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HomeMy WebLinkAboutSerious Incident ReviewsIdaho Department of Correction Standard Operating Procedure Title: Serious Incident Reviews 1 of 9 125.001 Version: 1 Adopted: 04/23/2026 Chad Page, Chief of Institutions and Operations, approved this document and it was published on 04/23/2026. Open to the public: Yes No SCOPE This standard operating procedure (SOP) applies to all Idaho Department of Correction (IDOC) work locations, including prisons, community reentry centers (CRCs), privately managed facilities, and probation and parole districts. Version Summary Version 1: This is a new standard operating procedure which details the process of Serious Incident Reviews. Previously, this information was contained in SOP 105.02.01.001, Reporting and Investigation of Major Incidents. This SOP also incorporates and replaces POLICY 125, Investigation of Escapes, Serious Crimes, Serious Injury or Deaths. TABLE OF CONTENTS Scope ....................................................................................................... 1 Table of Contents ........................................................................................ 1 A. Legal Authority ....................................................................................... 2 B. Board of Correction IDAPA Rule ................................................................. 2 C. Governing Policy Statement ...................................................................... 2 D. Purpose ................................................................................................ 2 E. Responsibility ......................................................................................... 2 F. Definitions .............................................................................................. 3 G. Standard Procedures ............................................................................... 3 1. Investigation and Review of Significant Events ........................................ 3 2. Serious Incident Review Objectives ....................................................... 4 3. Serious Incident Review Authorization and Organization............................ 5 4. Timelines .......................................................................................... 5 5. Serious Incident Review – Process Steps ................................................ 6 6. Supplemental Reports ......................................................................... 8 7. Record Storage and Retention ............................................................... 8 Control Number: 125.001 1 Serious Incident Reviews Page Number: 2 of 9 Idaho Department of Correction H. References ............................................................................................ 9 A. LEGAL AUTHORITY 1. Idaho Code § 20-217A, Appointment of Director – Salary – Powers and Duties 2. Idaho Code § 20-219, Probation and Parole Supervision and Training – Limited Supervision - Rulemaking 3. Idaho Code § 20-244, Government and Discipline of the Correctional Facility – Rules and Regulations B. BOARD OF CORRECTION IDAPA RULE None C. GOVERNING POLICY STATEMENT 1. It is the policy of the Idaho Department of Correction to review all significant events to determine the appropriateness of the response and the opportunity for improvement. 2. Each report will be reviewed by the appropriate administrator, as identified by SOP, to determine if policy and procedures were followed and if changes need to be made in existing policy and procedures. The report will include any actions taken or proposed to address the circumstances leading to the significant event. D. PURPOSE The purpose of this SOP is to establish standards and processes for conducting a Serious Incident Review (SIR) following a significant event. E. RESPONSIBILITY 1. Division Chiefs and/or Deputy Chiefs a. Identify significant events that require an SIR and authorize the SIR. b. Appoint a staff member to serve as the serious incident review coordinator (SIRC) within the division. c. Review the SIR report and subsequent response action plan (RAP) submitted by the work unit to ensure significant issues identified in the SIR report are adequately addressed. 2. Facility Heads a. Assign a staff member to act as a permanent SIR point of contact for the facility or district. b. Develop RAPs as required and oversee their implementation. 3. Serious Incident Review Coordinator a. Assign a chairperson and panel members once an SIR is authorized. Control Number: 125.001 1 Serious Incident Reviews Page Number: 3 of 9 Idaho Department of Correction b. Review 105 Reports and make recommendations to division leadership or facility heads whether an SIR should be assigned. c. Track SIR progress and timelines and communicate delays. d. Assist SIR panel with obtaining any additional information requested. e. Save completed SIR Report and provide the completed packet to Special Investigations Unit (SIU) for storage. 4. Special Investigations Unit a. Take referrals for and conduct administrative investigations as outlined in SOP 150.01.01.006, Administrative Investigations. b. Store completed SIRs, including any supplemental reports, and approved RAPs. F. DEFINITIONS 1. Client: A person who has been convicted of a crime against the laws of the state and is on probation supervision as ordered by the court or parole supervision as ordered by the Commission of Pardons and Parole. The term client includes any use in Idaho law, Board of Correction rule, or IDOC policy or procedure of the terms “offender(s),” or any other term referring to a person on probation or parole supervision by the Board of Correction. 2. Facility: A building or residence — including the property and land where the building or residence is located — owned, leased, operated, or managed by the Board or Department. 3. Facility Head: The person primarily responsible for overseeing, managing, or operating a department facility. 4. Resident: A person who has been convicted of a crime against the laws of the state and ordered into the care and custody of the Board of Correction. Resident includes any use in Idaho law, Board of Correction rule, or IDOC policy or procedure of the terms “offender(s),” “prisoner(s)”, “inmate(s)”, “incarcerated person(s)”, or any other term referring to a person residing in a correctional facility in the care and custody of the Board of Correction. 5. Staff: Any employee, volunteer, intern, or other authorized person who provides specific services, as assigned or requested by a superior, to meet Department tasks. G. STANDARD PROCEDURES 1. Investigation and Review of Significant Events a. When a significant event occurs, it is important to review the facts of the event to determine if department policies and SOPs were followed and to improve practices and procedures for the future. b. IDOC uses several different processes for formal reviews. Facility and division Control Number: 125.001 1 Serious Incident Reviews Page Number: 4 of 9 Idaho Department of Correction leadership will determine which process to use in a specific circumstance. i. Internal Review (see SOP 125.002, Internal Reviews). ii. Serious Incident Review iii. Case Review: May be used for significant events occurring in a Probation & Parole district (see SOP 701.04.02.010, Case Reviews: Probation & Parole). iv. Administrative Investigation: Completed by the SIU per SOP 150.01.01.006, Administrative Investigations. c. The following significant events require an SIR: i. Escape, serious crime, or serious injury. ii. Death of a resident in IDOC custody. 1) An unattended death may initiate an SIR depending on circumstance. The deputy chief will determine if an SIR is required. For unattended deaths out of state, the oversight of placement and transport will determine if an SIR is assigned. iii. Death of any person who is not a resident while on IDOC property. iv. Any riot, group disruption, or hostage situation. v. Intentional or negligent discharge of a firearm. vi. Any incident that presents a threat to the life, safety, or health of any individual or causes significant damage to department or private property. 2. Serious Incident Review Objectives a. Determine if the actions taken during the significant event were consistent with IDOC policies and SOPs. b. Determine if IDOC policies, SOPs, training, equipment, staffing, etc. were sufficient to address the significant event. c. Determine if the event was managed properly. d. Determine what conduct or strategies could have what if anything, could be done to avoid future incidents. e. Make recommendations for recognition of remarkable performance by staff, whether positive or negative. f. Identify any actions, policies, SOPs, training, or equipment that should be reviewed, revised, or added. g. Identify any other significant aspects of the event. Control Number: 125.001 1 Serious Incident Reviews Page Number: 5 of 9 Idaho Department of Correction 3. Serious Incident Review Authorization and Organization a. Typically, a deputy division chief will authorize an SIR. i. The IDOC director, deputy director, or a division chief may also authorize an SIR for any incident. ii. Facility heads may request an SIR be conducted for incidents occurring in their facility or district. A deputy chief must approve the SIR to be initiated. b. Once a SIR is authorized, the serious incident review coordinator (SIRC) will appoint a chairperson and panel members to conduct the SIR. i. The panel will typically be between 2 and 4 members. ii. The chairperson will be equivalent to a deputy warden, deputy district manager, CRC manager or above (unless an exception is made by the SIR authorizer). iii. Additional staff members appointed to the panel must be equivalent to or above a sergeant or section supervisor or have expertise such as a medical, mental health, firearms instructor, etc. the authorizer deems helpful during the SIR. iv. An individual from outside the IDOC may serve on the SIR panel either for technical expertise or for increased independence. v. The SIR authorizer can make exceptions to the number and qualifications of SIR panel members. c. The SIR chairperson is responsible for complying with the timelines. The chairperson must notify the SIRC to request an extension of timeline. Extensions can be granted on a case-by-case basis. d. The SIR will be documented using the Serious Incident Review Report form. 4. Timelines a. Due to the nature of the incidents being reviewed, it is important that SIRs be completed in a timely manner. The SIRC will track the review and confirm compliance with the timelines set out in this SOP. b. The SIR should be started within five business days of being assigned and should be completed and submitted within 45 business days of assignment. The authorizer can extend the timeline up to 60 days. c. If a significant event requires a law enforcement response, the authorizer may delay assignment of the SIR up to 60 days from the date of the event so as to not interfere with the criminal investigation. The SIRC will maintain contact with law enforcement and report progress on the criminal investigation. The authorizer will assign the SIR when appropriate. i. Any delay exceeding 60 days must be approved by the director or deputy Control Number: 125.001 1 Serious Incident Reviews Page Number: 6 of 9 Idaho Department of Correction director. 5. Serious Incident Review – Process Steps Functional Roles and Responsibilities Step Tasks SIR Authorizer 1 Within five days of a significant event requiring an SIR, authorize the SIR. Serious Incident Review Coordinator 2 1. Within five days of the SIR being authorized, appoint a chairperson and panel to conduct the review. a. The SIRC will designate a panel member to write the SIR Report. 2. If an administrative investigation is also ongoing or requested, notify the SIU chief investigator that an SIR is being conducted. Facility Point of Contact 3 1. Gather documents and create a packet for the significant event. The packet may be printed or digital. The packet will consist of (as applicable): a. 105 Incident Notification Report(s) b. Resident or supervised individual information (Resident or supervised individual profile/summary, DOR history, C-notes, Alerts/Cautions, relevant grievances, etc.) c. History of housing/movement d. Restrictive Housing Orders e. Operational Orders f. Logbook entries g. Shift Commander Daily Summary h. Use of Force documentation i. Information Reports from all staff and contractors involved j. Color photos and video or audio recordings k. Emails and phone calls Control Number: 125.001 1 Serious Incident Reviews Page Number: 7 of 9 Idaho Department of Correction Functional Roles and Responsibilities Step Tasks l. Applicable SOPs, FMs, or Post Orders m. Outside reports (coroner, fire marshal, etc.) n. Facility Investigation (if complete) o. Other information as requested 2. Provide the packet to each SIR panel member. SIR Chairperson/ Panel 4 1. Meet, review the binder, and compile a list of staff and/or other individuals that need interviewed. 2. Schedule time to conduct interviews. 3. Send the facility point of contact a list of individuals to be interviewed. Facility Point of Contact 5 1. Reserve a room for interviews to be held and notify the staff members that the panel has chosen to interview on the date and time of their interview. 2. Send a confirmation email to the SIR panel notifying them that a room has been reserved, and staff has been notified. SIR Panel 6 Conduct interviews of staff and/or other individuals that need to be interviewed. Report Writer 7 1. Draft a report using the Significant Incident Review Report form. 2. Forward the draft SIR Report to the panel members. SIR Panel 8 Reconvene to review the report and make any needed changes. Once complete, each panel member will sign the final copy of the SIR Report. Report Writer 9 Forward the SIR Report, packet, other documentation obtained during the review, and any personal notes to the SIRC. Serious Incident 10 1. Update the SIR Tracker. Control Number: 125.001 1 Serious Incident Reviews Page Number: 8 of 9 Idaho Department of Correction Functional Roles and Responsibilities Step Tasks 2. Provide SIR Report and documentation to the authorizer for review. SIR Authorizer 11 1. Review the SIR Report. 2. Forward the SIR Report to the facility head or designee requesting a RAP, if necessary. (If a RAP is requested, go to Step 12, otherwise go to Step 13) Facility Head or designee 12 Fill out the RAP part of the SIR form and submit it to the SIR authorizer within 10 working days. SIR Authorizer or designee 13 1. Forward the report, documentation, and action plan to the SIRC. 2. If an administrative investigation is assigned, also forward the SIR report and documentation to the SIU chief investigator. Serious Incident Review Coordinator 14 1. Follow up with the facility to ensure completion of the RAP items. 2. Notify deputy chief or designee upon completion of actions required by RAP. Deputy Chief 15 Sign the verification of completion on the RAP and close the SIR. Serious Incident Review Coordinator 16 Forward complete SIR documentation to SIU for final storage. SIU Chief Investigator 17 Ensure all SIR documents are received and stored in a secure location. 6. Supplemental Reports a. Once an SIR Report has been signed, the report cannot be altered. Any amendments, additional information, or corrections must be made utilizing the SIR/IR Supplemental Report form. b. A Supplemental Report must be signed by all panel members and sent to the SIRC. The SIRC must send any supplemental reports to SIU to be stored with the original SIR documents. 7. Record Storage and Retention Control Number: 125.001 1 Serious Incident Reviews Page Number: 9 of 9 Idaho Department of Correction a. SIU will maintain the final repository for all SIRs. b. Final reports, including all original signatures, the binders, the panel’s personal notes, and other documentation will be securely maintained in accordance with SOP 108.002, Records Retention and Destruction, to comply with a litigation hold, or until completion of pending litigation. H. REFERENCES 1. Forms a. Serious Incident Review Report b. SIR Tracker (template) c. SIR/IR Supplemental Report 2. Cited Documents a. SOP 108.002, Records Retention and Destruction b. SOP 125.002, Internal Reviews c. SOP 150.01.01.006, Administrative Investigations d. SOP 701.04.02.010, Case Reviews: Probation & Parole – End of Document –