Juvenile Justice Training Institute for State JJ Specialists (300 Slides)

2 JJDP Act n When was it passed? n Why was it passed? n What does it say? n What does it say about Compliance Monitoring? n What are the Core Requirements? n What do States receive when in compliance with the Core Requirements?

3 Formula Grants Award n Access to your full Formula Grants allocation is contingent on meeting all four Core Requirements and maintaining an adequate system for Compliance Monitoring.

4 JJDP Act Core Requirements n Deinstitutionalization of Status Offenders—1974 n Separation—1974 n Jail Removal—1980 n Disproportionate Minority Confinement—1988

5 Deinstitutionalization of Status Offenders (DSO) Section 223(a)(11) Juveniles who are charged with or who have committed offenses that would not be criminal if committed by an adult… or such non-offenders as dependent or neglected children shall not be placed in secure detention or correctional facilities.

6 Separation Section 223(a)(12) Juveniles alleged to be or found to be delinquent [and status offenders and non-offenders] will not be detained or confined in any institution in which they have contact with adult inmates.

7 Jail Removal Section 223(a)(13) No juvenile shall be detained or confined in any jail or lockup for adults.

8 Disproportionate Minority Contact (DMC) Section 223(a)(22) States are to “address juvenile delinquency prevention efforts and system improvement efforts designed to reduce, without establishing or requiring numerical standards or quotas, the disproportionate number of juvenile members of minority groups, who come into contact with the juvenile justice system.”

9 Deinstitutionalization of Status Offenders Sight and Sound Separation Jail Removal Disproportionate Minority Contact Core Requirements of the JJDP Act

10 DSO Sec. 223 (a)(11) n A status offender is a juvenile offender who has been charged with or adjudicated for conduct that would not be a crime if committed by an adult. n A non-offender is a juvenile who is subject to the jurisdiction of the juvenile court, usually under abuse, dependency, or neglect statutes, for reasons other than legally prohibited conduct of the juvenile. n Status Offenders and non-offenders cannot be placed in secure detention or correctional facilities.

11 DSO— Sec. 223 (a)(11) Status Offenses/Examples n Runaway n Ungovernable/incorrigible n Curfew violation n Truancy n Possession of alcohol as a minor n Possession of tobacco as a minor n Traffic violations civil in nature

12 DSO— Section 223(a)(11) Non-Offenses/Examples n Child abuse and neglect n Immigration violations (aliens) n Danger to self or others (mental health) n Abandonment

13 DSO—Sec. 223 (a) (11) Four exceptions for the placement of status offenders in secure juvenile facilities: I. 24 hours prior to and after initial court appearance (exclusive of weekends and holidays). II. Youth found to have violated a Valid Court Order (VCO).

14 DSO—Sec. 223 (a) (11) Four exceptions for the placement of status offenders in secure juvenile facilities (cont’d): III. Out-of-State runaways (when Interstate Compact is used). IV. Handgun exception.

15 DSO — Sec. 223 (a)(11) I. The 24-hour exception may be used for limited purposes: n For the purposes of identification, investigation, release to parents, or transfer to a nonsecure program. n Applies only to accused status offenders, not adjudicated status offenders and not non- offenders.

16 DSO— 223(a)(11) II. VCO Exception What States Must Do to Use the VCO Exception:  State must have State Law allowing secure detention of kids who violate VCOs.  The State must train court and facility staff to ensure that all VCO standards are met (i.e. due process is afforded, interviews occur within 24 hours, hearing within 48 hours).  State must annually review a minimum of 10 percent of all VCO cases to ensure they meet VCO standards.  State must project and report as DSO violations those cases that do not meet VCO standards.

17 DSO—223(a)(11) III. Out-of-State Runaways  Interstate Compact—State must be a member.  Out-of-State runaway may be securely detained in a juvenile facility indefinitely.

18 DSO—223(a)(11) IV. Youth Handgun Safety Act  Prohibits possession of a handgun by a minor under age18.  Youth who violate the Youth Handgun Safety Act or a similar law are considered delinquent offenders.  Such youth can be placed in secure detention or correctional facilities.

19 De Minimis Standards De Minimis Standards How many violations can a State have and still remain compliant with DSO? Please see 1981 Federal Register for further details.

20 De Minimis Standards—DSO n 0 Violations/100,000 juveniles—the State has demonstrated full compliance, n 0.1 to 5.7 Violations/100,000 juveniles—the State has demonstrated full compliance with de minimis exceptions.

21 De Minimis Standards—DSO (cont’d) n 5.8–17.6 Violations/100,000 juveniles—the State is eligible for a finding of compliance with de minimis exceptions if it adequately meets the following criteria:

22 De Minimis Standards Criteria—DSO n Criterion B—instances of noncompliance were in apparent violation of State law or established executive or judicial policy. n Criterion C—an acceptable plan has been developed to eliminate the noncompliant incidents.

23 De Minimis Standards—DSO (cont’d) n 17.7 to 29.4 violations/100,000 juveniles—the State is eligible for a finding of compliance with de minimis exceptions if it fully satisfies the following criteria:

24 De Minimis Standards Criteria—DSO (cont’d) n Criterion B—instances of noncompliance were in apparent violation of State law or established executive or judicial policy. n Criterion C—an acceptable plan has been developed to eliminate the noncompliant incidents.

25 De Minimis Standards—DSO (cont’d) n 29.5 Violations and Above/100,000 juveniles—the State is presumptively ineligible for a finding of full compliance with de minimis exceptions unless… n Out-of-State runaways n Federal wards n New State law

26 De Minimis Standards—DSO (cont’d) Any rate above 29.4 violations is considered to be an excessive and significant level of status offenders and non-offenders held in juvenile detention or correctional facilities.

27 Note! n States found out of compliance with the DSO Core Requirement lose 20 percent of their Formula Grants allocation. n The remaining 50 percent of the Formula Grants allocation must be spent to bring the State back into compliance with DSO.

28 De Minimis Standards—DSO (cont’d) How many DSO violations is California allowed? n Juvenile Population in 2005 = 9,452,391 n 94.5 X 5.7 = up to 539 DSO violations n 94.5 X 17.6 = up to 1,663 DSO violations n 94.5 X 29.4 = up to 2,778 DSO violations

29 Deinstitutionalization of Status Offenders Sight and Sound Separation Jail Removal Disproportionate Minority Contact Core Requirements of the JJDP Act

30 SEPARATION Section 223(a)(12) Juveniles alleged to be or found to be delinquent [and status offenders and non-offenders] will not be detained or confined in any institution in which they have contact with adult inmates.

31 SEPARATION Sec. 223 (a)(12) [cont’d] Contact is defined to include any physical or sustained sight and/or sound contact between juvenile offenders in secure custody status and incarcerated adults, including inmate trustees.

32 SEPARATION Sec. 223 (a)(12) [cont’d] Inadvertent or Accidental Contact: n Instances need not be reported if they occur in secure areas of a facility that are not dedicated to use by juvenile offenders and which are nonresidential. n Any contact in a dedicated juvenile area, including residential area of a secure facility, would be a violation.

33 SEPARATION Sec. 223 (a)(12) [cont’d] n All secure institutions must be monitored for separation n Adult jails n Adult lockups n Juvenile detention centers n Juvenile training schools n Court holding Facilities n Adult prisons

34 Transferred, Certified, Waived, and Direct File Youth A juvenile who has been transferred to the jurisdiction of a criminal court, may be detained or confined in a juvenile facility with other juveniles who are under the jurisdiction of the juvenile court. This is not a violation of separation since the youth is not a juvenile “alleged to be or found to be delinquent” and the youth is not an “adult inmate.” Once the youth reaches the State’s age of majority, he/she must be separated from the juvenile population within six months.

35 Scared Straight, Shock Incarceration, Jail Tours… No juvenile shall enter under public authority, for any amount of time, into a secure setting or section of an adult jail, lockup, or correctional facility as a disposition of an offense or as a means of modifying his or her behavior.

36 De Minimis Standards—Separation n 0 Violations/100,000 Juveniles—the State has demonstrated full compliance. n 1 and Greater Violations/100,000 Juveniles—the State is eligible for a finding of compliance if the instances of noncompliance do not indicate a pattern or practice but rather constitute isolated incidences and one of the following criteria is satisfied:

37 De Minimis Standards Criteria—Separation n Violation of State law. n Did incidents of noncompliance indicate a pattern or practice? n Are there existing mechanisms for enforcement? n Describe the State’s plan to eliminate the noncompliant incidents.

38 De Minimis Standards— Separation (cont’d) How many Separation Violations is California allowed?  0

39 Deinstitutionalization of Status Offenders Sight and Sound Separation Jail Removal Disproportionate Minority Contact CORE REQUIREMENTS OF THE JJDP ACT

40 Jail Removal Section 223(a)(13) No juvenile shall be detained or confined in any jail or lockup for adults.

41 JAIL REMOVAL Section 223(a)(13) Does not apply to juvenile facilities or adult prisons.

42 JAIL REMOVAL Section 223(a)(13) Adult Jail: A locked facility, the purpose of which is to detain adults charged with violating criminal law, pending trial. Also those facilities used to hold convicted adult criminal offenders sentenced for less than one year.

43 JAIL REMOVAL Section 223(a)(13) Adult Lockup: Similar to an adult jail, except that an adult lockup is generally a municipal or police facility of a temporary nature which does not hold persons after they have been formally charged.

44 JAIL REMOVAL Section 223(a)(13) Jail Removal Exceptions: I.Six-Hour Rule II.Court Appearance Hold III. Rural Exception IV.Transferred, Certified, Waived, or Direct File Youth

45 An alleged delinquent may be detained for up to six hours, while separate from adults, for the purposes of identification, processing, and arranging for release to parents or transfer to juvenile court officials or juvenile shelter or detention facilities. JAIL REMOVAL Section 223(a)(13) I. Six-Hour Rule of Reason

46 An alleged or adjudicated delinquent may be detained, while separate from adults, for up to six hours before and after a court appearance. This hold must be related to a court appearance. JAIL REMOVAL Section 223(a)(13) II. Six-Hour Court Appearance Hold

47 JAIL REMOVAL Section 223(a)(13) III. Rural Exception n An accused juvenile criminal-type offender may be detained up to 48 hours (excluding weekends and holidays) in an adult jail or lockup, if certain conditions are met. n This hold must be related to a court appearance.

48 JAIL REMOVAL Section 223(a)(13) IV. Transferred, Waived, Certified and Direct File Youth n Juveniles who have been transferred to adult court and against whom criminal felony charges have been filed do not fall under the auspices of the JJDP Act for jail removal and separation requirements within jails and lockups. n These juveniles are subject to State law.

49 De Minimis Standards— Jail Removal n 0 Violations/100,000 juveniles—the State has demonstrated full compliance. n 0.1 to 9.0 Violations/100,000 juveniles—the State is eligible for the numerical de minimis exception if it has developed an acceptable plan to eliminate the noncompliant incidents through the enactment or enforcement of State law, rule or statewide executive or judicial policy, education, the provision of alternatives or other effective means.

50 De Minimis Standards— Jail Removal (cont’d) n 9.1 and greater Violations/100,000 juveniles—the State is eligible for the substantive de minimis exception if it meets five criteria: –Recently enacted changes in State law that are expected to have significant impact on the State’s achieving full compliance –All instances of noncompliance were in violation of State law

51 De Minimis Standards— Jail Removal (cont’d) n 9.1 and greater Violations/100,000 juveniles—the State is eligible for the substantive de minimis exception if it meets five criteria: –Instances of noncompliance do not indicate pattern or practice but rather constitute isolated instances. –Existing mechanisms to enforce State law. –Acceptable plan has been developed to eliminate noncompliant incidents.

52 De Minimis Standards— Jail Removal (cont’d) n How Many Jail Removal Violations Is California Allowed? n Up to 9 = 850 Jail Removal Violations (94.5 x 9 = 850)

53 Adequate System of Compliance Monitoring Presented by Elissa Rumsey, Compliance Monitoring Coordinator, OJJDP Susan Davis, Compliance Monitor, Colorado

54 Adequate System of Compliance Monitoring (cont’d) Section 223(a)(14) of the JJDP Act: “Participating States must provide for an adequate system of monitoring jails, detention facilities, correctional facilities, and nonsecure facilities to ensure that the requirements of paragraph (11), paragraph (12), and paragraph (13) are met, and for the annual reporting of the results of such monitoring to the [OJJDP] Administrator.”

55 The 10 Compliance Monitoring Elements 1.Policies and Procedures 2.Monitoring Authority 3.Monitoring Timetable 4.Violation Procedures 5.Barriers and Strategies

56 The 10 Compliance Monitoring Elements (cont’d) 6.Definitions 7.Identification of the Universe 8.Classification of the Universe 9.Inspection of Facilities 10. Data Collection and Data Verification

57 The Elements n In the OJJDP Guidance Manual, Audit Guideline Manual, and Formula Grants Regulations. n On the OJJDP Web site under Compliance Monitoring. n Disc provided contains all documents.

58 Policies and Procedures n Critical! n Policies and procedures serve multiple purposes: n Desk manual. n Document your Compliance Monitoring system in detail. n Basis for your OJJDP audit.

59 Monitoring Authority n Each State should have authority to inspect facilities and collect data. n Your authority should be documented in your training materials and available to facilities. n Optimal authority is legislation. n Minimum authority is an Executive Order.

60 Monitoring Timetable n Each State should n Have a written timetable detailing how you will accomplish the Four Compliance Monitoring Tasks. n This Monitoring Timetable should n Detail who will do what, when, for what period of time, what the product will be. n Can be in chart or written format.

61 Violation Procedures n Each State must have a procedure to handle violations. n Authority to deal with violations is essential. n Written policies should be available to all concerned parties. n At a minimum, States should be able to cite a facility and request that the facility correct the noncompliant situation.

62 Barriers and Strategies n Barriers = obstacles to either your monitoring efforts or compliance with the Core Requirements. n All States have barriers. n Strategies = what the Designated State Agency (DSA) and the State Advisory Group (SAG) are doing to overcome the barriers. n Examples.

63 Definitions of Terms n States MUST use OJJDP definitions when monitoring. n These definitions should be in all your materials: policies, manuals, training materials. n Preferably, the OJJDP definitions should be in State statutes; if not, make sure all facilities know what the federal definitions are.

64 Important Definitions: n Secure n Lockup n Status Offender/MIP n Separation

65 The Four Compliance Monitoring Tasks n These tasks are annual. n The annual completion of these tasks should be in your timetable. n The tasks are n Identification of the Universe. n Classification of the Universe. n Inspection of Facilities. n Data Collection and Data Verification.

66 Identification of the Monitoring Universe n The State must identify all facilities which might hold juveniles pursuant to public authority. n Facilities must be classified to determine if each should be included in the monitoring effort.

67 Identification (cont’d) n The list should include all jails, lockups, detention centers, juvenile correctional facilities, halfway houses, group homes, prisons and any other secure or nonsecure public or private facilities in which juvenile might be detained or placed.

68 Identification (cont’d) n Key phrases: “might hold,” “public authority,” “public and private,” “full list.” n Necessary first step. n Every facility that has the “potential” to house juveniles, regardless of the purpose, comes under the purview of the monitoring requirements and must therefore be included in identification.

69 Identification (cont’d) n Statutes which prohibit placement of juveniles in specific facilities do not exempt them from the universe. n Not all facilities that are identified in this step will be transferred to the inspection list! Do not get overwhelmed! n All of the facilities identified must also be classified. n However, not all will need an inspection or be subject to data collection/verification.

70 Identification (cont’d) n Sources for identifying your universe include n State oversight/regulatory agencies n Social Services n Mental Health n Public Health n Associations n Department of Corrections n Others?

71 Classification of the Monitoring Universe n Each facility identified needs to also be classified. n Classification will assist you in determining which facilities will need to be inspected. n Classification has four elements: n Secure or nonsecure n Public or private n Residential or nonresidential n For juveniles only, for adults only, or for both juveniles and adults

72 Classification (cont’d) n Classification may be completed in conjunction with identification. n States must confirm initial classification while onsite. n Remember to use federal definitions. n Query the State Oversight and/or Regulatory Agencies on statutes, regulations, standards, policies, violation procedures.

73 Organizing Your Monitoring Universe Information n Organize once, update annually. n Organize as it makes sense to you. n One example: n By facility type (jails) n ID and Classification List which shows the jails in State by address, contact name, phone, classification, and date of last inspection n Rules, statutes, regulations as they pertain to this type of facility n Violation procedures for this type of facility n Very helpful during OJJDP audits

74 Inspection of Facilities n Three reasons to inspect facilities: n To confirm your classification (secure or nonsecure and who is being held there) n To assess the separation levels at all points in the facility n To determine if their record keeping system is adequate for you to collect the necessary data to determine compliance with the Core Requirements

75 Inspection of Facilities (cont’d) n Confirm your classification: n Is this facility secure or nonsecure? Is it for juveniles only, adults only, or juveniles and adults? Is it residential or nonresidential? Public or private? n Once you answer these, and perhaps more, questions you will know how to classify it pursuant to federal definitions of terms.

76 Inspection of Facilities (cont’d) n Assess separation levels. n Walk through the facility as if you were a juvenile. n Ask lots of questions: n When are adults in this area? n When are trustees used? n May I have a copy of your policies on separation? n Enter a cell and ask the Deputy to walk into an adjoining cell to test sound separation (where juveniles are held securely in the vicinity of adults).

77 Inspection of Facilities (cont’d) n More questions: n How are juveniles processed? n Where do they enter facility? n Who escorts them? n Is time-phasing used? n Where are nonsecure areas? n Is there a nonsecure booking area?

78 Inspection of Facilities (cont’d) n Record keeping system required to collect the following information on all juveniles held securely n Name or ID n Date of birth n Race, sex, ethnicity n Offense (most serious) n Date and time IN secure setting n Date and time OUT of secure setting n Time out for court appearance (if applicable) n Time back in for court appearance (if applicable) n Person released

79 Organizing Facility Information n Create “Facility Files” n All information on this facility is contained in one file n Taken onsite and updated. n Example. n Very helpful to the next person who takes your job!

80 Inspection of Facilities (cont’d) n Many other reasons to inspect! n Building relationships with your contact people. n Sharing information about your agency. n Problem solving solutions to juvenile justice issues. n Serving as the eyes and ears for your SAG. n Others?

81 Inspection of Facilities: Pre-Visit Activities n Schedule an appointment with Administrator so there is buy-in. n Explain what you will be doing there and how long it will take n Sight and sound. n Classification. n Record keeping.

82 Inspection of Facilities: Onsite n Walk through the facility as if you were a juvenile. n Review sight and sound separation, records, security levels. n Obtain a layout and sample of log. n Obtain copies of any policies.

83 Inspection of Facilities: Exit Interview n Provide training materials. n Explain how you have classified them and their separation levels. n Fully explain the Core Requirements as they relate to their facility. n Recommend changes if needed. n Explain your violation policy. n Ask what their needs are. n Make sure you have all the information you need for your facility file.

84 Inspection of Facilities: Exit Interview (cont’d) n If you don’t know the answer, research it and get back. n Provide information on programs that might be relevant—you may be the only eyes and ears for your agency. n Always thank people for their time and efforts.

85 Data Collection and Data Verification n Two parts: collect and verify. n Collect data on all juveniles held securely in the State for the year. n Must use OJJDP definitions of terms not only for offenses but for facilities: n Jail, lockup, court holding, JDC, JCF, collocated. n For example, if a facility isn’t “behaving” like a court holding facility then it is a lockup.

86 Data Collection and Data Verification (cont’d) n Twelve months of data is necessary. n All facilities that hold juveniles securely must report. n If data isn’t complete, the OJJDP/Excel Spreadsheet will project it for you. n Please include a chart or table showing the facilities that held and the number of violations for each facility.

87 Data Collection/Verification (cont’d) n Facilities Self-Report Admissions Data. n Data collected by an agency other than the DSA needs to be verified onsite by the DSA. n Verification process should be in your policies and procedures. n Verification is an annual process at all facilities that hold juveniles securely.

88 Data Collection/Verification (cont’d) n At minimum, 10 percent of all VCOs must be verified; however, if you find violations in that 10 percent sample you must project those numbers for the remaining 90 percent. n Please verify 100 percent of VCO cases if the number is under 50 per facility.

89 Data Collection/Verification (cont’d) n Look over the OJJDP Excel Spreadsheet to see what data you will need at the end of the year so you are collecting them all year. n Youth in possession of a handgun is not a violation of DSO. n Title V funds linked to compliance.

90 Data Collection/Verification: Title V n Title V is the Community Prevention Grant Program. n Title V money must be passed through to units of local governments. n Compliance Monitors must demonstrate and SAGs must certify that units of local government are in compliance with the Core Requirements to receive Title V funding.

91 Data Collection/Verification (cont’d) n Once data are collected and verified, summarize for the OJJDP Compliance Monitoring Report. n Data will need to be described in the narrative section of this report. n The OJJDP Compliance Monitoring Report will be covered in more detail at a later time during this training.

92 Adequate System of Compliance Monitoring QUESTIONS?

93 Adequate System of Compliance Monitoring: Part 2 Compliance Monitoring Written Products/Reporting Responsibilities —Mark Ferrante, Juvenile Justice Specialist, New Jersey —Wandra Simmons, TCAP Coordinator, OJJDP —Susan Davis, Compliance Monitor, Colorado —Julie Herr, State Representative, OJJDP

94 Formula Grants Plan/Performance Measures Presented by Mark Ferrante, Juvenile Justice Specialist, New Jersey Wandra Simmons, TCAP Coordinator, OJJDP

95 Formula Grants (FG): Three-Year Plan and Application n FG Application must include plan for Compliance With the First Three Core Requirements of the JJDP Act and the State’s Plan for Compliance Monitoring.

96 FG Three-Year Plan n The plan must be data-based and program specific, including the necessary “who, what, where, how, and when” to provide clear plan of action.

97 FG Three-Year Plan (cont’d) n The Compliance Monitoring plan should include a detailed description of monitoring tasks and identify the specific agency or agencies responsible for each task.

98 FG Three-Year Plan (cont’d) n This section should describe the legislative and administrative procedures and sanctions that the State has established to receive, investigate, and report compliance violations. If an agency other than the designated State agency is responsible for monitoring, describe how that agency maintains accountability for compliance with this requirement.

99 FG Three-Year Plan (cont’d) n For each of the requirements, the State should describe: a. Strategy, specific activities, timetable covering the three-year planning cycle, and resources to support the implementation of the plans.

100 FG Three-Year Plan (cont’d) b. Barriers the State faces in achieving full compliance, and how it will overcome them. c. Role of the SAG in monitoring for compliance with the DSO, separation, and removal requirements. d. If the State has been found to be in full compliance with these requirements, provide an assurance that indicates:

101 FG Three-Year Plan (cont’d) (1) Adequate plans are on file and available for review. (2) Resources to maintain compliance are identified, on file, and available to review. (3) The State will notify OJJDP if circumstances arise or if resources are lost that would jeopardize the State’s capability of maintaining compliance with the requirements.

102 FG Three-Year Plan: Performance Measures  What are performance measures?  Why do we need them?  How do we implement them?  How do we report on them?

103 FG Three-Year Plan: Performance Measures (cont’d)  Three-Year Plan must include performance measures.  Compliance monitoring program areas include –Compliance monitoring (Program Area 6 ). –DSO (Program Area 8). –Jail removal (Program Area 17). –Separation (Program Area 28 ).

104 FG Three-Year Plan: Performance Measures (cont’d) n Compliance Monitoring (Program Area 6) performance measures include: — Funds allocated (output). — Submission of annual CM Report (outcome).

105 FG Three-Year Plan: Performance Measures (cont’d) n DSO (Program Area 8) performance measures include: — Funds awarded for DSO (output). — # Site visits Conducted (output). — # of programs implemented (output). — # program youth served (output). — Changes in the # of violations of DSO requirement (outcome).

106 FG Three-Year Plan: Performance Measures (cont’d) n Jail Removal (Program Area 17) performance measures include: — Funds Awarded for Jail Removal (output). — # of programs implemented. — # program youth served. — Changes in the # of violations per Jail Removal Core Requirement (outcome).

107 FG Three-Year Plan: Performance Measures (cont’d) n Separation (Program Area 28) performance measures include: — Funds for Separation (output). — # of programs implemented (output). — Changes in the # of violations per Separation Core Requirements (outcome).

108 FG Three-Year Plan n Questions? n Thank you!

10 9 Policies and Procedures Presented by Susan Davis, Compliance Monitor, Colorado Julie Herr, State Representative, OJJDP

110 Why a Policies and Procedures Manual? n Required element of “Adequate” Compliance Monitoring System n OJJDP audits n Desk manual for your position n When you get promoted, provides guidance to your replacement.

111 Content n Compliance Monitoring Plan/ Policies and Procedures n Monitoring authority n Monitoring timetable n Violation procedures n Barriers/strategies n Definition of terms

112 Content (cont’d) n The Four Monitoring Tasks n Identification of the monitoring universe n Classification of the monitoring universe n Inspection of facilities n Data collection/data verification

113 Content (cont’d) n Should Also Include n Core Requirements by facility type with a discussion/comparison of your State law n Secure and nonsecure custody n Policies on collocated facilities n Exceptions that your State uses n Title V certification n Process for facilities to request an OJJDP opinion n Frequently asked questions

114 Content (cont’d) n You want your policies to contain information on n W ho, what, where, when, why. n If someone were to pick up and read your policies, they would understand your job. n The more information you have, the fewer questions auditors will have.

115 Recommendations n Set aside a good amount of undistracted time to write your policies. n Before you start writing, really think about n How you do your job. n What steps you take. n How you document your work. n Surround yourself with all the OJJDP materials and regulations you have and read them before you start, so you understand their intent.

116 OJJDP Materials n OJJDP Guidance Manual. n OJJDP Audit Guideline Manual. n Federal Regulations n Formula Grants Manual, Volume 1. n Provides a great deal of background information on why we do what we do.

117 State Materials n Your State’s children’s code and penal code n Web sites and relevant information for Department of Health and Human Services, Department of Corrections, PH, Mental Health, and other State agencies n Your agency’s policies n Forms you use in monitoring n Agreements you have with other agencies for monitoring n Monitoring authority documents (your Juvenile Justice Specialist should have these)

118 After It Is Written n Have your Juvenile Justice Specialist look over the first draft. n Once it is finalized, provide copies to all persons involved in monitoring. n Update it once a year.

119 Discussion n Questions? n Comments? n Experiences? n Barriers n Strategies

12 0 Monitoring for the Core Requirements of the JJDP Act by Facility Type Sharon Harrigfeld, Juvenile Justice Specialist, Idaho Rich Case, Compliance Monitor, New Jersey Elissa Rumsey, Compliance Monitoring Coordinator, OJJDP

121 Why Monitor Facilities? Section 223(a)(14) of the JJDP Act: Participating States must provide for an adequate system of monitoring jails, detention facilities, correctional facilities, and nonsecure facilities to insure that the requirements of paragraph (11), paragraph (12), and paragraph (13) are met, and for the annual reporting of the results of such monitoring to the [OJJDP] Administrator…

122 Note! Section 223(a)(14) requires that States monitor NONSECURE facilities.

123 How Is Adequate Defined? 1.See OJJDP’s Newly Revised Compliance Monitoring Guidance Manual. 2. Refer back to slides from earlier today.

124 How Frequently Must Facilities Be Monitored Onsite? 1.100 percent of secure facilities in your universe must be inspected onsite at least one time every three years. A minimum of 10 percent per year must be inspected. Exception: Lockups (even those believed to be nonsecure) must be subject to inspection one time every three years. 2.This is a minimum standard. 3.Best practice dictates that States monitor 100 percent of secure facilities annually.

125 Why Is 100 Percent a Best Practice? 1.A State is 100 percent certain of its compliance data. 2. Ability to train new facility staff in a timely fashion. 3.Facilities enjoy the benefit of the State presence. 4. You are it.

12 6 Monitoring Juvenile Facilities Sharon Harrigfeld, Juvenile Justice Specialist, Idaho

127 What Juvenile Facilities Need Monitoring? 1.Juvenile Detention Center 2.Juvenile Training School 3.Group Home 4.Youth Mental Health Facilities

128 Note! 1.Juvenile Detention Centers and Juvenile Training Schools are the primary youth facilities needing monitoring. 2.This is where the majority of juveniles are detained and thus where the majority of the data will be.

129 Federal Definition of Juvenile Detention Center/Juvenile Training School A secure juvenile detention or correctional facility is any secure public or private facility used for the lawful custody of accused or adjudicated juvenile offenders.

130 Note! 1.Know federal de minimis allowances in advance. 2.Know approximately how many Deinstitutionalization of Status Offenders (DSO) violations are allowed in your State.

131 Deinstitutionalization of Status Offenders Jail Removal Sight & Sound Separation Disproportionate Minority Contact Which Core Requirements Apply to Juvenile Detention Centers/Training Schools?

132 DSO Refresher Sec. 223 (a)(11) n 24 hours prior to and after initial court appearance (exclusive of weekends and holidays) n If youth is found in contempt of a valid court order (where State law allows) Status offenders and non- offenders cannot be placed in secure detention or correctional facilities. Exceptions for Juvenile Detention Centers/Training Schools only:

133 How to Monitor for DSO in Juvenile Detention Centers/Training Schools 1.Facilities self-report Admissions Logs. 2.Compliance monitor verifies potential violations over the phone. 3.Compliance monitor conducts onsite inspection to verify violations and visually confirm sight and sound separation. 4.Violations are factored into the annual Compliance Monitoring Report to OJJDP.

134 Sight and Sound Separation Refresher Juveniles shall not have sight and/or sound contact with adult inmates while in a secure custody setting.

135 How to Monitor for Separation in Juvenile Detention Centers/ Training Schools 1.Determine whether adult inmates (including adult inmate trustees) are on site. 2.If adult inmate trustees are on the premises, they must be sight and sound separated from juveniles at all times. 3.Best practice dictates that adult inmates not be present at juvenile facilities, period.

136 How to Monitor for Separation in Juvenile Detention Centers/ Training Schools (cont’d) 4.Where Transferred, Certified, Waived or Direct-File youth are present, they also must be sight and sound separated from juvenile delinquents six months after reaching the State’s age of majority. 5.Violations must be factored into the annual Compliance Monitoring Report to OJJDP.

137 How Frequently Must Juvenile Detention and Correctional Facilities be Monitored? n 100 % of secure facilities must be inspected every three years. n A minimum of 10% of secure facilities must be visited per year.

13 8 Monitoring Adult Facilities Rich Case, Compliance Monitor, New Jersey

139 What Adult Facilities Need Monitoring? 1.Adult jails 2.Adult lockups—police departments, substations, sheriff’s departments 3.Court holding facilities 4.Adult prisons

140 Note! 1.Adult lockups are the primary adult facilities needing monitoring. 2. An adult lockup is often the first stop for youth upon arrest and thus where the majority of the data will be.

141 Federal Definition of Adult Jail n An adult jail is a locked facility, the purpose of which is to detain adults charged with violating criminal law, who are pending trial. n Also considered are those facilities used to hold convicted adult criminal offenders sentenced for less than one year.

142 Federal Definition of Adult Lockup  Similar to an adult jail, except that an adult lockup is a temporary-hold facility which does not hold persons after they have been formally charged.  Law enforcement facilities without cells but containing cuffing rails or cuffing benches.

143 Note! 1.Know federal de minimis allowances in advance. 2.Know approximately how many DSO and Jail Removal violations are allowed in your State.

144 Deinstitutionalization of Status Offenders Jail Removal Sight & Sound Separation Disproportionate Minority Contact Which Core Requirements Apply to Adult Jails and Lockups?

145 Deinstitutionalization of Status Offenders (DSO) Refresher Status offenders and non- offenders may not be securely detained in an adult jail or lockup for any length of time.

146 Jail Removal Refresher 1.No juvenile shall be detained or confined in any jail or lockup for adults. 2.Status offenders and non-offenders securely detained for any length of time in jails/lockups equal two violations: DSO and Jail Removal.

147 Jail Removal Refresher (cont’d) Jail Removal Exceptions Six-Hour Rule Court Appearance Hold Rural Exception Transferred, Waived, Certified, or Direct File Youth

148 Sight and Sound Separation Refresher Juveniles shall not have sight and/or sound contact with adult inmates while in a secure custody setting.

149 How to Monitor Adult Jails and Lockups for DSO, Jail Removal, and Separation 1.Facilities self-report admissions logs. 2.Compliance monitor verifies potential violations over the phone. 3.Compliance monitor conducts onsite inspection to verify violations and visually confirm sight and sound separation. 4.Compliance monitor knows de minimis allowances.

150 Note! No juvenile shall enter under public authority, for any amount of time, into a secure setting or section of an adult jail, lockup, or correctional facility as a disposition of an offense or as a means of modifying his or her behavior—this means no Scared Straight Programs.

151 Note! n Juveniles who have been transferred to adult court and against whom criminal felony charges have been filed do not fall under the auspices of the JJDP Act for jail removal and separation requirements within jails and lockups. n These juveniles are subject to State law.

152 Questions? Thank you!

153 How Frequently Must Adult Jails and Lockups be Monitored? n 100 % of secure facilities must be inspected every three years. n A minimum of 10% of secure facilities must be visited per year.

15 4 Monitoring ‘Other’ Facilities Elissa Rumsey, Compliance Monitoring Coordinator, OJJDP

155 What Is an ‘Other’ Facility? n A “nontraditional” facility not historically known to hold juveniles securely; or n One that holds an extremely low number of juveniles or that almost certainly does not hold juveniles at all; or n A facility that is unique in structure and physical grounds.

156 Monitoring Other Facilities n Collocated Facilities n Court Holding Facilities n Adult Prisons n Group Homes n Mental Health Facilities

157 Collocated Facility n A juvenile facility located in the same building as an adult jail or lockup, or is part of a related complex of buildings located on the same grounds as an adult jail or lockup. n Juvenile facilities collocated with adult facilities are considered adult jails or lockups absent compliance with certain criteria.

158 Collocated Facility Criteria n Juveniles and adults must be sight and sound separated. n There must be separate juvenile and adult residential areas (time phasing is allowed for program areas). n State must approve facility to operate as a collocated facility and must monitor annually. Collocated Facility (cont’d)

159 Staffing of Collocated Facilities n Section 223(a)(12) allows for use of the same staff for adults and juveniles, given a State policy that requires staff training and certification to work with juveniles. n At a minimum, training must include youth development, adolescent physical and mental health, and nonviolent crisis intervention.

160 Which Core Requirements Apply to Collocated Facilities? n Juvenile Side: n Deinstitutionalization of Status Offenders (DSO) n Separation n Adult Side: n Deinstitutionalization of Status Offenders (DSO) n Separation n Jail Removal

161 How Frequently Must Collocated Facilities Be Monitored? n Annually. One hundred percent of all collocated facilities in your State must be monitored every year.

163 Court Holding Facilities A court holding facility is a secure facility, other than an adult jail or lockup, that is used to temporarily detain persons immediately before or after detention hearings or other court proceedings.

164 Court Holding Facilities (cont’d) n Court holding facilities must  Meet the definition of a court holding facility.  Not detain individuals overnight (i.e., nonresidential).  Not be used for punitive purposes or other purposes not related to a court appearance.  Provide for sight and sound separation in all secure areas. n If the facility does not meet this criteria, it must be monitored as an adult jail or lockup.

165 n A status offender may be held in a court holding facility if the facility meets the requirements of a court holding facility. n A delinquent offender may be held in a court holding facility if the facility meets the requirements of a court holding facility. n Sight and sound separation must be provided at all times. Court Holding Facilities (cont’d)

166 Which Core Requirements Apply to Court Holding Facilities? n Separation

167 How Frequently Must Court Holding Facilities Be Monitored? n 100 percent every three years.

169 Adult Prison n State or federally funded institution to house convicted offenders under continuous custody on a long-term basis

170 Adult Prisons n Status offenders and non-offenders are prohibited from being placed in adult prisons. n Holding delinquent offenders in an adult prison is not a violation of jail removal; however, delinquent offenders must be separated at all times from adult inmates. n The JJDP Act does not prohibit transferred, waived, or certified youth from being held in an adult prison. The separation requirement does not apply.

171 Which Core Requirements Apply to Adult Prisons? n Deinstitutionalization of Status Offenders (DSO) n Separation

172 How Frequently Must Prisons Be Monitored? n Spot-check. n Should you discover that status offenders and delinquent offenders are being securely detained, monitoring frequency should be increased. n Annual certification should be provided by adult prisons certifying they do not hold juveniles in violation of the JJDP Act and specifically that Scared Straight type programs are not in operation.

174 Group Home n A nonsecure, community-based, residential program or facility n Includes residential treatment centers, shelter care, residential child care facilities

175 Group Homes (cont’d) n Nonsecure facilities should be monitored to verify that the facility continues to be nonsecure. n If a facility’s status changes to have the capacity to hold offenders securely, data on youth detentions must be collected and verified onsite.

176  ??? Which Core Requirements Apply to Group Homes?

177 How Frequently Must Group Homes Be Monitored? n OJJDP onsite audit observations. n To date standard has been “spot check.” n States must provide a plan to OJJDP with the 2007 Compliance Monitoring report detailing number and security level of group homes in the State. n OJJDP will review information provided and make a decision about what the future monitoring standard should be.

179 Mental Health Facility n A juvenile facility governed under separate State law pursuant to civil commitment of juveniles for mental health treatment or evaluation.

180 Mental Health Facilities (cont’d) n A juvenile committed to a mental health facility under a civil commitment for mental health treatment may be placed in a secure mental health facility. n Status offenders and non-offenders may not be placed in a secure mental health facility where the court is exercising only its juvenile status offender or non-offender jurisdiction.

181  Deinstitutionalization of Status Offenders (DSO) Which Core Requirements Apply to Mental Health Facilities?

182 How Frequently Must Mental Health Facilities Be Monitored? n 10 percent per year

18 3 Compliance Monitors are not simply bean counters. Rather, they… n n Ensure that children and youth are treated in accordance to the Act. n n Serve as the authority in the State on Compliance Monitoring issues. n n Assist facilities in meeting liability with regards to how children can be detained. n n Other?

18 4 Wednesday, January 24, 2007 OJJDP National Compliance Monitoring Training Ensuring Data Reliability and Validity __________ Day 2

18 5 Building an Adequate System of Compliance Monitoring: Small Group Exercise Presented by Elissa Rumsey, Compliance Monitoring Coordinator, OJJDP Susan Davis, Compliance Monitor, Colorado

18 6 Refresher: Adequate System of Compliance Monitoring Section 223(a)(14) of the JJDP Act: Participating States must provide for an adequate system of monitoring jails, detention facilities, correctional facilities, and nonsecure facilities to insure that the requirements of paragraph (11), paragraph (12), and paragraph (13) are met, and for the annual reporting of the results of such monitoring to the [OJJDP] Administrator…

187 The 10 Compliance Monitoring System Elements n Policies and Procedures n Monitoring Authority n Monitoring Timetable n Violation Procedures n Barriers and Strategies

188 The 10 Compliance Monitoring System Elements (cont’d) n Definitions n Identification of the Universe n Classification of the Universe n Inspection of Facilities n Data Collection and Data Verification

189 Instructions for Small Group Breakouts n In your small group, discuss which of the 10 elements you have been assigned. Your element is included in your handout folder. n 15 minutes to get into groups. n 30 minutes to discuss/share ideas in group. n 75 minutes to report back (each group has 7 minutes). n 15 minutes to summarize. n See further instructions in your handout folder.

19 0 Building an Adequate System of Compliance Monitoring QUESTIONS?

191 The Valid Court Order (VCO) Exception Presented by Susan Davis, Compliance Monitor, Colorado Elissa Rumsey, Compliance Monitoring Coordinator, OJJDP

192 I. The JJDP Act on the VCO  Section 103(16) of the JJDP Act: VCO means a court order given by a juvenile court judge to a juvenile.

193 I. The JJDP Act on the VCO  Section 103(16)(A): Juvenile must be brought before the court and made subject to the VCO  Section 103(16)(B): Juvenile must have received, before the issuance of the VCO, the full due process rights guaranteed to such juvenile by the Constitution of the United States.

194 I. The JJDP Act on the VCO Section 223(a)23 n Requires States to provide specific protections for juveniles when taken into custody for violating a Valid Court Order.

195 II. The VCO in Practice? Where State law allows, States may exclude as DSO violations those children securely detained pursuant to the violation of a VCO.

196 II. The VCO in Practice: n A juvenile commits a status offense.

197 II. The VCO in Practice n The Juvenile cannot be held n In an adult jail or lockup for any length of time. n In juvenile detention past the standard 24 hours for status offenders. n The Juvenile must be brought before a court of competent jurisdiction for the issuance of a VCO.

198  A VCO is issued  Must include a guarantee that the juvenile has been advised of all due process rights. II. The VCO in Practice

199 n Due Process Rights include n Adequate notice of charges n Assistance of counsel n Privilege against self-incrimination n Privilege to confront and cross-examine witnesses II. The VCO in Practice

200 n The Juvenile violates the Valid Court Order. II. The VCO in Practice

201 II. The VCO in Practice When a VCO Is Violated:  A juvenile who violates a VCO may be held in a juvenile facility but must…  Be interviewed by an appropriate public agency within 24 hours.  Have a reasonable cause hearing within 48 hours of being placed in detention.  Have an assessment report presented to the court at this hearing to determine placement pending the violation hearing.

202 III. What States Must Do to Use the VCO Exception:  State must have State law allowing secure detention of kids who violate VCOs.  The State must train court and facility staff to ensure that all VCO standards are met (i.e., due process is afforded, interviews occur within 24 hours, hearing within 48 hours).  State must review a minimum of 10 percent of all VCO cases to ensure they meet VCO standards.

203 III. What States Must Do to Use the VCO Exception:  State must project and report as DSO violations those cases that do not meet VCO standards.  State must provide as part of its annual Compliance Monitoring report a copy of the State legislation that allows the VCO exception to be utilized.

204 Stay Tuned… for the VCO skit at lunch! Starring: Bob Miller (Louisiana Compliance Monitor) as “Bobby” Laura Whitlock (South Carolina JJ Specialist) as “Deputy Whitlock” Rich Case (New Jersey Compliance Monitor) as “Court Staff” Barb Murray (Alaska JJ Specialist) as “Bobby’s Mother” And a host of other JJ Specialists and Compliance Monitors!

205 Questions? Thank you!

20 6 Federal Wards/Immigrant Youth Presented by Laurie Elliot, Compliance Monitor, Illinois Larry Fiedler, State Representative, OJJDP Allison Ganter, Compliance Monitor, California

20 7 Federal Wards As defined by the Office of Juvenile Justice and Delinquency Prevention, a federal ward is a juvenile who is under the care and custody of the federal government. Such juveniles would include undocumented immigrant youth and those youth in the custody of the Bureau of Indian Affairs.

208 The JJDP Act on Federal Wards/Alien Youth Section 223(a)(11)(B)(ii) “Juveniles... who are aliens shall not be placed in secure detention facilities or secure correctional facilities.” Undocumented alien youth securely detained in juvenile facilities may violate the DSO Core Requirement.

209 The JJDP Act on Federal Wards/Alien Youth n OJJDP Policy allows aliens to be securely held in juvenile facilities for 24 hours for the following purposes: n Jurisdictional transfer n Appearance as a material witness n Return to lawful residence or country of citizenship n Does not include those undocumented immigrants who are also delinquent.

210 Note! n States agree to participate in the JJDP Act and, as a result, receive federal Formula Grant funds. n States must convince public and private facilities that undocumented immigrant youth held securely violate the JJDP Act. n OJJDP is working with other federal agencies to increase cooperation and adherence to JJDP Act requirements. n Bottom line is that, because the State is accepting these funds, it is up to the State to achieve compliance.

211 That said, where the presence of federal wards exceeds 29.4… n Federal Wards held under Federal statutory authority in a secure State or local detention facility may be considered an “exceptional circumstance” if excluding them from final DSO calculations brings the State’s DSO rate below 29.4/100,000.

212 Federal Wards─The Indiana Experience n Indiana has one of two secure facilities in the nation that contracts to hold federal wards. n Average federal ward population is 30–35 a day. n Average length of stay is roughly 45 days. n Outcome for youth: 60 percent to 70 percent deported.

213 Federal Wards─The Indiana Experience(cont’d) Federal Wards─The Indiana Experience (cont’d)  Initiation of the Compliance Monitoring Function  Facility identification: discovery of the federal ward issue occurred only with the last 18 months after an onsite visit.  Data collection and verification:  Previous data collection method insufficient to identify this issue.  Indiana has initiated a Web-based reporting system that will easily identify federal wards.  Site visit and data verification will occur at this facility annually.

214 Federal Wards─The Indiana Experience(cont’d) Federal Wards─The Indiana Experience (cont’d)  Maintaining compliance with the DSO mandate:  Given the number of federal wards held securely in Indiana, the State will not be able to maintain compliance with the DSO mandate without the backing out of the federal wards, as allowed by the Juvenile Justice and Delinquency Prevention Act.

215 Federal Wards─The Indiana Experience(cont’d) Federal Wards─The Indiana Experience (cont’d)  General strategies used in Indiana to encourage compliance with the JJDP Act Core Requirements:  Provision of training and technical assistance  Withholding or restricting funding to counties that house noncompliant facilities or counties that use noncompliant facilities.  Primary barrier for change of practice with regard to federal ward issue:  This is a private facility with a great financial interest in maintaining this federal ward program.

216 Federal Wards – The California Experience n We survey the field annually. n In 2005, San Diego and Imperial County contracted with  Border Patrol.  Immigration and Customs Enforcement.  U.S. Marshals.

217 In California (cont’d) In 2005, there were 332 federal wards held, with 133 for more than 24 hours.

218 In California (cont’d) n We verify each violation.  Many times, a juvenile also has a delinquent charge and will be deported within 24 hours after the commitment has been completed.  Facility personnel are not always aware of this exception.  We are looking for straight federal holds for illegal entry. n Compliance Monitor makes phone call upon submission of report. n Compliance Monitor reviews and verifies data during onsite inspection.

219 California DSO Rates for 2005 n 2.88  De minimis compliance.  133 of our 219 violations were federal wards held over 24 hours (61 percent). n This is an area of ongoing technical assistance and improvement.

22 0 Rural Exception Thomas Murphy, State Representative, OJJDP Elissa Rumsey, Compliance Monitoring Coordinator, OJJDP

221 What Is The Rural Exception? n The JJDP Act allows States to implement a statutory rural exception, allowing the temporary detention beyond the 6-hour time limit of juveniles accused of delinquent offenses who are awaiting an initial court appearance within 48 hours (excluding weekends and holidays).

222 What Is the Rural Exception? n OJJDP requires that States seek prior written approval before implementing the Rural Exception. n If you cannot find such written documentation granting approval from OJJDP in your files, you need to request approval in writing. n Please submit this request along with your FY 2007 Formula Grants application. n This approval is not statewide; rather it applies to specific facilities that meet Rural Exception criteria.

223 Note! n The Rural Exception does NOT apply to status offenders or non-offenders. n There are specific conditions that must be met in order for an accused juvenile criminal-type offender who is awaiting an initial court appearance, to be detained in a jail or lockup under the Rural Exception. n All of the following conditions must be met….

224 Rural Exception Conditions 1.The geographic area having jurisdiction over the juvenile must be outside a metropolitan statistical area (non-MSA) as defined by the Office of Management and Budget.

225 Rural Exception Conditions 2. A determination must be made that there is no existing acceptable alternative placement for the juvenile pursuant to criteria developed by the State and approved by OJJDP. 3. The jail or lockup must be certified by the State to provide sight and sound separation.

226 Rural Exception Conditions 4. The State must have a policy that requires individuals who work with both juveniles and adults in collocated facilities to have been trained and certified to work with juveniles.

227 Rural Exception (cont’d) n The State must provide documentation that the conditions have been met. n The State must have received prior approval from OJJDP to use it. n OJJDP strongly recommends youth admissions screening and continuous visual supervision.

228 Rural Exception Rules n An accused juvenile criminal-type offender may be detained for the following time periods: (all times exclude weekends and holidays). n Up to 48 hours; or n If the facility is located where conditions of distance to be traveled or the lack of highway, road or other ground transportation does not allow for court appearances within 48 hours so that a brief (not to exceed 48 hours) is excusable; or

229 Rural Exception Rules n If the facility is located where conditions adverse to safety exist (e.g., severe, life threatening weather conditions), the time for an appearance may be delayed until 24 hours after the time that such conditions allow for reasonably safe travel (no weekend or holiday exception here).

230 Note! n Extended time periods do not apply after the initial court appearance. The six-hour exception after a court appearance applies. n In the CM report you must report on each use of the exception over 48 hours, and provide supporting documentation.

23 1 Court Holding Facilities Presented by Susan Davis, Compliance Monitor, Colorado Julie Herr, State Representative, OJJDP Andrew Polk, Compliance Monitor, Massachusetts

232 What Is a Court Holding Facility? n A secure facility other than a jail or lockup. n Used to temporarily detain persons immediately before or after a court proceeding. n Does not detain individuals overnight. n Is not used for punitive purposes.

233 How Do You Monitor These Facilities? n If the court holding facility meets the criteria, then you monitor for sight and sound separation only. n If the court holding facility does not meet the criteria, it is not “classified” as a court holding facility, and is monitored as either a jail or lockup—which means you monitor for all three Core Requirements.

234 Monitoring (cont’d) n What types of juveniles can be held there, provided it is a court holding facility? n Delinquents n Status offenders n Accused and adjudicated

235 Monitoring (cont’d) n What would be considered a violation? n If the facility is not sight and sound separated, it is not a court holding facility, and is monitored as a jail or lockup. n If the juvenile is sentenced to the facility, or placed in the facility for punitive purposes, then it is no longer a court holding facility, and is monitored as a jail or lockup. n If the juvenile is held overnight, then it is no longer a court holding facility, and is monitored as a jail or lockup.

236 Examples n Facilities in compliance are n Sight and sound separated, either environmentally—or with extensive policies and procedures n Not staffed at night (unless court is held at night) n Do not allow judges to use the facility for punitive purposes

237 Examples (cont’d) n Problems you may encounter: n Old buildings where separation is difficult n Judges who use the facilities because juvenile detention are overcrowded n Facilities that are used for “overflow” when the jail gets too crowded

238 Possible Solutions n For separation issues: n Time phasing with policies. n Hospital curtains. n One-way glass. n Separate court days for juveniles and adults. n Others?

239 Possible Solutions (cont’d) n Recommend that you ask for their ideas on solutions before you impose your ideas. n Talk to chief, sheriff, judge to gain their approval. n Discuss methods that other facilities have used as possible solutions for their situation.

240 Discussion n Massachusetts n Your State

24 1 Data Analysis, Data Verification, and Reporting Susan Davis Compliance Monitor, Colorado Elissa Rumsey Compliance Monitoring Coordinator, OJJDP

24 2 Compliance Monitoring (CM) Data: Ensuring Reliability and Validity 1. 1.Why collect data? 2. 2.What kinds of data should be collected? 3. 3.How should data be analyzed? 4. 4.How should data be verified? 5. 5.How should data be reported? 6. 6.How does OJJDP verify data?

243 1. Why Collect CM Data? n Data collection and reporting are required to determine if facilities are in compliance with DSO, Jail Removal, and Separation. n As part of the CM system, each State must report on the barriers it faces in implementing and maintaining a monitoring system.

244 1. Why Collect CM Data (cont’d)? n Data can be a powerful tool to help you understand problems in your CM system. n Data provide powerful evidence where compliance problems exist and can be used to demonstrate to State and local officials where changes must be made.

245 2. What Kind of Data Should Be Collected? n Self-reported facility a dmissions logs n Monthly, quarterly, semiannually, or annually n Admissions logs should include  Name or case identifier  Age  Race  Most serious offense  Time in/time out  Held securely or nonsecurely  Held sight/sound separated  Where/who released to

246 2. What Kind of Data Should Be Collected? n If facilities refuse to self-report any data by fax, email, or mail, the CM must attempt to collect data onsite. n Review can be done monthly, quarterly, or annually. n Review admissions logs for pertinent information.

247 2. What Kind of Data Should Be Avoided? n Self-reported violations from facilities are inadequate. n Expecting State, local, and private facilities to understand the distinctions between State and federal detention requirements and to report accurately creates significant room for error. n Compliance Monitors should ask facilities to maintain juvenile admissions logs and self-report them to the State; absent that, the State must collect admissions logs onsite. n If the facility self-reports admissions logs, the CM must review them for violations and then follow up with the facility by phone and, ultimately, onsite.

248 Note! n The DSA must verify compliance data provided by another agency. n If you have a memorandum of understanding with another State agency (e.g., Adult DOC), whereby it provides relevant data it has already collected, then you are still responsible to verify, onsite, whatever data it provides to you. n If you are paying for that agency to monitor specifically for JJDP Act Core Requirements, then this does not apply.

249 3. How Should Data Be Analyzed? n Admissions logs should be reviewed for accuracy and completeness. n Suspect entries and entries that appear to include violations of the Core Requirements should be promptly followed up. n Data must be analyzed and verified onsite before submitting final annual report to OJJDP.

250 4. How Should Data Be Verified? n Data can first be verified over the phone. n Data must ultimately be verified onsite. If facilities submit self-report admissions logs, ask to see the actual admissions logs onsite to verify that they match.

251 5. How Should Data Be Reported to OJJDP? n Verified data must be reported to OJJDP on an annual basis. n Calendar-year monitoring period is strongly encouraged. n 12 months of data ideal; minimum of six months required. n Data should be reported via the Excel spreadsheet, recently updated and available at www.ojjdp.ncjrs.org/compliance/.

252 5. How Should Data Be Reported to OJJDP (cont’d)? n The data sets that you need to collect are in the OJJDP Guidance Manual. n Make sure you understand the data sets before you start collecting data so you do not need to go back and collect additional data. n Compliance de minimis standards were reviewed yesterday and are in the OJJDP Guidance Manual.

253 6. How Does OJJDP Verify State Compliance Data? n Annual review of State’s Compliance Monitoring Report to determine eligibility for Formula Grant Award n Onsite audit—at least once every five years

254 Reminder: Data Tied to Formula Grant Funding n The annual Compliance Monitoring Report shows compliance with DSO, Jail Removal and Separation. n If in compliance with all three, 60 percent of Formula Grant funds are awarded. n If out of compliance with one Core Requirement, 20 percent of funding lost and 50 percent of remaining funds must be spent on that Core Requirement.

255 And Finally… n Data collection is critical n If OJJDP determines that a State is out of compliance with Section 223(a)(14) then Formula Grants funds can be frozen or not awarded. n If you have a reluctant facility, stress  Accountability  Risk of civil litigation  Fact that the requirements are now standards of professional conduct. n Build relationships! Work as a team towards compliance.

25 6 Compliance Monitoring Data: Ensuring Reliability and Validity 1. Review of OJJDP Compliance Monitoring Report/Technical Assistance Tool 2. 2.Form recently updated 3. 3.Minor changes you should be aware of 4. 4.Troubleshooting common errors

25 7 San Diego Onsite Facility Inspections Presented by Allison Ganter, California Elissa Rumsey, OJJDP

258 Six Facilities 1.Kearny Mesa Juvenile Hall 2.Coronado Police Department 3. National City Police Department 4.San Diego City Police Department, Mid-City Station 5.San Diego County Sheriff’s Department 5a. Imperial Beach Substation 5b. Lemon Grove Substation

259 Kearny Mesa Juvenile Hall n OJJDP Definition Secure Juvenile Detention Center: A secure juvenile detention center is any secure public or private facility used for the lawful custody of accused or adjudicated juvenile offenders.

260 Kearny Mesa Juvenile Hall Classification per Federal Definitions n Secure n Juvenile only n Residential n Public

261 Kearny Mesa Juvenile Hall 2005 Data n Rated capacity = 359. n Total number of beds = 517. n Facility reported 132 status offenders securely detained in violation of DSO. n Status offenders are held in intake. They are not housed with other juveniles in housing units. n Facility reported 43 federal wards held in violation of DSO.

262 Onsite Inspection: 1/25/07 Kearny Mesa Juvenile Hall n Self-reported data review n Facility tour n Applicable Core Requirements n DSO n Separation n Verification of data

263 Coronado Police Department n OJJDP Definition Lockup: A lockup is similar to an adult jail except that an adult lockup is generally a municipal or police facility of a temporary nature that does not hold persons after they have been formally charged.

264 Coronado Police Department Classification per Federal Definitions n Secure n Adult and Juvenile n Nonresidential n Public

265 Coronado Police Department 2005 Data n Four cells: each with varying capacities based on size. n Facility reported five juvenile delinquents held in secure detention in 2005.  None over six hours.  All sight and sound separated from adults n 17 juvenile delinquents held in nonsecure detention.

266 Onsite Inspection: 1/25/07 Coronado Police Department n Self-reported data review n Facility tour n Applicable Core Requirements n DSO n Separation n Jail Removal n Verification of data

267 National City Police Department n OJJDP Definition Lockup: A lockup is similar to an adult jail except that an adult lockup is generally a municipal or police facility of a temporary nature that does not hold persons after they have been formally charged.

268 National City Police Department Classification per Federal Definitions n Secure n Adult and juvenile n Nonresidential n Public

269 National City Police Department 2005 Data n 12 cells: each of varying rated capacities based on size.  One is a “juvenile holding cell.” n Facility reported four juvenile delinquents held in secure detention in 2005.  None over six hours. n Facility reported 153 juvenile delinquents in nonsecure detention.

270 Onsite Inspection: 1/25/07 National City Police Department n Self-reported data review n Facility tour n Applicable Core Requirements n DSO n Separation n Jail Removal n Verification of data

271 San Diego City Police Department Mid-City Station n OJJDP Definition Lockup: A lockup is similar to an adult jail except that an adult lockup is generally a municipal or police facility of a temporary nature that does not hold persons after they have been formally charged.

272 San Diego City Police Department Mid-City Station Classification per Federal Definitions n Secure n Adult and juvenile n Nonresidential n Public

273 San Diego City Police Department Mid-City Station n Two holding cells that are not locked.  Hardware has been removed.  Facility provided certification that they are nonsecure and do not hold juveniles securely.

274 Onsite Inspection: 1/25/07 San Diego Police Department Mid-City Station n Self-reported data review n Facility tour n Applicable Core Requirements n DSO n Separation n Jail Removal n Verification of data

275 San Diego County Sheriff’s Department: Lemon Grove Substation n OJJDP Definition Lockup: A lockup is similar to an adult jail except that an adult lockup is generally a municipal or police facility of a temporary nature that does not hold persons after they have been formally charged.

276 San Diego County Sheriff’s Department: Lemon Grove Substation Classification per Federal Definitions n Secure n Adult and Juvenile n Nonresidential n Public

277 San Diego County Sheriff’s Department: Lemon Grove Substation 2005 Data n Three holding cells: each with a rated capacity of three. n Facility reported four juvenile delinquents held in secure detention in 2005.  Two over six hours n Facility reported 251 juvenile delinquents.

278 Onsite Inspection: 1/25/07 San Diego County Sheriff’s Department: Lemon Grove Substation n Self-reported data review n Facility tour n Applicable Core Requirements n DSO n Separation n Jail Removal n Verification of data

279 San Diego County Sheriff’s Department: Imperial Beach Substation n OJJDP Definition Lockup: A lockup is similar to an adult jail except that an adult lockup is generally a municipal or police facility of a temporary nature that does not hold persons after they have been formally charged.

280 San Diego County Sheriff’s Department: Imperial Beach Substation Classification per Federal Definitions n Secure n Adult and juvenile n Nonresidential n Public

281 San Diego County Sheriff’s Department: Imperial Beach Substation 2005 Data n Two holding cells. n Facility reported five juvenile delinquents held in secure detention in 2005.  None over six hours. n Facility reported 127 juvenile delinquents held in nonsecure detention.

282 Onsite Inspection: 1/25/07 San Diego County Sheriff’s Department: Imperial Beach Substation n Self-reported data review n Facility tour n Applicable Core Requirements n DSO n Separation n Jail Removal n Verification of data

28 3 OJJDP Audits of State Compliance Monitoring Systems Presented by Julie Herr, State Representative, OJJDP Ron Smith, Compliance Monitor, Illinois

284 Session Overview n What is a compliance audit, and why do we do them? n The audit process: planning, execution, and follow-up. n Common audit findings. n Illinois: A review of one State’s audit experience.

285 Pursuant to Section 223(a)(14) of the JJDP Act of 2002, States shall: Pursuant to Section 223(a)(14) of the JJDP Act of 2002, States shall: “Provide for an adequate system of monitoring jails, detention facilities, correctional facilities, and nonsecure facilities to ensure that the requirements of paragraph (11), paragraph (12), and paragraph (13) are met, and for annual reporting of the results of such monitoring to the [OJJDP] Administrator….”

286 Pursuant to Section 204(b)(6) of the JJDP Act of 2002, OJJDP shall: “Provide for the auditing of monitoring systems required under… this title to review the adequacy of such systems….”

287 What Is a Compliance Audit? n An in-depth review and evaluation of a State’s system for monitoring and reporting on its compliance with the Core Requirements. n Audits occur a minimum of once every five years. n OJJDP will determine whether a State’s system is “adequate” or “not adequate.” Additional findings and recommendations will also be provided. n The result of a “not adequate” finding is that access to Formula Grants funds will be frozen. Future eligibility as a “Participating” State with the Formula Grants program is also jeopardized.

288 Pre-Audit Planning n State Rep provides informal notification that an audit is due for the coming year. n Specialist, Compliance Monitor and State Rep work together to select mutually convenient dates. n Specialist, Compliance Monitor and State Rep work together to identify an appropriate sample of facilities to be visited.

289 Pre-Audit Planning (cont’d) An appropriate sample of facilities will include the following: n One juvenile detention facility n One juvenile corrections facility/training school n One adult jail n One adult lockup n One court holding facility n One nonsecure group home Facilities should ideally represent a mix of urban, rural, and suburban communities and include geographic areas beyond the capital region.

290 Pre-Audit Planning (cont’d) n Compliance Monitor contacts facilities to arrange a date and time for each audit visit, emphasizing that it is the State—not the facilities themselves—that is being audited. n State develops a tentative agenda.

291 Pre-Audit Planning (cont’d) n The State ensures that each of the selected facilities will have original data available onsite. n The State agency has all required data available for review and ready to carry into the field.

292 Pre-Audit Planning (cont’d) n 30 days out, an official notification letter is mailed with information on required pre-audit materials. n 14 days in advance, pre-audit materials are provided to OJJDP. n State Rep reviews pre-audit materials as well as the Compliance Monitoring section of the State’s Three-Year Plan. n State Rep attempts to answer questions from Appendix 3 of the Audit Guideline Manual. A list of areas requiring additional clarification is compiled.

293 Audit Execution Audit Execution 1) Entrance interview. 2) Discussion of the State system. Clarification of any issues that arose in the State Rep’s review of pre- audit materials. Key issues include  Policies and Procedures n Monitoring authority n Monitoring timetable n Violation procedures n Barriers and Strategies n Definitions n Identification n Classification n Inspection n Data collection/verification

294 Audit Execution (cont’d) Audit Execution (cont’d) 3) Facility visits. n Introduction. n Tour of facility and verification that physical plant, policies, procedures are sufficient to facilitate compliance with Core Requirements. n Verification of data. 4) Exit interview.

295 Audit Follow-Up n OJJDP completes official findings letter and audit report, with both findings and recommendations. n Findings can be positive or negative. n Findings  must be addressed or the State risks having its Formula Grants funds frozen. n Recommendation  OJJDP strongly recommends that the State take action, such that the issue does not at a later date rise to the level of a “finding.”

296 Audit Follow-Up (cont’d) n State prepares official response to report and findings letter, delineating how it will address audit findings and recommendations. n OJJDP provides a “response to the response,” designating audit as officially closed or indicating the need for further action.

297 Common Audit Findings n The State is not performing onsite data verification prior to submission of Compliance Monitoring reports to OJJDP. n The State has classified a facility, (e.g. a Lockup) as nonsecure yet during the OJJDP Audit the onsite inspection reveals a cuffing bench or cuffing rail. n The State is not inspecting facilities believed to be nonsecure (e.g., lockups, group homes) to verify nonsecure status.

298 Common Audit Findings (cont’d) n The State is not inspecting secure facilities at a rate of 100 percent every three years. n The State is not monitoring its juvenile correctional facilities/training schools to ensure compliance with DSO and sight and sound separation requirements. n Facilities are self-reporting violations and the DSA is not adequately verifying such self-reports for accuracy (e.g. comparing self-reported violations against admissions/booking logs).

299 Common Audit Findings (cont’d) n The State does not provide adequate documentation that VCO process requirements have been met. n The State has not included law enforcement facilities that exist in airports, shopping malls, and sports stadiums in its monitoring universe.

30 0 Thank You to OJJDP for Sharing this. ( Global Youth Justice www.GlobalYouthJustice.org “Making the Time for Juvenile Crime”

Juvenile Justice Training Institute for State JJ Specialists (300 Slides)

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Juvenile Justice Training Institute for State JJ Specialists (300 Slides)

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