CHAPTER: 100
AGENCY ADMINISTRATION/
MANAGEMENT


OPR:
DIR

DEPARTMENT ORDER MANUAL

DEPARTMENT ORDER: 105

INFORMATION REPORTING

 SUPERSEDES:
SEE ATTACHMENT A
EFFECTIVE DATE:
SEPTEMBER 1, 1996

TABLE OF CONTENTS

PURPOSE
PROCEDURES
105.01 GENERAL OPERATIONAL REPORT PROVISIONS
105.02 ROUTINE ACTIVITY, INFORMATION REPORTS/SPECIALTY REPORTS
105.03 INSTITUTION BRIEFINGS
105.04 REQUIRED DIVISION REPORTS TO THE DIRECTOR
105.05 GOVERNOR'S MONTHLY REPORT
IMPLEMENTATION
DEFINITIONS
ATTACHMENTS

RESTRICTED
105.06 DISCOVERY OF A SIGNIFICANT INCIDENT
105.07 MAJOR DISTURBANCES/HOSTAGE SITUATIONS (January 8, 1999)
105.08 OTHER SIGNIFICANT INCIDENTS
105.09 NOTIFICATIONS/RETENTION OF REPORTS
DEFINITIONS - RESTRICTED

 

PURPOSE

This Department Order establishes report formats and specifies when each type is used, including proper notification and reporting of significant incidents. This Order also requires that specific statistical information and performance measures be tracked and provided to the Director or designee through scheduled reports.

PROCEDURES

105.01 GENERAL OPERATIONAL REPORT PROVISIONS - Staff shall:

1.1 Avoid unnecessary duplication of information by using only the report format(s) that the incident or information to be recorded requires.

1.2 Complete specially formatted Special-Purpose Reports as required by Department or Institution Order, for example, special watch logs, confinement logs and the Inmate Observation Record, Form 70501178.

1.3 Complete additional reports when required by Department or Institution Order, or when directed to do so by a supervisor.

1.4 Ensure that reports that have their own numbering system, (e.g., SIRs) are also assigned a unit report number.

1.5 Ensure the unit report number is consistent on all reports and subsequent follow-up reports generated from the same incident.

1.6 Photocopy original reports and distribute copies if additional copies are required.

1.7 Use a Report Continuation Sheet, Form 40000030, for supplemental information or additional pages of any report that does not have its own continuation form, (e.g., Inmate Discipline).

1.8 Provide all reports with numbers according to the numbering system and complete a Report Log, Form 40000179, as required.

105.02 ROUTINE ACTIVITY, INFORMATION REPORTS AND/OR SPECIALTY REPORTS

1.1 Routine Activity - Staff shall document routine daily activities on a Correctional Service Log, Form 40000033 or a continuous log, including, but not limited to:

1.1.1 Shift activities, events and routine actions.

1.1.2 Inspections of inmate work completion.

1.1.3 Inmate movement or passes issued.

1.1.4 Yard closures and emergency announcements.

1.1.5 Orders and directives.

1.1.6 Any other pertinent information in accordance with Department written instructions.

1.2 Information Reports - Staff shall complete an Information Report, Form 40000029:

1.2.1 When required to do so by Department written instructions.

1.2.2 When directed to do so by a supervisor.

1.2.3 To record any situation, routine incident or information that is not covered by any other report.

1.2.3.1 Staff who are made aware of the death of or incapacitating injury of an off duty employee shall complete an Information Report and notify their Personnel Liaison. The Personnel Liaison shall notify the employee's supervisor and the Assistant Director for Human Resources/Development, through the chain of command.

1.3 Incident Management/use of Force Reports - Wardens, Deputy Wardens or Bureau Administrators shall ensure that staff submit an Incident Management/Use of Force Report, Form 804-2P, for any incident during which any element of the IMS is activated, or in any instance where force is necessary to subdue and inmate.

1.3.1 Staff shall not complete an Incident Report when they have completed an Incident Management/Use of Force Report form as outlined in Department Order #804, Inmate Behavior Control.

1.4 Supervisor Review of Operational Reports and Logs - Supervisors shall:

1.4.1 Regularly inspect and initial the Correctional Service Logs and ensure that log entries are neat, legible, complete and do not contain grammatical errors, and that staff take the appropriate corrective action when deficiencies are noted.

1.4.2 Review all reports, take appropriate action, initial and forward the reports, through the chain of command, to the Warden, Deputy Warden or Administrator.

1.4.3 Forward photocopies of reports requiring corrective action to the appropriate area or organizational unit.

105.03 INSTITUTION BRIEFINGS - Shall be used to distribute and share information, make decisions, and encourage the exchange of communications within the institution’s operations and units.

1.1 Briefing Frequency - Management briefings shall be held Monday through Friday except for state holidays. These briefings are to be scheduled in addition to other required or necessary meetings including those identified in Department Order #112, Department Meetings. Shift Briefings shall occur during the first 15 minutes of each shift, including operations or support services shifts.

1.2 Management Briefings

1.2.1 The Warden’s Office shall schedule an operations briefing on each regular business day at a regularly scheduled time each morning. Designated staff unable to attend shall ensure a representative attends.

1.2.1.1 The following staff shall attend this briefing:

1.2.1.1.1 The institution’s Deputy Warden for Operations who shall be the chairperson and facilitator. In the absence of the Deputy Warden, the highest ranking individual present shall serve as chairperson/facilitator.

1.2.1.1.2 The institution’s Chief of Security.

1.2.1.1.3The Support Services or Operations Captain or Lieutenant.

1.2.1.1.4 The complex Correctional Officer IV.

1.2.1.1.5 The Discipline Hearing Officer.

1.2.1.1.6 The Physical Plant Administrator/Manager.

1.2.1.1.7 The Correctional Education Program Manager.

1.2.1.1.8 The Senior Chaplain.

1.2.1.1.9 The on-duty Shift Commander.

1.2.1.1.10 The complex Occupational Safety Consultant III.

1.2.1.1.11 Other staff as requested.

1.2.2 Each unit Deputy Warden shall conduct a scheduled morning briefing. Designated staff unable to attend shall ensure a representative attends. The following staff shall attend:

1.2.2.1 The Assistant Deputy Warden.

1.2.2.2 The Chief of Security and Chief of Operations.

1.2.2.3 The unit Correctional Officer IV.

1.2.2.4 The Discipline Coordinator.

1.2.2.5 The Support Services Lieutenant or Sergeant.

1.2.2.6 The on-duty Shift Commander.

1.2.2.7 Special Security Unit (SSU) supervisor.

1.2.2.8 The Physical Plant supervisor or maintenance supervisor.

1.2.2.9 The Institutional Classification Committee Chair.

1.2.2.10 Other staff as requested.

1.2.3 The following documents shall be reviewed by staff during the briefing.

1.2.3.1 New and/or revised Department Orders, Director’s Instructions, Institution Orders and Post Orders.

1.2.3.2 Information Reports.

1.2.3.4 Inmate Disciplinary Reports.

1.2.3.5 Correctional Post Journals.

1.2.3.6 Maintenance Work Orders.

1.2.3.7 Detention Reports/Bed Rosters.

1.2.3.8 Other reports/documents relevant for administration and management.

1.2.4 Topics and Specific Discussion Issues - The Warden or Deputy Wardens shall establish an "operational philosophy." Routine briefings afford an opportunity to clarify, elaborate, or explain the who, what, when, where, why, and how of correctional management.

1.2.4.1 In addition to routine discussion of assignments and projects, following are topics that Wardens and Deputy Wardens may consider at each briefing.

1.2.4.1.1 Inmate Dynamics - Daily discussion regarding the changing inmate dynamics occurring within a unit, to include inmate gang-leadership and relationships, the most recent intelligence regarding inmate activity, and the Special Security Unit current cases are important topics for ensuring the unit’s day-to-day stability.

1.2.4.1.2 Classification Issues - The daily briefing provides an opportunity to review and staff individual cases with a group of experts to determine the best course of action. For example, discussion of potential individual inmate classification overrides, either up or down, or a decision to manage out of the unit’s classification matrix may be discussed.

1.2.4.1.3 Inspections and Audits - Preparation for annual inspections is a topic to be addressed and discussed routinely throughout the year. The briefing presents a time for the Warden or Deputy Warden to track issues, provide direction, receive feedback on progress in specific areas and resolve potential problems.

1.2.4.1.4 Sanitation/Maintenance - Discussion should be conducted on an ongoing and continuous basis. The importance of sanitation/maintenance should be reinforced frequently throughout the chain-of-command and must be fully supported by supervisors in order to be successful.

1.2.4.1.5 Food Service - Providing quality meals to the inmate population. Wardens and Deputy Wardens may discuss food service issues for the purposes of ensuring that the food provided meets all approved requirements in quality, temperature, delivery, that service and quality is monitored and evaluated routinely, and that inmate meal counts/projections are accurate.

1.3 Shift Briefings - Shall be conducted at any location that posts uniformed Correctional Officers for duty. These briefings shall be conducted by the shift lieutenant or sergeant or, in the case of an operations or support services function, the assigned supervisor. A briefing book, containing information relayed during the scheduled briefing, shall be maintained for use by staff who have staggered work hours.

1.3.1 At a minimum, the following activities and topics shall be addressed:

1.3.1.1 Written Instructions including Department Orders, Directors Instructions, Institution Orders and Post Orders and memorandums. Discussion may include obtaining written verification of understanding or other methods of ensuring that staff are made aware of the instruction.

1.3.1.2 Post Assignments - Post assignments shall be determined in accordance with approved posting charts in order of priority.

1.3.1.3 Incident Management System (IMS) "A" and "B" response team designation. In accordance with Department Order #706, Incident Management System, and local procedures, "A" and "B" response team members shall be designated prior to the posting of each shift. Teams shall include a minimum of acceptable numbers for each type of response.

1.3.1.4 Designated Armed Response Team (D.A.R.T.) Assignments - In addition to IMS response team assignments, D.A.R.T. assignments, as dictated in local procedures, including the team leader designation shall be identified so that each member knows their role. Supervisors shall ensure that members are appropriately weapons qualified by checking qualification cards.

1.3.1.5 Positive Attendance Reporting - Supervisors shall ensure that Positive Attendance Reports for all staff are maintained and submitted in accordance with Department Order #512, Employee Assignments, Work Hours, Compensation, and Leave.

1.3.1.5 Staff Safety Procedures - Staff safety is the utmost priority for management of an institution. Review of procedures, response(s) to incidents, and other situations require that staff are aware of any changes and/or systems in which staff safety is a concern.

1.3.1.6 General Communications - In order to maintain communication, staff are to be briefed regarding events from earlier shifts and from other Department units and/or facilities as determined appropriate.

1.3.1.7 Security Device Issues - Deficiencies with any security devices are to be identified as outlined in Department Order #703, Security/Facility Inspections. Corrections shall be made in accordance with the appropriate written instruction.

1.3.1.8 Security - All staff are responsible for security issues. Training and other issues related to written instruction/security issues shall be discussed during scheduled briefings.

1.3.1.9 Sanitation - Each unit shall have a comprehensive plan addressing the sanitation, health, and beautification of the physical plant. Such plans shall be on-going, rather than situational, and clearly communicated to all staff.

1.3.1.10 Uniform Inspections - Supervisors shall ensure that staff are in compliance with Department Order #503, Employee Grooming and Dress and other applicable written instructions. Inspections shall be conducted during each briefing to include verifying that staff are in possession of their driver’s licenses, employee identification cards, personal protective equipment (PPE), weapon cards, and other required materials. Inspection results shall be documented in accordance with the appropriate Institution Order.

1.3.1.11 Questions and Answers - Staff are encouraged to ask questions. Supervisors shall encourage questions and provide answers and information as needed.

1.3.2 Supervisors may choose to include one or more of the following on a daily basis:

1.3.2.1 Conducting mandatory 15 minute training modules.

1.3.2.2 Discussing incidents occurring at other institutions or units that provide insight and improvement to unit operations.

1.3.2.3 Advising staff of Physical Plant issues and, when appropriate, prioritizing responses.

1.3.2.4 Communicating general information or a discussion of the Warden's or Deputy Warden's meeting minute highlights.

1.3.2.5 Disseminating Information regarding food service issues.

1.3.2.6 Announcing Employee Recognition or Awards, or charitable campaign activities.

1.3.2.7 Scheduling time for institutional or unit management to address staff.

1.3.2.8 Addressing professional practices appropriate to the prison environment. A discussion of applicable written instructions including sexual harassment, gender discrimination, work place violence responsibilities and other associated equal opportunity issues may be included. Professional behavior as applied to inmate management is an appropriate topic.

1.3.2.9 Developing and allowing staff to participate in a discussion of teamwork and appropriate team building exercises.

1.3.2.10 Discussing "Inmate Programs" as an essential tool in inmate management efforts.

1.3.2.11 Sharing information regarding inspections and/or the results of an inspection in an effort to solve problems and ensure unit compliance with written instructions.

1.3.2.12 Briefing staff in regard to inmate dynamics and intelligence information furthering unit efforts to manage inmate behavior and limit Security Threat Group (STG) activities or other criminal or unauthorized behavior.

105.04 REQUIRED DIVISION REPORTS TO THE DIRECTOR - Deputy Directors/Assistant Directors shall provide statistical information and Performance Measure Tracking to the Director or designee as outlined in this Department Order and applicable Technical Manuals.

1.1 The Director may require additional reports at his sole discretion.

1.2 Quarterly Reports - Quarterly reports are due October 15th, January 15th, April 15th and July 15th of each year.

1.2.1 SECTION DELETED

1.2.2 Arizona Correctional Industries shall submit reports as required by Department Order #115, Authority/Responsibility Delegated to ACI.

1.2.3 The Administrative Services Division shall, in accordance with Department Order #1101, Inmate Access to Health Care, submit a report of health care fees collected and debited.

1.2.4 Prison Operations, using information provided by institutions and Community Corrections, shall submit the following reports. (The reports shall provide male and female data separately.)

1.2.4.1 Inmate cases heard by the Board of Executive Clemency.

1.2.4.2 Inmates granted parole.

1.2.4.3 Inmates eligible for mandatory/provisional release.

1.2.4.4 Inmates granted mandatory/provisional release.

1.2.4.5 Inmates denied mandatory/provisional release.

1.2.5 The Health Services Division shall, in accordance with Department Order 1101, Inmate Access to Health Care, submit a Staff Time Report - Charging for Health Care.

1.2.6 The Inspections and Investigations Division shall submit the following reports:

1.2.6.1 Escapes and escape attempts, by unit.

1.2.6.2 Major disturbances, by unit.

1.2.6.3 Use of force reports, by unit.

1.2.7 The Director's Office, Legal Services/Discovery Unit shall submit a report of the number of lawsuits against the Department, including current status.

1.3 Quarterly Performance Measure Tracking Reports - Quarterly Performance Measure Tracking reports completed on Form 105-4PF are due in accordance with the Department's Office of Strategic Planning and Budgeting Technical Manual. (See 105-T-OSPB.)

1.4 Each Division shall submit a Performance Measure Tracking report to the Department's Office of Strategic Planning and Budgeting in accordance with Technical Manual 105-T-OSPB.

1.5 The Department's Office of Strategic Planning and Budgeting shall aggregate the Division Performance Measure Tracking reports and distribute the results in accordance with Technical Manual 105-T-OSPB.

1.6 Monthly Reports - Monthly reports are due the 15th of each month.

1.6.1 The Department's Office for Strategic Planning and Budgeting shall submit the following reports:

1.6.1.1 Status of Funds Report.

1.6.1.2 Staff Vacancy Report.

1.6.1.3 Limited and Double Fill Position Report.

1.6.2 Prison Operations shall submit the following reports:

1.6.2.1 Inmates enrolled in programs/completing programs, by institution.

1.6.2.2 Inmates in administrative detention, by institution.

1.6.2.3 Population employed, by unit.

1.6.3 The Human Resources/Development Division shall submit inmate population reports including:

1.6.3.1 Operational capacity, identifying both permanent and temporary beds, by unit.

1.6.3.2 Population, by unit.

1.6.3.3 Population, by ethnicity, by unit.

1.6.3.4 Inmate intake report, categorized by male and female.

1.6.3.5 Inmate departures including, releases (MR, TR, Parole) and furloughs (escorted, unescorted).

1.6.3.6 Staff hired and terminated, by unit.

1.6.3.7 Number of appointments via the central promotional register process, by unit.

1.6.3.8 Number of appointments via the regular promotional register process, by unit.

1.6.4 The Health Services Division shall submit a High-Cost Health Report and a Health Intake Report.

1.6.5 The Director's Office, Legal Services/Discovery Unit shall submit a report on the status of all significant, newsworthy or other high priority legal cases.

105.05 GOVERNOR'S MONTHLY REPORT

1.1 Each Deputy Director/Assistant Director shall submit the following information for the Governor's Monthly Report to the Department's Office of Strategic Planning and Budgeting.

1.1.1 Information considered to be of interest to the Governor shall be submitted by the 8th workday of each month.

1.1.2 Key performance measurement information shall be submitted by the 15th day of each month in the form prescribed by the Department's Office of Strategic Planning and Budgeting.

1.2 The Department's office of Strategic Planning and Budgeting shall consolidate the information received from the Deputy Directors/Assistant Directors and ensure the final report is submitted to the Director within 6 workdays after receiving the information.

105.06 DISCOVERY OF A SIGNIFICANT INCIDENT - RESTRICTED

105.07 MAJOR DISTURBANCES AND HOSTAGE SITUATIONS - RESTRICTED

105.08 OTHER SIGNIFICANT INCIDENTS - NOTIFICATION/TIME FRAMES - RESTRICTED

105.09 MANAGEMENT NOTIFICATIONS/RETENTION OF REPORTS - RESTRICTED

ATTACHMENTS

Attachment A, Supersedes

FORMS LIST

40000029, Information Report (2 pages)

40000030, Report Continuation Sheet

40000033, Correctional Service Log

40000179, Report Log

70501133, Significant Incident Report

70501134, Report on the Use of Force

70501135, Incident Management System Report (2 pages)

105-4PF, Performance Measure Tracking


IMPLEMENTATION

Deputy Directors/Assistant Directors shall develop and maintain Technical Manuals that:

The Assistant Director for Inspections and Investigations shall ensure that a detailed Post Order that explains procedures for notifying Executive Staff of significant incidents is made available to Communications Center staff.

DEFINITIONS

BUSINESS DAY - Monday through Friday, except legal holidays.

NUMBERING SYSTEM - A system used to track the reports outlined in this Order. Report numbers shall consist of the two digit numerical designation for the year, the AIMS unit designation code, a four digit report number and the initials indicating the type of report, e.g., the designation for the first Incident Management System (IMS) Report for ASPC-E SMU for 1993 would be 93-A08-0001-IMS. The only reports that shall be subject to this numbering system are:

REPORT LOG - A continuous record of the reports outlined in section 105.02 of this Order, maintained by designated staff in each unit, which shall include:

 

ATTACHMENT A

DEPARTMENT ORDER 105


SUPERSEDES

Department Order 105, Information Reporting, supersedes the following:

DMO 94-05, Institutional Operational Reports (01/27/94)

IMP 102.5, Significant Incident Reporting (10/07/92)

IMP 203.6, Reports to the Director (03/26/91)

Director's Instruction 143, Daily Briefings (05/10/00)

Director's Instruction 162, Standardized Shift Briefings (01/27/00)

 

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