Joshua Rich v. US

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OPINION ATTACHMENT. BOP Program Statement [14-7204]

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Appeal: 14-7204 Doc: 49 Filed: 12/29/2015 Pg: 1 of 82 U.S. Department of Justice Federal Bureau of Prisons Program Statement OPI: NUMBER: DATE: SUBJECT: CPD 5500.14 10/19/2012 Correctional Services Procedures Manual 1. PURPOSE AND SCOPE. To implement policies, procedures, and guidelines to protect the public and maintain a secure, safe and orderly living and working environment for inmates and staff. 015 9/2 2/2 This Program Statement promotes standard management practices for correctional staff in all Bureau institutions, while recognizing differences among institutions that vary in missions and security levels. 1 edresults of this program 2. PROGRAM OBJECTIVES. The expected w are: vie 0be, established through meaningful post 2 4 a. Security posts will 7 orders; using a standard roster. 14. No be maintained by well-trained, highly b. Security will professional correctional staff, guided by clearly written policy and procedures and led by Captains and Lieutenants who monitor operations, train, advise, and consult with those staff. c. Tools, equipment, and materials will be properly used, stored, and inventoried. d. Continuous inmate accountability will be maintained through a system of accurate counts and census checks. e. Trained canine units will be established in approved Bureau institutions and be available to other institutions as needed. f. When mutual Bureau/FBI activity is required to resolve an emergency incident, prior exchange of information and planning will have occurred, and a plan of action will be in place and applied. Appeal: 14-7204 Doc: 49 Filed: 12/29/2015 Pg: 2 of 82 PS 5500.14 10/19/2012 Page 2 g. Major incidents will be investigated by After-Action Review Teams, appointed by Regional Directors. h. Staff will be assigned to posts or duties requiring the use of firearms only after receiving training and continued requalification with the issued weapon. i. Inmates sent from Bureau institutions to local medical facilities for medical treatment will be supervised by competent and qualified contract personnel when appropriate. 3. DIRECTIVES AFFECTED a. Directives Rescinded PS 1440.01 PS 5500.08 PS 5500.10 Providing Emergency Assistance to Local Law Enforcement Agencies (5/18/94) Canine Units, Full Service (9/17/97) Guard Service at Local Medical Facilities (3/1/99) Accountability for Inmates (8/4/97) Firearms and Badges (8/24/00) After-Action, Reporting and Review (10/26/00) PS 5511.06 PS 5558.14 PS 5568.05 b. PS 1210.23 No PS 1380.05 PS 1480.05 PS 1600.08 PS 2000.02 PS 3000.02 PS 3420.09 PS 3906.16 PS 4400.04 PS 4500.04 PS 5100.07 PS 5162.04 PS 5216.05 PS 5324.03 1 e , vi Management Control and Program Review 204 7 (8/21/02) 14- NCIC, and NLETS Telecommunications . JUST, Directives Referenced PS 1280.11 d we 015 9/2 2/2 Systems (1/7/00) Special Investigative Supervisors Manual (8/1/95) News Media Contacts (9/21/00) Occupational Safety and Environmental Health (8/16/99) Accounting Management Manual (10/15/86) Human Resource Management Manual (11/1/93) Standards of Employee Conduct and Responsibility (2/5/99) Employee Development Manual (3/21/97) Property Management Manual (8/13/01) Trust Fund/Warehouse/Laundry Manual (12/15/95) Security Designation and Custody Classification Manual (9/3/99) Categorization of Offenses (10/9/97) Juvenile Delinquents, Juvenile Justice and Delinquency Prevention Act (9/01/99) Suicide Prevention Program (5/3/95) Appeal: 14-7204 Doc: 49 Filed: 12/29/2015 Pg: 3 of 82 PS 5500.14 10/19/2012 Page 3 PS 5538.04 PS 5566.05 PS PS PS PS 5580.06 5800.13 5800.10 5890.13 PS 6000.05 Escorted Trips (12/23/96) Use of Force and Application of Restraints on Inmates (7/25/96) Personal Property, Inmate (7/19/99) Inmate Systems Management (6/28/02) Mail Management Manual (11/30/95) SENTRY National On-line Automated Information System (12/14/99) Health Services Manual (9/15/96) U.S. Department of Justice Office of Investigative Agencies Policies, Resolution 14, and Attachments A and B (Policy Statement-Use of Deadly Force and Commentaries) (10/17/95) 4. STANDARDS REFERENCED a. American Correctional Association 4th Edition Standards for Adult Correctional Institutions: 4-4091(M), 4-4172, 4-4174, 4-4177, 4-4178, 4-4179, 4-4180, 4-4181, 4-4182, 4-4183, 4-4184, 4-4185, 4-4187, 4-4188, 4-4196, 4-4202, 4-4204(M), and 4-4205(M) 015 9/2 Standards for b. American Correctional Association 3rd 2 Edition Adult Local Detention Facilities: 3-ALDF-1D-18(M), 3-ALDF-1F-05, 12/ d 3-ALDF-2G-03, 3-ALDF-3A-03, 3-ALDF-3A-05, 3-ALDF-3A-06, we e 3-ALDF-3A-07, 3-ALDF-3A-08, 3-ALDF-3A-11, 3-ALDF-3A-12, , vi 3-ALDF-3A-14, 3-ALDF-3A-15, 3-ALDF-3A-22, 3-ALDF-3A-28, 3-ALDF-3A-30, and 3-ALDF-3A-32(M) 204 7 14c. American o. Correctional Association 2nd Edition Standards for N Administration of Correctional Agencies: 2-CO-3A-01 d. American Correctional Association Standards for Adult Correctional Boot Camp Programs: None 5. PRETRIAL/HOLDOVER PROCEDURES. Procedures required in this Program Statement apply to pretrial/holdover inmates and INS Detainees in Bureau Custody. 6. DEFINITIONS. Throughout this Program Statement, there is reference to guidelines and requirements based on the security levels of institutions. For the purpose of security level identification, administrative facilities will be governed under the same guidelines as medium security facilities, unless otherwise noted. 7. REPRODUCTION OF ATTACHMENTS. All attachments included in this Program Statement may be reproduced locally or acquired via BOPDOCS. Appeal: 14-7204 Doc: 49 Filed: 12/29/2015 Pg: 4 of 82 PS 5500.14 10/19/2012 Page 4 8. RETENTION OF DOCUMENTS FOR CORRECTIONAL SERVICES. In order to maintain a record of past information, the retention of these documents must be stored for future reference. The duration for each document is listed on the Retention of Documents List (Attachment A). 9. IMPACT ON MASTER AGREEMENT. This document is to be reviewed in conjunction with the negotiated Master Agreement. If there are any contradictions between the two documents, the Master Agreement will prevail. 10. INSTITUTION SUPPLEMENTS. The following provisions of this Manual require Institution Supplements: a. Chapter 2 (page 1), Section 200.1, tool control procedures and tool control inspection system. b. Chapter 2 (page 2), Section 201.2, a list of all tools by Class AA, A, and B including descriptions and size of all tools currently in use. 015 9/2 for using the 2 c. Chapter 2 (page 4), Section 204.2, procedures 12/ Government-wide Credit Card Program to purchase tools. d we procedures to carry out e d. Chapter 2 (page 9), Section 207.1, , vi the destruction of any surveyed the tool survey process including tools. 204 7 14- 4), Section 304.1, guidelines and . e. Chapter 3 (page No procedures for conducting census checks. /s/ Charles E. Samuels, Jr. Director Appeal: 14-7204 Doc: 49 Filed: 12/29/2015 Pg: 5 of 82 PS 5500.14 10/19/2012 Table of Contents, Page i TABLE OF CONTENTS CHAPTER 1 MANAGEMENT OF CORRECTIONAL SERVICES 100 101 102 103 104 105 106 107 COMPUTING THE CORRECTIONAL COMPLIMENT QUARTERLY AND DAILEY ROSTER ASSIGNMENT OFFICER ASSIGNMENT RECORD PREPARATION, USE, AND DISTRIBUTION OF POST ORDERS OPERATIONAL REVIEW OF CORRECTIONAL SERVICES LIEUTENANTS’ MEETINGS INTELLIGENCE BRIEFINGS UNIFORM REGULATIONS CHAPTER 2 TOOLS AND HAZARDOUS MATERIALS 200 201 202 203 204 205 206 207 208 209 210 211 015 9/2 2/2 RESPONSIBILITIES TOOL CLASSIFICATION TOOL IDENTIFICATION STORAGE IN WORK AREAS TOOL INVENTORIES ISSUING TOOLS LOST TOOLS DISPOSITION OF EXCESS TOOLS WEAPON MANUFACTURE CONTROL CONTROL OF FLAMMABLE, HAZARDOUS, POISONOUS MATERIALS AND CHEMICALS CONTROL OF DANGEROUS DRUGS AND HYPODERMIC APPARATUS CONTROL OF FOOD SERVICE EQUIPMENT e d we , vi 204 1 7 14. No CHAPTER 3 COUNTS - CENSUS CHECKS 300 301 302 303 304 305 306 307 308 309 310 BASIC PRINCIPLES OFFICIAL COUNTS EMERGENCY COUNTS OFFICIAL COUNT FORM CENSUS COUNTS CONTROL CENTER RECORDS DAILY CHANGE/TRANSFER SHEET INMATE CALL-OUTS PASS SYSTEM DETAIL/CREW KIT CARDS SPECIAL ACCOUNTABILITY Appeal: 14-7204 Doc: 49 Filed: 12/29/2015 Pg: 6 of 82 PS 5500.14 10/19/2012 Table of Contents, Page ii CHAPTER 4 EMERGENCY ASSISTANCE TO NON-FEDERAL CORRECTIONAL SYSTEMS 400 401 402 403 404 405 406 407 408 409 BACKGROUND DEFINITION MEMORANDUM OF UNDERSTANDING REVIEW BY/NOTIFICATION OF REGIONAL DIRECTOR AND ASSISTANT DIRECTOR TYPICAL ASSISTANCE AND GUIDELINES CRISIS MANAGEMENT TEAM SUPPORT ASSISTANCE BY OTHER FEDERAL AGENCIES REPORTING REQUIREMENTS ANNUAL REVIEW OF MEMORANDUM OF UNDERSTANDING ASSISTANCE CHAPTER 5 CANINE UNITS 500 501 502 503 504 505 506 507 508 600 601 602 603 604 605 606 607 ADMINISTRATION HANDLER SELECTION CANINE SELECTION HANDLER RESPONSIBILITIES EMPLOYEE GUIDELINES HEALTH, CARE, AND FEEDING TRAINING TRAINING DOCUMENTATION PROCUREMENT d we e , vi 204 7 14CHAPTER . NoAFTER-ACTION REVIEW 015 9/2 2/2 1 6 AND REPORTING DEFINITIONS AFTER-ACTION REVIEW TEAM AFTER-ACTION REVIEW TEAM FOR DISCHARGE OF FIREARM SHOOTING INCIDENT REVIEW COMMITTEE AFTER-ACTION REPORT FORMAT INMATE INVOLVEMENT SUMMARY REPORT FORMAT DISCLOSURE OF BUREAU STAFF NAMES IN MAJOR INCIDENTS Appeal: 14-7204 Doc: 49 Filed: 12/29/2015 Pg: 7 of 82 PS 5500.14 10/19/2012 Table of Contents, Page iii CHAPTER 7 FIREARMS AND BADGES 700 701 702 703 704 705 706 DEFINITIONS CARRYING OF FIREARMS USE OF FIREARMS ARMED ESCORT BY COMMERCIAL AVIATION REPORTING REQUIREMENTS IDENTIFICATION BADGES NON-DISCLOSURE OF BUREAU STAFF NAMES IN SHOOTING INCIDENTS CHAPTER 8 GUARD SERVICE AT LOCAL MEDICAL FACILITIES 800 801 802 803 RESPONSIBILITIES SUPERVISION REQUIREMENTS CONTRACTOR ELIGIBILITY CONTRACT REQUIREMENTS e d we 14. No 7 , vi 204 1 015 9/2 2/2 Appeal: 14-7204 Doc: 49 Filed: 12/29/2015 Pg: 8 of 82 PS 5500.14 10/19/2012 Chapter 1, Page 1 CHAPTER 1 MANAGEMENT OF CORRECTIONAL SERVICES 100. COMPUTING THE CORRECTIONAL COMPLEMENT. A total of 364 days is used as a base year for a 7-day post. A 5-day post is 260 days. These figures are determined by multiplying the number of days per week a post is manned, i.e., 7-day post, 5-day post, 3day post, and etc., by the amount of weeks in a year (52). After determining the total number of each post in an institution (7day post, 5-day post, and etc.), each total is multiplied by the appropriate base year figures (see examples below). In order to allow for training and annual/sick leave, a position is calculated at 216 days per year. The subtotal (man days) is divided by 216. The result is the number of positions required to staff the Correctional Services Department. Example: ` 50 (total number of 7 Day Posts) x 364 = 18,200 5,200 015 2 / 10 (total number of 3 Day Posts) /x 9 2 156 = 1,560 Subtotal:2 1 24,960 (total man days) ed w 24,960 divided 216 = 115 positions plus 120 man days, which vie equals 116 positions. 4A remainder of 72 or more is one 0 , additional position. -72 14 To determine the . authorized correctional complement for a particular Bureau institution, the following definitions and No 20 (total number of 5 Day Posts) x 260 = calculations should be clearly understood: 1. Post. A post is the location or assignment that is actually worked by a staff member. 2. Position. A position is the actual person or persons necessary to work a given post. 101. QUARTERLY AND DAILY ROSTER ASSIGNMENT. A quarterly assignment roster will be prepared at 13-week intervals, corresponding with annual evaluation periods. At institutions which confines both males and females inmates, at least one male and one female staff must be on duty each shift. This requirement is not limited to correctional officers only. For instances, the presence of case managers, counselors, physician assistants, etc. will fulfill this requirement. Appeal: 14-7204 Doc: 49 Filed: 12/29/2015 Pg: 9 of 82 PS 5500.14 10/19/2012 Chapter 1, Page 2 1. Rotation Policy. Correctional Officers are subject to post rotation in accordance with the negotiated agreement. Lieutenants will be rotated two weeks prior to the regular assignment roster's effective date. Probationary officers will be rotated monthly. In accordance with the Master Agreement, probationary staff may work nonprobationary posts on overtime or on an as needed basis based on specific needs of the institution. 2. Rosters. When possible, post titles on the quarterly and daily rosters must reflect the duties the officer actually performs. If an assignment's duties are widely varied, the post can be named to identify the major duties involved, with all duties identified in the post orders. Lieutenants are responsible for ensuring the daily roster is accurate. Pen/pencil markings or other alterations to the daily and quarterly rosters are prohibited. 015 9/2 The Computerized Correctional Services Roster Program is the 2 only program authorized for the production of Quarterly Rosters, 12/ Daily Rosters, Assignment Cards, etc.d e ew 3. The local union president or his/her designee will be , vi provided read-only access04 2 (including the ability to print) to the Correctional Services-7 Roster Program. . 14 RECORD. An Assignment Record will be o 102. OFFICER ASSIGNMENT Neach officer, including probationary officers. The maintained on following information will be entered in chronological order at the top of the form: 1. Full Name 2. Date of Entry on Duty 3. Current Grade Any reason for deviation from normal rotation will be noted after the assignment entry, i.e., job related, self-improvement or limited assignment for health reasons. For those staff unable to complete the rotation, documentation on the assignment record will reflect the reason for non-rotation. Appeal: 14-7204 Doc: 49 Filed: 12/29/2015 Pg: 10 of 82 PS 5500.14 10/19/2012 Chapter 1, Page 3 103. PREPARATION, USE, AND DISTRIBUTION OF POST ORDERS. Post Orders must be based on Bureau and institution policies, and must state each post's duty hours. Post Orders must be prepared under the Captain's supervision and direction. The Captain will sign and date the last page of each section, and initial and date subsequent page changes. A Post Order Master File will be maintained in the Lieutenant’s office for availability to all staff. When a new or different assignment is know sufficiently in advance each staff member may request a reasonable amount of duty time to read the post orders. Ideally, this should take place prior to or immediately upon assuming such a post (if the nature of the post permits it). There are occasions when there is no opportunity to read the post orders. In these cases, it is the responsibility of the employee to inform the employer of the fact they have not been able or afforded the opportunity to read such orders. The employer will then advise the employee of the general requirements of the post, and answer any questions. Employees assuming posts under these circumstances still have the responsibility of exercising sound correctional judgment based upon their training and experience and will make reasonable efforts to read the post orders as soon as practicable. d we 015 9/2 2/2 1 ie , vthe employee must sign and date After reading the post orders, 204(Attachment E) which is located in the Post Order Review-7 Sheet 14 Section 5 of the . document. This may be accomplished in one of two places, either the Lieutenant’s office or on the site post. No Programs Statements, Operation Memorandums, and other instructions will be made available. Each Post Order will contain instructions regarding the immediate action staff should take in an emergency particular to the particular post or location of the post they occupy. These “first responder” instructions should contain specific action steps including, but not limited to, containment, staff protective considerations, and emergency reporting protocols. Particular requirements regarding assaultive inmates, suicides, fires, evacuation routes, and other “immediate” response emergency situations should be addressed. These instructions should be consistent with the corresponding Emergency Plan. In accordance with their position descriptions, staff will review Post Orders of their assigned posts. Appeal: 14-7204 Doc: 49 Filed: 12/29/2015 Pg: 11 of 82 PS 5500.14 10/19/2012 Chapter 1, Page 4 1. Housing Unit Post Orders. The Captain and Unit Manager will review and sign jointly all Post Orders (and subsequent changes) for housing units under a Unit Manager's supervision. While post orders are an assignment of work, there may be post order changes that effect conditions of employment which may warrant bargaining over procedures and appropriate arrangements. Housing Unit Post Orders will direct the assigned staff member to maintain a unit log of pertinent information regarding inmate activity. The Post Orders must reiterate to staff that inmates do not have any authority over other inmates. The Post Orders must state clearly that staff are responsible for supervising inmates. 2. Format of Post Orders. Post Orders will describe all procedures and any special instructions regarding a specific post. Post Orders are to contain five separate sections in the following order: 015 Section 1 -- Activities listed chronologically with 9/2 responsibilities clearly defined. 2 12/ d Section 2 -- Special instructions relating to the specific we post. e , vi Note: Post Orders for armed posts, and posts which 204 7 control access to the institution perimeter, must 14- a statement to the effect that any . contain No employee taken hostage is without any authority, regardless of rank or position. Additionally, specific instructions for helicopter escape attempts must be included in Post Orders for armed posts. Note: Also, the Program Statement on Firearms and Badges will be included in Section 4 of the post orders. Institutions with armed posts, the Post Orders must contain specific instructions for: (1) The proper care and safe handling of firearms. (2) When use of firearms is authorized. Note: Post Orders must specifically allow staff to return fire when fired upon first. Appeal: 14-7204 Doc: 49 Filed: 12/29/2015 Pg: 12 of 82 PS 5500.14 10/19/2012 Chapter 1, Page 5 Section 3: General Post Orders - applicable to all posts. Section 4: List of Program Statements and Institution Supplements relevant to the post. Section 5: 3. Employee Signature sheet. Maintenance of Post Orders a. Post Orders will be kept current. All changes will be incorporated into the post orders upon approval by the Captain. b. Post Orders and log books are confidential documents and should never be left unattended or in an area accessible to inmates. Post Orders must be secured at all times when not in use by staff. 015 9/2 2/2 c. The Captain will maintain historical files and copies of backup disks of post orders (see Attachment A for retention instructions). d we 1 e , vi 4 4. Armed and Perimeter0 2 Access Post Assignments. Officers assigned to armed posts must qualify with the firearms assigned 47 1to- post assignment. . to that post prior No d. Regional Correctional Services Administrators are to review the Post Orders during staff assist visits. Except for emergencies, or as authorized by the Warden, armed employees are assigned only to towers, mobile patrols, or other positions inaccessible to inmates. Post Orders should also contain specific guidelines of personnel entering/exiting the front entrance and rear gate. 104. OPERATIONAL REVIEW OF CORRECTIONAL SERVICES. Refer to the Program Statement on Management Control and Program Review, Chapter 2, Operational Reviews. The Captain will develop and maintain a quarterly perpetual audit schedule. Reviews should be based on identified trends and the needs of the institution. A system of correcting identified deficiencies will be implemented. 105. LIEUTENANTS' MEETINGS. A Lieutenants’ meeting will be held monthly to discuss programs and problem areas of general concern. Appeal: 14-7204 Doc: 49 Filed: 12/29/2015 Pg: 13 of 82 PS 5500.14 10/19/2012 Chapter 1, Page 6 Missing tools will be discussed at this meeting. Lieutenants in attendance will be listed in the minutes. A recorder will be assigned to compose the minutes. The minutes will be submitted to the Correctional Services Administrator, Regional Office, monthly. At a closed meeting, either before or after the formal meeting, the Captain and Lieutenants will review the progress and evaluate each probationary officer’s performance. 106. INTELLIGENCE BRIEFINGS. In an effort to enhance communications, intelligence briefings will be conducted with institution executive staff. Standard topics should include updates on all active investigations, serious incidents (i.e., fires, fights, assaults, homicides, etc.), subpoenas/FOIA requests, phone/mail abuse, urine surveillance, alcohol testing, security threat groups, inmate housing, work details, etc.. d we 015 9/2 2/2 1 Each institution will develop a system to pass on appropriate intelligence to staff. e , vi 204 107. UNIFORM REGULATIONS. Uniforms will be worn in accordance with the uniform policy and Master Agreement. 7 14- their person Staff will not carry on . such as pocket knives, large amounts No potentially hazardous items, of cash, chemical agents, utility tools (leatherman), personal pagers, personal handcuff and key, cellular telephones, personal computers, etc. Appeal: 14-7204 Doc: 49 Filed: 12/29/2015 Pg: 14 of 82 PS 5500.14 10/19/2012 Chapter 2, Page 1 CHAPTER 2 TOOL AND HAZARDOUS MATERIALS 200. RESPONSIBILITIES 1. Each institution is responsible for developing an Institutional Supplement outlining tool control procedures and inspection system. Department heads will be responsible for implementing this procedure in their departments. 2. The following paragraphs describe the fundamentals of good tool control. This outline is flexible enough to be adaptable in all institutions, but is expected to be defined clearly in the Institution Supplement. Each institution will designate, or by selection to a permanent position, a staff member as the Tool Control Officer. This staff member will insure the tool inventories and procedures are completed. 201. 1. TOOL CLASSIFICATION 015 9/2 2/2 d we 1 All tools will be classified under three general headings: e , vi 4 Hazardous (Class A)20 7 14- B) . Non-hazardous (Class No Dangerous (Class AA) The Class AA group includes those tools deemed too dangerous to institutional security for an inmate ever to handle without constant, visual staff supervision. These tools must be secured in a manner which deny inmates even the remotest possibility of access. This classification is for all security level institutions, except for independent or satellite camps, and outside work details, as long as the tools do not come within 25 feet of the institution’s outer fence or secure perimeter. a. Class AA tools must be removed from the institution at the end of each work day, or stored in a combination locked safe in a Class A tool room, the Armory, or turned into the Control Center. Class AA tools are identified as: (1) Metal Cutting Blades. Appeal: 14-7204 Doc: 49 Filed: 12/29/2015 Pg: 15 of 82 PS 5500.14 10/19/2012 Chapter 2, Page 2 (2) Bolt Cutters. (3) Ramset Gun and ammunition (stored in Armory only). (4) Any Diamond Tipped Tool. b. Explosive and flammable compressed gas tanks (except medical oxygen) inside the perimeter must be severely limited. At the end of each workday all such tanks will be removed from the secure perimeter and secured in an appropriate lockable storage. These tanks must be secured while inside the secure perimeter of the institution while in use. The Class A group includes those tools: + + most likely to be used in an escape or escape attempt, used to manufacture or serve as weapons capable of doing serious bodily harm; as being hazardous to institutional security or personal safety; mixing chambers; or core drill bits. 015 9/2 2/2 1 ednon-hazardous nature. w The Class B group includes tools of vie 04, 2. Each institution must include in its Institution Supplement 2 a separate Class AA, -7 Class A and Class B alphabetical classification list of all tools, by description and size, . at 4 institution. o 1 that currently in N use Lists that give examples of tools in use are not sufficient. a. The tool list will be included in the Institution Supplement as an attachment. The tool list attachment should be reviewed quarterly and updated as needed. b. Tools that are a part of a set or sized sequentially by standard increments can be in a single listing. For example: Drill bits, metal/wood 1/32" - ½" amount of pieces Drill bits, metal/wood 7/16" - 7/8" amount of pieces Wrench, comb. box/open end 1/4" Wrench, comb. box/open end 7/16" - 7/8" amount of pieces - 7/16" amount of pieces For instance, the institution has a combination box/open end wrench, size 1 7/8", and there are no smaller or larger sizes, the wrench will be a single listing. Appeal: 14-7204 Doc: 49 Filed: 12/29/2015 Pg: 16 of 82 PS 5500.14 10/19/2012 Chapter 2, Page 3 202. TOOL IDENTIFICATION 1. The Tool Control Officer must mark the tools (steel or shank portion of the tool) in each work location with an identification symbol which identifies the storage area of the tool when not in use. 2. Tools which cannot be marked without damage, such as surgical instruments, micrometers and small drill bits, are inventoried and kept in locked storage areas when not in use. 203. STORAGE IN WORK AREAS 1. A shadow board is considered the best method of storing all tools which can be mounted. All shadow boards will have white Class AA tool will be shadowed in Class A tools will be shadowed in Class B tools will be shadowed in d we backgrounds. bright (curb) yellow. red black. 1 015 9/2 2/2 Only one tool will be kept on each shadow. identical in size and shape of the tool. The shadow must be e , vi shadow board must be kept in a Tools not adaptable 4 a to locked drawer or 20 cabinet and inventoried accordingly. 7 14Hospital "sterile packs" will have a predetermined inventory . per package and must be processed by a staff member. The packs No will only be opened when there is suspicion or evidence an instrument is missing from the pack(s). A hospital staff member must be contacted or present if a sterile pack requires opening for security reasons. Sterile packs as well as extra instruments must be stored under lock and key at all times. Extra instruments will be bin carded. 2. Any Class A tool, whether in a central tool room or work area, must be stored in a metal cage or Class I concrete walled room. These tools must be physically separated from Class B tools, behind two locked doors. Appeal: 14-7204 Doc: 49 Filed: 12/29/2015 Pg: 17 of 82 PS 5500.14 10/19/2012 Chapter 2, Page 4 When the Class A tool room is inside the Class B tool room, the lock on the Class B tool room door serves as one of the two required locks for the Class A tool room. 3. When a tool is removed from the inventory, the corresponding shadow will be removed immediately from the shadow board. 4. Detail Supervisors will ensure that all tools are accounted for prior to the end of any work period (lunch breaks, workday). At the Captain’s discretion tools may be returned at those times to their storage site. 204. TOOL INVENTORIES 1. Tool inventories will be numbered and posted conspicuously on all corresponding shadow boards, tool boxes, and tool kits. The Master Inventories will be maintained by the Tool Control Officer. 015 2. All tools will be received in the appropriate warehouse 9/2 unless the warehouse is located within the /institution's secure 2 perimeter. 12 d we within the secure If the warehouse is located e perimeter, other procedures will be developed, for , vi stored at the rear sallyport instance, tools04 be may until properly receipted. -72 4 . 1be picked up and receipted by the Tool Control These tools will Nosuch as bandsaw blades, files, and all Class AA Officer. Tools tools, will be turned over immediately to the Tool Control Officer for secure storage. Tools purchased with a credit card will be delivered to the Tool Room Officer for proper classification, marking, and placement on the appropriate inventories. Credit card and purchase orders will be routed to the tool room officer for accountability purposes. Institution Supplements must have defined specific procedures on using the Government-wide Credit Card Program for purchasing tools. 3. Tools will not be manufactured at the institution without the Captain’s prior approval. Appeal: 14-7204 Doc: 49 Filed: 12/29/2015 Pg: 18 of 82 PS 5500.14 10/19/2012 Chapter 2, Page 5 4. An annual inventory of all tools currently in use in the institution will be conducted each year during the month of January. The Tool Inventory Form (BP-219) is the only document authorized for this review. a. Employees responsible for tools in their areas and the Tool Control Officer will conduct the annual inventories and certify accuracy. b. Each Department Head will approve the inventories for their areas. 5. Quarterly reviews will be conducted during the months of April, July, and October. During the verification process, inventories, tools, and shadow broads will be inspected to ensure compliance with policy. 015 9/2 2/2 a. The employee who is responsible for tools in each area will conduct the reviews and verify the inspection, including the inventory’s accuracy, by initialing the Master Tool Inventory form in the appropriate quarterly column. It is not necessary for the employee to sign every blank on the form to indicate his/her verification of these tools. d we 1 ie , vfrom each department will monitor b. The Supervisory staff 204 The supervisory staff will sign the 7 the quarterly tool reviews. 14bottom of the Master Inventory form certifying the quarterly . review was conducted and the inventory is accurate. No Although all tool inventories must be accurate, only the Master Tool Inventories (maintained by the Tool Control Officer) require the signatures and initials of responsible staff denoting the quarterly inspections/reviews were conducted according to policy. 6. The Tool Control Officer will maintain a separate file folder for each shop or area in which tools are stored. The left side of the folder will contain the master annual inventory sheet(s). When a change, such as additions or deletions, is made to the master inventory, the Tool Control Officer will retype or reprint the page on which the change occurred completely and insert it in the master inventory. The new page will also be posted on the appropriate shadow board, tool box, and/or tool kit. All responsible parties must sign any new page which has been changed. The Captain must approve all additions to the tool inventories. To add a tool, the detail supervisor/Department Head Appeal: 14-7204 Doc: 49 Filed: 12/29/2015 Pg: 19 of 82 PS 5500.14 10/19/2012 Chapter 2, Page 6 must submit a memorandum to the Captain through the Tool Control Officer. The name, size, and quantity of the tool must be identified in the memorandum. The old page will be moved to the right side of the folder for reference purposes. Do not destroy these pages for the current year. The right side of the folder will also contain, but is not limited to, the following documentation: + + + + Lost or Missing Tool Reports/Found Tool Reports (BP-220), requests for additions and deletions to inventories, Survey Requests and Reports, Storeroom Requisition Forms, and any other documents related to tool control procedures for that particular area. 015 9/2 2/2 When the annual inventory is completed in January, it must be placed on the left side of the folder and the old inventory moved to the right side. Each folder will contain the materials for the current year and past two years. A divider will separate each year of documentation. e d we , vi 204 1 7. Inventory maintenance in each area with tools is the responsibility of the detail supervisor and department head. 7 14- drawn for replacement, the old tool must 8. When new tools are . be returned to o N the Tool Control Officer for proper disposal or storage or warranty replacement. Section 207 discusses procedures for disposing of surplus and damaged/worn tools. 9. Tools purchased or acquired from surplus property will be stored in the designated secure storage area. The Tool Control Officer will maintain a perpetual inventory of all unmarked or excess tools that have been returned to secure storage for issue or reissue. He or she will be the only employee authorized to draw tools from this source. 10. An inventory will be made of all tools and equipment civilian contractors use while working inside the institution. The Captain will establish appropriate controls for all items, especially items classified as Class AA and Class A tools. 205. ISSUING TOOLS 1. All Class AA and Class A tools will be issued only to a Bureau employee and must be used under that staff’s constant visual supervision. Appeal: 14-7204 Doc: 49 Filed: 12/29/2015 Pg: 20 of 82 PS 5500.14 10/19/2012 Chapter 2, Page 7 Class A tools may be issued to contract employees under the supervision of full time Bureau staff. Special Instructions: All ramset-type guns and ammunition will be stored in the institution Armory. Only a staff member may use these items. Staff requiring use of this equipment will check the item(s) out from the Security Officer and return the items(s) to the Security Officer, including spent loads, upon completing each work day or work period. 2. Inmates may use Class B tools under intermittent supervision. The tools must be accounted for following each work period by the Shop Foreman or detail supervisor. 3. A metal or plastic chit receipt will be received and/or taken for all tools issued. When a tool is issued from a shadow board, a chit must be visible on the shadow board in the tool’s space. 015 9/2 2/2 4. All low security level facilities and above, are to establish procedures for the control of: ladders, extension cords, chains, ropes, and hoses. , vi 204 e d we 1 7 14o. Nwill be in Inventories accordance with ladder size to facilitate inspection and handling. All extension cords will be inventoried and have a metal identification tag attached, indicating issue number (by location) and length of the cord. All extension cords in excess of 10 feet will be classified as Class A tools. Each of the above items must be kept in the approved storage location when not in use. Staff members supervising the use of a ladder or heavy equipment must possess a portable radio. Appeal: 14-7204 Doc: 49 Filed: 12/29/2015 Pg: 21 of 82 PS 5500.14 10/19/2012 Chapter 2, Page 8 Special Restriction for High Rise MCCs, MDCs, FTCs, and FDCs: Electrical cords hard wired to buffers, vacuums, etc., must not exceed two feet in length. 5. The Captain must approve the issuance of tools from any tool storage location for a special project for extended periods. When tools are issued from the Central Tool Room for a special project for extended periods, the Tool Control Officer is responsible for periodic on-site checks (at least once weekly) in addition to the detail foreman’s daily inspections. 206. LOST TOOLS 1. When any tool is lost, regardless of the classification, the Captain and Shift Lieutenant, and Tool Control Officer must be notified immediately by the staff member responsible for the tool. The staff member responsible for the tool must complete a Lost or Missing Tool Report (BP-220) the same day with distribution of copies to the Captain and Lieutenant. The Tool Control Officer will also receive a copy of the report. d we 015 9/2 2/2 1 2. The Lieutenants' Office will maintain a file of lost tool reports and monitor for accuracy, frequency of losses from a particular area or shop, search efforts for lost tools, etc. e , vi 3. All inmates with access to the tool or who were in the area 204 7 when the tool was reported missing will be held at the location 14- has been completed. until a thorough . search No 4. When a lost tool is recovered, the responsible staff member will complete a Lost or Missing Tool Report in its entirety and distribute it to the Captain and Lieutenant with immediate notification to the Tool Control Officer the same day the tool is found. If the preparation of the lost tool report will require the affected employee to stay beyond the end of his/her shift, the employee will be compensated. 5. Each institution will establish procedures for quarterly formal evaluations of Lost or Missing Tool Reports to ensure thorough investigations are conducted and reasonable efforts are made to recover the tools. Documentation of the quarterly Lost Tool Report evaluations will be maintained for the current and past two years in the respective tool control folders maintained by the Tool Control Officer. 207. 1. DISPOSITION OF EXCESS TOOLS All broken or worn tools that cannot be exchanged will be Appeal: 14-7204 Doc: 49 Filed: 12/29/2015 Pg: 22 of 82 PS 5500.14 10/19/2012 Chapter 2, Page 9 surveyed and disposed of in an appropriate and secure manner. All surveys will be conducted within the guideline established by the Program Statement, Property Management Manual. Each Institution Supplement must contain a procedural outline for carrying out the survey process, including an established method of destruction for all surveyed tools. Documentation of all surveyed tools will be maintained. Accountability for tools scheduled for survey will be maintained until tools are actually destroyed. A secure storage area for tools awaiting disposal must be designated. Each institution will designate one employee to be responsible for destroying all surveyed tools. 2. Excess tools that are not to be surveyed will be returned to a designated secure storage area. 015 9/2 2/2 3. To maintain tool boards at the most efficient operating level, each department will determine which tools are seldom used. These tools should be returned to the Tool Control Officer for proper disposition and/or storage. The Tool Control Officer will reflect the transaction on the tool inventory as mentioned above in this Program Statement. d we 1 e , vi 208. WEAPON MANUFACTURING 4 0 CONTROL. Each institution must place special emphasis on equipment that can be used to manufacture -72 weapons. . 14 No 1. In low security level institutions and above, grinding equipment and shear presses will only be used under direct staff supervision. Wherever possible, these tools and equipment will be located in areas highly visible to staff and will be locked at the power source, excluding lockshops and armories. Covers with locks will be installed to prevent access. When the grinder or sander is not in actual use, the covers and power source will remain locked. Only the number of grinders necessary for efficient institutional operations will be maintained; this includes hand held grinders. Shear presses will be made inoperative when not in use. Appeal: 14-7204 Doc: 49 Filed: 12/29/2015 Pg: 23 of 82 PS 5500.14 10/19/2012 Chapter 2, Page 10 2. Scrap metal/Plexiglass will be removed from the shop and industrial areas daily or stored in a secure area until removal at low security level institutions and above, and Administrative institutions. 3. In low security level institutions and above, including Administrative institutions, metal detection devices and routine pat searches will be used to screen inmates assigned to industrial and mechanical areas. 209. CONTROL OF FLAMMABLE, HAZARDOUS, POISONOUS MATERIALS AND CHEMICALS 1. Inventories will be maintained on all flammable, hazardous, poisonous, and toxic materials as determined by the Occupational Safety and Environmental Health Manual. 2. This material will be issued only to staff. employee will record the: The issuing 015 9/2 2/2 time, date, amount, and name of the employee receiving the material or item. Amounts returned will be re-added to the inventory. e d we , vi 204 1 7 14. No 3. All items will be stored in a locked cabinet or in a suitable secure storage area in the original container in accordance with the Occupational Safety and Environmental Health Manual. Detail Supervisors will ensure all flammable, hazardous, and poisonous materials are secured at the end of each work period. 4. Gasoline/ Diesel/Propane will be controlled in the following manner: a. Fuel pumps will be located outside the secure perimeter and will be locked when not in use. b. The movement of fuel into the main compound for small engines, such as lawn mowers and weed eaters, will supervised by an employee. Additionally, equipment with powered engines requires staff supervision. Lawn mowers have lockable gas caps. use in be fuel must c. When not in use, fuel powered lawn mowers and other small engine equipment will be stored in secure areas, outside the secure perimeter. d. Shop and detail supervisors will issue only the amount Appeal: 14-7204 Doc: 49 Filed: 12/29/2015 Pg: 24 of 82 PS 5500.14 10/19/2012 Chapter 2, Page 11 of fuel required to operate engines during periods of use to staff only. All fuel will be strictly controlled and accountability maintained. Fuel will be removed from inside the secure perimeter daily. e. All fuel will be stored or carried in the approved safety can (refer to the Occupational Safety and Environmental Health Manual). 5. Questions regarding the use and/or storage of flammable, hazardous, or toxic materials will be addressed to the institution Safety Manager. 6. Additional requirements are detailed in the Program Statement, Occupational Safety and Environmental Health Manual. 210. CONTROL OF DANGEROUS DRUGS AND HYPODERMIC APPARATUS 015 9/2 2/2 Responsibility. Narcotics, dangerous drugs, and equipment will be controlled under provisions of the Health Services Manual. 211. CONTROL OF FOOD SERVICE EQUIPMENT d we 1 1. A knife and tool cabinet, equipped with a shadow board and a locking device, must be located in the Food Service Department. e , vi 4 All knives and tools will be marked with an identification 20be in compliance with Section 204 of symbol. Inventories -7 will this Manual. . 14 No 2. All tools will be issued by using the chit system. out sheets will be used for issuing knives. Sign- All knives in the Food Service Department must be attached to a metal cable and secured to a work station in a secure area. This cable should be of significant size and strength to not be cut by the attached knife. Intermittent staff supervision must be provided. If a knife is not used in a secure area, it must be under direct staff supervision, even if attached to a cable. The institution Tool Control Officer is responsible for mounting the cable to the knives. 3. Yeast must be managed and dispensed only by Food Service employees. Once issued, yeast must be under close supervision until it is thoroughly incorporated into the item being prepared. Other items such as mace, nutmeg, cloves and alcohol based flavorings also require special handling and storage. Yeast will be stored in a locked metal cabinet to prevent inmate access. An inventory record is to be maintained which includes the following information: Appeal: 14-7204 Doc: 49 Filed: 12/29/2015 Pg: 25 of 82 PS 5500.14 10/19/2012 Chapter • • • • Date and quantity of issue; Date and quantity of receipt; Balance on hand; and Initials of employee making d we e 14. No 7 , vi 204 the entry. 1 015 9/2 2/2 2, Page 12 Appeal: 14-7204 Doc: 49 Filed: 12/29/2015 Pg: 26 of 82 PS 5500.14 10/19/2012 Chapter 3, Page 1 CHAPTER 3 COUNTS - CENSUS CHECKS 300. BASIC PRINCIPLES 1. Each institution will conduct, at a minimum, five official inmate counts during every 24-hour period. On weekends and holidays an additional count will be conducted at 10:00 a.m. The daily 4:00 p.m. count and 10:00 a.m. count (on weekends and holidays) will be stand-up counts. Institutions with secure cell space are required to lock the inmates in their cells for all official counts, unless the inmates are on out-counts in areas such as Food Service, Hospital, visiting room, etc. 2. The master count will be maintained in the Control Center. The Control Center Officer will be notified of any changes in an inmate’s status, such as housing unit and job assignments, admission to hospital, etc. The official count will be readily available on the Master Count Sheet or in SENTRY. d we 015 9/2 2/2 1 3. Each count will be conducted with at least two officers. There will be no inmate movement during an official count. The count process will not be interrupted under any circumstances, other than by an emergency. Exceptions to the no inmate movement must be when inmates are in the wrong place for a count and have to be moved by direct staff escort to their proper place of count. e , vi 204 7 14. No Staff must not be distracted during the count. One staff member will count while the second staff member stands in a position to observe inmate movement. When the first staff member completes the count, the staff member will change positions. The second staff member will conduct the count while the other staff member observes the inmates. If the staff members count totals do not match, a recount will be conducted in the same manner. Two staff members may count simultaneously (one behind the other) if a third staff member is available to observe inmate movement or all cells are secure before the count begins. If the totals do not match after the second count, the Operations Lieutenant will be notified via the Control Center. The Operations Lieutenant will dispatch a third officer/staff member to the location to assist with the count. The third Appeal: 14-7204 Doc: 49 Filed: 12/29/2015 Pg: 27 of 82 PS 5500.14 10/19/2012 Chapter 3, Page 2 officer/staff member will observe the inmates while the other staff members conduct a double count. 4. Staff will not conduct a count based upon movements, sounds, or configurations from a covered bed. Staff will ensure they are positively observing human flesh before counting any inmate. 5. The staff members conducting a specific unit count will not leave the unit until the Control Center accepts that particular unit count. 6. When counting at night, a flashlight must be used judiciously; however, enough light will be shown on the inmate to leave no doubt the officer is counting human flesh. 301. OFFICIAL COUNTS 015 9/2 2/2 1. The official count is to be taken at specific times during each 24-hour period. d we 1 2. "Out counts" will be kept to a minimum. All "out counts" of more than five inmates must be counted by two staff members using detail cards or inmate identification cards for identification. Out counts will not be prepared by inmates. e , vi 204 7 14. No The detail supervisor will sign his/her "out count" sheets prior to submission to the Operations Lieutenant. The Operations Lieutenant will sign and approve the "out count" prior to submission to the Control Center for the official counts. 3. At MCCs, FDCs and MDCs, where there is continuous inmate movement in and out of the institution, ISM staff will provide an out-count of inmates who are presently out of the institution during counts. ISM staff will provide a count slip, signed by two staff members, verifying ISM has documentation that the inmates are in other law enforcement officials’ custody. 4. Each count must be reported verbally to the Control Center for verification. If the count does not match the Master Count in the Control Center, the reporting staff members must recount when the Operations Lieutenant is notified by the Control Center. If the second count does not match the Control Center’s count, the Operation Lieutenant will order a bed-book (picture card) count. This count requires that each inmate is counted by identifying the inmate using the bed book picture card. At the completion of this count, any discrepancy will be identified. Appeal: 14-7204 Doc: 49 Filed: 12/29/2015 Pg: 28 of 82 PS 5500.14 10/19/2012 Chapter 3, Page 3 The official count will not be cleared until all count slips are received and verified in the Control Center. 5. A Lieutenant will take at least one count on the morning and evening shifts. 6. Count slips, out count sheets, and official count sheets must be prepared in ink and retained for 30 days. The count must have the names (printed and signed) of both officers (staff) who conducted the count. Altered/illegible count slips are not acceptable. 302. EMERGENCY COUNTS 1. This is an official count taken at times other than that specified for a regular official count. The Captain will authorize emergency counts during weekday operations. During evening, morning, and weekend operation, this authority is delegated to the Operations Lieutenant. 015 /2 9fog, power 2 2. When perimeter visibility is limited /by 1 necessary to count at failures, or for any other reason, it is 2 d more frequent intervals than the regularly scheduled official we e counts. , vi 303. OFFICIAL COUNT FORM. All official counts are to be 204 7 recorded on the SENTRY generated form. If SENTRY is unavailable, 14- the entering of all out counts, the or time does not . permit No Official Count form (Attachment B) will be used. The format will not be altered; although, the size may be increased to provide space for additional units or "out-counts." 304. CENSUS CHECKS. To ensure effective accountability of inmates, census checks must be conducted at all institutions. Census checks identify inmates in unauthorized and unassigned areas. This check is not an official or total head count. 1. Census Checks. All Departments must conduct a census of all inmates assigned to their area during each work period (AM and PM). It is each department’s responsibility to document the results of each census check; for example, AM census check completed at 8:40 a.m. with no discrepancies, PM census check completed at 8:40 p.m. with one inmate out of bounds. Discrepancies and action taken must be listed. Institutions will set guidelines and procedures for conducting the census check in an Institution Supplement. Appeal: 14-7204 Doc: 49 Filed: 12/29/2015 Pg: 29 of 82 PS 5500.14 10/19/2012 Chapter 3, Page 4 2. Detail Accountability Checks. Lieutenants will conduct accountability checks for all work details each month. To ensure compliance with this requirement, 25% of all inmate details will be checked each week. These checks are conducted to identify inmates in unauthorized areas, and to determine the presence and accuracy of detail cards (crew kit cards). Discrepancies will be immediately corrected. These checks are in addition to the AM/PM census checks the detail supervisors/foremen conduct. a. Accountability checks will be conducted randomly throughout the month at various times with no prior notification. b. The Captain’s office must maintain documentation of all detail accountability checks for 30 days. 3. Lockdown Accountability Checks. Each institution will conduct a monthly institution accountability check. The purpose of this accountability is to identify inmates in unauthorized areas throughout the institution - not to obtain a total head count. d we 015 9/2 2/2 1 a. The accountability check will be announced at a random time and date with no prior notification. e , vi 4 b. Upon hearing the0 2 announcement of a lockdown and exits accountability check,-7 14 staff must secure all entrances their in their area, stop all inmate movement, and must survey . area of responsibility to account for and verify inmates No authorized/unauthorized to be in the area. Staff will identify inmates assigned to the detail or area who cannot be accounted for during the accountability check. The Lockdown Census forms must be completed on all accountability checks (Attachment D), which includes: (1) Names and register numbers of inmates found in unauthorized areas and (2) Names and register numbers of inmates assigned to the detail who cannot be accounted for. Appeal: 14-7204 Doc: 49 Filed: 12/29/2015 Pg: 30 of 82 PS 5500.14 10/19/2012 Chapter 3, Page 5 305. CONTROL CENTER RECORDS. Picture cards of all inmates assigned to the institution will be on file in the Control Center. Control Center records must accurately document: Custody; Sentence information (MCC/MDC exempt); and Other necessary security and control information. 306. DAILY CHANGE/TRANSFER SHEET. A SENTRY generated list which denotes changes in an inmate's status must be published each regular work day. The list includes: Housing unit assignment; Job assignment; and Medical idle or convalescence which exceeds one day. 015 9/2 2/2 A copy of this document must be available to staff who supervise inmate details and each employee responsible for preparing the list of changes. Inmates will not be involved change/transfer list. 1 ed in the process w vie or publication of the 04, call-out sheet lists time and 307. INMATE CALL-OUTS. 2 The 7 location for inmates who have scheduled appointments with staff, 14. i.e., medical, o etc. This information N dental, educational,staff and posted in the will be made available to all concerned inmate housing units. Special precautions must be established to ensure that inmates are unable to circumvent the procedures or make additions and deletions which undermine the accountability system. The employee who places an inmate on call-out must ensure the requested inmate arrives at the allotted time. If an inmate does not arrive at the prescribed time, the requesting staff member must contact the staff responsible for the inmate's accountability. If efforts to locate the inmate fail, the inmate must be reported to a lieutenant immediately as missing and appropriate actions will be initiated to locate the inmate. 308. PASS SYSTEM. All institutions that adopt a pass system must implement the following elements to ensure the program is not compromised. Appeal: 14-7204 Doc: 49 Filed: 12/29/2015 Pg: 31 of 82 PS 5500.14 10/19/2012 Chapter 3, Page 6 Establish a method of daily accountability for all passes issued each work day. Identify an employee to check each issued pass against the stub or copy remaining in the pass book. Maintain a log to document discrepancies. Develop a system of reporting pass system discrepancies to the Lieutenant’s Office. Implement a follow-up system by the Lieutenant’s Office which includes written notification to the responsible employee with copies submitted to the Captain and responsible employee’s department head. Departments with noted discrepancies must submit a report of action denoting steps taken to correct discrepancies to the Lieutenant’s Office. 015 must be Frequent discrepancies within the same department /2 reported to the respective Associate 29 Warden. 12/ are key elements in d Follow-ups and accountability for each pass we any effective pass system. e , vi 4 309. DETAIL/CREW KIT CARDS. Control Room Officers must ensure 20detail cards on all inmates assigned to 7 each crew kit has current 14the detail. At a minimum, crew kit cards must provide: . No • • • • Names of the inmates; Register number; Current photo (a new photo must be made whenever an inmate's appearance changes); Job assignment; Quarters assignment; Custody level; and Any special conditions. Detail supervisors will be responsible for inmates whose cards are included in the respective crew kits and the accountability of the crew kits when checked out from Control Center. Inmates will never be allowed to handle detail/crew kits and/or the cards assigned to the kits. Appeal: 14-7204 Doc: 49 Filed: 12/29/2015 Pg: 32 of 82 PS 5500.14 10/19/2012 Chapter 3, Page 7 310. SPECIAL ACCOUNTABILITY. A staff member must observe all inmates confined in continuous locked down status, such as administrative detention or disciplinary segregation, at least once in the first 30 minute period of the hour (example, 12:00 a.m. - 12:30 a.m.) followed by another round in the second 30 minute period of the same hour (example, 12:30 a.m. – 1:00 a.m.), thus ensuring an inmate is observed at least twice per hour. These rounds are to be conducted on an irregular schedule and no more than 40 minutes apart. All observations must be documented. Closer observation may be required for an inmate who is mentally ill, or who demonstrates unusual or bizarre behavior. For specific instructions and guidance for the supervision and monitoring of suicidal inmates refer to the following Program Statements. 015 9/2 2/2 Health Services Manual Suicide Prevention e d we 14. No 7 , vi 204 1 Appeal: 14-7204 Doc: 49 Filed: 12/29/2015 Pg: 33 of 82 PS 5500.14 10/19/2012 Chapter 4, Page 1 CHAPTER 4 EMERGENCY ASSISTANCE TO NON-FEDERAL CORRECTIONAL SYSTEMS 400. BACKGROUND. The Bureau of Prisons, on occasion, may be requested by other Federal, State, or local agencies to provide supportive assistance. Additionally, the Bureau may have occasion to request assistance from these agencies. Bureau assistance will be considered based on the Bureau's statutory authority and expertise in the requested area and/or the requesting Federal agency’s authority to empower the Bureau (e.g., deputize) to provide the assistance. With respect to non-Federal entities, Federal and state governments often enter into contractual agreements where one or the other houses inmates from outside its system (18 U.S.C. § 5003). Similarly, the Bureau "lends" its Executives to various State systems temporarily through the Intergovernmental Personnel Act of 1970 (42 U.S.C. § 4721). 015 Through its own statutory mandate and the National Institute of /2 Corrections, the Bureau provides assistance 29 non-Federal to entities (18 U.S.C. §§ 4042, 4352). Additionally, the Emergency 12/(28 CFR 65) provides d Federal Law Enforcement Assistance Program we for Federal assistance to Statesein emergencies, upon the i Attorney General’s approval., v 204Program Statement’s purposes, the 401. DEFINITION. For7 14- this following definition applies: . No Law Enforcement Emergency is an uncommon situation which requires law enforcement, which is or threatens to become of serious or epidemic proportions, and with respect to which State and local resources are inadequate to protect the lives and property of citizens or to enforce the criminal law. 402. MEMORANDUM OF UNDERSTANDING (MOU). Ordinarily, direct emergency assistance to non-Federal correctional systems is limited to those systems with which the Bureau has an MOU. All such MOUs must be made available to the employees. These MOUs may be stored with the contingency plans. A MOU, entered into with local, county and State correctional entities, is to address the issue of State, as well as Federal, assistance. Appeal: 14-7204 Doc: 49 Filed: 12/29/2015 Pg: 34 of 82 PS 5500.14 10/19/2012 Chapter 4, Page 2 Absent an MOU, ordinarily, the Bureau will not provide emergency law enforcement assistance to non-Federal correctional entities. An exception to this policy may be made when the non-Federal correctional entity has exhausted its available resources, available resources are inadequate to protect the lives and property of citizens, and the required assistance (e.g., by the State or other localities) cannot be obtained elsewhere in a timely fashion. In such instances, the Bureau may provide emergency supportive assistance as set forth in this Chapter. In general, the types of assistance that may be provided without an existing MOU should correlate to the typical modes of assistance set forth in Section 404 of this Chapter. An MOU’s intent is to provide an avenue for an institution to respond expediently and proficiently to various types of emergency situations by developing authorization procedures for basic Federal assistance at the local level, while allowing for even greater assistance, if deemed necessary, with higher level approval. 015 9/2 a. Scope. Bureau institutions, as set forth in the 2 Correctional Services Manual, have included State, county, and 12/ local resources in their institution d we contingency planning and overall emergency preparedness plans. e , vi These plans may include04 2 agreements with local non-Federal agencies for specific-7 assistance. In keeping with such interagency cooperative arrangements, the Bureau may provide . 14 similar emergency assistance to non-Federal correctional No entities. The scope of such assistance must be established in an MOU entered into by the institution’s Warden and authorized nonFederal correctional entity. b. Preparation. Each institution Warden may prepare an MOU when it is determined to be appropriate. Factors to consider in making this determination include, but not limited to, the type and number of non-Federal correctional systems within the immediate area and availability of non-Federal resources to meet the needs of non-Federal law enforcement during an emergency. The MOU’s purpose is to anticipate possible emergencies and detail in advance the type of assistance the institution would provide if requested. Appeal: 14-7204 Doc: 49 Filed: 12/29/2015 Pg: 35 of 82 PS 5500.14 10/19/2012 Chapter 4, Page 3 The MOU must specify whom in the non-Federal correctional entity is authorized to make such a request and the local institution’s limits on authorizing various degrees of assistance. c. Requests for Assistance. Ordinarily, an outside request for assistance should come from a high-level State authority and be approved only by the institution’s Warden or Acting Warden, in consultation with the Regional Director. The MOU must state that approval by the appropriate Regional Director is required prior to providing assistance. A copy of the MOU must be forwarded to the Assistant Director, Correctional Programs Division, Central Office. When advance approval from the Regional Director is not practical, the Regional Director and Assistant Director, Correctional Programs Division, Central Office, must be notified as soon as possible of the type of assistance requested and any action and/or response provided by the institution. 015 9/2 The MOU must contain a statement that Bureau staff may not use /2 weapons, ammunition, or chemical agents 12 provide assistance, to d except as authorized by the Deputy Attorney General or Director we of the Federal Bureau of Prisonsein extraordinary circumstances (for further discussion on this point see Section 404.d.). , vi 204 d. MOU Preparation-7 Guidelines. The following guidelines must 14 MOU. be considered in . any o Nassistance required must be immediate, short-term, (1) The and limited to operations which Bureau staff are authorized to provide, and for which they are trained and have expertise, such as detention, perimeter security, and transportation of persons duly detained by the non-Federal authority. (2) The MOU must provide for financial reimbursement of resources expended (including personnel employed beyond the initial response time) and/or damages. (3) Bureau assistance may not extend into operations such as crowd control for general public safety projects or for enforcing laws associated with scheduled public events. The basis for this limitation is the Bureau's statutory boundaries limiting its scope of expertise to correctional management issues. Appeal: 14-7204 Doc: 49 Filed: 12/29/2015 Pg: 36 of 82 PS 5500.14 10/19/2012 Chapter 4, Page 4 (4) Ordinarily, Bureau staff are not expected to become involved in any situation requiring the use of force. When a particular situation necessitates the use of force (e.g., for self protection), the application of force must not exceed the amount of force specified by the Bureau's policies. 403. REVIEW BY/NOTIFICATION OF REGIONAL DIRECTOR a. Review. While the Warden is the signatory authority for an MOU, in every instance the MOU’s prior review and approval by the respective Regional Counsel and Regional Director is required. In conducting this review, the Regional Counsel will consider the provisions of applicable State law. b. Notification. Even in instances when prior approval by a Regional Director is not required for some action under the MOU, the Warden (or designee such as Duty Officer) must, as soon as practical, provide the Regional Director (or designee such as Regional Duty Officer) with a detailed description of any assistance provided. 015 /2 404. TYPICAL ASSISTANCE AND GUIDELINES. The9 following typical /2 types of assistance may be considered for2 1 inclusion in an MOU. d we (secure) buses, a. Emergency Transportation. ie v Bureau , by trained Bureau staff, may be used ambulances, and vans, driven to transport prisoners who are in a State or county correctional 204 entity’s custody. 4-7 o. 1 The agency N must provide sufficient staff on board to maintain security and good order. In this situation, the Bureau is not considered to have assumed custody of the inmates. b. Detention. The Bureau may take into custody detention inmates being held for trial or convicted of criminal offenses in the State courts and who are duly detained by the State correctional entity. Such prisoners may be accepted for detention on a Bureau bus (to expedite transportation to another facility) or in a Bureau institution. Detention on a bus differs from simply providing transportation in that the prisoner is actually transferred into temporary Bureau custody and is subsequently supervised by Bureau staff. Appeal: 14-7204 Doc: 49 Filed: 12/29/2015 Pg: 37 of 82 PS 5500.14 10/19/2012 Chapter 4, Page 5 Such transfer of prisoners into Bureau custody requires the existence of a contract which allows the Bureau to assume the offenders’ custody (see 18 U.S.C. § 5003). It is suggested that the MOU incorporate, to the extent practicable, the relevant provisions of the aforementioned statute. When feasible, a contract should be considered as an appendix to the MOU which addresses the placement of any individual in a Bureau institution temporarily. Absent such a contract, the Bureau will not assume custody of State inmates without the appropriate Regional Director's prior approval. c. Logistical Support. The Bureau may provide emergency supplies such as blankets, clothing, food, and similar items if necessary to protect the health and safety of others. 015 /2 Equipment, such as fire trucks, vehicles, 29 machinery, and / generators may be provided but ordinarily2 1 must be operated byonly Bureau equipment Bureau staff. Non-Bureau staff may ed w operate has acknowledged that when the non-Federal correctional authority ie its staff is competent to use v , such equipment. 204 will be provided only until the 7 The use of Bureau equipment 14emergency situation is controlled, and public safety is no longer . endangered. No Clothing marked with the Bureau insignia may not be lent to, or worn by, any non-Bureau employee. d. Weapons, Ammunition, and Chemical Agents. The Bureau may provide these items to the non-Federal correctional entity when the non-Federal correctional authority has indicated that its staff are competent to use such weapons, ammunition, and chemical agents. This information is to be specified within the MOU. Absent an MOU, weapons, ammunition, and chemical agents may be provided only with prior approval of the Assistant Director, Correctional Programs Division, Central Office. Bureau staff will not use weapons, ammunition, or chemical agents to provide assistance to non-Federal correctional entities. Appeal: 14-7204 Doc: 49 Filed: 12/29/2015 Pg: 38 of 82 PS 5500.14 10/19/2012 Chapter 4, Page 6 If a non-Federal correctional entity requests Bureau staff to use weapons, ammunition, or chemical agents in response to a specific emergency, Bureau staff will do so only with the approval of the Deputy Attorney General, unless the Director of the Bureau of Prisons personally concludes that the delay to obtain approval would likely result in death or serious bodily injury to employees or inmate hostages (non-Federal correctional entities and Bureau). The Director, under the aforementioned circumstances, may authorize the use of such devices and subsequently make a full report to the Deputy Attorney General as soon as possible. e. Perimeter Security. Bureau arrest authority is limited by the provisions of 18 U.S.C. § 3050 to making arrests for Federal crimes, although the laws of some States may authorize Bureau personnel to make arrests for State crimes. 015 9/2 2/2 In States where Bureau personnel have this authority, the MOU may provide provisions which allow Bureau staff to perform perimeter security duties at a non-Federal institution in situations when the non-Federal staff are unable to provide perimeter coverage. 1 ed "perimeter coverage" by The MOU must also clearly state w vie that inmates only, not members Bureau personnel involves dealing with , of the public or media. 204 Non-Federal personnel are responsible for handling the media7and public during emergencies at non14Federal institutions. . No Bureau personnel do not have authority to make In states that arrests for state crimes, the MOU must provide for Bureau staff to perform other functions, including routine duties inside or outside a non-Federal correctional institution, therefore, freeing non-Federal correctional staff for primary (e.g., perimeter) coverage. f. Escape Hunts. Based on its limited arrest authority, the Bureau may not assist in searches for felony offenders who have escaped from non-Federal correctional custody. Bureau staff may, however, conduct searches on Federal penal property. In other situations, Bureau staff may assume other duties as set forth in this Chapter, thereby freeing up additional State or local correctional staff to track an escapee. Appeal: 14-7204 Doc: 49 Filed: 12/29/2015 Pg: 39 of 82 PS 5500.14 10/19/2012 Chapter 4, Page 7 g. Medical Support. Bureau qualified health personnel may provide medical support within their respective areas of health care training or experience. Such support may also include use of medical equipment and supplies. h. Hostage Negotiation. The Bureau may provide trained hostage negotiators, but ordinarily, their activities are limited to background consultations rather than direct negotiations with inmates. Decisions to authorize Bureau hostage negotiators to actually conduct negotiations must be made no lower than the Regional Director level. i. Food Service Support. Bureau personnel may provide food service support. The support may also include the use of food supplies and equipment. 405. CRISIS MANAGEMENT TEAM. The Bureau may provide trained Crisis Management Teams to respond to non-Federal correctional emergencies. 015 Prior to deploying any Crisis Management Team, /the authorization 2 of the Attorney General of the United States 9 required. The is 2 authorization must be obtained through the respective Regional 12/ Director, Director of the Bureau of ed Prisons, and Deputy Attorney General. ew , vi 406. SUPPORT ASSISTANCE 0 OTHER FEDERAL AGENCIES. It is 2BY4 of the Federal law enforcement 7 possible for other components 14community to become involved in resolving non-Federal o. correctional N emergencies. When this occurs, and the Federal component has the legal authority to deputize others, Bureau staff may be deputized. If Bureau staff are deputized, their authority in such situations is limited to the scope of authority exercised by the empowering agency. When practicable, the Assistant Director, Correctional Programs Division, Central Office (CO), will be contacted for approval prior to Bureau staff being deputized. When not practicable, the notification must occur as soon as possible. 407. REPORTING REQUIREMENTS. The Warden must notify the Regional Director, Assistant Director, Correctional Programs Division, CO, and the Director immediately of all requests for emergency law enforcement assistance from a non-Federal correctional entity. Appeal: 14-7204 Doc: 49 Filed: 12/29/2015 Pg: 40 of 82 PS 5500.14 10/19/2012 Chapter 4, Page 8 If practicable, this notification is to be made prior to the assistance being provided and, if not, as soon thereafter as possible. Upon receipt of this notification and in conjunction with the approval of any request for emergency law enforcement assistance to a non-Federal correctional entity, notification must be provided immediately to the Deputy Attorney General. When practicable, this notification is to occur prior to the assistance being provided. When this is not practicable, such notification must occur immediately thereafter. As soon after notification as practicable, the Warden must document in writing the request for assistance under the MOU. When assistance is provided, a written Report of Incident (BP-583) must be prepared and submitted to the specified individuals, including the President of the Council of Prison Locals #33. This report must provide a vivid synopsis which includes the elements listed below. 015 /2 Nature of the emergency request that 29 prompted the assistance; 12/ d • Assistance provided; we • Results (or tentative results) of the assistance; e • Expenditures; , vi • Any injuries sustained; and 204 7 • Other relevant- information. 14 . No OF MEMORANDUM OF UNDERSTANDING. The ANNUAL REVIEW 408. Warden is to ensure that each MOU is reviewed annually during the month of November, as part of the contingency plans review, to determine continued applicability. The result of the annual review must be provided to the Regional Director, with a copy to the Regional Counsel. 409. ASSISTANCE. Questions concerning the provisions of this Chapter should be directed to the respective Regional Counsel and Correctional Services Administrator. Appeal: 14-7204 Doc: 49 Filed: 12/29/2015 Pg: 41 of 82 PS 5500.14 10/19/2012 Chapter 5, Page 1 CHAPTER 5 CANINE UNITS 500. ADMINISTRATION. Regional Directors, in coordination with the Assistant Director, Correctional Programs Division, have the authority to identify one institution in their region for assignment of a canine unit. A canine unit is composed of, at a minimum, one canine handler and one dog with multiple abilities, such as tracking and narcotics detection. Captains have management responsibility for the canine unit. Actual program coordination must not be delegated below the level of a GS-11 Lieutenant. Requests for the canine unit's assistance outside the assigned institution must be approved in advance by the Warden or Acting Warden. 15 0with an 2 501. HANDLER SELECTION. Each institution Warden 9/for each canine. authorized canine unit must select one handler /2 1 to the program and A handler must make a two-year commitment2 interact positively with the canine. d e ew vi The handler will work only 4, with the dog originally assigned and ordinarily should not be 0 -72 assigned collateral duties. A secondary handler may be assigned to feed and service the kennel area if the primary handler is not available. . 14 No The handler must be willing to care for the canine, control the animal, and obtain maximum productivity from the dog. A handler is also required to give clear commands to the canine in the language the canine was originally trained. The handler must be provided a clothing allowance (amount set by policy) each year to purchase blue or gray jumpsuits and/or suitable nickel gray uniform clothing. Safety toe footware are to be worn and must be provided to the handler as prescribed in the Property Management Manual and Master Agreement. 502. CANINE SELECTION. The Malanois or German Shepherd is the only canine breed authorized. Only passive alert canines with an even temperament are to be purchased. Appeal: 14-7204 Doc: 49 Filed: 12/29/2015 Pg: 42 of 82 PS 5500.14 10/19/2012 Chapter 5, Page 2 Any canine purchased must possess, at a minimum, a Schutzhund I or Police I title prior to purchase. The Schutzhund or Police title rating identifies the level of training the dog has received in tracking, obedience, and handler protection. No more than two canines per kennel are authorized. canines must be spayed prior to purchase. Female Any selected canine must be at least two years of age, but older than 2½ years. The hips, teeth, back, and shoulders be documented as sound prior to purchase. Additionally, a certificate must be provided to determine the canine's age time of purchase. no must birth at the A German Shepherd's spine and hips must be guaranteed for a period of one year. The Malanois canine's spine and hips must be guaranteed for two years. 015 9/2 2/2 503. HANDLER RESPONSIBILITIES. Each canine handler is responsible for the canine's care. The proper performance of routine canine unit duties will ensure adequate care of the animal and preserve the integrity of the program. d we 1 The handler will be responsible for the canine’s actions and use. e , vi 204 The handler must ensure a request for the canine unit's use does not violate policy and will not cause harm to the handler, the canine, or a third party. 7 14. A canine team will coordinate Nooffice. institution SIS all narcotic activities with the Canines will never be allowed to roam freely inside an institution, on institution property, or be trained to respond to any command not learned in a training school. During the a housing unit search, the canine will remain on a leash and inmates will be kept clear of the area. Canine units may be used for escape hunts if approved by the Warden, but canines may not be used in use-of-force situations or for crowd control purposes. If, due to an unforeseen or uncontrolled situation, a canine becomes involved in a use-of-force situation, proper notification must be made and documented in accordance with the Program Statement on Use-of-Force and Application of Restraints. Appeal: 14-7204 Doc: 49 Filed: 12/29/2015 Pg: 43 of 82 PS 5500.14 10/19/2012 Chapter 5, Page 3 When the canine must be taken into a public place, a mouth muzzle must be used. A canine may not be taken into public places unless on official duty or for medical treatment. A handler should not leave a canine unattended in a vehicle for an extended period of time. If circumstances dictate leaving a canine in a vehicle, the windows must be slightly open for ventilation and the circulation fan turned on. Prolonged isolation will cause discomfort and/or injury to the canine. Leaving a canine in a vehicle, even with the windows slightly open on a hot day, may cause serious injury or death. A vehicle equipped with a secure partition and an air circulation fan is to be available to the handler. The handler must maintain a daily record of training and tactical operations, and medical check-ups. These documents must be submitted to the Captain or canine unit Lieutenant for review. 015 9/2 /2 504. EMPLOYEE GUIDELINES. Employees who2 1 are not directly area assigned to the canine unit will not d any building or we enterwithout the approval of that is being searched by the canine unit vie the supervising Lieutenant and canine handler. If an employee , where a canine unit is working, he inadvertently enters an 204 area or she will exit the -7 area quietly and without hesitation. 4 . 1walk or run in front of a canine unless Employees must o N not responding to an emergency situation. All confiscated contraband will be handled in accordance with the Program Statement on Inmate Personal Property. Employees must never make aggressive gestures toward the dog or handler. Employees must never attempt to touch, handle, or feed a canine without the handler's approval. No one, other than the handler, will give commands to the canine. No one, other than the handler, will attempt to enter or retrieve anything from a canine unit vehicle or kennel when the canine is present. Employees will be notified of the above requirements at least once per year where canine units are maintained. 505. HEALTH, CARE, AND FEEDING. Inmates will never be allowed access to the canine or associated canine unit items such as kennel, food, bedding, and etc. The handler will exercise the Appeal: 14-7204 Doc: 49 Filed: 12/29/2015 Pg: 44 of 82 PS 5500.14 10/19/2012 Chapter 5, Page 4 canine daily. An obstacle course with at least four obstacles should be constructed to maintain a high level of fitness. The handler will ensure that the amount of daily food consumption provides proper nutrition so the canine stays fit, agile, muscular, and in excellent health. Each canine will be housed in a kennel and not at the handler's residence. Kennels must be constructed with a chain link fence which encloses the kennel’s perimeter. The fence will be set on a 4 x 10 foot concrete floor. A small canine housing area constructed of wood or plastic will be well insulated to maintain a comfortable temperature for the canine. The kennel should not be elaborate or constructed to allow the canine to become acclimated to the kennel’s climate and not the outside atmosphere. The canine house should be located in the middle rear of the concrete slab. 015 9/2 2/2 If more than one canine is maintained in the kennel, a partition will be installed between each stall to prevent the dogs from agitating each other. An isolation area will be available for the separation of sick or new canines. 1 ed The individual stalls The kennel area will be cleanediew v daily. will be cleaned and sanitized with a suitable disinfectant and water solution. 04, -72 Canine handlers are 4 o. 1 responsible for kennel sanitation. Inmates will never be used for this purpose. N Each canine must receive regular medical care to maintain peak condition including, but not limited to, the following: Yearly immunizations for rabies, distemper, and parvo. Semiannual examinations by a licensed veterinarian or when unusual behavior is apparent as a result of illness or injury. A veterinarian approved diet and prescribed medication schedule (heart worm pills, vitamins, and any other medication as prescribed). Appeal: 14-7204 Doc: 49 Filed: 12/29/2015 Pg: 45 of 82 PS 5500.14 10/19/2012 Chapter 5, Page 5 Access to kennels must be limited to all employees except staff associated with the canine unit. A logbook is to be maintained at the kennel and all persons entering must sign in and out. The working life of a canine, under normal conditions, is eight to 10 years. After that period of time, the canine’s continuation of service must be assessed. If the canine is may be evaluated wish to keep the submit a request Division, CO. determined medically unfit or unhealthy, the dog and euthanized by a veterinarian. Handlers who canine, after the animal has been retired, must to the Assistant Director, Correctional Programs 506. TRAINING. Each canine handler must be matched and trained with the canine selected by the kennel in order to ensure peak performance. The entire selection and training process should be accomplished by a single kennel. 015 9/2 Entry level training for the canine and handler must be 2 200 hours in duration. The curriculum must cover: 12/ d we e Legal issues; , vi Escape prevention; 04 Contraband detection; -72 . 14 Buildingosearches; N Guarding; Canines will only be trained in narcotics detection, handler protection, and escape hunts. at least Barking; Control and obedience exercises; Apprehension; and Handler protection. An approved handler/canine training school must conduct an annual 24-hour recertification. The canine and handler must complete the training course successfully prior to the canine unit's use. 507. TRAINING DOCUMENTATION. The initial handler development and yearly recertification courses are mandatory. Refresher training deemed necessary for the canine and handler must be made available through the kennel that provided the canine. Training must be documented by the Captain and Employee Development. 508. PROCUREMENT. Expenditures incurred by canine units will be funded by the respective Regional Office and institution, cost centers 215 and 315. Canines must be purchased from kennels approved by the Assistant Director, Correctional Programs Division, CO. Appeal: 14-7204 Doc: 49 Filed: 12/29/2015 Pg: 46 of 82 PS 5500.14 10/19/2012 Chapter 6, Page 1 CHAPTER 6 AFTER-ACTION REVIEW AND REPORTING 600. a. DEFINITIONS A major incident includes, but is not limited to, all: shooting incidents, major fires, work/food strikes, disturbances, escapes, internal and external hostage situations, homicides, and other incidents as identified by the respective Regional Director and Assistant Director, Correctional Programs Division, CO. 015 9/2 Program b. A shooting incident for the purpose of this 2 12/ Statement is defined as: d we discharge of a firearm by (1) Intentional or unintentional vie , duty, under circumstances which an employee either on or off 4 warrant official notice 20 review. or 7 14- discharged in connection with training or Weapons harmlessly . recreation are not included in this definition and, except as No noted below, need not be reported. (a) Discharge of a firearm by anyone during the course of official business. (b) animals. Discharge of a firearm in defense against vicious ©) Discharge of a firearm resulting in self-inflicted injuries or injuries to another person. (d) Discharge of a firearm by a Bureau employee resulting in an investigation by any law enforcement agency. 601. AFTER-ACTION REVIEW TEAM. When a major incident occurs at a Bureau or contract facility, the Regional Director may, at his or her discretion, appoint an After-Action Review Team to investigate the incident and prepare an After-Action Report. Appeal: 14-7204 Doc: 49 Filed: 12/29/2015 Pg: 47 of 82 PS 5500.14 10/19/2012 Chapter 6, Page 2 The Review Team chairperson must be from the Regional Office in the region where the incident occurred. Unless the Director determines otherwise, the team will include a representative from the Correctional Services Branch. If the incident includes issues regarding facility design, the Review Team must include a representative from the Administration Division (CO). 602. AFTER-ACTION REVIEW TEAM FOR DISCHARGE OF FIREARM a. Within two working days of a shooting incident, the Warden must submit a full report on the Report of Incident form (BP-583) to the Regional Director, with copies to the Assistant Director, Correctional Programs Division, and the Assistant Director, Health Services Division. When appropriate, medical reports generated from the incident must be included. If such reports are included, the affected staff will be so advised. 015 9/2 2/2 b. For all shooting incidents at a Bureau or contract facility, the Regional Director is to appoint an After-Action Review Team, referred to as a "Shooting Investigation Team." d we 1 The Regional Director determines the team’s composition, based on the specific circumstances. Depending on the seriousness of the incident, the Regional Director may authorize a paper review of the facts or may require an on-site investigation. e , vi 204 7 14. No c. The Shooting Investigation Team will prepare a Shooting Incident Report which will serve as the After-Action Report. The report will be submitted to the Regional Director for comments and recommendations. 603. SHOOTING INCIDENT REVIEW COMMITTEE. The Shooting Incident Review Committee must review each After-Action Report including the Regional Director’s comments and recommendations to determine if staff actions complied with established policy and make appropriate recommendations. The Shooting Incident Review Committee should consist of: Assistant Director or Designee, Correctional Programs, Division (Chair), • Administrator, Correctional Services Branch, Correctional Programs Division, and • Associate General Counsel, Legislative & Correctional Issues Branch, Office of General Counsel. Appeal: 14-7204 Doc: 49 Filed: 12/29/2015 Pg: 48 of 82 PS 5500.14 10/19/2012 Chapter 6, Page 3 A representative of the Council of Prison Locals at the appropriate level may be provided a copy of the After Action report in accordance with appropriate laws, rules, and regulations. Based on the nature of the incident, the Deputy Attorney General may assign an attorney to the Shooting Incident Review Committee to determine the degree of the Department of Justice participation in the review. Additionally, all After-Action Reports and summary reports are required to be compiled and forwarded to the Administrator, Correctional Services Branch Central Office, via BOPNet GroupWise. 604. AFTER-ACTION REPORT FORMAT. Although each report may be tailored for the specific incident, ordinarily, After-Action Reports will be in the following format. 015 9/2 2/2 a. Introduction/Executive Summary. This section summarizes all significant information resulting from the review. It identifies team members, purpose and scope of the review. 1 ed bullet format, i.e., This information will be presented in w persons involved, injuries, monetary damages, etc. vie 04,This section details events b. Chronology of Events. -72 separated into a chronology of inmatesequentially. It 14 be . may inspired events and staff responses. No This section will not include comments or conclusions on inmate or staff activities. c. Analysis of Events. This section includes the team's analysis of all events as they unfolded. It may also be separated into an analysis of inmate actions and staff responses. Comments on results or consequences of actions may be included in this section. d. Other Factors. This section should include on-site observations, current events affecting the Bureau or local area, and investigative or intelligence information. This section may not be necessary in all reports. Appeal: 14-7204 Doc: 49 Filed: 12/29/2015 Pg: 49 of 82 PS 5500.14 10/19/2012 Chapter 6, Page 4 e. Conclusions. This section will contain a well-reasoned conclusion based on all of the above sections. Each piece of information analyzed above must lead to conclusions. This section will include comments on staff response and may list both positive and negative performances of individual staff members or groups of staff. f. Recommendations. This section will be presented in bullet format and reflect the Analysis of Events and Conclusions sections. This section will include any knowledge gained from the incident with recommendations for additional training and/or revisions to the existing training programs, if applicable. g. Attachments. This section contains relevant photographs, memorandums, rosters, lists of staff interviews, and other documentary evidences considered during the review process. 5 01of reports and When multiple jurisdictions are involved, copies 9/2 investigations conducted by other law enforcement agencies should 2 be included. 12/ d we and Impact Statement h. Cost/Impact Statement. Aie Cost (Attachment C) must be completed as an integral part of every ,v review. Each monetary amount must be clearly labeled as an 204 7 estimate or actual final figure. 14. When major No portions of the impact statement are based on estimates, an amended impact statement must be filed when accurate cost/impact information is available. 605. INMATE INVOLVEMENT. In all cases, a list of every inmate determined to be involved in the incident and the degree of his or her involvement must be included as an attachment. The list will provide the following information. Name; Register number; CIM/STG information; Posted picture file status; Hot File status; Group/gang affiliation (member, suspect, associate); Age; Sentence data; Level of involvement; Race; Home of record; Incident report information; and Status of incident report in discipline process. Appeal: 14-7204 Doc: 49 Filed: 12/29/2015 Pg: 50 of 82 PS 5500.14 10/19/2012 Chapter 6, Page 5 Since this information is critical for future tracking of inmates involved in serious incidents, this attachment should be formatted in columns for easy retrieval. 606. SUMMARY REPORT FORMAT. From each After-Action Report, the originating office will prepare a written Summary Report of all relevant information for the authorized appropriate reviewers. Sensitive information will be only documented in the original After-Action Report, and provided to officials on a "need to know" basis. a. Preparation. The Summary Report will be forwarded to the Administrator, Correctional Services Branch, via GroupWise. The report must include the same relevant information as the AfterAction Report but may not contain names of: Employees; Local law enforcement officials; and Individuals in the community. 015 /2 The Office of Emergency Preparedness must 29 distribute this report to all Regional Directors, Wardens, and Correctional 12/ Services Administrators. Wardens ared e to review each report with Associate Wardens and Captains.iew information and The recommendations should be disseminated to staff to review 4, v changes. 0 procedures and make appropriate -72 Should the reports result in changes to working conditions, the . 14 of the proposed changes so that the union Union will be notified No has the opportunity to bargain, as required by the Master Agreement and the statute. Management at the appropriate level shall review each report with the union designee at the appropriate level. This does not include providing the Union designee with a copy of the written incident(s) at hand. If management fails to notify the union designee at the appropriate level he or she is encourage to contact the management at the appropriate level. b. Summary Report Components. following sections: The summary should contain the (1) Introduction. This section provides a brief description of the incident and focus on details of all events sequentially. Appeal: 14-7204 Doc: 49 Filed: 12/29/2015 Pg: 51 of 82 PS 5500.14 10/19/2012 Chapter 6, Page 6 It may be separated into a chronology of inmate-inspired events and staff responses. (2) Other Factors. This section should include current events affecting the Bureau or local area, and investigative or intelligence information. Depending on the circumstances, it may not be necessary to include this section in all reports. (3) Recommendations. This section should be presented in bullet format and should not contain any information which could compromise law enforcement activities, staff members, or individual inmates. 607. DISCLOSURE OF BUREAU STAFF NAMES IN MAJOR INCIDENTS. Disclosure of the names of Bureau employees involved in major incidents will be in accordance with the Program Statement on News Media Contacts. 015 as a Employees who are investigated for possible misconduct 9/2 result of an After-Action Review, and no disciplinary or adverse /2 action will be proposed, will be notified2 1 of the decisionby the d the investigation within seven working days after the review e of Chief Executive Officer or designee. ew , vi 204 7 14. No Appeal: 14-7204 Doc: 49 Filed: 12/29/2015 Pg: 52 of 82 PS 5500.14 10/19/2012 Chapter 7, Page 1 CHAPTER 7 FIREARMS AND BADGES 700. DEFINITIONS. Probable cause, reasonable determination, or reasonable belief means facts and circumstances known to the employee at the time of the use of firearms that would cause a reasonable employee to conclude that the action is appropriate. 701. CARRYING OF FIREARMS. Title 18 U.S.C. § 3050, authorizes the Attorney General to prescribe rules and regulations relating to the carrying of firearms by Bureau officers and employees. This authority is delegated to the Director in 28 CFR 0.96(o). When approved by the Warden, institution staff are permitted to carry firearms when: transporting inmates, assigned to escape posts, and assigned to security posts which require firearms as standard issued equipment. d we 015 9/2 2/2 1 Carrying or the use of personal or privately owned firearms while on duty is prohibited. e , vi 204 Post orders, riot plans, and escape plans will include instructions for carrying firearms. 7 14- Employees must not be assigned to duties Duty Assignment. . No carrying of firearms prior to successfully require the a. that completing the firearms familiarization training course. b. Staff Qualification. New employees must not be assigned to posts requiring the carrying of firearms before completing the Introduction to Correctional Techniques Training at the Federal Law Enforcement Training Center. In extraordinary circumstances, an exception may be made for an employee who has completed the local firearms familiarization training with written approval of the Warden and Regional Director. c. Re-qualification. Staff must complete satisfactorily the Bureau’s approved firearms training course each year. Allowances will be made in accordance with applicable laws, rules, and regulations. Appeal: 14-7204 Doc: 49 Filed: 12/29/2015 Pg: 53 of 82 PS 5500.14 10/19/2012 Chapter 7, Page 2 Chaplains, dentists, physicians, and other positions which the Director specifically exempts from carrying firearms are not required to complete the firearms familiarization training conducted at the institution and Staff Training Academy. d. Other Use of Firearms. Only the Director or Director's designee may authorize, in writing, Bureau staff to carry Government-issued firearms for purposes not expressed in this Program Statement. 702. USE OF FIREARMS. Firearms must be used only when deemed necessary for the following Law Enforcement purposes: Prevent escapes; Prevent loss of life or serious physical injury; Protect government property, upon determination that the damage or loss of property would contribute directly to an escape, loss of life, or serious physical injury; and d we 015 9/2 2/2 1 Maintain or restore control of a correctional institution. e , vi if force other than firearms The use of firearms is prohibited appear reasonably sufficient to accomplish law enforcement 204 not limited to: purposes. Examples 4-7 but are, .1 No Prevention of escape; Prevention serious physical injury; and Restoration of control in a correctional institution. The necessity to use firearms arises when all available means of achieving the law enforcement purpose have failed or are likely to fail. An employee is not required to jeopardize personal safety or the safety of others before using firearms to prevent serious injuries/bodily harm or death. If use of firearms is deemed necessary, staff must shoot the subject with every intention of hitting "center mass" to ensure the subject is stopped. Appeal: 14-7204 Doc: 49 Filed: 12/29/2015 Pg: 54 of 82 PS 5500.14 10/19/2012 Chapter 7, Page 3 Staff will not attempt to shoot a limb which creates a lesser chance of stopping the subject and may pose a danger to staff, other inmates, or persons in the community. Firearms must not be used solely to disable moving vehicles or aircraft. Firearms will only be used against the driver or other occupants of a moving vehicle when the: Employee has a reasonable belief that the subject poses an imminent danger of death or serious physical injury to the employee or others. Public safety benefits of using such force outweigh the risks to the safety of the employee or others. As soon as practicable, medical attention must be provided to any persons injured during an incident involving use of firearms. Firearms will not be used if the employee recognizes a potential escapee as an inmate sentenced under the Juvenile Justice and Delinquency Prevention Act. 015 /2 is authorized when a. Escape Prevention. The use of firearms9 /2 deemed necessary to prevent an escape in 2 1 the following d situations. we e (1) Perimeter Walls. Atvinstitutions secured with , i 4 firearms, perimeter walls, prior to0 2 usingcapability staff must reasonably believe that an inmate7has the to escape. 14. For example, the inmate may be carrying items that could be No an escape, such as, but not limited to, a used to perpetrate ladder, grappling hook, or rope, suggesting an intent to escape. An employee who determines an escape is in progress must issue a verbal warning, then fire a warning shot prior to shooting the subject. (2) Multiple Perimeter Fences. At institutions secured with multiple perimeter fences, prior to using firearms, staff must reasonably believe that an inmate has the capability to escape. For example, the inmate may be carrying items such as, but not limited to, a ladder, blankets, grappling hooks, ropes, broom handles, or sticks, that will perpetrate an escape. Appeal: 14-7204 Doc: 49 Filed: 12/29/2015 Pg: 55 of 82 PS 5500.14 10/19/2012 Chapter 7, Page 4 An employee who determines an escape is in progress must issue a verbal warning, then fire a warning shot prior to shooting the subject. Verbal warnings and warning shots are not required when the employee reasonably believes there is imminent threat danger of death or serious physical injury to self or others. When authorized, throughout this policy, warning shots should be used only if there is no apparent danger to self, other staff and inmates, or the community. Warning shots will be fired into the ground and never into the air or in an indiscriminate direction. The inmate is not required to be on the first/inner perimeter fence before the employee issues the warning. When the inmate actually contacts the first/inner perimeter fence in an attempt to climb or demonstrates an attempt to get on or over the first/inner perimeter fence, and the employee reasonably determines an escape is being attempted, the employee may shoot the subject. d we 015 9/2 2/2 1 The employee is not required to wait until the inmate is between the perimeter fences or over the first/inner fences. e , vi (3) Metropolitan Correctional Centers (MCCs) and 204 (MDCs). When an employee Metropolitan Detention7Centers 14- that an escape is being attempted from a reasonably determines . MCC or MDC, the employee should give a verbal warning. If the No inmate continues, the employee may shoot the subject. Warning shots are prohibited due to the possibility of injury to innocent bystanders. (4) Minimum Security Institutions. Ordinarily, firearms are not used to prevent escapes from minimum security level institutions. However, weapons are authorized when the escaping inmate has used or threatened to use force which is likely to cause serious physical injury or has manifested an imminent threat of death or serious physical injury to the employee, other staff and inmates, or the community. Verbal warnings and warning shots should be used when feasible. (5) Escapes with Outside Assistance. Firearms may be used against persons who are not inmates, if they are facilitating an escape and have used or threatened to use force which is likely Appeal: 14-7204 Doc: 49 Filed: 12/29/2015 Pg: 56 of 82 PS 5500.14 10/19/2012 Chapter 7, Page 5 to cause death or serious physical injury against the employee, other staff and inmates, or the community. Verbal warnings and warning shots must be used when feasible. (6) Escape from Escorted Trip or Prisoner Transport. When an employee reasonably determines an escape is being attempted from an escorted trip or prisoner transport, the employee must issue a verbal warning. If the inmate continues and the escape is occurring within the immediate environs of a correctional institution, the employee will fire a warning shot, if feasible, prior to shooting the subject. Outside the immediate environs of a correctional institution, the employee should not fire a warning shot prior to shooting the subject due to the possibility of injury to innocent bystanders. 015 9/2 2/2 Absent the use or threat of force which would likely cause serious physical injury or a manifested imminent threat of death or serious physical injury to the employee, other staff and inmates, or the community, it is not permissible to use firearms to prevent an escape of an inmate in transit to or from a minimum security level institution. The exception to the rule is when the escorting employees are transporting inmates at the same time to a minimum and non-minimum security level institutions. e d we , vi 204 1 7 14- Has Occurred. After an escape from a Once An Escape . No or an institution, and the immediate environs vehicle (7) transport has been successful, employees attempting to apprehend the escaped prisoner may not use firearms unless there is probable cause to believe: (a) The subject has committed a felony involving the infliction or threatened infliction of serious physical injury or death. (b) The subject’s escape would pose an imminent danger of death or serious physical injury to the employee or others. Note: The phrase "after an escape from a transport vehicle or an institution and the immediate environs has been effectuated" should be interpreted in the following manner: Appeal: 14-7204 Doc: 49 Filed: 12/29/2015 Pg: 57 of 82 PS 5500.14 10/19/2012 Chapter 7, Page 6 As long as a staff member is in continuous pursuit of an escaping inmate, whether the escape takes place from an institution, transport vehicle, or outside facility (such as a hospital), the escape has not yet been effectuated. The use of firearms is permissible under the escaping inmate standard. The immediate environs of an institution is defined as the property lines of the correctional facility. This boundary may be expanded by the Warden with the Regional Director's concurrence and should be defined as explicitly as possible. A verbal warning should be given if it would not pose a risk of death or serious bodily injury to the officer or others. Warning shots are prohibited due to the possibility of injury to innocent bystanders. 015 9/2 2/2 b. Prevent the Loss of Life or Serious Physical Injury. Staff may use firearms when reasonable belief exists that the subject poses a threat of death or serious physical injury to staff, inmates, or others. 1 ed as for escapes; verbal w Firearms will be used in the same manner vie be given, when feasible, prior warnings and warning shots should 4, to shooting the subject. 0 -72 4 When authorized, warning shots should be used only if there is . 1to other staff and inmates, or the community. no apparent danger Noand warning shots are not required when the Verbal warnings employee reasonably believes there is imminent danger of death or serious physical injury to self or others. In a hostage situation, once it has been contained and attempts to negotiate have begun, only the Warden may order the use of firearms to resolve the hostage situation. Warning shots will not be fired as in an attempt to resolve a hostage situation, nor used to create a diversion. c. Protect Government Property. Firearms may be used to prevent damage to or destruction of Government property when the loss of that property could contribute directly to an escape or attempted escape, serious physical injury, or loss of life. For example, the use of firearms may be necessary when persons are attempting to damage or disable a fire truck during a fire within the institution. If individuals attempt to break into a Appeal: 14-7204 Doc: 49 Filed: 12/29/2015 Pg: 58 of 82 PS 5500.14 10/19/2012 Chapter 7, Page 7 building where weapons, gas, or other security risk items are stored, firearms may also be used. Firearms must be used in the same manner as for escapes; verbal warnings and warning shots should be given, when feasible, prior to shooting the subject. When authorized, warning shots should be used only if there is no apparent danger to other staff, other inmates, or the community. Verbal warnings and warning shots are not required when the employee reasonably believes there is imminent danger of death or serious physical injury to self or others. d. Maintain or Restore Control of a Correctional Institution. Firearms may be used to maintain or restore control of a correctional institution when the employee reasonably believes the intended subject of the use of firearms is participating in a disturbance in a manner that threatens the safety of staff, other inmates, or the community. 15 0escapes; verbal Firearms must be used in the same manner as for /2 warnings and warning shots should be given, 29 when feasible, prior to shooting the subject. When authorized, warning shots should 12/ to staff, other be used only if there is no apparent d we danger inmates, or the community. e , vi are not required when the Verbal warnings and warning shots 204 there is imminent danger of death or 7 employee reasonably believes 14serious physical . injury to self or others. No 703. ARMED ESCORT BY COMMERCIAL AVIATION. The Warden may authorize staff to carry firearms when transporting an inmate by commercial air carrier. Title 14 CFR Part 108.11, Carriage of Weapons, and Part 108.21, Carriage of Passengers Under the Control of Armed Law Enforcement Escorts (1995), allows law enforcement officials, while performing their duties, to travel while armed. Staff must notify the air carrier prior to departing the institution of the intent to carry firearms. Staff must complete all required forms and provide required information to the carrier. Staff must follow the procedures detailed in the above referenced regulations. Appeal: 14-7204 Doc: 49 Filed: 12/29/2015 Pg: 59 of 82 PS 5500.14 10/19/2012 Chapter 7, Page 8 When not transporting inmates, Bureau staff, carrying firearms aboard commercial aircraft, must declare this to the carrier and have the weapon placed in checked baggage. The above referenced regulations should be referred to for additional requirements concerning the placement of firearms in checked baggage. 704. REPORTING REQUIREMENTS. A written report must be submitted to the Warden upon the discharge of any firearm, privately owned or issued by the Bureau. This rule applies when the employees is on duty and off duty, except for training or recreational purposes. For an incident while on duty, the report must be submitted prior to the end of the employee's duty shift. For an incident while off duty, the report must be submitted prior to the end of the employee's next duty shift. 1 0be5investigated The discharge of any firearm, once reported, will /2 Review and reviewed through the After-Action Reporting and /29 2 processes. d1 e 705. IDENTIFICATION BADGES. Upon request, the Correctional ew , vi Services Administrator, Central Office, will issue Bureau 4 identification badges in 0 2 leather carrying cases to each 7 institution. 14. The Captain will maintain strict accountability of Bureau badges. No Lost or stolen badges must be reported immediately in writing to the Correctional Services Branch, Central Office. Except for tower and perimeter patrols and established stationary check points, staff assigned to duties which require the carrying of firearms will be issued a Bureau identification badge. The badge must be displayed when necessary to establish the staff member's authorization to carry a firearm. Appropriate badge holders will be provided so as to allow the employee the ability to securely attach the badge to his or her outerwear. Badges may not be used as methods of routine identification. Employee procurement or possession of unauthorized badges, either official or duplicated, is prohibited (see the Program Statement on Standards of Employee Conduct). Appeal: 14-7204 Doc: 49 Filed: 12/29/2015 Pg: 60 of 82 PS 5500.14 10/19/2012 Chapter 7, Page 9 706. NON-DISCLOSURE OF BUREAU STAFF NAMES IN SHOOTING INCIDENTS. Disclosure of an employee's name following a shooting incident will follow the guidelines as prescribed in the Program Statement on News Media Contacts. e d we 14. No 7 , vi 204 1 015 9/2 2/2 Appeal: 14-7204 Doc: 49 Filed: 12/29/2015 Pg: 61 of 82 PS 5500.14 10/19/2012 Chapter 8, Page 1 CHAPTER 8 GUARD SERVICE AT LOCAL MEDICAL FACILITIES 800. RESPONSIBILITIES a. The institution’s Captain and Health Services Administrator will write a Statement of Work (SOW) and specifications, including any special contract conditions and evaluation criteria. Ordinarily, the Captain will serve as Chairperson of the evaluation panel. The Health Services Administrator and, at least one additional expert in institution security, will serve as panelists. The institution Contract Specialist will ensure compliance with Federal Acquisition Regulations (FAR) and other applicable procurement requirements. b. The Captain will request a contract by submitting a Request for Purchase (BP-101 41) and be designated as the Contracting Officer’s Technical Representative (COTR). 015 2 9/qualified 801. SUPERVISION REQUIREMENTS. Competent /and 2 personnel will supervise inmates sent from Bureau institutions 12 local medical facilities for medical d e treatment. ew , vi Either institution correctional staff or staff secured through contract between the institution and a local security firm, 204 provide guard service. 7 companies, or individual will 14. Since the quality of contract guard service varies, each No to a institution must evaluate its specific needs and choose an option or combination of options which best fulfills local requirements. a. Custody Classification. Contract guard service personnel may be used for MINIMUM or LOW security inmates, assigned In custody or lower. b. Special Circumstances. Inmates with lower custody classifications may require special consideration for increased supervision. The determination for increased supervision is at the Warden’s discretion. c. Pre-Trial Inmates in Bureau Custody. Contract guard service personnel may be used for pretrial inmates admitted to a local medical facility when the individual would otherwise be classified as a Minimum or Low security inmate and assigned In custody. Appeal: 14-7204 Doc: 49 Filed: 12/29/2015 Pg: 62 of 82 PS 5500.14 10/19/2012 Chapter 8, Page 2 Staff should review all available information on U.S. Marshal Services (USMS) prisoners being escorted on local medical trips for admission to local medical facilities. This information may include the pretrial/holdover file, NCIC, CIM information, STG assignments, and other SENTRY information. When possible, staff should also contact the prosecuting Assistant U.S. Attorney, U.S. Probation Officer, and/or the law enforcement agency which arrested the inmate for comments. Wardens will consider using Bureau staff, rather than a contract guard service, when an inmate meets any of the following criteria: Documented escape history from a secure facility. Identified as a member of an organized criminal enterprise. 015 or Charged with a violent offense which is /2 aggressive intimidating in nature and/or likely 29 cause serious to / bodily harm or death, including, 12 not limited to but offenses identified in the Program Statement on ed wSection 6.a., b., and c. Categorization of Offenses, e , vi 4 These guidelines must 20 considered when staff are completing be the Escorted Trip Authorization (BP-S502) form. It is imperative 4-7 1relevant comments to ensure sound decisions that staff include . are made. No CIM assignment other than Separation or State Border. 802. CONTRACTOR ELIGIBILITY. In accordance with applicable government procurement and contract regulations, each institution may negotiate and enter into a contract with qualified security firms, companies, or individuals to provide guard service. The contractor must provide either documented evidence or assurance certification that each employee used as a contract guard meets all the following requirements: a. Staff Qualifications. Under no circumstances will any person, discharged by his or her employer within the past three years for cause, be employed as a guard under a Bureau contract. Former Bureau employees discharged by the agency for cause will not be employed as a guard under a Bureau contract. The Warden must approve requests for using personnel (other than former Bureau employees) who have been discharged. The following elements should be considered: Appeal: 14-7204 Doc: 49 Filed: 12/29/2015 Pg: 63 of 82 PS 5500.14 10/19/2012 Chapter 8, Page 3 Elements of the person's removal. Whether employment would jeopardize the security and supervision of Bureau inmates. A contract may not be awarded to any agency or firm unless the following qualifications for its personnel are met. (1) Experience Requirements (a) One year (2040 hours) of experience in the Armed Forces or Coast Guard which involved significant performance of guard duty of detainees or prisoners; or the equivalent experience in a Federal, state, or local government, or private organization which involved protecting/police duties. (b) College level training in courses such as corrections or police science may be substituted for experience at the ratio of two hours of instructions for one hour of experience. (2) Physical Requirements d we 015 9/2 2/2 1 (a) The contractor's employees must be in good general health and able to perform job functions. e , vi (b) Vision must 04correctable to 20/30 (snellen) in one be eye. The ability to -72 distinguish basic colors is required. . 14 (c) Emotional and mental stability is essential. The No services to be performed require: using tact to deal with inmates, a keen sense of perception, mental alertness, and the ability to resolve crisis situations. Applicants may be required to work under trying conditions for long periods of time without relief. (d) All prospective contract guard employees must be tested for use of illegal drugs at the institution using the same procedures as new Bureau employees. No guard may be used unless he or she has received a negative drug test. Any indication of illegal and/or non-prescribed drugs will disqualify the individual for employment on the Bureau’s contract. Appeal: 14-7204 Doc: 49 Filed: 12/29/2015 Pg: 64 of 82 PS 5500.14 10/19/2012 Chapter 8, Page 4 (3) Background Investigation. The contractor is to voucher potential employees through reference and employment checks. (a) The contractor must require all prospective employees to provide complete details of any conviction record. The contractor is to notify prospective employees that the Bureau will contact the National Crime Information Center/National Law Enforcement Telecommunication System (NCIC/NLETS), take fingerprints, check criminal records, and make other appropriate background checks to verify employment applications. Prior to employment, the contractor must provide to the institutional Personnel Security Specialist or designee, each prospective employee’s: Full name, Date of birth, State of birth, Sex, Race, and Social Security Number. 015 9/2 2/2 1 edbegin working as a guard Prospective employees may w vie not inmates, prior to the for the contractor, supervising Bureau , NCIC/NLETS clearance from04 Personnel Security Specialist or the designee. -72 14 .contractor must not employ any person as a guard (b) No The to supervise Bureau inmates who is under supervision or jurisdiction of any parole, probation, or court/correctional authority. (4) Employee Training. employee in: The contractor will train each Proper Bureau techniques for guarding inmates; Use and application of restraints; Integrity; and Use of force. This training will be documented and submitted to the institution. The contractor is responsible for orientation and indoctrination of contract guards. This orientation must be sufficient to ensure that all guards comply with all established contract rules and procedures. Appeal: 14-7204 Doc: 49 Filed: 12/29/2015 Pg: 65 of 82 PS 5500.14 10/19/2012 Chapter 8, Page 5 b. Bond Requirements. The contractor must be bonded for civil liability of not less than $250,000. 803. CONTRACT REQUIREMENTS. Consistent with applicable Federal procurement regulations, most contractual language will be at each institution’s discretion; however, certain requirements will be standard throughout the Bureau. All contract solicitations, offers, and awards must contain the following or similar language and provisions: a. Scope of Work (1) The contractor, upon verbal request from the Captain or Operations Lieutenant, will assign guards to supervise Bureau inmate(s) at a medical facility. (2) The contractor will furnish the necessary personnel to provide for the protection and safekeeping of those inmates. 015 custody of (3) The contractor is responsible for the 2 9/ secure all Bureau inmates from the time the contractor accepts the /2 inmates for custody until an authorized 12 Federal official properly d removes the inmates from their custody. we vie Secure custody requires , physical control of the inmate at all times. The contractor’s physical control of the inmate must 204 at all times. 7 be sufficient to prevent escape 14. No must maintain constant security and direct The contractor visual observation of the inmate at all times. The contract guards will apply minimum restraints as required by Bureau policy. (4) The contractor will accept all Bureau inmates offered by the institution for custody. The institution official relinquishing a Bureau inmate’s custody will present identification or credentials and his or her authority for offering the inmates for custody when the contractor accepts the prisoner. The contractor must present identification or credentials and accept custody of Bureau inmates at any time, day or night, and any day of the week. The U.S. Marshals’ release to custody form should be used when change of custody to the guard service is done. Appeal: 14-7204 Doc: 49 Filed: 12/29/2015 Pg: 66 of 82 PS 5500.14 10/19/2012 Chapter 8, Page 6 b. Notification Requirements (1) The contractor must agree to provide services upon verbal request from the institution. Requests for services are subject to being initiated at any time of day. As much notice as possible will be given, and when possible, at least 24 hours in advance. It is anticipated that a considerable portion of requests for guard services may be during emergencies. In an emergency, the contractor must respond within two hours of notification. (2) The contractor will be notified of any special instructions. If the inmate is allowed to have visitors, the contract guard must screen all visitors to prevent unauthorized individuals and introduction of contraband. Contract guards will require all approved visitors to produce photographic identification (e.g., drivers’ license, state identification card, etc.) before visitation is permitted. The visitor’s identification will be compared to the information provided by the institution to verify a visitor's identity. d we 015 9/2 2/2 1 c. Security Operations. At a minimum, the contractor must comply with the following standards and procedures: e , vi (1) Contract personnel will not permit visits to inmates 204 received from the Warden or his or 7 unless prior authorization is 14her designee. . No personnel will not permit inmates to make or (2) Contract receive telephone calls without prior authorization from the Warden or his or her designee. (3) Contract personnel will not allow inmates to send or receive correspondence or packages unless authorized by the Warden or his or her designee. Correspondence and packages addressed to any inmate and received at the medical facility will be given to institution staff for disposition. (4) Contract personnel will not allow inmates to receive money or any other item from anyone other than Bureau staff. Inmates will not possess other property or articles unless authorized by the Warden or designee. (5) Except in emergencies arising after the contract employee assumes custody of the inmate, restraints must be applied to an inmate only as directed by institution staff. Appeal: 14-7204 Doc: 49 Filed: 12/29/2015 Pg: 67 of 82 PS 5500.14 10/19/2012 Chapter 8, Page 7 Institution staff must specify restraint requirements for each inmate and ordinarily contract security personnel will not deviate from these requirements. In an emergency, additional restraints may be applied to the inmate. The institution is to be notified as soon as possible after the situation is under control. If the institution orders restraints, but the medical facility staff request the removal of such restraints for medical or other reasons, the Captain or Operations Lieutenant must be contacted for direction. During a life threatening medical emergency, when the restraints prevent life saving procedures or treatment, the restraints may be removed temporarily and the institution notified as soon as possible. Constant visual observation by the contract guard must be maintained during such an emergency. Soft restraints will be made available for such an emergency. 015 9/2 2/2 The Captain or Operations Lieutenant must advise contract security personnel if restraints may be removed for the inmate to use the bathroom or bathe, for medical examination, and etc. d we 1 (6) Contract personnel may not accept any gratuity or articles of value from: e , vi 204 7 14. No Inmates; Family members of inmates; and Persons connected in any way with the inmate. (7) Contract security personnel must position themselves in the room or at a place in close proximity to the inmate, maintaining constant visual observation and be able to respond at all times to any eventuality. Contract guards must notify the institution whenever an inmate's location or room assignment within the medical facility changes (i.e., ICU, CCU, or different room). This does not include temporary movement for tests, treatment, therapy, etc. (8) Contract guard personnel may not leave the inmate’s room for any reason (i.e., to smoke, eat, etc.) or order food from food establishments to be delivered to the room. (9) The contractor will prepare a written report when the guard believes that an inmate has committed a prohibited act. The report must be forwarded to the institution by the end of the work day. Appeal: 14-7204 Doc: 49 Filed: 12/29/2015 Pg: 68 of 82 PS 5500.14 10/19/2012 Chapter 8, Page 8 d. Contract Staff Management (1) The contractor will provide, under normal circumstances, two guards per inmate for “IN” custody inmates and one guard per inmate for “OUT” custody inmates, unless otherwise directed by the Warden or Warden’s designee. In any unusual circumstance, institution staff retains the authority to determine “when” and “if” additional guards per inmate is necessary and the contractor must comply with that determination. At no time will two guards be assigned to the security of more than one inmate with “In” custody. If two “In” custody inmates are confined in one room, three guards must be present. To protect the inmate's privacy, at least one contract guard must be of the same sex as the inmate, in that, it may become necessary for contract guards to conduct visual searches of inmates. 015 9/2 (2) The contractor must replace any contract employees who, 2 for any reason, are unacceptable to institution staff who is 12/ employees, found authorized to make the determination.d Contract e to be unacceptable, will not beiew to guard Bureau inmates used without the Warden's written, approval. 4 v 0 (3) The contractor will provide a contact person on a 24-72 4 hour basis, seven 1 . days a week. Institution staff must be provided with a telephone number to contact the contractor's Noat any time. operations desk (4) The contractor will provide a duty roster of all employees assigned to the Bureau contract. The roster will be used to verify the signature of each employee reporting for duty and all activities occurring during that employee's tour. The duty rosters will be available to institution staff for inspection, upon request, and must be maintained for at least 10 years. (5) Security personnel on each shift are required to maintain a log. Any information either oral or written must be considered strictly confidential and must not be divulged to anyone except institution staff. Appeal: 14-7204 Doc: 49 Filed: 12/29/2015 Pg: 69 of 82 PS 5500.14 10/19/2012 Chapter 8, Page 9 (6) The contractor will provide adequate supervisory staff to ensure frequent and random security inspections of contract employees. These security inspections, at a minimum, will be conducted once each shift. The supervisor will document the inspections in the assigned security personnel’s log. (7) The contractor must provide and maintain a current list of all employees who are used to maintain custody of Bureau inmates. This list will be furnished to institution staff and kept current for verification of employment. (8) The contractor must provide the contract employees photo identification cards. The identification cards must be shown to institution staff before the inmate’s custody is transferred to the contractor employee. Additionally, the identification cards must be presented upon request during Bureau staff security visits at the medical facility. Institution staff will relinquish custody to the contract guard by completing a Transfer Receipt form BP-283(58). The releasing institution staff member will retain a copy of this receipt. 015 9/2 2/2 1 ed not represent (1) The contractor’s personnel will iew vU.S. Government, Department of themselves as employees of the Justice, Bureau of Prisons, or the institution. 04, -72 Contract personnel are responsible for maintaining good . 14 employees. The contractor must report relations with o N hospital any conflict or difficulty involving contract personnel, and e. Contract Guard Responsibilities hospital employees or others in the community to the Warden or designee immediately. (2) Ordinarily, the contractor will use uniformed contract personnel to guard inmates. On rare occasions, the contractor may be required to provide non-uniformed personnel. The contractor must comply with the institution's request for nonuniformed personnel. If uniforms are used, the uniform must be consistent within the contract company/firm and standard for all security personnel used to provide security of Bureau inmates. Whether in uniform or plain clothes, security personnel must present a neat appearance at all times. (3) Contract security personnel must have at least seven hours off-duty time prior to commencing a new tour of duty. Appeal: 14-7204 Doc: 49 Filed: 12/29/2015 Pg: 70 of 82 PS 5500.14 10/19/2012 Chapter 8, Page 10 A continuous tour of duty must not exceed a 12-hour duration, followed by, at least, seven hours off-duty time as stated above. The Warden or designee may grant exceptions at the contractor’s request during emergency situations. (4) Contract guards will not be permitted to supervise a Bureau inmate if there is any detection of alcohol or medication that could impair mental or physical performance. Guards and supervisors must refrain from consuming alcoholic beverages for at least eight hours prior to reporting for duty. No alcoholic beverages will be consumed while on duty. (5) The contractor's personnel must not smoke at any time during the tour of duty. (6) The contractor's personnel will while supervising Bureau inmates. If the weapons are required to supervise inmates medical facilities, only qualified Bureau f. d we not possess firearms Warden determines confined in outside staff will be used. 1 015 9/2 2/2 Use of Force Involving Contract Personnel e , vi 204 (1) All incidents involving the use of force on an inmate by contract guard personnel must be reported immediately to the Captain or Operations Lieutenant. Additionally, each contract guard who was involved in and/or witnessed the incident must submit a memorandum to include all aspects of the incident. 7 14. No Any injury to guards, the inmate, or medical personnel; + Type of restraint(s) used; Description of the incident; and + Any + other significant information regarding the use of force incident. (2) After the incident is reported to the institution, the institution's Special Investigative Agent (SIA) or Special Investigative Supervisor (SIS) will conduct a thorough investigation and prepare a written report to the Warden. (3) At the conclusion of the SIS/SIA investigation, an after-action review team will review all facts pertaining to the incident. This review team is comprised of the following institution staff: Appeal: 14-7204 Doc: 49 Filed: 12/29/2015 Pg: 71 of 82 PS 5500.14 10/19/2012 Chapter 8, Page 11 Warden, Associate Warden (Correctional Services), Health Services Administrator, and Captain. If the review team determines the contract guard personnel used excessive force, the incident will be reported to the Bureau's Office of Internal Affairs. g. Termination of Contract Supervision Requirements (1) Upon an inmate’s release from the hospital, contract guard supervision of the inmate is no longer required. The supervising contract guard will contact the institution Captain or Operations Lieutenant. (2) Institution staff must be dispatched to assume custody of the inmate. Upon arrival at the medical facility, Bureau staff must adhere to the following guidelines. 015 9/2 official (a) Bureau staff must furnish appropriate 2 photo identification to contract guard staff prior 12/ to assuming custody ofd e the inmate. ew , vi (b) The inmate must be thoroughly searched. 204 7 (c) Appropriate restraints must be applied to the 14inmate. . No (d) The contractor personnel must relinquish custody to Bureau staff by completing a Transfer Receipt form BP-283(58). The releasing contract guard retains one copy of this receipt. (e) The inmate must be transported to the institution or other location, in accordance with procedures as outlined in the Program Statement on Escorted Trips. Appeal: 14-7204 Doc: 49 Filed: 12/29/2015 Pg: 72 of 82 PS 5500.14 10/19/2012 List of Attachments LIST OF ATTACHMENTS Attachment A Retention of Documents Attachment B Official Count Form Attachment C Cost/Impact Statement Attachment D Lockdown Accountability Census Form Attachment E Post Order Review Sheet e d we 14. No 7 , vi 204 1 015 9/2 2/2 Appeal: 14-7204 Doc: 49 Filed: 12/29/2015 Pg: 73 of 82 PS 5500.14 10/19/2012 Attachment A, Page 1 RETENTION OF DOCUMENTS 1. Daily and Quarterly Roster . . . . . . . . . 2. Urine Lab Reports - Positive.. . . . . . . . 3. Urine Lab Reports - Negative.. . . . . . . . 4. Monthly Urine Surveillance Reports.. . . . . 5. Notification to Visitors Form. . . . . . . . 6. Administrative Detention Order.. . . . . . . 7. Unit Log books.. . . . . . . . . . . . . . . 8. Lieutenant's Log.. . . . . . . . . . . . . . 9. Monthly Reports. . . . . . . . . . . . . . . 10. Incident Reports - Yellow Copy - Research.. 11. Bus trip Log. . . . . . . . . . . . . . . . 12. Form 383 (R&D). . . . . . . . . . . . . . . 13. Informal Resolution.. . . . . . . . . . . . 14. Tort Claim Response.. . . . . . . . . . . . 15. Missing - Lost Credentials/Badges.. . . . . 16. Marshals Receipt - Control, Lieutenant's Copy.. . . . . . . . . . . . . . . 17. Detail Census Checks. . . . . . . . . . . . 18. Monthly Lockdown Accountability.. . . . . . 19. Outside Contractor's Inventory. . . . . . . 20. Rear Gate Detail Log. . . . . . . . . . . . 21. Rear Gate Vehicle Log.. . . . . . . . . . . 22. Restricted Key Issue Form.. . . . . . . . . 23. Official Visitors Forms.. . . . . . . . . . 24. Alcohol Testing Log.. . . . . . . . . . . . 25. Kitchen Knife Report. . . . . . . . . . . . 26. Missing Tool Report . . . . 27. Fire and Security Inspection Form . . . . . 28. Front Entrance Visitor's Logs.. . . . . . . 29. Assignment Cards, while employed. . . . . . 30. Daily Key and Equipment Inventories.. . . . 31. Escort Instructions.. . . . . . . . . . . . 32. Shakedown Logs (after completion).. . . . . 33. Internal Operational Reviews and Response. . . . . . . . . . . . . . . . . . 34. Quarterly Reports.. . . . . . . . . . . . . 35. Program Reviews/Audit Responses.. . . . . . 36. Emergency Plan Signature Sheet. . . . . . . 4, v 20 d e ew i / /29 12 7 14. No 37. 39. 40. 41. Reports of Incidents. . . . . . . Special Housing Unit Sign-in Log. SIS Files (After Release) . . . . Bus Trip Reports. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10 Years Central File Log - Destroy . . . 1 year . . . 1 year . . . 90 days . . 10 years . . 10 years . . . 1 year . . . 1 year . . . 2 years . . . 3 years . . . 1 year . . 10 years . Until Found . 015 . 2 .. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 30 days . 30 days . 1 year 30 days after . . . 1 year . . . 1 year . . . 30 days . . . 1 year . . 6 m onths . . . 30 days . . . 2 years . . . 90 days . . . 10 year . Indefinite . . . 30 days . . . 1 year . . . 5 years . . . . . 2 years . . . . . 1 year . . . . . 3 years . . . . . 2 years project completion . . . . . SIS File . . . . . 10 years . . . . Indefinite . . . . . . 2 years Appeal: 14-7204 Doc: 49 Filed: 12/29/2015 Pg: 74 of 82 PS 5500.14 10/19/2012 Attachment A, Page 2 RETENTION OF DOCUMENTS (CONTD.) 42. Monthly weapons and chemical agents inspections . . . . . . . . . . . . . . . . Current year plus previous 2 years 43. Quarterly emergency equipment testing, inventory and inspection.. . . . . . . 44. 45. 46. 47. 48. 49. 50. Current year plus previous two years Preventive maintenance log/report.. . . . . . . . Five years 5 x 8 card, alphabetical listing, Tel-key, numerical listing and related documentation.. . . . . . . . . . . . . Keep current and destroy out dated documents Monthly fence checks. . . . . . . . . . . . . . . . Two years Emergency equipment location inventories.. . . . . . . . . . . . . . . . . . Current year plus previous two years Equipment sign out form.. . . . . . . . Current six months plus previous two years Perpetual Audit documentation .. . . . . . . . . . One year Outdated Post Orders hardcopy or diskette .. . . . . . . . . . . . . . . . 3 years e d we 14. No 7 , vi 204 1 015 9/2 2/2 Appeal: 14-7204 Doc: 49 Filed: 12/29/2015 Pg: 75 of 82 PS 5500.14 10/19/2012 Attachment B, Page 1 DATE: TIME: AM P.M. (INSTITUTION) OFFICIAL COUNT FORM OUT COUNT SECTION UNIT C E N S U S F O O D S V C H O S P I T A L C L O U N I C O R R O O M C O M M I S S A R Y P O W E R B A R B E R d we , vi 204 7 TOTAL COUNT VERIFY Official Preparing Count: Official Taking Count: Count Cleared - Time: C O U N T P L A N e 14. No O U T 1 015 9/2 2/2 C O U N T V E R I U N I T C O U N T U N I T Appeal: 14-7204 Doc: 49 Filed: 12/29/2015 Pg: 76 of 82 PS 5500.14 10/19/2012 Attachment C, Page 1 COST/IMPACT STATEMENT Instructions: The following impact statement is to be completed as a required element of all After-Action Reports regarding major incidents occurring at institutions. All amounts must be clearly labeled as estimates or actual final figures. When major portions of the impact statement are based on estimates, an amended impact statement must be filed once more accurate cost/impact information is available. Prepare separate forms for each institution or regional office impacted (i.e., multiple institutions sending SORT teams). Reporting Institution: Incident Site: Incident: 015 9/2 2/2 Incident Date: Overtime: Cost Center Corr Svc Bus Locksmith Food Svc Medical Mech Svc Other Total Hrs d we Cost e 315 373 387 332 350 334 , vi 204 1 7 14. No $ Facilities Damage/Cost Impact: Facilities damage/cost impact should list specific buildings, areas, and repair costs for each. Temporary emergency security features should also be accounted for (temporary fences, towers, etc.). Total: $ Appeal: 14-7204 Doc: 49 Filed: 12/29/2015 Pg: 77 of 82 PS 5500.14 10/19/2012 Attachment C, Page 2 Medical Treatment Cost Statement: Cost Center BOP non-BOP Staff Injuries Inmate Injuries $ $ 350 325 Totals Comments (number of staff/inmates hospitalized, etc.): Transfers Cost Statement: Number of inmates transferred (attach bus manifests): d we 1 015 9/2 2/2 Expenses (fuel, ISM overtime, bus crew, etc.): e , vi 204 7 Total 14. $ No Recap: Overtime Facilities Medical Transfer Other Total $ Name/Signature, Title, and Date Appeal: 14-7204 Doc: 49 Filed: 12/29/2015 Pg: 78 of 82 PS 5500.14 10/19/2012 Attachment D, Page 1 LOCKDOWN ACCOUNTABILITY CENSUS DETAIL FORM Detail or Location: INMATES UNAUTHORIZED (PRESENT) NAME REG NO UNIT JOB e d we 14. No 7 , vi 204 REMARKS 1 015 9/2 2/2 Appeal: 14-7204 Doc: 49 Filed: 12/29/2015 Pg: 79 of 82 PS 5500.14 10/19/2012 Attachment D, Page 2 ASSIGNED INMATES (ABSENT AND UNACCOUNTED FOR) NAME REG NO REMARKS e d we , vi 204 015 9/2 2/2 1 7 14. No Printed Name Date Signature Appeal: 14-7204 Doc: 49 Filed: 12/29/2015 Pg: 80 of 82 PS 5500.14 10/19/2012 Attachment D, Page 3 LOCKDOWN ACCOUNTABILITY CENSUS CHECKLIST To be completed by the Lieutenant supervising and managing the lockdown accountability check. INMATES UNAUTHORIZED (PRESENT) NAME REG NO DETAIL I/R WRITTEN e d we 14. No 7 , vi 204 REMARKS 1 015 9/2 2/2 Appeal: 14-7204 Doc: 49 Filed: 12/29/2015 Pg: 81 of 82 PS 5500.14 10/19/2012 Attachment D, Page 4 ASSIGNED INMATES ABSENT AND UNACCOUNTED FOR NAME REG NO DETAIL I/R WRITTEN e d we , vi 204 REMARKS 015 9/2 2/2 1 +)))))))))))))))))))))))))))))))))))))))))))))))))))))))))))), * R E C A P /))))))))))))))))))))))))))))))))))))))))))))))))))))))))))))1 *Total from page 1: (inmates in unauthorized areas) *Total from page 2: (inmates absent and unaccounted *Balance: *Did totals balance out (Y/N): * * *Total inmates unaccounted for after reporting: *(list names and register numbers below) * * * * * * .))))))))))))))))))))))))))))))))))))))))))))))))))))))))))))- 7 14. No Lieutenant (Printed Name) Date Signature * * for)* * * * | * * * * * * * * Appeal: 14-7204 Doc: 49 Filed: 12/29/2015 Pg: 82 of 82 PS 5500.14 10/19/2012 Attachment E, Page 1 Title and Location of Post Orders Name of Staff (Printed/Signature) Title/Position e d we 14. No 7 , vi 204 1 015 9/2 2/2 Date

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