Attachment_6.7.1_TDOC_Policies.pdf

Index #: 109.07 Page 1 of 2

Effective Date: March 1, 2020

Distribution: A

Supersedes: 109.07 (6/1/17)

Approved by: Tony Parker

Subject: CODE OF CONDUCT FOR TDOC AND STRATEGIC TECHNOLOGY SOLUTIONS (STS) EMPLOYEES

I. AUTHORITY: TCA 4-3-603, TCA 4-3-606, TCA 39-14-601 through TCA 39-14-603, and TCA 39-16-402.

II. PURPOSE: To provide a code of conduct for Strategic Technology Solutions (STS) and Tennessee Department of Correction (TDOC) Information Systems employees governing their direct and/or indirect contact with offenders under the supervision of the Tennessee Department of Correction (TDOC) who are friends, acquaintances, associates, or to whom they are related.

III. APPLICATION: To all STS and TDOC employees assigned to manage and operate TDOC information systems and databases.

IV. DEFINITIONS:

A. Acquaintance: An individual known to another in a personal relationship less close than a friendship.

B. Associate: An individual involved with another in some action, enterprise, business, or social activity.

C. Custody: The serving or awaiting the service of Tennessee sentences in Tennessee, other states, or the federal penal system, either through detainer agreements or sentencing arrangements.

D. Friend: An individual attached to another by affection, regard, or esteem in a close and personal relationship.

E. Relative: A parent, foster parent, step-parent, mother-in-law, father-in-law, child, step-child, spouse, brother, step-brother, foster-brother, sister, step-sister, foster-sister, grandparent, grandchild, cousin, niece, nephew, son-in-law, brother-in-law, daughter-in-law, or sister-in-law, residing in the same or another household.

F. Strategic Technology Solutions (STS): A division of the Tennessee Department of Finance and Administration responsible for managing and operating the IT and support functions of the Tennessee Department of Correction (TDOC).

V. POLICY: STS and TDOC employees shall not be permitted to handle any files, records, or data pertaining to any current or former offenders supervised by TDOC who are friends, acquaintances, associates, custodial relationship, or relative.

VI. PROCEDURES:

ADMINISTRATIVE POLICIES

AND PROCEDURES

State of Tennessee Department of Correction

Effective Date: March 1, 2020 Index #: 109.07 Page 2 of 2

Subject: CODE OF CONDUCT FOR TDOC AND STRATEGIC TECHNOLOGY SOLUTIONS (STS) EMPLOYEES

A. All STS and applicable TDOC employees shall annually sign the TDOC Code of Conduct, CR-3112.

B. All STS and applicable TDOC employees will review TCA 39-14-601 through 603 found at http://www.michie.com/tennessee.

C. Contacts between STS and applicable TDOC employees and offenders who are friends, acquaintances, associates, or to whom they are related, who are under the supervision of the TDOC will be through administrative or operational channels only.

D. STS employees who are assigned to the TDOC shall immediately disclose any relationship with offenders who are in the custody or under the supervision of the TDOC. The executive IT Director/designee shall ensure that STS employees annually sign the Code of Conduct for TDOC and/or STS Employees, CR-3112.

E. Any breach of this code of conduct by a TDOC employee constitutes grounds for disciplinary action up to and including termination of employment by the Department. A breach of this conduct by an STS employee constitutes grounds for the TDOC Commissioner/designee to recommend to the Finance and Administration Commissioner/designee disciplinary action up to and including termination of the STS employee.

VII. APPLICABLE FORMS: CR-3112.

VIII. ACA STANDARDS: 4-4095 and 4-4101.

IX. DIVISION OF PRIMARY RESPONSIBILITY: Office of Human Resources.

file://bi01sdcwf00001/TDOC/DOCS/Policy/Forms%20Listed%20Within%20Policy/CR3112-TDOC%20Code%20of%20Conduct.pdf

Index #: 110.01 Page 1 of 7 Effective Date: July 21, 2023 Distribution: A

Supersedes: 110.01 (11/15/19)

Approved by: Frank Strada

Subject: NEW EMPLOYEE ORIENTATION AND PRE-SERVICE (BASIC) TRAINING

I. AUTHORITY: TCA 4-3-603, TCA 4-3-606, TCA 4-1-116, TCA 41-1-407, and Prison Rape Elimination Act of 2003 standard 115.31.

II. PURPOSE: To implement policy and procedures for the provision of training for newly hired and rehired Tennessee Department of Correction (TDOC) employees.

III. APPLICATION: To all TDOC employees.

IV. DEFINITIONS:

A. Basic Correctional Officer Training (BCOT): A six-week pre-service program designed to prepare new Correctional Officers (COs) for the conditions personnel can expect while working in an adverse correctional environment and security protection procedures. The students learn the essentials needed to effectively and safely perform in the correctional environment. The first two weeks of the training program are conducted at the hiring facility and the remaining four weeks of the program are facilitated through the Tennessee Correction Academy.

B. Basic Correctional Professionals Training (BCPT): A one-week pre-service program designed to prepare new staff who do not attend BCOT or Basic Probation/Parole Officer Training (BPOT) with the skills and knowledge base needed to effectively and safely perform in the Corrections field.

BCPT- Prisons will be conducted at the institutions by TCA Instructors. BCPT for Community Supervision support staff and Rehabilitation Services staff (BCPT-CS & Rehab) will be conducted regionally. BCPT will be followed with job-specific training, normally conducted on-the-job.

C. Basic Probation Parole Officer Training (BPOT): A six-week pre-service program facilitated onsite at the Tennessee Correction Academy (TCA), designed to provide all new probation/parole officers (PPOs) with the skills and knowledge base needed to effectively and safely perform the duties of a probation/parole officer.

D. On-the-Job Training (OJT): A formalized training experience in which the field training officer/institutional field training officer observes the new correctional officer or probation/parole officer in the actual performance of his/her duties, provides documentation, explanation, demonstration, and practices of specific job tasks. Constructive and corrective feedback will be provided as required.

E. Job Shadowing: An observational learning experience designed to train new employees by having them accompany and observe a trained and experienced employee.

F. New Employee Orientation (NEO): An on-site formalized process designed to introduce and familiarize new employees with information required to function according to job expectations and to give them a broad based operational view of the facility or office as a whole.

G. Pre-service: Basic training courses designed to provide TDOC employees with fundamental knowledge and skills necessary to function according to job expectations.

ADMINISTRATIVE POLICIES

AND PROCEDURES

Effective Date: July 21, 2023 Index # 110.01 Page 2 of 7

Subject: NEW EMPLOYEE ORIENTATION AND PRE-SERVICE (BASIC) TRAINING

H. Probation and Parole Officer (PPO): An officer who serves and protects the public by supervising adult felony offenders by ensuring that standard and special conditions of probation and/or parole are met.

V. POLICY: All new TDOC employees shall receive New Employee Orientation and Pre-Service Training (as applicable to job classification) prior to being assigned to independent job responsibilities. Further, those placed in security classifications shall also receive on-the-job training prior to independent job assignments.

VI. PROCEDURES:

A. New Employee Orientation (NEO)

1. Full-Time Employees’ NEO: All new full-time TDOC personnel shall complete a 40-hour new employee orientation, ideally in the first week of hire and before attending pre-service

(BCOT, BCPT, BPOT)

New employee orientation for all Institutional employees shall include but not be limited to the following topics:

*TDOC curriculum from TCA **Site specific curriculum

a. Human Resources/Employee Rights and Responsibilities/Code of Conduct

b. Title VI*

c. Insurance/Payroll/Benefits

d. ID Cards/Fingerprints/TB test

e. Respectful Workplace for Staff - Tennessee Department of Human Resources (TDOHR) curriculum

f. Institutional/Facility Mission, Vision and Goals**

g. TDOC Overview including Public Safety Act (PSA) and Seamless Supervision *

h. Fire and Safety**

i. Security and Custody Levels

j. Overview of TRICOR and Rehabilitative Services*

k. Drug-free Workplace*

l. Staff/Offender Sexual Misconduct*

m. Overcoming Manipulation*

n. Control of Contraband*

o. Role of the Law Enforcement Unit (LEU)*

p. Tool Control and Key Control*

q. Working with Mentally Ill Inmates*

r. Critical Incident Stress Management (CISM)*

s. Prison Rape Elimination Act (PREA) - TDOC curriculum or NIC online course

Effective Date: July 21, 2023 Index # 110.01 Page 3 of 7

t. Situational Awareness

u. 4-minute Response, Bloodborne Pathogens, HIV/AIDS/TB*

v. Emergency Operation Plan**

w. Employee Assistance Program (EAP)*

x. Be The One Suicide Prevention*

y. Communication, Professionalism, and Command Presence*

z. TDOC Uniform Policy

aa. Institutional/Facility Tour and Duty location/work site-specific tour**

2. Job shadowing shall be mandatory for all new full time correctional officer and probation/parole officer series employees and is highly recommended for all new TDOC employees. When job shadowing, new employees shall observe various post and assignments under the guidance of an experienced employee in that job classification. Under supervision of an experienced employee, the new employee may be allowed to perform limited duties during job shadowing:

a. After receiving his/her initial briefing of post duties and responsibilities,

b. After reading and signing post orders, (as applicable)

3. Part-time employees, volunteers, contract staff, and other transfer employees NEO: Part-time employees, volunteers, contract staff, and employees who are permanently (not temporarily, to cover staff shortages) transferring from one location to another shall receive a minimum of 20 hours of work site orientation appropriate to their assignments. The following topics must be covered in addition to work site/duties training. Additional topics are to be added to this NEO as required by the supervisor:

*TDOC Curriculum from TCA ** Site Specific

a. Emergency Operation Plan **

b. Fire and Safety **

c. 4-minute Response, Bloodborne Pathogens, HIV/AIDS/TB*

d. TDOC Overview *

e. Overcoming Manipulation *

f. Staff/Offender Sexual Misconduct *

g. Role of LEU *

h. Control of Contraband *

i. PREA (TDOC-curriculum or NIC online course)

4. Central Office and TCA employees NEO: All new full-time employees in Central Office and the TCA shall receive a minimum of 40 hours of orientation prior to being assigned independent job responsibilities. Training shall be documented using New Employee Orientation form, CR- 3563.

Effective Date: July 21, 2023 Index # 110.01 Page 4 of 7

5. Community Supervision and Rehabilitation Services Employees NEO: All new Community Supervision and Rehabilitation Services staff must attend NEO, prior to being assigned independent job responsibilities and/or before unsupervised offender contact occurs. NEO for Community Supervision and Rehabilitation Services (NEO-CS&Rehab) will be conducted regionally, one cohort in each East, Middle, and West region, typically in the week prior to each scheduled BPOT Cohort Week 1.

B. Pre-Service Training Requirements

1. Non-Security Staff: All new TDOC non-security employees assigned to Prisons, Community Supervision offices, and DRCs/CRCs must attend Basic Correctional Professionals Training (BCPT) one-week pre-service training before being assigned independent job responsibilities and/or before unsupervised offender contact occurs. BCPT-Prisons shall typically be conducted at each institution in collaboration with each BCOT Cohort Week 1. BCPT-CS&Rehab will be conducted regionally, typically in each BPOT Cohort Week 1. All pre-service training shall be facilitated by Tennessee Correction Academy Regional Instructor staff and TDOC Adjunct Instructors, in compliance with American Correctional Association standards.

2. Security Staff:

a. All new security facility employees must attend Basic Correctional Officers Training (BCOT) six-week pre-service training before being assigned independent job responsibilities and/or before unsupervised offender contact occurs.

b. All new PPOs must attend Basic Probation/Parole Officer Training (BCOT) six-week pre-service training before being assigned independent job duties and/or before unsupervised offender contact occurs.

3. Correctional Counselors: All new correctional counselors shall complete BCPT, plus Initial Correctional Counselor training (CCT) program, and Initial RNA training/certification before being assigned a caseload; and Instructor Development Course for Adjuncts (IDC-T4T-ADJ) before being assigned to teach any classes.

4. The institutional training specialists shall meet with all new full-time institutional employees prior to pre-service training to discuss:

a. The general purpose of pre-service training

b. How the person can prepare him/herself to gain the most from training

c. The subject matter to be covered

d. The kind of performance expected from the person in the classroom

e. Opportunities to be provided to allow the employee to apply the new knowledge

f. How newly gained skills shall be used when the training is completed

g. The requirement that they read the Academy’s Trainee Handbook prior to attending.

Effective Date: July 21, 2023 Index # 110.01 Page 5 of 7

C. Rehired TDOC Employee Training Requirements, Examinations, and Qualifications:

1. Re-Hired Employees in the CO Series: All rehired TDOC employees who originally completed their pre-service training program and who have been separated from TDOC for less than two years, including those who were away on active military service for more than 12 months but less than 24 months, shall attend an abbreviated version of pre-service training. Employees who are away on active military service are not considered to be separated from TDOC service, and typically can return from a 12-month deployment without any further training to the duties they performed before they left. If there has been a new duty or responsibility added to their job series while they were away, they must receive that training.

a. Rehired employees in the CO series who have been separated for more than two years and less than three years are also eligible for an abbreviated version subject to the Warden/Superintendent written approval. Factors such as prior length of service and past work history including disciplinary actions during TDOC service; reasons for separation;

other employment during separation shall be considered. Such written approval shall be maintained in the employee’s training file.

b. This abbreviated training shall consist of On-The-Job (OJT) and the following classes, plus any other training the Warden/Superintendent deems necessary for this employee based on the review. The classes are all self-paced online classes in the LMS, except for the skills portion of CPR/First Aid/AED.

i. Be The One Suicide Prevention

ii. Drug Free Workplace

iii. Use of Force Continuum and Law

iv. Overcoming Manipulation

v. STG Identification refresher

vi. Contraband and Search

vii. Staff/Inmate Sexual Misconduct

viii. Control of Contraband

ix. Role of Law Enforcement

x. TDOC Overview

xi. Working with Mentally Ill Inmates

xii. Tool Control and Key Control

xiii. Title VI

xiv. PREA

xv. Code of Conduct/Ethics

xvi. Restrictive Housing

xvii. Population Count

Effective Date: July 21, 2023 Index # 110.01 Page 6 of 7

xviii. Abusive Conduct in the Workplace

xix. 4-Minute response, Bloodborne Pathogens, HIV/AIDS, TB

xx. Respectful Workplace Refresher: Renewing My Commitment - self-paced in Edison

xxi. CPR/First Aid/AED (if expired) - self-paced module in LMS plus hands-on skills certification by Instructor

c. All rehired employees in the CO series must pass a physical examination and psychological examination per Policy #305.06 prior to the offer to re-hire.

d. Rehired COs must recertify in firearms proficiency per Policy #506.09. Failure to obtain the required score during the requalification session will require the officer to return to TCA to repeat the initial firearms training and qualification with the next available BCOT pre-service class. Until weapons qualification is confirmed, a re-hired officer may be placed on posts that do not require armed officers.

e. Following these required trainings, the employee can be assigned independent job responsibilities and unsupervised offender contact.

2. Re-Hired Non-Security Institutional Employees: All rehired non-security institutional employees who originally completed their prescribed pre-service training curriculum and have been separated from TDOC for less than one year (i.e., counselors, maintenance personnel, food service staff, medical staff, etc.) shall complete the appropriate 40-hour in-service training course (including Day 1 mandatory core training) at the earliest scheduled offering. All non-security institutional employees returning from over a year of active military duty shall attend a minimum of 20 hours of work site orientation appropriate to their assignments, followed by the appropriate 40-hour in-service training at the earliest scheduled offering.

3. Re-Hired Community Supervision Employees: All rehired re-hired employees in Community Supervision, including PPOs and support staff who originally completed their prescribed pre-service training curriculum and who have been separated from TDOC for less than one year shall attend an abbreviated version of pre-service training. This abbreviated training shall consist of New Employee Orientation (NEO-CS&Rehab) plus Annual In-Service training required for particular job classification. For re-hired PPOs, this is to be followed by select Basic Probation Parole Officer Training classes identified below:

a. Risk and Needs Assessment (Booster or Refresher as assessed by RNA Specialists)

b. Standards of Supervision (must attend with current BPOT Cohort)

c. Home and Personal Searches (may complete with In-Service class)

4. All rehired employees in the Community Supervision series, including PPOs and support staff, who originally completed their pre-service training curriculum and who have been separated from TDOC for less than one year shall receive a minimum of 30 hours of work site orientation appropriate to their assignments, followed by BCPT-CS&Rehab for support staff, and BPOT for a PPO.

Effective Date: July 21, 2023 Index # 110.01 Page 7 of 7

D. Internal Transfers training: All current TDOC staff who transfer into the CO series will complete the full BCOT Academy and all current TDOC staff who transfer into the PPO series will complete the full BPOT Academy, with the exception that those current staff who previously completed the Close Quarter Personal Defense Level 1 (CQPD-1) training and have continued to attend CQPS-1 in annual In-Service, are not required to re-attend that training during their BCOT or BPOT Academy.

E. New Hire COs with prior law enforcement academy training: New hire COs who have prior CO experience with another agency may attend Abbreviated BCOT Training in lieu of the full BCOT Academy. Transcripts and certificates of completion of all related training will be reviewed by TCA Training management on a case-by-case basis. A written evaluation of the documentation submitted, detailing which trainings are accepted as equivalent with a list of the specific TDOC classes/trainings that are required shall be forwarded to the Training Specialist and filed in employee’s Training file.

F. Part-time COs: Part-time Cos must complete the full BCOT programs. If one has prior law enforcement experience, then transcripts and certificates of all related training will be reviewed by TCA Training management on a case-by-case basis. A written evaluation of the documentation submitted, detailing which trainings are accepted as equivalent, with a list of the specific TDOC classes/trainings that are required, shall be forwarded to the Training Specialist, and filed in the employee’s Training file.

Part-time COs that are able to attend BCOT training in a full-time capacity should attend with a scheduled BCOT Cohort, then they can be scheduled for part-time work shifts. Those who can only train on part-time hours may not be assigned to a work shift until the full BCOT training requirement is completed.

VII. APPLICABLE FORMS: CR-3563.

VIII. ACA STANDARDS: 2-CO-1D-05, 5-ACI-1D-17, 1-CTA-3A-02, 4-APPFS-3A-05, 4-APPFS-3A-08, and 4-APPFS-3A-14 through 4-APPFS-3A-18.

IX. DIVISION OF PRIMARY RESPONSIBILITY: Office of Human Resources.

file://bi01sdcwf00001/TDOC/DOCS/Policy/Forms%20Listed%20Within%20Policy/CR3563-New%20Employee%2040%20Hour%20Orientation.pdf

ADMINISTRATIVE POLICIES

Index #: 110.01 Page 1 o f 1 Effective Date: April 10, 2025 AND PROCEDURES Distribution: A State of Tennessee

Department of Correction Supersedes: N/A Approved by: Frank Strada

Subject: NEW EMPLOYEE ORIENTATION AND PRE-SERVICE (BASIC) TRAINING

CR-0392(Rev. 07-23) Duplicate as Needed RDA 11368

POLICY CHANGE NOTICE 25-06

PURPOSE: This Policy Change Notice (PCN) removes Abusive Conduct in the Workplace as a separate class from Respective Workplace Refresher training for staff. DOHR has combined these classes.

INSTRUCTIONS: Print this PCN and attach it to the front of all hardcopy versions of Policy #110.01, New Employee Orientation and Pre-Service (Basic) Training.

CHANGES TO POLICY:

Section VI.C.1.b.xviii is revised as follows (deleted text):

xviii. Abusive Conduct in the Workplace.

Index #: 513.12 Page 1 of 4

Effective Date: January 15, 2021

Distribution: B

Supersedes: 513.12 (12/1/16)

PCN 17-4 (1/15/17)

Approved by: Tony Parker

Subject: EVIDENCE BASED PROGRAMS

AND PROCEDURES

I. AUTHORITY: TCA 4-3-603; TCA 4-3-606.

II. PURPOSE: To establish the procedures for the use and consistent implementation of Evidence Based

Programs (EBP) specifically targeted at reducing offender risk to recidivate.

III. APPLICATION: All Tennessee Department of Correction (TDOC) institutional and community supervision staff, Deputy Commissioner/General Counsel of Administration, Assistant Commissioner of Prisons, Assistant Commissioner of Rehabilitative Services, Tennessee Corrections Academy and training staff, contract staff, offenders, and privately managed institutions.

IV. DEFINITIONS:

A. Community Supervised Adult Felon: Any individual 18 or above who has been convicted of a felony and is currently under supervision of probation or parole.

B. Enrichment Programs: For the purpose of this policy, any faith-based, or skill-based program facilitated by anyone other than TDOC employees. This includes volunteers, mutual self-help groups, sponsors, etc.

C. Evidence-Based Programs: Services for which systematic empirical research has provided evidence of statistically significant effectiveness of treatments for specific problems that will lead to a lower rate of return to incarceration.

D. Incarcerated Adult Felon: Any individual age 18 or above who has been convicted of a felony and is currently incarcerated in a TDOC facility.

E. Incarcerated Juvenile Felon: Any individual under the age of 18 who has been convicted (as an adult) of a felony and is currently incarcerated in a TDOC facility.

F. Office of the Inspector General (OIG): A TDOC staff member designated by the Commissioner to oversee compliance of all providers under contract that provides programs and services in accordance with Policy #205.02.

G. Qualified Trainer: For purposes of this policy, an individual who has been credentialed or certified to provide various training such as Thinking for a Change, Cognitive Behavioral

Therapy, and so forth.

H. Specialized Evidence Based Program Facilitator: Correctional or Behavioral Health staff who have received and successfully completed specialized training by a qualified trainer in delivering evidence-based programs.

Effective Date: January 15, 2020 Index # 513.12 Page 2 of 4

I. Texas Christian University Criminal Thinking Scale: Designed to measure criminal thinking and cognitive orientation across six scales including entitlement, justification, personal irresponsibility, power orientation, cold heartedness and criminal rationalization.

J. Texas Christian University Social Functioning Scale: Designed to measure social functioning across four scales including hostility, risk taking, social support and social desirability.

V. POLICY: All programs facilitated by TDOC staff, including community supervision staff and contract staff, will follow the criteria and implementation standards for evidence-based programs.

VI. PROCEDURES:

A. Evidence Based Program Criteria:

1. Consideration shall be given to practices that have been measured, validated, and demonstrated to be reliable, and have shown statistical significance related to efficacy for reducing recidivism.

a. Experimental/control research design, with well-established psychometric properties and/or from a peer reviewed journal, for the incarcerated adult felon population, the incarcerated juvenile felon or community supervised adult felon population.

b. Significant sustained reduction in recidivism.

c. Multiple replications of EBP with the incarcerated adult felon population, the incarcerated juvenile felon or community supervised adult felon population.

d. Preponderance of all evidence supports program’s effectiveness as delineated by an exhaustive literature review, conducted by the Specialized EBP Facilitator or the Director of Behavioral Health Services, and/or designee; as instructed in

VI.(B).

2. Significant and sustained effects are measured by large longitudinal studies (ones that follow the incarcerated adult felon population, the incarcerated juvenile felon or community supervised adult felon population for several months or years) that verify that reducing criminal behavior is sustained over time.

3. Research that has been conducted on an incarcerated adult felon population, the incarcerated juvenile felon or community supervised adult felon population over a longitudinal period of time.

B. EBP Implementation:

1. In order to implement EBPs into institutions or community supervision, the criteria must be followed in Section VI.(A).

2. Prior to implementation, a request must be sent to the Director of Behavioral Health

Services for evaluation [1] to ensure the institution or community supervision office has the adequate resources and staffing [2] for a review of the program to ensure the criteria

Effective Date: January 15, 2020 Index # 513.12 Page 3 of 4 for EBP is applicable to the incarcerated adult felon population, the incarcerated juvenile felon or community supervised adult felon population.

3. Once the Director of Behavioral Health Services completes the evaluation, a recommendation will be submitted to the Assistant Commissioner of Rehabilitative

Services for final approval or denial.

4. EBPs must be implemented in accordance with the same standardized practices that were utilized when determining that the program met all evidence-based criteria.

Therefore, EBP implementation will require the exact replication of program delivery which includes the program design, program hours, and program duration.

5. Institutions and Community Supervision offices will not implement or discontinue

EBPs without the written approval of the Director of Behavioral Health Services and

Assistant Commissioner of Rehabilitative Services.

6. The Associate Warden of Treatment or District Director will notify the Director of

Behavioral Health Services of any reassignment of Specialized EBP Facilitators within three business days of the reassignment. Specialized EBP Facilitators include any correctional or behavioral health staff that facilitates EBPs.

C. EBP Facilitator Training Requirements:

1. Training for Specialized EBP Facilitators will be coordinated through the TDOC

Training Division to ensure consistency and effectiveness.

2. In order to qualify as a Specialized EBP Facilitator at an institution or community supervision office, training must be completed in the research on using evidence-based interventions and the theoretical foundation of that research.

3. The institution and community supervision office must keep documentation/statement of proof that a Specialized EBP Facilitator has completed the necessary training to facilitate specified EBP. Training records will be forwarded;

a. For the institutions to the Institutional Training Director.

b. For Community Supervision to the Parole/Probation Manager.

c. For the Day Reporting Centers (DRC) to the DRC Director and Regional Training

Instructor.

4. The Specialized EBP Facilitator will be provided appropriate and adequate facilitator materials prior to inception of EBP into institution or community supervision office.

D. Monitoring the Impact of EBPs:

1. The Specialized EBP Facilitator will administer pretest by using the Texas Christian

University (TCU), Criminal Thinking Scale (CTS) and TCU Social Desirability Scale

(SOC) to each individual during the program orientation. Upon completion of the program, the facilitator will administer the TCU, CTS and SOC posttest.

Effective Date: January 15, 2020 Index # 513.12 Page 4 of 4

2. The Specialized EBP Facilitator will submit TCU, CTS and SOC pre and post test scores for every participant to the OIG designee.

3. To ensure the quality of EBP’s effectiveness, the Director of Behavioral Health Services will establish outcome data to measure the program’s effectiveness. The Specialized

EBP Facilitator’s will submit a monthly summary of the output data to the OIG by the

7th working day of each month.

4. OIG designee will provide a quarterly and annual report of program outcome data to the

Director of Behavioral Health Services.

5. The Director of Behavioral Health Services or designee will conduct a review of any

EBP that does not meet standardized goals of the specified program. Upon the completion of the review, the Director of Behavioral Health Services will make recommendations to the Assistant Commissioner of Rehabilitative Services of a plan of improving the quality and effectiveness of the EBP. The recommendation can also include discontinuation of a program.

6. The Director of Decision Support: Research and Planning will provide annual recidivism data upon the request from the Director of Behavioral Health Services. The

Director of Behavioral Health Services will request EBP recidivism data by May of each year. The Director of Behavioral Health Services will report the findings to the

Deputy Commissioners, Assistant Commissioners, Chief Financial Officer, Chief of

Staff, and the Commissioner.

E. Enrichment Programs: Institutional and community supervision staff will not be assigned to facilitate any Enrichment Program that does not meet EBP criteria.

VII. APPLICABLE FORMS: None.

VIII. ACA STANDARDS: 5-ACI-5E-01, 5-ACI-5E-06, 5-ACI-5E-11, 2-CO-4F-01, 4-APPFS-2A-07, and

4-APPFS-3D-09.

IX. DIVISION OF PRIMARY RESPONSIBILITY: Office of Clinical Services.

Index #: 705.07 Page 1 of 10

Effective Date: June 1, 2019

Distribution: C

Supersedes: 705.07 (6/15/16)

Approved by: Tony Parker

Subject: COMMUNITY SUPERVISION OFFENDER GRIEVANCE PROCEDURES

I. AUTHORITY: TCA 4-3-603, 4-3-606, TCA 4-21-203, TCA 4-21-904, TCA 4-21-905, 40-28-602, Title VI of the Civil Rights Act of 1964 compiled in 42 USC 2000d et seq.

II. PURPOSE: To establish a standard grievance process for all offenders under the supervision of the Tennessee Department of Correction (TDOC) Community Supervision Division.

III. APPLICATION: Assistant Commissioner of Community Supervision (ACCS), Correctional Administrators (CA), all Tennessee Department of Correction (TDOC) Community Supervision staff, and offenders under TDOC Community Supervision.

IV. DEFINITIONS:

A. Central Office Title VI Coordinator: A TDOC employee appointed to adjudicate Title VI allegations and monitor compliance for the Department.

B. Complaint Under Title VI Civil Rights Act of 1964 (CR-3893): The TDOC document used by offenders to write or communicate any perceived infringements of their rights as defined by Title VI of the Civil Rights Act of 1964.

C. Emergency Grievance: The resolution of a grievance that, if subjected to the normal time limits, could cause the grievant substantial risk of personal injury or irreparable harm.

D. Grievance: A good faith complaint concerning the substantive and/or procedural policy or practice of TDOC, as well as any staff member’s misconduct directed toward an offender.

E. Grievance Process: The administrative means for the expression and resolution of offender complaints.

F. Hearing: In this instance, a face to face interview with an offender who has filed a grievance or subsequent appeal.

G. Offender Grievance (CR-3917): The official document that is used by offenders to file a complaint, state a problem, and communicate any desirable resolutions to their stated issues.

H. Title VI of the Civil Rights Act of 1964 (Title VI): A federal statute which states that “No person in the United States shall, on the ground of race, color or national origin, be excluded from participation in, be denied the benefits of, or be subjected to discrimination under any program or activity receiving federal financial assistance.”

I. Title VI Site Coordinator: A TDOC Community Supervision employee designated by the District Director (DD) at each district office to review all Title VI complaints at the district level.

ADMINISTRATIVE POLICIES

AND PROCEDURES

Effective Date: June 1, 2019 Index #705.07 Page 2 of 10

Subject: COMMUNITY SUPERVISION OFFENDER GRIEVANCE PROCEDURES

V. POLICY: The TDOC ensures an impartial grievance process for all offenders supervised under Community Supervision.

VI. PROCEDURES:

A. Offender Rights:

1. Community Supervision staff shall inform offenders of their right to file grievances, free from any fear or reprisal, and to have any complaints processed in a timely and impartial manner.

2. The intake officer and/or the offender’s assigned officer shall explain the grievance process to the offender during the initial contact or interview.

a. The officer shall secure the offender’s signature on Notice to Offender of Non- Discrimination and Grievances and Reporting Requirements, CR-3884, as a means of confirming the offender’s understanding of the grievance process.

b. The officer shall provide the offender with a copy of the signed CR-3884 and maintain the original in the offender’s case file pursuant to Policy #706.01.

(1) The right of a person to a prompt and equitable resolution of a Title VI complaint shall not be impaired by the person’s pursuit of other remedies such as the filing of a complaint with the responsible federal department or agency.

(2) Use of the TDOC grievance procedure is not a prerequisite to the pursuit of other remedies, but is highly encouraged.

3. During the intake process, the officer shall inform offenders of their right to request Offender Grievance, CR-3917, from any Community Supervision staff members.

a. When providing CR-3917, staff shall not question the offender’s motives or attempt to discuss the details of the offender’s complaint at that time.

b. Community Supervision staff shall instruct the offender to complete CR-3917 and return it to a Probation Parole Manager (PPM).

c. Community Supervision staff shall instruct the offender to write legibly on the appropriate form as follows:

(1) Complaint under Title VI Civil Rights Act of 1964, CR-3893, shall be provided to offenders whose grievance is related to Title VI of the Civil Rights Act of 1964.

(2) Offender Grievance, CR-3917, shall be provided to offenders for all other complaints.

d. When an offender is unable to read or write, but wishes to file a grievance, Community Supervision staff shall write, verbatim, the offender’s statement and read the statement back to the offender. The documenting staff member shall indicate on the statement that the statement was dictated by the offender. The staff member shall sign and date the grievance followed by the statement “on behalf of the offender.”

4. Community Supervision staff shall inform offenders of their right to have any complaints or concerns objectively reviewed and heard through the grievance process.

B. Grievance Process:

1. An offender may file a grievance with any Community Supervision manager within five business days following a grievable incident on the Offender Grievance, CR-3917. For Title VI grievances, see Section VI.(E)(1).

a. Staff members shall document the date the grievance is received.

b. Staff members shall ensure the offender signs and dates the grievance form and ensure the complaint is made within the time frame limitations.

c. For any grievance filed on employees directly supervised by a PPM, staff members shall forward the grievance form to the assigned PPM. However, if a grievance is filed against a PPM or District Director (DD), the PPM’s or DD’s supervisor shall initiate the grievance investigation process.

2. The grievance shall be assigned as follows:

a. If the grievance is substantive or procedural in nature, and not specifically against an employee, the PPM who supervises the offender’s officer shall be assigned to investigate the allegations of the grievance.

b. If the grievance specifically names Community Supervision staff member(s), the grievance shall be forwarded to the staff members PPM for investigation.

c. If the grievance specifically names a PPM, the DD shall investigate the offender’s complaint. If the grievance specifically names a DD, the CA shall investigate the offender’s complaint. If the grievance specifically names a CA, the ACCS or designee shall investigate the complaint.

d. The DD shall maintain a binder of Grievance Tracking, CR-3899, for logging and tracking grievances received in his/her district.

(1) PPM, DD, and CA shall be provided access to log the individual grievances he or she receives.

(2) As appropriate, the PPM, DD, or CA shall use the Grievance Tracking form to document the disposition of the grievance per instructions in the Tracking Offender Grievances Job Aid.

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3. The assigned PPM shall meet with the offender, review the offender’s concerns, and attempt to resolve the offender’s complaints within five business days of receipt.

a. The PPM shall provide a non-threatening environment in which the offender can voice his/her concerns and/or complaints.

b. The PPM shall provide equal opportunity to meet privately with the offender and any staff member listed in the complaint.

c. Any staff member listed in the complaint shall be afforded three business days to prepare a written response to the offender’s allegations.

d. The PPM shall forward emergency grievances and grievances that allege a staff member’s criminal, unethical, or sexually inappropriate conduct immediately to the Office of Investigation and Compliance through the ACCS. The PPM shall notify the DD of the allegations contained in the offender’s grievance.

4. The PPM shall provide written notification to the offender on Offender Grievance, CR-3917, explaining the outcome of the investigation and any decision regarding the offender’s grievance.

a. The offender shall sign and acknowledge the decision of the PPM on CR-3917.

b. The PPM shall inform the offender of his or her right to appeal to the DD within five business days of receiving the decision.

c. The PPM shall maintain all documentation pertaining to the grievance and investigation if the offender fails to appeal the decision within the time limitations established in this policy. Such documentation shall be filed separate from the offender’s case file. The grievance paperwork shall be maintained for three years from the final disposition date.

d. The PPM shall enter the disposition date for the offender’s grievance on the Grievance Tracking, CR-3899.

C. Appeals Process

1. Upon receipt of an appeal, the DD shall schedule a hearing within ten business days.

a. The DD shall coordinate a meeting time and location with the offender and any related staff members.

b. The DD shall send written notification of the meeting time, location, and subject matter to the offender and any related staff member.

2. The DD shall base his or her decision on all available information

a. Both the offender and any associated staff member may call witnesses and present information pertinent to the complaint.

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b. The DD may not render a default decision in favor of TDOC and/or the related staff member if the offender fails to attend the meeting; however, any offender who fails to attend his/her appeals hearing, waives the right to further review.

c. The DD shall issue a written decision within 20 business days of receiving the grievance appeal.

(1) The DD shall distribute copies of the written decision along with a clearly stated rationale to the offender and related staff member

(2) The DD shall maintain files of all documents pertaining to the appeal and hearing separate from the offender’s case file.

(3) The DD shall inform the offender, if he/she attends the hearing, of his/her right to appeal to the district’s regional CA within five business days after receiving the written decision.

(4) The offender’s failure to properly appeal within five working days renders the decision final, and the offender waives any right to further review.

(5) The DD shall enter the disposition date for the offender’s grievance on Grievance Tracking, CR-3899.

d. The offender shall sign and acknowledge the decision of the DD on the Offender Grievance, CR-3917.

3. In the event of a properly filed appeal, the DD shall forward all relevant information and paperwork to the district’s regional CA for review.

a. The CA shall review the grievance, and issue a written decision along with a clearly stated rationale within 20 business days.

b. The CA shall distribute copies of the appeal disposition to the DD, PPM, the offender, and appropriate staff member.

(1) The DD shall file the CA’s decision in the file created for the offender’s grievance.

(2) The DD shall enter the disposition date for the offender’s appeal to the CA on CR-3899.

4. If the offender still feels his or her grievance is unresolved, he/she may appeal to the ACCS within five business days.

a. The ACCS shall issue a written decision within ten business days and distribute a copy of the finding to the DD.

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(1) The DD shall file the ACCS decision in the file created for the offender’s grievance.

(2) The DD shall enter the disposition date for the offender’s appeal to the ACCS on the Grievance Tracking, CR-3899.

b. All appeal decisions made by the ACCS are final.

c. No further appeal options exist for the offender.

5. Any findings in favor of the offender’s grievance shall result in appropriate and necessary steps to resolve the issue.

6. The PPM or DD shall document the level of review or appeal, applicable dates, and outcomes on CR-3899.

7. The DD shall transmit CR-3899 to his/her regional CA annually.

8. The original Offender Grievance, CR-3917, shall be kept on file with the DD for three years from the final disposition date.

D. Examples of Grievable Matters:

1. Offenders may legitimately grieve matters pertaining to TDOC policy, procedures, and staff actions that affect the offender personally and which the TDOC has jurisdiction.

Examples include:

a. The way Community Supervision staff interprets and applies TDOC policy and procedures, or the lack of a policy or procedure that directly impacts the offender’s supervision within the community.

b. Inappropriate actions of Community Supervision staff to include abusive or distasteful language directed at the offender or the offender’s family, sexual abuse or harassment, and conflicts of interest.

c. Reprisal for the good faith use of or participation in the grievance process.

d. Denial of access to available programs.

2. Offenders may not legitimately grieve matters that include, but are not limited to, the following:

a. Federal and state laws.

b. Court ordered supervision rules, program requirements, and special conditions as well as parole rules and conditions imposed by the Board of Parole.

c. Classification or supervision level.

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d. Warrants for violation of probation or parole and/or punitive sanctions for failure to comply with the conditions of probation or parole.

e. Pre-sentence investigation reports or probation parole officer testimony to the court or the Board of Parole.

f. Final decisions concerning prior grievances.

3. When duties required of TDOC staff as set forth in this policy are not feasible, for legitimate reasons, the ACCS, the CA, or the DD may appoint a designee to carry out the specific duties. Actions taken by such designee carries the full force and authority.

E. Additional Procedures Applicable to Title VI Offender Grievances:

1. Offenders may file a Title VI grievance within 180 days of the perceived violations of the Title VI Civil Rights Act of 1964.

2. At each location, the DD shall designate both a Title VI Site Coordinator and an alternate to review and ensure that an appropriate response to any allegation of violation under all Title VI offender complaints is provided to offenders.

a. Community Supervision staff shall provide the offender with the Complaint under Title VI Civil Rights Act of 1964, CR-3893.

b. Community Supervision staff shall refer the offender immediately to the designated site coordinator.

c. When the offender refuses to provide a written Title VI related complaint, any Community Supervision staff member taking the verbal complaint shall put the offender’s statement into writing and forward it to the designated site coordinator.

3. The Title VI Site Coordinator shall:

a. Initiate an investigation of the complaint within 24 hours of receipt on the Title VI Complaint Investigation, CR-3886. (See Policy #501.01);

b. Complete the investigation within five business days;

c. Complete the applicable fields on CR-3893;

d. Submit the outcomes and CR-3886 to the Central Office Title VI Coordinator;

e. Process one Title VI allegation received from an offender at a time; and

f. Log the complaint on the Title VI Complaint Tracking, CR-3902.

4. The Central Office Title VI Coordinator shall:

a. Review all Title VI grievances to determine whether the complaints are accurately considered non-jurisdictional;

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b. Enter each Title VI complaint into a database and assign a tracking number;

c. Review complaints and make a determination based on the investigative findings of the Title VI Site Coordinator;

d. Notify the Title VI Site Coordinator of the decision within 30 business days; and

e. Maintain copies of all Title VI offender grievances and responses.

5. All non-offender complainants shall submit details of alleged violations to the respective Title VI Site Coordinator.

a. Non-offender complainants may submit details of allegations in writing or through direct communication with any Community Supervision staff member.

b. The Community Supervision staff member taking the complaint shall document any complainant’s verbal Title VI grievance or allegations not set forth in writing.

6. If the Central Office Title VI Coordinator determines that the allegation is not a Title VI violation, then the Title VI Site Coordinator shall maintain all documentation in a separate file.

7. If the Central Office Title VI Coordinator determines the allegation is a violation of Title VI, then he or she shall do as follows:

a. Uphold or overrule the Title VI Site Coordinator investigative findings;

b. Determine the need for and document any necessary remedy to redress the violation immediately on Complaint under Title VI; and

c. Notify the Title VI Site Coordinator of the remedy for implementation.

8. The Title VI Site Coordinator shall document and maintain the approved remedy in the designated file. The Title VI Site Coordinator shall also document the disposition of the complaint on CR-3902.

9. Offenders may appeal the Title VI grievance decision to the Commissioner or designee on the Title VI Complaint Appeal of Finding, CR-3895.

a. All appeals must be submitted within ten business days of receiving the decision.

b. The offender shall specify the reason(s) for the appeal.

c. The Commissioner, or designee, shall notify the Title VI Site Coordinator of the decision within 25 business days.

d. The Title VI Site Coordinator shall document the level of appeal and the date of the final decision on the Title VI Complaint Tracking, CR-3902.

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10. The assigned tracking number must be included on all documentation submitted to Central Office for review of an appeal.

11. Offenders may withdraw Title VI complaints at any time using Title VI Complaint Withdrawal of Complaint or Appeal for Fair Hearing, CR-3919.

12. The Title VI Site Coordinator shall submit CR-3902 to his/her DD on an annual basis.

13. The DD shall forward the Title VI Complaint Tracking, CR-3902, to his/her regional CA along with the Grievance Tracking, CR-3899.

F. Additional Information

1. All grievances shall be processed in a fair, impartial, and timely manner, and every effort shall be made to settle these grievances at the lowest level in the process.

2. The ACCS, CA, DD, and PPM shall appoint a designee to carry out the duties outlined above in the event they are unavailable, for legitimate reasons, to meet the time limitations outlined in this policy.

3. The grievance process must be evaluated annually.

a. The CA shall collate all CR-3899 forms from his/her regions and enter the number and nature of all grievances on the Offender Grievance Tracking workbook, CR-3948, for transmittal to the ACCS or designee.

b. The ACCS, or designee, shall maintain a record of the quantity and nature of disposition of all grievances.

c. These records shall be aggregated and analyzed annually for efficiency and effectiveness.

d. Corrective actions shall be implemented for…