intelligence Unit
Investigator for Tutwiler, Ms. Kelley Smith

• Compliance Visit December 5-9, 2016 • Tour of camera room operation during
Compliance Visit

None.

UNRESOLVED/PARTIALLY RESOLVED ISSUES FROM PREVIOUS TOUR

The Monitor found ADOC and Tutwiler to be ‘Substantially Compliant’ with this provision during the June 2016 Compliance Visit.

ADOC and Tutwiler addressed the recommendation made by the Monitor during the June 2016 Compliance Visit.

MONITOR’S FINDINGS: Substantial Compliance Partial Compliance Non-compliance n/a no assessment due until __________

DATE: December 31, 2016

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Case 2:15-cv-00368-MHT-TFM Document 26-1 Filed 03/28/17 Page 28 of 198

MONITOR’S DISCUSSION: STEPS TAKEN BY ADOC AND TUTWILER TOWARDS IMPLEMENTATION
Meeting attendees were selected and included:
• Warden Wright • Chris Wilson, Tutwiler's Maintenance Supervisor • Lt. Young, Intuition PREA Compliance Manager • Lt. Coleman, Grievance Coordinator • Ms. Kelley Smith, Investigator • Ms. Christy Vincent, ADOC PREA Coordinator • David Courson, Network Engine, ADOC Information Systems • Harlin Day, ADOC Engineer • Mike Wetherill, ADOC Engineer • Johnny Rush, ADOC Engineer Project Director • Patrick Skipper, MTS-Vice-President

DATE: December 31, 2016

MONITOR’S DISCUSSION: EXTENT TO WHICH ADOC AND TUTWILER HAVE COMPLIED WITH THE AGREEMENT

DATE: December 31, 2016

Note: The Monitor uses the time frame June 25 - December 31, 2016 as the "reporting period" throughout this report. The Monitor received documents and updates from ADOC prior to, during and after the compliance visit of December 5-9, 2016.

The Monitor found ADOC and Tutwiler to be ‘Substantially Compliant” with this provision during the June 2016 Compliance Visits. As of December 31, 2016, ADOC and Tutwiler continue to be in “Substantial Compliance “with this provision.

The Monitor determined the rating of "Substantial Compliance" based upon the following observations:
• SOP 8-12 Inmate Sexual Abuse and Harassment. • SOP 8-24 Camera Management. • The Monitor reviewed the daily logs maintained in the camera room for June-December 2016. These logs were maintained according to the SOP directives. • These logs make a specific notation when a supervisor requests to review specific camera footage, and then any request to export the footage for use in
an investigation. • Monitor interviewed ADOC investigator Kelly Smith, assigned to Tutwiler, and asked her about her use of the camera during her PREA investigations. She
III.B.2

Case 2:15-cv-00368-MHT-TFM Document 26-1 Filed 03/28/17 Page 29 of 198
routinely uses this footage, if available. The PREA investigations reviewed by the Monitor showed an appropriate use of the cameras, where appropriate. • The Monitor visited the camera room during the December 2016 Compliance Visit and viewed the monitor operations and interviewed the officer
present. • The annual camera assessment was conducted in November 16, 2016 and a report was generated documenting three outstanding action items. The
Monitor reviewed the minutes from the annual review meeting as well as the findings. • The Monitor received a written update on the action items determined during the annual review and their current status.

MONITOR’S RECOMMENDATIONS: (for at least the next 6 months)
None.

DATE DUE: N/A

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Case 2:15-cv-00368-MHT-TFM Document 26-1 Filed 03/28/17 Page 30 of 198

STAFFING III.C In order to address low staffing levels and the need for more women officers, ADOC and Tutwiler shall ensure that correctional staffing and supervision is

sufficient to adequately supervise inmates and staff and allow for the safe operation of Tutwiler.

Policy

Develop Implement

Policy Policy

1. (i) ADOC and Tutwiler shall continue to develop, submit to the Monitor and DOJ to assess for compliance with this agreement and implement its plan to recruit women III.C.1

SOP 5-24

ADOC May

May 28, 2015

correctional officers at Tutwiler

28,2015 AND November

28, 2015

Policy

Staff Trained

Policy

REQUIREMENTS

Developed

Implemented

Continue to work with the Alabama Peace Officer Standards and Training

Y N N/A Y N N/A

Commission (APOSTC) in screening, selecting, or hiring applicants for the entry-level

corrections officer positions until such standards, or any other physical test

employed, are: 1. validated for a corrections environment; and 2. examined for the necessity of gender-norming certain components

Y N N/A Y N N/A Y N N/A Y N N/A

Y N N/A
Y N N/A Y N N/A

Continue to conduct physical fitness assessments on all correctional office trainees, to include the provision of training recommendations to meet APOSTC physical training requirements

Y N N/A Y N N/A

Y N N/A

Examine workplace practices such as mandatory overtime and shift length to assess whether any of those practices may negatively impact hiring and retaining women candidates

Y N N/A Y N N/A

Y N N/A

Continue the practice of allowing officers from other ADOC facilities to serve overtime or otherwise be temporarily assigned at Tutwiler only after those officers have been trained as required by this agreement

Y N N/A Y N N/A

Y N N/A

By November 28, 2015 and every six months thereafter, provide to the Monitor and

DOJ the numbers of men and women who have taken any required entry-level

Y N N/A Y N N/A

physical examination(s) and the results of any such tests broken down by gender for

each test administration

ADOC shall continue to employ an upper-level, Department-wide PREA Coordinator wIIIi.tCh.1sufficient time and authority to develop, implement, and oversee its efforts to

Y N N/A Y N N/A

Y N N/A Y N N/A

Case 2:15-cv-00368-MHT-TFM Document 26-1 Filed 03/28/17 Page 31 of 198

comply with the PREA standards at Tutwiler and all of its facilities

Designate a full-time (40 hours/week) PREA Compliance Manager who: 1. has no other duties within ADOC or Tutwiler and who is assigned to oversee PREA compliance at Tutwiler. 2. works closely with the PREA Compliance Managers at Montgomery Women’s Y N N/A Y N N/A Facility and Birmingham Work Release for consistency in women’s services 3. monitors any other facility that is built to house women inmates on PREArelated matters 4. has sufficient authority to coordinate Tutwiler’s efforts to comply with the PREA standards

ADOC and Tutwiler shall ensure that Tutwiler’s PREA Compliance Manager reports directly to the Warden or the Department-wide PREA Coordinator

Y N N/A Y N N/A

Develop, in policy, a job description for Tutwiler’s PREA Compliance Manager with expected responsibilities and submit the policy to the Monitor and DOJ for review

Y N N/ Y N N/A

Provide training to the Tutwiler PREA Compliance Manager necessary to fulfill his or her duties
Document the Tutwiler PREA Compliance Manager’s activities

Y N N/A Y N N/A Y N N/A
Y N N/A

Y N N/A
Y N N/A Y N N/A Y N N/A Y N N/A

MONITOR’S MEASURES OF COMPLIANCE

III.C.1

1. SOP 8-12 Inmate Sexual Abuse and Harassment, SOP 9-6 Staffing Plan, and SOP 9-5 Mandatory Overtime. 2. ADOC spreadsheet for the six-month physical assessment tests results, by gender, for June-December 2016. 3. Documents for any meetings or correspondence with APOSTC by Deputy Commissioner Brand or any other ADOC staff. 4. Review of pre-training physical fitness assessment logs with Correction Officer trainees for June-December 2016. 5. Review June-December 2016 staff monthly gender breakdown at Tutwiler for security staff. 6. Review June-December 2016 assignment of overtime staff, including a monthly summary of the names of staff and days worked. Rosters are
available on site to review the assignment of overtime staff. 7. PREA training records of staff working overtime. 8. Review of any data generated or collected by ADOC and Tutwiler regarding the pass/fail rates for male/female applicants and trainees. 9. Interviews with ADOC PREA Coordinator Vincent and Institutional PREA Compliance Manager Young at Tutwiler to discuss their duties per job
descriptions. 10. Documentation for any training Lt. Young received. 11. Interviews with Deputy Commissioner Brand, Commissioner Dunn, Deputy Commissioner Williams, and Personnel Director Lawley.

Case 2:15-cv-00368-MHT-TFM Document 26-1 Filed 03/28/17 Page 32 of 198

STEPS TAKEN BY MONITOR TO ANALYZE CONDITIONS AND ASSESS COMPLIANCE, AND FACTUAL BASIS FOR MONITOR’S FINDINGS

(for each member of monitoring team)

Documents

Interviews

On-site/Observations / Other

• SOP 8-12 Inmate Sexual Abuse and Harassment • SOP 9-6 Staffing Plan • SOP 9-5 Mandatory Overtime • ADOC physical fitness assessments for Correction
Officer Trainees • Documents for any APOSTC meetings with Deputy
Commissioner Brand • Documents listing authorized overtime staff
available and working • Documentation for training received by Lt. Young
in 2016 • Tutwiler staff rosters • ADOC reports for staff physical fitness exam
results, from the academy, broken down by
gender

• ADOC PREA Coordinator Vincent • Commissioner Dunn • Deputy Commissioner Brand • Deputy Commissioner Williams • William Lawley, ADOC Personnel Director • Warden Wright • Lt. Young

• Compliance Visit December 5-9, 2016

None.

UNRESOLVED/PARTIALLY RESOLVED ISSUES FROM PREVIOUS TOUR

The Monitor found ADOC and Tutwiler to be in "Partial Compliance" with this provision during the June 2016 Compliance Visit.

ADOC and Tutwiler addressed all recommendations made by the Monitor during the June 2016 Compliance Visit.

III.C.1

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MONITOR’S FINDINGS: Substantial Compliance Partial Compliance Non-compliance n/a no assessment due until __________

DATE: December 31, 2016

MONITOR’S DISCUSSION: STEPS TAKEN BY ADOC AND TUTWILER TOWARDS IMPLEMENTATION

DATE: December 31, 2016

ADOC continues to work with the APOSTC on the screening, selecting, or hiring of applicants for the entry-level correction officer positions. Documentation was forwarded to the DOJ and Monitor on October 17, 2016, to document an APOSTC approved modification to the Physical Agility Ability requirement at the Basic Training Academy. Deputy Commissioner Matt Brand (Training and Development) continues to assess the correctional officer training hiring processes, in addition to the physical fitness screening processes.

The ADOC continues to conduct physical fitness assessments on all correction officer trainees, to include the provision of training recommendations to meet APOSTC physical training requirements.

Tutwiler leadership continues to periodically examine workplace practices such as mandatory overtime and shift length to assess whether any of those practices may negatively impact hiring and retaining women candidates. This is completed in routine staff meetings, individual employee conferences conducted with the Warden, and exit interviews with departing staff. A staff survey will be administered in March 2017 and shift satisfaction will be a topic on the survey.

ADOC continues the practice of allowing officers from other ADOC facilities to work overtime or otherwise be temporarily assigned at Tutwiler only after those officers have been trained as required by the Agreement. This is documented in SOP 9-5, Overtime.

Since November 28, 2015, ADOC and Tutwiler have provided to the Monitor and DOJ the numbers of men and women who have taken any required entry-level physical examination(s) and the results of any such tests broken down by gender for each test administration. This information has been tracked since May 28, 2015.

III.C.1

Case 2:15-cv-00368-MHT-TFM Document 26-1 Filed 03/28/17 Page 34 of 198
ADOC continues to employ an upper-level, Department-wide PREA Coordinator (Ms. Christy Vincent) with sufficient time and authority to develop, implement, and oversee its efforts to comply with the PREA standards at Tutwiler and all ADOC facilities. This is documented in agency policy AR 454.
Tutwiler continues to designate a full-time (40 hours/week) PREA Compliance Manager, Lt. Yvette Young, who 1) has no other duties within ADOC or Tutwiler and who is assigned to oversee PREA compliance at Tutwiler, 2) works closely with the PREA Compliance Managers at Montgomery Women’s Facility and Birmingham Work Release for consistency in women’s services, 3) monitors any other facility that is built to house women inmates on PREArelated matters, and 4) has sufficient authority to coordinate Tutwiler’s efforts to comply with the PREA standards. These provisions are documented in SOP 9-16, Institutional PREA Compliance Manager.
Tutwiler continues to ensure that Tutwiler’s PREA Compliance Manager reports directly to the Warden, Deidra Wright. This provision is documented in SOP 9-16 Institutional PREA Compliance Manager as well.
Tutwiler developed, in policy, a job description with expected responsibilities for Tutwiler’s PREA Compliance Manager. This is documented in SOP 9-16.
Lt. Young will be attending annual Institutional PREA Compliance Manager (IPCM) training conducted by the Agency PREA Coordinator in January, 2017. The requirement for continued IPCM training is documented in SOP 9-16. The Monitor reviewed the curriculum Ms. Vincent will be using for this training session.
SOP 9-16 requires documentation of the Tutwiler PREA Compliance Manager’s activities. Lt. Young continues to maintain this documentation and the Monitor reviewed it during her interview with Ms. Young.

MONITOR’S DISCUSSION: EXTENT TO WHICH ADOC AND TUTWILER HAVE COMPLIED WITH THE AGREEMENT

DATE: December 31, 2016

Note: The Monitor uses the time frame June 25 - December 31, 2016 as the "reporting period" throughout this report. The Monitor received documents and updates from ADOC prior to, during and after the compliance visit of December 5-9, 2016.

The Monitor found ADOC and Tutwiler to be in “Partial Compliance” with this provision during the June 2016 Compliance Visit. As of December 31, 2016, ADOC and Tutwiler continue to be in "Partial Compliance “ with this provision.

The Monitor determined the rating of "Partial Compliance" based upon the following observations.
While much has been done, more work still remains, mostly due to the standards employed by APOSTC in screening, selecting, or hiring applicants for entry-level corrections officer positions. The standards employed have yet to be validated for a corrections environment. APOSTC's standards have not been examined for the necessity of gender-norming certain components. ADOC continues to work with the APOSTC in screening, selecting, or hiring applicants for the entry-level corrections officer positions. The physical fitness standards appear to be a bar to women being employed as officers. APOSTC is in the process of conducting a validation study of their standards. Until such time as the validation of these standards is addressed, the Monitor determines "partial compliance" with this provision. III.C.1

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The Monitor notes the requirement in this provision to "examine workplace practices such as mandatory overtime and shift length to assess whether any of these practices may negatively impact the hiring and retaining of female candidates. The Monitor was advised by the Warden that they continue to "review" the use of overtime and its impact on employment practices with women. The leadership also shared their challenges in providing the best security staffing patterns required at Tutwiler, acknowledging their vacancies. They began the mandatory overtime practices in an effort to provide "predictable staffing" for the safety and security of the inmates and staff.
The Monitor believes that the current impact of the mandatory overtime requires formal evaluative efforts by ADOC and Tutwiler. The Tutwiler leadership team needs to continue to routinely review and evaluate the overtime practices impacting female employees, and all staff during the next reporting period. The staff survey can be a helpful tool and should be expanded in scope, through assistance provided by HR and the consultants. The Monitor recommends that ADOC and Tutwiler work with their Human Resource professionals and their consultants, to develop tools, surveys and any other processes to more fully and formally evaluate the impacts of the current overtime policies on the hiring and retention of female employees.
It is noted that the draft staffing analysis, required in III. C.2 is under development and extensive comments were made in review by the Monitor and DOJ. This analysis addressed the operational issues related to the large number of vacancies, prompting Tutwiler to use overtime practices extensively.
As stated, much work has been done. ADOC continues to conduct physical fitness assessments of all correction office trainees, to include the provision of training. Tutwiler continues to examine workplace practices such as mandatory overtime and shift length to assess whether any of those practices may negatively impact hiring and retaining women candidates. A staff survey will be conducted in March 2017 and the Monitor looks forward to seeing the feedback from staff on these key staffing challenges, Based upon interviews with staff, i t is the Monitor's understanding that mandatory overtime and shift length have an effect on retention of staff, including women staff. Based upon staff interviews, the Monitor understands that 12-hour shifts are especially problematic to young mothers who may not be able to place their children in daycare for twelve hour periods.
Tutwiler continues the practice of allowing officers from other ADOC facilities to serve overtime or otherwise be temporarily assigned at Tutwiler only after those officers have been trained as required by this agreement.
ADOC continues to provide to the Monitor and DOJ the numbers of men and women who have taken any required entry-level physical examination(s) and the results of any such tests broken down by gender for each test administration.
ADOC continues to employ an upper-level, Department-wide PREA Coordinator with sufficient time and authority to develop, implement, and oversee its efforts to comply with the PREA standards at Tutwiler and all of its facilities.
Tutwiler continues to designate a full-time (40 hours/week) PREA Compliance Manager with all duties outlined in Section III.C.1.ADOC and Tutwiler continue to ensure that Tutwiler’s PREA Compliance Manager reports directly to the Warden. A job description for Tutwiler’s PREA Compliance Manager is outlined in SOP 916, IPCM. ADOC and Tutwiler continue to provide training to the Tutwiler PREA Compliance Manager necessary to fulfill his or her duties. Tutwiler continues to document the Tutwiler PREA Compliance Manager’s activities.
III.C.1

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MONITOR’S RECOMMENDATIONS: (for at least the next 6 months)

DATE DUE:

1. The Monitor will receive notification of any actions taken by APOSTC, regarding ADOC recommendations.
2. The Monitor will be informed of any specific actions taken by ADOC to enhance recruiting efforts, specifically, for Tutwiler.
3. ADOC will provide the Monitor with a report on feedback obtained from staff regarding recruitment, mandatory overtime and shift length obtained during the staff survey to be conducted March 2017.

As soon as completed
As soon as completed
As soon as completed

III.C.1

Case 2:15-cv-00368-MHT-TFM Document 26-1 Filed 03/28/17 Page 37 of 198

STAFFING III.C In order to address low staffing levels and the need for more women officers, ADOC and Tutwiler shall ensure that correctional staffing and supervision is sufficient to adequately supervise inmates and staff and allow for the safe operation of Tutwiler.
Policy
AR 454 SOP 8-12 SOP 9-6

REQUIREMENTS

Policy Developed

Staff Trained

Policy Implemented

III.C.2.i – III.C.2.x (Consent Decree p. 34-44 Doc # 11).

NA

NA

NA

ADOC and Tutwiler shall develop, document, and implement a staffing plan, based on genderresponsive principles and PREA requirements, that provides for adequate staffing levels and, where, applicable, video monitoring to protect inmates against sexual abuse and sexual harassment. This staffing plan shall be provided to the Monitor and DOJ and shall include the following:
1. Identification of all posts and positions at Tutwiler, including any gender-specific posts required for the safe operation of the facility;
2. Shift relief factor for Tutwiler; 3. Policies and procedures for reviewing and amending Tutwiler’s staffing plan.

In calculating adequate staffing levels, ADOC and Tutwiler shall, as part of a staffing analysis, consider: 1. Generally accepted detention and correctional practices; 2. ADOC and Tutwiler’s determination of which necessary duties will be handled by Tutwiler staff, ADOC staff, or outside agencies; 3. Any findings of inadequacy from any investigative agencies within ADOC 4. Any findings of inadequacy from internal or external oversight bodies 5. The Camera Management Plan and all components of the facility’s physical plan; 6. The composition of the inmate population 7. The number and placement of supervisory staff; 8. Institution programming and options for supervision of inmates; 9. A Tutwiler specific shift relief-factor; 10. Any applicable state or local laws, regulations, or standards; and 11. The prevalence of substantiated and unsubstantiated incidents of sexual abuse and sexual harassment.

Within nine months of the effective date, ADOC and Tutwiler shall submit this staffing plan and staffing III.C.2

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analysis to the Monitor and DOJ for review and comment, and shall maintain the underlying data utilized in conducting the staffing analysis and plan and provide this data to DOJ or the Monitor if requested.
Within one year of the Effective Date, ADOC and Tutwiler shall adopt the results of the staffing plan consistent with PREA standards.
ADOC and Tutwiler, in consultation with the Department-wide PREA Coordinator and Tutwiler's PREA Compliance Manager, shall assess, determine, and document via a Staffing Update and Staffing Report, whether adjustments are needed to the staffing plan, and –taking into account available resources– implement such adjustments.
The Staffing Update shall be provided to the Monitor and DOJ quarterly and shall include the following information:
1. A listing of staff hired at Tutwiler, by gender and positions filled; and 2. A listing of staff who ended their employment at Tutwiler, including gender,
position, and reason for separation.
The Staffing Report shall be provided to the Monitor and DOJ every six months in the first year after the Effective Date and yearly thereafter until termination of this Agreement. Each Staffing Report will include the following information: 1. An evaluation of existing staffing levels and need for adjustments; 2. A listing of each post and position needed; 3. The number of hours needed for each post and position; 4. A listing of staff, by gender, working overtime at Tutwiler and the amount of overtime worked by
each staff member; 5. A listing of supervisors by gender working overtime at Tutwiler; and 6. Tutwiler’s assessment of its ability to comply with the staffing plan.
To the extent such policy does not already exist, the ADOC and Tutwiler shall develop, submit to the Monitor and DOJ for review consistent with Section III.A.6., and implement a policy that includes: 1. That ADOC and Tutwiler not hire or promote, or enlist the services of anyone who may have contact with inmates, and shall not enlist the services of any contractor who may have contact with inmates at Tutwiler, who: (1) has engaged in sexual abuse or sexual harassment in a prison, jail, lockup, community confinement facility, juvenile facility, or other institution; (2) has been convicted of engaging or attempting to engage in sexual activity in the community facilitated by force, overt or implied threats of force, or coercion, or if the victim did not consent or was unable to consent or refuse; or, (3) has been civilly or administratively adjudicated to have engaged in the activity described in this section. To this end, ADOC and Tutwiler shall:
a. Follow ADOC policy that requires that all new employees be asked about
III.C.2

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previous misconduct, as defined above in Subsection 1. This can be in written application or documented as part of an interview. ADOC policy shall be amended to state the same in regards to promotions. b. Perform a criminal background records check; and c. Contact all prior institutional employers for information on substantiated allegations of sexual abuse and sexual harassment or any resignation during a pending investigation of an allegation of sexual abuse and sexual harassment. 3. ADOC and Tutwiler shall conduct criminal background records checks at least once every five years for current employees and respond to any relevant results of those checks as described in Section III.K below. 4. ADOC and Tutwiler shall conduct criminal background records checks at least once every five years for contractors who may have contact with inmates. For any current ADOC staff temporarily assigned to Tutwiler for regular or overtime duty, Tutwiler will create a system to manage and track any allegations of sexual harassment or sexual abuse made against them at the ADOC facility they are assigned to. Consistent with ADOC policy, employees have an affirmative duty to disclose any previous sexual abuse and sexual harassment, as described in Subsection 1. above. Material omissions of such information shall be grounds for termination. 5. ADOC and Tutwiler will conduct an initial criminal records check on all Tutwiler volunteers. Any volunteer with a background that includes engaging in sexual abuse may not be utilized as a volunteer. At least every five years, Tutwiler and ADOC will perform an additional criminal background check on all current volunteers.
When ADOC or any other governmental entity responsible for collective bargaining on ADOC’s behalf contracts for services with individuals, private agencies or other entities, including other government agencies, they shall include in any new contracts or contract renewals the entity’s obligation to adopt and comply with Tutwiler’s policies and procedures governing sexual abuse and sexual harassment.
ADOC and/or Tutwiler policies and procedures require that contractors and volunteers who have contact with inmates but are not directly supervised by ADOC or Tutwiler employees comply with Tutwiler’s sexual abuse and sexual harassment policies and procedures.
III.C.2

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MONITOR’S MEASURES OF COMPLIANCE 1. Review the draft staffing analysis completed by consultants and comments made by Monitor and DOJ. 2. Interviews with Deputy Commissioner Brand, Personnel Director Lawley and Deputy Commissioner Williams.

STEPS TAKEN BY MONITOR TO ANALYZE CONDITIONS AND ASSESS COMPLIANCE, AND FACTUAL BASIS FOR MONITOR’S FINDINGS

(for each member of monitoring team)

Documents

Interviews

On-site/Observations / Other

Reviewed: • Draft staffing plan completed by
consultants In June 2016 • Previously offered comments made by
Monitor and DOJ

• Commissioner Dunn • ADOC PREA Coordinator Vincent • Deputy Commissioner Brand • Deputy Commissioner Williams • Warden Wright • Lt. Young

• Compliance Visit December 5-9, 2016

UNRESOLVED/PARTIALLY RESOLVED ISSUES FROM PREVIOUS TOUR
The Monitor found ADOC and Tutwiler to be ‘Partially Compliant” with this provision during the June 2016 Compliance Visit.
ADOC and Tutwiler addressed all recommendations made by the Monitor during the June 2016 Compliance Visit. Initially, Monitor Lancaster was asked to review the schedule for the Phase II Staffing section due to its complexity, multiple requirements, and need for a tremendous amount of data from ADOC and Tutwiler. Monitor Lancaster provided recommendations in the first court report and noted concerns about the timeframes established in the settlement for the completion of the analysis and the implementation of the staffing plan. The Monitor strongly recommended revisions to the schedule.
The Monitor received a request on February 23, 2016 from ADOC for an extension for 30 days initially. Subsequently, both parties agreed that ADOC should request a 60-day extension to complete the staffing analysis and implementation plan. The Monitor granted a second extension, for 60 days, on March 29, 2016. ADOC submitted the draft staffing analysis on June 6, 2016. DOJ and Monitor Lancaster offered comments on this draft. ADOC sought clarification regarding some of the feedback. Upon assuming her role, Monitor Dennehy also provided extensive feedback and comment on the draft staffing plan. ADOC has requested another extension, which Monitor Dennehy fully supports and has approved. The due date for this provision is extended to June 1, 2017.

III.C.2

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MONITOR’S FINDINGS: Substantial Compliance Partial Compliance Non-compliance n/a no assessment due until __________

DATE: December 31, 2016

MONITOR’S DISCUSSION: STEPS TAKEN BY ADOC AND TUTWILER TOWARDS IMPLEMENTATION

DATE: December 31, 2016

ADOC had a staffing analysis conducted by nationally recognized consultants to research and develop a gender-responsive staffing plan for Tutwiler. The draft staffing plan is informed by gender-responsive principles identified by the National Institute of Corrections (NIC), Prison Rape Elimination Act (PREA) requirements, U.S. Department of Justice (DOJ) settlement agreement requirements, and emerging correctional practice that serve as the foundation for staffing plan development. ADOC asked for and received clarification from DOJ about comments previously provided. Monitor Dennehy also provided extensive feedback on the draft. The Monitor expects that ADOC and their consultants will review all these comments and that ADOC will provide a response to both the Monitor and DOJ.

Section III.C.2.vi, requires Tutwiler to provide a staffing update to the Monitor and DOJ quarterly. This report was forwarded to the DOJ and Monitor on October 24, 2016, for May 27 – August 23, 2016.

Section III.C.2.vii, requires Tutwiler to provide to the Monitor and DOJ, every six months in the first year after the effective date, and yearly thereafter, a staffing report. This report is contingent upon the completion of the staffing analysis.

Section III.C.2.viii, requires ADOC and Tutwiler to develop a policy to implement the provisions outlined in this section of the Agreement. AR 454 and SOP 8-12 outline these provisions in policy.

III.C.2

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MONITOR’S DISCUSSION: EXTENT TO WHICH ADOC AND TUTWILER HAVE COMPLIED WITH THE AGREEMENT

DATE:

December 31, 2016

Note: The Monitor uses the time frame June 25 - December 31, 2016 as the "reporting period" throughout this report. The Monitor received documents and updates from ADOC prior to, during and after the compliance visit of December 5-9.

The Monitor found ADOC and Tutwiler to be ‘Partially Compliant” with this provision during the June 2016 Compliance Visit. As of December 31, 2016, ADOC and Tutwiler continue to be in “Partial Compliance” with this provision.

The Monitor determined the rating of "Partial Compliance" based upon the following.
ADOC and Tutwiler had a Staffing Analysis conducted at Tutwiler by nationally recognized experts to research and develop a gender-responsive staffing plan for Tutwiler. The staffing plan is informed by gender-responsive principles identified by the National Institute of Corrections (NIC), Prison Rape Elimination Act (PREA) requirements, U.S. Department of Justice (DOJ) settlement agreement requirements, and emerging correctional practice that serve as the foundation for staffing plan development.

That report was forwarded to the DOJ and Monitor for review on May 28, 2016. Comments were received from the Monitor on May 29, 2016. DOJ provided comments on July 15, 2016. Upon review of the detailed comments provided by DOJ, ADOC asked DOJ (on August 14, 2016) for clarification. Both DOJ and Monitor provided extensive feedback on this draft. The final version is in process.
Section III.C.2.vi, requires Tutwiler to provide a staffing update to the Monitor and DOJ quarterly. This report was forwarded to the DOJ and Monitor on October 24, 2016, for May 27 – August 23, 2016. The Staffing Update is provided to the Monitor and DOJ quarterly, and includes the following information: (a) a listing of staff hired at Tutwiler, by gender and positions filled; and, (b) a listing of staff who ended their employment at Tutwiler, including gender, position, and reason for separation.
Section III.C.2.vii, requires Tutwiler to provide to the Monitor and DOJ, every six months in the first year after the effective date, and yearly thereafter, a staffing report. This report is contingent upon the completion of the staffing analysis. The first staffing report was issued November 28, 2016.
Section III.C.2.viii, requires ADOC and Tutwiler to develop a policy to implement the provisions outlined in this section of the Agreement. AR454 and SOP 812 outline these provisions in policy.
ADOC and Tutwiler have implemented policy (AR 454, SOP 8-12) that includes: (a) that ADOC and Tutwiler not hire or promote, or enlist the services of anyone who may have contact with inmates, and shall not enlist the services of any contractor who may have contact with inmates at Tutwiler, who: (1) has engaged in sexual abuse or sexual harassment in a prison, jail, lockup, community confinement facility, juvenile facility, or other institution; (2) has been convicted of engaging or attempting to engage in sexual activity in the community facilitated by force, overt or implied threats of force, or coercion, or if the victim did not consent or was unable to consent or refuse; or, (3) has been civilly or administratively adjudicated to III.C.2

Case 2:15-cv-00368-MHT-TFM Document 26-1 Filed 03/28/17 Page 43 of 198
have engaged in the activity described in this section.
Effective May 20, 2016, ADOC began asking all new employees about previous misconduct. This is documented as part of an interview. ADOC policy has been amended to state the same in regards to promotions.
ADOC and Tutwiler continue to perform a criminal background records check on all new employees and those being considered for promotion.
ADOC and Tutwiler continue to contact all prior institutional employers for information on substantiated allegations of sexual abuse and sexual harassment or any resignation during a pending investigation of an allegation of sexual abuse and sexual harassment. ADOC and Tutwiler continue to conduct criminal background records checks at least once every five years for current employees and respond to any relevant results of those checks as described in Section III.K below. ADOC and Tutwiler continue to conduct criminal background records checks at least once every five years for contractors who may have contact with inmates. For all current ADOC staff temporarily assigned to Tutwiler for regular or overtime duty, Tutwiler has created a system to manage and track any allegations of sexual harassment or sexual abuse made against them at the ADOC facility they are assigned to.
Consistent with ADOC policy, employees have an affirmative duty to disclose any previous sexual abuse and sexual harassment, as described in Subsection 1 above. Material omissions of such information shall be grounds for termination.
ADOC and Tutwiler continue to conduct an initial criminal records check on all Tutwiler volunteers. Any volunteer with a background that includes engaging in sexual abuse may not be utilized as a volunteer. At least every five years, Tutwiler and ADOC will perform an additional criminal background check on all current volunteers.
When ADOC or any other governmental entity responsible for collective bargaining on ADOC’s behalf contracts for services with individuals, private agencies or other entities, including other government agencies, they will continue to include in any new contracts or contract renewals the entity’s obligation to adopt and comply with Tutwiler’s policies and procedures governing sexual abuse and sexual harassment.
ADOC and/or Tutwiler policies and procedures continue to require that contractors and volunteers who have contact with inmates but are not directly supervised by ADOC or Tutwiler employees comply with Tutwiler’s sexual abuse and sexual harassment policies and procedures.

MONITOR’S RECOMMENDATIONS: (for at least the next 6 months) 1. ADOC continues to work with the Monitor regarding a final approved "staffing analysis" to ensure it effectively incorporates gender responsive principles, as required in the Agreement.

DATE DUE : June 1, 2016

III.C.2

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TRAINING III.D ADOC and Tutwiler shall ensure that all staff have the adequate knowledge, skill, and ability to prevent, detect, and respond to sexual abuse and sexual

harassment at Tutwiler, and to manage, interact, and communicate appropriately with women inmates and lesbian, gay, bisexual, transgender, and gender

nonconforming inmates.

Policy

Develop Policy Implement

Policy

1. ADOC and Tutwiler shall train all staff who may have contact with inmates with the following:

Before

III.D.1

SOP 8-12 November 28, November

2015

28, 2015

(Monitor/ADOC (within 6

must

months of

draft/revise

Effective

training; E.4) Date; E.2)

Policy

Staff Trained

Policy

REQUIREMENTS

Developed

Implemented

Zero-Tolerance policy for sexual abuse and sexual harassment

Y N N/A Y N N/A

Y N N/A

How to fulfill its responsibilities under its sexual abuse and sexual harassment prevention, detection, Y N N/A Y N N/A reporting, and response policies and procedures.

Y N N/A

Inmates’ right to be free from sexual abuse and sexual harassment;

Y N N/A Y N N/A

The right of inmates and employees to be free from retaliation for reporting sexual abuse and sexual Y N N/A Y N N/A harassment;

The dynamics of sexual abuse and sexual harassment in confinement;

Y N N/A Y N N/A

The common reactions of sexual abuse and sexual harassment victims;

Y N N/A Y N N/A

How to detect and respond to signs of threatened and actual sexual abuse;

Y N N/A Y N N/A

How to respond to sexual abuse and sexual harassment, including:

1. How to respond effectively and professionally to victims of sexual abuse and sexual

Y N N/A Y N N/A

harassment;

2. How and to whom to report allegations or suspicions of sexual abuse and sexual harassment; Y N N/A Y N N/A 3. How to comply with relevant laws related to mandatory reporting of sexual abuse to outside Y N N/A Y N N/A
authorities; and

III.D.1

Y N N/A Y N N/A
Y N N/A Y N N/A Y N N/A
Y N N/A Y N N/A Y N N/A

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4. How to preserve physical evidence of sexual abuse (this provision does not apply to volunteers)

Y N N/A Y N N/A

How to avoid inappropriate relationships with inmates;

Y N N/A Y N N/A

Gender-responsive principles, including those applicable to the use of force against women inmates Y N N/A Y N N/A (the provision regarding use of force does not apply to volunteers);

How to communicate effectively and professionally with inmates, including lesbian, gay, bisexual, transgender, intersex and gender nonconforming inmates:
1. Including the use of appropriate name and pronoun for an inmate’s gender presentation and Y N N/A Y N N/A identity
2. This training shall emphasize that verbal abuse- including name calling and the use of racially Y N N/A Y N N/A insensitive or offensive, profane or vulgar language – will not be tolerated.

Y N N/A Y N N/A Y N N/A
Y N N/A Y N N/A

MONITOR’S MEASURES OF COMPLIANCE
1. SOP 8-12 Inmate Sexual Abuse and Harassment. 2. Revised PREA curriculum used for required training. 3. Rosters for training attendance for all required staff. 4. Certification letter from Deputy Commissioner Williams for the completion of all Tutwiler staff training, per the standards in D. 1 and D. 2. 5. Interviews with Deputy Commissioner Williams and Warden Wright.

III.D.1

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STEPS TAKEN BY MONITOR TO ANALYZE CONDITIONS AND ASSESS COMPLIANCE, AND FACTUAL BASIS FOR MONITOR’S FINDINGS

(for each member of monitoring team)

Documents

Interviews

On-site/Observations / Other

Reviewed: • SOP 8-12 Inmate Sexual Abuse and Harassment policy • PREA training curriculum • Staff training attendance rosters to complete this
requirement • Letter from Deputy Commissioner Williams
certifying all required Tutwiler staff training
• Review all anonymous PREA training evaluations by staff

• Deputy Commissioner Williams • Warden Wright • Captain McClain • Lt. Young • Staff interviews

• Compliance Visit December 5-9, 2016

None.

UNRESOLVED/PARTIALLY RESOLVED ISSUES FROM PREVIOUS TOUR

The Monitor found ADOC and Tutwiler to be ‘Substantially Compliant” with this provision during the June 2016 Compliance Visit.

The Monitor made no recommendations regarding this provision during the June 2016 Compliance Visit.

III.D.1

Case 2:15-cv-00368-MHT-TFM Document 26-1 Filed 03/28/17 Page 47 of 198
MONITOR’S FINDINGS: Substantial Compliance Partial Compliance Non-compliance n/a no assessment due until __________

DATE: December 31, 2016

MONITOR’S DISCUSSION: STEPS TAKEN BY ADOC AND TUTWILER TOWARDS IMPLEMENTATION

DATE: December 31, 2016

Tutwiler’s Training Team previously accomplished the Gender-Responsive and PREA Training described in this provision. Annual Refresher Training on this topic began in early 2017.

The Refresher PREA training curriculum was developed during this review period, and was reviewed by DOJ and the Monitor.

As of December 31, 2016 all staff working at Tutwiler, to include staff working overtime at Tutwiler from other facilities, have completed both PREA and Gender- Responsive training.

Cpt. Lagreta McClain continues to oversee the staff training and maintains Excel spreadsheets of all training completed and pending.

III.D.1

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MONITOR’S DISCUSSION: EXTENT TO WHICH ADOC AND TUTWILER HAVE COMPLIED WITH THE AGREEMENT

DATE: December 31, 2016

Note: The Monitor uses the time frame June 25 - December 31, 2016 as the "reporting period" throughout this report. The Monitor received documents and updates from ADOC prior to, during and after the compliance visit of December 5-9, 2016.
ADOC and Tutwiler's "Substantial Compliance" with the requirements of this provision was documented during the previous reporting period in the Monitor's Second Compliance Report. As of December 31, 2016 ADOC and Tutwiler have sustained compliance.
The Monitor determined the rating of "Substantial Compliance” for this reporting period based upon the following observations:
The PREA curriculum includes all of the specified requirements for inclusion in this agreement provision, to be presented in an 8-hour block of instruction. Tutwiler trained all eligible overtime staff in PREA that may work at Tutwiler by February 28, 2016. Monitor Dennehy spent considerable time cross referencing staff overtime and training records to verify that overtime security employees have met the training requirements. The Monitor also reviewed training attendance records for the required training in PREA and Gender Responsive Principles for all Tutwiler employees.
The Monitor reviewed randomly selected training evaluations, for PREA and Gender Responsive Principles, completed anonymously by the staff attendees. The evaluations were positive. During individual interviews with the Monitor, all staff reported having been trained and feeling positive about their training experience.

MONITOR’S RECOMMENDATIONS: (for at least the next 6 months) None.

DATE DUE: N/A

III.D.1

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TRAINING

III.D ADOC and Tutwiler shall ensure that all staff have the adequate knowledge, skill, and ability to prevent, detect, and respond to sexual abuse and sexual

harassment at Tutwiler, and to manage, interact, and communicate appropriately with women inmates and lesbian, gay, bisexual, transgender, and gender

nonconforming inmates

Policy

Develop Implement

Policy Policy

2. Within six months of the Effective Date, all staff shall have received training as set out in

SOP 8-12

February

Section III.D.1

III.D.2

SOP 8-29

28, 2016

REQUIREMENTS

Policy Developed

Staff Trained

Policy Implemented

Train all Staff: 1. Corrections Staff 2. Medical Practitioners -Corizon 3. Mental Health Practitioners -MHM and ADOC, 4. Employees of any State agency 5. Contractors 6. Volunteers

Y N N/A Y N N/A Y N N/A Y N N/A Y N N/A Y N N/A Y N N/A

Y N N/A Y N N/A Y N N/A Y N N/A Y N N/A Y N N/A Y N N/A

Y N N/A Y N N/A Y N N/A Y N N/A Y N N/A Y N N/A Y N N/A

MONITOR’S MEASURES OF COMPLIANCE

1. SOP 8-12 Inmate Sexual Abuse and Harassment and SOP 8-29 LGBTI Inmate Population. 2. PREA training curriculum. 3. Training documentation for staff training LGBTI policy for 2016 as specified in D. 2 provision. Need verification from Corizon (contracted inmate
medical provider) and MHM (contracted inmate mental health provider) of the dates, attendees and subject of the training for 2016. 4. Review any documented "feedback" from staff on their LGBTI and Gender Responsiveness training. 5. Staff interviews. 6. Interviews with Deputy Commissioner Williams, Warden Wright, Lt. Young, and Associate Commissioner Naglich.

III.D.2

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STEPS TAKEN BY MONITOR TO ANALYZE CONDITIONS AND ASSESS COMPLIANCE, AND FACTUAL BASIS FOR MONITOR’S FINDINGS

(for each member of monitoring team)

Documents

Interviews

On-site/Observations / Other

Reviewed:
• SOP 8-12 Inmate Sexual Abuse and Harassment • SOP 8-28 LGBTI Inmate Population • PREA staff training curriculum • Training rosters for Corizon and MHM staff training
in SOP 8-28. Training evaluations completed
anonymously by staff for PREA and Gender
Responsiveness training sessions • Staff interviews

• Deputy Commissioner Williams • Warden Wright • Captain McClain • Lt. Young

• Compliance Visit December 5-9, 2016

UNRESOLVED/PARTIALLY RESOLVED ISSUES FROM PREVIOUS TOUR
The Monitor found ADOC and Tutwiler to be ‘Substantially Compliant” with this provision during the June 2016 Compliance Visit. ADOC and Tutwiler addressed all recommendations made by the Monitor during the June 2016 Compliance Visit. The Monitor had previously suggested soliciting staff feedback on training needs via the staff survey to be conducted in March 2017. The Monitor looks forward to reviewing the results of this survey activity.

III.D.2

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MONITOR’S FINDINGS: Substantial Compliance Partial Compliance Non-compliance n/a no assessment due until __________

DATE: December 31, 2016

MONITOR’S DISCUSSION: STEPS TAKEN BY ADOC AND TUTWILER TOWARDS IMPLEMENTATION
• The following staff groups received the required training by February 28, 2016: • Corrections staff- 8 hrs. PREA, 16 hrs. Gender Responsiveness (GR) • Medical staff - 8 hrs. PREA, 16 hrs GR • Mental health practitioners - MHM and ADOC, 8 hrs. PREA, 16 hrs. GR • Employees of any state agency - 8 hrs. PREA, 16 hrs. GP • Contractors - 8 hrs. PREA, 16 hrs. GR • Tutwiler volunteers - 2.5 hrs. PREA/G
• The Monitor reviewed training rosters and staff signatures for these required training sessions.
• A curriculum was designed specifically for community volunteers.

DATE: December 31, 2016

III.D.2

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MONITOR’S DISCUSSION: EXTENT TO WHICH ADOC AND TUTWILER HAVE COMPLIED WITH THE AGREEMENT

DATE: December 31, 2016

• ADOC and Tutwiler's substantial compliance with the requirements of this provision is documented in the Monitor's Second Compliance Report after the Compliance Visit of June 2016. As of December 31, 2016, ADOC and Tutwiler have sustained "Substantial Compliance".
• The Monitor reviewed training rosters and staff signatures for these required training sessions. • The Monitor reviewed the training curriculum for they required training sessions.

MONITOR’S RECOMMENDATIONS: (for at least the next 6 months)

DATE DUE:

1. The Monitor looks forward to reviewing staff feedback on training obtained via the staff survey to be conducted in March 2017.

As soon as the data are compiled

III.D.2

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TRAINING

III.D ADOC and Tutwiler shall ensure that all staff have the adequate knowledge, skill, and ability to prevent, detect, and respond to sexual abuse and sexual

harassment at Tutwiler, and to manage, interact, and communicate appropriately with women inmates and lesbian, gay, bisexual, transgender, and gender

nonconforming inmates

Policy

Develop Implement

Policy Policy

3. ADOC and Tutwiler shall provide annual refresher training to all staff

III.D.3

SOP 8-9

February February

SOP 8-12 28, 2016 28, 2016

REQUIREMENTS

Policy Developed

Staff Trained

Policy Implemented

Ensure that all staff know current sexual abuse and sexual harassment policies and procedures

Y N N/A Y N N/A

Y N N/A

If staff cannot successfully demonstrate knowledge of these policies and procedures, they shall not be Y N N/A permitted to have any contact with inmates until such time as they can demonstrate proficiency

Y N N/A

Y N N/A

Have and implement policies and procedures setting forth the levels of discipline, up to and including Y N N/A termination, for any staff member who cannot perform his or her job duties due to a failure to demonstrate proficiency in these policies and procedures.

Y N N/A

Y N N/A

MONITOR’S MEASURES OF COMPLIANCE
1. Curriculum for refresher course. 2. Rosters for staff attendance in annual refresher training. 3. Staff interviews. 4. Interview with Deputy Commissioner Williams, Warden Wright, Captain McClain, Lt. Young. 5. Results of the staff proficiency tests, post training, after attending refresher training. 6. SOP 9-9 Employee Standards of Conduct and Discipline. 7. SOP 8-12 Inmate Sexual Abuse and Harassment.

III.D.3

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STEPS TAKEN BY MONITOR TO ANALYZE CONDITIONS AND ASSESS COMPLIANCE, AND FACTUAL BASIS FOR MONITOR’S FINDINGS

(for each member of monitoring team)

Documents

Interviews

On-site/Observations / Other

Reviewed: • Curriculum for staff annual refresher training • SOP 9-9 Standards of Conduct and Discipline
for Staff

• Deputy Commissioner Williams • Lt. Young • Captain McClain • Staff interviews

• Compliance Visit June 2017

UNRESOLVED/PARTIALLY RESOLVED ISSUES FROM PREVIOUS TOUR The Monitor found ADOC and Tutwiler to be in “Partial Compliance” with this provision during the June 2016 Compliance Visit.
ADOC discussed with the Monitor and DOJ the date for compliance with D.3-annual refresher training. The discussion recognized that the Monitor had granted an extension of three-months for the completion of the required PREA and Gender Responsive training in D.1. The new compliance date for D.1., PREA 8 hour training, was February 28, 2016. It was agreed by all parties that the annual refresher training required in this provision, D.3, should be moved forward also. So the Monitor agreed to extend the date for developing the required refresher training curriculum in this provision until September 2016.

III.D.3

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MONITOR’S FINDINGS: Substantial Compliance Partial Compliance Non-compliance n/a no assessment due until May 28, 2017

DATE: December 31, 2016

MONITOR’S DISCUSSION: STEPS TAKEN BY ADOC AND TUTWILER TOWARDS IMPLEMENTATION A refresher curriculum was developed and forwarded to the DOJ and Monitor for review and comment.

DATE: December 31, 2016

Staff continues to demonstrate knowledge of the policies and procedures on the job, as discussed and learned during the previous training provided. With the refresher training, all staff will again be expected to demonstrate proficiency through a post–testing process. The requirement to demonstrate proficiency was placed in SOP 8-12, Inmate Sexual Abuse and Harassment, and levels of discipline for failure to comply have been outlined in SOP 9-9 Employee Standards of Conduct and Discipline.

III.D.3

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MONITOR’S DISCUSSION: EXTENT TO WHICH ADOC AND TUTWILER HAVE COMPLIED WITH THE AGREEMENT

DATE: December 31, 2016

The Monitor previously granted a three month extension for the development and completion of the annual refresher training curriculum until September 2016. For this reason, during the June 2016 Compliance Visit, the Monitor found ADOC and Tutwiler to be in “Partial Compliance” with the provisions of this requirement.

The Monitor believes, and documented in III.A.1, that the Tutwiler staff have knowledge of their PREA responsibilities and the PREA policy in their daily work performance. Knowledge of staff on PREA policy is one of the requirements of this provision.

The Tutwiler Training Team began providing Annual Refresher Training in January, 2017.

Tutwiler has implemented policies and procedures setting forth the levels of discipline, up to and including termination, for any staff member who cannot perform his or her job duties due to a failure to demonstrate proficiency in these policies and procedures.

Once the first refresher training cycle is completed the Monitor expects a finding of "Substantial Compliance" at that time.

MONITOR’S RECOMMENDATIONS: (for at least the next 6 months) ADOC and Tutwiler to submit certification of completion of the annual refresher training to Monitor.

DATE DUE: Upon completion of training

III.D.3

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TRAINING III.D ADOC and Tutwiler shall ensure that all staff have the adequate knowledge, skill, and ability to prevent, detect, and respond to sexual abuse and sexual

harassment at Tutwiler, and to manage, interact, and communicate appropriately with women inmates and lesbian, gay, bisexual, transgender, and gender

nonconforming inmates

Policy

Develop Implement

Policy

Policy

4. The Monitor will work with ADOC and Tutwiler in drafting new training materials and/or revising

current training materials set out in III.D.1 and III.D.3

III.D.4

SOP 8-12 May 28, May 28,

2015

2015

Aug.28, August 28,

2016

2016

Policy

Staff Trained

Policy

REQUIREMENTS

Developed

Implemented

Draft/Revise training materials for staff (all persons assigned to work at Tutwiler; corrections staff; medical and mental health practitioners; employees of any state agency; contractors; and volunteers) (III.D.1)

Y N N/A Y N N/A

Y N N/A

Draft/Revise training materials for annual refresher training (III.D.3)

Y N N/A Y N N/A

Y N N/A

MONITOR’S MEASURES OF COMPLIANCE
1. Monitor and DOJ review of revised SOP 8-12 Inmate Sexual Abuse and Harassment. 2. Monitor and DOJ review of revised PREA training curriculum. 3. Review of Corizon and MHM training materials for their staff. 4. Monitor and DOJ review of the PREA curriculum for volunteers. 5. Interviews with Deputy Commissioner Williams, Associate Commissioner Naglich, Ms. Greer, Ms. Love, Warden Wright. 6. Monitor and DOJ review of revised SOP's for gender responsiveness principles.

III.D.4

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STEPS TAKEN BY MONITOR TO ANALYZE CONDITIONS AND ASSESS COMPLIANCE, AND FACTUAL BASIS FOR MONITOR’S FINDINGS

Documents

(for each member of monitoring team) Interviews

On-site/Observations / Other

Reviewed: • Revised SOP 8-12 Inmate Sexual Abuse and
Harassment • PREA training curriculum • Corizon and MHM training materials/curriculum • PREA training curriculum for Tutwiler volunteers • New/revised Tutwiler SOPS for the incorporation
of Gender Responsive principles • Training evaluations completed by staff • Randomly selected trainee post test results

• Deputy Commissioner Williams • Associate Commissioner Naglich • Warden Wright • Captain McClain • Lt. Young

Compliance Visit December 5-9, 2016

UNRESOLVED/PARTIALLY RESOLVED ISSUES FROM PREVIOUS TOUR
The Monitor granted an extension of 90 days for compliance with D.1, PREA training for all Tutwiler staff. The new date was established as February 28, 2016. Due to this extension, the parties agreed that an extension was also required for this provision’s requirement for refresher staff training, as its revision and implementation is sequential to the completion of the PREA curriculum and training.

III.D.4

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MONITOR’S FINDINGS: Substantial Compliance Partial Compliance Non-compliance n/a no assessment due until __________

DATE: December 31, 2016

MONITOR’S DISCUSSION: STEPS TAKEN BY ADOC AND TUTWILER TOWARDS IMPLEMENTATION

DATE: December 31, 2016

ADOC drafted/revised training materials for staff (all persons assigned to work at Tutwiler; corrections staff; medical and mental health practitioners; employees of any state agency; contractors; and volunteers), and those materials were reviewed by the DOJ and Monitor. Refresher training began in January 2017.

MONITOR’S DISCUSSION: EXTENT TO WHICH ADOC AND TUTWILER HAVE COMPLIED WITH THE AGREEMENT

DATE: December 31, 2016

The Monitor granted an extension of 90 days for compliance with D.1, PREA training for all Tutwiler staff. The new date was established as February 28, 2016. Due to this extension, the parties agreed that an extension was also required for this provision’s requirement for refresher staff training, as its revision and implementation is sequential to the completion of the PREA curriculum and training. As such, the Monitor found partial compliance with the requirements of this provision during the June 2016 Compliance Visit. ADOC drafted revised training materials for staff and the Refresher training began in January 2017. The Monitor reviewed the curriculum. For these reasons, the Monitor has determined ADOC and Tutwiler are in "Substantial Compliance" with the requirements of this provision.

MONITOR’S RECOMMENDATIONS: (for at least the next 6 months) None.
III.D.4

DATE DUE: N/A

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TRAINING

III.D ADOC and Tutwiler shall ensure that all staff have the adequate knowledge, skill, and ability to prevent, detect, and respond to sexual abuse and sexual

harassment at Tutwiler, and to manage, interact, and communicate appropriately with women inmates and lesbian, gay, bisexual, transgender, and gender

nonconforming inmates

Policy

Develop Implement

Policy

Policy

5. ADOC shall certify and document to Tutwiler’s PREA Compliance Manager, the Department-wide PREA

Coordinator, the Monitor, and DOJ, that all staff have been trained

III.D.5

November November

28, 2015 28, 2015

REQUIREMENTS

Policy Developed

Staff Trained

Policy Implemented

Certify that all staff have been trained 1. Corrections Staff 2. Medical Practitioners --Corizon 3. Mental Health Practitioners -ADOC and MHM 4. Employees of any State agency 5. Contractors 6. Volunteers

Y N N/A Y N N/A Y N N/A Y N N/A Y N N/A Y N N/A Y N N/A

Y N N/A Y N N/A Y N N/A Y N N/A Y N N/A Y N N/A Y N N/A

Y N N/A Y N N/A Y N N/A Y N N/A Y N N/A Y N N/A Y N N/A

MONITOR’S MEASURES OF COMPLIANCE

1. ADOC certification letter to Monitor and DOJ for all required staff training by February 28, 2016. 2. Interview with Deputy Commissioner Williams. 3. Review of attendance rosters for staff at required training.

III.D.5

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STEPS TAKEN BY MONITOR TO ANALYZE CONDITIONS AND ASSESS COMPLIANCE, AND FACTUAL BASIS FOR MONITOR’S FINDINGS

(for each member of monitoring team)

Documents

Interviews

On-site/Observations / Other

Reviewed: • ADOC letter from Dr. Williams certifying the
completion of all required staff PREA training by February 28, 2016 • Review of attendance rosters for staff at required training

• Deputy Commissioner Williams

• Compliance Visit December 5-9, 2016

None.

UNRESOLVED/PARTIALLY RESOLVED ISSUES FROM PREVIOUS TOUR

The Monitor found ADOC and Tutwiler to be ‘Substantially Compliant” with this provision during the June 2016 Compliance Visit.

The Monitor made no recommendations during the June 2016 Compliance Visit.

MONITOR’S FINDINGS: Substantial Compliance Partial Compliance Non-compliance n/a no assessment due until __________

DATE: December 31, 2016

III.D.5

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MONITOR’S DISCUSSION: STEPS TAKEN BY ADOC AND TUTWILER TOWARDS IMPLEMENTATION

DATE: December 31, 2016

The Tutwiler Training Team began training on September 5, 2015, and successfully completed all staff training by February 28, 2016. The completion of staff training was certified, documented, and reported to the Tutwiler IPCM, the Department-wide PREA Coordinator, the Monitor, and DOJ on May 15, 2016.

MONITOR’S DISCUSSION: EXTENT TO WHICH ADOC AND TUTWILER HAVE COMPLIED WITH THE AGREEMENT

DATE: December 31, 2016

Note: The Monitor uses the time frame June 25 - December 31, 2016 as the "reporting period" throughout this report. The Monitor received documents and updates from ADOC prior to, during and after the December 2016 Compliance Visit.

The Monitor found ADOC and Tutwiler to be ‘Substantially Compliant” with this provision during the June 2016 Compliance Visit. To date, ADOC and Tutwiler have sustained substantial compliance.

On May 15, 2016, the Deputy Commissioner for Women’s Services certified that the following staff had been trained by February 28, 2016: corrections staff, medical practitioners, mental health practitioners, employees of any state agency, contractors, and volunteers. The training was the 8-hour PREA training and the 16 hours Gender Responsive training.

MONITOR’S RECOMMENDATIONS: (for at least the next 6 months)
None.

DATE DUE: N/A

III.D.5

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INMATE EDUCATION

III.E ADOC and Tutwiler shall effectively and meaningfully communicate to all inmates their right to be free from sexual abuse and harassment and the

protections in place at Tutwiler to ensure that such abuse and harassment does not occur or, if it does occur, is reported so it can be responded to promptly,

appropriately, and without retaliation.

Policy

Develop Implement

(Inmate Education: Intake)

Policy Policy

1.ADOD and Tutwiler shall ensure that, during the intake process, all inmates receive information regarding the III.E.1 AR 454

May 28, Current

following (listed below):

III.E.3 SOP 8-12

2015 inmates:

3.Current Tutwiler inmates will receive the information and education described in III.E.1 within three months III.E.6

AND May 28,

of the Effective Date (by August 28, 2015).

III.E.7

Before 2015

6. Consistent with current policy, ADOC and Tutwiler shall ensure that the information outlined in III.E.1 is

August AND

conveyed and made available in formats accessible to all inmates, including those who are limited English

28,

Before

proficient, deaf, visually impaired, or otherwise disabled as well as to inmates who have limited reading skills.

2015 August 28,

7. ADOC and Tutwiler shall provide the Monitor and DOJ for their review consistent with Section III.A.6 any

2015

materials or curriculum utilized to satisfy the requirements of III.E.1

REQUIREMENTS

Policy Developed

Intake information includes:

1. ADOC’s Zero-Tolerance Policy regarding sexual abuse and harassment;

Y N N/A

2. Definitions of sexual abuse and sexual harassment; 3. The right to be free from sexual abuse and sexual harassment and from retaliation for
reporting such incidents;

Y N N/A Y N N/A

4. The right to be free from verbal abuse, including name calling, racially insensitive or offensive

language, and profane or vulgar language;

Y N N/A

5. How to report incidents or suspicions of sexual abuse and harassment, including the availability

of non-inmate interpreters;

Y N N/A

6. The process of accessing medical and mental health care.

Current Tutwiler inmates received the information and education by August 28, 2015.

Y N N/A

This information must be conveyed and made available in formats accessible to all inmates, including those who are limited English proficient, deaf, visually impaired, or otherwise disabled as well as to inmates who have limited reading skills.
ADOC and Tutwiler have provided the materials or curriculum to the Monitor and DOJ for their review.

Y N N/A Y N N/A

Staff Trained Policy Implemented
Y N N/A Y N N/A Y N N/A Y N N/A Y N N/A Y N N/A Y N N/A Y N N/A Y N N/A Y N N/A Y N N/A Y N N/A Y N N/A Y N N/A
Y N N/A Y N N/A

III.E.1 / III.E.3 / III.E.6 / III.E.7

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MONITOR’S MEASURES OF COMPLIANCE

1. SOP 8-12 Inmate Sexual Abuse and Harassment. 2. Curriculum for inmate education module. 3. Review contract with Alabama Institute with the Deaf and Blind for provision of interpreter services for inmates needing this service. 4. Review results of inmate survey process. 5. Interviews with Warden Wright, Lt. Young, Ms. Love, Dr. Holmes. 6. Staff interviews. 7. Inmate focus groups. 8. Individual inmate interviews.

STEPS TAKEN BY MONITOR TO ANALYZE CONDITIONS AND ASSESS COMPLIANCE, AND FACTUAL BASIS FOR MONITOR’S FINDINGS

(for each member of monitoring team)

Documents

Interviews

On-site/Observations / Other

Reviewed: • SOP 8-12 Inmate Sexual Abuse and Harassment • Review contract with the Alabama institute with the
Deaf and Blind • Review results of inmate survey • Review inmate education curriculum • Review of monthly grievances: June-December 2016 • Review of inmate correspondence received by Monitor
June-December 2016

• Warden Wright • Lt. Young • Dr. Holmes • Staff interviews • Inmate focus groups • Individual inmate interviews

• Compliance Visit December 5-9, 2016

None.

UNRESOLVED/PARTIALLY RESOLVED ISSUES FROM PREVIOUS TOUR

The Monitor found ADOC and Tutwiler to be ‘Substantially Compliant” with this provision during the June 2016 Compliance Visit.

ADOC and Tutwiler addressed all recommendations made by the Monitor regarding this provision during the June 2016 Compliance Visit.

III.E.1 / III.E.3 / III.E.6 / III.E.7

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NOTE: THIS SECTION INCLUDES III.E.21, III.E.6, and III.E.7. Please provide separate findings for each provision. MONITOR’S FINDINGS:
Substantial Compliance Partial Compliance Non-compliance n/a no assessment due until __________

DATE: December 31, 2016

MONITOR’S DISCUSSION: STEPS TAKEN BY ADOC AND TUTWILER TOWARDS IMPLEMENTATION

DATE: December 31, 2016

The Tutwiler Intake information provided to inmates includes the following: 1. ADOC’s Zero-Tolerance Policy regarding sexual abuse and harassment; 2. Definitions of sexual abuse and sexual harassment; 3. The right to be free from sexual abuse and sexual harassment and from retaliation for reporting such incidents; 4. The right to be free from verbal abuse, including name calling, racially insensitive or offensive language, and profane or vulgar language; 5. How to report incidents or suspicions of sexual abuse and harassment, including the availability of non-inmate interpreters; 6. The process of accessing medical and mental health care.

This information is conveyed and made available in formats accessible to all inmates, including those who are limited English proficient, deaf, visually impaired, or otherwise disabled as well as to inmates who have limited reading skills.

III.E.1 / III.E.3 / III.E.6 / III.E.7

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MONITOR’S DISCUSSION: EXTENT TO WHICH ADOC AND TUTWILER HAVE COMPLIED WITH THE AGREEMENT

DATE: December 31, 2016

Note: The Monitor uses the time frame June 25 - December 31, 2016 as the "reporting period" throughout this report. The Monitor received documents and updates from ADOC prior to, during and after the compliance visit of December 5-9, 2016.

ADOC and Tutwiler's "Substantial Compliance" with the requirements of this provision was documented during the previous reporting period in the Monitor's Second Compliance Report. The Monitor determined the rating of "Substantial Compliance” and confirmed ADOC and Tutwiler's to date continued compliance In December 2016 by attending an inmate orientation session led by Lt. Young, reviewing the inmate education curriculum and receiving positive feedback during individual inmate interviews.

MONITOR’S RECOMMENDATIONS: (for at least the next 6 months)
None.

DATE DUE: N/A

III.E.1 / III.E.3 / III.E.6 / III.E.7

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INMATE EDUCATION III.E ADOC and Tutwiler shall effectively and meaningfully communicate to all the inmates their right to be free from sexual abuse and harassment and the protections in place at Tutwiler to ensure that such abuse and harassment does not occur or, if it does occur, is reported so it can be responded to promptly, appropriately, and without retaliation.

(Inmate Education: Comprehensive)

Policy

AR 454

Develop Implement Policy Policy

2.Within 14 days of intake, ADOC and Tutwiler shall provide comprehensive orientation education to inmates either conducted in-person or through a video presented by an in-person facilitator regarding their rights to be free from sexual abuse and sexual harassment and to be free from retaliation for reporting such incidents, and regarding their policies and procedures for responding to such incidents. 3.Current Tutwiler inmates will receive the information and education described in III.E.2 within three months of the Effective Date (by August 28, 2015). 4.ADOC and Tutwiler shall ensure that the individual conducting or facilitating the comprehensive inmate educational orientation is trained on Tutwiler’s and ADOC’s policies and procedures related to sexual abuse and sexual harassment, the PREA standards, and this Agreement. 5.The individual conducting or facilitating the comprehensive inmate orientation education shall remain in the room during the entire orientation and shall monitor the inmates for reactions to and understanding of the information. A mental health practitioner will serve as an advisor to the orientation process and services will be available during the orientation process if indicated. 6. Consistent with current policy, ADOC and Tutwiler shall ensure that the information outlined in III.E.2 is conveyed and made available in formats accessible to all inmates, including those who are limited English proficient, deaf, visually impaired, or otherwise disabled as well as to inmates who have limited reading skills. 7. ADOC and Tutwiler shall provide the Monitor and DOJ for their review consistent with Section III.A.6 any materials or curriculum utilized to satisfy the requirements of III.E.1 8.ADOC and Tutwiler shall maintain documentation of inmate participation in the education sessions

III.E.2 III.E.3 III.E.4 III.E.5 III.E.6 III.E.7 III.E.8

SOP 8-12

May 28, 2015 AND Before August 28, 2015

Current inmates: May 28, 2015 AND Before August 28, 2015

required by III.E.2.

Policy

Staff Trained

Policy

REQUIREMENTS

Developed

Implemented

Comprehensive inmate education:

1. Includes inmates’ rights to be free from sexual abuse and sexual harassment and to be free from Y N N/A Y N N/A retaliation for reporting such incidents;

2. ADOC’s policies and procedures for responding to such incidents;

Y N N/A Y N N/A

Y N N/A Y N N/A

Education is conducted in-person or through a video presented by an in-person facilitator. 1. The individual conducting or facilitating the comprehensive inmate educational orientation is trained on Tutwiler’s and ADOC’s policies and procedures related to sexual abuse and sexual
III.E.2-8

Y N N/A Y N N/A Y N N/A

Case 2:15-cv-00368-MHT-TFM Document 26-1 Filed 03/28/17 Page 68 of 198

harassment, the PREA standards, and this Agreement. 2. The individual conducting or facilitating the comprehensive inmate orientation education shall
remain in the room during the entire orientation and shall monitor the inmates for reactions to and understanding of the information.

Y N N/A Y N N/A

A mental health practitioner will serve as an advisor to the orientation process and services will be available during the orientation process if indicated.

Y N N/A Y N N/A

The information is conveyed and made available in formats accessible to all inmates, including those who Y N N/A Y N N/A are limited English proficient, deaf, visually impaired, or otherwise disabled as well as to inmates who have limited reading skills.

Materials and curriculum have been provided to the Monitor and DOJ for their review

Y N N/A Y N N/A

Documentation is maintained of inmate participation in the education sessions.

Y N N/A Y N N/A

Current Tutwiler inmates have received this information and education by August 28, 2015.

Y N N/A Y N N/A

Incoming Tutwiler inmates receive the comprehensive orientation education within 14 days of intake.

Y N N/A Y N N/A

Y N N/A
Y N N/A Y N N/A
Y N N/A Y N N/A Y N N/A Y N N/A

MONITOR’S MEASURES OF COMPLIANCE
1. SOP 8-12 Inmate Sexual Abuse and Harassment. 2. Documentation of the inmate education sessions, as maintained by Lt. Young. 3. Interviews with Lt. Young and Dr. Holmes. 4. Observation of inmate orientation session during compliance tour. 5. Review of revised inmate education module curriculum. 6. Inmate focus groups and individual interviews.

III.E.2-8

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STEPS TAKEN BY MONITOR TO ANALYZE CONDITIONS AND ASSESS COMPLIANCE, AND FACTUAL BASIS FOR MONITOR’S FINDINGS

Documents

(for each member of monitoring team) Interviews

On-site/Observations / Other

Reviewed: • SOP 8-12 Inmate Sexual Abuse and Harassment • Contract with the Alabama Institute with the Deaf and
Blind
• Documents regarding the inmate survey • Revised inmate education curriculum
• Monthly inmate grievances: June-December 2016 • Inmate correspondence received by Monitor: June-
December 2016

• Lt. Young • Inmate focus groups • Individual inmate interviews • Lt. Coleman • Dr. Holmes

Compliance Visit December 5-9, 2016

None.

UNRESOLVED/PARTIALLY RESOLVED ISSUES FROM PREVIOUS TOUR

The Monitor found ADOC and Tutwiler to be ‘Substantially Compliant” with this provision during the January and June 2016 Compliance Visits.

ADOC and Tutwiler addressed the one recommendation made by the Monitor regarding this provision during the June 2016 Compliance Visit.

III.E.2-8

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NOTE: THIS SECTION INCLUDES III.E.2, III.E.3, III.E.4, III.E.5, III.E.6, III.E.7 and III.E.8. Please provide separate findings for each provision
MONITOR’S FINDINGS: Substantial Compliance Partial Compliance Non-compliance n/a no assessment due until __________

DATE: December 31, 2016

MONITOR’S DISCUSSION: STEPS TAKEN BY ADOC AND TUTWILER TOWARDS IMPLEMENTATION

DATE: December 31, 2016

The comprehensive inmate education utilized at Tutwiler includes: 1) inmates’ rights to be free from sexual abuse and sexual harassment and to be free from retaliation for reporting such incidents; and 2) ADOC’s policies and procedures for responding to such incidents. Inmate education is conducted inperson by Lt. Yvette Young (IPCM). Lt. Young is trained on Tutwiler’s and ADOC’s policies and procedures related to sexual abuse and sexual harassment, the PREA standards, and this Agreement. Lt. Young remains in the room during the entire orientation and monitors the inmates for reactions to and understanding of the information.

A mental health practitioner serves as an advisor to the orientation process and services is available during the orientation process if indicated. The information covered is conveyed and made available in formats accessible to all inmates, including those who are limited English proficient, deaf, visually impaired, or otherwise disabled as well as to inmates who have limited reading skills. Documentation is maintained by Lt. Young of inmate participation in the education sessions.

The original Tutwiler inmates received this information and education in July, 2015. Incoming Tutwiler inmates receive the comprehensive orientation education within 14 days of intake.

III.E.2-8

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MONITOR’S DISCUSSION: EXTENT TO WHICH ADOC AND TUTWILER HAVE COMPLIED WITH THE AGREEMENT

DATE: December 31, 2016

Note: The Monitor uses the time frame June 25 - December 31, 2016 as the "reporting period" throughout this report. The Monitor received documents and updates from ADOC prior to, during and after the compliance visit of December 5-9, 2016.

The Monitor found ADOC and Tutwiler to be ‘Substantially Compliant” with this provision during the January and June 2016 Compliance Visits.. To date, ADOC and Tutwiler have sustained substantial compliance with the requirements of this provision. The Monitor confirmed ADOC and Tutwiler's continued compliance for this reporting period by reviewing the inmate education curriculum, feedback received during staff and inmate interviews, and observations made during the Compliance Visit December 2016.
ADOC submitted their draft revised curriculum for the Inmate Education program in June 2016 for review and comment by the Monitor and DOJ. The parties submitted their comments the last week in June. The revised curriculum was published in December 2016. These revisions are inclusive of the published SOP 812 SOP 8-22 Inmate Grievance program.
The Monitor conducted two inmate focus group and numerous individual inmate interviews during the December 2016 Compliance Visit. The inmates acknowledged their awareness of the PREA and grievance procedures at Tutwiler.
The Monitor reviewed the ADOC contract with the Alabama Institute for the Deaf and Blind for the compliance requirement that Tutwiler have expert services available for the deaf, visually impaired or otherwise disabled. It is responsive to these requirements.

The Monitor previously recommended that Tutwiler provide a feedback method for inmates on their experience with the Inmate Education Program. Tutwiler started the formal inmate survey/polling process in July 2016. This area of inquiry was included.

MONITOR’S RECOMMENDATIONS: (for at least the next 6 months)
None.

DATE DUE: N/A

III.E.2-8

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GENDER-RESPONSIVE CLASSIFICATION III.F Consistent with constitutional standards, ADOC and Tutwiler shall develop and implement a classification process including custody classification, and risk/need assessment, and screening for risk of vulnerability or perpetration of sexual abuse or sexual harassment and use that information to inform housing, bed, work, education, and program assignments with the goal of maximizing safety.

Policy

Develop Implement Policy Policy

1. Within two months of the Effective Date, ADOC and Tutwiler shall convene a working group to evaluate methods to decrease or eliminate Tutwiler’s use of Dorm A for a period of time that exceeds 48 hours while screenings are completed, including an examination of the necessity of PAP test and/or other medical, mental health, or intellectual test results prior to classification and failures to provide adequate continuity in medical and mental health care to Dorm A residents

III.F.1

Convene N/A. Working
Group by July 28, 2015

Policy

Staff Trained

Policy

REQUIREMENTS

Developed

Implemented

Working Group Convened

Y N N/A Y N N/A

Y N N/A

Evaluate methods to decrease or eliminate use of Dorm A for a period that exceeds 48 hours

Y N N/A Y N N/A

Y N N/A

Examine necessity of receiving PAP test and/or other medical, mental health, or intellectual test results Y N N/A Y N N/A prior to classification

Y N N/A

Examine any failures to provide adequate continuity in medical and mental health care to Dorm A residents

Y N N/A Y N N/A

Y N N/A

MONITOR’S MEASURES OF COMPLIANCE
1. Review Tutwiler Inmate Receiving Log for Dorm A. 2. Review inmate dorm movement sheets out of Dorm A from June-December 2016. 3. Review Tutwiler Bed Count Rosters for randomly selected dates. 4. Review Dorm A Workgroup Quarterly meeting minutes. 5. Review Dorm Representatives Meeting minutes. 6. Interview Lt. Young. 7. Inmate focus groups. 8. Individual inmate interviews. 9. Tour of Dorm A during Compliance Visit December 2016.
III.F.1

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STEPS TAKEN BY MONITOR TO ANALYZE CONDITIONS AND ASSESS COMPLIANCE, AND FACTUAL BASIS FOR MONITOR’S FINDINGS

(for each member of monitoring team)

Documents

Interviews

On-site/Observations / Other

Reviewed: • Tutwiler Inmate Receiving Log (Dorm A) • Inmate dorm movement sheets out of dorm A
from June-December 2016 • Tutwiler Bed Count Rosters for randomly selected
dates • Dorm A Workgroup Quarterly meeting minutes • Dorm Representatives Meeting minutes

• Deputy Commissioner Williams • Staff interviews • Inmate focus groups • Individual inmate interviews

• Compliance Visit December 5-9, 2016 • Monitor' s observations visiting unit during
Compliance Visit December 2016 • Monitor's discussions with housing unit officer
while touring unit • Monitor's discussions with inmates while
touring unit

None.

UNRESOLVED/PARTIALLY RESOLVED ISSUES FROM PREVIOUS TOUR

The Monitor found ADOC and Tutwiler to be ‘Substantially Compliant” with this provision during the June 2016 Compliance Visit.

The Monitor made no recommendations regarding this provision during the June 2016 Compliance Visit.

MONITOR’S FINDINGS: Substantial Compliance Partial Compliance Non-compliance n/a no assessment due until __________
III.F.1

DATE: December 31, 2016

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MONITOR’S DISCUSSION: STEPS TAKEN BY ADOC AND TUTWILER TOWARDS IMPLEMENTATION

DATE: December 31, 2016

On July 10, 2015, the Deputy Commissioner for Women’s Services convened a work group to evaluate methods to decrease or eliminate Tutwiler’s use of Dorm A for a period of time that exceeds 48 hours while screenings are completed, including an examination of the necessity of PAP test and/or other medical, mental health, or intellectual test results prior to classification and any failures to provide adequate continuity in medical and mental health care to Dorm A residents.

This group continues to meet quarterly, and the meeting notes are forwarded to the Deputy Commissioner for Women’s Services.

MONITOR’S DISCUSSION: EXTENT TO WHICH ADOC AND TUTWILER HAVE COMPLIED WITH THE AGREEMENT

DATE: December 31, 2016

Note: The Monitor uses the time frame June 25 - December 31, 2016 as the "reporting period" throughout this report. The Monitor received documents and updates from ADOC prior to, during and after the Compliance Visit of December 5-9, 2016.

ADOC and Tutwiler's "Substantial Compliance" with the requirements of this provision was documented during the previous reporting period in the Monitor's Second Compliance Report. As of December 31, 2016 ADOC and Tutwiler have sustained compliance with this provision.

The Monitor determined the rating of "Substantial Compliance" for this reporting period based upon the following observations. Ongoing efforts to evaluate methods to decrease or eliminate use of Dorm A for a period that exceeds 48 hours have been successful as demonstrated by both an overall reduced unit count and overall shorter length of stays in the unit. On December 5, 2016 while the Monitor was touring the unit, only 19 of the unit's 80 beds were filled.

The Monitor reviewed Dorm A Workgroup Meeting and Dorm A's Receiving Log. The average stay in the intake Dorm ‘A’ has decreased to the target time period of 72 hours. The Monitor identified only two outliers whose length of stay in the unit varied significantly from the target goal of 72-hours. The Monitor made inquiry about these two women and the reasons for the length of time they spent in Dorm A.
As reported during the December 2016 Compliance Tour, this target goal had been achieved for the preceding 6 weeks. It was reported by staff that the inmates are now being processed through Dorm-‘A’ on time, due to the decrease in general population inmates. The Alabama Parole Board has recently made significant advancements in their ability to parole a large number of female inmates and this has had a positive impact on the daily population count at Tutwiler. The number of empty beds reported at Tutwiler, as of 11/22/16, was 65 at the main campus and 42 beds available at the annex campus. The medical and mental health staff continue to process every new inmate in a timely manner. Classification staff believe the introduction of the new Needs & Risk Assessments (WARNA) is helping classification to properly place the inmate in the appropriate setting at a faster rate thereby reducing the time a prisoner stays in Dorm A.

III.F.1

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During a tour of Dorm A, the only issue inmates discussed with the Monitor was temperature control in the unit. Inmates complained of being cold and staff made extra blankets available to them as needed.
The required medical health assessments continue to be completed in a timely manner for inmates in Dorm A.

MONITOR’S RECOMMENDATIONS: (for at least the next 6 months)
None.

DATE DUE: N/A

III.F.1

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GENDER-RESPONSIVE CLASSIFICATION

III.F Consistent with constitutional standards, ADOC and Tutwiler shall develop and implement a classification process including custody classification, and

risk/need assessment, and screening for risk of vulnerability or perpetration of sexual abuse or sexual harassment and use that information to inform housing,

bed, work, education, and program assignments with the goal of maximizing safety.

Policy

Develop Implement

Policy Policy

2. Within six months of convening of the working group, ADOC and Tutwiler shall retain an expert in

Retain

gender responsive assessment and classification.

III.F.2

expert by

January

28, 2016

REQUIREMENTS

Policy Developed

Staff Trained

Policy Implemented

The retained expert develops and submits for review to the Workgroup and Monitor a summary of recommendations and proposed deliverables that outline a plan for implementation and validation of an objective and internal classification system specific to the women inmates at Tutwiler.

Y N N/A

The classification system incorporates gender responsive principles and addresses the needs of women Y N N/A inmates at Tutwiler including housing safety, mental health (depression/anxiety/psychosis), abuse and
trauma, family conflict, relationship dysfunction, and parental stress.

The system focuses on strength and resiliency factors including educational assets, family support, and Y N N/A self-efficacy

The proposed plan examines the designation of “restricted status” for inmates at Tutwiler to determine

the appropriateness of the designation as it relates to classification, housing, programming, and

Y N N/A

community custody.

The proposed plan is based on expert review and addresses adjustments to the classification system, adequate data collection and analysis, and appropriate ongoing testing for effectiveness.

Y N N/A

Y N N/A Y N N/A Y N N/A Y N N/A Y N N/A

Y N N/A Y N N/A Y N N/A Y N N/A Y N N/A

III.F.2

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MONITOR’S MEASURES OF COMPLIANCE
1. Review of draft gender responsive classification plan, strategy for implementation and implementation plan -by Monitor and DOJ. 2. Interviews with Deputy C Commissioner Williams, Warden Wright.

STEPS TAKEN BY MONITOR TO ANALYZE CONDITIONS AND ASSESS COMPLIANCE, AND FACTUAL BASIS FOR MONITOR’S FINDINGS

Documents

(for each member of monitoring team) Interviews

On-site/Observations / Other

Reviewed: • Draft gender responsive classification plan • Implementation plan for classification system

• Deputy Commissioner Williams • Warden Wright • Ms. Westry-Tutwiler classification
supervisor

• Compliance Visit December 5-9, 2016

None.

UNRESOLVED/PARTIALLY RESOLVED ISSUES FROM PREVIOUS TOUR

The Monitor found ADOC and Tutwiler to be ‘Substantially Compliant” with this provision during the June 2016 Compliance Visit.

The Monitor addressed all recommendations made by the Monitor regarding this provision during the June 2016 Compliance Visit.

III.F.2

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MONITOR’S FINDINGS: Substantial Compliance Partial Compliance Non-compliance n/a no assessment due until __________

DATE: December 31, 2016

MONITOR’S DISCUSSION: STEPS TAKEN BY ADOC AND TUTWILER TOWARDS IMPLEMENTATION

DATE: December 31, 2016

Dr. Van Voorhis was retained on contract and she developed a summary of recommendations and proposed deliverables. ADOC forwarded the proposal to the Monitor and DOJ for review in May, 2016. The proposal was finalized in August, 2016. The new classification system incorporates gender-responsive principles and addresses the needs of women inmates at Tutwiler including housing safety, mental health (depression/anxiety/psychosis), abuse and trauma, family conflict, relationship dysfunction, and parental stress. The system focuses on strength and resiliency factors including educational assets, family support, and self-efficacy.

The use of “restricted status” for female inmates was abolished in September, 2016 in accordance with the new classification system.

III.F.2

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MONITOR’S DISCUSSION: EXTENT TO WHICH ADOC AND TUTWILER HAVE COMPLIED WITH THE AGREEMENT

DATE: December 31, 2016

Note: The Monitor uses the time frame June 25 - December 31, 2016 as the "reporting period" throughout this report. The Monitor received documents and updates from ADOC prior to, during and after the compliance visit of December 5-9, 2016.

The Monitor found ADOC and Tutwiler to be ‘Substantially Compliant” with this provision during the Compliance Visits of January and June 2106. As of December 31, 2016 ADOC and Tutwiler have sustained substantial compliance.

The Monitor confirmed ADOC and Tutwiler’s continued compliance by the review of the draft Gender Responsive Assessment and Classification plan, as submitted by Dr. Van Voorhis.

MONITOR’S RECOMMENDATIONS: (for at least the next 6 months)

DATE DUE:

1. The plan recommends and requires additional staff for full implementation. Tutwiler's request for additional staffing has been approved. The Monitor requests a tracking update on the number of new positions authorized, the number of new hires and the date of hire for each additional staff.
2. Provide the Monitor with an update on the progress of the implementation on May 15, 2017. Provide any data accumulated regarding the administration of the risk/needs assessment of the inmates.

May 15,2017 May 15,2017

III.F.2

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GENDER-RESPONSIVE CLASSIFICATION III.F Consistent with constitutional standards, ADOC and Tutwiler shall develop and implement a classification process including custody classification, and

risk/need assessment, and screening for risk of vulnerability or perpetration of sexual abuse or sexual harassment and use that information to inform housing,

bed, work, education, and program assignments with the goal of maximizing safety.

Policy

Develop WRNA

Manual/ Validated

Implement

WRNA

3. The approved plan for implementation of the classification system shall be managed by an implementation workgroup and completed within two years of the approval of plan. 4. The system shall provide programs that incorporate gender responsive principles and address the needs

III.F.3 III.F.4

Note: ADOC and DOJ Need to discuss dates

September (March 28, 2016 () 28,2019

of women inmates at Tutwiler, including those addressing sexual abuse, sexual harassment, and trauma;

domestic violence; dating violence; and medical and mental health care.

Policy

Staff Trained

Policy

REQUIREMENTS

Developed

Implemented

Managed by an implementation workgroup

Y N N/A Y N N/A

Y N N/A

Completed within 2 years of approval

Y N N/A Y N N/A

Y N N/A

System provides programs that address the needs of women inmates at Tutwiler, including: 1. Gender responsive programming addressing sexual abuse/harassment and trauma 2. Gender responsive programming addressing domestic violence and dating violence 3. Gender responsive programming addressing medical care 4. Gender responsive programming addressing mental health care

Y N N/A Y N N/A Y N N/A Y N N/A Y N N/A

Y N N/A Y N N/A Y N N/A Y N N/A Y N N/A

Y N N/A Y N N/A Y N N/A Y N N/A Y N N/A

MONITOR’S MEASURES OF COMPLIANCE

1. Review of draft gender responsive classification plan. 2. Interviews with Ms. Westry and other members of the required classification plan workgroup. 3. Interviews with Deputy Commissioner Williams, Warden Wright, and Lt. Young. 4. Minutes to Implementation Workgroup Meetings

III.F.3 / III.F.4

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STEPS TAKEN BY MONITOR TO ANALYZE CONDITIONS AND ASSESS COMPLIANCE, AND FACTUAL BASIS FOR MONITOR’S FINDINGS

(for each member of monitoring team)

Documents

Interviews

On-site/Observations / Other

Reviewed: • Draft gender responsive classification plan • Implementation Workgroup meeting minutes

• Deputy Commissioner Williams • Warden Wright • Lt. Young • Ms. Westry

• Compliance Visit December 5-9, 2017

UNRESOLVED/PARTIALLY RESOLVED ISSUES FROM PREVIOUS TOUR This provision is not due for a compliance determination until March 2019.
NOTE: THIS SECTION INCLUDES III.F.3 and III.F.4. Please provide separate findings, discussion, and recommendations for all provisions. MONITOR’S FINDINGS:
Substantial Compliance Partial Compliance Non-compliance n/a no assessment due until March 28,2019

DATE: December 31, 2016

III.F.3 / III.F.4

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MONITOR’S DISCUSSION: STEPS TAKEN BY ADOC AND TUTWILER TOWARDS IMPLEMENTATION

DATE: December 31, 2016

An implementation workgroup was created by Dr. Van Voorhis, and includes the following stakeholders: Cassandra Conway–Classification Director; Angie Baggett -Asst. Classification Director; Chitema Westry – Tutwiler Classification Supervisor; Jessica Simmons – ADOC IT; Dr. Scott Holmes – Tutwiler Psychologist; and Rosalind Williams – IT Project Manager.

MONITOR’S DISCUSSION: EXTENT TO WHICH ADOC AND TUTWILER HAVE COMPLIED WITH THE AGREEMENT

DATE: December 31, 2016

The Monitor has determined a rating of N/ A is appropriate as no assessment is due until March 28, 2019. A workgroup as previously described has been identified to manage implementation. The due date for the development of the manual and the WRNA was September 28, 2016.

Piloting and validation of the WRNA for Alabama is planned as previously described.

The proposed system provides for programs that address the needs of women inmates at Tutwiler, including: 1) cognitive skills or general cognitive behavioral programs, 2) anger and aggression, 3) abuse and trauma, 4) substance abuse, 5) healthy relationships, 6) self-efficacy / empowerment, and 7) parenting programs.

MONITOR’S RECOMMENDATIONS: (for at least the next 6 months)
1. ADOC to provide updates to the Monitor, when appropriate, on their efforts to move forward on the following issues:
• Efforts to fill additional staff positions authorized to support WRNA implementation. • Efforts to provide the types of programming, via the classification plan. • Documentation of any formal/informal training that is provided to staff or inmates on the new classification system.

DATE DUE As appropriate

III.F.3 / III.F.4

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III.G Risk Assessment

RISK ASSESSMENT

1. ADOC and Tutwiler shall continue to utilize a risk assessment instrument to screen for risk of victimization and abusiveness

REQUIREMENTS

Policy

Develop Implement

Policy Policy

AR 454

III.G.1 SOP 8-12

May 28, May 28,

2015 2015

Policy

Staff Trained Policy

Developed

Implemented

Initiate and document communication with facility from which the inmate is received to learn about their incarceration, adjustment issues, disciplinary history, and any other factors relevant to identification of potential predators and victims including pregnancy status.

Y N N/A Y N N/A Y N N/A

If an inmate arrives at Tutwiler from another custodial institution, including a county jail, work release placement, or halfway house, the transferring facility is notified that if it is suspected, as a result of either the inmate’s self-reporting or after the initial medical evaluation, that sexual abuse in a custodial setting could have caused the pregnancy.

Y N N/A Y N N/A Y N N/A

All inmates are assessed during an intake screening within 72 hours of arrival. The screening includes an assessment of an inmate’s risk of being sexually abused by other inmates or sexually abusive toward other Y N N/A Y N N/A inmates.
1. In assessing inmates for risk of being sexually abusive, the initial screening considers prior acts of sexual abuse, prior convictions for violent offenses, and history of prior institutional violence and/or Y N N/A Y N N/A sexual abuse
2. If the screening indicates that an inmate has experienced prior sexual victimization or perpetrated sexual abuse, whether it occurred in an institutional setting or in the community, staff ensure that Y N N/A Y N N/A the inmate is offered a follow-up with a medical or mental health practitioner within 14 days of the intake screening.

Y N N/A Y N N/A Y N N/A

The intake screening includes: Whether the inmate has a mental, physical, or developmental disability; the Y N N/A Y N N/A age of the inmate; the physical build of the inmate; whether the inmate has previously been incarcerated;

whether the inmate has a history of substance abuse and/or alcohol dependency; whether the inmate has a

history of self injurious behavior and/or suicidal ideation; whether the inmate’s criminal history is

exclusively nonviolent; whether the inmate has prior convictions for sex offenses against an adult or child;

whether the inmate is or is perceived to be gay, lesbian, bisexual, transgender, intersex, or gender

nonconforming; whether the inmate has previously experienced sexual victimization; the inmate’s own

perception of vulnerability; and any other factors that have been selected for Tutwiler.

Y N N/A Y N N/A

III.G.1

Y N N/A Y N N/A

Case 2:15-cv-00368-MHT-TFM Document 26-1 Filed 03/28/17 Page 84 of 198

Within 30 days of an inmate’s arrival at Tutwiler, Tutwiler reassesses the inmate’s risk of victimization or abusiveness based upon a trauma screening and assessment developed under III.F2 and any additional, relevant information received by Tutwiler since the intake screening.
An inmate’s risk level is reassessed when warranted due to a referral, request, incident of sexual abuse, or receipt of additional information that bears on the inmate’s risk of sexual victimization or abusiveness
ADOC and Tutwiler use information from the risk screening to make an individualized and safety-based determination of prisoners’ housing, bed, work, education, and program assignments
Placement and programming assignments for inmates at high risk of sexual victimization are reassessed at least twice each year to review any threats to safety experienced by the inmate and such inmate’s own views with respect to her own safety are given serious consideration.

Y N N/A Y N N/A Y N N/A Y N N/A Y N N/A Y N N/A

Y N N/A Y N N/A Y N N/A

MONITOR’S MEASURES OF COMPLIANCE

1. SOP 8-12 Inmate Sexual Abuse and Harassment-requirement for Tutwiler to notify other facilities of any inmate allegation of sexual abuse/harassment, once received at Tutwiler.
2. Review PREA Risk Factors Checklist, ADOC form 454: June-December 2016. 3. Review randomly selected checklists that have a positive response to any of the questions, warranting an interview with Dr. Holmes or other
MH staff. 4. Documentation maintained by Ms. Westry and classification staff for these same referrals. 5. Documentation from Dr. Holmes, mental health staff, regarding results of their interview with these inmates. Review documentation of Dr.
Holmes' referrals for formal mental health evaluation interview. 6. Review copies of any correspondence from Warden Wright and/or Lt. Young to another facility regarding a new admission’s allegation of sexual
abuse/harassment. 7. Review of randomly selected inmate re-assessments. 8. Documentation used/created by Lt. Young and Dr. Holmes of their review of the ADOC checklist 454-C, for inmates who may be at risk of
victimization or predatory behavior. 9. Inmate focus groups. 10. Individual inmate interviews.

III.G.1

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STEPS TAKEN BY MONITOR TO ANALYZE CONDITIONS AND ASSESS COMPLIANCE, AND FACTUAL BASIS FOR MONITOR’S FINDINGS

(for each member of monitoring team)

Documents

Interviews

On-site/Observations / Other

Review of: • SOP 8-12 Inmate Sexual Abuse and Harassment • PREA classification risk factors checklist (ADOC 454-
C): June-December 2016 • Classification section logs for tracking the PREA
checklist • Randomly selected initial mental health review-by Dr.
Holmes/staff-of submitted PREA checklists • Correspondence from Warden Wright/Lt. Young to
other confinement units • Classification spreadsheets tracking the required
reassessments • MHM mental health initial assessments due to risk
factors in checklist factors in checklist

Deputy Commissioner Williams • Associate Commissioner Naglich • ADOC Chief Psychologist Dr. Tytell • Warden Wright • Dr. Holmes • Ms. Greer • Lynn Brown, OHS Regional Supervisor • Lt. Young • Ms. Westry • Inmate focus groups • Individual inmate interviews

• Compliance Visit December 5-9, 2016

None.

UNRESOLVED/PARTIALLY RESOLVED ISSUES FROM PREVIOUS TOUR

The Monitor found ADOC and Tutwiler to be ‘Substantially Compliant” with this provision during the June 2016 Compliance Visit.

ADOC and Tutwiler have addressed all recommendations made by the Monitor regarding this provision during the June 2016 Compliance Visit.

III.G.1

Case 2:15-cv-00368-MHT-TFM Document 26-1 Filed 03/28/17 Page 86 of 198
MONITOR’S FINDINGS: Substantial Compliance Partial Compliance Non-compliance n/a no assessment due until __________

DATE: December 31, 2016

MONITOR’S DISCUSSION: STEPS TAKEN BY ADOC AND TUTWILER TOWARDS IMPLEMENTATION

DATE: December 31, 2016

Tutwiler began using ADOC Form 454-C, PREA Risk Factors Checklist, in July, 2014 to screen all inmates entering Tutwiler for risk of victimization or abusiveness. This form was created in May 2014, by the ADOC Office of Health Services (OHS). The OHS consulted with several other states to get input on risk factor checklists in use. In January 2016, Tutwiler began conducting a reassessment within 30 days of an inmate’s arrival using Form 454-C.

AR 454 (Inmate Sexual Abuse & Harassment) was revised and published in January, 2016, and ADOC Form 454-C, PREA Risk Factors Checklist, became an official part of that policy. Tutwiler’s SOP 8-12 (Inmate Sexual Abuse & Sexual Harassment), also includes the use of this form. This form is used for both initial screenings and reassessments.

During this review period, draft revisions to fine tune ADOC Form 454-C were submitted to the Monitor and DOJ for review and comments and the revised form was published August 1, 2016. The form and process address elements required by this provision. At present there is no national model for a genderresponsive PREA risk factor tool. The tool currently being used is in SOP 8-12. A revised Tutwiler tool contains the same factors that are being used in male facilities with a few revisions. The tool will continue to evolve to incorporate gender responsive principles and may hold potential for becoming a national model.

Staff have been trained in the use of ADOC Form 454-C.

III.G.1

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MONITOR’S DISCUSSION: EXTENT TO WHICH ADOC AND TUTWILER HAVE COMPLIED WITH THE AGREEMENT

DATE: December 31, 2016

Note: The Monitor uses the time frame June 25 - December 31, 2016 as the "reporting period" throughout this report. The Monitor received documents and updates from ADOC prior to, during and after the December 2016 Compliance Visit.
The Monitor found ADOC and Tutwiler to be ‘Substantially Compliant” with this provision during the June 2016 Compliance Visit. To date, ADOC and Tutwiler have sustained substantial compliance. The Monitor determined the rating of "Substantial Compliance" for this reporting period based upon the following observations.
Tutwiler classification specialists review inmate records from the county jail of origin, and may initiate communication with the facility from which the inmate is received to learn more about their incarceration, adjustment issues, disciplinary history, and any other factors relevant to identification of potential predators and victims including pregnancy status, if this information is not available in transcripts or other documents received from the county. The sending facility may not always respond to requests for additional information. This provision is included in Tutwiler SOP 8-12.
When an inmate arrives at Tutwiler from another custodial institution, including a county jail, work release placement, or halfway house, the transferring facility is notified by the Warden if it is suspected, as a result of either the inmate’s self-reporting or after the initial medical evaluation, that sexual abuse in a custodial setting could have caused the pregnancy. This provision is in ADOC and Tutwiler policy (AR 454 and SOP 8-12).
All inmates are assessed during an intake screening within 72 hours of arrival, for factors listed in Section III.G.1.iii of the Agreement. The assessment is conducted by Classification staff. The screening includes an assessment of an inmate’s risk of being sexually abused by other inmates or sexually abusive toward other inmates. In assessing inmates for risk of being sexually abusive, the initial screening considers prior acts of sexual abuse, prior convictions for violent offenses, and history of prior institutional violence and/or sexual abuse.
If the screening indicates that an inmate has experienced prior sexual victimization or perpetrated sexual abuse, whether it occurred in an institutional setting or in the community, staff ensure that the inmate is offered a follow-up with a medical or mental health practitioner within 14 days of the intake screening. If an inmate is assessed to be at risk of victimization or sexually abusive toward other inmates, a mental health referral is completed by the Classification Specialist, and that inmate is interviewed by a mental health practitioner that same day. This provision is in ADOC and Tutwiler policy (AR 454 and SOP 8-12).
The intake screening includes: Whether the inmate has a mental, physical, or developmental disability; the age of the inmate; the physical build of the inmate; whether the inmate has previously been incarcerated; whether the inmate has a history of substance abuse and/or alcohol dependency; whether the inmate has a history of self-injurious behavior and/or suicidal ideation; whether the inmate’s criminal history is exclusively nonviolent; whether the inmate has prior convictions for sex offenses against an adult or child; whether the inmate is or is perceived to be gay, lesbian, bisexual, transgender, intersex, or gender nonconforming; whether the inmate has previously experienced sexual victimization; the inmate’s own perception of vulnerability. This requirement is documented in SOP 8-12.

III.G.1

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Within 30 days of an inmate’s arrival at Tutwiler, Tutwiler reassesses the inmate’s risk of victimization or abusiveness based upon a trauma screening and assessment developed under III.F2 and any additional, relevant information received by Tutwiler since the intake screening. Tutwiler is currently using the ADOC Form 454-C to conduct these reassessments. This requirement is documented in ADOC and Tutwiler policy (AR 454 and SOP 8-12). An inmate’s risk level is reassessed when warranted due to a referral, request, incident of sexual abuse, or receipt of additional information that bears on the inmate’s risk of sexual victimization or abusiveness. This provision is in ADOC and Tutwiler policy (AR 454 and SOP 8-12). Tutwiler is formally using information from the risk screening to make individualized and safety-based determination of prisoners’ housing, bed, work, education, and program assignments. Tutwiler Classification staff is currently sending the Tutwiler IPCM (Lt. Yvette Young) a copy of the Risk Factors Checklist, as well as ADOC Psychological Associate, Dr. Scott Holmes. Lt. Young and Dr. Holmes actively following up with any inmates who present at risk of being sexually abused or sexually aggressive towards inmates. They monitor these inmates, and consideration is given to the respective inmates’ housing, bed, work, education, and program assignments. This provision is in ADOC and Tutwiler policy (AR 454 and SOP 8-12) Placement and programming assignments for inmates at high-risk of sexual victimization (transgender and intersex inmates) will be reassessed at least twice each year to review any threats to safety experienced by the inmate. The inmate's own views with respect to personal safety are given serious consideration. This provision was added to Tutwiler SOP 8-12.
Staff have been trained in the policy and process.
The Monitor's review of both classification and mental health staff checklist that track initial screenings and reassessments support that policy has been implemented. Interviews with staff confirm that Lt. Young and Dr. Holmes actively follow up with any inmates who present at risk of being sexually abused or sexually aggressive towards inmates. They monitor these inmates, and consideration is given to the respective inmates’ housing, bed, work, education, and program assignments
.

MONITOR’S RECOMMENDATIONS: (for at least the next 6 months)
None.

DATE DUE: N/A

III.G.1

Case 2:15-cv-00368-MHT-TFM Document 26-1 Filed 03/28/17 Page 89 of 198

III.G Risk Assessment

RISK ASSESSMENT

Policy

2. Inmates at high risk for sexual victimization shall not be placed in involuntary segregation housing due to their high risk of victimization unless an assessment of all available alternatives has been made, and a determination has been made that there is no available alternative means of separation from likely abusers. Such an assessment and determination shall be documented, explain the basis for Tutwiler’s concern for the inmate’s safety and the reason why no alternative means of separation can be arranged. A review of such determination must be afforded each inmate at least every 30 days to determine whether there is a continuing need for separation from the general population.

AR 454 III.G.2 SOP 8-12

Develop Implement Policy Policy
February February 28, 2016 28, 2016

3. Inmates placed in segregated housing due to potential victimization shall, to the extent possible, have full III.G.3 access to programs, privileges, education, and work opportunities as inmates in general population housing.

REQUIREMENTS

Policy Developed

Staff Trained

Inmates at high risk for sexual victimization are not placed in involuntary segregated housing due to their Y N N/A high risk of victimization unless:
1. An assessment of all available alternatives has been made, and 2. A determination has been made that there is no available means of separation from likely
abusers

Y N N/A

Policy Implemented
Y N N/A

The assessment and determination is documented and explains the basis for Tutwiler’s concern for the inmate’s safety and the reason why no alternative means of separation can be arranged.

Y N N/A Y N N/A

Y N N/A

Each inmate is afforded a review of a segregation determination at least every 30 days to determine whether there is a continuing need for separation from the general population.

Y N N/A Y N N/A

Y N N/A

Inmates placed in segregated housing due to potential victimization shall, to the extent possible, have full

access to programs, privileges, education, and work opportunities as inmates in general population

Y N N/A

housing.

Y N N/A

Y N N/A

III.G.2 / III.G.3

Case 2:15-cv-00368-MHT-TFM Document 26-1 Filed 03/28/17 Page 90 of 198
MONITOR’S MEASURES OF COMPLIANCE

1. SOP 8-12, Inmate Sexual Abuse and Harassment. 2. ADOC form 302-A incident reports for any inmate segregated related to this policy requirement. 3. Excel spreadsheet maintained by Lt. Young -for inmate placement on involuntary segregation status. 4. Interviews with Warden Wright, Lt. Young. 5. Staff interviews. 6. Inmate focus groups. 7. Individual inmate interviews. 8. Inmate correspondence received by Monitor. 9. If Monitor is notified of an inmate placement in segregation, additional information will be requested.

STEPS TAKEN BY MONITOR TO ANALYZE CONDITIONS AND ASSESS COMPLIANCE, AND FACTUAL BASIS FOR MONITOR’S FINDINGS

Documents

(for each member of monitoring team) Interviews

On-site/Observations / Other

Reviewed: • ADOC 302-A: incident reports, for and Tutwiler inmate
confined in involuntary segregation • Review of any records maintained by Lt. Young of
involuntary segregation placements • Review of monthly grievances • Review of inmate correspondence received by Monitor

• Warden Wright • Lt. Young • Staff interviews • Inmate focus groups • Individual inmate interviews

• Compliance Visit of December 5-9, 2017

III.G.2 / III.G.3

Case 2:15-cv-00368-MHT-TFM Document 26-1 Filed 03/28/17 Page 91 of 198
UNRESOLVED/PARTIALLY RESOLVED ISSUES FROM PREVIOUS TOUR None. The Monitor found ADOC and Tutwiler to be ‘Substantially Compliant” with this provision during the June 2016 Compliance Visit. The Monitor made no recommendations regarding this provision during the June 2016 Compliance Visit.

MONITOR’S FINDINGS: Substantial Compliance Partial Compliance Non-compliance n/a no assessment due until __________

DATE: December 31, 2016

III.G.2 / III.G.3

Case 2:15-cv-00368-MHT-TFM Document 26-1 Filed 03/28/17 Page 92 of 198

MONITOR’S DISCUSSION: STEPS TAKEN BY ADOC AND TUTWILER TOWARDS IMPLEMENTATION

DATE: December 31, 2016

ADOC and Tutwiler policy (AR 454 & SOP 8-12) currently include policy on Section III.G.2 & 3, and this policy has been in practice at Tutwiler since February 2014. Staff has been trained on this policy and the policy has been implemented since February 2014. Should an inmate ever be placed in involuntary segregation housing due to her high risk of victimization, that causal incident would be documented on ADOC Form 302A.

Lt. Yvette Young (IPCM) is responsible for tracking the number of inmates who are held in or assigned to involuntary segregation because of a risk of sexual victimization for a period longer than 24 hours. She maintains an Excel spreadsheet to track this information, and ADOC began reporting this data in August 2016.

MONITOR’S DISCUSSION: EXTENT TO WHICH ADOC AND TUTWILER HAVE COMPLIED WITH THE AGREEMENT

DATE: December 31, 2016

Note: The Monitor uses the time frame June 25 - December 31, 2016 as the "reporting period" throughout this report. The Monitor received documents and updates from ADOC prior to, during and after the compliance visit of December 5-9, 2016.

The Monitor found ADOC and Tutwiler to be ‘Substantially Compliant” with this provision during the June 2016 Compliance Visit. To date, ADOC and Tutwiler have sustained substantial compliance.

Inmates at high risk for sexual victimization are not placed in involuntary segregated housing due to their high risk of victimization unless: • An assessment of all available alternatives has been made, and • A determination has been made that there is no available means of separation from likely abusers
When justified, the assessment and determination will be documented and explain the basis for Tutwiler’s concern for the inmate’s safety and the reason why no alternative means of separation can be arranged.

Each inmate will be afforded a review of a segregation determination at least every 30 days to determine whether there is a continuing need for separation from the general population.

Inmates placed in segregated housing due to potential victimization shall, to the extent possible, would have full access to programs, privileges, education, and work opportunities as inmates in general population housing.

All the aforementioned provisions are documented in Tutwiler SOP 8-12.In the interview with Lt. Young, it was reported that there has not been an incident involving the placement of an inmate in this particular segregation status since the initiation of the settlement agreement in 2015.

III.G.2 / III.G.3

Case 2:15-cv-00368-MHT-TFM Document 26-1 Filed 03/28/17 Page 93 of 198

NOTE: THIS SECTION INCLUDES III.G.2 and III.G.3. Please provide separate findings, discussion, and recommendations for all provisions. MONITOR’S RECOMMENDATIONS: (for at least the next 6 months)
None.

DATE DUE: N/A

III.G.2 / III.G.3

Case 2:15-cv-00368-MHT-TFM Document 26-1 Filed 03/28/17 Page 94 of 198

INMATES’ RIGHT TO PRIVACY III.H ADOC and Tutwiler shall prevent officers from unnecessarily viewing inmates who are naked or performing bodily functions
Policy

1. Cross-Gender Searches : ADOC and Tutwiler shall continue to comply with its policy regarding cross- III.H.1. gender pat and strip searches

AR 454 SOP 8-12 SOP 7-7 SOP 9-6

Develop Policy May 28, 2015

Implement Policy May 28, 2015

REQUIREMENTS

Policy Developed

Staff Trained

i. ADOC and Tutwiler shall comply with its policy regarding cross gender pat and strip searches and shall Y N N/A ensure that appropriate modifications to the policy are made and implemented to include, at a minimum, the items specified in III.H.1.ii to III.H.1.v

Y N N/A

Policy Implemented
Y N N/A

ii. Tutwiler will continue to not conduct cross-gender strip searches or visual body cavity searches (meaning a search of the anal or genital opening) except in exigent circumstances or when performed by medical practitioners

Y N N/A Y N N/A

Y N N/A Y N N/A iii. Tutwiler will continue to prohibit cross-gender pat-down searches of women inmates, absent exigent
circumstances. Inmates’ access to regularly available programming or other out-of-cell opportunities
shall not be restricted in order to comply with this provision.

Y N N/A Y N N/A

iv. Tutwiler shall document all cross-gender strip searches, cross-gender visual body cavity searches, and cross gender pat-down searches of women inmates, and shall document the exigent circumstances that Y N N/A Y N N/A warranted the search. To the extent that any such searches were conducted, Tutwiler shall provide this documentation to the Monitor and DOJ on a quarterly basis

Y N N/A

v. ADOC and Tutwiler shall train security staff in how to conduct cross-gender pat-down searches and searches of transgender and intersex inmates, when required, in a professional and respectful manner, Y N N/A Y N N/A
and in the least intrusive manner possible, consistent with security needs

Y N N/A

III.H.1.i-v

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MONITOR’S MEASURES OF COMPLIANCE

1. SOP 8-12 Inmate Sexual Abuse and Harassment and SOP 7-7 Searches. 2. Review of any incident reports and use of force reports involving cross gender strip and pat searches. 3. Interviews with Warden Wright, Lt. Young. 4. Staff interviews. 5. Inmate focus groups. 6. Individual interviews with inmates. 7. Inmate correspondence received by Monitor.

STEPS TAKEN BY MONITOR TO ANALYZE CONDITIONS AND ASSESS COMPLIANCE, AND FACTUAL BASIS FOR MONITOR’S FINDINGS

(for each member of monitoring team)

Documents

Interviews

On-site/Observations / Other

Reviewed: • SOP 8-12 Inmate Sexual Abuse and
Harassment • SOP 7-7 Searches • Any incident reports for cross gender
searches: June-December 2016 • Inmate correspondence received by Monitor

• Warden Wright • Lt. Young • Staff interviews • Inmate focus groups • Individual inmate interviews

• Compliance Visit December 5-9, 2016

None.

UNRESOLVED/PARTIALLY RESOLVED ISSUES FROM PREVIOUS TOUR

The Monitor found ADOC and Tutwiler to be ‘Substantially Compliant” with this provision during the June 2016 Compliance Visit.

The Monitor made no recommendations regarding this provision during the June 2016 Compliance Visit.

III.H.1.i-v

Case 2:15-cv-00368-MHT-TFM Document 26-1 Filed 03/28/17 Page 96 of 198
MONITOR’S FINDINGS: Substantial Compliance Partial Compliance Non-compliance n/a no assessment due until __________

DATE: December 31, 2016

MONITOR’S DISCUSSION: STEPS TAKEN BY ADOC AND TUTWILER TOWARDS IMPLEMENTATION

DATE: December 31, 2016

ADOC and Tutwiler policy (AR 454 & SOP 8-12) includes policy on Section III.H.1 and this policy has been in practice at Tutwiler since February 2014. Staff has been trained on this policy and the policy has been implemented since February 2014. Should a search (as described in Section III.H.1) ever have to be conducted, that incident would be documented on ADOC Form 302A. Tutwiler security staff was trained in how to conduct cross-gender patdown searches and searches of transgender and intersex inmates, during 2015 ADOC In-Service Training. This training curriculum has already been provided to the Monitor and DOJ.

MONITOR’S DISCUSSION: EXTENT TO WHICH ADOC AND TUTWILER HAVE COMPLIED WITH THE AGREEMENT

DATE: December 31, 2016

Note: The Monitor uses the time frame June 25 - December 31, 2016 as the "reporting period" throughout this report. The Monitor received documents and updates from ADOC prior to, during and after the compliance visit of December 5-9, 2016.

The Monitor found ADOC and Tutwiler to be ‘Substantially Compliant” with this provision during the January and June 2016 Compliance Visits. To date, ADOC and Tutwiler have sustained substantial compliance.

The Monitor reviewed this SOP 7-7 Searches to confirm it prohibits the cross gender pat and strip searches, with the exception of exigent circumstances. The Monitor reviewed randomly selected inmate grievances for the period June-December 2016 and did not find one that alleged a violation of this policy.

III.H.1.i-v

Case 2:15-cv-00368-MHT-TFM Document 26-1 Filed 03/28/17 Page 97 of 198
The Monitor received letters from eight women during the reporting period of June-December and there were no allegations of a violation of this policy.
The Monitor conducted two inmate focus groups during the Compliance Visit and the women offered no observations or reports that this policy has been violated.
The Monitor interviewed staff and all agreed that this prohibition is accepted policy and they had not observed any violation of this policy.
This provision requires that an incident report, 302-A, be completed if cross gender searches occurs. The Monitor has a standing request to receive this report immediately after one is filed, if such a search occurs. During this reporting period, there have been no reported incidents of either cross gender pat or strip searches.
.

MONITOR’S RECOMMENDATIONS: (for at least the next 6 months)
None.

DATE DUE: N/A

III.H.1.i-v

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INMATES’ RIGHT TO PRIVACY III.H ADOC and Tutwiler shall prevent officers from unnecessarily viewing inmates who are naked or performing bodily functions
Policy

2.i Cross- Gender Viewing: ADOC and Tutwiler shall develop, submit to the Monitor and DOJ for review consistent with Section A.III.6, and implement policies and procedures that enable inmates to perform bodily functions – such as showering, bathing, and using the toilet – and change clothing without nonmedical staff of the opposite gender viewing their breasts, buttocks, or genitalia, except in exigent circumstances of when such viewing is incidental to routine cell checks

III.H.2.i AR 454 SOP 8-12 SOP 5-0

Develop Implement Policy Policy
February February 28, 2016 28, 2016

2. ii ADOC and Tutwiler shall develop, submit to the Monitor and DOJ for review consistent with Section III.A., and implement policies and procedures regarding the method of conducting inmate counts. This policy and procedure shall limit inmate movement during inmate counts and shall prohibit the practice of conducting inmate counts while inmates are likely to be in the shower and toilet areas
REQUIREMENTS

III.H.2.ii
Policy Developed

Staff trained

Policy Implemented

Inmates can perform bodily functions – such as showering, bathing, and using the toilet – and change clothing without nonmedical staff of the opposite gender viewing their breasts, buttocks, or genitalia

Y N N/A Y N N/A

Y N N/A

1. Except in exigent circumstances or 2. When such viewing is incidental to routine cell checks

Male staff is required to announce their presence before entering an inmate housing unit and again before entering the shower or toilet areas.
Inmate movement during count is limited
Conducting inmate counts while inmates are likely to be in the shower and toilet areas is prohibited

Y N N/A Y N N/A

Y N N/A

Y N N/A Y N N/A Y N N/A Y N N/A

Y N N/A Y N N/A

III.H.2.i / III.H.2.ii

Case 2:15-cv-00368-MHT-TFM Document 26-1 Filed 03/28/17 Page 99 of 198
MONITOR’S MEASURES OF COMPLIANCE

1. SOP's 8-12 Inmate Sexual Abuse and Harassment, SOP 7-9, Inmate Count Procedures and SOP 5.0 Dormitory Security. 2. Random review of dorm shift logs. 3. Dormitory Post Orders. 4. Review of inmate grievances. 5. Staff interviews. 6. Inmate focus groups. 7. Individual inmate interviews. 8. Inmate correspondence to Monitor. 9. Review of the Risk Management System to see any incidents of staff failure to follow these directives. 10. Tour of housing areas during Compliance Visit December 5-9, 2016. 11. Interviews with Warden Wright and Lt. Young, Lt. Coleman.

STEPS TAKEN BY MONITOR TO ANALYZE CONDITIONS AND ASSESS COMPLIANCE, AND FACTUAL BASIS FOR MONITOR’S FINDINGS

(for each member of monitoring team)

Documents

Interviews

On-site/Observations / Other

Reviewed: • SOP 8-12 Inmate Sexual Abuse and Harassment • SOP 7-9 Inmate Count Procedures • SOP's 5.0 Dormitory Security • Random selection, by Monitor, of shift logs
maintained in the dorms Risk Management
System to see if employees have violated
these provisions • Inmate correspondence received by Monitor
during this reporting period • Monthly grievances: June-December 2016

• Warden Wright • Lt Young • Captain McClain • Lt. Coleman • Staff interviews • Inmate focus groups • Individual inmate interviews

• Compliance Visit December 5-9, 2016

III.H.2.i / III.H.2.ii

Case 2:15-cv-00368-MHT-TFM Document 26-1 Filed 03/28/17 Page 100 of 198

None.

UNRESOLVED/PARTIALLY RESOLVED ISSUES FROM PREVIOUS TOUR

The Monitor found ADOC and Tutwiler to be ‘Substantially Compliant” with this provision during the June 2016 Compliance Visit.

The Monitor made no recommendations regarding this provision during the June 2016 Compliance Visit.

MONITOR’S FINDINGS:
Substantial Compliance Partial Compliance Non-compliance n/a no assessment due until __________

DATE: December 31, 2016

MONITOR’S DISCUSSION: STEPS TAKEN BY ADOC AND TUTWILER TOWARDS IMPLEMENTATION

DATE: December 31, 2016

ADOC and Tutwiler policy (AR 454&SOP 8-12) include policy on Section III.H.2 and this policy has been in practice at Tutwiler since February 2014. Staff has been trained on this policy and the policy has been implemented since February 2014. In addition, SOP 5-0 (Dormitory Security) was recently revised and published in March 2016, to include the provisions in Section III.H.2.

III.H.2.i / III.H.2.ii

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MONITOR’S DISCUSSION: EXTENT TO WHICH ADOC AND TUTWILER HAVE COMPLIED WITH THE AGREEMENT

DATE: December 31, 2016

Note: The Monitor uses the time frame June 25 - December 31, 2016 as the "reporting period" throughout this report. The Monitor received documents and updates from ADOC prior to, during and after the compliance visit of December 5-9, 2016.
The Monitor found ADOC and Tutwiler to be ‘Substantially Compliant” with this provision in during the June 2016 Compliance Visit. To date, ADOC and Tutwiler have sustained substantial compliance.
Inmates can perform bodily functions – such as showering, bathing, and using the toilet – and change clothing without nonmedical staff of the opposite gender viewing their breasts, buttocks, or genitalia:
• Except in exigent circumstances or • When such viewing is incidental to routine cell checks
Male staff is required to announce their presence before entering an inmate housing unit and again before entering the shower or toilet areas. Inmate movement during count is limited.
Conducting inmate counts while inmates are likely to be in the shower and toilet areas is prohibited by policy.
All the aforementioned provisions are included in Tutwiler dorm Post Orders and SOP 5-00, Dormitory Security. While touring the facility during the Compliance Visit, the Monitor witnessed male staff making the required announcements.
The Monitor reviewed monthly grievances for June-December 2016 and did not see a grievance complaining about the count procedures or violations of the privacy issues in the dorms.
The Monitor received letters from 8 inmates during June-December 2016 and did not receive complaints about the count procedures or the violations of dorm privacy.
The Monitor conducted two inmate focus groups of women randomly selected by the Monitor, and did not receive any complaints about the count procedures related to privacy concerns or the violations of dorm privacy.
The Monitor reviewed the employee Risk Management System for this reporting period. There were no notations of any active discipline for an employee for violating the privacy requirements of this provision from June-December 2016.

III.H.2.i / III.H.2.ii

Case 2:15-cv-00368-MHT-TFM Document 26-1 Filed 03/28/17 Page 102 of 198

MONITOR’S RECOMMENDATIONS: (for at least the next 6 months)
None.

DATE DUE: N/A

III.H.2.i / III.H.2.ii

Case 2:15-cv-00368-MHT-TFM Document 26-1 Filed 03/28/17 Page 103 of 198

INMATES’ RIGHT TO PRIVACY

III.H ADOC and Tutwiler shall prevent officers from unnecessarily viewing inmates who are naked or performing bodily functions

Policy

Develop Implement

Policy Policy

3. ADOC and Tutwiler shall continue to implement its plan to address the architectural features that

SOP 5.00

contribute to a lack of privacy for inmates while showering or using the toilet

III.H.3

May 28, May 28,

2015 2015

Policy

Staff Trained Policy

REQUIREMENTS

Developed

Implemented

Continue to implement plan to address the architectural features that contribute to a lack of privacy for Y N N/A inmates while showering or using the toilet.

Y N N/A Y N N/A

MONITOR’S MEASURES OF COMPLIANCE

1. SOP 5.00 Dormitory Security. 2. Review of any maintenance works logs for reporting period related to dorm privacy issues. 3. Interviews with Wardens Wright, Lt. Young. 4. Staff interviews. 5. Inmate focus groups. 6. Individual inmate interviews. 7. Inmate correspondence received by Monitor. 8. Monitor's tour observations.

III.H.3

Case 2:15-cv-00368-MHT-TFM Document 26-1 Filed 03/28/17 Page 104 of 198

STEPS TAKEN BY MONITOR TO ANALYZE CONDITIONS AND ASSESS COMPLIANCE, AND FACTUAL BASIS FOR MONITOR’S FINDINGS

(for each member of monitoring team)

Documents

Interviews

On-site/Observations / Other

Reviewed: • SOP 8-12 Inmate Sexual Abuse and
Harassment • Facility maintenance work orders related to
privacy issues • Inmate grievances: June-December 2016 • Inmate correspondence received by Monitor

• Deputy Commissioner Williams • Warden Wright • Lt. Young • Inmate focus groups • Individual inmate interviews

• Compliance Visit December 5-9, 2016 • Tour of trailer renovated for the separate housing of
any youthful offender held at Tutwiler. • Tour of dorm bathrooms and inspection of curtains and
privacy barriers • Tour of Dorm A • Tour of Annex • Tour of death row housing • Tour of segregation housing

None.

UNRESOLVED/PARTIALLY RESOLVED ISSUES FROM PREVIOUS TOUR

The Monitor found ADOC and Tutwiler to be ‘Substantially Compliant” with this provision during the June 2016 Compliance Visit.

The Monitor addressed the one recommendation the Monitor made regarding this provision during the June 2016 Compliance Visit.

MONITOR’S FINDINGS: Substantial Compliance Partial Compliance Non-compliance n/a no assessment due until __________

DATE: December 31, 2016

III.H.3

Case 2:15-cv-00368-MHT-TFM Document 26-1 Filed 03/28/17 Page 105 of 198

MONITOR’S DISCUSSION: STEPS TAKEN BY ADOC AND TUTWILER TOWARDS IMPLEMENTATION

DATE: December 31, 2016

ADOC and Tutwiler policy (AR 454&SOP 8-12) include policy on Section III.H.2 and this policy has been in practice at Tutwiler since February 2014. Staff has been trained on this policy and the policy has been implemented since February, 2014.

In addition, SOP 5-0 (Dormitory Security) was revised and published in March 2016, to include the provisions in Section III.H.2.

SOP 7-7 Inmate Count Procedures include policy on Section III.H.2.ii and this policy is in practice at Tutwiler.

MONITOR’S DISCUSSION: EXTENT TO WHICH ADOC AND TUTWILER HAVE COMPLIED WITH THE AGREEMENT

DATE: December 31, 2016

Note: The Monitor uses the time frame June 25 - December 31, 2016 as the "reporting period" throughout this report. The Monitor received documents and updates from ADOC prior to, during and after the compliance visit of December 5-9, 2016.

ADOC and Tutwiler's "Substantial Compliance" with the requirements of this provision was documented during the previous reporting period in the Monitor's Second Compliance Report. As of December 31, 2016 ADOC and Tutwiler have sustained compliance.

The Monitor determined the rating of "Substantial Compliance" for this reporting period based upon the following observations:

The Settlement requires the total separation in housing for youthful offenders, if admitted to Tutwiler. Although the youthful offender trailer is ready for occupancy, the Monitor notes that Tutwiler has not received a youthful offender requiring placement in this trailer during this reporting period.
The Monitor discussed the challenges of addressing maintenance issues in an old, overcrowded prison with maintenance staff. Line maintenance workers appear hardworking and creative as they address many plumbing issues at Tutwiler. No maintenance issues involving privacy concerns surfaced to the Monitor during these discussions with maintenance staff.
The Monitor visited Dorm A in the evening hours. The women voiced no complaints regarding privacy issues, but did complain about the temperature in the unit and some requested and received additional blankets.
The Monitor also visited segregation housing and spoke to each woman on the unit. These women voiced no concerns regarding privacy issues.
The Monitor stopped by the death row unit, but did not spend time touring that unit as she had spent considerable time in this unit during her orientation tour in September 2016. The women did not express any concerns regarding privacy issues.
The Monitor did not visit the Annex during the December 2016 Compliance Visit as she had spent considerable time in this unit during her orientation tour in

III.H.3

Case 2:15-cv-00368-MHT-TFM Document 26-1 Filed 03/28/17 Page 106 of 198
September 2016. The women did not express any concerns regarding privacy units. On several occasions during the Monitor's tours during the Compliance Visit, she witnessed the limitations on inmate movement during count time.

MONITOR’S RECOMMENDATIONS: (for at least the next 6 months)
None.

DATE DUE: N/A

III.H.3

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REPORTING ALLEGATIONS OF SEXUAL ABUSE AND SEXUAL HARASSMENT

III.I In order to adequately identify and respond to all instances of sexual abuse and sexual harassment at Tutwiler, ADOC and Tutwiler shall ensure that all

inmates, staff, and third-parties have multiple unimpeded methods to report incidents of sexual abuse and sexual harassment free from retaliation

Policy

Develop Implement

Policy Policy

1. ADOC and Tutwiler shall continue to comply with its policy on reporting allegations of sexual

AR 454

abuse and sexual harassment. Any modification of that policy shall be submitted to DOJ and the

III.I.1

SOP 8-12

May 28, May 28,

Monitor for review consistent with Section III.A.6. ADOC and Tutwiler shall provide multiple internal

SOP 8-22

2015 2015

methods, including a grievance process and at least one confidential method, for inmates to report

sexual abuse and sexual harassment, retaliation by other inmates or staff for reporting sexual abuse

and sexual harassment, and staff neglect or violation of responsibilities that may have contributed

to such incidents.

REQUIREMENTS

Policy Developed

Inmates have multiple internal methods, including a grievance process and at least one confidential Y N N/A method, to report sexual abuse and sexual harassment, retaliation by other inmates or staff for reporting sexual abuse and sexual harassment, and staff neglect or violation of responsibilities that may have contributed to such incidents.

Staff Trained Y N N/A

Policy Implemented
Y N N/A

Reports are accepted verbally, in writing, anonymously, and from third parties including other inmates, Tutwiler staff, and the inmate’s friends and family, advocates or legal representation.

Y N N/A Y N N/A

Y N N/A

Staff promptly document verbal reports in writing.

Y N N/A Y N N/A

Y N N/A

Information on how to report sexual abuse or sexual harassment on behalf of an inmate is distributed publicly.

Y N N/A Y N N/A

Y N N/A

III.I.1

Case 2:15-cv-00368-MHT-TFM Document 26-1 Filed 03/28/17 Page 108 of 198
MONITOR’S MEASURES OF COMPLIANCE

1. SOP 8-12 Inmate Sexual Abuse and Harassment and 8-22 Inmate Grievance Procedures. 2. Documentation of PREA hotline calls made from Tutwiler. 3. Review of grievances: June-December 2016. 4. Review of the Memoranda of Understanding (MOU) between ADOC and the Alabama Dept. Of Economic and Community Affairs (ADECA).
Documentation for any calls made to ADECA. Documentation of the procedures for inmate use and how was it published for the inmates. 5. Observation of PREA presentation during inmate orientation. 6. Interview with ADOC PREA Compliance Manger to review any third party reports or ADOC website reports for PREA incidents. 7. Inmate focus groups. 8. Individual inmate interviews. 9. Correspondence received by the Monitor. 10. Interview with Warden and Wright, Lt. Young, Lt. Coleman, Ms. Vincent, Ms. Tamara Jackson.

STEPS TAKEN BY MONITOR TO ANALYZE CONDITIONS AND ASSESS COMPLIANCE, AND FACTUAL BASIS FOR MONITOR’S FINDINGS

Documents

(for each member of monitoring team) Interviews

On-site/Observations / Other

Reviewed: • SOP 8-12 Inmate Sexual Abuse and Harassment • SOP 8-22 Inmate Grievance Policy • Log of Tutwiler PREA hotline calls: June-December 2016. • MOU between ADOC and Alabama Department of Economic
And Community Affairs (ADECA) • Calls received by ADECA and forwarded to Tutwiler by ADOC • Logs for hotline calls and ADEC calls maintained by Lt. Young • Curriculum for Inmate orientation • Any third party PREA reports • PREA dorm posters documenting the various phone call
processes to report allegations • Inmate correspondence received by the Monitor • Staff training records

• ADOC PREA Coordinator Vincent • ADOC Grievance Appeal Manager Ms.
Jackson • Warden Wright • Lt. Young • Lt. Coleman • Staff interviews • Inmate focus groups • Individual inmate interviews

• Compliance Visit December 5-9, 2016

III.I.1

Case 2:15-cv-00368-MHT-TFM Document 26-1 Filed 03/28/17 Page 109 of 198

None.

UNRESOLVED/PARTIALLY RESOLVED ISSUES FROM PREVIOUS TOUR

The Monitor found ADOC and Tutwiler to be ‘Substantially Compliant” with this provision during the June 2016 Compliance Visit.

ADOC and Tutwiler addressed all recommendations made by the Monitor regarding this provision during the June 2016 Compliance Visit.

MONITOR’S FINDINGS:
Substantial Compliance Partial Compliance Non-compliance n/a no assessment due until __________

DATE: December 31, 2016

MONITOR’S DISCUSSION: STEPS TAKEN BY ADOC AND TUTWILER TOWARDS IMPLEMENTATION

DATE: December 31, 2016

ADOC and Tutwiler policy (AR 454 & SOP 8-12) include policy on Section III.I.1. and this policy has been in practice at Tutwiler since February 2014. Staff have been trained on this policy and the policy has been implemented since February, 2014. The multiple methods of reporting sexual abuse or harassment include:
1) Inmates may report the incident to an ADOC employee, verbally or in writing, 2) Inmates may place a call to a public entity (Alabama Department of Economic and Community Affairs – ADECA) by dialing #66, and this can
also be done confidentially, 3) Inmates may report the incident to the Institutional PREA Compliance Manager, Lt. Yvette Young, verbally or in writing, 4) Inmates may use the pre-addressed I&I envelope, make a report to an I&I Division Investigator (box is in the law library), this can also be done
confidentially, 5) A third party, including fellow inmates, family members, friends, attorneys, contracted agency employees, or outside advocates can make the
report for an inmate(s),
III.I.1

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6) Inmates may file an emergency grievance using the Inmate Grievance Process, and, 7) Inmates may call the Alabama Coalition Against Rape (ACAR) using a toll-free number, for emotional support services related to sexual abuse.
Also, external methods of reporting include third party reports from outside can be made by accessing the ADOC website, at the bottom of the homepage.
In August 2016, ADOC notified the Monitor and DOJ of their decision to discontinue the use of the ADOC 91 Hotline effective October 1, 2016. Given the existence of two other hotlines, a third was duplicative and all agreed this additional line was not making best use of ADOC's limited resources. The Monitor assisted Tutwiler in the development of a communication plan to advise the women of this change. Announcements were posted on dormitory bulletin boards, and Lt. Young held discussions with inmates about the change in her weekly random inmate meetings and dormitory visits.
ADOC and Tutwiler policy require staff to promptly report and document reports of sexual abuse and harassment. Posters are prominently displayed throughout the facility that remind inmates of how to report incidents of sexual abuse and sexual harassment.
Monitor Lancaster had previously recommended the development of a staff intervention plan regarding the requirements for using professional language addressing inmates. The Warden developed and implemented a plan and submitted it to the Monitor and DOJ on October 31, 2016.

MONITOR’S DISCUSSION: EXTENT TO WHICH ADOC AND TUTWILER HAVE COMPLIED WITH THE AGREEMENT

DATE: December 31, 2016

Note: The Monitor uses the time frame June 25 - December 31, 2016 as the "reporting period" throughout this report. The Monitor received documents and updates from ADOC prior to, during and after the compliance visit of December 5-9, 2016.
ADOC and Tutwiler's "Substantial Compliance" with the requirements of this provision was documented during the previous reporting period in the Monitor's Second Compliance Report. As of December 31, 2016 ADOC and Tutwiler have sustained compliance.
The Monitor determined the rating of "Substantial Compliance" for this reporting period based upon the following observations:. . Inmates have multiple internal methods, including a grievance process and at least one confidential method, to report sexual abuse and sexual harassment and retaliation by other inmates or staff for reporting sexual abuse and sexual harassment, and staff neglect or violation of responsibilities that may have contributed to such incidents. This is documented in SOP 8-12.
Reports are accepted verbally, in writing, anonymously, and from third parties including other inmates, Tutwiler staff, and the inmates’ friends and family, advocates or legal representation. This is documented in SOP 8-12.
III.I.1

Case 2:15-cv-00368-MHT-TFM Document 26-1 Filed 03/28/17 Page 111 of 198
Staff promptly document verbal reports in writing. This is documented in SOP 8-12.
Information on how to report sexual abuse or sexual harassment on behalf of an inmate is distributed publicly. This is documented in SOP 8-12.
In interviews with the Monitor, inmates their access to multiple internal and external reporting mechanisms. In particular, most expressed their trust in Lt. Young and belief that she would be responsive to their needs.
During the tour of the facility, the Monitor observed the wide spread posting of information advising inmates of the many reporting avenues and methods. The posters contain all of the contact information for the PREA hotline, ADECA and the ACAR.
The Monitor reviewed the MOU between ADOC and the Alabama Department of Economic and Community Affairs (ADECA). It has been operational, and receiving calls, since MOU signed, April 29, 2016.
The Monitor reviewed inmate grievances filed during this reporting period. Inmates are using the grievance system appropriately. Several involved staff language that the inmates' felt was unprofessional. This issue was also raised by women in inmate focus groups and during individual discussions with the Monitor. The Monitor discussed this issue at length with Warden Wright. The Warden has taken hands on approach to this issue and is personally involved in the review of allegations and staff interventions. Her intervention plan is in place and she and her management team model the behavior expected of all staff at Tutwiler. The Monitor witnessed this on several occasions.
During the December2016 Compliance Visit the Monitor randomly selected inmate grievances for deeper inspection of Lt Coleman's comprehensive records and determined the grievance system is effective and fair. After the tour, the Monitor made inquiries about additional grievances and in each instance, Lt Coleman prepared a timely response to the Monitor’s inquires.
The Monitor reviewed the ADOC website link for the public, regarding the ability to file a PREA report. It provides adequate instruction for the public's reporting use. During this reporting period, there were no PREA allegations reported via the website.
The Monitor had an opportunity to interview death row inmates during her orientation tour in September 2016.and they acknowledged knowing how to make reports in a variety of ways. The inmates were familiar with Lt. Young, as she stops by their cells regularly. They also know how to file a grievance. There is an official notice about the grievance process in the entry space to their cells.
The Monitor reviewed the logs for the 91 PREA hotline calls and the responses made by Lt. Young.
Monitor received information regarding another method for inmate reporting, or third party, through the Alabama Coalition Against Rape (ACAR) The inmates can use a toll free number to call them. The agreement between ACAR and ADOC is that all calls are confidential, per ACAR policy. ACAR agreed to suggest/encourage the inmate to use the ADOC and Tutwiler methods of reporting, if their call was regarding a PREA allegation. There is no requirement for ACAR to report to ADOC.
III.I.1

Case 2:15-cv-00368-MHT-TFM Document 26-1 Filed 03/28/17 Page 112 of 198
This is the data for the actual numbers of the various reporting methods, used by the inmates, from June-December 2016 a. Inmates grievances reporting a PREA allegation - filed 4 b. PREA hotline calls (prior to its disconnection) reporting a PREA allegation - 0 c. Calls made to ADECA reporting a PREA allegation - 0 d. Calls made to the Alabama Coalition Against Rape- not known –not reported to ADOC by ACAR

MONITOR’S RECOMMENDATIONS: (for at least the next 6 months)

DATE DUE:

ADOC should continue to maintain a summary sheet, on a monthly basis, of the usage of the calls to ADECA. This sheet should be sent to the Monitor on a monthly basis. The Monitor may request more specific information on any of these reports prior to the June 2017 Compliance Visit.

Ongoing

III.I.1

Case 2:15-cv-00368-MHT-TFM Document 26-1 Filed 03/28/17 Page 113 of 198

REPORTING ALLEGATIONS OF SEXUAL ABUSE AND SEXUAL HARASSMENT

III.I In order to adequately identify and respond to all instances of sexual abuse and sexual harassment at Tutwiler, ADOC and Tutwiler shall ensure that all

inmates, staff, and third-parties have multiple unimpeded methods to report incidents of sexual abuse and sexual harassment free from retaliation

Policy

Develop Implement

Policy Policy

2. ADOC and Tutwiler shall also provide at least one way for inmates to report abuse or harassment to a

public or private entity or office that is not part of the agency, and that is able to receive and immediately III.I.2 AR454

forward inmate reports of sexual abuse and sexual harassment to agency officials, allowing the inmate to

SOP 8-12

February February

remain anonymous upon request. The method provided should be through a toll-free number or other

28, 2016 28, 2016

method as agreed to by the Monitor and DOJ.

3. ADOC and Tutwiler shall provide a method for staff to confidentially report sexual abuse and sexual harassment of inmates
REQUIREMENTS

III.I.3
Policy Developed

Staff Trained

Inmates have at least one way to report abuse or harassment to a public or private entity or office that is not part of the agency, and that is able to receive and immediately forward inmate reports of sexual abuse and sexual harassment to agency officials
An inmate may remain anonymous upon request when making such a report

Y N N/A Y N N/A Y N N/A Y N N/A

The method provided should be through a toll-free number or other method as agreed

Y N N/A Y N N/A

Policy Implemented Y N N/A
Y N N/A Y N N/A

Staff have a method to confidentially report sexual abuse and sexual harassment of inmates

Y N N/A Y N N/A Y N N/A

MONITOR’S MEASURES OF COMPLIANCE

1. SOP 8-12 Inmate Sexual Abuse and Harassment. 2. Review the agreement between ADOC and the Alabama Dept. of Economic and Community Affairs (ADECA) to provide the required external public
method for inmates to report sexual abuse/harassment. 3. Review any phone calls processed by ADECA and documentation by ADOC of their response and processing of the information. 4. Interview Warden Wright, Lt. Young, Director Mercado, Ms. Vincent about any staff reporting a confidential allegation of sexual abuse by the ADOC
website, Investigations & Intelligence receipt of any staff written allegation. 5. Staff interviews. 6. Inmate focus groups. 7. Individual inmate interviews.
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Case 2:15-cv-00368-MHT-TFM Document 26-1 Filed 03/28/17 Page 114 of 198
8. Inmate correspondence received by the Monitor. 9. Review the ADOC website link available for family, friends and others to report a PREA allegation.

STEPS TAKEN BY MONITOR TO ANALYZE CONDITIONS AND ASSESS COMPLIANCE, AND FACTUAL BASIS FOR MONITOR’S FINDINGS

Documents

(for each member of monitoring team) Interviews

On-site/Observations / Other

Reviewed: • SOP 8-12 Inmate Sexual Abuse and Harassment • Agreement between ADOC and ADECA • Documentation of calls made to ADECA • ADOC website link for public reports of PREA
allegations • monthly inmate grievances: June-December 2016 • Inmate correspondence received by Monitor

• ADOC PREA Coordinator Vincent • ADOC I & I Director Mercado • Deputy Commissioner Williams • Warden Wright • Lt. Young • Staff interviews • Inmate focus groups • Individual inmate interviews

• Compliance Visit December 5-9, 2016

None.

UNRESOLVED/PARTIALLY RESOLVED ISSUES FROM PREVIOUS TOUR

The Monitor found ADOC and Tutwiler to be ‘Substantially Compliant” with this provision during the June 2016 Compliance Visit.

The ADOC and Tutwiler addressed the one recommendation made by the Monitor during the June 2016 Compliance Visit.

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Case 2:15-cv-00368-MHT-TFM Document 26-1 Filed 03/28/17 Page 115 of 198

NOTE: THIS SECTION INCLUDES III.I.2 and III.I.3. Please provide separate findings, discussion, and recommendations for all provisions. DATE:

MONITOR’S FINDINGS:

December 31, 2016

Substantial Compliance

Partial Compliance

Non-compliance

n/a no assessment due until __________

MONITOR’S DISCUSSION: STEPS TAKEN BY ADOC AND TUTWILER TOWARDS IMPLEMENTATION

DATE: December 31, 2016

The ADOC entered into an agreement with a public entity, ADECA, in April, 2016. ADECA provides a way for inmates to report abuse or harassment to an entity not part of the ADOC, using a toll-free number. Notices of this availability were placed and are maintained on inmate bulletin boards throughout the facility.

ADOC and Tutwiler staff can confidentially report sexual abuse and sexual harassment of inmates by 1) using the ADOC website to make the report anonymously, or 2) using a confidential envelope available at the facility that is placed in the I &I box in the Law Library.

III.I.2 /III.I.3

Case 2:15-cv-00368-MHT-TFM Document 26-1 Filed 03/28/17 Page 116 of 198

MONITOR’S DISCUSSION: EXTENT TO WHICH ADOC AND TUTWILER HAVE COMPLIED WITH THE AGREEMENT

DATE: December 31, 2016

Note: The Monitor uses the time frame June 25 - December 31, 2016 as the "reporting period" throughout this report. The Monitor received documents and updates from ADOC prior to, during and after the compliance visit of December 5-9, 2016.

The Monitor found ADOC and Tutwiler to be ‘Substantially Compliant” with this provision during the June Compliance Visit. To date, ADOC and Tutwiler have sustained substantial compliance.

Inmates have at least one way to report abuse or harassment to a public or private entity or office that is not part of the agency, and that is able to receive and immediately forward inmate reports of sexual abuse and sexual harassment to agency officials. This is accomplished with the MOU in place between ADECA and ADOC. The Monitor reviewed this MOU, which was effective March 1, 2016. During inmate focus groups and in individual inmate interviews with the Monitor, the women demonstrated awareness of this resource. During her tour, the Monitor personally observed information about this reporting method on inmate bulletin boards and she also observed Lt. Young's PREA presentation during inmate orientation. Lt Young discussed the variety of options inmates have to report anonymously, and the ADECA is one of them.

An inmate may remain anonymous upon request when making such a report. This condition is addressed in the recorded message inmates hear. This provision is also included in Tutwiler's SOP 8-12.

The method provided should be through a toll-free number or other method as agreed. The method used by ADECA is a toll-free number.

Staff have a method to confidentially report sexual abuse and sexual harassment of inmates. Staff may utilize the ADOC website as a method for making confidential reports of sexual abuse and sexual harassment. Staff may also write the I & I Division, anonymously, to make allegations. Lt. Young has educated staff about the availability of this option.

MONITOR’S RECOMMENDATIONS: (for at least the next 6 months)
ADOC to continue to provide Monitor a monthly summary of the number of calls made on the ADECA.

DATE DUE: Ongoing

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REPORTING ALLEGATIONS OF SEXUAL ABUSE AND SEXUAL HARASSMENT III.I In order to adequately identify and respond to all instances of sexual abuse and sexual harassment at Tutwiler, ADOC and Tutwiler shall ensure that all inmates, staff, and third-parties have multiple unimpeded methods to report incidents of sexual abuse and sexual harassment free from retaliation

Policy

Develop Implement Policy Policy

4. Third parties shall be permitted to assist inmates in filing requests for administrative remedies relating to allegations of sexual abuse and sexual harassment, and shall also be permitted to file such requests on III.I.4

AR 454

behalf of inmates
5. All third party reports of sexual abuse and sexual harassment shall be forwarded immediately to the Departmental PREA Coordinator and be investigated and processed in accordance with Policy. As part of this process, the Departmental PREA Coordinator will inform Tutwiler’s PREA Compliance Manager of all

III.I.5

SOP 8-12

February February 28, 2016 28, 2016

third party reports received.

Policy

Staff Trained Policy

REQUIREMENTS

Developed

Implemented

Third parties can assist inmates in filing requests for administrative remedies relating to allegations of sexual abuse and sexual harassment

Y N N/A Y N N/A Y N N/A

Third parties can file requests for administrative remedies relating to allegations of sexual abuse and sexual Y N N/A Y N N/A harassment on behalf of inmates

All third party reports of sexual abuse and sexual harassment are forwarded immediately to the Departmental PREA Coordinator and are investigated and processed in accordance with Policy.

Y N N/A Y N N/A

The Departmental PREA Coordinator informs Tutwiler’s PREA Compliance Manager of all third party reports received

Y N N/A Y N N/A

Y N N/A Y N N/A Y N N/A

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Case 2:15-cv-00368-MHT-TFM Document 26-1 Filed 03/28/17 Page 118 of 198
MONITOR’S MEASURES OF COMPLIANCE
1. SOP 8-12 Inmate Sexual Abuse and Harassment and 8-22 Inmate Grievance Procedures. 2. Review of inmate grievances: June-December 2016. 3. Interviews with Ms. Vincent, ADOC PREA Coordinator, and Lt. Young about any third party reports directly to ADOC. Review documentation of any
reports and the processing of the allegations. 4. Interview with Lt. Coleman about third party assistance in filing administrative remedies through the grievance process. 5. Observe inmate orientation and the presentation of information about PREA and grievances. 6. Inmate focus groups. 7. Individual inmate interviews. 8. Inmate Correspondence received by the Monitor.

STEPS TAKEN BY MONITOR TO ANALYZE CONDITIONS AND ASSESS COMPLIANCE, AND FACTUAL BASIS FOR MONITOR’S FINDINGS

Documents

(for each member of monitoring team) Interviews

On-site/Observations / Other

Reviewed:

• ADOC PREA Coordinator Vincent

• SOP 8-12 Inmate Sexual Abuse and Harassment • SOP 8-22 Inmate Grievance Procedures • Inmate orientation presentation by Lt Young and

• Deputy Commissioner Williams • Warden Wright • Lt. Young

Lt Coleman

• Lt. Coleman

• Monthly inmate grievances: June-December 2016 • Staff interviews

• Inmate correspondence received by the Monitor • Inmate focus groups

• Any third party reports received by the ADOC or • Individual inmate interviews

Tutwiler

• Compliance Visit December 5-9, 2016
• Monitor’s observation of inmate orientation and the presentation by Lt Young and Lt Colema
• ADOC website link for PREA reporting

III.I.4/III.I.5

Case 2:15-cv-00368-MHT-TFM Document 26-1 Filed 03/28/17 Page 119 of 198

None.

UNRESOLVED/PARTIALLY RESOLVED ISSUES FROM PREVIOUS TOUR

The Monitor found ADOC and Tutwiler to be "Substantially Complaint" with this provision during the June 2016 Compliance Visit.

The Monitor made no recommendations during the June 2016 Compliance Visit.

NOTE: THIS SECTION INCLUDES III.I.4 and III.I.5. Please provide separate findings, discussion, and recommendations for all provisions. DATE:

MONITOR’S FINDINGS:

December 31, 2016

Substantial Compliance

Partial Compliance

Non-compliance

n/a no assessment due until __________

MONITOR’S DISCUSSION: STEPS TAKEN BY ADOC AND TUTWILER TOWARDS IMPLEMENTATION

DATE: December 31, 2016

All provisions in Section III.I.4 & 5 of the Agreement are in practice at Tutwiler, and are addressed in ADOC or Tutwiler policy. AR 454 and SOP 8-12 include these provisions. Staff has been trained and is aware of these provisions as demonstrated in interviews and discussions with the Monitor.

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MONITOR’S DISCUSSION: EXTENT TO WHICH ADOC AND TUTWILER HAVE COMPLIED WITH THE AGREEMENT

DATE: December 31, 2016

The Monitor found ADOC and Tutwiler to be ‘Substantially Compliant” with this provision during the June 2016 Compliance Visit. To date, ADOC and Tutwiler have sustained substantial compliance.

Third parties may assist inmates in filing requests for administrative remedies relating to allegations of sexual abuse and sexual harassment.
Third parties may file requests for administrative remedies relating to allegations of sexual abuse and sexual harassment on behalf of inmates. Lt. Coleman's inmate orientation presentation includes this information.
All third party reports of sexual abuse and sexual harassment are forwarded immediately to the Department PREA Coordinator and are investigated and processed in accordance with policy.

The Departmental PREA Coordinator informs Tutwiler’s PREA Compliance Manager of all third party reports received.

The aforementioned provisions are incorporated into policy and inmates have been made aware of them during inmate orientation. In one -onone discussions with the Monitor, inmates demonstrated a clear awareness of the procedures.
Staff has been trained in the provisions of the policy.
No third party filings were received in this reporting period.

MONITOR’S RECOMMENDATIONS: (for at least the next 6 months)
None.

DATE DUE: N/A

III.I.4/III.I.5

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REPORTING ALLEGATIONS OF SEXUAL ABUSE AND SEXUAL HARASSMENT

III.I In order to adequately identify and respond to all instances of sexual abuse and sexual harassment at Tutwiler, ADOC and Tutwiler shall ensure that all

inmates, staff, and third-parties have multiple unimpeded methods to report incidents of sexual abuse and sexual harassment free from retaliation

Policy

Develop Implement

Policy Policy

6. Grievances: ADOC and Tutwiler shall continue to develop and submit policies and procedures for an

AR 319

inmate Grievance System to the Monitor and DOJ for review within three months of the effective date and, III.I.6 SOP 8-22

August September

within four months of the effective date, implement the inmate Grievance System. This policy shall clearly

28,

28, 2015

prohibit retaliatory practices by staff against inmates who file a grievance and should include the

2015

requirements listed in III.I.6.ii-ix

TO DOJ

6.viii ADOC and Tutwiler shall develop, submit to the Monitor and DOJ for review consistent with Section III.A.6, and implement policies and procedures for the filing of an emergency grievance where an inmate is subject to a substantial risk of imminent sexual or physical abuse
REQUIREMENTS

III.I.6.viii
Policy Developed

Staff Trained Policy Implemented

All inmates receive orientation on the Grievance system during orientation

Y N N/A Y N N/A Y N N/A

ADOC will offer quarterly education on the Grievance System throughout the first year of implementation. Inmates will be required to attend at least once. [Dec 2015, Mar 2016, June 2016, Sep 2016]

Y N N/A Y N N/A Y N N/A

ADOC and Tutwiler shall ensure that all staff receive training on the Grievance System upon implementation Y N N/A Y N N/A Y N N/A and through annual in-service training

Grievance forms are available on all units

Y N N/A Y N N/A Y N N/A

ADOC and Tutwiler assist inmates who are limited English proficient, visually impaired, have a mental health impairment, are otherwise disabled, or who have limited reading or writing skills in accessing the grievance system

Y N N/A Y N N/A Y N N/A

An inmate who alleges sexual abuse or sexual harassment, or any other verbal or physical abuse by staff, may Y N N/A Y N N/A Y N N/A submit a complaint without submitting it to a staff member who is the subject of the complaint, and such complaint is not referred to a staff member who is the subject of the complaint

An inmate is not required to use any informal grievance process, or to otherwise attempt to resolve with staff, an alleged incident of sexual abuse, sexual harassment, or any other verbal or physical abuse by staff

Y N N/A Y N N/A Y N N/A

III.I.6 / III.I.6.viii

Case 2:15-cv-00368-MHT-TFM Document 26-1 Filed 03/28/17 Page 122 of 198

A final decision on the merits of any portion of a complaint alleging sexual abuse, sexual harassment, or any other verbal or physical abuse by staff is issued within 30 days of the initial filing of the complaint, with the option of an extension of up to an additional 30 days, approved and documented by facility designee, with written notice of status provided to inmate

Y N N/A Y N N/A Y N N/A

Emergency Grievances: After receiving an emergency oral or written complaint alleging an inmate is subject Y N N/A Y N N/A Y N N/A

to a substantial risk of imminent sexual or physical abuse, ADOC and Tutwiler shall:

1. Immediately forward the Grievance (or any portion that alleges the substantial risk of imminent

Y N N/A Y N N/A Y N N/A

sexual or physical abuse) to a level of review at which immediate corrective action may be taken

Y N N/A Y N N/A Y N N/A

2. Provide an initial response within 48 hours

Y N N/A Y N N/A Y N N/A

3. And issue a final decision within five calendar days

Y N N/A Y N N/A Y N N/A

4. The initial response and final agency decision documents the ADOC’s and/or Tutwiler’s determination whether the inmate is in substantial risk of imminent sexual or physical abuse and the

Y

N

N/A

Y

N

N/A

Y

N

N/A

action taken in response to the emergency grievance

MONITOR’S MEASURES OF COMPLIANCE

1. AR 319 and SOP 8-22 Inmate Grievance Procedures. 2. Review the revised inmate orientation/education curriculum that includes the8-12 Inmate Sexual Abuse Harassment and 8-22 Inmate Grievances
policies. 3. Documentation of inmate participation in the required quarterly education session on grievances for 2016. 4. Schedule for staff in-service training and documentation of their training on SOP 8-22 Inmate Grievance Procedures. 5. Compliance tour and observations of the placement of grievance boxes. 6. Interview with Dr. Holmes regarding any inmate needing interpreter services for filing grievances. See documentation if that has occurred during
the reporting period. 7. Monitor review of random grievances for the months of June-December 2016. 8. Interviews with Lt. Coleman, Warden Wright, Lt. Young. 9. Review documentation of any emergency grievance that was PROCESSED as an emergency grievance during this reporting period. 10. Interview with Ms. Tamara Jackson, ADOC PREA Coordinator and agency appeal authority. 11. Staff interviews. 12. Inmate focus groups. 13. Individual inmate interviews. 14. Inmate correspondence received by the Monitor. 15. Monitor's on site observation in grievance presentation in inmate orientation.

III.I.6 / III.I.6.viii

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STEPS TAKEN BY MONITOR TO ANALYZE CONDITIONS AND ASSESS COMPLIANCE, AND FACTUAL BASIS FOR MONITOR’S FINDINGS

(for each member of monitoring team)

Documents

Interviews

On-site/Observations / Other

Reviewed: • SOP 8-22 Inmate Grievance Policy • Curriculum for inmate education program • Documentation for inmate participation in
quarterly education sessions • Staff in-service training on grievance system • Inmate grievances: June-December 2016 • Inmate correspondence received by Monitor

• Deputy Commissioner Williams • Warden Wright • Lt. Coleman • Lt. Young • Staff interviews • Inmate focus groups • Individual inmate interviews • Ms. Jackson, ADOC Grievance
Coordinator (appeal coordinator)

• Compliance Visit December 5-9, 2016 • Observation of grievance presentation inmate
orientation • Tour of Tutwiler and observation of grievance
boxes in housing units • Observation of inmate grievance information
posted in dorms • Observation of inmate grievance mail boxes
located in facility.

UNRESOLVED/PARTIALLY RESOLVED ISSUES FROM PREVIOUS TOUR None. The Monitor found ADOC and Tutwiler to be "Substantially Complaint" with this provision during the June 2016 Compliance Visit. The ADOC and Tutwiler have addressed all recommendations made by the Monitor during the June 2016 Compliance Visit.

III.I.6 / III.I.6.viii

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MONITOR’S FINDINGS: Substantial Compliance Partial Compliance Non-compliance n/a no assessment due until __________

DATE: December 31, 2016

MONITOR’S DISCUSSION: STEPS TAKEN BY ADOC AND TUTWILER TOWARDS IMPLEMENTATION

DATE: December 31, 2016

Tutwiler SOP 8-22 Inmate Grievance Procedures, was revised, reviewed by the Monitor and DOJ, and published in March, 2016. Lt. Brian Coleman continues to be Tutwiler’s Grievance Officer.

The comprehensive offender education / orientation curriculum used to inform inmates at Tutwiler of the grievance procedures was revised in May 2016 and sent to the DOJ and Monitor for review and comment. The final draft of the curriculum has been completed. All inmates at Tutwiler have participated in a two-hour education program that included education on the Inmate Grievance Procedures. All new inmates receive orientation including information about the grievance program, upon intake. The Inmate Grievance Process officially began on August 31, 2015.

ADOC continues to offer quarterly education on the Grievance System to inmates. This provision is documented in SOP 8-22 Inmate Grievance Procedures,

Tutwiler staff received training on the Inmate Grievance System during staff meetings conducted in August, 2015. Staff also received training on the revised SOP 8-22 in March 2016. This provision is documented in SOP 8-22.

Grievance forms are available in all housing units, and this provision is documented in SOP 8-22.

SOP 8-22 outlines that Tutwiler Psychological Associate staff (Dr. Holmes and his team) will assist in providing inmates who are limited English proficient, visually impaired, have mental health impairment, are otherwise disabled, or who have limited reading or writing skills in accessing the grievance system. This is accomplished through the Memorandum of Understanding established with Alabama Industry for the Deaf and Blind (AIDB) and / or through the use of Google Translation.

III.I.6 / III.I.6.viii

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MONITOR’S DISCUSSION: EXTENT TO WHICH ADOC AND TUTWILER HAVE COMPLIED WITH THE AGREEMENT

DATE: December 31, 2016

Note: The Monitor uses the time frame June 25 - December 31, 2016 as the "reporting period" throughout this report. The Monitor received documents and updates from ADOC prior to, during and after the compliance visit of December 5-9, 2016.
ADOC and Tutwiler's "Substantial Compliance" with the requirements of this provision was documented during the previous reporting period in the Monitor's Second Compliance Report. As of December 31, 2016 ADOC and Tutwiler have sustained compliance.
The Monitor determined the rating of "Substantial Compliance" for this reporting period based upon the following observations.
The Monitor interviewed Ms. Jackson, ADOC grievance appeal manager. The Monitor reviewed her log of all appeals received from June-December 2016. Inmates the Monitor interviewed are aware of Ms Jackson's role as the appeal coordinator.
SOP 8-22 contains all of the requirements listed in this provision.
The Monitor reviewed randomly selected grievances from June-December 2016. The review of these grievances demonstrated that inmates are using the grievance system appropriately and the system is functioning as designed and implemented. The most repeated staff complaint involved the staff use of language that inmates felt was unprofessional and harassing, not sexual harassment. Warden Wright has developed a plan for staff intervention when these complaints surface.
The Monitor saw grievances, in her monthly reviews, which prompted remedies by Tutwiler. These remedies, in the opinion of the Monitor, were appropriate actions. It is noted that DOJ received all of the grievances that the Monitor received during the reporting period.
In total, 874 grievances were filed between June 25 and Dec. 31, 2017. This represents a significant inmate use of the grievance system at Tutwiler. The Monitor reviewed the Grievance Log for June-December 2016 maintained by Lt Coleman.
All Tutwiler inmates received orientation on the grievance system during July, 2015 and all inmates arriving to Tutwiler after that date continue to receive the orientation. The Monitor has reviewed the inmate education materials and observed an inmate orientation. The Monitor discussed the use of the grievance system in discussions with individual inmate during the December 2016 Compliance Visit. The Monitor observed grievance boxes located throughout the facility.
Inmate correspondence from received by the Monitor from two inmates during this reporting period referenced grievances the women had filed. Each complained about an inventory shortfall of underwear. The Monitor brought this issue to Deputy Commissioner Williams’s attention and she and Lt. Coleman provided an update about a short term issue with purchase orders that had already been addressed.
ADOC continues to offer quarterly education on the grievance system. Inmates have been required to attend at least once [Dec 2015, Mar2016, June 2016, Sep
III.I.6 / III.I.6.viii

Case 2:15-cv-00368-MHT-TFM Document 26-1 Filed 03/28/17 Page 126 of 198
2016]. All inmates were aware of the system.
ADOC and Tutwiler continue to ensure that all staff receives training on the grievance system through annual in-service training. All staff was trained in July, 2015 and again when the SOP was revised in 2016. Staff training records reflect this attendance. Grievance forms continue to be available on all units and were quite visible to the Monitor during her December 2016 Compliance Visit.
ADOC and Tutwiler assist inmates who are limited English proficient, visually impaired, have mental health impairment, are otherwise disabled, or who have limited reading or writing skills in accessing the grievance system. This is accomplished through the Memorandum of Agreement in place with the AIDB or through Google Translation.
An inmate who alleges sexual abuse or sexual harassment, or any other verbal or physical abuse by staff, may submit a complaint without submitting it to a staff member who is the subject of the complaint, and such complaint is not referred to a staff member who is the subject of the complaint. This provision is in SOP 822, and SOP 8-12.
An inmate is not required to use any informal grievance process, or to otherwise attempt to resolve with staff, an alleged incident of sexual abuse, sexual harassment, or any other verbal or physical abuse by staff. This is noted in SOP 8-22, and SOP 8-12.
The Monitor interviewed Ms. Jackson, ADOC grievance appeal manager. The Monitor reviewed her log of all appeals received from June-December 2016. Inmates the Monitor interviewed are aware of Ms. Jackson's role as the appeal coordinator.

MONITOR’S RECOMMENDATIONS: (for at least the next 6 months)

DATE DUE:

ADOC and Tutwiler are to continue to provide the Monitor with a list of monthly inmate grievances. The Monitor will randomly select grievances for detailed review.

Ongoing

III.I.6 / III.I.6.viii

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REPORTING ALLEGATIONS OF SEXUAL ABUSE AND SEXUAL HARASSMENT

III.I In order to adequately identify and respond to all instances of sexual abuse and sexual harassment at Tutwiler, ADOC and Tutwiler shall ensure that inmates,

staff, and third-parties have multiple unimpeded methods to report incidents of sexual abuse and sexual harassment free from retaliation.

Policy

Develop Implement

Policy Policy

7.ADOC and Tutwiler shall require all employees to report immediately: Any knowledge, suspicion, or information regarding an incident or alleged incident of sexual abuse or sexual harassment that occurred in Tutwiler, in transport vehicles, or in any off-site facilities under the control and supervision of ADOC or Tutwiler; Retaliation against inmates or staff who reported such an incident; and any staff neglect or violation of responsibilities that may have contributed to an incident or retaliation.

III.I.7

AR454 SOP 8-12

February February 28, 2016 28, 2016

8.Apart from reporting to designated supervisors or officials, staff shall not reveal any information

III.I.8

related to a sexual abuse or sexual harassment report to anyone other than to the extent necessary to

make treatment, investigation, and other security and management decisions.

9.ADOC and Tutwiler shall report all allegations of sexual abuse and sexual harassment, including third III.I.9 party reports, anonymous reports, and inmate grievances, to Tutwiler’s or ADOC’s designated investigator,

REQUIREMENTS

Policy Developed

Staff Trained

Policy Implemented

Employees are required to report immediately: 1. Any knowledge, suspicion, or information regarding an incident or alleged incident of sexual abuse or sexual harassment that occurred in Tutwiler, in transport vehicles, or in any off-site facilities under the control and supervision of ADOC or Tutwiler; 2. Retaliation against inmates or staff who reported such an incident; and 3. Any staff neglect or violation of responsibilities that may have contributed to an incident or retaliation.

Y N N/A
Y N N/A Y N N/A

Y N N/A
Y N N/A Y N N/A

Y N N/A
Y N N/A Y N N/A

Staff do not reveal any information related to a sexual abuse or sexual harassment report to anyone other than to the extent necessary to make treatment, investigation, and other security and management decisions, apart from reporting to designated supervisors or officials.
ADOC and Tutwiler report all allegations of sexual abuse and sexual harassment, including third party reports, anonymous reports, and inmate grievances, to Tutwiler’s or ADOC’s designated investigator

Y N N/A Y N N/A

Y N N/A Y N N/A

Y N N/A Y N N/A

III.I.7 / III.I.8 / III.I.9

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MONITOR’S MEASURES OF COMPLIANCE
1. SOP 8-12 Inmate Sexual Abuse and Harassment, 8-3 Inmate Transports, 9-7 Private Transportation Security Agents. 2. Review any written Memorandum of Understanding or contract ADOC or Tutwiler has with the private transportation company that provides
transport of women inmates. Looking for references to PREA responsibilities. 3. Staff interviews. 4. Inmate focus groups. 5. Individual inmate interviews. 6. Inmate correspondence received by the Monitor. 7. Interviews with Warden Wright and Lt. Young.

STEPS TAKEN BY MONITOR TO ANALYZE CONDITIONS AND ASSESS COMPLIANCE, AND FACTUAL BASIS FOR MONITOR’S FINDINGS

Documents

(for each member of monitoring team) Interviews

On-site/Observations / Other

Reviewed: • SOP 8-12 Inmate Sexual Abuse and Harassment • Contract with private transportation provider -
specifically for a PREA training requirement. • Monthly inmate grievances: June-December 2016 • Inmate correspondence received by the Monitor. • PREA allegation investigations.

• Deputy Commissioner Williams • Warden Wright • Lt .Young • Staff interviews

• Compliance Visit December 5-9, 2016

None.

UNRESOLVED/PARTIALLY RESOLVED ISSUES FROM PREVIOUS TOUR

The Monitor found ADOC and Tutwiler to be "Substantially Complaint" with this provision during the June 2016 Compliance Visit.

The Monitor made no recommendations regarding this provision during the June 2016 Compliance Visit.

III.I.7 / III.I.8 / III.I.9

Case 2:15-cv-00368-MHT-TFM Document 26-1 Filed 03/28/17 Page 129 of 198

NOTE: THIS SECTION INCLUDES III.I.7, III.I.8, and III.I.9. Please provide separate findings, discussion, and recommendations for all provisions. MONITOR’S FINDINGS:
Substantial Compliance Partial Compliance Non-compliance
n/a no assessment due until __________

DATE: December 31, 2016

MONITOR’S DISCUSSION: STEPS TAKEN BY ADOC AND TUTWILER TOWARDS IMPLEMENTATION

DATE: December 31, 2016

All portions of Section III.I.7, 8, and 9 are in ADOC and Tutwiler policy. In Section III.I.7, the Agreement adds “in transport vehicles, or in any off-site facilities under the control and supervision of ADOC or Tutwiler.” This addition is reflected in the revised SOP 8-12. All other portions of this section have been in ADOC and Tutwiler policy since February 2014. Staff has been trained, and those policies are currently in effect.

MONITOR’S DISCUSSION: EXTENT TO WHICH ADOC AND TUTWILER HAVE COMPLIED WITH THE AGREEMENT

DATE: December 31, 2016

Note: The Monitor uses the time frame June 25 - December 31, 2016 as the "reporting period" throughout this report. The Monitor received documents and updates from ADOC prior to, during and after the compliance visit of December 5-9, 2016.
ADOC and Tutwiler's "Substantial Compliance" with the requirements of this provision was documented during the previous reporting period in the Monitor's Second Compliance Report. As of December 31, 2016 ADOC and Tutwiler have sustained compliance.
The Monitor determined the rating of "Substantial Compliance” for this reporting period based upon the following observations:
Employees are required to report immediately (as documented in SOP 8-12). III.I.7 / III.I.8 / III.I.9

Case 2:15-cv-00368-MHT-TFM Document 26-1 Filed 03/28/17 Page 130 of 198
a) Any knowledge, suspicion, or information regarding an incident or alleged incident of sexual abuse or sexual harassment that occurred in Tutwiler, in transport vehicles, or in any off-site facilities under the control and supervision of ADOC or Tutwiler;
b) Retaliation against inmates or staff who reported such an incident; and c) Any staff neglect or violation of responsibilities that may have contributed to an incident or retaliation.
As outlined in SOP 8-12, staff must not reveal any information related to a sexual abuse or sexual harassment report to anyone other than to the extent necessary to make treatment, investigation, and other security and management decisions, apart from reporting to designated supervisors or officials.
In accordance with SOP 8-12, Tutwiler reports all allegations of sexual abuse and sexual harassment, including third party reports, anonymous reports, and inmate grievances, to Tutwiler’s IPCM.
Staff have been trained in PREA and in interviews and discussions with the Monitor, they demonstrate their knowledge of PREA policy and their responsibilities and obligations pursuant to the policy. All staff were aware of the duty to report, the methods for inmates to report and the requirement for confidentially maintaining the information they receive from the inmates.
A review of allegations that were investigated indicates that staff is aware of their duty to report any PREA allegation immediately to Lt. Young or to their shift commander.
The Monitor reviewed inmate grievances filed in June-Decembers 2016 and did not see a complaint about any of the requirements noted in this provision. The Monitor received correspondence from eight inmates during this reporting period. These inmates did not make a complaint about any requirements in this section.
The Monitor reviewed the Risk Management System spreadsheet for the period June-December 2016. There were no instances of employees being disciplined for violations June-December 2016.

MONITOR’S RECOMMENDATIONS: (for at least the next 6 months)

DATE DUE:

None.

N/A

III.I.7 / III.I.8 / III.I.9

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REPORTING ALLEGATIONS OF SEXUAL ABUSE AND SEXUAL HARASSMENT

III.I In order to adequately identify and respond to all instances of sexual abuse and sexual harassment at Tutwiler, ADOC and Tutwiler shall ensure that inmates,

staff, and third-parties have multiple unimpeded methods to report incidents of sexual abuse and sexual harassment free from retaliation.

Policy

Develop Implement

Policy Policy

10. Protecting Inmates and Staff from Retaliation:

III.I.10

AR 454 SOP 8-12

May 28, May 28,

2015

2015

i. Consistent with ADOC policies, ADOC and Tutwiler shall protect all inmates and staff who report allegations of sexual abuse or sexual harassment or cooperate with sexual abuse or sexual harassment

AND

AND

February February

investigations from retaliation by other inmates or staff, and shall designate Tutwiler’s PREA Compliance Manager with monitoring allegations of retaliation concerning inmates. Allegations of retaliation against

28, 2016 28, 2016

employees will be investigated and processed in accordance with ADOC personnel policy.

(III.I.10 1-v listed below)

REQUIREMENTS

Policy Developed

Inmates and staff who report allegations of sexual abuse or sexual harassment or cooperate with sexual abuse or sexual harassment investigations are protected from retaliation by other inmates or staff. [May Y N N/A 28, 2015]

Staff Trained Y N N/A

Policy Implemented
Y N N/A

Tutwiler’s PREA Compliance Manager monitors allegations of retaliation concerning inmates. [May 28, 2015]

Y N N/A

Y N N/A

Y N N/A

Allegations of retaliation against employees are investigated and processed in accordance with ADOC personnel policy. [May 28, 2015]

Y N N/A Y N N/A

Y N N/A

---------------[provisions below due February 28, 2016]-----------------------ADOC and Tutwiler use multiple protection measures, such as housing changes or transfers for inmate victims or abusers, removal of alleged staff or inmate abusers from contact with victims, and emotional support services for inmates or staff who fear retaliation for reporting sexual abuse or sexual harassment Y or for cooperating with investigations.

N N/A

ADOC and Tutwiler ensure that any Tutwiler staff who is alleged to have engaged in sexual abuse or sexual harassment are immediately removed from positions of inmate contact at Tutwiler until an investigation is concluded.

Y N N/A

ADOC and Tutwiler monitor all inmates and staff who report sexual abuse or sexual harassment and III.I.10

Y N N/A Y N N/A

Y N N/A Y N N/A

Case 2:15-cv-00368-MHT-TFM Document 26-1 Filed 03/28/17 Page 132 of 198

inmates who have been reported to have suffered or cooperated with sexual abuse or sexual harassment investigations from retaliation by other inmates or staff for at least 90 days following a report of sexual Y abuse or sexual harassment, to see if there are changes that may suggest possible retaliation by inmates or staff, including inmate disciplinary reports, housing or program changes, and negative performance reviews or reassignments, and shall act promptly to remedy any such retaliation.
Y -such monitoring is continued beyond 90 days if the initial monitoring indicates a continuing need.
Y -monitoring also includes periodic status checks for inmates
Y ADOC and Tutwiler take appropriate measures to protect from retaliation any other individual who cooperates with an investigation and expresses a fear of retaliation.

N N/A
N N/A N N/A N N/A

Y N N/A
Y N N/A Y N N/A Y N N/A

MONITOR’S MEASURES OF COMPLIANCE

Y N N/A
Y N N/A Y N N/A Y N N/A

1. SOP 8-12 Inmate Sexual Abuse and Harassment 9-16 PREA Institutional PREA Compliance Manager. 2. Interview with ADOC PREA Director Ms. Christy Vincent. 3. Review of inmate grievances: June-December 2016. 4. Inmate focus groups. 5. Individual inmate interviews. 6. Inmate correspondence received by the Monitor. 7. Review any Tutwiler investigation into allegations of retaliation in this reporting period.

III.I.10

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STEPS TAKEN BY MONITOR TO ANALYZE CONDITIONS AND ASSESS COMPLIANCE, AND FACTUAL BASIS FOR MONITOR’S FINDINGS

(for each member of monitoring team)

Documents

Interviews

On-site/Observations / Other

Reviewed: • SOP 8-12 Inmate Sexual Abuse and Harassment • SOP 9-16 Job Description for Tutwiler's

• Warden Wright • Lt. Young • ADOC PREA Coordinator Vincent

Institutional PREA Compliance Manager

• ADOC forms for reporting and tracking reports of

retaliation

• Monthly inmate grievances: June – December

2016

• Inmate correspondence received by the Monitor

• The tracking spreadsheet maintained by Lt. Young.

• Compliance Visit in December 5-9, 2016

UNRESOLVED/PARTIALLY RESOLVED ISSUES FROM PREVIOUS TOUR None.
The Monitor found ADOC and Tutwiler to be "Substantially Compliant" with this provision during the June 2016. Compliance Visit. A finding of "Partial Compliance" was made during the January 2016 Compliance Visit.
The Monitor made no recommendations regarding this provision during the June 2016 Compliance Visit.

MONITOR’S FINDINGS: Substantial Compliance Partial Compliance Non-compliance n/a no assessment due until __________
III.I.10

DATE: December 31, 2016

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MONITOR’S DISCUSSION: STEPS TAKEN BY ADOC AND TUTWILER TOWARDS IMPLEMENTATION

DATE: December 31, 2016

All portions of Section III.I.10.i. are in ADOC and Tutwiler policy (AR 445 & SOP 8-12), and these procedures are currently in practice at Tutwiler.

Sections III.I.10.v is in ADOC and Tutwiler policy, staff has been trained, and the revised policy implemented in March 2016.

MONITOR’S DISCUSSION: EXTENT TO WHICH ADOC AND TUTWILER HAVE COMPLIED WITH THE AGREEMENT

DATE: December 31, 2016

Note: The Monitor uses the time frame June 25 - December 31, 2016 as the "reporting period" throughout this report. The Monitor received documents and updates from ADOC prior to, during and after the compliance visit of December 5-9, 2016.
ADOC and Tutwiler's "Substantial Compliance" with the requirements of this provision was documented during the previous reporting period in the Monitor's Second Compliance Report. As of December 31, 2016 ADOC and Tutwiler have sustained substantial compliance. The Monitor determined the rating of "Substantial Compliance” for this reporting period based upon the following observations.
Inmates and staff who report allegations of sexual abuse or sexual harassment or cooperate with sexual abuse or sexual harassment investigations are protected from retaliation by other inmates or staff. This is documented in SOP 8-12.
Tutwiler’s PREA Compliance Manager monitors allegations of retaliation concerning inmates. Lt. Young uses the ADOC PREA Form E to track and documents any inmate or staff alleging retaliation for reporting sexual abuse and for inmates who are the alleged victim of sexual abuse. She maintains a spreadsheet for logging these allegations. This is documented in SOP 8-12. During this reporting period, there were no reports, from inmates or staff alleging retaliation and no inmate alleged sexual abuse during this reporting period
Allegations of retaliation against employees are investigated and processed in accordance with ADOC personnel policy. This is documented in SOP 8-12.
Tutwiler uses multiple protection measures, such as housing changes or transfers for inmate victims or abusers, removal of alleged staff or inmate abusers from contact with victims, and emotional support services for inmates or staff who fear retaliation for reporting sexual abuse or sexual harassment or for cooperating with investigations. This is also documented in SOP 8-12.
Tutwiler ensures that any staff who is alleged to have engaged in sexual abuse or sexual harassment are immediately removed from positions of inmate contact at Tutwiler until an investigation is concluded. This is also documented in SOP 8-12.
III.I.10

Case 2:15-cv-00368-MHT-TFM Document 26-1 Filed 03/28/17 Page 135 of 198

Tutwiler monitors all inmates and staff who report sexual abuse or sexual harassment and inmates who have been reported to have suffered or cooperated with sexual abuse or sexual harassment investigations from retaliation by other inmates or staff for at least 90 days following a report of sexual abuse or sexual harassment, to see if there are changes that may suggest possible retaliation by inmates or staff, including inmate disciplinary reports, housing or program changes, and negative performance reviews or reassignments, and shall act promptly to remedy any such retaliation. Lt. Young specifically has this responsibility, but all staff are educated on what to monitor for as well. Such monitoring is continued beyond 90 days if the initial monitoring indicates a continuing need.) Lt. Young’s monitoring also includes periodic status checks for inmates. ADOC and Tutwiler take appropriate measures to protect from retaliation any other individual who cooperates with an investigation and expresses a fear of retaliation. This is documented in agency policy as well as SOP 8-12.
All Tutwiler staff has been trained in SOP 8-12.
The Monitor randomly selected monthly inmate grievances during the reporting period of June-December 2016 for review and did not see a complaint about any of the requirements in this provision.
The Monitor received correspondence from eight inmates during this reporting period. The inmates did not make a complaint about any of the requirements in this section.
The Monitor conducted two inmate focus groups and spoke informally with many inmates during the tour and there were no complaints about any of the requirements of this provision.
The Monitor reviewed the Risk Management spreadsheet for the reporting period. There were no instances of employees being disciplined for violations of any of the section requirements.

MONITOR’S RECOMMENDATIONS: (for at least the next 6 months)

DATE DUE:

None.

N/A

III.I.10

Case 2:15-cv-00368-MHT-TFM Document 26-1 Filed 03/28/17 Page 136 of 198

OFFICIAL RESPONSE TO AN ALLEGATION OF SEXUAL ABUSE AND SEXUAL HARASSMENT

III.J ADOC and Tutwiler shall ensure that all alleged victims of sexual abuse and sexual harassment are offered timely, unimpeded access to medical treatment

and crisis intervention services as appropriate and that staff appropriately respond to and counsel the alleged victim while taking steps to preserve evidence.

Policy

Develop Implement

Policy Policy

1.When ADOC or Tutwiler learns that an inmate may be subject to a substantial risk of imminent sexual abuse, ADOC or Tutwiler shall take immediate action to protect the inmate.

III.J.1

AR 454 SOP 8-12

February February 28, 2016 28, 2016

REQUIREMENTS
Immediate action is taken immediate to protect an inmate when ADOC or Tutwiler learns that the inmate may be subject to a substantial risk of imminent sexual abuse.

Policy Developed

Staff Trained

Y N N/A Y N N/A

Policy Implemented
Y N N/A

MONITOR’S MEASURES OF COMPLIANCE

1. SOP 8-12 Inmate Sexual Abuse and Harassment. 2. Interviews with Warden Wright, Lt. Young, Ms. Greer, Ms. Love. 3. Staff interviews. 4. Review of inmate grievances: June-December 2016.

III.J.1

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STEPS TAKEN BY MONITOR TO ANALYZE CONDITIONS AND ASSESS COMPLIANCE, AND FACTUAL BASIS FOR MONITOR’S FINDINGS

(for each member of monitoring team)

Documents

Interviews

On-site/Observations / Other

Reviewed: • SOP 8-12 Inmate Sexual abuse and Harassment • Monthly inmate grievances: June-December 2016 • Inmate correspondence received by the Monitor • PREA incident reports filed June-December 2016

• Warden Wright • Deputy Commissioner Williams • Lt. Young • Staff interviews • Inmate focus groups • Individual inmate interviews

• Compliance Visit December 5-9, 2016

None.

UNRESOLVED/PARTIALLY RESOLVED ISSUES FROM PREVIOUS TOUR

The Monitor found ADOC and Tutwiler to be ‘Substantially Compliant” with this provision during the June 2016 Compliance Visit.

The ADOC and Tutwiler addressed the one recommendation made by the Monitor during the June 2016 Compliance Visit.

MONITOR’S FINDINGS:

Substantial Compliance Partial Compliance Non-compliance n/a no assessment due until __________

DATE: December 31, 2016

III.J.1

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MONITOR’S DISCUSSION: STEPS TAKEN BY ADOC AND TUTWILER TOWARDS IMPLEMENTATION

DATE: December 31, 2016

Section III.J.1. of the Agreement, is in practice at Tutwiler. Staff has been trained to report incidences such as this, and immediate action is taken when a report is received. This provision is documented in SOP 8-12.

Felicia Greer, MHM Site Administrator, is responsible for crisis intervention services at Tutwiler. Ambrea Love, Corizon Site Administrator, is responsible for medical services at Tutwiler.

MONITOR’S DISCUSSION: EXTENT TO WHICH ADOC AND TUTWILER HAVE COMPLIED WITH THE AGREEMENT

DATE: December 31, 2016

The Monitor found ADOC and Tutwiler to be ‘Substantially Compliant” with this provision during the June 2016 Compliance Visit. To date, ADOC and Tutwiler have sustained substantial compliance.

The Monitor determined the rating of "Substantial Compliance" for this reporting period based upon the following observations.

Immediate action is taken to protect an inmate when ADOC or Tutwiler learns that the inmate may subject to a substantial risk of imminent sexual abuse.

The SOP 8-12, Inmate Sexual Abuse and Harassment policy, addresses the requirement in J. 1 specifically, as required in this provision. This requirement is in current practice at Tutwiler. Immediate action is taken to protect an inmate when ADOC or Tutwiler learns that the inmate may subject to a substantial risk of imminent sexual abuse.

Staff has received the 8-hour PREA required training, in the revised SOP8-12, by February 28, 2016. The Monitor reviewed all of the staff evaluations for these training sessions. They reflected that positive feedback in both content and presentation

The Monitor interviewed staff and discussed staff's awareness of their responsibility to take immediate actions to protect an inmate when they learn that an inmate may be subject to a risk of imminent sexual abuse.

The Monitor randomly selected grievances during the reporting period for review. There was no grievance filed regarding a violation of the requirement by any Tutwiler staff.

The Monitor reviewed inmate correspondence in this reporting period and there were no complaints about a violation of this requirement for themselves, or other inmates.

The ADOC reports that there were no incidents of “threats of imminent harm” to any inmate during this reporting period. III.J.1

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MONITOR’S RECOMMENDATIONS: (for at least the next 6 months)
1. ADOC will notify the Monitor of any incident and actions taken by Tutwiler if an inmate is identified as having "imminent threats" in status.

DATE DUE: Immediately

III.J.1

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OFFICIAL RESPONSE TO AN ALLEGATION OF SEXUAL ABUSE AND SEXUAL HARASSMENT

III.J ADOC and Tutwiler shall ensure that all alleged victims of sexual abuse and sexual harassment are offered timely, unimpeded access to medical treatment

and crisis intervention services as appropriate and that staff appropriately respond to and counsel the alleged victim while taking steps to preserve evidence.

Policy

Develop Implement

Policy Policy

2.ADOC and Tutwiler shall continue to comply with Policy and Tutwiler Standard Operating Procedures to coordinate actions taken in response to an allegation of sexual abuse, among first staff responders, medical and mental health practitioners, investigators, and Tutwiler leadership, including time frames and lists of whom staff should report to in specific situations and guidelines regarding the collection of physical evidence.

III.J.2 AR454 SOP 8-12

May 28, 2015

May 28, 2015

REQUIREMENTS

Policy Developed

Staff Trained Policy Implemented

Actions are coordinated in response to allegations of sexual abuse among first staff responders, medical and mental health practitioners, investigators, and leadership.

Y N N/A Y N N/A Y N N/A

Time frames are provided

Y N N/A Y N N/A Y N N/A

Lists of whom staff should report to in specific situations and guidelines regarding the collection of physical evidence are provided.

Y N N/A Y N N/A Y N N/A

MONITOR’S MEASURES OF COMPLIANCE

1. SOP 8-12 Inmate Sexual Abuse and Harassment, AR 454. 2. Review minutes of the Tutwiler interdisciplinary meeting with medical and mental health staff. 3. Review of Corizon and MHM PREA training. 4. Interviews with Associate Commissioner Naglich, Ms. Greer, Ms. Love, Dr. Holmes, Lt. Young. 5. Staff interviews. 6. Review of health services PREA logs.

III.J.2

Case 2:15-cv-00368-MHT-TFM Document 26-1 Filed 03/28/17 Page 141 of 198

STEPS TAKEN BY MONITOR TO ANALYZE CONDITIONS AND ASSESS COMPLIANCE, AND FACTUAL BASIS FOR MONITOR’S FINDINGS

(for each member of monitoring team)

Documents

Interviews

On-site/Observations / Other

Reviewed: • SOP 8-12 Inmate Sexual Abuse and Harassment • Tutwiler PREA Incident Review Committee Reports:
June-December 2016 • ADOC PREA investigations • Staff training curriculum for PREA by Corizon and
MHM • Minutes of the interdisciplinary meeting with
Tutwiler MHM and ADOC staff • Training evaluations completed by Tutwiler staff • Inmate correspondence received by Monitor • Inmate monthly grievances: June-December 2016

• Warden Wright • Lt .Young, IPCM • Associate Commissioner Naglich • Ms. Greer, MHM Site Administrator • Dr. Holmes • Ms. Love, Corizon Site Administrator • Staff interviews • Inmate focus groups • Individual inmate interviews

• Compliance Visit December 5-9, 2016

None.

UNRESOLVED/PARTIALLY RESOLVED ISSUES FROM PREVIOUS TOUR

The Monitor found ADOC and Tutwiler to be "Substantially Compliance" with this provision during the January and June 2016 Compliance Visits.

ADOC, Tutwiler and Corizon have addressed the recommendations made by the Monitor during the June 2016 Compliance Visit.

III.J.2

Case 2:15-cv-00368-MHT-TFM Document 26-1 Filed 03/28/17 Page 142 of 198
MONITOR’S FINDINGS: Substantial Compliance Partial Compliance Non-compliance n/a no assessment due until __________

DATE: December 31, 2016

MONITOR’S DISCUSSION: STEPS TAKEN BY ADOC AND TUTWILER TOWARDS IMPLEMENTATION

DATE: December 31, 2016

AR 454 and SOP 8-12 outline the provisions discussed in Section III.J.2. This policy has been in practice since February, 2014 and remains the practice today. AR 454 and SOP 8-12 include this provision.

At the suggestion of the Monitor, ADOC and Associate Commissioner Naglich completed some minor revisions/additions to the Corizon orientation curriculum.

III.J.2

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MONITOR’S DISCUSSION: EXTENT TO WHICH ADOC AND TUTWILER HAVE COMPLIED WITH THE AGREEMENT

DATE: December 31, 2016

Note: The Monitor uses the time frame June 25 - December 31, 2016 as the "reporting period" throughout this report. The Monitor received documents and updates from ADOC prior to, during and after the compliance visit of December 5-9, 2016.
The Monitor found ADOC and Tutwiler to be ‘Substantially Compliant” with this provision during the January and June 2016 Compliance Visits. To date, ADOC and Tutwiler have sustained substantial compliance.
The Monitor determined the rating of "Substantial Compliance” for this reporting period based upon the following observations.
ADOC AR 454 and SOP 8-12 PREA policies have the requirements in III. J. 2 in their procedures. The Monitor reviewed completed investigations and observed that the requirements of this provision were followed at Tutwiler. Allegations were reported immediately to shift commanders, Lt. Young, and the Warden. These allegations were immediately reported to ADOC I+I and were investigated within the allotted time frame. All of the designated times frames in SOP 8-12 were followed at every level, from the initial report by the inmate. . The Monitor reviewed the Corizon and MHM orientation/training curricula for their new medical and mental health employees. These curricula contained specific instructions for the role of medical and mental health staff involving an initial PREA allegation at Tutwiler. MHM has a specific policy, #B-04, that addresses Alabama PREA policy and related policies. MHM has a detailed PREA training program for the specific duties prescribed for mental health staff. Corizon has a PREA training presentation for all new employees. It is noted that all medical and mental health employees at Tutwiler are required to complete the 8-hour PREA training and the 16-hour Gender Responsive training. All of the Corizon and MHM staff at Tutwiler has completed the required training. The Monitor reviewed the actual training rosters and some randomly of the training evaluations, including evaluations from staff who identified themselves as medical/mental health, that were positive about the training. Based upon staff interviews, inmate focus groups, and individual inmate interviews, the Monitor believe staff members of all disciplines are aware of their responsibilities and their PREA training.

MONITOR’S RECOMMENDATIONS: (for at least the next 6 months)

DATE DUE:

1. Interdisciplinary staff meetings continue regularly with staff from Corizon, MHM, and ADOC Psychology. Minutes will be taken and available for review by the Monitor for future compliance visits. The Monitor suggests inviting Lt. Young once a quarter to discuss any PREA incidents, inmates, etc.

Ongoing

III.J.2

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OFFICIAL RESPONSE TO AN ALLEGATION OF SEXUAL ABUSE AND SEXUAL HARASSMENT

III.J ADOC and Tutwiler shall ensure that all alleged victims of sexual abuse and sexual harassment are offered timely, unimpeded access to medical treatment

and crisis intervention services as appropriate and that staff appropriately respond to and counsel the alleged victim while taking steps to preserve evidence.

Policy

Develop Implement

Policy Policy

3.ADOC and Tutwiler shall respond to reports of sexual abuse and sexual harassment or threats of sexual

abuse or sexual harassment without regard to an inmate’s known or perceived sexual orientation or gender III.J.3 AR 454

February February

identity.

III.J.6 SOP 8-12

28, 2016 28, 2016

6.ADOC and Tutwiler shall not place in protective custody an inmate who is alleged to have suffered sexual abuse or sexual harassment solely for the purpose of protecting that inmate, unless a determination, documented in writing and reviewed by the PREA Compliance Manager or the warden’s designee within 24 hours, has been made that there is no available alternative means of separation from likely abusers.

REQUIREMENTS

Policy Developed

Staff Trained Policy Implemented

ADOC and Tutwiler respond to reports of sexual abuse and sexual harassment or threats of sexual abuse or Y N N/A Y N N/A Y N N/A sexual harassment without regard to an inmate’s known or perceived sexual orientation or gender identity.

Inmates who are alleged to have suffered sexual abuse or sexual harassment are not placed in protective custody solely for the purpose of protecting that inmate, unless:
1. a determination that there is no available alternative means of separation from likely abusers is documented in writing, and
2. the determination is reviewed by the PREA Compliance Manager or the warden’s designee within 24 hours.

Y N N/A Y N N/A Y N N/A Y N N/A Y N N/A Y N N/A Y N N/A Y N N/A Y N N/A

III.J.3 / III.J.6

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MONITOR’S MEASURES OF COMPLIANCE

1. SOP 8-12 Inmate Sexual Abuse and Harassment, AR 454. 2. Review any documentation regarding any inmate subject to these requirements in this provision in 2016-May 31. 3. Interviews with Warden Wright, Lt. Young. 4. Staff interviews. 5. Inmate focus groups. 6. Individual inmate interviews. 7. Inmate correspondence received by the Monitor. 8. Monthly inmate grievances: June-December 2016.

STEPS TAKEN BY MONITOR TO ANALYZE CONDITIONS AND ASSESS COMPLIANCE, AND FACTUAL BASIS FOR MONITOR’S FINDINGS

(for each member of monitoring team)

Documents

Interviews

On-site/Observations / Other

Reviewed: • AR 454 • SOP 8-12 Inmate Sexual Abuse and Harassment • Documentation regarding any inmate subject to these requirements in this provision during reporting period, • Inmate correspondence received by the Monitor

• Warden Wright • Lt. Young • Lt .Coleman • Staff interviews • Inmate focus group • Individual inmate interviews

• Compliance Visit December 5-9, 2016

III.J.3 / III.J.6

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UNRESOLVED/PARTIALLY RESOLVED ISSUES FROM PREVIOUS TOUR

None.

The Monitor found ADOC and Tutwiler to be "Substantially Compliance" with this provision during the June 2016 Compliance Visit.

ADOC and Tutwiler addressed the recommendation made by the Monitor during the June 2016 Compliance Visit.

NOTE: THIS SECTION INCLUDES III.J.3 and III.J.6. Please provide separate findings, discussion, and recommendations for all provisions. DATE:

MONITOR’S FINDINGS:

December 31, 2016

Substantial Compliance Partial Compliance Non-compliance n/a no assessment due until __________

MONITOR’S DISCUSSION: STEPS TAKEN BY ADOC AND TUTWILER TOWARDS IMPLEMENTATION

DATE: December 31, 2016

AR 454 and SOP 8-12 outline the provisions discussed in Section III.J.3 & 6. This policy has been in practice since February, 2014 and remains the practice today. AR 454 and SOP 8-12 include this provision.

Staff has been trained in policy.

III.J.3 / III.J.6

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MONITOR’S DISCUSSION: EXTENT TO WHICH ADOC AND TUTWILER HAVE COMPLIED WITH THE AGREEMENT

DATE: December 31, 2016

Note: The Monitor uses the time frame June 25 - December 31, 2016 as the "reporting period" throughout this report. The Monitor received documents and updates from ADOC prior to, during and after the compliance visit of December 5-9, 2016.
The Monitor found ADOC and Tutwiler to be ‘Substantially Compliant” with this provision in during the June 2016 Compliance Visit. To date, ADOC and Tutwiler have sustained substantial compliance.
ADOC and Tutwiler respond to reports of sexual abuse and sexual harassment or threats of sexual abuse or sexual harassment without regard to an inmate’s known or perceived sexual orientation or gender identity. This is in SOP 8-12.Monitor's review of inmate grievances and inmate correspondence to the Monitor during this reporting period, did not reveal any inmate comment, question or complaint about an inmate being placed in protective custody. Also, the inmates did not lodge a complaint or comment about the failure of Tutwiler staff to respond to PREA allegations due to the sexual orientation or gender identify of an inmate.
In accordance with Tutwiler SOP 8-12, Inmates who are alleged to have suffered sexual abuse or sexual harassment are not placed in protective custody solely for the purpose of protecting that inmate, unless:
a. a determination that there is no available alternative means of separation from likely abusers is documented in writing, b. and the determination is reviewed by the PREA Compliance Manager or the warden’s designee within 24 hours.
In response to a previous recommendation by Monitor Lancaster, the Monitor is to be notified immediately if an inmate is placed in protective custody, via this prevision. To date, there have been no incidents to report. All staff interviewed agreed that Tutwiler has not placed any inmate in protective custody during this reporting period.

MONITOR’S RECOMMENDATIONS: (for at least the next 6 months)
ADOC and Tutwiler will continue to immediately notify the Monitor if an inmate is placed in protective custody, via this provision

DATE DUE: Ongoing

III.J.3 / III.J.6

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OFFICIAL RESPONSE TO AN ALLEGATION OF SEXUAL ABUSE AND SEXUAL HARASSMENT

III.J ADOC and Tutwiler shall ensure that all alleged victims of sexual abuse and sexual harassment are offered timely, unimpeded access to medical treatment

and crisis intervention services as appropriate and that staff appropriately respond to and counsel the alleged victim while taking steps to preserve evidence.

Policy

Develop Implement

Policy Policy

4.The written institutional plan shall include procedures that address how staff respond upon learning of an III.J.4

February February

allegation that an inmate was sexually abused; described below

AR454

28, 2016 28, 2016

SOP 8-12

5. If the first staff responder is not a security staff member, the responder shall be required to request the III.J.5

alleged victim not take any actions that could destroy physical evidence, and then notify security staff.

REQUIREMENTS
The written institutional plan includes procedures that address how staff responds upon learning of an allegation that an inmate was sexually abused.

Policy Developed

Staff Trained Policy Implemented

Y N N/A Y N N/A Y N N/A

The first security staff member to respond to the report is required to: -Separate the alleged victim and abuser; -Preserve and protect any crime scene until appropriate steps can be taken to collect any evidence; and Y N N/A Y N N/A Y N N/A -Request that the alleged victim not take any actions that could destroy physical evidence, including, as Y N N/A Y N N/A Y N N/A
appropriate, washing, brushing teeth, changing clothes, urinating, defecating, smoking, drinking, or eating if Y N N/A Y N N/A Y N N/A the abuse occurred within a time period that still allows for the collection of physical evidence.

If the first staff responder is not a security staff member, the responder is required to request the alleged victim not take any actions that could destroy physical evidence, and then notify security staff.

Y N N/A Y N N/A Y N N/A

III.J.4 / III.J.5

Case 2:15-cv-00368-MHT-TFM Document 26-1 Filed 03/28/17 Page 149 of 198
MONITOR’S MEASURES OF COMPLIANCE

1. SOP 8-12 Inmate Sexual Abuse and Harassment, AR 454. 2. Review of ADOC Tutwiler PREA investigations conducted by I+I during reporting period. 3. Interviews with Warden Wright, Lt. Young, Director Mercado, Investigator Kelley Smith. 4. Staff Interviews. 5. Inmate focus groups. 6. Individual inmate interviews. 7. Inmate correspondence received by the Monitor. 8. Review of inmate grievances: June-December 2016.

STEPS TAKEN BY MONITOR TO ANALYZE CONDITIONS AND ASSESS COMPLIANCE, AND FACTUAL BASIS FOR MONITOR’S FINDINGS

Documents

(for each member of monitoring team)

Interviews

On-site/Observations / Other

Reviewed: • SOP 8-12 Inmate Sexual Abuse and Harassment • AR 454 • Investigations completed during reporting period • Monthly inmate grievances: June-December 2016 • Inmate correspondence received by Monitor • Tutwiler PREA incident Review Committee reports:
June-December 2016.

• Warden Wright • Lt .Young • Staff interviews • Inmate focus groups • Individual inmate interviews

• Compliance Visit December 5-9, 2016

None.

UNRESOLVED/PARTIALLY RESOLVED ISSUES FROM PREVIOUS TOUR

The Monitor found ADOC and Tutwiler to be ‘Substantially Compliant” with this provision during the June 2016 Compliance Visit.

The Monitor made no recommendations regarding this provision during the June 2016 Compliance Visit.

III.J.4 / III.J.5

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NOTE: THIS SECTION INCLUDES III.J.4 and III.J.5. Please provide separate findings, discussion, and recommendations for all provisions. DATE: December 31, 2016
MONITOR’S FINDINGS:
Substantial Compliance
Partial Compliance Non-compliance
n/a no assessment due until __________

MONITOR’S DISCUSSION: STEPS TAKEN BY ADOC AND TUTWILER TOWARDS IMPLEMENTATION

DATE: December 31, 2016

AR 454 and SOP 8-12 outline the provisions discussed in Section III.J.4&5. This policy has been in practice since February 2014 and remains the practice today. AR 454 and SOP 8-12 include these provisions. Staff has been trained on the policy.

In July 2016, Director Mercado and all his investigators participated in additional training regarding forensic investigative techniques and evidence collection.

MONITOR’S DISCUSSION: EXTENT TO WHICH ADOC AND TUTWILER HAVE COMPLIED WITH THE AGREEMENT

DATE: December 31, 2016

Note: The Monitor uses the time frame June 25 - December 31, 2016 as the "reporting period" throughout this report. The Monitor received documents and updates from ADOC prior to, during and after the compliance visit of December 5-9, 2016.
The Monitor determined the rating of "Substantial Compliance" for this reporting period based upon the following observations: The Monitor found ADOC and Tutwiler to be ‘Substantially Compliant” with this provision during the June 2016 Compliance Visit. To date, ADOC and Tutwiler have sustained substantial compliance. The Monitor determined the rating of "Substantial Compliance" for this reporting period based upon the following observations:
III.J.4 / III.J.5

Case 2:15-cv-00368-MHT-TFM Document 26-1 Filed 03/28/17 Page 151 of 198
The written institutional plan (SOP 8-12) includes procedures that address how staff respond upon learning of an allegation that an inmate was Sexually abused. In accordance with SOP 8-12, the first security staff member to respond to the report is required to:
a) Separate the alleged victim and abuser; b) Preserve and protect any crime scene until appropriate steps can be taken to collect any evidence; and c) Request that the alleged victim not take any actions that could destroy physical evidence, including, as appropriate, washing, brushing teeth,
changing clothes, urinating, defecating, smoking, drinking, or eating if the abuse occurred within a time period that still allows for the collection of physical evidence.
If the first staff responder is not a security staff member, SOP 8-12 requires the responder to request the alleged victim not take any actions that could destroy physical evidence, and then notify security staff.
All staff at Tutwiler has been trained in SOP 8-12, as required. The Monitor reviewed training rosters and randomly selected training evaluations and post tests from the training.
Based upon the investigations conducted this reporting period, there has not been a need to preserve a crime scene or to collect physical evidence on the scene, via this provision.
The Monitor reviewed the curriculum for the training program Director Mercado and his investigators attended in June. The Monitor received confirmation from ADOC that this training was completed.

MONITOR’S RECOMMENDATIONS: (for at least the next 6 months)
None.

DATE DUE: N/A

III.J.4 / III.J.5

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OFFICIAL RESPONSE TO AN ALLEGATION OF SEXUAL ABUSE AND SEXUAL HARASSMENT

III.J ADOC and Tutwiler shall ensure that all alleged victims of sexual abuse and sexual harassment are offered timely, unimpeded access to medical treatment

and crisis intervention services as appropriate and that staff appropriately respond to and counsel the alleged victim while taking steps to preserve evidence.

Policy

Develop Implement

Policy Policy

III.J.7 AR 454

May 28, May 28,

7.To the extent they do not already exist, ADOC and Tutwiler shall develop, submit to the Monitor and DOJ

SOP 8-12

2015

2015

for review consistent with Section III.A.6., and implement policies and procedures to provide access to medical and mental health services to women identified as potential or actual victims of sexual abuse and

AND

AND

February February

sexual harassment, that occurred either at Tutwiler or elsewhere, including the following:

28, 2016 28, 2016

REQUIREMENTS

Policy Developed

Staff Trained

Policy Implemented

Inmate victims of sexual abuse receive timely, unimpeded access to emergency medical and mental health

Y N N/A Y N N/A

care and treatment and crisis intervention services, the nature and scope of which are determined by medical

and mental health practitioners according to their professional judgment.

Y N N/A

If no qualified medical or mental health practitioners are on duty at the time a report of recent abuse is made, Y N N/A Y N N/A security staff and first responders take preliminary steps to protect the victim and shall immediately notify the appropriate medical and mental health practitioners.

Y N N/A

Tutwiler offers further medical and mental health evaluation and, as appropriate, treatment, to all inmates who have been victimized by sexual abuse and/or sexual harassment in any prison, jail, lockup, or juvenile facility.

Y N N/A Y N N/A Y N N/A

The evaluation and treatment of such victims includes, as appropriate, follow-up services, treatment plans, and, when necessary, referrals for continued care following their transfer to, or placement in, other facilities, or their release from custody.

Y N N/A Y N N/A

Y N N/A

Appropriate mental health counseling and emotional support services are made available to victims of sexual Y N N/A Y N N/A abuse and sexual harassment, provided by a qualified staff member or a victim advocate from a communitybased organization that provides services to sexual abuse victims.

Y N N/A

ADOC and Tutwiler shall attempt to enter into and maintain memoranda of understanding or other agreements with community service providers that are able to provide inmates with confidential emotional support services related to sexual abuse or sexual harassment.
ADOC and Tutwiler maintain copies of agreements or documentation of attempts. III.J.7

Y N N/A Y N N/A Y N N/A Y N N/A

Y N N/A Y N N/A

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Inmate victims of sexual abuse or sexual harassment while incarcerated are offered timely information about Y N N/A Y N N/A and timely access to emergency contraception, pregnancy tests, and tests for sexually transmitted infections prophylaxis, where medically appropriate.

If inmate pregnancy results from sexual abuse while incarcerated, such victims receive timely and comprehensive information about and access to all lawful pregnancy-related medical services.

Y N N/A Y N N/A

All treatment services in this subsection are provided to the victim without financial cost and regardless of whether the victim names the abuser or cooperates with any investigation arising out of the incident.

Y N N/A Y N N/A

Y N N/A Y N N/A Y N N/A

MONITOR’S MEASURES OF COMPLIANCE

1. SOP 8-12 Inmate Sexual Abuse and Harassment, AR 454 2. Review ADOC MOU with Alabama Coalition Against Rape (ACAR) for confidential emotional support for victims of sexual abuse and harassment. 3. Observe inmate orientation for PREA during compliance visit in December 2016. 4. Review minutes of the Tutwiler interdisciplinary meeting of medical and mental health staff. 5. Review Corizon and MHM policies regarding these provisions for inmate assessment and treatment. 6. Interviews Associate Commissioner Naglich, Warden Wright, Lt. Young, Ms. Greer, Ms. Love, ADOC PREA Coordinator Ms. Vincent.

STEPS TAKEN BY MONITOR TO ANALYZE CONDITIONS AND ASSESS COMPLIANCE, AND FACTUAL BASIS FOR MONITOR’S FINDINGS

Documents

(for each member of monitoring team) Interviews

On-site/Observations / Other

Reviewed: • SOP 8-12 Inmate Sexual Abuse and Harassment • AR 454 • MOU between ADOC and ACAR • Minutes of Tutwiler Interdisciplinary meeting with MHM and ADOC mental health • Corizon and MHM policies and orientation manual for the inmate treatment provisions and directives • Monthly inmate grievances: June-December 2016 • Inmate correspondence received by the Monitor

• Associate Commissioner Naglich • Warden Wright • Lt . Young • Ms. Greer • Dr. Holmes • Ms. Love • ADOC PREA Coordinator Vincent

• Compliance Visit December 5-9, 2016 • Observe inmate orientation and the PREA
presentation by Lt. Young

III.J.7

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None.

UNRESOLVED/PARTIALLY RESOLVED ISSUES FROM PREVIOUS TOUR

This provision was in "Partial Compliance" In January 2016 because several requirements were not due for compliance until February 29, 2016. The Monitor found ADOC and Tutwiler in "Substantial Compliance" during the June 2016 Compliance Visit.

The ADOC and Tutwiler addressed the recommendations made by the Monitor during the June 2016 Compliance Visit.

MONITOR’S FINDINGS: Substantial Compliance Partial Compliance Non-compliance n/a no assessment due until __________

DATE: December 31, 2016

MONITOR’S DISCUSSION: STEPS TAKEN BY ADOC AND TUTWILER TOWARDS IMPLEMENTATION

DATE: December 31, 2016

Section III.J.7 provisions are currently in ADOC and Tutwiler policy (AR 454 and SOP 8-12). AR 454 and SOP 8-12 include these provisions.

III.J.7

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MONITOR’S DISCUSSION: EXTENT TO WHICH ADOC AND TUTWILER HAVE COMPLIED WITH THE AGREEMENT

DATE: December 31, 2016

Note: The Monitor uses the time frame June 25 - December 31, 2016 as the "reporting period" throughout this report. The Monitor received documents and updates from ADOC prior to, during and after the compliance visit of December 5-9, 2016.
The Monitor found ADOC and Tutwiler to be ‘Substantially Compliant” with this provision in August, 2016. To date, ADOC and Tutwiler have sustained Substantial compliance. The Monitor determined the rating of "Substantial Compliance" for this reporting period based upon the following observations.
In accordance with SOP 8-12: • Inmate victims of sexual abuse receive timely, unimpeded access to emergency medical and mental health care and treatment and crisis intervention services, the nature and scope of which are determined by medical and mental health practitioners according to their professional judgment.
• If no qualified medical or mental health practitioners are on duty at the time a report of recent abuse is made, security staff and first responders take preliminary steps to protect the victim and immediately notify the appropriate medical and mental health practitioners.
• Tutwiler offers further medical and mental health evaluation and, as appropriate, treatment, to all inmates who have been victimized by sexual abuse and/or sexual harassment in any prison, jail, lockup, or juvenile facility.
• The evaluation and treatment of such victims includes, as appropriate, follow-up services, treatment plans, and, when necessary, referrals for continued care following their transfer to, or placement in, other facilities, or their release from custody.
• Appropriate mental health counseling and emotional support services are made available to victims of sexual abuse and sexual harassment, provided by a qualified staff member or a victim advocate from ACAR since ADOC has an MOU with this a community-based organization to provide services to sexual abuse victims.
• ADOC and Tutwiler will maintain an MOU with ACAR to provide inmates with confidential emotional support services related to sexual abuse or sexual harassment.
• ADOC and Tutwiler maintain copies of agreements or documentation of attempts.
• Inmate victims of sexual abuse or sexual harassment while incarcerated are offered timely information about and timely access to emergency contraception, pregnancy tests, and tests for sexually transmitted infections prophylaxis, where medically appropriate.
III.J.7

Case 2:15-cv-00368-MHT-TFM Document 26-1 Filed 03/28/17 Page 156 of 198
• If inmate pregnancy results from sexual abuse while incarcerated, such victims receive timely and comprehensive information about and access to all lawful pregnancy-related medical services.
• All treatment services in this above bullets are provided to the victim without financial cost and regardless of whether the victim names abuser or cooperates with any investigation arising out of the incident.
• All Tutwiler staff received an 8-hour block of PREA training. These staff include all of the Corizon medical and MHM mental health staff and their
contractors. MHM and Corizon have separate training curriculum for their new employees. Corizon has a separate short presentation module on PREA, using slides. MHM has a separate PREA training curriculum for new employees 4) The Monitor reviewed the MOU between ADOC and The Alabama Coalition Against Rape that provides a confidential phone number for inmates to use and receive emotional support as a result of sexual abuse.

MONITOR’S RECOMMENDATIONS: (for at least the next 6 months)

DATE DUE:

Tutwiler to continue to hold monthly medical/mental health interdisciplinary meetings and use these meetings to discuss specific PREA Ongoing responsibilities requiring action by the two disciplines.

III.J.7

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REFERRALS AND INVESTIGATIONS III.K ADOC and Tutwiler shall ensure that all allegations of sexual abuse and sexual harassment are promptly, thoroughly, and objectively investigated and appropriately referred for prosecutorial review, and that alleged victims are advised of the outcome of their allegations.

Policy

Develop Implement Policy Policy

1.ADOC investigators shall continue to investigate allegations of sexual abuse or sexual harassment consistent with their authority as criminal investigators and consistent with Policy and Alabama law. Completed investigations of sexual abuse and sexual harassment will be referred to local prosecutors as appropriate. 2. When ADOC conducts its own investigations into allegations of sexual abuse or sexual harassment, it shall do so promptly, thoroughly, and objectively for all allegations, including third party and anonymous reports. Administrative investigations shall be completed regardless of the results of any criminal investigations and regardless of the subject’s continued employment by ADOC

III.K.1 III.K.2

AR 454 SOP 8-12

May 28, May 28, 2015 2015

Policy

Staff Trained Policy

REQUIREMENTS

Developed

Implemented

ADOC investigators investigate allegations of sexual abuse or sexual harassment consistent with their authority.

Y N N/A Y N N/A Y N N/A

Completed investigations of sexual abuse and sexual harassment will be referred to local prosecutors as appropriate.

Y N N/A Y N N/A Y N N/A

When ADOC conducts its own investigations into allegations of sexual abuse or sexual harassment, it does so promptly, thoroughly, and objectively for all allegations, including third party and anonymous reports.

Y N N/A Y N N/A Y N N/A

Administrative investigations are completed regardless of the results of any criminal investigations and regardless of the subject’s continued employment by ADOC.

Y N N/A Y N N/A Y N N/A

III.K.1 / III.K.2

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MONITOR’S MEASURES OF COMPLIANCE

1. SOP 8-12Inmate Sexual Abuse and Harassment, AR 454.. 2. ADOC AR 300, Investigative Operational Directives. 3. ADOC I+I PREA log. 4. Review of ADOC I+I Tutwiler PREA completed investigations. 5. Review of any written PREA referrals from Director Mercado to District Attorney's in made during reporting period. 6. Interviews with Deputy Commissioner Williams, Director Mercado, Investigator Kelly Smith, Warden Wright, Lt. Young, Ms. Vincent.

STEPS TAKEN BY MONITOR TO ANALYZE CONDITIONS AND ASSESS COMPLIANCE, AND FACTUAL BASIS FOR MONITOR’S FINDINGS

(for each member of monitoring team)

Documents

Interviews

On-site/Observations / Other

Reviewed:

• Deputy Commissioner Williams

• SOP 8-12 Inmate Sexual Abuse and Harassment • ADOC I&I Director Mercado

• ADOC AR 400-Investigative Operational Directives • ADOC Investigator Kelley Smith

• ADOC PREA investigations

• ADOC PREA Coordinator Vincent

• Tutwiler PREA Incident Committee documents

• Warden Wright

• I&I referrals to the local district attorney by

• Lt. Young

Director Mercado during the reporting period.

• Monthly inmate grievances: June-December 2016

• Inmate correspondence received by the Monitor

• Inmate on inmate allegations of sexual

harassment investigations conducted by Lt Young.

• Compliance Visit December 5-9, 2016

III.K.1 / III.K.2

Case 2:15-cv-00368-MHT-TFM Document 26-1 Filed 03/28/17 Page 159 of 198

None.

UNRESOLVED/PARTIALLY RESOLVED ISSUES FROM PREVIOUS TOUR

The Monitor found ADOC and Tutwiler to be ‘Substantially Compliant” with this provision during the January and June 2016 Compliance Visits.

The Monitor made no recommendations during the June 2016 Compliance Visit.

NOTE: THIS SECTION INCLUDES III.K.1 and III.K.2. Please provide separate findings, discussion, and recommendations for all provisions.
MONITOR’S FINDINGS: Substantial Compliance Partial Compliance Non-compliance n/a no assessment due until __________

DATE December 31, 2016

MONITOR’S DISCUSSION: STEPS TAKEN BY ADOC AND TUTWILER TOWARDS IMPLEMENTATION

DATE: December 31, 2016

Section III.K.1 of the Agreement has been ADOC and Tutwiler policy since February 2014 (See AR 454 and SOP 8-12). Section III.K.2 is in practice at Tutwiler by I & I, and is in SOP 8-12 as written in the Agreement.

III.K.1 / III.K.2

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MONITOR’S DISCUSSION: EXTENT TO WHICH ADOC AND TUTWILER HAVE COMPLIED WITH THE AGREEMENT

DATE: December 31, 2016

Note: The Monitor uses the time frame June 25 - December 31, 2016 as the "reporting period" throughout this report. The Monitor received documents and updates from ADOC prior to, during and after the compliance visit of December 5-9, 2016.

The Monitor found ADOC and Tutwiler to be ‘Substantially Compliant” with this provision during the June 2016 Compliance Visit.

ADOC AR 454 and SOP 8-12 PREA policies both provide for all of the requirements in this provision. The Monitor reviewed ADOC AR 300, Investigative Operational Directives. This is the general set of administrative responsibilities, policies and procedures for the Investigations and Intelligence Division (I+I).

The Monitor reviewed the SOP, "PREA Sexual Assault Investigations” for I+I. The Monitor reviewed investigations initiated and completed by ADOC I+I in the reporting period. The Monitor found that these investigations followed the directives in this SOP, as well as Tutwiler SOP 8-12 and ADOC AR 454. They were completed in the required time frames allowed. The Monitor found the investigations were thorough, used camera footage when appropriate and multiple interviews with inmates and staff.

There were five PREA related incidents referred to the District Attorney during this reporting period. The District Attorney’s disposition was no grand jury for any of them.

The Monitor notes that ADOC I+I will make a recommendation for a Tutwiler administrative internal review if criminal charges cannot be substantiated. Investigator Smith has stated they will make this recommendation if their investigation can provide relevant facts to support an administrative investigation.

The Monitor reviewed grievances filed during the reporting period. The Monitor received letters from 8 inmates during this reporting period. The Monitor did not see any complaints regarding the failure of ADOC I+I to investigate PREA allegations. The inmates in focus groups reported knowing who Ms. Smith is and having general respect for her methods of conducting investigations.

Previously, the Monitor noted that Mr. Mercado needed PREA training and that occurred in January and July 2016.

MONITOR’S RECOMMENDATIONS: (for at least the next 6 months) None.

DATE DUE: N/A

III.K.1 / III.K.2

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REFERRALS AND INVESTIGATIONS III.K ADOC and Tutwiler shall ensure that all allegations of sexual abuse and sexual harassment are promptly, thoroughly, and objectively investigated and appropriately referred for prosecutorial review, and that alleged victims are advised of the outcome of their allegations.

Policy

4.ADOC and Tutwiler shall develop, submit to the Monitor and DOJ for review consistent with Section III.A.6., and implement guidelines for the immediate initiation of an investigation and/or review upon learning of an allegation of sexual abuse or sexual harassment and develop a process for monitoring those guidelines. The guidelines shall also ensure that investigations that include any allegations of sexual abuse or sexual harassment are properly labeled as such.

III.K.4 SOP 8-112 SOP 11-1

Develop Policy February 28, 2016

Implement Policy February 28, 2016

REQUIREMENTS
Tutwiler has guidelines for immediately initiating an investigation and/or review upon learning of an allegation of sexual abuse or sexual harassment.
1. Tutwiler has a process for monitoring the guidelines.
2. The guidelines shall also ensure that investigations that include any allegations of sexual abuse or sexual harassment are properly labeled as such

Policy Developed

Staff Trained Policy Implemented

Y N N/A Y N N/A Y N N/A

Y N N/A Y N N/A Y N N/A Y N N/A Y N N/A Y N N/A

MONITOR’S MEASURES OF COMPLIANCE

1. SOP 8-12 Inmate Sexual Abuse and Harassment, SOP 11-1 Data Collection and Quality Improvement. 2. Review PREA allegation Tutwiler incident reports. 3. Review inmate grievances: June-December 2016. 4. Interviews with Deputy Commissioner Williams, Warden Wright, Lt. Young 5. Staff interviews.

III.K.4

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STEPS TAKEN BY MONITOR TO ANALYZE CONDITIONS AND ASSESS COMPLIANCE, AND FACTUAL BASIS FOR MONITOR’S FINDINGS

(for each member of monitoring team)

Documents

Interviews

On-site/Observations / Other

Reviewed: • SOP 8-12 Inmate Sexual Abuse and Harassment • SOP 11-1 Data Collection and Quality Improvement
Policy • PREA allegation incident reports: June-December
2016 • Inmate grievances • Inmate correspondence received by the Monitor

• Deputy Commissioner Williams • Warden Wright • Lt. Young • Staff interviews

• Compliance Visit December 5-9, 2016

None.

UNRESOLVED/PARTIALLY RESOLVED ISSUES FROM PREVIOUS TOUR

The Monitor found ADOC and Tutwiler to be ‘Substantially Compliant” with this provision during the June 2016 Compliance Visit.

The ADOC and Tutwiler have addressed all recommendations made by the Monitor during the June 2016 Compliance Visit.

III.K.4

Case 2:15-cv-00368-MHT-TFM Document 26-1 Filed 03/28/17 Page 163 of 198

MONITOR’S FINDINGS: Substantial Compliance Partial Compliance Non-compliance n/a no assessment due until __________

DATE: December 31, 2016

MONITOR’S DISCUSSION: STEPS TAKEN BY ADOC AND TUTWILER TOWARDS IMPLEMENTATION Tutwiler has documented Section III.K.4 provisions in Tutwiler SOP 8-12. Staff has been trained in SOP 8-12.

DATE: December 31, 2016

MONITOR’S DISCUSSION: EXTENT TO WHICH ADOC AND TUTWILER HAVE COMPLIED WITH THE AGREEMENT

DATE: December 31, 2016

Note: The Monitor uses the time frame June 25 - December 31, 2016 as the "reporting period" throughout this report. The Monitor received documents and updates from ADOC prior to, during and after the compliance visit of December 5-9, 2016.
The Monitor found ADOC and Tutwiler to be “Substantially Compliance” with this provision during the June 2016 Compliance Visit. To date, ADOC and Tutwiler have sustained substantial compliance.
The Monitor determined the rating of "Substantial Compliance" for this reporting period based upon the following observations.
Tutwiler has guidelines (SOP 8-12) for immediately initiating an investigation and/or review upon learning of an allegation of sexual abuse or sexual harassment. III.K.4

Case 2:15-cv-00368-MHT-TFM Document 26-1 Filed 03/28/17 Page 164 of 198
Tutwiler has a process for monitoring the guidelines (SO 8-12, and SOP 11-1, Data Collection and Quality Improvement). The guidelines shall also ensure that investigations that include any allegations of sexual abuse or sexual harassment are properly labeled as such (SOP 8-12, and SOP 11-1, Data Collection and Quality Improvement).
The staff has been trained in SOP 8-12.
SOP 11-1, Data Collection and Quality Improvement, provides the ability for ADOC/Tutwiler to monitor the various guidelines prescribed in SOP 8-12 and to provide required data information collected at Tutwiler. ADOC and Tutwiler developed a template for a Risk Management system to use at Tutwiler.
SOP 11-1 requires a routine, scheduled polling of a randomly selected group of inmates. The Monitor and DOJ reviewed the draft plan, in detail, for the inmate polling. The first scheduled polling occurred in the week of July 11, 2016. The second took place in October 2016. The third polling event is scheduled for January 2017. Polling information will assist in the confirmation of the inmate awareness of the PREA policy, SOP 8-12, and its directives, as implemented at Tutwiler.

MONITOR’S RECOMMENDATIONS: (for at least the next 6 months)
ADOC to continue to provide to the Monitor, the results of inmate polling after it is administered and the data are collected.

DATE DUE:
Upon completion and aggregation of results from each poll.

III.K.4

Case 2:15-cv-00368-MHT-TFM Document 26-1 Filed 03/28/17 Page 165 of 198

REFERRALS AND INVESTIGATIONS

III.K ADOC and Tutwiler shall ensure that all allegations of sexual abuse and sexual harassment are promptly, thoroughly, and objectively investigated and

appropriately referred for prosecutorial review, and that alleged victims are advised of the outcome of their allegations.

Policy

Develop Implement

Policy Policy

Investigators

February February

AR 454

28, 2016 28, 2016

3. The use of pre-hearing segregation shall be limited to inmates whose continuing behavior is a threat to

III.K.3 SOP 8-12

facility safety, or who will not stop the prohibited behavior. Such pre-hearing segregation shall not be used

SOP5-9

for more than 72 hours, at which time an inmate must be afforded a disciplinary hearing, or provided a

SOP9-16

written explanation of why the hearing is postponed and when the hearing will be re-scheduled.

SOP (TBD)

5. Where sexual abuse or sexual harassment is alleged, ADOC shall use investigators who have received special training in institutional sexual abuse and sexual harassment investigation. Specialized training shall include techniques for interviewing sexual abuse victims, proper use of Miranda and Garrity warnings, sexual abuse evidence collection in confinement settings, and the criteria and evidence required to substantiate a case for administrative action or prosecution referral. ADOC shall maintain documentation that agency investigators have completed the required specialized training in conducting sexual abuse investigations. The Department-wide PREA Coordinator and Tutwiler's PREA Compliance Manager shall not serve as investigators for sexual abuse investigations.

III.K.5

7. The credibility of an alleged victim, suspect, or witness shall be assessed on an individual basis and shall not be determined by the person’s status as inmate or staff. ADOC or Tutwiler are prohibited from offering or administering polygraph examinations or other truth-telling devices to an inmate who alleges sexual abuse or sexual harassment.

III.K.7

8. ADOC shall issue a written investigative report within 30 days after the conclusion of a sexual abuse or sexual harassment investigation that indicates whether the allegation is substantiated, unsubstantiated, or unfounded. The investigator may request in writing, approved by the facility designee, an extension for cause that identifies the remaining actions necessary to complete the investigation. In no case shall the investigation be unfounded solely due to the expiration of the 30 days. The investigative report shall include an effort to determine whether staff actions or failures to act contributed to the abuse, a description of the physical and testimonial evidence, the reasoning behind credibility assessments, and investigative facts and findings.
9. ADOC shall work with the Monitor on ensuring that an investigative summary sheet that provides an overview of the current status of an investigation is included. The summary information should include, among other things, basic information such as staff name(s), prisoner names(s), location of incident, and the time of day. III.K.5 / III.K.3 / III.K.7 / III.K.8 / III.K.9 / III.K.10

III.K.8
III.K.9 III.K.10

Case 2:15-cv-00368-MHT-TFM Document 26-1 Filed 03/28/17 Page 166 of 198
10. The departure of the alleged perpetrator or victim from the employment or control of ADOC or Tutwiler shall not provide a basis for terminating an investigation.

REQUIREMENTS

Policy Developed

Staff Trained

Policy Implemented

Pre-hearing segregation is limited to inmates whose continuing behavior is a threat to facility safety, Y N N/A Y N N/A or who will not stop the prohibited behavior.

Pre-hearing segregation is not used for more than 72 hours, at which time an inmate must be afforded a disciplinary hearing, or provided a written explanation of why the hearing is postponed and when the hearing will be re-scheduled.

Y N N/A Y N N/A

Only investigators who have received special training in institutional sexual abuse and harassment investigations are used in such investigations.

Y N N/A Y N N/A

1. Specialized training includes techniques for interviewing sexual abuse victims, proper use of Y N N/A

Miranda and Garrity warnings, sexual abuse evidence collection in confinement settings,

and the criteria and evidence required to substantiate a case for administrative action or

prosecution referral.

2. ADOC maintains documentation that agency investigators have completed the required specialized training in conducting sexual abuse investigations.

Y N N/A

3. The Department-wide PREA Coordinator and Tutwiler's PREA Compliance Manager do not

serve as investigators for sexual abuse investigations.

Y N N/A

Y N N/A
Y N N/A Y N N/A

Investigators gather and preserve direct and circumstantial evidence, including any available physical and DNA evidence, and electronic monitoring data; interview alleged victims, suspected perpetrators and witnesses; and review prior complaints and reports of sexual abuse and sexual harassment involving the suspected perpetrator.

Y N N/A

Y N N/A The credibility of an alleged victim, suspect or witness is assessed on an individual basis and shall not
be determined by the person's status as inmate or staff.

ADOC and Tutwiler are prohibited from administering polygraph examinations or other truth-telling Y N N/A devices to an inmate who alleges sexual abuse/harassment.

ADOC issues a written investigative report within 30 days after the conclusion of a sexual abuse or III.K.5 / III.K.3 / III.K.7 / III.K.8 / III.K.9 / III.K.10

Y N N/A

Y N N/A Y N N/A Y N N/A Y N N/A

Y N N/A Y N N/A Y N N/A Y N N/A
Y N N/A N N/A
Y N N/A Y N N/A Y N N/A Y N N/A

Case 2:15-cv-00368-MHT-TFM Document 26-1 Filed 03/28/17 Page 167 of 198

sexual harassment investigation that indicates whether the allegation is substantiated, unsubstantiated, or unfounded.

Y N N/A Y N N/A

The investigator may request in writing, approved by the facility designee, an extension for cause that identifies the remaining actions necessary to complete the investigation.

Y N N/A

1. In no case shall the investigation be unfounded solely due to the expiration of the 30 days.

Y N N/A

The investigative report includes:

Y N N/A

1. an effort to determine whether staff actions or failures to act contributed to the abuse, 2. a description of the physical and testimonial evidence, 3. the reasoning behind credibility assessments, 4. and investigative facts and findings.

Y N N/A Y N N/A Y N N/A

Y N N/A ADOC shall work with the Monitor on ensuring that an investigative summary sheet that provides an

overview of the current status of an investigation is included. The summary information should

include, among other things, basic information such as staff name(s), prisoner names(s), location of

incident, and the time of day.

Y N N/A

An alleged perpetrator or victim’s departure from the employment or control of ADOC or Tutwiler shall not provide a basis for terminating an investigation.

Y N N/A Y N N/A Y N N/A Y N N/A Y N N/A
Y N N/A

Y N N/A
Y N N/A
Y N N/A Y N N/A Y N N/A Y N N/A Y N N/A
Y N N/A/A

MONITOR’S MEASURES OF COMPLIANCE
1. SOP 8-12 Inmate Sexual Abuse and Harassment, AR 454. 2. SOP 5-9 Administrative Segregation. 3. SOP 9-16 Institutional PREA Compliance Manager job description. 4. Review of the administrative segregation log. 5. Review of any extensions of the thirty day requirement, granted by Deputy Commissioner Williams for an I + I PREA investigation. 6. Review of Tutwiler PREA investigations conducted by ADOC I + I. 7. Interviews with Mr. Mercado, Deputy Commissioner Williams, Ms. Vincent , Warden Wright, Lt. Young, Lt. Coleman.

III.K.5 / III.K.3 / III.K.7 / III.K.8 / III.K.9 / III.K.10

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STEPS TAKEN BY MONITOR TO ANALYZE CONDITIONS AND ASSESS COMPLIANCE, AND FACTUAL BASIS FOR MONITOR’S FINDINGS

(for each member of monitoring team)

Documents

Interviews

On-site/Observations / Other

• Reviewed: • SOP 8-12 Inmate Sexual Abuse and Harassment • ADOC 454 • SOP 5-9 Administrative Segregation • SOP 9-16 Job Description for Institutional PREA
Compliance Manager (Lt. Young) • Pre-hearing segregation log

• Deputy Commissioner Williams • Director Mercado • Investigator Smith • Ms. Vincent • Warden Wright • Lt. Young • Lt. Coleman

• Compliance Visit December 5-9, 2016

None.

UNRESOLVED/PARTIALLY RESOLVED ISSUES FROM PREVIOUS TOUR

The Monitor found ADOC and Tutwiler to be ‘Substantially Compliant” with this provision during the June 2016 Compliance Visit.

The Monitor made no recommendations regarding this provision during the June 2016 Compliance Visit.

III.K.5 / III.K.3 / III.K.7 / III.K.8 / III.K.9 / III.K.10

Case 2:15-cv-00368-MHT-TFM Document 26-1 Filed 03/28/17 Page 169 of 198
NOTE: THIS SECTION INCLUDES III.K.3, III.K.5, III.K.7, III.K.8, III.K.9 and III.K.10. Please provide separate findings, discussion, and recommendations for all provisions. MONITOR’S FINDINGS:
Substantial Compliance Partial Compliance Non-compliance n/a no assessment due until __________

DATE December 31, 2016:

MONITOR’S DISCUSSION: STEPS TAKEN BY ADOC AND TUTWILER TOWARDS IMPLEMENTATION

DATE: December 31, 2016

Section III.K.3 of the Agreement has been in practice at Tutwiler since May 28, 2015. SOP 5-9, Administrative Segregation, also includes this provision. Lt. Brian Coleman maintains a spreadsheet on every inmate placed in Administrative Segregation, or ‘pre-hearing segregation.’

Portions of Section III.K.5. of the Agreement already exist in ADOC and Tutwiler policy (AR 454 & SOP 8-12). Investigators have received specialized training that includes techniques for interviewing sexual abuse victims, sexual abuse evidence collection in confinement settings, and the criteria and evidence required to substantiate a case for administrative action or prosecution. This is in ADOC and Tutwiler policy. Investigators have received training on the proper use of Miranda and Garrity warnings, and this provision is also in Tutwiler and ADOC policy.

Further, the Department-wide PREA Coordinator and Tutwiler’s IPCM do not serve as investigators for sexual abuse investigations. This is in Tutwiler policy. Section III.K.7, is in Tutwiler policy and has actively been in practice since May 28, 2015. This provision is also included in SOP 8-12. Section III.K.8, is in ADOC or Tutwiler policy. This practice was put in place on May 28, 2015, and remains in practice to date. The Deputy Commissioner for Women’s Services reviews and approves / disapproves any extension beyond the 30-day requirement for a written investigative report to be issued, as requested by the Director of I & I.

Section III.K.9, the Deputy Commissioner for Women’s Services reviewed the investigative summary form with the Monitor after the first Compliance Visit. The Monitor was satisfied that the form meets the requirements of the Agreement.

Section III.K.10, is in Tutwiler policy, and has been in practice since May 28, 2015.

III.K.5 / III.K.3 / III.K.7 / III.K.8 / III.K.9 / III.K.10

Case 2:15-cv-00368-MHT-TFM Document 26-1 Filed 03/28/17 Page 170 of 198
MONITOR’S DISCUSSION: EXTENT TO WHICH ADOC AND TUTWILER HAVE COMPLIED WITH THE AGREEMENT

DATE: December 31, 2016

Note: The Monitor uses the time frame June 25 - December 31, 2016 as the "reporting period" throughout this report. The Monitor received documents and updates from ADOC prior to, during and after the Compliance Visit of December 5-9, 2016.
The Monitor found ADOC and Tutwiler to be in “Substantial Compliance” with this provision during the June 2016 Compliance Visit. To date, ADOC and Tutwiler have sustained substantial compliance. The Monitor determined the rating of "Substantial Compliance" for this reporting period based upon the following observations:
Several finalized policies are relevant to this provision. They are: ADOC 454, SOP 8-12 Inmate Sexual Abuse and Harassment, SOP 5-9. Administrative Segregation; and SOP 9-16, Institutional PREA Compliance Manager. SOP 8-12 has all the requirements for K.3, 5, 7, 8, 9, and 10 in its procedures. SOP 5-9 also has all the requirements for K.3 in its directives.
Pre-hearing segregation continues to be limited to inmates whose continuing behavior is a threat to facility safety, or who will not stop the prohibited behavior. This is documented in Tutwiler policy and remains in practice. The Monitor reviewed the spreadsheet maintained by Lt. Coleman to document inmates placed in pre-hearing segregation. The spreadsheet has the name, charged violation, and dates of admission and release from pre-hearing segregation.
Pre-hearing segregation is not used for more than 72 hours, and the inmate is afforded a disciplinary hearing, or provided a written explanation of why the hearing is postponed (if warranted) and when the hearing will be re-scheduled. The Monitor reviewed inmate grievances filed during this reporting period and inmate correspondence received by the Monitor during this reporting period and there were no complaints regarding the inappropriate placement of an inmate in pre-hearing segregation.
Only investigators who have received special training in institutional sexual abuse and harassment investigations are approved to conduct such investigations. The requirement regarding training in the Miranda and Garrity warnings is now in ADOC 454 and SOP 8-12. The ADOC and Tutwiler investigators' specialized training has included techniques for interviewing sexual abuse victims, proper use of Miranda and Garrity warnings, sexual abuse evidence collection in confinement settings, and the criteria and evidence required to substantiate a case for administrative action or prosecution referral. The investigators received specialized training in 2015 that was noted in a previous Monitor's report. Another PREA specialized investigator training was conducted on July 11-13, 2016. Director Mercado was one of the participants. Documentation of this training was provided to the Monitor. ADOC Training Division maintains documentation that agency investigators have completed the required specialized training in conducting sexual abuse investigations.
The Department-wide PREA Coordinator (Ms. Christy Vincent) and Tutwiler's PREA Compliance Manager (Lt. Young) do not serve as investigators for sexual abuse investigations. Lt. Young does investigate inmate-on-inmate sexual harassment investigations.
Investigators continue to gather and preserve direct and circumstantial evidence, including any available physical and DNA evidence, and electronic monitoring data; interview alleged victims, suspected perpetrators and witnesses; and review prior complaints and reports of sexual abuse and sexual harassment involving the suspected perpetrator. The specialized training held for investigators in July 2016 included the topic of forensic evidence collection.
III.K.5 / III.K.3 / III.K.7 / III.K.8 / III.K.9 / III.K.10

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The credibility of an alleged victim, suspect or witness is assessed on an individual basis and shall not be determined by the person's status as inmate or staff.
ADOC and Tutwiler understand the prohibition from administering polygraph examinations or other truth-telling devices to an inmate who alleges sexual abuse/harassment. This has been prohibited and is in SOP 8-12.
ADOC (I&I) continues to issue a written investigative report within 30 days after the conclusion of a sexual abuse or sexual harassment investigation that indicates whether the allegation is substantiated, unsubstantiated, or unfounded.
The investigator, through the Deputy Commissioner for Women’s Services, may request in writing, approved by the Director of I&I, an extension for cause that identifies the remaining actions necessary to complete the investigation
In no case are any investigations unfounded solely due to the expiration of the 30 days.
The investigative summary reports include: • an effort to determine whether staff actions or failures to act contributed to the abuse, • a description of the physical and testimonial evidence, • the reasoning behind credibility assessments, • and investigative facts and findings.
ADOC reviewed the investigative summary sheet with Monitor Lancaster to ensure that it provided an overview of the current status of an investigation. The summary information does include, among other things, basic information such as staff name(s), prisoner names(s), location of incident, and the time of day.
An alleged perpetrator or victim’s departure from the employment or control of ADOC or Tutwiler does not provide a basis for terminating an investigation.

MONITOR’S RECOMMENDATIONS: (for at least the next 6 months)
None.

DATE DUE: N/A

III.K.5 / III.K.3 / III.K.7 / III.K.8 / III.K.9 / III.K.10

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REFERRALS AND INVESTIGATIONS

III.K ADOC and Tutwiler shall ensure that all allegations of sexual abuse and sexual harassment are promptly, thoroughly, and objectively investigated and

appropriately referred for prosecutorial review, and that alleged victims are advised of the outcome of their allegations.

Policy

Develop Implement

Outside Investigations; Inmate Notification

Policy Policy February February

III.K.11 AR 454

28, 2016 28, 2016

11.When outside agencies investigate alleged incidents of sexual abuse, ADOC and Tutwiler shall cooperate III.K.12 SOP 8-12

with outside investigators and shall endeavor to remain informed, to the extent appropriate, about the

III.K.13

progress of the investigation.

III.K.14

12.Following an investigation into an inmate’s allegation that she suffered sexual abuse or sexual

III.K.15

harassment in any ADOC facility or while within the physical custody and control of the ADOC, ADOC and

Tutwiler shall inform the inmate as to whether the allegation has been determined to be substantiated,

unsubstantiated, or unfounded.

13.If ADOC or Tutwiler did not conduct the investigation, it shall request the relevant information from the investigative agency in order to inform the inmate.

14.Following an inmate’s allegation that a staff member has committed sexual abuse or sexual harassment against the inmate, ADOC and Tutwiler shall subsequently inform the inmate whenever: (see below)

15.All such notifications or attempted notifications shall be documented.

REQUIREMENTS

Policy Developed

Staff Trained

When outside agencies investigate alleged incidents of sexual abuse, ADOC and Tutwiler cooperate with outside investigators and endeavor to remain informed, to the extent appropriate, about the progress of the investigation.

Y N N/A Y N N/A

Following an investigation (external or internal) into an inmate’s allegation that she suffered sexual abuse

or sexual harassment in any ADOC facility or while within the physical custody and control of the ADOC, ADOC and Tutwiler informs the inmate as to whether the allegation has been determined to be

Y N N/A Y N N/A

substantiated, unsubstantiated, or unfounded.

If ADOC or Tutwiler did not conduct the investigation, it requests the relevant information from the

Y N N/A Y N N/A

Policy Implemented Y N N/A
Y N N/A Y N N/A

III.K.11 / III.K.12 / III.K.13 / III.K.14 / III.K.15

Case 2:15-cv-00368-MHT-TFM Document 26-1 Filed 03/28/17 Page 173 of 198

investigative agency in order to inform the inmate.
Following an inmate’s allegation that a staff member has committed sexual abuse or sexual harassment against the inmate, ADOC and Tutwiler subsequently inform the inmate whenever:

Y N N/A Y N N/A

The staff member is no longer posted within the inmate’s unit;

The staff member is no longer employed at Tutwiler; or

ADOC and/or Tutwiler learn that the staff member has been indicted or convicted on a charge related to

sexual abuse within Tutwiler.

Y N N/A Y N N/A

All such notifications or attempted notifications are documented.

Y N N/A Y N N/A

MONITOR’S MEASURES OF COMPLIANCE

1. SOP 8-12 Inmate Sexual Abuse and Harassment. 2. Review of any PREA investigation conducted by external agency. 3. Review any PREA notification forms given to inmates in reporting period. 4. Review the ADOC I+I PREA log for 2016. 5. Tutwiler PREA incident report for reporting period. 6. Interviews with Director Mercado, Deputy Commissioner Williams, Ms. Vincent, Warden Wright, and Lt. Young. 7. ADOC Human Resources documentation of any official employee disciplinary actions, related to PREA investigations, in reporting period.

III.K.11 / III.K.12 / III.K.13 / III.K.14 / III.K.15

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STEPS TAKEN BY MONITOR TO ANALYZE CONDITIONS AND ASSESS COMPLIANCE, AND FACTUAL BASIS FOR MONITOR’S FINDINGS

(for each member of monitoring team)

Documents

Interviews

On-site/Observations / Other

Reviewed:

• Deputy Commissioner Williams

• SOP Inmate Sexual Abuse and Harassment

• Director Mercado

• PREA investigation completed by external agency • Warden Wright

• PREA notification forms given to inmates once a

• Lt. Young

PREA investigation has been completed.

• Tutwiler PREA investigations completed by Lt Young

• ADOC Human Resources documentation of any

personnel action regarding an employee who was

named in a substantiated PREA investigation

• Compliance Visit December 5-9, 2016

None.

UNRESOLVED/PARTIALLY RESOLVED ISSUES FROM PREVIOUS TOUR

The Monitor found ADOC and Tutwiler to be in “Substantial Compliance” with this provision during the June 2016 Compliance Visit. To date, ADOC and Tutwiler have sustained substantial compliance.

The Monitor made no recommendations regarding this provision during the June 2016 Compliance Visit.

III.K.11 / III.K.12 / III.K.13 / III.K.14 / III.K.15

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NOTE: THIS SECTION INCLUDES III.K.11, III.K.12, III.K.13, III.K.14 and III.K.15. Please provide separate findings, discussion, and recommendations for all provisions.
MONITOR’S FINDINGS: Substantial Compliance Partial Compliance Non-compliance n/a no assessment due until __________

DATE: December 31, 2016

MONITOR’S DISCUSSION: STEPS TAKEN BY ADOC AND TUTWILER TOWARDS IMPLEMENTATION

DATE: December 31, 2016

Sections III.K.11, 12, 13, 14, and 15 were put into practice at Tutwiler and I & I effective May 28, 2015. All portions of the provisions listed are incorporated in Tutwiler SOP 8-12. All staff has been trained in SOP 8-12 Inmate Sexual Abuse and Harassment.

MONITOR’S DISCUSSION: EXTENT TO WHICH ADOC AND TUTWILER HAVE COMPLIED WITH THE AGREEMENT

DATE: December 31, 2016

The Monitor found ADOC and Tutwiler to be in “Substantial Compliance” with this provision during the June 2016 Compliance Visit. To date, ADOC and Tutwiler have sustained substantial compliance.

The Monitor determined the rating of "Substantial Compliance" for this reporting period based upon the following observations:

This provision is included in SOP 8-12 and all staff has received training in this policy.

When outside agencies investigate alleged incidents of sexual abuse, ADOC and Tutwiler cooperate with outside investigators and endeavor to remain informed, to the extent appropriate, about the progress of the investigation.
Following an investigation (external or internal) into an inmate’s allegation that she suffered sexual abuse or sexual harassment in any ADOC facility or
III.K.11 / III.K.12 / III.K.13 / III.K.14 / III.K.15

Case 2:15-cv-00368-MHT-TFM Document 26-1 Filed 03/28/17 Page 176 of 198
while within the physical custody and control of the ADOC, ADOC and Tutwiler informs the inmate as to whether the allegation has been determined to be substantiated, unsubstantiated, or unfounded. This notification is made in writing by the I & I investigator.
If ADOC or Tutwiler did not conduct the investigation, it requests the relevant information from the investigative agency in order to inform the inmate.
Following an inmate’s allegation that a staff member has committed sexual abuse or sexual harassment against the inmate, ADOC and Tutwiler subsequently inform the inmate whenever: a) The staff member is no longer posted within the inmate’s unit; b) The staff member is no longer employed at Tutwiler; or c) ADOC and/or Tutwiler learn that the staff member has been indicted or convicted on a charge related to sexual abuse within Tutwiler. d) All such notifications or attempted notifications are documented.
There were no PREA investigations conducted by an external agency during this reporting period,.
This provision requires that Tutwiler provide a notification, via these requirements, to an inmate after a PREA investigation for sexual abuse or sexual harassment is completed. This notification is irrespective of the final status of the investigation. It is the responsibility of the IPCM to provide these notifications and keep documentation. Lt. Young maintains this documentation.

MONITOR’S RECOMMENDATIONS: (for at least the next 6 months)
None.

DATE DUE: N/A

III.K.11 / III.K.12 / III.K.13 / III.K.14 / III.K.15

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REFERRALS AND INVESTIGATIONS

III.K ADOC/Tutwiler shall ensure that all allegations of sexual abuse and sexual harassment are promptly, thoroughly, and objectively investigated and

appropriately referred for prosecutorial review, and that alleged victims are advised of the outcome of their allegations.

Policy

Develop Implement

Policy Policy

Investigations Review

February February

III.K.16 AR 454

28, 2016 28, 2016

16.A review team, including upper-level management officials at Tutwiler, with input from line supervisors, III.K.17 SOP 8-12

investigators, and medical and mental health practitioners, shall conduct an incident review within 30 days of

the conclusion of every investigation of substantiated and unsubstantiated allegations of sexual abuse or

staff-on-inmate sexual harassment. The review team shall: (see below)

17.ADOC and Tutwiler shall implement the recommendations for improvement or shall document its reasons for not doing so.

REQUIREMENTS

Policy Developed

Staff Trained Policy Implemented

A review team conducts an incident review within 30 days of the conclusion of every investigation of substantiated and unsubstantiated allegations of sexual abuse or staff-on-inmate sexual harassment.

Y N N/A Y N N/A Y N N/A

1. the review team include upper-level management officials at Tutwiler 2. the review team has input from line supervisors, investigators, and medical and mental health
practitioners.

Y N N/A Y N N/A Y N N/A Y N N/A Y N N/A Y N N/A

The review team:
1. Considers whether the allegation or investigation indicates a need to change policy or practice to better prevent, detect, or respond to sexual abuse or staff-on-inmate sexual harassment;
2. Considers whether the incident or allegation was motivated by race; ethnicity; gender identity; lesbian, gay, bisexual, transgender, or intersex identification, status, or perceived status; gang affiliation; or was motivated or otherwise caused by other group dynamics at Tutwiler;
3. Examines the area in Tutwiler where the incident allegedly occurred to assess whether physical barriers in the area may enable abuse;
4. Assesses the adequacy of staffing levels in that area during different shifts; 5. Includes a review, by a warden or senior management, of the personnel file of any involved
employees to assess needs in background screening, training, and/or supervision; 6. Assesses whether monitoring technology should be deployed or augmented to supplement III.K.16 / III.K.17

Y N N/A Y N N/A Y N N/A Y N N/A Y N N/A Y N N/A

Y N N/A Y N N/A Y N N/A

Y N N/A Y N N/A Y N N/A Y N N/A Y N N/A Y N N/A

Y N N/A Y N N/A Y N N/A

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supervision by staff; and 7. Prepares a report of its findings and any recommendations for improvement and submits such report Y N N/A
to the Monitor, DOJ, the Warden, the Department-wide PREA Coordinator, and Tutwiler's PREA Compliance Manager.
ADOC and Tutwiler implement the recommendations for improvement or document its reasons for not doing Y N N/A so.

Y N N/A Y N N/A Y N N/A Y N N/A

MONITOR’S MEASURES OF COMPLIANCE

1. SOP 8-12 Inmate Sexual Abuse and Harassment, AR 454. 2. Review minutes from PREA review committee meetings held during reporting period. 3. Review documentation of any actions taken, as a result of recommendations, from the committee review. 4. Interviews with Warden Wright, Lt. Young, Ms. Greer. 5. Review inmate grievances filed during reporting period.

STEPS TAKEN BY MONITOR TO ANALYZE CONDITIONS AND ASSESS COMPLIANCE, AND FACTUAL BASIS FOR MONITOR’S FINDINGS

(for each member of monitoring team)

Documents

Interviews

On-site/Observations / Other

Reviewed: • SOP 8-12 Inmate Sexual Abuse and Harassment • Tutwiler PREA Incident Review Committee Reports: June-
December 2016 • Monthly inmate grievances: June-December 2016 • Inmate correspondence received by Monitor during
reporting period.

• Warden Wright • Lt. Young • Review Team members

• Compliance Visit December 5-9, 2016

III.K.16 / III.K.17

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None.

UNRESOLVED/PARTIALLY RESOLVED ISSUES FROM PREVIOUS TOUR

The Monitor found ADOC and Tutwiler to be in "Substantial Compliance" with this provision during the June 2016 Compliance Visit.

ADOC and Tutwiler have addressed all recommendations made by the Monitor during the June 2016 Compliance Visit.

NOTE: THIS SECTION INCLUDES III.K.16 and III.K.17. Please provide separate findings, discussion, and recommendations for all provisions.
MONITOR’S FINDINGS: Substantial Compliance Partial Compliance Non-compliance n/a no assessment due until __________

DATE: December 31, 2016

MONITOR’S DISCUSSION: STEPS TAKEN BY ADOC AND TUTWILER TOWARDS IMPLEMENTATION

DATE: December 31, 2016

Sections III.K.16 and 15 were put into practice at Tutwiler and I&I effective May 28, 2015. All provisions have been added to revised policies which have been reviewed by the DOJ and Monitor. All Tutwiler staff has been trained in the SOP 8-12 Inmate Sexual Abuse and Harassment.

III.K.16 / III.K.17

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MONITOR’S DISCUSSION: EXTENT TO WHICH ADOC AND TUTWILER HAVE COMPLIED WITH THE AGREEMENT

DATE: December 31, 2016

The Monitor found ADOC and Tutwiler to be in “Substantial Compliance” with this provision during the June 2016 Compliance Visit. To date, ADOC and Tutwiler have sustained substantial compliance. The Monitor determined the rating of "Substantial Compliance" for this reporting period based upon the following observations.

SOP 8-12 contains the requirements and procedures for the Tutwiler PREA Incident Review Committee. The Tutwiler review team conducts an incident review within 30 days of the conclusion of every investigation of substantiated and unsubstantiated allegations of sexual abuse or staff-oninmate sexual harassment. Lt. Young completes the report for each meeting on the ADOC 454-F form.

T he review team includes upper-level management officials at Tutwiler and it has input from line supervisors, investigators, and medical and mental health practitioners.

The review team: • Considers whether the allegation or investigation indicates a need to change policy or practice to better prevent, detect, or respond to sexual abuse or staff-on-inmate sexual harassment; • Considers whether the incident or allegation was motivated by race; ethnicity; gender identity; lesbian, gay, bisexual, transgender, or intersex identification, status, or perceived status; gang affiliation; or was motivated or otherwise caused by other group dynamics at Tutwiler; • Examines the area in Tutwiler where the incident allegedly occurred to assess whether physical barriers in the area may enable abuse; • Assesses the adequacy of staffing levels in that area during different shifts; • Includes a review, by a warden or senior management, of the personnel file of any involved employees to assess needs in background screening, training, and/or supervision; • Assesses whether monitoring technology should be deployed or augmented to supplement supervision by staff; and • Prepares a report of its findings and any recommendations for improvement and submits such report to the Monitor, DOJ, the Warden, the Department-wide PREA Coordinator, and Tutwiler's PREA Compliance Manager.

ADOC and Tutwiler implement the recommendations for improvement or document its reasons for not doing so. The Monitor reviewed PREA Incident Review Committee meeting reports, occurring from June-December 2016. The committees were comprised of the Warden, ADOC investigator Kelley Smith, Lt. Young, and one or two of the section leaders at Tutwiler, such as Ms. Greer, MHM site administrator and Ms. Love, Corizon site administrator. The Monitor reviewed several reports that had specific actions recommended by the committee and Warden Wright. The Monitor believes this process is effective and critical to improving operations and enhancing inmate sexual safety.

III.K.16 / III.K.17

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MONITOR’S RECOMMENDATIONS: (for at least the next 6 months)
None.

DATE DUE: N/A

III.K.16 / III.K.17

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REFERRALS AND INVESTIGATIONS

III.K ADOC/Tutwiler shall ensure that all allegations of sexual abuse and sexual harassment are promptly, thoroughly, and objectively investigated and

appropriately referred for prosecutorial review, and that alleged victims are advised of the outcome of their allegations.

Policy

Develop Implement

Policy

Policy

18.Within 60 days of the Effective Date, ADOC and Tutwiler shall review all pending investigations alleging

July 28, July 28,

sexual abuse and sexual harassment to determine whether the investigation was conducted according to the III.K.18

2015

2015

requirements of Section III. K. of this Agreement.

September September

Within 120 days of the Effective Date, ADOC and Tutwiler will conduct a similar review of all unfounded

28, 2015 28, 2015

allegations of sexual assault and sexual harassment for the past 360 days to determine whether the

investigation was conducted according to the requirements of Section III. K. of this Agreement.

REQUIREMENTS

Policy Developed

Staff Trained

Policy Implemented

Within 60 days of the Effective Date, ADOC and Tutwiler shall review all pending investigations alleging

Y N N/A Y N N/A

sexual abuse and sexual harassment to determine whether the investigation was conducted according to the

requirements of Section III. K. of this Agreement.

Within 120 days of the Effective Date, ADOC and Tutwiler will conduct a similar review of all unfounded allegations of sexual assault and sexual harassment for the past 360 days to determine whether the investigation was conducted according to the requirements of Section III. K. of this Agreement.

Y N N/A Y N N/A

Y N N/A Y N N/A

MONITOR’S MEASURES OF COMPLIANCE
1. Review any actions / documentation generated by the Tutwiler leadership review of the summary of both reviews of the required PREA reports. 2. Monitor review of all of the new and revised SOP’s and policies implemented at Tutwiler in 2016. 3. Interviews with Warden Wright, Lt. Young.

III.K.18

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STEPS TAKEN BY MONITOR TO ANALYZE CONDITIONS AND ASSESS COMPLIANCE, AND FACTUAL BASIS FOR MONITOR’S FINDINGS

(for each member of monitoring team)

Documents

Interviews

On-site/Observations / Other

Reviewed:

• Any official personnel actions taken at Tutwiler for

• Deputy Commissioner Williams

employees as a result of a complete PREA

• Warden Wright

investigation • Actions taken after the PREA incident review

• Lt. Young

committee

• Monitor review of all 65 of the new and revised policies

at Tutwiler

• Compliance Visit December 5-9-, 2016

UNRESOLVED/PARTIALLY RESOLVED ISSUES FROM PREVIOUS TOUR

None. The Monitor found ADOC and Tutwiler to be in "Substantial Compliance " during the January and June 2016 Compliance Visits. The Monitor made no recommendations regarding this provision during the June 2016 Compliance Visit.

MONITOR’S FINDINGS: Substantial Compliance Partial Compliance Non-compliance n/a no assessment due until __________
III.K.18

DATE: December 31, 2016

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MONITOR’S DISCUSSION: STEPS TAKEN BY ADOC AND TUTWILER TOWARDS IMPLEMENTATION

DATE: December 31.2016

The Monitor found ADOC and Tutwiler to be ‘Substantially Compliant” with this provision in January and June 2016. To date, ADOC and Tutwiler have sustained substantial compliance.

MONITOR’S DISCUSSION: EXTENT TO WHICH ADOC AND TUTWILER HAVE COMPLIED WITH THE AGREEMENT

DATE: December 31, 2016

The Monitor found ADOC and Tutwiler to be ‘Substantially Compliant” with this provision in January and June 2016. To date, ADOC and Tutwiler have sustained substantial compliance. The requirements for this provision were completed in 2015 and are reflected in the Monitor's first court report.

MONITOR’S RECOMMENDATIONS: (for at least the next 6 months) None.

DATE DUE: N/A

III.K.18

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STAFF DISCIPLINARY ACTIONS III.L ADOC and Tutwiler shall take appropriate disciplinary action against staff found to have engaged in sexual abuse or sexual harassment or to have violated

Tutwiler’s policies and procedures regarding sexual abuse or sexual harassment.

Policy

Develop Implement

Policy Policy

1. ADOC and Tutwiler shall develop, submit to the Monitor and DOJ for review consistent with Section III.A.6., III.L.1

and implement policies and procedures that track staff disciplinary actions related to allegations of sexual

III.L.2 SOP 8-12

February February

abuse or sexual harassment, to ensure that the directives in III.L.2-III.L.6 below are met.

III.L.3 SOP 9-9

28, 2016 28, 2016

III.L.4 SOP 11-1

III.L.5

III.L.6

Policy

Staff Trained Policy

REQUIREMENTS

Developed

Implemented

ADOC and Tutwiler ensure prompt corrective action following any substantiated finding or recommendation resulting from either an administrative or criminal investigation surrounding an incident of sexual abuse or sexual harassment. This will include, but not be limited to:
1. Documented disciplinary sanctions of staff; and 2. Permanent removal of staff from the post where the incident occurred.
Staff is subject to disciplinary sanctions up to and including termination for violating ADOC’s sexual abuse or sexual harassment policies.

Y N N/A Y N N/A Y N N/A
Y N N/A Y N N/A Y N N/A Y N N/A Y N N/A Y N N/A Y N N/A Y N N/A Y N N/A

Termination is the presumptive disciplinary sanction for staff who have engaged in sexual abuse.

Y N N/A Y N N/A Y N N/A

Disciplinary sanctions for violations of agency policies relating to sexual abuse or sexual harassment (other

Y N N/A Y N N/A

than actually engaging in sexual abuse) are commensurate with the nature and circumstances of the acts

committed, the staff member’s disciplinary history, and the sanctions imposed for comparable offenses by

other staff with similar histories.

All terminations for violations of ADOC’s and Tutwiler’s sexual abuse or sexual harassment policies, or

Y N N/A Y N N/A

resignations by staff who would have been terminated for sexual abuse or sexual harassment, if not for their

resignation, are reported to local prosecutors, unless the activity was clearly not criminal in conformance with

Alabama law, and to any relevant licensing bodies.

Y N N/A Y N N/A

Develop and implement policies (submitted for review) and procedures that track staff disciplinary actions related to allegations of sexual abuse or harassment.

Y N N/A Y N N/A Y N N/A

III.L.1 / III.L.2 / III.L.3 / III.L.4 / III.L.5 / III.L.6

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Ensure prompt corrective action following any substantiated finding or recommendation resulting from either an administrative or criminal investigation surrounding an incident of sexual abuse or harassment including (but not limited to) document disciplinary sanctions and permanent removal of staff from post where incident occurred.

Y N N/A Y N N/A

Staff shall be subject to disciplinary sanctions up to and including termination for violating ADOC’s sexual abuse or harassment policies.

Y N N/A Y N N/A

Y N N/A Y N N/A Terminations for violations of sexual harassment or sexual abuse policies shall be reported to local prosecutors
unless the activity was clearly not criminal in conformance with AL law.

Y N N/A Y N N/A Y N N/A

MONITOR’S MEASURES OF COMPLIANCE

1. SOP 8-12 Inmate Sexual Abuse and Harassment. 2. SOP 9-9 Employee Standards of Conduct and Discipline and SOP 11-1 Data Collection and Quality Improvement. 3. Review any ADOC documentation for Tutwiler Human Resources (HR) actions for an employee due to a PREA investigation during the reporting
period. 4. Review any written "counseling” sessions held by Warden Wright for staff, related to issues related to PREA. 5. Interviews with Deputy Commissioner Williams, ADOC HR Director Lawley, Warden Wright, Lt. Young and Ms. Vincent.

STEPS TAKEN BY MONITOR TO ANALYZE CONDITIONS AND ASSESS COMPLIANCE, AND FACTUAL BASIS FOR MONITOR’S FINDINGS

(for each member of monitoring team)

Documents

Interviews

On-site/Observations / Other

• SOP 8-12 Inmate Sexual Abuse and Harassment

• Deputy Commissioner Williams

• SOP 9-9 Employee Standards of Conduct and

• ADOC Personnel Director Bill Lawley

Discipline

• ASOC PREA Coordinator Vincent

• SOP 11-1 Data Collection and Quality Improvement • Warden Wright

• Any official employee discipline action at Tutwiler for • Lt. Young

a PREA incident during this reporting cycle

• Captain McClain

• Tutwiler Risk Management System for this reporting

period, managed by Captain McClain

• Tutwiler employee personnel actions spreadsheet-

listing new hires, separations and causes for

separations

• Compliance Visit December 5-9, 2016

III.L.1 / III.L.2 / III.L.3 / III.L.4 / III.L.5 / III.L.6

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None

UNRESOLVED/PARTIALLY RESOLVED ISSUES FROM PREVIOUS TOUR

1) The Monitor found ADOC and Tutwiler to be ‘Substantially Compliant” with this provision during the June 2016 Compliance Visit.

The ADOC and Tutwiler have addressed all recommendations made by the Monitor during the June 2016 Compliance Visit.

NOTE: THIS SECTION INCLUDES III.L.I, III.L.2, III.L.3, III.L.4, III.L.5 and III.L.6. Please provide separate findings, discussion, and recommendations for all provisions.
MONITOR’S FINDINGS: Substantial Compliance Partial Compliance Non-compliance n/a no assessment due until __________

DATE: December 31, 2016

MONITOR’S DISCUSSION: STEPS TAKEN BY ADOC AND TUTWILER TOWARDS IMPLEMENTATION

DATE: December 31, 2016

Section III.L of the Agreement was put into practice at Tutwiler effective May 28, 2015. All portions of this provision exist in SOP 8-12, SOP 99, or SOP 11-1.

III.L.1 / III.L.2 / III.L.3 / III.L.4 / III.L.5 / III.L.6

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MONITOR’S DISCUSSION: EXTENT TO WHICH ADOC AND TUTWILER HAVE COMPLIED WITH THE AGREEMENT

DATE: December 31, 2016

The Monitor found ADOC and Tutwiler to be ‘Substantially Compliant” with this provision during the Compliance Visit of June 2016. To date, ADOC and Tutwiler have sustained substantial compliance. All portions of this provision exist in SOP 8-12 Inmate Sexual Abuse and Harassment, SOP 9-9 Employee Standards of Conduct and Discipline, or SOP 11-1 Data Collection and Quality Improvement.

SOP 8-12 Inmate Sexual Abuse and Harassment and SOP 9-9, Employee Standards of Conduct & Discipline, have been updated to include these provisions, and have been reviewed by DOJ and the Monitor. Procedures are in place with the Risk Management System (SOP 11-1, Data collection and Quality Improvement) that track staff disciplinary actions related to allegations of sexual abuse or harassment.

Specifically, SOP 9-9 Employee Conduct and Discipline was revised to include all of this provisions' requirements, regarding ADOC personnel actions for any employee with substantiated violations of the PREA policy on sexual abuse and sexual harass

SOP 11-1, Data Collection and Quality Improvement, has procedures for the required tracking of staff disciplinary actions for allegations of sexual abuse and sexual harassment. The Monitor and DOJ reviewed and commented on the drafts for 11-1 and the template for data, in June.

The Monitor reviewed the Risk Management spreadsheet maintained by Tutwiler Captain McClain, for the reporting period. She obtains the information is through a variety of sources on a timely basis. The spreadsheet documents the following information, for staff who engaged or allegedly engaged in the following conduct: a. Sexual abuse and sexual harassment b. Unprofessional conduct involving inmates, including sexually explicit, vulgar or degrading language c. Use of Force incidents d. Retaliation e. Staff unannounced presence in bathrooms
f. Staff frequently located off posts g. Inmate grievances, involving any of the previous named conduct

This information on the Tutwiler Risk Management System (RMS) is reviewed routinely by Warden Wright and her leadership team. Working closely with Captain McClain, Lt. Young monitors the RMS spreadsheet. This information is also shared with Deputy Commissioner Williams. They are looking for any trends in staff behavior, any patterns that should be addressed immediately by Warden Wright. The Monitor and Warden Wright discussed the Warden's use of this tracking information. The Monitor believes Warden Wright has used this information effectively to track emerging issues and take appropriate action. For example, Warden Wright has personally counseled staff members regarding the need for professional, respectful staff-inmate communication and developed a staff intervention plan responsive to inmates' complaints regarding staff language.

There were no substantiated PREA allegations during this reporting period.

III.L.1 / III.L.2 / III.L.3 / III.L.4 / III.L.5 / III.L.6

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MONITOR’S RECOMMENDATIONS: (for at least the next 6 months)

DATE DUE: As soon as it occurs

1. ADOC will contact the Monitor when a substantiated allegation occurs. This notification will occur within 48 hours of completion of the investigation.
2. ADOC will notify the Monitor and DOJ of any employee’s discipline that occurs via these requirements.

As soon as it occurs As soon as it occurs

III.L.1 / III.L.2 / III.L.3 / III.L.4 / III.L.5 / III.L.6

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III.M Limited English Proficient (LEP) Inmates

ADOC and Tutwiler shall work with the Monitor to develop and implement a policy providing for a method of interpretation services for LEP inmates. This method may be through a language telephone line, if necessary. ADOC and Tutwiler shall not rely on other inmates or non-certified employees to translate and/or interpret for LEP inmates.
REQUIREMENTS

Policy

Develop Implement Policy Policy

III.M AR 454 SOP8-12

February February 28, 2016 28, 2016

Policy Developed

Staff Trained Policy Implemented

Tutwiler provides for interpretation services for LEP inmates.

Y N N/A Y N N/A Y N N/A

This method may be through a language telephone line, if necessary.

Y N N/A Y N N/A Y N N/A

ADOC and Tutwiler do not rely on other inmates or non-certified employees to translate and/or interpret for LEP inmates.

Y N N/A Y N N/A Y N N/A

MONITOR’S MEASURES OF COMPLIANCE

1. SOP 8-12, Inmate Sexual Abuse and Harassment AR 454. 2. Review Memorandum of Understanding (MOU) with ADOC and the Alabama Institute for the Deaf and Blind (AIDB).Interview with Lt. Young. 3. Staff interviews. 4. Inmate focus groups 5. Individual inmate interviews. 6. Inmate correspondence receded by Monitor. 7. Review of inmate grievances: June-December 2016.

III.M

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STEPS TAKEN BY MONITOR TO ANALYZE CONDITIONS AND ASSESS COMPLIANCE, AND FACTUAL BASIS FOR MONITOR’S FINDINGS

(for each member of monitoring team)

Documents

Interviews

On-site/Observations / Other

Reviewed:

• Warden Wright

• SOP 8-12 Inmate Sexual Abuse and Harassment • Lt .Young

• ADOC AR 454

• Inmate focus groups

• MOU with ADOC and the Alabama Institute for • Interviews with individual inmates

the Deaf and Blind (AIDB)

• Inmate correspondence received by the Monitor

• Inmate grievances: June-December 2016

• Compliance Visit December 5-9, 2016

UNRESOLVED/PARTIALLY RESOLVED ISSUES FROM PREVIOUS TOUR None. The Monitor found ADOC and Tutwiler to be ‘Substantially Compliant” with this provision during the June 2016 Compliance Visit. The Monitor made no recommendations during the June 2016 Compliance Visit.

MONITOR’S FINDINGS: Substantial Compliance Partial Compliance Non-compliance n/a no assessment due until __________
III.M

DATE: December 31, 2016

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MONITOR’S DISCUSSION: STEPS TAKEN BY ADOC AND TUTWILER TOWARDS IMPLEMENTATION

DATE: December 31, 2016

ADOC entered into an agreement with the AIDB to provide assistance for inmates who are visually or hearing impaired. Dr. Scott Holmes is the designated point of contact at Tutwiler who coordinates with AIDB when those services are required for an inmate.

The ADOC is utilizing Google Translation to provide multi-lingual translation services to translate text, speech, images, or real-time video from one language to another.

ADOC and Tutwiler do not rely on other inmates or non-certified employees to translate and/or interpret for LEP inmates.

Dr. Scott Holmes, Tutwiler Psychological Associate, has been designated as the LEP Coordinator for Tutwiler.

MONITOR’S DISCUSSION: EXTENT TO WHICH ADOC AND TUTWILER HAVE COMPLIED WITH THE AGREEMENT

DATE: December 31, 2016

The Monitor found ADOC and Tutwiler to be ‘Substantially Compliant” with this provision in August, 2016. As of December 31, 2016 ADOC and Tutwiler have sustained compliance.
The Monitor determined the rating of "Substantial Compliance" for this reporting period based upon the following observations.
Tutwiler provides for interpretation services for LEP inmates through AIDB and Google Translation. One of the methods is through an online language interpretation service.
ADOC and Tutwiler continue to not rely on other inmates or non-certified employees to translate and/or interpret for LEP inmates.
SOP8-12 Inmate Sexual Abuse and Harassment includes the requirement for the assistance necessary for identified LEP inmates. Tutwiler staff has been trained in this SOP.
The Monitor reviewed the ADOC MOU with the Alabama Institute for the Deaf and Blind, to provide required services for inmates with a visual or hearing impairment. Dr. Scott Holmes is the Tutwiler coordinator for these services. He and Lt. Young work together to identify an inmate with these needs.
ADOC is utilizing Google Translation to provide multi-lingual translation services to translate documents, video or images for any inmate needing this assistance. Lt. Young coordinates and facilitates this service for any inmate. Lt. Young can use this service to translate orientation documents and other III.M

Case 2:15-cv-00368-MHT-TFM Document 26-1 Filed 03/28/17 Page 193 of 198
documents needed for review by the inmate.
The Monitor reviewed inmate grievances filed during June-December 2016 and there were no complaints in these materials regarding the failure to provide services for inmates Identified in this provision. The Monitor received correspondence from eight inmates and there were no complaints in these materials regarding the failure to provide services for inmates Identified in this provision.

MONITOR’S RECOMMENDATIONS: (for at least the next 6 months)
None.

DATE DUE: N/A

III.M

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Page 194 of 198

IV. Quality Improvement and Data Collection

A. Within one year of the Effective Date, ADOC and Tutwiler shall develop and submit to the Monitor and DOJ for review consistent with Section III.A.6., and implement, written quality improvement policies and procedures adequate to identify and address any deficiencies in ADOC and Tutwiler’s prevention, detection and response to sexual abuse and sexual harassment at Tutwiler and to assess and ensure compliance with the terms of this Agreement. B. Within three months of the Effective Date, ADOC shall convene a state-wide working group to evaluate how other state and ADOC entities may contribute to Tutwiler’s compliance with this Agreement. C. ADOC and Tutwiler shall establish a system wherein they routinely poll inmates regarding their perceptions of the implementation of the specific terms of this Agreement including the prevalence of staff sexual abuse and sexual harassment, inmate vulnerability to sexual abuse and sexual harassment, the investigation and discipline of staff accused of sexual abuse and sexual harassment, the efficacy of inmate education regarding sexual abuse and sexual harassment, privacy in the showers and toilets, the appropriateness of inmate classification, the levels of staff supervision, the efficacy of the reporting systems for sexual abuse and sexual harassment including grievances, and official responses to, and retaliation for, allegations of sexual abuse and sexual harassment. D. ADOC and Tutwiler shall develop, implement, and maintain, in consultation with the Monitor, a Risk Management System (“RMS”) that will document and track facility trends related to: (1) sexual abuse or sexual harassment; (2) unprofessional staff conduct involving inmates, including sexually explicit, vulgar, or degrading language; and (3) use of force incidents.
REQUIREMENTS

Policy

IV.A. IV.B. IV.C. IV.D.

SOP 11-1

Develop Policy May 28, 2016

Implement Policy May 28, 2016

Policy Developed

Staff Trained Policy Implemented

Within one year of the Effective Date, ADOC and Tutwiler shall develop and submit to the Monitor and DOJ for Y N N/A Y N N/A Y N N/A review consistent with Section III.A.6., and implement, written quality improvement policies and procedures adequate to identify and address any deficiencies in ADOC and Tutwiler’s prevention, detection and response to sexual abuse and sexual harassment at Tutwiler and to assess and ensure compliance with the terms of this Agreement.

Within three months of the Effective Date, ADOC shall convene a state-wide working group to evaluate how other state and ADOC entities may contribute to Tutwiler’s compliance with this Agreement.

Y N N/A Y N N/A Y N N/A

ADOC and Tutwiler shall establish a system wherein they routinely poll inmates regarding their perceptions of Y N N/A Y N N/A Y N N/A the implementation of the specific terms of this Agreement including the prevalence of staff sexual abuse and

IV.

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Page 195 of 198

sexual harassment, inmate vulnerability to sexual abuse and sexual harassment, the investigation and discipline of staff accused of sexual abuse and sexual harassment, the efficacy of inmate education regarding sexual abuse and sexual harassment, privacy in the showers and toilets, the appropriateness of inmate classification, the levels of staff supervision, the efficacy of the reporting systems for sexual abuse and sexual harassment including grievances, and official responses to, and retaliation for, allegations of sexual abuse and sexual harassment.

ADOC and Tutwiler shall develop, implement, and maintain, in consultation with the Monitor, a Risk Management System (“RMS”) that will document and track facility trends related to: (1) sexual abuse or sexual harassment; (2) unprofessional staff conduct involving inmates, including sexually explicit, vulgar, or degrading language; and (3) use of force incidents.

Y N N/A Y N N/A Y N N/A

MONITOR’S MEASURES OF COMPLIANCE
1. SOP 8-12 Inmate Sexual Abuse and Harassment. 2. SOP 11-1 Data Collection and Quality Improvement 3. Review Risk Management Reports. Review the inmate polling survey results. 4. Interview Deputy Commissioner Williams regarding the status of the Quality Assurance committee. 5. Interview Captain McClain and review the Tutwiler Risk Management System spreadsheet she maintains for June-December 2016.

IV.

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Page 196 of 198

STEPS TAKEN BY MONITOR TO ANALYZE CONDITIONS AND ASSESS COMPLIANCE, AND FACTUAL BASIS FOR MONITOR’S FINDINGS

(for each member of monitoring team)

Documents

Interviews

On-site/Observations / Other

• SOP 8-12 Inmate Sexual Abuse and
Harassment • SOP 11 Data Collection and Quality
Assurance Risk Management Report s • Inmate polling survey and policy • Inmate polling survey results from July
2016 • Tutwiler RSM spreadsheet for June-
December 2016

• Deputy Commissioner Williams • Captain McClain • Lt. Young

• None

UNRESOLVED/PARTIALLY RESOLVED ISSUES FROM PREVIOUS TOUR The Monitor found ADOC and Tutwiler in “Partial Compliance” with this provision during the June 2016 Compliance Visit. The ADOC and Tutwiler addressed the recommendation made by the Monitor during the June 2016 Compliance Visit.

MONITOR’S FINDINGS:
Substantial Compliance Partial Compliance Non-compliance n/a no assessment due until __________ IV.

DATE: December 31, 2016

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Page 197 of 198

MONITOR’S DISCUSSION: STEPS TAKEN BY ADOC AND TUTWILER TOWARDS IMPLEMENTATION AND EXTENT TO WHICH ADOC AND TUTWILER HAVE COMPLIED WITH THE AGREEMENT

DATE: December 31, 2016

The Monitor uses the time frame June 25-December 31, 2016 as the “reporting period” throughout this report. The Monitor received documents and updates from ADOC prior to, during and after the compliance visit of December 5-9, 2016.
The Monitor found ADOC and Tutwiler to be “Partially Compliant” with this provision during the June 2016 Compliance Visit.
As of December 31, 2016, the Monitor found ADOC and Tutwiler to be “Substantially Compliant” with this provision. The Monitor determined the rating of “Substantial Compliance” based upon the following observations.
SOP 11-1, Data Collection and Quality Improvement, was developed with the assistance of ADOC consultant Wendy Leach, who was at Tutwiler May 18-20 to provide expertise in the development for the groundwork for the data collection and quality improvement process.
Tutwiler SOP 11-1, Data Collection and Quality Improvement, was implemented on August 15, 2016. Quality Improvement meetings began in August 2016 and will continue indefinitely.
ADOC has properly trained the required staff in SOP 11-1.
ADOC and Tutwiler established a system wherein they will routinely poll inmates regarding their perceptions of the implementation of the specific terms of this Agreement including the prevalence of staff sexual abuse and sexual harassment, inmate vulnerability to sexual abuse and sexual harassment, the investigation and discipline of staff accused of sexual abuse and sexual harassment, the efficacy of inmate education regarding sexual abuse and sexual harassment, privacy in the showers and toilets, the appropriateness of inmate classification, the levels of staff supervision, the efficacy of the reporting systems for sexual abuse and sexual harassment including grievances, and official responses to, and retaliation for, allegations of sexual abuse and sexual harassment.
Dr. Barbara Owens was selected as an expert consultant to develop the polling instrument, instructions for its use and implementation.
The final “Inmate Polling Protocol" was published by ADOC and the electronic survey method for routine polling of inmates began the week of July 11, 2016. The Monitor reviewed the results.
IV.

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Page 198 of 198

As agreed upon by the Monitor, DOJ, and the ADOC, The Moss Group, Inc. currently administers the survey quarterly for ADOC. ADOC has informed the parties that it is in dialogue with Auburn University about the possibility of them providing long term assistance with the administration of the survey. This arrangement would institutionalize the inmate polling survey as a valuable tool for ADOC and Tutwiler in the future. The Monitor fully supports this action.
The Risk Management System (RMS), which is maintained by Captain Lagretta McClain and monitored by Warden Wright and Deputy Commissioner Williams for any patterns, red flags or other notable data is now in use at Tutwiler. The RMS is designed to track facility trends related to: (1) sexual abuse or sexual harassment; (2) unprofessional staff conduct involving inmates, including sexually explicit, vulgar, or degrading language; and (3) use of force incidents.
The RMS aggregated data for May 27th to August 23rd, 2016 was shared with DOJ and the Monitor on October 22, 2016 per the Monitor’s recommendation made during the June 2016 Compliance Visit.

MONITOR’S RECOMMENDATIONS: (for at least the next 6 months)
1. ADOC provide the Monitor results from each inmate polling, as soon as they are assimilated and reviewed by ADOC and Tutwiler.

DATE DUE:
1. As soon as compiled

IV.

Case 2:15-cv-00368-MHT-TFM Document 26-2 Filed 03/28/17 Page 1 of 50
IN THE UNITED STATES DISTRICT COURT FOR THE MIDDLE DISTRICT OF ALABAMA, NORTHERN DIVISION

UNITED STATES OF AMERICA,

)

)

PLAINTIFF,

)

)

v.

)

)

THE STATE OF ALABAMA AND THE )

ALABAMA DEPARTMENT OF

)

CORRECTIONS,

)

)

DEFENDANTS

)

Civil No. 02:15cv368-MHT

Monitor’s Third Compliance Report

Case 2:15-cv-00368-MHT-TFM Document 26-2 Filed 03/28/17 Page 2 of 50
Table of Contents Introduction ........................................................................................................................... 3
Specific Actions to Evaluate Compliance......................................................................................4 Monitoring Tool...............................................................................................................................6
Executive Summary............................................................................................................... 8
Intent of the Report.........................................................................................................................8 Alabama Department of Correction: Progress, Strengths and Challenges ...............................9
Progress .........................................................................................................................................9 Alabama Strengths ......................................................................................................................21 Alabama Challenges....................................................................................................................24
Logistics ................................................................................................................................ 29
Compliance Visit............................................................................................................................29 Monitoring Tool.............................................................................................................................35
Summary of Compliance..................................................................................................... 35 Closing Observations........................................................................................................... 36 Attachment A: List of Documents Used for Compliance Report.................................... 37 Attachment B: List of Tutwiler’s Standard Operating Procedures (SOPs) .................. 41 Attachment C: Summary of Compliance .......................................................................... 43
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Case 2:15-cv-00368-MHT-TFM Document 26-2 Filed 03/28/17 Page 3 of 50
Introduction
The State of Alabama and the United States Department of Justice entered into a settlement agreement on May 28, 2015. The agreement involves a comprehensive set of provisions regarding the safety and security of the women offenders housed at the Tutwiler Prison for Women (Tutwiler). The purpose for the compliance report is to document the progress of the actions of the Alabama Department of Correction (ADOC) and Tutwiler in response to the specific requirements of the provisions in the settlement. This is the third required court report, due March 28, 2017.
The parties agreed on the initial selection of Jennie Lancaster as an objective settlement monitor to evaluate the ADOC and Tutwiler level of compliance with the requirements detailed in the settlement. Ms. Lancaster began her responsibilities on September 17, 2015. For personal reasons, Ms. Lancaster was unable to continue, and asked to be removed from her role as monitor. By Order of the Court, dated August 26, 2016, the Honorable Myron H. Thompson approved the parties' joint recommendation that Kathleen Dennehy be approved to replace Ms. Lancaster as monitor. The court has the resume of Ms. Dennehy which details her 40 years of experience in the field of adult corrections, including her tenure as both a warden of a state prison for women and as Commissioner of the Massachusetts Department of Correction as well as her most recent work as a Senior Program Specialist for the National PREA Resource Center.
Ms. Lancaster and Ms. Dennehy jointly visited Tutwiler on September 6-8, 2016 to facilitate the transfer of monitoring responsibilities. Ms. Dennehy then conducted a compliance visit December 5-9, 2016. Each monitor had responsibilities
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during this evaluation period – June 25, 2016 through December 31, 2016. Accordingly, this report describes the actions taken by each monitor to determine compliance.
The settlement uses four (4) levels to measure compliance: Substantial Compliance, Partial Compliance, Non-Compliance and Not Applicable (N/A). The Summary of Compliance section of this report includes definitions of these terms and a chart summarizing the compliance status for each provision.
Specific Actions to Evaluate Compliance The monitors took the following specific actions to evaluate compliance: 1) Monitor Dennehy conducted a compliance visit with the Alabama Department of Correction (ADOC) and Tutwiler from December 5-9, 2016. Monitor Dennehy interviewed central office ADOC staff, including executive leadership and section managers, who have responsibilities related to the ADOC and Tutwiler compliance with the settlement. Monitor Dennehy also interviewed ADOC staff assigned to Tutwiler, including the facility's top leadership, staff with specific settlement responsibilities, and the Institutional PREA Compliance Manager (IPCM). Monitor Dennehy randomly selected uniform staff from employee rosters for one-on-one interviews. These staff members were diverse in gender and race. The monitor conducted two inmate focus groups. In addition to these formal interviews, the monitor was afforded open access to staff and inmates during the monitoring visit and had many opportunities to question and
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engage in private conversations with both staff and inmates in housing and program areas. 2) Both monitors reviewed multiple ADOC and Tutwiler documents during this reporting period. These documents included previously promulgated ADOC and Tutwiler policies, training curricula and materials, ADOC and Tutwiler policy drafts, inmate polling results and documents requested by the monitors. Monitor Dennehy requested documents prior to the December compliance visit to prepare for staff and inmate interviews and a tour of the facility. After the compliance visit, the monitor also reviewed these documents to substantiate and assess the progress of the work and actions taken by ADOC and Tutwiler in response to the requirements of each section of the settlement. 3) During this reporting period, the monitors received correspondence from seven Tutwiler inmates and one inmate at the Montgomery facility. Tutwiler has a notice posted throughout the facility, with a correspondence address for the monitor, and posted a revised notice to announce the change in monitors and the correspondence address for the new monitor. The monitors reviewed each letter and requested additional information from ADOC officials to better assess the contents of the correspondence and to request follow-up action where appropriate. In each instance, ADOC provided timely and appropriate responses. 4) Ms. Dennehy participated in several orientation calls with Ms. Lancaster and appreciated her efforts to facilitate a smooth transfer of monitoring
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responsibilities and documents. 5) In addition, the monitors had multiple communications with Deputy
Commissioner Williams during this reporting period to request investigative summaries, address questions in either inmate correspondence received or inmate grievances reviewed by the monitor. In each instance, the ADOC provided timely and thorough responses for each request made by the monitor.
Monitoring Tool The parties had previously agreed on a "monitoring tool" format for each of the
settlement provisions and their subsections. The front page of each provision in the tool includes both the specific requirements for that section and the dates for ADOC compliance. The settlement provides, for most requirements, that ADOC: create a policy; train staff in that policy; and implement the policy in the regular activities at Tutwiler and the ADOC. Specifically, an approved ADOC policy must first be published for operational practice in a facility. At Tutwiler, the facility will develop a written "Standard Operating Procedure" (SOP) to apply ADOC policy to direct specific operational practices at the prison. The second step is to train all staff subject to the policy and SOP using an approved training curriculum. The third step is to then implement these policies and SOP's in the actual practice of the directives at the facility.
Monitor Dennehy evaluated each section and its specific requirements through interviews with the inmates and ADOC and Tutwiler staff; document review; facility tour; on-site observations (orientation, camera room operations); communication with the parties through calls and emails; and a review of the first and second Compliance
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Case 2:15-cv-00368-MHT-TFM Document 26-2 Filed 03/28/17 Page 7 of 50 Reports. The monitor documents her findings for each section in the report’s “Monitor's Discussion” and chooses the rating corresponding to her assessment of ADOC and Tutwiler's level of compliance. Prior to conducting her first monitoring visit, Monitor Lancaster established the "Measures of Compliance" for each provision and identified the documents and interviews she would use to assess compliance. ADOC submitted the documents prior to the visit, and drafted an interview agenda and touring schedule for the monitoring visit. During the transition of monitoring responsibilities, the new monitor committed to using the same process, measures and documents, but reserves the option to revisit these measures to facilitate monitoring going forward.
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Executive Summary
Intent of the Report This report is to inform the court and the parties of the monitor’s assessment of
the current progress and status of the ADOC and Tutwiler compliance with the settlement provisions and requirements. The monitor provides feedback for ADOC and Tutwiler in each section. In some sections of the report, the monitor includes recommendations for ADOC and Tutwiler actions over the next reporting period.
The monitor completed this report through the following actions: 1) Examining the settlement agreement, its provisions, and the specific
requirements listed in the monitoring tool. 2) Requesting and examining specific documents to identify and assess the
extent of the ADOC and Tutwiler actions in response to the agreement requirements. Examples include: ADOC policies and Tutwiler standard operating procedures; training curricula; staff rosters for training; staff reports and spreadsheets to document actions; inmate grievances; and meeting minutes. 3) Selecting specific ADOC and Tutwiler staff for compliance interviews based on the individual’s overall and direct responsibilities for settlement implementation. 4) Conducting interviews with randomly selected line staff to obtain feedback and perspective on Tutwiler activities and practices related to the settlement
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terms and requirements. 5) Conducting focus groups with randomly selected inmates to obtain feedback
and perspective on Tutwiler activities and practices related to the settlement terms and requirements. 6) Engaging in spontaneous, private conversations with both staff and inmates in housing and program areas during monitoring visits. 7) Reviewing letters submitted confidentially to the monitors from inmates or staff. The monitors received letters from eight inmates and has taken action, as believed appropriate, in response to each. 8) Using routine communication with the parties to ask for more information or clarification regarding the settlement, its terms and requirements and determinations of compliance.
Alabama Department of Correction: Progress, Strengths and Challenges
Progress The definitions of degrees of compliance are addressed in the summary of
compliance section of this report. In the first court report the monitor found ADOC and Tutwiler in "substantial compliance” in 12 sections of the audit report. In the second report, the monitor found ADOC and Tutwiler in "substantial compliance” in a total of 37 sections of the agreement.
In this, the third report, the monitor has determined “substantial compliance” in 39 sections and "partial compliance" in 4 sections of the agreement. A determination of Compliance is not applicable to one provision at this time. Attachment C provides a
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detailed summary of the monitor’s compliance determinations. The monitor notes that her findings of "substantial compliance " and "partial compliance" are specific to her observations and findings of fact regarding the ADOC and Tutwiler’s degree of compliance with the requirements of the various sections. The monitor understands these compliance determinations reflect a "continuum" of staff actions that will be evaluated in each court report.
During this reporting period, the monitor observed steady progress by ADOC and Tutwiler towards reaching full compliance with the terms of the settlement agreement.
General Policies and Procedures The ADOC and Tutwiler continue to maintain written policies to prevent sexual
abuse and sexual harassment. The current policy in place at Tutwiler that contains PREA provisions is Standard Operating Procedure (SOP) 8-12, Inmate Sexual Abuse and Harassment. This procedure was revised to incorporate Monitor Lancaster’s previous recommendations and was submitted to Monitor Dennehy and DOJ for review and comment in February 2017.
In group discussions, formal individual interviews, informal discussions and interactions and observations while touring, staff members consistently demonstrated to the monitor an awareness of their responsibilities regarding reporting allegations of sexual abuse and sexual harassment, safety for inmates and investigative processes. Staff consistently demonstrated on-the-job knowledge of the policies and procedures on which they had been trained. .
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Only two required SOPs remain outstanding: SOP 8-30 Gender Responsive Discipline and Sanctions and SOP-24 Disciplinary Segregation. The following steps are employed during the policy development process:
a. ADOC sends current Tutwiler SOP policies to their consultants for expert guidance on incorporating gender-responsive principles and trauma informed procedures, as applicable.
b. ADOC and Tutwiler review and revise the drafts upon receipt from their consultants. Deputy Commissioner Williams convenes the wardens and various Tutwiler and ADOC staff to complete their final draft changes.
c. ADOC submits the drafts to DOJ and the monitor for review and comment.
d. ADOC and Tutwiler review comments made by the monitor and DOJ and provide a detailed response to them, providing a reason for any exclusions. These responses are attached to the final approved ADOC/Tutwiler SOP, following procedures of III.A.6.
The ADOC Women's Services team attended the National Institute of Correction's Gender Responsive Discipline and Sanctions Policy Improvement session in Colorado in September 2016. This training informed the development of Tutwiler's draft SOP 8-30, Gender Responsive Discipline and Sanctions, which is under final review at the agency level. ADOC is reviewing the monitor and DOJ's comments on an earlier draft of this SOP It is expected the final draft will be confirmed at the agency level and sent to the DOJ and the monitor in early 2017. Upon publication of this SOP, the implementation and training on this policy will follow the review process. Once this
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SOP is finalized, ADOC and Tutwiler can complete work on SOP 8-24 Disciplinary Segregation, and submit it to the monitor and DOJ for review and comment in early 2017. This is the last of the SOPs remaining to be finalized in accordance with the settlement agreement. All other SOPs and Post Orders have been developed and implemented.
Camera Management The annual camera assessment was conducted in November 2016 and the
monitor reviewed the detailed minutes of this meeting and concurred with the recommendations made and proposed action steps developed by ADOC and Tutwiler staff. Documentation of the implementation of three proposed actions steps was received and reviewed by the monitor.
Staffing ADOC continues the practice of allowing officers from other ADOC facilities to
work overtime or otherwise be temporarily assigned at Tutwiler only after those officers have been trained as required by the settlement agreement. The monitor spent considerable time cross referencing staff training attendance records with the names of officers on overtime rosters to verify this requirement is being fully met.
A staff polling survey was developed to seek staff members' feedback on a number of operational issues, including work schedules, overtime, and shift length. This survey also sought suggestions about the current practices of training staff on new policies. The survey will be administered in March 2017, so the results and analysis are
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pending. ADOC had a staffing analysis conducted by nationally recognized staffing
analysis experts to research and develop a staffing plan for Tutwiler that is informed by gender-responsive principles identified by the National Institute of Corrections (NIC), Prison Rape Elimination Act (PREA) requirements, settlement agreement requirements, and emerging correctional practice that serve as the foundation for staffing plan development. ADOC submitted a draft staffing plan to Monitor Lancaster and DOJ for review and comment. Monitor Dennehy has also reviewed the draft and offered feedback recommendations. ADOC is working through these comments and the parties and both monitors agreed that an extension of time is necessary to finalize the staffing plan. Based upon the amount of work and apparent commitment of ADOC and Tutwiler to meeting the full requirements of this provision, the Monitor Dennehy determines a revised rating of "partial compliance" is appropriate for this provision of the settlement at this time. ADOC has requested and the monitor has approved an extension to June 1, 2017 to comply with Section III C.2.iv of the Settlement Agreement. The goal is for ADOC and Tutwiler to adopt staffing plan recommendations within three months of the approval of the final plan.
Training The Tutwiler training team began initial training on September 5, 2015, and
successfully completed all initial staff training by February 28, 2016. The completion of staff training was certified, documented, and reported to the Tutwiler IPCM, the ADOC PREA Coordinator, the monitor, and DOJ on May 15, 2016. Subsequently,
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nationally recognized experts on trauma conducted additional staff training on trauma informed principles in August 2016.
As of December 2016, all staff working at Tutwiler, including those working overtime at Tutwiler from other facilities, have completed an initial round of both sexual safety and gender-responsive training. The monitor reviewed the curricula and training materials and was very impressed with the documentation of staff attendance at training maintained by both Captain McClain and Lt. Young. These records are well organized and easily retrievable and demonstrate careful tracking of any pending attendance requirements.
Tutwiler’s training team has initiated annual refresher training. The refresher PREA training curriculum was developed during this reporting period, and the facilitator's guide was reviewed and commented upon by DOJ and the monitor, consistent with Section III.A.6 of the Agreement. Annual PREA refresher training began in January 2017. The Tutwiler training team received specialized refresher facilitator training on PREA in September 2016 by the agency’s nationally recognized PREA consultant. Additional training on gender-responsive and trauma-informed use of force is also being incorporated into the ongoing refresher training. As part of the refresher training, all staff will again be expected to demonstrate proficiency through a post–testing process.
In October 2016, 15 investigators attended training specific to investigating sexual assault in custodial settings.
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Gender Responsive Classification and Programming Ongoing efforts to evaluate methods to decrease or eliminate use of Dorm A for
a period that exceeds 48 hours have been successful as demonstrated by both an overall reduced unit count and overall shorter stays in the unit. During the tour, on December 5, 2016, only 19 of the unit's 80 beds were filled. The monitor requested review of Dorm Meeting minutes and Dorm A's Receiving Log, and identified only two outliers who stayed longer in the unit than other women listed on the roster.
A consultant, nationally known for her work with women inmates, was contracted to work with ADOC to develop a gender responsive classification system and assist Tutwiler in developing the programs necessary to address the women's needs. ADOC forwarded the classification proposal to the monitor and DOJ for review in May 2016.
An implementation workgroup was created and includes a cross section of key ADOC and Tutwiler staff members. The Women's Risk Needs Assessment (WRNA) and Women's Services Classification Manual were implemented in August 2016. A six-month pilot period was to begin on August 15, 2016. Following this pilot period, a two-year validation assessment will commence. This original timeframe was expected to yield Alabama Women's Risk Need Assessment validation results by March 28, 2019 when an assessment of compliance with the Agreement is due. The pace of implementation may be delayed as a result of two factors.
The two primary reasons for a delay include the 1) lack of software automation to support WRNA, and 2) the time delays in hiring new positions required to assist with the implementation process (total of 12 new positions). After an exhaustive RFP
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process, ADOC is now in the process of contracting with a technology company to create the software automation for WRNA. The company has established a deliverable date for WRNA of July 2017. In addition, Tutwiler has 12 new positions allocated and created, and candidates have been hired for half of them. Tutwiler is working now to fill the remaining 5 – 6 positions. Any extension of the pilot period will in turn require a later starting date for the validation process as well.
The new classification system incorporates gender-responsive principles and addresses the needs of women inmates at Tutwiler including housing safety; mental health (depression/anxiety/psychosis); abuse and trauma; family conflict; relationship dysfunction; and parental stress. The system focuses on strength and resiliency factors including educational assets, family support, and self-efficacy. The use of “restricted status” for female inmates was abolished in September 2016 pursuant to the new classification system.
ADOC assessed the impact of these system changes on staffing and requested the addition of eight social service caseworkers. ADOC approval to fill these positions was given in September and an opportunity for lateral transfers to Tutwiler from within ADOC as well as from other state agencies has been announced.
A gender responsive program committee was convened in October 2016. They are focused on identifying and developing evidence-based programs that are gender specific.
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Inmate Education ADOC and Tutwiler completed their review of a revised inmate education
curriculum on December 30, 2016 and incorporated feedback from the monitor and DOJ. This two-hour training module addresses PREA, inmate grievance procedures, and access to medical and mental health care. The revised curriculum was scheduled to be implemented in January, 2017.
Additional staff training and inmate education on trauma informed principles was conducted in August and a copy of a Trauma Engagement – Peer Support Manual was provided to all inmates and staff at Tutwiler. The monitor requested and received a copy of the manual for review.
Inmates' Right to Privacy Work on the youthful offender trailer was completed on October 20, 2017
making it ready for occupancy and providing designated placement for this specialized population. However, Tutwiler did not receive any youthful offenders during this reporting period, so this unit was vacant during the monitor’s December, 2016 visit.
Inmate Polling ADOC and Tutwiler established a system to routinely poll inmates regarding
their perceptions of the implementation of the specific terms of the settlement agreement including the prevalence of staff sexual abuse and sexual harassment; inmate vulnerability to sexual abuse and sexual harassment; the investigation and discipline of staff accused of sexual abuse and sexual harassment; the efficacy of inmate education
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regarding sexual abuse and sexual harassment; privacy in the showers and toilets; the appropriateness of inmate classification; the levels of staff supervision; the efficacy of the reporting systems for sexual abuse and sexual harassment including grievances; and official responses to and retaliation for, allegations of sexual abuse and sexual harassment. The initial inmate polling was conducted in July 2016. The First Quarter Inmate Polling Results were shared with the monitors and Tutwiler has already made good use of the results as discussed in the next section of this report. The Second Quarter Inmate Polling was conducted the week of October 17, 2016.The monitor anticipates future, deeper sub-analysis of the data sorted by housing unit and other inmate characteristics.
Quality Improvement and Data Collection Quality Improvement monthly meetings began in August 2016 and will
continue indefinitely. Meeting minutes were made available for the monitor's review. ADOC and Tutwiler developed the Risk Management System (RMS) which is
designed to track facility trends related to: (1) sexual abuse or sexual harassment; (2) unprofessional staff conduct involving inmates, including sexually explicit, vulgar, or degrading language; and (3) use of force incidents. The monitor reviewed the RMS reports and can attest that ADOC and Tutwiler staff has already demonstrated good use of RMS data and the results of the inmate polling survey. Both instruments document that some Tutwiler staff use abusive and profane language towards the inmate population that undermines efforts to build a gender responsive and trauma informed environment. In the last court report, the monitor acknowledged complaints from
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inmates regarding staff use of unprofessional language. The complaints involve a small number of staff and are not sexual in nature. Recognizing the need for staff interventions regarding the requirements for using professional language while addressing inmates, Warden Wright developed an interim intervention plan to eliminate “the unprofessional staff conduct involving inmates, including sexually explicit, vulgar, degrading, or racially insensitive or offensive language”. Each incident involving an allegation of the use of profane or abusive language is being reviewed, tracked, and appropriate action is being taken. The monitor cross referenced supporting documentation to verify that action had been taken. Due to these efforts, there has been a slight decrease in the number of complaints about verbal abuse. During the first quarter of the RMS, 11 staffers were cited for this. During the second quarter of the RMS tracking, 10 staff members were cited. This represents a slight improvement.
Sexual Abuse/Sexual Harassment Allegations The monitor reviewed four completed PREA investigations and the related
Sexual Abuse Incident Review Team Reports of incidents that occurred during this reporting period. One involved an allegation of staff-on-inmate misconduct and was determined to be unfounded as video evidence, in addition to other evidence, did not support the allegation. The remaining three investigations involved inmate-on-inmate actions. Two were substantiated. One alleged sexual abuse and was referred to the District Attorney for review. The second involved a substantiated allegation of inmateon-inmate sexual harassment. The final case was unsubstantiated. In each instance, the monitor determined that the investigations had been conducted by properly trained
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investigators and in accordance with AR 454 and SOP 8-12, Inmate Sexual Abuse and Sexual Harassment. In inmate focus groups and in individual, informal discussions with the monitor, the inmates expressed their confidence in Investigator Kelley Smith and the Institutional PREA Compliance Manager, Lt. Young who conduct the investigations of this nature.
In all cases, the monitor reviewed the facility response to allegations and the management of the reporting inmates and alleged perpetrators. When appropriate, inmate housing and job assignments were adjusted to ensure the safety of all involved. Lt. Young closely documents her monitoring of any possible retaliation of those who report allegations.
The monitor notes there are multiple, effective means of reporting allegations of inmate sexual abuse and sexual harassment, including a grievance process and at least one confidential method. During this reporting period four grievances alleging sexual abuse or sexual harassment were submitted and investigated.
The inmates can use a toll free number to call Alabama Coalition Against Rape (ACAR). The agreement between ACAR and ADOC is that all calls are confidential, per ACAR policy. ACAR agreed to suggest/encourage the inmate to use the ADOC and Tutwiler methods of reporting, if their call was regarding a PREA allegation. There is no requirement for ACAR to report to ADOC, so the number of calls for this reporting period is unknown.
Third parties are permitted to assist inmates in filing requests for administrative remedies for allegations of sexual abuse and are permitted to file such request on behalf of inmates. If a third party files a grievance on behalf of an inmate and it relates to
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sexual abuse or harassment, that report will be sent from the Institutional Grievance Officer to the ADOC PREA Director. If the grievance contains allegations of sexual abuse, or staff-on-inmate sexual harassment, the I&I division will investigate the allegations. If the grievance contains allegations of inmate on inmate sexual harassment, the Institutional PREA Compliance Manager will investigate. No third party allegations were received during this reporting period.
The monitor reviewed the ADOC website link for the public regarding the ability to file a PREA report. It provides adequate instruction for the public's reporting use. During this reporting period, there were no PREA allegations reported via the website.
Information on how to report sexual abuse or sexual harassment is widely posted within the facility. In the Inmate Polling Survey, the women reported being knowledgeable about these reporting options. This knowledge is critically important to establishing and maintaining a facility culture of sexual safety.
Alabama Strengths Alabama has a strong foundation for continued progress in reaching all of the
goals outlined and compliance terms required in the settlement agreement. That strong foundation is a result of the following organizational strengths.
Leadership from the Alabama Department of Correction The monitor observed that Commissioner Dunn continues to provide the agency
leadership for his staff and Tutwiler, directing and supporting continued successful implementation of the settlement agreement. In particular, ADOC central office
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leadership has played an important role working with Alabama's Parole Board to reduce the average daily count at Tutwiler by identifying appropriate candidates for release on parole. In addition, Commissioner Dunn is strategically focused on developing the capacity of agency and facility leadership as a means to sustain and advance the progress made to date.
The monitors worked very closely with Deputy Commissioner Williams who oversees ADOC's Women's Services Division. Dr. Williams communicated regularly with the monitors regarding any developments of note occurring at Tutwiler relevant to the settlement's requirements. The monitor and DOJ commend Deputy Commissioner Williams for her consistent and thoughtful leadership, actions taken and support given to the warden and staff at Tutwiler. She is the pivotal leader for ADOC in managing their compliance with this settlement agreement.
In addition to Commissioner Dunn and Deputy Commissioner Williams, in interviews with the monitor, ADOC central office consistently demonstrated working knowledge of their settlement related responsibilities.
Tutwiler Leadership The monitor continued to observe outstanding leadership by the facility wardens
and the executive team at Tutwiler during this reporting period. The Institution PREA Compliance Manager, Lieutenant Young, performed her responsibilities consistently and documented all of her required responsibilities. Feedback from the inmates about Lieutenant Young’s performance was overwhelmingly positive. She has the respect and trust of the inmate population. She has earned a reputation for being professional, holding people accountable and being respectful and responsive to inmates' needs. The
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monitor was repeatedly told by inmates that Lt. Young follows up on her interactions with them, which the inmates appreciate, even when they don’t receive their desired outcome. The Tutwiler leadership team's actions are well documented throughout this monitoring report.
Warden Barrett retired on July 1, 2016. Prior to his retirement, Deputy Commissioner Williams and Warden Barrett worked closely with Warden Deirdre Wright over several months of a planned transition period to prepare her for the role of interim warden.
During this monitoring visit, Warden Wright participated fully and knowledgeably in the opening presentation to the monitor and in formal and informal interviews and demonstrated her leadership at Tutwiler during observed interactions with staff and inmates.
The monitor observed the dedication and commitment of supervisors and line staff at Tutwiler to follow PREA policies, in spite of staffing challenges, such as the number of vacancies. ADOC Consultants
The ADOC and Tutwiler continued to draw on and benefit from consultants' expertise in several specific areas. Specifically, expert consultants participated with ADOC in the development of the gender based classification plan, the draft staffing analysis, the inmate polling/survey process, data collection, the gender responsive review of draft policies and the provision of staff training and inmate education.
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ADOC Strategic Planning Committee ADOC continued to meet and use the previously established Strategic Planning
committee to review and guide their efforts for creating sustainability models/practices/tools for their operations, future plans and mission for female offenders in Alabama.
Tutwiler Culture In the last report to the court, the monitor noted a positive culture for change at
Tutwiler. This culture continues in general, amid the staffing challenges. Staff and inmates respect the settlement-related policies and practices and are knowledgeable about them. Most importantly, during formal interviews and informal conversations with the monitor, the women say they "trust" that leadership will act in their behalf if an incident of sexual abuse or sexual harassment occurs.
Alabama Challenges Tutwiler Facility
The monitor continues to note the challenges that the prison's aging infrastructure presents for leadership. Specifically, options for program space, medical and mental health screening and treatment, housing placements, and the day room areas are severely limited by the old design, aging infrastructure and overcrowding. The physical plant also impacts staffing requirements as it has a direct bearing on operations and the location of officer posts. The physical plant is sprawling and some housing and program areas are isolated, and poorly lit, impacting the number of posts and staff needed to support safe and secure operations. As previously reported, the Governor and
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ADOC presented a comprehensive bond proposal for a construction package of prison building reforms, "The Alabama Prison Transformation Initiative" in the last legislative session. The monitor understands the governor and ADOC have re-introduced a modified bond package for the construction of three new large male prisons and a new prison for women to replace Tutwiler in the current 2017 legislative session. Commissioner Dunn is a strong advocate for the positive system changes these prisons will make for ADOC.
Population Capacity The monitor notes the average daily population count at Tutwiler is nearly
double the facility's rated occupancy capacity. This level of chronic population overcrowding presents a continuing challenge. The future plans, and settlement requirement, for a gender based classification system at Tutwiler will be impacted by the overcrowding issues at Tutwiler. Specifically, plans will require the development of various housing options for separating groups of inmates, via the classification review process, that will be difficult to maintain as bed space must be allocated according to new placement criteria. In addition, the classification system will prescribe a number of program offerings that should be available for the inmates, based on a needs assessment. Currently, the space available for inmate programming is very limited.
The population numbers at Tutwiler have decreased due to a parole review currently underway ADOC and Tutwiler executive staff worked closely with the Alabama Board of Pardon and Parole from May through November 2016 creating dockets of female inmates for parole consideration. The bed vacancies occurring as a result of these actions may provide some relief for Tutwiler in housing placement
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options and staffing deployments. Between July 1st and December 1st, Tutwiler's population decreased by 53 inmates. This overall population reduction has contributed to reducing Dorm A's average daily census.
Staffing Challenges-Overall Vacancies and Recruitment and Retention of Women The monitor notes the chronic, ongoing number of staff vacancies at Tutwiler
presents an ongoing serious concern for leadership, staff and inmates and impacts the safety and security of the facility. In the first court report, the monitor noted a vacancy rate of almost 50% of authorized, funded positions. The recruitment and retention problems that lead to the high vacancy rate have continued. At the end of calendar year 2016, correction officers were at 41.8% staffing level and correctional supervisors were at 89.1% staffing level. In comparison, the non-uniform staff was at 55.8 % staffing level.
The settlement required the development of a professional staffing analysis (C.2), and for a plan to be presented to ADOC and Tutwiler. The monitor discusses this analysis and draft plan in detail in IIIC.2 in the appended summary. The consultant's draft report noted the current vacancy rate impacts their ability to produce a comprehensive gender responsive staffing plan. Both DOJ and the monitor have provided significant feedback on the draft staffing plan to the ADOC.
Overall, recruitment and retention of women correction officer trainees remains a concern. The recruitment and hiring data underscore a system-wide issue with the application of the APOSTC physical standards to women candidates. Commissioner Dunn has taken an important first step in his outreach to the Alabama Peace Officers' Standards and Training Commission (Commission) by requesting them to consider a
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request to modify the administration of the Commission's Physical Agility/Ability Test (PAAT) academy training requirements for State Corrections Officer applicants. It is encouraging that the Commission approved the Commissioner’s request to modify the administration of the PAAT effective January 2017. More importantly, the monitor notes the Commission is currently contractually engaged with Auburn University at Montgomery (AUM) for the review of the PAAT validation study and test data and understands the AUM representative, along with Commission agents, will be monitoring the academy PAAT testing of State Corrections Officer applicants and will be recording any data deemed necessary by AUM. To the extent the ADOC can help shape AUM's review, they should be encouraged to review the PT standards set for correction officers in other states/jurisdictions and gather information about Academy PAAT testing, broken down by gender, as it relates to bono fide occupational qualifications for correction officers.
Deputy Commissioner Matt Brand (Training and Development) continues to assess the correctional officer training and hiring processes, in addition to the physical fitness screening processes already discussed. Cpt. Mark Loman continues in the role of Recruiting Unit director for ADOC, and he works directly for Deputy Commissioner Brand. The monitor recommends the development of a plan specifically for the recruitment and retention of women.
To ensure adequate staffing, Tutwiler leadership implemented a “mandatory overtime" policy during the last months of the previous reporting period to address critical vacancies and the problem with frequent “calls outs" (staff not reporting for duty). In the last court report, the monitor reported that this policy has caused stress
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and concern among the officers interviewed by the monitor during the June 2016 compliance visit. This situation continues to be an area of deep concern for staff, and according to staff interviewed during this monitoring visit, it is adversely impacting staff morale. During many of the monitor's interviews, uniformed security staff expressed concern about the impact overtime and staff scheduling has on staff morale. While some staff members are very pleased with a 12-hour shift schedule, others find it problematic. The monitor was advised that working mothers cannot leave their young children in daycare in the State of Alabama in excess of ten hours a day. The monitor and Deputy Commissioner Williams discussed the negative impact this has on the recruitment and hiring of women. The monitor recommends full exploration of the impact of 12 hour shifts on female candidates and current employees, specifically as it impacts young mothers with child care needs. The monitor urges the ADOC and Tutwiler to review options for a more creative mix of 8 and 12 hour shifts to accommodate various staff needs.
In the interim, uniform staff expressed appreciation for efforts made by some shift sergeants and lieutenants to acknowledge efforts of line staff. For example, some supervisors have purchased pizza for staff with personal funds. The monitor recognizes the toll the staffing situation has on staff and urges leadership to further acknowledge staff contributions.
The monitor discussed these chronic staffing issues with Deputy Commissioner Brand, Deputy Commissioner Williams and Director Lawley. The monitor urged that ADOC explore every available method of enhancing hiring and retention at Tutwiler, even though it is noted that ADOC has continued to use its resources to addressing this
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chronic issue statewide in its prisons. The monitor had previously recommended the development of a formal staffing survey to provide ideas for Tutwiler. A staff survey will be conducted in March 2017 and the monitor urges a close analysis of staff feedback and suggestions in this area. ADOC must continue to work with its consultant team to address these staffing issues.
Logistics
Compliance Visit The monitor conducted a compliance visit on December 5-9, 2016. The purpose
of this visit was for the monitor to acquire information and observations to inform the third court compliance report. The monitor and Deputy Commissioner Williams worked together to finalize the tour agenda and interview schedule.
Introductory Meeting /Presentation by Warden Wright Warden Wright provided a detailed overview of progress made at the facility to
the monitor at an opening meeting where the new monitor was introduced to staff and had an opportunity to ask questions of the staff in attendance. Deputy Commissioner Williams, Warden Wright, Warden Givens and key central office and facility staff were in attendance.
Compliance Visit Interviews Throughout the week, the monitor held individual meetings and had multiple
interactions with the following executive leadership and supervisory staff, including:
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Alabama Department of Correction • ADOC Commissioner Jefferson Dunn • Deputy Commissioner for Women's Services, Dr. Wendy Williams • Regional Health Director, Lynn Brown • General Counsel, Anne Hill • ADOC Counsel Mary Coleman-Butler Tutwiler Prison for Women • Warden II Deidra Wright • Captain LaGreta McClain, Settlement Compliance Manager • Lieutenant Yvette Young, Institutional PREA Compliance Manager
(IPCM) • Lieutenant Brian Coleman, Grievance Coordinator • Corizon Site Administrator Love (Corizon-medical contractor) • Constance Johnson, Administrative Assistant to Ms Love. Rather than solely meeting each central office and facility staff member individually, the monitor scheduled a mix of some central office and facility staff for joint interviews based upon their organizational roles, reporting relationships and responsibilities under the settlement agreement. The following were interviewed in pairs or groups: • The ADOC PREA Director Christy Vincent and Lt. Yvette Young the
Institutional PREA Compliance Manager • The ADOC Grievance Coordinator, Ms. Tamara Jackson and Lt.
Coleman, the Institutional Grievance Coordinator
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• ADOC Investigator Director Arnaldo Mercado and Kelley Smith, Tutwiler's investigator
• Settlement Compliance Manager, Captain LaGreta McClain and Ms. Yvette Young, the Institutional PREA Compliance Manager.
• Ms. Chitema Westry, Tutwiler Classification Supervisor and some of her direct reports
• Ms. Ambrea Love, Corizon (medical contract) Site Administrator , Ms. Greer, MHM Mental Health Site Administrator On-site leadership for OHS, Dr Scott Holmes,
• Deputy Commissioner (Training and Development) Matt Brand and the Personnel Director, Mr. Bill Lawley
• Associate Commissioner (Health Services) Ruth Naglich and Dr. David Tytell (Chief Psychologist)
The monitor also randomly selected line staff members for individual interviews. The staff was from both the A and B, 12 hour shift rotations, day and night shifts. These staff members were diverse in race and gender. In general, the monitor asked about their awareness of the PREA reporting structure, investigations, the inmate grievance system and their recent PREA and gender responsive training, occurring this reporting period. All were interested in discussing staffing challenges and workforce morale. These concerns are addressed in the ADOC challenges section of this report.
The monitor randomly selected 10 inmates, from various housing dorms, for two separate focus groups. The monitor used a set of questions regarding their knowledge of PREA policies, reporting of allegations, the grievance system, staff
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/inmate professional relationships, and the availability of reporting allegations through various phone lines. The inmates discussed incidents they observed of unprofessional conduct, their use of the grievance system, impressions of the classification system and their overall feeling of safety at Tutwiler. Their responses are documented in the monitor discussion in various sections of the compliance report. The monitor debriefed this group discussion with the executive leadership group.
Facility Tours During the tour of the facility on the first day of the compliance visit, the
monitor noted improvements to the physical plant. The housing units were painted with pastel shades, a beauty shop had opened in September, 2016 and renovations to the juvenile offender housing unit had been completed in October, 2016. In each housing unit, the monitor noted the prominent posting of notices and information for inmates, including: a PREA Hotline notice, notice of a victim support line, PREA education materials, principles of gender responsive programming for women, and grievance and appeal forms.
Throughout the tour, ADOC and Tutwiler staff afforded the monitor the time, space and many opportunities to engage in private conversations with both staff and inmates in housing and program units. Staff consistently demonstrated knowledge of PREA and their individual roles and responsibilities. Generally, the inmates acknowledged and expressed appreciation for the many positive changes at the facility. Feedback from the long terms, in particular, underscored that many women feel much safer at Tutwiler today.
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Appreciating that the institutional climate and culture can be different shift to shift, the monitor and Dr. Williams conducted an unannounced night visit to the facility for the purpose of observing operations during the evening shift when top facility leadership are generally not on site. The monitor witnessed two individual staff-inmate interactions of note. Both occurred in the main corridor. In both instances, staff (one a line officer, one a supervisor) challenged out of place inmates in a respectful manner. In the opinion of the monitor, both skillfully deescalated situations by employing trauma informed practices.
While touring, the monitor also: • observed the video operations in the camera room and discussed the operation
with the operator on duty. • observed inmate orientation, specifically the PREA presentations, by Lt.
Young. • toured the renovated housing trailer for a youthful offender. There were no
inmates in residence during the tour. • visited dorm A and had individual discussions with many inmates. On
December 5, 2016, only 19 of the unit's 80 beds were filled. • stopped by death row, but did not conduct any in depth interviews as she had
an opportunity to meet with these women and discuss their individual awareness of the PREA policy, how to report allegations, and the use of the grievance system during the monitor's introductory tour in September. • visited the segregation unit and talked with all the inmates housed there.
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Document Review In addition to the interviews and discussions with staff and the tours of Tutwiler,
the monitor reviewed a wide variety of documents, correspondence, records and staff reports. These documents are listed in the "Measures of Compliance" box in the audit tool for each section. The monitor reviewed most of these documents prior to her visit, and reviewed some documents on-site during the visit. In addition, the monitor made additional follow-up requests for documents and these were sent to her after the visit. Attachment A to this report lists documents sent to the monitor prior to and after the visit.
The monitor showed various documents to staff during the interviews, for their authentication and comment. The monitor also reviewed multiple documents maintained by Captain McClain, Lt. Young, and Lt. Coleman while interviewing them in their individual offices. The monitor recognizes the time and commitment these individuals expend to maintain the level of detailed documentation required to demonstrate compliance. The ADOC and Tutwiler team continues to maintain impressive records.
The monitor referred to specific documents for each set of requirements in the audit tool report, in the monitors' discussion of ADOC compliance with the section. Exit Debriefing with ADOC Leadership
The monitor conducted an exit meeting with the executive leadership group, regarding the results of the visit and the expected next steps.
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Monitoring Tool 1) The monitor sent the first draft report to both parties on February 28, 2017. The
agreement allows for a two-week period of review by both parties. The monitor received comments from DOJ and ADOC. . The monitor reviewed the comments of both parties, in each section, and took them into consideration in her final revisions to the report sections. 2) The monitor will submit the completed set of audit tool report, the narrative summary and attachments, to the court by March 28, 2017.
Summary of Compliance
"Compliance" is discussed throughout the agreement and this report in the following terms: substantial compliance, partial compliance, and non-compliance. "Substantial Compliance" indicates that ADOC and Tutwiler have achieved material compliance with most or all components of the relevant provision of the settlement agreement. "Partial Compliance" indicates that ADOC and Tutwiler have achieved material compliance on some of the components of the relevant provision of the settlement agreement, but significant work remains. "Noncompliance" indicates that ADOC and Tutwiler have not met most or all of the components of the relevant provision of the settlement agreement. "Material Compliance" requires that, for each provision, ADOC and Tutwiler have developed and implemented a policy incorporating the requirement, trained relevant personnel on the policy, and relevant personnel are complying with the requirement in actual practice.
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Closing Observations
The monitor appreciates the high level of cooperation she received from all parties during the monitor transition period. The monitor also appreciates the level of cooperation and responsiveness of ADOC and Tutwiler staff during this reporting period. The monitors made numerous requests for documents or information and they were always processed in a thorough and timely manner.
The monitor sees continued progress by ADOC and Tutwiler and is impressed by leadership's passionate commitment to fully implement the settlement and evidencebased gender specific practices at Tutwiler. Leadership also demonstrates a commitment to quality improvement. The monitor recognizes the time and commitment needed to maintain the level of detailed documentation required to demonstrate compliance. The ADOC and Tutwiler team continues to maintain impressive records. More importantly, leadership is using this information and data to monitor and improve practice and create a culture at Tutwiler that reflects awareness of policies designed to address sexual abuse and sexual harassment, with the inmates respecting the accountability practices demonstrated by the leadership and staff, in general.
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Attachment A: List of Documents Used for Compliance Report
Monitor note: the monitor also reviewed some documents, not listed below, that were received/reviewed for the compilation of the first and second court reports.
• Inmate Survey and Polling Plan • First Quarter Inmate Survey Results
• Tutwiler PREA Incident Review Committee reports, January-June 2016 • Tutwiler PREA Incident Review Committee reports, July-December 2016 • An Incident Review Committee report for a December, 2016 investigation of
unsubstantiated allegations of inmate-on-inmate sexual abuse
• Tutwiler Risk Management System spreadsheet, January-June 2016 • Tutwiler Risk Management System spreadsheet, July- December 2016 • Risk Management System Summary May 27-August 23,2016 • Quarterly Risk Management System Data Review • Spreadsheet of Staff Identified in Risk Management System -Corrective Action
Taken • Log of unannounced rounds by supervisors
• Monthly Grievances for January-June • Tutwiler's Institutional Grievance Log • Monthly Grievances for July- December 2016 • Grievance Appeal Log
• Tutwiler spreadsheets documenting inmate disciplinary infractions , January-June 2016
• Tutwiler spreadsheets documenting inmate disciplinary infractions , JulyDecember 2016
• Gender Responsive Classification Policy • ADOC Women's Services Classification Instruction Manual (draft) • Tutwiler PREA risk factors checklists • Tutwiler "PREA risk re-assessments" checklists(30-day reassessment) • Tutwiler ADOC mental health referrals to MHM for PREA assessments • Tutwiler mental health treatment notes for initial PREA assessments • Spreadsheets/logs for the classification checklists • Update on progress of the pilot administration of the WRNA and any data collected. • Validation Committee’s agenda, notes, and PPT
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• Dorm A inmate movement sheets • Dorm A Receiving Log • Dorm A quarterly workgroup meeting minutes • Dorm Representatives Meeting Minutes • Tutwiler Bed Count Roster for December 5,2016
• Corizon new Staff Orientation "On-boarding" training • Corizon staff training records, including post tests. • Corizon new employee orientation Manual • MHM new staff training program/curriculum • MHM PREA policy • Draft Administrative Regulation 637-Gender Dysphoria Disorder • Minutes to Gender Identify Committee Review Meeting-August 2016 • Review of Dr Hunter's summary of an evaluation of a patient fro gender dysphoric
disorder and a request for clothing accommodations • Medical Grievance Summary July-December, 2016
• Tutwiler ADOC and MHM mental health staff meetings minutes -January-June 2016
• Tutwiler ADOC and MHM mental health staff meetings minutes -July-December 2016
• Completed and published PREA audit, May 2016
• Communications log maintained by Lt. Young , regarding calls, emails, etc. with ADOC PREA Coordinator Vincent
• ADOC PREA Coordinator Vincent's communication log • Bi-monthly PREA reports from Lt. Young to ADOC PREA Coordinator Vincent
• PREA #66 hotline calls log, maintained by Lt. Young , January-June 2016 • PREA #91 hotline calls log, maintained by Lt. Young , July-October 17,2016
(date of discontinuance of this line) • Monthly summaries of calls made to ADECA • Notification to inmate population regarding availability of hotline
• Copies of Random Inmate Interviews conducted by Lt. Young to monitor reporting culture
• Training rosters for Lt. Young in January-July 2016 • Training rosters for Lt Young in August-December 2016
• PREA training documentation for the private transport security staff • Training documentation for Tutwiler staff , contractors , volunteers, overtime staff
in SOP
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• Draft PREA & Gender Responsive Refresher Training Facilitator Guide • Draft PowerPoint for Ms. Vincent's upcoming PREA staff training program for
Institutional PREA Compliance Managers
• Randomly selected training evaluations from Tutwiler staff attending the required PREA (SOP 8-12) and gender responsive training
• Log of Pregnant Inmate Intakes maintained by Institutional PREA Compliance Manager
• Pregnant Inmate Intakes Statements maintained by Institutional PREA Compliance Manager
• Tutwiler "inmate on inmate harassment" allegation investigations, completed by Lt Young, January-June 2016
• Tutwiler "inmate on inmate harassment" allegation investigations, completed by Lt Young July-December 2016
• Tutwiler inmate education session attendance logs • Final Inmate Orientation Guide • Certification of completion of inmate education on the new Women's Services
Classification Manual • Engaging Women in Trauma-informed Peer Support: A Guidebook
• Copies of Gender Responsive Women's Programs Work Group agenda, notes and PowerPoint presentation
• Tutwiler camera room surveillance logs, January-June2016 • Tutwiler camera room surveillance logs, July-December 2016 • Tutwiler annual assessment of the camera operations -November 2016
• Tutwiler Gender Responsive Staffing Analysis and plan, draft • Tutwiler staffing updates for January-June 2016 • Tutwiler staffing updates for July-December 2016
• Tutwiler staff discipline: January-June 2016 • Tutwiler staff discipline: July-December 2016. • Abusive and Profane Language Intervention Plan -September 2016
• Tutwiler shift duty rosters(noting overtime staff) for February-April, 2016 • Tutwiler -Duty Rosters for December 5-9, 2016 • Tutwiler list of approved overtime employees
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• Periodic Staff Overtime Reports • Social Service Caseworker lateral transfer announcement approving the filling of
positions • Randomly selected Tutwiler shift dorm assignment logs , A and B rotation • Correctional Officer Trainee, "Physical Fitness training "assessments/ reports,
January-June 2016 • ADOC reports for the staff physical fitness exams results, from the academy, for
January-June 2016, broken down by gender • ADOC reports for the staff physical fitness exams results, from the academy, for
July-December2016, broken down by gender • Inmate correspondence received by the monitor in the reporting period • Warden Wright's follow-up reports submitted in response to monitor's questions
generated by communication with inmates -December 2016 • The 8 PREA investigations, completed by ADOC I+I, from January-June 2016 • The PREA investigations, completed by ADOC I+I, from July-December 2016 • Curriculum for the specialized "investigator " training , occurring for ADOC I+I
in July 2016
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Attachment B: List of Tutwiler’s Standard Operating Procedures (SOPs)

This is a listing of all of the ADOC and Tutwiler policies provided to the monitors to date. During the previous reporting period, the initial monitor received and reviewed 63 new and revised SOP's for Tutwiler. The monitor reviewed the drafts, provided comments on each to ADOC and received the final ADOC published copies. During this reporting period, the monitor received a draft SOP 8-30 Gender Responsive Discipline and Sanctions and provided ADOC with feedback and suggestions for their consideration.

SOP 1-1 4-1 4-2 4-3 4-4 4-5 5-00 5-01 5-02 5-03 5-04 5-05 5-06 5-07 5-08 5-09 5-10 5-11 5-12 5-14 5-18 5-20 5-21 5-22 5-23 6-2 6-4 6-6 6-9 6-11 6-12 7-3

TITLE Mission Warden III Assistant WardensWarden II & Warden I Correctional Captains Lieutenants & Sergeants - Shift Supervisors CorrectionalOfficers & Trainees Dormitory Security SOP Dormitory A Post Order Dormitory B Post Order Dormitory C Post Order Dormitory D Post Order (Health Care Unit) Dormitory F Post Order Dormitory G & J Post Order (South Hall II) Dormitory I Post Order (South Hall III Dormitory K&M Post Order (Death Row) (South Hall I) Dormitory L Post Order (Segregation Unit) Dormitory H Post Order (Mental Health Unit) Dormitory N / O Post Order (Annex) Annex Back Gate Post Order Tutwiler BackGate Post Order Sewing Factory Post Order Trade School Security Post Order Kitchen Officer and Chief StewardPost Order Laundry Post Order Gender Specific Posts Referrals to Mental Health Services Reception Mental Health Screening Crisis Intervention Mental Health Observation and SuicideWatch Procedures Closed Residential Treatment Unit (CRTU) Mental Health Unit Dormitory H Stabilization Institutional Security, Sanitation, & Safety Inspections

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SOP 7-7 7-8 7-9 7-10 7-12 7-14 7-17 7-19 7-20 7-29 8-1 8-3 8-5 8-12 8-13 8-14 8-17 8-18 8-19 8-22 8-23 8-24 8-27 8-28 8-29 8-30 8-31 9-5 9-6 9-7 9-9 9-16 11-1

TITLE Searches Use of Force Inmate Count Procedures Emergency Medical Treatment Evacuation of Inmates in Specialized Housing Inmate Pregnancy Security Threat Groups Inmate Visitation Privileges Aid to Inmate Mothers Visitation Criteria Employee / Inmate Relationships Reception and Orientation: Receiving Rules Inmate Transports Controlled Movement Inmate Sexual Abuse and Harassment Inmate Control Systems (ICS) Inmate Personal Property Tutwiler Inmate Photographs Inmate Drug Screening Youthful Inmates Inmate Grievance Procedures Administrative Segregation Disciplinary Segregation-draft Hygiene Item Issuance Death Row Unit-M LGBTI Inmate Population Gender Responsive Discipline and Sanctions-draft Hair Grooming Overtime / Mandatory Overtime Work Staffing Plan Private Transportation Security Agents Employee Standards of Conduct & Discipline Institutional PREA Compliance Manager Data Collection and Quality Improvement

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Case 2:15-cv-00368-MHT-TFM Document 26-2 Filed 03/28/17 Page 43 of 50
Attachment C: Summary of Compliance
- 43 -

Requirement CSoubmsptliaantnicale CoPmaprltiiaalnce ComNpolina-nce
N/A

Description

III.A. GENERAL POLICIES AND PROCEDURES
ADOC and Tutwiler shall comply with all provisions of PREA.

ADOC and Tutwiler shall continue to comply with the ADOC’s written policies and procedures mandating zero tolerance

A.1

toward all forms of sexual abuse and sexual harassment.

x

This agreement takes precedence over any ADOC and/or Tutwiler policy governing the operation of Tutwiler that may conflict

with this agreement.

Shall develop; submit to the Monitor and DOJ for review consistent with III.A.6; and Implement policies and procedures

A.2

regarding the management of lesbian, gay, bisexual, transgender, intersex, and gender nonconforming inmates. The policy shall emphasize the rights of lesbian, gay, bisexual, transgender, intersex, gender nonconforming and gender dysphoric

x

inmates to a safe, non-discriminatory and respectful environment.

Continue to comply with ensuring women receive essential supplies, including hygiene and feminine hygiene products,

A.3

tampons and pads; linens; and uniforms by making them available on a monthly basis or more frequently as needed. The policy will continue to require the tracking and distribution of these products. ADOC and Tutwiler will continue to ensure that

x

both tampons and sanitary pads are readily available, free of charge, to Tutwiler inmates.

A.4

Shall develop and implement policies and procedures that incorporate gender-responsive strategies, including policies and procedures governing the use of force against women inmates and discipline of women inmates

x

Shall continue to develop, submit to the Monitor and DOJ for review consistent with III.A.6, and implement facility-specific

A.5

policies and operational practices specific to Tutwiler’s population regarding the supervision and monitoring necessary to

x

prevent inmates from being exposed to unreasonable risk of harm from sexual abuse and harassment.

III.B. CAMERA MANAGEMENT

B.1

Camera management policies and procedures will remain in effect at Tutwiler

x

B.2

Camera management policies and procedures, including the locations where cameras have been placed, will be reviewed at least annually to ensure they are serving their goal of maximum supervision.

x

III.C. STAFFING

C.1(i)

ADOC and Tutwiler shall continue to develop, submit to the monitor and DOJ to assess for compliance with this agreement and implement its plan to recruit women correctional officers at Tutwiler

x

C.2

In order to address low staffing levels and the need for more women officers, ADOC and Tutwiler shall ensure that correctional staffing and supervision is sufficient to adequately supervise inmates and staff and allow for the safe operation of Tutwiler.

x

III.D. TRAINING

D.1

ADOC and Tutwiler shall train all staff who may have contact with inmates with the following:

x

D.2

Within six months of the Effective Date, all staff shall have received training as set out in Section III.D.1

x

D.3

ADOC and Tutwiler shall provide annual refresher training to all staff

x

D.4

The Monitor will work with ADOC and Tutwiler in drafting new training materials and/or revising current training materials set out in III.D.1 and III.D.3

x

D.5

ADOC shall certify and document to Tutwiler’s PREA Compliance Manager, the Department-wide PREA Coordinator, the Monitor, and DOJ, that all staff have been trained

x

III.E INMATE EDUCATION

no assessment due until May
28, 2017

Case 2:15-cv-00368-MHT-TFM Document 26-2 Filed 03/28/17 Page 44 of 50

Requirement CSoubmsptliaantnicale CoPmaprltiiaalnce ComNpolina-nce
N/A

Description

(Inmate Education: Intake)

1. ADOD and Tutwiler shall ensure that, during the intake process, all inmates receive information regarding the following

(listed below):

3. Current Tutwiler inmates will receive the information and education described in III.E.1 within three months of the Effective

E.1,3,6,7

Date (by August 28, 2015). 6. Consistent with current policy, ADOC and Tutwiler shall ensure that the information outlined in III.E.1 is conveyed and made

x

available in formats accessible to all inmates, including those who are limited English proficient, deaf, visually impaired, or

otherwise disabled as well as to inmates who have limited reading skills.

7. ADOC and Tutwiler shall provide the Monitor and DOJ for their review consistent with Section III.A.6 any materials or

curriculum utilized to satisfy the requirements of III.E.1

(Inmate Education: Comprehensive)

2. Within 14 days of intake, ADOC and Tutwiler shall provide comprehensive orientation education to inmates either

conducted in-person or through a video presented by an in-person facilitator regarding their rights to be free from sexual

abuse and sexual harassment and to be free from retaliation for reporting such incidents, and regarding their policies and

procedures for responding to such incidents.

3. Current Tutwiler inmates will receive the information and education described in III.E.2 within three months of the Effective

Date (by August 28, 2015).

4. ADOC and Tutwiler shall ensure that the individual conducting or facilitating the comprehensive inmate educational

orientation is trained on Tutwiler’s and ADOC’s policies and procedures related to sexual abuse and sexual harassment, the

E.

PREA standards, and this Agreement.

2,3,4,5,6,7,8

5. The individual conducting or facilitating the comprehensive inmate orientation education shall remain in the room during the entire orientation and shall monitor the inmates for reactions to and understanding of the information. A mental health

x

practitioner will serve as an advisor to the orientation process and services will be available during the orientation process if

indicated.

6. Consistent with current policy, ADOC and Tutwiler shall ensure that the information outlined in III.E.2 is conveyed and made

available in formats accessible to all inmates, including those who are limited English proficient, deaf, visually impaired, or

otherwise disabled as well as to inmates who have limited reading skills.

7. ADOC and Tutwiler shall provide the Monitor and DOJ for their review consistent with Section III.A.6 any materials or

curriculum utilized to satisfy the requirements of III.E.1

8. ADOC and Tutwiler shall maintain documentation of inmate participation in the education sessions required by III.E.2.

III.F. GENDER-RESPONSIVE CLASSIFICATION

Within two months of the Effective Date, ADOC and Tutwiler shall convene a working group to evaluate methods to decrease

F.1

or eliminate Tutwiler’s use of Dorm A for a period of time that exceeds 48 hours while screenings are completed, including an examination of the necessity of PAP test and/or other medical, mental health, or intellectual test results prior to classification

x

and failures to provide adequate continuity in medical and mental health care to Dorm A residents

F.2

Within six months of convening of the working group, ADOC and Tutwiler shall retain an expert in gender responsive assessment and classification.

x

3. The approved plan for implementation of the classification system shall be managed by an implementation workgroup and

completed within two years of the approval of plan

F.3,4

4. The system shall provide programs that incorporate gender responsive principles and address the needs of women inmates at Tutwiler, including those addressing sexual abuse, sexual harassment, and trauma; domestic violence; dating violence; and

medical and mental health care.

III.G RISK ASSESSMENT

G.1

ADOC and Tutwiler shall continue to utilize a risk assessment instrument to screen for risk of victimization and abusiveness

x

x
(not due until 3/28/2019)

Case 2:15-cv-00368-MHT-TFM Document 26-2 Filed 03/28/17 Page 45 of 50

Requirement CSoubmsptliaantnicale CoPmaprltiiaalnce ComNpolina-nce
N/A

Case 2:15-cv-00368-MHT-TFM Document 26-2 Filed 03/28/17 Page 46 of 50

Description

G.2,3

2. Inmates at high risk for sexual victimization shall not be placed in involuntary segregation housing due to their high risk of victimization unless an assessment of all available alternatives has been made, and a determination has been made that there is no available alternative means of separation from likely abusers. Such an assessment and determination shall be documented, explain the basis for Tutwiler’s concern for the inmate’s safety and the reason why no alternative means of
separation can be arranged. A review of such determination must be afforded each inmate at least every 30 days to determine x
whether there is a continuing need for separation from the general population.

3. Inmates placed in segregated housing Due to potential victimization shall, to the extent possible, have full access to programs, privileges, education, and work opportunities as inmates in general population housing.

III.H. INMATES’ RIGHT TO PRIVACY

H.1

Cross-Gender Searches : ADOC and Tutwiler shall continue to comply with its policy regarding cross-gender pat and strip searches

x

2.i Cross- Gender Viewing: ADOC and Tutwiler shall develop, submit to the Monitor and DOJ for review consistent with

Section A.III.6, and implement policies and procedures that enable inmates to perform bodily functions – such as showering,

bathing, and using the toilet – and change clothing without nonmedical staff of the opposite gender viewing their breasts,

buttocks, or genitalia, except in exigent circumstances of when such viewing is incidental to routine cell checks

H.2

x

2.ii ADOC and Tutwiler shall develop, submit to the Monitor and DOJ for review consistent with Section III.A., and implement

policies and procedures regarding the method of conducting inmate counts. This policy and procedure shall limit inmate

movement during inmate counts and shall prohibit the practice of conducting inmate counts while inmates are likely to be in

the shower and toilet areas

H.3

ADOC and Tutwiler shall continue to implement its plan to address the architectural features that contribute to a lack of privacy for inmates while showering or using the toilet

x

III.I REPORTING ALLEGATIONS OF SEXUAL ABUSE AND SEXUAL HARASSMENT

ADOC and Tutwiler shall continue to comply with its policy on reporting allegations of sexual abuse and sexual harassment.

Any modification of that policy shall be submitted to DOJ and the Monitor for review consistent with Section III.A.6. ADOC

I.1

and Tutwiler shall provide multiple internal methods, including a grievance process and at least one confidential method, for

x

inmates to report sexual abuse and sexual harassment, retaliation by other inmates or staff for reporting sexual abuse and

sexual harassment, and staff neglect or violation of responsibilities that may have contributed to such incidents.

I.2,3

2. ADOC and Tutwiler shall also provide at least one way for inmates to report abuse or harassment to a public or private

entity or office that is not part of the agency, and that is able to receive and immediately forward inmate reports of sexual

abuse and sexual harassment to agency officials, allowing the inmate to remain anonymous upon request. The method provided should be through a toll-free number or other method as agreed to by the Monitor and DOJ.

x

I.4,5

3. ADOC and Tutwiler shall provide a method for staff to confidentially report sexual abuse and sexual harassment of inmates

4. Third parties shall be permitted to assist inmates in filing requests for administrative remedies relating to allegations of sexual abuse and sexual harassment, and shall also be permitted to file such requests on behalf of inmates

5. All third party reports of sexual abuse and sexual harassment shall be forwarded immediately to the Departmental PREA

x

Coordinator and be investigated and processed in accordance with Policy. As part of this process, the Departmental PREA

Coordinator will inform Tutwiler’s PREA Compliance Manager of all third party reports received.

Requirement CSoubmsptliaantnicale CoPmaprltiiaalnce ComNpolina-nce
N/A

Case 2:15-cv-00368-MHT-TFM Document 26-2 Filed 03/28/17 Page 47 of 50

Description

I.6, 6.viii

6. Grievances: ADOC and Tutwiler shall continue to develop and submit policies and procedures for an inmate Grievance System to the Monitor and DOJ for review within three months of the effective date and, within four months of the effective date, implement the inmate Grievance System. This policy shall clearly prohibit retaliatory practices by staff against inmates who file a grievance and should include the requirements listed in III.I.6.ii-ix
x
6.viii ADOC and Tutwiler shall develop, submit to the Monitor and DOJ for review consistent with Section III.A.6, and implement policies and procedures for the filing of an emergency grievance where an inmate is subject to a substantial risk of imminent sexual or physical abuse

I.7,8,9 I.10.i

7.ADOC and Tutwiler shall require all employees to report immediately: Any knowledge, suspicion, or information regarding an incident or alleged incident of sexual abuse or sexual harassment that occurred in Tutwiler, in transport vehicles, or in any off-site facilities under the control and supervision of ADOC or Tutwiler; Retaliation against inmates or staff who reported such an incident; and any staff neglect or violation of responsibilities that may have contributed to an incident or retaliation.

8.Apart from reporting to designated supervisors or officials, staff shall not reveal any information related to a sexual abuse or

x

sexual harassment report to anyone other than to the extent necessary to make treatment, investigation, and other security

and management decisions.

9.ADOC and Tutwiler shall report all allegations of sexual abuse and sexual harassment, including third party reports, anonymous reports, and inmate grievances, to Tutwiler’s or ADOC’s designated investigator

Protecting Inmates and Staff from Retaliation:

i.Consistent with ADOC policies, ADOC and Tutwiler shall protect all inmates and staff who report allegations of sexual abuse

or sexual harassment or cooperate with sexual abuse or sexual harassment investigations from retaliation by other inmates or staff, and shall designate Tutwiler’s PREA Compliance Manager with monitoring allegations of retaliation concerning inmates.

x

Allegations of retaliation against employees will be investigated and processed in accordance with ADOC personnel policy.

III.J. OFFICIAL RESPONSE TO AN ALLEGATION OF SEXUAL ABUSE AND SEXUAL HARASSMENT

J.1

When ADOC or Tutwiler learns that an inmate may be subject to a substantial risk of imminent sexual abuse, ADOC or Tutwiler shall take immediate action to protect the inmate.

x

ADOC and Tutwiler shall continue to comply with Policy and Tutwiler Standard Operating Procedures to coordinate actions

J.2

taken in response to an allegation of sexual abuse, among first staff responders, medical and mental health practitioners, investigators, and Tutwiler leadership, including time frames and lists of whom staff should report to in specific situations and

x

guidelines regarding the collection of physical evidence.

3.ADOC and Tutwiler shall respond to reports of sexual abuse and sexual harassment or threats of sexual abuse or sexual

harassment without regard to an inmate’s known or perceived sexual orientation or gender identity.

J.3,6

6.ADOC and Tutwiler shall not place in protective custody an inmate who is alleged to have suffered sexual abuse or sexual harassment solely for the purpose of protecting that inmate, unless a determination, documented in writing and reviewed by

x

the PREA Compliance Manager or the Warden’s designee within 24 hours, has been made that there is no available

alternative means of separation from likely abusers.

Requirement CSoubmsptliaantnicale CoPmaprltiiaalnce ComNpolina-nce
N/A

Case 2:15-cv-00368-MHT-TFM Document 26-2 Filed 03/28/17 Page 48 of 50

Description

J.4,5

4.The written institutional plan shall include procedures that address how staff respond upon learning of an allegation that an inmate was sexually abused; described below

5. If the first staff responder is not a security staff member, the responder shall be required to request the alleged victim not

x

take any actions that could destroy physical evidence, and then notify security staff.

To the extent they do not already exist, ADOC and Tutwiler shall develop, submit to the Monitor and DOJ for review consistent

J.7

with Section III.A.6., and implement policies and procedures to provide access to medical and mental health services to women identified as potential or actual victims of sexual abuse and sexual harassment, that occurred either at Tutwiler or

x

elsewhere, including the following:

III.K REFERRALS AND INVESTIGATIONS

1.ADOC investigators shall continue to investigate allegations of sexual abuse or sexual harassment consistent with their

authority as criminal investigators and consistent with Policy and Alabama law. Completed investigations of sexual abuse and

sexual harassment will be referred to local prosecutors as appropriate.

K.1,2

2. When ADOC conducts its own investigations into allegations of sexual abuse or sexual harassment, it shall do so promptly, thoroughly, and objectively for all allegations, including third party and anonymous reports. Administrative investigations shall

x

be completed regardless of the results of any criminal investigations and regardless of the subject’s continued employment by

ADOC

ADOC and Tutwiler shall develop, submit to the Monitor and DOJ for review consistent with Section III.A.6., and implement

K.4

guidelines for the immediate initiation of an investigation and/or review upon learning of an allegation of sexual abuse or sexual harassment and develop a process for monitoring those guidelines. The guidelines shall also ensure that

x

investigations that include any allegations of sexual abuse or sexual harassment are properly labeled as such.

Requirement CSoubmsptliaantnicale CoPmaprltiiaalnce ComNpolina-nce
N/A

Case 2:15-cv-00368-MHT-TFM Document 26-2 Filed 03/28/17 Page 49 of 50

Description

Investigators

3.The use of pre-hearing segregation shall be limited to inmates whose continuing behavior is a threat to facility safety, or who

will not stop the prohibited behavior. Such pre-hearing segregation shall not be used for more than 72 hours, at which time an

inmate must be afforded a disciplinary hearing, or provided a written explanation of why the hearing is postponed and when

the hearing will be re-scheduled.

5.Where sexual abuse or sexual harassment is alleged, ADOC shall use investigators who have received special training in

institutional sexual abuse and sexual harassment investigation. Specialized training shall include techniques for interviewing

sexual abuse victims, proper use of Miranda and Garrity warnings, sexual abuse evidence collection in confinement settings,

and the criteria and evidence required to substantiate a case for administrative action or prosecution referral. ADOC shall

maintain documentation that agency investigators have completed the required specialized training in conducting sexual

abuse investigations. The Department-wide PREA Coordinator and Tutwiler's PREA Compliance Manager shall not serve as

investigators for sexual abuse investigations.

7.The credibility of an alleged victim, suspect, or witness shall be assessed on an individual basis and shall not be determined

K.3,5,7,8,9,10

by the person’s status examinations or other

as inmate or staff. ADOC or Tutwiler are prohibited from offering or administering polygraph truth-telling devices to an inmate who alleges sexual abuse or sexual harassment.

x

8.ADOC shall issue a written investigative report within 30 days after the conclusion of a sexual abuse or sexual harassment

investigation that indicates whether the allegation is substantiated, unsubstantiated, or unfounded. The investigator may

request in writing, approved by the facility designee, an extension for cause that identifies the remaining actions necessary to

complete the investigation. In no case shall the investigation be unfounded solely Due to the expiration of the 30 days. The

investigative report shall include an effort to determine whether staff actions or failures to act contributed to the abuse, a

description of the physical and testimonial evidence, the reasoning behind credibility assessments, and investigative facts and

findings.

9.ADOC shall work with the Monitor on ensuring that an investigative summary sheet that provides an overview of the current

status of an investigation is included. The summary information should include, among other things, basic information such

as staff name(s), prisoner names(s), location of incident, and the time of day.

10.The departure of the alleged perpetrator or victim from the employment or control of ADOC or Tutwiler shall not provide a

basis for terminating an investigation.

Outside Investigations; Inmate Notification

11.When outside agencies investigate alleged incidents of sexual abuse, ADOC and Tutwiler shall cooperate with outside

investigators and shall endeavor to remain informed, to the extent appropriate, about the progress of the investigation.

12.Following an investigation into an inmate’s allegation that she suffered sexual abuse or sexual harassment in any ADOC

facility or while within the physical custody and control of the ADOC, ADOC and Tutwiler shall inform the inmate as to whether

K.11,12,13, 14, 15

the allegation has been determined to be substantiated, unsubstantiated, or unfounded. 13.If ADOC or Tutwiler did not conduct the investigation, it shall request the relevant information from the investigative agency

x

in order to inform the inmate.

14.Following an inmate’s allegation that a staff member has committed sexual abuse or sexual harassment against the

inmate, ADOC and Tutwiler shall subsequently inform the inmate whenever: (see below)

15.All such notifications or attempted notifications shall be documented.

K.16,17

Investigations Review

16.A review team, including upper-level management officials at Tutwiler, with input from line supervisors, investigators, and

medical and mental health practitioners, shall conduct an incident review within 30 days of the conclusion of every

investigation of substantiated and unsubstantiated allegations of sexual abuse or staff-on-inmate sexual harassment. The

x

review team shall: (see below)

17.ADOC and Tutwiler shall implement the recommendations for improvement or shall document its reasons for not doing so.

Requirement CSoubmsptliaantnicale CoPmaprltiiaalnce ComNpolina-nce
N/A

Case 2:15-cv-00368-MHT-TFM Document 26-2 Filed 03/28/17 Page 50 of 50

Description

K.18

.Within 60 days of the Effective Date, ADOC and Tutwiler shall review all pending investigations alleging sexual abuse and

sexual harassment to determine whether the investigation was conducted according to the requirements of Section III. K. of

this Agreement.

Within 120 days of the Effective Date, ADOC and Tutwiler will conduct a similar review of all unfounded allegations of sexual

x

assault and sexual harassment for the past 360 days to determine whether the investigation was conducted according to the

requirements of Section III. K. of this Agreement.

III.L STAFF DISCIPLINARY ACTIONS

ADOC and Tutwiler shall develop, submit to the Monitor and DOJ for review consistent with Section III.A.6., and implement

L.1

policies and procedures that track staff disciplinary actions related to allegations of sexual abuse or sexual harassment, to

x

ensure that the directives in III.L.2-III.L.6 below are met.

III.M Limited English Proficient (LEP) Inmates

ADOC and Tutwiler shall work with the Monitor to develop and implement a policy providing for a method of interpretation

M

services for LEP inmates. This method may be through a language telephone line, if necessary. ADOC and Tutwiler shall not x

rely on other inmates or non-certified employees to translate and/or interpret for LEP inmates.

IV. Quality Improvement and Data Collection

A. Within one year of the Effective Date, ADOC and Tutwiler shall develop and submit to the Monitor and DOJ for review consistent with Section III.A.6., and implement, written quality improvement policies and procedures adequate to identify and

address any deficiencies in ADOC and Tutwiler’s prevention, detection and response to sexual abuse and sexual harassment

at Tutwiler and to assess and ensure compliance with the terms of this Agreement.

B. Within three months of the Effective Date, ADOC shall convene a state-wide working group to evaluate how other state and ADOC entities may contribute to Tutwiler’s compliance with this Agreement. C. ADOC and Tutwiler shall establish a system wherein they routinely poll inmates regarding their perceptions of the

implementation of the specific terms of this Agreement including the prevalence of staff sexual abuse and sexual harassment,

M

inmate vulnerability to sexual abuse and sexual harassment, the investigation and discipline of staff accused of sexual abuse

x

and sexual harassment, the efficacy of inmate education regarding sexual abuse and sexual harassment, privacy in the showers and toilets, the appropriateness of inmate classification, the levels of staff supervision, the efficacy of the reporting systems for sexual abuse and sexual harassment including grievances, and official responses to, and retaliation for,

allegations of sexual abuse and sexual harassment.

D. ADOC and Tutwiler shall develop, implement, and maintain, in consultation with the Monitor, a Risk Management System

(“RMS”) that will document and track facility trends related to: (1) sexual abuse or sexual harassment; (2) unprofessional staff

conduct involving inmates, including sexually explicit, vulgar, or degrading language; and (3) use of force incidents.

United States of America v. State of Alabama, et al., Docket No. 2:15-cv-00368 (M.D. Ala. May 28, 2015), Court Docket
General Information

Court
Federal Nature of Suit Docket Number Status

United States District Court for the Middle District of Alabama; United States District Court for the Middle District of Alabama Civil Rights - Other[440] 2:15-cv-00368 CLOSED

© 2018 The Bureau of National Affairs, Inc. All Rights Reserved. Terms of Service // PAGE 252

 </s> Case 2:15-cv-00368-MHT-TFM Document 27 Filed 08/25/17 Page 1 of 2

IN THE UNITED STATES DISTRICT COURT FOR THE MIDDLE DISTRICT OF ALABAMA

UNITED STATES OF AMERICA,
Plaintiff,
Vs.
STATE OF ALABAMA AND ALABAMA DEPARTMENT OF CORRECTIONS,
Defendants.

)

)

)

)

)

Civil No: 2:15-cv-368-MHT

)

)

)

)

)

)

NOTICE OF FILING TUTWILER PRISON FOR WOMEN “MONITOR’S FOURTH COMPLIANCE REPORT” Defendants, by counsel, hereby give notice of the filing of the “Monitor’s Fourth
Compliance Report” in the above styled case. This Report is being filed pursuant to Section
VIII(C), subpart 4, at page 40, of the Settlement Agreement executed and filed May 28, 2015
[Dkt No. 2], and approved by Order of this Court dated June 18, 2015 [Dkt No. 12].
A true and correct copy of the Report is attached and submitted herewith.
Respectfully submitted,

s/s Anne A. Hill ANNE ADAMS HILL General Counsel Alabama Department of Corrections 301 South Ripley Street Montgomery, Alabama 36104 Telephone: (334) 353-3884 Email: Anne.Hill@doc.alabama.gov

Case 2:15-cv-00368-MHT-TFM Document 27 Filed 08/25/17 Page 2 of 2
s/s Bart G. Harmon BART G. HARMON (HAR127) Assistant Attorney General Alabama Department of Corrections 301 South Ripley Street Montgomery, Alabama 36104 Telephone: (334) 353-3881 Email: Bart.Harmon@doc.alabama.gov
CERTIFICATE OF SERVICE
I hereby certify that on August 25, 2017, I electronically filed the foregoing document
with the Clerk of the Court using CM/ECF, which will provide notice of such filing to all
registered parties.
s/s Anne A. Hill ANNE ADAMS HILL General Counsel Alabama Department of Corrections 301 South Ripley Street P.O. Box 301501 Montgomery, Alabama 36130-1501 Telephone: (334) 353-3884 Email: Anne.Hill@doc.alabama.gov

Case 2:15-cv-00368-MHT-TFM Document 27-1 Filed 08/25/17 Page 1 of 55
IN THE UNITED STATES DISTRICT COURT FOR THE MIDDLE DISTRICT OF ALABAMA, NORTHERN DIVISION

UNITED STATES OF AMERICA,

)

)

PLAINTIFF,

)

)

v.

)

)

THE STATE OF ALABAMA AND THE )

ALABAMA DEPARTMENT OF

)

CORRECTIONS,

)

)

DEFENDANTS

)

Civil No. 02:15cv368-MHT

Monitor’s Fourth Compliance Report

Case 2:15-cv-00368-MHT-TFM Document 27-1 Filed 08/25/17 Page 2 of 55
Table of Contents Introduction ........................................................................................................................... 3
Specific Actions to Evaluate Compliance ........................................................................ 3 Executive Summary............................................................................................................... 6
Intent of the Report ........................................................................................................... 6 Alabama Department of Corrections: Progress, Strengths and Challenges ................ 6
Progress ............................................................................................................................ 6 Alabama Strengths ......................................................................................................... 23 Alabama Challenges....................................................................................................... 26 Logistics ................................................................................................................................ 31 Compliance Visit .............................................................................................................. 31 Monitoring Tool ............................................................................................................... 37 Summary of Compliance..................................................................................................... 40 Closing Observations........................................................................................................... 41 Attachment A: List of Documents Used for Compliance Report.................................... 42 Attachment B: List of Tutwiler’s Standard Operating Procedures (SOPs) .................. 46 Attachment C: Summary of Compliance .......................................................................... 48
- 2 -

Case 2:15-cv-00368-MHT-TFM Document 27-1 Filed 08/25/17 Page 3 of 55
Introduction
The State of Alabama and the United States Department of Justice (DOJ) entered into a settlement agreement on May 28, 2015. The agreement involves a comprehensive set of provisions regarding the safety and security of the women offenders housed at the Tutwiler Prison for Women (Tutwiler). The purpose of the compliance report is to document the progress of the actions of the Alabama Department of Corrections (ADOC) and Tutwiler in response to the specific requirements of the provisions in the settlement. This is the fourth required court report, due August 28, 2017, submitted by independent Monitor Kathleen Dennehy. This court approved Ms. Dennehy as monitor on August 26, 2016.
Ms. Dennehy conducted a compliance visit June 25-30, 2017. This report describes the actions taken by the monitor to determine compliance, and uses the time frame January 1, 2017 through June 30, 2017 as the "reporting period.”
The settlement uses four levels to measure compliance: Substantial Compliance, Partial Compliance, Non-Compliance and Not Applicable (N/A). The Summary of Compliance section of this report at page 48 includes a chart summarizing the compliance status for each provision.
Specific Actions to Evaluate Compliance The monitor took the following specific actions to evaluate compliance: 1) During Monitor Dennehy's June 2017 compliance visit with the Alabama Department of Correction (ADOC) and Tutwiler, she interviewed central
- 3 -

Case 2:15-cv-00368-MHT-TFM Document 27-1 Filed 08/25/17 Page 4 of 55
office ADOC staff, including executive leadership and section managers, who have responsibilities related to the ADOC and Tutwiler compliance with the settlement. Monitor Dennehy also interviewed ADOC staff assigned to Tutwiler, including the facility's top leadership, staff with specific settlement responsibilities, and the Institutional PREA Compliance Manager (IPCM). The monitor handpicked as well as randomly selected uniform staff from employee rosters for one-on-one interviews. These staff members were diverse in gender and race. The monitor conducted two inmate focus groups, one during daytime hours and one during evening hours. In addition to these formal interviews, the monitor was afforded open access to staff and inmates during the monitoring visit and had many opportunities to question and engage in conversations with both staff and inmates while touring housing and program areas. In addition, the monitor was provided meeting space to engage in private one-on-one conversations with inmates and staff. 2) The monitor reviewed multiple ADOC and Tutwiler documents during this reporting period. These documents included previously promulgated ADOC and Tutwiler policies, training curricula and materials, and ADOC and Tutwiler policy drafts. Prior to the June compliance visit, the monitor requested documents, including staff and inmate polling results, and inmate grievances to prepare for a tour of the facility and staff and inmate interviews. During the tour, the ADOC allowed the monitor access to investigations, training files, staff rosters, and shift reports. The ADOC
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provided full access to records maintained by the Institutional PREA Compliance Manager, Lt. Yvette Young; Grievance Coordinator, Lt. Brian Coleman; and Settlement Compliance Manager, Captain Lagreta McClain. After the compliance visit, the monitor requested and received additional documents to substantiate and assess the progress of the work and actions taken by the ADOC and Tutwiler in response to the requirements of each section of the settlement. 3) During this reporting period, the monitor received correspondence from six inmates, five from Tutwiler and one from the Montgomery Women’s Facility. Tutwiler has a notice posted throughout the facility, with a correspondence address for the monitor. The letters addressed a wide range of allegations, including air quality, staff favoritism, romantic relationships among inmates resulting in false PREA allegations, a delay in medical treatment, and the process for identifying and accommodating the needs of inmates diagnosed with gender dysphoria. The monitor reviewed each letter and requested additional information from ADOC officials to better assess the contents of the correspondence and to request follow-up action where appropriate. In each instance, the ADOC provided timely and appropriate responses. During the compliance tour, the monitor met with five of the women who had written to her. 4) The monitor had multiple communications with Deputy Commissioner Wendy Williams during this reporting period to request investigative summaries and to address questions about either inmate correspondence
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received or inmate grievances reviewed by the monitor. In each instance, the ADOC provided timely and thorough responses for each request made by the monitor.
Executive Summary
Intent of the Report This report is made to inform the court and the parties of the monitor’s assessment
of the current progress and status of the ADOC and Tutwiler compliance with the settlement provisions and requirements. The monitor provides feedback for the ADOC and Tutwiler in each section. In some sections of the report, the monitor includes recommendations for the ADOC and Tutwiler actions over the next reporting period.
Alabama Department of Corrections: Progress, Strengths and Challenges
Progress During this reporting period, the monitor observed steady, continuing progress by
the ADOC and Tutwiler towards reaching full compliance1 with the terms of the settlement agreement. In this fourth compliance report, the monitor has determined that Tutwiler and the ADOC have achieved "substantial compliance" with 40 sections, and have achieved "partial compliance" with 3 sections of the agreement.2 Attachment C provides a detailed summary of the monitor’s compliance determinations.
The compliance ratings in this fourth compliance report illustrate Tutwiler and the
1 The definitions of degrees of compliance are addressed in the Summary of Compliance section of this report at page 48. 2 One settlement agreement provision is not subject for compliance assessment until March 2019.
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ADOC’s progress under the settlement agreement. In the first court report filed February 24, 2016, the monitor found the ADOC and Tutwiler in "substantial compliance” with 12 sections of the settlement agreement. In the second report filed August 25, 2016, the monitor found the ADOC and Tutwiler in "substantial compliance” with a total of 37 sections of the agreement. In the third report filed March 28, 2017, the monitor determined “substantial compliance” in 39 sections and "partial compliance" in 4 sections of the agreement.
The findings of "substantial compliance" and "partial compliance" are specific to the monitor’s observations and findings of fact regarding the ADOC and Tutwiler’s degree of compliance with the requirements of the various sections. The monitor understands these compliance determinations reflect a "continuum" of staff actions that will be evaluated in each court report.
General Policies and Procedures The ADOC and Tutwiler continue to maintain written policies to prevent sexual
abuse and sexual harassment. The current policy in place at Tutwiler that contains Prison Rape Elimination Act (PREA) provisions is Standard Operating Procedure (SOP) 8-12, Inmate Sexual Abuse and Sexual Harassment. This procedure incorporates recommendations previously made by the DOJ and the monitor.
In group discussions, formal individual interviews, informal discussions and interactions and observations while touring, staff members consistently demonstrated to the monitor an awareness of their responsibilities regarding reporting allegations of sexual abuse and sexual harassment, safety for inmates and investigative processes. Staff
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consistently demonstrated on-the-job knowledge of the policies and procedures on which they had been trained.
Two required, related SOP's remain outstanding: SOP 8-30 Inmate Disciplinary Policy and SOP-24 Disciplinary Segregation. The ADOC Women's Services team attended the National Institute of Correction's Gender Responsive Discipline and Sanctions Improvement program held in Colorado in September 2016. This ground breaking training continues to inform the development of SOP 8-30 Inmate Disciplinary Policy. As of June 30, 2017, the ADOC was making final revisions to the SOP 8-30 Inmate Disciplinary Policy and completing responses to the DOJ and monitor's prior comments. The training and implementation on this policy will immediately follow the finalization of the policy. The training curriculum for this policy will also be sent to the DOJ and monitor for review. Once this SOP-30 is finalized, the ADOC and Tutwiler can then finish work on SOP 8-24 Disciplinary Segregation. The final version of SOP 8-24 Disciplinary Segregation will incorporate changes to the SOP 8-30 following the DOJ and the monitor's reviews. The monitor and the DOJ's responses are to be attached to the final approved ADOC/Tutwiler SOP, following procedures of III.A.6 of the settlement agreement.
These are the last of the SOP's remaining to be finalized in accordance with the settlement agreement. All other SOP's and Post Orders have been developed and implemented.
Camera Management Both staff and inmates continue to express appreciation of the significant role
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cameras play in the prevention of sexual abuse and the important role the camera tapes play in investigations and in holding both staff and inmates accountable.
Staffing Between March 14 and March 31, 2017 Tutwiler administered a staff survey to
obtain staff members' perspectives on a number of operational issues, including work schedules, mandated overtime, and shift length. A total of 106 out of 140 staff members responded. Staff responses suggest that communication between management and line staff is effective. Staff did express concerns about staffing levels, the use of forced overtime, and the need for a new facility for women inmates. Staff also appear appreciative of the training they have received on SOP's and confident they are knowledgeable of Tutwiler's SOP's.
ADOC and Tutwiler expended considerable funds to have a Staffing Analysis conducted at Tutwiler by nationally recognized experts to research and develop a genderresponsive staffing plan for Tutwiler. This staffing plan was informed by genderresponsive principles identified by the National Institute of Corrections (NIC), Prison Rape Elimination Act (PREA) requirements, U.S. Department of Justice (DOJ) settlement agreement requirements, and emerging correctional.
For the first court report, Monitor Lancaster was asked to review the schedule for the Phase II Staffing section due to its complexity, multiple requirements, and need for a tremendous amount of data from ADOC and Tutwiler. Monitor Lancaster provided recommendations in the first court report and noted concerns at that time about the timeframes established in the settlement for the completion of the analysis and the
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implementation of the staffing plan. Revisions to the schedule were strongly recommended by the Monitor at the beginning, and project extensions were granted.
ADOC submitted the draft staffing analysis to the DOJ and the Monitor in Spring 2016. Both the DOJ and Monitor Lancaster offered comments on this draft in late June 2016. On August 16, 2016 ADOC sought clarification regarding some of DOJ's feedback.
During the December 2016 Compliance Visit, the DOJ asked the new Monitor to review the draft staffing plan and the DOJ's comments in an attempt to clarify all comments for ADOC's review and response. On January 30, 2017, Monitor Dennehy provided ADOC with extensive feedback.
The Monitor recognizes that a solid staffing analysis and plan is fundamentally important as a tool to determine the number and type of employees needed to staff Tutwiler. It is a dynamic document that examines the nature of the work to be done in terms of volume, location, and duration. A solid analysis of staff requirements will be instrumental in identifying the knowledge, skills and abilities needed for a gender responsive, trauma-informed Tutwiler workforce. This a complex and challenging task, complicated by position vacancies, a high rate of staff call outs and critical posts being filled by mandating overtime for officers. It is important to note, that at this juncture, there is no national model of this type of staffing plan. Given the complexity of this task, both the ADOC and the DOJ agreed that additional time was needed for ADOC to work through the DOJ and the Monitor's comments and finalize the plan, so Monitor Dennehy approved an extension to June 1, 2017.
The ADOC continued to work with the monitor and DOJ towards developing a
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final approved staffing analysis to ensure it effectively incorporates gender responsive principles required in the Settlement Agreement. The Monitor approved an additional extension to September 1, 2017 to allow ADOC sufficient time to review and respond to each recommendation made by the DOJ and the Monitor.
After the Monitor's June 2017 Compliance Visit, but before the filing of this report with the Court, the Deputy Commissioner of Women's Services approved the 84page staffing plan. On July 26, 2017, ADOC provided the DOJ and the Monitor a copy of the finalized staffing plan and a matrix of every comment and suggestion previously provided to the ADOC by the DOJ and the Monitor, with an explanation for what was modified and what was not included in the final plan approved by the ADOC.
The Monitor will review the staffing plan to carefully review ADOC's documented consideration of the Monitor and the DOJ's recommendations. During the upcoming review period, the Monitor will pay particular attention to those recommendations that were not incorporated into the staffing plan and the rationale behind these decisions. The Monitor will continue to work with ADOC and Tutwiler as they move forward to begin implementation of several key staffing analysis recommendations as documented on pages 36-38 of the staffing plan. The goal is for ADOC and Tutwiler to adopt staffing plan recommendations within three months of the approval of the final plan. ADOC and Tutwiler expect to adopt the new staffing plan by November 2017. ADOC has requested, and the Monitor has approved, an additional three-month extension to November 28, 2017 for the development of an implementation plan which the Monitor will review in conjunction with the staffing plan.
Going forward, the monitor recognizes that the staffing plan is evolving and will
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need to be revisited periodically as the facility schedule, programming changes and dorm reconfigurations are made to support critical changes to the gender responsive classification process. For example, the staffing plan should be updated to reflect the newly established eight-hour shifts and the monitor expects the ADOC and Tutwiler will submit these substantive revisions when made to the monitor and the DOJ for review. As such, the monitor also fully expects there may be a need for additional time beyond the current three month implementation phase.
The ADOC continues the practice of allowing officers from other ADOC facilities to work overtime or otherwise be temporarily assigned at Tutwiler only after those officers have been trained as required by the settlement agreement. The monitor cross-referenced staff training attendance records with the names of officers on overtime rosters to verify this requirement is being met.
Training Tutwiler’s training team began providing the required annual refresher training
regarding sexual abuse and sexual harassment in March 2017. The Tutwiler training team are qualified instructors as they had previously received specialized refresher facilitator training on custodial sexual abuse in September 2016 by the agency’s nationally recognized consultant. The facilitator's guide for the refresher training curriculum was reviewed and commented upon by the DOJ and the monitor, consistent with Section III.A.6 of the Agreement. Additional training on gender-responsive and trauma-informed use of force has been incorporated into the ongoing refresher training. As part of the refresher training, all staff were again expected to demonstrate proficiency through a
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post–testing process. As of July 29, 2017, Tutwiler staff, volunteers, and contracted employees, had all
completed the refresher training. The completion of the annual training was certified by Deputy Commissioner Williams and reported to the monitor and the DOJ on July 29, 2017. The monitor was very impressed with the documentation of staff attendance at training maintained by both Captain McClain and Lt. Young. These records are well organized and easily retrievable and demonstrate careful tracking of any pending attendance requirements.
The ADOC, and ADOC's contracted inmate health care providers, MHM and Corizon, also maintain excellent records documenting their staff's attendance at the required training.
During the June 2017 compliance visit, the monitor met a newly hired central office investigator, who had been hired after training specific to investigating sexual assault in custodial settings had been offered to the investigative staff. To date, however, she has not conducted any investigations at Tutwiler. Plans are in place for this new hire to attend the on-line training for investigators offered by the National Institute of Corrections, until which time she may attend the specialized investigator training.
Dorm A and Overcrowding Ongoing efforts to evaluate methods to decrease or eliminate use of Dorm A for a
period that exceeds 48 hours have been successful as demonstrated by both an overall reduced unit count and overall shorter stays in the unit. On June 26, 2017 while the monitor was touring the unit, 27 of the unit's 80 beds were filled. At the end of the day, the Dorm A count reduced to 10, a result of daily movement out of the unit. The monitor
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requested review of Dorm A's Receiving Log for the reporting period. During the month of April 2017, for example, the average length of stay in the unit was 7.1 days. The length of stay in the unit ranged from a low of 1 day to a high of 11 days. Of the 108 cases reviewed, only 36 inmates stayed in the unit for longer than 7 days.
The population numbers at Tutwiler have decreased because ADOC and Tutwiler executive staff worked closely with the Alabama Board of Pardon and Parole from May through November 2016 to create dockets of women inmates eligible for parole consideration. The on-going bed vacancies occurring as a result of these actions and the implementation of new parole guidelines have provided some relief for Tutwiler in housing placement options and staffing deployments. An overall population reduction has contributed to reducing Dorm A's average daily census.
Gender Responsive Risk/Needs Assessment, Classification and Programming A consultant, nationally known for her work with women inmates, was contracted
to work with the ADOC to develop a gender responsive classification system and assist Tutwiler in developing the programs necessary to address the women's needs. The ADOC forwarded the classification proposal to the monitor and the DOJ for review in May 2016.
An implementation workgroup was created and includes a cross section of key ADOC and Tutwiler staff members. The Women's Risk Needs Assessment (WRNA) and Women's Services Classification Manual were implemented on August 15, 2016, with the expectation that during a six month "pilot" program all the women at Tutwiler would have an assessment completed on them. The pilot program period was to end February 15, 2017. Following the pilot period, a two-year validation assessment will commence.
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This original timeframe was expected to yield Alabama Women's Risk Need Assessment validation results by March 28, 2019 when an assessment of compliance with the Agreement is due. As a result of the pace of implementation, the pilot end date had to be extended to August 2017. The pace of implementation was delayed as a result of several factors.
The primary reasons for a delay include the 1) lack of software automation to support WRNA, 2) time delays in hiring new positions required to assist with the implementation process, and 3) slower than expected pace of administering the WRNA to the Tutwiler population. After an exhaustive RFP process, the ADOC contracted with a technology company to create the software automation for WRNA. The company established a deliverable date for WRNA of July 2017. While the monitor was on site for the June 25-30, 2017 compliance visit, the software company was providing the necessary staff training. In addition, Tutwiler had nine new positions allocated and created, and as of June 30, 2017, all the positions had been filled. WRNA training sessions for new staff were conducted on February 21-23, 2017 and again on May 9-11, 2017. The pace of administering the WRNA accelerated under the leadership of the newly named acting classification supervisor. As of mid-July 2017 all the Tutwiler inmates had been classified using the WRNA.
The new classification system incorporates gender-responsive principles and addresses the needs of women inmates at Tutwiler including housing safety; mental health (depression/anxiety/psychosis); abuse and trauma; family conflict; relationship dysfunction; and parental stress. The system focuses on strength and resiliency factors including educational assets, family support, and self-efficacy. The use of “restricted
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status” for female inmates was abolished in September 2016 pursuant to the new classification system.
A gender responsive program committee was convened in October 2016 to research and develop a proposal for review by the Deputy Commissioner for Women's Services and the Associate Commissioner for Plans and Program. The contracted expert facilitated the committee's work. They focused on identifying and developing evidencebased programs that are gender specific and will be responsive to the programming needs identified by the WRNA. That proposal was finalized in April 2017, and forwarded to the DOJ and the monitor for review. The comments and suggestions from both were under review as of June 30, 2017 and the final proposal was forwarded to the monitor and the DOJ on July 31, 2017. Programming was selected based upon which programs addressed the women's identified needs, had research to support their use, and could be implemented within ADOC's facilities. If there were more than one program which fit this criteria, programs were selected based upon cost and ability to acquire any training needed by staff. Implementation of the programs will begin immediately following the finalization of the proposal.
Inmate Education The ADOC and Tutwiler completed their review of a revised inmate education
curriculum on December 30, 2016 and incorporated feedback from the monitor and the DOJ. This two-hour training module addresses PREA, inmate grievance procedures, and access to medical and mental health care. The revised curriculum was implemented in January 2017. Incoming inmates receive the comprehensive orientation education within
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14 days of admission to Tutwiler. The IPCM maintains comprehensive records of inmate attendance at these orientation sessions.
Additional staff training and inmate education on trauma informed principles was conducted in August 2016 and a copy of a Trauma Engagement – Peer Support Manual was provided to all inmates and staff at Tutwiler. The monitor requested and received a copy of the manual for review.
Inmates' Right to Privacy The monitor received no complaints from inmates of inappropriate cross gender
viewing or searching. Appropriate privacy panels and shower curtains were in use in the shower and bathroom areas in inmate housing units. The monitor witnessed several staff announce the presence of a male officer on the unit.
Inmate Polling The ADOC and Tutwiler established a system to routinely poll inmates regarding
their perceptions of the implementation of the specific terms of the settlement agreement including the prevalence of staff sexual abuse and sexual harassment; inmate vulnerability to sexual abuse and sexual harassment; the investigation and discipline of staff accused of sexual abuse and sexual harassment; the efficacy of inmate education regarding sexual abuse and sexual harassment; privacy in the showers and toilets; the appropriateness of inmate classification; the levels of staff supervision; the efficacy of the reporting systems for sexual abuse and sexual harassment including grievances; and official responses to and retaliation for, allegations of sexual abuse and sexual
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harassment. The initial inmate polling was conducted in July 2016, the Second Quarter Inmate Polling was held in October 2016, the Third Quarter survey was administered in January 2017 and the Fourth Quarter survey was administered on April 26-28, 2017.
The monitor was provided the Third Quarter Polling results prior to the June 2017 compliance visit. There are several positive developments. The women report positive perceptions of the investigative process and sufficient privacy in the showers and toilets, and there is a significant increase in the number of women who report feeling safe to report incidents. Over all, inmates report feeling safe from staff physical violence. However, there was an increase in the number of women who disagree that there is sufficient staffing for dorm safety. There was also an increase in both the number of women who do not have trust in the grievance system, and those who do not think they are properly classified. While inmates' perceptions of staff verbal abuse had improved compared to earlier surveys, nearly half of the women do not feel safe from staff verbal abuse. A significant number of women felt yelling and disrespectful comments made by staff had increased over the last three months. This observation is supported by the monitor's independent review of inmate grievances against officers who use vulgar, degrading, or racially insensitive or offensive language.
The ADOC and Tutwiler will be providing the monitor with the Fourth Quarter Polling results once compiled. The monitor will focus on reviewing the inmates' feedback about staff's use of abusive language.
Quality Improvement and Data Collection Quality Improvement monthly meetings began in August 2016 and will continue
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indefinitely. Meeting minutes were made available for the monitor's review. The ADOC and Tutwiler developed the Risk Management System (RMS) which
is designed to track facility trends related to: (1) sexual abuse or sexual harassment; (2) unprofessional staff conduct involving inmates, including sexually explicit, vulgar, or degrading language; and (3) use of force incidents. The monitor reviewed the RMS reports and can attest that the ADOC and Tutwiler staffs have already demonstrated good use of RMS data and the results of the inmate polling survey. Both instruments document that a small number of Tutwiler staff use abusive and profane language towards the inmate population that undermines efforts to build a gender responsive and trauma informed environment. In the Second and Third Compliance Reports, the monitors recognized the need for staff interventions regarding the requirements for using professional language while addressing inmates, Warden Wright developed an interim intervention plan to eliminate “the unprofessional staff conduct involving inmates, including sexually explicit, vulgar, degrading, or racially insensitive or offensive language”. The RMS documents 25 incidents involving abusive/unprofessional language during this reporting period. Each incident involving an allegation of the use of profane or abusive language was reviewed, tracked, and corrective action was taken. The monitor cross referenced supporting documentation to verify that action had been taken. Deputy Commissioner Williams and the monitor have discussed the need for Warden Wright to continue to aggressively investigate these allegations and to hold staff accountable using progressive discipline, increased supervision and re-training.
Data regarding the use of profane or abusive language by staff will be reviewed at upcoming Quality Improvement Meetings and the monitor looks forward to receiving an
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update from ADOC and Tutwiler's about their continuing efforts to eliminate the use of offensive and abusive language by staff.
Pursuant to the settlement agreement, on an annual basis, ADOC and Tutwiler shall conduct a documented review of the RMS to ensure that it has been effective in identifying concerns regarding policy, training, or the need for discipline. The RMS has now been in place for one year. ADOC and Tutwiler will be documenting their review and conclusions and providing them to the Monitor and the DOJ.
Sexual Abuse/Sexual Harassment Allegations The monitor met with Mr. Arnaldo Mercado, Director of the ADOC's
Investigation and Intelligence Division (I & I) and reviewed twelve completed sexual abuse and sexual harassment investigations that occurred during this reporting period. Ten cases involved allegations of staff-on-inmate sexual harassment and were determined to be unfounded as evidence did not support the allegation. Two investigations involved allegations of staff-on-inmate sexual abuse. One was determined to be unfounded. As for the remaining case, the portion of the allegation claiming staffon-inmate sexual harassment was unsubstantiated, but the portion of the allegation involving the staff member contacting a former inmate, who had since been paroled, via social media was substantiated. The matter was referred to Warden Wright and appropriate disciplinary action was taken on the employee.
The monitor reviewed three investigations involving allegations of inmate-oninmate sexual harassment. Two were unsubstantiated. The third involved a substantiated allegation of inmate-on-inmate sexual harassment, but there was not enough evidence to
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support a criminal charge. In each instance, the monitor determined the investigations had been conducted in accordance with AR 454 and SOP 8-12, Inmate Sexual Abuse and Sexual Harassment. In inmate focus groups and in individual, informal discussions with the monitor, the inmates expressed their confidence in Investigator Kelley Smith who conducts investigations into allegations of staff-on-inmate sexual abuse and sexual harassment as well as inmate on inmates sexual abuse, and the Institutional PREA Compliance Manager, Lt. Young who conducts investigations into inmate-on-inmate sexual harassment allegations.
The monitor reviewed the facility response to allegations and the management of the reporting inmates and alleged perpetrators. When appropriate, inmate housing and job assignments were adjusted to ensure the safety of all involved. Both staff and inmates were held accountable for their actions. In addition, Lt. Young closely documents her monitoring of any possible retaliation of those who report allegations.
The monitor notes there are multiple, effective means of reporting allegations of inmate sexual abuse and sexual harassment, including a grievance process and at least one confidential method. During this reporting period, a total of 737 grievances were filed. Of these, five grievances alleging sexual abuse or sexual harassment were submitted and investigated.
The inmates can use a toll free number to call the Alabama Coalition Against Rape (ACAR). The agreement between the ACAR and the ADOC is that all calls are confidential, per ACAR policy. The ACAR agreed to suggest/encourage the inmates to use the ADOC and Tutwiler methods of reporting, if their call was regarding an allegation of sexual abuse or sexual harassment. There is no requirement for the ACAR
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to report to the ADOC, so the number of calls for this reporting period is unknown. Third parties are permitted to assist inmates in filing requests for administrative
remedies for allegations of sexual abuse and sexual harassment and are permitted to file such request on behalf of inmates. If a third party files a grievance on behalf of an inmate and it relates to sexual abuse or sexual harassment, that report will be sent from the Institutional Grievance Officer to the ADOC PREA Director. If the grievance contains allegations of sexual abuse, or staff-on-inmate sexual harassment, the I&I division will investigate the allegations. If the grievance contains allegations of inmateon-inmate sexual harassment, the Institutional PREA Compliance Manager will investigate. No third party allegations were received during this reporting period.
The monitor reviewed the ADOC website link for the public regarding the ability to file a PREA report. It provides adequate instruction for the public's reporting use. During this reporting period, there were no PREA allegations reported via the website.
Inmates have at least one way to report abuse or harassment to a public or private entity or office that is not part of the agency, and that is able to receive and immediately forward inmate reports of sexual abuse and sexual harassment to agency officials. The ADOC entered into an agreement with the Alabama Department of Economic and Community Affairs (ADECA) to take these reports. Inmates may make a report by dialing #66 and this can be done anonymously. The monitor reviewed the call log for the entire reporting period to review the nature of each call and the ADOC's response. A total of 32 calls reporting an allegation of sexual abuse or sexual harassment were made during this reporting period. In each instance, the agency response was appropriate.
During the next compliance visit, the monitor will speak with representatives of
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ADECA and ACAR to confirm the full implementation of agreed upon procedures. Information on how to report sexual abuse or sexual harassment is widely posted
within the facility. In the Inmate Polling Survey, the women reported being knowledgeable about these reporting options. This knowledge is critically important to establishing and maintaining a facility culture of sexual safety.
Alabama Strengths The monitor believes Alabama has a strong foundation for continued progress in
reaching all of the goals outlined and compliance terms required in the settlement agreement. That strong foundation is a result of the following organizational strengths.
Leadership from the Alabama Department of Correction The monitor observed that Commissioner Dunn continues to provide the agency
leadership for his staff and Tutwiler, directing and supporting successful implementation of the settlement agreement. In particular, ADOC central office leadership has played an important role working with Alabama's Parole Board to reduce the average daily count at Tutwiler by identifying appropriate candidates for release on parole. In addition, Commissioner Dunn is strategically focused on developing the capacity of agency and facility leadership as a means to sustain and advance the progress made to date. Tutwiler's leadership team is currently participating in a leadership development program. The monitor was advised by Deputy Commissioner Matt Brand (Training and Development) that a regional training center dedicated for the training of line staff working in the women’s facilities is being created in recognition of the gender-specific training agenda and curricula necessary for staff who work with women inmates.
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The monitor works closely with Deputy Commissioner Williams who oversees the ADOC's Women's Services Division. Dr. Williams communicates regularly with the monitor regarding any developments of note occurring at Tutwiler relevant to the settlement's requirements. The monitor and the DOJ commend Deputy Commissioner Williams for her consistent and thoughtful leadership, actions taken and support given to the warden and staff at Tutwiler. She is the pivotal leader for the ADOC in managing their compliance with this settlement agreement.
In addition to Commissioner Dunn and Deputy Commissioner Williams, in interviews with the monitor, ADOC central office consistently demonstrated working knowledge of their settlement related responsibilities.
Tutwiler Leadership The monitor continued to observe outstanding leadership by the facility wardens
and the executive team at Tutwiler during this reporting period. The Institutional PREA Compliance Manager, Lieutenant Young, performed her responsibilities consistently and documented all of her required responsibilities. Feedback from the inmates about Lieutenant Young’s performance was overwhelmingly positive. She has the respect and trust of the inmate population. She has earned a reputation for being professional, holding people accountable and being respectful and responsive to inmates' needs. The monitor was repeatedly told by inmates that Lt. Young follows up on her interactions with them, which the inmates appreciate, even when they don’t receive their desired outcome. The Tutwiler leadership team's actions are well documented throughout this monitoring report.
During this monitoring visit, Warden Wright provided an opening presentation to
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the monitor, toured the facility, participated in both formal and informal discussions with the monitor and demonstrated her leadership at Tutwiler during observed interactions with staff and inmates. During this reporting period, Warden Wright, along with members of her executive staff attended a leadership development program. Warden Wright's professional development was apparent to the monitor as was that of other members of Tutwiler's management team. In addition, the monitor witnessed respectful teamwork among the Tutwiler management team, characterized by mutual respect and the joint commitment to their professional goals.
The monitor observed the dedication and commitment of supervisors and line staff at Tutwiler to follow policies to ensure sexual safety, in spite of staffing challenges, such as the number of vacancies.
ADOC Consultants The ADOC and Tutwiler continued to draw on and benefit from consultants'
expertise in several specific areas. Specifically, expert consultants have participated with the ADOC in the development of the gender based classification plan, the draft staffing analysis, the inmate polling/survey process, data collection, the gender responsive review of draft policies and the provision of staff training and inmate education.
ADOC Strategic Planning Committee The ADOC continued to meet and use the previously established Strategic
Planning Committee to review and guide their efforts for creating sustainability models/practices/tools for their operations, future plans and mission for women offenders in Alabama.
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Tutwiler Culture In the last report to the court, the monitor noted a positive culture for change at
Tutwiler. This culture continues in general, amid the staffing challenges. Staff and inmates respect the settlement-related policies and practices and are knowledgeable about them. Most importantly, during formal interviews and informal conversations with the monitor, the women say they trust that leadership will act in their behalf if an incident of sexual abuse or sexual harassment occurs.
Alabama Challenges Tutwiler Facility
The monitor continues to note the challenges that the prison's aging infrastructure presents for leadership. Specifically, options for program space, medical and mental health screening and treatment, housing placements, and the day room areas are severely limited by the old design, aging infrastructure and overcrowding. The physical plant also impacts staffing requirements as it has a direct bearing on operations and the location of officer posts. The physical plant is sprawling and some housing and program areas are isolated, and poorly lit, impacting the number of posts and staff needed to support safe and secure operations.
As previously reported, former Governor Bentley and ADOC presented a comprehensive bond proposal for a construction package of prison building reforms in the last legislative session. "The Alabama Prison Transformation Initiative" included a request to build a new facility to replace Tutwiler. On April 10, 2017, after Governor Bentley's resignation, then Lt. Governor Ivy assumed the role of Governor. The
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legislative initiative is still evolving and the new governor has expressed support of this initiative. Commissioner Dunn is a strong advocate for the construction package. The monitor hopes this initiative will address the needs of the women as well as the male prison population.
Population Capacity Tutwiler's original design had an operating capacity of 350 and the annex was
rated at 128. The daily count has historically been nearly double the facility's original capacity. Currently, the operational capacity is 700 for the main campus and 250 at the annex. On June 26, 2017, Tutwiler's total inmate population count was 823, with 19 additional women out to court. At main Tutwiler, 578 beds were filled and 122 beds were vacant. At Tutwiler's annex, 245 beds were filled and 5 beds were empty. Overall, the population numbers at Tutwiler have decreased due to the parole review previously described and these bed vacancies can provide more options for Tutwiler in inmate housing and staffing deployments.
While the population reduction has provided relief for Dorm A, the overall level of chronic population overcrowding continues to present challenges. The future plans, and settlement requirement for a gender based classification system at Tutwiler will be impacted by the overcrowding issues at Tutwiler. Specifically, plans will require the development of various housing options for separating groups of inmates, via the classification review process, that will be difficult to maintain as bed space must be allocated according to new placement criteria. In addition, the classification system will prescribe a number of program offerings that should be available for the inmates, based on a needs assessment. Currently, the space available for inmate programming is very
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limited. The staff have been creative and have converted and renovated every space possible to provide additional room for expanded programming.
Staffing Challenges-Overall Vacancies and Recruitment and Retention of Women The monitor notes that the chronic, ongoing number of staff vacancies at Tutwiler
presents a serious concern for leadership, staff and inmates, and impacts the safety and security of the facility. In the first court report, the monitor noted a vacancy rate of almost 50% of authorized, funded positions. The recruitment and retention problems that lead to the high vacancy rate have continued. At the end of calendar year 2016, correction officers were at 41.8% staffing level and correctional supervisors were at 89.1% staffing level. In comparison, the non-uniform staff was at 55.8 % staffing level. As of June 30, 2017, correction officers were at 38% staffing level and supervisors were at 95% staffing level. The non-uniform staff was at 55%. To ensure adequate staff to fill key posts, Tutwiler leadership implemented a mandatory overtime policy at the end of 2016 to address critical vacancies because key posts must be staffed. Tutwiler relies on mandatory overtime to maintain functions. Correction officers, especially single parents, face challenges balancing family obligations with unscheduled, forced overtime demands. This can lead to an increase in staff members "calling out" sick as a means to obtain the needed time off.
Previously, the monitors have reported that this mandated overtime policy has caused stress and concern among the officers interviewed by the monitors during compliance visits. This situation continues to be an area of deep concern for staff, and according to staff interviewed during this and prior monitoring visits, it is adversely impacting staff morale. During many of the monitor's interviews, uniformed security staff
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expressed concern about the impact of staff shortages, overtime and staff scheduling on staff morale. While some staff members like a 12-hour shift schedule, others find it problematic. During the last reporting period, the monitor had been advised that working mothers cannot leave their young children in daycare in the State of Alabama in excess of ten hours a day. The monitor and Deputy Commissioner Williams discussed the negative impact this has on the recruitment, hiring and retention of women. The monitor recommended full exploration of the impact of 12 hour shifts on single parents with child care needs. The monitor urged the ADOC and Tutwiler to review options for a more creative mix of 8 and 12 -hour shifts to accommodate various staff needs.
On April 20, 2017, Warden Wright submitted a proposal to the Deputy Commissioner for Women’s Services outlining the justification for transitioning Tutwiler law enforcement staff from 12-hour shifts to 8 hour shifts. The proposal included the justification for the change, the implementation and transition process, and sample schedules for every shift before and after the change to 8-hour shifts. A decision was made to transition to the 8-hour shifts effective June 3, 2017. This change is reportedly having a positive effect on attendance and is also reducing the need for forced overtime. Since changing from twelve hour shifts to eight hours shifts, Warden Wright reports improved staff attendance, fewer "call- outs" , and a reduced need for forced overtime. If this proves to be a trend, this is very a positive development.
The settlement requires the development of a professional staffing analysis (C.2), and for a plan to be presented to the ADOC and Tutwiler. The monitor has already discussed this analysis and draft plan in detail earlier in this report. The consultant's draft report noted the current vacancy rate impacts their ability to produce a staffing plan.
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Overall, recruitment and retention of women correction officer trainees remain a concern. The recruitment and hiring data underscore a system-wide issue with the application of the APOSTC physical standards to women candidates. Commissioner Dunn took an important first step in his outreach to the Alabama Peace Officers' Standards and Training Commission (Commission) by requesting them to consider a request to modify the administration of the Commission's Physical Agility/Ability Test (PAAT) academy training requirements for State Corrections Officer applicants. It is encouraging that the Commission approved the Commissioner’s request to modify the administration of the PAAT which became effective January 2017. More importantly, the monitor notes the Commission is currently contractually engaged with Auburn University at Montgomery (AUM) for the review of the PAAT validation study and test data and understands the AUM representative, along with Commission agents, will be monitoring the academy PAAT of State Corrections Officer applicants and will be recording any data deemed necessary by AUM. To the extent the ADOC can help shape AUM's review, they should be encouraged to review the physical training standards set for correction officers in other states/jurisdictions and gather information about Academy training standards, broken down by gender, as it relates to bono fide occupational qualifications for correction officers.
The new APOSTC rules push the last PAAT attempt from the first week of the Academy training to week eight of the program. Because the PAAT has been moved to the end of the Academy, the ADOC has discontinued the physical fitness assessments that were conducted on all correctional officer trainees during their pre-Academy assignment. The basic training academy Class 17-01, which began in February 2017, was
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the first class to enter the academy under the new APOSTC rules regarding the physical agility/ability requirements. This change has already produced some June 2017 promising results. The trainees who could not pass the PAAT in week one, including one of the women, all passed the test by week eight and all successfully graduated the Academy in May. This is the first time in recent memory that no one, male or female, was removed from the basic training course for a PAA failure.
The monitor discussed these chronic staffing issues with Deputy Commissioner Brand, Deputy Commissioner Williams and Director Lawley. Deputy Commissioner Matt Brand continues to assess the correctional officer training and hiring processes, in addition to the physical fitness screening processes already discussed. Captain Mark Loman continues in the role of Recruiting Unit director for the ADOC, working directly for Deputy Commissioner Brand. The monitor urged that the ADOC explore every available method of enhancing hiring and retention at Tutwiler, even though it is noted that the ADOC has continued to use its resources addressing this chronic issue statewide in its prisons.
The monitor recommends the development of a plan, specifically for the recruitment and retention of women, that engages ADOC employees as recruiters within their communities.
Logistics
Compliance Visit The purpose of this June 2017 compliance visit was for the monitor to acquire
information and observations to inform the fourth court compliance report. The monitor
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and Deputy Commissioner Williams worked together to finalize the tour agenda and interview schedule.
Introductory Meeting /Presentation by Warden Wright Warden Wright provided an overview of progress made at the facility to the
monitor at an opening meeting attended by Deputy Commissioner Williams and key members of Warden Wright's management team.
Compliance Visit Interviews Throughout the week, the monitor held individual meetings and had multiple
interactions with the following executive leadership and supervisory staff, including: Alabama Department of Correction • ADOC Commissioner Jefferson Dunn • Dr. Wendy Williams, Deputy Commissioner for Women's Services • Matt Brand, Deputy Commissioner for Training and Development • William Lawley, ADOC Personnel Director • Anne Hill, ADOC General Counsel • Mary Coleman-Butler , ADOC Counsel • Arnaldo Mercado, Director of ADOC's Investigations and Intelligence Division (I & I) • Kelley Smith, I&I's Tutwiler investigator Tutwiler Prison for Women • Deidra Wright, Warden II
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• Adrienne Givens, Warden I • Captain LaGreta McClain, Settlement Compliance Manager • Lieutenant Yvette Young, Institutional PREA Compliance Manager • Lieutenant Brian Coleman, Institutional Grievance Coordinator • Lynda Jackson, Tutwiler Corizon (medical contract) Director of Nursing • Constance Johnson, Tutwiler Corizon (medical contract) Health Service
Administrator • Ms. Felicia Greer, Tutwiler MHM Mental Health Site Administrator • Dr. Scott Holmes, Tutwiler Psychological Associate • Jeffrey Burt, Acting Classification Supervisor • Sgt. Emily Abbott, Segregation Supervisor • Tina Tyler, Equal Opportunity Officer The monitor also selected line staff members from each shift for individual interviews. These staff members were diverse in race and gender. In general, the monitor asked about their awareness of the PREA reporting structure, investigations, the inmate grievance system and their recent PREA and gender responsive training, occurring this reporting period. All were interested in discussing staffing challenges and workforce morale. These concerns are addressed in the ADOC challenges section of this report. The monitor selected 15 inmates, from various housing dorms, for two separate focus groups. The monitor used a set of questions regarding their knowledge of PREA policies, reporting of allegations, the grievance system, staff/inmate professional relationships, and the availability of reporting allegations through various phone lines. The women discussed incidents they observed of unprofessional conduct, their use of the
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grievance system, impressions of the classification system and their overall feeling of safety at Tutwiler. Their responses are documented in the monitor discussion in various sections of the compliance report. Four topics were repeatedly raised by several of the women. They complained of a small group of officers using vulgar, degrading, or racially insensitive or offensive language. In contrast, when asked to identify officers they felt were professional, the women could easily name many staff members and expressed appreciation for the manner in which they go about their duties. They also complained about access to medical and dental care and delays in the provision of medical treatment. This feedback was in stark contrast to the opinions of some chronically ill women who live in the Assisted Living Unit located off the infirmary. Many of the residents of that unit offered positive feedback about medical services. In the focus groups, the women expressed a great deal of frustration over the lack of consistency in practice between shift officers, especially in the housing units. The women in the focus groups expressed a perception that racism was an issue and that officers treated inmates differently based upon race. The majority of the prison staff is African American and the majority of the inmate population is Caucasian. The women claim that African American inmates get preferential treatment. The monitor recognizes these issues are deeply embedded in culture. On a positive note, the women acknowledge positive changes at Tutwiler. While touring, one inmate who has historically been very vocal in her criticism of the ADOC and Tutwiler stopped the monitor to enthusiastically acknowledge the progress being made at Tutwiler in many key areas. The monitor debriefed these group discussions with the executive leadership group.
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Facility Tours During the tour of the facility on the first day of the compliance visit, the monitor
noted improvements to the physical plant. The management team has creatively repurposed or rehabbed every space possible to be used as program space. As programming options for the women expand, leadership will be challenged to maximize the use of available, appropriate space.
In each housing unit, the monitor noted the prominent posting of notices and information for inmates, including: a PREA Hotline notice, notice of a victim support line, PREA education materials, principles of gender responsive programming for women, and grievance and appeal forms.
Throughout the tour, ADOC and Tutwiler staff afforded the monitor the time, space and many opportunities to engage in private conversations with both staff and inmates in housing and program units. Staff consistently demonstrated knowledge of sexual safety and their individual roles and responsibilities in this area. Generally, the inmates acknowledged and expressed appreciation for the many positive changes at the facility. Feedback from the long termers, in particular, underscored that many women feel much safer at Tutwiler today.
Appreciating that the institutional climate and culture can be different shift to shift, the monitor and Dr. Williams conducted an unannounced night visit to the facility for the purpose of observing operations during the evening shift when top facility leadership are generally not on site.
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During the June site visit, the monitor also visited: • the Annex • dorm A, and had individual discussions with many inmates • various other housing units, including the Mental Health Unit • death row, and had an opportunity to meet with these women and discuss
their individual awareness of policies addressing sexual abuse and sexual harassment how to report allegations, and the use of the grievance system • the segregation unit and talked with all the inmates housed there • the stabilization unit and spoke with all the inmates housed there • housing areas and spoke with inmates housed there • the infirmary, clinic area and Assisted Living Unit • shift commander’s office • many administrative offices • program space and • observed the video operations in the camera room and discussed the operation with the operator on duty. Work on the youthful offender trailer was completed on October 20, 2016 making it ready for occupancy and providing designated placement for this specialized population. However, Tutwiler did not receive any youthful offenders during this reporting period, so this unit was vacant during the monitor’s June 2017 visit.
Document Review In addition to the interviews and discussions with staff and the tours of Tutwiler,
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the monitor reviewed a wide variety of documents, correspondence, records and staff reports. These documents are listed in the "Measures of Compliance" box in the audit tool for each section. The monitor reviewed most of these documents prior to her visit, and reviewed some documents on-site during the visit. In addition, the monitor made additional follow-up requests for documents and these were sent to her after the visit. Attachment A to this report lists documents reviewed by the monitor prior to, during, and after the compliance visit.
The monitor showed various documents to staff during the interviews, for their authentication and comment. The monitor also reviewed multiple documents maintained by Captain McClain, Lt. Young, and Lt. Coleman while conducting formal interviews with them. The monitor recognizes the time and commitment these individuals expend to maintain the level of detailed documentation required to demonstrate compliance. The ADOC and Tutwiler team continues to maintain impressive records.
The monitor referred to specific documents for each set of requirements in the audit tool report, in the monitors' discussion of ADOC compliance with the section.
Exit Debriefing with ADOC Leadership The monitor and Deputy Commissioner Williams had debriefed each day of the
compliance visit, so Deputy Commissioner Williams and the monitor agreed a formal exit meeting was not needed during this visit, as all major issues had already been identified and discussed.
Monitoring Tool The parties had previously agreed on a "monitoring tool" format for each of the
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settlement provisions and their subsections. The front page of each provision in the tool includes both the specific requirements for that section and the dates for the ADOC's compliance. The settlement provides, for most requirements, that the ADOC: create a policy; train staff in that policy; and implement the policy in the regular activities at Tutwiler and the ADOC. Specifically, an approved ADOC policy must first be published for operational practice in a facility. At Tutwiler, the facility will develop a written "Standard Operating Procedure" (SOP) to apply the ADOC policy to direct specific operational practices at the prison. The second step is to train all staff subject to the policy and SOP using an approved training curriculum. The third step is to then implement these policies and SOP's in the actual practice of the directives at the facility.
The monitor evaluated each section and its specific requirements through interviews with inmates and ADOC and Tutwiler staff; document review; facility tours; on-site observations (orientation, dorm activities, inmate movement, camera room operations); communication with the parties through calls and emails; and a review of the first, second and third Compliance Reports. The monitor documents her findings for each section in the report’s “Monitor's Discussion” and chooses the rating corresponding to her assessment of the ADOC and Tutwiler's level of compliance. Prior to conducting the very first monitoring visit, initial Monitor Jennie Lancaster had established the "Measures of Compliance" for each provision and identified the documents and interviews to be used to assess compliance. The ADOC submitted the documents prior to the visit, and drafted an interview agenda and touring schedule for the monitoring visit. During the transition of monitoring responsibilities from Ms. Lancaster to Ms. Dennehy in August 2016, Monitor Dennehy committed to using the same process, measures and documents,
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but reserves the option to revisit and amend these measures to facilitate monitoring going forward.
The monitor completed this report and the monitoring tool through the following actions:
1) Examining the settlement agreement, its provisions, and the specific requirements listed in the monitoring tool.
2) Requesting and examining specific documents to identify and assess the extent of the ADOC and Tutwiler actions in response to the agreement requirements. Examples include: ADOC policies and Tutwiler standard operating procedures; training curricula; staff rosters for training; staff reports and spreadsheets to document actions; inmate grievances; and meeting minutes.
3) Selecting specific ADOC and Tutwiler staff for compliance interviews based on the individual’s overall and direct responsibilities for settlement implementation.
4) Conducting interviews with selected line staff to obtain feedback and perspective on Tutwiler activities and practices related to the settlement terms and requirements.
5) Conducting focus groups and individual interviews with selected inmates to obtain feedback and perspective on Tutwiler activities and practices related to the settlement terms and requirements.
6) Engaging in spontaneous, private conversations with both staff and inmates in housing and program areas during monitoring visits.
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7) Reviewing letters submitted confidentially to the monitor from inmates and conducting interviews with five inmates to follow-up on issues raised in their correspondence received by the monitor.
8) Using routine communication with the parties, prior to, during, and after the visit to ask for more information or clarification regarding the settlement, its terms and requirements and determinations of compliance.
9) The monitor sent the first draft report to both parties on July 26, 2017. The agreement allows for a two-week period of review by both parties. The monitor received comments from the DOJ and the ADOC and reviewed the comments of both parties, in each section, and took them into consideration in her final revisions to the report.
10) The monitor will submit the completed set of audit tool report, the narrative summary and attachments, to the court by August 28, 2017.
Summary of Compliance
"Compliance" is discussed throughout the agreement and this report in the following terms: substantial compliance, partial compliance, and non-compliance. "Substantial Compliance" indicates that the ADOC and Tutwiler have achieved material compliance with most or all components of the relevant provision of the settlement agreement. "Partial Compliance" indicates that the ADOC and Tutwiler have achieved material compliance on some of the components of the relevant provision of the settlement agreement, but significant work remains. "Noncompliance" indicates that the ADOC and Tutwiler have not met most or all of the components of the relevant provision
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of the settlement agreement. "Material Compliance" requires that, for each provision, the ADOC and Tutwiler have developed and implemented a policy incorporating the requirement, trained relevant personnel on the policy, and relevant personnel are complying with the requirement in actual practice.
Closing Observations
The monitor appreciates the high level of cooperation she received from all parties during the monitor compliance visit. The monitor also appreciates the level of cooperation and responsiveness of the ADOC and Tutwiler staff during this entire reporting period. The monitor made requests for documents or information and they were always processed in a thorough and timely manner.
The monitor sees continued progress by the ADOC and Tutwiler and is impressed by leadership's passionate commitment to fully implement the settlement and evidencebased gender specific practices at Tutwiler. Leadership also demonstrates a commitment to quality improvement. The monitor recognizes the time and commitment needed to maintain the level of detailed documentation required to demonstrate compliance. The ADOC and Tutwiler team continues to maintain impressive records. More importantly, leadership is using this information and data to monitor and improve practice and create a culture at Tutwiler that reflects awareness of policies designed to address sexual abuse and sexual harassment, with the inmates respecting the accountability practices demonstrated by the leadership and staff, in general.
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Attachment A: List of Documents Used for Compliance Report
Monitor note: the monitor also reviewed some documents, not listed below, that were received/reviewed for the compilation of the first, second and third court reports.
• Inmate Survey and Polling Plan • First Quarter Inmate Survey Results • Second Quarter Inmate survey Results • Third Quarter Inmate Survey Results • Tutwiler PREA Incident Review Committee reports, January - June 2017 • An Incident Review Committee report for an April 2017 investigation of
unsubstantiated allegations of inmate-on-inmate sexual abuse
• Tutwiler Risk Management System spreadsheet, January - June 2017 • Risk Management System Summary • Quarterly Risk Management System Data Review • Spreadsheet of Staff Identified in Risk Management System -Corrective Action
Taken • Log of unannounced rounds by supervisors
• Monthly Grievances for January-June 2017 • Tutwiler's Institutional Grievance Log for January-June 2017
• Tutwiler spreadsheets documenting inmate disciplinary infractions, January-June 2017
• Gender Responsive Classification Policy • ADOC Women's Services Classification Instruction Manual (draft) • Tutwiler PREA risk factors checklists • Tutwiler PREA risk re-assessments checklists(30-day reassessment) • Tutwiler ADOC mental health referrals to MHM for PREA assessments • Tutwiler mental health treatment notes for initial PREA assessments • Spreadsheets/logs for the classification checklists • Update on progress of the pilot administration of the WRNA and any data collected. • WRNA Validation Committee’s agenda, notes, and PPT
• Dorm A inmate movement sheets • Dorm A Receiving Log • Dorm A quarterly workgroup meeting minutes • Dorm Representatives Meeting Minutes • Tutwiler Bed Count Roster for June 26, 2017
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• ADOC's Classification PREA risk referral log
• Corizon new employee orientation Manual • Corizon new Staff Orientation "On-boarding" training curriculum and manual • Corizon staff training records, including post tests for oldest and newest
employees.
• MHM PREA policy • MHM staff training records • MHM's CQI Management Occurrence Report • MHM's evaluations of sexual abuse allegations. • MHM's staff meeting minutes • MHM's PREA sexual assault allegations log • MHM's PREA inmate evaluation log • MHM's inmate grievance log, January-June 2017 • Tutwiler ADOC and MHM mental health staff meetings minutes -January to June
2017 • Tutwiler Classification PREA Risk Referral Log
• Draft Administrative Regulation 637-Gender Dysphoria Disorder • Minutes to Gender Identify Committee Review Meeting
• Completed and published PREA audit, May 2016
• Communications log maintained by Lt. Young, regarding calls, emails, etc. with ADOC PREA Coordinator Vincent
• ADOC PREA Coordinator Vincent's communication log • Bi-monthly PREA reports from Lt. Young to ADOC PREA Coordinator Vincent
• PREA #66 hotline calls log, maintained by Lt. Young, January-June 2017 • Monthly spreadsheet of calls made to ADECA • Notification to inmate population regarding availability of hotline
• Copies of Random Inmate Interviews conducted by Lt. Young to monitor reporting culture for January-June 2017
• Training rosters maintained by Lt. Young for January-June 2017
• PREA training documentation for the private transport security staff • Training documentation for Tutwiler staff, contractors, volunteers, overtime staff
in SOPs • Draft PREA & Gender Responsive Refresher Training Facilitator Guide • PowerPoint for Ms. Vincent's PREA staff training program for Institutional PREA
Compliance Managers, January 2017
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• Randomly selected training evaluations from Tutwiler staff attending the required PREA (SOP 8-12) and gender responsive training
• Log of Pregnant Inmate Intakes maintained by Institutional PREA Compliance Manager
• Pregnant Inmate Intakes Statements maintained by Institutional PREA Compliance Manager
• Tutwiler "inmate on inmate harassment" allegation investigations, completed by Lt Young, January-June 2017
• Tutwiler inmate education session attendance logs January-June 2017. • Final Inmate Orientation Guide • Certification of completion of inmate education on the new Women's Services
Classification Manual • Engaging Women in Trauma-informed Peer Support: A Guidebook
• Copies of Gender Responsive Women's Programs Work Group agenda, notes and PowerPoint presentation
• Tutwiler camera room surveillance logs, January-June 2017 • Tutwiler annual assessment of the camera operations - November 2016
• Tutwiler Gender Responsive Staffing Analysis and plan, draft • Tutwiler staffing updates for January-June 2017
• Tutwiler staff discipline: January-June 2017 • Abusive and Profane Language Intervention Plan - September 2016
• Tutwiler shift duty rosters (noting overtime staff) for February - April, 2016 • Tutwiler list of currently approved overtime employees • Periodic Staff Overtime Reports • Social Service Caseworker lateral transfer announcement approving the filling of
positions • Randomly selected Tutwiler shift dorm assignment logs
• Correctional Officer Trainee, "Physical Fitness training "assessments/ reports, January-June 2017
• ADOC reports for the staff physical fitness exams results, from the academy, for January-June 2017, broken down by gender
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Case 2:15-cv-00368-MHT-TFM Document 27-1 Filed 08/25/17 Page 45 of 55 • Inmate correspondence received by the monitor in the reporting period • The 12 PREA investigations, completed by ADOC I+I, from January-June 2017 • Curriculum for the specialized "investigator " training , occurring for ADOC I+I in July 2016
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Attachment B: List of Tutwiler’s Standard Operating Procedures (SOPs)
This is a listing of all of the ADOC and Tutwiler policies provided to the monitors to date. During the previous reporting period, the initial monitor received and reviewed 63 new and revised SOP's for Tutwiler. The monitor reviewed the drafts, provided comments on each to ADOC and received the final ADOC published copies.

SOP 1-1 4-1 4-2 4-3 4-4 4-5 5-00 5-01 5-02 5-03 5-04 5-05 5-06 5-07 5-08 5-09 5-10 5-11 5-12 5-14 5-18 5-20 5-21 5-22 5-23 6-2 6-4 6-6 6-9 6-11 6-12 7-3

TITLE Mission Warden III Assistant Wardens, Warden II & Warden I Correctional Captains Lieutenants & Sergeants - Shift Supervisors Correctional Officers & Trainees Dormitory Security SOP Dormitory A Post Order Dormitory B Post Order Dormitory C Post Order Dormitory D Post Order (Health Care Unit) Dormitory F Post Order Dormitory G & J Post Order (South Hall II) Dormitory I Post Order (South Hall III Dormitory K&M Post Order (Death Row) (South Hall I) Dormitory L Post Order (Segregation Unit) Dormitory H Post Order (Mental Health Unit) Dormitory N / O Post Order (Annex) Annex Back Gate Post Order Tutwiler Back Gate Post Order Sewing Factory Post Order Trade School Security Post Order Kitchen Officer and Chief Steward Post Order Laundry Post Order Gender Specific Posts Referrals to Mental Health Services Reception Mental Health Screening Crisis Intervention Mental Health Observation and Suicide Watch Procedures Closed Residential Treatment Unit (CRTU) Mental Health Unit Dormitory H Stabilization Institutional Security, Sanitation, & Safety Inspections

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SOP 7-7 7-8 7-9 7-10 7-12 7-14 7-17 7-19 7-20 7-29 8-1 8-3 8-5 8-12 8-13 8-14 8-17 8-18 8-19 8-22 8-23 8-24 8-27 8-28 8-29 8-30 8-31 9-5 9-6 9-7 9-9 9-16 11-1

TITLE Searches Use of Force Inmate Count Procedures Emergency Medical Treatment Evacuation of Inmates in Specialized Housing Inmate Pregnancy Security Threat Groups Inmate Visitation Privileges Aid to Inmate Mothers Visitation Criteria Employee / Inmate Relationships Reception and Orientation: Receiving Rules Inmate Transports Controlled Movement Inmate Sexual Abuse and Sexual Harassment Inmate Control Systems (ICS) Inmate Personal Property Tutwiler Inmate Photographs Inmate Drug Screening Youthful Inmates Inmate Grievance Procedures Administrative Segregation Disciplinary Segregation-draft Hygiene Item Issuance Death Row Unit-M LGBTI Inmate Population Inmate Disciplinary Policy Hair Grooming Overtime / Mandatory Overtime Work Staffing Plan Private Transportation Security Agents Employee Standards of Conduct & Discipline Institutional PREA Compliance Manager Data Collection and Quality Improvement

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Attachment C: Summary of Compliance
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Requirement CSoubmsptliaantnicale CoPmaprltiiaalnce ComNpolina-nce
N/A

Case 2:15-cv-00368-MHT-TFM Document 27-1 Filed 08/25/17 Page 49 of 55 - 49 -

Description

III.A. GENERAL POLICIES AND PROCEDURES
ADOC and Tutwiler shall comply with all provisions of PREA.

ADOC and Tutwiler shall continue to comply with the ADOC’s written policies and procedures mandating zero tolerance

A.1

toward all forms of sexual abuse and sexual harassment.

x

This agreement takes precedence over any ADOC and/or Tutwiler policy governing the operation of Tutwiler that may conflict

with this agreement.

Shall develop; submit to the Monitor and DOJ for review consistent with III.A.6; and Implement policies and procedures

A.2

regarding the management of lesbian, gay, bisexual, transgender, intersex, and gender nonconforming inmates. The policy shall emphasize the rights of lesbian, gay, bisexual, transgender, intersex, gender nonconforming and gender dysphoric

x

inmates to a safe, non-discriminatory and respectful environment.

Continue to comply with ensuring women receive essential supplies, including hygiene and feminine hygiene products,

A.3

tampons and pads; linens; and uniforms by making them available on a monthly basis or more frequently as needed. The policy will continue to require the tracking and distribution of these products. ADOC and Tutwiler will continue to ensure that

x

both tampons and sanitary pads are readily available, free of charge, to Tutwiler inmates.

A.4

Shall develop and implement policies and procedures that incorporate gender-responsive strategies, including policies and procedures governing the use of force against women inmates and discipline of women inmates

x

Shall continue to develop, submit to the Monitor and DOJ for review consistent with III.A.6, and implement facility-specific

A.5

policies and operational practices specific to Tutwiler’s population regarding the supervision and monitoring necessary to

x

prevent inmates from being exposed to unreasonable risk of harm from sexual abuse and harassment.

III.B. CAMERA MANAGEMENT

B.1

Camera management policies and procedures will remain in effect at Tutwiler

x

B.2

Camera management policies and procedures, including the locations where cameras have been placed, will be reviewed at least annually to ensure they are serving their goal of maximum supervision.

x

III.C. STAFFING

C.1(i)

ADOC and Tutwiler shall continue to develop, submit to the monitor and DOJ to assess for compliance with this agreement and implement its plan to recruit women correctional officers at Tutwiler

x

C.2

In order to address low staffing levels and the need for more women officers, ADOC and Tutwiler shall ensure that correctional staffing and supervision is sufficient to adequately supervise inmates and staff and allow for the safe operation of Tutwiler.

x

III.D. TRAINING

D.1

ADOC and Tutwiler shall train all staff who may have contact with inmates with the following:

x

D.2

Within six months of the Effective Date, all staff shall have received training as set out in Section III.D.1

x

D.3

ADOC and Tutwiler shall provide annual refresher training to all staff

x

D.4

The Monitor will work with ADOC and Tutwiler in drafting new training materials and/or revising current training materials set out in III.D.1 and III.D.3

x

D.5

ADOC shall certify and document to Tutwiler’s PREA Compliance Manager, the Department-wide PREA Coordinator, the Monitor, and DOJ, that all staff have been trained

x

III.E INMATE EDUCATION

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Description

(Inmate Education: Intake)

1. ADOD and Tutwiler shall ensure that, during the intake process, all inmates receive information regarding the following

(listed below):

3. Current Tutwiler inmates will receive the information and education described in III.E.1 within three months of the Effective

E.1,3,6,7

Date (by August 28, 2015). 6. Consistent with current policy, ADOC and Tutwiler shall ensure that the information outlined in III.E.1 is conveyed and made

x

available in formats accessible to all inmates, including those who are limited English proficient, deaf, visually impaired, or

otherwise disabled as well as to inmates who have limited reading skills.

7. ADOC and Tutwiler shall provide the Monitor and DOJ for their review consistent with Section III.A.6 any materials or

curriculum utilized to satisfy the requirements of III.E.1

(Inmate Education: Comprehensive)

2. Within 14 days of intake, ADOC and Tutwiler shall provide comprehensive orientation education to inmates either

conducted in-person or through a video presented by an in-person facilitator regarding their rights to be free from sexual

abuse and sexual harassment and to be free from retaliation for reporting such incidents, and regarding their policies and

procedures for responding to such incidents.

3. Current Tutwiler inmates will receive the information and education described in III.E.2 within three months of the Effective

Date (by August 28, 2015).

4. ADOC and Tutwiler shall ensure that the individual conducting or facilitating the comprehensive inmate educational

orientation is trained on Tutwiler’s and ADOC’s policies and procedures related to sexual abuse and sexual harassment, the

E.

PREA standards, and this Agreement.

2,3,4,5,6,7,8

5. The individual conducting or facilitating the comprehensive inmate orientation education shall remain in the room during the entire orientation and shall monitor the inmates for reactions to and understanding of the information. A mental health

x

practitioner will serve as an advisor to the orientation process and services will be available during the orientation process if

indicated.

6. Consistent with current policy, ADOC and Tutwiler shall ensure that the information outlined in III.E.2 is conveyed and made

available in formats accessible to all inmates, including those who are limited English proficient, deaf, visually impaired, or

otherwise disabled as well as to inmates who have limited reading skills.

7. ADOC and Tutwiler shall provide the Monitor and DOJ for their review consistent with Section III.A.6 any materials or

curriculum utilized to satisfy the requirements of III.E.1

8. ADOC and Tutwiler shall maintain documentation of inmate participation in the education sessions required by III.E.2.

III.F. GENDER-RESPONSIVE CLASSIFICATION

Within two months of the Effective Date, ADOC and Tutwiler shall convene a working group to evaluate methods to decrease

F.1

or eliminate Tutwiler’s use of Dorm A for a period of time that exceeds 48 hours while screenings are completed, including an examination of the necessity of PAP test and/or other medical, mental health, or intellectual test results prior to classification

x

and failures to provide adequate continuity in medical and mental health care to Dorm A residents

F.2

Within six months of convening of the working group, ADOC and Tutwiler shall retain an expert in gender responsive assessment and classification.

x

3. The approved plan for implementation of the classification system shall be managed by an implementation workgroup and

completed within two years of the approval of plan

F.3,4

4. The system shall provide programs that incorporate gender responsive principles and address the needs of women inmates at Tutwiler, including those addressing sexual abuse, sexual harassment, and trauma; domestic violence; dating violence; and

medical and mental health care.

III.G RISK ASSESSMENT

G.1

ADOC and Tutwiler shall continue to utilize a risk assessment instrument to screen for risk of victimization and abusiveness

x

x
(not due until 3/28/2019)

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Description

G.2,3

2. Inmates at high risk for sexual victimization shall not be placed in involuntary segregation housing due to their high risk of victimization unless an assessment of all available alternatives has been made, and a determination has been made that there is no available alternative means of separation from likely abusers. Such an assessment and determination shall be documented, explain the basis for Tutwiler’s concern for the inmate’s safety and the reason why no alternative means of
separation can be arranged. A review of such determination must be afforded each inmate at least every 30 days to determine x
whether there is a continuing need for separation from the general population.

3. Inmates placed in segregated housing Due to potential victimization shall, to the extent possible, have full access to programs, privileges, education, and work opportunities as inmates in general population housing.

III.H. INMATES’ RIGHT TO PRIVACY

H.1

Cross-Gender Searches : ADOC and Tutwiler shall continue to comply with its policy regarding cross-gender pat and strip searches

x

2.i Cross- Gender Viewing: ADOC and Tutwiler shall develop, submit to the Monitor and DOJ for review consistent with

Section A.III.6, and implement policies and procedures that enable inmates to perform bodily functions – such as showering,

bathing, and using the toilet – and change clothing without nonmedical staff of the opposite gender viewing their breasts,

buttocks, or genitalia, except in exigent circumstances of when such viewing is incidental to routine cell checks

H.2

x

2.ii ADOC and Tutwiler shall develop, submit to the Monitor and DOJ for review consistent with Section III.A., and implement

policies and procedures regarding the method of conducting inmate counts. This policy and procedure shall limit inmate

movement during inmate counts and shall prohibit the practice of conducting inmate counts while inmates are likely to be in

the shower and toilet areas

H.3

ADOC and Tutwiler shall continue to implement its plan to address the architectural features that contribute to a lack of privacy for inmates while showering or using the toilet

x

III.I REPORTING ALLEGATIONS OF SEXUAL ABUSE AND SEXUAL HARASSMENT

ADOC and Tutwiler shall continue to comply with its policy on reporting allegations of sexual abuse and sexual harassment.

Any modification of that policy shall be submitted to DOJ and the Monitor for review consistent with Section III.A.6. ADOC

I.1

and Tutwiler shall provide multiple internal methods, including a grievance process and at least one confidential method, for

x

inmates to report sexual abuse and sexual harassment, retaliation by other inmates or staff for reporting sexual abuse and

sexual harassment, and staff neglect or violation of responsibilities that may have contributed to such incidents.

I.2,3

2. ADOC and Tutwiler shall also provide at least one way for inmates to report abuse or harassment to a public or private

entity or office that is not part of the agency, and that is able to receive and immediately forward inmate reports of sexual

abuse and sexual harassment to agency officials, allowing the inmate to remain anonymous upon request. The method provided should be through a toll-free number or other method as agreed to by the Monitor and DOJ.

x

I.4,5

3. ADOC and Tutwiler shall provide a method for staff to confidentially report sexual abuse and sexual harassment of inmates

4. Third parties shall be permitted to assist inmates in filing requests for administrative remedies relating to allegations of sexual abuse and sexual harassment, and shall also be permitted to file such requests on behalf of inmates

5. All third party reports of sexual abuse and sexual harassment shall be forwarded immediately to the Departmental PREA

x

Coordinator and be investigated and processed in accordance with Policy. As part of this process, the Departmental PREA

Coordinator will inform Tutwiler’s PREA Compliance Manager of all third party reports received.

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Description

I.6, 6.viii

6. Grievances: ADOC and Tutwiler shall continue to develop and submit policies and procedures for an inmate Grievance System to the Monitor and DOJ for review within three months of the effective date and, within four months of the effective date, implement the inmate Grievance System. This policy shall clearly prohibit retaliatory practices by staff against inmates who file a grievance and should include the requirements listed in III.I.6.ii-ix
x
6.viii ADOC and Tutwiler shall develop, submit to the Monitor and DOJ for review consistent with Section III.A.6, and implement policies and procedures for the filing of an emergency grievance where an inmate is subject to a substantial risk of imminent sexual or physical abuse

I.7,8,9 I.10.i

7.ADOC and Tutwiler shall require all employees to report immediately: Any knowledge, suspicion, or information regarding an incident or alleged incident of sexual abuse or sexual harassment that occurred in Tutwiler, in transport vehicles, or in any off-site facilities under the control and supervision of ADOC or Tutwiler; Retaliation against inmates or staff who reported such an incident; and any staff neglect or violation of responsibilities that may have contributed to an incident or retaliation.

8.Apart from reporting to designated supervisors or officials, staff shall not reveal any information related to a sexual abuse or

x

sexual harassment report to anyone other than to the extent necessary to make treatment, investigation, and other security

and management decisions.

9.ADOC and Tutwiler shall report all allegations of sexual abuse and sexual harassment, including third party reports, anonymous reports, and inmate grievances, to Tutwiler’s or ADOC’s designated investigator

Protecting Inmates and Staff from Retaliation:

i.Consistent with ADOC policies, ADOC and Tutwiler shall protect all inmates and staff who report allegations of sexual abuse

or sexual harassment or cooperate with sexual abuse or sexual harassment investigations from retaliation by other inmates or staff, and shall designate Tutwiler’s PREA Compliance Manager with monitoring allegations of retaliation concerning inmates.

x

Allegations of retaliation against employees will be investigated and processed in accordance with ADOC personnel policy.

III.J. OFFICIAL RESPONSE TO AN ALLEGATION OF SEXUAL ABUSE AND SEXUAL HARASSMENT

J.1

When ADOC or Tutwiler learns that an inmate may be subject to a substantial risk of imminent sexual abuse, ADOC or Tutwiler shall take immediate action to protect the inmate.

x

ADOC and Tutwiler shall continue to comply with Policy and Tutwiler Standard Operating Procedures to coordinate actions

J.2

taken in response to an allegation of sexual abuse, among first staff responders, medical and mental health practitioners, investigators, and Tutwiler leadership, including time frames and lists of whom staff should report to in specific situations and

x

guidelines regarding the collection of physical evidence.

3.ADOC and Tutwiler shall respond to reports of sexual abuse and sexual harassment or threats of sexual abuse or sexual

harassment without regard to an inmate’s known or perceived sexual orientation or gender identity.

J.3,6

6.ADOC and Tutwiler shall not place in protective custody an inmate who is alleged to have suffered sexual abuse or sexual harassment solely for the purpose of protecting that inmate, unless a determination, documented in writing and reviewed by

x

the PREA Compliance Manager or the Warden’s designee within 24 hours, has been made that there is no available

alternative means of separation from likely abusers.

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Description

J.4,5

4.The written institutional plan shall include procedures that address how staff respond upon learning of an allegation that an inmate was sexually abused; described below

5. If the first staff responder is not a security staff member, the responder shall be required to request the alleged victim not

x

take any actions that could destroy physical evidence, and then notify security staff.

To the extent they do not already exist, ADOC and Tutwiler shall develop, submit to the Monitor and DOJ for review consistent

J.7

with Section III.A.6., and implement policies and procedures to provide access to medical and mental health services to women identified as potential or actual victims of sexual abuse and sexual harassment, that occurred either at Tutwiler or

x

elsewhere, including the following:

III.K REFERRALS AND INVESTIGATIONS

1.ADOC investigators shall continue to investigate allegations of sexual abuse or sexual harassment consistent with their

authority as criminal investigators and consistent with Policy and Alabama law. Completed investigations of sexual abuse and

sexual harassment will be referred to local prosecutors as appropriate.

K.1,2

2. When ADOC conducts its own investigations into allegations of sexual abuse or sexual harassment, it shall do so promptly, thoroughly, and objectively for all allegations, including third party and anonymous reports. Administrative investigations shall

x

be completed regardless of the results of any criminal investigations and regardless of the subject’s continued employment by

ADOC

ADOC and Tutwiler shall develop, submit to the Monitor and DOJ for review consistent with Section III.A.6., and implement

K.4

guidelines for the immediate initiation of an investigation and/or review upon learning of an allegation of sexual abuse or sexual harassment and develop a process for monitoring those guidelines. The guidelines shall also ensure that

x

investigations that include any allegations of sexual abuse or sexual harassment are properly labeled as such.

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Description

Investigators

3.The use of pre-hearing segregation shall be limited to inmates whose continuing behavior is a threat to facility safety, or who

will not stop the prohibited behavior. Such pre-hearing segregation shall not be used for more than 72 hours, at which time an

inmate must be afforded a disciplinary hearing, or provided a written explanation of why the hearing is postponed and when

the hearing will be re-scheduled.

5.Where sexual abuse or sexual harassment is alleged, ADOC shall use investigators who have received special training in

institutional sexual abuse and sexual harassment investigation. Specialized training shall include techniques for interviewing

sexual abuse victims, proper use of Miranda and Garrity warnings, sexual abuse evidence collection in confinement settings,

and the criteria and evidence required to substantiate a case for administrative action or prosecution referral. ADOC shall

maintain documentation that agency investigators have completed the required specialized training in conducting sexual

abuse investigations. The Department-wide PREA Coordinator and Tutwiler's PREA Compliance Manager shall not serve as

investigators for sexual abuse investigations.

7.The credibility of an alleged victim, suspect, or witness shall be assessed on an individual basis and shall not be determined

K.3,5,7,8,9,10

by the person’s status examinations or other

as inmate or staff. ADOC or Tutwiler are prohibited from offering or administering polygraph truth-telling devices to an inmate who alleges sexual abuse or sexual harassment.

x

8.ADOC shall issue a written investigative report within 30 days after the conclusion of a sexual abuse or sexual harassment

investigation that indicates whether the allegation is substantiated, unsubstantiated, or unfounded. The investigator may

request in writing, approved by the facility designee, an extension for cause that identifies the remaining actions necessary to

complete the investigation. In no case shall the investigation be unfounded solely Due to the expiration of the 30 days. The

investigative report shall include an effort to determine whether staff actions or failures to act contributed to the abuse, a

description of the physical and testimonial evidence, the reasoning behind credibility assessments, and investigative facts and

findings.

9.ADOC shall work with the Monitor on ensuring that an investigative summary sheet that provides an overview of the current

status of an investigation is included. The summary information should include, among other things, basic information such

as staff name(s), prisoner names(s), location of incident, and the time of day.

10.The departure of the alleged perpetrator or victim from the employment or control of ADOC or Tutwiler shall not provide a

basis for terminating an investigation.

Outside Investigations; Inmate Notification

11.When outside agencies investigate alleged incidents of sexual abuse, ADOC and Tutwiler shall cooperate with outside

investigators and shall endeavor to remain informed, to the extent appropriate, about the progress of the investigation.

12.Following an investigation into an inmate’s allegation that she suffered sexual abuse or sexual harassment in any ADOC

facility or while within the physical custody and control of the ADOC, ADOC and Tutwiler shall inform the inmate as to whether

K.11,12,13, 14, 15

the allegation has been determined to be substantiated, unsubstantiated, or unfounded. 13.If ADOC or Tutwiler did not conduct the investigation, it shall request the relevant information from the investigative agency

x

in order to inform the inmate.

14.Following an inmate’s allegation that a staff member has committed sexual abuse or sexual harassment against the

inmate, ADOC and Tutwiler shall subsequently inform the inmate whenever: (see below)

15.All such notifications or attempted notifications shall be documented.

K.16,17

Investigations Review

16.A review team, including upper-level management officials at Tutwiler, with input from line supervisors, investigators, and

medical and mental health practitioners, shall conduct an incident review within 30 days of the conclusion of every

investigation of substantiated and unsubstantiated allegations of sexual abuse or staff-on-inmate sexual harassment. The

x

review team shall: (see below)

17.ADOC and Tutwiler shall implement the recommendations for improvement or shall document its reasons for not doing so.

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Description

K.18

.Within 60 days of the Effective Date, ADOC and Tutwiler shall review all pending investigations alleging sexual abuse and

sexual harassment to determine whether the investigation was conducted according to the requirements of Section III. K. of

this Agreement.

Within 120 days of the Effective Date, ADOC and Tutwiler will conduct a similar review of all unfounded allegations of sexual

x

assault and sexual harassment for the past 360 days to determine whether the investigation was conducted according to the

requirements of Section III. K. of this Agreement.

III.L STAFF DISCIPLINARY ACTIONS

ADOC and Tutwiler shall develop, submit to the Monitor and DOJ for review consistent with Section III.A.6., and implement

L.1

policies and procedures that track staff disciplinary actions related to allegations of sexual abuse or sexual harassment, to

x

ensure that the directives in III.L.2-III.L.6 below are met.

III.M Limited English Proficient (LEP) Inmates

ADOC and Tutwiler shall work with the Monitor to develop and implement a policy providing for a method of interpretation

M

services for LEP inmates. This method may be through a language telephone line, if necessary. ADOC and Tutwiler shall not x

rely on other inmates or non-certified employees to translate and/or interpret for LEP inmates.

IV. Quality Improvement and Data Collection

A. Within one year of the Effective Date, ADOC and Tutwiler shall develop and submit to the Monitor and DOJ for review consistent with Section III.A.6., and implement, written quality improvement policies and procedures adequate to identify and

address any deficiencies in ADOC and Tutwiler’s prevention, detection and response to sexual abuse and sexual harassment

at Tutwiler and to assess and ensure compliance with the terms of this Agreement.

B. Within three months of the Effective Date, ADOC shall convene a state-wide working group to evaluate how other state and ADOC entities may contribute to Tutwiler’s compliance with this Agreement. C. ADOC and Tutwiler shall establish a system wherein they routinely poll inmates regarding their perceptions of the

implementation of the specific terms of this Agreement including the prevalence of staff sexual abuse and sexual harassment,

M

inmate vulnerability to sexual abuse and sexual harassment, the investigation and discipline of staff accused of sexual abuse

x

and sexual harassment, the efficacy of inmate education regarding sexual abuse and sexual harassment, privacy in the showers and toilets, the appropriateness of inmate classification, the levels of staff supervision, the efficacy of the reporting systems for sexual abuse and sexual harassment including grievances, and official responses to, and retaliation for,

allegations of sexual abuse and sexual harassment.

D. ADOC and Tutwiler shall develop, implement, and maintain, in consultation with the Monitor, a Risk Management System

(“RMS”) that will document and track facility trends related to: (1) sexual abuse or sexual harassment; (2) unprofessional staff

conduct involving inmates, including sexually explicit, vulgar, or degrading language; and (3) use of force incidents.

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GENERAL POLICIES AND PROCEDURES

III.A. ADOC and Tutwiler shall DEVELOP and IMPLEMENT gender-responsive policies, procedures and practices to ensure that inmates at Tutwiler are protected

from harm due to sexual abuse and harassment.

Policy Develop

Implement

Policy

Policy

1. ADOC and Tutwiler shall comply with all provisions of PREA.

SOP May 28,

May 28, 2015

ADOC and Tutwiler shall continue to comply with the ADOC’s written policies and procedures

III.A.1 8-12 2015

AND

mandating zero tolerance toward all forms of sexual abuse and sexual harassment.

AR

February 28,

This agreement takes precedence over any ADOC and/or Tutwiler policy governing the operation of

454

Tutwiler that may conflict with this agreement.

2016

REQUIREMENTS

Policy Developed

Staff Trained Policy Implemented

Comply with PREA
Comply with ADOC Policies
This agreement takes precedence over any ADOC and/or Tutwiler policy governing the operation of Tutwiler that may conflict with this agreement
MONITOR’S MEASURES OF COMPLIANCE

Y N N/A Y N N/A Y N N/A Y N N/A Y N N/A Y N N/A
Y N N/A Y N N/A Y N N/A

1. ADOC 454 agency PREA policy and Tutwiler Standard Operating Procedure (SOP) 8-12, Inmate Sexual Abuse and Sexual Harassment. 2. Revised PREA staff training curriculum for annual refresher training. 3. PREA training rosters for required staff at Tutwiler. 4. Interviews with Tutwiler leadership: Warden Wright, Warden Givens, Captain McClain, Lt. Young, Lt. Coleman, Ms. Greer, Dr. Holmes, and Ms. Jackson. 5. ADOC interviews: Commissioner Dunn, Deputy Commissioner Williams, Deputy Commissioner Brand, Mr. Mercado, and Mr. Lawley. 6. Inmate focus groups. 7. Individual inmate interviews. 8. Inmate correspondence received by the Monitor. 9. Review of grievances: January-June 2017. 10. Staff interviews. 11. Tutwiler PREA Incident Review Committee monthly meeting notes: January-June 2017. 12. PREA Audit Report: June 2016.
III.A.1

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13. Review of ADOC’s Investigations and Intelligence (I &I) PREA investigations: January-June 2017. 14. The Monitor may request additional documents through the next reporting period.

STEPS TAKEN BY MONITOR TO ANALYZE CONDITIONS AND ASSESS COMPLIANCE, AND FACTUAL BASIS FOR MONITOR’S FINDINGS (for each member of monitoring team)

Documents

Interviews

On-site/Observations / Other

Reviewed: • Tutwiler SOP 8-12 Inmate Sexual Abuse and Sexual Harassment Policy • PREA training curriculum • PREA staff training rosters • PREA Incident Review Committee reports: January-June 2017 • PREA investigations conducted by ADOC's Investigations & Intelligence Unit ((I&I): January-June 2017 • Randomly selected inmate grievances: January-June 2017 • Review of inmate correspondence received by Monitor: January-June 2017

• Commissioner Jefferson Dunn • Deputy Commissioner Williams • Deputy Commissioner Brand • Mr. William Lawley, ADOC Director of Personnel • Warden Wright • Warden Givens • Mr. Arnaldo Mercado, ADOC Director of Investigations
and Intelligence (I+I) • Lt. Young, Tutwiler Institutional PREA Compliance
Manager, (IPCM) • Lt. Coleman, Tutwiler Grievance Coordinator • Captain McClain ,Tutwiler Settlement Manager • Ms. Jackson, Corizon Director of Nursing • Ms. Greer, MHM Mental Health Site Administrator • Dr. Holmes, Tutwiler Psychological Associate

• Compliance Visit: June 25-30, 2017

III.A.1

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UNRESOLVED/PARTIALLY RESOLVED ISSUES FROM PREVIOUS TOUR

None.

The Monitor found ADOC and Tutwiler to be ‘Substantially Compliant” with this provision during the December 2016 Compliance Visit.

The Monitor made no recommendations regarding this provision during the December 2016 Compliance Visit.

MONITOR’S FINDINGS:

DATE: June 30, 2017

Substantial Compliance

Partial Compliance

Non-compliance

n/a no assessment due until __________

MONITOR’S DISCUSSION: STEPS TAKEN BY ADOC AND TUTWILER TOWARDS IMPLEMENTATION

DATE: June 30, 2017

The Alabama Department of Corrections (ADOC) and Tutwiler Prison for Women (Tutwiler) continue to maintain written policies to comply with the provisions of PREA. The current policy in place at Tutwiler that contains PREA provisions is Standard Operating Procedure (SOP) 8-12, Inmate Sexual Abuse and Sexual Harassment.

An official PREA audit was conducted at Tutwiler on May 9-11, 2016 by a DOJ-certified PREA auditor. The final audit report and certificate of successful completion was dated June 8, 2016. The second official three year PREA audit cycle began in August 2016. ADOC and Tutwiler will schedule a second PREA audit to be completed during the current three-year audit cycle.

Annual refresher training on PREA began in March 2017 and concluded on July 29, 2017. The DOJ and the Monitor reviewed and approved the training curriculum utilized for the refresher training. The Tutwiler Training Team was provided subject matter expertise by the agency's PREA consultant, and subsequently conducted the refresher training.

Fifteen (15) investigators received specialized training in October 2016 as required by PREA. This training was provided by The Moss Group, Inc.

Tutwiler continues to conduct PREA education sessions for newly admitted inmates. III.A.1

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MONITOR’S DISCUSSION: EXTENT TO WHICH ADOC AND TUTWILER HAVE COMPLIED WITH THE AGREEMENT

DATE: June 30, 2017

Note: The Monitor uses the time frame January 1- June 30, 2017 as the "reporting period" throughout this report. The Monitor received documents and updates from ADOC prior to, during, and after the Compliance Visit of June 25-30, 2017.

The Monitor found ADOC and Tutwiler to be ‘Substantially Compliant” with this provision during the June 2016 and December 2016 Compliance Visits and again in June 2017. As of June 30, 2017 ADOC and Tutwiler have sustained "Substantial Compliance" with ADOC's written policies and procedures mandating zero tolerance toward all forms of sexual abuse and sexual harassment. As previously mentioned, SOP 8-12 includes the PREA standards "plus" provisions from the Agreement.

The Monitor determined the rating of "Substantial Compliance" based upon the following observations:
• Tutwiler staff continues to be trained annually on PREA, and specifically SOP 8-12. The Monitor reviewed documentation of this training, including attendance rosters and post tests.
• Specialized training is being provided to investigators and medical staff as required by PREA. The Monitor reviewed attendance rosters. • Inmates continue to be provided PREA education in the inmate orientation program. • The Monitor’s review of randomly selected investigations, and grievances demonstrate ADOC's and Tutwiler's continued compliance with ADOC AR 454
and SOP 8-12. • The Monitor's review of PREA Incident Review Committee reports and Risk Management System reports also reflected ADOC and Tutwiler's continued
compliance with this provision. • In both individually scheduled interviews and in spontaneous communications with the Monitor, staff consistently demonstrate knowledge of their
roles and responsibilities to maintain sexual safety. • In both formally convened inmate focus groups and in spontaneous communications with the Monitor, inmates expressed confidence in the Tutwiler
leadership's commitment to the inmates’ sexual safety and acknowledged the positive changes made to date at Tutwiler. • The Monitor reviewed the results of the Third Quarter Inmate Polling, which documents the inmates' overall positive perceptions of their sexual safety
and ADOC and Tutwiler's continued compliance with this provision.

MONITOR’S RECOMMENDATIONS: (for at least the next 6 months)

DATE DUE:

The Fourth Quarter Inmate Polling was conducted on April 26-28, 2017. Those results will be forwarded to the Monitor when that data As completed are compiled.

III.A.1

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GENERAL POLICIES AND PROCEDURES III.A. ADOC and Tutwiler shall DEVELOP and IMPLEMENT gender-responsive policies, procedures and practices to ensure that inmates at Tutwiler are protected from harm due to sexual abuse and harassment

Policy

Develop Implement

Policy Policy

2. Shall develop, submit to the Monitor and DOJ for review consistent with III.A.6, and Implement policies and procedures regarding the management of lesbian, gay, bisexual, transgender, intersex, and gender nonconforming inmates. The policy shall emphasize the rights of lesbian, gay, bisexual, transgender, intersex, gender nonconforming and gender dysphoric inmates to a safe, non-discriminatory and respectful environment.

III.A.2 (III.H.5 III.H.4 see below)

AR 454 SOP 8-12 SOP 8-29

February February 28, 2016 28, 2016

Policy

Staff Trained Policy

REQUIREMENTS

Developed

Implemented

Policy emphasizes the rights of lesbian, gay, bisexual, transgender, intersex, gender nonconforming and gender dysphoric inmates to a safe, non-discriminatory and respectful environment

Y N N/A Y N N/A Y N N/A

Qualified mental health practitioner: -Has experience in recognizing and diagnosing co-existing mental health concerns and distinguishing
these from gender dysphoria; knowledge about gender non-conforming identities and expressions; and the assessment and treatment of gender dysphoria; and
-Is assigned inmates with gender non-conforming identities, including gender dysphoria
Inmates diagnosed with gender dysphoria should be offered appropriate non-surgical treatment as determined by a qualified health care practitioner

Y N N/A Y N N/A Y N N/A Y N N/A Y N N/A Y N N/A

Y N N/A Y N N/A Y N N/A

Provide ADOC-issued clothing and hygiene items and facilities appropriate to the needs to transgender and gender dysphoric inmates
Transgender and intersex inmates are given the opportunity to shower separately from other inmates. (III.H.5)
Transgender or intersex inmates are not searched or physically examined for the sole purpose of determining the inmate’s genital status. If the inmate’s genital status is unknown, it may be determined during conversations with the inmate or by a qualified medical practitioner reviewing the medical records or, if necessary, by learning that information during the intake physical exam conducted in private by a medical practitioner. (III.H.4)

Y N N/A Y N N/A Y N N/A Y N N/A Y N N/A Y N N/A Y N N/A Y N N/A Y N N/A

III.A.2

Case 2:15-cv-00368-MHT-TFM Document 27-2 Filed 08/25/17 Page 6 of 202
MONITOR’S MEASURES OF COMPLIANCE
1. SOP 8-12 Inmate Sexual Abuse and Sexual Harassment and 8-29 LGBTI Inmate Population and 7-7 Searches. 2. Training records for staff attendance at LGBTI training and PREA training. 3. Documentation on any transgender, intersex or gender dysphoric inmates who have been admitted during the reporting period and their management. 4. Review any relevant documents generated and maintained by Lt. Young. 5. Review of inmate grievances: January-June 2017. 6. Inmate correspondence received by Monitor: January-June 2017. 7. Interviews with Warden Wright, Lt. Young, Lt. Coleman, and Dr. Holmes. 8. Staff interviews. 9. Inmate focus groups. 10. Individual inmate interviews.

STEPS TAKEN BY MONITOR TO ANALYZE CONDITIONS AND ASSESS COMPLIANCE, AND FACTUAL BASIS FOR MONITOR’S FINDINGS

(for each member of monitoring team)

Documents

Interviews

On-site/Observations / Other

Reviewed: • Tutwiler SOP 8-12 Inmate Sexual Abuse and
Sexual Harassment • Tutwiler SOP 8-29 LGBTI Inmate Population • Training records for staff for LGBTI training • Review of randomly selected grievances:
January-June 2017 • Review of inmate correspondence received
by Monitor: January-June 2017

• Dr. Holmes, Tutwiler Psychological Associate • Warden Wright • Lt. Young, IPCM • Lt. Coleman, Grievance Coordinator • Staff interviews • Inmate focus groups • Individual inmate interviews

• Compliance Visit June 25-30, 2017

III.A.2

Case 2:15-cv-00368-MHT-TFM Document 27-2 Filed 08/25/17 Page 7 of 202
UNRESOLVED/PARTIALLY RESOLVED ISSUES FROM PREVIOUS TOUR
The Monitor found ADOC and Tutwiler to be ‘Substantially Compliant” with this provision during the December 2016 Compliance Visit. ADOC and Tutwiler addressed the Monitor's previous recommendation regarding the monitoring of on-hand inventory supplies needed for inmate #802 to ensure an adequate supply. The Monitor had recommended that Corizon and MHM, Tutwiler's contracted health care providers, ensure their policies reflect terminology used in the current Diagnostic Statistical Manual regarding gender dysphoria. To date, the health care providers' policies have not been finalized.

NOTE: THIS SECTION INCLUDES III.A.2, III.H.4, and III.H.5. Please provide separate findings, discussion, and recommendations for all DATE:

provisions.

June 30, 2017

MONITOR’S FINDINGS:

Substantial Compliance

Partial Compliance

Non-compliance

n/a no assessment due until __________

III.A.2

Case 2:15-cv-00368-MHT-TFM Document 27-2 Filed 08/25/17 Page 8 of 202

MONITOR’S DISCUSSION: STEPS TAKEN BY ADOC AND TUTWILER TOWARDS IMPLEMENTATION

DATE:

June 30, 2017

The current policy in place at Tutwiler that contains provisions / rights of LGBTI inmates is SOP 8-29, LGBTI Inmate Population. All provisions outlined in

this section are part of this policy, and continue to guide practice at Tutwiler.

ADOC licensed Chief Psychologist, Dr. David Tytell, and Dr. Hunter now chair the ADOC Gender Identity Disorder and Treatment Team as outlined in AR 637 Gender Identity Disorder in addition to MHM's Statewide Medical Director. Upon the recommendation of the Monitor, Warden Wright was added to this team in September, 2016.

MONITOR’S DISCUSSION: EXTENT TO WHICH ADOC AND TUTWILER HAVE COMPLIED WITH THE AGREEMENT

DATE: June 30, 2017

The Monitor found ADOC and Tutwiler to be ‘Substantially Compliant” with this provision during the June and December 2016 Compliance Visits. As of

June 30, 2017, ADOC and Tutwiler continue to be in “Substantial Compliance” with this provision.

The Monitor determined the rating of "Substantial Compliance" based upon the following observations:
• Tutwiler SOP 8-29, LGBTI Inmate Population, emphasizes the rights of lesbian, gay, bisexual, transgender, intersex, gender nonconforming and gender dysphoric inmates to a safe, non-discriminatory and respectful environment.
• ADOC and Tutwiler have qualified mental health practitioners with experience in recognizing and diagnosing co-existing mental health concerns and distinguishing these from gender dysphoria; these practitioners have knowledge about gender non-conforming identities and expressions; and the assessment and treatment of gender dysphoria; and are assigned inmates with gender non-conforming identities, including gender dysphoria.
• ADOC and Tutwiler policy indicates that inmates diagnosed with gender dysphoria shall be offered appropriate non-surgical treatment as determined by a qualified health care practitioner.
• Tutwiler policy contains provisions to issue clothing and hygiene items and facilities appropriate to the needs of transgender and gender dysphoric inmates, to include the opportunity to shower separately from other inmates.
• Tutwiler policy includes provisions that transgender or intersex inmates are not searched or physically examined for the sole purpose of determining the inmate’s genital status. If the inmate’s genital status is unknown, it may be determined during conversations with the inmate or by a qualified medical practitioner reviewing the medical records or, if necessary, by learning that information during the intake process.
• Monthly review of inmate grievances did not reveal any that concerned the hygiene item issue. • Inmate correspondence received by the Monitor did not have any complaints about hygiene items. Inmate focus group and individual inmate
interviews did not surface any complaints about hygiene or laundry. • While on tour, the Monitor observed the abundance of hygiene items available in inmate bathrooms.

III.A.2

Case 2:15-cv-00368-MHT-TFM Document 27-2 Filed 08/25/17 Page 9 of 202
MONITOR’S RECOMMENDATIONS: (for at least the next 6 months; )

DATE DUE:

1. Corizon and MHM, Tutwiler’s contracted health care providers, should ensure their policies reflect terminology used in the current Diagnostic Statistical Manual regarding gender dysphoria, as initially requested during the December 2016 compliance visit.
2. Prior to the June 2017 monitoring visit, an inmate told the Monitor there was a delay in two gender dysphoric inmates receiving appropriate clothing. The Monitor determined the woman, while not found to be gender dysphoric by the Gender Identity Committee, were approved for appropriate hygiene items and clothing. At the time of the monitoring visit, the Monitor was advised that the women had received their items and clothing. The Monitor reviewed the on-hand inventory and found it sufficient. The Monitor requests Tutwiler track the time a referral is made to the Gender Identify Committee, the date a case is considered at the meeting, and the date the requested items, if approved by the Gender Identify Committee, are provided to the inmate. Tutwiler is to submit this tracking information to the Monitor for the period July 1, 2017- November 30, 2017.

1. December 1, 2017 2. December 1, 2017

III.A.2

Case 2:15-cv-00368-MHT-TFM Document 27-2 Filed 08/25/17 Page 10 of 202

GENERAL POLICIES AND PROCEDURES

III.A. ADOC and Tutwiler shall DEVELOP and IMPLEMENT gender-responsive policies, procedures and practices to ensure that inmates at Tutwiler are protected

from harm due to sexual abuse and harassment

Policy

Develop Implement

Policy Policy

3. Continue to comply with ensuring women receive essential supplies, including hygiene and feminine

hygiene products, tampons and pads; linens; and uniforms by making them available on a monthly

III.A.3

basis or more frequently as needed. The policy will continue to require the tracking and distribution of

SOP 8-27

May 28, May 28,

SOP 5.00 for 2015 2015

these products. ADOC and Tutwiler will continue to ensure that both tampons and sanitary pads are

all housing

readily available, free of charge, to Tutwiler inmates.

units

Policy

Staff Trained

Policy

REQUIREMENTS

Developed

Implemented

Supplies: hygiene; tampons and pads; linens; uniforms.

Y N N/A Y N N/A

Y N n/a

Availability: Readily; monthly; more frequently as needed.

Y N N/A Y N N/A

Y N n/a

Track distribution of these products. Both tampons and sanitary pads are readily available, free of charge, to Tutwiler inmates.

Y N N/A Y N N/A

Y N N/A Y N N/A

Y N n/a Y N n/a

MONITOR’S MEASURES OF COMPLIANCE
1. SOP 8-27 Hygiene Item Issuance and SOP 5-00 Dormitory Security for all housing areas. 2. Interviews with Lt. Young, Lt. Coleman, and staff who manage the hygiene supply program. 3. Inmate focus groups. 4. Individual inmate interviews. 5. Inmate correspondence received by Monitor: January-June 2017. 6. Review of inmate grievances: January-June 2017. 7. Observations during tour of facility.

III.A.3

Case 2:15-cv-00368-MHT-TFM Document 27-2 Filed 08/25/17 Page 11 of 202

STEPS TAKEN BY MONITOR TO ANALYZE CONDITIONS AND ASSESS COMPLIANCE, AND FACTUAL BASIS FOR MONITOR’S FINDINGS

(for each member of monitoring team)

Documents

Interviews

On-site/Observations / Other

• SOP 8-12, Inmate Sexual Abuse and Sexual Harassment
• SOP 8-27 Hygiene Item Issuance • Review of randomly selected monthly
grievances: January-June 2017 • Inmate correspondence received by the
Monitor: January-June 2017

• Lt. Young, IPCM • Lt. Coleman, Grievance Coordinator • Inmate focus groups • Individual inmate interviews

• Compliance Visit June 25-30, 2017 • Tour of dorm bathrooms

None.

UNRESOLVED/PARTIALLY RESOLVED ISSUES FROM PREVIOUS TOUR

The Monitor found ADOC and Tutwiler to be ‘Substantially Compliant” with this provision during the December 2016 Compliance Visit.

ADOC and Tutwiler addressed the Monitor's previous recommendation regarding a temporary shortfall of bras and underpants as a result of the vendor having these items on backorder. Tutwiler has had no issues with receiving undergarments from the vendor that supplies these items since January 2017. The ADOC renewed the contract with this vendor in March 2017. No grievances, request slips, or other complaints about undergarments have been received by Lt. Coleman or the Monitor during this evaluation period.

III.A.3

Case 2:15-cv-00368-MHT-TFM Document 27-2 Filed 08/25/17 Page 12 of 202
MONITOR’S FINDINGS:
Substantial Compliance Partial Compliance Non-compliance n/a no assessment due until __________

DATE: June 30, 2017

MONITOR’S DISCUSSION: STEPS TAKEN BY ADOC AND TUTWILER TOWARDS IMPLEMENTATION
The current policy at Tutwiler that contains provisions on hygiene supplies is SOP 8-27, Hygiene Item Issuance. A Housekeeping Officer, CO Devale Hamilton, has been assigned to track the distribution of these products.

DATE: June 30, 2017

MONITOR’S DISCUSSION: EXTENT TO WHICH ADOC AND TUTWILER HAVE COMPLIED WITH THE AGREEMENT

DATE: June 30, 2017

Note: The Monitor uses the time frame January 1-June 30, 2017 as the "reporting period" throughout this report. The Monitor received documents and updates from ADOC prior to, during, and after the compliance visit of June 25-30, 2017.
The Monitor found ADOC and Tutwiler to be ‘Substantially Compliant” with this provision during the December 2015, June and December 2016 and June 2017 Compliances Visits. As of June 30, 2017 ADOC and Tutwiler continue to be in “Substantial Compliance “ with this provision.
If linens are worn they are replaced upon the inmate bringing it to staff's attention or completing a laundry request. The items are also checked on a weekly basis during dormitory inspection. On December 14, 2016, all inmates at Tutwiler Annex received new sheets and pillow cases. Tutwiler Main Camp received new sheets and pillow cases on December 28, 2016.
The Monitor observed the ready availability of feminine hygiene products in inmate bathrooms. III.A.3

Case 2:15-cv-00368-MHT-TFM Document 27-2 Filed 08/25/17 Page 13 of 202

MONITOR’S RECOMMENDATIONS: (for at least the next 6 months)
None.

DATE DUE: N/A

III.A.3

Case 2:15-cv-00368-MHT-TFM Document 27-2 Filed 08/25/17 Page 14 of 202

GENERAL POLICIES AND PROCEDURES

III.A. ADOC and Tutwiler shall DEVELOP and IMPLEMENT gender-responsive policies, procedures and practices to ensure that inmates at Tutwiler are protected

from harm due to sexual abuse and harassment

Policy

Develop Implement

Policy Policy

4. Shall develop and implement policies and procedures that incorporate gender-responsive strategies,

SOP7-8

February February

including policies and procedures governing the use of force against women inmates and discipline of women III.A.4

28, 2016 28, 2016

inmates

Policy

Staff Trained

Policy

REQUIREMENTS

Developed

Implemented

Governing use of force against women inmates
Governing discipline of women inmates
ADOC submitted 63 draft policies for review and comment by the Monitor and DOJ. ADOC and Tutwiler completed a total of 65 new/revised SOP's. Attachment B to this report documents the names of these SOP's.

Y N N/A Y N N/A Y N N/A Y N N/A Y N N/A Y N N/A

Y N N/A Y N N/A Y N N/A

MONITOR’S MEASURES OF COMPLIANCE
1. SOP 8-12., Inmate Sexual Abuse and Sexual Harassment, SOP 7-8 Use of Force. 2. ADOC spreadsheet of all the policies drafted that received a gender responsive review for appropriate inclusion of gender responsive principles.
These policies were reviewed subsequently by the Monitor and the DOJ, who submitted comments/suggestions back to ADOC. Then ADOC and Tutwiler reviewed the comments and made changes/revisions they determined were appropriate. The final executive review occurred and the policies were published, staff trained and implemented into daily operations at Tutwiler. 3. Review of the disciplinary segregation logs for January-June 2017. 4. Discuss appropriate policies with the staff member primarily responsible for implementation. 5. Training documentation for implementation of the SOP's. 6. Inmate focus groups. 7. Individual inmate interviews. 8. Inmate correspondence received by the Monitor: January-June 2017. 9. Review Use of Force incidents documented on the ADOC incident form: January-June 2017.

III.A.4

Case 2:15-cv-00368-MHT-TFM Document 27-2 Filed 08/25/17 Page 15 of 202

STEPS TAKEN BY MONITOR TO ANALYZE CONDITIONS AND ASSESS COMPLIANCE, AND FACTUAL BASIS FOR MONITOR’S FINDINGS

(for each member of monitoring team)

Documents

Interviews

On-site/Observations / Other

• SOP 8-12 Inmate Sexual Abuse and Sexual Harassment
• SOP 7-8 Use of Force • SOP 8-23 Administrative Segregation • Draft SOP 8-30 Inmate Disciplinary Policy • Draft SOP 8-24 Disciplinary Segregation • ADOC spreadsheet for new or revised policies and
SOP's for Tutwiler listing those submitted in draft
form to Monitor and DOJ for their comment and
suggestions. • Documentation of staff training/orientation for new
policies • Tutwiler disciplinary hearing / sanction log:
January-June 2017 • Review of Use of Force reports: January-June 2017

• Deputy Commissioner Williams • Warden Wright • Captain McClain, Settlement
Compliance Manager • Lt. Young, IPCM • Staff interviews

• Compliance Visit June 25-30, 2017

UNRESOLVED/PARTIALLY RESOLVED ISSUES FROM PREVIOUS TOUR

The Monitor found ADOC and Tutwiler to be ‘Partially Compliant” with this provision during the December 2016 Compliance Visit.

•

The ADOC and Tutwiler forwarded results of the staff polling survey to the Monitor as requested.

SOP 8-30, Inmate Disciplinary Policy and SOP 8-24 Disciplinary Segregation are currently still under development.

III.A.4

Case 2:15-cv-00368-MHT-TFM Document 27-2 Filed 08/25/17 Page 16 of 202
MONITOR’S FINDINGS: Substantial Compliance Partial Compliance Non-compliance n/a no assessment due until __________

DATE: June 30, 2017

MONITOR’S DISCUSSION: STEPS TAKEN BY ADOC AND TUTWILER TOWARDS IMPLEMENTATION

DATE: June 30, 2017

The current policy at Tutwiler that contains provisions governing the use of force is SOP 7-8, Use of Force. This revised SOP 7-8 (modified to add genderresponsive and trauma-informed procedures) was reviewed by the DOJ and the Monitor, and was published on May 3, 2016. The implementation of this revised policy immediately followed, and all Tutwiler staff were trained by May 20, 2016. In November, 2016, the Tutwiler Training Team provided additional training on gender-responsive and trauma-informed use of force.
Tutwiler SOP 8-30, Inmate Disciplinary Policy, has been drafted and as of June 30, 2017 is under final review at the agency level. The implementation and training on this policy will follow, once the policy is published. The training on this SOP will be conducted by the Tutwiler Training Team.
As of June 30, 2017 SOP 8-24, Disciplinary Segregation, is being finalized and will be sent to the DOJ and the Monitor for review. This is the last of the SOPs remaining to be finalized and published in accordance with this provision.
ADOC and Tutwiler conducted a staff polling survey in March 2017 to receive feedback on a number of operational issues, specifically work schedules, overtime, etc. This survey also solicited suggestions about the current practices of training staff on new policies.

III.A.4

Case 2:15-cv-00368-MHT-TFM Document 27-2 Filed 08/25/17 Page 17 of 202

MONITOR’S DISCUSSION: EXTENT TO WHICH ADOC AND TUTWILER HAVE COMPLIED WITH THE AGREEMENT

DATE: June 30, 2017

Note: The Monitor uses the time frame January 1-June 30, 2017 as the "reporting period" throughout this report. The Monitor received documents and updates from ADOC prior to, during, and after the compliance visit of June 25-30, 2017.
The ADOC and Tutwiler continue to be in " Partial Compliance" with this provision. "Substantial Compliance” is expected in 2017 when the two remaining, required policies are published, and staff is trained, and the policies are implemented.
SOP 8-30, Inmate Disciplinary Policy is being finalized by ADOC. Once work is completed on this SOP, work on SOP 8-24 Disciplinary Segregation can also be finalized. All other SOPs and Post Orders have been implemented, to include staff training.
At the request of the DOJ, the Monitor reviewed one use of force report and related investigation. While the use of force was necessary, the officers inappropriately applied pressure to the inmate's back when she was restrained on the floor. This technique can potentially be lethal, resulting in positional asphyxia. The incident was properly investigated, the officers were disciplined for their actions and counseled regarding the appropriate technique.

MONITOR’S RECOMMENDATIONS: (for at least the next 6 months)
1. Provide the Monitor with the plan for the implementation of the new SOP 8-30 Inmate Disciplinary Policy . 2. The Monitor and the DOJ will receive and review the curriculum developed to provide staff training on the SOP 8-30 Inmate
Disciplinary Policy and SOP 8-24 Disciplinary Segregation. 3. The Monitor and the DOJ will receive documentation of the completed training on the SOP 8-30 Inmate Disciplinary Policy and SOP
8-24 Disciplinary Segregation. 4. The Monitor advises Tutwiler to clearly identify the risk factors for positional asphyxia and positional prohibitions (e.g. knee
pressure on someone's back, etc.) and address them in both policy and training.

DATE DUE: As completed As completed As completed As completed

III.A.4

Case 2:15-cv-00368-MHT-TFM Document 27-2 Filed 08/25/17 Page 18 of 202

GENERAL POLICIES AND PROCEDURES

III.A. ADOC and Tutwiler shall DEVELOP and IMPLEMENT gender-responsive policies, procedures and practices to ensure that inmates at Tutwiler are protected

from harm due to sexual abuse and harassment

Policy

Develop Implement

Policy Policy

5. Shall continue to develop, submit to the Monitor and DOJ for review consistent with III.A.6, and implement facility-specific policies and operational practices specific to Tutwiler’s population regarding the III.A.5 supervision and monitoring necessary to prevent inmates from being exposed to unreasonable risk of

SOP 5.00 May 28, May 28,

SOP 8-12 2015

2015

AND

AND

harm from sexual abuse and harassment.

February February

28, 2016 28, 2016

Policy

Staff Trained Policy

REQUIREMENTS

Developed

Implemented

Specific to Tutwiler’s population;

Y N N/A Y N N/A

Y N N/A

Post orders for first-line supervision of corrections staff for each housing unit in accordance with the operational practices developed;

Y N N/A Y N N/A

Y N N/A

Procedures regarding communication to and from corrections staff assigned to housing units;

Y N N/A Y N N/A

Y N N/A

The continued requirement of supervision by corrections staff assigned to all housing areas and dormitory settings including:
1. Direct supervision of Dorm A, if that unit continues to be used for intake 2. Administration of adequate rounds by corrections staff and security supervisors in all areas of prison,
including dormitories 3. Such rounds shall occur unannounced, at least every hour, inside each general population housing unit 4. Such rounds shall occur at least once every 30 minute period for special management inmates, or more
often if necessary.

Y N N/A
Y N N/A Y N N/A

Y N N/A
Y N N/A Y N N/A

Y N N/A Y N N/A

Y N N/A Y N N/A

Y N N/A
Y N N/A Y N N/A
Y N N/A Y N N/A

Video surveillance may be used to supplement, but must not be used to replace rounds by correctional officers;

Y N N/A Y N N/A

Y N N/A

The continued requirement that intermediate level or higher-level supervisors conduct and document unannounced Y rounds during both the day and night shifts to identify and deter staff sexual abuse and sexual harassment;
1. Other staff members should not be alerted that these rounds are occurring;

The continued requirement to document all security rounds on forms or logs that do not contain pre-printed

Y

rounding times

N N/A N N/A

Y N N/A Y N N/A

Y N N/A Y N N/A

III.A.5

Case 2:15-cv-00368-MHT-TFM Document 27-2 Filed 08/25/17 Page 19 of 202
MONITOR’S MEASURES OF COMPLIANCE

1. Review of all SOP 5.00 policies for each housing area. The Monitor and the DOJ have reviewed all of these. 2. SOP 8-12 Inmate Sexual Abuse and Sexual Harassment. 3. Review of shift logs in the dorms for randomly selected dates. Looking for the unannounced rounds by higher-level supervisors and the required
security rounds by the officer and supervisors; signatures, notations, times. The Monitor may review some on tour. 4. Review of the notebook maintained by Lt. Young for the unannounced rounds by facility management. 5. Review of video camera system operation. 6. Staff interviews. 7. Inmate focus groups. 8. Individual inmate interviews. 9. Inmate correspondence received by the Monitor: January-June 2017. 10. Review of inmate grievances: January-June 2017. 11. Review of PREA incidents investigated by ADOC Investigations & Intelligence Unit: January-June 2017. 12. Review of shift duty rosters for each housing area for randomly selected dates. 13. Tour of facility. 14. Training documentation for staff on 5.00 policies. 15. Discuss and review Risk Management documentation and any reports generated by this process. 16. Interviews with Warden Wright, Captain McClain, Lt. Young, and Lt. Coleman.

STEPS TAKEN BY MONITOR TO ANALYZE CONDITIONS AND ASSESS COMPLIANCE, AND FACTUAL BASIS FOR MONITOR’S FINDINGS

(for each member of monitoring team)

Documents

Interviews

On-site/Observations / Other

• SOP 8-12 Inmate Sexual Abuse and Sexual Harassment
• Tutwiler SOP's 5.00 for each individual housing unit
at Tutwiler • Shift logs for each housing area for randomly
selected dates: January-June 2017 • Review of notebook for unannounced rounds,
maintained by Lt. Young • Review of video camera system
operation/monitors • Review of monthly grievances: January-June 2017 • Review of PREA investigations completed by ADOC
Investigations & Intelligence Unit: January-June
2017

• Warden Wright • Lt. Young, IPCM • Captain McClain, Settlement Compliance
Manager • Lt. Coleman, Grievance Coordinator • Staff interviews • Inmate focus groups • Individual inmate interviews • Inmate correspondence received by Monitor

• Compliance tour June 25-30, 2017 • Tour of camera room and observation
of monitors at Tutwiler

III.A.5

Case 2:15-cv-00368-MHT-TFM Document 27-2 Filed 08/25/17 Page 20 of 202
• Review of randomly selected shift duty rosters for January-June 2017
• Review of annual camera assessment meeting minutes
• Documentation of the Tutwiler Risk Management system records: January-June 2017

None.

UNRESOLVED/PARTIALLY RESOLVED ISSUES FROM PREVIOUS TOUR

The Monitor found ADOC and Tutwiler to be ‘Substantially Compliant” with this provision during the December 2016 Compliance Visit.

The ADOC and Tutwiler have addressed all recommendations made by the Monitor during the December 2016 Compliance Visit.

MONITOR’S FINDINGS: Substantial Compliance Partial Compliance Non-compliance n/a no assessment due until __________

DATE: June 30, 2017

MONITOR’S DISCUSSION: STEPS TAKEN BY ADOC AND TUTWILER TOWARDS IMPLEMENTATION

DATE: June 30, 2017

All Dormitory Post Orders were previously revised, reviewed by the DOJ and the Monitor, and published. All Tutwiler Post Orders for first-line supervisors of correctional staff for each housing unit have been revised to include gender-responsive and trauma-informed principles, in accordance with the operational practices developed. All provisions outlined in this section are noted in each post order. Staff has been trained in these Post Orders.

III.A.5

Case 2:15-cv-00368-MHT-TFM Document 27-2 Filed 08/25/17 Page 21 of 202

MONITOR’S DISCUSSION: EXTENT TO WHICH ADOC AND TUTWILER HAVE COMPLIED WITH THE AGREEMENT

DATE: June 30, 2017

Note: The Monitor uses the time frame January 1- June 30, 2017 as the "reporting period" throughout this report. The Monitor received documents and updates from ADOC prior to, during, and after the compliance visit of June 25-30, 2017.
The Monitor found ADOC and Tutwiler to be ‘Substantially Compliant” with this provision during the June and December 2016 Compliance Visits. As of June 30, 2017 ADOC and Tutwiler have sustained substantial compliance.
The Monitor determined the rating of "Substantial Compliance" based upon the following observations:
• The Monitor reviewed the previously developed and implemented SOP 5-0 Dormitory Security. • The Monitor reviewed the required documentation of unannounced rounds in each unit's logs. • The Monitor reviewed the required documentation for unannounced rounds by upper management, maintained by Lt. Young, on the ADOC authorized
log form 454-G. The Monitor reviewed documentation for January-June 2017. It was in order. • The Monitor reviewed the operation of the camera room during the tour and the logs maintained in the camera room. The cameras are used to
appropriately supplement the supervision capabilities in the dorms and other locations in the facility and annex. • Dorm A post order contains the requirement for continual direct supervision. The Monitor visited Dorm A during the tour, talked with a number of
inmates and observed the officer and supervisors doing their jobs. • There are portions of SOP 5.0 that require data to be aggregated in the Risk Management System. This process began after SOP 11-1 Data Collection
and Quality Improvement was implemented.

MONITOR’S RECOMMENDATIONS: (for at least the next 6 months)
None.

DATE DUE: N/A

III.A.5

Case 2:15-cv-00368-MHT-TFM Document 27-2 Filed 08/25/17 Page 22 of 202

CAMERA MANAGEMENT

III.B. The ADOC has implemented a state-of-the-art camera system at Tutwiler, and contracted with an expert who has conducted a review of the ADOC’s

Camera Plan, including a review of each camera’s placement. As a result of that review, cameras are strategically placed to maximize supervision while

protecting privacy. Policies directing the appropriate use of cameras and periodic staff training to ensure sustainability and effective operation of the camera

system will remain as standard operational practice.

Policy

Develop Implement

Policy Policy

1. Camera management policies and procedures will remain in effect at Tutwiler

III.B.1

SOP 5-24

May 28, May 28,

2015 2015

Policy

Staff Trained

Policy

REQUIREMENTS

Developed

Implemented

Camera management policies

Y N N/A Y N N/A

Y N N/A

Camera management procedures

Y N N/A Y N N/A

Y N N/A

MONITOR’S MEASURES OF COMPLIANCE
1. SOP 5-24 Camera Management. 2. Maintenance records for camera system. 3. Camera room logs for visitors, requests for video. 4. Interviews with camera operators. 5. Review of ADOC Investigations & Intelligence Unit PREA investigations: January-June 2017. 6. Observation of camera operations. 7. Staff interviews. 8. Interviews with Warden Wright, and Lt. Young, and Ms. Kelley Smith.

III.B.1

Case 2:15-cv-00368-MHT-TFM Document 27-2 Filed 08/25/17 Page 23 of 202

STEPS TAKEN BY MONITOR TO ANALYZE CONDITIONS AND ASSESS COMPLIANCE, AND FACTUAL BASIS FOR MONITOR’S FINDINGS

(for each member of monitoring team)

Documents

Interviews

On-site/Observations / Other

• SOP 5-24 Camera Management
• Maintenance records for camera operations • Camera room logs for requests to
view/receive camera footage • Camera room surveillance logs • Review PREA investigations: January-June
2017 • Review Tutwiler PREA Incident Review
Committee reports: January-June 2017

• Warden Wright • Lt. Young, IPCM • Ms. Kelley Smith ,ADOC
Investigations & Intelligence Unit
investigator • Staff interviews • Inmate focus group • Individual Inmate interviews

• Compliance Visit June 25-30, 2017 • Tour of camera room operation during
Compliance Visit

None.

UNRESOLVED/PARTIALLY RESOLVED ISSUES FROM PREVIOUS TOUR

The Monitor found ADOC and Tutwiler to be ‘Substantially Compliant” with this provision during the December 2016 Compliance Visit.

The Monitor made no recommendations regarding this provision during the December 2016 Compliance Visit.

MONITOR’S FINDINGS: Substantial Compliance Partial Compliance Non-compliance n/a no assessment due until __________

DATE: June 30, 2017

III.B.1

Case 2:15-cv-00368-MHT-TFM Document 27-2 Filed 08/25/17 Page 24 of 202

MONITOR’S DISCUSSION: STEPS TAKEN BY ADOC AND TUTWILER TOWARDS IMPLEMENTATION

DATE: June 30, 2017

The current Tutwiler camera management policies and procedures remain in effect. Tutwiler SOP 5-24, Video Surveillance, was published on November 20, 2014, and remains in effect to date. Compliance with all provisions is ongoing.

MONITOR’S DISCUSSION: EXTENT TO WHICH ADOC AND TUTWILER HAVE COMPLIED WITH THE AGREEMENT

DATE: June 30, 2017

The Monitor found ADOC and Tutwiler to be ‘Substantially Compliant” with this provision during the December 2015, and June and December 2016 Compliance Visits. As of June 30, 2017 ADOC and Tutwiler continue to be in “Substantial Compliance “ with this provision.

The Monitor determined the rating of "Substantial Compliance" based upon the following observations:
• SOP 8-12 Inmate Sexual Abuse and Sexual Harassment. • SOP 8-24 Camera Management. • The Monitor read the minutes from the annual review of the Camera System held on November 16, 2016. The Monitor reviewed the findings of this
review. • The Monitor reviewed the daily logs maintained in the camera room for January-June 2017. These logs were maintained according to the SOP directives.
These logs make a specific notation when a supervisor requests to review specific camera footage, and then any request to export the footage for use in an investigation. • The Monitor interviewed ADOC investigator Kelly Smith, assigned to Tutwiler, and asked her about her use of the camera during her PREA investigations. She routinely uses this footage, if available. The PREA investigations reviewed by the Monitor showed an appropriate use of the cameras. • The Monitor visited the camera room during the June 2017 Compliance Visit and viewed the monitor operations and interviewed the officer present.

MONITOR’S RECOMMENDATIONS: (for at least the next 6 months)
None.

DATE DUE: N/A

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CAMERA MANAGEMENT

III.B. The ADOC has implemented a state-of-the-art camera system at Tutwiler, and contracted with an expert who has conducted a review of the ADOC’s

Camera Plan, including a review of each camera’s placement. As a result of that review, cameras are strategically placed to maximize supervision while

protecting privacy. Policies directing the appropriate use of cameras and periodic staff training to ensure sustainability and effective operation of the camera

system will remain as standard operational practice.

Policy

Develop Implement

Policy Policy

2. Camera management policies and procedures, including the locations where cameras have been placed,

will be reviewed at least annually to ensure they are serving their goal of maximum supervision.

III.B.2

SOP 5-24

May May 28,

28,

2016

2015

REQUIREMENTS

Policy Developed

Staff Trained

Policy Implemented

Ensure that cameras are serving their goal of maximum supervision.

Y N N/A Y N N/A Y N N/A

To the extent that any changes to the Camera Management policies and procedures, or to a camera location, need to be made they will be made within 30 days of the completion of the annual review.

Y N N/A Y N N/A Y N N/A

If a change cannot be made within 30 days, the reason for exceeding 30 days will be documented.

Y N N/A Y N N/A Y N N/A

MONITOR’S MEASURES OF COMPLIANCE
1. Report from Annual Camera Review Meeting: November 2016. 2. Review of Warden Wright’s Annual Camera Action Plan Update which lists action plan items resulting from the annual camera assessment and the
status of each. 3. The Monitor’s observations of camera room operations.

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STEPS TAKEN BY MONITOR TO ANALYZE CONDITIONS AND ASSESS COMPLIANCE, AND FACTUAL BASIS FOR MONITOR’S FINDINGS

(for each member of monitoring team)

Documents

Interviews

On-site/Observations / Other

• SOP 5-24 Camera Management • November 2016 annual
review of the camera room monitors and facility cameras

• Warden Wright • Lt. Young. IPCM • Ms. Kelley Smith, ADOC Investigations &
Intelligence Unit Investigator for Tutwiler

• Compliance Visit June 25-30, 2017 • Tour of camera room operation during
Compliance Visit

None.

UNRESOLVED/PARTIALLY RESOLVED ISSUES FROM PREVIOUS TOUR

The Monitor found ADOC and Tutwiler to be ‘Substantially Compliant’ with this provision during the December 2016 Compliance Visit.

The Monitor made no recommendations regarding the provision during the December 2016 Compliance Visit.

MONITOR’S FINDINGS: Substantial Compliance Partial Compliance Non-compliance n/a no assessment due until __________

DATE: June 30, 2017

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MONITOR’S DISCUSSION: STEPS TAKEN BY ADOC AND TUTWILER TOWARDS IMPLEMENTATION
Attendees at the annual camera assessment meeting attendees included:
• Warden Wright • Chris Wilson, Tutwiler's Maintenance Supervisor • Lt. Young, Intuition PREA Compliance Manager • Lt. Coleman, Grievance Coordinator • Ms. Kelley Smith, Investigator • Ms. Christy Vincent, ADOC PREA Coordinator • David Courson, Network Engine, ADOC Information Systems • Harlin Day, ADOC Engineer • Mike Wetherill, ADOC Engineer • Johnny Rush, ADOC Engineer Project Director • Patrick Skipper, MTS-Vice-President

DATE: June 30, 2017

MONITOR’S DISCUSSION: EXTENT TO WHICH ADOC AND TUTWILER HAVE COMPLIED WITH THE AGREEMENT

DATE: June 30, 2017

Note: The Monitor uses the time frame January 1-June 30, 2017 as the "reporting period" throughout this report. The Monitor received documents and updates from ADOC prior to, during, and after the compliance visit of June 25-30, 2017.

The Monitor found ADOC and Tutwiler to be ‘Substantially Compliant” with this provision during the December 2015, and June and December 2016 Compliance Visits. As of June 30, 2017 ADOC and Tutwiler continue to be in “Substantial Compliance “with this provision.

The Monitor determined the rating of "Substantial Compliance" based upon the following observations:
• SOP 8-12 Inmate Sexual Abuse and Sexual Harassment. • SOP 8-24 Camera Management. • The annual camera assessment was conducted in November 16, 2016 and a report was generated documenting three outstanding action items. The
Monitor reviewed the minutes from the annual review meeting as well as the findings. • The Monitor received a written update on the action items determined during the annual review . All recommendations were addressed. • The Monitor reviewed the daily logs maintained in the camera room for January-June 2017. These logs were maintained according to the SOP directives.
These logs make a specific notation when a supervisor requests to review specific camera footage, and then any request to export the footage for use in

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an investigation. • The Monitor interviewed ADOC investigator Kelly Smith, assigned to Tutwiler, and asked her about her use of the camera during her PREA investigations.
She routinely uses this footage, if available. The PREA investigations reviewed by the Monitor showed an appropriate use of the cameras, where appropriate. • The Monitor visited the camera room during the June 2017 Compliance Visit and viewed the monitor operations and interviewed the officer present.

MONITOR’S RECOMMENDATIONS: (for at least the next 6 months)
None.

DATE DUE: N/A

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STAFFING

III.C In order to address low staffing levels and the need for more women officers, ADOC and Tutwiler shall ensure that correctional staffing and supervision is

sufficient to adequately supervise inmates and staff and allow for the safe operation of Tutwiler.

Policy

Develop Implement

Policy Policy

1. (i) ADOC and Tutwiler shall continue to develop, submit to the Monitor and DOJ to assess for compliance with this agreement and implement its plan to recruit women III.C.1 correctional officers at Tutwiler

SOP 5-24

ADOC May 28,

May 28, 2015

2015

AND

November

28, 2015

Policy

Staff Trained

Policy

REQUIREMENTS

Developed

Implemented

Continue to work with the Alabama Peace Officer Standards and Training

Y N N/A Y N N/A

Commission (APOSTC) in screening, selecting, or hiring applicants for the entry-level

corrections officer positions until such standards, or any other physical test

employed, are: 1. validated for a corrections environment; and 2. examined for the necessity of gender-norming certain components

Y N N/A Y N N/A Y N N/A Y N N/A

Y N N/A
Y N N/A Y N N/A

Continue to conduct physical fitness assessments on all correctional office trainees, to include the provision of training recommendations to meet APOSTC physical training requirements

Y N N/A Y N N/A

Y N N/A

Examine workplace practices such as mandatory overtime and shift length to assess whether any of those practices may negatively impact hiring and retaining women candidates

Y N N/A Y N N/A

Y N N/A

Continue the practice of allowing officers from other ADOC facilities to serve overtime or otherwise be temporarily assigned at Tutwiler only after those officers have been trained as required by this agreement

Y N N/A Y N N/A

Y N N/A

By November 28, 2015 and every six months thereafter, provide to the Monitor and

DOJ the numbers of men and women who have taken any required entry-level

Y N N/A Y N N/A

physical examination(s) and the results of any such tests broken down by gender for

each test administration

ADOC shall continue to employ an upper-level, Department-wide PREA Coordinator wIIIi.tCh.1sufficient time and authority to develop, implement, and oversee its efforts to

Y N N/A Y N N/A

Y N N/A Y N N/A

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comply with the PREA standards at Tutwiler and all of its facilities

Designate a full-time (40 hours/week) PREA Compliance Manager who: 1. has no other duties within ADOC or Tutwiler and who is assigned to oversee PREA compliance at Tutwiler. 2. works closely with the PREA Compliance Managers at Montgomery Women’s Y N N/A Y N N/A Facility and Birmingham Work Release for consistency in women’s services 3. monitors any other facility that is built to house women inmates on PREArelated matters 4. has sufficient authority to coordinate Tutwiler’s efforts to comply with the PREA standards

ADOC and Tutwiler shall ensure that Tutwiler’s PREA Compliance Manager reports directly to the Warden or the Department-wide PREA Coordinator

Y N N/A Y N N/A

Develop, in policy, a job description for Tutwiler’s PREA Compliance Manager with expected responsibilities and submit the policy to the Monitor and DOJ for review

Y N N/ Y N N/A

Provide training to the Tutwiler PREA Compliance Manager necessary to fulfill his or her duties
Document the Tutwiler PREA Compliance Manager’s activities

Y N N/A Y N N/A Y N N/A
Y N N/A

Y N N/A
Y N N/A Y N N/A Y N N/A Y N N/A

MONITOR’S MEASURES OF COMPLIANCE

III.C.1

1. SOP 8-12 Inmate Sexual Abuse and Sexual Harassment, SOP 9-6 Staffing Plan, and SOP 9-5 Mandatory Overtime. 2. ADOC spreadsheet for the six-month physical assessment tests results, by gender, for January-June 2017. 3. Documents for any meetings or correspondence with APOSTC by Deputy Commissioner Brand or any other ADOC staff. 4. Review of pre-training physical fitness assessment logs with Correction Officer trainees for January-June 2017. 5. Review January-June 2017 staff monthly gender breakdown at Tutwiler for security staff. 6. Review January-June 2017 assignment of overtime staff, including a monthly summary of the names of staff and days worked. Rosters are available
on site to review the assignment of overtime staff. 7. PREA training records of staff working overtime. 8. Review of any data generated or collected by ADOC and Tutwiler regarding the pass/fail rates for male/female applicants and trainees. 9. Interviews with Institutional PREA Compliance Manager Lt. Young at Tutwiler to discuss her duties per her job description. 10. Documentation for any training Lt. Young received. 11. Interviews with Deputy Commissioner Brand, Commissioner Dunn, Deputy Commissioner Williams, ADOC Personnel Director Lawley, and Warden
Wright.

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STEPS TAKEN BY MONITOR TO ANALYZE CONDITIONS AND ASSESS COMPLIANCE, AND FACTUAL BASIS FOR MONITOR’S FINDINGS (for each member of monitoring team)

Documents

Interviews

On-site/Observations / Other

• SOP 8-12 Inmate Sexual Abuse and Sexual Harassment • Commissioner Dunn

• SOP 9-6 Staffing Plan

• Deputy Commissioner Brand

• SOP 9-5 Mandatory Overtime

• Deputy Commissioner Williams

• ADOC physical fitness assessments for Correction

• William Lawley, ADOC Personnel Director

Officer Trainees

• Warden Wright

• Documents for any APOSTC meetings with Deputy • Lt. Young, IPCM

Commissioner Brand • Documents listing authorized overtime staff

available and working • Documentation for training received by Lt. Young

in 2017 • Tutwiler staff rosters • ADOC reports for staff physical fitness exam

results, from the academy, broken down by

gender: January-June 2017

• Compliance Visit June 25-30, 2017

None.

UNRESOLVED/PARTIALLY RESOLVED ISSUES FROM PREVIOUS TOUR

The Monitor found ADOC and Tutwiler to be in "Partial Compliance" with this provision during the December 2016 Compliance Visit.

All recommendations made by the Monitor during the December 2016 Compliance Visit have been addressed by ADOC and Tutwiler.

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MONITOR’S FINDINGS: Substantial Compliance Partial Compliance Non-compliance n/a no assessment due until __________

DATE: June 30, 2017

MONITOR’S DISCUSSION: STEPS TAKEN BY ADOC AND TUTWILER TOWARDS IMPLEMENTATION

DATE: June 30, 2017

ADOC continues to work with the APOSTC on the screening, selecting, or hiring of applicants for the entry-level correction officer positions. Documentation was forwarded to the DOJ and the Monitor on October 17, 2016, to document an APOSTC approved modification to the Physical Agility Ability Testing PAAT) requirement at the Basic Training Academy. This change was effective January 1, 2017. Deputy Commissioner Matt Brand (Training and Development) continues to assess the correctional officer training hiring processes, in addition to the physical fitness screening processes. A policy is "not-applicable" to this provision, nor is staff training and policy implementation. Caption Mark Loman continues in his role as Recruiting Director for ADOC and reports directly to Deputy Commissioner Brand.

With the recent change to the PAAT being moved to the end of the Academy, the ADOC has discontinued the physical fitness assessments that were conducted on all correctional officer trainees during their pre-Academy assignment. The first basic training academy class in 2017, Class 17-01 which began in February, was the first class to enter the academy under the new APOSTC rules that push the last PAAT attempt from the first week to week eight. This change has already produced some promising results. The trainees that could not pass the PAAT in week one, including one of the females, all passed the test by week eight and all successfully graduated the Academy in May. This is the first time in recent memory that no one, male or female, was removed from the basic training course for a PAAT failure. Elliott Sanders is now the Director of Training, and he maintains this data and reports it to the Deputy Commissioner for Women’s Services and the Deputy Commissioner for Training & Development, quarterly. Deputy Commissioner Brand and Director Sanders are the liaisons to APOSTC. A policy is ‘notapplicable’ to this provision, nor is staff training and policy implementation.

Tutwiler leadership continues to periodically examine workplace practices such as mandatory overtime and shift length to assess whether any of those practices may negatively impact hiring and retaining women candidates. This is completed in routine staff meetings, individual employee conferences conducted with the Warden, and exit interviews with departing staff. A staff survey was administered in March 2017 and shift satisfaction was a topic on the survey. The survey was open from March 16 thru March 31, 2017, and a total of 106 Tutwiler employees participated in the survey. Of the 106 staff
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who completed the survey, 93 staff responded to the questions concerning 12-hour and 8-hour shift preferences. Sixty-one percent of the respondents indicated they preferred 12-hour shift rotations, while only 37% indicated they preferred the 8-hour shift rotations. Fifty-two percent of the respondents indicated they understood the reasons for the 4-hour mandated overtime increments, while only 37% indicated they understood the reasons for the mandated 12-hour overtime on their days off.
On April 20, 2017, Warden Wright submitted a proposal to the Deputy Commissioner for Women's Services outlining the justification for transition Tutwiler law enforcement staff from 12-hour shifts to 8 hour shifts, effective June 3, 2017. The proposal included the justification for the change, the implementation and transition process, and sample schedules for every shift before and after the change to 8-hour shifts. A decision was made to transition to the 8-hour shifts effective June 3, 2017.
Deputy Commissioner Brand reports a clear uptick in overall recruiting numbers for ADOC over the past several months. ADOC just graduated 24 correctional officers from the basic training academy in early May 2017, and 50 correctional officer trainees began the academy class in early June. Of these, 10 officers are slated for the three women’s facilities (nine for Tutwiler). Deputy Commissioner Brand cites several factors leading to this improvement in recruiting. First, the agency has tried to leverage media coverage with positive stories in addition to those stories that report the less than positive incidents. Second, the Alabama Prison Transformation Initiative (APTI) has resulted in some positive media coverage as well. In addition, the ADOC is now well into a social media push, with official department Facebook and Twitter pages running at full throttle, with positive reports and effective outreach efforts being seen by hundreds of followers. ADOC recently graduated a third Sergeants Academy class, and some of the top students in each class have come from Tutwiler and the other women’s facilities. These first-line supervisors are sharing their lessons learned with others, and are better leaders as a result of the course, and are an ingredient of the more positive work environment at Tutwiler. This will continue to improve the all-important “word of mouth” recruiting by Tutwiler staff.
ADOC continues to advertise via television, radio and billboard, and also are using the social media improvements mentioned above to attract new recruits. The department conducted a “Facebook Live” event from a job expo in Mobile on May 11th that showcased a couple of female correctional officers, along with recruiting staff.
ADOC continues the practice of allowing officers from other ADOC facilities to serve overtime or otherwise be temporarily assigned at Tutwiler only after those officers have been trained as required by the Agreement. This is documented in SOP 9-5, Overtime .
Since November 28, 2015, ADOC and Tutwiler have provided to the Monitor and the DOJ the numbers of men and women who have taken any required entrylevel physical examination(s) and the results of any such tests broken down by gender for each test administration. This information has been tracked since May 28, 2015. A policy is "not applicable" to this provision, nor is staff training and policy implementation.
ADOC continues to employ an upper-level, Department-wide PREA Coordinator (Ms. Christy Vincent) with sufficient time and authority to develop, implement, and oversee its efforts to comply with the PREA standards at Tutwiler and all ADOC facilities. This is documented in agency policy AR 454.
Tutwiler continues to designate a full-time (40 hours/week) PREA Compliance Manager, Lt. Yvette Young, who 1) has no other duties within ADOC or Tutwiler and who is assigned to oversee PREA compliance at Tutwiler, 2) works closely with the PREA Compliance Managers at Montgomery Women’s Facility and Birmingham Work Release for consistency in women’s services, 3) monitors any other facility that is built to house women inmates on PREA-
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related matters, and 4) has sufficient authority to coordinate Tutwiler’s efforts to comply with the PREA standards. These provisions are documented in SOP 9-16, Institutional PREA Compliance Manager.
Tutwiler continues to ensure that Tutwiler’s PREA Compliance Manager reports directly to the Warden, Deidra Wright. This provision is documented in SOP 9-16 Institutional PREA Compliance Manager as well.
Tutwiler developed, in policy, a job description with expected responsibilities for Tutwiler’s PREA Compliance Manager. This is documented in SOP 9-16.
Lt. Young attended the annual Institutional PREA Compliance Manager (IPCM) training conducted by the Agency PREA Coordinator in January, 2017. The requirement for continued IPCM training is documented in SOP 9-16. The Monitor previously reviewed the curriculum Ms. Vincent used for this training session and observed documentation of Lt Young's successful completion of the course.
SOP 9-16 requires documentation of the Tutwiler PREA Compliance Manager’s activities. Lt. Young continues to maintain this detailed documentation and the Monitor reviewed it during her one-on-one interview with Ms. Young.

MONITOR’S DISCUSSION: EXTENT TO WHICH ADOC AND TUTWILER HAVE COMPLIED WITH THE AGREEMENT

DATE: June 30, 2017

Note: The Monitor uses the time frame January 1-June 30, 2017 as the "reporting period" throughout this report. The Monitor received documents and updates from ADOC prior to, during, and after the compliance visit of June 25-30, 2017.

The Monitor found ADOC and Tutwiler to be in “Partial Compliance” with this provision during the December 2015, and June and December 2016 Compliance Visits. As of June 30, 2017 Tutwiler is determined by the Monitor to be in "Partial Compliance “ with this provision.

The Monitor determined the rating of "Partial Compliance" based upon the following observations.
The APOSTC approved modification to the Physical Agility Ability Testing (PAAT) requirement at the Basic Training Academy is significant and greatly enhances the opportunity to recruit women candidates. This change was effective January 1, 2017. Deputy Commissioner Matt Brand (Training and Development) continues to assess the correctional officer training hiring process.
With the recent change to the PAAT testing being moved to the end of the Academy, the ADOC has discontinued the physical fitness assessments that were conducted on all correctional officer trainees during their pre-Academy assignment. This change has also had a positive effect on the recruitment and retention of women candidates.
Pursuant to this provision, the physical training standards employed by the APOSTC should be validated for all candidates. The standards employed have yet to be validated for a corrections environment and APOSTC's standards have not been examined for the necessity of gender-norming certain components. The Monitor expects the ADOC to continue to work with the APOSTC in screening, selecting, or hiring applicants for entry-level corrections officer positions. While
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the physical fitness standards may be a bar to women being employed as officers, the recent changes have improved the chances of the recruitment and retention of women candidates. The Monitor is advised APOSTC is in the process of conducting a validation study of their standards. Until such time as the validation of these standards is addressed, the Monitor determines "partial compliance" with this provision. . Much work has been done. It is the Monitor's understanding that mandatory overtime and shift length had an effect on retention of staff, especially women staff. Based upon previously conducted staff interviews, the Monitor understood that 12-hour shifts were especially problematic to young mothers who were unable to place their children in daycare for twelve hour periods. Tutwiler continues to examine workplace practices such as mandatory overtime and shift length to assess whether any of those practices may negatively impact hiring and retaining women candidates. The recent transition to 8-hour shifts reportedly is having a positive effect on attendance, reducing the need for forced overtime.
Tutwiler continues the practice of allowing officers from other ADOC facilities to serve overtime or otherwise be temporarily assigned at Tutwiler only after those officers have been trained as required by this agreement.
ADOC continues to provide to the Monitor and the DOJ the numbers of men and women who have taken any required entry-level physical examination(s) and the results of any such tests broken down by gender for each test administration.
ADOC continues to employ an upper-level, Department-wide PREA Coordinator with sufficient time and authority to develop, implement, and oversee its efforts to comply with the PREA standards at Tutwiler and all of its facilities.
Tutwiler continues to designate a full-time (40 hours/week) PREA Compliance Manager with all duties outlined in Section III.C.1.ADOC and Tutwiler continue to ensure that Tutwiler’s PREA Compliance Manager reports directly to the Warden. A job description for Tutwiler’s PREA Compliance Manager is outlined in SOP 916, IPCM. ADOC and Tutwiler continue to provide training to the Tutwiler PREA Compliance Manager necessary to fulfill his or her duties. Tutwiler continues to document the Tutwiler PREA Compliance Manager’s activities.

MONITOR’S RECOMMENDATIONS: (for at least the next 6 months)

DATE DUE:

1. The Monitor expects the ADOC to continue to work with the APOSTC in screening, selecting, or hiring applicants for entrylevel corrections officer positions and to support the APOSTC's reported efforts to have the physical fitness standards validated for a corrections environment and examining the necessity of gender-norming certain components.
2. The Monitor will receive notification of any actions taken by APOTC, regarding ADOC recommendations . 3. The Monitor will be informed of any specific actions taken by ADOC to enhance recruiting efforts, specifically, for Tutwiler.

Ongoing
Ongoing Ongoing

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STAFFING III.C In order to address low staffing levels and the need for more women officers, ADOC and Tutwiler shall ensure that correctional staffing and supervision is sufficient to adequately supervise inmates and staff and allow for the safe operation of Tutwiler.
Policy Develop Implement Policy Policy
AR 454 February May 28, SOP 8-12 28, 2016 2016 SOP 9-6

REQUIREMENTS

Policy Developed

Staff Trained

Policy Implemented

III.C.2.i – III.C.2.x (Consent Decree p. 34-44 Doc # 11).

NA

NA

NA

ADOC and Tutwiler shall develop, document, and implement a staffing plan, based on genderresponsive principles and PREA requirements, that provides for adequate staffing levels and, where, applicable, video monitoring to protect inmates against sexual abuse and sexual harassment. This staffing plan shall be provided to the Monitor and DOJ and shall include the following:
1. Identification of all posts and positions at Tutwiler, including any gender-specific posts required for the safe operation of the facility;
2. Shift relief factor for Tutwiler; 3. Policies and procedures for reviewing and amending Tutwiler’s staffing plan.

In calculating adequate staffing levels, ADOC and Tutwiler shall, as part of a staffing analysis, consider: 1. Generally accepted detention and correctional practices; 2. ADOC and Tutwiler’s determination of which necessary duties will be handled by Tutwiler staff, ADOC staff, or outside agencies; 3. Any findings of inadequacy from any investigative agencies within ADOC 4. Any findings of inadequacy from internal or external oversight bodies 5. The Camera Management Plan and all components of the facility’s physical plan; 6. The composition of the inmate population 7. The number and placement of supervisory staff; 8. Institution programming and options for supervision of inmates; 9. A Tutwiler specific shift relief-factor; 10. Any applicable state or local laws, regulations, or standards; and 11. The prevalence of substantiated and unsubstantiated incidents of sexual abuse and sexual harassment.

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Within nine months of the effective date, ADOC and Tutwiler shall submit this staffing plan and staffing analysis to the Monitor and DOJ for review and comment, and shall maintain the underlying data utilized in conducting the staffing analysis and plan and provide this data to DOJ or the Monitor if requested.
Within one year of the Effective Date, ADOC and Tutwiler shall adopt the results of the staffing plan consistent with PREA standards.
ADOC and Tutwiler, in consultation with the Department-wide PREA Coordinator and Tutwiler's PREA Compliance Manager, shall assess, determine, and document via a Staffing Update and Staffing Report, whether adjustments are needed to the staffing plan, and –taking into account available resources– implement such adjustments.
The Staffing Update shall be provided to the Monitor and DOJ quarterly and shall include the following information:
1. A listing of staff hired at Tutwiler, by gender and positions filled; and 2. A listing of staff who ended their employment at Tutwiler, including gender,
position, and reason for separation.
The Staffing Report shall be provided to the Monitor and DOJ every six months in the first year after the Effective Date and yearly thereafter until termination of this Agreement. Each Staffing Report will include the following information: 1. An evaluation of existing staffing levels and need for adjustments; 2. A listing of each post and position needed; 3. The number of hours needed for each post and position; 4. A listing of staff, by gender, working overtime at Tutwiler and the amount of overtime worked by
each staff member; 5. A listing of supervisors by gender working overtime at Tutwiler; and 6. Tutwiler’s assessment of its ability to comply with the staffing plan.
To the extent such policy does not already exist, the ADOC and Tutwiler shall develop, submit to the Monitor and DOJ for review consistent with Section III.A.6., and implement a policy that includes: 1. That ADOC and Tutwiler not hire or promote, or enlist the services of anyone who may have contact with inmates, and shall not enlist the services of any contractor who may have contact with inmates at Tutwiler, who: (1) has engaged in sexual abuse or sexual harassment in a prison, jail, lockup, community confinement facility, juvenile facility, or other institution; (2) has been convicted of engaging or attempting to engage in sexual activity in the community facilitated by force, overt or implied threats of force, or coercion, or if the victim did not consent or was unable to consent or refuse; or, (3) has been civilly or administratively adjudicated to have engaged in the activity described in this section. To this end, ADOC and Tutwiler shall:
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a. Follow ADOC policy that requires that all new employees be asked about previous misconduct, as defined above in Subsection 1. This can be in written application or documented as part of an interview. ADOC policy shall be amended to state the same in regards to promotions.
b. Perform a criminal background records check; and c. Contact all prior institutional employers for information on substantiated
allegations of sexual abuse and sexual harassment or any resignation during a pending investigation of an allegation of sexual abuse and sexual harassment. 3. ADOC and Tutwiler shall conduct criminal background records checks at least once every five years for current employees and respond to any relevant results of those checks as described in Section III.K below. 4. ADOC and Tutwiler shall conduct criminal background records checks at least once every five years for contractors who may have contact with inmates. For any current ADOC staff temporarily assigned to Tutwiler for regular or overtime duty, Tutwiler will create a system to manage and track any allegations of sexual harassment or sexual abuse made against them at the ADOC facility they are assigned to. Consistent with ADOC policy, employees have an affirmative duty to disclose any previous sexual abuse and sexual harassment, as described in Subsection 1. above. Material omissions of such information shall be grounds for termination. 5. ADOC and Tutwiler will conduct an initial criminal records check on all Tutwiler volunteers. Any volunteer with a background that includes engaging in sexual abuse may not be utilized as a volunteer. At least every five years, Tutwiler and ADOC will perform an additional criminal background check on all current volunteers.
When ADOC or any other governmental entity responsible for collective bargaining on ADOC’s behalf contracts for services with individuals, private agencies or other entities, including other government agencies, they shall include in any new contracts or contract renewals the entity’s obligation to adopt and comply with Tutwiler’s policies and procedures governing sexual abuse and sexual harassment.
ADOC and/or Tutwiler policies and procedures require that contractors and volunteers who have contact with inmates but are not directly supervised by ADOC or Tutwiler employees comply with Tutwiler’s sexual abuse and sexual harassment policies and procedures.
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MONITOR’S MEASURES OF COMPLIANCE 1. Review the draft staffing analysis completed by consultants and comments made by the Monitor and the DOJ. 2. Interviews with Deputy Commissioner Brand, Personnel Director Lawley and Deputy Commissioner Williams.

STEPS TAKEN BY MONITOR TO ANALYZE CONDITIONS AND ASSESS COMPLIANCE, AND FACTUAL BASIS FOR MONITOR’S FINDINGS (for each member of monitoring team)

Documents

Interviews

On-site/Observations / Other

Reviewed: • Draft staffing plan completed by
consultants in June 2016 • Previously offered comments made by
Monitor and DOJ

• Commissioner Dunn • Deputy Commissioner Brand • Deputy Commissioner Williams • Warden Wright • Lt. Young, IPCM

• Compliance Visit June 25-30, 2017

UNRESOLVED/PARTIALLY RESOLVED ISSUES FROM PREVIOUS TOUR The Monitor found ADOC and Tutwiler to be ‘Partially Compliant” with this provision during the December 2016 Compliance Visit.
ADOC and Tutwiler addressed the recommendations made by the Monitor during the December 2016 Compliance Visit by providing her a summary of the results of the staff survey and reviewing the flexibility of the increased use of eight hour shifts.

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MONITOR’S FINDINGS: Substantial Compliance Partial Compliance Non-compliance n/a no assessment due until __________

DATE: June 30, 2017

MONITOR’S DISCUSSION: STEPS TAKEN BY ADOC AND TUTWILER TOWARDS IMPLEMENTATION

DATE: June 30, 2017

ADOC and Tutwiler expended considerable funds to have a Staffing Analysis conducted at Tutwiler by nationally recognized experts to research and develop a gender-responsive staffing plan for Tutwiler. The staffing plan is informed by gender-responsive principles identified by the National Institute of Corrections (NIC), Prison Rape Elimination Act (PREA) requirements, U.S. Department of Justice (DOJ) settlement agreement requirements, and emerging correctional practice that serve as the foundation for staffing plan development.
Initially, Monitor Lancaster was asked to review the schedule for the Phase II Staffing section due to its complexity, multiple requirements, and need for a tremendous amount of data from ADOC and Tutwiler. Monitor Lancaster provided recommendations in the first court report and noted concerns about the timeframes established in the settlement for the completion of the analysis and the implementation of the staffing plan. Early on, the Monitor strongly recommended revisions to the schedule and approved project extensions.
The Monitor received an initial request from ADOC for an extension on February 23, 2016.. Subsequently, both parties agreed that ADOC should request a 60-day extension to complete the staffing analysis and implementation plan. The Monitor granted a second extension, for 60 days, on March 29, 2016.
ADOC submitted the draft staffing analysis to the DOJ and the Monitor in Spring 2016. The DOJ and Monitor Lancaster offered comments on this draft. On August 16, 2016 ADOC sought clarification regarding some of the DOJ’s feedback.
During the December 2016 Compliance Visit, the DOJ asked the new Monitor to review the staffing plan and the DOJ's comments in an attempt to clarify all comments for ADOC's review, consideration and response. On January 30, 2017, Monitor Dennehy provided ADOC with extensive feedback. ADOC was working though these comments and the parties agreed that an additional extension of time was necessary to finalize the draft staffing plan. ADOC requested and the Monitor fully supported and approved an extension to June 1, 2017. III.C.2

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The ADOC continued to work with the Monitor and the DOJ towards developing a final approved staffing analysis to ensure it effectively incorporates gender responsive principles required in the Settlement Agreement. An additional extension to September 1, 2017 was approved by the Monitor to allow ADOC sufficient time to review and respond to each recommendation made by the DOJ and the Monitor. Section III.C.2.vi, requires Tutwiler to provide a staffing update to the Monitor and the DOJ quarterly. ADOC and Tutwiler provided a breakdown of the June 2017 staffing/vacancy rates to the Monitor on July 27, 2017. Section III.C.2.vii, requires Tutwiler to provide to the Monitor and the DOJ, every six months in the first year after the effective date, and yearly thereafter, a staffing report. This report is contingent upon the completion of the staffing analysis. Section III.C.2.viii, requires ADOC and Tutwiler to develop a policy to implement the provisions outlined in this section of the Agreement. AR 454 and SOP 8-12 outline these provisions in policy.
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MONITOR’S DISCUSSION: EXTENT TO WHICH ADOC AND TUTWILER HAVE COMPLIED WITH THE AGREEMENT

DATE: June 30, 2017

Note: The Monitor uses the time frame January 1-June 30, 2017 as the "reporting period" throughout this report. The Monitor received documents and updates from ADOC prior to, during, and after the compliance visit of June 25-30, 2017.
The Monitor found ADOC and Tutwiler to be ‘Partially Compliant” with this provision during the June and December, 2016 Compliance Visits. As of June 30, 2017 DOC and Tutwiler continue to be in “Partial Compliance” with this provision.
The Monitor determined the rating of "Partial Compliance" based upon the following.
After the Monitor’s June 2017 Compliance Visit, but before the filing of this report with the Court, the Deputy Commissioner of Women's Services approved the 84-page staffing plan. On July 26, 2017, ADOC provided the DOJ and the Monitor a copy of the finalized staffing plan and a matrix of every comment / suggestion previously provided to the ADOC by the DOJ and the Monitor, with an explanation for what was modified and what was not included in the final
report.
The Monitor will review the 84-page staffing plan to carefully review ADOC's documented consideration of the Monitor and the DOJ's recommendations. During the upcoming review period, the Monitor will pay particular attention to those recommendations that were not incorporated into the staffing plan and the rationale behind these decisions. The Monitor will continue to work with ADOC and Tutwiler as they move forward to begin implementation of several key staffing analysis recommendations and documented on pages 36-38 of the staffing plan ADOC has requested and the Monitor has approved an additional three month extension to November 28, 2017 for the development of an implementation plan which the Monitor will review in conjunction with the staffing plan.
Section III.C.2.vi, requires Tutwiler to provide a staffing update to the Monitor and the DOJ quarterly. This report was forwarded to the DOJ and the Monitor on March 13, 2017, and August 9, 2017. Staffing Updates are provided to the Monitor and the DOJ quarterly, and includes the following information: (a) a listing of staff hired at Tutwiler, by gender and positions filled; and, (b) a listing of staff who ended their employment at Tutwiler, including gender, position, and the reason for separation.
Section III.C.2.vii, requires Tutwiler to provide to the Monitor and the DOJ, every six months in the first year after the effective date, and yearly thereafter, a staffing report. This report is contingent upon the completion of the staffing analysis. As such, the first report will be due January 26, 2018.
Section III.C.2.viii, requires ADOC and Tutwiler to develop a policy to implement the provisions outlined in this section of the Agreement. AR454 and SOP 8-12 outline these provisions in policy.
ADOC and Tutwiler have implemented policy (AR 454, SOP 8-12) that includes: (a) that ADOC and Tutwiler not hire or promote, or enlist the services of anyone
III.C.2

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who may have contact with inmates, and shall not enlist the services of any contractor who may have contact with inmates at Tutwiler, who: (1) has engaged in sexual abuse or sexual harassment in a prison, jail, lockup, community confinement facility, juvenile facility, or other institution; (2) has been convicted of engaging or attempting to engage in sexual activity in the community facilitated by force, overt or implied threats of force, or coercion, or if the victim did not consent or was unable to consent or refuse; or, (3) has been civilly or administratively adjudicated to have engaged in the activity described in this section.
Effective May 20, 2016, ADOC began asking all new employees about previous misconduct. This is documented as part of an interview. ADOC policy has been amended to state the same in regards to promotions.
ADOC and Tutwiler continue to perform a criminal background records check on all new employees and those being considered for promotion.
ADOC and Tutwiler continue to contact all prior institutional employers for information on substantiated allegations of sexual abuse and sexual harassment or any resignation during a pending investigation of an allegation of sexual abuse and sexual harassment. ADOC and Tutwiler continue to conduct criminal background records checks at least once every five years for current employees and respond to any relevant results of those checks as described in Section III.K below. ADOC and Tutwiler continue to conduct criminal background records checks at least once every five years for contractors who may have contact with inmates. For all current ADOC staff temporarily assigned to Tutwiler for regular or overtime duty, Tutwiler has created a system to manage and track any allegations of sexual harassment or sexual abuse made against them at the ADOC facility they are assigned to.
Consistent with ADOC policy, employees have an affirmative duty to disclose any previous sexual abuse and sexual harassment, as described in Subsection 1 above. Material omissions of such information shall be grounds for termination.
ADOC and Tutwiler continue to conduct an initial criminal records check on all Tutwiler volunteers. Any volunteer with a background that includes engaging in sexual abuse may not be utilized as a volunteer. At least every five years, Tutwiler and ADOC will perform an additional criminal background check on all current volunteers.
When ADOC or any other governmental entity responsible for collective bargaining on ADOC’s behalf contracts for services with individuals, private agencies or other entities, including other government agencies, they will continue to include in any new contracts or contract renewals the entity’s obligation to adopt and comply with Tutwiler’s policies and procedures governing sexual abuse and sexual harassment.
ADOC and/or Tutwiler policies and procedures continue to require that contractors and volunteers who have contact with inmates but are not directly supervised by ADOC or Tutwiler employees comply with Tutwiler’s sexual abuse and sexual harassment policies and procedures.
III.C.2

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MONITOR’S RECOMMENDATIONS:

DATE DUE :

(for at least the next 6 months)

1. The Monitor will review the 84-page staffing plan submitted on July 26, 2017 to carefully review ADOC's documented

1. Ongoing

consideration of the Monitor and the DOJ's previously provided recommendation. During the upcoming review period, the Monitor

will pay particular attention to those recommendations that were not incorporated into the staffing plan and the rationale behind

these decisions. ADOC and Tutwiler will work with the Monitor as they move forward to begin implementation of several key

staffing analysis recommendations and documented on pages 36-38 of the staffing plan.

2.In conjunction with the review of the staffing plan, the Monitor requests two periodic updates from ADOC and Tutwiler on the development of an implementation plan.

First update on October 15, 2017 Second update on November 30, 2017

III.C.2

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TRAINING

III.D ADOC and Tutwiler shall ensure that all staff have the adequate knowledge, skill, and ability to prevent, detect, and respond to sexual abuse and sexual

harassment at Tutwiler, and to manage, interact, and communicate appropriately with women inmates and lesbian, gay, bisexual, transgender, and gender

nonconforming inmates.

Policy

Develop Policy Implement

Policy

1. ADOC and Tutwiler shall train all staff who may have contact with inmates with the following:

Before

III.D.1

SOP 8-12 November 28, November

2015

28, 2015

(Monitor/ADOC (within 6

must

months of

draft/revise

Effective

training; E.4) Date; E.2)

Policy

Staff Trained

Policy

REQUIREMENTS

Developed

Implemented

Zero-Tolerance policy for sexual abuse and sexual harassment

Y N N/A Y N N/A

Y N N/A

How to fulfill its responsibilities under its sexual abuse and sexual harassment prevention, detection, Y N N/A Y N N/A reporting, and response policies and procedures.

Y N N/A

Inmates’ right to be free from sexual abuse and sexual harassment;

Y N N/A Y N N/A

The right of inmates and employees to be free from retaliation for reporting sexual abuse and sexual Y N N/A Y N N/A harassment;

The dynamics of sexual abuse and sexual harassment in confinement;

Y N N/A Y N N/A

The common reactions of sexual abuse and sexual harassment victims; How to detect and respond to signs of threatened and actual sexual abuse;

Y N N/A Y N N/A Y N N/A Y N N/A

How to respond to sexual abuse and sexual harassment, including:

1. How to respond effectively and professionally to victims of sexual abuse and sexual

Y N N/A Y N N/A

harassment;

2. How and to whom to report allegations or suspicions of sexual abuse and sexual harassment; Y N N/A Y N N/A

3. How to comply with relevant laws related to mandatory reporting of sexual abuse to outside Y N N/A Y N N/A authorities; and

III.D.1

Y N N/A Y N N/A
Y N N/A Y N N/A Y N N/A
Y N N/A Y N N/A Y N N/A

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4. How to preserve physical evidence of sexual abuse (this provision does not apply to volunteers)

Y N N/A Y N N/A

How to avoid inappropriate relationships with inmates;

Y N N/A Y N N/A

Gender-responsive principles, including those applicable to the use of force against women inmates Y N N/A Y N N/A (the provision regarding use of force does not apply to volunteers);

How to communicate effectively and professionally with inmates, including lesbian, gay, bisexual, transgender, intersex and gender nonconforming inmates:
1. Including the use of appropriate name and pronoun for an inmate’s gender presentation and Y N N/A Y N N/A identity
2. This training shall emphasize that verbal abuse- including name calling and the use of racially Y N N/A Y N N/A insensitive or offensive, profane or vulgar language – will not be tolerated.

Y N N/A Y N N/A Y N N/A
Y N N/A Y N N/A

MONITOR’S MEASURES OF COMPLIANCE
1. SOP 8-12 Inmate Sexual Abuse and Sexual Harassment. 2. Revised PREA curriculum used for required training. 3. Rosters for training attendance for all required staff. 4. Certification letter from Deputy Commissioner Williams for the completion of all Tutwiler staff training, per the standards in D. 1 and D. 2. 5. Interviews with Deputy Commissioner Williams, Warden Wright, Captain McClain and Lt. Young.

III.D.1

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STEPS TAKEN BY MONITOR TO ANALYZE CONDITIONS AND ASSESS COMPLIANCE, AND FACTUAL BASIS FOR MONITOR’S FINDINGS (for each member of monitoring team)

Documents

Interviews

On-site/Observations / Other

Reviewed: • SOP 8-12 Inmate Sexual Abuse and Sexual Harassment
policy • Revised PREA training curriculum • Staff training attendance rosters • Letter from Deputy Commissioner Williams
certifying all required Tutwiler staff training
• Review anonymous PREA training evaluations completed by staff

• Deputy Commissioner Williams • Warden Wright • Captain McClain, Settlement
Compliance Manager • Lt. Young, IPCM • Staff interviews

• Compliance Visit June 25-30, 2017

None.

UNRESOLVED/PARTIALLY RESOLVED ISSUES FROM PREVIOUS TOUR

The Monitor found ADOC and Tutwiler to be ‘Substantially Compliant” with this provision during the December 2016 Compliance Visit.

The Monitor made no recommendations regarding this provision during the December 2016 Compliance Visit.

III.D.1

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MONITOR’S FINDINGS: Substantial Compliance Partial Compliance Non-compliance n/a no assessment due until __________

DATE: June 30, 2017

MONITOR’S DISCUSSION: STEPS TAKEN BY ADOC AND TUTWILER TOWARDS IMPLEMENTATION Tutwiler’s Training Team previously accomplished the Gender-Responsive and PREA Training described in this provision.

DATE: June 30, 2017

As of June 30, 2017 all staff working at Tutwiler, to include staff working overtime at Tutwiler from other facilities, have completed both the initial PREA and Gender- Responsive training.

Cpt. Lagreta McClain continues to oversee the staff training and maintains Excel spreadsheets of all training completed and pending.

III.D.1

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MONITOR’S DISCUSSION: EXTENT TO WHICH ADOC AND TUTWILER HAVE COMPLIED WITH THE AGREEMENT

DATE: June 30, 2017

Note: The Monitor uses the time frame January 1-June 30, 2017 as the "reporting period" throughout this report. The Monitor received documents and updates from ADOC prior to, during, and after the compliance visit of June 25-30, 2017.
ADOC and Tutwiler's "Substantial Compliance" with the requirements of this provision was documented during prior reporting periods for the June and December 2016 Compliance Reports. As of June 30, 2017 ADOC and Tutwiler have sustained compliance.
The Monitor determined the rating of "Substantial Compliance” for this reporting period based upon the following observations:
The PREA curriculum includes all of the specified requirements for inclusion in this agreement provision, to be presented in an 8-hour block of instruction. Tutwiler trained all eligible overtime staff in PREA that may work at Tutwiler . Monitor Dennehy spent considerable time cross referencing staff overtime and training records to verify that overtime security employees have met the training requirements. The Monitor reviewed training attendance records for the required training in PREA and Gender Responsive Principles for all Tutwiler employees.
The Monitor reviewed randomly selected training evaluations, for PREA and Gender Responsive Principles, completed anonymously by the staff attendees. The evaluations were positive. During individual interviews with the Monitor, all staff reported having been trained and feeling positive about their training experience.

MONITOR’S RECOMMENDATIONS: (for at least the next 6 months) None.

DATE DUE: N/A

III.D.1

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TRAINING

III.D ADOC and Tutwiler shall ensure that all staff have the adequate knowledge, skill, and ability to prevent, detect, and respond to sexual abuse and sexual

harassment at Tutwiler, and to manage, interact, and communicate appropriately with women inmates and lesbian, gay, bisexual, transgender, and gender

nonconforming inmates

Policy

Develop Implement

Policy Policy

2. Within six months of the Effective Date, all staff shall have received training as set out in

SOP 8-12

February

Section III.D.1

III.D.2

SOP 8-29

28, 2016

REQUIREMENTS

Policy Developed

Staff Trained

Policy Implemented

Train all Staff: 1. Corrections Staff 2. Medical Practitioners -Corizon 3. Mental Health Practitioners -MHM and ADOC 4. Employees of any State agency 5. Contractors 6. Volunteers

Y N N/A Y N N/A Y N N/A Y N N/A Y N N/A Y N N/A Y N N/A

Y N N/A Y N N/A Y N N/A Y N N/A Y N N/A Y N N/A Y N N/A

Y N N/A Y N N/A Y N N/A Y N N/A Y N N/A Y N N/A Y N N/A

MONITOR’S MEASURES OF COMPLIANCE
1. SOP 8-12 Inmate Sexual Abuse and Sexual Harassment and SOP 8-29 LGBTI Inmate Population. 2. PREA training curriculum. 3. Training documentation for staff training LGBTI policy for 2016 as specified in D. 2 provision. Documents from Corizon (contracted inmate medical
provider) and MHM (contracted inmate mental health provider) verifying the dates, attendees and subject of the training . 4. Review any documented "feedback" from staff on the LGBTI and Gender Responsiveness training. 5. Staff interviews. 6. Interviews with Deputy Commissioner Williams, Warden Wright, Captain McClain, and Lt. Young.

III.D.2

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STEPS TAKEN BY MONITOR TO ANALYZE CONDITIONS AND ASSESS COMPLIANCE, AND FACTUAL BASIS FOR MONITOR’S FINDINGS

(for each member of monitoring team)

Documents

Interviews

On-site/Observations / Other

Reviewed: • SOP 8-12 Inmate Sexual Abuse and Sexual Harassment • SOP 8-28 LGBTI Inmate Population • PREA staff training curriculum • Training rosters for Corizon and MHM staff training
in SOP 8-28. Training evaluations completed
anonymously by staff for PREA and Gender
Responsiveness training sessions • Staff interviews

• Deputy Commissioner Williams • Warden Wright • Captain McClain, Settlement
Compliance Manager • Lt. Young, IPCM

• Compliance Visit June 25-30, 2017

UNRESOLVED/PARTIALLY RESOLVED ISSUES FROM PREVIOUS TOUR
None. The Monitor found ADOC and Tutwiler to be ‘Substantially Compliant” with this provision during the December 2016 Compliance Visit. The ADOC has addressed the recommendation made by the Monitor during the December 2016 Compliance Visit regarding soliciting feedback on training needs via the staff survey.

III.D.2

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MONITOR’S FINDINGS: Substantial Compliance Partial Compliance Non-compliance n/a no assessment due until __________

DATE: June 30, 2017

MONITOR’S DISCUSSION: STEPS TAKEN BY ADOC AND TUTWILER TOWARDS IMPLEMENTATION
• The following staff groups received the required training by February 28, 2016: • Corrections staff- 8 hrs. PREA, 16 hrs. Gender Responsiveness (GR) • Medical staff - 8 hrs. PREA, 16 hrs GR • Mental health practitioners - MHM and ADOC, 8 hrs. PREA, 16 hrs. GR • Employees of any state agency - 8 hrs. PREA, 16 hrs. GP • Contractors - 8 hrs. PREA, 16 hrs. GR • Tutwiler volunteers - 2.5 hrs. PREA/G
• The Monitor reviewed training rosters and staff signatures for these required training sessions.
• A curriculum was designed specifically for community volunteers.

DATE: June 30, 2017

III.D.2

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MONITOR’S DISCUSSION: EXTENT TO WHICH ADOC AND TUTWILER HAVE COMPLIED WITH THE AGREEMENT

DATE: June 30, 2017

• ADOC and Tutwiler were found in substantial compliance with the requirements of this provision during the June and December 2016 Compliance Visits. As of June 30, 2017 ADOC and Tutwiler have sustained "Substantial Compliance".
• The Monitor reviewed training rosters and staff signatures for these required training sessions. • The Monitor reviewed the training curriculum for the required training sessions.

MONITOR’S RECOMMENDATIONS: (for at least the next 6 months)
None.

DATE DUE: N/A

III.D.2

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TRAINING

III.D ADOC and Tutwiler shall ensure that all staff have the adequate knowledge, skill, and ability to prevent, detect, and respond to sexual abuse and sexual

harassment at Tutwiler, and to manage, interact, and communicate appropriately with women inmates and lesbian, gay, bisexual, transgender, and gender

nonconforming inmates

Policy

Develop Implement

Policy Policy

3. ADOC and Tutwiler shall provide annual refresher training to all staff

III.D.3

SOP 8-9

February February

SOP 8-12 28, 2016 28, 2016

Policy

Staff Trained

Policy

REQUIREMENTS

Developed

Implemented

Ensure that all staff know current sexual abuse and sexual harassment policies and procedures

Y N N/A Y N N/A

Y N N/A

If staff cannot successfully demonstrate knowledge of these policies and procedures, they shall not be Y N N/A Y N N/A permitted to have any contact with inmates until such time as they can demonstrate proficiency

Y N N/A

Have and implement policies and procedures setting forth the levels of discipline, up to and including Y N N/A termination, for any staff member who cannot perform his or her job duties due to a failure to demonstrate proficiency in these policies and procedures.

Y N N/A

Y N N/A

MONITOR’S MEASURES OF COMPLIANCE
1. Curriculum for refresher course. 2. Rosters for staff attendance in annual refresher training. 3. Staff interviews. 4. Interview with Deputy Commissioner Williams, Warden Wright, Captain McClain, and Lt. Young. 5. Results of the staff proficiency tests, post training, after attending refresher training. 6. SOP 9-9 Employee Standards of Conduct and Discipline. 7. SOP 8-12 Inmate Sexual Abuse and Sexual Harassment.

III.D.3

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STEPS TAKEN BY MONITOR TO ANALYZE CONDITIONS AND ASSESS COMPLIANCE, AND FACTUAL BASIS FOR MONITOR’S FINDINGS

(for each member of monitoring team)

Documents

Interviews

On-site/Observations / Other

Reviewed: • Curriculum for staff annual refresher training • SOP 9-9 Standards of Conduct and Discipline
for Staff

• Deputy Commissioner Williams • Lt. Young, IPCM • Captain McClain, Settlement
Compliance Manager • Staff interviews

• Compliance Visit June 25-30, 2017

UNRESOLVED/PARTIALLY RESOLVED ISSUES FROM PREVIOUS TOUR The Monitor found ADOC and Tutwiler to be in “Partial Compliance” with this provision during the December 2016 Compliance Visit.
ADOC and Tutwiler were to submit certification of completion of the annual training to the Monitor. This certification was issued on July 29, 2017.

III.D.3

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MONITOR’S FINDINGS: Substantial Compliance Partial Compliance Non-compliance n/a no assessment due until May 28, 2017

DATE: June 30, 2017

MONITOR’S DISCUSSION: STEPS TAKEN BY ADOC AND TUTWILER TOWARDS IMPLEMENTATION

DATE: June 30, 2017

A refresher curriculum was developed and forwarded to the DOJ and Monitor for review and comment. The Tutwiler Training Team began providing the Annual Refresher Training in March 2017. As of June 30, 2017,Tutwiler staff, including medical and mental health contract employees, and volunteers had all completed the refresher training. The training for volunteers and remaining contract staff was to conclude by the end of July 2017.

Staff continues to demonstrate knowledge of the policies and procedures on the job, as discussed and learned during the previous training provided. With the refresher training, all staff was again expected to demonstrate proficiency through a post–testing process. The requirement to demonstrate proficiency was placed in SOP 8-12, Inmate Sexual Abuse and Sexual Harassment, and levels of discipline for failure to comply have been outlined in SOP 9-9 Employee Standards of Conduct and Discipline.

III.D.3

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MONITOR’S DISCUSSION: EXTENT TO WHICH ADOC AND TUTWILER HAVE COMPLIED WITH THE AGREEMENT

DATE: June 30, 2017

The Monitor previously granted a three-month extension for the development and completion of the annual refresher training curriculum until September 2016. The annual refresher training did not begin until March 2017. For this reason, during the June and December 2016 Compliance Visits, the Monitor found ADOC and Tutwiler to be in “Partial Compliance” with the provisions of this requirement.
The Monitor believes, and documented in III.A.1, that the Tutwiler staff have knowledge of their sexual abuse and sexual harassment responsibilities and the relevant policy in their daily work performance. Knowledge of staff on the sexual abuse and sexual harassment policy is one of the requirements of this provision.
The Tutwiler Training Team began providing Annual Refresher Training in March 2017. As of June 30, 2017, Tutwiler staff, volunteers, and contracted employees, excepting LLC Security Services, a private transportation company, had all completed the refresher training. The refresher for LLC Security Services' staff was scheduled and held on July 29, 2017. The completion of the annual training was certified by Deputy Commissioner Williams and reported to the Monitor and the DOJ. As of July 29, 2017, all Tutwiler volunteers and staff, including contract employees had received annual training.
Tutwiler has implemented policies and procedures setting forth the levels of discipline, up to and including termination, for any staff member who cannot perform his or her job duties due to a failure to demonstrate proficiency in these policies and procedures.

MONITOR’S RECOMMENDATIONS: (for at least the next 6 months) None.

DATE DUE: N/A

III.D.3

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TRAINING III.D ADOC and Tutwiler shall ensure that all staff have the adequate knowledge, skill, and ability to prevent, detect, and respond to sexual abuse and sexual harassment at Tutwiler, and to manage, interact, and communicate appropriately with women inmates and lesbian, gay, bisexual, transgender, and gender nonconforming inmates

Policy

Develop Implement

Policy

Policy

4. The Monitor will work with ADOC and Tutwiler in drafting new training materials and/or revising current training materials set out in III.D.1 and III.D.3

III.D.4

SOP 8-12

May 28, 2015 Aug.28, 2016

May 28, 2015 August 28, 2016

Policy

Staff Trained

Policy

REQUIREMENTS

Developed

Implemented

Draft/Revise training materials for staff (all persons assigned to work at Tutwiler; corrections staff; medical and mental health practitioners; employees of any state agency; contractors; and volunteers) (III.D.1)

Y N N/A Y N N/A

Y N N/A

Draft/Revise training materials for annual refresher training (III.D.3)

Y N N/A Y N N/A

Y N N/A

MONITOR’S MEASURES OF COMPLIANCE
1. Monitor and DOJ review of revised SOP 8-12 Inmate Sexual Abuse and Sexual Harassment. 2. Monitor and DOJ review of revised PREA training curriculum. 3. Review of Corizon and MHM training materials for their staff. 4. Monitor and DOJ review of the PREA curriculum for volunteers. 5. Interviews with Deputy Commissioner Williams, Ms. Greer, Ms. Jackson, and Warden Wright. 6. Monitor and DOJ review of revised SOP's for gender responsiveness principles.

III.D.4

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STEPS TAKEN BY MONITOR TO ANALYZE CONDITIONS AND ASSESS COMPLIANCE, AND FACTUAL BASIS FOR MONITOR’S FINDINGS (for each member of monitoring team)

Documents

Interviews

On-site/Observations / Other

Reviewed: • Revised SOP 8-12 Inmate Sexual Abuse and
Sexual Harassment • Revised PREA training curriculum • Corizon and MHM training materials/curriculum • PREA training curriculum for Tutwiler volunteers • New/revised Tutwiler SOPS for the incorporation
of Gender Responsive principles • Training evaluations completed by staff • Randomly selected trainee post test results

• Deputy Commissioner Williams • Warden Wright • Captain McClain, Settlement
Compliance Manager • Lt. Young, IPCM • Ms. Greer, MHM Mental Health
Administrator • Ms. Jackson, Corizon Director of Nursing

• Compliance Visit June 25-30, 2017

None.

UNRESOLVED/PARTIALLY RESOLVED ISSUES FROM PREVIOUS TOUR

The Monitor found ADOC and Tutwiler to be ‘Substantially Compliant” with this provision during the December 2016 Compliance Visit.

The Monitor made no recommendations regarding this provision during the December 2016 Compliance Visit.

III.D.4

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MONITOR’S FINDINGS: Substantial Compliance Partial Compliance Non-compliance n/a no assessment due until __________

DATE: June 30, 2017

MONITOR’S DISCUSSION: STEPS TAKEN BY ADOC AND TUTWILER TOWARDS IMPLEMENTATION

DATE: June 30, 2017

ADOC drafted/revised training materials for staff (all persons assigned to work at Tutwiler; corrections staff; medical and mental health practitioners; employees of any state agency; contractors; and volunteers), and those materials were reviewed by the DOJ and the Monitor. Refresher training began in March 2017.

MONITOR’S DISCUSSION: EXTENT TO WHICH ADOC AND TUTWILER HAVE COMPLIED WITH THE AGREEMENT

DATE: June 30, 2017

The Monitor granted an extension of 90 days for compliance with D.1, PREA training for all Tutwiler staff. The new date was established as February 28, 2016. Due to this extension, the parties agreed that an extension was also required for this provision’s requirement for refresher staff training, as its revision and implementation is sequential to the completion of the PREA curriculum and training. As such, the Monitor found partial compliance with the requirements of this provision during the June 2016 Compliance Visit. The Monitor found ADOC and Tutwiler to be "Substantially Compliant" with this provision during the December 2016 Compliance Visit.

ADOC drafted revised training materials for staff and the Refresher training began in March 2017. The Monitor reviewed the curriculum. For these reasons, the Monitor has determined ADOC and Tutwiler are in "Substantial Compliance" with the requirements of this provision.

MONITOR’S RECOMMENDATIONS: (for at least the next 6 months)
None
III.D.4

DATE DUE: N/A

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TRAINING

III.D ADOC and Tutwiler shall ensure that all staff have the adequate knowledge, skill, and ability to prevent, detect, and respond to sexual abuse and sexual

harassment at Tutwiler, and to manage, interact, and communicate appropriately with women inmates and lesbian, gay, bisexual, transgender, and gender

nonconforming inmates

Policy

Develop Implement

Policy

Policy

5. ADOC shall certify and document to Tutwiler’s PREA Compliance Manager, the Department-wide PREA

Coordinator, the Monitor, and DOJ, that all staff have been trained

III.D.5

November November

28, 2015 28, 2015

REQUIREMENTS

Policy Developed

Staff Trained

Policy Implemented

Certify that all staff have been trained 1. Corrections Staff 2. Medical Practitioners --Corizon 3. Mental Health Practitioners -ADOC and MHM 4. Employees of any State agency 5. Contractors 6. Volunteers

Y N N/A Y N N/A Y N N/A Y N N/A Y N N/A Y N N/A Y N N/A

Y N N/A Y N N/A Y N N/A Y N N/A Y N N/A Y N N/A Y N N/A

Y N N/A Y N N/A Y N N/A Y N N/A Y N N/A Y N N/A Y N N/A

MONITOR’S MEASURES OF COMPLIANCE

1. ADOC certification letter to Monitor and DOJ for all required staff training. 2. Interview with Deputy Commissioner Williams. 3. Review of attendance rosters for staff at required training.

III.D.5

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STEPS TAKEN BY MONITOR TO ANALYZE CONDITIONS AND ASSESS COMPLIANCE, AND FACTUAL BASIS FOR MONITOR’S FINDINGS (for each member of monitoring team)

Documents

Interviews

On-site/Observations / Other

Reviewed: • ADOC letter from Dr. Williams certifying the
completion of all initially required staff PREA training by February 28, 2016 • Review of attendance rosters for staff at required training

• Deputy Commissioner Williams

• Compliance Visit June 25-30, 2017

None.

UNRESOLVED/PARTIALLY RESOLVED ISSUES FROM PREVIOUS TOUR

The Monitor found ADOC and Tutwiler to be ‘Substantially Compliant” with this provision during the December 2016 Compliance Visit.

The Monitor made no recommendations during the December 2016 Compliance Visit.

MONITOR’S FINDINGS: Substantial Compliance Partial Compliance Non-compliance n/a no assessment due until __________

DATE: June 30, 2017

III.D.5

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MONITOR’S DISCUSSION: STEPS TAKEN BY ADOC AND TUTWILER TOWARDS IMPLEMENTATION

DATE: June 30, 2017

The Tutwiler Training Team began training on September 5, 2015, and successfully completed all staff training by February 28, 2016. The completion of staff training was certified, documented, and reported to the Tutwiler IPCM, the Department-wide PREA Coordinator, the Monitor, and the DOJ on May 15, 2016. Annual refresher training began in March 2017.

MONITOR’S DISCUSSION: EXTENT TO WHICH ADOC AND TUTWILER HAVE COMPLIED WITH THE AGREEMENT

DATE: June 30, 2017

Note: The Monitor uses the time frame January 1-June 30, 2017 as the "reporting period" throughout this report. The Monitor received documents and updates from ADOC prior to, during, and after the June 25-30, 2017 Compliance Visit.

The Monitor found ADOC and Tutwiler to be ‘Substantially Compliant” with this provision during the June and December 2016 Compliance Visits. As of June 30, 2017 ADOC and Tutwiler have sustained substantial compliance.

On May 15, 2016, the Deputy Commissioner for Women’s Services certified that the following staff had been trained by February 28, 2016: corrections staff, medical practitioners, mental health practitioners, employees of any state agency, contractors, and volunteers. The training was the 8-hour PREA training and the 16 hours Gender Responsive training.

MONITOR’S RECOMMENDATIONS: (for at least the next 6 months)
None.

DATE DUE: N/A

III.D.5

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INMATE EDUCATION

III.E ADOC and Tutwiler shall effectively and meaningfully communicate to all inmates their right to be free from sexual abuse and harassment and the

protections in place at Tutwiler to ensure that such abuse and harassment does not occur or, if it does occur, is reported so it can be responded to promptly,

appropriately, and without retaliation.

Policy

Develop Implement

(Inmate Education: Intake)

Policy Policy

1.ADOD and Tutwiler shall ensure that, during the intake process, all inmates receive information regarding the following (listed below): 3.Current Tutwiler inmates will receive the information and education described in III.E.1 within three months of the Effective Date (by August 28, 2015).

III.E.1 III.E.3 III.E.6 III.E.7

AR 454 SOP 8-12

May 28, 2015 AND Before

Current inmates: May 28, 2015

6. Consistent with current policy, ADOC and Tutwiler shall ensure that the information outlined in III.E.1 is

August AND

conveyed and made available in formats accessible to all inmates, including those who are limited English

28,

Before

proficient, deaf, visually impaired, or otherwise disabled as well as to inmates who have limited reading skills.

2015 August 28,

7. ADOC and Tutwiler shall provide the Monitor and DOJ for their review consistent with Section III.A.6 any

2015

materials or curriculum utilized to satisfy the requirements of III.E.1

REQUIREMENTS
Intake information includes: 1. ADOC’s Zero-Tolerance Policy regarding sexual abuse and sexual harassment; 2. Definitions of sexual abuse and sexual harassment; 3. The right to be free from sexual abuse and sexual harassment and from retaliation for reporting such incidents; 4. The right to be free from verbal abuse, including name calling, racially insensitive or offensive language, and profane or vulgar language; 5. How to report incidents or suspicions of sexual abuse and sexual harassment, including the availability of non-inmate interpreters; 6. The process of accessing medical and mental health care.
Current Tutwiler inmates received the information and education by August 28, 2015.
This information must be conveyed and made available in formats accessible to all inmates, including those who are limited English proficient, deaf, visually impaired, or otherwise disabled as well as to inmates who have limited reading skills.
ADOC and Tutwiler have provided the materials or curriculum to the Monitor and DOJ for their review.

Policy Developed
Y N N/A Y N N/A Y N N/A Y N N/A Y N N/A Y N N/A Y N N/A
Y N N/A

Staff Trained Policy Implemented
Y N N/A Y N N/A Y N N/A Y N N/A Y N N/A Y N N/A Y N N/A Y N N/A Y N N/A Y N N/A Y N N/A Y N N/A Y N N/A Y N N/A
Y N N/A Y N N/A

III.E.1 / III.E.3 / III.E.6 / III.E.7

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MONITOR’S MEASURES OF COMPLIANCE
1. SOP 8-12 Inmate Sexual Abuse and Sexual Harassment. 2. Curriculum for inmate education module. 3. Review contract with Alabama Institute with the Deaf and Blind for provision of interpreter services for inmates needing this service. 4. Review results of inmate survey process. 5. Interviews with Warden Wright, Lt. Young, and Dr. Holmes. 6. Staff interviews. 7. Inmate focus groups. 8. Individual inmate interviews.

STEPS TAKEN BY MONITOR TO ANALYZE CONDITIONS AND ASSESS COMPLIANCE, AND FACTUAL BASIS FOR MONITOR’S FINDINGS (for each member of monitoring team)

Documents

Interviews

On-site/Observations / Other

Reviewed: • SOP 8-12 Inmate Sexual Abuse and Sexual Harassment • Review contract with the Alabama Institute with the
Deaf and Blind • Review results of inmate survey • Review inmate education curriculum • Review of monthly grievances: January-June 2017 • Review of inmate correspondence received by
Monitor: January-June 2017

• Warden Wright • Lt. Young, IPCM • Dr. Holmes, Tutwiler Psychological
Associate • Staff interviews • Inmate focus groups • Individual inmate interviews

• Compliance Visit June 25-30, 2017

None.

UNRESOLVED/PARTIALLY RESOLVED ISSUES FROM PREVIOUS TOUR

The Monitor found ADOC and Tutwiler to be ‘Substantially Compliant” with this provision during the December 2016 Compliance Visit.

The Monitor made no recommendations regarding this provision during the December 2016 Compliance Visit.

III.E.1 / III.E.3 / III.E.6 / III.E.7

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NOTE: THIS SECTION INCLUDES III.E.21, III.E.6, and III.E.7. Please provide separate findings for each provision. MONITOR’S FINDINGS:
Substantial Compliance Partial Compliance Non-compliance n/a no assessment due until __________

DATE: June 30, 2017

MONITOR’S DISCUSSION: STEPS TAKEN BY ADOC AND TUTWILER TOWARDS IMPLEMENTATION

DATE: June 30, 2017

The Tutwiler Intake information provided to inmates includes the following: 1. ADOC’s Zero-Tolerance Policy regarding sexual abuse and sexual harassment; 2. Definitions of sexual abuse and sexual harassment; 3. The right to be free from sexual abuse and sexual harassment and from retaliation for reporting such incidents; 4. The right to be free from verbal abuse, including name calling, racially insensitive or offensive language, and profane or vulgar language; 5. How to report incidents or suspicions of sexual abuse and sexual harassment, including the availability of non-inmate interpreters; 6. The process of accessing medical and mental health care.

This information is conveyed and made available in formats accessible to all inmates, including those who are limited English proficient, deaf, visually impaired, or otherwise disabled as well as to inmates who have limited reading skills.

III.E.1 / III.E.3 / III.E.6 / III.E.7

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MONITOR’S DISCUSSION: EXTENT TO WHICH ADOC AND TUTWILER HAVE COMPLIED WITH THE AGREEMENT

DATE: June 30, 2017

Note: The Monitor uses the time frame January 1-June 30, 2017 as the "reporting period" throughout this report. The Monitor received documents and updates from ADOC prior to, during, and after the compliance visit of June 25-30, 2017.

The Monitor found ADOC and Tutwiler to be "Substantially Compliant" with this provision during the December 2015, and June and December 2016 Compliance Visits. As of June 30, 2017, ADOC and Tutwiler have sustained compliance with this provision.

MONITOR’S RECOMMENDATIONS: (for at least the next 6 months)
None.

DATE DUE: N/A

III.E.1 / III.E.3 / III.E.6 / III.E.7

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INMATE EDUCATION

III.E ADOC and Tutwiler shall effectively and meaningfully communicate to all the inmates their right to be free from sexual abuse and harassment and the

protections in place at Tutwiler to ensure that such abuse and harassment does not occur or, if it does occur, is reported so it can be responded to promptly,

appropriately, and without retaliation.

Policy

Develop Implement

(Inmate Education: Comprehensive)

AR 454

Policy Policy

2.Within 14 days of intake, ADOC and Tutwiler shall provide comprehensive orientation education to

III.E.2

SOP 8-12

May 28, Current

inmates either conducted in-person or through a video presented by an in-person facilitator regarding

III.E.3

2015 inmates:

their rights to be free from sexual abuse and sexual harassment and to be free from retaliation for

III.E.4

AND May 28,

reporting such incidents, and regarding their policies and procedures for responding to such incidents.

III.E.5

Before 2015

3.Current Tutwiler inmates will receive the information and education described in III.E.2 within three

III.E.6

August AND

months of the Effective Date (by August 28, 2015).

III.E.7

28,

Before

4.ADOC and Tutwiler shall ensure that the individual conducting or facilitating the comprehensive inmate III.E.8

2015 August 28,

educational orientation is trained on Tutwiler’s and ADOC’s policies and procedures related to sexual

2015

abuse and sexual harassment, the PREA standards, and this Agreement.

5.The individual conducting or facilitating the comprehensive inmate orientation education shall remain in

the room during the entire orientation and shall monitor the inmates for reactions to and understanding

of the information. A mental health practitioner will serve as an advisor to the orientation process and

services will be available during the orientation process if indicated.

6. Consistent with current policy, ADOC and Tutwiler shall ensure that the information outlined in III.E.2 is

conveyed and made available in formats accessible to all inmates, including those who are limited English

proficient, deaf, visually impaired, or otherwise disabled as well as to inmates who have limited reading

skills.

7. ADOC and Tutwiler shall provide the Monitor and DOJ for their review consistent with Section III.A.6

any materials or curriculum utilized to satisfy the requirements of III.E.1

8.ADOC and Tutwiler shall maintain documentation of inmate participation in the education sessions

required by III.E.2.

Policy

Staff Trained

Policy

REQUIREMENTS

Developed

Implemented

Comprehensive inmate education:

1. Includes inmates’ rights to be free from sexual abuse and sexual harassment and to be free from Y N N/A Y N N/A

retaliation for reporting such incidents;

2. ADOC’s policies and procedures for responding to such incidents;

Y N N/A Y N N/A

Y N N/A Y N N/A

Education is conducted in-person or through a video presented by an in-person facilitator. 1. The individual conducting or facilitating the comprehensive inmate educational orientation is trained on Tutwiler’s and ADOC’s policies and procedures related to sexual abuse and sexual
III.E.2-8

Y N N/A Y N N/A Y N N/A

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harassment, the PREA standards, and this Agreement. 2. The individual conducting or facilitating the comprehensive inmate orientation education shall
remain in the room during the entire orientation and shall monitor the inmates for reactions to and understanding of the information.

Y N N/A Y N N/A

A mental health practitioner will serve as an advisor to the orientation process and services will be available during the orientation process if indicated.

Y N N/A Y N N/A

The information is conveyed and made available in formats accessible to all inmates, including those who Y N N/A Y N N/A are limited English proficient, deaf, visually impaired, or otherwise disabled as well as to inmates who have limited reading skills.

Materials and curriculum have been provided to the Monitor and DOJ for their review.

Y N N/A Y N N/A

Documentation is maintained of inmate participation in the education sessions. Current Tutwiler inmates have received this information and education by August 28, 2015.

Y N N/A Y N N/A Y N N/A Y N N/A

Incoming Tutwiler inmates receive the comprehensive orientation education within 14 days of intake.

Y N N/A Y N N/A

Y N N/A
Y N N/A Y N N/A
Y N N/A Y N N/A Y N N/A Y N N/A

MONITOR’S MEASURES OF COMPLIANCE
1. SOP 8-12 Inmate Sexual Abuse and Sexual Harassment. 2. Documentation of the inmate education sessions, as maintained by Lt. Young. 3. Interviews with Lt. Young, Lt. Coleman, and Dr. Holmes. 4. Review of revised inmate education module curriculum. 5. Inmate focus groups and individual interviews.

III.E.2-8

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STEPS TAKEN BY MONITOR TO ANALYZE CONDITIONS AND ASSESS COMPLIANCE, AND FACTUAL BASIS FOR MONITOR’S FINDINGS

(for each member of monitoring team)

Documents

Interviews

On-site/Observations / Other

Reviewed: • SOP 8-12 Inmate Sexual Abuse and Sexual Harassment • Contract with the Alabama Institute with the Deaf and
Blind • Documents regarding the results of the inmate polling
survey • Revised inmate education curriculum
• Monthly inmate grievances: January-June 2017 • Inmate correspondence received by the Monitor: January-
June 2017

• Lt. Young, IPCM • Inmate focus groups • Individual inmate interviews • Lt. Coleman, Grievance Coordinator • Dr. Holmes, Tutwiler Psychological
Associate

• Compliance Visit June 25-30, 2017

None.

UNRESOLVED/PARTIALLY RESOLVED ISSUES FROM PREVIOUS TOUR

The Monitor found ADOC and Tutwiler to be ‘Substantially Compliant” with this provision during the December 2016 Compliance Visit.

The Monitor made no recommendations regarding this provision during the December 2016 Compliance Visit.

III.E.2-8

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NOTE: THIS SECTION INCLUDES III.E.2, III.E.3, III.E.4, III.E.5, III.E.6, III.E.7 and III.E.8. Please provide separate findings for each provision
MONITOR’S FINDINGS: Substantial Compliance Partial Compliance Non-compliance n/a no assessment due until __________

DATE: June 30, 2017

MONITOR’S DISCUSSION: STEPS TAKEN BY ADOC AND TUTWILER TOWARDS IMPLEMENTATION

DATE: June 30, 2017

The comprehensive inmate education utilized at Tutwiler includes: 1) inmates’ rights to be free from sexual abuse and sexual harassment and to be free from retaliation for reporting such incidents; and 2) ADOC’s policies and procedures for responding to such incidents. Inmate education is conducted in-person by Lt. Yvette Young (IPCM). Lt. Young is trained on Tutwiler’s and ADOC’s policies and procedures related to sexual abuse and sexual harassment, the PREA standards, and this Agreement. Lt. Young remains in the room during the entire orientation and monitors the inmates for reactions to and understanding of the information.

A mental health practitioner serves as an advisor to the orientation process and services is available during the orientation process if indicated. The information covered is conveyed and made available in formats accessible to all inmates, including those who are limited English proficient, deaf, visually impaired, or otherwise disabled as well as to inmates who have limited reading skills. Documentation is maintained by Lt. Young of inmate participation in the education sessions.

The original Tutwiler inmates received this information and education in July 2015. Incoming Tutwiler inmates receive the comprehensive orientation education within 14 days of intake.

III.E.2-8

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MONITOR’S DISCUSSION: EXTENT TO WHICH ADOC AND TUTWILER HAVE COMPLIED WITH THE AGREEMENT

DATE: June 30, 2017

Note: The Monitor uses the time frame January 1-June 30, 2017 as the "reporting period" throughout this report. The Monitor received documents and updates from ADOC prior to, during, and after the compliance visit of June 25-30, 2017.

The Monitor found ADOC and Tutwiler to be ‘Substantially Compliant” with this provision during the December 2015, and June and December 2016 Compliance Visits. As of June 30, 2017, ADOC and Tutwiler have sustained substantial compliance with the requirements of this provision. The Monitor confirmed ADOC and Tutwiler's continued compliance for this reporting period by reviewing the inmate education curriculum, feedback received during staff and inmate interviews, and observations made during the June 2017 Compliance Visit .

ADOC submitted their draft revised curriculum for the Inmate Education program in June 2016 for review and comment by the Monitor and the DOJ. The parties submitted their comments the last week in June. The revised curriculum was published in December 2016. These revisions are inclusive of the published SOP 812 SOP 8-22 Inmate Grievance program.

The Monitor conducted two inmate focus group and numerous individual inmate interviews during the June 2017 Compliance Visit. The inmates acknowledged their awareness of the PREA and grievance procedures at Tutwiler.

The Monitor reviewed the ADOC contract with the Alabama Institute for the Deaf and Blind for the compliance requirement that Tutwiler have expert services available for the deaf, visually impaired or otherwise disabled. The agreement is responsive to these requirements.

The Monitor previously recommended that Tutwiler provide a feedback method for inmates on their experience with the Inmate Education Program. Tutwiler started the formal inmate survey/polling process in July 2016. This area of inquiry was included.

MONITOR’S RECOMMENDATIONS: (for at least the next 6 months)
None

DATE DUE: N/A

III.E.2-8

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GENDER-RESPONSIVE CLASSIFICATION

III.F Consistent with constitutional standards, ADOC and Tutwiler shall develop and implement a classification process including custody classification, and

risk/need assessment, and screening for risk of vulnerability or perpetration of sexual abuse or sexual harassment and use that information to inform housing,

bed, work, education, and program assignments with the goal of maximizing safety.

Policy

Develop Implement

Policy Policy

1. Within two months of the Effective Date, ADOC and Tutwiler shall convene a working group to

Convene

evaluate methods to decrease or eliminate Tutwiler’s use of Dorm A for a period of time that exceeds III.F.1

N/A. Working

48 hours while screenings are completed, including an examination of the necessity of PAP test and/or

Group by

other medical, mental health, or intellectual test results prior to classification and failures to provide

July 28,

adequate continuity in medical and mental health care to Dorm A residents

2015

Policy

Staff Trained

Policy

REQUIREMENTS

Developed

Implemented

Working Group Convened

Y N N/A Y N N/A

Y N N/A

Evaluate methods to decrease or eliminate use of Dorm A for a period that exceeds 48 hours

Y N N/A Y N N/A

Y N N/A

Examine necessity of receiving PAP test and/or other medical, mental health, or intellectual test results Y N N/A Y N N/A prior to classification

Y N N/A

Examine any failures to provide adequate continuity in medical and mental health care to Dorm A residents

Y N N/A Y N N/A

Y N N/A

MONITOR’S MEASURES OF COMPLIANCE
1. Review Tutwiler Inmate Receiving Log for Dorm A. 2. Review inmate dorm movement sheets out of Dorm A from January-June 2017. 3. Review Tutwiler Bed Count Rosters for randomly selected dates. 4. Review Dorm A Workgroup Quarterly meeting minutes. 5. Review Dorm Representatives Meeting minutes. 6. Inmate focus groups. 7. Individual inmate interviews. 8. Tour of Dorm A during Compliance Visit June 2017.
III.F.1

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STEPS TAKEN BY MONITOR TO ANALYZE CONDITIONS AND ASSESS COMPLIANCE, AND FACTUAL BASIS FOR MONITOR’S FINDINGS

(for each member of monitoring team)

Documents

Interviews

On-site/Observations / Other

Reviewed: • Tutwiler Inmate Receiving Log (Dorm A) • Inmate dorm movement sheets out of Dorm A
from January-June 2017 • Tutwiler Bed Count Rosters for randomly selected
dates: January-June 2017 • Dorm A Workgroup Quarterly meeting minutes • Dorm Representatives Meeting minutes

• Deputy Commissioner Williams • Staff interviews • Inmate focus groups • Individual inmate interviews

• Compliance Visit June 25-30, 2017 • Monitor' s observations touring Dorm A during
Compliance Visit June 2017 • Monitor’s discussions with housing unit officer
while touring unit • Monitor's discussions with inmates while
touring unit

None.

UNRESOLVED/PARTIALLY RESOLVED ISSUES FROM PREVIOUS TOUR

The Monitor found ADOC and Tutwiler to be ‘Substantially Compliant” with this provision during the December 2016 Compliance Visit.

The Monitor made no recommendations regarding this provision during the December 2016 Compliance Visit.

MONITOR’S FINDINGS: Substantial Compliance Partial Compliance Non-compliance n/a no assessment due until __________
III.F.1

DATE: June 30, 2017

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MONITOR’S DISCUSSION: STEPS TAKEN BY ADOC AND TUTWILER TOWARDS IMPLEMENTATION

DATE: June 30, 2017

On July 10, 2015, the Deputy Commissioner for Women’s Services convened a work group to evaluate methods to decrease or eliminate Tutwiler’s use of Dorm A for a period of time that exceeds 48 hours while screenings are completed, including an examination of the necessity of PAP test and/or other medical, mental health, or intellectual test results prior to classification and any failures to provide adequate continuity in medical and mental health care to Dorm A residents.

This group continues to meet quarterly, and the meeting notes are forwarded to the Deputy Commissioner for Women’s Services.

MONITOR’S DISCUSSION: EXTENT TO WHICH ADOC AND TUTWILER HAVE COMPLIED WITH THE AGREEMENT

DATE: June 30, 2017

Note: The Monitor uses the time frame January 1-June 30, 2017 as the "reporting period" throughout this report. The Monitor received documents and updates from ADOC prior to, during, and after the Compliance Visit of June 25-30, 2017.

ADOC and Tutwiler's "Substantial Compliance" with the requirements of this provision was determined during the December 2015, and June and December 2016 Compliance Visits. As of June 30, 2017 ADOC and Tutwiler have sustained compliance with this provision.

The Monitor determined the rating of "Substantial Compliance" for this reporting period based upon the following observations:

Ongoing efforts to evaluate methods to decrease or eliminate the use of Dorm A for a period that exceeds 48 hours have been successful as demonstrated by both an overall reduced unit count and overall shorter length of stays in the unit. On June 26, 2017 while the Monitor was touring the unit, 27 of the unit's 80 beds were filled. At the end of the day, the count was 10. This reduction reflects the movement of the day.

The Monitor reviewed Dorm A's Receiving Log. The average stay in the intake Dorm ‘A’ continues to decline. It was reported by staff that the inmates are now being processed through Dorm-‘A’ on time, due to the decrease in general population inmates. The Alabama Parole Board recently made significant advancements in their ability to parole a large number of female inmates and this has had a positive impact on the daily population count at Tutwiler. The number of empty beds reported at Tutwiler, on June 26, 2017, was 170 at the main campus and 5 empty beds at the annex campus. The medical and mental health staff continue to process every new inmate in a timely manner. Classification staff believe the introduction of the new Needs & Risk Assessments (WRNA) is helping classification to properly place the inmate in the appropriate setting at a faster rate thereby reducing the time a prisoner stays in Dorm A.
During a tour of Dorm A, inmates raised no issues about their placement.

The required medical health assessments continue to be completed in a timely manner for inmates in Dorm A. III.F.1

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MONITOR’S RECOMMENDATIONS: (for at least the next 6 months)
None.

DATE DUE: N/A

III.F.1

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GENDER-RESPONSIVE CLASSIFICATION

III.F Consistent with constitutional standards, ADOC and Tutwiler shall develop and implement a classification process including custody classification, and

risk/need assessment, and screening for risk of vulnerability or perpetration of sexual abuse or sexual harassment and use that information to inform housing,

bed, work, education, and program assignments with the goal of maximizing safety.

Policy

Develop Implement

Policy Policy

2. Within six months of convening of the working group, ADOC and Tutwiler shall retain an expert in

Retain

gender responsive assessment and classification.

III.F.2

expert by

January

28, 2016

REQUIREMENTS

Policy Developed

Staff Trained

Policy Implemented

The retained expert develops and submits for review to the Workgroup and Monitor a summary of recommendations and proposed deliverables that outline a plan for implementation and validation of an objective and internal classification system specific to the women inmates at Tutwiler

Y N N/A

The classification system incorporates gender responsive principles and addresses the needs of women Y N N/A inmates at Tutwiler including housing safety, mental health (depression/anxiety/psychosis), abuse and
trauma, family conflict, relationship dysfunction, and parental stress

The system focuses on strength and resiliency factors including educational assets, family support, and Y N N/A self-efficacy

The proposed plan examines the designation of “restricted status” for inmates at Tutwiler to determine

the appropriateness of the designation as it relates to classification, housing, programming, and

Y N N/A

community custody

The proposed plan is based on expert review and addresses adjustments to the classification system, adequate data collection and analysis, and appropriate ongoing testing for effectiveness

Y N N/A

Y N N/A Y N N/A Y N N/A Y N N/A Y N N/A

Y N N/A Y N N/A Y N N/A Y N N/A Y N N/A

III.F.2

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MONITOR’S MEASURES OF COMPLIANCE
1. Review of draft gender responsive classification plan, strategy for implementation and implementation plan by the Monitor and the DOJ. 2. Interviews with Deputy Commissioner Williams and Warden Wright.

STEPS TAKEN BY MONITOR TO ANALYZE CONDITIONS AND ASSESS COMPLIANCE, AND FACTUAL BASIS FOR MONITOR’S FINDINGS (for each member of monitoring team)

Documents

Interviews

On-site/Observations / Other

Reviewed: • Draft gender responsive classification plan • Implementation plan for classification system

• Deputy Commissioner Williams • Warden Wright

• Compliance Visit June 25-30, 2017

None.

UNRESOLVED/PARTIALLY RESOLVED ISSUES FROM PREVIOUS TOUR

The Monitor found ADOC and Tutwiler to be ‘Substantially Compliant” with this provision during the December 2016 Compliance Visit.

The Monitor addressed all recommendations made by the Monitor regarding this provision during the December 2016 Compliance Visit. The Monitor has received an update as requested on the number of new positions authorized, the number of new hires and the date of hire for each additional staff member. The Monitor has also been provided with an update on implementation of the WRNA.

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MONITOR’S FINDINGS: Substantial Compliance Partial Compliance Non-compliance n/a no assessment due until __________

DATE: June 30, 2017

MONITOR’S DISCUSSION: STEPS TAKEN BY ADOC AND TUTWILER TOWARDS IMPLEMENTATION

DATE: June 30, 2017

Dr. Van Voorhis was retained on contract and she developed a summary of recommendations and proposed deliverables. ADOC forwarded the proposal to the Monitor and the DOJ for review in May 2016. The proposal was finalized in August 2016. The new classification system incorporates gender-responsive principles and addresses the needs of women inmates at Tutwiler including housing safety, mental health (depression/anxiety/psychosis), abuse and trauma, family conflict, relationship dysfunction, and parental stress. The system focuses on strength and resiliency factors including educational assets, family support, and self-efficacy.

The use of “restricted status” for female inmates was abolished in September, 2016 in accordance with the new classification system.

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MONITOR’S DISCUSSION: EXTENT TO WHICH ADOC AND TUTWILER HAVE COMPLIED WITH THE AGREEMENT

DATE: June 30, 2017

Note: The Monitor uses the time frame January 1-June 30, 2017 as the "reporting period" throughout this report. The Monitor received documents and updates from ADOC prior to, during, and after the compliance visit of June 25-30, 2017.

The Monitor found ADOC and Tutwiler to be ‘Substantially Compliant” with this provision during the Compliance Visits of December 2015, and June and December 2016. As of June 30, 2017 ADOC and Tutwiler have sustained substantial compliance.

The Monitor confirmed ADOC and Tutwiler’s continued compliance by the review of the draft Gender Responsive Assessment and Classification plan, as submitted by Dr. Van Voorhis.

MONITOR’S RECOMMENDATIONS: (for at least the next 6 months) None.

DATE DUE: N/A.

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GENDER-RESPONSIVE CLASSIFICATION III.F Consistent with constitutional standards, ADOC and Tutwiler shall develop and implement a classification process including custody classification, and risk/need assessment, and screening for risk of vulnerability or perpetration of sexual abuse or sexual harassment and use that information to inform housing, bed, work, education, and program assignments with the goal of maximizing safety.

Policy

3. The approved plan for implementation of the classification system shall be managed by an implementation workgroup and completed within two years of the approval of plan. 4. The system shall provide programs that incorporate gender responsive principles and address the needs

III.F.3 III.F.4

Note: ADOC and DOJ Need to discuss dates

Develop Manual/ Implement WRNA September 28, 2016 ()

WRNA Validated
(March 28, 2019

of women inmates at Tutwiler, including those addressing sexual abuse, sexual harassment, and trauma;

domestic violence; dating violence; and medical and mental health care.

Policy

Staff Trained

Policy

REQUIREMENTS

Developed

Implemented

Managed by an implementation workgroup

Y N N/A Y N N/A

Y N N/A

Completed within 2 years of approval

Y N N/A Y N N/A

Y N N/A

System provides programs that address the needs of women inmates at Tutwiler, including:

Y N N/A

1. Gender responsive programming addressing sexual abuse/sexual harassment and trauma Y N N/A

2. Gender responsive programming addressing domestic violence and dating violence

Y N N/A

3. Gender responsive programming addressing medical care 4. Gender responsive programming addressing mental health care

Y N N/A Y N N/A

Y N N/A Y N N/A Y N N/A Y N N/A Y N N/A

Y N N/A Y N N/A Y N N/A Y N N/A Y N N/A

MONITOR’S MEASURES OF COMPLIANCE

1. Review of draft gender responsive classification plan. 2. Interviews with members of the required classification plan workgroup. 3. Interviews with Deputy Commissioner Williams, Warden Wright, Lt. Young and Mr. Jeffry Burt. 4. Minutes to Implementation Workgroup Meetings.

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STEPS TAKEN BY MONITOR TO ANALYZE CONDITIONS AND ASSESS COMPLIANCE, AND FACTUAL BASIS FOR MONITOR’S FINDINGS

(for each member of monitoring team)

Documents

Interviews

On-site/Observations / Other

Reviewed: • Draft gender responsive classification plan • Implementation Workgroup Meeting minutes

• Deputy Commissioner Williams • Warden Wright • Lt. Young, IPCM • Jeffry Burt, Acting Classification
Supervisor

• Compliance Visit June 25-30, 2017

UNRESOLVED/PARTIALLY RESOLVED ISSUES FROM PREVIOUS TOUR This provision is not due for a compliance determination until March 2019.
NOTE: THIS SECTION INCLUDES III.F.3 and III.F.4. Please provide separate findings, discussion, and recommendations for all provisions. MONITOR’S FINDINGS:
Substantial Compliance Partial Compliance Non-compliance n/a no assessment due until March 28, 2019

DATE: June 30, 2017

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MONITOR’S DISCUSSION: STEPS TAKEN BY ADOC AND TUTWILER TOWARDS IMPLEMENTATION

DATE: June 30, 2017

An implementation workgroup was created by Dr. Van Voorhis, and includes the following stakeholders: Cassandra Conway–Classification Director; Angie Baggett -Acting Asst. Classification Director; Jeffry Burt, Acting Classification Supervisor; Jessica Simmons – ADOC IT; Dr. Scott Holmes – Tutwiler Psychologist; and Rosalind Williams – IT Project Manager.

The proposal called for a six-month pilot period, which began on August 15, 2016. In January 2017, as a result of significant delays in administering the WRNA to
all Tutwiler inmates, it was determined that the pilot period would have to be extended to August 15, 2017. Following the pilot period, the validation assessment
will begin.

A programming committee was convened in October 2016 to research and provide a proposal for review by the Deputy Commissioner for Women’s Services and the Associate Commissioner for Plans and Programs. The contracted expert facilitated the committee’s work. That proposal was finalized in April 2017, and forwarded to the DOJ and the Monitor for review. The DOJ and the Monitor's comments and suggestions have been under consideration by the ADOC and Tutwiler and ADOC submitted a revised proposal to the DOJ and the Monitor on July 31, 2017. Implementation for the programs will begin immediately following. The proposal provides for programs that address the needs of women inmates at Tutwiler, including: 1) cognitive skills or general cognitive behavioral programs, 2) anger and aggression, 3) abuse and trauma, 4) substance abuse, 5) healthy relationships, 6) self-efficacy / empowerment, and 7) parenting programs.

A WRNA validation committee was also convened in October 2016.The contracted expert facilitated this committee’s work as well. A WRNA validation design study was forwarded to the DOJ and the Monitor for review in April 2017. The DOJ and the Monitor's comments and suggestions had been under consideration by the DOJ and the Monitor, and a revised version of the design study was forwarded to the DOJ and the Monitor on July 28, 2017. The Monitor and the DOJ are currently reviewing these revisions. It is estimated that the entire validation process will take approximately three years and six months to complete once the process begins.

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MONITOR’S DISCUSSION: EXTENT TO WHICH ADOC AND TUTWILER HAVE COMPLIED WITH THE AGREEMENT

DATE: June 30, 2017

The Monitor has determined a rating of N/ A is appropriate as no assessment is due until March 28, 2019. A workgroup as previously described has been identified to manage implementation.

Piloting and validation of the WRNA for Alabama is planned as previously described. The Monitor has been provided with an update on implementation of the WRNA. The pace of implementation has greatly improved with the addition of staff and a change in supervisors. As of June 30, 2017, there were a few outstanding WRNA assessments to be conducted. Those were conducted and as of July 24, 2017 a WRNA had been completed for each woman at Tutwiler.
The proposed system provides for programs that address the needs of women inmates at Tutwiler, including: 1) cognitive skills or general cognitive behavioral programs, 2) anger and aggression, 3) abuse and trauma, 4) substance abuse, 5) healthy relationships, 6) self-efficacy / empowerment, and 7) parenting programs.

MONITOR’S RECOMMENDATIONS: (for at least the next 6 months)
1. ADOC to provide updates to the Monitor, when appropriate, on their efforts to move forward on the following issues: • Efforts to provide the types of programming, via the classification plan. • Documentation of any formal/informal training that is provided to staff or inmates on the new classification system.

DATE DUE As appropriate

III.F.3 / III.F.4

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III.G Risk Assessment

RISK ASSESSMENT

1. ADOC and Tutwiler shall continue to utilize a risk assessment instrument to screen for risk of victimization and abusiveness

REQUIREMENTS

Policy

Develop Implement Policy Policy

AR 454 III.G.1 SOP 8-12

May 28, May 28, 2015 2015

Policy

Staff Trained Policy

Developed

Implemented

Initiate and document communication with facility from which the inmate is received to learn about their incarceration, adjustment issues, disciplinary history, and any other factors relevant to identification of potential predators and victims including pregnancy status.

Y N N/A Y N N/A Y N N/A

If an inmate arrives at Tutwiler from another custodial institution, including a county jail, work release placement, or halfway house, the transferring facility is notified that if it is suspected, as a result of either the inmate’s self-reporting or after the initial medical evaluation, that sexual abuse in a custodial setting could have caused the pregnancy.

Y N N/A Y N N/A Y N N/A

All inmates are assessed during an intake screening within 72 hours of arrival. The screening includes an assessment of an inmate’s risk of being sexually abused by other inmates or sexually abusive toward other Y N N/A Y N N/A inmates.
1. In assessing inmates for risk of being sexually abusive, the initial screening considers prior acts of sexual abuse, prior convictions for violent offenses, and history of prior institutional violence and/or Y N N/A Y N N/A sexual abuse
2. If the screening indicates that an inmate has experienced prior sexual victimization or perpetrated sexual abuse, whether it occurred in an institutional setting or in the community, staff ensure that Y N N/A Y N N/A the inmate is offered a follow-up with a medical or mental health practitioner within 14 days of the intake screening.

Y N N/A Y N N/A Y N N/A

The intake screening includes: Whether the inmate has a mental, physical, or developmental disability; the Y N N/A Y N N/A age of the inmate; the physical build of the inmate; whether the inmate has previously been incarcerated; whether the inmate has a history of substance abuse and/or alcohol dependency; whether the inmate has a history of self injurious behavior and/or suicidal ideation; whether the inmate’s criminal history is exclusively nonviolent; whether the inmate has prior convictions for sex offenses against an adult or child; whether the inmate is or is perceived to be gay, lesbian, bisexual, transgender, intersex, or gender nonconforming; whether the inmate has previously experienced sexual victimization; the inmate’s own perception of vulnerability; and any other factors that have been selected for Tutwiler.

Y N N/A

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Within 30 days of an inmate’s arrival at Tutwiler, Tutwiler reassesses the inmate’s risk of victimization or abusiveness based upon a trauma screening and assessment developed under III.F2 and any additional, relevant information received by Tutwiler since the intake screening.
An inmate’s risk level is reassessed when warranted due to a referral, request, incident of sexual abuse, or receipt of additional information that bears on the inmate’s risk of sexual victimization or abusiveness
ADOC and Tutwiler use information from the risk screening to make an individualized and safety-based determination of prisoners’ housing, bed, work, education, and program assignments

Y N N/A Y N N/A Y N N/A Y N N/A Y N N/A Y N N/A

Y N N/A Y N N/A Y N N/A

Placement and programming assignments for inmates at high risk of sexual victimization are reassessed at least twice each year to review any threats to safety experienced by the inmate and such inmate’s own views with respect to her own safety are given serious consideration.

Y N N/A Y N N/A

Y N N/A

MONITOR’S MEASURES OF COMPLIANCE
1. SOP 8-12 Inmate Sexual Abuse and Sexual Harassment-requirement for Tutwiler to notify other facilities of any inmate allegation of sexual abuse/sexual harassment, once received at Tutwiler.
2. Review PREA Risk Factors Checklist, ADOC form 454: January-June 2017. 3. Review randomly selected checklists that have a positive response to any of the questions, warranting an interview with Dr. Holmes or other
MH staff. 4. Documentation maintained by classification staff for these same referrals. 5. Documentation from Dr. Holmes, mental health staff, regarding results of their interview with these inmates. Review documentation of Dr.
Holmes' referrals for formal mental health evaluation interview. 6. Review copies of any correspondence from Warden Wright and/or Lt. Young to another facility regarding a new admission’s allegation of sexual
abuse/harassment. 7. Review of randomly selected inmate re-assessments. 8. Documentation used/created by Lt. Young and Dr. Holmes of their review of the ADOC checklist 454-C, for inmates who may be at risk of
victimization or predatory behavior. 9. Inmate focus groups. 10. Individual inmate interviews.

III.G.1

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STEPS TAKEN BY MONITOR TO ANALYZE CONDITIONS AND ASSESS COMPLIANCE, AND FACTUAL BASIS FOR MONITOR’S FINDINGS

(for each member of monitoring team)

Documents

Interviews

On-site/Observations / Other

Review of: • SOP 8-12 Inmate Sexual Abuse and Sexual
Harassment • PREA classification risk factors checklist (ADOC 454-
C): January-June 2017 • Classification section logs for tracking the PREA
checklist • Randomly selected initial mental health reviews by
Dr. Holmes/staff-of submitted PREA checklists • Correspondence from Warden Wright/Lt. Young to
other confinement units • Classification spreadsheets tracking the required
reassessments • MHM mental health initial assessments due to risk
factors in checklist factors in checklist

Deputy Commissioner Williams • Warden Wright • Dr. Holmes Tutwiler Psychological
Associate • Ms. Greer, MHM Mental Health Site
Administrator • Lt. Young, IPCM • Mr. Burt, Acting Classification
Supervisor • Inmate focus groups • Individual inmate interviews

• Compliance Visit June 25-30, 2017

None.

UNRESOLVED/PARTIALLY RESOLVED ISSUES FROM PREVIOUS TOUR

The Monitor found the ADOC and Tutwiler to be ‘Substantially Compliant” with this provision during the December 2016 Compliance Visit.

The Monitor made no recommendations regarding this provision during the December 2016 Compliance Visit.

III.G.1

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MONITOR’S FINDINGS: Substantial Compliance Partial Compliance Non-compliance n/a no assessment due until __________

DATE: June 30, 2017

MONITOR’S DISCUSSION: STEPS TAKEN BY ADOC AND TUTWILER TOWARDS IMPLEMENTATION The elements of this requirement are addressed in ADOC and Tutwiler policy (AR 454 and SOP 8-12) and have been implemented.

DATE: June 30, 2017

The PREA Risk Factor Checklist which has been in use since July 2014 was first used for only initial screenings, but, in January 2016, Tutwiler began using the form to also conduct reassessment screenings within 30 days of an inmate’s arrival.

Tutwiler's revised SOP 8-12 was published on March 7, 2016 and incorporated the Monitor and the DOJ's comments.

During the compliance visit in June 2016, Monitor Lancaster found the ADOC and Tutwiler to be in substantial compliance with this requirement, but all parties discussed the need for further revisions to the PREA Risk Factor Checklist. On July 7, 2016 Dr. Williams convened an ADOC leadership group to review the recommendation to revise the checklist at Tutwiler.

On August 3, 2016 the ADOC forwarded both the PREA Risk Factors Checklist and the PREA Risk Reassessment form to the Monitor and the DOJ for review and comment.

On August 11, 2016 both the Monitor and the DOJ forwarded comments to the ADOC regarding the proposed changes.

During the Monitors' transition visit In September 2016, the ADOC, the DOJ and Monitor Lancaster discussed the proposed changes.

As of the December 2016 compliance visit, the original checklist was still in use at Tutwiler. While Monitor Dennehy found ADCO to again be in substantial compliance with this requirement, all parties again discussed and agreed that the form was not yet responsive to the DOJ's feedback and needed work.

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On February 16, 2017 the ADOC forwarded a revised Tutwiler SOP 8-12, Form E (PREA Risk Factor Checklist) to the Monitor and the DOJ for review, noting that only the changes responsive to Monitor Lancaster's previously offered suggestions needed to be reviewed. The changes were approved and included the addition of the inmate’s name/date/list of documents to the checklist.
On March 7, 2017, the ADOC published the SOP, with the modifications made to date included.
Staff has been trained in SOP 8-12, the screening process generally and the use of the PREA Risk Factor Checklist specifically.

MONITOR’S DISCUSSION: EXTENT TO WHICH ADOC AND TUTWILER HAVE COMPLIED WITH THE AGREEMENT

DATE: June 30, 2017

Note: The Monitor uses the time frame January 1-June 30, 2017 as the "reporting period" throughout this report. The Monitor received documents and updates from the ADOC prior to, during, and after the June 2017 Compliance Visit.
During the Monitor's first Compliance Visit in December 2015, the ADOC was found to be in partial compliance with this requirement. The Monitor found the ADOC and Tutwiler to be ‘Substantially Compliant” with this provision during the June and December 2016 Compliance Visits. As of June 30, 2017 the ADOC and Tutwiler have sustained substantial compliance. The Monitor determined the rating of "Substantial Compliance" for this reporting period based upon the following observations.
As a receiving facility , Tutwiler conducts a comprehensive multi-disciplinary assessment of all women upon admission. The PREA risk factor checklist is one element of that overall intake assessment. The classification staff, IPCM, MHM, Corizon Medical and ADOC psychological services team take part in the initial screening process at Tutwiler. Mental health and substance abuse histories and needs are assessed - critical factors with women offenders. The entire staff has been trained in gender responsive services and trauma informed environments.
Tutwiler classification specialists review inmate records from the county jail of origin, and may initiate communication with the facility from which the inmate is received to learn more about incarceration, adjustment issues, disciplinary history, and any other factors relevant to identification of potential predators and victims including pregnancy status, if this information is not available in transcripts or other documents received from the county. The sending facility may not always respond to requests for additional information. This provision is included in Tutwiler SOP 8-12. Late receipt of this information can trigger an early reassessment if new information is obtained.
When an inmate arrives at Tutwiler from another custodial institution, including a county jail, work release placement, or halfway house, the transferring facility is notified by the Warden if it is suspected, as a result of either the inmate’s self-reporting or after the initial medical evaluation, that sexual abuse in a custodial setting could have caused the pregnancy. This provision is in ADOC and Tutwiler policy (AR 454 and SOP 8-12). Lt. Young personally meets with every pregnant woman to determine if her pregnancy may have resulted from sexual abuse in a custodial setting.
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All inmates are assessed during an intake screening within 72 hours of arrival, for factors listed in Section III.G.1.iii of the Agreement. The assessment is conducted by a multi-disciplinary staff and the administration of the PREA Risk Factor Checklist is one piece of the admission assessment process. A mental health staff member conducts mental health screening during the first few hours after the inmate enters the Receiving area. Classification staff's screening includes an assessment of an inmate’s risk of being sexually abused by other inmates or sexually abusive toward other inmates. In assessing inmates for risk of being sexually abusive, the initial screening considers prior acts of sexual abuse, prior convictions for violent offenses, and history of prior institutional violence and/or sexual abuse.
If the screening indicates that an inmate has experienced prior sexual victimization or perpetrated sexual abuse, whether it occurred in an institutional setting or in the community, staff ensure that the inmate is offered a follow-up with a medical or mental health practitioner within 14 days of the intake screening. If an inmate is assessed to be at risk of victimization or sexually abusive toward other inmates, a mental health referral is completed by the Classification Specialist, and that inmate is interviewed by a mental health practitioner that same day. This provision is in ADOC and Tutwiler policy (AR 454 and SOP 8-12).
The intake screening includes: Whether the inmate has a mental, physical, or developmental disability; the age of the inmate; the physical build of the inmate; whether the inmate has previously been incarcerated; whether the inmate has a history of substance abuse and/or alcohol dependency; whether the inmate has a history of self-injurious behavior and/or suicidal ideation; whether the inmate’s criminal history is exclusively nonviolent; whether the inmate has prior convictions for sex offenses against an adult or child; whether the inmate is or is perceived to be gay, lesbian, bisexual, transgender, intersex, or gender nonconforming; whether the inmate has previously experienced sexual victimization; the inmate’s own perception of vulnerability. This requirement is documented in SOP 8-12. A deeper discussion of the current PREA Risk Screening Checklist is included later in this narrative.
Within 30 days of an inmate’s arrival at Tutwiler, Tutwiler reassesses the inmate’s risk of victimization or abusiveness based upon a trauma screening and assessment developed under III.F2 and any additional, relevant information received by Tutwiler since the intake screening. Tutwiler is currently using the ADOC Form 454-C (dated January 4, 2016) to conduct these reassessments. This requirement is documented in ADOC and Tutwiler policy (AR 454 and SOP 812). An inmate’s risk level is reassessed when warranted due to a referral, request, incident of sexual abuse, or receipt of additional information that bears on the inmate’s risk of sexual victimization or abusiveness. This provision is in ADOC and Tutwiler policy (AR 454 and SOP 8-12). Tutwiler is using information from the risk screening to make individualized and safety-based determinations of prisoners’ housing, bed, work, education, and program assignments. Tutwiler Classification staff is currently sending the Tutwiler IPCM (Lt. Yvette Young) a copy of the Risk Factors Checklist, as well as ADOC Psychological Associate, Dr. Scott Holmes. Lt. Young and Dr. Holmes actively follow up with any inmates who present at risk of being sexually abused or sexually aggressive towards inmates. They monitor these inmates, and consideration is given to the respective inmates’ housing, bed, work, education, and program assignments. This provision is in ADOC and Tutwiler policy (AR 454 and SOP 8-12) Placement and programming assignments for inmates at high-risk of sexual victimization (transgender and intersex inmates) will be reassessed at least twice each year to review any threats to safety experienced by the inmate. The inmate's own views with respect to personal safety are given serious consideration. This provision was added to Tutwiler SOP 8-12.
Staff has been trained in the use of PREA Risk Factor Checklist attached to SOP 8-12. ADOC Form 454-C.
The Monitor's review of both classification and mental health staff checklists that track initial screenings and reassessments support that current policy has been implemented. Interviews with staff confirm that Lt. Young and Dr. Holmes actively follow up with any inmates who present at risk of being sexually abused or sexually aggressive towards inmates.
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While the Monitor determined the ADOC and Tutwiler to be in substantial compliance with the elements of this requirement, a deeper discussion of the form is needed and provided here. Tutwiler began using the ADOC Form 454-C, PREA Risk Factors Checklist, in July 2014 to screen all inmates entering Tutwiler for risk of victimization or abusiveness. This form was created in May 2014, by the ADOC Office of Health Services (OHS). At the time, the OHS consulted with several other states to get input on risk factor checklists in use.
Form 454-C was first used for only initial screenings, but, in January 2016, Tutwiler began using the form to also conduct reassessment screenings within 30 days of an inmate’s arrival.
In February 2016, the ADOC submitted SOP 8-12, including Tutwiler’s PREA Risk Factor Checklist, to the Monitor and the DOJ for review and comment. While the Monitor and the DOJ's comments were detailed, no comments/recommendations were made specific to the PREA Risk Factor Checklist. The ADOC reviewed the feedback and on March 6, 2016, the ADOC responded to the Monitor and the DOJ's comments and then published the SOP on March 7, 2016.
During the next Compliance Visit in June 2016, Monitor Lancaster found the ADOC and Tutwiler to be in substantial compliance with this requirement, but she noted "it was recognized by all ADOC/Tutwiler parties, monitor and the DOJ, that the current checklist needs revision. It is accomplishing its basic purpose, but all agreed the current form over-reports a number of risk factors generically for these inmates. The revision needs to be gender based and more specific to the risk factors particularly relevant to the female inmates.” (See Comment 11 on page 5 of “III.G.1 Filed Monitor Tool to Report 8-2016”). The issue was discussed at length with all parties during this Compliance Visit. The Monitor further noted that “Dr. Williams convened an ADOC leadership group to review the recommendation to revise the 454-C for use at Tutwiler, on July 7. There was agreement to move forward with this process in an expedited manner. The monitor and the DOJ will receive a draft of this revision, for comment, before September 1, 2016.” (See Comment 12)
On August 3, 2016, the ADOC forwarded both the PREA Risk Factors Checklist and the PREA Risk Reassessment Form to the Monitor and the DOJ for review and comment. The ADOC noted their intent to use the same form for male and female inmates, with specific weighting differences for women, and their belief this approach would solve many of the issues being experienced at Tutwiler with the numbers of women falling into one category or the other.
On August 11, 2016, both the Monitor and the DOJ forwarded comments to the ADOC regarding the proposed changes. The DOJ again weighed in and advised that the risk screening form should be more tailored to accurately reflect women's risk factors than adjusting for weight differences and changing the number of "yes " answers required.
During the Monitors' transition visit in September 2016, the ADOC, the DOJ and Monitor Lancaster discussed the proposed changes.
As of the December 2016 Compliance Visit, the original checklist was still in use at Tutwiler. While Monitor Dennehy found the ADOC to again be in substantial compliance with this requirement, all parties again discussed and agreed that the form needed work because it was still not gender responsive. The Monitor understands the checklist is evolving because currently there is no national model for a risk factor checklist specific to women, and the PREA Resource Center, funded by Bureau of Justice Assistance, has given little to no guidance on the development of a PREA Risk Factor Checklist for women.
Currently, Tutwiler is implementing a gender responsive classification system, something many correctional systems lack. The entire staff has received training in gender responsive and trauma informed services. An appreciation of trauma and the role it plays in women offenders' lives is critically important during the intake, screening and classification processes. Based upon the ADOC's sustained commitment and success to date in this area, all parties had faith the ADOC and Tutwiler would continue to work to develop a gender responsive checklist.
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On February 16, 2017 the ADOC forwarded a revised Tutwiler SOP 8-12, Form E (PREA Risk Factor Checklist) to the Monitor and the DOJ for review, noting that only the changes responsive to Monitor Lancaster's previously offered suggestions needed to be reviewed. The changes were approved and included the addition of the inmate’s name/date/list of documents to the checklist. The ADOC noted "These are the only changes offered for review at this time." As such, the DOJ's feedback was not addressed and remained outstanding at this time. On March 7, 2017, the ADOC published the SOP, with the modifications made to date included.
The Monitor has again consulted the PREA Resource Center to identify ongoing work on drafting a PREA Risk Screening Tool specific to adult women and emerging promising practices. At least four state jurisdictions have received Bureau of Justice PREA grant assistance and have been working on this issue. One state is expected to make their results public in September 2017. The Monitor expects that the ADOC will consider the work done by others and use it as a guide to draft revisions to their PREA Risk Factor Checklist and submit it to the Monitor and the DOJ for comment. The Monitor expects to review this draft prior to the filing of the next Monitor's Compliance Visit report.

MONITOR’S RECOMMENDATIONS: (for at least the next 6 months)
Because there is currently no recognized national model for a PREA risk factor checklist specific to women and the PREA Resource Center, funded by Bureau of Justice Assistance, has given little to no guidance on the development of a PREA Risk Factor Checklist for women, the ADOC will work with the Monitor to monitor the field for emerging best practices and as the practice advances, revise the Tutwiler PREA Risk Factor checklist accordingly. The PREA standards do not require the screening tool to be validated. Ultimately, the "N" (the number of cases) may be so small that validation may not be possible. The Monitor has consulted the national PREA Resource Center and will work with the ADOC to monitor research and development efforts in four jurisdictions that have demonstration grant funding to attempt to develop a PREA risk factor checklist specific to women.

DATE DUE: Ongoing

The ADOC to draft gender responsive revisions to the Tutwiler PREA Risk Factor Checklist and submit the draft to the Monitor and the February 28, 2018 DOJ for comment.

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III.G Risk Assessment

RISK ASSESSMENT

Policy

2. Inmates at high risk for sexual victimization shall not be placed in involuntary segregation housing due to their high risk of victimization unless an assessment of all available alternatives has been made, and a determination has been made that there is no available alternative means of separation from likely abusers. Such an assessment and determination shall be documented, explain the basis for Tutwiler’s concern for the inmate’s safety and the reason why no alternative means of separation can be arranged. A review of such determination must be afforded each inmate at least every 30 days to determine whether there is a continuing need for separation from the general population.

AR 454 III.G.2 SOP 8-12

Develop Implement Policy Policy
February February 28, 2016 28, 2016

3. Inmates placed in segregated housing due to potential victimization shall, to the extent possible, have full III.G.3 access to programs, privileges, education, and work opportunities as inmates in general population housing.

REQUIREMENTS

Policy Developed

Staff Trained

Policy Implemented

Inmates at high risk for sexual victimization are not placed in involuntary segregated housing due to their Y N N/A high risk of victimization unless:
1. An assessment of all available alternatives has been made, and 2. A determination has been made that there is no available means of separation from likely
abusers

Y N N/A

Y N N/A

The assessment and determination is documented and explains the basis for Tutwiler’s concern for the inmate’s safety and the reason why no alternative means of separation can be arranged

Y N N/A Y N N/A

Y N N/A

Each inmate is afforded a review of a segregation determination at least every 30 days to determine whether there is a continuing need for separation from the general population

Y N N/A Y N N/A

Y N N/A

Inmates placed in segregated housing due to potential victimization shall, to the extent possible, have full

access to programs, privileges, education, and work opportunities as inmates in general population

Y N N/A

housing

Y N N/A

Y N N/A

III.G.2 / III.G.3

Case 2:15-cv-00368-MHT-TFM Document 27-2 Filed 08/25/17 Page 94 of 202
MONITOR’S MEASURES OF COMPLIANCE
1. SOP 8-12, Inmate Sexual Abuse and Sexual Harassment. 2. ADOC form 302-A incident reports for any inmate segregated related to this policy requirement. 3. Excel spreadsheet maintained by Lt. Young regarding inmate placement on involuntary segregation status. 4. Interviews with Deputy Commissioner Williams, Warden Wright and Lt. Young. 5. Staff interviews. 6. Inmate focus groups. 7. Individual inmate interviews. 8. Inmate correspondence received by Monitor. 9. If Monitor is notified of an inmate placement in segregation, additional information will be requested.

STEPS TAKEN BY MONITOR TO ANALYZE CONDITIONS AND ASSESS COMPLIANCE, AND FACTUAL BASIS FOR MONITOR’S FINDINGS

(for each member of monitoring team)

Documents

Interviews

On-site/Observations / Other

Reviewed: • ADOC 302-A: incident reports for an Tutwiler inmate
confined in involuntary segregation • Review of any records maintained by Lt. Young of
involuntary segregation placements • Review of monthly grievances: January 1-June 30, 2017 • Review of inmate correspondence received by Monitor:
January 1-June 30, 2017

• Deputy Commissioner Williams • Warden Wright • Lt. Young, IPCM • Staff interviews • Inmate focus groups • Individual inmate interviews

• Compliance Visit of June 25-30, 2017

III.G.2 / III.G.3

Case 2:15-cv-00368-MHT-TFM Document 27-2 Filed 08/25/17 Page 95 of 202
UNRESOLVED/PARTIALLY RESOLVED ISSUES FROM PREVIOUS TOUR None. The Monitor found ADOC and Tutwiler to be ‘Substantially Compliant” with this provision during the December 2016 Compliance Visit. The Monitor made no recommendations regarding this provision during the December 2016 Compliance Visit.

MONITOR’S FINDINGS: Substantial Compliance Partial Compliance Non-compliance n/a no assessment due until __________

DATE: June 30, 2017

III.G.2 / III.G.3

Case 2:15-cv-00368-MHT-TFM Document 27-2 Filed 08/25/17 Page 96 of 202

MONITOR’S DISCUSSION: STEPS TAKEN BY ADOC AND TUTWILER TOWARDS IMPLEMENTATION

DATE: June 30, 2017

ADOC and Tutwiler policy (AR 454 & SOP 8-12) currently include policy on Section III.G.2 & 3, and this policy has been in practice at Tutwiler since February 2014. Staff has been trained on this policy and the policy has been implemented since February 2014. Should an inmate ever be placed in involuntary segregation housing due to her high risk of victimization, that causal incident would be documented on ADOC Form 302A.

Lt. Yvette Young (IPCM) is responsible for tracking the number of inmates who are held in or assigned to involuntary segregation because of a risk of sexual victimization for a period longer than 24 hours. She maintains an Excel spreadsheet to track this information, and ADOC began reporting this data in August 2016.

MONITOR’S DISCUSSION: EXTENT TO WHICH ADOC AND TUTWILER HAVE COMPLIED WITH THE AGREEMENT

DATE: June 30, 2017

Note: The Monitor uses the time frame January 1-June 30, 2017 as the "reporting period" throughout this report. The Monitor received documents and updates from ADOC prior to, during, and after the compliance visit of June 25-30, 2017.

The Monitor found ADOC and Tutwiler to be ‘Substantially Compliant” with this provision during the June and December 2016 Compliance Visits. As of June 30, 2017 ADOC and Tutwiler have sustained substantial compliance.

Inmates at high risk for sexual victimization are not placed in involuntary segregated housing due to their high risk of victimization unless: • An assessment of all available alternatives has been made, and • A determination has been made that there is no available means of separation from likely abusers

When justified, the assessment and determination will be documented and explain the basis for Tutwiler’s concern for the inmate’s safety and the reason why no alternative means of separation can be arranged.

Each inmate will be afforded a review of a segregation determination at least every 30 days to determine whether there is a continuing need for separation from the general population.

Inmates placed in segregated housing due to potential victimization shall, to the extent possible, would have full access to programs, privileges, education, and work opportunities as inmates in general population housing.

All the aforementioned provisions are documented in Tutwiler SOP 8-12. In the Monitor's interview with Lt. Young, it was reported that there has not been an incident involving the placement of an inmate in this particular segregation status since the initiation of the settlement agreement in 2015.

III.G.2 / III.G.3

Case 2:15-cv-00368-MHT-TFM Document 27-2 Filed 08/25/17 Page 97 of 202

NOTE: THIS SECTION INCLUDES III.G.2 and III.G.3. Please provide separate findings, discussion, and recommendations for all provisions. MONITOR’S RECOMMENDATIONS: (for at least the next 6 months)
None.

DATE DUE: N/A

III.G.2 / III.G.3

Case 2:15-cv-00368-MHT-TFM Document 27-2 Filed 08/25/17 Page 98 of 202

INMATES’ RIGHT TO PRIVACY III.H ADOC and Tutwiler shall prevent officers from unnecessarily viewing inmates who are naked or performing bodily functions
Policy

1. Cross-Gender Searches : ADOC and Tutwiler shall continue to comply with its policy regarding cross- III.H.1. gender pat and strip searches

AR 454 SOP 8-12 SOP 7-7 SOP 9-6

Develop Policy May 28, 2015

Implement Policy May 28, 2015

REQUIREMENTS

Policy Developed

Staff Trained

Policy Implemented

i. ADOC and Tutwiler shall comply with its policy regarding cross gender pat and strip searches and shall Y N N/A ensure that appropriate modifications to the policy are made and implemented to include, at a minimum, the items specified in III.H.1.ii to III.H.1.v

Y N N/A

Y N N/A

ii. Tutwiler will continue to not conduct cross-gender strip searches or visual body cavity searches (meaning a search of the anal or genital opening) except in exigent circumstances or when performed by medical practitioners

Y N N/A Y N N/A

Y N N/A Y N N/A iii. Tutwiler will continue to prohibit cross-gender pat-down searches of women inmates, absent exigent
circumstances. Inmates’ access to regularly available programming or other out-of-cell opportunities
shall not be restricted in order to comply with this provision.

Y N N/A Y N N/A

iv. Tutwiler shall document all cross-gender strip searches, cross-gender visual body cavity searches, and cross gender pat-down searches of women inmates, and shall document the exigent circumstances that Y N N/A Y N N/A warranted the search. To the extent that any such searches were conducted, Tutwiler shall provide this documentation to the Monitor and the DOJ on a quarterly basis

Y N N/A

v. ADOC and Tutwiler shall train security staff in how to conduct cross-gender pat-down searches and searches of transgender and intersex inmates, when required, in a professional and respectful manner, Y N N/A Y N N/A and in the least intrusive manner possible, consistent with security needs

Y N N/A

III.H.1.i-v

Case 2:15-cv-00368-MHT-TFM Document 27-2 Filed 08/25/17 Page 99 of 202
MONITOR’S MEASURES OF COMPLIANCE
1. SOP 8-12 Inmate Sexual Abuse and Sexual Harassment and SOP 7-7 Searches. 2. Review of any incident reports and use of force reports involving cross gender strip and pat searches. 3. Interviews with Warden Wright and Lt. Young. 4. Staff interviews. 5. Inmate focus groups. 6. Individual interviews with inmates. 7. Inmate correspondence received by Monitor.

STEPS TAKEN BY MONITOR TO ANALYZE CONDITIONS AND ASSESS COMPLIANCE, AND FACTUAL BASIS FOR MONITOR’S FINDINGS (for each member of monitoring team)

Documents

Interviews

On-site/Observations / Other

Reviewed: • SOP 8-12 Inmate Sexual Abuse and Sexual Harassment • SOP 7-7 Searches • Any incident reports for cross gender
searches: January -June 2017 • Inmate correspondence received by Monitor:
January-June 2017

• Warden Wright • Lt. Young, IPCM • Staff interviews • Inmate focus groups • Individual inmate interviews

• Compliance Visit June 25-30, 2017

None.

UNRESOLVED/PARTIALLY RESOLVED ISSUES FROM PREVIOUS TOUR

The Monitor found ADOC and Tutwiler to be ‘Substantially Compliant” with this provision during the December 2016 Compliance Visit.

The Monitor made no recommendations regarding this provision during the December 2016 Compliance Visit.

III.H.1.i-v

Case 2:15-cv-00368-MHT-TFM Document 27-2 Filed 08/25/17 Page 100 of 202
MONITOR’S FINDINGS: Substantial Compliance Partial Compliance Non-compliance n/a no assessment due until __________

DATE: June 30, 2017

MONITOR’S DISCUSSION: STEPS TAKEN BY ADOC AND TUTWILER TOWARDS IMPLEMENTATION

DATE: June 30, 2017

ADOC and Tutwiler policy (AR 454 & SOP 8-12) includes policy on Section III.H.1 and this policy has been in practice at Tutwiler since February 2014. Staff has been trained on this policy and the policy has been implemented since February 2014. Should a search (as described in Section III.H.1) ever have to be conducted, that incident would be documented on ADOC Form 302A. Tutwiler security staff was trained in how to conduct cross-gender patdown searches and searches of transgender and intersex inmates, during 2015 ADOC In-Service Training. This training curriculum has already been provided to the Monitor and the DOJ.

MONITOR’S DISCUSSION: EXTENT TO WHICH ADOC AND TUTWILER HAVE COMPLIED WITH THE AGREEMENT

DATE: June 30, 2017

Note: The Monitor uses the time frame January 1-June 30, 2017 as the "reporting period" throughout this report. The Monitor received documents and updates from ADOC prior to, during, and after the compliance visit of June 25-30, 2017.

The Monitor found ADOC and Tutwiler to be ‘Substantially Compliant” with this provision during the December 2015, and, June and December 2016 Compliance Visits. As of June 30, 2017 ADOC and Tutwiler have sustained substantial compliance.

The Monitor reviewed this SOP 7-7 Searches to confirm it prohibits the cross gender pat and strip searches, with the exception of exigent circumstances.

The Monitor reviewed randomly selected inmate grievances for the period January 1-June 30, 2017 and did not find one that alleged violation of this policy.

III.H.1.i-v

Case 2:15-cv-00368-MHT-TFM Document 27-2 Filed 08/25/17 Page 101 of 202
The Monitor received letters from six women during the reporting period of January 1-June 30, 2017 and there were no allegations of a violation of this policy.
The Monitor conducted two inmate focus groups during the Compliance Visit and the women offered no observations or reports that this policy has been violated.
The Monitor interviewed staff and all agreed that this prohibition is accepted policy and they had not observed any violation of this policy.
This provision requires that an incident report, 302-A, be completed if cross gender searches occur. During this reporting period, there have been no reported incidents of either cross gender pat or strip searches. .

MONITOR’S RECOMMENDATIONS: (for at least the next 6 months)
Should a cross gender pat or strip search occur, the Monitor has a standing request to immediately receive a copy of the incident report, Form 302-A , after one is filed.

DATE DUE: Ongoing

III.H.1.i-v

Case 2:15-cv-00368-MHT-TFM Document 27-2 Filed 08/25/17 Page 102 of 202

INMATES’ RIGHT TO PRIVACY III.H ADOC and Tutwiler shall prevent officers from unnecessarily viewing inmates who are naked or performing bodily functions
Policy

2.i Cross- Gender Viewing: ADOC and Tutwiler shall develop, submit to the Monitor and DOJ for review consistent with Section A.III.6, and implement policies and procedures that enable inmates to perform bodily functions – such as showering, bathing, and using the toilet – and change clothing without nonmedical staff of the opposite gender viewing their breasts, buttocks, or genitalia, except in exigent circumstances of when such viewing is incidental to routine cell checks

III.H.2.i AR 454 SOP 8-12 SOP 5-0

Develop Implement Policy Policy
February February 28, 2016 28, 2016

2. ii ADOC and Tutwiler shall develop, submit to the Monitor and DOJ for review consistent with Section III.A., and implement policies and procedures regarding the method of conducting inmate counts. This policy and procedure shall limit inmate movement during inmate counts and shall prohibit the practice of conducting inmate counts while inmates are likely to be in the shower and toilet areas
REQUIREMENTS

III.H.2.ii
Policy Developed

Staff trained

Policy Implemented

Inmates can perform bodily functions – such as showering, bathing, and using the toilet – and change clothing without nonmedical staff of the opposite gender viewing their breasts, buttocks, or genitalia

Y N N/A Y N N/A

Y N N/A

1. Except in exigent circumstances or 2. When such viewing is incidental to routine cell checks

Male staff is required to announce their presence before entering an inmate housing unit and again before entering the shower or toilet areas
Inmate movement during count is limited
Conducting inmate counts while inmates are likely to be in the shower and toilet areas is prohibited

Y N N/A Y N N/A

Y N N/A

Y N N/A Y N N/A Y N N/A Y N N/A

Y N N/A Y N N/A

III.H.2.i / III.H.2.ii

Case 2:15-cv-00368-MHT-TFM Document 27-2 Filed 08/25/17 Page 103 of 202
MONITOR’S MEASURES OF COMPLIANCE
1. SOP's 8-12 Inmate Sexual Abuse and Sexual Harassment, SOP 7-9, Inmate Count Procedures and SOP 5.0 Dormitory Security. 2. Random review of dorm shift logs. 3. Dormitory Post Orders. 4. Review of inmate grievances. 5. Staff interviews. 6. Inmate focus groups. 7. Individual inmate interviews. 8. Inmate correspondence to Monitor. 9. Review of the Risk Management System to see any incidents of staff failure to follow these directives. 10. Tour of housing areas during Compliance Visit June 25-30, 2017. 11. Interviews with Warden Wright, Lt. Young, and Lt. Coleman.

STEPS TAKEN BY MONITOR TO ANALYZE CONDITIONS AND ASSESS COMPLIANCE, AND FACTUAL BASIS FOR MONITOR’S FINDINGS

(for each member of monitoring team)

Documents

Interviews

On-site/Observations / Other

Reviewed: • SOP 8-12 Inmate Sexual Abuse and Sexual
Harassment • SOP 7-9 Inmate Count Procedures • SOP's 5.0 Dormitory Security • Random selection, by Monitor, of shift logs
maintained in the dorms • Risk Management System to see if
employees have violated these provisions • Inmate correspondence received by Monitor
during: January-June 2017 • Monthly grievances: January-June 2017

• Warden Wright • Lt. Young, IPCM • Lt. Coleman, Grievance
Coordinator • Staff interviews • Inmate focus groups • Individual inmate interviews

• Compliance Visit June 25-30, 2017

III.H.2.i / III.H.2.ii

Case 2:15-cv-00368-MHT-TFM Document 27-2 Filed 08/25/17 Page 104 of 202

None.

UNRESOLVED/PARTIALLY RESOLVED ISSUES FROM PREVIOUS TOUR

The Monitor found ADOC and Tutwiler to be ‘Substantially Compliant” with this provision during the December 2016 Compliance Visit.

The Monitor made no recommendations regarding this provision during the December 2016 Compliance Visit.

MONITOR’S FINDINGS:
Substantial Compliance Partial Compliance Non-compliance n/a no assessment due until __________

DATE: June 30, 2017

MONITOR’S DISCUSSION: STEPS TAKEN BY ADOC AND TUTWILER TOWARDS IMPLEMENTATION

DATE: June 30, 2017

ADOC and Tutwiler policy (AR 454&SOP 8-12) include policy on Section III.H.2 and this policy has been in practice at Tutwiler since February 2014. Staff has been trained on this policy and the policy has been implemented since February 2014. In addition, SOP 5-0 (Dormitory Security) was revised and published in March 2016, to include the provisions in Section III.H.2.

III.H.2.i / III.H.2.ii

Case 2:15-cv-00368-MHT-TFM Document 27-2 Filed 08/25/17 Page 105 of 202

MONITOR’S DISCUSSION: EXTENT TO WHICH ADOC AND TUTWILER HAVE COMPLIED WITH THE AGREEMENT

DATE: June 30, 2017

Note: The Monitor uses the time frame January 1-June 30, 2017 as the "reporting period" throughout this report. The Monitor received documents and updates from ADOC prior to, during, and after the compliance visit of June 25-30, 2017.
The Monitor found ADOC and Tutwiler to be ‘Substantially Compliant” with this provision in during the June and December 2016 Compliance Visits. As of June 30, 2017, ADOC and Tutwiler have sustained substantial compliance.
Inmates can perform bodily functions – such as showering, bathing, and using the toilet – and change clothing without nonmedical staff of the opposite gender viewing their breasts, buttocks, or genitalia:
• Except in exigent circumstances or • When such viewing is incidental to routine cell checks
Male staff is required to announce their presence before entering an inmate housing unit and again before entering the shower or toilet areas. Inmate movement during count is limited.
Conducting inmate counts while inmates are likely to be in the shower and toilet areas is prohibited by policy.
All the aforementioned provisions are included in Tutwiler dorm Post Orders and SOP 5-00, Dormitory Security. While touring the facility during the Compliance Visit, the Monitor witnessed male staff making the required announcements. The Monitor reviewed randomly selected monthly grievances for January-June 2017 and did not see a grievance complaining about the count procedures or violations of the privacy issues in the dorms. The Monitor received letters from 6 inmates during January-June 2017 and did not receive complaints about the count procedures or the violations of dorm privacy. The Monitor conducted two inmate focus groups of women randomly selected by the Monitor, and did not receive any complaints about the count procedures related to privacy concerns or the violations of dorm privacy. The Monitor reviewed the employee Risk Management January-June 2017.

III.H.2.i / III.H.2.ii

Case 2:15-cv-00368-MHT-TFM Document 27-2 Filed 08/25/17 Page 106 of 202
MONITOR’S RECOMMENDATIONS: (for at least the next 6 months)
None.

DATE DUE: N/A

III.H.2.i / III.H.2.ii

Case 2:15-cv-00368-MHT-TFM Document 27-2 Filed 08/25/17 Page 107 of 202

INMATES’ RIGHT TO PRIVACY

III.H ADOC and Tutwiler shall prevent officers from unnecessarily viewing inmates who are naked or performing bodily functions

Policy

Develop Implement

Policy Policy

3. ADOC and Tutwiler shall continue to implement its plan to address the architectural features that contribute to a lack of privacy for inmates while showering or using the toilet

III.H.3

SOP 5.00

May 28, May 28,

2015 2015

Policy

Staff Trained Policy

REQUIREMENTS

Developed

Implemented

Continue to implement plan to address the architectural features that contribute to a lack of privacy for Y N N/A inmates while showering or using the toilet.

Y N N/A Y N N/A

MONITOR’S MEASURES OF COMPLIANCE

1. SOP 5.00 Dormitory Security. 2. Review of any maintenance works logs for reporting period related to dorm privacy issues. 3. Interviews with Wardens Wright and Lt. Young. 4. Staff interviews. 5. Inmate focus groups. 6. Individual inmate interviews. 7. Inmate correspondence received by Monitor. 8. Monitor's tour observations.

III.H.3

Case 2:15-cv-00368-MHT-TFM Document 27-2 Filed 08/25/17 Page 108 of 202

STEPS TAKEN BY MONITOR TO ANALYZE CONDITIONS AND ASSESS COMPLIANCE, AND FACTUAL BASIS FOR MONITOR’S FINDINGS

(for each member of monitoring team)

Documents

Interviews

On-site/Observations / Other

Reviewed: • SOP 8-12 Inmate Sexual Abuse and Sexual
Harassment • Facility maintenance work orders related to
privacy issues • Inmate grievances: January-June 2017 • Inmate correspondence received by Monitor:
January -June 2017

• Deputy Commissioner Williams • Warden Wright • Lt. Young, IPCM • Inmate focus groups • Individual inmate interviews

• Compliance Visit June 25-30, 2017 • Tour of trailer renovated for the separate housing of
any youthful offender held at Tutwiler. • Tour of dorm bathrooms and inspection of curtains and
privacy barriers • Tour of Dorm A • Tour of Annex • Tour of death row housing • Tour of segregation housing

None.

UNRESOLVED/PARTIALLY RESOLVED ISSUES FROM PREVIOUS TOUR

The Monitor found ADOC and Tutwiler to be ‘Substantially Compliant” with this provision during the December 2016 Compliance Visit.

The Monitor made no recommendation regarding this provision during the December 2016 Compliance Visit.

MONITOR’S FINDINGS: Substantial Compliance Partial Compliance Non-compliance n/a no assessment due until __________
III.H.3

DATE: June 30, 2017

Case 2:15-cv-00368-MHT-TFM Document 27-2 Filed 08/25/17 Page 109 of 202

MONITOR’S DISCUSSION: STEPS TAKEN BY ADOC AND TUTWILER TOWARDS IMPLEMENTATION

DATE: June 30, 2017

ADOC and Tutwiler policy (AR 454 & SOP 8-12) include policy on Section III.H.2 and this policy has been in practice at Tutwiler since February 2014. Staff has been trained on this policy and the policy has been implemented since February 2014.

All privacy features in Tutwiler bathroom areas were completed by October 6, 2014. There are petitions between toilets, and curtains to close the front of the toilet view. There are shower curtains for every shower, and a salon door that separates the shower area from the rest of the bathroom area. SOP 5-0 and dormitory Post Orders require Dormitory officers to monitor maintenance needs such as toilets, sinks, showers, privacy features, etc. and report maintenance issues to the Shift Commander. The Shift Commander ensures that maintenance personnel are notified and that the issues are placed on the maintenance work log.

In addition, SOP 5-0 (Dormitory Security) was revised and published in March 2016, to include the provisions in Section III.H.2.

SOP 7-7 Inmate Count Procedures include policy on Section III.H.2.ii and this policy is in practice at Tutwiler.

MONITOR’S DISCUSSION: EXTENT TO WHICH ADOC AND TUTWILER HAVE COMPLIED WITH THE AGREEMENT

DATE: June 30, 2017

Note: The Monitor uses the time frame January 1 - June 30, 2017 as the "reporting period" throughout this report. The Monitor received documents and updates from ADOC prior to, during, and after the compliance visit of June 25-30, 2017

ADOC and Tutwiler's "Substantial Compliance" with the requirements of this provision was documented during the December 2015, and, June and December 2016 Compliance Visits. As of June 30, 2017 the ADOC and Tutwiler have sustained compliance.

The Monitor determined the rating of "Substantial Compliance" for this reporting period based upon the following observations:

The PREA standards require the total separation in housing for youthful offenders, if admitted to Tutwiler. Although the youthful offender trailer is ready for III.H.3

Case 2:15-cv-00368-MHT-TFM Document 27-2 Filed 08/25/17 Page 110 of 202
occupancy, the Monitor notes that Tutwiler has not received a youthful offender requiring placement in this trailer during this reporting period. The Monitor discussed the challenges of addressing maintenance issues in an old, overcrowded prison with maintenance staff. Line maintenance workers appear hardworking and creative as they address many plumbing and other physical plant issues at Tutwiler. No maintenance issues involving privacy concerns surfaced to the Monitor during these discussions with maintenance staff. The Monitor visited the dorms during daytime and evening hours. The women voiced no complaints regarding privacy issues. The Monitor also visited segregation housing and spoke to each woman on the unit. These women voiced no concerns regarding privacy issues. The Monitor visited death row unit and the women did not express any concerns regarding privacy issues. The Monitor visited the Annex and the women did not express any concerns regarding privacy issues. On several occasions during the Monitor's tours during the Compliance Visit, she witnessed the limitations on inmate movement during count time and male staff announcing their presence in housing units and before entering bathroom areas.

MONITOR’S RECOMMENDATIONS: (for at least the next 6 months)
None.

DATE DUE: N/A

III.H.3

Case 2:15-cv-00368-MHT-TFM Document 27-2 Filed 08/25/17 Page 111 of 202

REPORTING ALLEGATIONS OF SEXUAL ABUSE AND SEXUAL HARASSMENT

III.I In order to adequately identify and respond to all instances of sexual abuse and sexual harassment at Tutwiler, ADOC and Tutwiler shall ensure that all

inmates, staff, and third-parties have multiple unimpeded methods to report incidents of sexual abuse and sexual harassment free from retaliation

Policy

Develop Implement

Policy Policy

1. ADOC and Tutwiler shall continue to comply with its policy on reporting allegations of sexual

AR 454

abuse and sexual harassment. Any modification of that policy shall be submitted to DOJ and the

III.I.1

SOP 8-12

May 28, May 28,

Monitor for review consistent with Section III.A.6. ADOC and Tutwiler shall provide multiple internal

SOP 8-22

2015 2015

methods, including a grievance process and at least one confidential method, for inmates to report

sexual abuse and sexual harassment, retaliation by other inmates or staff for reporting sexual abuse

and sexual harassment, and staff neglect or violation of responsibilities that may have contributed

to such incidents.

REQUIREMENTS

Policy Developed

Staff Trained

Policy Implemented

Inmates have multiple internal methods, including a grievance process and at least one confidential Y N N/A method, to report sexual abuse and sexual harassment, retaliation by other inmates or staff for reporting sexual abuse and sexual harassment, and staff neglect or violation of responsibilities that may have contributed to such incidents

Y N N/A

Y N N/A

Reports are accepted verbally, in writing, anonymously, and from third parties including other inmates, Tutwiler staff, and the inmate’s friends and family, advocates or legal representation

Y N N/A Y N N/A

Y N N/A

Staff promptly document verbal reports in writing

Y N N/A Y N N/A

Y N N/A

Information on how to report sexual abuse or sexual harassment on behalf of an inmate is distributed publicly

Y N N/A Y N N/A

Y N N/A

III.I.1

Case 2:15-cv-00368-MHT-TFM Document 27-2 Filed 08/25/17 Page 112 of 202
MONITOR’S MEASURES OF COMPLIANCE

1. SOP 8-12 Inmate Sexual Abuse and Sexual Harassment and 8-22 Inmate Grievance Procedures. 2. Documentation of PREA hotline calls made from Tutwiler. 3. Review of monthly grievances 4. Review of the Memoranda of Understanding (MOU) between ADOC and the Alabama Dept. Of Economic and Community Affairs (ADECA).
Documentation for any calls made to ADECA. Documentation of the procedures for inmate use and how was it published for the inmates. 5. Review of PREA curriculum offered during inmate orientation. 6. Interview with ADOC PREA Compliance Manager to review any third party reports or ADOC website reports for PREA incidents. 7. Inmate focus groups. 8. Individual inmate interviews. 9. Correspondence received by the Monitor. 10. Interviews with Warden Wright, Lt. Young, and Lt. Coleman.

STEPS TAKEN BY MONITOR TO ANALYZE CONDITIONS AND ASSESS COMPLIANCE, AND FACTUAL BASIS FOR MONITOR’S FINDINGS

(for each member of monitoring team)

Documents

Interviews

On-site/Observations / Other

Reviewed: • SOP 8-12 Inmate Sexual Abuse and Sexual Harassment • SOP 8-22 Inmate Grievance Policy • Log of Tutwiler PREA hotline calls: January-June 2017 • MOU between ADOC and Alabama Department of Economic
And Community Affairs (ADECA) • Log maintained by Lt. Young for calls received by ADECA and
forwarded to Tutwiler: January-June 2017 • Curriculum for Inmate orientation • Any third party PREA reports: January-June 2017 • PREA dorm posters documenting the various phone call
processes to report allegations • Inmate correspondence received by the Monitor : January-
June 2017 • Staff training records: January -June 2017

• Warden Wright • Lt. Young, IPCM • Lt. Coleman, Grievance Coordinator • Staff interviews • Inmate focus groups • Individual inmate interviews

• Compliance Visit June 25-30, 2017.

III.I.1

Case 2:15-cv-00368-MHT-TFM Document 27-2 Filed 08/25/17 Page 113 of 202

None.

UNRESOLVED/PARTIALLY RESOLVED ISSUES FROM PREVIOUS TOUR

The Monitor found ADOC and Tutwiler to be ‘Substantially Compliant” with this provision during the June and December 2016 Compliance Visits.

ADOC and Tutwiler addressed the recommendation made by the Monitor regarding this provision during the December 2016 Compliance Visit. As requested, the monthly call list has been forwarded to the DOJ and the Monitor.

MONITOR’S FINDINGS:
Substantial Compliance Partial Compliance Non-compliance n/a no assessment due until __________

DATE: June 30, 2017

MONITOR’S DISCUSSION: STEPS TAKEN BY ADOC AND TUTWILER TOWARDS IMPLEMENTATION

DATE: June 30, 2017

ADOC and Tutwiler policy (AR 454 & SOP 8-12) include policy on Section III.I.1. and this policy has been in practice at Tutwiler since February 2014. Staff have been trained on this policy and the policy has been implemented since February 2014. The multiple methods of reporting sexual abuse or sexual harassment include:
1) Inmates may report the incident to an ADOC employee, verbally or in writing, 2) Inmates may place a call to a public entity (Alabama Department of Economic and Community Affairs – ADECA) by dialing #66, and this can
also be done confidentially, 3) Inmates may report the incident to the Institutional PREA Compliance Manager, Lt. Yvette Young, verbally or in writing, 4) Inmates may use the pre-addressed I&I envelope, make a report to an I&I Division Investigator (box is in the law library), this can also be done
confidentially, 5) A third party, including fellow inmates, family members, friends, attorneys, contracted agency employees, or outside advocates can make the
III.I.1

Case 2:15-cv-00368-MHT-TFM Document 27-2 Filed 08/25/17 Page 114 of 202
report for an inmate(s), 6) Inmates may file an emergency grievance using the Inmate Grievance Process, and, 7) Inmates may call the Alabama Coalition Against Rape (ACAR) using a toll-free number, for emotional support services related to sexual abuse.
Also, external methods of reporting include third party reports from outside can be made by accessing the ADOC website, at the bottom of the homepage.
In August 2016, ADOC notified the Monitor and the DOJ of their decision to discontinue the use of the ADOC 91 Hotline effective October 1, 2016. Given the existence of two other hotlines, a third was duplicative and all agreed this additional line was not making best use of ADOC's limited resources. The Monitor assisted Tutwiler in the development of a communication plan to advise the women of this change. Announcements were posted on dormitory bulletin boards, and Lt. Young held discussions with inmates about the change in her weekly random inmate meetings and dormitory visits.
ADOC and Tutwiler policy require staff to promptly report and document reports of sexual abuse and sexual harassment.
Posters are prominently displayed throughout the facility that remind inmates of how to report incidents of sexual abuse and sexual harassment.
Monitor Lancaster had previously recommended the development of a staff intervention plan regarding the requirements for using professional language addressing inmates. The Warden developed and implemented a plan and submitted it to the Monitor and the DOJ on October 31, 2016.

MONITOR’S DISCUSSION: EXTENT TO WHICH ADOC AND TUTWILER HAVE COMPLIED WITH THE AGREEMENT

DATE: June 30, 2017

Note: The Monitor uses the time frame January 1-June 30, 2017 as the "reporting period" throughout this report. The Monitor received documents and updates from ADOC prior to, during, and after the compliance visit of June 25-30, 2017.

ADOC and Tutwiler's "Substantial Compliance" with the requirements of this provision was documented during the June and December 2016 Compliance Visits. As of June 30, 2017 ADOC and Tutwiler have sustained compliance.

The Monitor determined the rating of "Substantial Compliance" for this reporting period based upon the following observations:

Inmates have multiple internal methods, including a grievance process and at least one confidential method, to report sexual abuse and sexual harassment and retaliation by other inmates or staff for reporting sexual abuse and sexual harassment, and staff neglect or violation of responsibilities that may have contributed to such incidents. This is documented in SOP 8-12.

Reports are accepted verbally, in writing, anonymously, and from third parties including other inmates, Tutwiler staff, and the inmates’ friends and family, advocates or legal representation. This is documented in SOP 8-12.
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Staff promptly document verbal reports in writing. This is documented in SOP 8-12.
Information on how to report sexual abuse or sexual harassment on behalf of an inmate is distributed publicly. This is documented in SOP 8-12.
In interviews with the Monitor, inmates acknowledge their access to multiple internal and external reporting mechanisms. In particular, most expressed their trust in Lt. Young and belief that she would be responsive to their needs. During the tour of the facility, the Monitor observed the wide spread posting of information advising inmates of the many reporting avenues and methods. The posters contain all of the contact information for the PREA hotline (ADECA) and the ACAR.
The Monitor reviewed the MOU between ADOC and the Alabama Department of Economic and Community Affairs (ADECA). It has been operational, and receiving calls, since the MOU was signed on April 29, 2016.
The Monitor reviewed inmate grievances filed during this reporting period. Inmates are using the grievance system appropriately. Several involved staff language that the inmates' felt was unprofessional. This issue was also raised by women in inmate focus groups and during individual discussions with the Monitor. The Monitor discussed this issue at length with Warden Wright. The Warden has taken a hands on approach to this issue and is personally involved in the review of allegations and staff interventions. Her intervention plan is in place and she and her management team model the behavior expected of all staff at Tutwiler. The Monitor witnessed this on several occasions.
During the June 2017 Compliance Visit the Monitor randomly selected inmate grievances for deeper inspection of Lt. Coleman's comprehensive records and determined the grievance system is effective and fair. During the tour, the Monitor made inquiries about additional grievances and in each instance, Lt. Coleman prepared a timely and appropriate response to the Monitor’s inquires.
The Monitor reviewed the ADOC website link for the public, regarding the ability to file a PREA report. It provides adequate instruction for the public's reporting use. During this reporting period, there were no PREA allegations reported via the website.
The Monitor had an opportunity to interview death row inmates and they acknowledged knowing how to make reports in a variety of ways. The inmates were familiar with Lt. Young, as she stops by their cells regularly. They also know how to file a grievance. There is an official notice about the grievance process in the entry space to their cells.
The Monitor reviewed the logs for the PREA hotline calls and the responses made by Lt. Young.
The Monitor received information regarding another method for inmate reporting, or third party, through the Alabama Coalition Against Rape (ACAR) The inmates can use a toll free number to call them. The agreement between ACAR and ADOC is that all calls are confidential, per ACAR policy. ACAR agreed to suggest/encourage the inmate to use the ADOC and Tutwiler methods of reporting, if their call was regarding a PREA allegation. There is no requirement for ACAR to report to ADOC.
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This is the data for the actual numbers of the various reporting methods, used by the inmates, from January-June 2017: a. Inmates grievances reporting a PREA allegation - 5 b. Calls made to ADECA reporting a PREA allegation - 32 c. Calls made to the Alabama Coalition Against Rape- not known –not reported to ADOC by ACAR

MONITOR’S RECOMMENDATIONS: (for at least the next 6 months)

DATE DUE:

ADOC should continue to maintain a summary sheet, on a monthly basis, of the usage of the calls to ADECA. This sheet should be sent to the Monitor on a monthly basis. The Monitor may request more specific information on any of these reports prior to the December 2017 Compliance Visit.

Ongoing

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REPORTING ALLEGATIONS OF SEXUAL ABUSE AND SEXUAL HARASSMENT

III.I In order to adequately identify and respond to all instances of sexual abuse and sexual harassment at Tutwiler, ADOC and Tutwiler shall ensure that all

inmates, staff, and third-parties have multiple unimpeded methods to report incidents of sexual abuse and sexual harassment free from retaliation

Policy

Develop Implement

Policy Policy

2. ADOC and Tutwiler shall also provide at least one way for inmates to report sexual abuse or sexual

harassment to a public or private entity or office that is not part of the agency, and that is able to receive III.I.2 AR454

and immediately forward inmate reports of sexual abuse and sexual harassment to agency officials, allowing

SOP 8-12

February February

the inmate to remain anonymous upon request. The method provided should be through a toll-free number

28, 2016 28, 2016

or other method as agreed to by the Monitor and DOJ.

3. ADOC and Tutwiler shall provide a method for staff to confidentially report sexual abuse and sexual harassment of inmates
REQUIREMENTS
Inmates have at least one way to report sexual abuse or sexual harassment to a public or private entity or office that is not part of the agency, and that is able to receive and immediately forward inmate reports of sexual abuse and sexual harassment to agency officials
An inmate may remain anonymous upon request when making such a report
The method provided should be through a toll-free number or other method as agreed

III.I.3

Policy Developed

Staff Trained

Y N N/A Y N N/A

Y N N/A Y N N/A Y N N/A Y N N/A

Policy Implemented Y N N/A
Y N N/A Y N N/A

Staff have a method to confidentially report sexual abuse and sexual harassment of inmates

Y N N/A Y N N/A Y N N/A

MONITOR’S MEASURES OF COMPLIANCE

1. SOP 8-12 Inmate Sexual Abuse and Sexual Harassment. 2. Review the agreement between ADOC and the Alabama Dept. of Economic and Community Affairs (ADECA) to provide the required external public
method for inmates to report sexual abuse/sexual harassment. 3. Review any phone calls processed by ADECA and documentation by ADOC of their response and processing of the information. 4. Interview Warden Wright, Lt. Young, and Director Mercado about any staff reporting a confidential allegation of sexual abuse/sexual harassment
by the ADOC website 5. Investigations & Intelligence receipt of any staff written allegation. 6. Staff interviews. 7. Inmate focus groups.
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8. Individual inmate interviews. 9. Inmate correspondence received by the Monitor. 10. Review the ADOC website link available for family, friends and others to report a PREA allegation.

STEPS TAKEN BY MONITOR TO ANALYZE CONDITIONS AND ASSESS COMPLIANCE, AND FACTUAL BASIS FOR MONITOR’S FINDINGS (for each member of monitoring team)

Documents

Interviews

On-site/Observations / Other

Reviewed: • SOP 8-12 Inmate Sexual Abuse and Sexual
Harassment • Agreement between ADOC and ADECA • Documentation of calls made to ADECA: January-
June 2017 • ADOC website link for public reports of PREA
allegations • Monthly inmate grievances: January-June 2017 • Inmate correspondence received by Monitor:
January-June 2017

• Mr. Arnaldo Mercado ADOC I & I Director, • Deputy Commissioner Williams • Warden Wright • Lt. Young, IPCM • Staff interviews • Inmate focus groups • Individual inmate interviews

• Compliance Visit June 25-30, 2017

None.

UNRESOLVED/PARTIALLY RESOLVED ISSUES FROM PREVIOUS TOUR

The Monitor found ADOC and Tutwiler to be ‘Substantially Compliant” with this provision during the December 2016 Compliance Visit.

The ADOC and Tutwiler addressed the one recommendation made by the Monitor during the December 2016 Compliance Visit. ADOC continues to provide the Monitor a monthly summary of the number of calls made on the ADECA line.

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NOTE: THIS SECTION INCLUDES III.I.2 and III.I.3. Please provide separate findings, discussion, and recommendations for all provisions. DATE:

MONITOR’S FINDINGS:

June 30, 2017

Substantial Compliance

Partial Compliance

Non-compliance

n/a no assessment due until __________

MONITOR’S DISCUSSION: STEPS TAKEN BY ADOC AND TUTWILER TOWARDS IMPLEMENTATION

DATE: June 30, 2017

The ADOC entered into an agreement with a public entity, ADECA, in April 2016. ADECA provides a way for inmates to report abuse or harassment to an entity not part of the ADOC, using a toll-free number. Notices of this availability were placed and are maintained on inmate bulletin boards throughout the facility.

ADOC and Tutwiler staff can confidentially report sexual abuse and sexual harassment of inmates by 1) using the ADOC website to make the report anonymously, or 2) using a confidential envelope available at the facility that is placed in the I &I box in the Law Library.

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MONITOR’S DISCUSSION: EXTENT TO WHICH ADOC AND TUTWILER HAVE COMPLIED WITH THE AGREEMENT

DATE: June 30, 2017

Note: The Monitor uses the time frame January 1-June 30, 2017 as the "reporting period" throughout this report. The Monitor received documents and updates from ADOC prior to, during, and after the compliance visit of June 25-30, 2017.

The Monitor found ADOC and Tutwiler to be ‘Substantially Compliant” with this provision during the June and December 2016 Compliance Visits. As of June 30, 2017 ADOC and Tutwiler have sustained substantial compliance.

Inmates have at least one way to report abuse or harassment to a public or private entity or office that is not part of the agency, and that is able to receive and immediately forward inmate reports of sexual abuse and sexual harassment to agency officials. This is accomplished with the MOU in place between ADECA and ADOC. The Monitor reviewed this MOU, which was effective March 1, 2016. During inmate focus groups and in individual inmate interviews with the Monitor, the women demonstrated awareness of this resource. During her tour, the Monitor personally observed information about this reporting method on inmate bulletin boards. During her inmate orientation session, Lt .Young discusses the variety of options inmates have to report anonymously, and the ADECA is one of them.

An inmate may remain anonymous upon request when making such a report. This condition is addressed in the recorded message inmates hear. This provision is also included in Tutwiler's SOP 8-12.

The method provided should be through a toll-free number or other method as agreed. The method used by ADECA is a toll-free number.

Staff have a method to confidentially report sexual abuse and sexual harassment of inmates. Staff may utilize the ADOC website as a method for making confidential reports of sexual abuse and sexual harassment. Staff may also write the I & I Division, anonymously, to make allegations. Lt. Young has educated staff about the availability of this option.

MONITOR’S RECOMMENDATIONS: (for at least the next 6 months)
ADOC to continue to provide the Monitor a monthly summary of the calls made on the ADECA.

DATE DUE: Ongoing

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REPORTING ALLEGATIONS OF SEXUAL ABUSE AND SEXUAL HARASSMENT III.I In order to adequately identify and respond to all instances of sexual abuse and sexual harassment at Tutwiler, ADOC and Tutwiler shall ensure that all inmates, staff, and third-parties have multiple unimpeded methods to report incidents of sexual abuse and sexual harassment free from retaliation

Policy

Develop Implement

Policy Policy

4. Third parties shall be permitted to assist inmates in filing requests for administrative remedies relating to allegations of sexual abuse and sexual harassment, and shall also be permitted to file such requests on behalf of inmates

III.I.4

5. All third party reports of sexual abuse and sexual harassment shall be forwarded immediately to the Departmental PREA Coordinator and be investigated and processed in accordance with Policy. As part of this process, the Departmental PREA Coordinator will inform Tutwiler’s PREA Compliance Manager of all third party reports received.

III.I.5

AR 454 SOP 8-12

February February 28, 2016 28, 2016

Policy

Staff Trained Policy

REQUIREMENTS

Developed

Implemented

Third parties can assist inmates in filing requests for administrative remedies relating to allegations of sexual abuse and sexual harassment

Y N N/A Y N N/A Y N N/A

Third parties can file requests for administrative remedies relating to allegations of sexual abuse and sexual Y N N/A Y N N/A harassment on behalf of inmates

All third party reports of sexual abuse and sexual harassment are forwarded immediately to the Departmental PREA Coordinator and are investigated and processed in accordance with Policy.

Y N N/A Y N N/A

The Departmental PREA Coordinator informs Tutwiler’s PREA Compliance Manager of all third party reports received

Y N N/A Y N N/A

Y N N/A Y N N/A Y N N/A

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MONITOR’S MEASURES OF COMPLIANCE
1. SOP 8-12 Inmate Sexual Abuse and Sexual Harassment and 8-22 Inmate Grievance Procedures. 2. Review of inmate grievances. 3. Interviews with Lt. Young about any third party reports directly to ADOC. Review documentation of any reports and the processing of the
allegations. 4. Interview with Lt. Coleman about third party assistance in filing administrative remedies through the grievance process. 5. Review inmate orientation curriculum about PREA and grievances. 6. Inmate focus groups. 7. Individual inmate interviews. 8. Inmate correspondence received by the Monitor.

STEPS TAKEN BY MONITOR TO ANALYZE CONDITIONS AND ASSESS COMPLIANCE, AND FACTUAL BASIS FOR MONITOR’S FINDINGS

(for each member of monitoring team)

Documents

Interviews

On-site/Observations / Other

Reviewed:

• SOP 8-12 Inmate Sexual Abuse and Sexual

• Deputy Commissioner Williams

Harassment

• Warden Wright

• SOP 8-22 Inmate Grievance Procedures

• Lt. Young, IPCM

• Inmate orientation presentation by Lt. Young and • Lt. Coleman, Grievance Coordinator

Lt .Coleman

• Staff interviews

• Monthly inmate grievances: January-June 2017 • Inmate focus groups

• Inmate correspondence received by the Monitor: • Individual inmate interviews

January-June 2017 • Any third party reports received by the ADOC or

Tutwiler: January-June 2017

• Compliance Visit June 25-30, 2017 • ADOC website link for PREA reporting

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None.

UNRESOLVED/PARTIALLY RESOLVED ISSUES FROM PREVIOUS TOUR

The Monitor found ADOC and Tutwiler to be "Substantially Complaint" with this provision during the December 2016 Compliance Visit.

The Monitor made no recommendations regarding this provision during the December 2016 Compliance Visit.

NOTE: THIS SECTION INCLUDES III.I.4 and III.I.5. Please provide separate findings, discussion, and recommendations for all provisions. DATE:

MONITOR’S FINDINGS:

June 30, 2017

Substantial Compliance

Partial Compliance

Non-compliance

n/a no assessment due until __________

MONITOR’S DISCUSSION: STEPS TAKEN BY ADOC AND TUTWILER TOWARDS IMPLEMENTATION

DATE: June 30, 2017

All provisions in Section III.I.4 & 5 of the Agreement are in practice at Tutwiler, and are addressed in ADOC or Tutwiler policy. AR 454 and SOP 8-12 include these provisions. Staff has been trained and is aware of these provisions as demonstrated in interviews and discussions with the Monitor.

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MONITOR’S DISCUSSION: EXTENT TO WHICH ADOC AND TUTWILER HAVE COMPLIED WITH THE AGREEMENT

DATE: June 30, 2017

The Monitor found ADOC and Tutwiler to be ‘Substantially Compliant” with this provision during the June and December 2016 Compliance Visits. As of June 30, 2017 ADOC and Tutwiler have sustained substantial compliance.

Third parties may assist inmates in filing requests for administrative remedies relating to allegations of sexual abuse and sexual harassment.
Third parties may file requests for administrative remedies relating to allegations of sexual abuse and sexual harassment on behalf of inmates. Lt. Coleman's inmate orientation presentation includes this information.
All third party reports of sexual abuse and sexual harassment are forwarded immediately to the Department PREA Coordinator and are investigated and processed in accordance with policy.

The Departmental PREA Coordinator informs Tutwiler’s PREA Compliance Manager of all third party reports received.

The aforementioned provisions are incorporated into policy and inmates have been made aware of them during inmate orientation. In one -onone discussions with the Monitor, inmates demonstrated a clear awareness of the procedures.

Staff has been trained in the provisions of the policy.

No third party filings were received in this reporting period.

MONITOR’S RECOMMENDATIONS: (for at least the next 6 months)
None.

DATE DUE: N/A

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REPORTING ALLEGATIONS OF SEXUAL ABUSE AND SEXUAL HARASSMENT

III.I In order to adequately identify and respond to all instances of sexual abuse and sexual harassment at Tutwiler, ADOC and Tutwiler shall ensure that all

inmates, staff, and third-parties have multiple unimpeded methods to report incidents of sexual abuse and sexual harassment free from retaliation

Policy

Develop Implement

Policy Policy

6. Grievances: ADOC and Tutwiler shall continue to develop and submit policies and procedures for an

AR 319

inmate Grievance System to the Monitor and DOJ for review within three months of the effective date and, III.I.6 SOP 8-22

August September

within four months of the effective date, implement the inmate Grievance System. This policy shall clearly

28,

28, 2015

prohibit retaliatory practices by staff against inmates who file a grievance and should include the

2015

requirements listed in III.I.6.ii-ix

TO DOJ

6.viii ADOC and Tutwiler shall develop, submit to the Monitor and DOJ for review consistent with Section III.A.6, and implement policies and procedures for the filing of an emergency grievance where an inmate is subject to a substantial risk of imminent sexual or physical abuse
REQUIREMENTS

III.I.6.viii
Policy Developed

Staff Trained Policy Implemented

All inmates receive orientation on the grievance system during orientation

Y N N/A Y N N/A Y N N/A

ADOC will offer quarterly education on the grievance system throughout the first year of implementation. Inmates will be required to attend at least once. [Dec 2015, Mar 2016, June 2016, Sep 2016]

Y N N/A Y N N/A Y N N/A

ADOC and Tutwiler shall ensure that all staff receive training on the grievance system upon implementation and through annual in-service training

Y N N/A Y N N/A Y N N/A

Grievance forms are available on all units

Y N N/A Y N N/A Y N N/A

ADOC and Tutwiler assist inmates who are limited English proficient, visually impaired, have a mental health impairment, are otherwise disabled, or who have limited reading or writing skills in accessing the grievance system

Y N N/A Y N N/A Y N N/A

An inmate who alleges sexual abuse or sexual harassment, or any other verbal or physical abuse by staff, may Y N N/A Y N N/A Y N N/A submit a complaint without submitting it to a staff member who is the subject of the complaint, and such complaint is not referred to a staff member who is the subject of the complaint

An inmate is not required to use any informal grievance process, or to otherwise attempt to resolve with staff, an alleged incident of sexual abuse, sexual harassment, or any other verbal or physical abuse by staff

Y N N/A Y N N/A Y N N/A

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A final decision on the merits of any portion of a complaint alleging sexual abuse, sexual harassment, or any other verbal or physical abuse by staff is issued within 30 days of the initial filing of the complaint, with the option of an extension of up to an additional 30 days, approved and documented by facility designee, with written notice of status provided to inmate

Y N N/A Y N N/A Y N N/A

Emergency Grievances: After receiving an emergency oral or written complaint alleging an inmate is subject Y N N/A Y N N/A Y N N/A

to a substantial risk of imminent sexual or physical abuse, ADOC and Tutwiler shall:

1. Immediately forward the Grievance (or any portion that alleges the substantial risk of imminent

Y N N/A Y N N/A Y N N/A

sexual or physical abuse) to a level of review at which immediate corrective action may be taken

Y N N/A Y N N/A Y N N/A

2. Provide an initial response within 48 hours

Y N N/A Y N N/A Y N N/A

3. And issue a final decision within five calendar days

Y N N/A Y N N/A Y N N/A

4. The initial response and final agency decision documents the ADOC’s and/or Tutwiler’s determination whether the inmate is in substantial risk of imminent sexual or physical abuse and the Y N N/A Y N N/A Y N N/A

action taken in response to the emergency grievance

MONITOR’S MEASURES OF COMPLIANCE
1. AR 319 and SOP 8-22 Inmate Grievance Procedures. 2. Review the revised inmate orientation/education curriculum that includes the 8-12 Inmate Sexual Abuse and Sexual Harassment and 8-22 Inmate
Grievances policies. 3. Documentation of inmate participation in the required quarterly education session on grievances for 2016. 4. Schedule for staff in-service training and documentation of their training on SOP 8-22 Inmate Grievance Procedures. 5. Compliance tour and observations of the placement of grievance boxes. 6. Interview with Dr. Holmes regarding any inmate needing interpreter services for filing grievances. See documentation if that has occurred during
the reporting period. 7. Monitor review of randomly selected monthly grievances. 8. Interviews with Lt. Coleman, Warden Wright, and Lt. Young. 9. Review documentation of any emergency grievance that was processed as an emergency grievance during this reporting period. 10. Staff interviews. 11. Inmate focus groups. 12. Individual inmate interviews. 13. Inmate correspondence received by the Monitor. 14. Monitor's review of grievance presentation made at inmate orientation.

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STEPS TAKEN BY MONITOR TO ANALYZE CONDITIONS AND ASSESS COMPLIANCE, AND FACTUAL BASIS FOR MONITOR’S FINDINGS

(for each member of monitoring team)

Documents

Interviews

On-site/Observations / Other

Reviewed: • SOP 8-22 Inmate Grievance Policy • Curriculum for inmate education program • Documentation for inmate participation in
quarterly education sessions • Staff in-service training on grievance system • Inmate grievances: January-June 2017 • Inmate correspondence received by Monitor:
January-June 2017

• Deputy Commissioner Williams • Warden Wright • Lt. Coleman, Grievance Coordinator • Lt. Young, IPCM • Staff interviews • Inmate focus groups • Individual inmate interviews

• Compliance Visit June 25-30, 2017 • Review of grievance presentation made at
inmate orientation • Tour of Tutwiler and observation of grievance
boxes in housing units • Observation of inmate grievance information
posted in dorms • Observation of inmate grievance mail boxes
located in facility.

UNRESOLVED/PARTIALLY RESOLVED ISSUES FROM PREVIOUS TOUR
None. The Monitor found ADOC and Tutwiler to be "Substantially Complaint" with this provision during the December 2016 Compliance Visit. The ADOC and Tutwiler have addressed the recommendation made by the Monitor during the December 2016 Compliance Visit. The ADOC and Tutwiler continue to provide the Monitor with a list of monthly inmate grievances and the Monitors randomly selects grievances for detailed review.

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MONITOR’S FINDINGS: Substantial Compliance Partial Compliance Non-compliance n/a no assessment due until __________

DATE: June 30, 2017

MONITOR’S DISCUSSION: STEPS TAKEN BY ADOC AND TUTWILER TOWARDS IMPLEMENTATION

DATE: June 30, 2017

Tutwiler SOP 8-22 Inmate Grievance Procedures, was revised, reviewed by the Monitor and the DOJ, and published in March 2016. Lt. Brian Coleman continues to be Tutwiler’s Grievance Officer.

The comprehensive offender education / orientation curriculum used to inform inmates at Tutwiler of the grievance procedures was revised in May 2016 and sent to the DOJ and the Monitor for review and comment. The final draft of the curriculum was completed and provided to the Monitor and the DOJ in January 2017. All inmates at Tutwiler have participated in a two-hour education program that included education on the Inmate Grievance Process. All new inmates receive orientation including information about the grievance program, upon intake. The Inmate Grievance Process officially began on August 31, 2015.

ADOC continues to offer quarterly education on the grievance system to inmates. This provision is documented in SOP 8-22 Inmate Grievance Procedures,

Tutwiler staff received training on the inmate grievance system during staff meetings conducted in August, 2015. Staff also received training on the revised SOP 8-22 in March 2016. This provision is documented in SOP 8-22.

Grievance forms are available in all housing units, and this provision is documented in SOP 8-22.

SOP 8-22 outlines that Tutwiler Psychological Associate staff (Dr. Holmes and his team) will assist in providing inmates who are limited English proficient, visually impaired, have mental health impairment, are otherwise disabled, or who have limited reading or writing skills in accessing the grievance system. This is accomplished through the Memorandum of Understanding established with Alabama Industry for the Deaf and Blind (AIDB) and / or through the use of Google Translation.

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MONITOR’S DISCUSSION: EXTENT TO WHICH ADOC AND TUTWILER HAVE COMPLIED WITH THE AGREEMENT

DATE: June 30, 2017

Note: The Monitor uses the time frame January 1-June 30, 2017 as the "reporting period" throughout this report. The Monitor received documents and updates from ADOC prior to, during, and after the compliance visit of June 25-30, 2017.
ADOC and Tutwiler's "Substantial Compliance" with the requirements of this provision was documented during the June and December 2016 Compliance Visits. As of June 30, 2017 ADOC and Tutwiler have sustained compliance.
The Monitor determined the rating of "Substantial Compliance" for this reporting period based upon the following observations:
The Monitor reviewed SOP 8-22 and it contains all of the requirements listed in this provision.
The Monitor reviewed randomly selected grievances from January-June 2017. The review of these grievances demonstrated that inmates are using the grievance system appropriately and the system is functioning as designed and implemented. The most repeated staff complaint involved staff's use of language that inmates felt was unprofessional and harassing, not sexual harassment. Warden Wright has developed a plan for staff intervention when these complaints surface. The Monitor will continue to monitor this issue.
The Monitor saw grievances, in her monthly reviews, which prompted remedies by Tutwiler. These remedies, in the opinion of the Monitor, were appropriate actions. It is noted that the DOJ received all of the grievances that the Monitor received during the reporting period.
In total, 737 grievances were filed between January 1-June 30, 2017. This represents a significant inmate use of the grievance system at Tutwiler. The Monitor reviewed the grievance log for January 1-June 30, 2017 maintained by Lt Coleman. In total, 5 PREA related grievances were filed during this reporting period.
All Tutwiler inmates received orientation on the grievance system during July 2015 and all inmates arriving to Tutwiler after that date continue to receive the orientation. The Monitor has reviewed the inmate education materials and observed an inmate orientation. The Monitor discussed the use of the grievance system in discussions with individual inmates during the June 2017 Compliance Visit. The Monitor also observed grievance boxes located throughout the facility.
ADOC continues to offer quarterly education on the grievance system. Inmates have been required to attend at least once. All inmates were aware of the system.
ADOC and Tutwiler continue to ensure that all staff receives training on the grievance system through annual in-service training. Staff was trained in July 2015 and again when the SOP was revised in 2016. Staff training records reflect this attendance.
Grievance forms continue to be available on all units and were quite visible to the Monitor during her June 2017 Compliance Visit.
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ADOC and Tutwiler assist inmates who are limited English proficient, visually impaired, have mental health impairment, are otherwise disabled, or who have limited reading or writing skills in accessing the grievance system. This is accomplished through the Memorandum of Agreement in place with the AIDB or through Google Translation.
An inmate who alleges sexual abuse or sexual harassment, or any other verbal or physical abuse by staff, may submit a complaint without submitting it to a staff member who is the subject of the complaint, and such complaint is not referred to a staff member who is the subject of the complaint. This provision is in SOP 822, and SOP 8-12.
An inmate is not required to use any informal grievance process, or to otherwise attempt to resolve with staff, an alleged incident of sexual abuse, sexual harassment, or any other verbal or physical abuse by staff. This is noted in SOP 8-22 and SOP 8-12.
A final decision on the merits of any portion of a complaint alleging sexual abuse, sexual harassment, or any other verbal or physical abuse by staff is issued within 30 days of the initial filing of the complaint, with the option of an extension of up to an additional 30 days, approved and documented by the facility designee, with written notice of status provided to the inmate. This is in SOP 8-22.
After receiving an emergency oral or written complaint alleging an inmate is subject to a substantial risk of imminent sexual or physical abuse: a) The grievance is immediately forwarded (or any portion that alleges the substantial risk of imminent sexual or physical abuse) to Tutwiler’s IPCM for immediate corrective action to be taken. b) The IPCM and / or Warden will provide an initial response to the inmate within 48 hours c) A final decision on the emergency grievance will be provided to the inmate within five calendar days d) The initial response and final agency decision does document the determination whether the inmate is in substantial risk of imminent sexual or physical abuse and the action taken in response to the emergency grievance.

MONITOR’S RECOMMENDATIONS: (for at least the next 6 months)

DATE DUE:

ADOC and Tutwiler are to continue to provide the Monitor with a list of monthly inmate grievances. The Monitor will randomly select grievances for detailed review.

Ongoing

III.I.6 / III.I.6.viii

Case 2:15-cv-00368-MHT-TFM Document 27-2 Filed 08/25/17 Page 131 of 202

REPORTING ALLEGATIONS OF SEXUAL ABUSE AND SEXUAL HARASSMENT

III.I In order to adequately identify and respond to all instances of sexual abuse and sexual harassment at Tutwiler, ADOC and Tutwiler shall ensure that inmates,

staff, and third-parties have multiple unimpeded methods to report incidents of sexual abuse and sexual harassment free from retaliation.

Policy

Develop Implement

Policy Policy

7.ADOC and Tutwiler shall require all employees to report immediately: Any knowledge, suspicion, or information regarding an incident or alleged incident of sexual abuse or sexual harassment that occurred in Tutwiler, in transport vehicles, or in any off-site facilities under the control and supervision of ADOC or Tutwiler; Retaliation against inmates or staff who reported such an incident; and any staff neglect or violation of responsibilities that may have contributed to an incident or retaliation.

III.I.7

AR454 SOP 8-12

February February 28, 2016 28, 2016

8.Apart from reporting to designated supervisors or officials, staff shall not reveal any information

III.I.8

related to a sexual abuse or sexual harassment report to anyone other than to the extent necessary to

make treatment, investigation, and other security and management decisions.

9.ADOC and Tutwiler shall report all allegations of sexual abuse and sexual harassment, including third III.I.9 party reports, anonymous reports, and inmate grievances, to Tutwiler’s or ADOC’s designated
investigator,

REQUIREMENTS

Policy Developed

Staff Trained

Policy Implemented

Employees are required to report immediately: 1. Any knowledge, suspicion, or information regarding an incident or alleged incident of sexual abuse or sexual harassment that occurred in Tutwiler, in transport vehicles, or in any off-site facilities under the control and supervision of ADOC or Tutwiler; 2. Retaliation against inmates or staff who reported such an incident; and 3. Any staff neglect or violation of responsibilities that may have contributed to an incident or retaliation.

Y N N/A
Y N N/A Y N N/A

Y N N/A
Y N N/A Y N N/A

Y N N/A
Y N N/A Y N N/A

Staff do not reveal any information related to a sexual abuse or sexual harassment report to anyone other than to the extent necessary to make treatment, investigation, and other security and management decisions, apart from reporting to designated supervisors or officials.
ADOC and Tutwiler report all allegations of sexual abuse and sexual harassment, including third party reports, anonymous reports, and inmate grievances, to Tutwiler’s or ADOC’s designated investigator

Y N N/A Y N N/A

Y N N/A Y N N/A

Y N N/A Y N N/A

III.I.7 / III.I.8 / III.I.9

Case 2:15-cv-00368-MHT-TFM Document 27-2 Filed 08/25/17 Page 132 of 202
MONITOR’S MEASURES OF COMPLIANCE
1. SOP 8-12 Inmate Sexual Abuse and Sexual Harassment, 8-3 Inmate Transports, 9-7 Private Transportation Security Agents. 2. Review any written Memorandum of Understanding or contract ADOC or Tutwiler has with the private transportation company that provides
transport of women inmates. Verify references to PREA responsibilities. 3. Staff interviews. 4. Inmate focus groups. 5. Individual inmate interviews. 6. Inmate correspondence received by the Monitor. 7. Interviews with Warden Wright and Lt. Young.

STEPS TAKEN BY MONITOR TO ANALYZE CONDITIONS AND ASSESS COMPLIANCE, AND FACTUAL BASIS FOR MONITOR’S FINDINGS

(for each member of monitoring team)

Documents

Interviews

On-site/Observations / Other

Reviewed: • SOP 8-12 Inmate Sexual Abuse and Sexual
Harassment • Contract with private transportation provider -
specifically for a PREA training requirement • Monthly inmate grievances: January-June 2017 • Inmate correspondence received by the Monitor:
January -June 2017 • 12 PREA allegation investigations: January-June 2017

• Deputy Commissioner Williams • Warden Wright • Lt.Young, IPCM • Staff interviews

• Compliance Visit June 25-30, 2017

None.

UNRESOLVED/PARTIALLY RESOLVED ISSUES FROM PREVIOUS TOUR

The Monitor found ADOC and Tutwiler to be "Substantially Complaint" with this provision during the December 2016 Compliance Visit.

The Monitor made no recommendations regarding this provision during the December 2016 Compliance Visit.

III.I.7 / III.I.8 / III.I.9

Case 2:15-cv-00368-MHT-TFM Document 27-2 Filed 08/25/17 Page 133 of 202

NOTE: THIS SECTION INCLUDES III.I.7, III.I.8, and III.I.9. Please provide separate findings, discussion, and recommendations for all provisions. MONITOR’S FINDINGS:
Substantial Compliance Partial Compliance Non-compliance n/a no assessment due until __________

DATE: June 30, 2017

MONITOR’S DISCUSSION: STEPS TAKEN BY ADOC AND TUTWILER TOWARDS IMPLEMENTATION

DATE: June 30, 2017

All portions of Section III.I.7, 8, and 9 are in ADOC and Tutwiler policy. In Section III.I.7, the Agreement adds “in transport vehicles, or in any off-site facilities under the control and supervision of ADOC or Tutwiler”. This addition is reflected in the revised SOP 8-12. All other portions of this section have been in ADOC and Tutwiler policy since February 2014. Staff has been trained, and those policies are currently in effect.

MONITOR’S DISCUSSION: EXTENT TO WHICH ADOC AND TUTWILER HAVE COMPLIED WITH THE AGREEMENT

DATE: June 30, 2017

Note: The Monitor uses the time frame January 1-June 30, 2017 as the "reporting period" throughout this report. The Monitor received documents and updates from ADOC prior to, during, and after the compliance visit of June 25-30, 2017.
ADOC and Tutwiler's "Substantial Compliance" with the requirements of this provision was documented during the June and December 2016 Compliance Visits. As of June 30, 2017 ADOC and Tutwiler have sustained compliance.
The Monitor determined the rating of "Substantial Compliance” for this reporting period based upon the following observations:
Employees are required to report immediately (as documented in SOP 8-12): III.I.7 / III.I.8 / III.I.9

Case 2:15-cv-00368-MHT-TFM Document 27-2 Filed 08/25/17 Page 134 of 202
a) Any knowledge, suspicion, or information regarding an incident or alleged incident of sexual abuse or sexual harassment that occurred in Tutwiler, in transport vehicles, or in any off-site facilities under the control and supervision of ADOC or Tutwiler;
b) Retaliation against inmates or staff who reported such an incident; and c) Any staff neglect or violation of responsibilities that may have contributed to an incident or retaliation.
As outlined in SOP 8-12, staff must not reveal any information related to a sexual abuse or sexual harassment report to anyone other than to the extent necessary to make treatment, investigation, and other security and management decisions, apart from reporting to designated supervisors or officials.
In accordance with SOP 8-12, Tutwiler reports all allegations of sexual abuse and sexual harassment, including third party reports, anonymous reports, and inmate grievances, to Tutwiler’s IPCM.
Staff have been trained in PREA and in interviews and discussions with the Monitor, they demonstrate their knowledge of PREA policy and their responsibilities and obligations pursuant to the policy. All staff were aware of the duty to report, the methods for inmates to report and the requirement for confidentially maintaining the information they receive from the inmates.
A review of allegations that were investigated indicates that staff is aware of their duty to report any PREA allegation immediately to Lt. Young or to their shift commander.
The Monitor reviewed inmate grievances filed in January-June 2017 and did not see a complaint about any of the requirements noted in this provision. The Monitor received correspondence from six inmates during this reporting period. These inmates did not make a complaint about any requirements in this section.
The Monitor reviewed the Risk Management System spreadsheet for the period January-June 2017. There were no instances of employees being disciplined for PREA violations .

MONITOR’S RECOMMENDATIONS: (for at least the next 6 months)

DATE DUE:

None.

N/A

III.I.7 / III.I.8 / III.I.9

Case 2:15-cv-00368-MHT-TFM Document 27-2 Filed 08/25/17 Page 135 of 202

REPORTING ALLEGATIONS OF SEXUAL ABUSE AND SEXUAL HARASSMENT

III.I In order to adequately identify and respond to all instances of sexual abuse and sexual harassment at Tutwiler, ADOC and Tutwiler shall ensure that inmates,

staff, and third-parties have multiple unimpeded methods to report incidents of sexual abuse and sexual harassment free from retaliation.

Policy

Develop Implement

Policy Policy

AR 454

May 28, May 28,

10. Protecting Inmates and Staff from Retaliation:

III.I.10

SOP 8-12

2015

2015

i. Consistent with ADOC policies, ADOC and Tutwiler shall protect all inmates and staff who report

AND

AND

allegations of sexual abuse or sexual harassment or cooperate with sexual abuse or sexual harassment investigations from retaliation by other inmates or staff, and shall designate Tutwiler’s PREA Compliance

February February 28, 2016 28, 2016

Manager with monitoring allegations of retaliation concerning inmates. Allegations of retaliation against

employees will be investigated and processed in accordance with ADOC personnel policy.

(III.I.10 1-v listed below)

REQUIREMENTS

Policy Developed

Staff Trained

Policy Implemented

Inmates and staff who report allegations of sexual abuse or sexual harassment or cooperate with sexual abuse or sexual harassment investigations are protected from retaliation by other inmates or staff. [May Y N N/A 28, 2015]

Y N N/A

Y N N/A

Tutwiler’s PREA Compliance Manager monitors allegations of retaliation concerning inmates. [May 28, 2015]

Y N N/A

Y N N/A

Y N N/A

Allegations of retaliation against employees are investigated and processed in accordance with ADOC personnel policy. [May 28, 2015]

Y N N/A Y N N/A

Y N N/A

---------------[provisions below due February 28, 2016]-----------------------ADOC and Tutwiler use multiple protection measures, such as housing changes or transfers for inmate victims or abusers, removal of alleged staff or inmate abusers from contact with victims, and emotional support services for inmates or staff who fear retaliation for reporting sexual abuse or sexual harassment Y or for cooperating with investigations.

N N/A

Y N N/A

Y N N/A

ADOC and Tutwiler ensure that any Tutwiler staff who is alleged to have engaged in sexual abuse or sexual harassment are immediately removed from positions of inmate contact at Tutwiler until an investigation is concluded.

Y N N/A Y N N/A

Y N N/A

ADOC and Tutwiler monitor all inmates and staff who report sexual abuse or sexual harassment and III.I.10

Case 2:15-cv-00368-MHT-TFM Document 27-2 Filed 08/25/17 Page 136 of 202

inmates who have been reported to have suffered or cooperated with sexual abuse or sexual harassment investigations from retaliation by other inmates or staff for at least 90 days following a report of sexual Y abuse or sexual harassment, to see if there are changes that may suggest possible retaliation by inmates or staff, including inmate disciplinary reports, housing or program changes, and negative performance reviews or reassignments, and shall act promptly to remedy any such retaliation.
Y -such monitoring is continued beyond 90 days if the initial monitoring indicates a continuing need.
Y -monitoring also includes periodic status checks for inmates
Y ADOC and Tutwiler take appropriate measures to protect from retaliation any other individual who cooperates with an investigation and expresses a fear of retaliation.

N N/A
N N/A N N/A N N/A

Y N N/A
Y N N/A Y N N/A Y N N/A

MONITOR’S MEASURES OF COMPLIANCE

Y N N/A
Y N N/A Y N N/A Y N N/A

1. SOP 8-12 Inmate Sexual Abuse and Sexual Harassment. 2. SOP 9-16 PREA Institutional PREA Compliance Manager. 3. Review of inmate grievances. 4. Inmate focus groups. 5. Individual inmate interviews. 6. Inmate correspondence received by the Monitor. 7. Review any Tutwiler investigation into allegations of retaliation in this reporting period.

III.I.10

Case 2:15-cv-00368-MHT-TFM Document 27-2 Filed 08/25/17 Page 137 of 202

STEPS TAKEN BY MONITOR TO ANALYZE CONDITIONS AND ASSESS COMPLIANCE, AND FACTUAL BASIS FOR MONITOR’S FINDINGS (for each member of monitoring team)

Documents

Interviews

On-site/Observations / Other

Reviewed: • SOP 8-12 Inmate Sexual Abuse and Sexual

• Warden Wright • Lt. Young, IPCM

Harassment

• SOP 9-16 Job Description for Tutwiler's

Institutional PREA Compliance Manager

• ADOC forms for reporting and tracking reports of

retaliation

• Monthly inmate grievances: January-June 2017

• Inmate correspondence received by the Monitor:

January-June 2017

• The tracking spreadsheet maintained by Lt. Young.

• Compliance Visit in June 25-30, 2017

None.

UNRESOLVED/PARTIALLY RESOLVED ISSUES FROM PREVIOUS TOUR

The Monitor found ADOC and Tutwiler to be "Substantially Compliant" with this provision during the December 2016 Compliance Visit.

The Monitor made no recommendations regarding this provision during the December 2016 Compliance Visit.

MONITOR’S FINDINGS: Substantial Compliance Partial Compliance Non-compliance n/a no assessment due until __________
III.I.10

DATE: June 30, 2017

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MONITOR’S DISCUSSION: STEPS TAKEN BY ADOC AND TUTWILER TOWARDS IMPLEMENTATION

DATE: June 30, 2017

All portions of Section III.I.10.i. are in ADOC and Tutwiler policy (AR 445 & SOP 8-12), and these procedures are currently in practice at Tutwiler.

Sections III.I.10.v is in ADOC and Tutwiler policy, staff has been trained, and the revised policy implemented in March 2016.

MONITOR’S DISCUSSION: EXTENT TO WHICH ADOC AND TUTWILER HAVE COMPLIED WITH THE AGREEMENT

DATE: June 30, 2017

Note: The Monitor uses the time frame January 1-June 30, 2017 as the "reporting period" throughout this report. The Monitor received documents and updates from ADOC prior to, during, and after the compliance visit of June 25-30, 2017.
ADOC and Tutwiler's "Substantial Compliance" with the requirements of this provision was documented during the June and December 2016 Compliance Visits. As of June 30, 2017 ADOC and Tutwiler have sustained substantial compliance.
The Monitor determined the rating of "Substantial Compliance” for this reporting period based upon the following observations.
Inmates and staff who report allegations of sexual abuse or sexual harassment or cooperate with sexual abuse or sexual harassment investigations are protected from retaliation by other inmates or staff. This is documented in SOP 8-12.
Tutwiler’s PREA Compliance Manager monitors allegations of retaliation concerning inmates. Lt. Young uses the ADOC PREA Form E to track and documents any inmate or staff alleging retaliation for reporting sexual abuse and for inmates who are the alleged victim of sexual abuse. She maintains a spreadsheet for logging these allegations. This is documented in SOP 8-12. During this reporting period, there were no reports, from inmates or staff alleging retaliation and no inmate alleged sexual abuse during this reporting period
Allegations of retaliation against employees are investigated and processed in accordance with ADOC personnel policy. This is documented in SOP 8-12.
Tutwiler uses multiple protection measures, such as housing changes or transfers for inmate victims or abusers, removal of alleged staff or inmate abusers from contact with victims, and emotional support services for inmates or staff who fear retaliation for reporting sexual abuse or sexual harassment or for cooperating with investigations. This is also documented in SOP 8-12.
Tutwiler ensures that any staff who is alleged to have engaged in sexual abuse or sexual harassment are immediately removed from positions of inmate
III.I.10

Case 2:15-cv-00368-MHT-TFM Document 27-2 Filed 08/25/17 Page 139 of 202
contact at Tutwiler until an investigation is concluded. This is also documented in SOP 8-12.
Tutwiler monitors all inmates and staff who report sexual abuse or sexual harassment and inmates who have been reported to have suffered or cooperated with sexual abuse or sexual harassment investigations from retaliation by other inmates or staff for at least 90 days following a report of sexual abuse or sexual harassment, to see if there are changes that may suggest possible retaliation by inmates or staff, including inmate disciplinary reports, housing or program changes, and negative performance reviews or reassignments, and shall act promptly to remedy any such retaliation. Lt. Young specifically has this responsibility, but all staff are educated on what to monitor for as well. Such monitoring is continued beyond 90 days if the initial monitoring indicates a continuing need.) Lt. Young’s monitoring also includes periodic status checks for inmates. ADOC and Tutwiler take appropriate measures to protect from retaliation any other individual who cooperates with an investigation and expresses a fear of retaliation. This is documented in agency policy as well as SOP 8-12.
All Tutwiler staff has been trained in SOP 8-12.
The Monitor randomly selected monthly inmate grievances during the reporting period of January-June 2017 for review and did not see a complaint about any of the requirements in this provision.
The Monitor received correspondence from six inmates during this reporting period. The inmates did not make a complaint about any of the requirements in this section.
The Monitor conducted two inmate focus groups and spoke informally with many inmates during the tour and there were no complaints about any of the requirements of this provision.
The Monitor reviewed the Risk Management spreadsheet for the reporting period. There were no instances of employees being disciplined for violations of any of this section requirements.

MONITOR’S RECOMMENDATIONS: (for at least the next 6 months)

DATE DUE:

None.

N/A

III.I.10

Case 2:15-cv-00368-MHT-TFM Document 27-2 Filed 08/25/17 Page 140 of 202

OFFICIAL RESPONSE TO AN ALLEGATION OF SEXUAL ABUSE AND SEXUAL HARASSMENT

III.J ADOC and Tutwiler shall ensure that all alleged victims of sexual abuse and sexual harassment are offered timely, unimpeded access to medical treatment

and crisis intervention services as appropriate and that staff appropriately respond to and counsel the alleged victim while taking steps to preserve evidence.

Policy

Develop Implement

Policy Policy

1.When ADOC or Tutwiler learns that an inmate may be subject to a substantial risk of imminent sexual abuse, ADOC or Tutwiler shall take immediate action to protect the inmate.

III.J.1

AR 454 SOP 8-12

February February 28, 2016 28, 2016

REQUIREMENTS
Immediate action is taken immediate to protect an inmate when ADOC or Tutwiler learns that the inmate may be subject to a substantial risk of imminent sexual abuse.

Policy Developed

Staff Trained

Y N N/A Y N N/A

Policy Implemented
Y N N/A

MONITOR’S MEASURES OF COMPLIANCE

1. SOP 8-12 Inmate Sexual Abuse and Sexual Harassment. 2. Interviews with Warden Wright, Lt. Young, Ms. Greer and Ms. Jackson . 3. Staff interviews. 4. Review of inmate grievances.

III.J.1

Case 2:15-cv-00368-MHT-TFM Document 27-2 Filed 08/25/17 Page 141 of 202

STEPS TAKEN BY MONITOR TO ANALYZE CONDITIONS AND ASSESS COMPLIANCE, AND FACTUAL BASIS FOR MONITOR’S FINDINGS (for each member of monitoring team)

Documents

Interviews

On-site/Observations / Other

Reviewed: • SOP 8-12 Inmate Sexual abuse and Sexual
Harassment • Monthly inmate grievances: January-June 2017 • Inmate correspondence received by the Monitor:
January-June 2017 • PREA incident reports filed : January-June 2017

• Warden Wright • Deputy Commissioner Williams • Lt. Young, IPCM • Ms. Greer, MHM Mental Health Site
Administrator • Ms. Jackson, Corizon Director of
Nursing • Staff interviews • Inmate focus groups • Individual inmate interviews

• Compliance Visit June 25-30, 2017

None.

UNRESOLVED/PARTIALLY RESOLVED ISSUES FROM PREVIOUS TOUR

The Monitor found ADOC and Tutwiler to be ‘Substantially Compliant” with this provision during the December 2016 Compliance Visit.

The Monitor made a recommendation regarding this provision during the December 2016 Compliance Visit. The ADOC is to notify the Monitor of any incident and actions taken by Tutwiler if an inmate is identified as having "imminent threats" status. There are no incidents of this nature to report to date.

III.J.1

MONITOR’S FINDINGS:

Case 2:15-cv-00368-MHT-TFM Document 27-2 Filed 08/25/17 Page 142 of 202

Substantial Compliance Partial Compliance Non-compliance n/a no assessment due until __________

DATE: June 30, 2017

MONITOR’S DISCUSSION: STEPS TAKEN BY ADOC AND TUTWILER TOWARDS IMPLEMENTATION

DATE: June 30, 2017

Section III.J.1. of the Agreement, is in practice at Tutwiler. Staff has been trained to report incidences such as this, and immediate action is taken when a report is received. This provision is documented in SOP 8-12.

Ms. Felicia Greer, MHM Site Administrator, is responsible for crisis intervention services at Tutwiler., Ms. Lynda Jackson , Corizon Site Administrator, is responsible for medical services at Tutwiler.

MONITOR’S DISCUSSION: EXTENT TO WHICH ADOC AND TUTWILER HAVE COMPLIED WITH THE AGREEMENT

DATE: June 30, 2017

The Monitor found ADOC and Tutwiler to be ‘Substantially Compliant” with this provision during the June and December 2016 Compliance Visits. As of June 30, 2017 ADOC and Tutwiler have sustained substantial compliance.

The Monitor determined the rating of "Substantial Compliance" for this reporting period based upon the following observations.

The SOP 8-12, Inmate Sexual Abuse and Sexual Harassment addresses the requirement in J. 1 specifically, as required in this provision. This requirement is in current practice at Tutwiler. Immediate action is taken to protect an inmate when ADOC or Tutwiler learns that the inmate may subject to a substantial risk of imminent sexual abuse.

Staff has received the 8-hour PREA required training, in the revised SOP 8-12, by February 28, 2016. The Monitor reviewed staff evaluations for these training

III.J.1

Case 2:15-cv-00368-MHT-TFM Document 27-2 Filed 08/25/17 Page 143 of 202
sessions. They reflected positive feedback in both content and presentation.
The Monitor interviewed staff and discussed staff's awareness of their responsibility to take immediate actions to protect an inmate when they learn that an inmate may be subject to a risk of imminent sexual abuse.
The Monitor randomly selected grievances during the reporting period for review. There was no grievances filed regarding a violation of the requirement by any Tutwiler staff.
The Monitor reviewed inmate correspondence in this reporting period and there were no complaints about a violation of this requirement for themselves, or other inmates.
The ADOC reports that there were no incidents of “threats of imminent harm” to any inmate during this reporting period.

MONITOR’S RECOMMENDATIONS: (for at least the next 6 months)

DATE DUE:

1. ADOC will immediately notify the Monitor of any incident and actions taken by Tutwiler if an inmate is identified as having "imminent threats" status.

Ongoing

III.J.1

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OFFICIAL RESPONSE TO AN ALLEGATION OF SEXUAL ABUSE AND SEXUAL HARASSMENT

III.J ADOC and Tutwiler shall ensure that all alleged victims of sexual abuse and sexual harassment are offered timely, unimpeded access to medical treatment

and crisis intervention services as appropriate and that staff appropriately respond to and counsel the alleged victim while taking steps to preserve evidence.

Policy

Develop Implement

Policy Policy

2.ADOC and Tutwiler shall continue to comply with Policy and Tutwiler Standard Operating Procedures to coordinate actions taken in response to an allegation of sexual abuse, among first staff responders, medical and mental health practitioners, investigators, and Tutwiler leadership, including time frames and lists of whom staff should report to in specific situations and guidelines regarding the collection of physical evidence.

III.J.2 AR454 SOP 8-12

May 28, 2015

May 28, 2015

REQUIREMENTS

Policy Developed

Staff Trained Policy Implemented

Actions are coordinated in response to allegations of sexual abuse among first staff responders, medical and mental health practitioners, investigators, and leadership.

Y N N/A Y N N/A Y N N/A

Time frames are provided

Y N N/A Y N N/A Y N N/A

Lists of whom staff should report to in specific situations and guidelines regarding the collection of physical evidence are provided.

Y N N/A Y N N/A Y N N/A

MONITOR’S MEASURES OF COMPLIANCE

1. SOP 8-12 Inmate Sexual Abuse and Sexual Harassment, AR 454. 2. Review minutes of the Tutwiler interdisciplinary meeting with medical and mental health staff. 3. Review of Corizon and MHM PREA training. 4. Interviews with Ms. Greer, Ms. Jackson, Dr. Holmes, and Lt. Young. 5. Staff interviews. 6. Review of health services PREA logs.

III.J.2

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STEPS TAKEN BY MONITOR TO ANALYZE CONDITIONS AND ASSESS COMPLIANCE, AND FACTUAL BASIS FOR MONITOR’S FINDINGS

(for each member of monitoring team)

Documents

Interviews

On-site/Observations / Other

Reviewed: • SOP 8-12 Inmate Sexual Abuse and Sexual
Harassment • Tutwiler PREA Incident Review Committee Reports:
January-June 2017 • ADOC PREA investigations: January -June 2017 • Staff training curriculum for PREA by Corizon and
MHM • Minutes of the interdisciplinary meeting with
Tutwiler MHM and ADOC staff • Training evaluations completed by Tutwiler staff • Inmate correspondence received by Monitor:
January -June 2017 • Inmate monthly grievances: January-June 2017

• Warden Wright • Lt .Young, IPCM • Ms. Greer, MHM Site Administrator • Dr. Holmes, Tutwiler Psychological
Associate • Ms. Jackson , Corizon Director Nursing • Staff interviews • Inmate focus groups • Individual inmate interviews

• Compliance Visit June 25-30, 2017

None.

UNRESOLVED/PARTIALLY RESOLVED ISSUES FROM PREVIOUS TOUR

The Monitor found ADOC and Tutwiler to be "Substantially Compliance" with this provision during the December 2016 Compliance Visit.

ADOC, Tutwiler and Corizon addressed the recommendations made by the Monitor during the December 2016 Compliance Visit. Interdisciplinary staff meetings continue regularly with staff from Corizon, MHM, and ADOC Psychology. Minutes are taken and are available for review by the Monitor.

III.J.2

Case 2:15-cv-00368-MHT-TFM Document 27-2 Filed 08/25/17 Page 146 of 202
MONITOR’S FINDINGS: Substantial Compliance Partial Compliance Non-compliance n/a no assessment due until __________

DATE: June 30, 2017

MONITOR’S DISCUSSION: STEPS TAKEN BY ADOC AND TUTWILER TOWARDS IMPLEMENTATION

DATE: June 30, 2017

AR 454 and SOP 8-12 outline the provisions discussed in Section III.J.2. This policy has been in practice since February 2014 and remains the practice today. AR 454 and SOP 8-12 include this provision.

At the suggestion of the Monitor, ADOC and Associate Commissioner Naglich completed some minor revisions/additions to the Corizon orientation curriculum.

III.J.2

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MONITOR’S DISCUSSION: EXTENT TO WHICH ADOC AND TUTWILER HAVE COMPLIED WITH THE AGREEMENT

DATE: June 30, 2017

Note: The Monitor uses the time frame January 1-June 30, 2017 as the "reporting period" throughout this report. The Monitor received documents and updates from ADOC prior to, during, and after the compliance visit of June 25-30, 2017.
The Monitor found ADOC and Tutwiler to be ‘Substantially Compliant” with this provision during the December 2015, and, June and December 2016 Compliance Visits. As of June 30, 2017 ADOC and Tutwiler have sustained substantial compliance.
The Monitor determined the rating of "Substantial Compliance” for this reporting period based upon the following observations.
ADOC AR 454 and SOP 8-12 PREA policies have the requirements in III. J. 2 in their procedures. The Monitor reviewed completed investigations and observed that the requirements of this provision were followed at Tutwiler. Allegations were reported immediately to shift commanders, Lt. Young, and the Warden. These allegations were immediately reported to ADOC I+I and were investigated within the allotted time frame. All of the designated times frames in SOP 812 were followed at every level, from the time of the initial report by the inmate. . The Monitor reviewed the Corizon and MHM orientation/training curricula for their new medical and mental health employees. These curricula contained specific instructions for the role of medical and mental health staff involving an initial PREA allegation at Tutwiler. MHM has a specific policy, #B-04, that addresses Alabama PREA policy and related policies. MHM has a detailed PREA training program for the specific duties prescribed for mental health staff. Corizon has a PREA training presentation for all new employees. It is noted that all medical and mental health employees at Tutwiler are required to complete the 8-hour PREA training and the 16-hour Gender Responsive training. All of the Corizon and MHM staff members at Tutwiler have completed the required training. The Monitor reviewed the actual training rosters and some randomly selected staff training evaluations, including evaluations from staff who identified themselves as medical/mental health, that were positive about the training. Based upon staff interviews, inmate focus groups, and individual inmate interviews, the Monitor believes staff members of all disciplines are aware of their responsibilities and their PREA training.

MONITOR’S RECOMMENDATIONS: (for at least the next 6 months)

DATE DUE:

1. Interdisciplinary staff meetings continue regularly with staff from Corizon, MHM, and ADOC Psychology. Minutes will be taken and Ongoing be available for review by the Monitor fduring future compliance visits.

III.J.2

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OFFICIAL RESPONSE TO AN ALLEGATION OF SEXUAL ABUSE AND SEXUAL HARASSMENT

III.J ADOC and Tutwiler shall ensure that all alleged victims of sexual abuse and sexual harassment are offered timely, unimpeded access to medical treatment

and crisis intervention services as appropriate and that staff appropriately respond to and counsel the alleged victim while taking steps to preserve evidence.

Policy

Develop Implement

Policy Policy

3.ADOC and Tutwiler shall respond to reports of sexual abuse and sexual harassment or threats of sexual

abuse or sexual harassment without regard to an inmate’s known or perceived sexual orientation or gender III.J.3 AR 454

February February

identity.

III.J.6 SOP 8-12

28, 2016 28, 2016

6.ADOC and Tutwiler shall not place in protective custody an inmate who is alleged to have suffered sexual abuse or sexual harassment solely for the purpose of protecting that inmate, unless a determination, documented in writing and reviewed by the PREA Compliance Manager or the warden’s designee within 24 hours, has been made that there is no available alternative means of separation from likely abusers.

REQUIREMENTS

Policy Developed

Staff Trained Policy Implemented

ADOC and Tutwiler respond to reports of sexual abuse and sexual harassment or threats of sexual abuse or Y N N/A Y N N/A Y N N/A sexual harassment without regard to an inmate’s known or perceived sexual orientation or gender identity.

Inmates who are alleged to have suffered sexual abuse or sexual harassment are not placed in protective custody solely for the purpose of protecting that inmate, unless:
1. a determination that there is no available alternative means of separation from likely abusers is documented in writing, and
2. the determination is reviewed by the PREA Compliance Manager or the warden’s designee within 24 hours.

Y N N/A Y N N/A Y N N/A Y N N/A Y N N/A Y N N/A Y N N/A Y N N/A Y N N/A

III.J.3 / III.J.6

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MONITOR’S MEASURES OF COMPLIANCE
1. SOP 8-12 Inmate Sexual Abuse and Sexual Harassment, AR 454. 2. Review any documentation regarding any inmate subject to these requirements in this provision during the reporting period. 3. Interviews with Warden Wright and Lt. Young. 4. Staff interviews. 5. Inmate focus groups. 6. Individual inmate interviews. 7. Inmate correspondence received by the Monitor. 8. Monthly inmate grievances.

STEPS TAKEN BY MONITOR TO ANALYZE CONDITIONS AND ASSESS COMPLIANCE, AND FACTUAL BASIS FOR MONITOR’S FINDINGS

(for each member of monitoring team)

Documents

Interviews

On-site/Observations / Other

Reviewed: • AR 454 • SOP 8-12 Inmate Sexual Abuse and Sexual Harassment • Documentation regarding any inmate subject to these requirements in this provision: January-June 2017 • Inmate correspondence received by the Monitor: January-June 2017

• Warden Wright • Lt. Young, IPCM • Lt .Coleman, Grievance
Coordinator • Staff interviews • Inmate focus group • Individual inmate interviews

• Compliance Visit June 25-30, 2017

III.J.3 / III.J.6

Case 2:15-cv-00368-MHT-TFM Document 27-2 Filed 08/25/17 Page 150 of 202

UNRESOLVED/PARTIALLY RESOLVED ISSUES FROM PREVIOUS TOUR

None.

The Monitor found ADOC and Tutwiler to be "Substantially Compliance" with this provision during the December 2016 Compliance Visit.

ADOC and Tutwiler addressed the recommendation made by the Monitor during the December 2016 Compliance Visit. The Monitor has asked to be notified if an inmate is placed in protective custody, via this provision.

NOTE: THIS SECTION INCLUDES III.J.3 and III.J.6. Please provide separate findings, discussion, and recommendations for all provisions. DATE:

MONITOR’S FINDINGS:

June 30, 2017

Substantial Compliance Partial Compliance Non-compliance n/a no assessment due until __________

MONITOR’S DISCUSSION: STEPS TAKEN BY ADOC AND TUTWILER TOWARDS IMPLEMENTATION

DATE: June 30, 2017

AR 454 and SOP 8-12 outline the provisions discussed in Section III.J.3 & 6. This policy has been in practice since February 2014 and remains the practice today. AR 454 and SOP 8-12 include this provision.

Staff has been trained in policy.

III.J.3 / III.J.6

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MONITOR’S DISCUSSION: EXTENT TO WHICH ADOC AND TUTWILER HAVE COMPLIED WITH THE AGREEMENT

DATE: June 30, 2017

Note: The Monitor uses the time frame January 1- June 30, 2017 as the "reporting period" throughout this report. The Monitor received documents and updates from ADOC prior to, during, and after the compliance visit of June 25-30, 2017.
The Monitor found ADOC and Tutwiler to be ‘Substantially Compliant” with this provision in during the June and December 2016 Compliance Visits. As of June 30, 2017 ADOC and Tutwiler have sustained substantial compliance.
ADOC and Tutwiler respond to reports of sexual abuse and sexual harassment or threats of sexual abuse or sexual harassment without regard to an inmate’s known or perceived sexual orientation or gender identity. This is in SOP 8-12. The Monitor's review of inmate grievances and inmate correspondence to the Monitor during this reporting period, did not reveal any inmate comment, question or complaint about an inmate being placed in protective custody. Also, the inmates did not lodge a complaint or comment about the failure of Tutwiler staff to respond to PREA allegations due to the sexual orientation or gender identify of an inmate.
In accordance with Tutwiler SOP 8-12, Inmates who are alleged to have suffered sexual abuse or sexual harassment are not placed in protective custody solely for the purpose of protecting that inmate, unless:
a. a determination that there is no available alternative means of separation from likely abusers is documented in writing, b. and the determination is reviewed by the PREA Compliance Manager or the warden’s designee within 24 hours.
In response to a previous recommendation by Monitor Lancaster, the Monitor is to be notified immediately if an inmate is placed in protective custody, via this prevision. To date, there have been no incidents to report. All staff interviewed agreed that Tutwiler has not placed any inmate in protective custody during this reporting period.

MONITOR’S RECOMMENDATIONS: (for at least the next 6 months)
ADOC and Tutwiler will continue to immediately notify the Monitor if an inmate is placed in protective custody, via this provision.

DATE DUE: Ongoing

III.J.3 / III.J.6

Case 2:15-cv-00368-MHT-TFM Document 27-2 Filed 08/25/17 Page 152 of 202

OFFICIAL RESPONSE TO AN ALLEGATION OF SEXUAL ABUSE AND SEXUAL HARASSMENT

III.J ADOC and Tutwiler shall ensure that all alleged victims of sexual abuse and sexual harassment are offered timely, unimpeded access to medical treatment

and crisis intervention services as appropriate and that staff appropriately respond to and counsel the alleged victim while taking steps to preserve evidence.

Policy

Develop Implement

Policy Policy

4.The written institutional plan shall include procedures that address how staff respond upon learning of an III.J.4

February February

allegation that an inmate was sexually abused; described below

AR454

28, 2016 28, 2016

SOP 8-12

5. If the first staff responder is not a security staff member, the responder shall be required to request the III.J.5

alleged victim not take any actions that could destroy physical evidence, and then notify security staff.

REQUIREMENTS
The written institutional plan includes procedures that address how staff responds upon learning of an allegation that an inmate was sexually abused.

Policy Developed

Staff Trained Policy Implemented

Y N N/A Y N N/A Y N N/A

The first security staff member to respond to the report is required to: -Separate the alleged victim and abuser; -Preserve and protect any crime scene until appropriate steps can be taken to collect any evidence; and Y N N/A Y N N/A Y N N/A -Request that the alleged victim not take any actions that could destroy physical evidence, including, as Y N N/A Y N N/A Y N N/A
appropriate, washing, brushing teeth, changing clothes, urinating, defecating, smoking, drinking, or eating if Y N N/A Y N N/A Y N N/A the abuse occurred within a time period that still allows for the collection of physical evidence.

If the first staff responder is not a security staff member, the responder is required to request the alleged victim not take any actions that could destroy physical evidence, and then notify security staff.

Y N N/A Y N N/A Y N N/A

III.J.4 / III.J.5

Case 2:15-cv-00368-MHT-TFM Document 27-2 Filed 08/25/17 Page 153 of 202
MONITOR’S MEASURES OF COMPLIANCE
1. SOP 8-12 Inmate Sexual Abuse and Sexual Harassment, AR 454. 2. Review of ADOC Tutwiler PREA investigations conducted by I+I during reporting period. 3. Interviews with Warden Wright, Lt. Young, Director Mercado, and Ms. Kelley Smith. 4. Staff Interviews. 5. Inmate focus groups. 6. Individual inmate interviews. 7. Inmate correspondence received by the Monitor. 8. Review of inmate grievances.

STEPS TAKEN BY MONITOR TO ANALYZE CONDITIONS AND ASSESS COMPLIANCE, AND FACTUAL BASIS FOR MONITOR’S FINDINGS (for each member of monitoring team)

Documents

Interviews

On-site/Observations / Other

Reviewed: • SOP 8-12 Inmate Sexual Abuse and Sexual
Harassment • AR 454 • Investigations completed during reporting period • Monthly inmate grievances: January-June 2017 • Inmate correspondence received by Monitor:
January-June 2017 • Tutwiler PREA Incident Review Committee reports:
January-June 2017

• Warden Wright • Lt .Young, IPCM • Mr. Arnaldo Mercado, Director,
ADOC's I & I Division • Ms. Kelley Smith, Tutwiler's ADOC
I& I Investigator • Staff interviews • Inmate focus groups • Individual inmate interviews

• Compliance Visit June 25-30, 2017

None.

UNRESOLVED/PARTIALLY RESOLVED ISSUES FROM PREVIOUS TOUR

The Monitor found ADOC and Tutwiler to be ‘Substantially Compliant” with this provision during the December 2016 Compliance Visit.

The Monitor made no recommendations regarding this provision during the December 2016 Compliance Visit.

III.J.4 / III.J.5

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NOTE: THIS SECTION INCLUDES III.J.4 and III.J.5. Please provide separate findings, discussion, and recommendations for all provisions. DATE: June 30, 2017
MONITOR’S FINDINGS: Substantial Compliance Partial Compliance Non-compliance n/a no assessment due until __________

MONITOR’S DISCUSSION: STEPS TAKEN BY ADOC AND TUTWILER TOWARDS IMPLEMENTATION

DATE: June 30, 2017

AR 454 and SOP 8-12 outline the provisions discussed in Section III.J.4&5. This policy has been in practice since February 2014 and remains the practice today. AR 454 and SOP 8-12 include these provisions. Staff has been trained on the policy.

In July 2016, Director Mercado and all his investigators participated in additional training regarding forensic investigative techniques and evidence collection.

MONITOR’S DISCUSSION: EXTENT TO WHICH ADOC AND TUTWILER HAVE COMPLIED WITH THE AGREEMENT

DATE: June 30, 2017

Note: The Monitor uses the time frame January 1-June 30, 2017 as the "reporting period" throughout this report. The Monitor received documents and updates from ADOC prior to, during, and after the compliance visit of June 25-30, 2017.
The Monitor found ADOC and Tutwiler to be ‘Substantially Compliant” with this provision during the June and December 2016 Compliance Visits. As of June 30, 2017 ADOC and Tutwiler have sustained substantial compliance.
The Monitor determined the rating of "Substantial Compliance" for this reporting period based upon the following observations:

III.J.4 / III.J.5

Case 2:15-cv-00368-MHT-TFM Document 27-2 Filed 08/25/17 Page 155 of 202
The written institutional plan (SOP 8-12) includes procedures that address how staff respond upon learning of an allegation that an inmate was sexually abused. In accordance with SOP 8-12, the first security staff member to respond to the report is required to:
a) Separate the alleged victim and abuser; b) Preserve and protect any crime scene until appropriate steps can be taken to collect any evidence; and c) Request that the alleged victim not take any actions that could destroy physical evidence, including, as appropriate, washing, brushing teeth,
changing clothes, urinating, defecating, smoking, drinking, or eating if the abuse occurred within a time period that still allows for the collection of physical evidence.
If the first staff responder is not a security staff member, SOP 8-12 requires the responder to request the alleged victim not take any actions that could destroy physical evidence, and then notify security staff.
All staff at Tutwiler has been trained in SOP 8-12, as required. The Monitor reviewed training rosters and randomly selected training evaluations and post tests from the training.
Based upon the investigations conducted this reporting period, there has not been a need to preserve a crime scene or to collect physical evidence on the scene, via this provision.
The Monitor reviewed the curriculum for the training program Director Mercado and his investigators attended .The Monitor received confirmation from ADOC that this training was completed.

MONITOR’S RECOMMENDATIONS: (for at least the next 6 months)
None.

DATE DUE: N/A

III.J.4 / III.J.5

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OFFICIAL RESPONSE TO AN ALLEGATION OF SEXUAL ABUSE AND SEXUAL HARASSMENT

III.J ADOC and Tutwiler shall ensure that all alleged victims of sexual abuse and sexual harassment are offered timely, unimpeded access to medical treatment

and crisis intervention services as appropriate and that staff appropriately respond to and counsel the alleged victim while taking steps to preserve evidence.

Policy

Develop Implement

Policy Policy

III.J.7 AR 454

May 28, May 28,

7.To the extent they do not already exist, ADOC and Tutwiler shall develop, submit to the Monitor and DOJ

SOP 8-12

2015

2015

for review consistent with Section III.A.6., and implement policies and procedures to provide access to

AND

AND

medical and mental health services to women identified as potential or actual victims of sexual abuse and

February February

sexual harassment, that occurred either at Tutwiler or elsewhere, including the following:

28, 2016 28, 2016

REQUIREMENTS

Policy Developed

Staff Trained

Policy Implemented

Inmate victims of sexual abuse receive timely, unimpeded access to emergency medical and mental health

Y N N/A Y N N/A

care and treatment and crisis intervention services, the nature and scope of which are determined by medical

and mental health practitioners according to their professional judgment.

Y N N/A

If no qualified medical or mental health practitioners are on duty at the time a report of recent abuse is made, Y N N/A Y N N/A security staff and first responders take preliminary steps to protect the victim and shall immediately notify the appropriate medical and mental health practitioners.

Y N N/A

Tutwiler offers further medical and mental health evaluation and, as appropriate, treatment, to all inmates who have been victimized by sexual abuse and/or sexual harassment in any prison, jail, lockup, or juvenile facility.

Y N N/A Y N N/A Y N N/A

The evaluation and treatment of such victims includes, as appropriate, follow-up services, treatment plans, and, when necessary, referrals for continued care following their transfer to, or placement in, other facilities, or their release from custody.

Y N N/A Y N N/A

Y N N/A

Appropriate mental health counseling and emotional support services are made available to victims of sexual Y N N/A Y N N/A abuse and sexual harassment, provided by a qualified staff member or a victim advocate from a communitybased organization that provides services to sexual abuse victims.

Y N N/A

ADOC and Tutwiler shall attempt to enter into and maintain memoranda of understanding or other agreements with community service providers that are able to provide inmates with confidential emotional support services related to sexual abuse or sexual harassment.
ADOC and Tutwiler maintain copies of agreements or documentation of such attempts. III.J.7

Y N N/A Y N N/A Y N N/A Y N N/A

Y N N/A Y N N/A

Case 2:15-cv-00368-MHT-TFM Document 27-2 Filed 08/25/17 Page 157 of 202

Inmate victims of sexual abuse or sexual harassment while incarcerated are offered timely information about Y N N/A Y N N/A and timely access to emergency contraception, pregnancy tests, and tests for sexually transmitted infections prophylaxis, where medically appropriate.

If inmate pregnancy results from sexual abuse while incarcerated, such victims receive timely and comprehensive information about and access to all lawful pregnancy-related medical services.

Y N N/A Y N N/A

All treatment services in this subsection are provided to the victim without financial cost and regardless of whether the victim names the abuser or cooperates with any investigation arising out of the incident.

Y N N/A Y N N/A

Y N N/A Y N N/A Y N N/A

MONITOR’S MEASURES OF COMPLIANCE

1. SOP 8-12 Inmate Sexual Abuse and Sexual Harassment, AR 454 2. Review ADOC MOU with Alabama Coalition Against Rape (ACAR) for confidential emotional support for victims of sexual abuse and harassment. 3. Review inmate orientation/education curriculum. 4. Review minutes of the Tutwiler interdisciplinary meeting of medical and mental health staff. 5. Review Corizon and MHM policies regarding these provisions for inmate assessment and treatment. 6. Interviews with Warden Wright, Lt. Young, Ms. Greer, Dr. Holmes, and Ms. Jackson.

STEPS TAKEN BY MONITOR TO ANALYZE CONDITIONS AND ASSESS COMPLIANCE, AND FACTUAL BASIS FOR MONITOR’S FINDINGS

(for each member of monitoring team)

Documents

Interviews

On-site/Observations / Other

Reviewed: • SOP 8-12 Inmate Sexual Abuse and Sexual Harassment • AR 454 • MOU between ADOC and ACAR • Minutes of Tutwiler Interdisciplinary meeting with MHM and ADOC mental health: January-June 2017 • Corizon and MHM policies and orientation manual for the inmate treatment provisions and directives • Monthly inmate grievances: January-June 2017 • Inmate correspondence received by the Monitor: January-June 2017

• Warden Wright

• Compliance Visit June 25-30, 2017

• Lt . Young, IPCM

• Ms. Greer, MHM Mental Health

Site Administrator

• Dr. Holmes, Tutwiler Psychological

Associate

• Ms. Jackson, Corizon Director of

Nursing

III.J.7

Case 2:15-cv-00368-MHT-TFM Document 27-2 Filed 08/25/17 Page 158 of 202

None.

UNRESOLVED/PARTIALLY RESOLVED ISSUES FROM PREVIOUS TOUR

The Monitor found ADOC and Tutwiler in "Substantial Compliance" during the December 2016 Compliance Visit.

The ADOC and Tutwiler addressed the recommendation made by the Monitor during the December2016 Compliance Visit. Tutwiler continues to hold monthly medical/mental health interdisciplinary meetings and uses these meetings to discuss specific PREA responsibilities requiring action by the two disciplines.

MONITOR’S FINDINGS: Substantial Compliance Partial Compliance Non-compliance n/a no assessment due until __________

DATE: June 30, 2017

MONITOR’S DISCUSSION: STEPS TAKEN BY ADOC AND TUTWILER TOWARDS IMPLEMENTATION

DATE: June 30, 2017

Section III.J.7 provisions are currently in ADOC and Tutwiler policy (AR 454 and SOP 8-12). AR 454 and SOP 8-12 include these provisions.

III.J.7

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MONITOR’S DISCUSSION: EXTENT TO WHICH ADOC AND TUTWILER HAVE COMPLIED WITH THE AGREEMENT

DATE: June 30, 2017

Note: The Monitor uses the time frame January 1- June 30, 2017 as the "reporting period" throughout this report. The Monitor received documents and updates from ADOC prior to, during, and after the compliance visit of June 25-30, 2017.
This provision was in "Partial Compliance" In December 2015 because several requirements were not due for compliance until February 29, 2016. The Monitor found ADOC and Tutwiler to be ‘Substantially Compliant” with this provision during the June and December 2016 Compliances Visits. As of June 30, 2017 ADOC and Tutwiler have sustained substantial compliance. The Monitor determined the rating of "Substantial Compliance" for this reporting period based upon the following observations.
In accordance with SOP 8-12: • Inmate victims of sexual abuse receive timely, unimpeded access to emergency medical and mental health care and treatment and crisis intervention services, the nature and scope of which are determined by medical and mental health practitioners according to their professional judgment.
• If no qualified medical or mental health practitioners are on duty at the time a report of recent abuse is made, security staff and first responders take preliminary steps to protect the victim and immediately notify the appropriate medical and mental health practitioners.
• Tutwiler offers further medical and mental health evaluation and, as appropriate, treatment, to all inmates who have been victimized by sexual abuse and/or sexual harassment in any prison, jail, lockup, or juvenile facility.
• The evaluation and treatment of such victims includes, as appropriate, follow-up services, treatment plans, and, when necessary, referrals for continued care following their transfer to, or placement in, other facilities, or their release from custody.
• Appropriate mental health counseling and emotional support services are made available to victims of sexual abuse and sexual harassment, provided by a qualified staff member or a victim advocate from ACAR since ADOC has an MOU with this community-based organization to provide services to sexual abuse victims.
• ADOC and Tutwiler maintain an MOU with ACAR to provide inmates with confidential emotional support services related to sexual abuse or sexual harassment.
• ADOC and Tutwiler maintain copies of agreements or documentation of attempts.
• Inmate victims of sexual abuse or sexual harassment while incarcerated are offered timely information about and timely access to emergency contraception, pregnancy tests, and tests for sexually transmitted infections prophylaxis, where medically appropriate.
III.J.7

Case 2:15-cv-00368-MHT-TFM Document 27-2 Filed 08/25/17 Page 160 of 202
• If inmate pregnancy results from sexual abuse while incarcerated, such victims receive timely and comprehensive information about and access to all lawful pregnancy-related medical services.
• All treatment services in the above listed bullets are provided to the victim without financial cost and regardless of whether the victim names the abuser or cooperates with any investigation arising out of the incident.
• All Tutwiler staff received an 8-hour block of PREA training. These staff include all of the Corizon medical and MHM mental health staff and their
contractors. MHM and Corizon have separate PREA training curriculum for their new employees. Corizon has a separate short presentation module on PREA, using slides. The Monitor reviewed the MOU between ADOC and The Alabama Coalition Against Rape that provides a confidential phone number for inmates to use and receive emotional support as a result of sexual abuse.

MONITOR’S RECOMMENDATIONS: (for at least the next 6 months)

DATE DUE:

Tutwiler to continue to hold monthly medical/mental health interdisciplinary meetings and use these meetings to discuss specific PREA Ongoing responsibilities requiring action by the two disciplines.

III.J.7

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REFERRALS AND INVESTIGATIONS III.K ADOC and Tutwiler shall ensure that all allegations of sexual abuse and sexual harassment are promptly, thoroughly, and objectively investigated and appropriately referred for prosecutorial review, and that alleged victims are advised of the outcome of their allegations.

Policy

Develop Implement

Policy Policy

1.ADOC investigators shall continue to investigate allegations of sexual abuse or sexual harassment consistent with their authority as criminal investigators and consistent with Policy and Alabama law. Completed investigations of sexual abuse and sexual harassment will be referred to local prosecutors as appropriate. 2. When ADOC conducts its own investigations into allegations of sexual abuse or sexual harassment, it shall do so promptly, thoroughly, and objectively for all allegations, including third party and anonymous reports. Administrative investigations shall be completed regardless of the results of any criminal investigations and regardless of the subject’s continued employment by ADOC

III.K.1 III.K.2

AR 454 SOP 8-12

May 28, May 28, 2015 2015

Policy

Staff Trained Policy

REQUIREMENTS

Developed

Implemented

ADOC investigators investigate allegations of sexual abuse or sexual harassment consistent with their authority Y N N/A Y N N/A Y N N/A

Completed investigations of sexual abuse and sexual harassment will be referred to local prosecutors as appropriate

Y N N/A Y N N/A Y N N/A

When ADOC conducts its own investigations into allegations of sexual abuse or sexual harassment, it does so promptly, thoroughly, and objectively for all allegations, including third party and anonymous reports

Y N N/A Y N N/A Y N N/A

Administrative investigations are completed regardless of the results of any criminal investigations and regardless of the subject’s continued employment by ADOC

Y N N/A Y N N/A Y N N/A

III.K.1 / III.K.2

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MONITOR’S MEASURES OF COMPLIANCE
1. SOP 8-12Inmate Sexual Abuse and Sexual Harassment, AR 454. 2. ADOC AR 300, Investigative Operational Directives. 3. ADOC I+I PREA log. 4. Review of ADOC I+I Tutwiler PREA completed investigations. 5. Review of any written PREA referrals from Director Mercado to District Attorney's if made during reporting period. 6. Interviews with Deputy Commissioner Williams, Director Mercado, Investigator Kelly Smith, Warden Wright, and Lt. Young.

STEPS TAKEN BY MONITOR TO ANALYZE CONDITIONS AND ASSESS COMPLIANCE, AND FACTUAL BASIS FOR MONITOR’S FINDINGS (for each member of monitoring team)

Documents

Interviews

On-site/Observations / Other

Reviewed:

• Deputy Commissioner Williams

• Compliance Visit June 25-30, 2017

• SOP 8-12 Inmate Sexual Abuse and Sexual

• Mr. Arnaldo Mercado, Director, ADOC's I & I

Harassment

Division

• ADOC AR 400-Investigative Operational Directives • Ms. Kelley Smith, ADOC's I & I Tutwiler

• ADOC PREA investigations: January-June 2017

Investigator

• Tutwiler PREA Incident Committee documents: • Warden Wright

January-June 2017

• Lt. Young, IPCM

• Any I&I referrals to the local district attorney by

Director Mercado : January-June 2017

• Monthly inmate grievances: January-June 2017

• Inmate correspondence received by the Monitor:

January-June 2017

• Inmate on inmate allegations of sexual

harassment investigations conducted by Lt Young:

January-June 2017

III.K.1 / III.K.2

Case 2:15-cv-00368-MHT-TFM Document 27-2 Filed 08/25/17 Page 163 of 202

None.

UNRESOLVED/PARTIALLY RESOLVED ISSUES FROM PREVIOUS TOUR

The Monitor found ADOC and Tutwiler to be ‘Substantially Compliant” with this provision during the December 2016 Compliance Visit.

The Monitor made no recommendations during the December 2016 Compliance Visit.

NOTE: THIS SECTION INCLUDES III.K.1 and III.K.2. Please provide separate findings, discussion, and recommendations for all provisions.
MONITOR’S FINDINGS: Substantial Compliance Partial Compliance Non-compliance n/a no assessment due until __________

DATE June 30, 2017

MONITOR’S DISCUSSION: STEPS TAKEN BY ADOC AND TUTWILER TOWARDS IMPLEMENTATION

DATE: June 30, 2017

Section III.K.1 of the Agreement has been ADOC and Tutwiler policy since February 2014 (See AR 454 and SOP 8-12). Section III.K.2 is in practice at Tutwiler by I & I, and is in SOP 8-12 as written in the Agreement.

III.K.1 / III.K.2

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MONITOR’S DISCUSSION: EXTENT TO WHICH ADOC AND TUTWILER HAVE COMPLIED WITH THE AGREEMENT

DATE: June 30, 2017

Note: The Monitor uses the time frame January 1-June 30, 2017 as the "reporting period" throughout this report. The Monitor received documents and updates from ADOC prior to, during, and after the compliance visit of June 25-30, 2017.

The Monitor found ADOC and Tutwiler to be ‘Substantially Compliant” with this provision during the December 2015, and June and December 2016 Compliance Visits. As of June 30, 2017, ADOC and Tutwiler have sustained substantial compliance with this provision.

The Monitor determined the rating of "Substantial Compliances" for this reporting period based upon the following observations. ADOC AR 454 and SOP 8-12 PREA policies both provide for all of the requirements in this provision. The Monitor reviewed ADOC AR 300, Investigative Operational Directives. This is the general set of administrative responsibilities, policies and procedures for the Investigations and Intelligence Division (I+I).

The Monitor reviewed the SOP, "PREA Sexual Assault Investigations” for I+I. The Monitor reviewed investigations initiated and completed by ADOC I+I in the reporting period. The Monitor found that these investigations followed the directives in this SOP, as well as Tutwiler SOP 8-12 and ADOC AR 454. They were completed in the required time frames allowed. The Monitor found the investigations were thorough, used camera footage when appropriate and multiple interviews with inmates and staff.

There were 12 PREA investigations during this reporting period. Ten were unfounded, two were unsubstantiated . There were no PREA related incidents referred to the District Attorney during this reporting period.

The Monitor notes that ADOC I+I will make a recommendation for a Tutwiler administrative internal review if criminal charges cannot be substantiated. Investigator Smith has stated they will make this recommendation if their investigation can provide relevant facts to support an administrative investigation.

The Monitor also reviewed grievances filed during the reporting period. The Monitor received letters from 6 inmates during this reporting period. The Monitor did not see any complaints regarding the failure of ADOC I+I to investigate PREA allegations. The inmates reported knowing who Ms. Smith is and having general respect for her methods of conducting investigations.

MONITOR’S RECOMMENDATIONS: (for at least the next 6 months) None.
III.K.1 / III.K.2

DATE DUE: N/A

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REFERRALS AND INVESTIGATIONS III.K ADOC and Tutwiler shall ensure that all allegations of sexual abuse and sexual harassment are promptly, thoroughly, and objectively investigated and appropriately referred for prosecutorial review, and that alleged victims are advised of the outcome of their allegations.

Policy

4.ADOC and Tutwiler shall develop, submit to the Monitor and DOJ for review consistent with Section III.A.6., and implement guidelines for the immediate initiation of an investigation and/or review upon learning of an allegation of sexual abuse or sexual harassment and develop a process for monitoring those guidelines. The guidelines shall also ensure that investigations that include any allegations of sexual abuse or sexual harassment are properly labeled as such.

III.K.4 SOP 8-112 SOP 11-1

Develop Policy February 28, 2016

Implement Policy February 28, 2016

REQUIREMENTS
Tutwiler has guidelines for immediately initiating an investigation and/or review upon learning of an allegation of sexual abuse or sexual harassment:
1. Tutwiler has a process for monitoring the guidelines
2. The guidelines shall also ensure that investigations that include any allegations of sexual abuse or sexual harassment are properly labeled as such

Policy Developed

Staff Trained Policy Implemented

Y N N/A Y N N/A Y N N/A

Y N N/A Y N N/A Y N N/A Y N N/A Y N N/A Y N N/A

MONITOR’S MEASURES OF COMPLIANCE

1. SOP 8-12 Inmate Sexual Abuse and Sexual Harassment, SOP 11-1 Data Collection and Quality Improvement. 2. Review PREA allegations documented in Tutwiler incident reports. 3. Review inmate grievances. 4. Interviews with Deputy Commissioner Williams, Warden Wright, and Lt. Young. 5. Staff interviews.

III.K.4

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STEPS TAKEN BY MONITOR TO ANALYZE CONDITIONS AND ASSESS COMPLIANCE, AND FACTUAL BASIS FOR MONITOR’S FINDINGS

(for each member of monitoring team)

Documents

Interviews

On-site/Observations / Other

Reviewed: • SOP 8-12 Inmate Sexual Abuse and Sexual
Harassment • SOP 11-1 Data Collection and Quality Improvement
Policy • PREA allegation incident reports: January-June
2017 • Inmate grievances: January-June 2017 • Inmate correspondence received by the Monitor:
January-June 2017

• Deputy Commissioner Williams • Warden Wright • Lt. Young, IPCM • Staff interviews

• Compliance Visit June 25-30, 2017

None.

UNRESOLVED/PARTIALLY RESOLVED ISSUES FROM PREVIOUS TOUR

The Monitor found ADOC and Tutwiler to be ‘Substantially Compliant” with this provision during the December 2016 Compliance Visit.

The ADOC and Tutwiler have addressed the recommendation made by the Monitor during the December 2016 Compliance Visit. ADOC continues to provide to the Monitor, the results of inmate polling after it is administered and the data are collected.

III.K.4

Case 2:15-cv-00368-MHT-TFM Document 27-2 Filed 08/25/17 Page 167 of 202

MONITOR’S FINDINGS: Substantial Compliance Partial Compliance Non-compliance n/a no assessment due until __________

DATE: June 30, 2017

MONITOR’S DISCUSSION: STEPS TAKEN BY ADOC AND TUTWILER TOWARDS IMPLEMENTATION Tutwiler has documented Section III.K.4 provisions in Tutwiler SOP 8-12. Staff has been trained in SOP 8-12.

DATE: June 30, 2017

MONITOR’S DISCUSSION: EXTENT TO WHICH ADOC AND TUTWILER HAVE COMPLIED WITH THE AGREEMENT

DATE: June 30, 2017

Note: The Monitor uses the time frame January 1-June 30, 2017 as the "reporting period" throughout this report. The Monitor received documents and updates from ADOC prior to, during, and after the compliance visit of June 25-30, 2017.
The Monitor found ADOC and Tutwiler to be in “Substantial Compliance” with this provision during the June and December 2016 Compliance Visits. As of June 30, 2017 ADOC and Tutwiler have sustained substantial compliance.
The Monitor determined the rating of "Substantial Compliance" for this reporting period based upon the following observations.
Tutwiler has guidelines (SOP 8-12) for immediately initiating an investigation and/or review upon learning of an allegation of sexual abuse or sexual harassment. III.K.4

Case 2:15-cv-00368-MHT-TFM Document 27-2 Filed 08/25/17 Page 168 of 202
Tutwiler has a process for monitoring the guidelines (SO 8-12, and SOP 11-1, Data Collection and Quality Improvement). The guidelines shall also ensure that investigations that include any allegations of sexual abuse or sexual harassment are properly labeled as such (SOP 8-12, and SOP 11-1, Data Collection and Quality Improvement).
The staff has been trained in SOP 8-12.
SOP 11-1, Data Collection and Quality Improvement, provides the ability for ADOC/Tutwiler to monitor the various guidelines prescribed in SOP 8-12 and to provide required data information collected at Tutwiler. ADOC and Tutwiler developed a template for a Risk Management system to use at Tutwiler.
SOP 11-1 requires a routine, scheduled polling of a randomly selected group of inmates. The Monitor and the DOJ reviewed the draft plan, in detail, for the inmate polling. The first scheduled polling occurred in the week of July 11, 2016. The second took place in October 2016. The third polling event was held scheduled in January 2017. The fourth quarter poling was held in April 2017. Polling information will assist in the confirmation of the inmate awareness of the PREA policy, SOP 8-12, and its directives, as implemented at Tutwiler.

MONITOR’S RECOMMENDATIONS: (for at least the next 6 months)
ADOC to continue to provide to the Monitor, the results of inmate polling after it is administered and the data are collected. The Monitor is awaiting the results of the fourth quarter polling which was conducted on April 26-28, 2017.

DATE DUE:
Upon completion and aggregation of results from each poll.

III.K.4

Case 2:15-cv-00368-MHT-TFM Document 27-2 Filed 08/25/17 Page 169 of 202

REFERRALS AND INVESTIGATIONS

III.K ADOC and Tutwiler shall ensure that all allegations of sexual abuse and sexual harassment are promptly, thoroughly, and objectively investigated and

appropriately referred for prosecutorial review, and that alleged victims are advised of the outcome of their allegations.

Policy

Develop Implement

Investigators

Policy Policy February February

AR 454

28, 2016 28, 2016

3. The use of pre-hearing segregation shall be limited to inmates whose continuing behavior is a threat to

III.K.3 SOP 8-12

facility safety, or who will not stop the prohibited behavior. Such pre-hearing segregation shall not be used

SOP5-9

for more than 72 hours, at which time an inmate must be afforded a disciplinary hearing, or provided a

SOP9-16

written explanation of why the hearing is postponed and when the hearing will be re-scheduled.

SOP (TBD)

5. Where sexual abuse or sexual harassment is alleged, ADOC shall use investigators who have received special training in institutional sexual abuse and sexual harassment investigation. Specialized training shall include techniques for interviewing sexual abuse victims, proper use of Miranda and Garrity warnings, sexual abuse evidence collection in confinement settings, and the criteria and evidence required to substantiate a case for administrative action or prosecution referral. ADOC shall maintain documentation that agency investigators have completed the required specialized training in conducting sexual abuse investigations. The Department-wide PREA Coordinator and Tutwiler's PREA Compliance Manager shall not serve as investigators for sexual abuse investigations.

III.K.5

7. The credibility of an alleged victim, suspect, or witness shall be assessed on an individual basis and shall not be determined by the person’s status as inmate or staff. ADOC or Tutwiler are prohibited from offering or administering polygraph examinations or other truth-telling devices to an inmate who alleges sexual abuse or sexual harassment.

III.K.7

8. ADOC shall issue a written investigative report within 30 days after the conclusion of a sexual abuse or sexual harassment investigation that indicates whether the allegation is substantiated, unsubstantiated, or unfounded. The investigator may request in writing, approved by the facility designee, an extension for cause that identifies the remaining actions necessary to complete the investigation. In no case shall the investigation be unfounded solely due to the expiration of the 30 days. The investigative report shall include an effort to determine whether staff actions or failures to act contributed to the abuse, a description of the physical and testimonial evidence, the reasoning behind credibility assessments, and investigative facts and findings.

III.K.8

9. ADOC shall work with the Monitor on ensuring that an investigative summary sheet that provides an overview of the current status of an investigation is included. The summary information should include, among other things, basic information such as staff name(s), prisoner names(s), location of incident, and the time of day. III.K.5 / III.K.3 / III.K.7 / III.K.8 / III.K.9 / III.K.10

III.K.9 III.K.10

Case 2:15-cv-00368-MHT-TFM Document 27-2 Filed 08/25/17 Page 170 of 202
10. The departure of the alleged perpetrator or victim from the employment or control of ADOC or Tutwiler shall not provide a basis for terminating an investigation.

REQUIREMENTS

Policy Developed

Staff Trained

Policy Implemented

Pre-hearing segregation is limited to inmates whose continuing behavior is a threat to facility safety, Y N N/A Y N N/A or who will not stop the prohibited behavior

Pre-hearing segregation is not used for more than 72 hours, at which time an inmate must be afforded a disciplinary hearing, or provided a written explanation of why the hearing is postponed and when the hearing will be re-scheduled

Y N N/A Y N N/A

Only investigators who have received special training in institutional sexual abuse and harassment investigations are used in such investigations:

Y N N/A Y N N/A

1. Specialized training includes techniques for interviewing sexual abuse victims, proper use of Y N N/A Miranda and Garrity warnings, sexual abuse evidence collection in confinement settings,

and the criteria and evidence required to substantiate a case for administrative action or

prosecution referral.

2. ADOC maintains documentation that agency investigators have completed the required specialized training in conducting sexual abuse investigations

Y N N/A

3. The Department-wide PREA Coordinator and Tutwiler's PREA Compliance Manager do not

serve as investigators for sexual abuse investigations

Y N N/A

Y N N/A
Y N N/A Y N N/A

Investigators gather and preserve direct and circumstantial evidence, including any available physical and DNA evidence, and electronic monitoring data; interview alleged victims, suspected perpetrators and witnesses; and review prior complaints and reports of sexual abuse and sexual harassment involving the suspected perpetrator

Y N N/A

Y N N/A The credibility of an alleged victim, suspect or witness is assessed on an individual basis and shall not
be determined by the person's status as inmate or staff

Y N N/A

ADOC and Tutwiler are prohibited from administering polygraph examinations or other truth-telling

devices to an inmate who alleges sexual abuse/sexual harassmentADOC issues a written investigative report within 30 days after the conclusion of a sexual abuse or sexual harassment

Y N N/A

Y N N/A Y N N/A Y N N/A Y N N/A

Y N N/A Y N N/A Y N N/A Y N N/A
Y N N/A N N/A
Y N N/A Y N N/A Y N N/A Y N N/A

III.K.5 / III.K.3 / III.K.7 / III.K.8 / III.K.9 / III.K.10

Case 2:15-cv-00368-MHT-TFM Document 27-2 Filed 08/25/17 Page 171 of 202

investigation that indicates whether the allegation is substantiated, unsubstantiated, or unfounded
The investigator may request in writing, approved by the facility designee, an extension for cause that identifies the remaining actions necessary to complete the investigation:

Y N N/A

1. In no case shall the investigation be unfounded solely due to the expiration of the 30 days. Y N N/A

Y N N/A Y N N/A

The investigative report includes:
1. an effort to determine whether staff actions or failures to act contributed to the abuse, 2. a description of the physical and testimonial evidence, 3. the reasoning behind credibility assessments, 4. and investigative facts and findings.

Y N N/A Y N N/A Y N N/A Y N N/A

Y N N/A Y N N/A Y N N/A Y N N/A

ADOC shall work with the Monitor on ensuring that an investigative summary sheet that provides an Y N N/A overview of the current status of an investigation is included. The summary information should
include, among other things, basic information such as staff name(s), prisoner names(s), location of
incident, and the time of day.

An alleged perpetrator or victim’s departure from the employment or control of ADOC or Tutwiler shall not provide a basis for terminating an investigation.

Y N N/A

Y N N/A Y N N/A

Y N N/A
Y N N/A
Y N N/A Y N N/A Y N N/A Y N N/A Y N N/A
Y N N/A/A

MONITOR’S MEASURES OF COMPLIANCE
1. SOP 8-12 Inmate Sexual Abuse and Sexual Harassment, AR 454. 2. SOP 5-9 Administrative Segregation. 3. SOP 9-16 Institutional PREA Compliance Manager job description. 4. Review of the administrative segregation log. 5. Review of any extensions of the thirty day requirement, granted by Deputy Commissioner Williams for an I + I PREA investigation. 6. Review of Tutwiler PREA investigations conducted by ADOC I + I. 7. Interviews with Mr. Mercado, Ms. Smith, Deputy Commissioner Williams, Warden Wright, Lt. Young, and Lt. Coleman.

III.K.5 / III.K.3 / III.K.7 / III.K.8 / III.K.9 / III.K.10

Case 2:15-cv-00368-MHT-TFM Document 27-2 Filed 08/25/17 Page 172 of 202

STEPS TAKEN BY MONITOR TO ANALYZE CONDITIONS AND ASSESS COMPLIANCE, AND FACTUAL BASIS FOR MONITOR’S FINDINGS

(for each member of monitoring team)

Documents

Interviews

On-site/Observations / Other

Reviewed: • SOP 8-12 Inmate Sexual Abuse and Sexual
Harassment • ADOC 454 • SOP 5-9 Administrative Segregation • SOP 9-16 Job Description for Institutional PREA
Compliance Manager (Lt. Young) • Pre-hearing segregation log • 12 PREA investigations conducted by I & I

• Deputy Commissioner Williams • Mr. Arnaldo Mercado, Director,
ADOC's I & I Division • Ms. Kelley Smith, ADAOC"s I & I
Tutwiler Investigator • Warden Wright • Lt. Young, IPCM • Lt. Coleman, Grievance Coordinator

• Compliance Visit June 25-30, 2017

None.

UNRESOLVED/PARTIALLY RESOLVED ISSUES FROM PREVIOUS TOUR

The Monitor found ADOC and Tutwiler to be ‘Substantially Compliant” with this provision during the December 2016 Compliance Visit.

The Monitor made no recommendations regarding this provision during the December 2016 Compliance Visit.

III.K.5 / III.K.3 / III.K.7 / III.K.8 / III.K.9 / III.K.10

Case 2:15-cv-00368-MHT-TFM Document 27-2 Filed 08/25/17 Page 173 of 202
NOTE: THIS SECTION INCLUDES III.K.3, III.K.5, III.K.7, III.K.8, III.K.9 and III.K.10. Please provide separate findings, discussion, and recommendations for all provisions. MONITOR’S FINDINGS:
Substantial Compliance Partial Compliance Non-compliance n/a no assessment due until __________

DATE June 30, 2017

MONITOR’S DISCUSSION: STEPS TAKEN BY ADOC AND TUTWILER TOWARDS IMPLEMENTATION

DATE: June 30, 2017

Section III.K.3 of the Agreement has been in practice at Tutwiler since May 28, 2015. SOP 5-9, Administrative Segregation, also includes this provision. Lt. Brian Coleman maintains a spreadsheet on any/every inmate placed in Administrative Segregation, or ‘pre-hearing segregation.’

Portions of Section III.K.5. of the Agreement already exist in ADOC and Tutwiler policy (AR 454 & SOP 8-12). Investigators have received specialized training that includes techniques for interviewing sexual abuse victims, sexual abuse evidence collection in confinement settings, and the criteria and evidence required to substantiate a case for administrative action or prosecution. This is in ADOC and Tutwiler policy. Investigators have received training on the proper use of Miranda and Garrity warnings, and this provision is also in Tutwiler and ADOC policy.

Further, the Department-wide PREA Coordinator and Tutwiler’s IPCM do not serve as investigators for sexual abuse investigations. This is in Tutwiler policy. Section III.K.7, is in Tutwiler policy and has actively been in practice since May 28, 2015. This provision is also included in SOP 8-12. Section III.K.8, is in ADOC or Tutwiler policy. This practice remains in place to date. The Deputy Commissioner for Women’s Services reviews and approves / disapproves any extension beyond the 30-day requirement for a written investigative report to be issued, as requested by the Director of I & I.

Section III.K.9, the Deputy Commissioner for Women’s Services reviewed the investigative summary form with the Monitor after the first Compliance Visit. The Monitor was satisfied that the form meets the requirements of the Agreement.

Section III.K.10, is in Tutwiler policy, and has also been in practice since May 28, 2015.

III.K.5 / III.K.3 / III.K.7 / III.K.8 / III.K.9 / III.K.10

Case 2:15-cv-00368-MHT-TFM Document 27-2 Filed 08/25/17 Page 174 of 202
MONITOR’S DISCUSSION: EXTENT TO WHICH ADOC AND TUTWILER HAVE COMPLIED WITH THE AGREEMENT

DATE: June 30, 2017

Note: The Monitor uses the time frame January 1-June 30, 2017 as the "reporting period" throughout this report. The Monitor received documents and updates from ADOC prior to, during, and after the Compliance Visit of June 25-30, 2017.
The Monitor found ADOC and Tutwiler to be in “Substantial Compliance” with this provision during the June and December 2016 Compliance Visits. As of June 30, 2017 ADOC and Tutwiler have sustained substantial compliance. The Monitor determined the rating of "Substantial Compliance" for this reporting period based upon the following observations.
Several finalized policies are relevant to this provision. They are: ADOC 454, SOP 8-12 Inmate Sexual Abuse and Sexual Harassment, SOP 5-9. Administrative Segregation; and SOP 9-16, Institutional PREA Compliance Manager. SOP 8-12 has all the requirements for K.3, 5, 7, 8, 9, and 10 in its procedures. SOP 5-9 also has all the requirements for K.3 in its directives.
Pre-hearing segregation continues to be limited to inmates whose continuing behavior is a threat to facility safety, or who will not stop the prohibited behavior. This is documented in Tutwiler policy and remains in practice. The Monitor reviewed the spreadsheet maintained by Lt. Coleman to document inmates placed in pre-hearing segregation. The spreadsheet has the name, charged violation, and dates of admission and release from pre-hearing segregation.
Pre-hearing segregation is not used for more than 72 hours, and the inmate is afforded a disciplinary hearing, or provided a written explanation of why the hearing is postponed (if warranted) and when the hearing will be re-scheduled. The Monitor reviewed inmate grievances filed during this reporting period and inmate correspondence received by the Monitor during this reporting period and there were no complaints regarding the inappropriate placement of an inmate in pre-hearing segregation.
Only investigators who have received special training in institutional sexual abuse and harassment investigations are approved to conduct such investigations. The requirement regarding training in the Miranda and Garrity warnings is now in ADOC 454 and SOP 8-12. The ADOC and Tutwiler investigators' specialized training has included techniques for interviewing sexual abuse victims, proper use of Miranda and Garrity warnings, sexual abuse evidence collection in confinement settings, and the criteria and evidence required to substantiate a case for administrative action or prosecution referral. The investigators received specialized training in 2015 that was noted in a previous Monitor's report. Another PREA specialized investigator training was conducted on July 11-13, 2016. Director Mercado was one of the participants. Documentation of this training was provided to the Monitor. ADOC Training Division maintains documentation that agency investigators have completed the required specialized training in conducting sexual abuse investigations.
The Department-wide PREA Coordinator (Ms. Christy Vincent) and Tutwiler's PREA Compliance Manager (Lt. Young) do not serve as investigators for sexual abuse investigations. Lt. Young does investigate inmate-on-inmate sexual harassment investigations.
Investigators continue to gather and preserve direct and circumstantial evidence, including any available physical and DNA evidence, and electronic monitoring data; interview alleged victims, suspected perpetrators and witnesses; and review prior complaints and reports of sexual abuse and sexual harassment involving the suspected perpetrator. The specialized training held for investigators in July 2016 included the topic of forensic evidence collection.
III.K.5 / III.K.3 / III.K.7 / III.K.8 / III.K.9 / III.K.10

Case 2:15-cv-00368-MHT-TFM Document 27-2 Filed 08/25/17 Page 175 of 202
The credibility of an alleged victim, suspect or witness is assessed on an individual basis and shall not be determined by the person's status as inmate or staff.
ADOC and Tutwiler understand the prohibition from administering polygraph examinations or other truth-telling devices to an inmate who alleges sexual abuse/harassment. This has been prohibited and is in SOP 8-12.
ADOC (I&I) continues to issue a written investigative report within 30 days after the conclusion of a sexual abuse or sexual harassment investigation that indicates whether the allegation is substantiated, unsubstantiated, or unfounded.
The investigator, through the Deputy Commissioner for Women’s Services, may request in writing, approved by the Director of I&I, an extension for cause that identifies the remaining actions necessary to complete the investigation.
In no case are any investigations unfounded solely due to the expiration of the 30 days.
The investigative summary reports include: • an effort to determine whether staff actions or failures to act contributed to the abuse, • a description of the physical and testimonial evidence, • the reasoning behind credibility assessments, • and investigative facts and findings.
ADOC reviewed the investigative summary sheet with Monitor Lancaster to ensure that it provided an overview of the current status of an investigation. The summary information does include, among other things, basic information such as staff name(s), prisoner names(s), location of incident, and the time of day.
An alleged perpetrator or victim’s departure from the employment or control of ADOC or Tutwiler does not provide a basis for terminating an investigation.

MONITOR’S RECOMMENDATIONS: (for at least the next 6 months)
None.

DATE DUE: N/A

III.K.5 / III.K.3 / III.K.7 / III.K.8 / III.K.9 / III.K.10

Case 2:15-cv-00368-MHT-TFM Document 27-2 Filed 08/25/17 Page 176 of 202

REFERRALS AND INVESTIGATIONS

III.K ADOC and Tutwiler shall ensure that all allegations of sexual abuse and sexual harassment are promptly, thoroughly, and objectively investigated and

appropriately referred for prosecutorial review, and that alleged victims are advised of the outcome of their allegations.

Policy

Develop Implement

Outside Investigations; Inmate Notification

Policy Policy February February

III.K.11 AR 454

28, 2016 28, 2016

11.When outside agencies investigate alleged incidents of sexual abuse, ADOC and Tutwiler shall cooperate with outside investigators and shall endeavor to remain informed, to the extent appropriate, about the progress of the investigation.

III.K.12 SOP 8-12 III.K.13 III.K.14

12.Following an investigation into an inmate’s allegation that she suffered sexual abuse or sexual

III.K.15

harassment in any ADOC facility or while within the physical custody and control of the ADOC, ADOC and

Tutwiler shall inform the inmate as to whether the allegation has been determined to be substantiated,

unsubstantiated, or unfounded.

13.If ADOC or Tutwiler did not conduct the investigation, it shall request the relevant information from the investigative agency in order to inform the inmate.

14.Following an inmate’s allegation that a staff member has committed sexual abuse or sexual harassment against the inmate, ADOC and Tutwiler shall subsequently inform the inmate whenever: (see below)

15.All such notifications or attempted notifications shall be documented.

REQUIREMENTS

Policy Developed

Staff Trained

When outside agencies investigate alleged incidents of sexual abuse, ADOC and Tutwiler cooperate with outside investigators and endeavor to remain informed, to the extent appropriate, about the progress of the investigation.

Y N N/A Y N N/A

Following an investigation (external or internal) into an inmate’s allegation that she suffered sexual abuse

or sexual harassment in any ADOC facility or while within the physical custody and control of the ADOC, ADOC and Tutwiler informs the inmate as to whether the allegation has been determined to be

Y N N/A Y N N/A

substantiated, unsubstantiated, or unfounded.

If ADOC or Tutwiler did not conduct the investigation, it requests the relevant information from the

Y N N/A Y N N/A

Policy Implemented Y N N/A
Y N N/A Y N N/A

III.K.11 / III.K.12 / III.K.13 / III.K.14 / III.K.15

Case 2:15-cv-00368-MHT-TFM Document 27-2 Filed 08/25/17 Page 177 of 202

investigative agency in order to inform the inmate.

Following an inmate’s allegation that a staff member has committed sexual abuse or sexual harassment against the inmate, ADOC and Tutwiler subsequently inform the inmate whenever:

Y N N/A Y N N/A

The staff member is no longer posted within the inmate’s unit;

The staff member is no longer employed at Tutwiler; or

ADOC and/or Tutwiler learn that the staff member has been indicted or convicted on a charge related to

sexual abuse within Tutwiler.

Y N N/A Y N N/A

All such notifications or attempted notifications are documented.

Y N N/A Y N N/A

MONITOR’S MEASURES OF COMPLIANCE

1. SOP 8-12 Inmate Sexual Abuse and Sexual Harassment. 2. Review any PREA investigation conducted by an external agency. 3. Review any PREA notification forms given to inmates in reporting period. 4. Review the ADOC I+I PREA log. 5. Tutwiler PREA incident report for reporting period. 6. Interviews with Director Mercado, Deputy Commissioner Williams, Warden Wright, and Lt. Young. 7. ADOC Human Resources documentation of any official employee disciplinary actions, related to PREA investigations, in reporting period.

III.K.11 / III.K.12 / III.K.13 / III.K.14 / III.K.15

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STEPS TAKEN BY MONITOR TO ANALYZE CONDITIONS AND ASSESS COMPLIANCE, AND FACTUAL BASIS FOR MONITOR’S FINDINGS

(for each member of monitoring team)

Documents

Interviews

On-site/Observations / Other

Reviewed: • SOP Inmate Sexual Abuse and Sexual Harassment • Any PREA investigation completed by external
agency • PREA notification forms given to inmates once a
PREA investigation has been completed • 3 Tutwiler PREA investigations completed by Lt.
Young: January-June 2017 • ADOC Human Resources documentation of any
personnel action regarding an employee who was named in a substantiated PREA investigation

• Deputy Commissioner Williams • Mr. Arnaldo Mercado, Director,
ADOC's I&I Division • Warden Wright • Lt. Young, IPCM

• Compliance Visit June 25-30, 2017

None.

UNRESOLVED/PARTIALLY RESOLVED ISSUES FROM PREVIOUS TOUR

The Monitor found ADOC and Tutwiler to be in “Substantial Compliance” with this provision during the December 2016 Compliance Visit..

The Monitor made no recommendations regarding this provision during the December 2016 Compliance Visit.

III.K.11 / III.K.12 / III.K.13 / III.K.14 / III.K.15

Case 2:15-cv-00368-MHT-TFM Document 27-2 Filed 08/25/17 Page 179 of 202

NOTE: THIS SECTION INCLUDES III.K.11, III.K.12, III.K.13, III.K.14 and III.K.15. Please provide separate findings, discussion, and recommendations for all provisions.
MONITOR’S FINDINGS: Substantial Compliance Partial Compliance Non-compliance n/a no assessment due until __________

DATE: June 30, 2017

MONITOR’S DISCUSSION: STEPS TAKEN BY ADOC AND TUTWILER TOWARDS IMPLEMENTATION

DATE: June 30, 2017

Sections III.K.11, 12, 13, 14, and 15 were put into practice at Tutwiler and I & I effective May 28, 2015. All portions of the provisions listed are incorporated in Tutwiler SOP 8-12. All staff has been trained in SOP 8-12 Inmate Sexual Abuse and Harassment.

MONITOR’S DISCUSSION: EXTENT TO WHICH ADOC AND TUTWILER HAVE COMPLIED WITH THE AGREEMENT

DATE: June 30, 2017

The Monitor found ADOC and Tutwiler to be in “Substantial Compliance” with this provision during the June and December 2016 Compliance Visits. As of June 30, 2017, ADOC and Tutwiler have sustained substantial compliance.

The Monitor determined the rating of "Substantial Compliance" for this reporting period based upon the following observations.

This provision is included in SOP 8-12 and all staff has received training in this policy.

When outside agencies investigate alleged incidents of sexual abuse, ADOC and Tutwiler cooperate with outside investigators and endeavor to remain informed, to the extent appropriate, about the progress of the investigation. There were no PREA investigations conducted by an external agency during this reporting period.

III.K.11 / III.K.12 / III.K.13 / III.K.14 / III.K.15

Case 2:15-cv-00368-MHT-TFM Document 27-2 Filed 08/25/17 Page 180 of 202
Following an investigation (external or internal) into an inmate’s allegation that she suffered sexual abuse or sexual harassment in any ADOC facility or while within the physical custody and control of the ADOC, ADOC and Tutwiler informs the inmate as to whether the allegation has been determined to be substantiated, unsubstantiated, or unfounded. This notification is made in writing by the I & I investigator.
If ADOC or Tutwiler did not conduct the investigation, it requests the relevant information from the investigative agency in order to inform the inmate.
Following an inmate’s allegation that a staff member has committed sexual abuse or sexual harassment against the inmate, ADOC and Tutwiler subsequently inform the inmate whenever: a) The staff member is no longer posted within the inmate’s unit; b) The staff member is no longer employed at Tutwiler; or c) ADOC and/or Tutwiler learn that the staff member has been indicted or convicted on a charge related to sexual abuse within Tutwiler. d) All such notifications or attempted notifications are documented.
This provision also requires that Tutwiler provide a notification, via these requirements, to an inmate after a PREA investigation for sexual abuse or sexual harassment is completed. This notification is irrespective of the final status of the investigation. It is the responsibility of the IPCM to provide these notifications and keep documentation. Lt. Young maintains this documentation.

MONITOR’S RECOMMENDATIONS: (for at least the next 6 months)
None.

DATE DUE: N/A

III.K.11 / III.K.12 / III.K.13 / III.K.14 / III.K.15

Case 2:15-cv-00368-MHT-TFM Document 27-2 Filed 08/25/17 Page 181 of 202

REFERRALS AND INVESTIGATIONS

III.K ADOC/Tutwiler shall ensure that all allegations of sexual abuse and sexual harassment are promptly, thoroughly, and objectively investigated and

appropriately referred for prosecutorial review, and that alleged victims are advised of the outcome of their allegations.

Policy

Develop Implement

Investigations Review

Policy Policy February February

III.K.16 AR 454

28, 2016 28, 2016

16.A review team, including upper-level management officials at Tutwiler, with input from line supervisors, III.K.17 SOP 8-12

investigators, and medical and mental health practitioners, shall conduct an incident review within 30 days of

the conclusion of every investigation of substantiated and unsubstantiated allegations of sexual abuse or

staff-on-inmate sexual harassment. The review team shall: (see below)

17.ADOC and Tutwiler shall implement the recommendations for improvement or shall document its reasons for not doing so.

REQUIREMENTS

Policy Developed

Staff Trained Policy Implemented

A review team conducts an incident review within 30 days of the conclusion of every investigation of substantiated and unsubstantiated allegations of sexual abuse or staff-on-inmate sexual harassment:

Y N N/A Y N N/A Y N N/A

1. the review team include upper-level management officials at Tutwiler 2. the review team has input from line supervisors, investigators, and medical and mental health
practitioners.

Y N N/A Y N N/A Y N N/A Y N N/A Y N N/A Y N N/A

The review team:

1. Considers whether the allegation or investigation indicates a need to change policy or practice to better prevent, detect, or respond to sexual abuse or staff-on-inmate sexual harassment;
2. Considers whether the incident or allegation was motivated by race; ethnicity; gender identity; lesbian, gay, bisexual, transgender, or intersex identification, status, or perceived status; gang affiliation; or was motivated or otherwise caused by other group dynamics at Tutwiler;
3. Examines the area in Tutwiler where the incident allegedly occurred to assess whether physical barriers in the area may enable abuse;
4. Assesses the adequacy of staffing levels in that area during different shifts; 5. Includes a review, by a warden or senior management, of the personnel file of any involved
employees to assess needs in background screening, training, and/or supervision; 6. Assesses whether monitoring technology should be deployed or augmented to supplement
supervision by staff; and III.K.16 / III.K.17

Y N N/A Y N N/A Y N N/A Y N N/A Y N N/A Y N N/A

Y N N/A Y N N/A Y N N/A

Y N N/A Y N N/A Y N N/A Y N N/A Y N N/A Y N N/A

Y N N/A Y N N/A Y N N/A

Case 2:15-cv-00368-MHT-TFM Document 27-2 Filed 08/25/17 Page 182 of 202

7. Prepares a report of its findings and any recommendations for improvement and submits such report
to the Monitor, the DOJ, the Warden, the Department-wide PREA Coordinator, and Tutwiler's PREA Y N N/A Compliance Manager.

Y N N/A Y N N/A

ADOC and Tutwiler implement the recommendations for improvement or document its reasons for not doing

so.

Y N N/A Y N N/A Y N N/A

MONITOR’S MEASURES OF COMPLIANCE

1. SOP 8-12 Inmate Sexual Abuse and Sexual Harassment, AR 454. 2. Review minutes from PREA review committee meetings held during reporting period. 3. Review documentation of any actions taken, as a result of recommendations, from the committee review. 4. Interviews with Warden Wright, Lt. Young, and Ms. Greer. 5. Review inmate grievances filed during reporting period.

STEPS TAKEN BY MONITOR TO ANALYZE CONDITIONS AND ASSESS COMPLIANCE, AND FACTUAL BASIS FOR MONITOR’S FINDINGS (for each member of monitoring team)

Documents

Interviews

On-site/Observations / Other

Reviewed:

• Warden Wright

• SOP 8-12 Inmate Sexual Abuse and Sexual Harassment

• Lt. Young, IPCO

• Tutwiler PREA Incident Review Committee Reports:

• Ms. Greer, MHM Mental Health Site

January-June 2017

Administrator

• Monthly inmate grievances: January-June 2017

• Review Team members

• Inmate correspondence received by Monitor: January-June

2017

• Compliance Visit June 25-30, 2017

III.K.16 / III.K.17

Case 2:15-cv-00368-MHT-TFM Document 27-2 Filed 08/25/17 Page 183 of 202

None.

UNRESOLVED/PARTIALLY RESOLVED ISSUES FROM PREVIOUS TOUR

The Monitor found ADOC and Tutwiler to be in "Substantial Compliance" with this provision during the December 2016 Compliance Visit.

ADOC and Tutwiler have addressed all recommendations made by the Monitor during the December 2016 Compliance Visit.

NOTE: THIS SECTION INCLUDES III.K.16 and III.K.17. Please provide separate findings, discussion, and recommendations for all provisions.
MONITOR’S FINDINGS: Substantial Compliance Partial Compliance Non-compliance n/a no assessment due until __________

DATE: June 30, 2017

MONITOR’S DISCUSSION: STEPS TAKEN BY ADOC AND TUTWILER TOWARDS IMPLEMENTATION

DATE: June 30, 2017

Sections III.K.16 and 15 were put into practice at Tutwiler and I&I effective May 28, 2015. All provisions have been added to revised policies which have been reviewed by the DOJ and the Monitor. All Tutwiler staff has been trained in the SOP 8-12 Inmate Sexual Abuse and Harassment.

III.K.16 / III.K.17

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MONITOR’S DISCUSSION: EXTENT TO WHICH ADOC AND TUTWILER HAVE COMPLIED WITH THE AGREEMENT

DATE: June 30, 2017

The Monitor found ADOC and Tutwiler to be in “Substantial Compliance” with this provision during the June and December 2016 Compliance Visits. As of June 30, 2017 ADOC and Tutwiler have sustained substantial compliance.

The Monitor determined the rating of "Substantial Compliance" for this reporting period based upon the following observations.

SOP 8-12 contains the requirements and procedures for the Tutwiler PREA Incident Review Committee. The Tutwiler review team conducts an incident review within 30 days of the conclusion of every investigation of substantiated and unsubstantiated allegations of sexual abuse or staff-on-inmate sexual harassment. Lt. Young completes the report for each meeting on the ADOC 454-F form.

The review team includes upper-level management officials at Tutwiler and it has input from line supervisors, investigators, and medical and mental health practitioners.

The review team: • Considers whether the allegation or investigation indicates a need to change policy or practice to better prevent, detect, or respond to sexual abuse or staff-on-inmate sexual harassment; • Considers whether the incident or allegation was motivated by race; ethnicity; gender identity; lesbian, gay, bisexual, transgender, or intersex identification, status, or perceived status; gang affiliation; or was motivated or otherwise caused by other group dynamics at Tutwiler; • Examines the area in Tutwiler where the incident allegedly occurred to assess whether physical barriers in the area may enable abuse; • Assesses the adequacy of staffing levels in that area during different shifts; • Includes a review, by a warden or senior management, of the personnel file of any involved employees to assess needs in background screening, training, and/or supervision; • Assesses whether monitoring technology should be deployed or augmented to supplement supervision by staff; and • Prepares a report of its findings and any recommendations for improvement and submits such report to the Monitor, the DOJ. the Warden, the Department-wide PREA Coordinator, and Tutwiler's PREA Compliance Manager.

ADOC and Tutwiler implement the recommendations for improvement or document reasons for not doing so. The Monitor reviewed PREA Incident Review Committee meeting reports, occurring from January-June 2017. The committees were comprised of the Warden, ADOC investigator Kelley Smith, Lt. Young, and one or two of the section leaders at Tutwiler, such as Ms. Greer, MHM site administrator and Ms. Jackson, Corizon Director of Nursing. The Monitor reviewed several reports that had specific actions recommended by the committee and Warden Wright. The Monitor believes this process is effective and critical to improving operations and enhancing inmate sexual safety. During this reporting period, the committee reviewed 13 cases. Eleven were unfounded, and two were unsubstantiated.

III.K.16 / III.K.17

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MONITOR’S RECOMMENDATIONS: (for at least the next 6 months)
ADAOC and Tutwiler to forward PREA Incident Review Committee reports to the Monitor for timely review.

DATE DUE: Ongoing

III.K.16 / III.K.17

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REFERRALS AND INVESTIGATIONS

III.K ADOC/Tutwiler shall ensure that all allegations of sexual abuse and sexual harassment are promptly, thoroughly, and objectively investigated and

appropriately referred for prosecutorial review, and that alleged victims are advised of the outcome of their allegations.

Policy

Develop Implement

Policy

Policy

18.Within 60 days of the Effective Date, ADOC and Tutwiler shall review all pending investigations alleging

July 28, July 28,

sexual abuse and sexual harassment to determine whether the investigation was conducted according to the III.K.18

2015

2015

requirements of Section III. K. of this Agreement.

September September

Within 120 days of the Effective Date, ADOC and Tutwiler will conduct a similar review of all unfounded

28, 2015 28, 2015

allegations of sexual assault and sexual harassment for the past 360 days to determine whether the

investigation was conducted according to the requirements of Section III. K. of this Agreement.

REQUIREMENTS

Policy Developed

Staff Trained

Policy Implemented

Within 60 days of the Effective Date, ADOC and Tutwiler shall review all pending investigations alleging

Y N N/A Y N N/A

sexual abuse and sexual harassment to determine whether the investigation was conducted according to the

requirements of Section III. K. of this Agreement

Within 120 days of the Effective Date, ADOC and Tutwiler will conduct a similar review of all unfounded allegations of sexual assault and sexual harassment for the past 360 days to determine whether the investigation was conducted according to the requirements of Section III. K. of this Agreement

Y N N/A Y N N/A

Y N N/A Y N N/A

MONITOR’S MEASURES OF COMPLIANCE
1. Review any actions / documentation generated by the Tutwiler leadership review of the summary of both reviews of the required PREA reports. 2. Monitor's review of all of the new and revised SOP’s and policies implemented at Tutwiler in 2016. 3. Interviews with Deputy Commissioner Williams, Warden Wright and Lt. Young.

III.K.18

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STEPS TAKEN BY MONITOR TO ANALYZE CONDITIONS AND ASSESS COMPLIANCE, AND FACTUAL BASIS FOR MONITOR’S FINDINGS

(for each member of monitoring team)

Documents

Interviews

On-site/Observations / Other

Reviewed:

• Any official personnel actions taken at Tutwiler for

• Deputy Commissioner Williams

employees as a result of a complete PREA investigation • Warden Wright

• Actions taken after the PREA incident review

• Lt. Young, IPCO

committee

• Monitor's review of all new and revised policies at

Tutwiler

• Compliance Visit June 25-30, 2017

UNRESOLVED/PARTIALLY RESOLVED ISSUES FROM PREVIOUS TOUR

None. The Monitor found ADOC and Tutwiler to be in "Substantial Compliance " during the December 2016 Compliance Visit. The Monitor made no recommendations regarding this provision during the December 2016 Compliance Visit.

MONITOR’S FINDINGS: Substantial Compliance Partial Compliance Non-compliance n/a no assessment due until __________

DATE: June 30, 2017

III.K.18

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MONITOR’S DISCUSSION: STEPS TAKEN BY ADOC AND TUTWILER TOWARDS IMPLEMENTATION The requirements for this provision were completed in 2015 and are reflected in the Monitor's first court report.

DATE: June 30, 2017

MONITOR’S DISCUSSION: EXTENT TO WHICH ADOC AND TUTWILER HAVE COMPLIED WITH THE AGREEMENT

DATE: June 30, 2017

The Monitor found ADOC and Tutwiler to be ‘Substantially Compliant” with this provision in January, June and December 2016 Compliance Visits. As of June 30, 2017 ADOC and Tutwiler have sustained substantial compliance.

MONITOR’S RECOMMENDATIONS: (for at least the next 6 months) None.

DATE DUE: N/A

III.K.18

Case 2:15-cv-00368-MHT-TFM Document 27-2 Filed 08/25/17 Page 189 of 202

STAFF DISCIPLINARY ACTIONS III.L ADOC and Tutwiler shall take appropriate disciplinary action against staff found to have engaged in sexual abuse or sexual harassment or to have violated Tutwiler’s policies and procedures regarding sexual abuse or sexual harassment.

Policy

Develop Implement

Policy Policy

1. ADOC and Tutwiler shall develop, submit to the Monitor and DOJ for review consistent with Section III.A.6., and implement policies and procedures that track staff disciplinary actions related to allegations of sexual abuse or sexual harassment, to ensure that the directives in III.L.2-III.L.6 below are met.

III.L.1 III.L.2 III.L.3 III.L.4 III.L.5 III.L.6

SOP 8-12 SOP 9-9 SOP 11-1

February February 28, 2016 28, 2016

Policy

Staff Trained Policy

REQUIREMENTS

Developed

Implemented

ADOC and Tutwiler ensure prompt corrective action following any substantiated finding or recommendation resulting from either an administrative or criminal investigation surrounding an incident of sexual abuse or sexual harassment. This will include, but not be limited to:
1. Documented disciplinary sanctions of staff; and 2. Permanent removal of staff from the post where the incident occurred.
Staff is subject to disciplinary sanctions up to and including termination for violating ADOC’s sexual abuse or sexual harassment policies

Y N N/A Y N N/A
Y N N/A Y N N/A Y N N/A Y N N/A Y N N/A Y N N/A

Termination is the presumptive disciplinary sanction for staff who have engaged in sexual abuse

Y N N/A Y N N/A

Disciplinary sanctions for violations of agency policies relating to sexual abuse or sexual harassment (other

Y N N/A Y N N/A

than actually engaging in sexual abuse) are commensurate with the nature and circumstances of the acts

committed, the staff member’s disciplinary history, and the sanctions imposed for comparable offenses by

other staff with similar histories

All terminations for violations of ADOC’s and Tutwiler’s sexual abuse or sexual harassment policies, or

Y N N/A Y N N/A

resignations by staff who would have been terminated for sexual abuse or sexual harassment, if not for their

resignation, are reported to local prosecutors, unless the activity was clearly not criminal in conformance with

Alabama law, and to any relevant licensing bodies

Y N N/A Y N N/A

Develop and implement policies (submitted for review) and procedures that track staff disciplinary actions related to allegations of sexual abuse or sexual harassment

Y N N/A Y N N/A Y N N/A Y N N/A Y N N/A Y N N/A
Y N N/A
Y N N/A

III.L.1 / III.L.2 / III.L.3 / III.L.4 / III.L.5 / III.L.6

Case 2:15-cv-00368-MHT-TFM Document 27-2 Filed 08/25/17 Page 190 of 202

Ensure prompt corrective action following any substantiated finding or recommendation resulting from either Y N N/A Y N N/A an administrative or criminal investigation surrounding an incident of sexual abuse or sexual harassment including (but not limited to) document disciplinary sanctions and permanent removal of staff from post where incident occurred

Staff shall be subject to disciplinary sanctions up to and including termination for violating ADOC’s sexual abuse or sexual harassment policies

Y N N/A Y N N/A

Y N N/A Y N N/A Terminations for violations of sexual harassment or sexual abuse policies shall be reported to local prosecutors
unless the activity was clearly not criminal in conformance with AL law

Y N N/A Y N N/A Y N N/A

MONITOR’S MEASURES OF COMPLIANCE

1. SOP 8-12 Inmate Sexual Abuse and Sexual Harassment. 2. SOP 9-9 Employee Standards of Conduct and Discipline and SOP 11-1 Data Collection and Quality Improvement. 3. Review any ADOC documentation for Tutwiler Human Resources (HR) actions for an employee due to a PREA investigation during the reporting
period. 4. Review any written "counseling” sessions held by Warden Wright for staff, related to PREA issues. 5. Interviews with Deputy Commissioner Williams, ADOC HR Director Lawley, Warden Wright, and Lt. Young.

STEPS TAKEN BY MONITOR TO ANALYZE CONDITIONS AND ASSESS COMPLIANCE, AND FACTUAL BASIS FOR MONITOR’S FINDINGS

(for each member of monitoring team)

Documents

Interviews

On-site/Observations / Other

• SOP 8-12 Inmate Sexual Abuse and Sexual

• Deputy Commissioner Williams

Harassment

• Mr. William Lawley, ADOC Personnel

• SOP 9-9 Employee Standards of Conduct and

Director

Discipline

• Warden Wright

• SOP 11-1 Data Collection and Quality Improvement • Lt. Young, IPCO

• Any official employee discipline action at Tutwiler for • Captain McClain, Settlement Compliance

a PREA incident during this reporting cycle

Manager

• Tutwiler Risk Management System for this reporting

period, managed by Captain McClain

• Tutwiler employee personnel actions spreadsheet-

listing new hires, separations and causes for

separations

• Compliance Visit June 25-30, 2017

III.L.1 / III.L.2 / III.L.3 / III.L.4 / III.L.5 / III.L.6

Case 2:15-cv-00368-MHT-TFM Document 27-2 Filed 08/25/17 Page 191 of 202

None

UNRESOLVED/PARTIALLY RESOLVED ISSUES FROM PREVIOUS TOUR

The Monitor found ADOC and Tutwiler to be ‘Substantially Compliant” with this provision during the December 2016 Compliance Visit.

The ADOC and Tutwiler have addressed all recommendations made by the Monitor during the December 2016 Compliance Visit.

NOTE: THIS SECTION INCLUDES III.L.I, III.L.2, III.L.3, III.L.4, III.L.5 and III.L.6. Please provide separate findings, discussion, and recommendations for all provisions.
MONITOR’S FINDINGS: Substantial Compliance Partial Compliance Non-compliance n/a no assessment due until __________

DATE: June 30, 2017

MONITOR’S DISCUSSION: STEPS TAKEN BY ADOC AND TUTWILER TOWARDS IMPLEMENTATION

DATE: June 30, 2017

Section III.L of the Agreement was put into practice at Tutwiler effective May 28, 2015. All portions of this provision exist in SOP 8-12, SOP 99, or SOP 11-1.

III.L.1 / III.L.2 / III.L.3 / III.L.4 / III.L.5 / III.L.6

Case 2:15-cv-00368-MHT-TFM Document 27-2 Filed 08/25/17 Page 192 of 202

MONITOR’S DISCUSSION: EXTENT TO WHICH ADOC AND TUTWILER HAVE COMPLIED WITH THE AGREEMENT

DATE: June 30, 2017

The Monitor found ADOC and Tutwiler to be ‘Substantially Compliant” with this provision during the Compliance Visits of June and December 2016. As of June 30, 2017 ADOC and Tutwiler have sustained substantial compliance.

The Monitor found ADOC and Tutwiler to be in "Substantial Compliance" with this provision based upon the following :

All portions of this provision exist in SOP 8-12 Inmate Sexual Abuse and Sexual Harassment, SOP 9-9 Employee Standards of Conduct and Discipline, or SOP 11-1 Data Collection and Quality Improvement.

SOP 8-12 Inmate Sexual Abuse and Harassment and SOP 9-9, Employee Standards of Conduct & Discipline, have been updated to include these provisions, and have been reviewed by the DOJ and the Monitor. Procedures are in place with the Risk Management System (SOP 11-1, Data Collection and Quality Improvement) that track staff disciplinary actions related to allegations of sexual abuse or sexual harassment.

Specifically, SOP 9-9 Employee Conduct and Discipline was revised to include all of this provisions' requirements, regarding ADOC personnel actions for any employee with substantiated violations of the PREA policy on sexual abuse and sexual harassment.

SOP 11-1, Data Collection and Quality Improvement, has procedures for the required tracking of staff disciplinary actions for allegations of sexual abuse and sexual harassment. The Monitor and the DOJ reviewed and commented on the drafts for 11-1 and the template for data.

The Monitor reviewed the Risk Management spreadsheet maintained by Tutwiler Captain McClain, for the reporting period. Captain McClain obtains the information through a variety of sources on a timely basis. The spreadsheet documents the following information, for staff who engaged or allegedly engaged in the following conduct: a. Sexual abuse and sexual harassment b. Unprofessional conduct involving inmates, including sexually explicit, vulgar or degrading language c. Use of Force incidents d. Retaliation e. Staff unannounced presence in bathrooms f. Staff frequently located off posts g. Inmate grievances, involving any of the previous named conduct

This information on the Tutwiler Risk Management System (RMS) is reviewed routinely by Warden Wright and her leadership team. Working closely with Captain McClain, Lt. Young monitors the RMS spreadsheet. This information is also shared with Deputy Commissioner Williams. They look for any trends in staff behavior, any patterns that should be addressed immediately by Warden Wright. The Monitor and Warden Wright discussed the Warden's use of this tracking information. The Monitor believes Warden Wright has used this information effectively to track emerging issues and take appropriate action. For example, Warden Wright has personally counseled staff members regarding the need for professional, respectful staff-inmate communication and

III.L.1 / III.L.2 / III.L.3 / III.L.4 / III.L.5 / III.L.6

Case 2:15-cv-00368-MHT-TFM Document 27-2 Filed 08/25/17 Page 193 of 202
developed a staff intervention plan responsive to inmates' complaints regarding staff language. There were no substantiated PREA allegations during this reporting period.

MONITOR’S RECOMMENDATIONS: (for at least the next 6 months)

DATE DUE:

1. ADOC will contact the Monitor when a substantiated allegation occurs. This notification will occur within 48 hours of completion of the investigation.
2. ADOC will notify the Monitor and the DOJ of any employee’s discipline that occurs via these requirements.

As soon as it occurs As soon as it occurs

III.L.1 / III.L.2 / III.L.3 / III.L.4 / III.L.5 / III.L.6

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III.M Limited English Proficient (LEP) Inmates

ADOC and Tutwiler shall work with the Monitor to develop and implement a policy providing for a method of interpretation services for LEP inmates. This method may be through a language telephone line, if necessary. ADOC and Tutwiler shall not rely on other inmates or non-certified employees to translate and/or interpret for LEP inmates.
REQUIREMENTS

Policy

Develop Implement Policy Policy

III.M AR 454 SOP8-12

February February 28, 2016 28, 2016

Policy Developed

Staff Trained Policy Implemented

Tutwiler provides for interpretation services for LEP inmates

Y N N/A Y N N/A Y N N/A

This method may be through a language telephone line, if necessary

Y N N/A Y N N/A Y N N/A

ADOC and Tutwiler do not rely on other inmates or non-certified employees to translate and/or interpret for LEP inmates

Y N N/A Y N N/A Y N N/A

MONITOR’S MEASURES OF COMPLIANCE

1. SOP 8-12, Inmate Sexual Abuse and Sexual Harassment AR 454. 2. Review Memorandum of Understanding (MOU) with ADOC and the Alabama Institute for the Deaf and Blind (AIDB). 3. Interviews with Warden Wright and Lt. Young. 4. Staff interviews. 5. Inmate focus groups. 6. Individual inmate interviews. 7. Inmate correspondence received by Monitor. 8. Review of inmate grievances.

III.M

Case 2:15-cv-00368-MHT-TFM Document 27-2 Filed 08/25/17 Page 195 of 202

STEPS TAKEN BY MONITOR TO ANALYZE CONDITIONS AND ASSESS COMPLIANCE, AND FACTUAL BASIS FOR MONITOR’S FINDINGS

(for each member of monitoring team)

Documents

Interviews

On-site/Observations / Other

Reviewed: • SOP 8-12 Inmate Sexual Abuse and Sexual
Harassment • ADOC AR 454 • MOU with ADOC and the Alabama Institute for
the Deaf and Blind (AIDB) • Inmate correspondence received by the
Monitor: January-June 2017 • Inmate grievances: January-June 2017

• Warden Wright • Lt .Young, IPCO • Inmate focus groups • Interviews with individual inmates

• Compliance Visit June 25-30, 2017

None.

UNRESOLVED/PARTIALLY RESOLVED ISSUES FROM PREVIOUS TOUR

The Monitor found ADOC and Tutwiler to be ‘Substantially Compliant” with this provision during the December 2016 Compliance Visit.

The Monitor made no recommendations during the December 2016 Compliance Visit.

MONITOR’S FINDINGS: Substantial Compliance Partial Compliance Non-compliance n/a no assessment due until __________
III.M

DATE: June 30, 2017

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MONITOR’S DISCUSSION: STEPS TAKEN BY ADOC AND TUTWILER TOWARDS IMPLEMENTATION

DATE: June 30, 2017

ADOC entered into an agreement with the Alabama Institute for the Deaf and Blind ( AIDB ) to provide assistance for inmates who are visually or hearing impaired. Dr. Scott Holmes is the designated point of contact at Tutwiler who coordinates with AIDB when those services are required for an inmate.

The ADOC is utilizing Google Translation to provide multi-lingual translation services to translate text, speech, images, or real-time video from one language to another.

ADOC and Tutwiler do not rely on other inmates or non-certified employees to translate and/or interpret for LEP inmates.

Dr. Scott Holmes, Tutwiler Psychological Associate, has been designated as the LEP Coordinator for Tutwiler.

MONITOR’S DISCUSSION: EXTENT TO WHICH ADOC AND TUTWILER HAVE COMPLIED WITH THE AGREEMENT

DATE: June 30, 2017

The Monitor found ADOC and Tutwiler to be ‘Substantially Compliant” with this provision during the June and December 2016 Compliance Visits. As of June 30, 2017 ADOC and Tutwiler have sustained compliance.
The Monitor determined the rating of "Substantial Compliance" for this reporting period based upon the following observations.
Tutwiler continues to provide for interpretation services for LEP inmates through AIDB and Google Translation, an online language interpretation service. ADOC uses Google Translation to provide multi-lingual translation services to translate documents, including orientation documents, video or images for any inmate needing this assistance. Lt. Young coordinates and facilitates this service.
ADOC and Tutwiler continue to not rely on other inmates or non-certified employees to translate and/or interpret for LEP inmates.
SOP8-12 Inmate Sexual Abuse and Sexual Harassment includes the requirement for the assistance necessary for identified LEP inmates. Tutwiler staff has been trained in this SOP.
The Monitor reviewed the ADOC MOU with the AIDB to provide required services for inmates with a visual or hearing impairment. Dr. Scott Holmes is the Tutwiler coordinator for these services. He and Lt. Young work together to identify any inmate with these needs.
The Monitor reviewed inmate grievances filed during January-June 2017 and there were no complaints in these materials regarding the failure to provide
III.M

Case 2:15-cv-00368-MHT-TFM Document 27-2 Filed 08/25/17 Page 197 of 202
services for inmates Identified in this provision.
The Monitor received correspondence from six inmates and there were no complaints in these letters regarding the failure to provide services for inmates Identified in this provision.

MONITOR’S RECOMMENDATIONS: (for at least the next 6 months)
None.

DATE DUE: N/A

III.M

Case 2:15-cv-00368-MHT-TFM Document 27-2 Filed 08/25/17 Page 198 of 202

IV. Quality Improvement and Data Collection

A. Within one year of the Effective Date, ADOC and Tutwiler shall develop and submit to the Monitor and DOJ for review consistent with Section III.A.6., and implement, written quality improvement policies and procedures adequate to identify and address any deficiencies in ADOC and Tutwiler’s prevention, detection and response to sexual abuse and sexual harassment at Tutwiler and to assess and ensure compliance with the terms of this Agreement. B. Within three months of the Effective Date, ADOC shall convene a state-wide working group to evaluate how other state and ADOC entities may contribute to Tutwiler’s compliance with this Agreement. C. ADOC and Tutwiler shall establish a system wherein they routinely poll inmates regarding their perceptions of the implementation of the specific terms of this Agreement including the prevalence of staff sexual abuse and sexual harassment, inmate vulnerability to sexual abuse and sexual harassment, the investigation and discipline of staff accused of sexual abuse and sexual harassment, the efficacy of inmate education regarding sexual abuse and sexual harassment, privacy in the showers and toilets, the appropriateness of inmate classification, the levels of staff supervision, the efficacy of the reporting systems for sexual abuse and sexual harassment including grievances, and official responses to, and retaliation for, allegations of sexual abuse and sexual harassment. D. ADOC and Tutwiler shall develop, implement, and maintain, in consultation with the Monitor, a Risk Management System (“RMS”) that will document and track facility trends related to: (1) sexual abuse or sexual harassment; (2) unprofessional staff conduct involving inmates, including sexually explicit, vulgar, or degrading language; and (3) use of force incidents.
REQUIREMENTS

Policy

IV.A. IV.B. IV.C. IV.D.

SOP 11-1

Develop Policy May 28, 2016

Implement Policy May 28, 2016

Policy Developed

Staff Trained Policy Implemented

Within one year of the Effective Date, ADOC and Tutwiler shall develop and submit to the Monitor and DOJ for Y N N/A Y N N/A Y N N/A review consistent with Section III.A.6., and implement, written quality improvement policies and procedures adequate to identify and address any deficiencies in ADOC and Tutwiler’s prevention, detection and response to sexual abuse and sexual harassment at Tutwiler and to assess and ensure compliance with the terms of this Agreement.

Within three months of the Effective Date, ADOC shall convene a state-wide working group to evaluate how other state and ADOC entities may contribute to Tutwiler’s compliance with this Agreement.

Y N N/A Y N N/A Y N N/A

ADOC and Tutwiler shall establish a system wherein they routinely poll inmates regarding their perceptions of Y N N/A Y N N/A Y N N/A the implementation of the specific terms of this Agreement including the prevalence of staff sexual abuse and sexual harassment, inmate vulnerability to sexual abuse and sexual harassment, the investigation and dIVis.cipline of staff accused of sexual abuse and sexual harassment, the efficacy of inmate education regarding

Case 2:15-cv-00368-MHT-TFM Document 27-2 Filed 08/25/17 Page 199 of 202

sexual abuse and sexual harassment, privacy in the showers and toilets, the appropriateness of inmate classification, the levels of staff supervision, the efficacy of the reporting systems for sexual abuse and sexual harassment including grievances, and official responses to, and retaliation for, allegations of sexual abuse and sexual harassment.

ADOC and Tutwiler shall develop, implement, and maintain, in consultation with the Monitor, a Risk Management System (“RMS”) that will document and track facility trends related to: (1) sexual abuse or sexual harassment; (2) unprofessional staff conduct involving inmates, including sexually explicit, vulgar, or degrading language; and (3) use of force incidents.

Y N N/A Y N N/A Y N N/A

MONITOR’S MEASURES OF COMPLIANCE
1. SOP 8-12 Inmate Sexual Abuse and Sexual Harassment. 2. SOP 11-1 Data Collection and Quality Improvement. 3. Review Risk Management Reports. 4. Review the inmate polling survey results. 5. Interview Deputy Commissioner Williams regarding the status of the Quality Assurance committee. 6. Interview Captain McClain and review the Tutwiler Risk Management System spreadsheet she maintains . 7. Interview Lt. Young.

IV.

Case 2:15-cv-00368-MHT-TFM Document 27-2 Filed 08/25/17 Page 200 of 202

STEPS TAKEN BY MONITOR TO ANALYZE CONDITIONS AND ASSESS COMPLIANCE, AND FACTUAL BASIS FOR MONITOR’S FINDINGS (for each member of monitoring team)

Documents

Interviews

On-site/Observations / Other

• SOP 8-12 Inmate Sexual Abuse and Sexual Harassment
• SOP 11 Data Collection and Quality Assurance
• Risk Management Reports: January-June 2017
• Inmate polling survey and policy • Inmate polling survey results • Tutwiler RSM spreadsheet for January-
June 2017

• Deputy Commissioner Williams • Captain McClain, Settlement
Compliance Manager • Lt. Young, IPCO

• June 25-30, 2017 Compliance Visit

None.

UNRESOLVED/PARTIALLY RESOLVED ISSUES FROM PREVIOUS TOUR

The Monitor found ADOC and Tutwiler in “Substantial Compliance” with this provision during the December 2016 Compliance Visit.

The ADOC and Tutwiler addressed the recommendation made by the Monitor during the December 2016 Compliance Visit. The ADOC provides the Monitor and the DOJ results from each inmate polling, as soon as they are assimilated and reviewed by ADOC and Tutwiler. The Monitor is awaiting the results of the Fourth Quarter polling survey.

IV.

Case 2:15-cv-00368-MHT-TFM Document 27-2 Filed 08/25/17 Page 201 of 202
MONITOR’S FINDINGS:
Substantial Compliance Partial Compliance Non-compliance n/a no assessment due until __________

DATE: June 30, 2017

MONITOR’S DISCUSSION: STEPS TAKEN BY ADOC AND TUTWILER TOWARDS IMPLEMENTATION AND EXTENT TO WHICH ADOC AND TUTWILER HAVE COMPLIED WITH THE AGREEMENT

DATE: June 30, 2017

The Monitor uses the time frame January 1-June 30, 2017 as the “reporting period” throughout this report. The Monitor received documents and updates from ADOC prior to, during , and after the compliance visit of June 25-30, 2017.
The Monitor found ADOC and Tutwiler to be “Partially Compliant” with this provision during the June 2016 Compliance Visit and "Substantially Compliant" during the December 2016 Compliance Visit.
As of June 30, 2017 the Monitor found ADOC and Tutwiler to have sustained substantial compliance with this provision. The Monitor determined the rating of “Substantial Compliance” based upon the following observations.
A state-wide working group was convened in August 2015 to evaluate how other state and the ADOC entities might contribute to Tutwiler's compliance with this Agreement. The group continues to meet on a quarterly basis.
SOP 11-1, Data Collection and Quality Improvement, was developed with the assistance of ADOC consultant Wendy Leach, who was at Tutwiler to provide expertise in the development for the groundwork for the data collection and quality improvement process.
Tutwiler SOP 11-1, Data Collection and Quality Improvement, was implemented on August 15, 2017. Quality Improvement meetings began in August 2016 and will continue indefinitely.

IV.

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ADOC has properly trained the required staff in SOP 11-1.
ADOC and Tutwiler established a system wherein they routinely poll inmates regarding their perceptions of the implementation of the specific terms of this Agreement including the prevalence of staff sexual abuse and sexual harassment, inmate vulnerability to sexual abuse and sexual harassment, the investigation and discipline of staff accused of sexual abuse and sexual harassment, the efficacy of inmate education regarding sexual abuse and sexual harassment, privacy in the showers and toilets, the appropriateness of inmate classification, the levels of staff supervision, the efficacy of the reporting systems for sexual abuse and sexual harassment including grievances, and official responses to, and retaliation for, allegations of sexual abuse and sexual harassment.
Dr. Barbara Owens was selected as an expert consultant to develop the polling instrument, instructions for its use and implementation.
The final “Inmate Polling Protocol" was published by ADOC and the electronic survey method for routine polling of inmates began the week of July 11, 2016. The Monitor reviewed the results.
As agreed upon by the Monitor, the DOJ, and the ADOC, The Moss Group, Inc. currently administers the survey quarterly for the ADOC. ADOC has informed the parties that it is in dialogue with Auburn University about the possibility of them providing long term assistance with the administration of the survey. This arrangement would institutionalize the inmate polling survey as a valuable tool for ADOC and Tutwiler in the future. The Monitor fully supports this action. ADOC entered into an MOU with Auburn University on August 9, 2017. Auburn plans to administer the next Inmate Polling in October 2017.
The Risk Management System (RMS), which is maintained by Captain Lagretta McClain and monitored by Warden Wright and Deputy Commissioner Williams for any patterns, red flags or other notable data is now in use at Tutwiler. The RMS is designed to track facility trends related to: 1) sexual abuse or sexual harassment; (2) unprofessional staff conduct involving inmates, including sexually explicit, vulgar, or degrading language; and (3) use of force incidents.

MONITOR’S RECOMMENDATIONS: (for at least the next 6 months)

DATE DUE:

1. ADOC to provide the Monitor and the DOJ results from each inmate polling, as soon as they are assimilated and reviewed by ADOC and Tutwiler. The Monitor is awaiting the results of the Fourth Quarter Inmate Polling.
2. ADOC to conduct required annual assessment of the RMS system's effectiveness and submit findings to the Monitor and the DOJ.
3. ADOC to provide the Monitor a copy of their MOU with Auburn University

1. As soon as compiled
2. As soon as completed
3. September 30, 2017

IV.

United States of America v. State of Alabama, et al., Docket No. 2:15-cv-00368 (M.D. Ala. May 28, 2015), Court Docket
General Information

Court
Federal Nature of Suit Docket Number Status

United States District Court for the Middle District of Alabama; United States District Court for the Middle District of Alabama Civil Rights - Other[440] 2:15-cv-00368 CLOSED

© 2018 The Bureau of National Affairs, Inc. All Rights Reserved. Terms of Service // PAGE 261

 </s> Case 2:15-cv-00368-MHT-TFM Document 28-2 Filed 02/27/18 Page 1 of 63
IN THE UNITED STATES DISTRICT COURT FOR THE MIDDLE DISTRICT OF ALABAMA, NORTHERN DIVISION

UNITED STATES OF AMERICA,

)

)

PLAINTIFF,

)

)

v.

)

)

THE STATE OF ALABAMA AND THE )

ALABAMA DEPARTMENT OF

)

CORRECTIONS,

)

)

DEFENDANTS

)

Civil No. 02:15cv368-MHT

Monitor’s Fifth Compliance Report

Case 2:15-cv-00368-MHT-TFM Document 28-2 Filed 02/27/18 Page 2 of 63
Table of Contents Introduction ........................................................................................................................... 3
Specific Actions to Evaluate Compliance......................................................................................3
Executive Summary............................................................................................................... 7
Intent of the Report.........................................................................................................................7 Alabama Department of Corrections: Progress, Strengths and Challenges .............................7
Progress .........................................................................................................................................7 Alabama Strengths ......................................................................................................................31 Alabama Challenges....................................................................................................................35
Logistics ................................................................................................................................ 40
Compliance Visit............................................................................................................................40 Monitoring Tool.............................................................................................................................46
Summary of Compliance..................................................................................................... 49 Closing Observations........................................................................................................... 50 Attachment A: List of Documents Used for Compliance Report.................................... 51 Attachment B: List of Tutwiler’s Standard Operating Procedures (SOPs) .................. 54 Attachment C: Summary of Compliance .......................................................................... 56
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Introduction
The State of Alabama and the United States Department of Justice (DOJ) entered into a settlement agreement on May 28, 2015. The agreement involves a comprehensive set of provisions regarding the safety and security of the women offenders housed at the Tutwiler Prison for Women (Tutwiler). The purpose of the compliance report is to document the progress of the actions of the Alabama Department of Corrections (ADOC) and Tutwiler in response to the specific requirements of the provisions in the settlement. This is the fifth required court report, due February 28, 2018, submitted by independent Monitor Kathleen Dennehy. This court approved Ms. Dennehy as monitor on August 26, 2016.
Ms. Dennehy conducted a compliance visit December 3-8, 2017. This report describes the actions taken by the monitor to determine compliance, and uses the time frame July 1, 2017 through December 31, 2017 as the "reporting period.”
The settlement uses four levels to measure compliance: Substantial Compliance, Partial Compliance, Non-Compliance, and Not Applicable (N/A). The Summary of Compliance section of this report at page 56 includes a chart summarizing the compliance status for each provision.
Specific Actions to Evaluate Compliance The monitor took the following specific actions to evaluate compliance: 1) During Monitor Dennehy's December 2017 compliance visit with the Alabama Department of Correction (ADOC) and Tutwiler, she interviewed central office ADOC staff, including executive leadership and section
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managers, who have responsibilities related to the ADOC and Tutwiler compliance with the settlement. Monitor Dennehy also interviewed ADOC staff assigned to Tutwiler, including the facility's top leadership, staff with specific settlement responsibilities, and the Institutional PREA Compliance Manager. The monitor handpicked some staff for interviews and randomly selected other uniform staff from employee rosters for one-on-one interviews. These staff members were diverse in gender and race. The monitor conducted two inmate focus groups comprised of women randomly selected from housing unit lists. The monitor also met individually with five women who had previously corresponded with her for the purpose of following up on their issues. In addition to these formal interviews, the monitor was afforded open access to staff and inmates during the monitoring visit and had many opportunities to question and engage in conversations with both staff and inmates while touring housing and program areas and the monitor was provided meeting space to engage in private one-on-one conversations with inmates and staff. 2) The monitor reviewed multiple ADOC and Tutwiler documents during this reporting period. These documents included previously promulgated ADOC and Tutwiler policies, ADOC and Tutwiler policy drafts, and training curricula and materials. Prior to the December compliance visit, the monitor requested documents, including inmate polling results, and inmate grievances to prepare for a tour of the facility and staff and inmate interviews. During the tour, the ADOC allowed the monitor access to
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investigations, training files, staff rosters, and shift reports. The ADOC provided full access to records maintained by the Institutional PREA Compliance Manager, Lt. Yvette Young; Grievance Coordinator, Lt. Brian Coleman; and Settlement Compliance Manager, Warden Lagreta McClain. After the compliance visit, the monitor requested and received additional documents to substantiate and assess the progress of the work and actions taken by the ADOC and Tutwiler in response to the requirements of each section of the settlement. 3) Tutwiler has a notice posted throughout the facility, with correspondence addresses for the monitor. During this reporting period, the monitor received correspondence from two third parties. One e-mail was from an inmate's daughter and she questioned the facility's rules regarding her mother's hair style. This was referred to Warden Wright. The second letter was from a community based program provider who was worried that her friend who is incarcerated at Tutwiler may not be getting adequate medical care. This correspondence was also referred to Warden Wright who provided the monitor documentation that the inmate's issues had been addressed. In addition, the monitor received correspondence from thirteen Tutwiler inmates. These letters addressed a wide range of allegations, including racial discrimination against white inmates, inadequate medical treatment, delays in medical treatment, officers using unprofessional language in communication with inmates, an increased availability of contraband drugs throughout Tutwiler, the need for more facility
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maintenance, especially in the plumbing department, maggots in food served to Tutwiler inmates, and delays in the process for identifying and accommodating the needs of inmates diagnosed with gender dysphoria. One inmate wrote at length about her alleged conversations with correctional officers regarding how unsafe staff felt at Tutwiler and why they were going to leave ADOC employment. The monitor reviewed each letter and requested additional information from ADOC officials to better assess the contents of the correspondence and to request follow-up action where appropriate. In each instance, the ADOC provided timely and appropriate responses. During the compliance tour, the monitor met with some of the women who had written to her. While drafting this report, the monitor had also referred issues raised in three additional letters received by her after the December compliance visit. One woman alleged a delay in the receipt of some medical test results. The monitor was provided a detailed update on this woman's medical issues and condition by ADOC and Tutwiler staff. Based upon the information provided to the monitor, it appears this woman's issues were addressed appropriately and timely. Another inmate alleged that she was jumped by four other inmates as a result of a correction officer suggesting that she had identified others for drug testing. The monitor has asked that an investigation be initiated in this case. This inmate's allegations will be investigated and a summary of that investigation and findings will be provided to the DOJ and the monitor. The third inmate is transgender and claims officers encourage
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other inmates and staff to make fun of him and harass him. The monitor requested to receive and reviewed all grievances filed by this inmate and notes staff have been counseled regarding proper procedures and advised to use appropriate pronouns when addressing this individual. The monitor will continue to closely monitor any grievances/complaints filed by this individual. 4) The monitor had multiple communications with Deputy Commissioner Wendy Williams during this reporting period to request investigative summaries and to address questions about either inmate correspondence received or inmate grievances reviewed by the monitor. The ADOC and Tutwiler staff have provided timely and thorough responses for each information request made by the monitor.
Executive Summary
Intent of the Report This report is made to inform the court and the parties of the monitor’s assessment
of the current progress and status of the ADOC and Tutwiler compliance with the settlement provisions and requirements. The monitor provides feedback for the ADOC and Tutwiler in each section. In some sections of the report, the monitor includes recommendations for the ADOC and Tutwiler actions over the next reporting period.
Alabama Department of Corrections: Progress, Strengths and Challenges
Progress During this reporting period, the monitor observed steady, continuing progress by
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the ADOC and Tutwiler towards reaching full compliance1 with the terms of the settlement agreement. In this fifth compliance report, the monitor has determined that Tutwiler and the ADOC have achieved "substantial compliance" with 40 sections, and have achieved "partial compliance" with 3 sections of the agreement.2 Attachment C provides a detailed summary of the monitor’s compliance determinations.
While the compliance tally for this fifth compliance report is the same as the tally documented in the fourth report, the narrative that supports the compliance ratings in this fifth compliance report illustrates Tutwiler and the ADOC’s continued progress under the settlement agreement. In the first court report filed February 24, 2016, the monitor found the ADOC and Tutwiler in "substantial compliance” with 12 sections of the settlement agreement. In the second report filed August 25, 2016, the monitor found the ADOC and Tutwiler in "substantial compliance” with a total of 37 sections of the agreement. In the third report filed March 28, 2017, the monitor determined “substantial compliance” in 39 sections and "partial compliance" in 4 sections of the agreement. In the fourth compliance report, the monitor determined "substantial compliance" with 40 sections and "partial compliance" with 3 sections of the agreement.
The findings of "substantial compliance" and "partial compliance" are specific to the monitor’s observations and findings of fact regarding the ADOC and Tutwiler’s degree of compliance with the requirements of the various sections. The monitor understands these compliance determinations reflect a "continuum" of staff actions that will be evaluated in each court report.
1 The definitions of degrees of compliance are addressed in the Summary of Compliance section of this report at page 48. 2 One settlement agreement provision is not subject for compliance assessment until March 2019.
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General Policies and Procedures The ADOC and Tutwiler continue to maintain written policies to prevent sexual
abuse and sexual harassment. The current policy in place at Tutwiler that contains Prison Rape Elimination Act (PREA) provisions is Standard Operating Procedure (SOP) 8-12, Inmate Sexual Abuse and Sexual Harassment. This procedure incorporates recommendations previously made by the DOJ and the monitor.
In group discussions, formal individual interviews, informal discussions and interactions and observations while touring, staff members consistently demonstrated to the monitor an awareness of their responsibilities regarding reporting allegations of sexual abuse and sexual harassment, safety for inmates and investigative processes. Staff consistently demonstrated on-the-job knowledge of the policies and procedures on which they have been trained.
On September 28, 2017, the ADOC forwarded the final version of SOP 8-30, Behavior Intervention & Discipline Policy to the DOJ and the monitor. The title of this SOP has changed a couple of times. The most recent name for this SOP was the Inmate Discipline Policy. The current title more accurately reflects the goals of the policy and the underlying gender responsiveness concepts. Although Warden Wright signed off on the policy in September, a commitment was made to not publish or disseminate the new policy until Tutwiler completed all the required staff training and inmate education on the new policy. An implementation plan and a Disciplinary SOP Training Facilitator's Guide was sent to the DOJ and the monitor on October 6, 2017 for review and comment. On October 24, 2017 the ADOC submitted a revised implementation plan for the Behavior Intervention and Discipline Policy in response to the DOJ and the monitor’s
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comments. A finalized draft of the implementation plan, as well as ADOC responses to the DOJ and the monitor's comments, was provided to the DOJ and the monitor. On October 30, 2017, the ADOC submitted a revised Disciplinary SOP Training Facilitator's Guide in response to the DOJ and the monitor' s comments. Staff training was being conducted during the December 2017 monitoring visit and the Deputy Commissioner for Women's Services has certified that this training was completed on December 15, 2017. All ADOC staff working at Tutwiler, as well as staff who work for the contracted inmate mental health and medical services providers were required to attend this training. This policy became effective January 1, 2018.
One required SOP remains outstanding: SOP 8-24 Disciplinary Segregation. The finalization of this policy was contingent on the finalization of SOP 8-30, Behavior Intervention & Discipline Policy as the final version of SOP 8-24 Disciplinary Segregation will align with changes made to the SOP 8-30.
The draft revisions of SOP 8-24 Disciplinary Segregation and the training curriculum for this policy will also be sent to the DOJ and monitor for review. This is the last of the SOP's required to be finalized in accordance with the settlement agreement. All other SOP's and Post Orders have been developed and implemented.
The monitor has determined that ADOC and Tutwiler remain in "Partial Compliance" with this provision. "Substantial Compliance” is expected in 2018, after a period of full implementation of SOP 8-30 is observed, and after SOP 8-24 Disciplinary Segregation has been published, staff trained and full implementation has been observed and documented.
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Camera Management Both staff and inmates continue to express appreciation of the significant role
cameras play in the prevention of sexual abuse and the important role the camera footage play in investigations and in holding both staff and inmates accountable.
ADOC and Tutwiler conducted their second annual camera review meeting on November 7, 2017. Several issues were identified, including: the expiration of the contract with Montgomery Technology Services and the need to establish another contract; seven cameras were identified as being out of operation; the need to add cameras to other targeted locations; the need to explore leasing versus buying equipment; the need to review the location and possible relocation of several facility cameras; the need to maintain the air conditioner unit for the camera system; the need to increase video storage capacity to 45 days, and the need to clean air filters and the cameras. It was also advised that load back tests be conducted as they are required by code. Diesel run generators should be tested every 6 months and gas/propane operated generators should be tested yearly. It is clear the state contract may have to be changed by adding language that includes the requirement of yearly checks. ADOC and Tutwiler developed an action plan to address these issues. The Monitor has reviewed the plan and notes that everything, with the exception of two items, has been addressed. A number of reviews and approvals external to the agency must be secured before the additional cameras are placed. While a maintenance contract has not been established, a plan is in place to repair the equipment when required. The absence of a maintenance agreement does not prevent camera repairs from taking place, it only impacts the payment terms of services rendered. The ADOC Engineering Division continues to work with the Department of Finance and
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the Building Commission to finalize a maintenance agreement in the near future.
Staffing ADOC and Tutwiler expended considerable funds to have a Staffing Analysis
conducted at Tutwiler by nationally recognized experts to research and develop a genderresponsive staffing plan for Tutwiler. This staffing plan was informed by genderresponsive principles identified by the National Institute of Corrections (NIC), Prison Rape Elimination Act (PREA) requirements, U.S. Department of Justice (DOJ) settlement agreement requirements, and emerging correctional practice.
For the first court report, Monitor Lancaster was asked to review the schedule for the Phase II Staffing section due to its complexity, multiple requirements, and need for a tremendous amount of data from ADOC and Tutwiler. Monitor Lancaster provided recommendations in the first court report and noted concerns at that time about the timeframes established in the settlement for the completion of the analysis and the implementation of the staffing plan. Revisions to the schedule were strongly recommended by the monitor at the beginning, and project extensions were granted.
ADOC submitted the draft staffing analysis to the DOJ and the monitor in Spring 2016. Both the DOJ and Monitor Lancaster offered comments on this draft in late June 2016. On August 16, 2016 ADOC sought clarification regarding some of DOJ's feedback.
During the December 2016 Compliance Visit, the DOJ asked the new monitor to review the draft staffing plan and the DOJ's comments in an attempt to clarify all comments for ADOC's review and response. On January 30, 2017, Monitor Dennehy provided ADOC with extensive feedback.
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The monitor recognizes that a solid staffing analysis and plan is fundamentally important as a tool to determine the number and type of employees needed to staff Tutwiler. It is a dynamic document that examines the nature of the work to be done in terms of volume, location, and duration. A solid analysis of staff requirements is instrumental to identifying the knowledge, skills and abilities needed for a genderresponsive, trauma-informed Tutwiler workforce. This a complex and challenging task, complicated by a high percentage of position vacancies, a high rate of staff call outs and critical posts being filled by mandating overtime for officers, assigning supervisors to line posts or doubling up officer posts. It is important to note, that at this juncture, there is no national model of a gender-specific staffing plan. Given the complexity of this task, both the ADOC and the DOJ agreed that additional time was needed for ADOC to work through the DOJ and the monitor's comments and finalize the plan, and Monitor Dennehy approved an extension to June 1, 2017.
The ADOC continued to work with the monitor and DOJ towards developing a final approved staffing analysis to ensure it effectively incorporated the gender responsive principles required in the Settlement Agreement. The monitor approved an additional extension to September 1, 2017 to allow ADOC sufficient time to review and respond to each recommendation made by the DOJ and the monitor.
On July 26, 2017, the ADOC provided the DOJ and the monitor a copy of the finalized staffing plan and a matrix listing every comment and suggestion previously provided to the ADOC by the DOJ and the monitor, together with an explanation for what was modified and what was not included in the final plan issued by the ADOC. The monitor reviewed the staffing plan and ADOC's documented consideration of the monitor
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and the DOJ's recommendations. The monitor requested ADOC and Tutwiler provide two periodic progress updates on the development of an implementation plan for the staffing plan. The first update was submitted to the monitor on October 30, 2017 and the second was submitted on December 1, 2017. The monitor recognizes the implementation of the staffing plan is ongoing and will continue to request these periodic implementation progress updates. In addition to the periodic implementation progress reports ADOC and Tutwiler must submit a staffing report to the monitor and the DOJ covering the sixmonth period of time after the development of the staffing plan. This staffing report will cover the timeframe from July 26, 2017 to January 26, 2018, and will be submitted to the DOJ and the monitor for review once it is compiled. The monitor, while appreciating the ADOC's enhanced recruitment efforts, remains concerned about the staffing levels at Tutwiler. In October 2017, Tutwiler had only 56 officers on staff. The entrance level salary for a corrections officer is $29,954. Starting pay is 5% higher with an associate's degree and 10% higher with a bachelor's degree. As of December 31, 2017, there were 54 correction officers on staff (36 females and 18 males). Since 2015, the correction officer vacancy rate has steadily increased. In December 2017, only 34% of Tutwiler's correction officer positions were filed. In contrast, 89% of supervisor positions were filled and 76% of non-uniform staffing was filled. Supervisors are often pulled from their assignments to perform correction officer duties.
The monitor also appreciates the efforts Tutwiler has taken to mitigate the issues resulting from understaffing. Those steps have included a reliance on overtime and using employees who are not fully certified correction officers for certain jobs, such as monitoring the prison's camera system, placing supervisors in line posts when needed to
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maintain operations and doubling up correction officer housing posts. The ADOC continues the practice of allowing officers from other ADOC facilities to work overtime or otherwise be temporarily assigned at Tutwiler only after those officers have been trained as required by the settlement agreement. The monitor cross-referenced staff training attendance records with the names of officers on overtime rosters to verify this training requirement is being met. The Tutwiler staffing plan calls for one officer to be assigned to each dorm. It has become the norm that some posts must be doubled each shift as a result of low staffing levels. When this occurs, one officer must cover two dorms, however, video surveillance is constant in all dorms. While these efforts may be workable in the short term, they do not, in the monitor's opinion, present a long term solution to the chronic staffing shortage.
Going forward, the monitor recognizes that the staffing plan is evolving and will need to be revisited periodically as the facility schedule, programming changes and dorm reconfigurations are made to support critical changes to the gender responsive classification process. For example, the staffing plan should be updated to reflect the newly established eight-hour shifts, and the monitor expects the ADOC and Tutwiler to submit these substantive revisions when made to the monitor and the DOJ for review.
The ADOC and Tutwiler have committed to conducting another staff survey in 2018. This exercise may provide some much needed insights into the difficulties the ADOC and Tutwiler experience recruiting and retaining qualified staff, especially female correctional officers. The monitor encourages ADOC and Tutwiler to include questions for staff that explore these issues.
In addition, ADOC is currently engaged in two promising efforts to increase
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correctional staff. Troy University’s Center for Public Service is conducting a comprehensive analysis of the compensation and benefits offered by ADOC to correctional staff. This will include a comparison of ADOC compensation and benefits for correctional staff to the compensation and benefits afforded by law enforcement agencies at the state, county, and local level. This analysis will result in short-term and long-term recommendations for ADOC concerning compensation and benefits of correctional staff. The second effort involves a comprehensive analysis to be conducted by the firm of Warren Averett. This firm will conduct an analysis of ADOC’s policies, practices, and procedures relating to or affecting the recruitment, employment, and retention of correctional staff. Warren Averett will make short-term and long-term recommendations for ADOC concerning recruiting, hiring, and retention of correctional staff.
Training Tutwiler’s training team began providing the required annual refresher training
regarding sexual abuse and sexual harassment in March 2017. The Tutwiler training team are qualified instructors as they had previously received specialized refresher facilitator training on custodial sexual abuse in September 2016 by the agency’s nationally recognized consultant. The facilitator's guide for the refresher training curriculum was reviewed and commented upon by the DOJ and the monitor, consistent with Section III.A.6 of the Agreement. Additional training on gender-responsive and trauma-informed use of force has been incorporated into the ongoing refresher training. As part of the refresher training, all staff were again expected to demonstrate proficiency through a
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post–testing process. As of July 29, 2017, Tutwiler staff, volunteers, and contracted employees had all
completed the refresher training. The completion of the annual training was certified by Deputy Commissioner Williams and reported to the monitor and the DOJ on July 29, 2017. The monitor was very impressed with the documentation of staff attendance at training maintained by both Warden McClain and Lt. Young. These records are well organized and easily retrievable and demonstrate careful tracking of any pending attendance requirements.
The ADOC, and ADOC's contracted inmate health care providers, MHM and Corizon, also maintain excellent records documenting their staff's attendance at the required training.
Dorm A and Overcrowding Ongoing efforts to evaluate methods to decrease or eliminate use of Dorm A for a
period that exceeds 48 hours have resulted in both an overall reduced unit count and overall shorter lengths of stay in the unit. On December 6, 2017 while the monitor was touring the unit, 44 of the unit's 80 beds were filled. At the end of the day, the Dorm A count reduced to 38, a result of daily movement out of the unit. The monitor requested a review of Dorm A's Receiving Log for the reporting period. During the months of July 1 thru December 31, 2017, the average length of stay in the unit was 6 days. The length of stay in the unit ranged from a low of 1 day to a high of 25 days. Of the 765 placements tracked, 300 inmates stayed in the unit for longer than 6 days.
More significantly, the decrease in Dorm A population reflects a decrease in
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Tutwiler's overall population. Since May 2017, ADOC and Tutwiler executive staff have worked closely with the Alabama Board of Pardon and Parole from May 2017 to design and implement new parole guidelines that have resulted in the release of more women. This reduction in the overall inmate population has provided some relief for Tutwiler in housing placement options and staffing deployments.
Gender Responsive Risk/Needs Assessment, Classification and Programming A consultant, nationally known for her work with women inmates, was contracted
to work with the ADOC to develop a gender responsive classification system and assist Tutwiler in developing the programs necessary to address the women's needs. The ADOC forwarded the classification proposal to the monitor and the DOJ for review in May 2016.
An implementation workgroup was created and includes a cross section of key ADOC and Tutwiler staff members. The Women's Risk Needs Assessment (WRNA) and Women's Services Classification Manual were implemented on August 15, 2016, with the expectation that during a six-month "pilot" program all the women at Tutwiler would have an assessment completed on them. The pilot program period was to end February 15, 2017. Following the pilot period, a two-year validation assessment will commence. This original timeframe was expected to yield Alabama Women's Risk Need Assessment validation results by March 28, 2019 when an assessment of compliance with the Agreement is due. As a result of a slower than expected pace of implementation, the pilot end date had to be extended to August 2017.
The pace of implementation was delayed as a result of several factors. The primary reasons for a delay included the: 1) lack of software automation to support
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WRNA; 2) time delays in hiring new positions required to assist with the implementation process; and 3) slower than expected pace of administering the WRNA to the Tutwiler population.
After an exhaustive RFP process, the ADOC contracted with a technology company to create the software automation for WRNA. The company established a deliverable date for July 2017. The software company provided the necessary staff training. In addition, Tutwiler had nine new positions allocated and created, and as of July 1, 2017, all the positions had been filled. The pace of administering the WRNA accelerated under the leadership of the newly named acting classification supervisor. As of mid-July 2017 all the Tutwiler inmates had been classified using the WRNA.
The new classification system incorporates gender-responsive principles and addresses the needs of women inmates at Tutwiler including: housing safety; mental health (depression/anxiety/psychosis); abuse and trauma; family conflict; relationship dysfunction; and parental stress. The system focuses on strength and resiliency factors including educational assets, family support, and self-efficacy. The use of “restricted status” for female inmates was abolished in September 2016 pursuant to the new classification system. A comparison of classification levels of Tutwiler inmates on August 1, 2016 and November 1, 2017 documents the impact of the new classification system. In 2016, 47% of the women were classified as minimum custody. In 2017, this rose to 62%. In 2016, 30% of the women had been classified as medium custody, that number reduced to 25% in 2017. These numbers reflect that many women's custody levels were historically over classified due to a reliance on classification instruments and processes designed for male prisoners. Women offenders' pathways to incarceration are
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different than those for men. The monitor expects to continue to see shifts in the distribution of custody levels of the women at Tutwiler.
On August, 2017, ADOC formed a committee to develop a Request for Proposal for a researcher to conduct a validation study of the WRNA classification instrument. The ADOC reports that they expect to have a researcher on contract in Summer 2018. The validation study will begin once a contract is in place. The study is expected to take three years.
A gender responsive program committee was convened in October 2016 to research and develop a proposal for review by the Deputy Commissioner for Women's Services and the Associate Commissioner for Plans and Programs. The contracted expert facilitated the committee's work. They focused on identifying and developing evidencebased programs that are gender specific and responsive to the programming needs identified by the WRNA. The initial proposal was forwarded to the DOJ and the monitor for review in April 2017. The final proposal that addressed the DOJ's and the monitor's feedback was forwarded to the monitor and the DOJ on July 31, 2017. Programming was selected based upon which programs addressed the women's identified needs, had research to support their use, and could be implemented within ADOC's facilities. If there were more than one program which fit this criteria, programs were selected based upon cost and ability to acquire any training needed by staff. Development of the programs began immediately following the finalization of the proposal. Several new genderresponsive programs will begin at Tutwiler in January 2018. The Getting Ahead While Getting Out program is a re-entry program designed to engage the offender, her family, volunteers, community and staff in problem solving for a successful transition to the
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community. This program will be implemented in February 2018. The Helping Women Recover program is designed to treat addiction and utilizes the theories of women's psychological development and trauma. It addresses triggers for relapse, relationships, domestic violence, trauma, family issues and self-esteem. This program will be implemented in March 2018. The Beyond Trauma incorporates the latest research in neuroscience, trauma and post-traumatic stress disorder. It also incorporates cognitive behavioral techniques, mindfulness, expressive arts, and body oriented exercises. This program will be implemented in March 2018. The Beyond Violence Program focuses on emotional regulation of anger. It addresses both violence and trauma that women have experienced, and the violence they have perpetuated. This program will also be implemented in March 2018. Active Adult Relationships will be implemented in June 2018. This program teaches participants skills to include: communication, conflict resolution, emotion management, making budgets, wise choices for friends, dating and marriage, recognizing personal strengths, and future planning. The evidence-based curriculum was written by Kelly Simpson at the Active Relationships Center. Parenting Inside Out will be implemented in September 2018. This program was developed by Dr. J. Mark Eddy and colleagues at the Oregon Social Learning Center and it is evidencebased. The program teaches parent management skills to incarcerated parents. It helps to promote healthy child adjustment, prevent problem behavior, and stop the intergenerational cycle of criminal justice involvement. Moving On: A Program for At Risk Women will be implemented in December 2018. This evidence-based curriculum was written by Dr. Marilyn Van Dieten at Orbis Partners, Inc. The program leverages both educational and cognitive skill building approaches to help women at risk of future
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criminal justice involvement find alternatives to criminal activity. The program supports women as they mobilize and build personal strategies, natural supports, and community resources. Family Days are being planned for January 2019. This will involve extended visitation by family members combined with series of seminars about the programs the inmates are participating in. ADOC and Tutwiler will begin an evaluation of the new programming in Spring 2018.
Inmate Education Incoming inmates receive the comprehensive orientation education within 14
days of admission to Tutwiler. The Institutional PREA Compliance Manager maintains comprehensive records of inmate attendance at these orientation sessions. The monitor attended this orientation during her December 2017 compliance visit.
Inmates' Right to Privacy During this reporting period, the monitor received no complaints from inmates of
inappropriate cross gender viewing or searching. Appropriate privacy panels and shower curtains were in use in the shower and bathroom areas in inmate housing units. While touring during the December 2017 compliance visit, the monitor witnessed staff consistently announce the presence of a male officer on the unit when needed.
Inmate Polling The ADOC and Tutwiler established a system to routinely poll inmates regarding
their perceptions of the implementation of the specific terms of the settlement agreement
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including: the prevalence of staff sexual abuse and sexual harassment; inmate vulnerability to sexual abuse and sexual harassment; the investigation and discipline of staff accused of sexual abuse and sexual harassment; the efficacy of inmate education regarding sexual abuse and sexual harassment; privacy in the showers and toilets; the appropriateness of inmate classification; the levels of staff supervision; the efficacy of the reporting systems for sexual abuse and sexual harassment including grievances; and official responses to and retaliation for, allegations of sexual abuse and sexual harassment. As agreed upon by the monitor, the DOJ, and the ADOC, The Moss Group, Inc. initially administered the survey quarterly for the ADOC. The initial inmate polling was conducted in July 2016, the Second Quarter Inmate Polling was held in October 2016, the Third Quarter survey was administered in January 2017, and the Fourth Quarter survey was administered April 26-28, 2017. Overall, the Fourth Quarter polling data reflects improvements when comparing inmate perceptions over the first four quarterly polls. In this poll, a total of 83% of the women agreed that "inmates feel safe from staff sexual harassment", and 87% report "inmates feel safe from staff sexual abuse". These results are encouraging and reflect the important work the ADOC and Tutwiler staff have done. That said, only 36% of women agree that "staff treat inmates with respect". It is important that the Quality Improvement Team remain active in reviewing any incidents, problematic areas in the facility, and any allegations of sexual abuse, sexual harassment or the use of unprofessional language by staff.
ADOC entered into a Memorandum of Understanding (MOU) with Auburn University on August 9, 2017 for the University to provide long term assistance with the administration of this survey. A copy of the MOU was provided to the DOJ and
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the monitor as was the University's draft protocol. Both the DOJ and the monitor reviewed and offered feedback on the protocol the University proposed using. Auburn administered the First Quarter survey of the second year of the poll's administration in November 2017. Going forward, this arrangement will institutionalize the inmate polling survey as a valuable tool for ADOC and Tutwiler in the future. The monitor fully supports this action.
The November survey results have not been compiled or shared with the monitor or the DOJ to date. The monitor is especially interested in the number of women who report feeling safe filing reports, and the women's perceptions of the degree of staff verbal abuse as compared to the results from earlier surveys. The monitor hopes the data reflects a reduction in the report of staff verbal abuse of inmates.
Quality Improvement and Data Collection Quality Improvement monthly meetings began in August 2016 and will continue
indefinitely. Meeting minutes were made available for the monitor's review. The ADOC and Tutwiler developed the Risk Management System (RMS) which
is designed to track facility trends related to: (1) sexual abuse or sexual harassment; (2) unprofessional staff conduct involving inmates, including sexually explicit, vulgar, or degrading language; and (3) use of force incidents.
RMS data are reviewed and aggregated on a quarterly basis by the Warden at Tutwiler and the Deputy Commissioner for Women’s Services. A quarterly review is conducted to assess and improve the effectiveness of its sexual abuse and sexual harassment prevention, detection, and response policies, practices, and training. The
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quarterly reviews allow for: (a) the identification of potential patterns, changes, and problem areas, which includes problems in staffing levels, policies, practices, staff discipline system, and staff and inmate training/education; (b) the identification of staff or supervisors in need of retraining, performance plans and discipline; (c) the development of an array of intervention options to facilitate an effective response to problems; (d) taking corrective action on an ongoing basis; and (e) preparing bi-annual reports of its findings and corrective actions, including a comparison of the findings in previous reports to assess progress. To date, ADOC has provided the monitor and the DOJ two bi-annual reports listing all staff members identified through the RMS and any corrective action taken. On October 23, 2017, the ADOC provided the monitor and the DOJ with a list of all staff members identified through the RMS and the corrective action taken, if any. The report covered the time period from November 27, 2016 to May 26, 2017. RMS documented 20 staff member incidents. Of these twenty staffers, eighteen had been identified by the system as having engaged in using profane, degrading, or insensitive language with inmates. Each incident involving an allegation of the use of profane or abusive language was reviewed, tracked, and corrective action was taken. Two staff members received written reprimands and the others were counseled verbally.
The monitor reviewed the RMS reports and attests that the ADOC and Tutwiler staffs have already demonstrated good use of RMS data and the results of the inmate polling survey. Both instruments document that a small number of Tutwiler staff use abusive and profane language towards the inmate population that undermines efforts to build a gender responsive and trauma informed environment. In the Second, Third and Fourth Compliance Reports, the monitors recognized the need for staff interventions
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regarding the requirements for using professional language while addressing inmates, Warden Wright developed an interim intervention plan to eliminate “the unprofessional staff conduct involving inmates, including sexually explicit, vulgar, degrading, or racially insensitive or offensive language”.
Deputy Commissioner Williams and the monitor have discussed the need for Warden Wright to continue to aggressively investigate these allegations and to hold staff accountable using progressive discipline, increased supervision and re-training.
An analysis of the RMS data provides important insights into cultural and operation issues. For example, during the most recent quarter, there were seven allegations involving staff, and five of these involved allegations of sexual abuse. All seven cases were unfounded. Three of the allegations involved female supervisors and officers, and four of the allegations involved male sergeants. All staff involved in the allegations were African American. Five of the inmates making these false allegations were Caucasian, and the other two inmates were African American. This suggests a pattern of false allegations by Caucasian inmates involving African American staff. This is consistent with many of the grievances received from Caucasian inmates alleging racial bias exhibited by African American staff towards Caucasian inmates. Many inmates report racial tensions between staff and inmates. Both Caucasian and African American inmates alleged that African American staff are less strict with African American inmates. This creates a perception of favoritism that creates tensions along racial lines, especially when, as of February 12, 2018, fifty-two of the fifty-eight officers working at Tutwiler are African American and sixteen of the seventeen sergeants are African Americans. Also, many Caucasian women reported that more verbal abuse was directed
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at them by African American staff than is directed toward African American inmates. During the 2018 training year, all staff at Tutwiler will attend Racial Intelligence
Training and Engagement (RITE). This training will be conducted by the ADOC Training Division, and the model includes emotional intelligence combined with social intelligence designed to unlock an individual’s racial intelligence. This training was recommended by the Florida Department of Law Enforcement as a means of creating more professional officer/inmate relationships. The monitor looks forward to reviewing staff's evaluation of this training.
Data regarding the use of profane or abusive language by staff will be reviewed at upcoming Quality Improvement Meetings and the monitor looks forward to receiving an update from ADOC and Tutwiler's about their continuing efforts to eliminate the use of offensive and abusive language by staff.
Pursuant to the settlement agreement, on an annual basis, ADOC and Tutwiler shall conduct a documented review of the RMS to ensure that it has been effective in identifying concerns regarding policy, training, or the need for discipline. On July 31, 2017, the ADOC and Tutwiler convened a panel to conduct an annual review of the RMS. The first annual review covers data from May 28, 2016 - May 26, 2017. The committee published its comprehensive fifty-two page report on December 27, 2017 and shared their findings with the DOJ and the monitor. Overall, the RMS data reflects positive trends in the majority of areas that are tracked, but a total of 35 staff members were alleged to have used "sexually explicit, vulgar, degrading or racially insensitive or offensive language" towards inmates. Addressing this issue is a top priority for the facility wardens.
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The RMS is just one element of the Tutwiler Quality Improvement process. Tutwiler and ADOC continue to gather relevant data from many sources that are critical to documenting and tracking facility trends relating to: sexual abuse or sexual harassment; unprofessional staff conduct involving inmates, including sexually explicit, vulgar, or degrading language; and use of force incidents. The challenge for the administration is to integrate and analyze all of this data in a timely manner. When an incident takes place at the facility involving any of the behaviors outlined in the Settlement Agreement, there is an immediate investigation/response by facility leadership. The Quality Improvement Group meets monthly and holds additional discussion and conducts analysis of all the incidents occurring over the previous thirty days, including any action plans that were developed. Warden Wright and Deputy Commissioner for Women's Services Williams conduct a quarterly review of the same incidents and RMS data. A bi-annual review is conducted and names of staff identified in the RMS are provided to the DOJ and the Monitor. An annual review is conducted by a the Deputy Commissioner and committee. The automation of the RMS system would support a more timely and robust review of the RMS data and trends.
Sexual Abuse/Sexual Harassment Allegations The monitor met with Mr. Arnaldo Mercado, Director of the ADOC's
Investigation and Intelligence Division (I & I) to discuss and review completed sexual abuse and sexual harassment investigations that occurred during this reporting period. There were fourteen completed staff related PREA investigations during this reporting period. Twelve cases were determined to be unfounded as evidence did not support the
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allegation and two were unsubstantiated. There were no PREA related incidents referred to the District Attorney during this reporting period. Though not required by the settlement agreement, the Monitor did review a Sexual Abuse Review Panel Report for one of the unfounded cases. Also, there were three investigations into allegations of inmate-on-inmate sexual abuse. Two of these cases were unsubstantiated and the third was unfounded. In each case reviewed, the monitor determined the investigations had been conducted in accordance with AR 454 and SOP 8-12, Inmate Sexual Abuse and Sexual Harassment. In inmate focus groups and in individual, informal discussions with the monitor, the inmates expressed their confidence in Investigator Kelley Smith who conducts investigations into allegations of staff-on-inmate sexual abuse and sexual harassment as well as inmate-on-inmate sexual abuse, and the Institutional PREA Compliance Manager, Lt. Young who conducts investigations into inmate-on-inmate sexual harassment allegations.
The monitor reviewed the facility response to allegations and the management of the reporting inmates and alleged perpetrators. When appropriate, an adjustment of inmate housing and job assignments was considered to ensure the safety of all involved. Both staff and inmates were held accountable for their actions. In addition, Lt. Young closely monitors and documents any allegations of retaliation against those who report allegations.
The monitor notes there are multiple, effective means of reporting allegations of inmate sexual abuse and sexual harassment, including a grievance process and at least one confidential method. During this reporting period, a total of 934 grievances were filed. Of these, four women filed emergency grievances that were PREA related. Two
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involved allegations of inmate-on-inmate sexual harassment. One involved an allegation of staff-on-inmate sexual harassment and the other involved an allegation of staff-oninmate sexual abuse of another inmate. The monitor reviewed each of these grievances, completed investigations and findings. ADOC and Tutwiler policy was followed and appropriate action taken, including the referral of the allegation of staff-on inmate sexual abuse to the ADOC Intelligence and Investigations Unit .
The inmates can use a toll free number to call the Alabama Coalition Against Rape (ACAR) for reporting. The agreement between the ACAR and the ADOC is that all calls are confidential, per ACAR policy. The ACAR agreed to suggest/encourage the inmates to use the ADOC and Tutwiler methods of reporting if their call was regarding an allegation of sexual abuse or sexual harassment. There is no requirement for the ACAR to report to the ADOC, so the number of calls for this reporting period is unknown.
Third parties are permitted to assist inmates in filing requests for administrative remedies for allegations of sexual abuse and sexual harassment and are permitted to file such requests on behalf of inmates. If a third party files a grievance on behalf of an inmate and it relates to sexual abuse or sexual harassment, that report will be sent from the Institutional Grievance Officer to the ADOC PREA Director. If the grievance contains allegations of sexual abuse, or staff-on-inmate sexual harassment, the I&I division will investigate the allegations. If the grievance contains allegations of inmateon-inmate sexual harassment, the Institutional PREA Compliance Manager will investigate.
The monitor reviewed the ADOC website link for the public regarding the ability
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to file a PREA report. It provides adequate instruction for the public's reporting use. During this reporting period, there were no third party PREA-related allegations reported via the website.
Inmates have at least one way to report abuse or harassment to a public or private entity or office that is not part of the agency, and that is able to receive and immediately forward inmate reports of sexual abuse and sexual harassment to agency officials. The ADOC entered into an agreement with the Alabama Department of Economic and Community Affairs (ADECA) to take these reports. Inmates may make a report by dialing #66 and this can be done anonymously. The monitor reviewed the call log for the entire reporting period to review the nature of each call and the ADOC's response. A total of 42 calls were made to ADECA's hotline during this reporting period. Many of the complaints made were not related to sexual abuse or sexual harassment. In each instance, the Tutwiler administration followed up on the allegations/complaints and the response was appropriate. The monitor has requested that the form currently in use to track the nature of these calls be expanded to include more information detailing the actions taken by facility management.
During the December 2017 compliance visit, the monitor met with the ADECA Hotline Administrator at the ADOC Central Office to confirm the full implementation of hotline procedures as agreed to with the ADOC.
During the facility tour, the monitor noted that information on how to report sexual abuse or sexual harassment is widely posted within the facility.
Alabama Strengths The monitor believes Alabama has a strong foundation for continued progress in
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reaching all of the goals outlined and compliance terms required in the settlement agreement. That strong foundation is a result of the following organizational strengths.
Leadership from the Alabama Department of Correction The monitor believes Commissioner Dunn continues to provide the agency
leadership for his staff and Tutwiler, directing and supporting successful implementation of the settlement agreement. In particular, ADOC central office leadership has played an important role working with Alabama's Parole Board to reduce the average daily count at Tutwiler by identifying appropriate candidates for release on parole. In addition, Commissioner Dunn is strategically focused on developing the capacity of agency and facility leadership as a means to sustain and advance the progress made to date. Previously, Tutwiler's leadership team had participated in a leadership development program. Tutwiler's former Warden I, Adrienne Givens has been promoted to Warden II at Montgomery's Women's Facility and Tutwiler's former Captain Lagreta McClain has been promoted to Warden I at Tutwiler. The monitor is pleased that Warden McClain will retain her duties and responsibilities as the Settlement Coordinator for this Agreement. Both women have benefited from the Commissioner's focus on developing facility leadership and from Deputy Commissioner Williams' mentorship of them.
In June 2017, the monitor was advised by Associate Commissioner Matt Brand (Training and Development) that a regional training center dedicated for the training of line staff working in the women’s facilities is being created in recognition of the genderspecific training agenda and curricula necessary for staff who work with women inmates. The ADOC is in the final steps of the hiring process to identify the personnel who will staff this facility. It is scheduled to become operational on April 1, 2018.
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The monitor works closely with Deputy Commissioner Williams who oversees the ADOC's Women's Services Division. Dr. Williams communicates regularly with the monitor regarding any developments of note occurring at Tutwiler relevant to the settlement's requirements. The monitor and the DOJ commend Deputy Commissioner Williams for her consistent and thoughtful leadership, actions taken and support given to the warden and staff at Tutwiler. Dr. Williams is the pivotal leader for the ADOC in managing their compliance with this settlement agreement.
In addition to Commissioner Dunn and Deputy Commissioner Williams, ADOC central office staff consistently demonstrated working knowledge of their settlement related responsibilities during their interviews with the monitor.
Tutwiler Leadership The monitor continued to observe outstanding leadership by the facility wardens
and the executive team at Tutwiler during this reporting period. The Institutional PREA Compliance Manager, Lieutenant Young, performed her responsibilities consistently and documented all of her required responsibilities. Feedback from the inmates about Lieutenant Young’s performance was overwhelmingly positive. She has the respect and trust of the inmate population. She has earned a reputation for being professional, holding people accountable and being respectful and responsive to inmates' needs. The monitor was repeatedly told by inmates that Lt. Young follows up on her interactions with them, which the inmates appreciate, even when they don’t receive their desired outcomes. The Tutwiler leadership team's actions are well documented throughout this monitoring report.
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During the monitoring visit, Warden Wright provided an opening presentation to the monitor and announced staff promotions. Warden Wright then led the tour of the facility, participated in both formal and informal discussions with the monitor and demonstrated her leadership at Tutwiler during observed interactions with staff and inmates.
The monitor observed the dedication and commitment of supervisors and line staff at Tutwiler to follow policies to ensure sexual safety, in spite of staffing challenges, such as the number of vacancies.
ADOC Consultants The ADOC and Tutwiler continued to draw on and benefit from consultants'
expertise in several specific areas. Specifically, expert consultants have participated with the ADOC in the development of the gender based classification plan and programming, the staffing analysis, the inmate polling/survey process, data collection, and the gender responsive review of draft policies and the provision of staff training and inmate education.
ADOC Strategic Planning Committee The ADOC Strategic Planning Committee continues to meet once a quarter to
review and guide the ADOC and Tutwiler's efforts for creating sustainability models/practices/tools for their operations, future plans and mission for women offenders in Alabama.
Tutwiler Sexual Safety Culture Staff and inmates report to the monitor a respect for the settlement-related policies
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and practices and are knowledgeable about them. Most importantly, during formal interviews and informal conversations with the monitor, the women say they trust that leadership will act in their behalf if an incident of sexual abuse or sexual harassment occurs.
Alabama Challenges Tutwiler Facility
The monitor continues to note the challenges that the prison's aging infrastructure presents for leadership. Specifically, options for program space, medical and mental health screening and treatment, housing placements, and the day room areas are severely limited by the old design, aging infrastructure and overcrowding. The physical plant also impacts staffing requirements as it has a direct bearing on operations and the location of officer posts. The physical plant is sprawling and some housing and program areas are isolated, and poorly lit, impacting the number of posts and staff needed to support safe and secure operations.
Population Capacity Tutwiler's original design had an operating capacity of 350 and the annex was
rated at 128. The daily count has historically been nearly double the facility's original capacity. Currently, the operational capacity is 700 for the main campus and 250 at the annex. On December 4, 2017 Tutwiler’s total inmate population count was 867. At main Tutwiler, 619 beds were filled. At Tutwiler's annex, 248 beds were filled.
While a population reduction has provided relief for Dorm A, the overall level of
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chronic population overcrowding continues to present challenges. Both the settlement requirement for the development of a gender based classification system and the development and implementation of gender-based programs at Tutwiler will be impacted by the overcrowding issues at Tutwiler. Specifically, plans will require the development of various housing options for separating groups of inmates, via the classification review process, that will be difficult to maintain as bed space must be allocated according to new placement criteria as it is implemented. In addition, the classification system will prescribe a number of program offerings that should be available for the inmates, based on a needs assessment. Currently, the space available for inmate programming is very limited. The staff have been creative and have converted and renovated every space possible to provide additional room for expanded programming. The Tutwiler maintenance team is creative and hard-working.
Staffing Challenges-Overall Vacancies and Recruitment and Retention of Women The monitor notes that the chronic, ongoing number of staff vacancies at Tutwiler
presents a serious concern for leadership, staff and inmates, and could possibly impact impact the safety and security of the facility. In the first court report, the monitor noted a vacancy rate of almost 50% of authorized, funded positions. The recruitment and retention problems that lead to the high vacancy rate have continued. At the end of calendar year 2016, correction officers were at 41.8% staffing level and correctional supervisors were at 89.1% staffing level. In comparison, the non-uniform staff was at 55.8 % staffing level. As of June 30, 2017, correction officers were at 38% staffing level and supervisors were at 95% staffing level. The non-uniform staff was at 55%. As of December 31, 2017 correction officers were at 34% staffing level and supervisors were at
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89% staffing level. To ensure adequate staff to fill key posts, Tutwiler leadership implemented a
mandatory overtime policy at the end of 2016 to address critical vacancies because key posts must be staffed. Tutwiler relies on mandatory overtime to maintain functions. Correction officers, especially single parents, face challenges balancing family obligations with unscheduled, forced overtime demands. This can lead to an increase in staff members "calling out" sick as a means to obtain the needed time off. The reliance on overtime to staff critical functions is not a long term solution to the staffing shortfall.
Previously, the monitors have reported that this mandated overtime policy has caused stress and concern among the officers interviewed by the monitors during compliance visits. This situation continues to be an area of deep concern for staff, and according to staff interviewed during this and prior monitoring visits, it is adversely impacting staff morale. During many of the monitor's interviews, uniformed security staff expressed concern about the impact of staff shortages, overtime and staff scheduling on staff morale.
A decision was made to transition to the 8-hour shifts effective June 3, 2017. ADOC. Tutwiler reports some initial improvement in post coverage since transitioning to 8-hour shifts. It is too early to assess any trends as a result of the change in shifts. The data are being monitored .
The settlement requires the development of a professional staffing analysis (C.2), and for a plan to be presented to the ADOC and Tutwiler. The monitor has already discussed this analysis and draft plan in detail earlier in this report. The consultant's draft report noted the current vacancy rate has a significant impact on the development and
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implementation of a staffing plan. Overall, recruitment and retention of women correction officer trainees remain a
concern. As requested, the monitor was provided with recruitment and retention data compiled as of November 2017. The recruitment and hiring data underscore a systemwide issue with the application of the Alabama Peace Officers' Standards and Training Commission (Commission) physical standards to women candidates. Commissioner Dunn took an important first step in his outreach to the Commission by requesting them to consider a request to modify the administration of the Physical Agility/Ability Test (PAAT) academy training requirements for State Corrections Officer applicants. It was encouraging that the Commission approved the Commissioner’s request to modify the administration of the PAAT which became effective January 2017. The revised Commission rules pushed the last PAAT attempt from the first week of the Academy training to week eight of the program. Because the PAAT had been moved to the end of the Academy, the ADOC discontinued the physical fitness assessments that were conducted on all correctional officer trainees during their pre-Academy assignment. The basic training academy Class 17-01, which began in February 2017, was the first class to enter the academy under the new Commission rules regarding the physical agility/ability requirements. At the time, this change reportedly produced some promising results. The trainees who could not pass the PAAT in week one, including one of the women, all passed the test by week eight and all successfully graduated the Academy in May. This was the first time in recent memory that no one, male or female, was removed from the basic training course for a PAAT failure. Despite, this promising development, during the monitor's December 2017 compliance visit, the DOJ and the monitor were advised that
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APOSTC was reverting back to having the test in the first week. The Commission has agreed to allow ADOC to continue the eight-week administration through 2018. Absent any changes before this, ADOC will have to resume pass/fail PAAT testing during the first week.
The Commission contracted with Auburn University at Montgomery (AUM) for the review of the validation study of their PAAT standards and to assess any disparate impact on women candidates. The Monitor and the DOJ received a copy of Auburn University's assessment from the ADOC on January 2, 2018. The report details several deficiencies in the 18 year old validation study. The Monitor remains unconvinced that there is a direct correlation between PAAT performance and job performance or other current job outcomes for corrections staff. Until such time as the validation of these standards for correction officers and evidence that the standards have been examined for the necessity of gender-norming certain components is addressed, the Monitor determines "partial compliance" with this provision. The Auburn Report suggests an alternative validation approach may be warranted if adverse impact is ever a problem. The researcher argues that when women elect to retest, there is no adverse impact against them because "the pass rate improves when the number of attempts is very high. When given enough attempts it appears that almost every candidate who attempts every test will eventually pass one." Very little, if any, consideration appears to have been given to (a) the differences between police officer and correction officers jobs, (b) the extent to which job duties have changed in the last 18 years, and (c) the extent to which women candidates for correction officer positions engage in repeated retesting.
As the Monitor has opined previously, to the extent the ADOC could have helped
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shape AUM's review, the researchers should have been encouraged to review the physical training standards set for correction officers in other states/jurisdictions and gather information about Academy training standards, broken down by gender, as it relates to bono fide occupational qualifications for correction officers, rather than focusing solely on police officers. To the monitor's knowledge, AUM did not review the physical training standards set for other correction officers in other state jurisdictions.
The monitor discussed these chronic staffing issues with Associate Commissioner Brand, Deputy Commissioner Williams and Director Lawley. Associate Commissioner Matt Brand continues to assess the correctional officer training and hiring processes, in addition to the physical fitness screening processes already discussed. Captain Mark Loman continues in the role of Recruiting Unit Director for the ADOC, working directly for Director of Training, Elliot Sanders. The ADOC recruitment strategies are clearly not gender specific. The monitor continues to urge the ADOC to develop a specific recruitment plan for the recruitment and retention of women and to explore every available method of enhancing hiring and retention of female officers at Tutwiler.
Logistics
Compliance Visit The purpose of this December 2017 compliance visit was for the monitor to
acquire information and observations to inform the fifth court compliance report. The monitor and Deputy Commissioner Williams worked together to finalize the tour agenda and interview schedule.
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Introductory Meeting /Presentation by Warden Wright Warden Wright provided an overview of progress made at the facility to the
monitor and the DOJ at an opening meeting attended by Deputy Commissioner Williams and key members of Warden Wright's management team.
Compliance Visit Interviews Throughout the week, the monitor held individual meetings and had multiple
interactions with the following executive leadership and supervisory staff, including: Alabama Department of Correction • ADOC Commissioner Jefferson Dunn • Dr. Wendy Williams, Deputy Commissioner for Women's Services • Dennis Stamper, Deputy Commissioner Special Projects • Matt Brand, Associate Commissioner for Training and Development • Ruth Naglich, Associate Commissioner for Health Services • Dr. David Tytell, ADOC Chief Psychologist • Dr. Hugh Hood, Regional Medical Director • Ms. Lynn Brown, ADOC Regional Manager • Anne Hill, General Counsel • Mary Coleman-Butler, ADOC Counsel • Arnaldo Mercado, Director of ADOC's Investigations and Intelligence Division (I & I) • Kelley Smith, I&I's Tutwiler investigator
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• Mr. William Lawley, ADOC Personnel Director Tutwiler Prison for Women • Deidra Wright, Warden II • Lagretta McClain, Warden I and Settlement Compliance Manager • Lieutenant Yvette Young, Institutional PREA Compliance Manager • Lieutenant Brian Coleman, Institutional Grievance Coordinator • Jeffrey Burt, Acting Classification Supervisor • Ms. Tenesha Williams, Classification • Sgt. Emily Abbott, Segregation Supervisor • Ms. Tina Tyler, ADA Coordinator/Inmate Grievances • Ms. Felicia Greer, Tutwiler MHM Mental Health Site Administrator • Dr. Robert Hunter, M.D, Medical Director MHM Alabama • Ken Dover, Vice President-Operations, Corizon Health
Community-Based Partners Ms. Wendy Hester, ADECA Hotline Administrator
The monitor also selected line staff members from each shift for individual interviews. These staff members were diverse in race and gender. In general, the monitor asked about their awareness of the PREA reporting structure, investigations, the inmate grievance system and their recent PREA and gender responsive training, occurring this reporting period. All were interested in discussing staffing challenges and workforce morale. These concerns are addressed in the ADOC challenges section of this report.
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The monitor selected inmates, from various housing dorms, for two separate focus groups. The monitor used a set of questions regarding their knowledge of PREA policies, reporting of allegations, the grievance system, staff/inmate professional relationships, and the availability of reporting allegations using various phone lines. The women discussed incidents they observed of unprofessional conduct, their use of the grievance system, impressions of the classification system, and their overall feeling of safety at Tutwiler. Their responses are documented in the monitor discussion in various sections of the compliance report. Four topics were repeatedly raised by several of the women. They complained of a small group of officers using vulgar, degrading, or racially insensitive or offensive language. They also complained about access to medical and dental care and delays in the provision of medical treatment. In the focus groups, the women expressed a great deal of frustration over the lack of consistency in practice between shift officers, especially in the housing units. The women in the focus groups expressed a perception that racism was an issue and that officers treated inmates differently based upon race. The majority of the prison staff is African American and the majority of the inmate population is Caucasian. The women claim that African American inmates get preferential treatment. The monitor recognizes these issues are deeply embedded in culture.
Facility Tours During the tour of the facility during the compliance visit, the monitor noted
improvements to the physical plant. The management team has creatively repurposed or rehabbed every space possible to be used as program space. As programming options for the women expand, leadership will be challenged to maximize the use of available,
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appropriate space. In each housing unit, the monitor noted the prominent posting of notices and
information for inmates, including: a PREA Hotline notice, notice of a victim support line, PREA education materials, principles of gender responsive programming for women, and grievance and appeal forms.
Throughout the tour, ADOC and Tutwiler staff afforded the monitor the time, space and many opportunities to engage in private conversations with both staff and inmates in housing and program units. Staff consistently demonstrated knowledge of sexual safety and their individual roles and responsibilities in this area. Generally, the inmates acknowledged and expressed appreciation for the many positive changes at the facility. Feedback from the long termers, in particular, underscored that many women feel much safer at Tutwiler today.
Appreciating that the institutional climate and culture can be different shift to shift, the monitor and Dr. Williams conducted an unannounced night visit to the facility for the purpose of observing operations during the evening shift when top facility leadership are generally not on site. This visit was conducted on December 6, 2017.
During the December 2017 monitoring visit, the monitor also visited: • the Annex • Dorm A, and had individual discussions with many inmates • various other housing units, including the Mental Health Unit • death row, and had an opportunity to meet with these women and discuss their individual awareness of policies addressing sexual abuse and sexual harassment how to report allegations, and the use of the grievance system
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• the segregation unit and talked with all the inmates housed there • the mental health stabilization unit and spoke with all the inmates housed
there • housing areas and spoke with inmates housed there • the infirmary, clinic area and Assisted Living Unit • shift commander’s office • many administrative offices • program space and • the video operations in the camera room and discussed the operation with
the operator on duty. While work on the youthful offender trailer was completed on October 20, 2016 making it ready for occupancy and providing designated placement for this specialized population, Tutwiler did not receive any youthful offenders during this reporting period, so this unit was again vacant during the monitor’s December 2017 visit.
Document Review In addition to the interviews and discussions with staff and the tours of Tutwiler,
the monitor reviewed a wide variety of documents, correspondence, records and staff reports. These documents are listed in the "Measures of Compliance" box in the audit tool for each section. The monitor reviewed most of these documents prior to her visit, and reviewed some documents on-site during the visit. In addition, the monitor made additional follow-up requests for documents and these were sent to her after the visit. Attachment A to this report lists documents reviewed by the monitor prior to, during,
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and after the compliance visit. The monitor showed various documents to staff during the interviews, for their
authentication and comment. The monitor also reviewed multiple documents maintained by Warden McClain, Lt. Young, and Lt. Coleman while conducting formal interviews with them. The monitor recognizes the time and commitment these individuals expend to maintain the level of detailed documentation required to demonstrate compliance. The ADOC and Tutwiler team continues to maintain impressive records.
The monitor referred to specific documents for each set of requirements in the audit tool report, in the monitors' discussion of ADOC compliance with the section.
Exit Debriefing with ADOC Leadership The monitor and Deputy Commissioner Williams had debriefed each day of the
compliance visit, so Deputy Commissioner Williams and the monitor agreed a formal exit meeting was not needed during this visit, as all major issues had already been identified and discussed.
Monitoring Tool The parties had previously agreed on a "monitoring tool" format for each of the
settlement provisions and their subsections. The front page of each provision in the tool includes both the specific requirements for that section and the dates for the ADOC's compliance. The settlement provides, for most requirements, that the ADOC: create a policy; train staff in that policy; and implement the policy in the regular activities at Tutwiler and the ADOC. Specifically, an approved ADOC policy must first be published for operational practice in a facility. At Tutwiler, the facility will develop a written
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"Standard Operating Procedure" (SOP) to apply the ADOC policy to direct specific operational practices at the prison. The second step is to train all staff subject to the policy and SOP using an approved training curriculum. The third step is to then implement and document compliance with these policies and SOP's in the actual practice of the directives at the facility.
The monitor evaluated each section and its specific requirements through interviews with inmates and ADOC and Tutwiler staff; document review; facility tours; on-site observations (orientation, dorm activities, inmate movement, camera room operations); communication with the parties through calls and emails; and a review of the first, second and third Compliance Reports. The monitor documents her findings for each section in the report’s “Monitor's Discussion” and chooses the rating corresponding to her assessment of the ADOC and Tutwiler's level of compliance. Prior to conducting the very first monitoring visit, initial Monitor Jennie Lancaster had established the "Measures of Compliance" for each provision and identified the documents and interviews to be used to assess compliance. The ADOC submitted the documents prior to the visit, and drafted an interview agenda and touring schedule for the monitoring visit. During the transition of monitoring responsibilities from Ms. Lancaster to Ms. Dennehy in August 2016, Monitor Dennehy committed to using the same process, measures and documents, but reserves the option to revisit and amend these measures to facilitate monitoring going forward.
The monitor completed this report and the monitoring tool through the following actions:
1) Examining the settlement agreement, its provisions, and the specific
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requirements listed in the monitoring tool. 2) Requesting and examining specific documents to identify and assess the
extent of the ADOC and Tutwiler actions in response to the agreement requirements. Examples include: ADOC policies and Tutwiler standard operating procedures; training curricula; staff rosters for training; staff reports and spreadsheets to document actions; inmate grievances; investigations; and meeting minutes. 3) Selecting specific ADOC and Tutwiler staff for compliance interviews based on the individual’s overall and direct responsibilities for settlement implementation. 4) Conducting interviews with selected line staff to obtain feedback and perspective on Tutwiler activities and practices related to the settlement terms and requirements. 5) Conducting focus groups and individual interviews with selected inmates to obtain feedback and perspective on Tutwiler activities and practices related to the settlement terms and requirements. 6) Engaging in spontaneous, private conversations with both staff and inmates in housing and program areas during monitoring visits. 7) Reviewing letters submitted confidentially to the monitor from inmates and conducting interviews with five inmates to follow-up on issues raised in their correspondence received by the monitor. 8) Using routine communication with the parties, prior to, during, and after the visit to ask for more information or clarification regarding the settlement, its
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terms and requirements and determinations of compliance. 9) The monitor sent the first draft report to both parties on January 24, 2018.
The agreement allows for a two-week period of review by both parties. The monitor received comments from the DOJ and the ADOC and reviewed the comments of both parties, in each section, and took them into consideration in her final revisions to the report. 10) The monitor will submit the completed set of audit tool report, the narrative summary and attachments, to the court by February 28, 2018.
Summary of Compliance
"Compliance" is discussed throughout the agreement and this report in the following terms: substantial compliance, partial compliance, and non-compliance. "Substantial Compliance" indicates that the ADOC and Tutwiler have achieved material compliance with most or all components of the relevant provision of the settlement agreement. "Partial Compliance" indicates that the ADOC and Tutwiler have achieved material compliance on some of the components of the relevant provision of the settlement agreement, but significant work remains. "Noncompliance" indicates that the ADOC and Tutwiler have not met most or all of the components of the relevant provision of the settlement agreement. "Material Compliance" requires that, for each provision, the ADOC and Tutwiler have developed and implemented a policy incorporating the requirement, trained relevant personnel on the policy, and relevant personnel are complying with the requirement in actual practice.
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Closing Observations
The monitor appreciates the high level of cooperation she continues to receive from all parties during the monitor compliance visit. The monitor also appreciates the level of cooperation and responsiveness of the ADOC and Tutwiler staff during this entire reporting period. The monitor made requests for documents or information and they were always processed in a thorough and timely manner.
The monitor sees continued progress by the ADOC and Tutwiler and is impressed by leadership's commitment to fully implement the settlement and evidence-based gender specific practices at Tutwiler. Leadership also demonstrates a commitment to quality improvement. The monitor recognizes the time and commitment needed to maintain the level of detailed documentation required to demonstrate compliance. The ADOC and Tutwiler team continues to maintain impressive records. More importantly, leadership is using this information and data to monitor and improve practice and create a culture at Tutwiler that reflects awareness of policies designed to address sexual abuse and sexual harassment, with the inmates respecting the accountability practices demonstrated by the leadership and staff, in general.
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Attachment A: List of Documents Used for Compliance Report
Monitor's note: the monitor also reviewed some documents, not listed below, that were received/reviewed for the compilation of the previous compliance reports.
• Inmate Survey and Polling Plan • First Quarter Inmate Survey Results • Second Quarter Inmate Survey Results • Third Quarter Inmate Survey Results • Fourth Quarter Inmate Survey Results • Auburn University's MOU with ADOC • Auburn University's Polling Proposal (draft) • Tutwiler PREA Incident Review Committee reports, July-December 2017 • Tutwiler Risk Management System spreadsheet, July-December 2017 • Risk Management System Summary • Quarterly Risk Management System Data Review • Spreadsheet of Staff Identified in Risk Management System -Corrective Action
Taken • Annual assessment of the Risk Management System, December 2017 • Log of unannounced rounds by supervisors • Monthly Grievances, July-December 2017 -randomly selected • All PREA-related inmate grievances, July-December 2018 • Tutwiler spreadsheets documenting inmate disciplinary infractions, July-
December, 2017 • Gender Responsive Classification Policy • ADOC Women's Services Classification Instruction Manual (draft) • Tutwiler PREA risk factors checklists • Tutwiler PREA risk re-assessments checklists (30-day reassessment) • Tutwiler ADOC mental health referrals to MHM for PREA assessments • Tutwiler mental health treatment notes for initial PREA assessments • Spreadsheets/logs for the classification checklists • Update on progress of the pilot administration of the WRNA and any data collected. • WRNA Validation Committee’s agenda, notes, and PPT • WRNA Validation Project Proposal • Dorm A inmate movement sheets • Dorm A Receiving Log • Dorm A quarterly workgroup meeting minutes • Dorm Representatives Meeting Minutes • Tutwiler Bed Count Roster for December 3-8, 2017 • ADOC's Classification PREA risk referral log • Corizon new employee orientation Manual • Corizon new Staff Orientation "On-boarding" training curriculum and manual
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• Corizon staff training records, including post tests for oldest and newest employees.
• MHM PREA policy • MHM staff training records • MHM's CQI Management Occurrence Report • MHM's evaluations of sexual abuse allegations. • MHM's staff meeting minutes • MHM's PREA sexual assault allegations log • MHM's PREA inmate evaluation log • MHM's inmate grievance log, July-December 2017 • Tutwiler ADOC and MHM mental health staff meetings minutes -July-December
2017 • Tutwiler Classification PREA Risk Referral Log • Draft Administrative Regulation 637-Gender Dysphoria Disorder • Minutes to Gender Identify Committee Review Meeting • Completed and published PREA audit, May 2016 • Communications log maintained by Lt. Young, regarding calls, emails, etc. with
ADOC PREA Coordinator Vincent • ADOC PREA Coordinator Vincent's communication log • Bi-monthly PREA reports from Lt. Young to ADOC PREA Coordinator Vincent • PREA #66 hotline calls log, maintained by Lt. Young, July-December 2017 • Monthly spreadsheet of calls made to ADECA • Notification to inmate population regarding availability of hotline • Copies of Random Inmate Interviews conducted by Lt. Young to monitor
reporting culture for July-December 2017 • Training rosters maintained by Lt. Young for July-December 2017 • PREA training documentation for the private transport security staff • Training documentation for Tutwiler staff, contractors, volunteers, overtime staff
in SOPs • PREA & Gender Responsive Refresher Training Facilitator Guide • Randomly selected training evaluations from Tutwiler staff attending the required
PREA (SOP 8-12) and gender responsive training • Log of Pregnant Inmate Intake maintained by Institutional PREA Compliance
Manager • Pregnant Inmate Intakes Statements maintained by Institutional PREA
Compliance Manager • Tutwiler "inmate on inmate harassment" allegation investigations, completed by
Lt Young, July-December 2017 • Tutwiler inmate education session attendance logs July-December 2017 • Final Inmate Orientation Guide • Certification of completion of inmate education on the new Women's Services
Classification Manual • Engaging Women in Trauma-informed Peer Support: A Guidebook • Copies of Gender Responsive Women's Programs Work Group agenda, notes and
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PowerPoint presentation • Women's Services Handbook (draft) • Tutwiler camera room surveillance logs, July-December 2017 • Tutwiler annual assessment of the camera operations - November 2017 • Tutwiler Gender Responsive Staffing Analysis and plan • Tutwiler staffing updates for July-December 2017 • ADOC Recruitment and Retention data, July-December 2017 • Auburn University's study of Physical Agility Ability Testing (PAAT) ,conducted
for the Alabama Peace Officers' Standards and Training Commission, December 2017 • Tutwiler staff discipline: July-December 2017 • Abusive and Profane Language Intervention Plan • Tutwiler shift duty rosters (noting overtime staff) • Tutwiler list of currently approved overtime employees • Periodic Staff Overtime Reports • Social Service Caseworker lateral transfer announcement approving the filling of positions • Randomly selected Tutwiler shift dorm assignment logs • Correctional Officer Trainee, "Physical Fitness training "assessments/ reports, July-December 2017 • ADOC reports for the staff physical fitness exams results, from the academy, for July-December 2017 , broken down by gender • Inmate correspondence received by the monitor in the reporting period • PREA-related investigations, completed by ADOC I+I, from July-December 2017 • SOP 8-30, Behavior Intervention and Inmate Discipline (draft) • Implementation plan for SOP 8-30 Behavior Intervention and Inmate Discipline • Curriculum for the specialized "investigator " training
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Attachment B: List of Tutwiler’s Standard Operating Procedures (SOPs)
This is a listing of all of the ADOC and Tutwiler policies provided to the monitors to date. During the previous reporting period, the initial monitor received and reviewed 63 new and revised SOP's for Tutwiler. The monitor reviewed the drafts, provided comments on each to ADOC and received the final ADOC published copies.

SOP 1-1 4-1 4-2 4-3 4-4 4-5 5-00 5-01 5-02 5-03 5-04 5-05 5-06 5-07 5-08 5-09 5-10 5-11 5-12 5-14 5-18 5-20 5-21 5-22 5-23 6-2 6-4 6-6 6-9 6-11 6-12 7-3

TITLE Mission Warden III Assistant Wardens, Warden II & Warden I Correctional Captains Lieutenants & Sergeants - Shift Supervisors Correctional Officers & Trainees Dormitory Security SOP Dormitory A Post Order Dormitory B Post Order Dormitory C Post Order Dormitory D Post Order (Health Care Unit) Dormitory F Post Order Dormitory G & J Post Order (South Hall II) Dormitory I Post Order (South Hall III Dormitory K&M Post Order (Death Row) (South Hall I) Dormitory L Post Order (Segregation Unit) Dormitory H Post Order (Mental Health Unit) Dormitory N / O Post Order (Annex) Annex Back Gate Post Order Tutwiler Back Gate Post Order Sewing Factory Post Order Trade School Security Post Order Kitchen Officer and Chief Steward Post Order Laundry Post Order Gender Specific Posts Referrals to Mental Health Services Reception Mental Health Screening Crisis Intervention Mental Health Observation and Suicide Watch Procedures Closed Residential Treatment Unit (CRTU) Mental Health Unit Dormitory H Stabilization Institutional Security, Sanitation, & Safety Inspections

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SOP 7-7 7-8 7-9 7-10 7-12 7-14 7-17 7-19 7-20 7-29 8-1 8-3 8-5 8-12 8-13 8-14 8-17 8-18 8-19 8-22 8-23 8-24 8-27 8-28 8-29 8-30 8-31 9-5 9-6 9-7 9-9 9-16 11-1

TITLE Searches Use of Force Inmate Count Procedures Emergency Medical Treatment Evacuation of Inmates in Specialized Housing Inmate Pregnancy Security Threat Groups Inmate Visitation Privileges Aid to Inmate Mothers Visitation Criteria Employee / Inmate Relationships Reception and Orientation: Receiving Rules Inmate Transports Controlled Movement Inmate Sexual Abuse and Sexual Harassment Inmate Control Systems (ICS) Inmate Personal Property Tutwiler Inmate Photographs Inmate Drug Screening Youthful Inmates Inmate Grievance Procedures Administrative Segregation Disciplinary Segregation-draft Hygiene Item Issuance Death Row Unit-M LGBTI Inmate Population Behavior Intervention and Inmate Discipline Hair Grooming Overtime / Mandatory Overtime Work Staffing Plan Private Transportation Security Agents Employee Standards of Conduct & Discipline Institutional PREA Compliance Manager Data Collection and Quality Improvement

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Attachment C: Summary of Compliance
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Requirement CSoubmsptliaantnicale CoPmaprltiiaalnce ComNpolina-nce
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Description

III.A. GENERAL POLICIES AND PROCEDURES
ADOC and Tutwiler shall comply with all provisions of PREA.

ADOC and Tutwiler shall continue to comply with the ADOC’s written policies and procedures mandating zero tolerance

A.1

toward all forms of sexual abuse and sexual harassment.

x

This agreement takes precedence over any ADOC and/or Tutwiler policy governing the operation of Tutwiler that may conflict

with this agreement.

Shall develop; submit to the Monitor and DOJ for review consistent with III.A.6; and Implement policies and procedures

A.2

regarding the management of lesbian, gay, bisexual, transgender, intersex, and gender nonconforming inmates. The policy shall emphasize the rights of lesbian, gay, bisexual, transgender, intersex, gender nonconforming and gender dysphoric

x

inmates to a safe, non-discriminatory and respectful environment.

Continue to comply with ensuring women receive essential supplies, including hygiene and feminine hygiene products,

A.3

tampons and pads; linens; and uniforms by making them available on a monthly basis or more frequently as needed. The policy will continue to require the tracking and distribution of these products. ADOC and Tutwiler will continue to ensure that

x

both tampons and sanitary pads are readily available, free of charge, to Tutwiler inmates.

A.4

Shall develop and implement policies and procedures that incorporate gender-responsive strategies, including policies and procedures governing the use of force against women inmates and discipline of women inmates

x

Shall continue to develop, submit to the Monitor and DOJ for review consistent with III.A.6, and implement facility-specific

A.5

policies and operational practices specific to Tutwiler’s population regarding the supervision and monitoring necessary to

x

prevent inmates from being exposed to unreasonable risk of harm from sexual abuse and harassment.

III.B. CAMERA MANAGEMENT

B.1

Camera management policies and procedures will remain in effect at Tutwiler

x

B.2

Camera management policies and procedures, including the locations where cameras have been placed, will be reviewed at least annually to ensure they are serving their goal of maximum supervision.

x

III.C. STAFFING

C.1(i)

ADOC and Tutwiler shall continue to develop, submit to the monitor and DOJ to assess for compliance with this agreement and implement its plan to recruit women correctional officers at Tutwiler

x

C.2

In order to address low staffing levels and the need for more women officers, ADOC and Tutwiler shall ensure that correctional staffing and supervision is sufficient to adequately supervise inmates and staff and allow for the safe operation of Tutwiler.

x

III.D. TRAINING

D.1

ADOC and Tutwiler shall train all staff who may have contact with inmates with the following:

x

D.2

Within six months of the Effective Date, all staff shall have received training as set out in Section III.D.1

x

D.3

ADOC and Tutwiler shall provide annual refresher training to all staff

x

D.4

The Monitor will work with ADOC and Tutwiler in drafting new training materials and/or revising current training materials set out in III.D.1 and III.D.3

x

D.5

ADOC shall certify and document to Tutwiler’s PREA Compliance Manager, the Department-wide PREA Coordinator, the Monitor, and DOJ, that all staff have been trained

x

III.E INMATE EDUCATION

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Description

(Inmate Education: Intake)

1. ADOD and Tutwiler shall ensure that, during the intake process, all inmates receive information regarding the following

(listed below):

3. Current Tutwiler inmates will receive the information and education described in III.E.1 within three months of the Effective

E.1,3,6,7

Date (by August 28, 2015). 6. Consistent with current policy, ADOC and Tutwiler shall ensure that the information outlined in III.E.1 is conveyed and made

x

available in formats accessible to all inmates, including those who are limited English proficient, deaf, visually impaired, or

otherwise disabled as well as to inmates who have limited reading skills.

7. ADOC and Tutwiler shall provide the Monitor and DOJ for their review consistent with Section III.A.6 any materials or

curriculum utilized to satisfy the requirements of III.E.1

(Inmate Education: Comprehensive)

2. Within 14 days of intake, ADOC and Tutwiler shall provide comprehensive orientation education to inmates either

conducted in-person or through a video presented by an in-person facilitator regarding their rights to be free from sexual

abuse and sexual harassment and to be free from retaliation for reporting such incidents, and regarding their policies and

procedures for responding to such incidents.

3. Current Tutwiler inmates will receive the information and education described in III.E.2 within three months of the Effective

Date (by August 28, 2015).

4. ADOC and Tutwiler shall ensure that the individual conducting or facilitating the comprehensive inmate educational

orientation is trained on Tutwiler’s and ADOC’s policies and procedures related to sexual abuse and sexual harassment, the

E.

PREA standards, and this Agreement.

2,3,4,5,6,7,8

5. The individual conducting or facilitating the comprehensive inmate orientation education shall remain in the room during the entire orientation and shall monitor the inmates for reactions to and understanding of the information. A mental health

x

practitioner will serve as an advisor to the orientation process and services will be available during the orientation process if

indicated.

6. Consistent with current policy, ADOC and Tutwiler shall ensure that the information outlined in III.E.2 is conveyed and made

available in formats accessible to all inmates, including those who are limited English proficient, deaf, visually impaired, or

otherwise disabled as well as to inmates who have limited reading skills.

7. ADOC and Tutwiler shall provide the Monitor and DOJ for their review consistent with Section III.A.6 any materials or

curriculum utilized to satisfy the requirements of III.E.1

8. ADOC and Tutwiler shall maintain documentation of inmate participation in the education sessions required by III.E.2.

III.F. GENDER-RESPONSIVE CLASSIFICATION

Within two months of the Effective Date, ADOC and Tutwiler shall convene a working group to evaluate methods to decrease

F.1

or eliminate Tutwiler’s use of Dorm A for a period of time that exceeds 48 hours while screenings are completed, including an examination of the necessity of PAP test and/or other medical, mental health, or intellectual test results prior to classification

x

and failures to provide adequate continuity in medical and mental health care to Dorm A residents

F.2

Within six months of convening of the working group, ADOC and Tutwiler shall retain an expert in gender responsive assessment and classification.

x

3. The approved plan for implementation of the classification system shall be managed by an implementation workgroup and

completed within two years of the approval of plan

F.3,4

4. The system shall provide programs that incorporate gender responsive principles and address the needs of women inmates at Tutwiler, including those addressing sexual abuse, sexual harassment, and trauma; domestic violence; dating violence; and

medical and mental health care.

III.G RISK ASSESSMENT

G.1

ADOC and Tutwiler shall continue to utilize a risk assessment instrument to screen for risk of victimization and abusiveness

x

x
(not due until 3/28/2019)

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Description

G.2,3

2. Inmates at high risk for sexual victimization shall not be placed in involuntary segregation housing due to their high risk of victimization unless an assessment of all available alternatives has been made, and a determination has been made that there is no available alternative means of separation from likely abusers. Such an assessment and determination shall be documented, explain the basis for Tutwiler’s concern for the inmate’s safety and the reason why no alternative means of
separation can be arranged. A review of such determination must be afforded each inmate at least every 30 days to determine x
whether there is a continuing need for separation from the general population.

3. Inmates placed in segregated housing Due to potential victimization shall, to the extent possible, have full access to programs, privileges, education, and work opportunities as inmates in general population housing.

III.H. INMATES’ RIGHT TO PRIVACY

H.1

Cross-Gender Searches : ADOC and Tutwiler shall continue to comply with its policy regarding cross-gender pat and strip searches

x

2.i Cross- Gender Viewing: ADOC and Tutwiler shall develop, submit to the Monitor and DOJ for review consistent with Section A.III.6, and implement policies and procedures that enable inmates to perform bodily functions – such as showering,

bathing, and using the toilet – and change clothing without nonmedical staff of the opposite gender viewing their breasts,

buttocks, or genitalia, except in exigent circumstances of when such viewing is incidental to routine cell checks

H.2

x

2.ii ADOC and Tutwiler shall develop, submit to the Monitor and DOJ for review consistent with Section III.A., and implement

policies and procedures regarding the method of conducting inmate counts. This policy and procedure shall limit inmate

movement during inmate counts and shall prohibit the practice of conducting inmate counts while inmates are likely to be in

the shower and toilet areas

H.3

ADOC and Tutwiler shall continue to implement its plan to address the architectural features that contribute to a lack of privacy for inmates while showering or using the toilet

x

III.I REPORTING ALLEGATIONS OF SEXUAL ABUSE AND SEXUAL HARASSMENT

ADOC and Tutwiler shall continue to comply with its policy on reporting allegations of sexual abuse and sexual harassment.

Any modification of that policy shall be submitted to DOJ and the Monitor for review consistent with Section III.A.6. ADOC

I.1

and Tutwiler shall provide multiple internal methods, including a grievance process and at least one confidential method, for

x

inmates to report sexual abuse and sexual harassment, retaliation by other inmates or staff for reporting sexual abuse and

sexual harassment, and staff neglect or violation of responsibilities that may have contributed to such incidents.

I.2,3

2. ADOC and Tutwiler shall also provide at least one way for inmates to report abuse or harassment to a public or private

entity or office that is not part of the agency, and that is able to receive and immediately forward inmate reports of sexual

abuse and sexual harassment to agency officials, allowing the inmate to remain anonymous upon request. The method provided should be through a toll-free number or other method as agreed to by the Monitor and DOJ.

x

I.4,5

3. ADOC and Tutwiler shall provide a method for staff to confidentially report sexual abuse and sexual harassment of inmates

4. Third parties shall be permitted to assist inmates in filing requests for administrative remedies relating to allegations of sexual abuse and sexual harassment, and shall also be permitted to file such requests on behalf of inmates

5. All third party reports of sexual abuse and sexual harassment shall be forwarded immediately to the Departmental PREA

x

Coordinator and be investigated and processed in accordance with Policy. As part of this process, the Departmental PREA

Coordinator will inform Tutwiler’s PREA Compliance Manager of all third party reports received.

Requirement CSoubmsptliaantnicale CoPmaprltiiaalnce ComNpolina-nce
N/A

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Description

I.6, 6.viii

6. Grievances: ADOC and Tutwiler shall continue to develop and submit policies and procedures for an inmate Grievance System to the Monitor and DOJ for review within three months of the effective date and, within four months of the effective date, implement the inmate Grievance System. This policy shall clearly prohibit retaliatory practices by staff against inmates who file a grievance and should include the requirements listed in III.I.6.ii-ix
x
6.viii ADOC and Tutwiler shall develop, submit to the Monitor and DOJ for review consistent with Section III.A.6, and implement policies and procedures for the filing of an emergency grievance where an inmate is subject to a substantial risk of imminent sexual or physical abuse

I.7,8,9 I.10.i

7.ADOC and Tutwiler shall require all employees to report immediately: Any knowledge, suspicion, or information regarding an incident or alleged incident of sexual abuse or sexual harassment that occurred in Tutwiler, in transport vehicles, or in any off-site facilities under the control and supervision of ADOC or Tutwiler; Retaliation against inmates or staff who reported such an incident; and any staff neglect or violation of responsibilities that may have contributed to an incident or retaliation.

8.Apart from reporting to designated supervisors or officials, staff shall not reveal any information related to a sexual abuse or

x

sexual harassment report to anyone other than to the extent necessary to make treatment, investigation, and other security

and management decisions.

9.ADOC and Tutwiler shall report all allegations of sexual abuse and sexual harassment, including third party reports, anonymous reports, and inmate grievances, to Tutwiler’s or ADOC’s designated investigator

Protecting Inmates and Staff from Retaliation:

i.Consistent with ADOC policies, ADOC and Tutwiler shall protect all inmates and staff who report allegations of sexual abuse

or sexual harassment or cooperate with sexual abuse or sexual harassment investigations from retaliation by other inmates or staff, and shall designate Tutwiler’s PREA Compliance Manager with monitoring allegations of retaliation concerning inmates.

x

Allegations of retaliation against employees will be investigated and processed in accordance with ADOC personnel policy.

III.J. OFFICIAL RESPONSE TO AN ALLEGATION OF SEXUAL ABUSE AND SEXUAL HARASSMENT

J.1

When ADOC or Tutwiler learns that an inmate may be subject to a substantial risk of imminent sexual abuse, ADOC or Tutwiler shall take immediate action to protect the inmate.

x

ADOC and Tutwiler shall continue to comply with Policy and Tutwiler Standard Operating Procedures to coordinate actions

J.2

taken in response to an allegation of sexual abuse, among first staff responders, medical and mental health practitioners, investigators, and Tutwiler leadership, including time frames and lists of whom staff should report to in specific situations and

x

guidelines regarding the collection of physical evidence.

3.ADOC and Tutwiler shall respond to reports of sexual abuse and sexual harassment or threats of sexual abuse or sexual

harassment without regard to an inmate’s known or perceived sexual orientation or gender identity.

J.3,6

6.ADOC and Tutwiler shall not place in protective custody an inmate who is alleged to have suffered sexual abuse or sexual harassment solely for the purpose of protecting that inmate, unless a determination, documented in writing and reviewed by

x

the PREA Compliance Manager or the Warden’s designee within 24 hours, has been made that there is no available

alternative means of separation from likely abusers.

Requirement CSoubmsptliaantnicale CoPmaprltiiaalnce ComNpolina-nce
N/A

Case 2:15-cv-00368-MHT-TFM Document 28-2 Filed 02/27/18 Page 61 of 63 - 61 -

Description

J.4,5

4.The written institutional plan shall include procedures that address how staff respond upon learning of an allegation that an inmate was sexually abused; described below

5. If the first staff responder is not a security staff member, the responder shall be required to request the alleged victim not

x

take any actions that could destroy physical evidence, and then notify security staff.

To the extent they do not already exist, ADOC and Tutwiler shall develop, submit to the Monitor and DOJ for review consistent

J.7

with Section III.A.6., and implement policies and procedures to provide access to medical and mental health services to women identified as potential or actual victims of sexual abuse and sexual harassment, that occurred either at Tutwiler or

x

elsewhere, including the following:

III.K REFERRALS AND INVESTIGATIONS

1.ADOC investigators shall continue to investigate allegations of sexual abuse or sexual harassment consistent with their

authority as criminal investigators and consistent with Policy and Alabama law. Completed investigations of sexual abuse and

sexual harassment will be referred to local prosecutors as appropriate.

K.1,2

2. When ADOC conducts its own investigations into allegations of sexual abuse or sexual harassment, it shall do so promptly, thoroughly, and objectively for all allegations, including third party and anonymous reports. Administrative investigations shall

x

be completed regardless of the results of any criminal investigations and regardless of the subject’s continued employment by

ADOC

ADOC and Tutwiler shall develop, submit to the Monitor and DOJ for review consistent with Section III.A.6., and implement

K.4

guidelines for the immediate initiation of an investigation and/or review upon learning of an allegation of sexual abuse or sexual harassment and develop a process for monitoring those guidelines. The guidelines shall also ensure that

x

investigations that include any allegations of sexual abuse or sexual harassment are properly labeled as such.

Requirement CSoubmsptliaantnicale CoPmaprltiiaalnce ComNpolina-nce
N/A

Case 2:15-cv-00368-MHT-TFM Document 28-2 Filed 02/27/18 Page 62 of 63 - 62 -

Description

Investigators

3.The use of pre-hearing segregation shall be limited to inmates whose continuing behavior is a threat to facility safety, or who

will not stop the prohibited behavior. Such pre-hearing segregation shall not be used for more than 72 hours, at which time an

inmate must be afforded a disciplinary hearing, or provided a written explanation of why the hearing is postponed and when

the hearing will be re-scheduled.

5.Where sexual abuse or sexual harassment is alleged, ADOC shall use investigators who have received special training in

institutional sexual abuse and sexual harassment investigation. Specialized training shall include techniques for interviewing

sexual abuse victims, proper use of Miranda and Garrity warnings, sexual abuse evidence collection in confinement settings,

and the criteria and evidence required to substantiate a case for administrative action or prosecution referral. ADOC shall

maintain documentation that agency investigators have completed the required specialized training in conducting sexual

abuse investigations. The Department-wide PREA Coordinator and Tutwiler's PREA Compliance Manager shall not serve as

investigators for sexual abuse investigations.

7.The credibility of an alleged victim, suspect, or witness shall be assessed on an individual basis and shall not be determined

K.3,5,7,8,9,10

by the person’s status examinations or other

as inmate or staff. ADOC or Tutwiler are prohibited from offering or administering polygraph truth-telling devices to an inmate who alleges sexual abuse or sexual harassment.

x

8.ADOC shall issue a written investigative report within 30 days after the conclusion of a sexual abuse or sexual harassment

investigation that indicates whether the allegation is substantiated, unsubstantiated, or unfounded. The investigator may

request in writing, approved by the facility designee, an extension for cause that identifies the remaining actions necessary to

complete the investigation. In no case shall the investigation be unfounded solely Due to the expiration of the 30 days. The

investigative report shall include an effort to determine whether staff actions or failures to act contributed to the abuse, a

description of the physical and testimonial evidence, the reasoning behind credibility assessments, and investigative facts and

findings.

9.ADOC shall work with the Monitor on ensuring that an investigative summary sheet that provides an overview of the current

status of an investigation is included. The summary information should include, among other things, basic information such

as staff name(s), prisoner names(s), location of incident, and the time of day.

10.The departure of the alleged perpetrator or victim from the employment or control of ADOC or Tutwiler shall not provide a

basis for terminating an investigation.

Outside Investigations; Inmate Notification

11.When outside agencies investigate alleged incidents of sexual abuse, ADOC and Tutwiler shall cooperate with outside

investigators and shall endeavor to remain informed, to the extent appropriate, about the progress of the investigation.

12.Following an investigation into an inmate’s allegation that she suffered sexual abuse or sexual harassment in any ADOC

facility or while within the physical custody and control of the ADOC, ADOC and Tutwiler shall inform the inmate as to whether

K.11,12,13, 14, 15

the allegation has been determined to be substantiated, unsubstantiated, or unfounded. 13.If ADOC or Tutwiler did not conduct the investigation, it shall request the relevant information from the investigative agency

x

in order to inform the inmate.

14.Following an inmate’s allegation that a staff member has committed sexual abuse or sexual harassment against the

inmate, ADOC and Tutwiler shall subsequently inform the inmate whenever: (see below)

15.All such notifications or attempted notifications shall be documented.

K.16,17

Investigations Review

16.A review team, including upper-level management officials at Tutwiler, with input from line supervisors, investigators, and

medical and mental health practitioners, shall conduct an incident review within 30 days of the conclusion of every

investigation of substantiated and unsubstantiated allegations of sexual abuse or staff-on-inmate sexual harassment. The

x

review team shall: (see below)

17.ADOC and Tutwiler shall implement the recommendations for improvement or shall document its reasons for not doing so.

Requirement CSoubmsptliaantnicale CoPmaprltiiaalnce ComNpolina-nce
N/A

Case 2:15-cv-00368-MHT-TFM Document 28-2 Filed 02/27/18 Page 63 of 63 - 63 -

Description

K.18

.Within 60 days of the Effective Date, ADOC and Tutwiler shall review all pending investigations alleging sexual abuse and

sexual harassment to determine whether the investigation was conducted according to the requirements of Section III. K. of

this Agreement.

Within 120 days of the Effective Date, ADOC and Tutwiler will conduct a similar review of all unfounded allegations of sexual

x

assault and sexual harassment for the past 360 days to determine whether the investigation was conducted according to the

requirements of Section III. K. of this Agreement.

III.L STAFF DISCIPLINARY ACTIONS

ADOC and Tutwiler shall develop, submit to the Monitor and DOJ for review consistent with Section III.A.6., and implement

L.1

policies and procedures that track staff disciplinary actions related to allegations of sexual abuse or sexual harassment, to

x

ensure that the directives in III.L.2-III.L.6 below are met.

III.M Limited English Proficient (LEP) Inmates

ADOC and Tutwiler shall work with the Monitor to develop and implement a policy providing for a method of interpretation

M

services for LEP inmates. This method may be through a language telephone line, if necessary. ADOC and Tutwiler shall not x

rely on other inmates or non-certified employees to translate and/or interpret for LEP inmates.

IV. Quality Improvement and Data Collection

A. Within one year of the Effective Date, ADOC and Tutwiler shall develop and submit to the Monitor and DOJ for review

consistent with Section III.A.6., and implement, written quality improvement policies and procedures adequate to identify and

address any deficiencies in ADOC and Tutwiler’s prevention, detection and response to sexual abuse and sexual harassment

at Tutwiler and to assess and ensure compliance with the terms of this Agreement.

B. Within three months of the Effective Date, ADOC shall convene a state-wide working group to evaluate how other state and

ADOC entities may contribute to Tutwiler’s compliance with this Agreement.

C. ADOC and Tutwiler shall establish a system wherein they routinely poll inmates regarding their perceptions of the

implementation of the specific terms of this Agreement including the prevalence of staff sexual abuse and sexual harassment,

M

inmate vulnerability to sexual abuse and sexual harassment, the investigation and discipline of staff accused of sexual abuse

x

and sexual harassment, the efficacy of inmate education regarding sexual abuse and sexual harassment, privacy in the

showers and toilets, the appropriateness of inmate classification, the levels of staff supervision, the efficacy of the reporting

systems for sexual abuse and sexual harassment including grievances, and official responses to, and retaliation for,

allegations of sexual abuse and sexual harassment.

D. ADOC and Tutwiler shall develop, implement, and maintain, in consultation with the Monitor, a Risk Management System

(“RMS”) that will document and track facility trends related to: (1) sexual abuse or sexual harassment; (2) unprofessional staff

conduct involving inmates, including sexually explicit, vulgar, or degrading language; and (3) use of force incidents.

 </s> Case 2:15-cv-00368-MHT-TFM Document 29-2 Filed 08/23/18 Page 1 of 71
IN THE UNITED STATES DISTRICT COURT FOR THE MIDDLE DISTRICT OF ALABAMA, NORTHERN DIVISION

UNITED STATES OF AMERICA,

)

)

PLAINTIFF,

)

)

v.

)

)

THE STATE OF ALABAMA AND THE )

ALABAMA DEPARTMENT OF

)

CORRECTIONS,

)

)

DEFENDANTS

)

Civil No. 02:15cv368-MHT

Monitor’s Sixth Compliance Report

Case 2:15-cv-00368-MHT-TFM Document 29-2 Filed 08/23/18 Page 2 of 71
Table of Contents Introduction ........................................................................................................................... 3
Specific Actions to Evaluate Compliance ........................................................................ 3 Executive Summary............................................................................................................... 7
Intent of the Report ........................................................................................................... 7 Alabama Department of Corrections: Progress, Strengths and Challenges ................ 7
Progress ............................................................................................................................ 7 Alabama Strengths ......................................................................................................... 35 Alabama Challenges....................................................................................................... 42 Logistics ................................................................................................................................ 48 Compliance Visit .............................................................................................................. 48 Monitoring Tool ............................................................................................................... 54 Summary of Compliance..................................................................................................... 56 Closing Observations........................................................................................................... 57 Attachment A: List of Documents Used for Compliance Report.................................... 59 Attachment B: List of Tutwiler’s Standard Operating Procedures (SOPs) .................. 62 Attachment C: Summary of Compliance .......................................................................... 64
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Case 2:15-cv-00368-MHT-TFM Document 29-2 Filed 08/23/18 Page 3 of 71
Introduction
The State of Alabama and the United States Department of Justice (DOJ) entered into a settlement agreement on May 28, 2015. The agreement involves a comprehensive set of provisions regarding the safety and security of the women offenders housed at the Tutwiler Prison for Women (Tutwiler). The purpose of the compliance report is to document the progress of the actions of the Alabama Department of Corrections (ADOC) and Tutwiler in response to the specific requirements of the provisions in the settlement. This is the sixth required court report, due August 28, 2018, submitted by independent Monitor Kathleen Dennehy. This Court approved Ms. Dennehy as monitor on August 26, 2016.
Ms. Dennehy conducted a compliance visit June 3-8, 2018. This report describes the actions taken by the monitor to determine compliance and uses the time frame January 1, 2018 through June 30, 2018 as the "reporting period.”
The settlement uses four levels to measure compliance: Substantial Compliance, Partial Compliance, Non-Compliance, and Not Applicable (N/A). The Summary of Compliance section of this report at page 63 includes a chart summarizing the compliance status for each provision.
Specific Actions to Evaluate Compliance The monitor took the following specific actions to evaluate compliance: 1) During Monitor Dennehy's June 2018 compliance visit with the Alabama Department of Corrections (ADOC) and Tutwiler, she interviewed central office ADOC staff, including executive leadership and section managers,
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who have responsibilities related to the ADOC and Tutwiler compliance with the settlement. Monitor Dennehy also interviewed ADOC staff assigned to Tutwiler, including the facility's top leadership, staff with specific settlement responsibilities, and the Institutional Prison Rape Elimination Act (PREA) Compliance Manager. The monitor handpicked some staff for interviews and randomly selected other uniform staff from employee rosters for one-on-one interviews. These staff members were diverse in gender, years of experience in corrections, and race. The monitor also met individually with seven women prisoners who had previously corresponded with her for the purpose of obtaining additional information and determining if additional follow up on their issues was needed. The monitor was provided meeting space to engage in private conversations with these staff and inmates. In addition to these formal, private interviews, the monitor was afforded open access to staff and inmates during the monitoring visit and had many opportunities to question and engage in conversations with both staff and inmates while touring the housing and program areas. 2) The monitor reviewed multiple ADOC and Tutwiler documents during this reporting period. These documents included previously promulgated ADOC and Tutwiler policies, ADOC and Tutwiler policy drafts, and training curricula, attendance records and materials. Prior to the June compliance visit, the monitor requested and received many documents, including inmate polling results; randomly selected inmate grievances; all
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PREA related grievances; and several updates on the management of transgender individuals; as well as an update on the activities of the Gender Dysphoria Committee, to prepare for a tour of the facility and staff and inmate interviews. During the tour, the ADOC allowed the monitor access to investigations, training files, staff rosters, and shift reports. The ADOC provided full access to records maintained by the Institutional PREA Compliance Manager, Lt. Felisha Blanding; Grievance Coordinator, Ms. Tina Tyler; and Settlement Compliance Manager, Warden Lagreta McClain. After the compliance visit, the monitor requested and received additional documents to substantiate and assess the progress of the work and actions taken by the ADOC and Tutwiler in response to the requirements of each section of the settlement. 3) Tutwiler has a notice posted throughout the facility, with correspondence addresses for the monitor. During this reporting period, the monitor did not receive any correspondence from third parties. The monitor did receive correspondence from fourteen Tutwiler inmates prior to the monitoring visit and another four letters after the compliance visit. These letters addressed a wide range of allegations, including perceived racial discrimination against Caucasian inmates, staff's inconsistent adherence to policy, some staff confusion regarding shower accommodations for transgender inmates, a delay in the receipt of a prescribed knee brace, and an officer's failure to adhere to Tutwiler's protocol for addressing transgender inmates by their expressly preferred pronoun. Many letters
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included complaints about the actions of other inmates, specifically the women who use PREA allegations to manipulate their own housing assignments or in an attempt to have targeted inmates removed from their units. The monitor is quite familiar with the potential manipulation of PREA allegations by inmates against other inmates or staff. To Tutwiler and ADOC's credit, it appears to the monitor that all allegations are appropriately investigated. Tutwiler has been very cautious responding to allegations that are determined to be unfounded. Staff have balanced the need to hold inmates accountable for their actions against the risk of discouraging the active reporting of legitimate allegations by others. The monitor reviewed each letter and requested additional information from ADOC officials to better assess the contents of the correspondence and to request follow-up action where appropriate. In each instance, the ADOC provided timely and appropriate responses. Prior to the compliance visit, the monitor had requested to receive all grievances filed by some of the inmates who had written to her. In addition, the monitor formally interviewed two other women who had asked to speak with her privately during the tour. 4) The monitor had multiple communications with Deputy Commissioner Wendy Williams during this reporting period to request investigative summaries and to address questions about either inmate correspondence or grievances reviewed by the monitor. The ADOC and Tutwiler staff have consistently provided timely and thorough responses for each
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information request made by the monitor. 5) At the conclusion of the December 2017 visit, the monitor requested that
Tutwiler schedule an upcoming Quality Improvement meeting during the June 2018 visit, so she and DOJ attorneys could attend and observe firsthand how the enormous amount of quantitative and qualitative data being collected is analyzed by staff and applied as a means of improving operations. Tutwiler accommodated this request and the monitor and attorneys attended this meeting on June 7, 2018.
Executive Summary
Intent of the Report This report is made to inform the Court and the parties of the monitor’s
assessment of the current progress and status of the ADOC and Tutwiler compliance with the settlement provisions and requirements. The monitor provides feedback for the ADOC and Tutwiler in each section. In some sections of the report, the monitor includes recommendations for the ADOC and Tutwiler actions over the next reporting period.
Alabama Department of Corrections: Progress, Strengths and Challenges
Progress As in prior reporting periods, the monitor observed steady, continuing progress by
the ADOC and Tutwiler towards reaching full compliance1 with the terms of the settlement agreement. In this sixth compliance report, the monitor has determined that
1 The definitions of degrees of compliance are addressed in the Summary of Compliance section of this report at page 56.
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Tutwiler and the ADOC have achieved "substantial compliance" with 40 sections, and have achieved "partial compliance" with 3 sections of the agreement.2 Attachment C provides a detailed summary of the monitor’s compliance determinations.
While the compliance tally for this sixth compliance report is the same as the tally documented in the fourth and fifth reports, the narrative that supports the compliance ratings in this sixth compliance report illustrates Tutwiler and the ADOC’s continued progress under the settlement agreement. In the first court report filed February 24, 2016, the monitor found the ADOC and Tutwiler in "substantial compliance” with 12 sections of the settlement agreement. In the second report filed August 25, 2016, the monitor found the ADOC and Tutwiler in "substantial compliance” with a total of 37 sections of the agreement. In the third report filed March 28, 2017, the monitor determined “substantial compliance” in 39 sections and "partial compliance" in 4 sections of the agreement. In the fourth and fifth compliance reports, the monitor determined "substantial compliance" with 40 sections and "partial compliance" with 3 sections of the agreement.
The findings of "substantial compliance" and "partial compliance" are specific to the monitor’s observations and findings of fact regarding the ADOC and Tutwiler’s degree of compliance with the requirements of the various sections. The monitor understands these compliance determinations reflect a "continuum" of staff actions that will be evaluated in each court report.
General Policies and Procedures The ADOC and Tutwiler continue to maintain written policies to prevent sexual
2 One settlement agreement provision is not subject for compliance assessment until March 2019.
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Case 2:15-cv-00368-MHT-TFM Document 29-2 Filed 08/23/18 Page 9 of 71
abuse and sexual harassment. The current policy in place at Tutwiler that contains Prison Rape Elimination Act (PREA) provisions is Standard Operating Procedure (SOP) 8-12, Inmate Sexual Abuse and Sexual Harassment. This procedure incorporates recommendations previously made by the DOJ and the monitor.
In group discussions, formal individual interviews, informal discussions, and interactions and observations while touring, staff members consistently demonstrated to the monitor an awareness of their responsibilities regarding reporting allegations of sexual abuse and sexual harassment, safety for inmates and investigative processes. Staff consistently demonstrated on-the-job knowledge of the policies and procedures on which they have been trained.
On September 28, 2017, the ADOC forwarded the final version of SOP 8-30, Behavior Intervention & Discipline Policy to the DOJ and the monitor. Although Warden Wright signed off on the policy in September, a commitment was made to not publish or disseminate the new policy until Tutwiler completed all the required staff training and inmate education on the new policy. An implementation plan and a Disciplinary SOP Training Facilitator's Guide were developed and reflect the thoughtful implementation of this policy. Staff training was being conducted during the December 2017 monitoring visit and the Deputy Commissioner for Women's Services certified that this training was completed on December 15, 2017. All ADOC staff working at Tutwiler, as well as staff who work for the contracted inmate mental health and medical services providers were required to attend this training. This policy became effective January 1, 2018. While the policy was developed and training has been conducted, in the monitor's opinion it is too soon to declare this culture shifting policy as implemented. This policy seeks to establish
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a disciplinary structure and process that is evidence-based, strength based, genderresponsive, and trauma-informed, and that reinforces a safe facility culture by motivating inmate behavior and encouraging self-management. The goal is to hold inmates accountable for their behaviors and actions utilizing mediation, cognitive behavioral interventions, and the lowest possible disciplinary sanction to address rule violations. Employees may respond to low-level misconduct by verbal re-direction which may include helping the inmate to refocus to more productive behavior and positive tasks, collaborative problem solving with the inmate, and engaging inmates through motivation strategies. The Behavior Intervention Program was developed for those inmates who have already engaged with employees on the verbal redirect level and continue to violate rules, or for those who violate a medium-level misconduct rule and verbal redirect is not appropriate. Appropriate strategies to address behaviors or specific rule violations are recommended by the charging official and approved by the shift supervisor. Examples of these kinds of interventions include: journaling, book reading assignments and book reports, restorative actions, or a referral to a counselor or case manager. The traditional, formal disciplinary process is reserved for instances when verbal redirection and the behavior intervention program has been unsuccessful or a serious incident has occurred.
On June 5, 2018 Warden Wright provided the monitor with an interim report on the implementation of SOP 8-30. From January 1, 2018 through May 31, 2018 a total of 300 verbal redirections were issued and 37 behavior interventions were employed. Only a total of 153 formal disciplinary reports were issued. To date, the new policy has been met with mixed reviews by both staff and inmates. This is fully understandable and to be expected because implementation of this policy requires a significant shift in both the
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inmate and staff cultures. It will require sustained supervision, on-going monitoring of the implementation of this policy, and additional staff training and inmate education as needed.
During the December 2017 visit, one required SOP remained outstanding: SOP 824 Disciplinary Segregation. The finalization of this policy was contingent on the finalization of SOP 8-30, Behavior Intervention & Discipline Policy as the final version of SOP 8-24 Disciplinary Segregation had to align with changes made to the SOP 8-30. On May 7, 2018, SOP 8-24 was submitted to the DOJ and the monitor for review and comment which was provided to ADOC and Tutwiler prior to the June 2018 visit. This is the last of the SOP's required to be finalized in accordance with the settlement agreement. All other SOP's and Post Orders have been developed and implemented.
For the reasons cited, the monitor has determined that ADOC and Tutwiler currently remain in "Partial Compliance" with this provision. The monitor does expect to make a determination of "Substantial Compliance" during the December 2018 visit after a period of full implementation of SOP 8-24 and SOP 8-30 is observed.
Camera Management Both staff and inmates continue to express appreciation of the significant role
cameras play in the prevention of sexual abuse and the important role the camera footage plays in investigations and in holding both staff and inmates accountable.
ADOC and Tutwiler conducted their second annual camera review meeting in November 2017. The third annual assessment will be conducted in November 2018 prior to the monitor's next visit and the ADOC PREA Coordinator will attend as
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recommended by the monitor. During the June visit, the monitor visited the camera operations room and remains quite impressed with the cameras' capabilities as well as the staff's maintenance of the equipment. The on-duty staff were fully attentive and engaged in their duties.
Staffing ADOC and Tutwiler expended considerable funds to have a Staffing Analysis
conducted at Tutwiler by nationally recognized experts to research and develop a genderresponsive staffing plan for Tutwiler. This staffing plan was informed by genderresponsive principles identified by the National Institute of Corrections (NIC), Prison Rape Elimination Act (PREA) requirements, U.S. Department of Justice (DOJ) settlement agreement requirements, and emerging correctional practice.
For the first court report, former Monitor Lancaster was asked to review the schedule for the Phase II Staffing section due to its complexity, multiple requirements, and need for a tremendous amount of data from ADOC and Tutwiler. Monitor Lancaster provided recommendations in the first court report and noted concerns at that time about the timeframes established in the settlement for the completion of the analysis and the implementation of the staffing plan. Revisions to the schedule were strongly recommended by the monitor at the beginning, and project extensions were granted.
ADOC submitted the draft staffing analysis to the DOJ and the monitor in Spring 2016. Both the DOJ and Monitor Lancaster offered comments on this draft in late June 2016. On August 16, 2016 ADOC sought clarification regarding some of DOJ's feedback.
During the December 2016 Compliance Visit, the DOJ asked the new monitor to
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review the draft staffing plan and the DOJ's comments in an attempt to clarify all comments for ADOC's review and response. On January 30, 2017, Monitor Dennehy provided ADOC with extensive feedback.
The monitor recognizes that a solid staffing analysis and plan is fundamentally important as a tool to determine the number and type of employees needed to staff Tutwiler. It is a dynamic document that examines the nature of the work to be done in terms of volume, location, and duration. A solid analysis of staff requirements is instrumental to identifying the knowledge, skills and abilities needed for a genderresponsive, trauma-informed Tutwiler workforce. This a complex and challenging task, complicated by a high percentage of position vacancies, a high rate of staff call outs and critical posts being filled by mandating overtime for officers, and assigning supervisors to line posts or doubling up officer posts. It is important to note, that at this juncture, there is no national model of a gender-specific staffing plan. Given the complexity of this task, both the ADOC and the DOJ agreed that additional time was needed for ADOC to work through the DOJ and the monitor's comments and finalize the plan, and Monitor Dennehy approved an extension to June 1, 2017.
The ADOC continued to work with the monitor and DOJ towards developing a final approved staffing analysis to ensure it effectively incorporated the gender responsive principles required in the Settlement Agreement. The monitor approved an additional extension to allow ADOC sufficient time to review and respond to each recommendation made by the DOJ and the monitor.
On July 26, 2017, the ADOC provided the DOJ and the monitor a copy of the finalized staffing plan and a matrix listing every comment and suggestion previously
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provided to the ADOC by the DOJ and the monitor, together with an explanation for what was modified and what was not included in the final plan issued by the ADOC. The monitor reviewed the staffing plan and ADOC's documented consideration of the monitor and the DOJ's recommendations.
ADOC and Tutwiler are balancing several record production and reporting requirements. The monitor requested ADOC and Tutwiler provide periodic progress updates on the implementation plan addressing the recommendations made in the staffing plan. The monitor received the latest progress update on June 20, 2018. This planning document accounts for the progress towards all outstanding recommendations regarding staffing. As of April 2, 2018, Tutwiler had implemented 16 of the 22 recommendations in the staffing plan. Full implementation is expected in 2018. Looking forward, by September 1, 2018, Tutwiler will consider two specific recommendations. First, they will explore moving breakfast later by 90 to 120 minutes and adjusting subsequent activities to increase staffing efficiency to lower peak staffing demands and to provide inmates with more hours to sleep. Second, they will consider adjusting the timing of other intermittent activities to lower the level of peak staffing demand. The monitor recognizes the implementation of the staffing plan is ongoing and will continue to request these periodic implementation progress updates.
In addition to the aforementioned reports, in compliance with Section III.C.2.vi of the Agreement, ADOC and Tutwiler are required to submit quarterly staffing reports to the monitor and the DOJ. These reports account for new employees, transfers and resignations and retirements. During this reporting period, the monitor received those reports on March 7, 2018 and June 11, 2018.
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The Agreement also requires ADOC and Tutwiler to submit a biannual staffing report covering the six month period of time after the development of the staffing plan. This report covers the timeframe July 26, 2017-January 26, 2018 and was submitted to the DOJ and the monitor on March 13, 2018. Receipt of the second biannual staffing report will cover the time period January 27, 2018-July 26, 2018 and will be submitted to the DOJ and the monitor once compiled. Thereafter, the report will be provided on an annual basis until termination of the Agreement.
The monitor remains concerned about the correction officer staffing levels at Tutwiler. As of December 31, 2017, there were 54 correction officers on staff (36 females and 18 males). This translates into only 34% of Tutwiler's correction officer positions were filed. In contrast, 89% of supervisor positions were filled and 76% of nonuniformed positions were filled. As of March 1, 2018, only 33% of the correction officer positions were filled. In March 2018, 10 additional officers were transferred to Tutwiler as a result of the closing of another ADOC facility. It is significant to note that these officers self selected to transfer to Tutwiler. The addition of these officers helped to address some of Tutwiler's immediate staffing needs. As of June 30, 2018, 40% of Tutwiler's correctional officer positions were filled, not including seven part-time, retired officers.
The monitor also appreciates the efforts Tutwiler has taken to mitigate the issues resulting from understaffing. Those steps have included a reliance on overtime and using employees who are not fully certified correction officers for certain jobs, such as monitoring the prison's camera system, placing supervisors on line posts when needed to maintain operations and doubling up correction officer housing posts. The ADOC
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continues the practice of allowing officers from other ADOC facilities to work overtime or otherwise be temporarily assigned at Tutwiler only after those officers have been trained as required by the settlement agreement. The monitor cross-referenced staff training attendance records with the names of officers on overtime rosters to verify this training requirement is being met. The Tutwiler staffing plan calls for one officer to be assigned to each dorm. It has become the norm that some posts must be doubled each shift as a result of low staffing levels. When this occurs, one officer must cover two dorms, however, video surveillance is constant in all dorms. Upon occasion, supervisors are pulled from their assignments to perform correction officer duties. While these efforts may be workable in the short term, they do not, in the monitor's opinion, present a long term solution to the chronic staffing shortage. As such, the recruitment and retention of qualified staff is critically important.
Going forward, the monitor recognizes that the staffing plan is evolving and will need to be revisited periodically as the facility schedule, programming changes and dorm reconfigurations are made to support critical changes to the gender responsive classification process.
The ADOC and Tutwiler committed to conducting another staff survey in 2018. A draft was provided to the DOJ and monitor on April 2, 2018. The instrument was modified based upon the feedback, and it launched on May 15, 2018. Employees had until June 8, 2018 to complete the survey on line. The results of the survey were provided to the DOJ and monitor on July 16, 2018 and will be reviewed and addressed by the monitor in the next compliance report. This exercise may provide some much needed insights into the difficulties the ADOC and Tutwiler experience recruiting and retaining
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qualified staff, especially female correctional officers. In addition, ADOC remains engaged in two promising efforts to increase
correctional staff. Troy University’s Center for Public Service has concluded a comprehensive analysis of the compensation and benefits offered by ADOC to correctional staff. Their final report will include a comparison of ADOC compensation and benefits for correctional staff to the compensation and benefits afforded by law enforcement agencies at the state, county, and local level. This analysis resulted in shortterm and long-term recommendations for ADOC concerning compensation and benefits of correctional staff. The second effort involves a comprehensive analysis being conducted by the firm of Warren Averett. This firm is conducting an analysis of ADOC’s policies, practices, and procedures relating to or affecting the recruitment, employment, and retention of correctional staff. Warren Averett will make short-term and long-term recommendations for ADOC concerning recruiting, hiring, and retention of correctional staff. The monitor looks forward to reviewing these reports when they are compiled.
In addition to the recruitment efforts of the State Personnel Department, the ADOC and Tutwiler recruit for security staff by announcing testing on the ADOC's website, employee e-mail, TV, radio, newspapers and public billboards. While the recruitment effort is aimed at all races and genders, special outreach to historically African-American colleges and female institutions of learning have been initiated. Also, The Moss Group, Inc. is working with the Tutwiler Strategic Planning Committee subcommittee on retention and recruitment to develop a recruitment plan specific to Tutwiler. This plan is expected to be finalized in August 2018.
Effective July 1, all ADOC Level IV facilities (medium) custody will have a 5%
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pay differential for all security staff. All Level V facilities (close) custody, including Tutwiler, will have a 10% pay differential. Since Tutwiler already has a 5% differential in place, another 5% will be added for a total of 10%. An additional pay adjustment will take place effective September 1, 2018 when the entrance level salary for a Tutwiler corrections officer will be $29,730.80 and starting salary for an employee with an associate's degree will be $31,217.34 and $32,703.88 with a bachelor's degree. It is hoped this adjusted differential will enhance recruitment and retention of security staff.
For the reasons cited, the monitor has determined that the ADOC and Tutwiler currently remain in "Partial Compliance" with the staffing and recruitment provisions of the Agreement.
Training Tutwiler’s training team began providing the required annual refresher training
regarding sexual abuse and sexual harassment in March 2017. As of July 29, 2017, Tutwiler staff, volunteers, and contracted employees had all completed the refresher training. This year's annual refresher training commenced on May 7, 2018. It is estimated that this training will be completed in November 2018. The completion of this year's annual training will be certified by Deputy Commissioner Williams and reported to the monitor and the DOJ. As part of the refresher training, all staff are again expected to demonstrate proficiency through a post–testing process.
The Tutwiler training team are qualified instructors as they had previously received specialized refresher facilitator training on custodial sexual abuse in September 2016 by the agency’s nationally recognized consultant. The facilitator's guide for the
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refresher training curriculum was reviewed and commented upon by the DOJ and the monitor, consistent with Section III.A.6 of the Agreement. Additional training on genderresponsive and trauma-informed use of force has been incorporated into the ongoing refresher training.
The monitor has been very impressed with the documentation of staff attendance at training maintained by both Warden McClain, in her capacity as the Settlement Compliance Manager, and the Institutional PREA Compliance Manager. These records are well organized and easily retrievable and demonstrate careful tracking of any pending attendance requirements.
The ADOC, and ADOC's previously contracted inmate health care providers, MHM and Corizon, maintained excellent records documenting their staff's attendance at the required training. Wexford assumed the role of current provider in April 2018 and retained the Tutwiler Mental Health Site Administrator and Health Services Administrator, so the monitor does not expect a change in the quality and timeliness of these staff training records.
Intake Dorm and Overcrowding In July 2015, the Deputy Commissioner for Women's Services convened a work
group to evaluate methods to decrease or eliminate use of Dorm A (the intake unit) for a period that exceeds 48 hours. Upon entry into the facility, all new admissions are processed and placed in the Intake Unit as they await the results of their medical and mental health screens. Unfortunately, many inmates stay longer than necessary in this unit due to the limited availability of bed space within the ADOC women’s facilities.
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Tutwiler's initial efforts resulted in both an overall reduced unit count and overall shorter lengths of stay in the unit. More significantly, the decrease in the Intake Unit's population reflected a decrease in Tutwiler's overall population. This reduction in the overall inmate population provided some relief for Tutwiler in housing placement options and staffing deployments. To improve the facility's overall bed management, in January 2018, Tutwiler relocated the intake dorm from Dorm A to Dorm K, a smaller unit. The average length of stay for each inmate in Dorm K is now 5.3 days, compared to the starting point of an average stay of 10-13 days.
Gender Responsive Risk/Needs Assessment, Classification and Programming A consultant, nationally known for her work with women inmates, was contracted
to work with the ADOC to develop a gender responsive classification system and assist Tutwiler in developing the programs necessary to address the women's needs. The ADOC forwarded the classification proposal to the monitor and the DOJ for review in May 2016.
An implementation workgroup was created and includes a cross section of key ADOC and Tutwiler staff members. The Women's Risk Needs Assessment (WRNA) and Women's Services Classification Manual were implemented on August 15, 2016, with the expectation that during a six-month "pilot" program all the women at Tutwiler would have an assessment completed on them. The pilot program period was to end February 15, 2017. Following the pilot period, a validation assessment, which was initially anticipated to take two years, was expected to commence. This original timeframe was expected to yield Alabama Women's Risk Need Assessment validation results by March 28, 2019 when an assessment of compliance with the Agreement is due. As a result of a
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slower than expected pace of implementation, the pilot end date had to be extended to August 2017.
The pace of implementation was delayed as a result of several factors. The primary reasons for a delay included the: 1) lack of software automation to support WRNA; 2) time delays in hiring new positions required to assist with the implementation process; and 3) slower than expected pace of administering the WRNA to the Tutwiler population.
After an exhaustive Request For Proposal process, the ADOC contracted with a technology company to create the software automation for WRNA. The company established a deliverable date for July 2017. The software company provided the necessary staff training. In addition, Tutwiler had nine new positions allocated and created, and as of July 1, 2017, all the positions were filled. The pace of administering the WRNA accelerated under the leadership of the new classification supervisor. As of midJuly 2017 all the Tutwiler inmates had been classified using the WRNA.
The new classification system incorporates gender-responsive principles and addresses the needs of women inmates at Tutwiler including: housing safety; mental health (depression/anxiety/psychosis); abuse and trauma; family conflict; relationship dysfunction; and parental stress. The system focuses on strength and resiliency factors including educational assets, family support, and self-efficacy. The use of “restricted status” for female inmates was abolished in September 2016 pursuant to the new classification system. A comparison of classification levels of Tutwiler inmates on August 1, 2016 and May 1, 2018 documents the impact of the new classification system. In 2016, 47% of the women were classified as minimum custody. In 2018, this rose to
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66%. In 2016, 30% of the women had been classified as medium custody, that number reduced to 23% in 2018. These numbers reflect that many women's custody levels were historically over classified due to a reliance on classification instruments and processes designed for male prisoners. Women offenders' pathways to incarceration are different than those for men. The monitor expects to see continuing shifts in the distribution of custody levels of the women at Tutwiler.
In October 2016, ADOC formed a WRNA validation committee. The final validation plan was provided to the DOJ and the monitor on July 28, 2017. ADOC prepared a Request for Proposal to conduct this study and it was disseminated to potential researchers in June 2018. The ADOC reports that they expect to have a researcher on contract in Summer 2018. The validation study will begin once a contract is in place. The entire validation process is expected to take three years and six months to complete once the process begins. The applicable provision in the Agreement is not subject to a compliance assessment until March 2019.
A gender responsive program committee was convened in October 2016 to research and develop a proposal for review by the Deputy Commissioner for Women's Services and the Associate Commissioner for Plans and Programs. The contracted expert facilitated the committee's work. They focused on identifying and developing evidencebased programs that are gender specific and responsive to the programming needs identified by the WRNA. The initial proposal was forwarded to the DOJ and the monitor for review in April 2017. The final proposal that addressed the DOJ's and the monitor's feedback was forwarded to the monitor and the DOJ on July 31, 2017. Programming was selected based upon which programs addressed the women's identified needs, had
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research to support their use, and could be implemented within ADOC's facilities. If there were more than one program which fit this criteria, programs were selected based upon cost and ability to acquire any training needed by staff. Development of the resources to support the programs began immediately following the finalization of the proposal. Several new gender-responsive programs have been implemented at Tutwiler during this reporting period. The Getting Ahead While Getting Out program is a reentry program designed to engage the offender, her family, volunteers, community and staff in problem solving for a successful transition to the community. To date, this program has produced 49 graduates and 37 more will graduate this August. The Helping Women Recover program is designed to treat addiction and utilizes the theories of women's psychological development and trauma. It addresses triggers for relapse, relationships, domestic violence, trauma, family issues and self-esteem. A total of 102 women have graduated from this program with another 59 set to graduate in August. The Beyond Trauma Program incorporates the latest research in neuroscience, trauma and post-traumatic stress disorder. It also incorporates cognitive behavioral techniques, mindfulness, expressive arts, and body oriented exercises. To date, this program has graduated 110 women and another 53 are set to graduate in August. The Beyond Violence Program focuses on emotional regulation of anger. It addresses both violence and trauma that women have experienced, and the violence they have perpetuated. To date, 60 women have graduated from this program and 48 more will graduate in August.
At the time of the June 2018 compliance visit, additional programs were scheduled to be introduced. Active Adult Relationships was implemented on June 11, 2018. This program teaches participants skills to include: communication, conflict
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resolution, emotion management, making budgets, wise choices for friends, dating and marriage, recognizing personal strengths, and future planning. The evidence-based curriculum was written by Kelly Simpson at the Active Relationships Center. Moving On is scheduled to begin in August 2018. This evidence-based curriculum was written by Dr. Marilyn Van Dieten at Orbis Partners, Inc. The program leverages both educational and cognitive skill building approaches to help women at risk of future criminal justice involvement find alternatives to criminal activity. The program supports women as they mobilize and build personal strategies, natural supports, and community resources. Parenting Inside Out will be implemented in October 2018. This program was developed by Dr. J. Mark Eddy and colleagues at the Oregon Social Learning Center and it is evidence-based. The program teaches parent management skills to incarcerated parents. It helps to promote healthy child adjustment, prevent problem behavior, and stop the intergenerational cycle of criminal justice involvement. Family Days are planned to begin in January 2019. This will involve extended visitation by family members combined with series of seminars about the programs the inmates are participating in and ways to support inmates during and after incarceration. In July 2018, a consultant to ADOC and Tutwiler will begin an evaluation of the new programming.
In addition, the Alabama Corrections Industries clothing plant is expanding and will create a minimum of 20 more job opportunities for women inmates once the expansion is complete.
Inmate Education Incoming inmates receive the comprehensive orientation education within 14
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days of admission to Tutwiler. The Institutional PREA Compliance Manager maintains comprehensive records of inmate attendance at these orientation sessions. The monitor has attended this orientation during previous compliance visits as schedules permit. The curriculum and training aids are well designed.
The Monitor encourages Tutwiler to consider expanding translation services beyond the use of Google Translate for Limited English Proficiency inmates.
Inmates' Right to Privacy During this reporting period, the monitor received no complaints from inmates of
inappropriate cross gender viewing or searching. One inmate did write to the monitor about Tutwiler's policy for showers for transgender/gender dysphoric inmates. The transgender inmates had been showering privately in the mental health stabilization unit, reportedly with no issues. This practice had to stop due to the growing population of inmates in the mental health unit. The practice was changed such that the inmates were advised to shower in their own housing units either one-half hour before or after the showers opened for general population. Reportedly, unit officers were not enforcing the showers times such that other inmates were entering the showers during the designated private showering times. The issue has been addressed and the transgender inmates are now showering privately in the Health Services Unit.
While touring during the June 2018 compliance visit, the monitor observed that appropriate privacy panels and shower curtains were in use in the shower and bathroom areas in inmate housing units. The monitor also witnessed staff consistently announce the presence of a male officer on the unit when needed.
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Inmate Polling The ADOC and Tutwiler established a system to routinely poll inmates regarding
their perceptions of the implementation of the specific terms of the settlement agreement including: the prevalence of staff sexual abuse and sexual harassment; inmate vulnerability to sexual abuse and sexual harassment; the investigation and discipline of staff accused of sexual abuse and sexual harassment; the efficacy of inmate education regarding sexual abuse and sexual harassment; privacy in the showers and toilets; the appropriateness of inmate classification; the levels of staff supervision; the efficacy of the reporting systems for sexual abuse and sexual harassment including grievances; and official responses to and retaliation for, allegations of sexual abuse and sexual harassment. As agreed upon by the monitor, the DOJ, and the ADOC, The Moss Group, Inc. initially administered the survey quarterly for the ADOC. The initial inmate polling was conducted in July 2016, the Second Quarter Inmate Polling was held in October 2016, the Third Quarter survey was administered in January 2017, and the Fourth Quarter survey was administered in April 2017.
ADOC entered into a Memorandum of Understanding (MOU) with Auburn University on August 9, 2017 for the University to provide long term assistance with the administration of this survey. A copy of the MOU was provided to the DOJ and the monitor as was the University's draft protocol. Both the DOJ and the monitor reviewed and offered feedback on the protocol the University proposed using. This arrangement will institutionalize the inmate polling survey as a valuable tool for ADOC and Tutwiler in the future. The monitor fully supports this action. Auburn
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administered the First Quarter (Year Two) survey of the poll's administration in November-December 2017. The report for this polling was submitted to the monitor and the DOJ on March 5, 2018. The Second Quarter (Year Two) survey was conducted March 19-22, 2018. The report for this polling was submitted on May 15, 2018. The Third Quarter (Year Two) survey was conducted May 21-23, 2018. The results of that polling are still pending and will be sent to the monitor and the DOJ when it is compiled.
The report of the Second Quarter (Year Two) polling survey is rich in data and much of the feedback is supported by what the monitor has observed in correspondence from inmates, a review of grievances, and a review of PREA-related investigations. For example:
• The women are gaining a better appreciation for WRNA's application and relevance. A total of 57% of the women agreed that they understood why they were in their current classification level.
• Two thirds of the respondents report knowing how to report sexual abuse. Clearly the inmate education piece has been effective.
• When asked if the programs and classes they have taken are useful, 74% agreed and 8% disagreed. The women appear to appreciate the value of the new programming.
• The majority of the respondents disagree that there is enough staff in the dorms. • More than one-half of the respondents disagree that they trust the grievance
system. This survey result is supported by the monitor's communications with inmates.
• Half the respondents report they disagree that inmates are disciplined consistently for violating rules about relationships with other inmates. This perception may, in part, be related to the implementation of the new SOP 8-30 Behavior Intervention and Inmate Discipline.
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• A large majority of the women disagree that there is adequate privacy in the toilet and shower areas. This could be linked to a reported increase in drug activity. Both staff and inmates point to the bathrooms as the problem spots. The monitor did not identify a level of grievances corresponding to this polling data, but does note that an inmate suggested the need for a privacy panel in the toilet at the factory. The panel was installed by the maintenance staff.
• When asked if they had noticed positive changes at Tutwiler in the last year, 36% agreed they had and 30% disagreed, with 35% neither agreeing or disagreeing. In the monitor's conversations with inmates, it is a rare occurrence for a woman to disagree that there has been positive change at Tutwiler. In this instance, the survey data is at odds with the monitor's observations and random communication with inmates.
• The majority of women participating in the poll were not aware of staff members, contractors, or volunteers sexually harassing or sexually abusing inmates. However, 54% of respondents indicate awareness of verbal abuse toward inmates. This observation is supported by inmate conversations and grievances reviewed by the monitor.
• When asked if inmates use PREA to falsely report incidents against staff or other inmates, 60% agreed and 12% disagreed, with 28% neither agreeing or disagreeing. This allegation regarding the action of other inmates has been brought to the attention of the monitor during conversations and correspondence with the women and during the review of investigations.
The survey results are mixed. The majority of women report being informed
about their rights and report being informed about the reporting systems in place and
knowing how to report a problem should they experience one. However the majority of
the women report they will be punished or retaliated against for reporting a PREA
incident and a majority do not trust the grievance system. It is important that the
Quality Improvement Team remain active in reviewing the survey results and any
incidents, problematic areas in the facility, and any allegations of sexual abuse, sexual
harassment or the use of unprofessional language by staff. The Team is encouraged to
hold a deeper discussion about the kinds of changes in the system and processes that
will be needed so that inmates consistently view the processes as useful and credible.
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The Tutwiler Tribune is the inmates' newspaper. It includes essays, poems, interviews with staff, puzzles, horoscopes, etc. The May 2018 edition included a summary of some key results from the inmate survey. The results were presented using colored graphs and text. The monitor applauds the administration's sharing of the survey results with the inmate population.
Quality Improvement and Data Collection Quality Improvement monthly meetings began in August 2016 and meet monthly
and hold additional discussion and conduct analysis of all the incidents occurring over the previous thirty days, including any action plans that were developed. Meeting minutes are made available for the monitor's review. The monitor and the DOJ attorneys attended the Quality Improvement meeting held on June 7, 2018. The meeting was expertly chaired by Warden Wright, who guided a cross-section of Tutwiler staff through a comprehensive agenda that included in-depth analysis of all incident reports involving inmates as alleged victims of excessive use of force, sexual abuse or sexual harassment; video reviews of incidents; a video review summary of at least four randomly chosen shifts for a spot check of staff posting and work expectations; staff polling results; an update on staff to include gender of staff and posts assigned; a review of overtime usage; the use of leave time; reasons for any staff resignations; a review of any documented variations from the facility staffing plan; a review of inmate grievances; a review of medical and mental health grievances; and a review of inmate disciplinary reports. The monitor was especially impressed with Warden Wright's facilitation of the meeting and her assignment and tracking of outstanding issues and staff responsibilities; the frank
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discussion and input from the Captains and other key staff; and the inter-disciplinary collaborative problem solving involving the medical, mental health and correctional staff. The Quality Improvement team demonstrated they are using the enormous amount of data that is collected and they are digging deep into it to identify opportunities to make improvements.
The ADOC and Tutwiler developed the Risk Management System (RMS) which is designed to track facility trends related to: (1) sexual abuse or sexual harassment; (2) unprofessional staff conduct involving inmates, including sexually explicit, vulgar, or degrading language; and (3) use of force incidents. The RMS is one element of Tutwiler's Quality Improvement Program.
In addition to the RMS data being reviewed at monthly Quality Improvement meetings, these data are reviewed and aggregated on a quarterly basis by the Warden at Tutwiler and the Deputy Commissioner for Women’s Services. A quarterly review is conducted to assess and improve the effectiveness of its sexual abuse and sexual harassment prevention, detection, and response policies, practices, and training. The quarterly reviews allow for: (a) the identification of potential patterns, changes, and problem areas, which includes problems in staffing levels, policies, practices, staff discipline system, and staff and inmate training/education; (b) the identification of staff or supervisors in need of retraining, performance plans and discipline; (c) the development of an array of intervention options to facilitate an effective response to problems; (d) taking corrective action on an ongoing basis; and (e) preparing bi-annual reports of its findings and corrective actions, including a comparison of the findings in previous reports to assess progress. The challenge for the administration is to integrate
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and analyze all these data in a timely manner. The automation of the RMS system would support a more timely and robust review of the RMS data and trends, including mapping capabilities.
During this reporting period, ADOC has provided the monitor and the DOJ one bi-annual report listing all staff members identified through the RMS and any corrective action taken. The report covered the time period from May 27, 2017 - November 28, 2017. It was submitted to the monitor and the DOJ on February 28, 2018. This RMS report documented allegations against eighteen staff members for engaging in the use of profane, degrading, or insensitive language with inmates. Each of these incidents was reviewed, tracked, and corrective action was taken. All eighteen employees received formal policy reiteration memos. In most instances, the inmate's allegation could not be proven. Nevertheless, in all instances, a supervisor met with each staff member and reiterated Tutwiler policy and performance expectations. In the absence of conclusive proof, this administrative response is appropriate.
The monitor reviewed the RMS reports and attests that the ADOC and Tutwiler staffs have already demonstrated good use of RMS data and the results of the inmate polling survey. Both instruments document that a small number of Tutwiler staff use abusive and profane language towards the inmate population that undermines efforts to build a gender responsive and trauma informed environment. In previous reports, the monitors have recognized the need for staff interventions regarding the requirements for using professional language while addressing inmates. Addressing this issue is a top priority for the facility wardens. Warden Wright developed an interim intervention plan to eliminate “the unprofessional staff conduct involving inmates, including sexually
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explicit, vulgar, degrading, or racially insensitive or offensive language”. Deputy Commissioner Williams and the monitor have discussed the need for
Warden Wright to continue to aggressively investigate these allegations and to hold staff accountable using progressive discipline, increased supervision and re-training. The monitor looks forward to receiving an update from ADOC and Tutwiler about their continuing efforts to eliminate the use of offensive and abusive language by staff.
Many of the Caucasian inmates who speak or write to the Monitor allege that African American staff are less strict with African American inmates. This creates a perception of favoritism that may create tensions along racial lines, especially when, as of June 30, 2018, fifty-six of the sixty-four officers working at Tutwiler are African American and nineteen of the twenty sergeants are African Americans. Also, many Caucasian women alleged that more verbal abuse was directed at them by African American staff than is directed toward African American inmates.
In response to inmates' allegations of racial discrimination, the ADOC and Tutwiler have arranged for staff to attend some specialized training. During the 2018 training year, all staff at Tutwiler will attend Racial Intelligence Training and Engagement (RITE). This training began in May 2018 and is being conducted by the ADOC Training Division, and the model includes emotional intelligence combined with social intelligence designed to unlock an individual’s racial intelligence. This training was recommended by the Florida Department of Law Enforcement as a means of creating more professional officer/inmate relationships. The monitor looks forward to reviewing staff's evaluation of this training.
Pursuant to the settlement agreement, on an annual basis, ADOC and Tutwiler
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shall conduct a documented review of the RMS to ensure that it has been effective in identifying concerns regarding policy, training, or the need for discipline. The ADOC and Tutwiler have already convened a panel to conduct a second annual review of the RMS data tracked from May 28, 2017 - May 26, 2018. Upon completion of the report, a copy will be provided to the DOJ and the monitor for review.
Sexual Abuse/Sexual Harassment Allegations The monitor met with Mr. Arnaldo Mercado, Director of the ADOC's
Investigation and Intelligence Division (I & I) to discuss and review completed investigations into allegations of staff-on-inmate sexual abuse/ sexual harassment and inmate-on-inmate sexual abuse investigations that occurred during this reporting period. There were three completed staff related PREA investigations during this reporting period. All three cases were determined to be unfounded as evidence did not support the allegation. Also, there were nine investigations into allegations of inmate-on-inmate sexual abuse. Five of these cases were unsubstantiated and three were unfounded. The outcome of one investigation is still pending. There were no PREA related incidents referred to the District Attorney during this reporting period. In each case reviewed, the monitor determined the investigation had been conducted in accordance with AR 454 and SOP 8-12, Inmate Sexual Abuse and Sexual Harassment. In conversations with the monitor, inmates expressed their confidence in Investigator Kelley Smith who conducts investigations into allegations of staff-on-inmate sexual abuse and sexual harassment as well as inmate-on-inmate sexual abuse, and the Institutional PREA Compliance Manager, Lt. Blanding who conducts investigations into inmate-on-inmate sexual harassment
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allegations. During this reporting period, Lt. Blanding investigated four allegation of inmate-on-inmate sexual harassment. Three cases were unsubstantiated and one was determined to be unfounded.
The monitor reviewed the facility response to allegations and the management of the reporting inmates and alleged perpetrators. When appropriate, an adjustment of inmate housing and job assignments was considered to ensure the safety of all involved. In addition, Lt. Blanding closely monitors and documents any allegations of retaliation against those who report allegations.
The monitor notes there are multiple, effective means of reporting allegations of inmate sexual abuse and sexual harassment, including a grievance process and at least one confidential method. During this reporting period, a total of 880 grievances were filed. Of these, five were PREA related. Two involved allegations against staff. In one case, the inmate accused a correction officer of voyeurism. The camera footage did not support the allegation. In the other case, the inmate accused a correction officer of looking under her clothes. This incident involved the inmate's violation of the disciplinary code and as such was not grievable. Three of the PREA related grievances involved allegations against other inmates. Two alleged voyeurism in the shower areas and one alleged sexual harassment. The monitor reviewed each of these grievances and findings. ADOC and Tutwiler policy was followed and appropriate action was taken.
The inmates can use a toll free number to call the Alabama Coalition Against Rape (ACAR) for reporting. The agreement between the ACAR and the ADOC is that all calls are confidential, per ACAR policy. The ACAR agreed to suggest/encourage the inmates to use the ADOC and Tutwiler methods of reporting if their call was regarding
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an allegation of sexual abuse or sexual harassment. There is no requirement for the ACAR to report to the ADOC, so the number of calls for this reporting period is unknown.
Third parties are permitted to assist inmates in filing requests for administrative remedies for allegations of sexual abuse and sexual harassment and are permitted to file such requests on behalf of inmates. If a third party files a grievance on behalf of an inmate and it relates to sexual abuse or sexual harassment, that report will be sent from the Institutional Grievance Officer to the ADOC PREA Director. If the grievance contains allegations of sexual abuse, or staff-on-inmate sexual harassment, the I & I division will investigate the allegation. If the grievance contains allegations of inmate-oninmate sexual harassment, the Institutional PREA Compliance Manager will investigate.
The monitor reviewed the ADOC website link for the public regarding the ability to file a PREA report. It provides adequate instruction for the public's reporting use. During this reporting period, there were no third party PREA-related allegations reported via the website.
Inmates have at least one way to report abuse or harassment to a public or private entity or office that is not part of the agency, and that is able to receive and immediately forward inmate reports of sexual abuse and sexual harassment to agency officials. The ADOC entered into an agreement with the Alabama Department of Economic and Community Affairs (ADECA) to take these reports. Inmates may make a report by dialing #66 and this can be done anonymously. The monitor reviewed the call log for the entire reporting period to review the nature of each call and the ADOC's response. A total of 25 calls were made to ADECA's hotline during this reporting period. Many of the
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complaints made were not related to sexual abuse or sexual harassment. In each instance, the Tutwiler administration followed up on the allegations/complaints and the response was appropriate. At the monitor's request, the form used to track the nature of these calls was expanded to include more information detailing the actions taken by facility management.
During the facility tour, the monitor noted that information on how to report sexual abuse or sexual harassment is widely posted within the facility.
Alabama Strengths The monitor believes Alabama has a strong foundation for continued progress in
reaching all of the goals outlined and compliance terms required in the settlement agreement. That strong foundation is a result of the following organizational strengths.
Leadership from the Alabama Department of Correction The monitor believes Commissioner Dunn continues to provide the agency
leadership for his staff and Tutwiler, directing and supporting successful implementation of the settlement agreement. In particular, ADOC central office leadership has played an important role in their continued working with Alabama's Parole Board to identify appropriate candidates for release on parole. In Summer 2018, the ADOC leadership will begin a collaboration with Alabama Pardons & Parole and the Alabama Sentencing Commission for the purpose of updating key agencies regarding the changes in the classification system and inmate programming at Tutwiler. In addition, Commissioner Dunn is strategically focused on developing the capacity of agency and facility leadership as a means to sustain and advance the progress made to date. In May 2018, an initial
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leadership development course was presented for Tutwiler's mid-level supervisors. In October 2018, Tutwiler will present a leadership development refresher session for Tutwiler's management staff. Previously, Tutwiler's executive leadership team had participated in a leadership development program. Tutwiler's former Warden I, Adrienne Givens was promoted to Warden II at Montgomery's Women's Facility and Tutwiler's former Captain Lagreta McClain was promoted to Warden I at Tutwiler. Warden McClain retained her duties and responsibilities as the Settlement Coordinator for this Agreement. Both women have benefited from the Commissioner's focus on developing facility leadership and from Deputy Commissioner Williams' mentorship of them.
In June 2017, the monitor was advised by Associate Commissioner Matt Brand (Training and Development) that a regional training center dedicated for the training of line staff working in the women’s facilities was being created in recognition of the gender-specific training agenda and curricula necessary for staff who work with women inmates. It became operational in May 2018.
During the June compliance visit, the monitor and the DOJ attorneys toured the new ADOC Women's Services Training Center. The ADOC repurposed a state-owned building, conveniently located next to Tutwiler, to create this training center. It provides a professional and appropriate setting for staff training. The monitor and the DOJ attorneys had an opportunity to sit in on a staff training program. All commented on the skill and enthusiasm of the trainer. Overall, Tutwiler is equipped with a solid training curriculum and the appropriately credentialed staff to deliver this training.
The monitor works closely with Deputy Commissioner Williams who oversees the ADOC's Women's Services Division. Dr. Williams communicates regularly with the
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monitor regarding any developments of note occurring at Tutwiler relevant to the settlement's requirements. The monitor and the DOJ commend Deputy Commissioner Williams for her consistent and thoughtful leadership, actions taken and support given to the warden and staff at Tutwiler. Dr. Williams is the pivotal leader for the ADOC in managing their compliance with this settlement agreement.
The monitor also met with Ms. Christy Vincent, ADOC's PREA Coordinator, who oversees the work of the Institutional PREA Compliance Managers to discuss her oversight mechanisms, and the training she provides to the Institutional PREA Compliance Managers. Ms. Vincent also works with central office and facility staff to coordinate and schedule the facility PREA audits. Tutwiler's initial PREA audit was conducted in May 2016. The second official PREA audit cycle began in August 2016. Tutwiler's second PREA audit will be scheduled to be completed during the third year of this audit cycle. Preparations for the audit are underway.
While in Central Office, the monitor met with Mr. Arnaldo Mercado, Director of ADOC's Investigations and Intelligence Division; Ms. Kelley Smith, Tutwiler's investigator; Ruth Naglich, Associate Commissioner for Health Services; Dr. Edward Kern, ADOC's new Director of Psychiatry; and Mr. William Lawley, ADOC's Personnel Director. In addition to Commissioner Dunn and Deputy Commissioner Williams, all ADOC central office staff consistently demonstrated working knowledge of their settlement related responsibilities during their interviews with the monitor.
Tutwiler Leadership The monitor continued to observe outstanding leadership by the facility wardens
and the executive team at Tutwiler during this reporting period. During the monitoring
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visit, Warden Wright provided an opening presentation to the monitor. Warden Wright participated in both formal and informal discussions with the monitor and demonstrated her leadership at Tutwiler during observed interactions with staff and inmates, most demonstrably during the monthly Quality Improvement meeting.
The monitor observed the dedication and commitment of supervisors and line staff at Tutwiler to follow policies to ensure sexual safety, in spite of staffing challenges, such as the number of vacancies.
For the last several years, Lieutenant (Lt.) Yvette Young served at Tutwiler's Institutional PREA Compliance Manager. Lt. Young performed her responsibilities consistently and documented all of her required responsibilities. Feedback from the inmates about Lt. Young’s performance was overwhelmingly positive. She had the respect and trust of the inmate population. She earned a reputation for being professional, holding people accountable and being respectful and responsive to inmates' needs. The monitor was repeatedly told by inmates that Lt. Young followed up on her interactions with them, which the inmates appreciate, even when they didn't receive their desired outcomes. Lt. Young was promoted to Correctional captain at Birmingham Community Based Facility, effective February 16, 2018. Sgt. Emily Abbott had been understudying Lt. Young's role for some time and was prepared to assume the role and duties of Institutional PREA Compliance Manager when Lt. Young was promoted. In fact, Sgt. Abbott had accompanied Lt. Young to meetings with the monitor on a prior compliance visit to become familiar with the process. Sgt. Abbott's transition was seamless. Sgt. Abbott had been serving in this important role since Lt. Young's promotion, but elected to step down from this role , but will continue to serve as the back-up Institutional PREA
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Compliance Manager for Tutwiler. Lt. Felisha Blanding assumed the role on May 16, 2018. Lt. Blanding was one of the original Regional PREA Coordinators for the ADOC from 2009 to 2013, and she served in that capacity for the female inmate population. She had been serving in the Training Division as a Training Supervisor for the last five years, where she continued to conduct staff training and education on PREA and related topics. Sgt. Abbott worked closely with Lt. Blanding to ensure a smooth transition. Lt. Blanding attended Institutional PREA Compliance Managers training conducted by ADOC's PREA Director in January 2018. She also attended PREA audit preparation training on April 30, 2018 with the Assistant ADOC PREA Coordinator. Ms. Christy Vincent, ADOC's PREA Coordinator also provided additional PREA training for Lt. Blanding by May 30, 2018. The administration has ensured continuity of services is maintained in this critical role. Lt. Young, Lt. Blanding and Sgt. Abbott were all fully available to the monitor during the June 2018 compliance visit to ensure a comprehensive review of documentation maintained by the Institutional PREA Compliance Manager and that all the monitor's questions were addressed.
The Institutional Grievance Coordinator also fills a critical leadership role at Tutwiler. For several years, Lt. Brian Coleman served in this capacity. He, too, maintained excellent documentation that was periodically reviewed by the monitor. Lt. Coleman has moved laterally to an administrative position. For several months, Ms. Tina Tyler, a civilian who had been serving as Tutwiler's American with Disabilities Administrator, understudied Lt. Coleman. She participated in the monitor's interview of Lt. Coleman during the previous compliance visit to become acquainted with the process. This, too, has been a seamless transition. Ms. Tyler's documentation is excellent and her
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follow-though on issues is exemplary. The administration has ensured continuity in the performance of this critical function.
ADOC Consultants The ADOC and Tutwiler continue to draw on and benefit from consultants'
expertise in several specific areas. Specifically, expert consultants have participated with the ADOC in the development of the gender based classification plan and programming, the staffing analysis, the inmate polling/survey process, data collection, and the gender responsive review of draft policies and the provision of staff training and inmate education.
ADOC Strategic Planning Committee The ADOC Strategic Planning Committee continues to meet once a quarter to
review and guide the ADOC and Tutwiler's efforts for creating sustainability models/practices/tools for their operations, future plans and mission for women offenders in Alabama.
Tutwiler Sexual Safety Culture Staff and inmates report to the monitor a respect for the settlement-related policies
and practices and are knowledgeable about them. Most importantly, during formal interviews and informal conversations with the monitor, the women say they trust that leadership will act in their behalf if an incident of sexual abuse or sexual harassment occurs.
Tutwiler currently uses SOP 8-12 Form A, PREA Risk Factors Checklist to screen
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all inmates for risk of victimization or abusiveness. This form was originally created in May 2014. After consultation with other states to get input on risk factors checklists in use elsewhere, the form was revised in January 2016. All inmates are screened within 72 hours of arrival. The process is conducted by the Classification staff. If an inmate is assessed as being at risk of sexual abuse or of being sexually abusive toward other inmates, a mental health referral is completed by the Classification Specialist, and that inmate will be interviewed by a mental health practitioner that day. Inmates are reassessed within 30 days of their arrival. The Institutional PREA Compliance Manager and Psychological Services actively follow up with any inmate who presents at risk of being sexually abused or sexually aggressive toward inmates. Consideration is given to the respective inmate's housing, bed, work, education, and program assignments. Placement and programming assignments for an inmate at high risk of sexual victimization are reassessed at least twice a year. Tutwiler has been in communication with The Moss Group, Inc. about working with the principle researchers at the University of Nebraska who worked on the PREA risk screening tools for the IOWA Department of Correction with the goal of revising Tutwiler's PREA Risk Factors Checklist to incorporate gender-responsive weights and measures into the screening tool.
Alabama Challenges Tutwiler Facility
The monitor continues to note the challenges that the prison's aging infrastructure presents for leadership. Specifically, options for program space, medical and mental health screening and treatment, housing placements, and the day room areas are severely
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limited by the old design, aging infrastructure and overcrowding. The physical plant also impacts staffing requirements as it has a direct bearing on operations and the location of officer posts. The physical plant is sprawling and some housing and program areas are isolated, and poorly lit, impacting the number of posts and staff needed to support safe and secure operations.
Population Capacity Tutwiler's original design had an operating capacity of 350 and the annex was
rated at 128. The daily count has historically been nearly double the facility's original capacity. Currently, the operational capacity is 700 for the main campus and 250 at the annex. On June 5, 2018 Tutwiler’s total inmate population count was 868. At main Tutwiler, 620 beds were filled. At Tutwiler's annex, 249 beds were filled.
While a population reduction has provided relief for the intake dorm, the overall level of chronic population overcrowding continues to present challenges. Both the settlement requirement for the development of a gender based classification system and the development and implementation of gender-based programs at Tutwiler will be impacted by the overcrowding issues at Tutwiler. Specifically, plans will require the development of various housing options for separating groups of inmates, via the classification review process, that will be difficult to maintain as bed space must be allocated according to new placement criteria as it is implemented. In addition, the classification system will prescribe a number of program offerings that should be available for the inmates, based on a needs assessment. Currently, the space available for inmate programming is very limited. The staff have been creative and have converted and renovated every space possible to provide additional room for expanded programming.
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The Tutwiler maintenance team is creative and hard-working.
Staffing Challenges-Overall Vacancies and Recruitment and Retention of Women The monitor notes that the chronic, ongoing number of staff vacancies at Tutwiler
presents a serious concern for leadership, staff and inmates, and could possibly impact the safety and security of the facility. In the first court report, the monitor noted a vacancy rate of almost 50% of authorized, funded positions. The recruitment and retention problems that lead to the high vacancy rate have continued. At the end of calendar year 2016, correction officers were at 41.8% staffing level. As of June 30, 2017, correction officers were at 38% staffing level. As of March 13, 2018 correction officers were at 33% staffing level. As of June 30, 2018, 40% of correction officer positions were filled.
To ensure adequate staff to fill key posts, Tutwiler leadership implemented a mandatory overtime policy at the end of 2016 to address critical vacancies because key posts must be staffed. Tutwiler relies on mandatory overtime to maintain functions. Correction officers, especially single parents, face challenges balancing family obligations with unscheduled, forced overtime demands. This can lead to an increase in staff members "calling out" sick as a means to obtain the needed time off. The reliance on overtime to staff critical functions is not a long term solution to the staffing shortfall.
Previously, the monitors have reported that this mandated overtime policy has caused stress and concern among the officers interviewed by the monitors during compliance visits. This situation continues to be an area of deep concern for staff, and according to staff interviewed during this and prior monitoring visits, it is adversely impacting staff morale. During some of the monitor's interviews, uniformed security staff
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expressed concern about the impact of staff shortages, overtime and staff scheduling on staff morale. A decision was made to transition to the 8-hour shifts effective June 3, 2017. The monitor is looking forward to reviewing the next bi-annual staff report to review the impact this adjustment in shifts has had on forced overtime and call-outs.
The settlement requires the development of a professional staffing analysis (C.2), and for a plan to be presented to the ADOC and Tutwiler. The monitor has already discussed this analysis and draft plan in detail earlier in this report. The consultant's draft report noted the current vacancy rate has a significant impact on the development and implementation of a staffing plan.
Overall, recruitment and retention of women correction officer trainees remain a concern. The recruitment and hiring data underscore a system-wide issue with the application of the Alabama Peace Officers' Standards and Training Commission (Commission) physical standards to women candidates. Commissioner Dunn took an important first step in his outreach to the Commission by requesting them to consider a request to modify the administration of the Physical Agility/Ability Test (PAAT) academy training requirements for State Corrections Officer applicants. It was encouraging that the Commission approved the Commissioner’s request to modify the administration of the PAAT which became effective January 2017. The revised Commission rules pushed the last PAAT attempt from the first week of the Academy training to week eight of the program. Because the PAAT had been moved to the end of the Academy, the ADOC discontinued the physical fitness assessments that were conducted on all correctional officer trainees during their pre-Academy assignment. The basic training academy Class 17-01, which began in February 2017, was the first class to
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enter the academy under the new Commission rules regarding the physical agility/ability requirements. At the time, this change reportedly produced some promising results. The trainees who could not pass the PAAT in week one, including one of the women, all passed the test by week eight and all successfully graduated the Academy in May 2017. This was the first time in recent memory that no one, male or female, was removed from the basic training course for a PAAT failure. Despite, this promising development, during the monitor's December 2017 compliance visit, the DOJ and the monitor were advised that APOSTC was reverting back to holding the test in the first week. The Commission has agreed to allow ADOC to continue the eight-week administration through calendar year 2018. Absent any changes before January 2019, ADOC will have to resume pass/fail PAAT testing during the first week. It appears unlikely the Commission will reconsider their decision. Even if the ADOC expended the considerable sum of money it would take to accomplish this requirement, the ADOC would be powerless to implement them as they do not have statutory authority to set the standards and to certify Alabama's peace officers.
The Commission contracted with Auburn University at Montgomery (AUM) for the review of the validation study of their PAAT standards and to assess any disparate impact on women candidates. The Monitor and the DOJ received a copy of Auburn University's assessment from the ADOC on January 2, 2018. The report details several deficiencies in the 18 year old validation study. The Monitor remains unconvinced that there is a direct correlation between PAAT performance and job performance or other current job outcomes for corrections staff. Until such time as the validation of these standards for correction officers and evidence that the standards have been examined for
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the necessity of gender-norming certain components is addressed or the terms of the Agreement modified, the Monitor determines "partial compliance" with this provision. The Auburn Report suggests an alternative validation approach may be warranted if adverse impact is ever a problem. The researcher argues that when women elect to retest, there is no adverse impact against them because "the pass rate improves when the number of attempts is very high. When given enough attempts it appears that almost every candidate who attempts every test will eventually pass one." The Commission appears to have given very little, if any, consideration to (a) the differences between police officer and correction officers jobs, (b) the extent to which job duties have changed in the last 18 years, and (c) the extent to which women candidates for correction officer positions engage in repeated retesting.
As the Monitor has opined previously, to the extent the ADOC could have helped shape AUM's review, the researchers should have been encouraged to review the physical training standards set for correction officers in other states/jurisdictions and gather information about Academy training standards, broken down by gender, as it relates to bono fide occupational qualifications for correction officers, rather than focusing solely on standards that apply to police officers. To the monitor's knowledge, AUM did not review the physical training standards established for other correction officers in other state jurisdictions.
The monitor discussed these chronic staffing issues with Associate Commissioner Brand, Deputy Commissioner Williams and Director Lawley. Associate Commissioner Matt Brand continues to oversee the correctional officer training and hiring processes, in addition to the physical fitness screening processes already discussed. On July 1, 2018,
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Captain Karen Williams assumed the role of Recruiting Unit Director for the ADOC, working directly for Director of Training, Elliot Sanders. As previously described, the ADOC has increased recruiting efforts through advertising and other methods to attract new applicants. ADOC now has three full time recruiters working with Captain Williams. The advertising budget has been increased to support increased advertisements. The monitor looks forward to reviewing the Recruitment Plan for Tutwiler which is expected to be finalized in August 2018.
Tutwiler is also focusing on addressing employee retention. To that end, in addition to adjusting correction officer shifts from twelve hour to eight hour shifts, they have distributed job satisfaction surveys on a bi-annual basis, completed exit interviews with each staff person leaving Tutwiler, and participated in ADOC's statewide recruitment team. Tutwiler is also committed to supporting those who work in the Women's Services Division, specifically. Tutwiler is exploring strategies to increase workplace health and wellness for staff. There are plans to open an employee gym at the new Women's Division Training Center for use by staff.
Logistics
Compliance Visit The purpose of this June 2018 compliance visit was for the monitor to acquire
information and observations to inform the sixth court compliance report. The monitor and Deputy Commissioner Williams worked together to finalize the tour agenda and interview schedule.
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Introductory Meeting /Presentation by Warden Wright Warden Wright provided an overview of progress made at the facility to the
monitor and the DOJ at an opening meeting attended by Deputy Commissioner Williams and key members of Warden Wright's management team.
Compliance Visit Interviews Throughout the week, the monitor held individual meetings and had multiple
interactions with the following executive leadership and supervisory staff, including: Alabama Department of Correction • ADOC Commissioner Jefferson Dunn • Dr. Wendy Williams, Deputy Commissioner for Women's Services • Mr. Matt Brand, Associate Commissioner for Training and Development • Ms. Ruth Naglich, Associate Commissioner for Health Services • Dr. Edward Kern, ADOC Chief Psychologist • Ms. Christy Vincent,, ADOC PREA Coordinator • Ms. Anne Hill, Chief of Staff • Ms. Mary-Coleman Roberts, ADOC Counsel • Mr. Arnaldo Mercado, Director of ADOC's Investigations and Intelligence Division (I & I) • Ms. Kelley Smith, I&I's Tutwiler investigator • Mr. William Lawley, ADOC Personnel Director Tutwiler Prison for Women • Ms. Deidra Wright, Warden II
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• Ms. Lagretta McClain, Warden I and Settlement Compliance Manager • Lieutenant Yvette Young, Former Institutional PREA Compliance
Manager • Lieutenant Felisha Blanding, Current Institutional PREA Compliance
Manager • Sergeant Emily Abbott, Former Institutional PREA Compliance
Manager and Segregation Supervisor • Ms. Tina Tyler, ADA Coordinator/Inmate Grievance Coordinator • Ms. Felicia Greer, Wexford's Tutwiler Mental Health Site Administrator • Ms. Lynda Jackson, Wexford 's Tutwiler Director of Nursing The monitor also selected line staff members for individual interviews. These staff members were diverse in positions, race, length of experience in corrections, and gender. In general, the monitor asked about their awareness of the PREA reporting structure, investigations, the inmate grievance system and their recent PREA and gender responsive training, and their impressions of the new behavior intervention and inmate discipline program. Their concerns regarding staffing issues are addressed in the ADOC challenges section of this report. During interactions with inmates from various housing dorms, the monitor used a set of questions regarding their knowledge of PREA policies, reporting of allegations, the grievance system, staff/inmate professional relationships, and the availability of reporting allegations using various phone lines. The women discussed incidents they observed of unprofessional conduct, their use of the grievance system, impressions of the new behavior intervention and inmate discipline program and their overall feeling of safety at
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Tutwiler. Their responses are documented in the monitor discussion in various sections of the compliance report. Three topics were repeatedly raised by several of the women. They complained of a small group of officers using vulgar, degrading, or racially insensitive or offensive language. The women also expressed a great deal of frustration over the lack of consistency in practice between shift officers, especially in the housing units. The women also expressed a perception that racism was an issue and that officers treated inmates differently based upon race. The majority of the prison staff is African American and the majority of the inmate population is Caucasian. The women claim that African American inmates get preferential treatment. The monitor recognizes these issues are deeply embedded in culture.
Facility Tours During the tour of the facility during the compliance visit, the monitor noted
improvements to the physical plant and to the overall cleanliness of the physical plant. The management team has creatively repurposed or rehabbed every space possible to be used as program space. As programming options for the women expand, leadership will be challenged to maximize the use of available, appropriate space.
In each housing unit, the monitor noted the prominent posting of notices and information for inmates, including: a PREA Hotline notice, notice of a victim support line, PREA education materials, principles of gender responsive programming for women, and grievance and appeal forms.
Throughout the tour, ADOC and Tutwiler staff afforded the monitor the time, space and many opportunities to engage in private conversations with both staff and
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inmates in housing and program units. Staff consistently demonstrated knowledge of sexual safety and their individual roles and responsibilities in this area. Generally, the inmates acknowledged and expressed appreciation for the positive changes at the facility. Feedback from the long termers, in particular, underscored that many women feel much safer at Tutwiler today.
Appreciating that the institutional climate and culture can be different shift to shift, the monitor and Dr. Williams conducted an unannounced night visit to the facility for the purpose of observing operations during the evening shift when top facility leadership are generally not on site. This visit was conducted on the evening of June 4, 2018. The facility climate was quiet and low-key.
During the June 2018 monitoring visit, the monitor also visited: • Dorm K • various other housing units, including the Mental Health Unit • death row, and had an opportunity to meet with these women and discuss their individual awareness of policies addressing sexual abuse and sexual harassment, how to report allegations, and the use of the grievance system • the segregation unit and talked with the two inmates housed there • the mental health stabilization unit and spoke with some of the inmates housed there • the infirmary, clinic area • shift commander’s office • many administrative offices • program space
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• the video operations in the camera room and discussed the operation with the operator on duty
• Women's Services Training Center While work on the youthful offender trailer was completed on October 20, 2016 making it ready for occupancy and providing designated placement for this specialized population, Tutwiler did not receive any youthful offenders during this reporting period, so this unit was again vacant during the monitor’s June 2018 visit.
Document Review In addition to the interviews and discussions with staff and the tours of Tutwiler,
the monitor reviewed a wide variety of documents, correspondence, records and staff reports. These documents are listed in the "Measures of Compliance" box in the audit tool for each section. The monitor reviewed most of these documents prior to her visit, and reviewed some documents on-site during the visit. In addition, the monitor made additional follow-up requests for documents and these were sent to her after the visit. Attachment A to this report lists documents reviewed by the monitor prior to, during, and after the compliance visit.
The monitor showed various documents to staff during the interviews, for their authentication and comment. The monitor also reviewed multiple documents maintained by Warden McClain, Lt. Blanding and Ms. Tyler while conducting formal interviews with them. The monitor recognizes the time and commitment these individuals expend to maintain the level of detailed documentation required to demonstrate compliance. The ADOC and Tutwiler team continues to maintain impressive records.
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The monitor referred to specific documents for each set of requirements in the audit tool report, in the monitors' discussion of ADOC compliance with the section.
Exit Debriefing with ADOC Leadership The monitor and Deputy Commissioner Williams had debriefed each day of the
compliance visit, so Deputy Commissioner Williams, the monitor, and the DOJ conducted an abbreviated exit meeting at the conclusion of the compliance visit, where the monitor made a request for some additional documents. Monitoring Tool
The parties had previously agreed on a "monitoring tool" format for each of the settlement provisions and their subsections. The front page of each provision in the tool includes both the specific requirements for that section and the dates for the ADOC's compliance. The settlement provides, for most requirements, that the ADOC: create a policy; train staff in that policy; and implement the policy in the regular activities at Tutwiler and the ADOC. Specifically, an approved ADOC policy must first be published for operational practice in a facility. At Tutwiler, the facility develops written "Standard Operating Procedures" (SOP) to apply the ADOC policy to direct specific operational practices at the prison. The second step is to train all staff subject to the policy and SOP using an approved training curriculum. The third step is to then implement and document compliance with these policies and SOP's in the actual practice of the directives at the facility.
The monitor evaluated each section and its specific requirements through interviews with inmates and ADOC and Tutwiler staff; document review; announced and unannounced facility tours; on-site observations (orientation, dorm activities, inmate
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movement, camera room operations); communication with the parties through calls and emails; and a review of previous Compliance Reports. The monitor documents her findings for each section in the report’s “Monitor's Discussion” and chooses the rating corresponding to her assessment of the ADOC and Tutwiler's level of compliance. Prior to conducting the very first monitoring visit, initial Monitor Jennie Lancaster had established the "Measures of Compliance" for each provision and identified the documents and interviews to be used to assess compliance. The ADOC submitted the documents prior to the visit, and drafted an interview agenda and touring schedule for the monitoring visit. During the transition of monitoring responsibilities from Ms. Lancaster to Ms. Dennehy in August 2016, Monitor Dennehy committed to using the same process, measures and documents, but reserves the option to revisit and amend these measures to facilitate monitoring going forward.
The monitor completed this report and the monitoring tool through the following actions:
1) Examining the settlement agreement, its provisions, and the specific requirements listed in the monitoring tool.
2) Requesting and examining specific documents to identify and assess the extent of the ADOC and Tutwiler actions in response to the agreement requirements. Examples include: ADOC policies and Tutwiler standard operating procedures; training curricula; staff rosters for training; staff reports and spreadsheets to document actions; inmate grievances; investigations; and meeting minutes.
3) Selecting specific ADOC and Tutwiler staff for compliance interviews based
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on the individual’s overall and direct responsibilities for settlement implementation. 4) Conducting interviews with selected line staff to obtain feedback and perspective on Tutwiler activities and practices related to the settlement terms and requirements. 5) Conducting individual interviews with selected inmates to obtain feedback and perspective on Tutwiler activities and practices related to the settlement terms and requirements. 6) Engaging in spontaneous, private conversations with both staff and inmates in housing and program areas during monitoring visits. 7) Reviewing letters submitted confidentially to the monitor from inmates and conducting interviews with seven inmates to follow-up on issues raised in their correspondence received by the monitor. 8) Using routine communication with the parties, prior to, during, and after the visit to ask for more information or clarification regarding the settlement, its terms and requirements and determinations of compliance. 9) The monitor sent the first draft report to both parties on July 18, 2018. The agreement allows for a two-week period of review by both parties. The monitor received comments from the DOJ and the ADOC and reviewed the comments of both parties, in each section, and took them into consideration in her final revisions to the report. 10) The monitor will submit the completed set of audit tool report, the narrative summary and attachments, to the court by August 28, 2018.
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Summary of Compliance
"Compliance" is discussed throughout the agreement and this report in the following terms: substantial compliance, partial compliance, and non-compliance. "Substantial Compliance" indicates that the ADOC and Tutwiler have achieved material compliance with most or all components of the relevant provision of the settlement agreement. "Partial Compliance" indicates that the ADOC and Tutwiler have achieved material compliance on some of the components of the relevant provision of the settlement agreement, but significant work remains. "Noncompliance" indicates that the ADOC and Tutwiler have not met most or all of the components of the relevant provision of the settlement agreement. "Material Compliance" requires that, for each provision, the ADOC and Tutwiler have developed and implemented a policy incorporating the requirement, trained relevant personnel on the policy, and relevant personnel are complying with the requirement in actual practice.
Closing Observations
The monitor appreciates the high level of cooperation she continues to receive from all parties during the monitor compliance visits. The monitor also appreciates the level of cooperation and responsiveness of the ADOC and Tutwiler staff during this entire reporting period. The monitor made requests for documents or information and they were always processed in a thorough and timely manner.
The monitor sees continued progress by the ADOC and Tutwiler and is impressed by leadership's commitment to fully implement the settlement and evidence-based gender
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Case 2:15-cv-00368-MHT-TFM Document 29-2 Filed 08/23/18 Page 58 of 71 specific practices at Tutwiler. Leadership also demonstrates a commitment to quality improvement. The monitor recognizes the time and commitment needed to maintain the level of detailed documentation required to demonstrate compliance. The ADOC and Tutwiler team continues to maintain impressive records. More importantly, leadership is using this information and data to monitor and improve practice and create a culture at Tutwiler that reflects awareness of policies designed to address sexual abuse and sexual harassment, with the inmates respecting the accountability practices demonstrated by the leadership and staff, in general.
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Attachment A: List of Documents Used for Compliance Report
Monitor's note: the monitor also reviewed some documents, not listed below, that were received/reviewed for the compilation of the previous compliance reports.
• Inmate Survey and Polling Plan • First Quarter Inmate Survey Results • Second Quarter Inmate Survey Results • Third Quarter Inmate Survey Results • Fourth Quarter Inmate Survey Results • First Quarter Inmate Survey Results (Year Two) • Second Quarter Inmate Survey Results (Year Two) • Auburn University's MOU with ADOC • Auburn University's Polling Proposal (draft) • Tutwiler PREA Incident Review Committee reports, January-June 2018 • Tutwiler Risk Management System spreadsheet, January-June 2018 • Risk Management System Summary • Quarterly Risk Management System Data Review • Spreadsheet of Staff Identified in Risk Management System -Corrective Action
Taken • Annual assessment of the Risk Management System, December 2017 • Log of unannounced rounds by supervisors • Monthly Grievances, January-June 2018-randomly selected • All PREA-related inmate grievances, January-June 2018 • Tutwiler spreadsheets documenting inmate disciplinary infractions, January-June
2018 • Gender Responsive Classification Policy • ADOC Women's Services Classification Instruction Manual (draft) • Tutwiler PREA risk factors checklists • Tutwiler PREA risk re-assessments checklists (30-day reassessment) • Tutwiler ADOC mental health referrals to Wexford for PREA assessments • Tutwiler mental health treatment notes for initial PREA assessments • Spreadsheets/logs for the classification checklists • Update on progress of the pilot administration of the WRNA and any data collected. • WRNA Validation Committee’s agenda, notes, and PPT • WRNA Validation Project Proposal • Intake Unit inmate movement sheets • Intake Unit Receiving Log • Intake Unit quarterly workgroup meeting minutes • Dorm Representatives Meeting Minutes • Tutwiler Bed Count Roster for June 5, 2018 • ADOC's Classification PREA risk referral log
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• Wexford new employee orientation Manual • Wexford new Staff Orientation "On-boarding" training curriculum and manual • Wexford staff training records, including post tests for oldest and newest
employees. • Wexford PREA policy • Wexford staff training records • Wexford PREA sexual assault allegations log • Wexford PREA inmate evaluation log • Wexford inmate grievance log • Tutwiler ADOC and Wexford mental health staff meetings minutes - January-
June 2018 • Tutwiler Classification PREA Risk Referral Log • Draft Administrative Regulation 637-Gender Dysphoria Disorder • Gender Identify Committee Review Meeting, Tracking Log • Completed and published PREA audit, May 2016 • Communications log maintained by Lt. Blanding, regarding calls, emails, etc. with
ADOC PREA Coordinator Vincent • Bi-monthly PREA reports from Lt. Blanding to ADOC PREA Coordinator
Vincent • PREA #66 hotline calls log, maintained by Institutional PREA Compliance
Manager for January-June 2018 • Monthly spreadsheet of calls made to ADECA • Notification to inmate population regarding availability of hotline • Copies of Random Inmate Interviews conducted by Lt. Young to monitor
reporting culture for January-June 2018 • Training rosters maintained by Lt. Blanding for January-June 2018 • PREA training documentation for the private transport security staff • Training documentation for Tutwiler staff, contractors, volunteers, overtime staff
in SOPs • PREA & Gender Responsive Refresher Training Facilitator Guide • Randomly selected training evaluations from Tutwiler staff attending the required
PREA (SOP 8-12) and gender responsive training • Log of Pregnant Inmate Intake maintained by Institutional PREA Compliance
Manager • Pregnant Inmate Intakes Statements maintained by Institutional PREA
Compliance Manager • Tutwiler "inmate on inmate harassment" allegation investigations, completed by
Lt. Blanding January-June 2018 • Tutwiler inmate education session attendance logs for January-June 2018 • Final Inmate Orientation Guide • Certification of completion of inmate education on the new Women's Services
Classification Manual • Engaging Women in Trauma-informed Peer Support: A Guidebook • Copies of Gender Responsive Women's Programs Work Group agenda, notes and
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Case 2:15-cv-00368-MHT-TFM Document 29-2 Filed 08/23/18 Page 61 of 71
PowerPoint presentation • Women's Services Handbook (draft) • Tutwiler camera room surveillance logs, January-June 2018 • Tutwiler annual assessment of the camera operations - November 2017 • Tutwiler Gender Responsive Staffing Analysis and plan • Tutwiler staffing updates for January-June 2018 • ADOC Recruitment and Retention data, January-June 2018 • Auburn University's study of Physical Agility Ability Testing (PAAT) ,conducted
for the Alabama Peace Officers' Standards and Training Commission, December 2017 • Tutwiler staff discipline: January-June 2018 • Abusive and Profane Language Intervention Plan • Tutwiler shift duty rosters (noting overtime staff) • Tutwiler list of currently approved overtime employees • Periodic Staff Overtime Reports • Social Service Caseworker lateral transfer announcement approving the filling of positions • Randomly selected Tutwiler shift dorm assignment logs • Correctional Officer Trainee, "Physical Fitness training "assessments/ reports, January-June 2018 • ADOC reports for the staff physical fitness exams results, from the academy, for January-June 2018 broken down by gender • Inmate correspondence received by the monitor during January-June 2018 • PREA-related investigations, completed by ADOC I+I, January-June 2018 • SOP 8-30, Behavior Intervention and Inmate Discipline (draft) • Implementation plan for SOP 8-30 Behavior Intervention and Inmate Discipline • Curriculum for the specialized "investigator " training • SOP 8-24 Disciplinary Segregation
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Attachment B: List of Tutwiler’s Standard Operating Procedures (SOPs)
This is a listing of all of the ADOC and Tutwiler policies provided to the monitors to date. During the previous reporting period, the initial monitor received and reviewed 63 new and revised SOP's for Tutwiler. The monitor reviewed the drafts, provided comments on each to ADOC and received the final ADOC published copies.

SOP 1-1 4-1 4-2 4-3 4-4 4-5 5-00 5-01 5-02 5-03 5-04 5-05 5-06 5-07 5-08 5-09 5-10 5-11 5-12 5-14 5-18 5-20 5-21 5-22 5-23 6-2 6-4 6-6 6-9 6-11 6-12 7-3

TITLE Mission Warden III Assistant Wardens, Warden II & Warden I Correctional Captains Lieutenants & Sergeants - Shift Supervisors Correctional Officers & Trainees Dormitory Security SOP Dormitory A Post Order Dormitory B Post Order Dormitory C Post Order Dormitory D Post Order (Health Care Unit) Dormitory F Post Order Dormitory G & J Post Order (South Hall II) Dormitory I Post Order (South Hall III Dormitory K&M Post Order (Death Row) (South Hall I) Dormitory L Post Order (Segregation Unit) Dormitory H Post Order (Mental Health Unit) Dormitory N / O Post Order (Annex) Annex Back Gate Post Order Tutwiler Back Gate Post Order Sewing Factory Post Order Trade School Security Post Order Kitchen Officer and Chief Steward Post Order Laundry Post Order Gender Specific Posts Referrals to Mental Health Services Reception Mental Health Screening Crisis Intervention Mental Health Observation and Suicide Watch Procedures Closed Residential Treatment Unit (CRTU) Mental Health Unit Dormitory H Stabilization Institutional Security, Sanitation, & Safety Inspections

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SOP 7-7 7-8 7-9 7-10 7-12 7-14 7-17 7-19 7-20 7-29 8-1 8-3 8-5 8-12 8-13 8-14 8-17 8-18 8-19 8-22 8-23 8-24 8-27 8-28 8-29 8-30 8-31 9-5 9-6 9-7 9-9 9-16 11-1

TITLE Searches Use of Force Inmate Count Procedures Emergency Medical Treatment Evacuation of Inmates in Specialized Housing Inmate Pregnancy Security Threat Groups Inmate Visitation Privileges Aid to Inmate Mothers Visitation Criteria Employee / Inmate Relationships Reception and Orientation: Receiving Rules Inmate Transports Controlled Movement Inmate Sexual Abuse and Sexual Harassment Inmate Control Systems (ICS) Inmate Personal Property Tutwiler Inmate Photographs Inmate Drug Screening Youthful Inmates Inmate Grievance Procedures Administrative Segregation Disciplinary Segregation Hygiene Item Issuance Death Row Unit-M LGBTI Inmate Population Behavior Intervention and Inmate Discipline Hair Grooming Overtime / Mandatory Overtime Work Staffing Plan Private Transportation Security Agents Employee Standards of Conduct & Discipline Institutional PREA Compliance Manager Data Collection and Quality Improvement

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Attachment C: Summary of Compliance
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Description

III.A. GENERAL POLICIES AND PROCEDURES
ADOC and Tutwiler shall comply with all provisions of PREA.

ADOC and Tutwiler shall continue to comply with the ADOC’s written policies and procedures mandating zero tolerance

A.1

toward all forms of sexual abuse and sexual harassment.

x

This agreement takes precedence over any ADOC and/or Tutwiler policy governing the operation of Tutwiler that may conflict

with this agreement.

Shall develop; submit to the Monitor and DOJ for review consistent with III.A.6; and Implement policies and procedures

A.2

regarding the management of lesbian, gay, bisexual, transgender, intersex, and gender nonconforming inmates. The policy shall emphasize the rights of lesbian, gay, bisexual, transgender, intersex, gender nonconforming and gender dysphoric

x

inmates to a safe, non-discriminatory and respectful environment.

Continue to comply with ensuring women receive essential supplies, including hygiene and feminine hygiene products,

A.3

tampons and pads; linens; and uniforms by making them available on a monthly basis or more frequently as needed. The policy will continue to require the tracking and distribution of these products. ADOC and Tutwiler will continue to ensure that

x

both tampons and sanitary pads are readily available, free of charge, to Tutwiler inmates.

A.4

Shall develop and implement policies and procedures that incorporate gender-responsive strategies, including policies and procedures governing the use of force against women inmates and discipline of women inmates

x

Shall continue to develop, submit to the Monitor and DOJ for review consistent with III.A.6, and implement facility-specific

A.5

policies and operational practices specific to Tutwiler’s population regarding the supervision and monitoring necessary to

x

prevent inmates from being exposed to unreasonable risk of harm from sexual abuse and harassment.

III.B. CAMERA MANAGEMENT

B.1

Camera management policies and procedures will remain in effect at Tutwiler

x

B.2

Camera management policies and procedures, including the locations where cameras have been placed, will be reviewed at least annually to ensure they are serving their goal of maximum supervision.

x

III.C. STAFFING

C.1(i)

ADOC and Tutwiler shall continue to develop, submit to the monitor and DOJ to assess for compliance with this agreement and implement its plan to recruit women correctional officers at Tutwiler

x

C.2

In order to address low staffing levels and the need for more women officers, ADOC and Tutwiler shall ensure that correctional staffing and supervision is sufficient to adequately supervise inmates and staff and allow for the safe operation of Tutwiler.

x

III.D. TRAINING

D.1

ADOC and Tutwiler shall train all staff who may have contact with inmates with the following:

x

D.2

Within six months of the Effective Date, all staff shall have received training as set out in Section III.D.1

x

D.3

ADOC and Tutwiler shall provide annual refresher training to all staff

x

D.4

The Monitor will work with ADOC and Tutwiler in drafting new training materials and/or revising current training materials set out in III.D.1 and III.D.3

x

D.5

ADOC shall certify and document to Tutwiler’s PREA Compliance Manager, the Department-wide PREA Coordinator, the Monitor, and DOJ, that all staff have been trained

x

III.E INMATE EDUCATION

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Description

(Inmate Education: Intake)

1. ADOD and Tutwiler shall ensure that, during the intake process, all inmates receive information regarding the following

(listed below):

3. Current Tutwiler inmates will receive the information and education described in III.E.1 within three months of the Effective

E.1,3,6,7

Date (by August 28, 2015). 6. Consistent with current policy, ADOC and Tutwiler shall ensure that the information outlined in III.E.1 is conveyed and made

x

available in formats accessible to all inmates, including those who are limited English proficient, deaf, visually impaired, or

otherwise disabled as well as to inmates who have limited reading skills.

7. ADOC and Tutwiler shall provide the Monitor and DOJ for their review consistent with Section III.A.6 any materials or

curriculum utilized to satisfy the requirements of III.E.1

(Inmate Education: Comprehensive)

2. Within 14 days of intake, ADOC and Tutwiler shall provide comprehensive orientation education to inmates either

conducted in-person or through a video presented by an in-person facilitator regarding their rights to be free from sexual

abuse and sexual harassment and to be free from retaliation for reporting such incidents, and regarding their policies and

procedures for responding to such incidents.

3. Current Tutwiler inmates will receive the information and education described in III.E.2 within three months of the Effective

Date (by August 28, 2015).

4. ADOC and Tutwiler shall ensure that the individual conducting or facilitating the comprehensive inmate educational

orientation is trained on Tutwiler’s and ADOC’s policies and procedures related to sexual abuse and sexual harassment, the

E.

PREA standards, and this Agreement.

2,3,4,5,6,7,8

5. The individual conducting or facilitating the comprehensive inmate orientation education shall remain in the room during the entire orientation and shall monitor the inmates for reactions to and understanding of the information. A mental health

x

practitioner will serve as an advisor to the orientation process and services will be available during the orientation process if

indicated.

6. Consistent with current policy, ADOC and Tutwiler shall ensure that the information outlined in III.E.2 is conveyed and made

available in formats accessible to all inmates, including those who are limited English proficient, deaf, visually impaired, or

otherwise disabled as well as to inmates who have limited reading skills.

7. ADOC and Tutwiler shall provide the Monitor and DOJ for their review consistent with Section III.A.6 any materials or

curriculum utilized to satisfy the requirements of III.E.1

8. ADOC and Tutwiler shall maintain documentation of inmate participation in the education sessions required by III.E.2.

III.F. GENDER-RESPONSIVE CLASSIFICATION

Within two months of the Effective Date, ADOC and Tutwiler shall convene a working group to evaluate methods to decrease

F.1

or eliminate Tutwiler’s use of Dorm A for a period of time that exceeds 48 hours while screenings are completed, including an examination of the necessity of PAP test and/or other medical, mental health, or intellectual test results prior to classification

x

and failures to provide adequate continuity in medical and mental health care to Dorm A residents

F.2

Within six months of convening of the working group, ADOC and Tutwiler shall retain an expert in gender responsive assessment and classification.

x

3. The approved plan for implementation of the classification system shall be managed by an implementation workgroup and

completed within two years of the approval of plan

F.3,4

4. The system shall provide programs that incorporate gender responsive principles and address the needs of women inmates at Tutwiler, including those addressing sexual abuse, sexual harassment, and trauma; domestic violence; dating violence; and

medical and mental health care.

III.G RISK ASSESSMENT

G.1

ADOC and Tutwiler shall continue to utilize a risk assessment instrument to screen for risk of victimization and abusiveness

x

x
(not due until 3/28/2019)

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Description

G.2,3

2. Inmates at high risk for sexual victimization shall not be placed in involuntary segregation housing due to their high risk of victimization unless an assessment of all available alternatives has been made, and a determination has been made that there is no available alternative means of separation from likely abusers. Such an assessment and determination shall be documented, explain the basis for Tutwiler’s concern for the inmate’s safety and the reason why no alternative means of
separation can be arranged. A review of such determination must be afforded each inmate at least every 30 days to determine x
whether there is a continuing need for separation from the general population.

3. Inmates placed in segregated housing Due to potential victimization shall, to the extent possible, have full access to programs, privileges, education, and work opportunities as inmates in general population housing.

III.H. INMATES’ RIGHT TO PRIVACY

H.1

Cross-Gender Searches : ADOC and Tutwiler shall continue to comply with its policy regarding cross-gender pat and strip searches

x

2.i Cross- Gender Viewing: ADOC and Tutwiler shall develop, submit to the Monitor and DOJ for review consistent with Section A.III.6, and implement policies and procedures that enable inmates to perform bodily functions – such as showering,

bathing, and using the toilet – and change clothing without nonmedical staff of the opposite gender viewing their breasts,

buttocks, or genitalia, except in exigent circumstances of when such viewing is incidental to routine cell checks

H.2

x

2.ii ADOC and Tutwiler shall develop, submit to the Monitor and DOJ for review consistent with Section III.A., and implement

policies and procedures regarding the method of conducting inmate counts. This policy and procedure shall limit inmate

movement during inmate counts and shall prohibit the practice of conducting inmate counts while inmates are likely to be in

the shower and toilet areas

H.3

ADOC and Tutwiler shall continue to implement its plan to address the architectural features that contribute to a lack of privacy for inmates while showering or using the toilet

x

III.I REPORTING ALLEGATIONS OF SEXUAL ABUSE AND SEXUAL HARASSMENT

ADOC and Tutwiler shall continue to comply with its policy on reporting allegations of sexual abuse and sexual harassment.

Any modification of that policy shall be submitted to DOJ and the Monitor for review consistent with Section III.A.6. ADOC

I.1

and Tutwiler shall provide multiple internal methods, including a grievance process and at least one confidential method, for

x

inmates to report sexual abuse and sexual harassment, retaliation by other inmates or staff for reporting sexual abuse and

sexual harassment, and staff neglect or violation of responsibilities that may have contributed to such incidents.

I.2,3

2. ADOC and Tutwiler shall also provide at least one way for inmates to report abuse or harassment to a public or private

entity or office that is not part of the agency, and that is able to receive and immediately forward inmate reports of sexual

abuse and sexual harassment to agency officials, allowing the inmate to remain anonymous upon request. The method provided should be through a toll-free number or other method as agreed to by the Monitor and DOJ.

x

I.4,5

3. ADOC and Tutwiler shall provide a method for staff to confidentially report sexual abuse and sexual harassment of inmates

4. Third parties shall be permitted to assist inmates in filing requests for administrative remedies relating to allegations of sexual abuse and sexual harassment, and shall also be permitted to file such requests on behalf of inmates

5. All third party reports of sexual abuse and sexual harassment shall be forwarded immediately to the Departmental PREA

x

Coordinator and be investigated and processed in accordance with Policy. As part of this process, the Departmental PREA

Coordinator will inform Tutwiler’s PREA Compliance Manager of all third party reports received.

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Description

I.6, 6.viii

6. Grievances: ADOC and Tutwiler shall continue to develop and submit policies and procedures for an inmate Grievance System to the Monitor and DOJ for review within three months of the effective date and, within four months of the effective date, implement the inmate Grievance System. This policy shall clearly prohibit retaliatory practices by staff against inmates who file a grievance and should include the requirements listed in III.I.6.ii-ix
x
6.viii ADOC and Tutwiler shall develop, submit to the Monitor and DOJ for review consistent with Section III.A.6, and implement policies and procedures for the filing of an emergency grievance where an inmate is subject to a substantial risk of imminent sexual or physical abuse

I.7,8,9 I.10.i

7.ADOC and Tutwiler shall require all employees to report immediately: Any knowledge, suspicion, or information regarding an incident or alleged incident of sexual abuse or sexual harassment that occurred in Tutwiler, in transport vehicles, or in any off-site facilities under the control and supervision of ADOC or Tutwiler; Retaliation against inmates or staff who reported such an incident; and any staff neglect or violation of responsibilities that may have contributed to an incident or retaliation.

8.Apart from reporting to designated supervisors or officials, staff shall not reveal any information related to a sexual abuse or

x

sexual harassment report to anyone other than to the extent necessary to make treatment, investigation, and other security

and management decisions.

9.ADOC and Tutwiler shall report all allegations of sexual abuse and sexual harassment, including third party reports, anonymous reports, and inmate grievances, to Tutwiler’s or ADOC’s designated investigator

Protecting Inmates and Staff from Retaliation:

i.Consistent with ADOC policies, ADOC and Tutwiler shall protect all inmates and staff who report allegations of sexual abuse

or sexual harassment or cooperate with sexual abuse or sexual harassment investigations from retaliation by other inmates or staff, and shall designate Tutwiler’s PREA Compliance Manager with monitoring allegations of retaliation concerning inmates.

x

Allegations of retaliation against employees will be investigated and processed in accordance with ADOC personnel policy.

III.J. OFFICIAL RESPONSE TO AN ALLEGATION OF SEXUAL ABUSE AND SEXUAL HARASSMENT

J.1

When ADOC or Tutwiler learns that an inmate may be subject to a substantial risk of imminent sexual abuse, ADOC or Tutwiler shall take immediate action to protect the inmate.

x

ADOC and Tutwiler shall continue to comply with Policy and Tutwiler Standard Operating Procedures to coordinate actions

J.2

taken in response to an allegation of sexual abuse, among first staff responders, medical and mental health practitioners, investigators, and Tutwiler leadership, including time frames and lists of whom staff should report to in specific situations and

x

guidelines regarding the collection of physical evidence.

3.ADOC and Tutwiler shall respond to reports of sexual abuse and sexual harassment or threats of sexual abuse or sexual

harassment without regard to an inmate’s known or perceived sexual orientation or gender identity.

J.3,6

6.ADOC and Tutwiler shall not place in protective custody an inmate who is alleged to have suffered sexual abuse or sexual harassment solely for the purpose of protecting that inmate, unless a determination, documented in writing and reviewed by

x

the PREA Compliance Manager or the Warden’s designee within 24 hours, has been made that there is no available

alternative means of separation from likely abusers.

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Description

J.4,5

4.The written institutional plan shall include procedures that address how staff respond upon learning of an allegation that an inmate was sexually abused; described below

5. If the first staff responder is not a security staff member, the responder shall be required to request the alleged victim not

x

take any actions that could destroy physical evidence, and then notify security staff.

To the extent they do not already exist, ADOC and Tutwiler shall develop, submit to the Monitor and DOJ for review consistent

J.7

with Section III.A.6., and implement policies and procedures to provide access to medical and mental health services to women identified as potential or actual victims of sexual abuse and sexual harassment, that occurred either at Tutwiler or

x

elsewhere, including the following:

III.K REFERRALS AND INVESTIGATIONS

1.ADOC investigators shall continue to investigate allegations of sexual abuse or sexual harassment consistent with their

authority as criminal investigators and consistent with Policy and Alabama law. Completed investigations of sexual abuse and

sexual harassment will be referred to local prosecutors as appropriate.

K.1,2

2. When ADOC conducts its own investigations into allegations of sexual abuse or sexual harassment, it shall do so promptly, thoroughly, and objectively for all allegations, including third party and anonymous reports. Administrative investigations shall

x

be completed regardless of the results of any criminal investigations and regardless of the subject’s continued employment by

ADOC

ADOC and Tutwiler shall develop, submit to the Monitor and DOJ for review consistent with Section III.A.6., and implement

K.4

guidelines for the immediate initiation of an investigation and/or review upon learning of an allegation of sexual abuse or sexual harassment and develop a process for monitoring those guidelines. The guidelines shall also ensure that

x

investigations that include any allegations of sexual abuse or sexual harassment are properly labeled as such.

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Description

Investigators

3.The use of pre-hearing segregation shall be limited to inmates whose continuing behavior is a threat to facility safety, or who

will not stop the prohibited behavior. Such pre-hearing segregation shall not be used for more than 72 hours, at which time an

inmate must be afforded a disciplinary hearing, or provided a written explanation of why the hearing is postponed and when

the hearing will be re-scheduled.

5.Where sexual abuse or sexual harassment is alleged, ADOC shall use investigators who have received special training in

institutional sexual abuse and sexual harassment investigation. Specialized training shall include techniques for interviewing

sexual abuse victims, proper use of Miranda and Garrity warnings, sexual abuse evidence collection in confinement settings,

and the criteria and evidence required to substantiate a case for administrative action or prosecution referral. ADOC shall

maintain documentation that agency investigators have completed the required specialized training in conducting sexual

abuse investigations. The Department-wide PREA Coordinator and Tutwiler's PREA Compliance Manager shall not serve as

investigators for sexual abuse investigations.

7.The credibility of an alleged victim, suspect, or witness shall be assessed on an individual basis and shall not be determined

K.3,5,7,8,9,10

by the person’s status examinations or other

as inmate or staff. ADOC or Tutwiler are prohibited from offering or administering polygraph truth-telling devices to an inmate who alleges sexual abuse or sexual harassment.

x

8.ADOC shall issue a written investigative report within 30 days after the conclusion of a sexual abuse or sexual harassment

investigation that indicates whether the allegation is substantiated, unsubstantiated, or unfounded. The investigator may

request in writing, approved by the facility designee, an extension for cause that identifies the remaining actions necessary to

complete the investigation. In no case shall the investigation be unfounded solely Due to the expiration of the 30 days. The

investigative report shall include an effort to determine whether staff actions or failures to act contributed to the abuse, a

description of the physical and testimonial evidence, the reasoning behind credibility assessments, and investigative facts and

findings.

9.ADOC shall work with the Monitor on ensuring that an investigative summary sheet that provides an overview of the current

status of an investigation is included. The summary information should include, among other things, basic information such

as staff name(s), prisoner names(s), location of incident, and the time of day.

10.The departure of the alleged perpetrator or victim from the employment or control of ADOC or Tutwiler shall not provide a

basis for terminating an investigation.

Outside Investigations; Inmate Notification

11.When outside agencies investigate alleged incidents of sexual abuse, ADOC and Tutwiler shall cooperate with outside

investigators and shall endeavor to remain informed, to the extent appropriate, about the progress of the investigation.

12.Following an investigation into an inmate’s allegation that she suffered sexual abuse or sexual harassment in any ADOC

facility or while within the physical custody and control of the ADOC, ADOC and Tutwiler shall inform the inmate as to whether

K.11,12,13, 14, 15

the allegation has been determined to be substantiated, unsubstantiated, or unfounded. 13.If ADOC or Tutwiler did not conduct the investigation, it shall request the relevant information from the investigative agency

x

in order to inform the inmate.

14.Following an inmate’s allegation that a staff member has committed sexual abuse or sexual harassment against the

inmate, ADOC and Tutwiler shall subsequently inform the inmate whenever: (see below)

15.All such notifications or attempted notifications shall be documented.

K.16,17

Investigations Review

16.A review team, including upper-level management officials at Tutwiler, with input from line supervisors, investigators, and

medical and mental health practitioners, shall conduct an incident review within 30 days of the conclusion of every

investigation of substantiated and unsubstantiated allegations of sexual abuse or staff-on-inmate sexual harassment. The

x

review team shall: (see below)

17.ADOC and Tutwiler shall implement the recommendations for improvement or shall document its reasons for not doing so.

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Description

K.18

.Within 60 days of the Effective Date, ADOC and Tutwiler shall review all pending investigations alleging sexual abuse and

sexual harassment to determine whether the investigation was conducted according to the requirements of Section III. K. of

this Agreement.

Within 120 days of the Effective Date, ADOC and Tutwiler will conduct a similar review of all unfounded allegations of sexual

x

assault and sexual harassment for the past 360 days to determine whether the investigation was conducted according to the

requirements of Section III. K. of this Agreement.

III.L STAFF DISCIPLINARY ACTIONS

ADOC and Tutwiler shall develop, submit to the Monitor and DOJ for review consistent with Section III.A.6., and implement

L.1

policies and procedures that track staff disciplinary actions related to allegations of sexual abuse or sexual harassment, to

x

ensure that the directives in III.L.2-III.L.6 below are met.

III.M Limited English Proficient (LEP) Inmates

ADOC and Tutwiler shall work with the Monitor to develop and implement a policy providing for a method of interpretation

M

services for LEP inmates. This method may be through a language telephone line, if necessary. ADOC and Tutwiler shall not x

rely on other inmates or non-certified employees to translate and/or interpret for LEP inmates.

IV. Quality Improvement and Data Collection

A. Within one year of the Effective Date, ADOC and Tutwiler shall develop and submit to the Monitor and DOJ for review

consistent with Section III.A.6., and implement, written quality improvement policies and procedures adequate to identify and

address any deficiencies in ADOC and Tutwiler’s prevention, detection and response to sexual abuse and sexual harassment

at Tutwiler and to assess and ensure compliance with the terms of this Agreement.

B. Within three months of the Effective Date, ADOC shall convene a state-wide working group to evaluate how other state and

ADOC entities may contribute to Tutwiler’s compliance with this Agreement.

C. ADOC and Tutwiler shall establish a system wherein they routinely poll inmates regarding their perceptions of the

implementation of the specific terms of this Agreement including the prevalence of staff sexual abuse and sexual harassment,

M

inmate vulnerability to sexual abuse and sexual harassment, the investigation and discipline of staff accused of sexual abuse

x

and sexual harassment, the efficacy of inmate education regarding sexual abuse and sexual harassment, privacy in the

showers and toilets, the appropriateness of inmate classification, the levels of staff supervision, the efficacy of the reporting

systems for sexual abuse and sexual harassment including grievances, and official responses to, and retaliation for,

allegations of sexual abuse and sexual harassment.

D. ADOC and Tutwiler shall develop, implement, and maintain, in consultation with the Monitor, a Risk Management System

(“RMS”) that will document and track facility trends related to: (1) sexual abuse or sexual harassment; (2) unprofessional staff

conduct involving inmates, including sexually explicit, vulgar, or degrading language; and (3) use of force incidents.

 </s> Case 2:15-cv-00368-MHT-TFM Document 37-2 Filed 08/27/19 Page 1 of 79 IN THE UNITED STATES DISTRICT COURT
FOR THE MIDDLE DISTRICT OF ALABAMA, NORTHERN DIVISION

UNITED STATES OF AMERICA,

)

)

PLAINTIFF,

)

)

v.

)

)

THE STATE OF ALABAMA AND THE )

ALABAMA DEPARTMENT OF

)

CORRECTIONS,

)

)

DEFENDANTS

)

Civil No. 02:15cv368-MHT

Monitor’s Eighth Compliance Report

Case 2:15-cv-00368-MHT-TFM Document 37-2 Filed 08/27/19 Page 2 of 79
Table of Contents
Introduction ........................................................................................................................... 3 Specific Actions to Evaluate Compliance ........................................................................ 3
Executive Summary............................................................................................................... 6 Intent of the Report ........................................................................................................... 6 Alabama Department of Corrections: Progress, Strengths and Challenges ................ 6 Progress ............................................................................................................................ 6 Alabama Strengths ......................................................................................................... 38 Alabama Challenges....................................................................................................... 44
Logistics ................................................................................................................................ 54 Compliance Visit .............................................................................................................. 54 Monitoring Tool ............................................................................................................... 62
Summary of Compliance..................................................................................................... 64 Closing Observations........................................................................................................... 65 Attachment A: List of Documents Used for Compliance Report.................................... 67 Attachment B: List of Tutwiler’s Standard Operating Procedures (SOPs) .................. 70 Attachment C: Summary of Compliance .......................................................................... 72
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Introduction
The State of Alabama and the United States Department of Justice (DOJ) entered into a settlement agreement on May 28, 2015. The agreement involves a comprehensive set of provisions regarding the safety and security of the women offenders housed at the Tutwiler Prison for Women (Tutwiler). The purpose of this compliance report is to document the progress of the actions of the Alabama Department of Corrections (ADOC) and Tutwiler in response to the specific requirements of the provisions in the settlement. This is the eighth required court report, due August 28, 2019, submitted by independent monitor Kathleen Dennehy. This Court approved Ms. Dennehy as monitor on August 26, 2016.
Ms. Dennehy conducted a compliance visit June 4 -7, 2019. This report describes the actions taken by the monitor to determine compliance and uses the time frame January 1, 2019 to June 30, 2019 as the "reporting period.”
The settlement uses four levels to measure compliance: substantial compliance, partial compliance, non-compliance, and not applicable (N/A). The Summary of Compliance section of this report at page 72 includes a chart summarizing the compliance status for each provision.
Specific Actions to Evaluate Compliance The monitor took the following specific actions to evaluate compliance: 1) Compliance Visit: During monitor Dennehy's June 2019 compliance visit with the ADOC and Tutwiler, she interviewed central office staff, including executive leadership and section managers, who have
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responsibilities related to ADOC duties and Tutwiler compliance with the settlement. Monitor Dennehy also interviewed ADOC staff assigned to Tutwiler, including the facility's top leadership, staff with specific settlement responsibilities, and the Institutional Prison Rape Elimination Act Compliance Manager (IPCM). The monitor asked Tutwiler administration to issue a facility wide notice asking inmates to sign-up to speak with the monitor during her June 2019 visit. Throughout the compliance visit, the monitor was provided meeting space to engage in private conversations with these staff and inmates. In addition to these formal, private interviews, the monitor was afforded open access to staff and inmates during the monitoring visit and had many opportunities to question and engage in conversations with both staff and inmates while touring the housing and program areas. These staff members were diverse in gender, race, and years of experience in corrections. 2) Documents: The monitor reviewed multiple ADOC and Tutwiler documents during this reporting period. These documents included: previously promulgated ADOC and Tutwiler policies; ADOC and Tutwiler policy drafts; and training curricula, attendance records, and materials. Prior to the June 2019 compliance visit, the monitor requested and received many documents, including inmate polling results, randomly selected inmate grievances, as well as an update on the activities of the Gender Dysphoria Committee, to prepare for a tour of the facility and staff and inmate interviews. During the tour, the ADOC allowed the monitor
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access to investigations, training files, staff rosters, and shift reports. The ADOC provided full access to records maintained by the IPCM, Lt. Felisha Blanding; Grievance Coordinator, Ms. Tina Tyler; and Settlement Compliance Manager, Warden Lagreta McClain. After the compliance visit, the monitor requested and received additional documents to substantiate and assess the progress of the work and actions taken by the ADOC and Tutwiler in response to the requirements of each section of the settlement agreement. 3) Correspondence: Tutwiler has a notice posted throughout the facility, with correspondence addresses for the monitor. During this reporting period, the monitor did not receive any correspondence from third parties. The monitor received correspondence from four Tutwiler inmates prior to the monitoring visit. These letters addressed a wide range of complaints and allegations, including allegations of drug dealing of pills that have been "cheeked" by inmates at the medication line; favoritism by staff towards some inmates; perceived racial discrimination against inmates seeking bi-racial romantic relationships, staff's inconsistent adherence to policy; and specific allegations of unprofessional conduct by some staff members. The monitor reviewed each letter and requested additional information from ADOC officials to better assess the contents of the correspondence and to request follow-up action where appropriate. In each instance, the ADOC provided timely and appropriate responses to the monitor.
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4) Communication: The monitor had multiple communications with Deputy Commissioner Wendy Williams during this reporting period to request investigative summaries and to address questions about inmate correspondence, grievances, or other documents reviewed by the monitor. The ADOC and Tutwiler staff has consistently provided timely and thorough responses for each information request made by the monitor.
Executive Summary
Intent of the Report This report is made to inform the Court and the parties of the monitor’s
assessment of the current progress and status of the ADOC and Tutwiler compliance with the settlement provisions and requirements. The monitor provides feedback for the ADOC and Tutwiler in each section. In some sections of the report, the monitor includes recommendations for actions by the ADOC and Tutwiler over the next reporting period.
Alabama Department of Corrections: Progress, Strengths and Challenges Progress
As in prior reporting periods, the monitor observed steady, continuing progress by the ADOC and Tutwiler towards reaching full compliance1 with the terms of the settlement agreement. In this eighth compliance report, the monitor has determined that Tutwiler and the ADOC have achieved "substantial compliance" with forty-one sections and "partial compliance" with 2 sections of the agreement.2 One section has not yet been
1 The definitions of degrees of compliance are addressed in the Summary of Compliance section of this report at page 56. 2 One settlement agreement provision was not subject to compliance assessment until March 2019 , a date
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assessed for compliance, but will be during the monitor's December 2019 visit. Attachment C provides a detailed summary of the monitor’s compliance determinations.
The narrative that supports the compliance ratings in this eighth compliance report illustrates Tutwiler and the ADOC’s continued progress under the settlement agreement. In the first court report filed February 24, 2016, the monitor found the ADOC and Tutwiler in "substantial compliance” with 12 sections of the settlement agreement. In the second report filed August 25, 2016, the monitor found the ADOC and Tutwiler in "substantial compliance” with a total of 37 sections of the agreement. In the third report filed March 28, 2017, the monitor determined “substantial compliance” in 39 sections and "partial compliance" in 4 sections of the agreement. In the fourth, fifth, and sixth compliance reports, the monitor determined "substantial compliance" with 40 sections and "partial compliance" with 3 sections of the agreement. In the seventh compliance report the monitor determined that Tutwiler and the ADOC achieved "substantial compliance" with 41 sections and "partial compliance" with 2 sections of the agreement.
The findings of "substantial compliance" and "partial compliance" are specific to the monitor’s observations and findings of fact regarding the ADOC and Tutwiler’s degree of compliance with the requirements of the various sections. The monitor understands these compliance determinations reflect a "continuum" of staff actions that will be evaluated in each court report.
originally set based upon the expected implementation schedule forecast in the settlement. Implementation was delayed due to software and staffing issues. The monitor will assess compliance with this remaining requirement during the December 2019 visit.
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General Policies and Procedures The ADOC and Tutwiler continue to maintain written policies to prevent sexual
abuse and sexual harassment. The current policy in place at Tutwiler that contains Prison Rape Elimination Act (PREA) provisions is Standard Operating Procedure (SOP) 8-12, Inmate Sexual Abuse and Sexual Harassment. This procedure incorporates recommendations previously made by the DOJ and the monitor.
In group discussions, formal individual interviews, informal discussions, and interactions and observations while touring, staff members consistently demonstrated to the monitor an awareness of their responsibilities regarding reporting allegations of sexual abuse and sexual harassment, safety for inmates, and investigative processes. Staff consistently demonstrated on-the-job knowledge of the policies and procedures on which they have been trained.
On September 28, 2017, the ADOC forwarded the final version of SOP 8-30, Behavior Intervention & Discipline Policy, to the DOJ and monitor. Although Warden Wright signed off on the policy in September, a commitment was made to not publish or disseminate the new policy until Tutwiler completed all the required staff training and inmate education on the new policy. All ADOC staff working at Tutwiler, as well as staff members who work for the contracted inmate mental health and medical services providers, were required to attend this training. This policy became effective January 1, 2018 and seeks to establish a disciplinary structure and process that is evidence-based, strength-based, gender-responsive, and trauma-informed, and that reinforces a safe facility culture by motivating inmate behavior and encouraging self-management. The goal is to hold inmates accountable for their behaviors and actions utilizing mediation,
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cognitive behavioral interventions, and the lowest possible disciplinary sanction to address rule violations. Employees may respond to low-level misconduct by verbal redirection, which may include: helping the inmate to refocus on more productive behavior and positive tasks; collaborative problem solving with the inmate; and engaging inmates through motivation strategies. The Behavior Intervention Program was developed for those inmates who have already engaged with employees on the verbal redirect level and continue to violate rules, or for those who violate a medium-level misconduct rule and for whom verbal redirection is not appropriate. Appropriate strategies to address behaviors or specific rule violations are recommended by the charging official and approved by the shift supervisor. Examples of these kinds of interventions include: journaling, book reading assignments and book reports, restorative actions, and/or a referral to a counselor or case manager. The traditional, formal disciplinary process is reserved for instances when verbal redirection and the Behavior Intervention Program have been unsuccessful, or a serious incident has occurred. The new policy provides guidelines but allows for staff discretion based upon the circumstances. The new policy has been met with mixed reviews by both staff and inmates as expected because implementation of this policy requires a significant shift in both the inmate and staff cultures. All involved in implementation agree that this culture shift requires sustained supervision, ongoing monitoring of the implementation of this policy, and additional staff training and inmate education as needed.
The finalization of SOP 8-24, Disciplinary Segregation, was contingent on the implementation of SOP 8-30, Behavior Intervention & Discipline Policy, as the final version of SOP 8-24 had to align with changes made to SOP 8-30. These two policies
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were the last SOPs that were required to be finalized in accordance with the settlement agreement.
As requested by the monitor, Warden Wright provided an updated progress report on the implementation of SOP 8-30 Behavior Intervention & Discipline Policy, and SOP 8-24, Disciplinary Segregation, during the June 2019 compliance visit. From January 1, 2019 through May 20, 2019, a total of 153 verbal redirections were issued and 24 behavioral interventions were employed. A total of 117 disciplinary reports were written for behavior including, but not limited to: fighting without a weapon; assault on an inmate; use of alcohol, narcotics, or other intoxicants; and creating a security, safety, or health hazard. Behavior intervention strategies included: completing a "taking responsibility questionnaire;" engaging in a stress management activity; completing an anger management worksheet; completing a hygiene worksheet; or engaging in an activity focused on listening and getting along with others.
The monitor is now satisfied that both SOP 8-30 Behavior Intervention & Discipline Policy, and SOP 8-24, Disciplinary Segregation policies have been fully implemented but encourages Tutwiler's administration to continue to provide sustained monitoring of the application of these two SOPs and to provide additional staff training and inmate education to reinforce the intent and requirements of this policy. It is critically important that mid-level managers and supervisors exercise leadership and supervision and demonstrate support of this culture change when interacting with their direct reports and inmates. In both formal and informal interviews, many inmates expressed concern that some inmates were manipulating the system to avoid disciplinary sanctions and expressed their frustration at the perception that other inmates are not being held
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accountable for their conduct. Some staff members expressed similar concerns to the monitor. This is understandable, inasmuch as inmates are not privileged to see the outcome of another inmate's disciplinary charge. Without a high profile placement in the disciplinary segregation unit, an inmate would not be able to determine another inmate's sanction with certainty.
On November 13, 2018, ADOC provided the DOJ and monitor with a draft copy of a new SOP describing a proposed Structured Living Unit (SLU). This unit, which is under consideration, would replace Tutwiler's Restrictive Housing Unit (RHU). If the SOP is implemented in its current format, as proposed, Tutwiler would no longer operate a RHU and would only operate a SLU, a Residential Treatment Unit, and a Stabilization Unit. The SLU would house "persons with serious mental illness or who are otherwise found to be inappropriate for restrictive housing placement." Tutwiler would also place inmates with a "disciplinary segregation" sanction in the SLU to serve a specified number of days as needed, in effect, creating a "disciplinary structured-living placement." The DOJ and monitor have provided their comments on the proposed SOP for ADOC's review. As of the June 2019 Compliance Visit, this proposal is still under review by ADOC officials. Many operational and clinical details will need to be addressed should establishment of this unit be approved. The monitor urges special attention be given to the clinical staffing levels designated to support this new unit. Also, a significant amount of staff training for both correctional and clinical staff will be necessary.
Camera Management Both staff and inmates continue to express appreciation of the significant role
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cameras play in the prevention of sexual abuse and the important role the camera footage plays in investigations and in holding both staff and inmates accountable.
ADOC and Tutwiler conducted their second annual camera review meeting in November 2017. The third annual camera review meeting was held December 13, 2018, and the ADOC PREA Coordinator attended as recommended by the monitor. The monitor reviewed the minutes from this meeting and the resulting action plan, which addressed recommended camera adjustments and the repair of some connection failures. During this monitoring visit, the monitor visited the camera operations room and remains quite impressed with the cameras' capabilities, as well as the staff's maintenance of the equipment. The on-duty staff were fully attentive and engaged in their duties.
The video surveillance system has additional capabilities that are not yet activated. Tutwiler submitted a spending request to support the activation of audio capabilities for some cameras. This request was still pending as of the June 2019 Compliance Visit.
The monitor is aware that Tutwiler's camera system does not have audio recording capacity. In many allegations of either staff or inmate misconduct, the issue at hand is the language spoken, not the physical actions of a staff member or an inmate. Should funding and the opportunity present itself, the monitor would encourage consideration of initiating a pilot body camera program for security staff at Tutwiler.
Staffing The settlement agreement requires the development of a professional staffing
analysis and for a plan based on this analysis to be presented to the ADOC and Tutwiler.
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ADOC and Tutwiler expended considerable funds to have a staffing analysis conducted at Tutwiler by nationally recognized experts to research and develop a gender-responsive staffing plan for Tutwiler. This staffing plan was informed by gender-responsive principles identified by the National Institute of Corrections (NIC), PREA requirements, DOJ settlement agreement requirements, and emerging correctional practice.
For the first court report, former monitor Lancaster was asked to review the schedule for the Phase II Staffing section due to its complexity, multiple requirements, and need for a tremendous amount of data from ADOC and Tutwiler. Monitor Lancaster provided recommendations in the first court report and noted concerns at that time about the timeframes established in the settlement for the completion of the analysis and the implementation of the staffing plan. Revisions to the schedule were strongly recommended by the monitor at the beginning, and project extensions were granted.
ADOC submitted the draft staffing analysis to the DOJ and monitor in the Spring 2016. Both the DOJ and monitor Lancaster offered comments on this draft in late June 2016. On August 16, 2016, ADOC sought clarification regarding some of DOJ's feedback.
During the December 2016 compliance visit, the ADOC asked the new monitor to review the draft staffing plan and the DOJ's comments in an attempt to clarify all comments for ADOC's review and response. On January 30, 2017, monitor Dennehy provided ADOC with extensive feedback.
The monitor recognizes that a solid staffing analysis and plan is fundamentally important as a tool to determine the number and type of employees needed to staff Tutwiler. The plan is a dynamic document that examines the nature of the work to be
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done in terms of volume, location, duration, and gender restrictions. A solid analysis of staff requirements is instrumental to identifying the knowledge, skills, and abilities needed for a gender-responsive, trauma-informed Tutwiler workforce. This a complex and challenging task, complicated by a high percentage of position vacancies, a high rate of staff call outs, critical posts being filled by mandating overtime for officers, assigning supervisors to work line posts, and doubling up officer posts. The consultant's draft report noted the current vacancy rate has a significant impact on the development and implementation of a staffing plan. Given the complexity of this task, both the ADOC and the DOJ agreed that additional time was needed for ADOC to work through the DOJ and the monitor's comments and finalize the plan. Monitor Dennehy approved an extension to June 1, 2017.
The ADOC continued to work with the monitor and the DOJ towards developing a final, approved staffing analysis to ensure it effectively incorporated the genderresponsive principles required in the settlement agreement. The monitor approved an additional extension to September 2017 to allow ADOC sufficient time to review and respond to each recommendation made by the DOJ and monitor.
On July 26, 2017, the ADOC provided the DOJ and monitor a copy of the finalized staffing plan and a matrix listing every comment and suggestion previously provided to the ADOC by the DOJ and monitor, together with an explanation for what was modified and what was not included in the final plan issued by the ADOC. The monitor reviewed the staffing plan and ADOC's documented consideration of the monitor and DOJ's recommendations.
ADOC and Tutwiler are balancing several record productions and reporting
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requirements under this settlement agreement and other court actions. The monitor requested ADOC and Tutwiler provide periodic progress updates on the implementation plan addressing the recommendations made in the staffing plan. Warden Wright provided the monitor an update during this compliance visit. As of June 4, 2019 Tutwiler had implemented 20 of 22 recommendations in the staffing plan. Tutwiler moved the inmates’ breakfast meal by 90 to 120 minutes later in April 2019 and adjusted subsequent activities to increase staffing efficiency to lower peak staffing demands and to provide inmates with more hours to sleep.
The monitor recognizes the full implementation of the staffing plan is ongoing and will continue to request these periodic implementation progress updates. In addition to the aforementioned reports, in compliance with Section III.C.2.vi of the Settlement Agreement, ADOC and Tutwiler are required to submit quarterly staffing reports to the monitor and the DOJ. These reports account for new employees, transfers, resignations, and retirements. During this reporting period, the monitor received a report on March 5, 2019 and June 10, 2019.
The settlement agreement also requires ADOC and Tutwiler to submit a biannual staffing report covering the six-month period after the development of the staffing plan. This first report covered the timeframe July 26, 2017, through January 26, 2018, and was submitted to the DOJ and the monitor on March 13, 2018. On September 4, 2018, ADOC and Tutwiler provided the DOJ and the monitor with the second biannual staff report, which analyzed staffing during the period January 27, 2018, through July 27, 2018. The next annual staffing report will be due to the DOJ and the monitor after July 26, 2019.
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Going forward, an annual staffing report will be provided to the DOJ and monitor, beginning in August 2019 and thereafter until termination of the Agreement.
The monitor remains concerned about correctional officer staffing levels at Tutwiler. As of June 30, 2019 there were 61 correctional officers and 9 basic correctional officers on staff (44 females and 26 males). Only 44% of Tutwiler's correctional officer positions were filled.
The monitor also appreciates the efforts Tutwiler has taken to mitigate the issues resulting from understaffing. Those steps have included a reliance on overtime and using employees who are non-Alabama Peace Officers' Standards and Training Commission (APOSTC) correctional officers for certain jobs, such as monitoring the prison's camera system, placing supervisors on line posts when needed to maintain operations, and doubling up correctional officer housing posts. The ADOC continues the practice of allowing officers from other ADOC facilities to work overtime, or otherwise be temporarily assigned at Tutwiler, only after those officers have been trained as required by the settlement agreement. The monitor cross-referenced staff training attendance records with the names of officers on overtime rosters, and has verified that this training requirement is being met. The Tutwiler staffing plan calls for one officer to be assigned to each dorm. It has become the norm that some posts must be doubled each shift as a result of low staffing levels. When this occurs, one officer must cover two dorms; however, video surveillance is constant in all dorms. Occasionally, supervisors are pulled from their assignments to perform correctional officer duties. While these efforts may be workable in the short term, they do not, in the monitor's strongly held opinion, present a long term solution to the chronic staffing shortage. As such, the recruitment and retention
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of qualified staff is critically important and will be addressed later in this report. Going forward, the monitor recognizes that the staffing plan is evolving and will
also need to be revisited periodically as the facility schedule, programming changes, and dorm reconfigurations are made to support critical changes to the gender-responsive classification process.
For the reasons cited, the monitor has determined that the ADOC and Tutwiler currently remain in "partial compliance" with the staffing and recruitment provisions of the settlement agreement.
Training Tutwiler’s training team is currently providing the required annual refresher
training regarding sexual abuse and sexual harassment. The completion of this year's annual training is expected by December 31, 2019.
The Tutwiler training team is comprised of qualified instructors, as they had previously received specialized refresher facilitator training on custodial sexual abuse in September 2016 by the agency’s nationally recognized consultant. The facilitator's guide for the refresher training curriculum was reviewed and commented upon by the DOJ and monitor, consistent with Section III.A.6 of the settlement agreement. Additional training on gender-responsive and trauma-informed use of force has been incorporated into the ongoing refresher training.
The monitor has been very impressed with the documentation of staff attendance at training maintained by both Warden McClain, in her capacity as the Settlement Compliance Manager, and the IPCM. These records are well organized and easily
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retrievable and demonstrate careful tracking of any pending attendance requirements. Medical and mental health staff are expected to receive specialized PREA
training, in addition to that which is provided by the ADOC and Tutwiler for correctional staff. While on-site in December 2018, the monitor reviewed the medical and mental health staff's policy manual and PREA staff training curriculum. The monitor offered suggestions to enhance the sections of the policy and curriculum that address PREA generally and sexual harassment specifically. The provider has since revised the policy and curriculum. The monitor has reviewed the revised curriculum.
Intake Dorm and Overcrowding Upon entry into the facility, all newly admitted inmates are processed and placed
in the Intake Unit as they await the results of their medical and mental health screens. Historically, inmates may have stayed longer than necessary in this unit due to the limited availability of bed space within the ADOC women’s facilities. In July 2015, the Deputy Commissioner for Women's Services convened a work group to evaluate methods to reduce or eliminate use of Dorm A (the Intake Unit) to house inmates for more than 48 hours. Tutwiler's initial efforts at reducing the use of placement in the Intake Unit resulted in both an overall reduced unit count and overall shorter lengths of stay in the unit. More significantly, the decrease in the Intake Unit’s population reflected a decrease in Tutwiler's overall population. This reduction in the overall inmate population provided some relief for Tutwiler in housing placement options and staffing deployments. To improve the facility's overall bed management, in January 2018, Tutwiler relocated the intake dorm from Dorm A to Dorm K, a smaller unit. As of June 2019, the average length
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of stay for each inmate in Dorm K is now 3-4 days, compared to the starting point of an average stay of 10-13 days.
As of June 2019, Tutwiler's overall population count is now again trending upward likely due to the Pardon and Parole Board's release guidelines becoming more restrictive. The facility also reports an increase in parolees being returned for brief periods of time for technical violations while on parole. These returning inmates are referred to as "dunks." For these dunks, a judge may impose a term of imprisonment for 30-90 days instead of revoking their probation or parole status and imposing their full sentence. This short time frame does not provide the recommended time for the inmate's participation in any meaningful substance abuse treatment or any other programming.
Gender-Responsive Risk/Needs Assessment, Classification and Programming Classification
A consultant, nationally known for her work with women inmates, was contracted to work with the ADOC to develop a gender-responsive classification system and assist Tutwiler in developing the programs necessary to address the women's needs. The ADOC forwarded the classification proposal to the monitor and DOJ for review in May 2016.
An implementation workgroup was created and includes a cross section of key ADOC and Tutwiler staff members. The Women's Risk Needs Assessment (WRNA) and Women's Services Classification Manual were implemented on August 15, 2016, with the expectation that during a six-month "pilot" program all the women at Tutwiler would have an assessment completed on them. The pilot program period was to end February 15, 2017. Following the pilot period, a validation assessment was expected to commence.
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This original timeframe was expected to yield Alabama Women's Risk Need Assessment validation results by March 28, 2019, when an assessment of compliance with the settlement agreement was originally due. As a result of a slower than expected pace of implementation, the pilot end date had to be extended to August 2017.
The pace of implementation was delayed as a result of several factors. The primary reasons for the delay included the: 1) lack of software automation to support WRNA; 2) time delays in hiring new positions required to assist with the implementation process; and 3) slower than expected pace of administering the WRNA to the Tutwiler population.
After an exhaustive request for proposal process, the ADOC contracted with a technology company to create the software automation for WRNA. The company established a deliverable date for July 2017. The software company provided the necessary staff training. In addition, Tutwiler had nine new positions allocated and created, and as of July 1, 2017, all the positions were filled. The pace of administering the WRNA then accelerated under the leadership of a new classification supervisor. As of mid-July 2017, all the Tutwiler inmates had been classified using the WRNA.
The new classification system incorporates gender-responsive principles and addresses the needs of women inmates at Tutwiler including: housing safety; mental health (depression/anxiety/psychosis); abuse and trauma; family conflict; relationship dysfunction; and parental stress. The system focuses on strength and resiliency factors including educational assets, family support, and self-efficacy. The use of “restricted status” for female inmates was abolished in September 2016 pursuant to the new classification system. A comparison of classification levels of Tutwiler inmates on
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August 1, 2016, November 1, 2017, November 1, 2018, and May 28, 2019 documents the impact of the new classification system. In 2016, 47% of the women were classified as minimum custody. In 2017, this rose to 62%. In 2018, this figure increased to 70%. As of May 2019, 73% of Tutwiler inmates were classified as minimum custody. In 2016, 30% of the women had been classified as medium custody. This number continues to decline and reduced to 25% in 2017, 20% in 2018, and 17% in 2019. These numbers reflect that many women's custody levels were historically over classified due to a reliance on classification instruments and processes designed for male prisoners. Women offenders' pathways to incarceration are different than those for men, so their risks and needs differ. The monitor expects to see continuing shifts in the distribution of custody levels of the women at Tutwiler.
In October 2016, ADOC formed a WRNA validation committee. The final validation plan was provided to the DOJ and monitor on July 28, 2017. ADOC prepared a request for proposal to conduct this study and it was disseminated to potential researchers in June 2018. In October 2018, the ADOC awarded the validation study contract to the University of Alabama. Auburn University will partner with the University of Alabama on this project. A contract was finalized in January 2019. The entire validation process is expected to take three years and six months to complete once the process begins. The University of Alabama is currently exhausting their internal research Institutional Review Board process. The applicable provision in the settlement agreement was not subject to a compliance assessment until March 2019. The ADOC has proposed that once the WRNA validation has been underway for eighteen months, the monitor assess compliance. This date was impacted by implementation issues
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encountered by ADOC that have since been addressed. In addition, the monitor will request an update on the project and projected timeframes from the University of Alabama researchers working on this project prior to her visit in December 2019. In May 2019, the Women’s Services Classification Manual was revised to reflect changes in policy and practice, and to streamline the manual format. The DOJ and the monitor reviewed the draft and provided their feedback. The final draft of the manual was published on May 14, 2019.
Programming A gender-responsive program committee was convened in October 2016 to
research and develop a proposal for review by the Deputy Commissioner for Women's Services and the Associate Commissioner for Plans and Programs. The contracted expert facilitated the committee's work. The committee focused on identifying and developing evidence-based programs that are gender specific and responsive to the programming needs identified by the WRNA. The initial proposal was forwarded to the DOJ and monitor for review in April 2017. The final proposal addressing the DOJ's and monitor's feedback was forwarded to the monitor and DOJ on July 31, 2017. Programming was selected based upon which programs addressed the women's identified needs, had research to support their use, and could be implemented within ADOC's facilities. If there were more than one program which fit this criteria, programs were selected based upon cost and ability to acquire any training needed by staff. Development of the resources to support the programs began immediately following the finalization of the proposal.
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Tutwiler and The Women’s Division of the ADOC continue their joint focus on developing and providing gender-responsive, trauma informed, evidence/research based programming for women offenders. Tutwiler’s graduation and current enrollment statistics are provided for these programs for the timeframe January 1, 2019 - June 30, 2019. The Getting Ahead While Getting Out program is a re-entry program designed to engage the offender, her family, volunteers, community and staff in problem solving for a successful transition to the community. As of June 30, 2019, this program has produced 4 graduates with an additional 11 women enrolled in the current program cycle. The Helping Women Recover program is designed to treat addiction and utilizes the theories of women's psychological development and trauma. It addresses triggers for relapse, relationships, domestic violence, trauma, family issues and self-esteem. A total of 128 women have graduated from this program with another 28 currently enrolled. The Beyond Trauma Program incorporates the latest research in neuroscience, trauma, and post-traumatic stress disorder. It also incorporates cognitive behavioral techniques, mindfulness, expressive arts, and body oriented exercises. This program has graduated 105 women and another 22 are set to graduate at the completion of the current program cycle. The Beyond Violence Program focuses on emotional regulation of anger. It addresses both violence and trauma that women have experienced, and the violence they have perpetuated. This program has graduated 26 women and 11 more will graduate at the end of this program cycle.
Active Adult Relationships teaches participants skills to include: communication, conflict resolution, emotion management, making budgets, wise choices for friends, dating and marriage, recognizing personal strengths, and future planning. As
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of June 30, 2019, it produced 90 graduates with 15 women currently enrolled. Moving On began in August 2018 and leverages both educational and cognitive skill building approaches to help women at risk of future criminal justice involvement find alternatives to criminal activity. The program supports women as they mobilize and build personal strategies, natural supports, and community resources. Twelve women have graduated and 4 women are currently enrolled in the program cycle. Parenting Inside Out was implemented late January 2019. At the time of the December 2018 compliance visit, program staffs were in the training phase. The program teaches parent management skills to incarcerated parents. It helps to promote healthy child adjustment, prevent problem behavior, and stop the intergenerational cycle of criminal justice involvement. Twentythree women graduated and 15 are currently enrolled.
Family Days are planned to begin in Summer 2019. This will involve extended visitation by family members combined with a series of seminars about the programs the inmates are participating in and ways to support inmates during and after incarceration.
To accommodate this program expansion, several facility renovations were initiated with the support of the Central Office Engineering Division. Much needed additional classroom space was constructed and now provides a professional learning environment for the new programs. The facility has also renovated the old dining room to use as a visiting room and activities center. In addition to a common area for visits, the area will include two small rooms designated for activities. An outdoor play area for children is also planned.
The Alabama Prison Birth Project has been providing doula support to pregnant prisoners at Tutwiler and has partnered with the ADOC and Tutwiler to create a lactation
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room. Women are allowed to leave their dorms for the privacy of the lactation room whenever they need to pump breast milk. The milk is logged, labeled, and stored in a deep freezer. Once a week, a certified lactation counselor retrieves the bottles of milk from the prison, packs them in dry ice and ships them to where the mothers' babies are living. The room is called "Serene Expression" and inmates have painted the pastel colored room and decorated the walls with artwork. This particular program continues to receive positive media attention and will be the subject of an upcoming documentary produced by The Marshall Project.
Inmate Education Incoming inmates receive comprehensive orientation education within 14 days of
admission to Tutwiler. The IPCM maintains records of inmate attendance at these orientation sessions. The monitor has attended this orientation during previous compliance visits as scheduling permits. The curriculum and training aids are well designed.
Inmates' Right to Privacy During the current reporting period and during the compliance visit, the monitor
received no complaints from inmates of inappropriate cross gender viewing or searching. While touring during the June 2019 compliance visit, the monitor observed that
appropriate privacy panels and shower curtains were in use in the shower and bathroom areas in inmate housing units. The monitor also witnessed staff consistently announce the presence of a male officer on the unit when needed.
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Transgender inmates shower privately in the Health Services Unit.
Inmate Polling The ADOC and Tutwiler established a system to routinely poll inmates regarding
their perceptions of the implementation of the specific terms of the settlement agreement. These subject matter areas included: the prevalence of staff sexual abuse and sexual harassment; inmate vulnerability to sexual abuse and sexual harassment; the investigation and discipline of staff accused of sexual abuse and sexual harassment; the efficacy of inmate education regarding sexual abuse and sexual harassment; privacy in the showers and toilets; the appropriateness of inmate classification; the levels of staff supervision; the efficacy of the reporting systems for sexual abuse and sexual harassment including grievances; and official responses to, and retaliation for, allegations of sexual abuse and sexual harassment. As agreed upon by the monitor, the DOJ, and ADOC, The Moss Group, Inc., a criminal justice consulting firm, initially administered the survey quarterly for the ADOC. The initial inmate polling was conducted in July 2016, and a second was held in October 2016. The Moss Group conducted two additional polls in 2017.
ADOC entered into a Memorandum of Understanding (MOU) with Auburn University on August 9, 2017, for the University to provide long term assistance with the administration of this survey. A copy of the MOU, and the University’s draft protocol was provided to the DOJ and monitor. Both the DOJ and monitor reviewed and offered feedback on the initial draft protocol. This agreement serves to institutionalize the inmate polling survey as a valuable tool for ADOC and Tutwiler in the future. The protocol was finalized on October 24, 2017. Since then Auburn
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University has administered the inmate polling surveys. Auburn administered their first survey of the poll's administration in
November-December 2017. Three polls were conducted in 2018. All polling results were provided to the DOJ and monitor.
On July 30, 2018, ADOC provided the DOJ and monitor with Auburn's revised protocol intended to guide surveys conducted in 2019. The DOJ and monitor again provided feedback. On October 4, 2018, the ADOC issued the final protocol and responded to the feedback provided by the DOJ and monitor.
During this reporting period, the monitor and the DOJ received the results of two polling surveys. The first was received on February 7, 2019 and the second was received on March 28, 2019. After a year of conducting polling activity, Auburn University changed the participation protocol from random sampling to a more structured dorm-by-dorm selection method. This was a result of the research team's attempt to increase inmate participation in the survey, reduce the probability of inmates being randomly selected more than one time, and disrupting the inmates' daily program/work assignments unnecessarily. This polling survey is rich in data and much of the feedback is supported by what the monitor has observed in correspondence from inmates, a review of grievances, and a review of PREA-related investigations. For example:
 The majority of the women respondents were not aware of staff members, contractors, or volunteers sexually harassing or sexually abusing inmates. However, 40% of participants reported an awareness of verbal abuse by staff towards inmates. Based upon survey results, inmate grievances, and feedback provided by the women to the monitor, it appears verbal abuse by staff of inmates is still a chronic issue. The monitor, Deputy Commissioner Williams and Warden Wright discussed this issue and the need for additional strategies to address this problem.
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 When asked if sexual relations between inmates and staff members continue to occur, 61% disagreed, 10% agreed, and 30% neither agreed nor disagreed.
 When asked if PREA incidents against inmates were investigated in a timely manner, 49% agreed they were, 11% strongly disagreed, and 40% neither agreed nor disagreed. When asked about the fairness of these investigations, 42% agreed they were fair, 16% disagreed, and 42% neither agreed nor disagreed.
 The overwhelming majority of the women who responded to this survey indicated they understood the PREA rules (81%) and their rights associated with sexual safety and abuse. A total of 84% agreed they knew how to report a PREA incident, while only 3% disagreed. This demonstrates that the inmate education piece has been effective.
 Forty-four percent of the respondents agreed there is adequate privacy in the toilet and shower areas, while 44% disagreed. Based upon the feedback from both staff and inmates, it is evident to the monitor that the shower areas are the "hotspot" for inmate smoking, use of drugs, and sexual contact between inmates. The monitor did not receive a single verbal complaint about inadequate privacy during the June 2019 compliance visit. In this instance, the survey data is at odds with the monitor's observations and random communication with inmates.
 When asked about feelings of safety at the facility, 68% agreed they felt sexually safe, while only 9% disagreed, and 24% neither agreed nor disagreed. In conversations with inmates, not one woman reported feeling unsafe.
 When asked if there was enough staff available so they can get to their work, program, or other assignments on time, 32% agreed, while 37% disagreed on enough staff being available. In another question about availability of staff members in the dorms, 45% agreed, while 30% of the respondents disagreed on enough staff being available. Several inmates complained to the monitor about long delays while awaiting officer escorts between the Annex and the main compound and the Annex and the factory.
 When asked if participants use PREA to falsely report incidents against staff, 38% agreed, and 12% disagreed, with 49% neither agreeing or disagreeing. When asked if inmates use PREA to falsely report incidents against other inmates, 48% agreed, and only 8% disagreed. This feedback is consistent with information obtained by the monitor in formal and informal conversations, in correspondence with inmates, and during the review of investigations. Several inmates referred to these false accusations as "being PREA'ed" noting that some women threaten staff and inmates by saying "I'm gonna PREA you". The monitor is fully aware, as are the inmates, that upon occasion inmates do lodge allegations in an effort to get experienced, effective officers removed from their housing units or to manipulate inmate housing assignments to be near partners.
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 When asked if the programs and classes participants have attended are useful, 59% agree they were and only 7% disagreed. Inmates consistently reported to the monitor an appreciation for the new programming.
 A total of 39% of the respondents report having trust in the grievance system, while 25% disagree that they trust the grievance system. This survey result is supported by the monitor's communications with inmates.
 When asked if inmates are disciplined consistently for violating rules about relationships with other inmates, 13% agreed, while 36% of respondents disagreed. In conversations with the monitor, some inmates do assert that some staff members turn a blind eye to some inmate relationships based upon the race of the staff and inmates. The monitor saw no evidence to support this perception.
 When asked if staff members making disrespectful comments to inmates has increased, 38% agreed, 21% disagreed with 42% neither agreeing nor disagreeing.
 When asked if they perceived staff members are held accountable when they violate rules related to staff sexual abuse and sexual harassment, 34% agreed, while 15% disagreed with 52% neither agreeing nor disagreeing.
 When asked if they had noticed positive changes at Tutwiler 28% agreed they had and 21% disagreed, with 52% neither agreeing or disagreeing. In the monitor's conversations with inmates, it is a rare occurrence for a woman to disagree that there has been positive change at Tutwiler. In this instance, the survey data is at odds with the monitor's observations and random communication with inmates.
Overall, the survey results are mixed, so it is important that the Quality
Improvement Team remain active in reviewing the survey results and any incidents,
problematic areas in the facility, and any allegations of sexual abuse, sexual harassment
or the use of unprofessional language by staff. The team is encouraged to hold a deeper
discussion about the kinds of changes in the system and processes that will be needed
so that inmates consistently view the processes as useful and credible.
The Tutwiler Tribune is the inmates' newspaper. It includes essays, poems, and
interviews with staff, puzzles, horoscopes, etc. Results from the February 2019 inmate
polling survey were published in the July 2019 edition. The monitor applauds the
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administration's sharing of the survey results with the inmate population. The next inmate polling survey was conducted June 10-12, 2019 and the
monitor looks forward to receiving and reviewing the results of that survey.
Quality Improvement and Data Collection Quality improvement meetings began in August 2016 and meet monthly and hold
additional discussion and conduct analysis of all the incidents occurring over the previous thirty days, including any action plans that were developed. The monitor and DOJ attorneys attended the quality improvement meeting held last year on June 7, 2018. The meeting was expertly chaired by Warden Wright, who guided a cross-section of Tutwiler staff through a comprehensive agenda that included in-depth analysis of all incident reports involving inmates as alleged victims of excessive use of force; allegations of sexual abuse or sexual harassment; video reviews of incidents; a video review summary of at least four randomly chosen shifts for a spot check of staff posting and work expectations; staff polling results; an update on staff to include gender of staff and posts assigned; a review of overtime usage; the use of leave time; reasons for any staff resignations; a review of any documented variations from the facility staffing plan; a review of inmate grievances; a review of medical and mental health grievances; and a review of inmate disciplinary reports. The monitor was especially impressed with Warden Wright's facilitation of the meeting and her assignment and tracking of outstanding issues and staff responsibilities; the frank discussion and input from the captains and other key staff; and the inter-disciplinary collaborative problem solving involving the medical, mental health and correctional staff.
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Meeting minutes from the quality improvement meetings are made available for the monitor's review. During the June 2019 compliance visit, the monitor reviewed several sets of minutes during her meeting with Warden McClain, including the minutes to the most recently convened meeting in May 2019. The Quality Improvement Team has demonstrated they are using the enormous amount of data that is collected and they are digging deep into it to identify opportunities to make operational improvements.
The ADOC and Tutwiler developed the Risk Management System (RMS), which is designed to track facility trends related to: (1) sexual abuse or sexual harassment; (2) unprofessional staff conduct involving inmates, including the use of sexually explicit, vulgar, or degrading language; and (3) use of force incidents.
In addition to the RMS data being reviewed at the monthly quality improvement meetings, these data are reviewed and aggregated on a quarterly basis by Warden McClain and reviewed by the Deputy Commissioner for Women’s Services. A quarterly review is conducted to assess and improve the effectiveness of sexual abuse and sexual harassment prevention, detection, and response policies, practices, and training. The quarterly reviews allow for: (a) the identification of potential patterns, changes, and problem areas, which includes problems in staffing levels, policies, practices, staff discipline system, and staff and inmate training/education; (b) the identification of staff or supervisors in need of retraining, performance plans, or discipline; (c) the development of an array of intervention options to facilitate an effective response to problems; (d) taking corrective action on an ongoing basis; and (e) preparing bi-annual reports of its findings and corrective actions, including a comparison of the findings in previous reports to assess progress. The challenge for the administration is to integrate and analyze
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all data in a timely manner. Funding for automation of the RMS system, including mapping capabilities, would support a more timely and robust review of the RMS data and trends.
During this reporting period, ADOC provided the monitor and DOJ one biannual report listing all staff members identified through the RMS and any corrective action taken. The report covered the time period from May 29, 2018 - November 28, 2019 and was submitted to the monitor and DOJ on March 9, 2019. This RMS report documented thirty allegations against staff members for engaging in the use of profane, degrading, unprofessional, threatening, or insensitive language with inmates. This compares to the twenty-eight allegations of this nature reported in the previous biannual report. Each of these incidents was tracked and investigated. No corrective action was taken when the allegation was disproved and determined to be unfounded. In most instances, the inmate's allegation could not be proved or disproved, so the allegations were determined to be unsubstantiated. Corrective action taken for unsubstantiated cases ranged from verbal counseling, issuing a formal memo for the record, and issuing a policy reiteration memo. Nevertheless, in all instances of an unsubstantiated allegation, a supervisor met with each staff member and reiterated Tutwiler policy and performance expectations. In the absence of conclusive proof, this administrative response is appropriate.
The monitor reviewed the RMS reports and attests that the ADOC and Tutwiler staffs have already demonstrated good use of RMS data and the results of the inmate polling survey. Both instruments document that some Tutwiler staff allegedly use abusive and profane language towards the inmate population that undermines efforts to build a gender-responsive and trauma informed environment. In previous reports, the monitors
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have recognized the need for staff interventions regarding the requirements for using professional language while addressing inmates. Addressing this issue is a top priority for the facility wardens. In response to an inmate survey, in September 2016 Warden Wright developed an intervention plan to address staff's unprofessional use of sexually explicit, vulgar, degrading, or racially insensitive or offensive language. In that many allegations of this kind of behavior cannot be substantiated due to the lack of corroboration by others, the plan included the use of policy reiteration memos. A supervisor meets with the staff accused of using inappropriate or abusive language and uses the meeting as an opportunity to reinforce Tutwiler policy and provide supervisory coaching. The employee is reminded in writing of policy requirements. Overall, this strategy does not seem to be shifting behavior, as verbal abuse by a small number of staff continues to be an issue. The monitor is also aware, however, that there are inmates who make allegations of this nature in an effort to retaliate against staff who hold inmates accountable. For those officers, repeated receipt of a policy reiteration memo may be demoralizing and impact an employee's retention. Going forward, the monitor will continue to work with the ADOC and Tutwiler to develop alternative management strategies for addressing the small number of employees who are the subject of multiple allegations.
In her meeting with Warden Wright, the monitor discussed the need for the Tutwiler administration to continue to aggressively investigate these allegations and to hold staff accountable using progressive discipline, increased supervision, reassignments, and retraining. The monitor looks forward to receiving an update from ADOC and Tutwiler about their continuing efforts to eliminate the use of offensive and abusive
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language by staff. Some of the Caucasian inmates who speak or write to the monitor allege that
African American staff are less strict with African American inmates. At least one African American inmate expressed the same view to the monitor during the June 2019 compliance visit. This creates a perception of favoritism that may create tensions along racial lines, especially when, as of June 30, 2018, 63 of the 70 officers working at Tutwiler are African American and 17 of the 18 sergeants are African American.
In the past, in response to inmates' allegations of racial discrimination, the ADOC and Tutwiler arranged for staff to attend some specialized training. During the 2018 training year, all staff at Tutwiler attended Racial Intelligence Training and Engagement (RITE). This training began in May 2018 and was conducted by the ADOC Training Division, and the model included emotional intelligence combined with social intelligence designed to unlock an individual’s racial intelligence.
Pursuant to the settlement agreement, on an annual basis, ADOC and Tutwiler shall conduct a documented review of the RMS to ensure that it has been effective in identifying concerns regarding policy, training, or the need for discipline. The ADOC and Tutwiler are in the process of convening a panel to conduct the third annual review of the RMS covering data tracked from May 29, 2018 - May 28, 2019.
Sexual Abuse/Sexual Harassment Allegations The monitor met with Mr. Arnaldo Mercado, Director of the ADOC's
Investigation and Intelligence Division (I & I) and Investigator Kelley Smith to discuss and review completed investigations into allegations of staff-on-inmate sexual abuse/
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sexual harassment and inmate-on-inmate sexual abuse investigations that occurred during this reporting period. There were seven staff related PREA investigations completed during this reporting period. Of the six alleged staff-on-inmate sexual abuse cases, five were determined to be unfounded, as evidence did not support the allegation. Allegations within the one case were found partially unfounded with the balance of the allegations unsubstantiated. One case was unsubstantiated.
There were ten completed investigations into allegations of inmate-on-inmate sexual abuse. Three of these cases were unsubstantiated, as no corroborating evidence surfaced. Seven of the allegations of inmate-on-inmate sexual abuse were determined to be unfounded. While allegations appear to have been appropriately determined to be unfounded or unsubstantiated, the monitor notes that on occasion staff demonstrate questionable professional boundaries. The monitor has shared her specific observations with the Deputy Commissioner for Women's Services.
The monitor determined the investigations had been conducted in accordance with AR 454 and SOP 8-12, Inmate Sexual Abuse and Sexual Harassment. In conversations with the monitor, inmates expressed confidence in Investigator Kelley Smith who conducts investigations into allegations of staff-on-inmate sexual abuse and sexual harassment as well as inmate-on-inmate sexual abuse, and the IPCM, Lt. Blanding, who conducts investigations into inmate-on-inmate sexual harassment allegations. During this reporting period, Lt. Blanding investigated nine allegations of inmate-on-inmate sexual harassment. Three cases were unsubstantiated and six were determined to be unfounded.
The monitor reviewed the facility response to allegations and the management of
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the reporting inmates and alleged perpetrators to determine if Tutwiler considered an adjustment of inmate housing and job assignments to ensure the safety of all involved. Lt. Blanding closely monitors and documents any allegations of retaliation against those who report allegations.
The monitor notes there are multiple, effective means of reporting allegations of inmate sexual abuse and sexual harassment, including a grievance process and at least one confidential method. During this reporting period, a total of 823 grievances were filed. Of these, five were PREA related. Three of these grievances were referred to the Investigations and Intelligence Unit. The other two were referred to the IPCM for investigation. The monitor reviewed these grievances and the administration's response and determined the ADOC and Tutwiler policy was followed and appropriate action was taken.
The inmates can use a toll-free number to call the Alabama Coalition Against Rape (ACAR) for reporting. The agreement between the ACAR and the ADOC is that all calls are confidential, per ACAR policy. The ACAR agreed to suggest and/or encourage the inmates to use the ADOC and Tutwiler methods of reporting if their call was regarding an allegation of sexual abuse or sexual harassment. There is no requirement for the ACAR to report to the ADOC, so the number of calls for this reporting period is unknown.
Third parties are permitted to assist inmates in filing requests for administrative remedies for allegations of sexual abuse and sexual harassment and are permitted to file such requests on behalf of inmates. If a third party files a grievance on behalf of an inmate and it relates to sexual abuse or sexual harassment, that report will be sent from
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the Institutional Grievance Officer to the ADOC PREA Director. If the grievance contains allegations of sexual abuse, or staff-on-inmate sexual harassment, the Investigations and Intelligence Unit will investigate the allegation. If the grievance contains allegations of inmate-on-inmate sexual harassment, the IPCM will investigate.
The monitor reviewed the ADOC website link for the public regarding the ability to file a PREA report. It provides adequate instruction for the public's reporting use. During this reporting period, there was one third party PREA-related allegation reported via the website. It was determined to be unfounded.
Inmates have at least one way to report abuse or harassment to a public or private entity or office that is not part of the agency, and that is able to receive and immediately forward inmate reports of sexual abuse and sexual harassment to agency officials. The ADOC entered into an agreement with the Alabama Department of Economic and Community Affairs (ADECA) to take these reports. Inmates may make a report by dialing *6611, and this can be done anonymously. The monitor reviewed the call log for the entire reporting period to review the nature of each call and the ADOC's response. A total of 17 calls were made to ADECA's hotline during this reporting period. Many of the complaints made were not related to sexual abuse or sexual harassment. In each instance, the Tutwiler administration followed up on the allegations/complaints and the response was appropriate. Previously, at the monitor's request, the form used to track the nature of these calls was expanded to include more information detailing the actions taken by facility management.
Finally, during the facility tour, the monitor noted that information on how to report sexual abuse or sexual harassment is widely posted within the facility.
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Alabama Strengths The monitor believes Alabama has a strong foundation for continued progress in
reaching all of the goals outlined and compliance terms required in the settlement agreement. That strong foundation is a result of the following organizational strengths.
Leadership from the Alabama Department of Corrections Commissioner Dunn continues to provide the agency leadership for his staff and
Tutwiler, directing and supporting successful implementation of the Tutwiler settlement agreement. In Summer 2018, the ADOC leadership began a collaboration with Alabama Pardons & Parole Board and the Alabama Sentencing Commission for the purpose of updating key agencies regarding the changes in the classification system and inmate programming at Tutwiler, as this information may inform the work of these two agencies. In addition, Commissioner Dunn is strategically focused on developing the capacity of agency and facility leadership as a means to sustain and advance the progress made to date. Commissioner Dunn has been a strong advocate for the legislative action necessary to replace some of Alabama's outdated prisons, including Tutwiler, and for legislation to enhance compensation for security staff.
Under Commissioner Dunn's leadership, in May 2019, the ADOC rolled out a new 2019-2021 agency Strategic Plan. Among other topics, the plan addresses inmate programming, including gender specific programming. The goal of the programming focus area is to improve the delivery of research and evidence-based rehabilitative programs for inmates. This plan, which is located on the ADOC website, details a strategy that will create an environment supportive of positive offender change and
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rehabilitation, where the Women’s Risk Needs Assessment is used to inform case management, and where proactive assessment-driven case management connects inmates to programs and services.
In June 2017, the monitor was advised by Associate Commissioner Matt Brand (Training and Development) that a regional training center dedicated for the training of line staff working in the women’s facilities was being created in recognition of the gender specific training agenda and curricula necessary for staff who work with women inmates. It became operational in May 2018. This allocation of resources by Central Office signifies a significant commitment to the need for specialized training for those who work with female offenders. The ADOC repurposed a state-owned building, conveniently located next to Tutwiler, to create this training center. It provides a professional and appropriate setting for staff training. Overall, Tutwiler is equipped with a solid training curriculum and the appropriately credentialed staff to deliver this training.
The monitor works closely with Deputy Commissioner Williams who oversees the ADOC's Women's Services Division. Dr. Williams communicates regularly with the monitor regarding any developments of note occurring at Tutwiler relevant to the settlement's requirements. The monitor and DOJ commend Deputy Commissioner Williams for her consistent and thoughtful leadership, actions taken, and support given to the warden and staff at Tutwiler. Dr. Williams is the pivotal leader for the ADOC in managing their compliance with this settlement agreement.
During the June 2019 compliance visit, the monitor met with Ms. Christy Vincent, ADOC's PREA Coordinator, who oversees the work of the IPCMs, to discuss her oversight mechanisms, and the training she provides to the IPCMs. Ms. Vincent also
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works with central office and facility staff to coordinate and schedule the facility PREA audits. Tutwiler’s first official PREA audit was conducted on May 9-11, 2016 by PREA Auditors of America, LLC. The final audit report and certificate of successful completion was dated June 8, 2016. The second official three year PREA audit cycle began in August 2016. The second PREA audit for Tutwiler was conducted January 2225, 2019. The final report and certificate of successful completion was dated March 26, 2019 and was submitted to the DOJ and monitor on May 17, 2019.
In addition to meeting with Commissioner Dunn and Associate Commissioner Brand, and Ms. Vincent, the monitor met with Mr. Arnaldo Mercado, Director of ADOC's I & I Division; Ms. Kelley Smith, Tutwiler's investigator; and Mr. William Lawley, ADOC's Personnel Director. All ADOC central office staff consistently demonstrated working knowledge of their settlement related responsibilities during their interviews with the monitor.
Tutwiler Leadership There have been significant changes in Tutwiler's management team during this
reporting period. All three of Tutwiler's warden positions are now filled. Warden II Deidra Wright, who had been serving as the interim Warden III at Tutwiler, was promoted to that position in September 2018. Lagreta McClain, Warden I, was then promoted in March 2019 to fill the Warden II post. To ensure consistency in the on-site monitoring of the settlement agreement, Warden McClain retained her duties and responsibilities as the Settlement Coordinator for this agreement during her transition to her new role. Warden McClain has been training staff to transition some of the Settlement Coordinator duties to others. In May 2019, Kenneth Drake joined the
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management team as Warden I. In addition, some changes have been made in the ranks of captain.
The monitor continues to observe outstanding leadership by the facility wardens and the executive team at Tutwiler during this reporting period. During the monitoring visit, Warden Wright provided an opening presentation to the monitor. Warden Wright also participated in both formal and informal discussions with the monitor and demonstrated her leadership at Tutwiler during observed interactions with staff and inmates.
As previously acknowledged, upon her promotion from captain to warden, and then again from Warden I to Warden II, Warden McClain retained her duties as Settlement Coordinator. The monitor interviewed Warden McClain in the privacy of her office and reviewed the settlement agreement documentation retained in her office. Warden McClain plays a critical role in tracking Tutwiler's compliance, maintaining documentation, and organizing the RMS. She is very well organized and her follow through on issues is exceptional.
The monitor also observed the dedication and commitment of supervisors and line staff at Tutwiler to follow policies to ensure sexual safety, in spite of staffing challenges, such as the number of correctional officer vacancies.
Lt. Felisha Blanding assumed the role of Tutwiler's IPCM on May 16, 2018. Lt. Blanding was one of the original ADOC Regional PREA Coordinators for the ADOC from 2009 to 2013, and she served in that capacity for the female inmate population. She had been serving in the ADOC Training Division as a training supervisor for the previous five years, where she continued to conduct staff training and education on PREA and
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related topics. Lt. Blanding has attended all the IPCM required training conducted by ADOC's PREA Coordinator. In April 2019, Lt. Blanding coordinated several special activities in recognition of Sexual Assault Awareness Month. The administration has ensured continuity of services is maintained in this critical role. Lt. Blanding was fully available to the monitor during the June 2019 compliance visit to ensure a comprehensive review of documentation she maintains, to coordinate private interviews with inmates, and to address all the monitor's questions. The monitor met privately with Lt. Blanding in her office to review documentation and continues to be impressed with Lt. Blanding's tracking system and record-keeping. Sgt. Emily Abbott, who had previously served in this important role, continues to serve as the back-up IPCM for Tutwiler.
Ms. Tina Tyler, the Institutional Grievance Coordinator, also fills a critical leadership role at Tutwiler. Ms. Tyler, a civilian, also serves as Tutwiler's Americans with Disabilities Administrator. The monitor also met privately with Ms. Tyler to review specific grievances, including five PREA related grievances. Ms. Tyler's documentation is excellent and her follow-though on issues is exemplary. The administration has also ensured continuity in the performance of this critical function.
ADOC Consultants The ADOC and Tutwiler continue to draw on and benefit from consultant
expertise in several specific areas. Specifically, expert consultants have participated with the ADOC in the development of the gender-based classification plan and programming; the staffing analysis; the inmate polling/survey process; data collection; the genderresponsive review of draft policies; validation of the WRNA; and the provision of staff training and inmate education.
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ADOC Women Services Division Strategic Planning Committee The ADOC Women's Services Strategic Planning Committee continues to meet
once a quarter to review and guide the ADOC and Tutwiler's efforts for creating sustainability models/practices/tools for their operations, future plans and mission for women offenders in Alabama.
Tutwiler Sexual Safety Culture Staff and inmates report to the monitor a respect for the settlement-related policies
and practices and are knowledgeable about them. Most importantly, during formal interviews and informal conversations with the monitor, the women say they trust that leadership will act on their behalf if an incident of sexual abuse or sexual harassment occurs.
Tutwiler currently uses SOP 8-12, Form A, PREA Risk Factors Checklist, to screen all inmates for risk of victimization or abusiveness. This form was originally created in May 2014. After consultation with other states to get input on risk factors and checklists in use elsewhere, the form was revised in January 2016.
All inmates are screened within 72 hours of arrival. The process is conducted by the classification staff. If an inmate is assessed as being at risk of sexual abuse or of being sexually abusive toward other inmates, a mental health referral is completed by the classification specialist, and that inmate will be interviewed by a mental health practitioner that day. Inmates are reassessed within 30 days of their arrival. The monitor met with Ms. Felicia Greer, Tutwiler's Mental Health Site Administrator, to review her tracking system and her documentation. Ms. Greer maintains impressive records of
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inmate referrals and attendance of staff at required training programs. The IPCM and Psychological Services actively follow up with any inmate who
presents as at risk of being sexually abused or sexually aggressive toward inmates. Consideration is given to the inmate's housing, bed, work, education, and program assignments. Placement and programming assignments for an inmate at high risk of sexual victimization are reassessed at least twice a year. Tutwiler has been in communication with The Moss Group, Inc. about working with the principal researchers at the University of Nebraska, who worked on the PREA risk screening tools for the Iowa Department of Corrections, with the goal of revising Tutwiler's PREA Risk Factors Checklist to incorporate gender-responsive weights and measures into the screening tool.
Alabama Challenges Tutwiler Facility
The monitor continues to note the challenges that the prison's aging infrastructure presents for leadership. Specifically, options for program space, medical and mental health screening and treatment, housing placements, and the day room areas are severely limited by the old design, aging infrastructure, and overcrowding. The physical plant also impacts staffing requirements, as it has a direct bearing on operations and the location of officer posts. The physical plant is sprawling and some housing and program areas are isolated and poorly lit, impacting the number of posts and staff needed to support safe and secure operations.
Population Capacity
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Tutwiler's original design had an operating capacity of 350 and the annex was rated at 128. The daily count has historically been nearly double the facility's original capacity. Currently, the operational capacity is 700 for the main campus and 250 at the annex. On June 3, 2019 Tutwiler’s total inmate population count was 869. At main Tutwiler, 624 beds were filled. At Tutwiler's annex, 245 beds were filled.
While a population reduction has provided relief for the intake dorm, the overall level of chronic population overcrowding continues to present challenges. Both the settlement requirement for the development of a gender-based classification system and the development and implementation of gender-based programs at Tutwiler will be impacted by the overcrowding issues at Tutwiler. Specifically, plans will require the development of various housing options for separating groups of inmates, via the classification review process, that will be difficult to maintain as bed space must be allocated according to new placement criteria as it is implemented. In addition, the classification system will prescribe a number of program offerings that should be available for the inmates, based on a needs assessment. During the June 2019 compliance visit, Tutwiler was in the process of completing physical plant renovations to add much needed space for programs and activities. The staff have creatively converted and renovated every space possible to provide additional room for expanded programming. Central Office staff has worked with Deputy Commissioner Williams to provide support by allocating resources for capital improvements.
Staffing Challenges-Overall Vacancies and Recruitment and Retention of Women The monitor notes that the chronic, ongoing number of staff vacancies at Tutwiler
presents a serious concern for leadership, staff and inmates, and could possibly impact
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the safety and security of the facility. In the first court report, the monitor noted a vacancy rate of almost 50% of authorized, funded positions. At the end of calendar year 2016, correctional officers were at 41.8% staffing level. As of June 30, 2017, correctional officers were at 38% staffing level. On March 13, 2018 correctional officers were at 33% staffing level. As of June 30, 2018, 40% of correctional officer positions were filled. On December 31, 2018, 42% of correctional officer positions were filled. As of June 30, 2019, 44% of correctional officer positions (including basic correctional officers) were filled.
To ensure adequate staff to fill key posts, Tutwiler leadership implemented a mandatory overtime policy at the end of 2016 to address critical vacancies because key posts must be staffed. Tutwiler relies on mandatory overtime to maintain functions. Correctional officers, especially single parents, face challenges balancing family obligations with unscheduled, forced overtime demands. This can lead to an increase in staff members "calling out" sick as a means to obtain needed time off. The reliance on overtime to staff critical functions is not a long term solution to the staffing shortfall.
Previously, the monitors have reported that this mandated overtime policy has caused stress and concern among the officers interviewed by the monitors during compliance visits. This situation continues to be an area of deep concern for staff, and according to staff interviewed during this and prior monitoring visits, it is adversely impacting staff morale. During some of the monitor's interviews, uniformed security staff expressed concern about the impact of staff shortages, overtime and staff scheduling on staff morale. A decision was made to transition to the 8-hour shifts effective June 3, 2017.
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In consultation with staff, during this reporting period Warden Wright has amended Tutwiler's forced overtime practices such that staff can now elect and anticipate which days of the week they might be required to work overtime. Staff seem appreciative of this adjustment to practice.
The monitor discussed these chronic staffing issues with Associate Commissioner Brand, Deputy Commissioner Williams and Director Lawley. Associate Commissioner Brand continues to oversee the correctional officer training and hiring processes, including the physical fitness screening process, but the Alabama Merit System determines the minimum qualifications, administers examinations, and establishes employment registers for all positions within the classified services. ADOC does not have control or oversight over these functions. Physical Agility/Ability Test (PAAT)
Historically, ADOC's recruitment and hiring data have underscored a systemwide issue with the application of the Alabama Peace Officers' Standards and Training Commission (Commission or APOSTC) physical standards to women candidates. Although there are what appear to be promising developments, overall, the recruitment and retention problems that lead to the high vacancy rate remain a concern. Commissioner Dunn took an important first step in his outreach to the Commission by submitting a request to modify the administration of the PAAT academy training requirements for state correctional officer applicants. It was encouraging that the Commission approved the Commissioner’s request to modify the administration of the PAAT, which became effective January 2017. The revised Commission rules pushed a correctional officer trainee's last PAAT attempt from the first week of the academy
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training to week eight of the program, affording candidates more time to get in shape. Because the PAAT had been moved to the end of the academy, the ADOC discontinued the physical fitness assessments that were conducted on all correctional officer trainees during their pre-academy assignment. The basic training academy Class 17-01, which began in February 2017, was the first class to enter the academy under the new Commission rules regarding the physical agility/ability requirements. At the time, this change reportedly produced some promising results. The trainees who could not pass the PAAT in week one, including one of the women, all passed the test by week eight and all successfully graduated the academy in May 2017. As reported to the monitor, this was the first time in recent memory that no one, male or female, had been removed from the basic training course for a PAAT failure.
Unfortunately, the monitor and the DOJ were notified during the June 2018 Compliance Visit, that APOSTC was reverting back to its original practice of administering the test during the first week of training and that the Commission had agreed to allow ADOC to continue the eight-week administration through calendar year 2019. During the December 2018 Compliance Visit, the monitor was advised that, based upon some preliminary discussions, the APOSTC may look favorably on extending the waiver that allows the ADOC to physically test trainees in week eight instead of week one. Consequently, ADOC plans to formally request an extension to the waiver sometime in 2019 at an APOSTC meeting. In addition, the monitor was advised during the June 2019 compliance visit by ADOC that APOSTC had agreed in principle to support a two-part corrections academy that would help ADOC to develop a new "nonAPOSTC" correctional officer position to work basic correctional posts such as a
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"population dorm." Candidates for this "non-APOSTC" officer would attend Part 1 of the training academy, and graduate as a "basic" correctional officer. They will then be authorized to work on posts that do not require firearms or any other specialized training. This new job classification, formally titled Correctional Security Guard, was approved and announced on May 1, 2019 by the State Personnel Department. Candidates for this "non-APOSTC" officer position will attend Part 1 of the training academy, and graduate as a "basic" correctional officer and are authorized to work on posts that do not require firearms or any other specialized training. They will not have to pass a fitness test prior to employment, but they will be required to pass an occupational fitness test before graduation. The 1.5 mile run in 19:28 minutes requirement was eliminated. They will not be required to pass sit-up and push-up testing. The occupational test will include satisfactory completion of defensive tactics. While it is hoped this initiative will improve ADOC and Tutwiler’s recruitment efforts, the monitor and DOJ expressed a cautionary note of concern that this proposed new category of officers could be filled disproportionately by women, creating a lesser role, with very limited career advancement.
The Commission contracted with Auburn University at Montgomery (AUM) for the review of the validation study of their PAAT standards and to assess any disparate impact on women candidates. The monitor and DOJ received a copy of AUM's assessment from the ADOC on January 2, 2018. The report details several deficiencies in the eighteen year old validation study. The monitor remains unconvinced that there is a direct correlation between PAAT performance and job performance or other current job outcomes for correctional staff. Until such time as the validation of these standards for
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correctional officers and evidence that the standards have been examined for the necessity of gender-norming certain components is addressed, or the terms of the agreement modified, the monitor determines "partial compliance" with this provision. The AUM Report suggests an alternative validation approach may be warranted if adverse impact is ever a problem. The researcher argues that when women elect to retest, there is no adverse impact against them because "the pass rate improves when the number of attempts is very high. When given enough attempts it appears that almost every candidate who attempts every test will eventually pass one." The Commission appears to have given very little, if any, consideration to (a) the differences between police officer and correctional officers jobs, (b) the extent to which job duties have changed in the last eighteen years, and (c) the extent to which women candidates for correctional officer positions engage in repeated retesting.
As the monitor has opined previously, to the extent the ADOC could have helped shape AUM's review, the researchers should have been encouraged to review the physical training standards set for correctional officers in other states and gather information about academy training standards, broken down by gender, as it relates to bona fide occupational qualifications for correctional officers, rather than focusing solely on standards that apply to police officers. To the monitor's knowledge, AUM did not review the physical training standards established for other correctional officers in other state jurisdictions. Accordingly, the monitor has requested the ADOC compile a report detailing their interactions with APOSTC and the barriers they face validating the APOSTC standards for a corrections environment and for the necessity of gendernorming certain components of those standards.
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Under the terms of the settlement agreement, ADOC and Tutwiler are to continue to work with the APOSTC in the screening, selecting, or hiring of applicants for entrylevel correctional officer positions until such standards, or any other physical test employed, are both validated for a corrections environment and examined for the necessity of gender-norming certain components. Recruitment Initiatives
The ADOC has increased recruiting efforts through advertising, the use of social media, and collaboration with the Alabama Department of Labor and other state agencies to promote career opportunities in the ADOC. The advertising budget was increased to create a greater advertising presence on television, radio, newspapers, and public billboards. ADOC announces upcoming tests on the department's website and via employee e-mail. The recruitment efforts are aimed at all races and genders.
Effective July 1, 2018, the differential pay incentive for Tutwiler was increased from 5% to 10%, and effective September 1, 2018, a 3% cost-of-living adjustment was added to the base pay of all state employees. It is hoped this adjusted differential will enhance both recruitment and retention of security staff. The lead Warren Averett consultant worked extensively with Mr. Lawley, ADOC’s Personnel Director, to draft a legislative proposal inclusive of pay raises and bonus incentives for correctional staff. This bill passed the Legislature in May 2019 further adding to staff pay increases. This bill authorizes significant salary increases for newly hired correctional officers and provides moderate compensation increases for all officers and supervisors in the Department. Combined, these two salary initiatives go a long way to making ADOC's salaries competitive with other local criminal justice and law enforcement organizations.
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ADOC engaged in two promising efforts to increase correctional staff. Troy University’s Center for Public Service concluded a comprehensive analysis of the compensation and benefits offered by ADOC to correctional staff. Their final report included a comparison of ADOC compensation and benefits for correctional staff to the compensation and benefits afforded by law enforcement agencies at the state, county, and local level. The monitor was advised that this analysis resulted in short-term and longterm recommendations for ADOC concerning compensation and benefits of correctional staff. The second effort involved a comprehensive analysis conducted by the firm of Warren Averett. This firm conducted an analysis of ADOC’s policies, practices, and procedures relating to or affecting the recruitment, employment, and retention of correctional staff. Warren Averett also made short-term and long-term recommendations for ADOC concerning recruiting, hiring, and retention of correctional staff. When the monitor initially requested to review these two reports, she was advised by ADOC that the documents were currently under court seal as part of other litigation. During this reporting period, both reports were released to the monitor and to the DOJ.
Tutwiler is also focusing on addressing employee recruitment and retention. To that end, in addition to adjusting correctional officer shifts from twelve hours to eight hours , Tutwiler has participated in ADOC's statewide recruitment team. In an effort to obtain important feedback from staff, an exit interview with each staff person leaving Tutwiler is conducted.
Tutwiler has also distributed job satisfaction surveys to staff on an annual basis. The first survey was administered in Spring 2017. The ADOC and Tutwiler committed to another staff survey in 2018. A draft survey was provided to the DOJ and monitor on
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April 2, 2018. The instrument was modified based upon this feedback, and it launched on May 15, 2018. Employees had until June 8, 2018, to complete the survey on line. The results of the survey were provided to the DOJ and monitor on July 16, 2018, and provided some insights about employees' perceived training needs, communication issues, relationships with supervisors, and staff morale. Nearly 75% of respondents expressed satisfaction with their jobs, while 25% disagreed. Almost 83% of the survey takers reported planning on working for ADOC for at least another year, while 17% did not. When asked if they felt committed to the vision for ADOC's Women's Services, 73% responded affirmatively, nearly 20% responded "somewhat" and 7% chose "not at all" as their response. While much work remains to be done, the results of this survey are encouraging. Another staff survey will be conducted this Summer 2019.
Tutwiler is also committed to supporting those who work in the Women's Services Division specifically. Tutwiler is exploring strategies to increase workplace health and wellness for staff. There are plans to open an employee gym at the new Women's Division Training Center for use by staff. Space is currently being renovated to house an employee break room and a new parking lot is under construction which will address the extreme shortage of on-site parking space. Now, many staff members must either park on the highway next to the prison or cross a busy, divided highway to access their parked cars. Staff expressed appreciation for this development.
The Moss Group, Inc. worked with the ADOC Women's Services strategic planning sub-committee to develop a recruitment and retention plan for ADOC Women's Services. The plan is organized into two categories: Retention: Re-recruiting our staff and Recruitment: Making the most of the market. The plan includes many practical
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and actionable strategies and objectives and recommends the establishment of small, task-specific committees to implement approved recommendations at the facility level.
The monitor suggested a few additional targeted recruitment strategies to Warden Wright for her consideration. Given promising developments, including the recent legislation to increase compensation, the creation of the Correctional Security Position which requires a lesser degree of demonstrated physical fitness and a shorter length of time in the training academy, and the change in shift length and revisions to the forced overtime practice to afford staff more control over their schedules, the monitor suggested strategic outreach to those men and women who may have previously left the academy as a result of not being able to meet all the fitness requirements. The creation of the new position may afford them an opportunity to work for the ADOC. Another potential target group for recruitment includes staff who resigned from Tutwiler in the last few years as a result of the amount and unpredictability of forced overtime hours. These individuals have already attended the training academy and would require very little training before being placed back on a roster. Retirees also represent a potential source of re-hires as they are allowed to work part-time hours post retirement.
Logistics
Compliance Visit The purpose of this June 2019 compliance visit was for the monitor to acquire
information and observations to inform the eighth court compliance report. The monitor and Deputy Commissioner Williams worked together to finalize the tour agenda and interview schedule.
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Introductory Meeting /Presentation by Warden Wright Warden Wright provided a very helpful and detailed overview of progress made
at the facility to the monitor and the DOJ at an opening meeting attended by Deputy Commissioner Williams and key members of Warden Wright's management team.
Compliance Visit Staff Interviews Throughout the week, the monitor held individual meetings and had multiple
interactions with the following executive leadership and supervisory staff, including: Alabama Department of Corrections  ADOC Commissioner Jefferson Dunn  Dr. Wendy Williams, Deputy Commissioner for Women's Services  Mr. Matt Brand, Associate Commissioner for Administrative Services  Ms. Carrie Shaw, ADOC Counsel  Ms. Kelly Mautz, Research Assistant, WRNA Validation  Mr. Arnaldo Mercado, Director of ADOC's I&I Division  Ms. Kelley Smith, I&I's Tutwiler investigator  Mr. William Lawley, ADOC Personnel Director  Ms. Christy Vincent, ADOC PREA Coordinator Tutwiler Prison for Women  Ms. Deidra Wright, Warden III  Ms. Lagretta McClain, Warden II and Settlement Compliance Manager  Mr. Kenneth Drake, Warden I  Lieutenant Felisha Blanding, IPCM
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 Sergeant Emily Abbott, Segregation Supervisor  Ms. Tina Tyler, ADA Coordinator/Inmate Grievance Coordinator  Ms. Felicia Greer, Tutwiler Mental Health Site Administrator  Ms. Constance Johnson, Tutwiler Healthcare Site Administrator  Ms. Stephanie Williams, Tutwiler Director of Nursing  Sgt. Emily Abbott  Sgt. Corey Lewis  Ms. Patricia Mims, Senior Social Worker  Ms. Tenesha Williams, Classification Supervisor
The monitor selected line staff members for individual and group interviews. These staff members were diverse in positions, race, length of experience in corrections, and gender. In general, the monitor asked about their awareness of the PREA reporting structure, investigations, the inmate grievance system, their recent PREA and genderresponsive training, and their impressions of the new behavior intervention and inmate discipline program and the use of the Residential Treatment Unit. Compliance Visit Inmate Interviews
During informal interactions with inmates from various housing dorms, the monitor used a set of questions regarding their knowledge of PREA policies, reporting of allegations, the grievance system, staff/inmate professional relationships, and the availability of reporting allegations using various phone lines. The women discussed incidents they observed of unprofessional conduct, their use of the grievance system, impressions of the new behavior intervention and inmate discipline program, and their overall feeling of safety at Tutwiler. Their responses are documented in the monitor’s
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discussion in various sections of the compliance report. Several topics were repeatedly raised by the women. They made allegations against a small number of officers using vulgar, degrading, or racially insensitive or offensive language. Some women expressed a great deal of frustration over the lack of consistency in practice between shift officers, especially in the housing units. Some inmates alleged a perception that racism was an issue and that officers treated inmates, specifically inmates in romantic partnerships, differently based upon race. The specific issue of perceived racial discrimination, though raised during this visit, arose far less frequently than it did during the previous monitoring visit. The majority of the prison staff is African American, and the majority of the inmate population is Caucasian. The women allege that African American inmates get preferential treatment. The monitor recognizes these issues are deeply embedded in culture and the inmates' pre-incarceration experiences.
Prior to the monitor's June 2019 compliance visit, the monitor had asked Deputy Commissioner Williams to arrange for a notice to be posted in all housing units affording inmates an opportunity to sign up for private one-on-one meetings with the monitor during the upcoming visit. The notice explained that, based upon the number of women who signed-up, it might not be possible for the monitor to accommodate every request to speak with her. In total twenty-eight women signed up. One woman elected to decline the interview and the monitor elected not to interview two others. During the visit, two other inmates were added to the interviewee list as a result of informal conversations they had with the monitor during her tour of the facility. In total twenty-seven women were formally interviewed by the monitor privately in the law library.
Some of the inmates interviewed by the monitor focused on issues that are
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beyond the scope of the settlement agreement, raising issues and complaints about sentencing laws, parole policy and decision making, medical and dental services, property, law library, food services, and the behavior of other inmates. Many inmates complained about the actions of other inmates, including the women who use PREA allegations to manipulate their own housing assignments or to attempt to have targeted inmates removed from their units. The monitor is quite familiar with the potential manipulation of PREA allegations by inmates against other inmates or staff. Tutwiler has been very cautious responding to allegations that are determined to be unfounded. Staff has balanced the need to hold inmates accountable for their actions against the risk of discouraging the active reporting of legitimate allegations by others.
Lastly, many inmates seemingly have misinterpreted the intervention guidelines included in SOP 8-30, Behavior Intervention and Inmate Discipline. There is a misperception that officers cannot use their discretion and must always issue a verbal redirect first. Some inmates perceive a disparity in sanctions because they are failing to recognize the many factors, including an inmate's mental health state and institutional disciplinary history, that the officer is weighing. For this reason, the monitor recommends continued educational sessions for inmates to review the requirements of the new policy. As stated previously, this resistance is not unexpected, because this change in policy represents a significant shift in both staff and inmate cultures.
Facility Tours While touring the facility during the compliance visit, the monitor noted
improvements to the physical plant and to the overall cleanliness of the physical plant. The management team creatively repurposed or rehabbed many areas of the facility to be
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used as program space. The monitor observed several on-going renovation projects while touring the facility. As programming options for the women expand, leadership will be challenged to maximize the use of all available, appropriate space.
In each housing unit, the monitor noted the prominent posting of notices and information for inmates, including: a PREA hotline notice, notice of a victim support line, PREA education materials, principles of gender-responsive programming for women, sick call slips, and grievance and appeal forms.
Throughout the tour, ADOC and Tutwiler staff afforded the monitor the time, space, and many opportunities to engage in private conversations with both staff and inmates in housing and program units. Staff consistently demonstrated knowledge of sexual safety and their individual roles and responsibilities in this area. Generally, the inmates acknowledged and expressed appreciation for the positive changes at the facility regarding sexual safety. Feedback from the long termers underscored that many women feel much safer at Tutwiler today.
Appreciating that the institutional climate and culture can differ shift to shift, the monitor and Deputy Commissioner Williams conducted an unannounced night visit to the facility for the purpose of observing operations during the evening shift, when top facility leadership are generally not on-site. This visit was conducted on the evening of June 5, 2019. The facility climate was very quiet and low-key.
During the June 2019 monitoring visit, the monitor also visited:  The Residential Treatment Unit  Mental Health Unit  Honor Unit,
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 Trade School Unit  Infirmary, clinic area  Dorm D5, the aged and infirmed unit  K-Dorm, Intake Unit  Shift commander’s office  Administrative offices  Program space  Visiting Room  Law Library  Camera Room  Annex
While work on the youthful offender trailer was completed on October 20, 2016, making it ready for occupancy and providing designated placement for this specialized population, Tutwiler did not receive any youthful offenders during this reporting period, so this unit was again vacant during the monitor’s June 2019 visit.
It is notable that the Segregation Unit was empty during the monitor's compliance visit, indicating reduced use of restrictive housing as a disciplinary sanction or investigatory tool. Based upon the monitor's review of the segregation placement log, it is apparent that the number of segregation placements have been reduced.
The DOJ attorneys visited many areas of the facility, including: Food Services, the Annex, Trade School, Health Services, and Death Row while the monitor conducted several private interviews with inmates.
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Document Review In addition to the interviews and discussions with staff and the tours of Tutwiler,
the monitor reviewed a wide variety of documents, correspondence, records, and staff reports. These documents are listed in the "Measures of Compliance" box in the audit tool for each section. The monitor reviewed most of these documents prior to her visit and reviewed some documents on-site during the visit. In addition, the monitor made several additional follow-up requests for documents, which she received after the visit. Attachment A to this report lists documents reviewed by the monitor prior to, during, and after the compliance visit.
The monitor showed various documents to staff during the interviews, for their authentication and comment. The monitor also reviewed multiple documents maintained by Warden McClain, Lt. Blanding, and Ms. Tyler while conducting formal interviews with them. The monitor recognizes and appreciates the time and commitment these individuals expend to maintain the level of detailed documentation required to demonstrate compliance. The ADOC and Tutwiler team continues to maintain impressive records.
The monitor referred to specific documents for each set of requirements in the audit tool report in the monitor’s discussion of ADOC compliance with the section.
Exit Debriefing with ADOC Leadership The monitor and Deputy Commissioner Williams debriefed each day of the
compliance visit, so Deputy Commissioner Williams and the monitor conducted an abbreviated exit meeting at the conclusion of the compliance visit. At the exit meeting, the monitor made a request for some additional documents and data and recapped issues
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raised by inmates during formal interviews.
Monitoring Tool The parties had previously agreed on a "monitoring tool" format for each of the
settlement provisions and their subsections. The front page of each provision in the tool includes both the specific requirements for that section and the dates for the ADOC's compliance. The settlement provides, for most requirements, that the ADOC: create a policy; train staff on that policy; and implement the policy in the regular activities at Tutwiler and the ADOC. Specifically, an approved ADOC policy must first be published for operational practice in a facility. At Tutwiler, the facility develops written SOPs to apply the ADOC policy to direct specific operational practices at the prison. The second step is to train all staff subject to the policy and SOP using an approved training curriculum. The third step is to then implement and document compliance with these policies and SOPs in the actual practice of the directives at the facility.
The monitor evaluated each section and its specific requirements through interviews with inmates and ADOC and Tutwiler staff; document review; announced and unannounced facility tours; on-site observations (dorm activities, inmate movement, camera room operations); communication with the parties through calls and emails; and a review of previous compliance reports. For each section, the monitor assesses the extent to which ADOC and Tutwiler have complied with the requirement and addressed any outstanding issues from the last compliance visit, documents her findings, and chooses the rating corresponding to her assessment of the ADOC and Tutwiler's level of compliance. Prior to conducting the very first monitoring visit, initial monitor Jennie Lancaster had established the "Measures of Compliance" for each provision and
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identified the documents and interviews to be used to assess compliance. The ADOC submitted the documents prior to the visit and drafted an interview agenda and touring schedule for the monitoring visit. During the transition of monitoring responsibilities from Ms. Lancaster to Ms. Dennehy in August 2016, monitor Dennehy committed to using the same process, measures and documents, but reserved the option to revisit and amend these measures to facilitate monitoring going forward.
The monitor completed this report and the monitoring tool through the following actions:
1) Examining the settlement agreement, its provisions, and the specific requirements listed in the monitoring tool.
2) Requesting and examining specific documents to identify and assess the extent of the ADOC and Tutwiler actions in response to the agreement requirements. Examples include: ADOC policies and Tutwiler standard operating procedures; training curricula; staff rosters for training; staff reports and spreadsheets to document actions; inmate grievances; investigations; and meeting minutes.
3) Selecting specific ADOC and Tutwiler staff for compliance interviews based on the individual’s overall and direct responsibilities for settlement implementation.
4) Conducting interviews with selected staff to obtain feedback and perspective on Tutwiler activities and practices related to the settlement terms and requirements.
5) Conducting twenty-seven formal, private individual interviews with selected
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inmates to obtain feedback and perspective on Tutwiler activities and practices related to the settlement terms and requirements. 6) Engaging in spontaneous, private conversations with both staff and inmates in housing and program areas during monitoring visits. 7) Reviewing letters submitted confidentially to the monitor from inmates and conducting interviews with selected inmates to follow-up on issues raised in their correspondence received by the monitor. 8) Using routine communication with the parties, prior to, during, and after the visit to ask for more information or clarification regarding the settlement, its terms and requirements and determinations of compliance. 9) The monitor sent the first draft report to both parties on July 29, 2019. The agreement allows for a two-week period of review by both parties. The monitor received comments from the DOJ and ADOC and reviewed the comments of both parties, in each section, and took them into consideration in her final revisions to the report. 10) The monitor will submit the completed set of audit tool report, the narrative summary and attachments, to the court by August 28, 2019.
Summary of Compliance
"Compliance" is discussed throughout the agreement and this report in the following terms: substantial compliance, partial compliance, and non-compliance. "Substantial compliance" indicates that the ADOC and Tutwiler have achieved material compliance with most or all components of the relevant provision of the settlement
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agreement. "Partial compliance" indicates that the ADOC and Tutwiler have achieved material compliance on some of the components of the relevant provision of the settlement agreement, but significant work remains. "Noncompliance" indicates that the ADOC and Tutwiler have not met most or all the components of the relevant provision of the settlement agreement. "Material compliance" requires that, for each provision, the ADOC and Tutwiler have developed and implemented a policy incorporating the requirement, trained relevant personnel on the policy, and relevant personnel are complying with the requirement in actual practice.
Closing Observations
The monitor appreciates the high level of cooperation she continues to receive from all parties during the monitor compliance visits. The monitor also appreciates the level of cooperation and responsiveness of the ADOC and Tutwiler staff during this entire reporting period. The monitor made requests for documents or information and they were always processed in a thorough and timely manner.
The monitor sees continued progress by the ADOC and Tutwiler and is impressed by leadership's commitment to fully implement the settlement and evidence-based gender specific practices at Tutwiler. Leadership also demonstrates a commitment to quality improvement. The monitor recognizes the time and commitment needed to maintain the level of detailed documentation required to demonstrate compliance. The ADOC and Tutwiler team continue to maintain impressive records. More importantly, leadership is using this information and data to monitor and improve practice and create a culture at Tutwiler that reflects awareness of policies designed to address sexual abuse and sexual
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Attachment A: List of Documents Used for Compliance Report
Monitor's note: the monitor also reviewed some documents, not listed below, that were received/reviewed for the compilation of the previous compliance reports.
 Inmate Survey and Polling Plan  First Quarter Inmate Survey Results  Second Quarter Inmate Survey Results  Third Quarter Inmate Survey Results  Fourth Quarter Inmate Survey Results  First Quarter Inmate Survey Results (Year Two)  Second Quarter Inmate Survey Results (Year Two)  Third Quarter Inmate Survey Results (Year Two)  Fourth Quarter Inmate Survey Results (Year Two)  First Quarter Inmate Survey Results (Year Three)  Second Quarter Inmate Survey Results (Year Three)  Auburn University's MOU with ADOC  Auburn University's Polling Proposal  Tutwiler PREA Incident Review Committee reports, January-June 2019  Tutwiler Risk Management System spreadsheet, January-June 2019  Risk Management System Summary  Quarterly Risk Management System Data Review  Spreadsheet of Staff Identified in Risk Management System -Corrective Action
Taken  Annual assessment of the Risk Management System, December 2017  Annual assessment of the Risk Management System, November 2018  Log of unannounced rounds by supervisors  Monthly Grievances, January-June 2019 -randomly selected  All PREA-related inmate grievances, January-June 2019  Tutwiler spreadsheets documenting inmate disciplinary infractions, January-June
2019  Gender -Responsive Classification Policy  ADOC Women's Services Classification Instruction Manual  Tutwiler PREA risk factors checklists  Tutwiler PREA risk re-assessments checklists (30-day reassessment)  Tutwiler ADOC mental health referrals to Wexford for PREA assessments  Tutwiler mental health treatment notes for initial PREA assessments  Spreadsheets/logs for the classification checklists  Update on progress of the pilot administration of the WRNA and any data collected.  WRNA Validation Committee’s agenda, notes, and PPT  WRNA Validation Project Proposal  Intake Unit inmate movement sheets
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 Intake Unit Receiving Log  Intake Unit quarterly workgroup meeting minutes  Dorm Representatives Meeting Minutes  Tutwiler Bed Count Roster for June 3, 2019  ADOC's Classification PREA risk referral log  Wexford new employee orientation Manual  Wexford new Staff Orientation "On-boarding" training curriculum and manual  Wexford staff training records, including post tests for oldest and newest
employees.  Wexford PREA policy  Wexford staff training records  Wexford PREA sexual assault allegations log  Wexford PREA inmate evaluation log  Wexford inmate grievance log  Tutwiler ADOC and Wexford mental health staff meetings minutes  Tutwiler Classification PREA Risk Referral Log  Draft Administrative Regulation 637-Gender Dysphoria Disorder  Gender Identify Committee Review Meeting, Tracking Log  Completed and published PREA audit, May 2016  Completed and Published PREA audit, March 2019  Communications log maintained by Lt. Blanding, regarding calls, emails, etc. with
ADOC PREA Coordinator Vincent  Bi-monthly PREA reports from Lt. Blanding to ADOC PREA Coordinator
Vincent  PREA #66 hotline calls log, maintained by Institutional PREA Compliance
Manager for January-June 2019  Monthly spreadsheet of calls made to ADECA  Notification to inmate population regarding availability of hotline  Copies of Random Inmate Interviews conducted by Lt. Blanding to monitor
reporting culture for January-June 2019  Training rosters maintained by Lt. Blanding for January-June 2019  PREA training documentation for the private transport security staff  Training documentation for Tutwiler staff, contractors, volunteers, overtime staff
in SOPs  PREA & Gender-Responsive Refresher Training Facilitator Guide  Randomly selected training evaluations from Tutwiler staff attending the required
PREA (SOP 8-12) and gender-responsive training  Log of Pregnant Inmate Intake maintained by Lt. Blanding  Pregnant Inmate Intakes Statements maintained by Lt. Blanding  Tutwiler "inmate on inmate harassment" allegation investigations, completed by
Lt. Blanding January- June 2019  Tutwiler inmate education session attendance logs for January-June 2019  Final Inmate Orientation Guide  Certification of completion of inmate education on the new Women's Services
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Classification Manual  Engaging Women in Trauma-informed Peer Support: A Guidebook  Copies of Gender-Responsive Women's Programs Work Group agenda, notes and
PowerPoint presentation  Women's Services Handbook  Tutwiler camera room surveillance logs, January-June 2019  Tutwiler annual assessment of the camera operations - November 2017 &
December 13, 2018  Tutwiler Gender-Responsive Staffing Analysis and plan  Tutwiler staffing updates for January-June 2019  ADOC Recruitment and Retention data, January-June 2019  Auburn University's study of Physical Agility Ability Testing (PAAT) ,conducted
for the Alabama Peace Officers' Standards and Training Commission, December 2017  Tutwiler staff discipline: January-June 2019  Abusive and Profane Language Intervention Plan  Tutwiler shift duty rosters (noting overtime staff)  Tutwiler list of currently approved overtime employees  Periodic Staff Overtime Reports  Social Service Caseworker lateral transfer announcement approving the filling of positions  Randomly selected Tutwiler shift dorm assignment logs  Correctional Officer Trainee, "Physical Fitness training "assessments/ reports, January-June 2019  ADOC reports for the staff physical fitness exams results, from the academy, for January-June 2019 broken down by gender  Inmate correspondence received by the monitor during January-June 2019 2018  PREA-related investigations, completed by ADOC Investigations & Intelligence January-June 2019  SOP 8-30, Behavior Intervention and Inmate Discipline (draft)  Implementation plan for SOP 8-30 Behavior Intervention and Inmate Discipline  Curriculum for the specialized "investigator " training  SOP 8-24 Disciplinary Segregation  Draft SOP Structured Living Unit  Women's Services, Retention and Recruitment Plan, July 2018  ADOC Strategic Plan 2019-2022
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Attachment B: List of Tutwiler’s Standard Operating Procedures (SOPs)
This is a listing of all the ADOC and Tutwiler policies provided to the monitors to date. The monitor reviewed the drafts, provided comments on each to ADOC and received the final ADOC published copies.

SOP

TITLE

1-1

Mission

4-1

Warden III

4-2

Assistant Wardens, Warden II & Warden I

4-3

Correctional Captains

4-4

Lieutenants & Sergeants - Shift Supervisors

4-5

Correctional Officers & Trainees

5-00

Dormitory Security SOP

5-01

Dormitory A Post Order

5-02

Dormitory B Post Order

5-03

Dormitory C Post Order

5-04

Dormitory D Post Order (Health Care Unit)

5-05

Dormitory F Post Order

5-06

Dormitory G & J Post Order (South Hall II)

5-07

Dormitory I Post Order (South Hall III

5-08

Dormitory K&M Post Order (Death Row) (South Hall I)

5-09

Dormitory L Post Order (Segregation Unit)

5-10

Dormitory H Post Order (Mental Health Unit)

5-11

Dormitory N / O Post Order (Annex)

5-12

Annex Back Gate Post Order

5-14

Tutwiler Back Gate Post Order

5-18

Sewing Factory Post Order

5-20

Trade School Security Post Order

5-21

Kitchen Officer and Chief Steward Post Order

5-22

Laundry Post Order

5-23

Gender Specific Posts

6-2

Referrals to Mental Health Services

6-4

Reception Mental Health Screening

6-6

Crisis Intervention

6-9

Mental Health Observation and Suicide Watch Procedures

6-11

Closed Residential Treatment Unit (CRTU)

6-12

Mental Health Unit Dormitory H Stabilization

7-3

Institutional Security, Sanitation, & Safety Inspections

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SOP

TITLE

7-7

Searches

7-8

Use of Force

7-9

Inmate Count Procedures

7-10

Emergency Medical Treatment

7-12

Evacuation of Inmates in Specialized Housing

7-14

Inmate Pregnancy

7-17

Security Threat Groups

7-19

Inmate Visitation Privileges

7-20

Aid to Inmate Mothers Visitation Criteria

7-29

Employee / Inmate Relationships

8-1

Reception and Orientation: Receiving Rules

8-3

Inmate Transports

8-5

Controlled Movement

8-12

Inmate Sexual Abuse and Sexual Harassment

8-13

Inmate Control Systems (ICS)

8-14

Inmate Personal Property

8-17

Tutwiler Inmate Photographs

8-18

Inmate Drug Screening

8-19

Youthful Inmates

8-22

Inmate Grievance Procedures

8-23

Administrative Segregation

8-24

Disciplinary Segregation

8-27

Hygiene Item Issuance

8-28

Death Row Unit-M

8-29

LGBTI Inmate Population

8-30

Behavior Intervention and Inmate Discipline

8-31

Hair Grooming

9-5

Overtime / Mandatory Overtime Work

9-6

Staffing Plan

9-7

Private Transportation Security Agents

9-9

Employee Standards of Conduct & Discipline

9-16

Institutional PREA Compliance Manager

11-1

Data Collection and Quality Improvement

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Attachment C: Summary of Compliance
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Requirement CSoubmsptliaantnicale CoPmaprltiiaalnce ComNpolina-nce
N/A

Description

III.A. GENERAL POLICIES AND PROCEDURES
ADOC and Tutwiler shall comply with all provisions of PREA.

ADOC and Tutwiler shall continue to comply with the ADOC’s written policies and procedures mandating zero tolerance toward all

A.1

forms of sexual abuse and sexual harassment.

x

This agreement takes precedence over any ADOC and/or Tutwiler policy governing the operation of Tutwiler that may conflict with this agreement.

Shall develop; submit to the Monitor and DOJ for review consistent with III.A.6; and Implement policies and procedures regarding

A.2

the management of lesbian, gay, bisexual, transgender, intersex, and gender nonconforming inmates. The policy shall emphasize the rights of lesbian, gay, bisexual, transgender, intersex, gender nonconforming and gender dysphoric inmates to a safe, non-

x

discriminatory and respectful environment.

Continue to comply with ensuring women receive essential supplies, including hygiene and feminine hygiene products, tampons

A.3

and pads; linens; and uniforms by making them available on a monthly basis or more frequently as needed. The policy will continue to require the tracking and distribution of these products. ADOC and Tutwiler will continue to ensure that both tampons

x

and sanitary pads are readily available, free of charge, to Tutwiler inmates.

A.4

Shall develop and implement policies and procedures that incorporate gender-responsive strategies, including policies and procedures governing the use of force against women inmates and discipline of women inmates

x

Shall continue to develop, submit to the Monitor and DOJ for review consistent with III.A.6, and implement facility-specific policies

A.5

and operational practices specific to Tutwiler’s population regarding the supervision and monitoring necessary to prevent inmates x

from being exposed to unreasonable risk of harm from sexual abuse and harassment.

III.B. CAMERA MANAGEMENT

B.1

Camera management policies and procedures will remain in effect at Tutwiler

x

B.2

Camera management policies and procedures, including the locations where cameras have been placed, will be reviewed at least annually to ensure they are serving their goal of maximum supervision.

x

III.C. STAFFING

C.1(i)

ADOC and Tutwiler shall continue to develop, submit to the monitor and DOJ to assess for compliance with this agreement and implement its plan to recruit women correctional officers at Tutwiler

x

C.2

In order to address low staffing levels and the need for more women officers, ADOC and Tutwiler shall ensure that correctional staffing and supervision is sufficient to adequately supervise inmates and staff and allow for the safe operation of Tutwiler.

x

III.D. TRAINING

D.1

ADOC and Tutwiler shall train all staff who may have contact with inmates with the following:

x

D.2

Within six months of the Effective Date, all staff shall have received training as set out in Section III.D.1

x

D.3

ADOC and Tutwiler shall provide annual refresher training to all staff

x

D.4

The Monitor will work with ADOC and Tutwiler in drafting new training materials and/or revising current training materials set out in III.D.1 and III.D.3

x

D.5

ADOC shall certify and document to Tutwiler’s PREA Compliance Manager, the Department-wide PREA Coordinator, the Monitor, and DOJ, that all staff have been trained

x

III.E INMATE EDUCATION

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Requirement CSoubmsptliaantnicale CoPmaprltiiaalnce ComNpolina-nce
N/A

Description

(Inmate Education: Intake)

1. ADOD and Tutwiler shall ensure that, during the intake process, all inmates receive information regarding the following (listed

below):

3. Current Tutwiler inmates will receive the information and education described in III.E.1 within three months of the Effective

E.1,3,6,7

Date (by August 28, 2015). 6. Consistent with current policy, ADOC and Tutwiler shall ensure that the information outlined in III.E.1 is conveyed and made

x

available in formats accessible to all inmates, including those who are limited English proficient, deaf, visually impaired, or

otherwise disabled as well as to inmates who have limited reading skills.

7. ADOC and Tutwiler shall provide the Monitor and DOJ for their review consistent with Section III.A.6 any materials or

curriculum utilized to satisfy the requirements of III.E.1

(Inmate Education: Comprehensive)

2. Within 14 days of intake, ADOC and Tutwiler shall provide comprehensive orientation education to inmates either conducted in-

person or through a video presented by an in-person facilitator regarding their rights to be free from sexual abuse and sexual

harassment and to be free from retaliation for reporting such incidents, and regarding their policies and procedures for responding

to such incidents.

3. Current Tutwiler inmates will receive the information and education described in III.E.2 within three months of the Effective

Date (by August 28, 2015).

4. ADOC and Tutwiler shall ensure that the individual conducting or facilitating the comprehensive inmate educational orientation

is trained on Tutwiler’s and ADOC’s policies and procedures related to sexual abuse and sexual harassment, the PREA

E.

standards, and this Agreement.

2,3,4,5,6,7,8 5. The individual conducting or facilitating the comprehensive inmate orientation education shall remain in the room during the

x

entire orientation and shall monitor the inmates for reactions to and understanding of the information. A mental health practitioner

will serve as an advisor to the orientation process and services will be available during the orientation process if indicated.

6. Consistent with current policy, ADOC and Tutwiler shall ensure that the information outlined in III.E.2 is conveyed and made

available in formats accessible to all inmates, including those who are limited English proficient, deaf, visually impaired, or

otherwise disabled as well as to inmates who have limited reading skills.

7. ADOC and Tutwiler shall provide the Monitor and DOJ for their review consistent with Section III.A.6 any materials or

curriculum utilized to satisfy the requirements of III.E.1

8. ADOC and Tutwiler shall maintain documentation of inmate participation in the education sessions required by III.E.2.

III.F. GENDER-RESPONSIVE CLASSIFICATION

Within two months of the Effective Date, ADOC and Tutwiler shall convene a working group to evaluate methods to decrease or

F.1

eliminate Tutwiler’s use of Dorm A for a period of time that exceeds 48 hours while screenings are completed, including an examination of the necessity of PAP test and/or other medical, mental health, or intellectual test results prior to classification and

x

failures to provide adequate continuity in medical and mental health care to Dorm A residents

F.2

Within six months of convening of the working group, ADOC and Tutwiler shall retain an expert in gender responsive assessment and classification.

x

3. The approved plan for implementation of the classification system shall be managed by an implementation workgroup and completed within two years of the approval of plan

F.3,4

4. The system shall provide programs that incorporate gender responsive principles and address the needs of women inmates at Tutwiler, including those addressing sexual abuse, sexual harassment, and trauma; domestic violence; dating violence; and

medical and mental health care.

III.G RISK ASSESSMENT

G.1

ADOC and Tutwiler shall continue to utilize a risk assessment instrument to screen for risk of victimization and abusiveness

x

x
(N/A until late 2019)

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Requirement CSoubmsptliaantnicale CoPmaprltiiaalnce ComNpolina-nce
N/A

Description

G.2,3

2. Inmates at high risk for sexual victimization shall not be placed in involuntary segregation housing due to their high risk of

victimization unless an assessment of all available alternatives has been made, and a determination has been made that there is

no available alternative means of separation from likely abusers. Such an assessment and determination shall be documented,

explain the basis for Tutwiler’s concern for the inmate’s safety and the reason why no alternative means of separation can be

arranged. A review of such determination must be afforded each inmate at least every 30 days to determine whether there is a

x

continuing need for separation from the general population.

3. Inmates placed in segregated housing Due to potential victimization shall, to the extent possible, have full access to programs,

privileges, education, and work opportunities as inmates in general population housing.

III.H. INMATES’ RIGHT TO PRIVACY

H.1

Cross-Gender Searches : ADOC and Tutwiler shall continue to comply with its policy regarding cross-gender pat and strip searches

x

2.i Cross- Gender Viewing: ADOC and Tutwiler shall develop, submit to the Monitor and DOJ for review consistent with Section

A.III.6, and implement policies and procedures that enable inmates to perform bodily functions – such as showering, bathing, and using the toilet – and change clothing without nonmedical staff of the opposite gender viewing their breasts, buttocks, or genitalia,

except in exigent circumstances of when such viewing is incidental to routine cell checks

H.2

x

2.ii ADOC and Tutwiler shall develop, submit to the Monitor and DOJ for review consistent with Section III.A., and implement

policies and procedures regarding the method of conducting inmate counts. This policy and procedure shall limit inmate

movement during inmate counts and shall prohibit the practice of conducting inmate counts while inmates are likely to be in the shower and toilet areas

H.3

ADOC and Tutwiler shall continue to implement its plan to address the architectural features that contribute to a lack of privacy for inmates while showering or using the toilet

x

III.I REPORTING ALLEGATIONS OF SEXUAL ABUSE AND SEXUAL HARASSMENT

ADOC and Tutwiler shall continue to comply with its policy on reporting allegations of sexual abuse and sexual harassment. Any

modification of that policy shall be submitted to DOJ and the Monitor for review consistent with Section III.A.6. ADOC and

I.1

Tutwiler shall provide multiple internal methods, including a grievance process and at least one confidential method, for inmates

x

to report sexual abuse and sexual harassment, retaliation by other inmates or staff for reporting sexual abuse and sexual harassment, and staff neglect or violation of responsibilities that may have contributed to such incidents.

I.2,3

2. ADOC and Tutwiler shall also provide at least one way for inmates to report abuse or harassment to a public or private entity or

office that is not part of the agency, and that is able to receive and immediately forward inmate reports of sexual abuse and

sexual harassment to agency officials, allowing the inmate to remain anonymous upon request. The method provided should be through a toll-free number or other method as agreed to by the Monitor and DOJ.

x

I.4,5

3. ADOC and Tutwiler shall provide a method for staff to confidentially report sexual abuse and sexual harassment of inmates

4. Third parties shall be permitted to assist inmates in filing requests for administrative remedies relating to allegations of sexual abuse and sexual harassment, and shall also be permitted to file such requests on behalf of inmates

5. All third party reports of sexual abuse and sexual harassment shall be forwarded immediately to the Departmental PREA

x

Coordinator and be investigated and processed in accordance with Policy. As part of this process, the Departmental PREA

Coordinator will inform Tutwiler’s PREA Compliance Manager of all third party reports received.

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Requirement CSoubmsptliaantnicale CoPmaprltiiaalnce ComNpolina-nce
N/A

Description

I.6, 6.viii

6. Grievances: ADOC and Tutwiler shall continue to develop and submit policies and procedures for an inmate Grievance System to the Monitor and DOJ for review within three months of the effective date and, within four months of the effective date, implement the inmate Grievance System. This policy shall clearly prohibit retaliatory practices by staff against inmates who file a grievance and should include the requirements listed in III.I.6.ii-ix
x
6.viii ADOC and Tutwiler shall develop, submit to the Monitor and DOJ for review consistent with Section III.A.6, and implement policies and procedures for the filing of an emergency grievance where an inmate is subject to a substantial risk of imminent sexual or physical abuse

I.7,8,9 I.10.i

7.ADOC and Tutwiler shall require all employees to report immediately: Any knowledge, suspicion, or information regarding an incident or alleged incident of sexual abuse or sexual harassment that occurred in Tutwiler, in transport vehicles, or in any off-site facilities under the control and supervision of ADOC or Tutwiler; Retaliation against inmates or staff who reported such an incident; and any staff neglect or violation of responsibilities that may have contributed to an incident or retaliation.

8.Apart from reporting to designated supervisors or officials, staff shall not reveal any information related to a sexual abuse or

x

sexual harassment report to anyone other than to the extent necessary to make treatment, investigation, and other security and

management decisions.

9.ADOC and Tutwiler shall report all allegations of sexual abuse and sexual harassment, including third party reports, anonymous

reports, and inmate grievances, to Tutwiler’s or ADOC’s designated investigator

Protecting Inmates and Staff from Retaliation:

i.Consistent with ADOC policies, ADOC and Tutwiler shall protect all inmates and staff who report allegations of sexual abuse or

sexual harassment or cooperate with sexual abuse or sexual harassment investigations from retaliation by other inmates or staff, and shall designate Tutwiler’s PREA Compliance Manager with monitoring allegations of retaliation concerning inmates.

x

Allegations of retaliation against employees will be investigated and processed in accordance with ADOC personnel policy.

III.J. OFFICIAL RESPONSE TO AN ALLEGATION OF SEXUAL ABUSE AND SEXUAL HARASSMENT

J.1

When ADOC or Tutwiler learns that an inmate may be subject to a substantial risk of imminent sexual abuse, ADOC or Tutwiler shall take immediate action to protect the inmate.

x

ADOC and Tutwiler shall continue to comply with Policy and Tutwiler Standard Operating Procedures to coordinate actions taken

J.2

in response to an allegation of sexual abuse, among first staff responders, medical and mental health practitioners, investigators, and Tutwiler leadership, including time frames and lists of whom staff should report to in specific situations and guidelines

x

regarding the collection of physical evidence.

3.ADOC and Tutwiler shall respond to reports of sexual abuse and sexual harassment or threats of sexual abuse or sexual

harassment without regard to an inmate’s known or perceived sexual orientation or gender identity.

J.3,6

6.ADOC and Tutwiler shall not place in protective custody an inmate who is alleged to have suffered sexual abuse or sexual harassment solely for the purpose of protecting that inmate, unless a determination, documented in writing and reviewed by the

x

PREA Compliance Manager or the Warden’s designee within 24 hours, has been made that there is no available alternative

means of separation from likely abusers.

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Requirement CSoubmsptliaantnicale CoPmaprltiiaalnce ComNpolina-nce
N/A

Description

J.4,5

4.The written institutional plan shall include procedures that address how staff respond upon learning of an allegation that an inmate was sexually abused; described below

5. If the first staff responder is not a security staff member, the responder shall be required to request the alleged victim not take

x

any actions that could destroy physical evidence, and then notify security staff.

To the extent they do not already exist, ADOC and Tutwiler shall develop, submit to the Monitor and DOJ for review consistent

J.7

with Section III.A.6., and implement policies and procedures to provide access to medical and mental health services to women identified as potential or actual victims of sexual abuse and sexual harassment, that occurred either at Tutwiler or elsewhere,

x

including the following:

III.K REFERRALS AND INVESTIGATIONS

K.1,2

1.ADOC investigators shall continue to investigate allegations of sexual abuse or sexual harassment consistent with their

authority as criminal investigators and consistent with Policy and Alabama law. Completed investigations of sexual abuse and

sexual harassment will be referred to local prosecutors as appropriate.

2. When ADOC conducts its own investigations into allegations of sexual abuse or sexual harassment, it shall do so promptly,

x

thoroughly, and objectively for all allegations, including third party and anonymous reports. Administrative investigations shall be

completed regardless of the results of any criminal investigations and regardless of the subject’s continued employment by ADOC

ADOC and Tutwiler shall develop, submit to the Monitor and DOJ for review consistent with Section III.A.6., and implement

K.4

guidelines for the immediate initiation of an investigation and/or review upon learning of an allegation of sexual abuse or sexual harassment and develop a process for monitoring those guidelines. The guidelines shall also ensure that investigations that

x

include any allegations of sexual abuse or sexual harassment are properly labeled as such.

Case 2:15-cv-00368-MHT-TFM Document 37-2 Filed 08/27/19 Page 78 of 79

Requirement CSoubmsptliaantnicale CoPmaprltiiaalnce ComNpolina-nce
N/A

Description

Investigators

3.The use of pre-hearing segregation shall be limited to inmates whose continuing behavior is a threat to facility safety, or who will

not stop the prohibited behavior. Such pre-hearing segregation shall not be used for more than 72 hours, at which time an inmate

must be afforded a disciplinary hearing, or provided a written explanation of why the hearing is postponed and when the hearing

will be re-scheduled.

5.Where sexual abuse or sexual harassment is alleged, ADOC shall use investigators who have received special training in

institutional sexual abuse and sexual harassment investigation. Specialized training shall include techniques for interviewing

sexual abuse victims, proper use of Miranda and Garrity warnings, sexual abuse evidence collection in confinement settings, and

the criteria and evidence required to substantiate a case for administrative action or prosecution referral. ADOC shall maintain

documentation that agency investigators have completed the required specialized training in conducting sexual abuse

investigations. The Department-wide PREA Coordinator and Tutwiler's PREA Compliance Manager shall not serve as

investigators for sexual abuse investigations.

7.The credibility of an alleged victim, suspect, or witness shall be assessed on an individual basis and shall not be determined by

K.3,5,7,8,9,10 the person’s status as inmate or staff. ADOC or Tutwiler are prohibited from offering or administering polygraph examinations or

x

other truth-telling devices to an inmate who alleges sexual abuse or sexual harassment.

8.ADOC shall issue a written investigative report within 30 days after the conclusion of a sexual abuse or sexual harassment

investigation that indicates whether the allegation is substantiated, unsubstantiated, or unfounded. The investigator may request

in writing, approved by the facility designee, an extension for cause that identifies the remaining actions necessary to complete

the investigation. In no case shall the investigation be unfounded solely Due to the expiration of the 30 days. The investigative

report shall include an effort to determine whether staff actions or failures to act contributed to the abuse, a description of the

physical and testimonial evidence, the reasoning behind credibility assessments, and investigative facts and findings.

9.ADOC shall work with the Monitor on ensuring that an investigative summary sheet that provides an overview of the current

status of an investigation is included. The summary information should include, among other things, basic information such as

staff name(s), prisoner names(s), location of incident, and the time of day.

10.The departure of the alleged perpetrator or victim from the employment or control of ADOC or Tutwiler shall not provide a

basis for terminating an investigation.

Outside Investigations; Inmate Notification

11.When outside agencies investigate alleged incidents of sexual abuse, ADOC and Tutwiler shall cooperate with outside

investigators and shall endeavor to remain informed, to the extent appropriate, about the progress of the investigation.

12.Following an investigation into an inmate’s allegation that she suffered sexual abuse or sexual harassment in any ADOC

facility or while within the physical custody and control of the ADOC, ADOC and Tutwiler shall inform the inmate as to whether the

K.11,12,13, 14, 15

allegation has been determined to be substantiated, unsubstantiated, or unfounded. 13.If ADOC or Tutwiler did not conduct the investigation, it shall request the relevant information from the investigative agency in

x

order to inform the inmate.

14.Following an inmate’s allegation that a staff member has committed sexual abuse or sexual harassment against the inmate,

ADOC and Tutwiler shall subsequently inform the inmate whenever: (see below)

15.All such notifications or attempted notifications shall be documented.

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Requirement CSoubmsptliaantnicale CoPmaprltiiaalnce ComNpolina-nce
N/A

Description

K.16,17

Investigations Review

16.A review team, including upper-level management officials at Tutwiler, with input from line supervisors, investigators, and

medical and mental health practitioners, shall conduct an incident review within 30 days of the conclusion of every investigation

of substantiated and unsubstantiated allegations of sexual abuse or staff-on-inmate sexual harassment. The review team shall:

x

(see below)

17.ADOC and Tutwiler shall implement the recommendations for improvement or shall document its reasons for not doing so.

K.18

.Within 60 days of the Effective Date, ADOC and Tutwiler shall review all pending investigations alleging sexual abuse and sexual

harassment to determine whether the investigation was conducted according to the requirements of Section III. K. of this

Agreement.

Within 120 days of the Effective Date, ADOC and Tutwiler will conduct a similar review of all unfounded allegations of sexual

x

assault and sexual harassment for the past 360 days to determine whether the investigation was conducted according to the

requirements of Section III. K. of this Agreement.

III.L STAFF DISCIPLINARY ACTIONS

ADOC and Tutwiler shall develop, submit to the Monitor and DOJ for review consistent with Section III.A.6., and implement

L.1

policies and procedures that track staff disciplinary actions related to allegations of sexual abuse or sexual harassment, to ensure x

that the directives in III.L.2-III.L.6 below are met.

III.M Limited English Proficient (LEP) Inmates

ADOC and Tutwiler shall work with the Monitor to develop and implement a policy providing for a method of interpretation

M

services for LEP inmates. This method may be through a language telephone line, if necessary. ADOC and Tutwiler shall not

x

rely on other inmates or non-certified employees to translate and/or interpret for LEP inmates.

IV. Quality Improvement and Data Collection

A. Within one year of the Effective Date, ADOC and Tutwiler shall develop and submit to the Monitor and DOJ for review

consistent with Section III.A.6., and implement, written quality improvement policies and procedures adequate to identify and

address any deficiencies in ADOC and Tutwiler’s prevention, detection and response to sexual abuse and sexual harassment at

Tutwiler and to assess and ensure compliance with the terms of this Agreement.

B. Within three months of the Effective Date, ADOC shall convene a state-wide working group to evaluate how other state and

ADOC entities may contribute to Tutwiler’s compliance with this Agreement.

C. ADOC and Tutwiler shall establish a system wherein they routinely poll inmates regarding their perceptions of the

implementation of the specific terms of this Agreement including the prevalence of staff sexual abuse and sexual harassment,

M

inmate vulnerability to sexual abuse and sexual harassment, the investigation and discipline of staff accused of sexual abuse and x

sexual harassment, the efficacy of inmate education regarding sexual abuse and sexual harassment, privacy in the showers and

toilets, the appropriateness of inmate classification, the levels of staff supervision, the efficacy of the reporting systems for sexual

abuse and sexual harassment including grievances, and official responses to, and retaliation for, allegations of sexual abuse and

sexual harassment.

D. ADOC and Tutwiler shall develop, implement, and maintain, in consultation with the Monitor, a Risk Management System

(“RMS”) that will document and track facility trends related to: (1) sexual abuse or sexual harassment; (2) unprofessional staff

conduct involving inmates, including sexually explicit, vulgar, or degrading language; and (3) use of force incidents.

 </s> Case 2:15-cv-00368-MHT-TFM Document 34-1 Filed 02/25/19 Page 1 of 77 IN THE UNITED STATES DISTRICT COURT
FOR THE MIDDLE DISTRICT OF ALABAMA, NORTHERN DIVISION

UNITED STATES OF AMERICA,

)

)

PLAINTIFF,

)

)

v.

)

)

THE STATE OF ALABAMA AND THE )

ALABAMA DEPARTMENT OF

)

CORRECTIONS,

)

)

DEFENDANTS

)

Civil No. 02:15cv368-MHT

Monitor’s Seventh Compliance Report

Case 2:15-cv-00368-MHT-TFM Document 34-1 Filed 02/25/19 Page 2 of 77
Table of Contents
Introduction ........................................................................................................................... 3 Specific Actions to Evaluate Compliance ........................................................................ 3
Executive Summary............................................................................................................... 7 Intent of the Report ........................................................................................................... 7 Alabama Department of Corrections: Progress, Strengths and Challenges ................ 7 Progress ............................................................................................................................ 7 Alabama Strengths ......................................................................................................... 39 Alabama Challenges....................................................................................................... 45
Logistics ................................................................................................................................ 54 Compliance Visit .............................................................................................................. 54 Monitoring Tool ............................................................................................................... 60
Summary of Compliance..................................................................................................... 63 Closing Observations........................................................................................................... 64 Attachment A: List of Documents Used for Compliance Report.................................... 65 Attachment B: List of Tutwiler’s Standard Operating Procedures (SOPs) .................. 68 Attachment C: Summary of Compliance .......................................................................... 70
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Introduction
The State of Alabama and the United States Department of Justice (DOJ) entered into a settlement agreement on May 28, 2015. The agreement involves a comprehensive set of provisions regarding the safety and security of the women offenders housed at the Tutwiler Prison for Women (Tutwiler). The purpose of the compliance report is to document the progress of the actions of the Alabama Department of Corrections (ADOC) and Tutwiler in response to the specific requirements of the provisions in the settlement. This is the seventh required court report, due February 28, 2019, submitted by independent monitor Kathleen Dennehy. This Court approved Ms. Dennehy as monitor on August 26, 2016.
Ms. Dennehy conducted a compliance visit December 2-6, 2018. This report describes the actions taken by the monitor to determine compliance and uses the time frame July 1, 2018, through December 31, 2018, as the "reporting period.”
The settlement uses four levels to measure compliance: substantial compliance, partial compliance, non-compliance, and not applicable (N/A). The Summary of Compliance section of this report at page 70 includes a chart summarizing the compliance status for each provision.
Specific Actions to Evaluate Compliance The monitor took the following specific actions to evaluate compliance: 1) Compliance Visit: During Monitor Dennehy's December 2018 compliance visit with the ADOC and Tutwiler, she interviewed central office staff, including executive leadership and section managers, who have
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responsibilities related to ADOC duties and Tutwiler compliance with the settlement. Monitor Dennehy also interviewed ADOC staff assigned to Tutwiler, including the facility's top leadership, staff with specific settlement responsibilities, and the Institutional Prison Rape Elimination Act Compliance Manager (IPCM). The monitor also conducted a private group interview of the captains and selected a cross-section of staff for participation in a small group discussion about recent policy implementation. The monitor met individually with three prisoners who had corresponded with her during this reporting period for the purpose of obtaining additional information and determining if additional follow up on their issues was needed. In addition, the monitor sought out two other women who had previously met with her to verify that the inmates' issues had been addressed. Throughout the compliance visit, the monitor was provided meeting space to engage in private conversations with these staff and inmates. In addition to these formal, private interviews, the monitor was afforded open access to staff and inmates during the monitoring visit and had many opportunities to question and engage in conversations with both staff and inmates while touring the housing and program areas. These staff members were diverse in gender, race, and years of experience in corrections. 2) Documents: The monitor reviewed multiple ADOC and Tutwiler documents during this reporting period. These documents included previously promulgated ADOC and Tutwiler policies, ADOC and Tutwiler
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policy drafts, training curricula, and attendance records and materials. Prior to the December compliance visit, the monitor requested and received many documents, including inmate polling results; randomly selected inmate grievances; the one, sole PREA related grievance; as well as an update on the activities of the Gender Dysphoria Committee, to prepare for a tour of the facility and staff and inmate interviews. During the tour, the ADOC allowed the monitor access to investigations, training files, staff rosters, and shift reports. The ADOC provided full access to records maintained by the IPCM, Lt. Felisha Blanding; Grievance Coordinator, Ms. Tina Tyler; and Settlement Compliance Manager, Warden Lagreta McClain. After the compliance visit, the monitor requested and received additional documents to substantiate and assess the progress of the work and actions taken by the ADOC and Tutwiler in response to the requirements of each section of the settlement agreement. 3) Correspondence: Tutwiler has a notice posted throughout the facility, with correspondence addresses for the monitor. During this reporting period, the monitor did not receive any correspondence from third parties. The monitor did receive correspondence from fifteen Tutwiler inmates prior to the monitoring visit. These letters addressed a wide range of complaints and allegations, including perceived racial discrimination against Caucasian inmates; staff's inconsistent adherence to policy; specific allegations of unprofessional conduct by some staff members, including excessive use of force; a delay in the receipt of medical services;
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and requests for the monitor to intervene in the disciplinary process on their behalf. Some of the letters focused on issues that are beyond the scope of the settlement agreement, raising issues about sentencing laws, parole policy, and immigration status. Some letters included complaints about the actions of other inmates, including the women who use PREA allegations to manipulate their own housing assignments or in an attempt to have targeted inmates removed from their units. The monitor is quite familiar with the potential manipulation of PREA allegations by inmates against other inmates or staff. To Tutwiler and ADOC's credit, it appears to the monitor that all allegations are appropriately investigated. Tutwiler has been very cautious responding to allegations that are determined to be unfounded. Staff have balanced the need to hold inmates accountable for their actions against the risk of discouraging the active reporting of legitimate allegations by others. The monitor reviewed each letter and requested additional information from ADOC officials to better assess the contents of the correspondence and to request follow-up action where appropriate. In each instance, the ADOC provided timely and appropriate responses. a. While on site, the monitor reviewed the video tape and documentation of the allegation of excessive use of force made by an inmate in her correspondence to the monitor. It appeared to the monitor that rather than trying to de-escalate the situation with the inmate who was refusing a direct order, the officer was quick to attempt to handcuff her and in so
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doing they were off balance and fell to the floor. The Warden had already reviewed the video and use of force documentation and had counseled the officer about de-escalation techniques. 4) Communication: The monitor had multiple communications with Deputy Commissioner Wendy Williams during this reporting period to request investigative summaries and to address questions about either inmate correspondence or grievances reviewed by the monitor. The ADOC and Tutwiler staff have consistently provided timely and thorough responses for each information request made by the monitor.
Executive Summary
Intent of the Report This report is made to inform the Court and the parties of the monitor’s
assessment of the current progress and status of the ADOC and Tutwiler compliance with the settlement provisions and requirements. The monitor provides feedback for the ADOC and Tutwiler in each section. In some sections of the report, the monitor includes recommendations for actions by the ADOC and Tutwiler over the next reporting period.
Alabama Department of Corrections: Progress, Strengths and Challenges
Progress As in prior reporting periods, the monitor observed steady, continuing progress by
the ADOC and Tutwiler towards reaching full compliance1 with the terms of the
1 The definitions of degrees of compliance are addressed in the Summary of Compliance section of this report at page 56.
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settlement agreement. In this seventh compliance report, the monitor has determined that Tutwiler and the ADOC have achieved "substantial compliance" with 41 sections and "partial compliance" with 2 sections of the agreement.2 Attachment C provides a detailed summary of the monitor’s compliance determinations.
The narrative that supports the compliance ratings in this seventh compliance report illustrates Tutwiler and the ADOC’s continued progress under the settlement agreement. In the first court report filed February 24, 2016, the monitor found the ADOC and Tutwiler in "substantial compliance” with 12 sections of the settlement agreement. In the second report filed August 25, 2016, the monitor found the ADOC and Tutwiler in "substantial compliance” with a total of 37 sections of the agreement. In the third report filed March 28, 2017, the monitor determined “substantial compliance” in 39 sections and "partial compliance" in 4 sections of the agreement. In the fourth, fifth, and sixth compliance reports, the monitor determined "substantial compliance" with 40 sections and "partial compliance" with 3 sections of the agreement.
The findings of "substantial compliance" and "partial compliance" are specific to the monitor’s observations and findings of fact regarding the ADOC and Tutwiler’s degree of compliance with the requirements of the various sections. The monitor understands these compliance determinations reflect a "continuum" of staff actions that will be evaluated in each court report.
General Policies and Procedures The ADOC and Tutwiler continue to maintain written policies to prevent sexual
abuse and sexual harassment. The current policy in place at Tutwiler that contains Prison
2 One settlement agreement provision is not subject to compliance assessment until March 2019.
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Rape Elimination Act (PREA) provisions is Standard Operating Procedure (SOP) 8-12, Inmate Sexual Abuse and Sexual Harassment. This procedure incorporates recommendations previously made by the DOJ and monitor.
In group discussions, formal individual interviews, informal discussions, and interactions and observations while touring, staff members consistently demonstrated to the monitor an awareness of their responsibilities regarding reporting allegations of sexual abuse and sexual harassment, safety for inmates, and investigative processes. Staff consistently demonstrated on-the-job knowledge of the policies and procedures on which they have been trained.
On September 28, 2017, the ADOC forwarded the final version of SOP 8-30, Behavior Intervention & Discipline Policy, to the DOJ and monitor. Although Warden Wright signed off on the policy in September, a commitment was made to not publish or disseminate the new policy until Tutwiler completed all the required staff training and inmate education on the new policy. An implementation plan and a Disciplinary SOP Training Facilitator's Guide were developed and reflected a thoughtful implementation plan for this policy. Staff training was being conducted during the December 2017 monitoring visit and the Deputy Commissioner for Women's Services certified that this training was completed on December 15, 2017. All ADOC staff working at Tutwiler, as well as staff who work for the contracted inmate mental health and medical services providers, were required to attend this training. This policy became effective January 1, 2018. While the policy was developed and training had been conducted, in the monitor's opinion it was too soon, during the sixth compliance assessment, to declare this culture shifting policy as implemented. This policy seeks to establish a disciplinary structure and
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process that is evidence-based, strength-based, gender-responsive, and trauma-informed, and that reinforces a safe facility culture by motivating inmate behavior and encouraging self-management. The goal is to hold inmates accountable for their behaviors and actions utilizing mediation, cognitive behavioral interventions, and the lowest possible disciplinary sanction to address rule violations. Employees may respond to low-level misconduct by verbal re-direction, which may include helping the inmate to refocus on more productive behavior and positive tasks, collaborative problem solving with the inmate, and engaging inmates through motivation strategies. The Behavior Intervention Program was developed for those inmates who have already engaged with employees on the verbal redirect level and continue to violate rules, or for those who violate a mediumlevel misconduct rule and verbal redirection is not appropriate. Appropriate strategies to address behaviors or specific rule violations are recommended by the charging official and approved by the shift supervisor. Examples of these kinds of interventions include: journaling, book reading assignments and book reports, restorative actions, or a referral to a counselor or case manager. The traditional, formal disciplinary process is reserved for instances when verbal redirection and the behavior intervention program have been unsuccessful, or a serious incident has occurred. The new policy provides guidelines but allows for staff discretion based upon the circumstances.
During the June 2018 compliance visit, Warden Wright provided the monitor with an interim report on the implementation of SOP 8-30. From January 1, 2018, through May 31, 2018, a total of 300 verbal redirections were issued and 37 behavior interventions were employed. Only a total of 153 formal disciplinary reports were issued. By all accounts, the new policy had been met with mixed reviews by both staff and
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inmates as expected because implementation of this policy requires a significant shift in both the inmate and staff cultures. All agreed, this culture shift requires sustained supervision, on-going monitoring of the implementation of this policy, and additional staff training and inmate education as needed.
As requested by the monitor, Warden Wright provided an updated progress report on the implementation of SOP 8-30 during the December 2018 compliance visit. From July 2018through November 2018, a total of 123 verbal redirections were issued and 34 behavioral interventions were employed. A total of 119 disciplinary reports were written for behavior including, but not limited to: fighting without a weapon; assault on an inmate; insubordination; use of alcohol, narcotics, or other intoxicants; and creating a security, safety, or health hazard. Behavior intervention strategies include: completing a "taking responsibility questionnaire"; engaging in a stress management activity; completing an anger management worksheet; completing a hygiene worksheet; or engaging in an activity focused on listening and getting along with others. During the agenda setting for this compliance visit, the monitor advised the Deputy Commissioner for Women Services that she would convene a group of staff members to discuss the implementation of SOP 8-30 while on-site at Tutwiler.
The finalization of SOP 8-24, Disciplinary Segregation, was contingent on the implementation of SOP 8-30, Behavior Intervention & Discipline Policy, as the final version of SOP 8-24 had to align with changes made to SOP 8-30. On May 7, 2018, SOP 8-24 was submitted to the DOJ and monitor for review and comments, which were provided to ADOC and Tutwiler prior to the June 2018 compliance visit. These two policies were the last SOP's that were required to be finalized in accordance with the
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settlement agreement. All other SOP's and Post Orders had been developed and implemented. At the close of the June 2018 compliance visit, the monitor expected to make a determination of "Substantial Compliance" during the next compliance visit, after a period of full implementation of SOP-24 and SOP 8-30 had been observed. The monitor is now satisfied that both policies have been fully implemented but encourages Tutwiler's administration to continue to provide sustained monitoring of the application of these two SOP's and to provide additional staff training and inmate education to reinforce the intent and requirements of this policy. It is critically important that midlevel managers and supervisors exercise leadership and supervision and demonstrate support of this culture change when interacting with their direct reports.
On November 13, 2018, ADOC provided the DOJ and monitor with a draft copy of a new SOP describing a proposed Structured Living Unit (SLU). This unit, which is under consideration, would replace Tutwiler's Restrictive Housing Unit (RHU). If the SOP is implemented in its current format, as proposed,, Tutwiler would no longer operate a RHU and would only operate a SLU, a Residential Treatment Unit, and a Stabilization Unit. The SLU would house "persons with serious mental illness or who are otherwise found to be inappropriate for restrictive housing placement". Tutwiler would also place inmates with a "disciplinary segregation" sanction in the SLU to serve a specified number of days as needed, in effect, creating a "disciplinary structured-living placement". The DOJ and monitor have provided their comments on the proposed SOP for ADOC's review.
For the reasons cited, the monitor has determined that ADOC and Tutwiler are now in "substantial compliance" with this provision.
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Camera Management Both staff and inmates continue to express appreciation of the significant role
cameras play in the prevention of sexual abuse and the important role the camera footage plays in investigations and in holding both staff and inmates accountable.
ADOC and Tutwiler conducted their second annual camera review meeting in November 2017. The third annual camera review meeting was held December 13, 2018, and the ADOC PREA Coordinator attended as recommended by the monitor. The monitor reviewed the minutes from this meeting and the resulting action plan, which addressed recommended camera adjustments and the repair of some connection failures. During this monitoring visit, the monitor visited the camera operations room and remains quite impressed with the cameras' capabilities, as well as the staff's maintenance of the equipment. The on-duty staff were fully attentive and engaged in their duties.
The video surveillance system has additional capabilities that are not yet activated. Tutwiler submitted a spending request to support the activation of all the video surveillance system capabilities.
Staffing The settlement agreement requires the development of a professional staffing
analysis and for a plan based on this analysis to be presented to the ADOC and Tutwiler. ADOC and Tutwiler expended considerable funds to have a staffing analysis conducted at Tutwiler by nationally recognized experts to research and develop a gender-responsive staffing plan for Tutwiler. This staffing plan was informed by gender-responsive
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principles identified by the National Institute of Corrections (NIC), PREA requirements, DOJ settlement agreement requirements, and emerging correctional practice.
For the first court report, former Monitor Lancaster was asked to review the schedule for the Phase II Staffing section due to its complexity, multiple requirements, and need for a tremendous amount of data from ADOC and Tutwiler. Monitor Lancaster provided recommendations in the first court report and noted concerns at that time about the timeframes established in the settlement for the completion of the analysis and the implementation of the staffing plan. Revisions to the schedule were strongly recommended by the monitor at the beginning, and project extensions were granted.
ADOC submitted the draft staffing analysis to the DOJ and monitor in the Spring 2016. Both the DOJ and Monitor Lancaster offered comments on this draft in late June 2016. On August 16, 2016, ADOC sought clarification regarding some of DOJ's feedback.
During the December 2016 compliance visit, the ADOC asked the new monitor to review the draft staffing plan and the DOJ's comments in an attempt to clarify all comments for ADOC's review and response. On January 30, 2017, Monitor Dennehy provided ADOC with extensive feedback.
The monitor recognizes that a solid staffing analysis and plan is fundamentally important as a tool to determine the number and type of employees needed to staff Tutwiler. The plan is a dynamic document that examines the nature of the work to be done in terms of volume, location, duration, and gender restrictions. A solid analysis of staff requirements is instrumental to identifying the knowledge, skills, and abilities needed for a gender-responsive, trauma-informed Tutwiler workforce. This a complex
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and challenging task, complicated by a high percentage of position vacancies, a high rate of staff call outs, critical posts being filled by mandating overtime for officers, assigning supervisors to work line posts, and doubling up officer posts. The consultant's draft report noted the current vacancy rate has a significant impact on the development and implementation of a staffing plan. Given the complexity of this task, both the ADOC and the DOJ agreed that additional time was needed for ADOC to work through the DOJ and monitor's comments and finalize the plan. Monitor Dennehy approved an extension to June 1, 2017.
The ADOC continued to work with the monitor and DOJ towards developing a final, approved staffing analysis to ensure it effectively incorporated the genderresponsive principles required in the settlement agreement. The monitor approved an additional extension to September 2017 to allow ADOC sufficient time to review and respond to each recommendation made by the DOJ and monitor.
On July 26, 2017, the ADOC provided the DOJ and monitor a copy of the finalized staffing plan and a matrix listing every comment and suggestion previously provided to the ADOC by the DOJ and monitor, together with an explanation for what was modified and what was not included in the final plan issued by the ADOC. The monitor reviewed the staffing plan and ADOC's documented consideration of the monitor and DOJ's recommendations.
ADOC and Tutwiler are balancing several record production and reporting requirements. The monitor requested ADOC and Tutwiler provide periodic progress updates on the implementation plan addressing the recommendations made in the staffing plan. Warden Wright provided the monitor an update during this compliance
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visit. As of December 2, 2018, Tutwiler had implemented 17 of 22 recommendations in the staffing plan. Tutwiler expects full implementation of the outstanding recommendations to be completed by Spring2019. Tutwiler has explored moving breakfast later by 90 to 120 minutes and adjusting subsequent activities to increase staffing efficiency to lower peak staffing demands and to provide inmates with more hours to sleep. Second, Tutwiler has also considered adjusting the timing of other intermittent activities to lower the level of peak staffing demands. These changes are expected to be implemented in February 2019. The monitor recognizes the implementation of the staffing plan is ongoing and will continue to request these periodic implementation progress updates.
In addition to the aforementioned reports, in compliance with Section III.C.2.vi of the Settlement Agreement, ADOC and Tutwiler are required to submit quarterly staffing reports to the monitor and DOJ. These reports account for new employees, transfers, resignations, and retirements. During this reporting period, the monitor received these reports on September 4, 2018, and December 10, 2018.
The settlement agreement also requires ADOC and Tutwiler to submit a biannual staffing report covering the six-month period after the development of the staffing plan. This first report covered the timeframe July 26, 2017, through January 26, 2018, and was submitted to the DOJ and monitor on March 13, 2018. On September 4, 2018, ADOC and Tutwiler provided the DOJ and monitor with the second biannual staff report, which analyzes staffing during the period January 27, 2018, through July 27, 2018. These reports show that, overall, there has been a 5 percent increase in current staffing capacity since January 2018; however, this report also documents the
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continuing need for an additional 60 positions and identifies those posts that are deemed gender-specific. Compared to the first biannual staffing report, this report does not include an accounting of overtime hours utilized by supervisors, so a comparison of overtime usage by the monitor was not possible.
Going forward, an annual staffing report will be provided to the DOJ and monitor, beginning in August 2019 and thereafter until termination of the Agreement.
The monitor remains concerned about the correction officer staffing levels at Tutwiler. As of December 31, 2018, there were 67 correction officers on staff (36 females and 31 males). This translates into only 42% of Tutwiler's correction officer positions were filled. In contrast, 88% of supervisor positions were filled and 76% of non-uniformed positions were filled. By way of comparison, at the close of the last reporting period, 40% of the authorized correction officer positions were filled. As of June 30, 2018, 40% of Tutwiler's correctional officer positions were filled, not including seven part-time, retired officers.
The monitor also appreciates the efforts Tutwiler has taken to mitigate the issues resulting from understaffing. Those steps have included a reliance on overtime and using employees who are not fully certified correction officers for certain jobs, such as monitoring the prison's camera system, placing supervisors on line posts when needed to maintain operations, and doubling up correction officer housing posts. The ADOC continues the practice of allowing officers from other ADOC facilities to work overtime, or otherwise be temporarily assigned at Tutwiler, only after those officers have been trained as required by the settlement agreement. The monitor cross-referenced staff training attendance records with the names of officers on overtime rosters, and has
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verified that this training requirement is being met. The Tutwiler staffing plan calls for one officer to be assigned to each dorm. It has become the norm that some posts must be doubled each shift as a result of low staffing levels. When this occurs, one officer must cover two dorms; however, video surveillance is constant in all dorms. Occasionally, supervisors are pulled from their assignments to perform correction officer duties. While these efforts may be workable in the short term, they do not, in the monitor's strongly held opinion, present a long term solution to the chronic staffing shortage. As such, the recruitment and retention of qualified staff is critically important and will be addressed later in this report.
Going forward, the monitor recognizes that the staffing plan is evolving and will need to be revisited periodically as the facility schedule, programming changes, and dorm reconfigurations are made to support critical changes to the gender-responsive classification process.
For the reasons cited, the monitor has determined that the ADOC and Tutwiler currently remain in "partial compliance" with the staffing and recruitment provisions of the settlement agreement.
Training Tutwiler’s training team began providing the required annual refresher training
regarding sexual abuse and sexual harassment in March 2017. As of July 29, 2017, Tutwiler staff, volunteers, and contracted employees had all completed the refresher training. This year's annual refresher training commenced on May 7, 2018. The completion of this year's annual training on December 7, 2018, was certified by Deputy
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Commissioner Williams and reported to the monitor and DOJ. As part of the refresher training, all staff were again expected to demonstrate proficiency through a post–testing process.
The Tutwiler training team are qualified instructors, as they had previously received specialized refresher facilitator training on custodial sexual abuse in September 2016 by the agency’s nationally recognized consultant. The facilitator's guide for the refresher training curriculum was reviewed and commented upon by the DOJ and monitor, consistent with Section III.A.6 of the settlement agreement. Additional training on gender-responsive and trauma-informed use of force has been incorporated into the ongoing refresher training.
The monitor has been very impressed with the documentation of staff attendance at training maintained by both Warden McClain, in her capacity as the Settlement Compliance Manager, and the IPCM. These records are well organized and easily retrievable and demonstrate careful tracking of any pending attendance requirements.
The ADOC, and ADOC's previously contracted inmate health care providers, MHM and Corizon, maintained excellent records documenting their staff's attendance at the required training. Wexford assumed the role of current provider in April 2018 and retained the Tutwiler Mental Health Site Administrator and Health Services Administrator, so the quality and timeliness of these staff training records is expected to be sustained.
Medical and mental health staff are expected to receive specialized PREA training, in addition to that which is provided by the ADOC and Tutwiler for correctional staff. When questioned by the monitor, on-site medical staff could not articulate what
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specialized training had been provided to medical staff. While on-site, the monitor reviewed the medical and mental health staff's policy manual and PREA staff training curriculum. The monitor offered suggestions to enhance the sections of the policy and curriculum that address PREA generally and sexual harassment specifically. The provider has since revised the policy and curriculum. These revisions were received by the Monitor outside the timeframe of this report and will be addressed in the next report to the court.
Intake Dorm and Overcrowding In July 2015, the Deputy Commissioner for Women's Services convened a work
group to evaluate methods to decrease or eliminate use of Dorm A (the intake unit) for a period that exceeds 48 hours. Upon entry into the facility, all new admissions are processed and placed in the Intake Unit as they await the results of their medical and mental health screens. Unfortunately, inmates may stay longer than necessary in this unit due to the limited availability of bed space within the ADOC women’s facilities. Tutwiler's initial efforts resulted in both an overall reduced unit count and overall shorter lengths of stay in the unit. More significantly, the decrease in the Intake Unit's population reflected a decrease in Tutwiler's overall population. This reduction in the overall inmate population provided some relief for Tutwiler in housing placement options and staffing deployments. To improve the facility's overall bed management, in January 2018, Tutwiler relocated the intake dorm from Dorm A to Dorm K, a smaller unit. The average length of stay for each inmate in Dorm K is now 3-4 days, compared to the starting point of an average stay of 10-13 days.
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Gender Responsive Risk/Needs Assessment, Classification and Programming Classification
A consultant, nationally known for her work with women inmates, was contracted to work with the ADOC to develop a gender responsive classification system and assist Tutwiler in developing the programs necessary to address the women's needs. The ADOC forwarded the classification proposal to the monitor and DOJ for review in May 2016.
An implementation workgroup was created and includes a cross section of key ADOC and Tutwiler staff members. The Women's Risk Needs Assessment (WRNA) and Women's Services Classification Manual were implemented on August 15, 2016, with the expectation that during a six-month "pilot" program all the women at Tutwiler would have an assessment completed on them. The pilot program period was to end February 15, 2017. Following the pilot period, a validation assessment, which was initially anticipated to take two years, was expected to commence. This original timeframe was expected to yield Alabama Women's Risk Need Assessment validation results by March 28, 2019, when an assessment of compliance with the agreement is due. As a result of a slower than expected pace of implementation, the pilot end date had to be extended to August 2017.
The pace of implementation was delayed as a result of several factors. The primary reasons for a delay included the: 1) lack of software automation to support WRNA; 2) time delays in hiring new positions required to assist with the implementation process; and 3) slower than expected pace of administering the WRNA to the Tutwiler population.
After an exhaustive request for proposal process, the ADOC contracted with a
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technology company to create the software automation for WRNA. The company established a deliverable date for July 2017. The software company provided the necessary staff training. In addition, Tutwiler had nine new positions allocated and created, and as of July 1, 2017, all the positions were filled. The pace of administering the WRNA accelerated under the leadership of the new classification supervisor. As of midJuly 2017, all the Tutwiler inmates had been classified using the WRNA.
The new classification system incorporates gender-responsive principles and addresses the needs of women inmates at Tutwiler including: housing safety; mental health (depression/anxiety/psychosis); abuse and trauma; family conflict; relationship dysfunction; and parental stress. The system focuses on strength and resiliency factors including educational assets, family support, and self-efficacy. The use of “restricted status” for female inmates was abolished in September 2016 pursuant to the new classification system. A comparison of classification levels of Tutwiler inmates on August 1, 2016, November 1, 2017, and November 1, 2018, documents the impact of the new classification system. In 2016, 47% of the women were classified as minimum custody. In 2017, this rose to 62%. In 2018, this figure increased to 70%. In 2016, 30% of the women had been classified as medium custody, that number reduced to 25% in 2017, and 20% in 2018. These numbers reflect that many women's custody levels were historically over classified due to a reliance on classification instruments and processes designed for male prisoners. Women offenders' pathways to incarceration are different than those for men, so their risks and needs differ. The monitor expects to see continuing shifts in the distribution of custody levels of the women at Tutwiler.
In October 2016, ADOC formed a WRNA validation committee. The final
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validation plan was provided to the DOJ and monitor on July 28, 2017. ADOC prepared a request for proposal to conduct this study and it was disseminated to potential researchers in June 2018. In October 2018, the ADOC awarded the validation study contract to the University of Alabama. Auburn University will partner with the University of Alabama on this project. The project will begin once a contract is in place. The entire validation process is expected to take three years and six months to complete once the process begins. The applicable provision in the settlement agreement is not subject to a compliance assessment until March 2019. This date will need to be renegotiated and revised. Programming
A gender-responsive program committee was convened in October 2016 to research and develop a proposal for review by the Deputy Commissioner for Women's Services and the Associate Commissioner for Plans and Programs. The contracted expert facilitated the committee's work. The committee focused on identifying and developing evidence-based programs that are gender specific and responsive to the programming needs identified by the WRNA. The initial proposal was forwarded to the DOJ and monitor for review in April 2017. The final proposal that addressed the DOJ's and monitor's feedback was forwarded to the monitor and DOJ on July 31, 2017. Programming was selected based upon which programs addressed the women's identified needs, had research to support their use, and could be implemented within ADOC's facilities. If there were more than one program which fit this criteria, programs were selected based upon cost and ability to acquire any training needed by staff. Development of the resources to support the programs began immediately following the
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finalization of the proposal. Four new gender-responsive programs were implemented at Tutwiler in February
2018. The Getting Ahead While Getting Out program is a re-entry program designed to engage the offender, her family, volunteers, community and staff in problem solving for a successful transition to the community. As of December 2, 2018, this program had produced 89 graduates with an additional 18 women enrolled in the current program cycle. The Helping Women Recover program is designed to treat addiction and utilizes the theories of women's psychological development and trauma. It addresses triggers for relapse, relationships, domestic violence, trauma, family issues and self-esteem. As of December 2, 2018, a total of 309 women had graduated from this program with another 60 currently enrolled. The Beyond Trauma Program incorporates the latest research in neuroscience, trauma, and post-traumatic stress disorder. It also incorporates cognitive behavioral techniques, mindfulness, expressive arts, and body oriented exercises. This program has graduated 228 women and another 68 are set to graduate at the completion of the current program cycle. The Beyond Violence Program focuses on emotional regulation of anger. It addresses both violence and trauma that women have experienced, and the violence they have perpetuated. This program has graduated 145 women and 29 more will graduate at the end of this program cycle.
Two additional programs have also been implemented at Tutwiler. Active Adult Relationships was implemented in June 2018. This program teaches participants skills to include: communication, conflict resolution, emotion management, making budgets, wise choices for friends, dating and marriage, recognizing personal strengths, and future planning. As of December 2, 2018, this program has produced 107 graduates and 44
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women are currently enrolled. Moving On began in October 2018. The program leverages both educational and cognitive skill building approaches to help women at risk of future criminal justice involvement find alternatives to criminal activity. The program supports women as they mobilize and build personal strategies, natural supports, and community resources. As of December 2, 2018, 13 women were enrolled in the initial program cycle. The monitor was advised that Parenting Inside Out was implemented later in the month of January 2019. At the time of the compliance visit, program staff were in the training phase. The program teaches parent management skills to incarcerated parents. It helps to promote healthy child adjustment, prevent problem behavior, and stop the intergenerational cycle of criminal justice involvement. Family Days are planned to begin in June 2019. This will involve extended visitation by family members combined with a series of seminars about the programs the inmates are participating in and ways to support inmates during and after incarceration. In July 2018, a consultant to ADOC and Tutwiler began an evaluation of the new programming.
To accommodate this program expansion, several facility projects are in progress. Renovations are underway by the Central Office Engineering Division. The monitor observed the contracted workmen constructing additional classroom space. In addition, upgrades are being made to the inmate visiting room.
The Alabama Prison Birth Project has been providing doula support to pregnant prisoners at Tutwiler and recently partnered with the ADOC and Tutwiler to create a lactation room. Women are allowed to leave their dorms for the privacy of the lactation room whenever they need to pump breast milk. The milk is logged, labeled, and stored in a deep freezer. Once a week, a certified lactation counselor retrieves the bottles of milk
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from the prisons, packs them in dry ice and ships them to where the mothers' babies are living. The room is called "Serene Expression" and inmates painted the pastel colored room and decorated the walls with artwork.
Inmate Education Incoming inmates receive comprehensive orientation education within 14 days
of admission to Tutwiler. The IPCM maintains records of inmate attendance at these orientation sessions. The monitor has attended this orientation during previous compliance visits as scheduling permits. The curriculum and training aids are well designed.
The monitor encourages Tutwiler to consider expanding translation services beyond the use of Google Translate for Limited English Proficiency inmates.
Inmates' Right to Privacy During the current reporting period, the monitor received no complaints from
inmates of inappropriate cross gender viewing or searching. While touring during the December 2018 compliance visit, the monitor observed
that appropriate privacy panels and shower curtains were in use in the shower and bathroom areas in inmate housing units. The monitor also witnessed staff consistently announce the presence of a male officer on the unit when needed.
Transgender inmates are now showering privately in the Health Services Unit.
Inmate Polling
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The ADOC and Tutwiler established a system to routinely poll inmates regarding their perceptions of the implementation of the specific terms of the settlement agreement including: the prevalence of staff sexual abuse and sexual harassment; inmate vulnerability to sexual abuse and sexual harassment; the investigation and discipline of staff accused of sexual abuse and sexual harassment; the efficacy of inmate education regarding sexual abuse and sexual harassment; privacy in the showers and toilets; the appropriateness of inmate classification; the levels of staff supervision; the efficacy of the reporting systems for sexual abuse and sexual harassment including grievances; and official responses to and retaliation for, allegations of sexual abuse and sexual harassment. As agreed upon by the monitor, DOJ, and ADOC, The Moss Group, Inc. initially administered the survey quarterly for the ADOC. The initial inmate polling was conducted in July 2016, the Second Quarter Inmate Polling was held in October 2016, the Third Quarter survey was administered in January 2017, and the Fourth Quarter survey was administered in April 2017.
ADOC entered into a Memorandum of Understanding (MOU) with Auburn University on August 9, 2017, for the University to provide long term assistance with the administration of this survey. A copy of the MOU was provided to the DOJ and monitor, as was the University's draft protocol. This arrangement serves to institutionalize the inmate polling survey as a valuable tool for ADOC and Tutwiler in the future.
Both the DOJ and monitor reviewed and offered feedback on the initial protocol the University proposed using. This protocol was finalized on October 24, 2017. On July 30, 2018, ADOC provided the DOJ and monitor with Auburn's revised
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protocol intended to guide surveys conducted in 2019. Both the DOJ and monitor provided feedback. On October 4, 2018, the ADOC issued the final protocol and responded to the feedback provided by the DOJ and monitor.
Auburn administered the First Quarter (Year Two) survey of the poll's administration in November-December 2017. The report for this polling was submitted to the monitor and DOJ on March 5, 2018. The Second Quarter (Year Two) survey was conducted in March 2018. The report for this polling was submitted on May 15, 2018. The Third Quarter (Year Two) survey was conducted in May 2018. The results of that polling were sent to the monitor and DOJ on July 23, 2018. The Fourth Quarter (Year Two) polling, the final polling survey for the second year cycle, was conducted in July 2018 and the results were reported to the DOJ and monitor on August 6, 2018.
The report of the Fourth Quarter (Year Two) polling survey is rich in data and much of the feedback is supported by what the monitor has observed in correspondence from inmates, a review of grievances, and a review of PREA-related investigations. For example:
 The majority of the women respondents were not aware of staff members, contractors, or volunteers sexually harassing or sexually abusing inmates. However, 54% of participants reported an awareness of verbal abuse by staff towards inmates. This is up from 39% as reported in the First Quarter polling survey. Based upon survey results, inmate grievances, and feedback provided by the women to the monitor, it appears verbal abuse by staff of inmates is a chronic issue. The monitor, Deputy Commissioner Williams and Warden Wright discussed this issue and the need for additional strategies to address this problem.
 When asked if sexual relations between inmates and staff members continue to occur: 25% of respondents agreed, 44% disagreed, and 30% neither agreed nor disagreed.
 The overwhelming majority of the women who responded to this survey
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indicated they understood the PREA rules (84%) and their rights (90%) associated with sexual safety and abuse. This demonstrates that the inmate education piece has been effective.
 Fifty-one percent of respondents agreed there is adequate privacy in the toilet and shower areas. Based upon the feedback from both staff and inmates, it is evident to the monitor that the showers are the "hotspot" for inmate smoking, use of drugs, and sexual contact between inmates. As such, it is not unexpected that 40% of respondents reported they disagreed that there is adequate privacy in the toilet and shower areas.
 When asked if the programs and classes they have taken are useful, 65% of the women responding to the survey agreed, while 10% disagreed. The women appear to appreciate the value of the new programming. This is consistent with the monitor's communications with inmates.
 When asked if there was enough staff available so they can get to their work, program, or other assignments on time, 45% disagreed on enough staff being available. In another question about availability of staff members in the dorms, 42% of the respondents disagreed on enough staff being available.
 A total of 35% of the respondents report having trust in the grievance system, while 40% disagree that they trust the grievance system. This survey result is supported by the monitor's communications with inmates.
 When asked if inmates are disciplined consistently for violating rules about relationships with other inmates, 35% of respondents disagreed, compared to 50% of respondents in the First Quarter polling. In conversations with the monitor, some inmates do assert that some staff turn a blind eye to some inmate relationships based upon the race of the staff and inmates. The monitor saw no evidence to support this perception.
 The number of women who perceive that staff members are held accountable when they violate rules related to sexual abuse and sexual harassment has increased to 44% from 31% established during the First Quarter polling.
 When asked if they had noticed positive changes at Tutwiler in the last year, 48% agreed they had and 24% disagreed, with 29% neither agreeing or disagreeing. In the monitor's conversations with inmates, it is a rare occurrence for a woman to disagree that there has been positive change at Tutwiler. In this instance, the survey data is at odds with the monitor's observations and random communication with inmates.
 When asked if inmates use PREA to falsely report incidents against staff, 49% agreed and 16% disagreed, with 34% neither agreeing or disagreeing. This allegation about the actions of other inmates has been brought to the attention of
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the monitor during conversations and correspondence with the women and during the review of investigations. The monitor is also aware that upon occasion inmates do lodge allegations in an effort to get experienced, effective officers removed from their housing units.
Overall, the survey results are mixed, so it is important that the Quality Improvement Team remain active in reviewing the survey results and any incidents, problematic areas in the facility, and any allegations of sexual abuse, sexual harassment or the use of unprofessional language by staff. The team is encouraged to hold a deeper discussion about the kinds of changes in the system and processes that will be needed so that inmates consistently view the processes as useful and credible.
The Tutwiler Tribune is the inmates' newspaper. It includes essays, poems, and interviews with staff, puzzles, horoscopes, etc. The May 2018 edition included a summary of some key results from the inmate survey. The monitor applauds the administration's sharing of the survey results with the inmate population.
The latest inmate polling survey was conducted in October 2018 and the monitor looks forward to receiving and reviewing the results of that survey.
Quality Improvement and Data Collection Quality improvement meetings began in August 2016 and meet monthly and hold
additional discussion and conduct analysis of all the incidents occurring over the previous thirty days, including any action plans that were developed. Meeting minutes are made available for the monitor's review. The monitor reviewed the minutes for the December 11, 2018 meeting.
The monitor and DOJ attorneys attended the quality improvement meeting held on June 7, 2018. The meeting was expertly chaired by Warden Wright, who guided a
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cross-section of Tutwiler staff through a comprehensive agenda that included in-depth analysis of all incident reports involving inmates as alleged victims of excessive use of force; allegations of sexual abuse or sexual harassment; video reviews of incidents; a video review summary of at least four randomly chosen shifts for a spot check of staff posting and work expectations; staff polling results; an update on staff to include gender of staff and posts assigned; a review of overtime usage; the use of leave time; reasons for any staff resignations; a review of any documented variations from the facility staffing plan; a review of inmate grievances; a review of medical and mental health grievances; and a review of inmate disciplinary reports. The monitor was especially impressed with Warden Wright's facilitation of the meeting and her assignment and tracking of outstanding issues and staff responsibilities; the frank discussion and input from the captains and other key staff; and the inter-disciplinary collaborative problem solving involving the medical, mental health and correctional staff. The Quality Improvement Team demonstrated they are using the enormous amount of data that is collected and they are digging deep into it to identify opportunities to make improvements.
The ADOC and Tutwiler developed the Risk Management System (RMS), which is designed to track facility trends related to: (1) sexual abuse or sexual harassment; (2) unprofessional staff conduct involving inmates, including the use of sexually explicit, vulgar, or degrading language; and (3) use of force incidents.
In addition to the RMS data being reviewed at monthly quality improvement meetings, these data are reviewed and aggregated on a quarterly basis by Warden McClain and the Deputy Commissioner for Women’s Services. A quarterly review is conducted to assess and improve the effectiveness of sexual abuse and sexual harassment
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prevention, detection, and response policies, practices, and training. The quarterly reviews allow for: (a) the identification of potential patterns, changes, and problem areas, which includes problems in staffing levels, policies, practices, staff discipline system, and staff and inmate training/education; (b) the identification of staff or supervisors in need of retraining, performance plans, and discipline; (c) the development of an array of intervention options to facilitate an effective response to problems; (d) taking corrective action on an ongoing basis; and (e) preparing bi-annual reports of its findings and corrective actions, including a comparison of the findings in previous reports to assess progress. The challenge for the administration is to integrate and analyze all data in a timely manner. Automation of the RMS system, including mapping capabilities, would support a more timely and robust review of the RMS data and trends.
During this reporting period, ADOC provided the monitor and DOJ one biannual report listing all staff members identified through the RMS and any corrective action taken. The report covered the time period from November 29, 2017 - May 28, 2018, and was submitted to the monitor and DOJ on August 9, 2018. This RMS report documented twenty-eight allegations against staff members for engaging in the use of profane, degrading, unprofessional, threatening, or insensitive language with inmates. Each of these incidents was tracked and investigated. No corrective action was taken when the allegation was disproved and determined to be unfounded. In most instances, the inmate's allegation could not be proved or disproved, so the allegations were determined to be unsubstantiated. Corrective action taken for unsubstantiated cases ranged from verbal counseling, issuing a formal memo for the record, and issuing a policy re-iteration memo. Nevertheless, in all instances of an unsubstantiated allegation,
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a supervisor met with each staff member and reiterated Tutwiler policy and performance expectations. In the absence of conclusive proof, this administrative response is appropriate. Going forward, the monitor will work with the ADOC and Tutwiler to develop alternative management strategies for addressing the small number of employees who are the subject of multiple allegations.
The monitor reviewed the RMS reports and attests that the ADOC and Tutwiler staffs have already demonstrated good use of RMS data and the results of the inmate polling survey. Both instruments document that some Tutwiler staff allegedly use abusive and profane language towards the inmate population that undermines efforts to build a gender responsive and trauma informed environment. In previous reports, the monitors have recognized the need for staff interventions regarding the requirements for using professional language while addressing inmates. Addressing this issue is a top priority for the facility wardens. Warden Wright developed an interim intervention plan to eliminate “the unprofessional staff conduct involving inmates, including sexually explicit, vulgar, degrading, or racially insensitive or offensive language". In that many allegations of this kind of behavior cannot be substantiated due to the lack of corroboration by others, the plan included the use of policy re-iteration memos. A supervisor meets with the staff accused of using inappropriate or abusive language and uses the meeting as an opportunity to reinforce Tutwiler policy and provide supervisory coaching. The employee is reminded in writing of policy requirements. Overall, this strategy does not seem to be shifting behavior, as verbal abuse by a small number of staff continues to be an issue. The monitor is also aware, however, that there are inmates who make allegations of this nature in an effort to retaliate against staff who hold inmates
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accountable. For those officers, repeated receipt of a policy re-iteration memo may be demoralizing and impact an employee's retention.
Deputy Commissioner Williams and the monitor have discussed the need for Warden Wright to continue to aggressively investigate these allegations and to hold staff accountable using progressive discipline, increased supervision, re-assignments, and retraining. The monitor looks forward to receiving an update from ADOC and Tutwiler about their continuing efforts to eliminate the use of offensive and abusive language by staff.
Some of the Caucasian inmates who speak or write to the monitor allege that African American staff are less strict with African American inmates. This creates a perception of favoritism that may create tensions along racial lines, especially when, as of June 30, 2018, fifty-nine of the sixty-seven officers working at Tutwiler are African American and eighteen of the nineteen sergeants are African Americans. Also, some Caucasian women alleged that more verbal abuse is directed at them by African American staff than is directed toward African American inmates.
In response to inmates' allegations of racial discrimination, the ADOC and Tutwiler arranged for staff to attend some specialized training. During the 2018 training year, all staff at Tutwiler attended Racial Intelligence Training and Engagement (RITE). This training began in May 2018 and was conducted by the ADOC Training Division, and the model includes emotional intelligence combined with social intelligence designed to unlock an individual’s racial intelligence. The monitor looks forward to reviewing staff perceptions of this training.
Pursuant to the settlement agreement, on an annual basis, ADOC and Tutwiler
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shall conduct a documented review of the RMS to ensure that it has been effective in identifying concerns regarding policy, training, or the need for discipline. The ADOC and Tutwiler convened a panel to conduct the second annual review of the RMS data tracked from May 27, 2017 - May 28, 2018. On November 26, 2018 ADOC provided the DOJ and monitor a copy of the report for review.
Sexual Abuse/Sexual Harassment Allegations The monitor met with Mr. Arnaldo Mercado, Director of the ADOC's
Investigation and Intelligence Division (I & I) and Investigator Kelley Smith to discuss and review completed investigations into allegations of staff-on-inmate sexual abuse/ sexual harassment and inmate-on-inmate sexual abuse investigations that occurred during this reporting period. There were seven staff related PREA investigations completed during this reporting period. Of the five alleged staff-on-inmate sexual abuse cases, three were determined to be unfounded, as evidence did not support the allegation. Two were unsubstantiated, although one of these cases generated an additional administrative investigation, which is still pending. The two allegations of staff-on-inmate sexual harassment were deemed unsubstantiated, as there was no corroborating evidence to support the allegations.
There were six investigations into allegations of inmate-on-inmate sexual abuse. Two of these cases were unsubstantiated, as no corroborating evidence surfaced, but based upon conflicting witness statements, one of the unsubstantiated claims was referred to the local prosecutor for review. Three of the allegations of inmate-on-inmate sexual abuse were determined to be unfounded. One inmate-on-inmate sexual abuse
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allegation was substantiated as sexual harassment, with a recommendation that the case be handled administratively due to the mental health status of the subject of the investigation. Finally, an allegation of a group physical assault of an inmate was made in August 2018 and a criminal investigation into the unlawful act by a prisoner was initiated by I & I. Evidence developed shortly after opening the investigation indicated that the incident met the statutory definition of PREA sexual abuse. In early October 2018, the case was closed with the allegation of an unlawful act by a prisoner being sustained and a felony case being referred to the Elmore County District Attorney. At the same time, a recommendation was made that the I & I Division initiate an administrative investigation of a PREA inmate-on-inmate sexual abuse violation; that investigation was still pending at the close of this reporting period.
While several allegations appear to have been appropriately determined to be unfounded or unsubstantiated, the monitor notes that on occasion staff demonstrate questionable professional boundaries. The monitor has shared her specific observations with the Deputy Commissioner for Women's Services.
In all but one case reviewed, the monitor determined the investigation had been conducted in accordance with AR 454 and SOP 8-12, Inmate Sexual Abuse and Sexual Harassment. The monitor will carefully review the outcome of the still outstanding administrative investigation to assess compliance with applicable policy and procedures. In conversations with the monitor, inmates expressed confidence in Investigator Kelley Smith who conducts investigations into allegations of staff-on-inmate sexual abuse and sexual harassment as well as inmate-on-inmate sexual abuse, and the IPCM, Lt. Blanding, who conducts investigations into inmate-on-inmate sexual
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harassment allegations. During this reporting period, Lt. Blanding investigated four allegations of inmate-on-inmate sexual harassment. Three cases were unsubstantiated and one was determined to be unfounded.
The monitor reviewed the facility response to allegations and the management of the reporting inmates and alleged perpetrators to determine if an adjustment of inmate housing and job assignments was considered to ensure the safety of all involved. The monitor requested and received additional information about the housing decisions involving the victim and alleged perpetrators in the group inmate-on-inmate assault. Lt. Blanding closely monitors and documents any allegations of retaliation against those who report allegations.
The monitor notes there are multiple, effective means of reporting allegations of inmate sexual abuse and sexual harassment, including a grievance process and at least one confidential method. During this reporting period, a total of 771 grievances were filed. Of these, one was PREA related. The inmate whose name appears in the signature block of the grievance denied that she submitted the rambling report and denied the substance of the allegation. Nevertheless, the incident associated with this grievance was investigated by I & I and the allegation was determined to be unfounded. The monitor reviewed this grievance and the administration's response and determined the ADOC and Tutwiler policy was followed and appropriate action was taken.
The inmates can use a toll-free number to call the Alabama Coalition Against Rape (ACAR) for reporting. The agreement between the ACAR and the ADOC is that all calls are confidential, per ACAR policy. The ACAR agreed to suggest and/or encourage the inmates to use the ADOC and Tutwiler methods of reporting if their call
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was regarding an allegation of sexual abuse or sexual harassment. There is no requirement for the ACAR to report to the ADOC, so the number of calls for this reporting period is unknown.
Third parties are permitted to assist inmates in filing requests for administrative remedies for allegations of sexual abuse and sexual harassment and are permitted to file such requests on behalf of inmates. If a third party files a grievance on behalf of an inmate and it relates to sexual abuse or sexual harassment, that report will be sent from the Institutional Grievance Officer to the ADOC PREA Director. If the grievance contains allegations of sexual abuse, or staff-on-inmate sexual harassment, the I & I division will investigate the allegation. If the grievance contains allegations of inmate-oninmate sexual harassment, the IPCM will investigate.
The monitor reviewed the ADOC website link for the public regarding the ability to file a PREA report. It provides adequate instruction for the public's reporting use. During this reporting period, there were no third party PREA-related allegations reported via the website.
Inmates have at least one way to report abuse or harassment to a public or private entity or office that is not part of the agency, and that is able to receive and immediately forward inmate reports of sexual abuse and sexual harassment to agency officials. The ADOC entered into an agreement with the Alabama Department of Economic and Community Affairs (ADECA) to take these reports. Inmates may make a report by dialing #66, and this can be done anonymously. The monitor reviewed the call log for the entire reporting period to review the nature of each call and the ADOC's response. A total of 17 calls were made to ADECA's hotline during this reporting period. Many of the
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complaints made were not related to sexual abuse or sexual harassment. In each instance, the Tutwiler administration followed up on the allegations/complaints and the response was appropriate. At the monitor's request, the form used to track the nature of these calls was expanded to include more information detailing the actions taken by facility management.
During the facility tour, the monitor noted that information on how to report sexual abuse or sexual harassment is widely posted within the facility.
Alabama Strengths The monitor believes Alabama has a strong foundation for continued progress in
reaching all of the goals outlined and compliance terms required in the settlement agreement. That strong foundation is a result of the following organizational strengths.
Leadership from the Alabama Department of Correction The monitor believes Commissioner Dunn continues to provide the agency
leadership for his staff and Tutwiler, directing and supporting successful implementation of the Tutwiler settlement agreement. In Summer 2018, the ADOC leadership began a collaboration with Alabama Pardons & Parole Board and the Alabama Sentencing Commission for the purpose of updating key agencies regarding the changes in the classification system and inmate programming at Tutwiler, as this information may inform the work of these two agencies. In addition, Commissioner Dunn is strategically focused on developing the capacity of agency and facility leadership as a means to sustain and advance the progress made to date. Tutwiler's executive leadership team has participated in a leadership development program and is now focused on providing
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leadership training for Tutwiler's mid-level managers and supervisors. In May 2018, an initial leadership development course was presented for Tutwiler's mid-level supervisors. In October 2018, Tutwiler presented a leadership development refresher session for Tutwiler's supervisory staff.
Previously, Tutwiler's former Warden I, Adrienne Givens, was promoted to Warden II at Montgomery's Women's Facility and Tutwiler's former Captain, Lagreta McClain, was promoted to Warden I at Tutwiler. To ensure consistency in the on-site monitoring of the settlement agreement, Warden McClain retained her duties and responsibilities as the Settlement Coordinator for this agreement during her transition to the role of Warden. Warden McClain has been training staff to transition some of the Settlement Coordinator duties to others. In addition, Warden II Deidra Wright, who has been serving as the interim Warden III at Tutwiler, was promoted to that position in September 2018. All three women have benefited from the Commissioner's focus on developing facility leadership and from Deputy Commissioner Williams' mentorship of them.
In June 2017, the monitor was advised by Associate Commissioner Matt Brand (Training and Development) that a regional training center dedicated for the training of line staff working in the women’s facilities was being created in recognition of the gender-specific training agenda and curricula necessary for staff who work with women inmates. It became operational in May 2018. This allocation of resources by Central Office signifies a significant commitment to the need for specialized training for those who work with female offenders. During the June 2018 compliance visit, the monitor and DOJ attorneys toured the new ADOC Women's Services Training Center. The
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ADOC repurposed a state-owned building, conveniently located next to Tutwiler, to create this training center. It provides a professional and appropriate setting for staff training. The monitor and DOJ attorneys had an opportunity to sit in on a staff training program. All commented on the skill and enthusiasm of the trainer. Overall, Tutwiler is equipped with a solid training curriculum and the appropriately credentialed staff to deliver this training.
The monitor works closely with Deputy Commissioner Williams who oversees the ADOC's Women's Services Division. Dr. Williams communicates regularly with the monitor regarding any developments of note occurring at Tutwiler relevant to the settlement's requirements. The monitor and DOJ commend Deputy Commissioner Williams for her consistent and thoughtful leadership, actions taken, and support given to the warden and staff at Tutwiler. Dr. Williams is the pivotal leader for the ADOC in managing their compliance with this settlement agreement.
During previous compliance visits, the monitor has met with Ms. Christy Vincent, ADOC's PREA Coordinator, who oversees the work of the IPCMs, to discuss her oversight mechanisms, and the training she provides to the IPCM's. Ms. Vincent also works with central office and facility staff to coordinate and schedule the facility PREA audits. Tutwiler's initial PREA audit was conducted in May 2016. Tutwiler's second PREA audit is scheduled to be conducted January 22-24, 2019. Preparations for the audit were underway at the time of this compliance visit.
In addition to meeting with Commissioner Dunn and Associate Commissioner Matt Brand, the monitor met with Mr. Arnaldo Mercado, Director of ADOC's I & I Division; Ms. Kelley Smith, Tutwiler's investigator; Ms. Lynn Brown, Office of Health
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Services; and Mr. William Lawley, ADOC's Personnel Director. All ADOC central office staff consistently demonstrated working knowledge of their settlement related responsibilities during their interviews with the monitor.
Tutwiler Leadership The monitor continued to observe outstanding leadership by the facility wardens
and the executive team at Tutwiler during this reporting period. During the monitoring visit, Warden Wright provided an opening presentation to the monitor. Warden Wright also participated in both formal and informal discussions with the monitor and demonstrated her leadership at Tutwiler during observed interactions with staff and inmates.
As previously acknowledged, upon her promotion from captain to warden, Warden McClain retained her duties as Settlement Coordinator. The monitor interviewed Warden McClain in the privacy of her office and reviewed the settlement agreement documentation retained in her office. Warden McClain plays a critical role in tracking Tutwiler's compliance, maintaining documentation, and organizing the RMS. She is very well organized and her follow through on issues is exceptional.
The monitor observed the dedication and commitment of supervisors and line staff at Tutwiler to follow policies to ensure sexual safety, in spite of staffing challenges, such as the number of vacancies.
Lt. Felisha Blanding assumed the role of Tutwiler's IPCM on May 16, 2018. Lt. Blanding was one of the original ADOC Regional PREA Coordinators for the ADOC from 2009 to 2013, and she served in that capacity for the female inmate population. She had been serving in the ADOC Training Division as a training supervisor for the last five
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years, where she continued to conduct staff training and education on PREA and related topics. Lt. Blanding attended IPCM's training conducted by ADOC's PREA Coordinator in January 2018. She also attended PREA audit preparation training on April 30, 2018 with the Assistant ADOC PREA Coordinator. Ms. Christy Vincent, ADOC's PREA Coordinator, also provided additional PREA training for Lt. Blanding on May 30, 2018. The administration has ensured continuity of services is maintained in this critical role. Lt. Blanding was fully available to the monitor during the December 2018 compliance visit to ensure a comprehensive review of documentation she maintains and to address all the monitor's questions. The monitor met privately with Lt. Blanding in her office to review documentation and was impressed with Lt. Blanding's tracking system and record-keeping. Sgt. Emily Abbott, who had previously served in this important role, will continue to serve as the back-up IPCM for Tutwiler.
Ms. Tina Tyler, the Institutional Grievance Coordinator, also fills a critical leadership role at Tutwiler. Ms. Tyler, a civilian, has been serving as Tutwiler's American with Disabilities Administrator. The monitor also met privately with Ms. Tyler in her office to review specific grievances. Ms. Tyler's documentation is excellent and her follow-though on issues is exemplary. The administration has ensured continuity in the performance of this critical function. ADOC Consultants
The ADOC and Tutwiler continue to draw on and benefit from consultant expertise in several specific areas. Specifically, expert consultants have participated with the ADOC in the development of the gender-based classification plan and programming, the staffing analysis, the inmate polling/survey process, data collection, and the gender
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responsive review of draft policies, validation of the WRNA, and the provision of staff training and inmate education.
ADOC Strategic Planning Committee The ADOC Strategic Planning Committee continues to meet once a quarter to
review and guide the ADOC and Tutwiler's efforts for creating sustainability models/practices/tools for their operations, future plans and mission for women offenders in Alabama. The monitor reviewed the minutes from the committee's meeting of October 29, 2018.
Tutwiler Sexual Safety Culture Staff and inmates report to the monitor a respect for the settlement-related policies
and practices and are knowledgeable about them. Most importantly, during formal interviews and informal conversations with the monitor, the women say they trust that leadership will act on their behalf if an incident of sexual abuse or sexual harassment occurs.
Tutwiler currently uses SOP 8-12, Form A, PREA Risk Factors Checklist, to screen all inmates for risk of victimization or abusiveness. This form was originally created in May 2014. After consultation with other states to get input on risk factors checklists in use elsewhere, the form was revised in January 2016. All inmates are screened within 72 hours of arrival. The process is conducted by the classification staff. If an inmate is assessed as being at risk of sexual abuse or of being sexually abusive toward other inmates, a mental health referral is completed by the classification specialist, and that inmate will be interviewed by a mental health practitioner that day. Inmates are
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reassessed within 30 days of their arrival. The monitor met with Ms. Felicia Greer, Tutwiler's Mental Health Site Administrator, to review her tracking system and her documentation. Ms. Greer maintains impressive records of inmate referrals and attendance of staff at required training programs.
The IPCM and Psychological Services actively follow up with any inmate who presents at risk of being sexually abused or sexually aggressive toward inmates. Consideration is given to the respective inmate's housing, bed, work, education, and program assignments. Placement and programming assignments for an inmate at high risk of sexual victimization are reassessed at least twice a year. Tutwiler has been in communication with The Moss Group, Inc. about working with the principle researchers at the University of Nebraska, who worked on the PREA risk screening tools for the Iowa Department of Corrections, with the goal of revising Tutwiler's PREA Risk Factors Checklist to incorporate gender-responsive weights and measures into the screening tool.
Alabama Challenges Tutwiler Facility
The monitor continues to note the challenges that the prison's aging infrastructure presents for leadership. Specifically, options for program space, medical and mental health screening and treatment, housing placements, and the day room areas are severely limited by the old design, aging infrastructure and overcrowding. The physical plant also impacts staffing requirements, as it has a direct bearing on operations and the location of officer posts. The physical plant is sprawling and some housing and program areas are isolated and poorly lit, impacting the number of posts and staff needed to support safe
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and secure operations.
Population Capacity Tutwiler's original design had an operating capacity of 350 and the annex was
rated at 128. The daily count has historically been nearly double the facility's original capacity. Currently, the operational capacity is 700 for the main campus and 250 at the annex. On December 3, 2018, Tutwiler’s total inmate population count was 876. At main Tutwiler, 630 beds were filled. At Tutwiler's annex, 246 beds were filled.
While a population reduction has provided relief for the intake dorm, the overall level of chronic population overcrowding continues to present challenges. Both the settlement requirement for the development of a gender based classification system and the development and implementation of gender-based programs at Tutwiler will be impacted by the overcrowding issues at Tutwiler. Specifically, plans will require the development of various housing options for separating groups of inmates, via the classification review process, that will be difficult to maintain as bed space must be allocated according to new placement criteria as it is implemented. In addition, the classification system will prescribe a number of program offerings that should be available for the inmates, based on a needs assessment. Currently, the space available for inmate programming is very limited. The staff have creatively converted and renovated every space possible to provide additional room for expanded programming. Central Office staff has worked with Deputy Commissioner Williams to provide support by allocating resources for capital improvements.
Staffing Challenges-Overall Vacancies and Recruitment and Retention of Women
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The monitor notes that the chronic, ongoing number of staff vacancies at Tutwiler presents a serious concern for leadership, staff and inmates, and could possibly impact the safety and security of the facility. In the first court report, the monitor noted a vacancy rate of almost 50% of authorized, funded positions. At the end of calendar year 2016, correction officers were at 41.8% staffing level. As of June 30, 2017, correction officers were at 38% staffing level. On March 13, 2018 correction officers were at 33% staffing level. As of June 30, 2018, 40% of correction officer positions were filled. On December 31, 2018, 42 % of correction officer positions were filled.
To ensure adequate staff to fill key posts, Tutwiler leadership implemented a mandatory overtime policy at the end of 2016 to address critical vacancies because key posts must be staffed. Tutwiler relies on mandatory overtime to maintain functions. Correction officers, especially single parents, face challenges balancing family obligations with unscheduled, forced overtime demands. This can lead to an increase in staff members "calling out" sick as a means to obtain needed time off. The reliance on overtime to staff critical functions is not a long term solution to the staffing shortfall.
Previously, the monitors have reported that this mandated overtime policy has caused stress and concern among the officers interviewed by the monitors during compliance visits. This situation continues to be an area of deep concern for staff, and according to staff interviewed during this and prior monitoring visits, it is adversely impacting staff morale. During some of the monitor's interviews, uniformed security staff expressed concern about the impact of staff shortages, overtime and staff scheduling on staff morale. A decision was made to transition to the 8-hour shifts effective June 3, 2017.
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The monitor discussed these chronic staffing issues with Associate Commissioner Brand, Deputy Commissioner Williams and Director Lawley. Associate Commissioner Brand continues to oversee the correction officer training and hiring processes, including the physical fitness screening process, but the Alabama Merit System determines the minimum qualifications, administers examinations, and establishes employment resisters for all positions within the classified services. ADOC does not have control or oversight over these functions. Recruitment and Retention Physical Agility/Ability Test (PAAT)
Overall, the recruitment and retention problems that lead to the high vacancy rate remain a concern. The recruitment and hiring data underscore a system-wide issue with the application of the Alabama Peace Officers' Standards and Training Commission (Commission or APOSTC) physical standards to women candidates. Commissioner Dunn took an important first step in his outreach to the Commission by submitting a request to modify the administration of the PAAT academy training requirements for state correction officer applicants. It was encouraging that the Commission approved the Commissioner’s request to modify the administration of the PAAT, which became effective January 2017. The revised Commission rules pushed the last PAAT attempt from the first week of the academy training to week eight of the program, affording candidates more time to get in shape. Because the PAAT had been moved to the end of the academy, the ADOC discontinued the physical fitness assessments that were conducted on all correctional officer trainees during their pre-academy assignment. The basic training academy Class 17-01, which began in February 2017, was the first class to
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enter the academy under the new Commission rules regarding the physical agility/ability requirements. At the time, this change reportedly produced some promising results. The trainees who could not pass the PAAT in week one, including one of the women, all passed the test by week eight and all successfully graduated the academy in May 2017. This was the first time in recent memory that no one, male or female, was removed from the basic training course for a PAAT failure.
Unfortunately, the Monitor and the DOJ were notified during the June 2018 Compliance Visit, that APOSTC was reverting back to its original practice of administering the test during the first week of training and that the Commission had agreed to allow ADOC to continue the eight-week administration through calendar year 2019. During the December 2018 Compliance Visit, the Monitor was advised that, based upon some preliminary discussions, the APOSTC may look favorably on extending the waiver that allows the ADOC to physically test trainees in week eight instead of week one. The ADOC plans to formally request an extension to the waiver in 2019 at an APOSTC meeting. In addition, the Monitor is advised by ADOC that APOSTC has agreed in principle to support a two-part corrections academy that would help ADOC to develop a new "non-APOSTC" correctional officer position to work basic correction posts such as a "population dorm". Candidates for this "non-APOSTC" officer would attend Part 1 of the training academy, and graduate as a "basic" correctional officer and be authorized to work on posts that do not require firearms or any other specialized training. This new category of officers would have to pass an occupational fitness test, but would not be required to meet current APOSTC physical fitness standards, including the 1.5 mile timed run and 22 pushups that often eliminate prospective trainees. The
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Monitor and DOJ expressed a cautionary note of concern that this proposed new category of officers could be filled disproportionately by women, creating a lesser role, with very limited career advancement.
Under the terms of the settlement agreement, ADOC and Tutwiler are to continue to work with the APOSTC in the screening, selecting, or hiring of applicants for entrylevel corrections officer positions until such standards, or any other physical test employed, are both validated for a corrections environment and examined for the necessity of gender-norming certain components.
The Commission contracted with Auburn University at Montgomery (AUM) for the review of the validation study of their PAAT standards and to assess any disparate impact on women candidates. The monitor and DOJ received a copy of AUM's assessment from the ADOC on January 2, 2018. The report details several deficiencies in the eighteen year old validation study. The monitor remains unconvinced that there is a direct correlation between PAAT performance and job performance or other current job outcomes for corrections staff. Until such time as the validation of these standards for correction officers and evidence that the standards have been examined for the necessity of gender-norming certain components is addressed or the terms of the agreement modified, the monitor determines "partial compliance" with this provision. The AUM Report suggests an alternative validation approach may be warranted if adverse impact is ever a problem. The researcher argues that when women elect to retest, there is no adverse impact against them because "the pass rate improves when the number of attempts is very high. When given enough attempts it appears that almost every candidate who attempts every test will eventually pass one." The Commission appears to have
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given very little, if any, consideration to (a) the differences between police officer and correction officers jobs, (b) the extent to which job duties have changed in the last eighteen years, and (c) the extent to which women candidates for correction officer positions engage in repeated retesting.
As the monitor has opined previously, to the extent the ADOC could have helped shape AUM's review, the researchers should have been encouraged to review the physical training standards set for correction officers in other states and gather information about academy training standards, broken down by gender, as it relates to bono fide occupational qualifications for correction officers, rather than focusing solely on standards that apply to police officers. To the monitor's knowledge, AUM did not review the physical training standards established for other correction officers in other state jurisdictions.
The monitor has requested the ADOC compile a report detailing their interactions with APOSTC and the barriers they face validating the APOSTC standards for a corrections environment and for the necessity of gender-norming certain components of those standards.
Recruitment Initiatives On July 1, 2018, Captain Karen Williams assumed the role of Recruiting Unit
Director for the ADOC. Currently Captain Williams reports directly to Mr. Lawley, the ADOC's Director of Personnel. As previously described, the ADOC has increased recruiting efforts through advertising, the use of social media, and collaboration with the Alabama Department of Labor and other state agencies to promote career opportunities in
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the ADOC. ADOC now has three full time recruiters working with Captain Williams. The advertising budget was increased to create a greater advertising presence on television, radio, newspapers and public billboards. ADOC announces upcoming tests on the department's website and via employee e-mail. While the recruitment effort is aimed at all races and genders, special outreach to historically African-American colleges and female institutions of learning have been initiated.
Effective July 1, 2018, the differential pay incentive for Tutwiler was increased from 5% to 10%, and effective September 1, 2018, a 3% cost-of-living adjustment was added to the base pay of all state employees. The entrance level salary is $29,730.80 for a Tutwiler corrections officer, $31,217.34 for an officer with an associate's degree, and $32,703.88 for an officer with a bachelor's degree. It is hoped this adjusted differential will enhance both recruitment and retention of security staff.
ADOC has engaged in two promising efforts to increase correctional staff. Troy University’s Center for Public Service concluded a comprehensive analysis of the compensation and benefits offered by ADOC to correctional staff. Their final report included a comparison of ADOC compensation and benefits for correctional staff to the compensation and benefits afforded by law enforcement agencies at the state, county, and local level. The monitor was advised that this analysis resulted in short-term and longterm recommendations for ADOC concerning compensation and benefits of correctional staff. The second effort involves a comprehensive analysis conducted by the firm of Warren Averett. This firm conducted an analysis of ADOC’s policies, practices, and procedures relating to or affecting the recruitment, employment, and retention of correctional staff. Warren Averett also made short-term and long-term recommendations
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for ADOC concerning recruiting, hiring, and retention of correctional staff. The monitor requested to review these two reports and was advised by ADOC that they are currently under court seal as part of other litigation. The monitor looks forward to reviewing these reports when they are made available.
The monitor was also advised that ADOC would soon be contracting with a company that specializes in recruitment marketing to assist the ADOC and all facilities, including Tutwiler in this area.
Tutwiler is also focusing on addressing employee recruitment and retention. To that end, in addition to adjusting correction officer shifts from twelve hour to eight hour shifts, they have participated in ADOC's statewide recruitment team. In an effort to obtain important feedback from staff, an exit interview with each staff person leaving Tutwiler is conducted.
Tutwiler has also distributed job satisfaction surveys on a bi-annual basis. The first survey was administered in Spring 2017. The ADOC and Tutwiler committed to another staff survey in 2018. A draft survey was provided to the DOJ and monitor on April 2, 2018. The instrument was modified based upon feedback, and it launched on May 15, 2018. Employees had until June 8, 2018, to complete the survey on line. The results of the survey were provided to the DOJ and monitor on July 16, 2018, and provided some insights about employees' perceived training needs, communication issues, relationships with supervisors, and staff morale. Nearly 75% of respondents expressed satisfaction with their jobs, while 25% disagreed. Almost 83% of the survey takers plan on working for ADOC for at least another year, while 17% do not. When asked if they feel committed to the vision for ADOC's Women's Services, 73%
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responded affirmatively, nearly 20% responded "somewhat" and 7% chose "not at all" as their response. While much work remains to be done, the results of this survey are encouraging.
Tutwiler is also committed to supporting those who work in the Women's Services Division, specifically. Tutwiler is exploring strategies to increase workplace health and wellness for staff. There are plans to open an employee gym at the new Women's Division Training Center for use by staff. Space is currently being renovated to house an employee break room and a new parking lot is planned, which will address the extreme shortage of on-site parking space.
The Moss Group, Inc. worked with the ADOC Women's Services strategic planning sub-committee to develop a recruitment and retention plan for ADOC Women's Services. The plan is organized into two categories: Retention: Re-recruiting our staff and Recruitment: Making the most of the market. The plan includes many practical and actionable strategies and objectives and recommends the establishment of small, task-specific committees to implement approved recommendations at the facility level.
Logistics
Compliance Visit The purpose of this December 2018 compliance visit was for the monitor to
acquire information and observations to inform the seventh court compliance report. The monitor and Deputy Commissioner Williams worked together to finalize the tour agenda and interview schedule.
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Introductory Meeting /Presentation by Warden Wright Warden Wright provided an overview of progress made at the facility to the
monitor and DOJ (via telephone conferencing) at an opening meeting attended by Deputy Commissioner Williams and key members of Warden Wright's management team.
Compliance Visit Interviews Throughout the week, the monitor held individual meetings and had multiple
interactions with the following executive leadership and supervisory staff, including: Alabama Department of Correction  ADOC Commissioner Jefferson Dunn  Dr. Wendy Williams, Deputy Commissioner for Women's Services  Mr. Matt Brand, Associate Commissioner for Administrative Services  Ms. Lynn Brown, Office of Health Services  Ms. Carrie McCollum, ADOC General Counsel  Ms. Mary-Coleman Roberts, ADOC Counsel  Mr. Arnaldo Mercado, Director of ADOC's I&I Division  Ms. Kelley Smith, I&I's Tutwiler investigator  Mr. William Lawley, ADOC Personnel Director Tutwiler Prison for Women  Ms. Deidra Wright, Warden III  Ms. Lagretta McClain, Warden I and Settlement Compliance Manager
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 Lieutenant Felisha Blanding, IPCM  Sergeant Emily Abbott, Segregation Supervisor  Ms. Tina Tyler, ADA Coordinator/Inmate Grievance Coordinator  Ms. Constance Johnson, Wexford's Tutwiler Medical Site Administrator  Ms. Felicia Greer, Wexford's Tutwiler Mental Health Site Administrator  Ms. Lynda Jackson, Wexford 's Tutwiler Director of Nursing The monitor also selected line staff members for individual and group interviews. These staff members were diverse in positions, race, length of experience in corrections, and gender. In general, the monitor asked about their awareness of the PREA reporting structure, investigations, the inmate grievance system, their recent PREA and gender responsive training, and their impressions of the new behavior intervention and inmate discipline program. During interactions with inmates from various housing dorms, the monitor used a set of questions regarding their knowledge of PREA policies, reporting of allegations, the grievance system, staff/inmate professional relationships, and the availability of reporting allegations using various phone lines. The women discussed incidents they observed of unprofessional conduct, their use of the grievance system, impressions of the new behavior intervention and inmate discipline program, and their overall feeling of safety at Tutwiler. Their responses are documented in the monitor’s discussion in various sections of the compliance report. Several topics were repeatedly raised by the women. They made allegations against a small number of officers using vulgar, degrading, or racially insensitive or offensive language. Some women expressed a great deal of frustration over the lack of consistency in practice between shift officers, especially in the housing units.
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In several housing units, inmates expressed their concern about the amount of smoking that takes place in the shower areas. In several units, the monitor could smell what appeared to be cigarette smoke. Others alleged a perception that racism was an issue and that officers treated inmates, specifically same-sex couples, differently based upon race. The specific issue of perceived racial discrimination, though raised during this visit, was brought up far less often than it was during the previous monitoring visit. The majority of the prison staff is African American, and the majority of the inmate population is Caucasian. The women allege that African American inmates get preferential treatment. The monitor recognizes these issues are deeply embedded in culture and the past experiences of the women pre-incarceration.
Lastly, many inmates seemingly have misinterpreted the intervention guidelines included in SOP 8-30, Behavior Intervention and Inmate Discipline. There is a misperception that officers cannot use their discretion and must always issue a verbal redirect first. Some inmates perceive a disparity in sanctions because they are failing to recognize the many factors, including an inmate's mental health state and institutional disciplinary history, that the officer is weighing. For this reason, the monitor recommends additional educational sessions for inmates to review the requirements of the new policy. As stated previously, this resistance is not unexpected, because this change in policy represents a significant shift in both staff and inmate cultures.
Facility Tours During the tour of the facility during the compliance visit, the monitor noted
improvements to the physical plant and to the overall cleanliness of the physical plant.
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The management team creatively repurposed or rehabbed many areas of the facility to be used as program space. The monitor observed several on-going renovation projects while touring the facility. As programming options for the women expand, leadership will be challenged to maximize the use of all available, appropriate space.
In each housing unit, the monitor noted the prominent posting of notices and information for inmates, including: a PREA hotline notice, notice of a victim support line, PREA education materials, principles of gender responsive programming for women, and grievance and appeal forms.
Throughout the tour, ADOC and Tutwiler staff afforded the monitor the time, space, and many opportunities to engage in private conversations with both staff and inmates in housing and program units. Staff consistently demonstrated knowledge of sexual safety and their individual roles and responsibilities in this area. Generally, the inmates acknowledged and expressed appreciation for the positive changes at the facility. Feedback from the long termers underscored that many women feel much safer at Tutwiler today.
Appreciating that the institutional climate and culture can differ shift to shift, the monitor and Deputy Commissioner Williams conducted an unannounced night visit to the facility for the purpose of observing operations during the evening shift, when top facility leadership are generally not on-site. This visit was conducted on the evening of December 2, 2018. The facility climate was very quiet and low-key.
During the December 2018 monitoring visit, the monitor also visited:  Dorm K  various other housing units, including the Mental Health Unit
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 death row, and had an opportunity to meet with these women and discuss their individual awareness of policies addressing sexual abuse and sexual harassment, how to report allegations, and the use of the grievance system
 the segregation unit and talked with the two inmates housed there  the mental health stabilization unit and spoke with some of the inmates
housed there  the infirmary, clinic area  shift commander’s office  many administrative offices  program space  the video operations in the camera room and discussed the operation with
the operator on duty  Annex While work on the youthful offender trailer was completed on October 20, 2016, making it ready for occupancy and providing designated placement for this specialized population, Tutwiler did not receive any youthful offenders during this reporting period, so this unit was again vacant during the monitor’s December 2018 visit.
Document Review In addition to the interviews and discussions with staff and the tours of Tutwiler,
the monitor reviewed a wide variety of documents, correspondence, records, and staff reports. These documents are listed in the "Measures of Compliance" box in the audit tool for each section. The monitor reviewed most of these documents prior to her visit
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and reviewed some documents on-site during the visit. In addition, the monitor made several additional follow-up requests for documents and these were sent to her after the visit. Attachment A to this report lists documents reviewed by the monitor prior to, during, and after the compliance visit.
The monitor showed various documents to staff during the interviews, for their authentication and comment. The monitor also reviewed multiple documents maintained by Warden McClain, Lt. Blanding, and Ms. Tyler while conducting formal interviews with them. The monitor recognizes the time and commitment these individuals expend to maintain the level of detailed documentation required to demonstrate compliance. The ADOC and Tutwiler team continues to maintain impressive records.
The monitor referred to specific documents for each set of requirements in the audit tool report in the monitor’s discussion of ADOC compliance with the section.
Exit Debriefing with ADOC Leadership The monitor and Deputy Commissioner Williams debriefed each day of the
compliance visit, so Deputy Commissioner Williams, the monitor, and DOJ (one attorney on site, the other via teleconference) conducted an abbreviated exit meeting at the conclusion of the compliance visit, where the monitor made a request for some additional documents and data. Monitoring Tool
The parties had previously agreed on a "monitoring tool" format for each of the settlement provisions and their subsections. The front page of each provision in the tool includes both the specific requirements for that section and the dates for the ADOC's compliance. The settlement provides, for most requirements, that the ADOC: create a
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policy; train staff on that policy; and implement the policy in the regular activities at Tutwiler and the ADOC. Specifically, an approved ADOC policy must first be published for operational practice in a facility. At Tutwiler, the facility develops written SOP's to apply the ADOC policy to direct specific operational practices at the prison. The second step is to train all staff subject to the policy and SOP using an approved training curriculum. The third step is to then implement and document compliance with these policies and SOP's in the actual practice of the directives at the facility.
The monitor evaluated each section and its specific requirements through interviews with inmates and ADOC and Tutwiler staff; document reviews; announced and unannounced facility tours; on-site observations (orientation, dorm activities, inmate movement, camera room operations); communication with the parties through calls and emails; and a review of previous compliance reports. For each section, the monitor assesses the extent to which ADOC and Tutwiler have complied with the requirement and addressed any outstanding issues from the last compliance visit, documents her findings, and chooses the rating corresponding to her assessment of the ADOC and Tutwiler's level of compliance. Prior to conducting the very first monitoring visit, initial Monitor Jennie Lancaster had established the "Measures of Compliance" for each provision and identified the documents and interviews to be used to assess compliance. The ADOC submitted the documents prior to the visit and drafted an interview agenda and touring schedule for the monitoring visit. During the transition of monitoring responsibilities from Ms. Lancaster to Ms. Dennehy in August 2016, Monitor Dennehy committed to using the same process, measures and documents, but reserved the option to revisit and amend these measures to facilitate monitoring going forward.
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The monitor completed this report and the monitoring tool through the following actions:
1) Examining the settlement agreement, its provisions, and the specific requirements listed in the monitoring tool.
2) Requesting and examining specific documents to identify and assess the extent of the ADOC and Tutwiler actions in response to the agreement requirements. Examples include: ADOC policies and Tutwiler standard operating procedures; training curricula; staff rosters for training; staff reports and spreadsheets to document actions; inmate grievances; investigations; and meeting minutes.
3) Selecting specific ADOC and Tutwiler staff for compliance interviews based on the individual’s overall and direct responsibilities for settlement implementation.
4) Conducting interviews with selected staff to obtain feedback and perspective on Tutwiler activities and practices related to the settlement terms and requirements.
5) Conducting individual interviews with selected inmates to obtain feedback and perspective on Tutwiler activities and practices related to the settlement terms and requirements.
6) Engaging in spontaneous, private conversations with both staff and inmates in housing and program areas during monitoring visits.
7) Reviewing letters submitted confidentially to the monitor from inmates and conducting interviews with selected inmates to follow-up on issues raised in
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their correspondence received by the monitor. 8) Using routine communication with the parties, prior to, during, and after the
visit to ask for more information or clarification regarding the settlement, its terms and requirements and determinations of compliance. 9) The monitor sent the first draft report to both parties on February 8, 2018. The agreement allows for a two-week period of review by both parties. The monitor received comments from the DOJ and ADOC and reviewed the comments of both parties, in each section, and took them into consideration in her final revisions to the report. 10) The monitor will submit the completed set of audit tool report, the narrative summary and attachments, to the court by February 28, 2019.
Summary of Compliance
"Compliance" is discussed throughout the agreement and this report in the following terms: substantial compliance, partial compliance, and non-compliance. "Substantial compliance" indicates that the ADOC and Tutwiler have achieved material compliance with most or all components of the relevant provision of the settlement agreement. "Partial compliance" indicates that the ADOC and Tutwiler have achieved material compliance on some of the components of the relevant provision of the settlement agreement, but significant work remains. "Noncompliance" indicates that the ADOC and Tutwiler have not met most or all the components of the relevant provision of the settlement agreement. "Material compliance" requires that, for each provision, the ADOC and Tutwiler have developed and implemented a policy incorporating the
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requirement, trained relevant personnel on the policy, and relevant personnel are complying with the requirement in actual practice.
Closing Observations
The monitor appreciates the high level of cooperation she continues to receive from all parties during the monitor compliance visits. The monitor also appreciates the level of cooperation and responsiveness of the ADOC and Tutwiler staff during this entire reporting period. The monitor made requests for documents or information and they were always processed in a thorough and timely manner.
The monitor sees continued progress by the ADOC and Tutwiler and is impressed by leadership's commitment to fully implement the settlement and evidence-based gender specific practices at Tutwiler. Leadership also demonstrates a commitment to quality improvement. The monitor recognizes the time and commitment needed to maintain the level of detailed documentation required to demonstrate compliance. The ADOC and Tutwiler team continue to maintain impressive records. More importantly, leadership is using this information and data to monitor and improve practice and create a culture at Tutwiler that reflects awareness of policies designed to address sexual abuse and sexual harassment, with the inmates respecting the accountability practices demonstrated by the leadership and staff.
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Attachment A: List of Documents Used for Compliance Report
Monitor's note: the monitor also reviewed some documents, not listed below, that were received/reviewed for the compilation of the previous compliance reports.
 Inmate Survey and Polling Plan  First Quarter Inmate Survey Results  Second Quarter Inmate Survey Results  Third Quarter Inmate Survey Results  Fourth Quarter Inmate Survey Results  First Quarter Inmate Survey Results (Year Two)  Second Quarter Inmate Survey Results (Year Two)  Third Quarter Inmate Survey Results (Year Two)  Fourth Quarter Inmate Survey Results (Year Two)  Auburn University's MOU with ADOC  Auburn University's Polling Proposal  Tutwiler PREA Incident Review Committee reports, July-December 2018  Tutwiler Risk Management System spreadsheet, July-December 2018  Risk Management System Summary  Quarterly Risk Management System Data Review  Spreadsheet of Staff Identified in Risk Management System -Corrective Action
Taken  Annual assessment of the Risk Management System, December 2017  Annual assessment of the Risk Management System, November 2018  Log of unannounced rounds by supervisors  Monthly Grievances, July-December 2018-randomly selected  All PREA-related inmate grievances, July-December 2018  Tutwiler spreadsheets documenting inmate disciplinary infractions, July-
December 2018  Gender Responsive Classification Policy  ADOC Women's Services Classification Instruction Manual  Tutwiler PREA risk factors checklists  Tutwiler PREA risk re-assessments checklists (30-day reassessment)  Tutwiler ADOC mental health referrals to Wexford for PREA assessments  Tutwiler mental health treatment notes for initial PREA assessments  Spreadsheets/logs for the classification checklists  Update on progress of the pilot administration of the WRNA and any data collected.  WRNA Validation Committee’s agenda, notes, and PPT  WRNA Validation Project Proposal  Intake Unit inmate movement sheets  Intake Unit Receiving Log  Intake Unit quarterly workgroup meeting minutes
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 Dorm Representatives Meeting Minutes  Tutwiler Bed Count Roster for December 5, 2018  ADOC's Classification PREA risk referral log  Wexford new employee orientation Manual  Wexford new Staff Orientation "On-boarding" training curriculum and manual  Wexford staff training records, including post tests for oldest and newest
employees.  Wexford PREA policy  Wexford staff training records  Wexford PREA sexual assault allegations log  Wexford PREA inmate evaluation log  Wexford inmate grievance log  Tutwiler ADOC and Wexford mental health staff meetings minutes -July-
December 2018  Tutwiler Classification PREA Risk Referral Log  Draft Administrative Regulation 637-Gender Dysphoria Disorder  Gender Identify Committee Review Meeting, Tracking Log  Completed and published PREA audit, May 2016  Communications log maintained by Lt. Blanding, regarding calls, emails, etc. with
ADOC PREA Coordinator Vincent  Bi-monthly PREA reports from Lt. Blanding to ADOC PREA Coordinator
Vincent  PREA #66 hotline calls log, maintained by Institutional PREA Compliance
Manager for July-December 2018  Monthly spreadsheet of calls made to ADECA  Notification to inmate population regarding availability of hotline  Copies of Random Inmate Interviews conducted by Lt. Blanding to monitor
reporting culture for July-December 2018  Training rosters maintained by Lt. Blanding for July-December 2018  PREA training documentation for the private transport security staff  Training documentation for Tutwiler staff, contractors, volunteers, overtime staff
in SOPs  PREA & Gender Responsive Refresher Training Facilitator Guide  Randomly selected training evaluations from Tutwiler staff attending the required
PREA (SOP 8-12) and gender responsive training  Log of Pregnant Inmate Intake maintained by Lt. Blanding  Pregnant Inmate Intakes Statements maintained by Lt. Blanding  Tutwiler "inmate on inmate harassment" allegation investigations, completed by
Lt. Blanding July-December 2018  Tutwiler inmate education session attendance logs for July-December 2018  Final Inmate Orientation Guide  Certification of completion of inmate education on the new Women's Services
Classification Manual  Engaging Women in Trauma-informed Peer Support: A Guidebook
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 Copies of Gender Responsive Women's Programs Work Group agenda, notes and PowerPoint presentation
 Women's Services Handbook  Tutwiler camera room surveillance logs, July-December 2018  Tutwiler annual assessment of the camera operations - November 2017 &
December 13, 2018  Tutwiler Gender Responsive Staffing Analysis and plan  Tutwiler staffing updates for July-December 2018  ADOC Recruitment and Retention data, July-December 2018  Auburn University's study of Physical Agility Ability Testing (PAAT) ,conducted
for the Alabama Peace Officers' Standards and Training Commission, December 2017  Tutwiler staff discipline: July-December 2018  Abusive and Profane Language Intervention Plan  Tutwiler shift duty rosters (noting overtime staff)  Tutwiler list of currently approved overtime employees  Periodic Staff Overtime Reports  Social Service Caseworker lateral transfer announcement approving the filling of positions  Randomly selected Tutwiler shift dorm assignment logs  Correctional Officer Trainee, "Physical Fitness training "assessments/ reports, July-December 2018  ADOC reports for the staff physical fitness exams results, from the academy, for July-December 2018 broken down by gender  Inmate correspondence received by the monitor during July-December 2018  PREA-related investigations, completed by ADOC Investigations & Intelligence July-December 2018  SOP 8-30, Behavior Intervention and Inmate Discipline (draft)  Implementation plan for SOP 8-30 Behavior Intervention and Inmate Discipline  Curriculum for the specialized "investigator " training  SOP 8-24 Disciplinary Segregation  Draft SOP Structured Living Unit  Women's Services, Retention and Recruitment Plan, July 2018
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Attachment B: List of Tutwiler’s Standard Operating Procedures (SOPs)
This is a listing of all the ADOC and Tutwiler policies provided to the monitors to date. The monitor reviewed the drafts, provided comments on each to ADOC and received the final ADOC published copies.

SOP

TITLE

1-1

Mission

4-1

Warden III

4-2

Assistant Wardens, Warden II & Warden I

4-3

Correctional Captains

4-4

Lieutenants & Sergeants - Shift Supervisors

4-5

Correctional Officers & Trainees

5-00

Dormitory Security SOP

5-01

Dormitory A Post Order

5-02

Dormitory B Post Order

5-03

Dormitory C Post Order

5-04

Dormitory D Post Order (Health Care Unit)

5-05

Dormitory F Post Order

5-06

Dormitory G & J Post Order (South Hall II)

5-07

Dormitory I Post Order (South Hall III

5-08

Dormitory K&M Post Order (Death Row) (South Hall I)

5-09

Dormitory L Post Order (Segregation Unit)

5-10

Dormitory H Post Order (Mental Health Unit)

5-11

Dormitory N / O Post Order (Annex)

5-12

Annex Back Gate Post Order

5-14

Tutwiler Back Gate Post Order

5-18

Sewing Factory Post Order

5-20

Trade School Security Post Order

5-21

Kitchen Officer and Chief Steward Post Order

5-22

Laundry Post Order

5-23

Gender Specific Posts

6-2

Referrals to Mental Health Services

6-4

Reception Mental Health Screening

6-6

Crisis Intervention

6-9

Mental Health Observation and Suicide Watch Procedures

6-11

Closed Residential Treatment Unit (CRTU)

6-12

Mental Health Unit Dormitory H Stabilization

7-3

Institutional Security, Sanitation, & Safety Inspections

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SOP

TITLE

7-7

Searches

7-8

Use of Force

7-9

Inmate Count Procedures

7-10

Emergency Medical Treatment

7-12

Evacuation of Inmates in Specialized Housing

7-14

Inmate Pregnancy

7-17

Security Threat Groups

7-19

Inmate Visitation Privileges

7-20

Aid to Inmate Mothers Visitation Criteria

7-29

Employee / Inmate Relationships

8-1

Reception and Orientation: Receiving Rules

8-3

Inmate Transports

8-5

Controlled Movement

8-12

Inmate Sexual Abuse and Sexual Harassment

8-13

Inmate Control Systems (ICS)

8-14

Inmate Personal Property

8-17

Tutwiler Inmate Photographs

8-18

Inmate Drug Screening

8-19

Youthful Inmates

8-22

Inmate Grievance Procedures

8-23

Administrative Segregation

8-24

Disciplinary Segregation

8-27

Hygiene Item Issuance

8-28

Death Row Unit-M

8-29

LGBTI Inmate Population

8-30

Behavior Intervention and Inmate Discipline

8-31

Hair Grooming

9-5

Overtime / Mandatory Overtime Work

9-6

Staffing Plan

9-7

Private Transportation Security Agents

9-9

Employee Standards of Conduct & Discipline

9-16

Institutional PREA Compliance Manager

11-1

Data Collection and Quality Improvement

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Attachment C: Summary of Compliance
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Requirement CSoubmsptliaantnicale CoPmaprltiiaalnce ComNpolina-nce
N/A

Description

III.A. GENERAL POLICIES AND PROCEDURES
ADOC and Tutwiler shall comply with all provisions of PREA.

ADOC and Tutwiler shall continue to comply with the ADOC’s written policies and procedures mandating zero tolerance toward all

A.1

forms of sexual abuse and sexual harassment.

x

This agreement takes precedence over any ADOC and/or Tutwiler policy governing the operation of Tutwiler that may conflict with this agreement.

Shall develop; submit to the Monitor and DOJ for review consistent with III.A.6; and Implement policies and procedures regarding

A.2

the management of lesbian, gay, bisexual, transgender, intersex, and gender nonconforming inmates. The policy shall emphasize the rights of lesbian, gay, bisexual, transgender, intersex, gender nonconforming and gender dysphoric inmates to a safe, non-

x

discriminatory and respectful environment.

Continue to comply with ensuring women receive essential supplies, including hygiene and feminine hygiene products, tampons

A.3

and pads; linens; and uniforms by making them available on a monthly basis or more frequently as needed. The policy will continue to require the tracking and distribution of these products. ADOC and Tutwiler will continue to ensure that both tampons

x

and sanitary pads are readily available, free of charge, to Tutwiler inmates.

A.4

Shall develop and implement policies and procedures that incorporate gender-responsive strategies, including policies and procedures governing the use of force against women inmates and discipline of women inmates

x

Shall continue to develop, submit to the Monitor and DOJ for review consistent with III.A.6, and implement facility-specific policies

A.5

and operational practices specific to Tutwiler’s population regarding the supervision and monitoring necessary to prevent inmates

x

from being exposed to unreasonable risk of harm from sexual abuse and harassment.

III.B. CAMERA MANAGEMENT

B.1

Camera management policies and procedures will remain in effect at Tutwiler

x

B.2

Camera management policies and procedures, including the locations where cameras have been placed, will be reviewed at least annually to ensure they are serving their goal of maximum supervision.

x

III.C. STAFFING

C.1(i)

ADOC and Tutwiler shall continue to develop, submit to the monitor and DOJ to assess for compliance with this agreement and implement its plan to recruit women correctional officers at Tutwiler

x

C.2

In order to address low staffing levels and the need for more women officers, ADOC and Tutwiler shall ensure that correctional staffing and supervision is sufficient to adequately supervise inmates and staff and allow for the safe operation of Tutwiler.

x

III.D. TRAINING

D.1

ADOC and Tutwiler shall train all staff who may have contact with inmates with the following:

x

D.2

Within six months of the Effective Date, all staff shall have received training as set out in Section III.D.1

x

D.3

ADOC and Tutwiler shall provide annual refresher training to all staff

x

D.4

The Monitor will work with ADOC and Tutwiler in drafting new training materials and/or revising current training materials set out in III.D.1 and III.D.3

x

D.5

ADOC shall certify and document to Tutwiler’s PREA Compliance Manager, the Department-wide PREA Coordinator, the Monitor, and DOJ, that all staff have been trained

x

III.E INMATE EDUCATION

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Requirement CSoubmsptliaantnicale CoPmaprltiiaalnce ComNpolina-nce
N/A

Description

E.1,3,6,7

(Inmate Education: Intake)

1. ADOD and Tutwiler shall ensure that, during the intake process, all inmates receive information regarding the following (listed

below):

3. Current Tutwiler inmates will receive the information and education described in III.E.1 within three months of the Effective Date

(by August 28, 2015). 6. Consistent with current policy, ADOC and Tutwiler shall ensure that the information outlined in III.E.1 is conveyed and made

x

available in formats accessible to all inmates, including those who are limited English proficient, deaf, visually impaired, or

otherwise disabled as well as to inmates who have limited reading skills.

7. ADOC and Tutwiler shall provide the Monitor and DOJ for their review consistent with Section III.A.6 any materials or curriculum

utilized to satisfy the requirements of III.E.1

(Inmate Education: Comprehensive)

2. Within 14 days of intake, ADOC and Tutwiler shall provide comprehensive orientation education to inmates either conducted in-

person or through a video presented by an in-person facilitator regarding their rights to be free from sexual abuse and sexual

harassment and to be free from retaliation for reporting such incidents, and regarding their policies and procedures for responding

to such incidents.

3. Current Tutwiler inmates will receive the information and education described in III.E.2 within three months of the Effective Date

(by August 28, 2015).

4. ADOC and Tutwiler shall ensure that the individual conducting or facilitating the comprehensive inmate educational orientation is

trained on Tutwiler’s and ADOC’s policies and procedures related to sexual abuse and sexual harassment, the PREA standards,

E.

and this Agreement.

2,3,4,5,6,7,8 5. The individual conducting or facilitating the comprehensive inmate orientation education shall remain in the room during the

x

entire orientation and shall monitor the inmates for reactions to and understanding of the information. A mental health practitioner

will serve as an advisor to the orientation process and services will be available during the orientation process if indicated.

6. Consistent with current policy, ADOC and Tutwiler shall ensure that the information outlined in III.E.2 is conveyed and made

available in formats accessible to all inmates, including those who are limited English proficient, deaf, visually impaired, or

otherwise disabled as well as to inmates who have limited reading skills.

7. ADOC and Tutwiler shall provide the Monitor and DOJ for their review consistent with Section III.A.6 any materials or curriculum

utilized to satisfy the requirements of III.E.1

8. ADOC and Tutwiler shall maintain documentation of inmate participation in the education sessions required by III.E.2.

III.F. GENDER-RESPONSIVE CLASSIFICATION

Within two months of the Effective Date, ADOC and Tutwiler shall convene a working group to evaluate methods to decrease or

F.1

eliminate Tutwiler’s use of Dorm A for a period of time that exceeds 48 hours while screenings are completed, including an examination of the necessity of PAP test and/or other medical, mental health, or intellectual test results prior to classification and

x

failures to provide adequate continuity in medical and mental health care to Dorm A residents

F.2

Within six months of convening of the working group, ADOC and Tutwiler shall retain an expert in gender responsive assessment and classification.

x

3. The approved plan for implementation of the classification system shall be managed by an implementation workgroup and

completed within two years of the approval of plan

F.3,4

4. The system shall provide programs that incorporate gender responsive principles and address the needs of women inmates at Tutwiler, including those addressing sexual abuse, sexual harassment, and trauma; domestic violence; dating violence; and medical and mental health care.

III.G RISK ASSESSMENT

G.1

ADOC and Tutwiler shall continue to utilize a risk assessment instrument to screen for risk of victimization and abusiveness

x

x
(not due until 3/28/2019)

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Requirement CSoubmsptliaantnicale CoPmaprltiiaalnce ComNpolina-nce
N/A

Description

G.2,3

2. Inmates at high risk for sexual victimization shall not be placed in involuntary segregation housing due to their high risk of

victimization unless an assessment of all available alternatives has been made, and a determination has been made that there is

no available alternative means of separation from likely abusers. Such an assessment and determination shall be documented,

explain the basis for Tutwiler’s concern for the inmate’s safety and the reason why no alternative means of separation can be

arranged. A review of such determination must be afforded each inmate at least every 30 days to determine whether there is a

x

continuing need for separation from the general population.

3. Inmates placed in segregated housing Due to potential victimization shall, to the extent possible, have full access to programs,

privileges, education, and work opportunities as inmates in general population housing.

III.H. INMATES’ RIGHT TO PRIVACY

H.1

Cross-Gender Searches : ADOC and Tutwiler shall continue to comply with its policy regarding cross-gender pat and strip searches

x

2.i Cross- Gender Viewing: ADOC and Tutwiler shall develop, submit to the Monitor and DOJ for review consistent with Section

A.III.6, and implement policies and procedures that enable inmates to perform bodily functions – such as showering, bathing, and

using the toilet – and change clothing without nonmedical staff of the opposite gender viewing their breasts, buttocks, or genitalia,

except in exigent circumstances of when such viewing is incidental to routine cell checks

H.2

x

2.ii ADOC and Tutwiler shall develop, submit to the Monitor and DOJ for review consistent with Section III.A., and implement

policies and procedures regarding the method of conducting inmate counts. This policy and procedure shall limit inmate movement

during inmate counts and shall prohibit the practice of conducting inmate counts while inmates are likely to be in the shower and

toilet areas

H.3

ADOC and Tutwiler shall continue to implement its plan to address the architectural features that contribute to a lack of privacy for inmates while showering or using the toilet

x

III.I REPORTING ALLEGATIONS OF SEXUAL ABUSE AND SEXUAL HARASSMENT

ADOC and Tutwiler shall continue to comply with its policy on reporting allegations of sexual abuse and sexual harassment. Any

modification of that policy shall be submitted to DOJ and the Monitor for review consistent with Section III.A.6. ADOC and Tutwiler

I.1

shall provide multiple internal methods, including a grievance process and at least one confidential method, for inmates to report

x

sexual abuse and sexual harassment, retaliation by other inmates or staff for reporting sexual abuse and sexual harassment, and

staff neglect or violation of responsibilities that may have contributed to such incidents.

2. ADOC and Tutwiler shall also provide at least one way for inmates to report abuse or harassment to a public or private entity or

I.2,3

office that is not part of the agency, and that is able to receive and immediately forward inmate reports of sexual abuse and sexual

harassment to agency officials, allowing the inmate to remain anonymous upon request. The method provided should be through a toll-free number or other method as agreed to by the Monitor and DOJ.

x

I.4,5

3. ADOC and Tutwiler shall provide a method for staff to confidentially report sexual abuse and sexual harassment of inmates 4. Third parties shall be permitted to assist inmates in filing requests for administrative remedies relating to allegations of sexual abuse and sexual harassment, and shall also be permitted to file such requests on behalf of inmates

5. All third party reports of sexual abuse and sexual harassment shall be forwarded immediately to the Departmental PREA

x

Coordinator and be investigated and processed in accordance with Policy. As part of this process, the Departmental PREA

Coordinator will inform Tutwiler’s PREA Compliance Manager of all third party reports received.

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Requirement CSoubmsptliaantnicale CoPmaprltiiaalnce ComNpolina-nce
N/A

Description

I.6, 6.viii

6. Grievances: ADOC and Tutwiler shall continue to develop and submit policies and procedures for an inmate Grievance System to the Monitor and DOJ for review within three months of the effective date and, within four months of the effective date, implement the inmate Grievance System. This policy shall clearly prohibit retaliatory practices by staff against inmates who file a grievance and should include the requirements listed in III.I.6.ii-ix
x
6.viii ADOC and Tutwiler shall develop, submit to the Monitor and DOJ for review consistent with Section III.A.6, and implement policies and procedures for the filing of an emergency grievance where an inmate is subject to a substantial risk of imminent sexual or physical abuse

I.7,8,9 I.10.i

7.ADOC and Tutwiler shall require all employees to report immediately: Any knowledge, suspicion, or information regarding an incident or alleged incident of sexual abuse or sexual harassment that occurred in Tutwiler, in transport vehicles, or in any off-site facilities under the control and supervision of ADOC or Tutwiler; Retaliation against inmates or staff who reported such an incident; and any staff neglect or violation of responsibilities that may have contributed to an incident or retaliation.

8.Apart from reporting to designated supervisors or officials, staff shall not reveal any information related to a sexual abuse or

x

sexual harassment report to anyone other than to the extent necessary to make treatment, investigation, and other security and

management decisions.

9.ADOC and Tutwiler shall report all allegations of sexual abuse and sexual harassment, including third party reports, anonymous

reports, and inmate grievances, to Tutwiler’s or ADOC’s designated investigator

Protecting Inmates and Staff from Retaliation:

i.Consistent with ADOC policies, ADOC and Tutwiler shall protect all inmates and staff who report allegations of sexual abuse or

sexual harassment or cooperate with sexual abuse or sexual harassment investigations from retaliation by other inmates or staff, and shall designate Tutwiler’s PREA Compliance Manager with monitoring allegations of retaliation concerning inmates.

x

Allegations of retaliation against employees will be investigated and processed in accordance with ADOC personnel policy.

III.J. OFFICIAL RESPONSE TO AN ALLEGATION OF SEXUAL ABUSE AND SEXUAL HARASSMENT

J.1

When ADOC or Tutwiler learns that an inmate may be subject to a substantial risk of imminent sexual abuse, ADOC or Tutwiler shall take immediate action to protect the inmate.

x

ADOC and Tutwiler shall continue to comply with Policy and Tutwiler Standard Operating Procedures to coordinate actions taken

J.2

in response to an allegation of sexual abuse, among first staff responders, medical and mental health practitioners, investigators, and Tutwiler leadership, including time frames and lists of whom staff should report to in specific situations and guidelines

x

regarding the collection of physical evidence.

3.ADOC and Tutwiler shall respond to reports of sexual abuse and sexual harassment or threats of sexual abuse or sexual

harassment without regard to an inmate’s known or perceived sexual orientation or gender identity.

J.3,6

6.ADOC and Tutwiler shall not place in protective custody an inmate who is alleged to have suffered sexual abuse or sexual harassment solely for the purpose of protecting that inmate, unless a determination, documented in writing and reviewed by the

x

PREA Compliance Manager or the Warden’s designee within 24 hours, has been made that there is no available alternative

means of separation from likely abusers.

J.4,5

4.The written institutional plan shall include procedures that address how staff respond upon learning of an allegation that an inmate was sexually abused; described below

5. If the first staff responder is not a security staff member, the responder shall be required to request the alleged victim not take

x

any actions that could destroy physical evidence, and then notify security staff.

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Requirement CSoubmsptliaantnicale CoPmaprltiiaalnce ComNpolina-nce
N/A

Description

To the extent they do not already exist, ADOC and Tutwiler shall develop, submit to the Monitor and DOJ for review consistent with

J.7

Section III.A.6., and implement policies and procedures to provide access to medical and mental health services to women identified as potential or actual victims of sexual abuse and sexual harassment, that occurred either at Tutwiler or elsewhere,

x

including the following:

III.K REFERRALS AND INVESTIGATIONS

K.1,2

1.ADOC investigators shall continue to investigate allegations of sexual abuse or sexual harassment consistent with their authority

as criminal investigators and consistent with Policy and Alabama law. Completed investigations of sexual abuse and sexual

harassment will be referred to local prosecutors as appropriate.

2. When ADOC conducts its own investigations into allegations of sexual abuse or sexual harassment, it shall do so promptly,

x

thoroughly, and objectively for all allegations, including third party and anonymous reports. Administrative investigations shall be

completed regardless of the results of any criminal investigations and regardless of the subject’s continued employment by ADOC

ADOC and Tutwiler shall develop, submit to the Monitor and DOJ for review consistent with Section III.A.6., and implement

K.4

guidelines for the immediate initiation of an investigation and/or review upon learning of an allegation of sexual abuse or sexual harassment and develop a process for monitoring those guidelines. The guidelines shall also ensure that investigations that

x

include any allegations of sexual abuse or sexual harassment are properly labeled as such.

Investigators

3.The use of pre-hearing segregation shall be limited to inmates whose continuing behavior is a threat to facility safety, or who will

not stop the prohibited behavior. Such pre-hearing segregation shall not be used for more than 72 hours, at which time an inmate

must be afforded a disciplinary hearing, or provided a written explanation of why the hearing is postponed and when the hearing

will be re-scheduled.

5.Where sexual abuse or sexual harassment is alleged, ADOC shall use investigators who have received special training in

institutional sexual abuse and sexual harassment investigation. Specialized training shall include techniques for interviewing

sexual abuse victims, proper use of Miranda and Garrity warnings, sexual abuse evidence collection in confinement settings, and

the criteria and evidence required to substantiate a case for administrative action or prosecution referral. ADOC shall maintain

documentation that agency investigators have completed the required specialized training in conducting sexual abuse

investigations. The Department-wide PREA Coordinator and Tutwiler's PREA Compliance Manager shall not serve as

investigators for sexual abuse investigations.

7.The credibility of an alleged victim, suspect, or witness shall be assessed on an individual basis and shall not be determined by

K.3,5,7,8,9,10 the person’s status as inmate or staff. ADOC or Tutwiler are prohibited from offering or administering polygraph examinations or

x

other truth-telling devices to an inmate who alleges sexual abuse or sexual harassment.

8.ADOC shall issue a written investigative report within 30 days after the conclusion of a sexual abuse or sexual harassment

investigation that indicates whether the allegation is substantiated, unsubstantiated, or unfounded. The investigator may request in

writing, approved by the facility designee, an extension for cause that identifies the remaining actions necessary to complete the

investigation. In no case shall the investigation be unfounded solely Due to the expiration of the 30 days. The investigative report

shall include an effort to determine whether staff actions or failures to act contributed to the abuse, a description of the physical and

testimonial evidence, the reasoning behind credibility assessments, and investigative facts and findings.

9.ADOC shall work with the Monitor on ensuring that an investigative summary sheet that provides an overview of the current

status of an investigation is included. The summary information should include, among other things, basic information such as

staff name(s), prisoner names(s), location of incident, and the time of day.

10.The departure of the alleged perpetrator or victim from the employment or control of ADOC or Tutwiler shall not provide a basis

for terminating an investigation.

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Requirement CSoubmsptliaantnicale CoPmaprltiiaalnce ComNpolina-nce
N/A

Description

Outside Investigations; Inmate Notification

11.When outside agencies investigate alleged incidents of sexual abuse, ADOC and Tutwiler shall cooperate with outside

investigators and shall endeavor to remain informed, to the extent appropriate, about the progress of the investigation.

12.Following an investigation into an inmate’s allegation that she suffered sexual abuse or sexual harassment in any ADOC facility

or while within the physical custody and control of the ADOC, ADOC and Tutwiler shall inform the inmate as to whether the

K.11,12,13, 14, 15

allegation has been determined to be substantiated, unsubstantiated, or unfounded. 13.If ADOC or Tutwiler did not conduct the investigation, it shall request the relevant information from the investigative agency in

x

order to inform the inmate.

14.Following an inmate’s allegation that a staff member has committed sexual abuse or sexual harassment against the inmate,

ADOC and Tutwiler shall subsequently inform the inmate whenever: (see below)

15.All such notifications or attempted notifications shall be documented.

K.16,17

Investigations Review

16.A review team, including upper-level management officials at Tutwiler, with input from line supervisors, investigators, and

medical and mental health practitioners, shall conduct an incident review within 30 days of the conclusion of every investigation of

substantiated and unsubstantiated allegations of sexual abuse or staff-on-inmate sexual harassment. The review team shall: (see

x

below)

17.ADOC and Tutwiler shall implement the recommendations for improvement or shall document its reasons for not doing so.

K.18

.Within 60 days of the Effective Date, ADOC and Tutwiler shall review all pending investigations alleging sexual abuse and sexual

harassment to determine whether the investigation was conducted according to the requirements of Section III. K. of this

Agreement.

Within 120 days of the Effective Date, ADOC and Tutwiler will conduct a similar review of all unfounded allegations of sexual

x

assault and sexual harassment for the past 360 days to determine whether the investigation was conducted according to the

requirements of Section III. K. of this Agreement.

III.L STAFF DISCIPLINARY ACTIONS

ADOC and Tutwiler shall develop, submit to the Monitor and DOJ for review consistent with Section III.A.6., and implement policies

L.1

and procedures that track staff disciplinary actions related to allegations of sexual abuse or sexual harassment, to ensure that the

x

directives in III.L.2-III.L.6 below are met.

III.M Limited English Proficient (LEP) Inmates

ADOC and Tutwiler shall work with the Monitor to develop and implement a policy providing for a method of interpretation services

M

for LEP inmates. This method may be through a language telephone line, if necessary. ADOC and Tutwiler shall not rely on other

x

inmates or non-certified employees to translate and/or interpret for LEP inmates.

IV. Quality Improvement and Data Collection

Case 2:15-cv-00368-MHT-TFM Document 34-1 Filed 02/25/19 Page 77 of 77

Requirement CSoubmsptliaantnicale CoPmaprltiiaalnce ComNpolina-nce
N/A

Description

A. Within one year of the Effective Date, ADOC and Tutwiler shall develop and submit to the Monitor and DOJ for review

consistent with Section III.A.6., and implement, written quality improvement policies and procedures adequate to identify and

address any deficiencies in ADOC and Tutwiler’s prevention, detection and response to sexual abuse and sexual harassment at

Tutwiler and to assess and ensure compliance with the terms of this Agreement.

B. Within three months of the Effective Date, ADOC shall convene a state-wide working group to evaluate how other state and

ADOC entities may contribute to Tutwiler’s compliance with this Agreement.

C. ADOC and Tutwiler shall establish a system wherein they routinely poll inmates regarding their perceptions of the

implementation of the specific terms of this Agreement including the prevalence of staff sexual abuse and sexual harassment,

M

inmate vulnerability to sexual abuse and sexual harassment, the investigation and discipline of staff accused of sexual abuse and

x

sexual harassment, the efficacy of inmate education regarding sexual abuse and sexual harassment, privacy in the showers and

toilets, the appropriateness of inmate classification, the levels of staff supervision, the efficacy of the reporting systems for sexual

abuse and sexual harassment including grievances, and official responses to, and retaliation for, allegations of sexual abuse and

sexual harassment.

D. ADOC and Tutwiler shall develop, implement, and maintain, in consultation with the Monitor, a Risk Management System

(“RMS”) that will document and track facility trends related to: (1) sexual abuse or sexual harassment; (2) unprofessional staff

conduct involving inmates, including sexually explicit, vulgar, or degrading language; and (3) use of force incidents.

 </s> Case: 2:15-cv-368 As of: 11/28/2019 12:15 PM CST 1 of 6
CLOSED,MHT−ClerkA,MHT−ClerkD
U.S. District Court Alabama Middle District (Montgomery) CIVIL DOCKET FOR CASE #: 2:15−cv−00368−MHT−TFM

United States of America v. State of Alabama, et al. Assigned to: Honorable Judge Myron H. Thompson Referred to: Honorable Judge Terry F. Moorer Cause: 42:1997 Civil Rights of Institutionalized Persons Act
Plaintiff

Date Filed: 05/28/2015 Date Terminated: 06/18/2015 Jury Demand: None Nature of Suit: 440 Civil Rights: Other Jurisdiction: U.S. Government Plaintiff

United States of America

represented by Aaron S Fleisher U S Department of Justice; Special Litigation Section Civil Rights Division Civil Rights Division 950 Pennsylvania Ave., NW Washington, DC 20530 202−307−6457 Fax: 202−514−6903 Email: aaron.fleisher@usdoj.gov LEAD ATTORNEY ATTORNEY TO BE NOTICED

James Joseph DuBois U. S. Attorney's Office PO Box 197 Montgomery, AL 36101 334−223−7280 Fax: 334−223−7418 Email: james.dubois2@usdoj.gov LEAD ATTORNEY ATTORNEY TO BE NOTICED

Jerusha Tatiana Adams Capell & Howard, P.C. P O Box 2069 Montgomery, AL 36104 334−241−8028 Fax: 334−241−8228 Email: Jerusha.Adams@chlaw.com TERMINATED: 02/27/2019 LEAD ATTORNEY ATTORNEY TO BE NOTICED

Judith C. Preston U S DOJ − Special Litigation / Civil Rights Division 950 Pennsylvania Ave NW Washington, DC 20530 202−514−6258 Email: judy.preston@usdoj.gov TERMINATED: 09/12/2018 LEAD ATTORNEY ATTORNEY TO BE NOTICED

Julie Abbate US DOJ − Special Litigation Section Civil Rights Division 950 Pennsylvanis Ave NW Washington, DC 20530 202−353−4637

Case: 2:15-cv-368 As of: 11/28/2019 12:15 PM CST 2 of 6
Email: julie.abbate@usdoj.gov TERMINATED: 09/12/2018 LEAD ATTORNEY ATTORNEY TO BE NOTICED
Mark Kappelhoff U S Department of Justice; Special Litigation Section Civil Rights Division 950 Pennsylvania Avenue, NW Washington, DC 20530 202−307−6457 Fax: 202−514−6903 TERMINATED: 09/12/2018 LEAD ATTORNEY ATTORNEY TO BE NOTICED
Mary Bohan United States Department of Justice, Special Litigation Sec. Civil Rights Division 950 Pennsylvania Avenue, NW Washington, DC 20530 202−616−2325 Fax: 202−514−6903 LEAD ATTORNEY ATTORNEY TO BE NOTICED
Robert G Anderson U.S. Attorney's Office 131 Clayton St Montgomery, AL 36104 334−223−7280 Fax: 334−223−7418 Email: robert.anderson@usdoj.gov TERMINATED: 03/01/2016 LEAD ATTORNEY ATTORNEY TO BE NOTICED
Zazy I Lopez U S DOJ − Civil Rights Division Civil Rights Division 950 Pennsylvania Ave NW − SPL 601 D St (PHB) Washington, DC 20530 202−305−8702 Email: zazy.lopez@usdoj.gov TERMINATED: 09/12/2018 LEAD ATTORNEY ATTORNEY TO BE NOTICED

V. Defendant State of Alabama

represented by Anne Adams Hill Alabama Department of Corrections 301 South Ripley Street Montgomery, AL 36104 334−353−3884 Fax: 334−353−3891 Email: Anne.Hill@doc.alabama.gov TERMINATED: 09/13/2018 LEAD ATTORNEY ATTORNEY TO BE NOTICED

Case: 2:15-cv-368 As of: 11/28/2019 12:15 PM CST 3 of 6

Defendant Alabama Department of Corrections

Bart Gregory Harmon Alabama Department of Corrections Legal Division 301 South Ripley Street Montgomery, AL 36104 334−353−3881 Fax: 334−353−3891 Email: bart.harmon@doc.alabama.gov LEAD ATTORNEY ATTORNEY TO BE NOTICED
Carrie Ellis McCollum Alabama Department of Corrections 301 South Ripley Street Montgomery, AL 36104 334−353−3884 Fax: 334−353−3891 Email: carrie.mccollum@doc.alabama.gov LEAD ATTORNEY ATTORNEY TO BE NOTICED
represented by Anne Adams Hill (See above for address) TERMINATED: 09/13/2018 LEAD ATTORNEY ATTORNEY TO BE NOTICED
Bart Gregory Harmon (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED
Carrie Ellis McCollum (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED

Date Filed 05/28/2015 05/28/2015 05/28/2015 05/29/2015
05/29/2015
06/03/2015

# Docket Text
1 COMPLAINT against Alabama Department of Corrections and State of Alabama, filed by United States of America. (Attachments: # 1 Attachment A)(scn, ) (Entered: 05/29/2015)
2 Joint MOTION to Enter Settlement Agreement, by Alabama Department of Corrections, State of Alabama, and United States of America. (Attachments: # 1 Settlement Agreement, # 2 Proposed Order)(scn, ) (Entered: 05/29/2015)
3 Corporate/Conflict Disclosure Statement by United States of America. (scn, ) (Entered: 05/29/2015)
4 Notice of Deficiency requiring filing of Corporate Disclosure/Conflict Statement sent to State of Alabama and Alabama Department of Corrections. Corporate Disclosures due by 6/8/2015. (Attachments: # 1 Standing ORDER and sample format)(scn, ) (Entered: 05/29/2015)
5 First NOTICE of Non−Compliance Regarding Registration for Electronic Noticing To Attorneys Aaron S. Fleisher, Judith C. Preston, Julie K. Abbate,Mark Kappelhoff, and Zazy I. Lopez. (Attachments: # 1 Standing ORDER, # 2 E−register Form)(scn, ) (Entered: 05/29/2015)
Motions No Longer Referred to Senior District Judge W. Harold Albritton, III: 2 MOTION for Settlement. (No pdf attached to this entry) (wcl, ) (Entered: 06/03/2015)

Case: 2:15-cv-368 As of: 11/28/2019 12:15 PM CST 4 of 6

06/03/2015 06/03/2015 06/03/2015 06/04/2015 06/08/2015 06/18/2015 06/18/2015 06/18/2015
06/29/2015 08/17/2015 08/24/2015 08/26/2015 09/09/2015
02/26/2016

6 Case Reassigned to Honorable Judge Myron H. Thompson; Honorable Judge W. Harold Albritton, III no longer assigned to the case as presiding judge. (wcl, ) (Entered: 06/03/2015)
7 NOTICE of Appearance by Bart Gregory Harmon on behalf of Alabama Department of Corrections, State of Alabama (Harmon, Bart) (Entered: 06/03/2015)
8 Corporate/Conflict Disclosure Statement by Alabama Department of Corrections, State of Alabama re 4 Notice of Deficiency requiring filing of Corporate Disclosure/Conflict Statement. (Harmon, Bart) (Entered: 06/03/2015)
Set Hearings: Telephone Conference re 2 Joint Motion to Enter Agreement set for 6/8/2015 02:45 PM by telephone before Honorable Judge Myron H. Thompson. (ag, ) (Entered: 06/04/2015)
9 Minute Entry for proceedings held before Honorable Judge Myron H. Thompson: Telephone Conference held on 6/8/2015 (PDF available for court use only). (Recording Time 2:58 − 3:39.) (ag, ) (Entered: 06/08/2015)
10 OPINION. Signed by Honorable Judge Myron H. Thompson on 6/18/2015. (wcl, ) (Entered: 06/18/2015)
11 CONSENT DECREE. Signed by Honorable Judge Myron H. Thompson on 6/18/2015. (wcl, ) (Entered: 06/18/2015)
12 JUDGMENT: it is the ORDER, JUDGMENT, and DECREE of the court that: (1) The parties' 2 joint motion to enter settlement agreement is granted as outlined below; (2) The court adopts the parties' settlement agreement, and its terms have been entered separately as a consent decree of the court; (3) This case is dismissed conditionally and without prejudice. Final dismissal is conditioned on compliance with the consent decree; (4) The court retains jurisdiction for the purpose of enforcing the consent decree as well as to resolve any disputes arising out of the consent decree and to enter final dismissal of this matter as contemplated by the consent decree; (5) No costs are taxed at this time; (6) This case is closed administratively; DIRECTING the clerk DIRECTED to enter this document on the civil docket as a final judgment pursuant to Rule 58 FRCP. Signed by Honorable Judge Myron H. Thompson on 6/18/2015. (Attachments: # 1 Civil Appeals Checklist) (wcl, ) (Entered: 06/18/2015)
Mail Returned as Undeliverable. 10 Opinion, 11 Consent Decree, and 12 Judgment sent to Judith C. Preston were returned with no notation. (No pdf attached to this entry) (wcl, ) (Entered: 06/29/2015)
13 JOINT NOTICE by United States of America, State of Alabama, Alabama Department of Corrections. (Fleisher, Aaron) Modified on 8/17/2015 to add as also filed on behalf of the dfts (wcl, ). (Entered: 08/17/2015)
Mail Returned as Undeliverable. 5 Notice of Non−Compliance and 6 Notice of Reassignment sent to Judith C. Preston were returned with no notation as to why. (No pdf attached to this entry) (wcl, ) (Entered: 08/24/2015)
14 NOTICE (Responset by United States of America re 5 Notice of Non−Compliance. (Fleisher, Aaron) Modified on 8/26/2015 to clarify the docket text and to add the link to the 5 notice (wcl, ). (Entered: 08/26/2015)
15 NOTICE OF FILING OF OFFICIAL TRANSCRIPT of Conference Call Proceedings (PDF ACCESS RESTRICTED FOR 90 DAYS) held on 6/8/2015, before Judge Myron H. Thompson; Court Reporter/Transcriber Patricia G. Starkie, Telephone number 334−262−1221; Transcript may be viewed at the court public terminal or purchased through the Court Reporter/Transcriber before the deadline for Release of Transcript Restriction; After that date it may be obtained through PACER; NOTICE OF INTENT TO REQUEST REDACTION DUE WITHIN 7 BUSINESS DAYS; Redaction Request due 9/30/2015; Redacted Transcript Deadline set for 10/13/2015; Release of Transcript Restriction set for 12/8/2015. (wcl, ) (Entered: 09/09/2015)
16 NOTICE by Alabama Department of Corrections, State of Alabama (Attachments: # 1 Exhibit Frist Monitor Report, # 2 Exhibit Compliance Tool)(Harmon, Bart) (Entered: 02/26/2016)

Case: 2:15-cv-368 As of: 11/28/2019 12:15 PM CST 5 of 6

02/29/2016 03/01/2016 03/01/2016 08/24/2016 08/24/2016 08/25/2016 08/25/2016 02/24/2017 02/24/2017 02/27/2017 03/28/2017 08/25/2017
02/27/2018 08/23/2018 09/12/2018 09/12/2018

17 MOTION to Substitute Counsel by United States of America. (Adams, Jerusha) Modified on 3/1/2016 to clarify the docket text (wcl, ). (Entered: 02/29/2016)
18 TEXT ORDER granting 17 Motion to Substitute Counsel. Signed by Honorable Judge Myron H. Thompson on 3/1/2016. (No pdf attached to this entry) (wcl, ) (Entered: 03/01/2016)
***Attorney Robert G Anderson terminated pursuant to the court's text order (Doc. No. 18). (No pdf attached to this entry) (wcl, ) (Entered: 03/01/2016)
19 MOTION for Joinder Joint Motion to Approve Kathleen M. Dennehy as Monitor by Alabama Department of Corrections, State of Alabama. (Hill, Anne) (Entered: 08/24/2016)
20 (STRICKEN AS ERRONEOUS DOCKET ENTRY BY ATTORNEY) MOTION for Order Proposed Order Granting Motion to Approve New Monitor by Alabama Department of Corrections, State of Alabama. (Hill, Anne) Modified on 8/25/2016 to reflect this a "proposed order" and not a "motion" (kh, ). (Entered: 08/24/2016)
21 ORDER: Upon consideration of the parties' joint motion to approve Kathleen M. Dennehy as monitor to replace Jennie Lancaster (doc. no. [19)], it is ORDERED that the motion is granted. Signed by Honorable Judge Myron H. Thompson on 8/25/2016. (kh, ) (Entered: 08/25/2016)
22 NOTICE of Filing Tutwiler Prison for Women "Monitor's Second Compliance Report" by Alabama Department of Corrections, State of Alabama (Attachments: # 1 Exhibit, # 2 Exhibit)(Hill, Anne) (Entered: 08/25/2016)
23 NOTICE by Alabama Department of Corrections (Harmon, Bart) (Entered: 02/24/2017)
24 MOTION for Extension of Time to File Third Compliance Report by Alabama Department of Corrections. (Attachments: # 1 Text of Proposed Order)(Harmon, Bart) (Entered: 02/24/2017)
25 ORDER: Based on the representations made in the monitors unopposed request for a 30−day extension to file the third compliance report (doc. no. 24 ), it is ORDERED that the request is granted. Signed by Honorable Judge Myron H. Thompson on 2/27/2017. (kh, ) (Entered: 02/27/2017)
26 NOTICE of Filing Tutwiler Prison for Women "Monitor's Third Compliance Report" by Alabama Department of Corrections, State of Alabama . (Attachments: # 1 Exhibit, # 2 Exhibit)(Hill, Anne) Modified on 3/28/2017 to clarify the docket text (wcl, ). (Entered: 03/28/2017)
27 NOTICE of Filing of Tutwiler Prison for Women "Monitor's Fourth Compliance Report" by Alabama Department of Corrections, State of Alabama (Attachments: # 1 Exhibit, Monitor's Fourth Compliance Report, Part 1, # 2 Exhibit Monitor's Fourth Compliance Report, Part 2)(Hill, Anne) Modified on 2/26/2019 to include actual title and exhibit descriptions. (dmn, ) (Entered: 08/25/2017)
28 NOTICE of Filing Tutwiler Prison for Women "Monitor's Fifth Compliance Report" by Alabama Department of Corrections. (Attachments: # 1 Exhibit, # 2 Exhibit)(Hill, Anne) Modified on 2/28/2018 to clean up text. (dmn, ) (Entered: 02/27/2018)
29 NOTICE of Filing Tutwiler Prison for Women "Sixth Monitor Report" by Alabama Department of Corrections, State of Alabama (Attachments: # 1 Exhibit, # 2 Exhibit)(Willford, Gary) Modified on 8/24/2018 to clean up text. (dmn, ) (Entered: 08/23/2018)
30 MOTION to Substitute Counsel Deputy Chief Mary Bohan for Mark Kappelhoff, Judith C. Preston, Julie Abbate, and Zazy I. Lopez by United States of America. (Fleisher, Aaron) Modified on 9/12/2018 to include names of attorneys. (dmn, ) (Entered: 09/12/2018)
***Attorney Mary Bohan added for United States of America. (dmn, ) (NO PDF, see Doc. 30 for pdf.) (Entered: 09/12/2018)

Case: 2:15-cv-368 As of: 11/28/2019 12:15 PM CST 6 of 6

09/12/2018
09/12/2018 09/13/2018 09/13/2018 09/13/2018 02/25/2019
02/25/2019 02/27/2019
02/27/2019 02/27/2019 08/27/2019

31 TEXT ORDER granting 30 Motion to Substitute Mary Bohan as counsel of record for the United States of America in place of Mark Kappelhoff, Judith C. Preston, Julie Abbate, and Zazy I. Lopez. Signed by Honorable Judge Myron H. Thompson on 9/12/2018. (dmn, ) (NO PDF) (Entered: 09/12/2018)
*** Attorney Zazy I Lopez; Judith C. Preston; Julie Abbate and Mark Kappelhoff terminated pursuant to 31 Text Order. (dmn, ) (NO PDF) (Entered: 09/12/2018)
32 MOTION for Anne Adams Hill to Withdraw as Counsel by Alabama Department of Corrections, State of Alabama. (Hill, Anne) Modified on 9/13/2018 to include name requesting withdrawal. (dmn, ) (Entered: 09/13/2018)
33 TEXT ORDER granting 32 Motion for Anne Adams Hill to Withdraw as Counsel. Signed by Honorable Judge Myron H. Thompson on 9/13/2018. (dmn, ) (NO PDF) (Entered: 09/13/2018)
*** Attorney Anne Adams Hill terminated pursuant to Court 33 Text Order. (dmn, ) (NO PDF) (Entered: 09/14/2018)
34 NOTICE of Filing Tutwiler Prison for Women "Seventh Monitor Report" by Alabama Department of Corrections, State of Alabama (Attachments: # 1 Exhibit Monitor's Seventh Compliance Report, Part 1, # 2 Exhibit Monitor's Seventh Compliance Report, Part 2)(McCollum, Carrie) Modified on 2/26/2019 to reflect actual title and include exhibit description. (dmn, ) (Entered: 02/25/2019)
***Attorney Carrie Ellis McCollum added for Alabama Department of Corrections, and State of Alabama. (dmn, ) (NO PDF, see Doc. 34 .) (Entered: 02/26/2019)
35 MOTION to Substitute United States Attorney James J. Dubois in place of former Assistant United States Attorney Jerusha T. Adams by United States of America. (DuBois, James) Modified on 2/27/2019 to include attorney names. (dmn, ) (Entered: 02/27/2019)
36 TEXT ORDER granting 35 Motion to Substitute Attorney. Signed by Honorable Judge Myron H. Thompson on 2/27/2019. (dmn, ) (NO PDF) (Entered: 02/27/2019)
*** Attorney Jerusha Tatiana Adams terminated. (dmn, ) (NO PDF, see 36 Text Order.) (Entered: 02/27/2019)
37 NOTICE of Filing Tutwiler Prison for Women "Eight Month Report" by Alabama Department of Corrections, State of Alabama (Attachments: # 1 Exhibit, # 2 Exhibit)(McCollum, Carrie) (Entered: 08/27/2019)


[CONTENT] February 26, 2013 | the Department of Justice Civil Rights Division | the Alabama Department of Corrections |||  ||| January 17, 2014 | DOJ |||  |||  ||| May 28, 2015 | the DOJ Civil Rights Division | Alabama | Department of Corrections | ADOC | Tutwiler ||| Myron Thompson | June 18, 2015 |||  ||| Tutwiler | every six months ||| General Policies and Procedures ||| ADOC | Tutwiler | the Monitor and DOJ | lesbian | intersex | the Monitor and DOJ | Tutwiler |||  ||| ADOC | three ||| first | February 26, 2016 | May–Dec. 2015 ||| 3-month ||| February 2016 | August 2019 | eight ||| eighth | Tutwiler | ADOC | 41 | two ||| August 2019 | Tutwiler | ADOC |||  ||| Tutwiler | Behavior Intervention & Discipline Policy ||| Tutwiler ||| Tutwiler ||| Tutwiler |||  |||  ||| November 2019 | ninth | December |||  ||| two | Tutwiler ||| first | the mid 1980s |||  ||| second | the mid 1990s |||  [SUMMARY] On February 26, 2013, the Department of Justice Civil Rights Division sent notice to the Alabama Department of Corrections that it would be conducting an investigation of the Julia Tutwiler Prison. The investigation sought to address allegations that prisoners were subjected to sexual abuse by prison staff in violation of their constitutional rights; allegations that the prison failed to report and prevent sexual abuse; and allegations that the prison failed to provide adequate mental health and medical care to victims of sexual abuse. On January 17, 2014, the DOJ issued a findings letter. The department's findings detailed unconstitutional conditions that subjected women prisoners to a substantial risk of harm. These conditions included staff sexual abuse and sexual harassment of prisoners, prison officials' failure to adequately respond to and investigate allegations of sexual abuse and harassment, and systemic deficiencies that directly contributed to staff and prisoner sexual abuse and staff sexual harassment.

On May 28, 2015, the DOJ Civil Rights Division filed this lawsuit against the state of Alabama and its Department of Corrections (ADOC) under CRIPA for the heinous sexual abuse committed by the ADOC's male officers at Tutwiler. And the parties had reached a settlement agreement and subsequently submitted a motion for its approval, which Judge Myron Thompson accepted on June 18, 2015. The court issued a consent decree and designated an independent monitor.

The settlement required the ADOC and Tutwiler to make recommended changes and file compliance reports every six months. The substantive part of the settlement agreement contained sections on General Policies and Procedures, staffing and training, risk assessment and education, rights to privacy and reporting, and response and investigation procedures to reports of sexual assault.

The policy section of the agreement required ADOC and Tutwiler to: <ul> <li> Develop, submit to the Monitor and DOJ for review, and implement policies and procedures regarding the management of lesbian, gay, bisexual, transgender, intersex, and gender nonconforming prisoners; <li> Comply with its policy ensuring women receive essential supplies; <li> Develop and implement policies and procedures that incorporate gender-responsive strategies, including policies and procedures governing the use of force against women prisoners and other disciplinary actions; <li> Develop, submit to the Monitor and DOJ for review and implement facility-specific policies and operational practices specific to Tutwiler' s population regarding the supervision and monitoring necessary to prevent inmates from being exposed to an unreasonable risk of harm from sexual abuse and harassment; and <li> Revise and/or develop and implemen any other policies, practices, procedures, protocols, training curricula, and other written documents as necessary, including but not limited to, screening tools, logs, handbooks, manuals, and forms. </ul> 
The consent decree was set to be in effect until ADOC was found in substantial compliance in three consecutive compliance reports.

The monitor filed the first report on February 26, 2016 on the assessment period for May–Dec. 2015. The monitor noted positive progress and granted a 3-month extension for compliance on the general policies and procedures and training. From February 2016 through August 2019, the monitor filed a total of eight reports indicating steady progress. In the eighth and most recent report, the monitor noted that Tutwiler and the ADOC achieved "substantial compliance" with 41 sections of the settlement agreement and "partial compliance" with two sections of the agreement. 

As of August 2019, Tutwiler's and the ADOC's general policies continued to work toward preventing sexual abuse and harassment. The monitor noted that staff exhibited knowledge of procedures related to reporting sexual harassment, safety for inmates, and investigative processes. In addition, the monitor found that Tutwiler and the ADOC fully implemented the required Behavior Intervention & Discipline Policy and Disciplinary Segregation policies. Tutwiler's and the ADOC's use of camera recording also satisfied the monitor, although the monitor found that audio capabilities would further surveillance efforts. Further, the ADOC's and Tutwiler's inmate education program communicating the right to be free from sexual abuse and harassment and right to privacy satisfied their duties as outlined in the agreement. 

The monitor found some challenges still exist at the Tutwiler facility. Specifically, staffing vacancies could impact safety and security at the facility. Additionally, recruitment and retention problems with women candidates do not allow for a finding of substantial compliance with terms in the agreement.  

As of November 2019, the monitor will conduct further research on compliance and submit a ninth report to the court in December. The case is ongoing.

(There were also two earlier CRIPA matters involving Tutwiler.  The first was in the mid 1980s. For information, see <a href="http://www.clearinghouse.net/detail.php?id=550">PC-AL-0023</a>. The second was in the mid 1990s. See <a href="http://www.clearinghouse.net/detail.php?id=534">PC-AL-0006</a>.)