In the following section we summarize the major findings contained in the report, describe the Youth Authority's response to date, and make recommendations for legislative action pursuant to the report. Because the process employed to develop the TAP was very thorough and involved input from all the major stakeholders concerned with Youth Authority institutions, we believe that the final report is a valuable tool for the department as it seeks to improve the quality of its operations. As a result, the Legislature may wish to give close attention to the substance of the recommendations as well as the agency and department's actions in response to them.

The TAP Recommendations

Making the Youth Authority's Statutory Mission The Basis for Strategic Planning

The mission of the Youth Authority, as found in Welfare and Institutions Code Section 1700 states:

The purpose of this chapter is to protect society from the consequences of criminal activity and to that purpose community restoration, victim restoration, and offender training and treatment shall be substituted for retributive punishment and shall be directed toward the correction and rehabilitation of young persons who have committed public offenses.

Thus, the department's mission focuses on treatment, offender rehabilitation, and restorative justice rather then punishment. The TAP recommended the department maintain the mission statement and base its strategic planning around its emphases on treatment, training, and victim and community restoration. They noted this mission could not be fulfilled without adequate resources, and concluded that current resources are insufficient. Finally, the TAP recommended the Youth Authority assess current academic and vocational programs to insure that wards have sufficient opportunities to develop their skills.

Providing Adequate Staffing to Meet the Department's Mission

The TAP recommended that the department have adequate personnel to meet its responsibilities and accomplish its mission. To determine the necessary level of personnel, it recommended that each institution's superintendent be required to prepare a staffing plan. This plan would be based on the findings of a "comprehensive, professional analysis of the number of positions required to provide security, treatment, programs and services, and to ensure the safety of wards and staff." In the report, the work group concluded there was insufficient staffing at each of the department's institutions. We note that currently juvenile halls and camps have standard personnel ratios that significantly exceed the staffing patterns in Youth Authority institutions. Institutional differences may explain a portion of these staffing differences. Because the work group did not identify a staffing standard ratio, it is difficult to assess whether, and to what extent, the department is understaffed. We concur that based on these disparities, the department would benefit by conducting an analysis to determine minimum staffing levels.

Revising Disciplinary Policy Recommendations

Restructure the Current Policy to Include More Graduated Sanctions. Prior to convening the IOQA process, the Youth Authority was the subject of a number of unfavorable press stories, most of which involved questionable disciplinary policies within its institutions. As a result, disciplinary policies were an important focal point of the IOQA process. The TAP recommends that the Director of the Youth Authority develop policies and procedures for discipline administration to include:

• The personnel authorized to impose disciplinary sanctions.
• Definitions of minor and major violations, including an identification of which levels of violations must be reported to theYOPB.
• Due process requirements.
• Distinctions in the levels of punishment, documentation, and review that are appropriate for minor and major violations.

The TAP placed particular emphasis on insuring that the disciplinary system provide a continuum of graduated sanctions appropriate to each level of violation.

Disciplinary Segregation Issues. Two specific areas of concern regarding disciplinary policies discussed within the TAP were the use of disciplinary segregation and the use of "special program areas." Disciplinary segregation, often referred to as "lockdown," involves the placement of a ward in a locked single room, typically for the majority of the day (often 23 hours in a 24 hour period). The work group agreed that the use of this sanction requires some kind of due process review within 24 hours of its use. Currently, it appears that as many as 30 days can pass without any formal review. Special program areas, described as "cages" in the TAP report, are small areas surrounded by chain link fencing where wards in disciplinary segregation receive their programming services, such as education and counseling, and recreation. While the work group was unable to reach a consensus that these devices should be eliminated, it recommended that the Youth Authority immediately convene a committee to examine safe alternatives to these caged areas for indoor and outdoor programming.

Providing Adequate Medical and Mental Health Services

Insure Appropriate Training for Clinical Health Care Staff. The work group on medical and mental health focused particular attention on insuring that all clinical health staff possess appropriate training and experience, known as "core competencies," required to serve the ward population at each institution. As an example, they noted that health care staff working with the female wards at Ventura need some expertise and training in women's health issues such as obstetrics and gynecology. To achieve this objective, the work group proposed a regulation that would require central office health administrators to develop minimum standards for the education, training, and experience necessary to meet the ward population's needs. Furthermore, it also recommended that the department establish policies and procedures to insure that licenses and certifications for clinical staff are appropriate for their work within the institution, a process known as "privileging," and that they be periodically updated and verified.

Health Care Quality Assessment and Improvement. The work group recommended implementation of a formal process for health care quality assessment and improvement. This process would require the creation of a written plan for service improvement, the development of regular mechanisms for internal and external peer review of health care delivery, and annual reports from the medical staff to the superintendents and the Director concerning current services, problems, and recommended actions to improve care.

Mental Health Service Improvement. The issue of mental health services in the Youth Authority has become very prominent recently as the ward population has come to include many more offenders with serious mental health problems. The TAP included a recommendation directing the Youth Authority to develop policies for providing services to mentally ill wards. The work group included a requirement that the policy developed incorporate the provision of the following services:

• Mental health screening at intake, crisis intervention and stabilization of mentally ill wards, to prevent any deterioration in their mental condition.
• Medication support.
• Provisions for the referral of acutely ill wards to a licensed mental health facility and assurance that any seriously ill wards will be assessed by licensed mental health clinicians.
• Elective therapy and prevention services as resources permit.

Providing Licensed Care for Acutely Mentally Ill Wards. In its discussion of this issue, the work group focused on the question of serving acutely mentally ill wards. The work group reached consensus that these wards need to be served in a setting licensed to provide psychiatric hospital services. In fact, the Youth Authority itself has been pursuing the establishment of Correctional Treatment Centers (CTCs)—which would be licensed psychiatric hospitals within the Youth Authority. Nevertheless, the work group expressed concern that this particular solution would divert too many resources away from more routine mental health care, while serving only a very small number of wards. This issue is now further complicated by a recent court order, currently being appealed, that would require the Youth Authority to establish CTCs at all of its institutions. While the work group reached no final conclusion, it suggested that it would be preferable to serve these acutely ill wards by contracting out to private or state hospitals.

Improving Staff Recruitment and Retention for Medical and Mental Health Care Positions. One persistent barrier to the provision of adequate health and mental health services for Youth Authority wards identified by the TAP has been the difficulty in recruiting and retaining qualified professional staff. A key element of this problem has been the relatively low salaries for these positions relative to the private sector as well as other state agencies. While the Youth Authority is authorized to provide recruitment and retention bonuses to some of these classifications to improve this situation, it has not received funds specifically for this purpose. The work group on medical and mental health recommended that adequate resources be dedicated to this sector to meet statutory and constitutional obligations.

Developing a Comprehensive Gang Strategy

Gang affiliations among wards in Youth Authority institutions is a pervasive problem. Yet management of gang problems varies from institution to institution and has included techniques which have received negative media coverage. One ongoing issue has been whether to segregate wards by gang affiliation or to put members of rival gangs within the same units. Some institution superintendents prefer to segregate to prevent hostilities from flaring up, while others feel it is important not to legitimize these divisions by basing institutional decisions around them. The work groups noted that the Youth Authority has been relatively successful in identifying gang members and activity, but has not developed sufficient ways to intervene and manage gang-related problems. As a result, the TAP recommended that the Youth Authority establish a multidisciplinary task force to develop a department-wide strategy to address the gang problem within institutions.

Improving Relationship Between The Youth Authority and the Counties

Improvement in State-County Relations Is Needed. In recent years, the relationship between the Youth Authority and the counties, particularly county probation departments, has deteriorated to the extent that there is little communication between the two groups. There are a number of reasons for this including elimination of the Youth Authority's role in monitoring county juvenile detention facilities, and implementation of a sliding scale fee structure which requires the Youth Authority to regularly bill the counties for the wards they commit. The TAP contained a number of recommendations to remedy this problem, some of which focused specifically on relationship building and some which looked to mitigate the effects on counties of the sliding scale fee changes.

The sliding scale legislation, Chapter 6, Statutes of 1996 (SB 681, Hurtt), made counties responsible for paying a share of the cost of housing wards at the Youth Authority when those wards are committed for less serious offenses. In our discussion of the Youth Authority budget in the Analysis of the 1999-00 Budget Bill, we explored the rationale for the fees, the effects of their enactment, and recommendations for mitigating the negative consequences for counties. Overall, we concluded the fees had succeeded in spurring counties to create more local service options for less serious offenders, thereby diminishing their dependence on the Youth Authority. We noted, however, that counties were incurring higher costs for those categories of wards who continued to be committed to the Youth Authority facilities because their lengths of stay were increasing. As a result, we recommended that the Youth Authority develop some shorter-term programming options for these offenders, and that the counties be given more input into length-of-stay decisions. The focus of these recommendations were echoed in the TAP recommendations.

Establish Shorter-Term Programming. First, the work group recommended that the Youth Authority establish short-term programs with intensive aftercare components to increase the available options for counties who are working with less serious offenders. Research suggests that shorter institutional stays, combined with aftercare, can be just as effective as long commitments. The Legislature adopted supplemental report language in 1999 requiring the Youth Authority to report to the Legislature on the feasibility of implementing such programming but at the time this analysis was prepared the report had not been submitted. This report would provide a good starting point for discussion.

Authorize a Pilot Project. In addition to recommending shorter-term programming, the work group recommended the development of legislation to authorize a pilot project to allow counties more input and involvement in programming and length-of-stay decisions. As proposed in the TAP, the pilot would involve three counties (large, medium, and small) and would include the following elements:

• The originating juvenile court sets the institutional length of stay and, in consultation with the department, determines the most appropriate custody and treatment plan.
• The local probation department, in consultation with the Youth Authority, determines who will be responsible for parole supervision.
• An outside evaluation is conducted to determine the efficacy of the pilot in meeting treatment and public safety goals.

Work to Improve the Day-to-Day Relationships Between the Counties and the Youth Authority From the Director Down to the Staff Level. Finally, the work group recommended a number of steps the Director and the Youth Authority could take to rebuild the relationship with the county probation departments. These included:

• Encouraging the Youth Authority to serve as an information resource for local agencies on the best practices used with juvenile offenders nationally. This transfer could be accomplished through the reinstitution of so-called Transfer of Knowledge workshops for counties.
• Encouraging community parole agents to develop relationships with the probation departments in their area.
• Creating community liaison positions within the department to work with local agencies.
• Encouraging the Director to participate in meetings of the Chief Probation Officers' Association.

Changing the Role of the YOPB

Under current law, the YOPB is charged with overseeing a number of decisions regarding Youth Authority wards, including length of stay and readiness to parole, handling certain disciplinary matters, revoking parole, and required programming. The work group on the future of the Youth Authority concluded it would be preferable in the long run to eliminate the YOPB and move to a system where the originating juvenile court makes these types of decisions. It therefore recommended that legislation be developed to eliminate the YOPB and replace it with a system where the juvenile court sets the initial length of stay and determines readiness to parole. It reasoned that this system has been successfully implemented in other states, promotes greater continuity of case management, and avoids some of the political pressure on YOPB appointees to continually increase length of stay.

Length of Stay Increasing. The work group appropriately focused its concern on the increase in Youth Authority lengths of stay which have grown significantly in recent years. For example, in 1996 the average length of stay for a first commitment to the Youth Authority (which excludes parole violators and other returns) was 26.4 months. In 1999, that figure had risen to 34 months, a 30 percent increase. By comparison, in 1999 felons being released to parole in CDC served 23.5 months on average. (It is noteworthy that sentencing decisions for inmates are made by the courts.) This steady upward growth in length of stay suggests an increase in punishment levels which may not be appropriate given the statutory mission of the Youth Authority.

Intermediate Recommendations Also Made. While the TAP report made a long-term recommendation to eliminate the YOPB, it also included some intermediate steps to improve the existing process. These included:

• Enactment of legislation to clarify the statutory qualifications for YOPB members and require that they represent a diversity of expertise within the juvenile justice system.
• Enactment of legislation to require the Director of the Youth Authority to serve as Chair of the YOPB.
• Colocation of the YOPB and the Youth Authority headquarters offices.

Improving the Quality and Continuity of Leadership At All Levels Within the Youth Authority

The frequent turnover of directors in recent years has led to concern about the possibility of leadership problems at the Youth Authority. To address this issue the TAP made a number of recommendations. First, it recommended that the administration encourage directors to maintain longer tenures than in the recent past. Second, it suggested that the department improve management training for Youth Authority staff. Third, it proposed widening the recruitment pool for management positions to include outside juvenile justice agencies. Finally, to improve the ability of the Director to lead, the TAP recommended that the Director develop an external communications plan to enhance the understanding of the department's mission among local officials, state policymakers, the public, and the media.

The Youth Authority's Internal Response to the TAP

Formulating Responses to the Recommendations

The Youth Authority adopted a process for generating a response to the TAP recommendations that included the following steps. First, it held an executive level meeting and assigned each recommendation to a staff person best situated to prepare a response. These staff are currently preparing position papers responding to the recommendation which include background on the underlying issue, their assessment of the content of the recommendation, and a proposed departmental action plan based on their analysis. The Director and executive staff are reviewing these responses as they are completed. Once they reach consensus on the content of the responses they are forwarding those reports to YACA for review. At the time this analysis was prepared, the department had submitted one group of responses and was planning to continue to send these reports as they were completed.

Budget Proposals Address Many Mental Health Concerns Raised in TAP

The Governor's budget proposes a number of new initiatives that would improve mental health services for wards in institutions and move the department in the directions recommended by the TAP. The new proposals include:

• $1.1 million to establish a 50-bed sex offender treatment unit at the N.A. Chaderjian Youth Correctional Facility in Stockton.
• $3 million to establish 75 additional mental health treatment beds at the Preston Youth Correctional Facility.
• $180,000 to develop a contract-based pilot program for institutional substance abuse treatment.

In addition to these new programs, the budget includes funds for two one-time assessments that address TAP recommendations. One would review current best practices in mental health treatment for juvenile offenders with recommendations for the Youth Authority to improve its existing services. The other would support a quality assessment for health and mental health care service delivery in the institutions.

LAO Recommendations

Department Should Report on Its Proposed Response to TAP

We recommend that the department advise the Legislature during budget hearings on the status of its responses to the Technical Assistance Plan, and highlight any areas where resources are needed to implement recommended changes during 2001-02.

By the time budget subcommittee hearings are underway, the department should have made some important decisions about what actions to take with regard to the TAP recommendations. We recommend that the Legislature carefully monitor this process to insure that the department maximizes its use of the many volunteer experts who compiled the TAP. While we do not know which TAP recommendations the department will view as its most important priorities, we can identify several that call for a significant investment of time and resources to evaluate current practices and identify possible alternatives. In each of these cases, the department may need additional one-time resources to complete these assessments. The most notable of these are:

• Staffing Analysis. Although the work group reached a consensus that Youth Authority institutions are understaffed, it did not have enough information to recommend a standard. As a result, the department may need to contract with a consultant experienced in juvenile institution issues to determine what appropriate staffing levels would be if it were to fulfill its statutory mission.
• Comprehensive Gang Strategy. Given the current lack of consistency with regard to its gang policy, the department would benefit from a comprehensive analysis of its current gang problem, as well as recommendations for the best practices nationally in managing gangs within institutions. Such a process may involve an outside consultant, as well as an advisory committee of state and local representatives who are familiar with gang issues.
• Academic and Vocational Opportunities Assessment. The TAP identifies a need for an internal assessment of the academic and vocational programming within the Youth Authority to determine whether ward needs are being met consistent with the statutory mission. The general sentiment within the work group was that academic programs generally are more plentiful than vocational ones, and that both areas must remain up-to-date to be effective. The department may be able to complete this assessment using existing staff and resources, but it is worthwhile to identify the scope of its assessment and whether additional resources are necessary.
• Mental Health Treatment Services. The department's current leadership has focused particular attention on mental health treatment. As a result, it may not need further assessments as much as additional resources to implement the department's strategies. The Governor's budget includes a number of proposals to improve mental health services, but even with these new initiatives, many wards with serious mental health needs may not be served. (We discuss the Governor's proposals as well as the potential unmet need later in this chapter.)

In summary, the TAP can be a powerful tool for the Youth Authority to use as it works to improve the quality of its institutions. It can also serve the Legislature as it exercises its oversight role with regard to the department and its policies.

Direct the Youth Authority to Submit Its Report On Shorter-Term Programming

We recommend that prior to budget hearings the Youth Authority submit to the Legislature the report already required in the Supplemental Report of the 1999 Budget Act and due April 1, 2000 relating to the feasibility of implementing shorter-term programming for less serious offenders.

As discussed above, the Legislature directed the Youth Authority to report on the feasibility of implementing shorter-term institutional programming such as education and counseling for less serious offenders as well as additional community services for wards on parole. The supplemental report language required the Youth Authority to do the following:

• Identify the core services and programming that are best delivered to wards in the institutions as well as those that can be delivered successfully to wards on parole.
• Develop proposals for delivering those services in a sequence that minimizes required institutional time and maximizes the value of aftercare services.
• Estimate the costs per ward to deliver such programming.
• Discuss the advantages and disadvantages of adopting new programming in terms of ward rehabilitation, public safety, and cost effectiveness.

Given that the TAP has recommended the Youth Authority establish such shorter-term programming, the issuance of this report (due to the Legislature April 1, 2000) would help the Legislature evaluate the value of the TAP recommendation as well as strategies for implementing it. Therefore, we recommend that the department submit this report to the Legislature prior to budget hearings.

Departmental Issues

New Specialized Treatment and Ward Grievance Proposals Reflect Past Legislative Priorities

We recommend approval of $8.1 million to expand or establish mental health, sex offender, and substance abuse treatment programs and partially restore wards' rights coordinator positions. Each of the proposals represents a modest effort to expand programs which the Legislature had significantly augmented in last year's budget bill but which the Governor subsequently vetoed. In the event the Legislature decides to again augment funding for these programs, we recommend it give priority to sex offender treatment and ward grievance procedures since the Youth Authority is most likely to be able to expand services in these areas within the budget year.

Background. During the budget process last year, the Legislature augmented the Youth Authority's budget for mental health, sex offender, and substance abuse treatment services; and additional staff to manage the ward grievance process. These augmentations were vetoed by the Governor. In his veto message, the Governor indicated that while he supported the underlying objectives behind the augmentations, he was not certain that they were well focused to the actual needs of the Youth Authority. The Governor, therefore, expressed his willingness to consider future proposals to address these issues.

Budget Proposals. The Governor's budget proposes a number of new programs, positions, and activities consistent with last year's legislative priorities for the Youth Authority budget. These proposals cover specialized treatment for sex offenders, mentally ill wards, wards with substance abuse problems, as well as a proposal to improve the ward grievance system. Figure 4 highlights the budget proposals and compares them with last year's legislative augmentations which were subsequently vetoed. Each budget proposal is also discussed in greater detail below. Generally, the Governor's proposals are more modest than the extensive reforms that the Legislature amended into last year's budget bill.

Sex Offender Treatment. To improve specialized treatment services for sex offenders, the Governor's budget proposes $2.8 million to create a 50-bed sex offender treatment program at the N.A. Chaderjian Youth Correctional Facility (NACYCF) in Stockton and provide 35 residential aftercare beds for parolees requiring sex offender treatment. By contrast, last year the Legislature augmented the 2000-01 Budget Bill to provide partial-year funding to phase-in 767 slots for sex offender treatment, with 200 slots implemented by January 1, 2001. The budget bill language also called for community-based aftercare services of at least 120 days for at least 50 percent of the graduates of the treatment program. The Governor subsequently vetoed the funding and the language. The budget proposal is based on information from April 2000 which shows that 802 sex offenders in Youth Authority institutions and 337 parolees currently are not receiving any specialized sex offender treatment services. In addition, more than 300 sex offenders who are required to receive sex offender treatment pursuant to Welfare and Institutions Code Section 727.6 currently are receiving no treatment. The Youth Authority recognizes that this proposal would only partially address these needs.

Mental Health Services. To improve mental health services for wards with serious mental health problems, the budget proposes $4.3 million for (1) 75 mental health treatment beds at the Preston Youth Correctional Facility, (2) contract services for weekly counseling for 325 parolees, (3) 20 beds for contract residential aftercare for mentally ill parolees, and (4) a contract study to assess the Youth Authority's mental health treatment needs and recommend a strategy for meeting those needs based on best practices nationwide. The 2000-01 Budget Bill language vetoed by the Governor also would have provided $400,000 for an assessment study, but included partial-year funding for a provision to phase-in 1000 specialized mental health treatment slots.

Substance Abuse Treatment. The Governor's budget would provide $720,000 to contract with an outside substance abuse treatment program for institution-based treatment and provide 25 residential aftercare slots for parolees. The budget bill language vetoed by the Governor would have provided partial-year funding to phase-in 1,944 drug treatment slots, and required a 150-day community-based aftercare program for at least 50 percent of the institution-based program graduates.

Ward Grievance Procedure Enhancements. The Governor's budget proposes to add three positions at a cost of $252,000 to begin to reestablish permanent staffing to handle ward rights procedures. Budget cuts in the early 1990s eliminated dedicated ward rights coordinator positions and reassigned these duties to staff with other responsibilities. As a result of this change, the Youth Authority had difficulty managing ward grievances and, as a result, many wards felt their grievances were not being handled fairly and expeditiously. The Governor's proposal would create a program administrator located at the headquarters office and two ward rights coordinator positions—one at Heman G. Stark Youth Correctional Facility (the largest Youth Authority institution) and one coordinator to provide field monitoring for all of the other institutions. The legislative augmentation vetoed by the Governor would have provided $1.5 million partial-year funding for one ward rights coordinator for every 400 wards, as well as investigative and clerical support staff.

Department Proposes a Phased-In Approach. The Youth Authority refers to each of the recommended strategies as the beginning of a phased-in approach. Thus, it recognizes that these proposals will not fully meet existing needs in these four areas. The approach taken by the Legislature last year was to provide comprehensive solutions, but fund only those steps that the Youth Authority believed could be accomplished in the budget year. The treatment slot numbers proposed by the Legislature were designed to fully address unmet needs as identified in the Youth Authority's 1998 Treatment Needs Assessment. Recognizing that an update of that assessment was needed in light of changes in Youth Authority population characteristics, the Legislature included $400,000 for a new and more comprehensive treatment needs assessment. This assessment was to be used to update the numbers of slots referenced in the budget bill language.

The budget proposes to begin addressing these unmet needs more incrementally without committing to future year expenditures. While it is unlikely that the department could implement all of the program changes needed to meet their ward treatment requirements in the budget year, it appears likely based on prior planning and development work that it could do more than is proposed by the Governor's budget.

Sex Offender Treatment and Ward Rights Ready for Additional Augmentation. If the Legislature determines that it wants to take more comprehensive steps to address these treatment issues, we recommend that it give first priority to the sex offender treatment and ward grievance procedure proposals, as the department is most likely to have the ability to expand these services based on preliminary assessment and planning work already completed in this area.

Proposed Study Should Guide Future Increases for Treatment Initiatives. We recommend approval of the mental health and substance abuse proposals because they move towards addressing current ward treatment needs. Currently, the department has received funds to thoroughly assess and plan for mental health services. This report would cover sex offender, substance abuse, and mental health treatment. The results of the assessment should guide any future funding increases for treatment services.

Long-Range Plan for Juvenile Justice Data Collection In California Long Overdue

We recommend that the Youth Authority report to the budget committees, prior to budget hearings, on the status of its long-range plan for juvenile justice data collection and analysis in California.

The Legislature appropriated $300,000 to the Youth Authority in the 1996-97 Budget Bill to contract for the development of a long-range plan for juvenile justice data collection and analysis on a statewide basis. The contractor submitted an initial draft of the plan in April 1998 and a revised plan in June 1999. A final draft of the report, however, has yet to be issued by the Youth Authority. The lack of good statewide data on juvenile justice issues has frustrated policy makers in this area for some time. Yet there has been little action to resolve the problem because the long-range plan appeared to be the best place to begin the discussion. While no due date was specified in the bill, it is clear that the Legislature intended for the plan to be completed by now. As a result, we recommend that the Youth Authority report to the budget committees, prior to budget hearings, on the status of the plan and its time frame for releasing a final plan.