Heman G. Stark Youth Correctional Facility Superintendent Xavier Ruiz Follow-up

(cid:1)(cid:4)(cid:4)(cid:5)(cid:6)(cid:7)(cid:8) (cid:9)(cid:4)(cid:8) (cid:10)(cid:11)(cid:7)(cid:8) (cid:2)(cid:12)(cid:13)(cid:14)(cid:7)(cid:6)(cid:10)(cid:9)(cid:15)(cid:8) (cid:3)(cid:7)(cid:12)(cid:7)(cid:15)(cid:16)(cid:17) (cid:1)(cid:1)(cid:1) (cid:1)(cid:2)(cid:3)(cid:2)(cid:4)(cid:5)(cid:6)(cid:7)(cid:1)(cid:2)(cid:6)(cid:4)(cid:8)(cid:7)(cid:1)(cid:5)(cid:4)(cid:9)(cid:10) (cid:1) (cid:1)(cid:1)(cid:2)(cid:3)(cid:2)(cid:4)(cid:2)(cid:5)(cid:6)(cid:1)(cid:2)(cid:7)(cid:4)(cid:3)(cid:8)(cid:9)(cid:10)(cid:2)(cid:11)(cid:1)(cid:12)(cid:13)(cid:4)(cid:4)(cid:2)(cid:8)(cid:2)(cid:13)(cid:14)(cid:15) (cid:1)(cid:1)(cid:2)(cid:1)(cid:3)(cid:4)(cid:5)(cid:4)(cid:2)(cid:6)(cid:2)(cid:3)(cid:4)(cid:7)(cid:8)(cid:4)(cid:9)(cid:10)(cid:4)(cid:11)(cid:12)(cid:8)(cid:6) (cid:5)(cid:13)(cid:14)(cid:14)(cid:13)(cid:9)(cid:15)(cid:11)(cid:16)(cid:10)(cid:3)(cid:4)(cid:7)(cid:8)(cid:4)(cid:9) (cid:17)(cid:3)(cid:4)(cid:5)(cid:6)(cid:7)(cid:8)(cid:9)(cid:5)(cid:8)(cid:2)(cid:5)(cid:8)(cid:9)(cid:10)(cid:18)(cid:10)(cid:11)(cid:7)(cid:5)(cid:6)(cid:12)(cid:19)(cid:3)(cid:7)(cid:13) (cid:20)(cid:5)(cid:14)(cid:10)(cid:8)(cid:12)(cid:3)(cid:15)(cid:12)(cid:17)(cid:9)(cid:10)(cid:6)(cid:16)(cid:12)(cid:21)(cid:17)(cid:3)(cid:9)(cid:18)(cid:12)(cid:22)(cid:17)(cid:6)(cid:6)(cid:5)(cid:19)(cid:9)(cid:7)(cid:17)(cid:8)(cid:10)(cid:20)(cid:12)(cid:23)(cid:10)(cid:19)(cid:7)(cid:20)(cid:7)(cid:9)(cid:21) (cid:22)(cid:18)(cid:7)(cid:8)(cid:17)(cid:22)(cid:12)(cid:22)(cid:10)(cid:20)(cid:7)(cid:23)(cid:17)(cid:6)(cid:8)(cid:7)(cid:10) (cid:1)(cid:1)(cid:2)(cid:3)(cid:4)(cid:2)(cid:3)(cid:3)(cid:2) (cid:1)(cid:1)(cid:2)(cid:3)(cid:4)(cid:2)(cid:2)(cid:5)(cid:6)(cid:7)(cid:8)(cid:4)(cid:1)(cid:9)(cid:5)(cid:10)(cid:1)(cid:11)(cid:9)(cid:1) OFFICE OF THE I NSPECTOR G ENERAL STEVE WHITE, INSPECTOR GENERAL MANAGEMENT REVIEW AUDIT FOLLOW-UP REVIEW SUPERINTENDENT XAVIER RUIZ HEMAN G. STARK YOUTH CORRECTIONAL FACILITY CHINO, CALIFORNIA JULY 2002 • PROMOTING INTEGRITY • STATE OF CALIFORNIA GRAY DAVIS, GOVERNOR OFFICE OF THE INSPECTOR GENERAL CONFIDENTIAL PAGE 1 HEMAN G. STARK YOUTH CORRECTIONAL FACILITY MANAGEMENT REVIEW AUDIT FOLLOW-UP REVIEW, JULY 2002 CONTENTS EXECUTIVE SUMMARY ...................................................................................................... 3 INTRODUCTION .................................................................................................................... 5 OBJECTIVES, SCOPE, AND METHODOLOGY ........................................................................... 5 FINDINGS AND RECOMMENDATIONS ............................................................................. 7 FINDING 1 ....................................................................................................................................... 7 FINDING 2 ....................................................................................................................................... 9 FINDING 3 ....................................................................................................................................... 13 FINDING 4 ....................................................................................................................................... 16 FINDING 5 ....................................................................................................................................... 18 FINDING 6 ....................................................................................................................................... 19 FINDING 7 ....................................................................................................................................... 19 FINDING 8 ....................................................................................................................................... 21 FINDING 9 ....................................................................................................................................... 22 FINDING 10 ..................................................................................................................................... 23 FINDING 11 ..................................................................................................................................... 24 GOVERNOR’S ACTION ITEMS .......................................................................................... 26 GOVERNOR’S ACTION ITEM 1 ................................................................................... 26 GOVERNOR’S ACTION ITEM 2 ................................................................................... 27 GOVERNOR’S ACTION ITEM 3 ................................................................................... 28 GOVERNOR’S ACTION ITEM 4 ................................................................................... 29 GOVERNOR’S ACTION ITEM 5 ................................................................................... 30 GOVERNOR’S ACTION ITEM 6 ................................................................................... 30 GOVERNOR’S ACTION ITEM 7 ................................................................................... 31 ATTACHMENT VIEWS OF RESPONSIBLE OFFICIAL........................................................................................... 33 STATE OF CALIFORNIA GRAY DAVIS, GOVERNOR OFFICE OF THE INSPECTOR GENERAL CONFIDENTIAL PAGE 2 HEMAN G. STARK YOUTH CORRECTIONAL FACILITY MANAGEMENT REVIEW AUDIT FOLLOW-UP REVIEW, JULY 2002 EXECUTIVE SUMMARY This report presents the results of a follow-up review to a management review audit conducted of Superintendent Xavier Ruiz and the Heman G. Stark Youth Correctional Facility. The management review audit was conducted from May 2000 through October 2000 under the authority vested in the Inspector General under California Penal Code Section 6051. The 2000 management review audit found serious problems at the institution and also determined that the institution had not fully complied with action items ordered by the Governor as a result of an earlier investigation by the Office of the Inspector General. The seriousness of the findings from the management review audit prompted the follow-up review in December 2001 and January 2002. The follow-up review found that in the fifteen months since the management review audit, Superintendent Ruiz and California Youth Authority administrators have made marginal progress in improving the operation of the Heman G. Stark Youth Correctional Facility. The institution has fully implemented fewer than half of the Office of the Inspector General’s recommendations. Furthermore, a core function of the institution, providing counseling to wards, has worsened from service levels previously found unsatisfactory. Other important functions, including conducting internal affairs investigations and dealing with ward grievances, have not improved The follow-up review did find improvement in some areas, including full compliance in the management and monitoring of wards in temporary detention. Of the 44 recommendations addressed to the superintendent and the institution, only 18 (41%) have been fully implemented and six (14%) have been substantially implemented. At the same time, 10 (23%) of the 44 recommendations addressed to the superintendent and the institution have not been implemented, while another 10 (23%) have been only partially implemented. Numerous mission-critical recommendations have not been implemented or have been only partially implemented. Following are some of the most important areas of partial implementation or non-implementation of the Office of the Inspector General’s recommendations: • The institution has regressed in providing individual and small group counseling—the most fundamental aspect of the ward treatment program. Testing in the follow-up review revealed that only 30.6% of the wards sampled received the required frequency of individual and small group counseling. This represents a decline of more than 25 percentage points from the unsatisfactory compliance rate of 56% found in the management review audit. Furthermore, in the period following the management review audit, the superintendent did not clarify for the staff the requirement for weekly counseling sessions despite the staff confusion cited in the audit report about the required frequency of counseling. At the time of the management review staff members believed they were required to provide counseling only twice a month. The follow-up review found that the compliance rate even with the twice a month requirement was still only 54.8%. STATE OF CALIFORNIA GRAY DAVIS, GOVERNOR OFFICE OF THE INSPECTOR GENERAL CONFIDENTIAL PAGE 3 HEMAN G. STARK YOUTH CORRECTIONAL FACILITY MANAGEMENT REVIEW AUDIT FOLLOW-UP REVIEW, JULY 2002 • Problems with the ward grievance system continue. The institution does not investigate all ward grievances in a timely manner. The follow-up review found 24 open staff action grievances more than 30 days old, one of which dated back to August 2000. Another seven staff action grievances received from May through July 2001 were still outstanding as preliminary fact-finding investigations. Of the 44 outstanding regular grievances, 11 (25%) were more than 30 days old. • The institution has not developed written policies and procedures for conducting internal affairs investigations. Moreover, the institution is not properly tracking investigative casework. Careful monitoring of individual investigations to ensure thoroughness, proper disposition, and prompt completion is not always accomplished. In some areas of the institution’s operation, there was noteworthy progress in implementing the Office of the Inspector General’s recommendations. Following are some of the most significant instances of the institution’s progress: • The institution’s Lyle Egan High School, operated by the California Youth Authority Education Services Branch, is now fully accredited by the Western Association of Schools and Colleges. The superintendent, the school principal, and members of their respective staffs have made an effort to provide a positive learning environment. Class cancellations due to a shortage of substitute instructors have declined, and service delivery rates in special education improved in three of four categories. • The management and monitoring of wards in temporary detention has improved significantly. Wards now receive counseling daily and are tracked by the ward information network system. • Employee performance is now carefully monitored. A tracking system has been developed to ensure that performance appraisals and probationary reports are completed in a timely manner. The superintendent receives the report and holds supervisors and managers accountable for delinquent reports. Of the seven recommendations addressed to the California Youth Authority, the department has fully implemented one recommendation—that the department monitor wards in temporary detention. The department now has an electronic tracking system for doing so. The department partially implemented three recommendations, all of which related to its ward information network (WIN 2000) system. The system is still being installed statewide. The department has implemented none of the three remaining recommendations. The first of the three recommendations was for the department to adopt clear criteria for distinguishing between Level I and Level II investigations. The second recommendation was for the department to establish policies and procedures for ensuring consistency between investigative evidence and the decisions reached from that evidence. The third recommendation called for the auditing of the ward information network system; however, it may be too early for the department to implement the recommendation because the WIN 2000 system is not yet operational statewide. The follow-up review also determined that the institution and the department have fully implemented nine out of eleven recommendations ordered by the Governor in connection with seven action items, and have partially implemented the remaining two recommendations. STATE OF CALIFORNIA GRAY DAVIS, GOVERNOR OFFICE OF THE INSPECTOR GENERAL CONFIDENTIAL PAGE 4 HEMAN G. STARK YOUTH CORRECTIONAL FACILITY MANAGEMENT REVIEW AUDIT FOLLOW-UP REVIEW, JULY 2002 INTRODUCTION In October 2000, the Office of the Inspector General conducted a management review audit of Superintendent Xavier Ruiz of the Heman G. Stark Youth Correctional Facility. The audit, carried out pursuant to California Penal Code Section 6051, was intended to assess the superintendent’s performance in carrying out the essential functions of the facility and to make recommendations to correct problems identified. The management review audit found significant problems at the institution. The facility had not achieved full compliance with seven action items ordered by the Governor as a result of a previous Office of the Inspector General investigation. In addition, there were deficiencies in the investigative process, the education program, treatment services, the ward grievance process, and various other areas of operation. The Office of the Inspector General presented eleven findings and 51 recommendations in the management review audit report. Of the 51 recommendations, 44 were addressed to the institution and seven were directed to the California Youth Authority. Because of the seriousness of the problems at the Heman G. Stark Youth Correctional Facility, the Office of the Inspector General conducted a follow-up review in December 2001 and January 2002 to assess the institution’s progress in implementing the recommendations from the management review audit. OBJECTIVES, SCOPE, AND METHODOLOGY The Office of the Inspector General visited the Heman G. Stark Youth Correctional Facility and interviewed Superintendent Ruiz, members of his administrative staff, education administrators, rank-and-file employees, and wards. The staff of the Office of the Inspector General also reviewed various institution records, logs, policies and procedures, and reports, including the superintendent’s August 2001 response to the management review audit. Members of the review team also visited living units and reviewed ward files, observed operations, and inspected equipment and supplies. In certain areas of operation, the Office of the Inspector General conducted audit tests to verify compliance with recommendations and in other areas, the review team relied upon information reported by the institution. To assess the California Youth Authority’s progress in implementing recommendations addressed to the department, the review team visited the department’s Sacramento headquarters and interviewed various administrators. The Office of the Inspector General also reviewed investigation reports and records and conducted telephone interviews with department staff. After completing the on-site follow-up, the Office of the Inspector General classified the progress of the department and the institution in implementing each recommendation into one of the following four categories: • Fully implemented: The recommendation has been implemented and no further corrective action is necessary. STATE OF CALIFORNIA GRAY DAVIS, GOVERNOR OFFICE OF THE INSPECTOR GENERAL CONFIDENTIAL PAGE 5 HEMAN G. STARK YOUTH CORRECTIONAL FACILITY MANAGEMENT REVIEW AUDIT FOLLOW-UP REVIEW, JULY 2002 • Substantially implemented: More than half of the corrective actions necessary to fulfill the recommendation have been implemented. • Partially implemented: Half or less than half of the corrective actions necessary to fulfill the recommendation have been implemented. • Not implemented: The recommendation has not been implemented. The following section lists the recommendations associated with each of the findings from the 2000 management review audit, provides the status of the recommendation, and explains the basis for the status determination. Where appropriate, the Office of the Inspector General has provided follow-up recommendations. Also included is a status report on the seven action items ordered by the Governor. STATE OF CALIFORNIA GRAY DAVIS, GOVERNOR OFFICE OF THE INSPECTOR GENERAL CONFIDENTIAL PAGE 6 HEMAN G. STARK YOUTH CORRECTIONAL FACILITY MANAGEMENT REVIEW AUDIT FOLLOW-UP REVIEW, JULY 2002 FINDINGS AND RECOMMENDATIONS ORIGINAL FINDING 1: The Heman G. Stark Youth Correctional Facility does not have a system to ensure that allegations of staff misconduct are promptly and properly investigated. Moreover, management actions relative to such investigations appear to be questionable. ORIGINAL RECOMMENDATIONS: STATUS: COMMENTS: The Office of the Inspector General recommends that Superintendent Ruiz systematically manage internal affairs investigations of alleged staff misconduct with the goal of improving their effectiveness and timeliness. At a minimum, his management methodology should include: The institution is not properly tracking investigative casework. The • Accurate, complete, and timely logs NOT IMPLEMENTED employee who developed the investigation database left the institution for tracking investigations. before fully implementing the system, and the staff member assigned to the project is unable to generate the investigative logs because the database is incomplete. The institution staff provided the Office of the Inspector General with a • Careful monitoring of individual PARTIALLY IMPLEMENTED copy of a memorandum to the superintendent documenting that the investigations to ensure thoroughness, administrative assistant met with the internal affairs unit to discuss the proper disposition, and prompt status of open investigation cases. However, the memorandum indicates that completion within the framework five cases are pending adverse action by the legal department. Some of the established by the Peace Officers Bill cases are numbered beginning “00,” suggesting that they were opened of Rights and other statutory during the year 2000, and they appear to have exceeded the statutory time limitations. frames. In addition, there is no evidence that the reports discussed in the institution’s corrective action plan have been used. For example, page 16 of the action plan says that the database can sort cases at 12 a.m. every day and generate a report to alert the superintendent when cases have become overdue. Evidence of such reports was not provided. STATE OF CALIFORNIA GRAY DAVIS, GOVERNOR OFFICE OF THE INSPECTOR GENERAL CONFIDENTIAL PAGE 7 HEMAN G. STARK YOUTH CORRECTIONAL FACILITY MANAGEMENT REVIEW AUDIT FOLLOW-UP REVIEW, JULY 2002 • Development and inclusion in the NOT The institution has not developed written policies and procedures governing IMPLEMENTED Heman G. Stark Youth Correctional internal affairs investigations. Facility Administrative Policy and Operations Manual of written policies and procedures governing internal affairs investigations. • Adoption of clear criteria for NOT The California Youth Authority has not adopted clear criteria for IMPLEMENTED differentiating between Level I and categorizing investigations as Level I and Level II. Level II investigations. If “serious injury” continues as a criterion for differentiation, thoroughly define the term. Update the California Youth Authority Internal Affairs Investigations Policy and Procedures Manual. • Establishment of policies and NOT The California Youth Authority has delegated the responsibility for making IMPLEMENTED procedures to ensure that judgments investigative findings to the superintendents of the institutions. The Office regarding the disposition of of the Inspector General was unable to assess the impact of this decision investigation cases are consistent with during the follow-up review. Of the ten files selected for review at the the evidence presented. internal affairs office in Sacramento, eight files were missing signed investigative reports. For many of the files reviewed, other relevant documentation for assessing the investigative process and conclusions was missing. FOLLOW-UP RECOMMENDATIONS: The Office of the Inspector General recommends that the institution do the following: • Develop written policies and procedures governing internal affairs investigations for inclusion in the Hemen G. Stark Youth Correctional Facility Administrative Policy and Operations Manual. • Develop accurate, complete, and timely logs for tracking investigations and ensure that the staff is properly trained. STATE OF CALIFORNIA GRAY DAVIS, GOVERNOR OFFICE OF THE INSPECTOR GENERAL CONFIDENTIAL PAGE 8 HEMAN G. STARK YOUTH CORRECTIONAL FACILITY MANAGEMENT REVIEW AUDIT FOLLOW-UP REVIEW, JULY 2002 The Office of the Inspector General also recommends that the California Youth Authority do the following: • Adopt clear criteria for differentiating between Level I and Level II investigations. • Ensure that investigation files contain, at a minimum, signed investigation reports and documentation used to support the investigative conclusion. ORIGINAL FINDING 2: Heman G. Stark Youth Correctional Facility educational and vocational classes are poorly attended and wards’ academic achievement is low in comparison to other California Youth Authority facilities. ORIGINAL RECOMMENDATIONS: STATUS: COMMENTS: In order to improve attendance and academic and vocational achievement at the Heman G. Stark Youth Correctional Facility, the Office of the Inspector General recommends that Superintendent Ruiz: • Continue the policies of unit-specific FULLY According to its August 2001 progress report, the institution has continued its lockdown versus institution-wide IMPLEMENTED policy of living unit-specific lockdowns. This practice allows school to lockdown, Phase II entry instead of continue for wards in those living units not involved in the incident that Phase I entry into the institution, and precipitated the lockdown. New wards enter Heman G. Stark in Phase II continued programming for wards status, thus facilitating timely education integration. Existing Phase I wards moving between living units in lieu of are being assessed for potential education integration. one-week programming suspensions. • Work with ward representatives and SUBSTANTIALLY The institution reports it has implemented a ward advisory committee, the institution education administrators as IMPLEMENTED members of which meet with administration and educational representatives. well as Education Services Branch These wards provide feedback and voice concerns in weekly meetings. They administrators to provide the best also disseminate information to the ward population, fostering vital dialog for possible learning environment. Within the continued improvement and understanding of the institutional the framework of institutional security, environment. Trade advisory committee members representing the vocational the superintendent should encourage the community still do not visit Heman G. Stark because of security concerns. exchange of ideas through regular Therefore, all interaction with committee members takes place outside the meetings and the resumption of institution. Although meeting with community trades people is important for activities such as the Vocational keeping abreast of current practices and technologies, it is equally important STATE OF CALIFORNIA GRAY DAVIS, GOVERNOR OFFICE OF THE INSPECTOR GENERAL CONFIDENTIAL PAGE 9 HEMAN G. STARK YOUTH CORRECTIONAL FACILITY MANAGEMENT REVIEW AUDIT FOLLOW-UP REVIEW, JULY 2002 Industrial Clubs of America for the trades people to be knowledgeable about the trade facilities within the competition and open houses. institution. • Promptly fill teaching vacancies, SUBSTANTIALLY The institution uses a variety of methods to recruit potential hires for all especially those in academic/special IMPLEMENTED classifications. A recruiting team conducts regular tours of the institution and education. Work to provide competitive participates in department-wide employment workshops. The institution also teacher compensation by upgrading pay gives presentations to recruit applicants from local colleges and universities. scales, using compensation exceptions The institution has a 24-hour recruitment hotline and has hosted a career provided for by law and other suitable exposition at the facility. The institution’s Lyle Egan High School is using methods. retired annuitants and permanent intermittent teachers to address shortages in teacher staffing. These methods clearly demonstrate a commitment to hire qualified teachers, and while teacher vacancies still exist, particularly within special education services, educational services are improving. • Make every effort to compile a list of SUBSTANTIALLY The organization chart for Lyle Egan High School identifies numerous qualified substitute instructors so that IMPLEMENTED substitute teachers available within the academic, vocational, and special classes can continue without education classifications. cancellation when an instructor is sick, During the management review audit period, January 1999 through June takes vacation, or is otherwise absent. 2000, 37% of the total class cancellations resulted from a lack of substitute teachers to fill in for the regular teaching staff. Statistics gathered for the follow-up period, September 2000 through November 2001, revealed that class cancellations due to the lack of substitutes fell to 26% of total class cancellations. • Explore ways to lessen the disruption or SUBSTANTIALLY The institution’s education administration has explored various ways to cancellation of classes due to other IMPLEMENTED minimize disruptions and cancellation of classes. These approaches include: types of trade holds. For example, the hiring retired annuitants and permanent intermittent teachers; leasing a power causes of Unisec failures should be generator during the state’s energy shortage; and approving a new security examined and corrected. system to replace the Unisec system. These measures show how representatives of the education and security functions can work together to address problems of mutual concern. • Ensure that all class cancellations are PARTIALLY Notwithstanding the accomplishments noted above, there was an increase in STATE OF CALIFORNIA GRAY DAVIS, GOVERNOR OFFICE OF THE INSPECTOR GENERAL CONFIDENTIAL PAGE 10 HEMAN G. STARK YOUTH CORRECTIONAL FACILITY MANAGEMENT REVIEW AUDIT FOLLOW-UP REVIEW, JULY 2002 for valid reasons and that all IMPLEMENTED the average number of class cancellations per month. During the alternatives to cancellation have been management review audit period, Lyle Egan High School experienced an explored. average of 280 class period cancellations per month. During the follow-up period, class period cancellations increased to an average of 398 per month. The education administration and the superintendent have made numerous efforts to keep classes open. As noted previously, teacher recruitment, the use of substitute teachers, the hiring of retired annuitants and permanent intermittent teachers, the leasing of a power generator, and the future installation of a security system to replace the Unisec system are all credible efforts to keep classes open. Yet with the number of class cancellations increasing, the institution should analyze further why classes are cancelled. • Insist on the accurate reporting of ward NOT Lyle Egan High School still has problems with the accuracy of teacher- IMPLEMENTED attendance by instructors. Provide prepared attendance reports and the principal’s monthly average daily training as necessary and implement attendance reports. The follow-up review revealed that many statistics were supervisory review and signature missing from the monthly average daily attendance report or clearly were not controls. credible. For example, five reports contained absenteeism rates of less than one percent. These weaknesses undermine the credibility of other statistics that do appear to be accurate. Further undermining the credibility of the statistics is a statement found on several reports that claimed the data was incorrect. In fact, many of the reports were not signed because the principal had no faith in the computations. Lyle Egan High School administrators recognize the attendance-keeping problem, and have begun working on an integrated attendance-reporting project. The project includes testing an integrated spreadsheet-based attendance keeping system. The complexity of the attendance computations makes this project a difficult one. The Office of the Inspector General recognizes the effort to address this problem. • Consider resuming programs and NOT Lyle Egan High School cites the ambivalence of trade advisory committee IMPLEMENTED activities such as open houses and the members to visiting the institution because of the institution’s security Vocational Industrial Clubs of America measures. Without developing a mutual understanding of these programs among the education staff, the trade advisory committee members, and the STATE OF CALIFORNIA GRAY DAVIS, GOVERNOR OFFICE OF THE INSPECTOR GENERAL CONFIDENTIAL PAGE 11 HEMAN G. STARK YOUTH CORRECTIONAL FACILITY MANAGEMENT REVIEW AUDIT FOLLOW-UP REVIEW, JULY 2002 competition. security staff, these activities will be lost as tools for ward educational development. • Ensure the use of trade advisory NOT As discussed above, the trade advisory committees reportedly meet outside of committees as outlined in Sections 3410 IMPLEMENTED the institution. In addition, one trade advisory list contained only one person and 3420 of the Education Services who could still be reached, and that person had not participated on the trade Branch Manual. advisory committee for years. • Comply with all recommendations of FULLY In May 2001, Lyle Egan High School received its accreditation from the IMPLEMENTED the Western Association of Schools and Western Association of Schools and Colleges, thus fulfilling the school’s Colleges in order to obtain full objective and the Office of the Inspector General’s recommendation. accreditation for Lyle Egan High School. Lyle Egan High School was released from the Nick O. vs. Terhune stipulation • Comply with all requirements of the FULLY IMPLEMENTED and order, thus relieving the school of the need to submit special education Nick O. v. Terhune stipulation and monthly service provider reports to the Youth Law Center, the federal court order. monitor. The Office of the Inspector General’s testing of special education shows that, despite the lifting of the stipulation and order, service delivery rates improved in three of four categories. During the follow-up review period of September 2000 through November 2001 the percentages of wards receiving 90% or more service time were as follows: Resource Specialist Program 70% Special Day Classes 21% Speech/Language Treatment 74% School Psychologist Therapy 81% By way of contrast, during the management review audit period of January 1999 through June 2000, the percentage of wards receiving 90% or more service time were as follows: Resource Specialist Program 54% Special Day Classes 38% Speech/Language Treatment 54% School Psychologist Therapy 52% STATE OF CALIFORNIA GRAY DAVIS, GOVERNOR OFFICE OF THE INSPECTOR GENERAL CONFIDENTIAL PAGE 12 HEMAN G. STARK YOUTH CORRECTIONAL FACILITY MANAGEMENT REVIEW AUDIT FOLLOW-UP REVIEW, JULY 2002 The special day class is the only special education program whose delivery rates have decreased since the conclusion of the management review audit. FOLLOW-UP RECOMMENDATIONS: The Office of the Inspector General recommends that the California Youth Authority Education Services Branch and the institution education administrators do the following: • Continue to recruit qualified substitute teachers to lessen the number of cancellations when an instructor is sick, takes vacation, or is otherwise absent. • Continue to recruit special education instructors, especially for the delivery of special day classes. • Analyze why class cancellations have increased. • Work to provide competitive teacher compensation by upgrading pay scales, using compensation exceptions provided for by law and other suitable methods. • Ensure that the trade advisory committees are truly functioning as outlined in Sections 3410 and 3420 of the Education Services Branch Manual; ensure the use of meeting agendas and minutes to develop and organize effective committee goals. • Work to improve the accuracy and reliability of the monthly average daily attendance report, especially those fields related to the computation of average daily attendance. • Continue working on the integrated attendance-reporting project. ORIGINAL FINDING 3: Wards have not been provided with required treatment services. ORIGINAL RECOMMENDATIONS: STATUS: COMMENTS: In addition to continuing his policies of Phase II entry and isolating lockdowns to living units, Superintendent Ruiz should take the following actions to improve ward assessment and counseling: • Ensure that the A/B Team living PARTIALLY The orientation curriculum contains a section on the California Youth IMPLEMENTED unit’s orientation curriculum contains Authority’s time-cut policy, but minimal improvement was found in a section devoted to the California completing the orientation of newly arrived wards within ten working days. Youth Authority’s time-cut policy The rate of compliance changed from 57.7% in the management review and that the policy is discussed audit to 64.3% in the follow-up review. STATE OF CALIFORNIA GRAY DAVIS, GOVERNOR OFFICE OF THE INSPECTOR GENERAL CONFIDENTIAL PAGE 13 HEMAN G. STARK YOUTH CORRECTIONAL FACILITY MANAGEMENT REVIEW AUDIT FOLLOW-UP REVIEW, JULY 2002 appropriately with newly arrived wards. Document this discussion in the ward’s records. • Develop a casework management PARTIALLY The purpose of the case conference system is to ensure that the ward IMPLEMENTED system that meets the content and participates in treatment and training programs. The most fundamental frequency criteria laid out in Section aspect of ward treatment is individual and small group counseling. The 4000 et seq. of the Institutions and follow-up review found that wards received the one-hour of weekly- Camps Branch Manual. Of particular required individual and small group counseling only 30.6% of the time. importance is the prompt and proper This was a decline of more than 25 percentage points from the conducting of an initial case unsatisfactory compliance rate of 56% found in the management review conference that includes all parties, audit. Superintendent Ruiz stated that a shortage of 29 youth correctional including the youth correctional counselors and the uncertainty over the required frequency of individual and counselor. Part of this system should small group counseling sessions have adversely affected the compliance be a scheduling component that rate. Yet, in the period following the management review audit, the facilitates the availability of the ward, superintendent did not clarify for staff the requirement for weekly the parole agent, the youth counseling sessions. At the time of the management review audit, staff correctional counselor, a teacher, and members believed they were required to provide counseling only twice a other staff as necessary. month. The follow-up review found that even using the twice a month criterion, the compliance rate was still only 54.8%. Although counseling was deficient, the institution has made progress in conducting case conferences in the manner required by Section 4000 et seq. of the California Youth Authority Institution and Camps Branch Manual. Specifically, 91.7% compliance was found in assigning wards to a youth correctional counselor within three working days. Initial and follow-up case conferences were held on schedule nearly 83% of the time, and they met content standards more than 88% of the time. • Clarify policies governing assessment FULLY With the exception of the required frequency for individual and small group IMPLEMENTED and counseling procedures in order to counseling sessions (discussed below), the institution has clarified policies eliminate confusion regarding issues governing assessment and counseling procedures. Parole agents now such as 60-day versus 90-day generally conduct initial case conferences and progress case conferences in progress conferences. accordance with departmental policy. Wards and youth correctional STATE OF CALIFORNIA GRAY DAVIS, GOVERNOR OFFICE OF THE INSPECTOR GENERAL CONFIDENTIAL PAGE 14 HEMAN G. STARK YOUTH CORRECTIONAL FACILITY MANAGEMENT REVIEW AUDIT FOLLOW-UP REVIEW, JULY 2002 counselors routinely attend. In the past, only a parole agent met with the ward. • Hold treatment team supervisors and NOT The institution developed an auditing system to review staff compliance parole agent IIIs accountable for IMPLEMENTED with the frequency and content requirements of Section 4000 et seq. of the monitoring the work of parole agents. California Youth Authority Institutions and Camps Branch Manual. Although the parole agent IIIs found high rates of noncompliance in the frequency of individual and small group counseling through the use of the auditing system, they described the audit system as ineffective because they have no line authority through the superintendent or the deputy superintendent to hold the staff accountable for deficient casework. • Work with the education PARTIALLY As of the date of the Office of the Inspector General’s follow-up visit, administrators at the Heman G. Stark IMPLEMENTED teachers were not attending case conferences at most living units. The Youth Correctional Facility to ensure institution has scheduled teachers to attend case conferences, but concerns teacher availability and participation for teachers’ safety have slowed progress. in ward assessment and counseling. • Notwithstanding that there may be a NOT During the management review audit, the superintendent said he was IMPLEMENTED contractual agreement regarding the constrained by a collective bargaining agreement that required counseling frequency of formal counseling, the only twice per month. During the follow-up audit, the institution supplied superintendent and the California the Office of the Inspector General with the document it deemed relevant to Correctional Peace Officers the counseling frequency question. The Office of the Inspector General’s Association should immediately review of the document revealed it to be a local change in operational restore the frequency of formal procedure and not a collective bargaining agreement. Furthermore, the counseling to the once-per-week document stipulated a net requirement of four counseling contacts per ward California Youth Authority standard. each month. When the Office of the Inspector General discussed this issue with the superintendent on January 23, 2002, the superintendent agreed that four counseling contacts per month were required, provided that they consisted of a combination of two individual counseling sessions and two small group meetings. When the Office of the Inspector General returned to the institution to brief treatment administrators on their follow-up test results, the superintendent still had not communicated this information to the administrators. STATE OF CALIFORNIA GRAY DAVIS, GOVERNOR OFFICE OF THE INSPECTOR GENERAL CONFIDENTIAL PAGE 15 HEMAN G. STARK YOUTH CORRECTIONAL FACILITY MANAGEMENT REVIEW AUDIT FOLLOW-UP REVIEW, JULY 2002 FOLLOW-UP RECOMMENDATIONS: The Office of The Inspector General recommends that the institution do the following: • Develop an effective casework auditing system that requires each treatment team supervisor to audit two cases monthly from each of his or her youth correctional counselors’ caseload. The audit sheet should enumerate all standards listed in Section 4000 et seq. of the California Youth Authority Institutions and Camps Branch Manual. The institution should use work improvement discussions, letters of instruction, and other progressive disciplinary measures for parole agents and counselors whose work is found to be unsatisfactory and for treatment team supervisors and senior youth correctional counselors who fail to address poor employee performance. In addition, the superintendent should empower the parole agent IIIs with the authority to review audit sheets and recommend corrective action and possible staff discipline to the superintendent. • The casework auditing system should generate a monthly report of the institution’s compliance rates with Section 4000 requirements. This report should go to the superintendent, the assistant deputy director for the California Youth Authority’s Institutions and Camps southern region, and the California Youth Authority headquarters. The assistant deputy director and the superintendent should meet monthly to discuss trends in the compliance rates, progressive discipline against non-performing employees, staff vacancies in parole and counselor areas, ideas for improving compliance, and other pertinent issues. • Make every effort to fill vacant youth correctional counselor positions. • Send teachers to case conferences. • Convey to all staff the need for, and importance of, weekly individual and small group counseling sessions. ORIGINAL FINDING 4: System deficiencies and inadequate effort have resulted in ward grievances not being promptly and appropriately addressed. ORIGINAL RECOMMENDATIONS: STATUS: COMMENTS: In order to improve the ward grievance process, the Office of the Inspector General recommends that Superintendent Ruiz establish an action plan to correct the serious deficiencies noted in this report. The plan should include a timeline for implementation and should include measures to accomplish the following: • Immediately investigate all PARTIALLY Although the backlog found at the time of the management review audit has IMPLEMENTED backlogged adverse action been eliminated, the Office of the Inspector General found 24 open staff grievances. Forward a copy of each action grievances more than 30 days old, one of which dated back to August investigation to the Office of the 2000. There were also seven staff action grievances that were received in STATE OF CALIFORNIA GRAY DAVIS, GOVERNOR OFFICE OF THE INSPECTOR GENERAL CONFIDENTIAL PAGE 16 HEMAN G. STARK YOUTH CORRECTIONAL FACILITY MANAGEMENT REVIEW AUDIT FOLLOW-UP REVIEW, JULY 2002 Inspector General for review. May, June, and July 2001 that are still outstanding as preliminary “fact- finding” investigations. The institution did not provide the Office of the Inspector General with a copy of each investigation for review. • Change the criterion relating to FULLY The Heman G. Stark Youth Correctional Facility Administration and IMPLEMENTED adverse action in the Heman G. Stark Operations Manual has been changed to accurately reflect policy Youth Correctional Facility established in the California Youth Authority Institutions and Camps Administration and Operations Branch Manual. Manual to accurately reflect policy set in the California Youth Authority Institutions and Camps Branch Manual. • Investigate all future ward grievances NOT See comments on the first recommendation listed above for Original IMPLEMENTED as specified in the Governor’s Finding 4. September 24, 1999 letter to Youth and Adult Corrections Agency Secretary Robert Presley. • Develop a system for ensuring that all PARTIALLY Although the ward grievance forms are now centrally located in the ward IMPLEMENTED ward grievance forms are properly rights office, the treatment team supervisors for the living units are not reconciled, centrally located in the reconciling the pre-numbered ward grievance forms. wards rights office, and fully The Office of the Inspector General also found that of the 44 outstanding completed. The system should also regular grievances, 11 were more than 30 days old and had not been ensure that every complaint is processed in a timely manner. promptly and adequately addressed. • Provide training to all staff members FULLY According to the institution’s August 2001 response to the management IMPLEMENTED and ward grievance clerks involved in review audit, training on the ward grievance process has been provided as the ward grievance process. The part of the 7K mandated training curriculum. The superintendent informed training should cover the system the Office of the Inspector General that the institution has provided training recommended above as well as the to ward grievance clerks. specific procedures described in the STATE OF CALIFORNIA GRAY DAVIS, GOVERNOR OFFICE OF THE INSPECTOR GENERAL CONFIDENTIAL PAGE 17 HEMAN G. STARK YOUTH CORRECTIONAL FACILITY MANAGEMENT REVIEW AUDIT FOLLOW-UP REVIEW, JULY 2002 Heman G. Stark Youth Correctional Facility Administrative Policy and Operations Manual. • Establish an oversight function to SUBSTANTIALLY The wards rights office is the oversight function for monitoring the ward IMPLEMENTED monitor the ward grievance process grievance process. However, as evidenced by the number of staff action and report any deficiencies directly to grievances that are still outstanding as preliminary “fact-finding” the superintendent on a regular basis. investigations, the superintendent is not always ensuring that staff members The superintendent should ensure that are held accountable for their responsibilities in the process. staff members are held accountable for their responsibilities in the ward grievance process. FOLLOW-UP RECOMMENDATIONS: The Office of the Inspector General recommends that the institution do the following: • Superintendent Ruiz should hold the treatment team supervisors for the living units accountable for reconciling the pre-numbered ward grievance forms as described in the Heman G. Stark Youth Correctional Facility Administrative Policy and Operations Manual. • The superintendent should also hold staff accountable for processing ward grievances, particularly preliminary “fact-finding” investigations on staff action grievances, in a timely manner. ORIGINAL FINDING 5: All wards, including those in Phase II and III, have been confined to eating in their rooms since the 1996 staff murder, hampering socialization efforts. ORIGINAL RECOMMENDATIONS: STATUS: COMMENTS: The Office of the Inspector General PARTIALLY Superintendent Ruiz is still in the process of testing the cafeteria dining IMPLEMENTED recommends that Superintendent Ruiz concept in the living units. As part of this testing, W/X and I/J Teams have reintroduce cafeteria dining for wards weekend dining, but wards in other living units continue to eat in their whose behavior has made them an rooms. There is no written plan with milestone dates for phasing-in cafeteria acceptable risk. This reintroduction dining. STATE OF CALIFORNIA GRAY DAVIS, GOVERNOR OFFICE OF THE INSPECTOR GENERAL CONFIDENTIAL PAGE 18 HEMAN G. STARK YOUTH CORRECTIONAL FACILITY MANAGEMENT REVIEW AUDIT FOLLOW-UP REVIEW, JULY 2002 should be carefully planned, continually evaluated, and phased in gradually, with full implementation by July 1, 2001. FOLLOW-UP RECOMMENDATION: The Office of the Inspector General recommends that the institution develop a written plan with milestone dates for phasing in cafeteria dining for the institution’s general population. The plan should set January 1, 2003 or earlier as the date for full implementation. ORIGINAL FINDING 6: Northern Hispanic wards are transferred from N.A. Chaderjian Youth Correctional Facility to the Heman G. Stark Youth Correctional Facility for punitive purposes, rather than for treatment. ORIGINAL RECOMMENDATIONS: STATUS: COMMENTS: The director of the California Youth NOT As noted in the superintendent’s response to the finding, “[I]nter-facility IMPLEMENTED Authority should work with transfers of Northern Hispanics must continue based on the need for some Superintendent Ruiz and the N.A. wards to experience a change in environment in order to stabilize constant Chaderjian Youth Correctional Facility disruptive behavior.” During the Office of the Inspector General’s follow- superintendent to cease the inter-facility up review in December 2001, the superintendent reaffirmed this policy on transfers of Northern Hispanics and to inter-facility transfers of Northern Hispanic wards. ensure that all special management unit confinement is based on programming criteria rather than on a pre-determined length of stay. FOLLOW-UP RECOMMENDATIONS: None. STATE OF CALIFORNIA GRAY DAVIS, GOVERNOR OFFICE OF THE INSPECTOR GENERAL CONFIDENTIAL PAGE 19 HEMAN G. STARK YOUTH CORRECTIONAL FACILITY MANAGEMENT REVIEW AUDIT FOLLOW-UP REVIEW, JULY 2002 ORIGINAL FINDING 7: The management and monitoring of wards in temporary detention needs improvement. ORIGINAL RECOMMENDATIONS: STATUS: COMMENTS: The Office of the Inspector General recommends that Superintendent Ruiz take the following actions to improve the management and monitoring of wards in temporary detention: • Immediately distribute a policy FULLY In February 2001, the superintendent distributed two policy reminders to the IMPLEMENTED reminder to all appropriate staff appropriate staff. members regarding the policies and procedures to be followed in managing and monitoring wards in temporary detention. At a minimum, this policy reminder should state that: • All living units must monitor and FULLY The Office of the Inspector General found that the living units are using the IMPLEMENTED track wards in temporary ward information network to monitor and track wards in temporary detention using the ward detention. information network system. • All staff must ensure that wards FULLY The Office of the Inspector General’s follow-up review determined that the IMPLEMENTED sign the YA 8.415 form upon staff is ensuring that wards sign the YA 8.415 form upon entry into entry into temporary detention or temporary detention. note on the form that the ward refused to sign. • Wards in temporary detention FULLY The Office of the Inspector General reviewed ward files and confirmed that IMPLEMENTED should receive the minimum ten wards in temporary detention were getting counseling every day. minutes of counseling a day. This counseling should be appropriately documented. • Routinely conduct spot audits of the FULLY According to the superintendent, he has implemented the executive officers IMPLEMENTED ward information network current program, whereby staff members working on weekends review all STATE OF CALIFORNIA GRAY DAVIS, GOVERNOR OFFICE OF THE INSPECTOR GENERAL CONFIDENTIAL PAGE 20 HEMAN G. STARK YOUTH CORRECTIONAL FACILITY MANAGEMENT REVIEW AUDIT FOLLOW-UP REVIEW, JULY 2002 temporary detention summary report temporary detention extensions and ensure, among other things, that all to ensure that the ward information documentation is completed correctly. The Office of the Inspector General network system accounts for all reviewed documentation and confirmed that wards in temporary detention wards in temporary detention. were being visited by the executive officers on the weekend. • Hold program administrators FULLY In February 2001, the superintendent issued policy reminders to the IMPLEMENTED accountable for the proper program administrators and announced that they would be held accountable administration of temporary detention for properly administering temporary detention in their living units. in their respective living units. The Office of the Inspector General also FULLY The California Youth Authority has a monitoring system that electronically IMPLEMENTED recommends that the California Youth tracks wards in special management programs. This ward information Authority oversee the management and network-based monitoring system allows the director to personally review monitoring of wards in temporary and track longstanding cases. Recently, a departmental classification detention at its institutions. committee was established to provide oversight and direction of wards in chronic detention. FOLLOW-UP RECOMMENDATIONS: None. ORIGINAL FINDING 8: The disciplinary decision-making system needs improvement. ORIGINAL RECOMMENDATIONS: STATUS: COMMENTS: The California Youth Authority and PARTIALLY Although the superintendent has made progress in training staff and IMPLEMENTED Superintendent Ruiz should carefully verifying the accuracy of the cases in the database, some disciplinary cases monitor the disciplinary decision-making are being lost because mandated time frames are not being met. system to ensure that staff training has The Office of the Inspector General’s review of a December 2001 WIN resulted in the improvements necessary 2000 disciplinary decision-making system report at Heman G. Stark Youth to make the disciplinary decision making Correctional Facility documented 18 incidents in which the 24-day time system and the WIN 2000 effective tools. limit to process an action was exceeded by at least 30 days. Thirteen cases STATE OF CALIFORNIA GRAY DAVIS, GOVERNOR OFFICE OF THE INSPECTOR GENERAL CONFIDENTIAL PAGE 21 HEMAN G. STARK YOUTH CORRECTIONAL FACILITY MANAGEMENT REVIEW AUDIT FOLLOW-UP REVIEW, JULY 2002 Superintendent Ruiz should also monitor had exceeded the time frame by more than 60 days. the performance of the new disciplinary decision-making system to ensure that issues such as timeliness arising during the system transition are effectively addressed. FOLLOW-UP RECOMMENDATION: The Office of the Inspector General recommends that the superintendent hold the appropriate staff at the living units accountable for processing disciplinary cases in a timely manner so that disciplinary actions are not lost when mandated time frames are not met. ORIGINAL FINDING 9: Staff performance appraisals and probationary reports are overdue. ORIGINAL RECOMMENDATIONS: STATUS: COMMENTS: The Office of the Inspector General recommends that Superintendent Ruiz take the following actions to assure the prompt evaluation of employee performance: • Notify all staff of the importance of FULLY According to the institution’s August 2001 response to the management IMPLEMENTED performance appraisals and review audit, “an audit is conducted periodically of ALL personnel files.” probationary reports to the mission of This audit generates a report noting which files remain outstanding and are Heman G. Stark Youth Correctional not in compliance with the annual performance appraisal requirement. Facility. • Instruct the personnel officer to log FULLY According to the institution’s August 2001 response to the management IMPLEMENTED all delinquent appraisals and reports, review audit, a tracking log for reviewing performance appraisals and including all contacts with probationary reports has been devised to ensure that all reports are supervisors and managers. This log generated promptly and that the supervisors’ performance expectations are should be submitted to the clear. The tracking log is provided to the superintendent monthly and any superintendent monthly and made a deficiencies are corrected. topic of management meetings. STATE OF CALIFORNIA GRAY DAVIS, GOVERNOR OFFICE OF THE INSPECTOR GENERAL CONFIDENTIAL PAGE 22 HEMAN G. STARK YOUTH CORRECTIONAL FACILITY MANAGEMENT REVIEW AUDIT FOLLOW-UP REVIEW, JULY 2002 • Provide a copy of the above log to the FULLY According to the institution, the education staff receives the audit and IMPLEMENTED education administration at the tracking log. Heman G. Stark Youth Correctional Facility. • Work with the education FULLY The audit and the tracking log ensure that delinquent performance appraisals IMPLEMENTED administration to hold supervisors and probationary reports are brought to the superintendent’s attention so that and managers accountable for the corrective action can be taken with the supervisors responsible. timely generation of performance appraisals and probationary reports. • Include this responsibility in FULLY According to the superintendent, supervisors and managers are evaluated on IMPLEMENTED supervisors’ and managers’ own their ability to evaluate staff performance in an accurate and timely manner. performance expectations and appraisals. FOLLOW-UP RECOMMENDATIONS: None. ORIGINAL FINDING 10: Facility safety and security could be enhanced. ORIGINAL RECOMMENDATIONS: STATUS: COMMENTS: In order to improve safety and security at the Heman G. Stark Youth Correctional Facility, the Office of the Inspector General recommends that Superintendent Ruiz take the following actions: • Ensure that all living units maintain PARTIALLY During the follow-up review, the Office of the Inspector General visited IMPLEMENTED suicide risk lists and are equipped three living units. Two living units had suicide risk lists, but the lists were with cut-down kits. one week old. Departmental suicide prevention and response policy requires that the list be updated and printed daily. The third living unit, an intensive treatment program unit, did not have a suicide risk list. The STATE OF CALIFORNIA GRAY DAVIS, GOVERNOR OFFICE OF THE INSPECTOR GENERAL CONFIDENTIAL PAGE 23 HEMAN G. STARK YOUTH CORRECTIONAL FACILITY MANAGEMENT REVIEW AUDIT FOLLOW-UP REVIEW, JULY 2002 program administrator said that all wards in that unit were considered to be at risk of suicide. All three living units had cut-down knives in accessible locations. • Ensure that security personnel NOT At the time of the Office of the Inspector General’s follow-up visit, the IMPLEMENTED conduct thorough random searches of institution had not initiated random searches because of objections from a employees (custody and non-custody) collective bargaining unit. In a letter dated December 6, 2001, the and their possessions at the vehicle superintendent notified the unit’s representative that the facility intended to sally port and the main entrance to begin random searches under the authority of Title 15, California Code of the facility. Regulations. • Require the logging of visitor FULLY According to the institution’s August 2001 response to the management IMPLEMENTED searches and their results. review audit, visitor searches are conducted regularly for all visitors who arrive to meet with wards. A visiting log in the reception area records the results of searches. FOLLOW-UP RECOMMENDATIONS: The Office of the Inspector General recommends that the institution do the following: • Ensure that suicide risk lists are updated daily and maintained in each living unit, including intensive treatment program units. • Begin random searches of employees. ORIGINAL FINDING 11: The ward information network system has numerous weaknesses. ORIGINAL RECOMMENDATION(S): STATUS: COMMENTS: To improve the usefulness of the ward information network system, the Office of the Inspector General recommends that the California Youth Authority take the following actions: STATE OF CALIFORNIA GRAY DAVIS, GOVERNOR OFFICE OF THE INSPECTOR GENERAL CONFIDENTIAL PAGE 24 HEMAN G. STARK YOUTH CORRECTIONAL FACILITY MANAGEMENT REVIEW AUDIT FOLLOW-UP REVIEW, JULY 2002 Review California Youth Authority PARTIALLY According to the manager of the California Youth Authority’s Applications policies and procedures governing the IMPLEMENTED Development Section, the ward information network system has been ward information network system to transferred from the department’s Institutions and Camps Branch to the ensure that they accomplish the Applications Development Section. The section has implemented log-in following: controls and other measures intended to restrict access to the department’s • Restrict access to the ward information new ward information network (WIN) 2000 system. However, the system network system consistent with sound has been installed at only four of the department’s 11 institutions. general and application controls. • Control and prioritize ward PARTIALLY The manager of the Applications Development Section said that the section IMPLEMENTED information network system is developing a service request system in conjunction with a help desk. For programming requests consistent with the short term, the section staff is working to develop an Excel spreadsheet the needs of the California Youth that will assist in scheduling programming requests. Authority, the institutions, and other parties. • Provide feedback to the institutions PARTIALLY The manager of the Applications Development Section said that feedback to IMPLEMENTED and other ward information network the institutions and other system users is presently informal. The feedback system users regarding the status of consists of e-mails in response to inquiries. their programming requests. • Enforce the above policies and NOT To date, four institutions have had WIN 2000 completely installed. Heman IMPLEMENTED procedures by periodically auditing G. Stark is scheduled for implementation in August 2002. Once the system the ward information network system. is installed department-wide, audit-type activities can be conducted. In addition, the Office of the Inspector SUBSTANTIALLY The superintendent, through the institution’s LAN programmer, has made General recommends that the IMPLEMENTED the appropriate requests. Some problems have been corrected. For superintendent develop the appropriate example, parolees have been nearly eliminated from class rosters. In other requests to correct known system cases, the system deficiencies remain to be acted upon by the Applications deficiencies, including those cited above. Development Section. FOLLOW-UP RECOMMENDATIONS: The Office of the Inspector General recommends that the California Youth Authority do the following: STATE OF CALIFORNIA GRAY DAVIS, GOVERNOR OFFICE OF THE INSPECTOR GENERAL CONFIDENTIAL PAGE 25 HEMAN G. STARK YOUTH CORRECTIONAL FACILITY MANAGEMENT REVIEW AUDIT FOLLOW-UP REVIEW, JULY 2002 • Continue department-wide implementation of the WIN 2000 system. • Once implementation is complete, thoroughly test the system to ensure that access to the system is controlled properly, that programming requests are assigned priority according to departmental policy, and that timely feedback on the status of service requests is provided to institutions and other users. • Upon full implementation, conduct periodic audits of the WIN 2000 system. STATE OF CALIFORNIA GRAY DAVIS, GOVERNOR OFFICE OF THE INSPECTOR GENERAL CONFIDENTIAL PAGE 26 HEMAN G. STARK YOUTH CORRECTIONAL FACILITY MANAGEMENT REVIEW AUDIT FOLLOW-UP REVIEW, JULY 2002 GOVERNOR’S ACTION ITEMS GOVERNOR’S ACTION ITEM 1: Conduct an immediate and comprehensive review of California Youth Authority use-of-force policies, including use of weapons, gas, and chemical dispensing devices, wristlocks, and restraints. Corrections in policy omissions and supplemental training must be completed within 60 days. CORRECTIVE ACTIONS: STATUS: COMMENTS: The California Youth Authority has FULLY During the management review audit, the Office of the Inspector General IMPLEMENTED issued revised policies and procedures determined that corrective action had been taken. The comments section of governing the use of restraint. Governor’s Action Item 3, below, discusses a review by the Office of the Superintendent Ruiz provided the Office Inspector General of the institution’s use of a 37mm gas gun during an of the Inspector General with a copy of incident that occurred subsequent to the management review audit. the California Youth Authority Institutions and Camps Branch Manual draft revision of the restraint policies and procedures. The draft revision, dated October 29, 1999, was issued in final form on February 16, 2000. The policy addresses restraint standards and equipment, chemical restraints, use of the 37mm gas gun, and staff training requirements. Superintendent Ruiz also provided the FULLY During the management review audit, the Office of the Inspector General IMPLEMENTED management audit team with a copy of determined that corrective action had been taken. No testing was conducted the California Youth Authority Restraint during the follow-up review. Policies and Procedures Training Manual, which addresses department restraint standards, objectives, and goals. STATE OF CALIFORNIA GRAY DAVIS, GOVERNOR OFFICE OF THE INSPECTOR GENERAL CONFIDENTIAL PAGE 27 HEMAN G. STARK YOUTH CORRECTIONAL FACILITY MANAGEMENT REVIEW AUDIT FOLLOW-UP REVIEW, JULY 2002 The superintendent provided records of training sessions conducted November 8, 1999 through November 19, 1999 for youth correctional officers and youth correctional counselors at the Heman G. Stark Youth Correctional Facility. FOLLOW-UP RECOMMENDATIONS: None. GOVERNOR’S ACTION ITEM 2: Conduct an immediate and comprehensive review of room/cell extraction procedures with consideration for the safety of staff and wards. Any weapons and all equipment used in this process must be approved by the director. Retraining on room/cell extraction procedures must be completed within 60 days. Videotape all room/cell extractions, review tapes of all incidents within 24 hours, and keep videotape in evidence for one year. CORRECTIVE ACTIONS: STATUS: COMMENTS: Heman G. Stark issued a revised policy SUBSTANTIALLY The revised policy on room/cell extractions states that “special IMPLEMENTED on room/cell extractions on February 16, consideration shall be given to wards with identified medical conditions or 2000. Superintendent Ruiz provided the wards who may not be able to understand directions based on mental illness, Office of the Inspector General with a language barrier or other condition presented by an individual with copy of a November 4, 1999 draft of the exceptional needs.” However, the procedures do not specifically define revised policy and with a copy of Heman these considerations. G. Stark's revised room/cell extraction Also, the procedure was changed to mandate that more protective clothing policy training materials. The new policy be worn during a room/cell extraction. Three items on the equipment list— states that only departmentally approved polycapter shield, protective gloves, and a universal protection suit—are equipment can be used in a room only recommended. extraction. The superintendent sent a memorandum to the chief of security reminding the chief of the revised STATE OF CALIFORNIA GRAY DAVIS, GOVERNOR OFFICE OF THE INSPECTOR GENERAL CONFIDENTIAL PAGE 28 HEMAN G. STARK YOUTH CORRECTIONAL FACILITY MANAGEMENT REVIEW AUDIT FOLLOW-UP REVIEW, JULY 2002 room/cell extraction policy. Superintendent Ruiz also provided FULLY During the management review audit, the Office of the Inspector General IMPLEMENTED records documenting that training on determined that corrective action had been taken. No testing was conducted room/cell extractions was conducted on during the follow-up review. April 18 and April 20, 2000 for tactical team members and selected youth correctional officers. FOLLOW-UP RECOMMENDATIONS: None. GOVERNOR’S ACTION ITEM 3: Immediately ban the use of 37mm weapons and gas dispensing devices for cell extractions and suspend the use of 37mm weapons in all California Youth Authority facilities until use-of-force policies are reviewed and approved by the agency. CORRECTIVE ACTIONS: STATUS: COMMENTS: On August 13, 1999, the superintendent FULLY During the management review audit, the Office of the Inspector General sent a memorandum to the O/R Team’s IMPLEMENTED determined that corrective action had been taken. During the follow-up treatment team supervisor and the chief review, the superintendent told the Office of the Inspector General that of security immediately banning the use 37mm gas guns remain outside the housing units. of 37mm gas guns for cell extractions. All 37mm gas guns were removed from the facility housing units and placed in the emergency equipment room pending departmental policy changes and approval for their use. A new departmental policy relating to the FULLY During the management review audit, the Office of the Inspector General use of 37mm gas guns was approved on IMPLEMENTED determined that corrective action had been taken. During the follow-up February 16, 2000. Under the new review, the Office of the Inspector General reviewed an outdoor incident STATE OF CALIFORNIA GRAY DAVIS, GOVERNOR OFFICE OF THE INSPECTOR GENERAL CONFIDENTIAL PAGE 29 HEMAN G. STARK YOUTH CORRECTIONAL FACILITY MANAGEMENT REVIEW AUDIT FOLLOW-UP REVIEW, JULY 2002 policy, the use of the 37mm gas gun that was the subject of a subsequent lawsuit. The plaintiffs alleged that a during room extractions is prohibited. staff member improperly direct-fired foam baton rounds at a ward from less The new policy also prohibits directly than 10 feet. The Office of the Inspector General determined that the discharging 37mm gas guns at distances manufacturer’s specifications permit the direct firing of foam baton rounds. of less than ten feet from the target None of the medical and investigative reports reviewed mentioned the object. distance from which the rounds were fired. Under current policy at the Heman G. FULLY During the management review audit, the Office of the Inspector General Stark Youth Correctional Facility, 37mm IMPLEMENTED determined that corrective action had been taken. As noted above, during gas guns are not stored in the housing the follow-up review, the superintendent stated that 37mm gas guns remain units. outside the housing units. FOLLOW-UP RECOMMENDATIONS: The Office of the Inspector General recommends that the California Youth Authority do the following: • Require that every “use of restraint” report clearly state the firing distance of projectiles and chemical agents. • Require that officials who review such reports consider the distance in evaluating the reports. GOVERNOR’S ACTION ITEM 4: Immediately discontinue the Phase III unrestrained group program. CORRECTIVE ACTIONS: STATUS: COMMENTS: On September 28, 1999, the FULLY During the management review audit, the Office of the Inspector General IMPLEMENTED superintendent sent a memorandum to the determined that corrective action had been taken. No testing was conducted O/R Team’s treatment team supervisor during the follow-up review. documenting the decision made during a discussion on September 23, 1999 to immediately discontinue the Level III unrestrained group sessions. STATE OF CALIFORNIA GRAY DAVIS, GOVERNOR OFFICE OF THE INSPECTOR GENERAL CONFIDENTIAL PAGE 30 HEMAN G. STARK YOUTH CORRECTIONAL FACILITY MANAGEMENT REVIEW AUDIT FOLLOW-UP REVIEW, JULY 2002 FOLLOW-UP RECOMMENDATIONS: None. GOVERNOR’S ACTION ITEM 5: Immediately eliminate the use of “open prescriptions” for psychotropic medications and review all policies relating to the administration of medications to ensure that proper medical protocol is followed. CORRECTIVE ACTIONS: STATUS: COMMENTS: The Heman G. Stark medical staff FULLY During the management review audit, the Office of the Inspector General IMPLEMENTED informed the Office of the Inspector determined that corrective action had been taken. No testing was conducted General that the institution has eliminated during the follow-up review. the use of open prescriptions for psychotropic medications. The facility’s chief medical officer has reviewed and approved all Heman G. Stark Youth Correctional Facility policies regarding the administering of medications. FOLLOW-UP RECOMMENDATIONS: None. GOVERNOR’S ACTION ITEM 6: Complete a comprehensive audit of the ward grievance process within 45 days, including proper documentation of all actions taken at each stage of the process. Eliminate the use of polygraphs as a basis for determining whether to investigate a ward grievance. All ward grievances must be investigated. STATE OF CALIFORNIA GRAY DAVIS, GOVERNOR OFFICE OF THE INSPECTOR GENERAL CONFIDENTIAL PAGE 31 HEMAN G. STARK YOUTH CORRECTIONAL FACILITY MANAGEMENT REVIEW AUDIT FOLLOW-UP REVIEW, JULY 2002 CORRECTIVE ACTIONS: STATUS: COMMENTS: The California Youth Authority SUBSTANTIALLY The California Youth Authority’s audit of the ward grievance process was IMPLEMENTED conducted an audit of the ward grievance reviewed by the Office of the Inspector General. Deficiencies found in the process and issued a report on November scope of the audit were described in the 2000 management review audit 8, 1999. report. The Office of the Inspector General reviewed the ward grievance process as part of the follow-up review. The results are reported under Original Finding 4 of this report. FOLLOW-UP RECOMMENDATIONS: See the follow-up recommendations for Original Finding 4 of this report. GOVERNOR’S ACTION ITEM 7: Install additional video surveillance cameras in the O/R Team living unit facilities to monitor “blind spots” and to improve observation in areas where coverage is inadequate. CORRECTIVE ACTION: STATUS: COMMENTS: Additional cameras were installed in the FULLY During the management review audit, the Office of the Inspector General IMPLEMENTED O/R Team living unit facilities to monitor determined that corrective action had been taken. During the follow-up “blind spots.” review, the Office of the Inspector General visited the O/R Team living unit and observed that the cameras and monitoring system were operable. FOLLOW-UP RECOMMENDATIONS: None. STATE OF CALIFORNIA GRAY DAVIS, GOVERNOR OFFICE OF THE INSPECTOR GENERAL CONFIDENTIAL PAGE 32