PREA AUDIT REPORT Interim X Final COMMUNITY CONFINEMENT FACILITIES Date of report: December 7, 2016 Auditor Information Auditor name: Michelle VanDusen Address: 257 Dons Drive, Coldwater, Michigan Email: vandusenme@hotmail.com Telephone number: 517-414-2375 Date of facility visit: June 22-23, 2016 Facility Information Facility name: Kalamazoo Probation Enhancement Progam (KPEP) Berrien Facility physical address: 497 Waukonda Avennue, Benton Harbor, Mi. 49022 Facility mailing address: (if different from above) Click here to enter text. Facility telephone number: 269-926-1284 The facility is: Federal State County Facility type: Military Municipal Private for profit Private not for profit Community treatment center Halfway house Alcohol or drug rehabilitation center Name of facility s Chief Executive Officer: Robyn Sherrick, Program Manager Number of staff assigned to the facility in the last 12 months: 35 Designed facility capacity: 118 Current population of facility: 59 Facility security levels/inmate custody levels: Community Residential Age range of the population: 18 to 78 years of age Name of PREA Compliance Manager: Andelin Goolsby X Community-based confinement facility Mental health facility Other Title: Accreditation Manager Email address: agoolsby@kpep.com Telephone number: 269-903-0532 Agency Information Name of agency: Kalamazoo Probation Enhancement Program (KPEP) Governing authority or parent agency: (if applicable) KPEP Physical address: 519 South Park Street, Kalamazoo, MI. 49007 Mailing address: (if different from above) Click here to enter text. Telephone number: 269-383-0450 Agency Chief Executive Officer Name: William A. DeBoer Title: President/CEO Email address: wdeboer@kpep.com Telephone number: 269-383-0450 Agency-Wide PREA Coordinator Name: Andelin Goolsby Title: Accreditation Manager Email address: agoolsby@kpep.com Telephone number: 269-903-0532 PREA Audit Report 1
AUDIT FINDINGS NARRATIVE A Prison Rape Elimination Act (PREA) on-site audit (including interviews) of the Kalamazoo Probation Enhancement Program (KPEP) Berrien Facility was done on June 22-23, 2016 by Michelle VanDusen, who is a U. S. Department of Justice Certified PREA Auditor for Adult Correctional Facilities. Ms. VanDusen was assisted by Mr. Ray Tamminga who has been trained to become a certified PREA Auditor but is still awaiting final certification. Pre-Audit preparation included a thorough review of all documentation and materials submitted by the facility along with data included in the Pre-Audit Questionnaire. The documentation reviewed included Agency Policies, Procedures, forms, education materials, organizational charts, annual reports, training curriculum, brochures, and other materials that were provided to demonstrate compliance with the PREA standards for Adult Community Confinement Facilities. There was also further discussion via telephone and E-mail between these auditors and Ms. Andelin Goolsby who is the KPEP agency PREA Coordinator about further details and schedules of the upcoming audit. During the on-site audit, the auditors toured the entire facility accompanied by the Agency PREA Coordinator, spoke with staff and residents, and observed the facility configuration, location of cameras, staff supervision of residents, housing unit layout including shower and toilet areas, placement of posters and PREA informational resources, security monitoring, resident entry and search procedures, and resident programming areas. It was noted that shower and toiletry areas allow for proper residents privacy. Notices of the PREA audit were posted inside the facility as well as at the entranceway. After the tour, the auditors were provided an office with space to review documents and conduct confidential interviews. The auditors were present at the facility during all three shifts which run from 7:00 AM to 3:00 PM, 3:00 PM to 11:00 PM and from 11:00 PM to 7:00 AM and observed operations including counts and meals. Interviews were conducted of ten residents of varying lengths of stay, including those in the RSAT program. Another resident failed to come to the interview when requested. These residents were interviewed utilizing the recommended DOJ protocols that question their knowledge of PREA protections and and their knowledge of reporting mechanisms available to residents to report sexual abuse or harassment. None of the residents interviewed identified any problems or fears of sexual abuse, had some knowledge of PREA protecitions and reporting mechanisms and stated staff were respectful of their privacy and self-announced if they were female before coming into their rooms. Ten staff persons representing all shifts were interviewed utilizing the DOJ protocols that question their PREA training and overall knowledge of the agency s zero tolerance policy, reporting mechanisms available to residents and staff, the response protocols when a resident alleges abuse and first responder duties. The following specialty staff questionnaires were utilized during this review: Agency Head Facility Director Agency PREA Coordinator Designated Staff Charged with Monitoring Retaliation Incident Review Team Staff that perform Screening for risk of Vicitimization or Abusiveness (2) Intake Staff (2) Medical and Mental health staff (1) Administrative (Human Resources) Staff Staff First Responder Random Staff A complete tour of the Berrien KPEP facility, and an on-site audit of Prison Rape Elimination Act (PREA) compliance, along with interviews was completed on the 22 nd and 23 rd of June 2016. The facility was clean and in good repair. The facility houses male residents, there is a secured access into the facility with staff checking residents in and out of the unit. We were given documentation to review including copies of their policies and the Pre-Audit Questionaire. Additional documentation included the flyer given to residents on PREA. During the on-site audit the auditor was given multi-purpose room to work out of and to interview staff and residents. The Auditor interview ten (10) employees from different shifts along with the Administrative staff, and ten (10) residents. This was a cross section residents from different housing areas, along with those who work different shifts. Along with these interviews we also interviewed the following staff from the main KPEP office in Kalamazoo. Agency Director Andelin Goolsby- PREA Coordinator Facility Director Male Staff Person on Incident Review Agency Contract Administrator Staff Psychologist Administrator Human Resources Contractor with Resident contact PREA Audit Report 2
Counselor Male Residents - Perform Risk Screenings andmonitor Retaliation Resident Coordinator First Responder Intake Staff Random Staff Resident Coordinator First Responder Intake Staff Random Staff Resident Coordinator First Responder Intake Staff Random Staff The facility is compliant with PREA standards except for 115.253(a), (b), and (c), Resident Access to outside confidential support services. They have not attempted to enter into a Memorandum of Understanding, have not provided telephone numbers, including toll-free hotline numbers if kicak advocacy ir rape-crisis organizations in as confidential a manner as possible. They have not informed residents of the extent to which such communications will be monitored. They re also not compliant with 115.231 Employee Training (a) (2) how to fulfill their responsibilities under agency sexual abuse and harassment prevention, detection, reporting, and response policies and procedures. Not all staff were aware of proper procedures and policies to incidents of sexual assault or abuse. Corrective Action Taken: The Agency and Facility have taken further action to ensure compliance with these standards. A Memorandum of Understanding has been entered into with the Lakeland Health Facility to provide confidential emotional support services related to sexual abuse, provided access to outside victim advocacy services by posting on bulletin boards all necessary information to contact this agency and included this information in orientation training and handouts for all residents entering the program. All staff have been recently trained further in the proper policies and procedures related to incidents of sexual assault and abuse. PREA Audit Report 3
DESCRIPTION OF FACILITY CHARACTERISTICS KPEP Berrien is a residential center for adult male offenders. KPEP first established the Berrien program in a former Benton Harbor hospital building in February 2001. The program was relocated to the current facility in 2006. The facility is located in Berrien County, Michigan. Berrien County is located in the extreme southwest corner of Michigan. The county has a population of approximately 162,500. The building is within the jurisdiction of the city of Benton Harbor. The structure is located in the F Light Industrial District and is a permitted use with zoning district. The facility was constructed in 1991, at which time the owner, Harbor Ridge Limited Partenership, immediately leased the facility to the Michigan Department of Corrections (MDOC). The parole offices for Berrien County and a community corrections center for MDOC prisoners were housed in the building. Eventually, MDOC closed the Corrections Center although the parole offices continued to occupy a portion of the building. In April 2006, KPEP negotiated a rental agreement to lease the residential space and moved operations to the facility soon after. KPEP purchased the building in January 2009. A portion of the building is leased to the Michigan Department of Corrections and continues to house the local parole offices. The KPEP-Berrien facility consists of a one story building of cement block construction with a brick exterior. The main portion of the building is rectangular with two residential wings extending from the back of the building. The front entrance and main lobby is on the south side of the building. It serves as the main entrance and reception areas for both KPEP and the MDOC Parole Offices. The front portion of the east side of the building houses the parole offices. The rear portion of the east wing houses additional resident rooms and bathroom facilties. The west wing of the building houses the kitchen/dining room, classrooms, staff offices, laundry, mechanical rooms and various storage rooms. Additional bathroom facilities are also located on the rear side of the west wing. Two wings running to the north and northwest house resident rooms and additional staff offices. The facility provides Outpatient Treatment for Alcohol and Other Drugs/Addictions (Adults) and Residential Treatment for Alcohol and Other Drugs/Addictions (Adults). The facility has a total of fifty-nine (59) residents presently with a total of twenty-two (22) staff. Two staff are utilized on each shift. Currently they have one intern working at the facility. There are no female residents housed at KPEP Berrien which also houses Sex Offenders. Sex Offenders are not placed in outside jobs, they are attending the Residential Treatment programs. The community contacts the facility when they have open work positions for the residents. Currently there are 12 cameras with Tilt/Pan capabilities throughout the facility; Courtyard, Hallways, Classroom, Cafeterial, Front Building and Entrance. No cameras have a view of the residents restroom or dressing areas. There are a total of three toilets and showers with handicap accessibilities. PREA Audit Report 4
SUMMARY OF AUDIT FINDINGS The facility is compliant with all PREA standards except the following two standards; 115.231 Employee Training (a) (2) how to fulfull their responsibilities under agency sexual abuse and harassment prevention, detection, reporting, and reponse policies and procedures. Staff were not aware of proper response procedures and policies of incidents of sexual assault or abuse. Additionally 115.253 (a0, (B), AND (C), Resident access to outside confidential support services. They have not attempted to enter into a Memorandum of Understanding, nor have they attempted to provide telephone numbers, including toll-free hotline numbers of local dvocacy or rape crisis organizations in as condidential a manner as possible. They have not informed residents of the extent to which such communications will be monitored. Overall the interviews of residents reflected that they were aware of PREA and somewhat understood the PREA protections and the agencies zero tolerance policy. Residents received written pamphlets at intake, however they did not receive any contact numbers for agencies. Nor were there any postings on PREA for residents or staff with contact information posted anywhere within the facility. All facility staff interviewed indicated that they had received training in PREA, however only two staff could indicate the proper procedures to follow when an incident should occur. Corrective Action Taken: The Agency and Facility have taken further action to ensure compliance with these standards. A Memorandum of Understanding has been entered into with the Lakeland Health Facility to provide confidential emotional support services related to sexual abuse, provided access to outside victim advocacy services by posting on bulletin boards all necessary information to contact this agency and included this information in orientation training and handouts for all residents entering the program. All staff have been recently trained further in the proper policies and procedures related to sexual harassment, assault and abuse. Number of standards exceeded: 0 Number of standards met: 36 Number of standards not met: 0 Number of standards not applicable: 3 PREA Audit Report 5
Standard 115.211 Zero tolerance of sexual abuse and sexual harassment; PREA Coordinator (a) An agency shall have a written policy mandating zero tolerance toward all forms of sexual abuse and sexual harassment and outlining the agency s approach to preventing, detecting, and responding to such conduct. (b) An agency shall employ or designate an upper-level, agency-wide PREA coordinator, with sufficient time and authority to develop, implement, and oversee agency efforts to comply with the PREA standards in all of its community confinement facilities. Compliance Documents: Agency Policy #2-500.1 Zero Tolerance & Sexual Assault Agency Policy #6-100.8 Offender Rights (Protection from Sexual Harrassment) Agency Policy #3-100.4 Rules and Regulations (New Resident Orientation) Agency Policy #2-500.4 Sexual Assault Control Plan Agency Policy #2-500.8 Reporting to Residents: Sexual Assault Control Plan Agency Policy #2-500.9 Medical/Mental Health: Sexual Assault Control Plan Agency Policy #2-500.10 Review: Sexual Assault Review Plan Agency Policy #2-500.11 Sexual Assault Control Plan The KPEP agency has developed policies that meets the requirements of this standard. There is an Agency wide PREA Compliance Manager who told us during her interview, that she has sufficient time to coordinate the facilities efforts to comply with this standard. Standard 115.212 Contracting with other entities for the confinement of residents (a) A public agency that contracts for the confinement of its residents with private agencies or other entities, including other government agencies, shall include in any new contract or contract renewal the entity s obligation to adopt and comply with the PREA standards. (b) Any new contract or contract renewal shall provide for agency contract monitoring to ensure that the contractor is complying with the PREA standards. PREA Audit Report 1
(c) Only in emergency circumstances in which all reasonable attempts to find a private agency or other entity in compliance with the PREA standards have failed, may the agency enter into a contract with an entity that fails to comply with these standards. In such a case, the public agency shall document its unsuccessful attempts to find an entity in compliance with the standards. This Standard does not apply to this facility as KPEP does not contract with other entities for the confinement of residents Standard 115.213 Supervision and monitoring (a) For each facility, the agency shall develop and document a staffing plan that provides for adequate levels of staffing, and, where applicable, video monitoring, to protect residents against sexual abuse. In calculating adequate staffing levels and determining the need for video monitoring, agencies shall take into consideration: (1) The physical layout of each facility; (2) The composition of the resident population; (3) The prevalence of substantiated and unsubstantiated incidents of sexual abuse; and (4) Any other relevant factors. (b) In circumstances where the staffing plan is not complied with, the facility shall document and justify all deviations from the plan. (c) Whenever necessary, but no less frequently than once each year, the facility shall assess, determine, and document whether adjustments are needed to: (1) The staffing plan established pursuant to paragraph (a) of this section; (2) Prevailing staffing patterns; (3) The facility s deployment of video monitoring systems and other monitoring technologies; and (4) The resources the facility has available to commit to ensure adequate staffing levels. Compliance Documents: Agency Policy 2-100.4 entitled Staffing (Adequate Staffing) requires that The facility shall be adequately staffed at all times. At least one staff shall be on the premises awake and be able to respond to resident needs twenty-four (24) hours a day. A Staffing Plan was presented that appeared to provide adequate staffing to protect residents against sexual abuse and sexual harassment. This staffing plan took into consideration the physical layout of the facility, and video monitoring with seven (7) cameras with zoom, pan and tilt capabilities, 2 outdoor and 5 indoors, which all appeared on one color monitor. It had been developed with consideration of observation by staff including video monitoring, as well as protection of the residents through constant circulation throughout the facility. To date, there have been no deviations from the minimum staffing plan. Overtime is authorized, if necessary, to cover, appropriate staffing positions. This staffing plan is reviewed annually. This information and documentation was presented in interviews with the Human Resources Director, CEO, and Program Manager as well as the PREA Coordinator. PREA Audit Report 2
Standard 115.215 Limits to cross-gender viewing and searches (a) The facility shall not conduct cross-gender strip searches or cross-gender visual body cavity searches (meaning a search of the anal or genital opening) except in exigent circumstances or when performed by medical practitioners. (b) As of August 20, 2015, or August 20, 2017 for a facility whose rated capacity does not exceed 50 residents, the facility shall not permit cross-gender pat-down searches of female residents, absent exigent circumstances. Facilities shall not restrict female residents access to regularly available programming or other outside opportunities in order to comply with this provision. (c) The facility shall document all cross-gender strip searches and cross-gender visual body cavity searches, and shall document all cross-gender pat-down searches of female residents. (d) The facility shall implement policies and procedures that enable residents to shower, perform bodily functions, and change clothing without nonmedical staff of the opposite gender viewing their breasts, buttocks, or genitalia, except in exigent circumstances or when such viewing is incidental to routine cell checks. Such policies and procedures shall require staff of the opposite gender to announce their presence when entering an area where residents are likely to be showering, performing bodily functions, or changing clothing. (e) The facility shall not search or physically examine a transgender or intersex resident for the sole purpose of determining the resident s genital status. If the resident s genital status is unknown, it may be determined during conversations with the resident, by reviewing medical records, or, if necessary, by learning that information as part of a broader medical examination conducted in private by a medical practitioner. (f) The agency shall train security staff in how to conduct cross-gender pat-down searches, and searches of transgender and intersex residents, in a professional and respectful manner, and in the least intrusive manner possible, consistent with security needs. Compliance Documents: Agency Policy 2-300.2 Contraband (Searches) requires in Section C. 4. a. Strip searches MUST be conducted by a staff member of the same sex as the resident. Section C. 5. requires that Staff shall not search or physically examine a transgender or intersex resident for the sole purpose of determining the resident s genital status. This information will be obtained from the referral source prior to admission to the program. Agency Policy 2-300.6 Strip Searches (Procedure) requires that Only staff of the same sex as the client will participate in the strip search. The KPEP agency does not allow cross gender strip searches or body cavity searches ever. Female staff members are allowed to conduct pat searches of males but are not authorized to conduct strip searches. This is in their policy and was verified by all staff and residents, and was also observed during our tours. All staff are trained in proper methods for conducting cross gender pat searches on residents and strip searches if necessary, however, they have not conducted any since the facility has been open. This is also verified in their policy on Contraband (Searches)no. 2-300.2. The training is included in the training curriculum as provided. PREA Audit Report 3
Standard 115.216 Residents with disabilities and residents who are limited English proficient (a) The agency shall take appropriate steps to ensure that residents with disabilities (including, for example, residents who are deaf or hard of hearing, those who are blind or have low vision, or those who have intellectual, psychiatric, or speech disabilities), have an equal opportunity to participate in or benefit from all aspects of the agency s efforts to prevent, detect, and respond to sexual abuse and sexual harassment. Such steps shall include, when necessary to ensure effective communication with residents who are deaf or hard of hearing, providing access to interpreters who can interpret effectively, accurately, and impartially, both receptively and expressively, using any necessary specialized vocabulary. In addition, the agency shall ensure that written materials are provided in formats or through methods that ensure effective communication with residents with disabilities, including residents who have intellectual disabilities, limited reading skills, or who are blind or have low vision. An agency is not required to take actions that it can demonstrate would result in a fundamental alteration in the nature of a service, program, or activity, or in undue financial and administrative burdens, as those terms are used in regulations promulgated under title II of the Americans With Disabilities Act, 28 CFR 35.164. (b) The agency shall take reasonable steps to ensure meaningful access to all aspects of the agency s efforts to prevent, detect, and respond to sexual abuse and sexual harassment to residents who are limited English proficient, including steps to provide interpreters who can interpret effectively, accurately, and impartially, both receptively and expressively, using any necessary specialized vocabulary. (c) The agency shall not rely on resident interpreters, resident readers, or other types of resident assistants except in limited circumstances where an extended delay in obtaining an effectiveinterpreter could compromise the resident s safety, the performance of first-response duties under 115.264, or the investigation of the resident s allegations. Compliance Documents: Agency Policy 2-500.3 entitled Accomodating Special Needs: Sexual Assault Control Plan requires that KPEP shall ensure that residents with disabilities have an equal opportunity to participate in or benefit from KPEP s efforts to prevent, detect, and respond to sexual abuse and sexual harassment. KPEP ensures all residents with disabilities have an equal opportunity to participate in or benefit from KPEP s efforts to prevent, detect, and respond to sexual abuse and sexual harassment. Residents will not be used as interpreters per their policy 2-500.3 Accommodating Special Needs:Sexual Assault Control Plan. Random interivews revealed their awareness of the contract use for translations services including sign language. In the last 12 months there have not been any requests for the use of an interpreter. Standard 115.217 Hiring and promotion decisions X PREA Audit Report 4
(a) The agency shall not hire or promote anyone who may have contact with residents, and shall not enlist the services of any contractor who may have contact with residents, who (1) Has engaged in sexual abuse in a prison, jail, lockup, community confinement facility, juvenile facility, or other institution (as defined in 42 U.S.C. 1997); (2) Has been convicted of engaging or attempting to engage in sexual activity in the community facilitated by force, overt or implied threats of force, or coercion, or if the victim did not consent or was unable to consent or refuse; or (3) Has been civilly or administratively adjudicated to have engaged in the activity described in paragraph (a)(2) of this section. (b) The agency shall consider any incidents of sexual harassment in determining whether to hire or promote anyone, or to enlist the services of any contractor, who may have contact with residents. (c) Before hiring new employees who may have contact with residents, the agency shall: (1) Perform a criminal background records check; and (2) Consistent with Federal, State, and local law, make its best efforts to contact all prior institutional employers for information on substantiated allegations of sexual abuse or any resignation during a pending investigation of an allegation of sexual abuse. (d) The agency shall also perform a criminal background records check before enlisting the services of any contractor who may have contact with residents. (e) The agency shall either conduct criminal background records checks at least every five years of current employees and contractors who may have contact with residents or have in place a system for otherwise capturing such information for current employees. (f) The agency shall also ask all applicants and employees who may have contact with residents directly about previous misconduct described in paragraph (a) of this section in written applications or interviews for hiring or promotions and in any interviews or written self-evaluations conducted as part of reviews of current employees. The agency shall also impose upon employees a continuing affirmative duty to disclose any such misconduct. (g) Material omissions regarding such misconduct, or the provision of materially false information, shall be grounds for termination. (h) Unless prohibited by law, the agency shall provide information on substantiated allegations of sexual abuse or sexual harassment involving a former employee upon receiving a request from an institutional employer for whom such employee has applied to work. Compliance Documents: 7-200.4 Employee Selection, Retention, & Promotions requires in Section F. KPEP shall not knowingly hire a new employee, promote an existing employee, or enlist the services of any contractor who may have contact with residents who: 1. Has engaged in sexual abuse in a prison, jail, lockup, community confinement facility, juvenile facility, or other institution. Incidents of sexual harassment will also be considered. 2. Has been convicted of, or civilly or administratively adjudicated of engaging in or attempting to engage in sexual activity in the community facilitated by force, overt or implied threats of force, or coercion, or if the victim did not consent or was unable to consent or refuse. H. All applicants shall be asked about previous misconduct noted in section G above. Omissions regarding such conduct, or the provision of materially false information, shall be grounds for termination. Employees have an on going affirmative duty to disclose any such conduct. 7-200.5 Applicant Background (Investigation) - requires criminal background checks on all applicants for employment. PREA Audit Report 5
7-200.6 Performance Evaluations-Requires self-disclosure and states that Omissions shall be grounds for termination. The KPEP agency conducts background and other types of criminal and sexual registry checks of new employees, volunteers, and contractors. This is also completed again after five years. They are given yearly evaluations and are required to disclose any such previous misconducts as they relate to this standard and PREA. The Human Resources staff person interviewed confirmed how each employee is screened before hiring and confirmed that if an employee was discovered to have been involved in any criminal activity mentioned in this standard, that employee would be terminated. She also confirmed that checks are completed again after five years. Standard 115.218 Upgrades to facilities and technologies (a) When designing or acquiring any new facility and in planning any substantial expansion or modification of existing facilities, the agency shall consider the effect of the design, acquisition, expansion, or modification upon the agency s ability to protect residents from sexual abuse. (b) When installing or updating a video monitoring system, electronic surveillance system, or other monitoring technology, the agency shall consider how such technology may enhance the agency s ability to protect residents from sexual abuse. The facility has not made any additions or modifications to the facility, nor have they added any new video monitoring systems since August 20, 2012. They currently have 7 cameras that monitor specific security areas of the facility and are in the process of purchasing additional cameras that will also be utilized to monitor resident safety from sexual abuse. This was discussed in interviews with Agency Administaration staff and the Facility Administor. Standard 115.221 Evidence protocol and forensic medical examinations PREA Audit Report 6
(a) To the extent the agency is responsible for investigating allegations of sexual abuse, the agency shall follow a uniform evidence protocol that maximizes the potential for obtaining usable physical evidence for administrative proceedings and criminal prosecutions. (b) The protocol shall be developmentally appropriate for youth where applicable, and, as appropriate, shall be adapted from or otherwise based on the most recent edition of the U.S. Department of Justice s Office on Violence Against Women publication, A National Protocol for Sexual Assault Medical Forensic Examinations, Adults/Adolescents, or similarly comprehensive and authoritative protocols developed after 2011. (c) The agency shall offer all victims of sexual abuse access to forensic medical examinations whether on-site or at an outside facility, without financial cost, where evidentiarily or medically appropriate. Such examinations shall be performed by Sexual Assault Forensic Examiners (SAFEs) or Sexual Assault Nurse Examiners (SANEs) where possible. If SAFEs or SANEs cannot be made available, the examination can be performed by other qualified medical practitioners. The agency shall document its efforts to provide SAFEs or SANEs. (d) The agency shall attempt to make available to the victim a victim advocate from a rape crisis center. If a rape crisis center is not available to provide victim advocate services, the agency shall make available to provide these services a qualified staff member from a community-based organization or a qualified agency staff member. Agencies shall document efforts to secure services from rape crisis centers. For the purpose of this standard, a rape crisis center refers to an entity that provides intervention and related assistance, such as the services specified in 42 U.S.C. 14043g(b)(2)(C), to victims of sexual assault of all ages. The agency may utilize a rape crisis center that is part of a governmental unit as long as the center is not part of the criminal justice system (such as a law enforcement agency) and offers a comparable level of confidentiality as a nongovernmental entity that provides similar victim services. (e) As requested by the victim, the victim advocate, qualified agency staff member, or qualified communitybased organization staff member shall accompany and support the victim through the forensic medical examination process and investigatory interviews and shall provide emotional support, crisis intervention, information, and referrals. (f) To the extent the agency itself is not responsible for investigating allegations of sexual abuse, the agency shall request that the investigating agency follow the requirements of paragraphs (a) through (e) of this section. (g) The requirements of paragraphs (a) through (f) of this section shall also apply to: (1) Any State entity outside of the agency that is responsible for investigating allegations of sexual abuse in community confinement facilities; and (2) Any Department of Justice component that is responsible for investigating allegations of sexual abuse in community confinement facilities. (h) For the purposes of this standard, a qualified agency staff member or a qualified community-based staff member shall be an individual who has been screened for appropriateness to serve in this role and has received education concerning sexual assault and forensic examination issues in general. Compliance Documents: Agency Policy 2-500.5 entitled Zero Tolerance & Sexual Assault Control Plan To the extent the agency is responsible for investigating allegations of sexual abuse, the agency refers individuals to the local hospital and the investigation to the local Law Enforcment Agency, however the facility does initiate the investigation by securing the area where the incident took place, securing all evidence including the physical evidence on the victim and/or perpetrator. The facility sends the victim to the Landland Health where they are examined by a Sexual Assault Forensic Examiners (SAFE) or Sexual Assault Nurse Examiner (SANE). The victim is referred to the Rape Crisis for support. A victim s advocate can be supplied from Lakeland Health upon request from the victim or from the Rape Crisis Center. Standard 115.222 Policies to ensure referrals of allegations for investigations PREA Audit Report 7
(a) The agency shall ensure that an administrative or criminal investigation is completed for all allegations of sexual abuse and sexual harassment. (b) The agency shall have in place a policy to ensure that allegations of sexual abuse or sexual harassment are referred for investigation to an agency with the legal authority to conduct criminal investigations, unless the allegation does not involve potentially criminal behavior. The agency shall publish such policy on its website or, if it does not have one, make the policy available through other means. The agency shall document all such referrals. (c) If a separate entity is responsible for conducting criminal investigations, such publication shall describe the responsibilities of both the agency and the investigating entity. (d) Any State entity responsible for conducting administrative or criminal investigations of sexual abuse or sexual harassment in community confinement facilities shall have in place a policy governing the conduct of such investigations. (e) Any Department of Justice component responsible for conducting administrative or criminal investigations of sexual abuse or sexual harassment in community confinement facilities shall have in place a policy governing the conduct of such investigations. Compliance Documents: Agency Policy #2-500.1 Zero Tolerance & Sexual Assault Agency Policy #2-500.10 Review: Sexual Assault Review Plan Agency Policy #2-500.11 Sexual Assault Control Plan If allegation of sexual abuse occurs, the outside Law Enforcement agency will be referred to for the investigation and determination of an alleged PREA situation. A report will be issued on all determinations of abuse or harassment. Standard 115.231 Employee training X (a) The agency shall train all employees who may have contact with residents on: (1) Its zero-tolerance policy for sexual abuse and sexual harassment; (2) How to fulfill their responsibilities under agency sexual abuse and sexual harassment prevention, detection, reporting, and response policies and procedures; (3) Residents right to be free from sexual abuse and sexual harassment; PREA Audit Report 8
(4) The right of residents and employees to be free from retaliation for reporting sexual abuse and sexual harassment; (5) The dynamics of sexual abuse and sexual harassment in confinement; (6) The common reactions of sexual abuse and sexual harassment victims; (7) How to detect and respond to signs of threatened and actual sexual abuse; (8) How to avoid inappropriate relationships with residents; (9) How to communicate effectively and professionally with residents, including lesbian, gay, bisexual, transgender, intersex, or gender nonconforming residents; and (10) How to comply with relevant laws related to mandatory reporting of sexual abuse to outside authorities. (b) Such training shall be tailored to the gender of the residents at the employee s facility. The employee shall receive additional training if the employee is reassigned from a facility that houses only male residents to a facility that houses only female residents, or vice versa. (c) All current employees who have not received such training shall be trained within one year of the effective date of the PREA standards, and the agency shall provide each employee with refresher training every two years to ensure that all employees know the agency s current sexual abuse and sexual harassment policies and procedures. In years in which an employee does not receive refresher training, the agency shall provide refresher information on current sexual abuse and sexual harassment policies. (d) The agency shall document, through employee signature or electronic verification, that employees understand the training they have received. Compliance Documents: KPEP Training Curriculum PREA Sexual Abuse: Dynamics, Detection, and Reporting Agency Policy 2-300.2 Searches Agency Policy 2-600.1 Security Rounds Agency Policy 2-100.1 and 2-100.2 Facility Access Agency Policy 2-100.11 and 2-100.12 Resident Movement/Headcounts/Pass Agency Policy 2-200.1 through 2.100.3 Use of Force Agency Policy 2-400.1 to 2-400.3 Key and Tool Control Agency Policy Sexual Abuse and Sexual Harassment The facility staff is given access to all the information in which to be trained in the requirements of this standard, however, the way in which the staff are receiving the training appears to be the issue. Of all the facility staff we spoke with, staff could not consistently respond to how the process for PREA takes place once staff have received notification that the sexual assault has taken place. All of the other line staff indicated that they would call the Program Manager. Even when given encouragement on the process they were not able to consistently indicate, how to protect the person involved, how to protect/preserve the evidence, where to take the person who has been assaulted, what to do with the person who was the assaulter. The PREA training process needs to be reviewed to determine what is needed for staff to have a clearer knowledge of what to do. Corrective Action Taken: All employees who may have contact with residents have recently been trained further on how to fulfill their responsibilities under agency sexual abuse and sexual harassment prevention, detection, reporting, and response policies and procedures. This auditor was given copies of training records of all staff, training course outlines, staff meeting agendas, training attendance records, and training handouts explaining these policies and procedures. Standard 115.232 Volunteer and contractor training PREA Audit Report 9
(a) The agency shall ensure that all volunteers and contractors who have contact with residents have been trained on their responsibilities under the agency s sexual abuse and sexual harassment prevention, detection, and response policies and procedures. (b) The level and type of training provided to volunteers and contractors shall be based on the services they provide and level of contact they have with residents, but all volunteers and contractors who have contact with residents shall be notified of the agency s zero-tolerance policy regarding sexual abuse and sexual harassment and informed how to report such incidents. (c) The agency shall maintain documentation confirming that volunteers and contractors understand the training they have received. Compliance Documents: KPEP Training Curriculum PREA Sexual Abuse: Dynamics, Detection, and Reporting Agency Policy 7-200.16 Training (Part Time Staff/Volunteers/Interns) Volunteer/Intern/Contract Staff Orientation Checklist The orientation training training includes an overview of: agency, code of ethics, client population, services and programs, operational procedures, responsibilities under KPEP s sexual abuse and sexual harassment prevention, detection, and response policies and procedures. The Volunteer/Intern/Contract Staff Orientation Checklist includes the following: Receive Annual Report/mission statement/overview of agency Review Volunteer/Intern/Contractor Handbook Give overview of programs, services and client population Provide description of volunteer position s role, duties and responsibilities Receive Code of Ethics/discuss expectations and volunteer accountability Discuss chain of command Discuss drug/alcohol free work zone Receive copy of resident handbook Complete federal volunteer application Complete LEIN Information Form Receive rules of confidentiality/sign receipt Take picture for Volunteer I.D. Zero Tolerance policy, responsibility and how to report: sexual abuse/sexual harassment reviewed Tour of the facility. Standard 115.233 Resident education PREA Audit Report 10
(a) During the intake process, residents shall receive information explaining the agency s zero-tolerance policy regarding sexual abuse and sexual harassment, how to report incidents or suspicions of sexual abuse or sexual harassment, their rights to be free from sexual abuse and sexual harassment and to be free from retaliation for reporting such incidents, and regarding agency policies and procedures for responding to such incidents. (b) The agency shall provide refresher information whenever a resident is transferred to a different facility. (c) The agency shall provide resident education in formats accessible to all residents, including those who are limited English proficient, deaf, visually impaired, or otherwise disabled as well as residents who have limited reading skills. (d) The agency shall maintain documentation of resident participation in these education sessions. (e) In addition to providing such education, the agency shall ensure that key information is continuously and readily available or visible to residents through posters, resident handbooks, or other written formats. During the intake process the residents receive a folder that contains information pertinent to the facility. This folder includes: Resident Handbook Intake Checklist Urine Screening Instruction and Training Checklist Health Intake Screening Health Information along with a Consent to Share form Basic Information Form Sexual Assault Awareness Pamphlet The agency provides information to those residents who may be: deaf, visually impaired, otherwise disabled and limited in their reading skills. The facility maintains files on on residents participation in all informational and educational sessions. Standard 115.234 Specialized training: Investigations (a) In addition to the general training provided to all employees pursuant to 115.231, the agency shall ensure that, to the extent the agency itself conducts sexual abuse investigations, its investigators have received PREA Audit Report 11
training in conducting such investigations in confinement settings. (b) Specialized training shall include techniques for interviewing sexual abuse victims, proper use of Miranda and Garrity warnings, sexual abuse evidence collection in confinement settings, and the criteria and evidence required to substantiate a case for administrative action or prosecution referral. (c) The agency shall maintain documentation that agency investigators have completed the required specialized training in conducting sexual abuse investigations. (d) Any State entity or Department of Justice component that investigates sexual abuse in confinement settings shall provide such training to its agents and investigators who conduct such investigations. This standard does not apply to this facility as they refer all investigations to local law enforcement agencies. Standard 115.235 Specialized training: Medical and mental health care (a) The agency shall ensure that all full- and part-time medical and mental health care practitioners who work regularly in its facilities have been trained in: (1) How to detect and assess signs of sexual abuse and sexual harassment; (2) How to preserve physical evidence of sexual abuse; (3) How to respond effectively and professionally to victims of sexual abuse and sexual harassment; and (4) How and to whom to report allegations or suspicions of sexual abuse and sexual harassment. (b) If medical staff employed by the agency conduct forensic examinations, such medical staff shall receive the appropriate training to conduct such examinations. (c) The agency shall maintain documentation that medical and mental health practitioners have received the training referenced in this standard either from the agency or elsewhere. (d) Medical and mental health care practitioners shall also receive the training mandated for employees under 115.231 or for contractors and volunteers under 115.232, depending upon the practitioner s status at the agency. Compliance Documents: Agency Policy #2-500.1 Zero Tolerance & Sexual Assault All staff working at the facility are given the PREA Training including the medical and mental health staff. They are trained in how to protect and preserve physical evidence and how to effectively and professionally respond to the victims. However, all forensic examinations are conducted Lakeland Health. Standard 115.241 Screening for risk of victimization and abusiveness PREA Audit Report 12
(a) All residents shall be assessed during an intake screening and upon transfer to another facility for their risk of being sexually abused by other residents or sexually abusive toward other residents. (b) Intake screening shall ordinarily take place within 72 hours of arrival at the facility. (c) Such assessments shall be conducted using an objective screening instrument. (d) The intake screening shall consider, at a minimum, the following criteria to assess residents for risk of sexual victimization: (1) Whether the resident has a mental, physical, or developmental disability; (2) The age of the resident; (3) The physical build of the resident; (4) Whether the resident has previously been incarcerated; (5) Whether the resident s criminal history is exclusively nonviolent; (6) Whether the resident has prior convictions for sex offenses against an adult or child; (7) Whether the resident is or is perceived to be gay, lesbian, bisexual, transgender, intersex, or gender nonconforming; (8) Whether the resident has previously experienced sexual victimization; and (9) The resident s own perception of vulnerability. (e) The intake screening shall consider prior acts of sexual abuse, prior convictions for violent offenses, and history of prior institutional violence or sexual abuse, as known to the agency, in assessing residents for risk of being sexually abusive. (f) Within a set time period, not to exceed 30 days from the resident s arrival at the facility, the facility will reassess the resident s risk of victimization or abusiveness based upon any additional, relevant information received by the facility since the intake screening. (g) A resident s risk level shall be reassessed when warranted due to a referral, request, incident of sexual abuse, or receipt of additional information that bears on the resident s risk of sexual victimization or abusiveness. (h) Residents may not be disciplined for refusing to answer, or for not disclosing complete information in response to, questions asked pursuant to paragraphs (d)(1), (d)(7), (d)(8), or (d)(9) of this section. (i) The agency shall implement appropriate controls on the dissemination within the facility of responses to questions asked pursuant to this standard in order to ensure that sensitive information is not exploited to the resident s detriment by staff or other residents. Compliance Documents: Agency Policy 2-500.4 Sexual Assault Control Plan Agency Policy #2-500.1 Zero Tolerance & Sexual Assault All newly admitted residents transferred from another facility are assessed for their risk of being sexually abused by other residents or for them being sexually abusive toward other residents. This is completed within the first 72 hours of their arrival to the facility. The information gathered for risk of sexual victimization includes, previous incarcerations, nonviolent criminal history, prior convictions of sexual offenses against adults or children, prior sexual abuse acts, prior convictions for violent offenses, and a history of prior institutional violence and sexual abuse. The information gleaned from the assessment is used to notify and determine their housing, their bed, their work assignment, education and program assisgnments. The screening process (COMPAS PREA Profile) considers the following risks of sexual victimization: Mental, physical or developmental disabilities Physical build PREA Audit Report 13