Report 2018-113 All Recommendation Responses

Report 2018-113: California Department of Corrections and Rehabilitation: Several Poor Administrative Practices Have Hindered Reductions in Recidivism and Denied Inmates Access to In‑Prison Rehabilitation Programs (Release Date: January 2019)

Recommendation #1 To: Corrections and Rehabilitation, Department of

To ensure that Corrections has reliable tools for assessing the needs of its inmate population, it should validate COMPAS and CSRA by January 2020 and revalidate all of its assessment tools at least every five years.

Annual Follow-Up Agency Response From October 2023

The department is exploring innovative needs assessment options with plans to test an enhanced version of COMPAS. If revalidation is deemed necessary, the Department will proceed accordingly.

CSRA revalidation is in the final phase of completion, with a final report anticipated. However, the Department has moved forward with adjustments to mapping tables. A new maintenance contract is in development between UCI and CDCR for continued CSRA maintenance and update.

Estimated Completion Date: December 2024

California State Auditor's Assessment of Annual Follow-Up Status: Pending

Annual Follow-Up Agency Response From October 2022

CPRIO is leading an Offender Risk and Needs Assessment Committee to analyze current assessments used within CDCR, including the Correctional Offender Management Profiling for Alternative

Sanctions (COMPAS) and the California Static Risk Assessment (CSRA), as well as whether other assessments exist that better meet CDCR's offender population's needs.

The assessment analysis team will recommend either a revalidation schedule for current assessments or replacement by April 2019.

2022 Update: The University of California, Irvine (UCI), has successfully validated CSRA in the Spring of 2022. In addition, UCI updated CSRA with current California Offense Table codes.

UCI is also engaged with the Division of Adult Parole Operations (DAPO) on revalidation of COMPAS, with an estimated date for completion by mid-2023.

Estimated Completion Date: 07/2023

California State Auditor's Assessment of Annual Follow-Up Status: Partially Implemented

Although CDCR indicates that it has validated the California Static Risk Assessment, it has yet to do so for the Correctional Offender Management Profiling for Alternative Sanctions assessment.

Annual Follow-Up Agency Response From October 2021

University of California, Irvine (UCI), findings and recommendations for the California Static Risk Assessment (CSRA) tool are currently under discussion, with a decision regarding revalidation or replacement expected by November 2021.

Estimated Completion Date: 11/2021

California State Auditor's Assessment of Annual Follow-Up Status: Pending

Annual Follow-Up Agency Response From October 2020

The Division of Correctional Policy Research and Internal Oversight is leading an Offender Risk and Needs Assessment Committee to analyze current assessments used within CDCR, including the COMPAS and the CSRA, as well as whether other assessments exist that better meet CDCR's offender population's needs.

The assessment analysis team will recommend either a revalidation schedule for current assessments or replacement by April 2019.

Revalidation Contract executed January 2020.

Needs Assessment decision to be completed by November 2021.

Revalidation/ Replacement Schedule: Dependent upon approved assessment plan.

The contract with UCI has been executed, to include an update to the California Static Risk Assessment tool, examinations of cut points and racial and gender disparities, testing of dynamic risk items, and ultimately a full revalidation of the tool. The Department is currently evaluating potential vendors to develop the Needs Assessment tool with an estimated completion date of December 31, 2021.

Estimated Completion Date: 12/31/2021

California State Auditor's Assessment of Annual Follow-Up Status: Pending

1-Year Agency Response

The CSRA revalidation contract with the University of California, Irvine was executed in January 2020 with a revalidation timeline to follow execution and assessment.

The Criminogenic Needs Assessment and decision will be completed by June 2020.

Estimated Completion Date: pending
Response Date: March 2020

California State Auditor's Assessment of 1-Year Status: Pending

6-Month Agency Response

The Offender Risk and Needs Assessment Committee has drafted a Report to the Secretary with recommendations related to the COMPAS and CSRA tools and their future use. The Report has been submitted to the Secretary. A Governor's Office Action Request has been sent to the Governor's Office. If the GOAR is approved, the Committee will immediately put the final recommended changes into action.

Estimated Completion Date: 1/1/2020
Response Date: July 2019

California State Auditor's Assessment of 6-Month Status: Pending

60-Day Agency Response

The Division of Correctional Policy Research and Oversight is leading a team to analyze current assessments used within CDCR, including the COMPAS and the CSRA, as well as whether other assessments exist that better meet CDCR's offender population's needs.

The assessment analysis team will recommend either a revalidation schedule for current assessments or replacement by April 2019.

Revalidation/ Replacement Schedule:

Tentatively Jan 1, 2020 Dependent upon approved assessment plan.

Estimated Completion Date: April 2019
Response Date: March 2019

California State Auditor's Assessment of 60-Day Status: Pending

Recommendation #2 To: Corrections and Rehabilitation, Department of

To ensure that Corrections is able to discover and prioritize the most effective CBT rehabilitation curricula, it should begin using its ability to record the individual CBT curricula inmates receive, and then use this information in an analysis of its rehabilitation programs in 2020.

Annual Follow-Up Agency Response From October 2021

The curriculum delivery status which the Division of Rehabilitative Programs (DRP) continues to monitor will be shared with the Public Policy Institute of California (PPIC) as part of its evaluation of in-prison programming. The PPIC Data Sharing Agreement has been finalized. For additional information on this agreement, please see Recommendation 11.

Supporting documentation will be provided as directed.

Completion Date: July 2021

California State Auditor's Assessment of Annual Follow-Up Status: Fully Implemented

CDCR is recording the individual CBT curricula inmates receive and has partnered with PPIC to use that data and evaluate the effectiveness of CDCR's programming.

Annual Follow-Up Agency Response From October 2020

DRP had developed reporting within its treatment case management system that displays the curricula name and component used, by offender, by day. This activity report was created as part of DRP's fidelity measurements and it is anticipated that it will be used in part of the overall analysis of rehabilitative treatment programs in 2020 and ongoing.

Recording offender level data began in 2017-18.

Use as part of overall research anticipated for research reporting.

As noted, DRP continues to review and approve curriculum delivery status for both in-prison and community based programs. All relevant curriculum information will be available for use by PPIC to conduct a multi-year, phased longitudinal study of DRP's rehabilitative programs. For a status update on this agreement, please see the response to Item 11.

Estimated Completion Date: Ongoing

California State Auditor's Assessment of Annual Follow-Up Status: Partially Implemented

1-Year Agency Response

DRP is currently finalizing the scope of work and associated documents. DRP anticipates submission of final documents as proof of practice, including curriculum and selected data points.

Estimated Completion Date: pending
Response Date: March 2020

California State Auditor's Assessment of 1-Year Status: Partially Implemented

6-Month Agency Response

Curriculum delivery status is now captured for each in-prison curricula in DRP's case management system to better prioritize and analyze the use of specific curricula by program site and treatment program. Training was provided to program analysts to ensure proper validation and correct entry of this information.

The following POPs will be submitted separately:

Attachment A- Training Notices Curriculum Status

Attachment B-Activity 16 - Sessions Recorded Report

Attachment C- Fidelity 16 - Curriculum Delivered Report

Estimated Completion Date: Pending Future Research
Response Date: July 2019

California State Auditor's Assessment of 6-Month Status: Pending

60-Day Agency Response

Estimated Completion Date: Recording offender level data began in 2017-18. Use as part of overall research anticipated for research reporting.
Response Date: March 2019

California State Auditor's Assessment of 60-Day Status: Pending

Recommendation #3 To: Corrections and Rehabilitation, Department of

To ensure that its CBT classes are effective at reducing recidivism, Corrections should amend its CBT contracts to require vendors to teach only evidence-based curricula as designated by Pew and should provide adequate oversight, including implementing UC Irvine's contract compliance recommendations, to ensure that its vendors adhere to this standard by January 2020.

1-Year Agency Response

CDCR/DRP has reviewed the CBT contracts in their entirety and is currently drafting the scope of work to be completed by July 2019. This revised scope will designate specific curricula to be used by the providers. All curricula is anticipated to be designated within the PEW Results First Clearinghouse at the intervention or curricula level or be shown to be evidence-based through research and application. These will be implemented through the state contracting process.

DRP has already implemented UC Irvine's Program Accountability recommendations and reviews beginning in January 2019 and trained and developed a Fidelity review schedule for fiscal year

2019-20.

Completion Date: January 2020
Response Date: March 2020

California State Auditor's Assessment of 1-Year Status: Fully Implemented

Corrections amended its CBT contracts and now requires vendors to teach only evidence-based curricula as designated by Pew. In addition, it has implemented a program accountability review reports to ensure the fidelity of in-prison rehabilitation programs.

6-Month Agency Response

DRP has already implemented UC Irvine's Program Accountability recommendations and reviews beginning in January 2019 and trained and developed a Fidelity review schedule for the 2019-20 Fiscal Year.

The Program Accountability Review (PAR) tool was implemented in January 2019. The PAR tool was administered at all prisons between January and April 2019. The PAR memorandum sent to the CBT providers, training notices, analyst PAR schedule, and examples of PAR tool findings for two prisons will be submitted separately.

POP: Attachment D-In-Prison Program Accountability Review Tool; Attachment E-Training Notices PAR Tool; Attachment F-2019 PAR Travel Dates - In-Prison; Attachment G-CAL PAR and CAP 4.10.19; Attachment H- CCI PAR and CAP 3.28.19

Estimated Completion Date: January 2020
Response Date: July 2019

California State Auditor's Assessment of 6-Month Status: Pending

60-Day Agency Response

CDCR/DRP has reviewed the CBT contracts in their entirety and is currently drafting the scope of work to be completed by May 2019. This revised scope will designate specific curricula to be used by the providers. All curricula is anticipated to be designated within the PEW Results First Clearinghouse at the intervention or curricula level or be shown to be evidence-based through research and application. These will be implemented through the state contracting process.

DRP has already implemented UC Irvine's Program Accountability recommendations and reviews beginning in January 2019 and plans on implementing Fidelity reviews/recommendations from UC Irvine by April 2019.

Memorandums and sample accountability and fidelity reports will be submitted to the State Auditor at the 6-month review.

Contract scope of work and executed contracts will be submitted to the State Auditor at the 1-year follow-up related to curricula/contract updates.

Estimated Completion Date: Program Accountability Implementation: Jan 2019
Response Date: March 2019

California State Auditor's Assessment of 60-Day Status: Pending

Recommendation #4 To: Corrections and Rehabilitation, Department of

To ensure that inmates with the highest risks and needs are wait listed, prioritized, and assigned appropriately, Corrections should require correctional counselors to place inmates onto waiting lists once they have five years or less on their sentences.

6-Month Agency Response

January 8, 2019 training and implementation of the SOMS Rehabilitative Case Plan was completed.

Pending the automated wait list in SOMS, a memorandum directive will be issued to require the SOMS Rehabilitative Case Plan to be utilized during Annual Classification; reiterate the December 15, 2017 "Rehabilitative Program Services Expansion, Waiting List Placement, and Assignment Prioritization Process" memorandum; and reiterate priority placement expectations to Inmate Assignment Offices. August 30, 2019 for Memo Directive & Training Proof of Practice.

Additionally, beginning July 1, 2019 DRP began sending quarterly updates to institutional Executive staff regarding inmates who should be on a waitlist consistent with their risk to reoffend and criminogenic needs, but are not.

DRP has created various bookmarks within its Data Visibility (Data Analytics) Tool that will be used by Institutional executive staff to identify inmates who should be on a waitlist (according to current policy) to address one of their respective criminogenic needs, but currently are not, have not been previously assigned nor have completed programming associated to that criminogenic need. Please note: any inmate-level reports within the system are excluded due to privacy concerns but will be made available to institutional executives.

POP: Attachment O-Inmate Waitlist within 5 Years to Release (statewide summary in an effort to measure ongoing changes to waitlists and assignments over time)

Completion Date: July 2019
Response Date: July 2019

California State Auditor's Assessment of 6-Month Status: Fully Implemented

After reviewing the documentation submitted by Corrections, we found that it has directed correctional counselors to assign inmates into rehabilitation programs based on their risk and needs.

60-Day Agency Response

January 8, 2019 training and implementation of the SOMS Rehabilitative Case Plan was completed.

Additionally, DRP will begin sending quarterly updates to institutional Executive staff regarding inmates who should be on a waitlist consistent with their risk to reoffend and criminogenic needs, but are not.

SOMS Rehabilitative Case Plan Training Power Point and Dates of Training.

December 15, 2017 "Rehabilitative Program Services Expansion, Waiting

List Placement, and Assignment Prioritization Process" memorandum.

Following Issuance of the Directive memorandum, documented training on a CDCR Form 844 Training Participation Sign In Sheet for all CCI's, CCII's and Inmate Assignment Lieutenants to be provided within 30 days of memorandum release.

A sample copy of emails with report (redacted for privacy) will be sent at the 6-month follow-up to the State Auditor.

Estimated Completion Date: August 30, 2019 for Memo Directive & Training Proof of Practice. Quarterly Reports to begin in April 2019.
Response Date: March 2019

California State Auditor's Assessment of 60-Day Status: Pending

Recommendation #5 To: Corrections and Rehabilitation, Department of

To ensure that inmates with the highest risks and needs are wait listed, prioritized, and assigned appropriately, Corrections should update its waiting list system to prioritize inmates with rehabilitative needs and risks in its target population.

6-Month Agency Response

This SOMS system change has been in development since October 2017 and implementation is planned by April 2019. The future waitlists will be automated based upon rehabilitative placement criteria, creating prioritized waitlists based upon risk to reoffend, criminogenic needs, and time left to serve.

POP: See attachments, P-Rehabilitative Program Waitlist Prioritization, Q- SOMS 14.0 Release Notification with Detail, and R- SOMS 14.0 Email - Waitlist Notification indicating to assignments to follow top-down priorities.

Completion Date: April 2019
Response Date: July 2019

California State Auditor's Assessment of 6-Month Status: Fully Implemented

After reviewing the documentation submitted by Corrections, we found that it has updated its waiting list system to prioritize inmates based on their risks and needs.

60-Day Agency Response

A copy of SOMS implementation notice will be sent consecutively with the prioritization schema used for rehabilitative academic, career technical, and treatment programming.

Estimated Completion Date: April 2019
Response Date: March 2019

California State Auditor's Assessment of 60-Day Status: Pending

Recommendation #6 To: Corrections and Rehabilitation, Department of

To ensure that inmates with the highest risks and needs are wait listed, prioritized, and assigned appropriately, Corrections should assign inmates to rehabilitation programs in accordance with its policies.

6-Month Agency Response

As per item 4, January 8, 2019 training and implementation of the SOMS Rehabilitative Case Plan was completed. (June 24, 2019 for Memo Directive & Training Proof of Practice).

Additionally, Inmate Assignment Offices will be invited to attend an annual training/forum with DRP Correctional Counselors to facilitate best practices.

The June 24, 2019 memorandum (Attachment S-Rehabilitative Case Plan Implementation) outlines that all correctional counselors were trained on the new RCP on January 8 and 15, 2019. CSRs were instructed to provide training to all new counselors hired after December 31, 2019. Also outlined in the June 24, 2019 memo all staff who chair classification committees and all Inmate Assignment Lieutenants will be trained on how to facilitate priority placements from the waitlist. All training will occur within 30 days of the issuance of this memorandum. Proof of practice will be documented on a CDCR Form 844 Training Participation Sign In Sheet.

All attachments included in the distribution of the above mentioned June 24, 2019 memorandum are now included as part of the 6 month response this audit. Those attachments include:

Attachment T-Memorandum dated 10-8-18

Attachment U-Attachments to 10-8-18 memo

Attachment V- Memorandum Dated 12-15-17

Further, training materials referenced in the June 24, 2019 memorandum are stored on the Classification Services SharePoint site, accessible by all Correctional Counselor Staff. Those training materials are attached to this audit response as follows:

Attachment W-: CC Rehabilitation Training and Expectations, Attachment X-The Rehabilitative Case Plan; Attachment Y- How Do I locate, Attachment Z DRP Matrix Program Report, Attachment AA- Examples of Rehabilitation Tools.

DRP will assist DAI in the training of counseling staff by providing a report that lists offenders who should be on waitlists, but are not.

Completion Date: June 2019
Response Date: July 2019

California State Auditor's Assessment of 6-Month Status: Fully Implemented

After reviewing the documentation submitted by Corrections, we found that it is now assigning inmates to rehabilitation programs in accordance with its policies.

60-Day Agency Response

As per item 4, January 8, 2019 training and implementation of the SOMS Rehabilitative Case Plan was completed.

Additionally, Inmate Assignment Offices will be invited to attend an annual training/forum with DRP Correctional Counselors to facilitate best practices.

SOMS Rehabilitative Case Plan Training Power Point and Dates of Training.

December 15, 2017 "Rehabilitative Program Services Expansion, Waiting List Placement, and Assignment Prioritization Process" memorandum.

Estimated Completion Date: August 30, 2019 for Memo Directive & Training Proof of Practice .
Response Date: March 2019

California State Auditor's Assessment of 60-Day Status: Pending

Recommendation #7 To: Corrections and Rehabilitation, Department of

To ensure that it can meet the rehabilitation needs of its inmates, Corrections should develop and begin implementing plans to meet its staffing-level goals for rehabilitative programming by January 2020 and should implement a process to continuously update and monitor these goals.

1-Year Agency Response

DRP Performance Metrics:

1. DRP has implemented staffing-level goals in monthly reporting and dashboards sent to the individual institution wardens.

2. These monthly reports/dashboards track performance and goals both point-in-time and over a 13-month period.

To continue focusing on filling vacancies:

3. DRP currently reports on treatment contracts and those with vacancies over 45-days to be taken progressive action on providers not filling vacancies.

4. DRP has begun a systematic review of pay rates for treatment counselors to mitigate vacancy issues.

5. DRP currently tracks academic and career technical vacancies monthly and DRP Headquarters Personnel is engaging in a semi-monthly call identifying those institutions with vacancy issues and troubleshooting and engaging in the hiring process to assist.

6. DRP is continuing work to engage in local hiring forums in an effort to get interest in academic and career technical vacancies filled.

7. DRP has created a comprehensive dataset that is updated and reviewed monthly that requires input from the academic field on progress toward hiring/staffing goals and obstacles.

Completion Date: August 2020
Response Date: March 2020

California State Auditor's Assessment of 1-Year Status: Fully Implemented

CDCR has implemented a mechanism to track academic and vocational staff vacancies, and has set goals for when those vacancies should be filled. It has also issued a memo requiring staff at CDCR facilities to use and update the tracking spreadsheet on a weekly basis.

6-Month Agency Response

DRP Performance Metrics:

1.DRP has implemented staffing-level goals in monthly reporting and dashboards sent to the individual institution wardens.

2.These monthly reports/dashboards track performance and goals both point-in-time and over a 13-month period.

To continue focusing on filling vacancies:

3.DRP currently reports on treatment contracts and those with vacancies over 45-days to be taken progressive action on providers not filling vacancies.

4.DRP has begun a systematic review of pay rates for treatment counselors to mitigate vacancy issues.

5.DRP currently tracks academic and career technical vacancies monthly and DRP Headquarters Personnel is engaging in a semi-monthly call identifying those institutions with vacancy issues and troubleshooting and engaging in the hiring process to assist.

6.DRP is continuing work to engage in local hiring forums in an effort to get interest in academic and career technical vacancies filled.

7.DRP has created a comprehensive dataset that is updated and reviewed monthly that requires input from the academic field on progress toward hiring/staffing goals and obstacles.

Please see Attachment BB-DRP Vacancy 6 Month Response for process detail. These processes outline the additional oversight and collaboration by Headquarters to contract vendors and correctional educators to both understand the reasons for vacancies and work to address each of them at the individual level on a Monthly basis in an effort to meet staffing level goals both in hiring and having active/operational classrooms. These processes will continue to be monitored and adjusted throughout the fiscal year to achieve the best results. Additionally, a summary vacancy chart will be created beginning in July to measure overall vacancy change.

Referenced in Attachment BB are attachments CC: Position Control Master List, Attachment DD-Position Control Updates in Data Drop Memo, and EE-Monthly Principals Conference Call Meeting Invite.

Completion Date: March 2019
Response Date: July 2019

California State Auditor's Assessment of 6-Month Status: Partially Implemented

Corrections has made some progress in meeting its staffing-level goals for its rehabilitative program, although it has yet to begin a systematic review of pay rates for treatment counselors to mitigate vacancy issues or engage in local hiring forums in an effort to fill vacancies.

Auditee did not substantiate its claim of full implementation

60-Day Agency Response

DRP Performance Metrics:

1. DRP has implemented staffing-level goals in monthly reporting and dashboards sent to the individual institution wardens.

2. These monthly reports/dashboards track performance and goals both point-in-time and over a 13-month period.

To continue focusing on filling vacancies:

3. DRP currently reports on treatment contracts and those with vacancies over 45-days to be taken progressive action on providers not filling vacancies.

4. DRP has begun a systematic review of pay rates for treatment counselors to mitigate vacancy issues.

6. DRP is continuing work to engage in local hiring forums in an effort to get interest in academic and career technical vacancies filled.

Supporting documentation will be sent via email.

Completion Date: March 2019
Response Date: March 2019

California State Auditor's Assessment of 60-Day Status: Partially Implemented

Although Corrections has made progress in monitoring staff vacancy rates in some of its rehabilitation programs, it has yet to create and implement a plan to meet its staffing-level goals.

Auditee did not substantiate its claim of full implementation
Auditee did not address all aspects of the recommendation

Recommendation #8 To: Corrections and Rehabilitation, Department of

To increase the space available for rehabilitation programs, by January 2020 Corrections should analyze and report on its current infrastructure capacity compared to its needs for the programs. The report should include the current space available and the square footage needed. If the report indicates that additional space is necessary, Corrections should work with the Legislature to address those needs.

Annual Follow-Up Agency Response From October 2023

The Department completed a space needs assessment. CDCR continues to work with the Legislature as needed to address space needs. As facilities deactivate and the population changes, we will continue to appropriately address space needs through CDCR's internal process.

Completion Date: October 2023

California State Auditor's Assessment of Annual Follow-Up Status: Partially Implemented

Corrections completed its space survey that indicated more space was needed. CDCR should continue working with the Legislature to address those needs

Auditee did not address all aspects of the recommendation

Annual Follow-Up Agency Response From October 2022

Prepare a comprehensive report of identified program space needs.

Prepare Capital Outlay Budget Funding Request for Budget Year 2022-23 consideration.

Multi-Disciplinary Review:

DRP, in coordination with DAI, Facilities, PIA, and California Correctional Health Care Services will complete a space survey of all available institutional spaces to include a number of data elements to assist in future space identification following coordination from Headquarters on number of overall spaces needed in each category.

Local Identification/Commitments:

Following multi-disciplinary space assessment, completed surveys of entire institutions will be sent back to institution for review and confirmation. At that time, additional documents will be delivered to the institution, giving them targeted space to identify, both interim and long-term to define overall deficiencies in space. All documents must be signed off by a multi-disciplinary group at the local institution.

Architectural Review & Analysis:

Following completion of the local documents identifying space, final documents will be delivered to the Facilities Asset Management Branch for review and assistance in most appropriate approach on repairing or requesting assistance for additional space. Architectural design and assessment may be needed at this point.

Following final analysis for all areas, a proposal may be generated through the formal budget process either repairing or requesting local space.

Institutional Space Surveys: December 2020 (Completed)

ISUDT/CBT Space Identification: March 2020 (Completed)

2022 Update: Building deactivations and institution closures have affected the information on the space plan. DRP continues to work with DAI and the Division of Facility Planning, Construction and Management (FPCM) to find resolutions to space needs.

Estimated Completion Date: 10/2023

California State Auditor's Assessment of Annual Follow-Up Status: Pending

Annual Follow-Up Agency Response From October 2021

CDCR has rolled up the individual space surveys and evaluated solutions to space needs.

Supporting documentation will be provided as directed.

Completion Date: September 2021

California State Auditor's Assessment of Annual Follow-Up Status: Partially Implemented

CDCR has analyzed the space it still needs for its programs. However, CDCR has not addressed how it will obtain the additional space.

Auditee did not address all aspects of the recommendation

Annual Follow-Up Agency Response From October 2020

Institutional Space Surveys:December 2020 (Completed)

ISUDT/CBT Space Identification: March 2020

Educational Space Identification: April 2020

Analysis/Proposal Development:2020-21 Fiscal Year.

The final Space Survey reports were completed in August 2020. These reports included the actual number and location of programming spaces available at each institution. Attached is an example of the final report for phase 1 and 2. CDCR is evaluating solutions for the programming space needs identified in the reports. CDCR anticipates that the evaluation will be completed by spring 2021.

Proof of practice documentation will be submitted via email.

Estimated Completion Date: FY 2020-21

California State Auditor's Assessment of Annual Follow-Up Status: Partially Implemented

1-Year Agency Response

DRP has updated its Proposed Action Plan from the 6-Month CAP to the following:

Prepare a comprehensive report of identified program space needs.

Prepare Capital Outlay Budget Funding Request for Budget Year 2022-23 consideration.

Multidisciplinary Review:

DRP, in coordination with DAI, Facilities, the Prison Industry Authority (PIA), and California Correctional Health Care Services will complete a space survey of all available institutional spaces to include a number of data elements to assist in future space identification following coordination from headquarters on number of overall spaces needed in each category.

Local Identification/Commitments:

Following multidisciplinary space assessment, completed surveys of entire institutions will be sent back to the institution for review and confirmation. At that time, additional documents will be delivered to the institution, giving it targeted space to identify (both interim and long-term) to define overall deficiencies in space. All documents must be signed off by a multidisciplinary group at the local institution.

Architectural Review & Analysis:

Following completion of the local documents identifying space, final documents will be delivered to the Facilities Asset Management Branch for review and assistance in the most appropriate approach on repairing or requesting assistance for additional space. Architectural design and assessment may be needed at this point.

Following final analysis for all areas, a proposal may be generated through the formal budget process either repairing or requesting local space.

Estimated Completion Date: Fiscal year 2020-21
Response Date: March 2020

California State Auditor's Assessment of 1-Year Status: Partially Implemented

6-Month Agency Response

Prepare a comprehensive report of identified program space needs.

Prepare Capital Outlay Budget Funding Request for Budget Year 2021/2022 consideration.

The Department's Division of Rehabilitative Programs developed an internal project scope and timeline to track the various tasks and actions needed to fulfill the recommendation. Initial areas that have been completed, to date, include working with internal departmental stakeholders to discuss and analyze the current space infrastructure and steps to expand in the future, the development of form/survey to be used in conducting the institutional infrastructure assessment and the selection of the first two institutions to initiate the pilot survey (SAC/CMF). The Secretary of CDCR has sent an email on July 22, 2019 notifying the institutions of the impending surveys (See Attached "Secretary Diaz - Space Notification").

Pilot survey assessment dates have been set and memorandums have been distributed to those institutions (see Attachments for Sac and CMF) Upon completion of the first two pilot institutions, eight additional institutions (tentatively identified) will have surveys conducted tentatively between August and September with the remainder of the surveys occurring before the end of the calendar year.

Estimated Completion Date: January 2020
Response Date: July 2019

California State Auditor's Assessment of 6-Month Status: Partially Implemented

60-Day Agency Response

Prepare a comprehensive report of identified program space needs.

Prepare Capital Outlay Budget Funding Request for Budget Year 2021/2022 consideration.

By institution report of space needs by program type.

Estimated Completion Date: January 2020
Response Date: March 2019

California State Auditor's Assessment of 60-Day Status: Pending

Recommendation #9 To: Corrections and Rehabilitation, Department of

To improve the inmate enrollment rates in CalPIA's vocational education programs, CalPIA and Corrections should require a CalPIA representative to attend all classification committee meetings at all nine prisons where CalPIA offers vocational education. Corrections should also ensure that it enrolls eligible inmates in CalPIA's vocational programs before filling spots in its own vocational programs. In addition, if the CalPIA recidivism study indicates that CalPIA's vocational programs are better at reducing recidivism than Corrections' vocational programs, CalPIA should request funding from the Legislature to expand its vocational training program.

Annual Follow-Up Agency Response From October 2022

Issue the Memorandum Directive, as outlined in Items 4.1 and 4.2, wait list and assignments by priority.

2022 Update: The Division of Rehabilitative Programs agrees that participation in vocational education is important to reducing recidivism. CDCR collaborates with the California Prison Industry Authority (CalPIA) to ensure effective vocational education programs are available. CalPIA receives $2.6 million to provide vocational education programs.

Supporting documentation will be submitted via email, per CSA's direction.

Completion Date: January 2022

California State Auditor's Assessment of Annual Follow-Up Status: Fully Implemented

In response to our recommendation, CalPIA representatives attend all classification committee meetings. In addition, based on the positive findings of CALPIA's Recidivism Report, it entered into an agreement with CDCR to provide career technical education training services for eligible inmates at the designated CDCR institutions.

Annual Follow-Up Agency Response From October 2021

CALPIA has Workforce Development Coordinators attend classification committee meetings at each institution, which includes those nine prisons that offer CALPIA vocational programs. CALPIA has 13 Workforce Development Coordinators who are also working with CDCR through the assignment committee process to ensure that incarcerated individuals are assigned to CALPIA's vocational programs. CALPIA's Workforce Development Branch identifies which programs have vacancies at each institution monthly and directs Workforce Development Coordinators to prioritize the filling of those vacancies.

CALPIA's recidivism study will be presented to the Prison Industry Board for approval on October 28, 2021. The study, conducted through UCI, will provide the necessary data elements and detailed analysis which will help guide CALPIA's ongoing focus for improved outcomes for the men and women in our programs. Based on the results of the study, CDCR would be the requester of the additional rehabilitative program funds because CALPIA is a self-supporting state entity.

Estimated Completion Date: FY 2021-22

California State Auditor's Assessment of Annual Follow-Up Status: Partially Implemented

Annual Follow-Up Agency Response From October 2020

Issue the Memorandum Directive, as outlined in Items 4.1 and 4.2, wait list and assignments by priority.

August 30, 2019 for Memo Directive & Training Proof of Practice.

Recidivism study to be completed fiscal year 2021-2022.

CALPIA has Workforce Development Coordinators attend classification committee meetings at each institution which includes those nine prisons that offer CALPIA vocational programs. Due to COVID-19, CALPIA has reduced the number of Workforce Development Coordinators from 29 to 12 and continues to assess the program as needed.

CALPIA's Workforce Development Coordinators are also working with CDCR through the offender assignment committee process to ensure offenders are assigned to CALPIA's vocational programs. CALPIA's Workforce Development Branch identifies which programs have vacancies at each institution monthly and direct Workforce Development Coordinators to prioritize the filling of those vacancies.

CALPIA has formed an advisory committee in collaboration with the University of California, Irvine to refine the scope of the recidivism study. The study will provide the necessary data elements and detailed analysis which will help guide CALPIA's on-going focus for improved outcomes for the men and women in our programs. Based on the results of the study,. Due to COVID-19, the anticipated completion date for that study is fiscal year 2021-22.

Estimated Completion Date: FY 2021-22

California State Auditor's Assessment of Annual Follow-Up Status: Partially Implemented

1-Year Agency Response

CALPIA has added part-time Workforce Development Coordinators at each CDCR institution. Their function is to attend institution classification committees to secure offender participants for CALPIA programs while enhancing any transitions of offenders released after having been in a CALPIA program. CALPIA currently has Workforce Development Coordinators assigned to all 35 prisons.

CALPIA's Workforce Development Coordinators are also working with CDCR through the offender assignment committee process to ensure offenders are assigned to CALPIA's vocational programs. CALPIA's Workforce Development Branch identifies which programs have vacancies at each institution monthly and directs Workforce Development Coordinators to prioritize the filling of those vacancies.

CALPIA has formed an advisory committee in collaboration with the University of California, Irvine, to refine the scope of the recidivism study. The study will provide the necessary data elements and detailed analysis which will help guide CALPIA's ongoing focus for improved outcomes for the men and women in our programs. Based on the results of the study, CALPIA may submit a request for additional funding to expand its vocational training program.

Completion Date: April 2019
Response Date: March 2020

California State Auditor's Assessment of 1-Year Status: Partially Implemented

CALPIA has added part-time Workforce Development Coordinators at each CDCR institution that attend classification committees to secure offender participants for CALPIA programs. Although CALPIA and CDCR have also decreased vacancies in CALPIA career technical education programs in recent years, nearly half of the budgeted inmate positions in January 2020 were left unoccupied. CALPIA and CDCR need to do more to decrease vacancies in these programs.

6-Month Agency Response

Issue the Memorandum Directive, as outlined in Items 4 and 5, wait list and assignments by priority.

Estimated Completion Date: August 30, 2019
Response Date: July 2019

California State Auditor's Assessment of 6-Month Status: Pending

60-Day Agency Response

Issue the Memorandum Directive, as outlined in Items 4.1 and 4.2, wait list and assignments by priority.

Estimated Completion Date: August 30, 2019 for Memo Directive & Training Proof of Practice
Response Date: March 2019

California State Auditor's Assessment of 60-Day Status: Pending

Recommendation #10 To: Prison Industry Authority

Annual Follow-Up Agency Response From October 2021

CALPIA has Workforce Development Coordinators attend classification committee meetings at each institution which includes those nine prisons that offer CALPIA vocational programs. CALPIA has 13 Workforce Development Coordinators who are also working with CDCR through the assignment committee process to ensure incarcerated individuals are assigned to CALPIA's vocational programs. CALPIA's Workforce Development Branch identifies which programs have vacancies at each institution monthly and directs Workforce Development Coordinators to prioritize the filling of those vacancies.

CALPIA's recidivism study will be presented to the Prison Industry Board for approval on October 28, 2021. The study conducted through the University of California, Irvine will provide the necessary data elements and detailed analysis which will help guide CALPIA's on-going focus for improved outcomes for the men and women in our programs. Based on the results of the study, CDCR would be the requester of the additional rehabilitative program funds due to CALPIA being a self-supporting state entity.

Completion Date: November 2021

California State Auditor's Assessment of Annual Follow-Up Status: Fully Implemented

CalPIA released a recidivism report in November 2021. According to CalPIA's assistant general manager for external affairs, based on the positive findings of CALPIA's recidivism report, it will work with CDCR to ensure the appropriate level of funding is maintained for CTE programs.

1-Year Agency Response

CALPIA's Workforce Development Coordinators are working with CDCR through the offender assignment committee process to ensure offenders are assigned to CALPIA's vocational programs. CALPIA's Workforce Development Branch identifies which programs have vacancies at each institution monthly and direct Workforce Development Coordinators to prioritize the filling of those vacancies.

CALPIA has formed an advisory committee in collaboration with the University of California, Irvine to refine the scope of the recidivism study. The study will provide the necessary data elements and detailed analysis which will help guide CALPIA's on-going focus for improved outcomes for the men and women in our programs. Based on the results of the study, CALPIA may submit a request for additional funding to expand its vocational training program.

Estimated Completion Date: June 2021
Response Date: December 2019

California State Auditor's Assessment of 1-Year Status: Partially Implemented

6-Month Agency Response

1. To improve the inmate enrollment rates in CALPIA's vocational education programs, CALPIA and Corrections should require a CALPIA representative to attend all classification committee meeting at all nine prisons where CALPIA offers vocational education.

CALPIA concurs. CALPIA has added part-time Workforce Development Coordinators at each CDCR institution. Their function is to attend institution classification committees to secure offender participants for CALPIA programs while enhancing any transitions of offenders released after having been in a CALPIA program. CALPIA currently has Workforce Development Coordinators assigned to all 35 prisons.

2. Corrections should also ensure it enrolls eligible inmates in CALPIA's vocational programs before filling spots in its own vocational programs.

CALPIA concurs. CALPIA's Workforce Development Coordinators are working with CDCR through the offender assignment committee process to ensure offenders are assigned to CALPIA's vocational programs. CALPIA's Workforce Development Branch identifies which programs have vacancies at each institution monthly and direct Workforce Development Coordinators to prioritize the filling of those vacancies.

3. In addition, if the CALPIA recidivism study indicates that CALPIA's vocational programs are better at reducing recidivism than Correction's vocational programs, CALPIA should request funding from the Legislature to expand it vocational training program.

CALPIA concurs. CALPIA has formed an advisory committee in collaboration with the University of California, Irvine to refine the scope of the recidivism study. The study will provide the necessary data elements and detailed analysis which will help guide CALPIA's on-going focus for improved outcomes for the men and women in our programs. Based on the results of the study, CALPIA may submit a request for additional funding to expand its vocational training program.

Estimated Completion Date: October 2020
Response Date: July 2019

California State Auditor's Assessment of 6-Month Status: Partially Implemented

60-Day Agency Response

Since June 2018, CALPIA has been adding part-time Workforce Development Coordinators at each CDCR institution and whose function is to attend institution classification committees to secure inmate participants for CALPIA programs while enhancing any transitions of inmates released after having been in a CALPIA program. CALPIA currently has Workforce Development Coordinators assigned to all 34 prisons.

CALPIA currently has Career Technical Education programs at 12 of 34 prisons and traditional Correctional Industry programs at all 34 CDCR locations. CALPIA's Workforce Development Coordinators will work with CDCR through the inmate assignment committee process to ensure offenders are assigned to CALPIA's vocational programs. CALPIA's Workforce Development Branch will identify what programs have vacancies at each institution monthly and direct Workforce Development Coordinators to prioritize the filling of those vacancies.

CALPIA is reviewing the first draft of the recidivism report. We are currently assessing and vetting the report results. Based on the results of the review, CALPIA may submit a request for additional funding to expand its vocational training program.

Estimated Completion Date: 1/1/2020
Response Date: March 2019

California State Auditor's Assessment of 60-Day Status: Partially Implemented

Recommendation #11 To: Corrections and Rehabilitation, Department of

To ensure that Corrections effectively and efficiently allocates resources and reduces recidivism, it should partner with a research organization to conduct a systematic evaluation during fiscal year 2020-21 to determine whether its rehabilitation programs are reducing recidivism and if they are cost-effective. In addition, the external researcher should provide input on the development of performance targets, including recidivism reduction. Depending upon the results of the analysis, Corrections should then eliminate or modify programs that prove ineffective.

Annual Follow-Up Agency Response From October 2021

DRP, in collaboration with CDCR's OOR, finalized the Data Sharing Agreement (DSA) with PPIC in August 2021 and is now officially in the initial stages of conducting its multiyear, multi-phased study of DRP's in-prison rehabilitative programs. The DSA was the final document necessary to initiate the evaluation.

Supporting documentation will be provided as directed.

Completion Date: July 2021

California State Auditor's Assessment of Annual Follow-Up Status: Fully Implemented

CDCR has partnered with PPIC to conduct a systematic evaluation to determine whether its rehabilitation programs are reducing recidivism and if they are cost-effective.

Annual Follow-Up Agency Response From October 2020

Continue conversations/negotiations with external research organization to conduct a systematic evaluation of Specific Treatment, Academic, and Career Technical programs.

By July 2019: Develop General Proposal

By January 2021: Complete MOU and DSA with Research Entity. The previous date of April 2020 was delayed in part due to the COVID-19 pandemic.

2020-21 and longitudinally ongoing.

DRP is working with the Public Policy Institute of California (PPIC) on a multi-year, multi-phased longitudinal study of DRP's in-prison rehabilitative programs. DRP and PPIC are collaborating on mutually acceptable data points that will address the audit items and provide a clear, comprehensive picture of programming outcomes. DRP is also working on the final tenets of a future Memorandum of Understanding (MOU) and Data Sharing Agreement (DSA) between CDCR and PPIC.

Estimated Completion Date: 2020-21

California State Auditor's Assessment of Annual Follow-Up Status: Partially Implemented

1-Year Agency Response

Continue conversations/negotiations with external research organization to conduct a systematic evaluation of Specific Treatment, Academic, and Career Technical programs.

By July 2019: Develop general proposal

By April 2020: Finalize agreement with research entity

Estimated Completion Date: april 2020
Response Date: March 2020

California State Auditor's Assessment of 1-Year Status: Partially Implemented

6-Month Agency Response

Continue developing conversations with external research organization to conduct a systematic evaluation of Specific Treatment, Academic, and Career Technical programs.

By July 2019: Develop Scope of Work

By October 2019: Formally Contract with Research Entity

Discussions are continuing around the development of a longitudinal research study with the Public Policy Institute of California. Various options are being discussed regarding a rigorous evaluation. A concept paper has been developed and is being routed for initial approval. Following concept approval, a proposal, application, and data-sharing documents will be developed.

Estimated Completion Date: 2020-21 and longitudinally ongoing
Response Date: July 2019

California State Auditor's Assessment of 6-Month Status: Pending

60-Day Agency Response

Continue developing conversations with external research organization to conduct a systematic evaluation of Specific Treatment, Academic, and Career Technical programs.

By July 2019: Develop Scope of Work

By October 2019: Formally Contract with Research Entity

Proof of Practice: Delivery of scope of work and longitudinal contract deliverables.

Estimated Completion Date: 2020-21 and longitudinally ongoing.
Response Date: March 2019

California State Auditor's Assessment of 60-Day Status: Pending

Recommendation #12 To: Corrections and Rehabilitation, Department of

To ensure that Corrections effectively and efficiently allocates resources and reduces recidivism, it should partner with an external researcher during fiscal year 2020-21 to help it quantify the effect volunteer programs have on inmate outcomes and consider expanding those programs if they prove effective or ceasing them if they are not effective.

Annual Follow-Up Agency Response From October 2021

As previously noted, the PPIC Data Sharing Agreement was finalized in August 2021. The evaluation will be able to address certain volunteer programs as noted in the 2020 Update. In June 2021, the contract with UCI was finalized and is now active. The UCI contract is focused on developing an intermediate outcome-related assessment tool for DRP's Innovative Grants Program.

Supporting documents will be provided as directed.

Completion Date: July 2021

California State Auditor's Assessment of Annual Follow-Up Status: Fully Implemented

CDCR has partnered with the Regents of the University of California, Irvine to help it quantify the effect volunteer programs have on inmate outcomes.

Annual Follow-Up Agency Response From October 2020

Work with California State University, University of California, or external research entities on requests for proposals to measure volunteer based programs with an emphasis on those utilizing state funding sources (Innovative Grants, Arts in Corrections). Tentatively slated to be included in partnership listed in Item 11. Subject to change depending upon outcome of proposal scope/evaluation.

By April 2020: Finalize agreement with Research Entity

2020-21 and longitudinally ongoing.

The PPIC evaluation noted in Item 11 will address certain relationships between volunteer programs and recidivism outcomes. DRP is currently working with UC Irvine to develop a contract for completion of a tool to measure intermediate outcomes associated with programming. This tool will identify outcomes such as in prison behavior. DRP anticipates a January 2021 start date, pending ability to visit institutions given COVID restrictions.

Estimated Completion Date: 2020-21

California State Auditor's Assessment of Annual Follow-Up Status: Partially Implemented

1-Year Agency Response

By April 2020: Finalize agreement with research entity

Estimated Completion Date: April 2020
Response Date: March 2020

California State Auditor's Assessment of 1-Year Status: Partially Implemented

6-Month Agency Response

By January 2020: Fully develop Scope of Work

Discussions are continuing around the development of a longitudinal research study with the Public Policy Institute of California, to include voluntary, inmate activity group programming, in concurrence with academic, treatment, and career technical programming. Discussions will continue. Please see comment above for additional detail.

Estimated Completion Date: 2020-21 and longitudinally ongoing
Response Date: July 2019

California State Auditor's Assessment of 6-Month Status: Pending

60-Day Agency Response

By January 2020: Develop Scope of Work

By April 2020: Formally Contract with Research Entity

Proof of Practice: Delivery of scope of work and longitudinal contract deliverables.

Estimated Completion Date: 2020-21 and longitudinally ongoing.
Response Date: March 2019

California State Auditor's Assessment of 60-Day Status: Pending

Recommendation #13 To: Corrections and Rehabilitation, Department of

To ensure that Corrections effectively and efficiently allocates resources and reduces recidivism, it should collaborate with C-ROB during fiscal year 2019-20 to establish annual targets for reducing recidivism and determining the cost-effectiveness of the programs. Corrections should also request federal grants tied to setting targets for recidivism reduction.

Annual Follow-Up Agency Response From October 2023

PPIC anticipates the release date of their report to be Spring 2024. DRP will utilize the outcomes of this report to collaborate with CROB for recommendations on targets for reducing recidivism and determining cost-effectiveness of programs.

Estimated Completion Date: May 2024

California State Auditor's Assessment of Annual Follow-Up Status: Pending

Annual Follow-Up Agency Response From October 2022

The Department plans to make data-driven goal decisions based upon research outcomes outlined above.

CDCR will engage C-ROB on performance measurements and cost-effectiveness calculations but anticipates recidivism goals will be tied to outcomes associated to external research.

CDCR is continuing to review recidivism reduction grants for fiscally worthwhile opportunities to engage grantors.

2022 Updates: DRP engages C-ROB in performance measures as reported in the C-ROB Annual Report. DRP is pending outcomes of the PPIC evaluation to collaborate with C-ROB on annual targets and determining the cost-effectiveness of programs.

Supporting documentation will be submitted via email, per CSA's direction.

Estimated Completion Date: 09/2023

California State Auditor's Assessment of Annual Follow-Up Status: No Action Taken

Annual Follow-Up Agency Response From October 2021

As previously noted, the PPIC Data Sharing Agreement was finalized in August 2021. As the cost-effectiveness of programs are generated through the evaluation findings, DRP will share that information with the C-ROB as previously stated. Recidivism goals will be tied to outcomes associated with the evaluation. In 2021, DRP was awarded a Board of State and Community Corrections grant, which was provided through federal funds.

Supporting documents will be provided as directed.

Completion Date: July 2021

California State Auditor's Assessment of Annual Follow-Up Status: Partially Implemented

Although CDCR has partnered with two external research organizations to evaluate the effectiveness of its programs, it has yet to establish annual targets for reducing recidivism or determined the cost-effectiveness of its various programs.

Auditee did not address all aspects of the recommendation

Annual Follow-Up Agency Response From October 2020

The Department plans to make data-driven goal decisions based upon research outcomes outlined above.

CDCR will engage C-ROB on performance measurements and cost-effectiveness calculations but anticipates recidivism goals will be tied to outcomes associated to external research.

CDCR is continuing to review recidivism reduction grants for fiscally worthwhile opportunities to engage grantors.

The PPIC evaluation noted in item 11 will seek to identify cost-effectiveness of in prison rehabilitative programming. DRP will share all relevant deliverables and report findings on its in-prison rehabilitative programs to C-ROB for discussion and future policy implications.

Estimated Completion Date: Ongoing

California State Auditor's Assessment of Annual Follow-Up Status: No Action Taken

1-Year Agency Response

The Department plans to make data-driven goal decisions based upon research outcomes outlined above.

CDCR will engage C-ROB on performance measurements and cost-effectiveness calculations, but anticipates recidivism goals will be tied to outcomes associated with external research.

CDCR is continuing to review recidivism reduction grants for fiscally worthwhile opportunities to engage grantors.

Estimated Completion Date: ongoing
Response Date: March 2020

California State Auditor's Assessment of 1-Year Status: No Action Taken

6-Month Agency Response

The Department plans to make data-driven goal decisions based upon research outcomes outlined above.

CDCR will engage C-ROB on performance measurements and cost-effectiveness calculations.

CDCR is continuing to review recidivism reduction grants for fiscally worthwhile opportunities to engage grantors. Future reporting from C-ROB.

Estimated Completion Date: Ongoing
Response Date: July 2019

California State Auditor's Assessment of 6-Month Status: Pending

60-Day Agency Response

The Department plans to make data-driven goal decisions based upon research outcomes outlined above.

CDCR will engage C-ROB on performance measurements and cost-effectiveness calculations.

CDCR is continuing to review recidivism reduction grants for fiscally worthwhile opportunities to engage grantors.

Proof of Practice: Future reporting from C-ROB.

Estimated Completion Date: Ongoing
Response Date: March 2019

California State Auditor's Assessment of 60-Day Status: Pending

Recommendation #14 To: Corrections and Rehabilitation, Department of

To ensure that it has reliable tools to measure program fidelity in its CBT programs, Corrections should implement UC Irvine's recommendation by June 2019.

6-Month Agency Response

Consistent with Recommendation 3, DRP is implementing UC Irvine's Fidelity Reviews by April 2019.

Staff training, report finalization reviews are currently ongoing.

A series of 21 fidelity reports have been built in DRP's case management system according to UC Irvine's recommendations. Program analyst training on these reports is complete. Attached is the fidelity report memorandum sent to CBT providers, training notices, the list of UC Irvine's report specifications and examples of three fidelity reports (Attachment FF-Future ARMS Fidelity Tool and Measurement Utilization Memo; Attachment GG- Training Notices Fidelity Reports; Attachment HH-Fidelity Reports Key_Full Version; Attachment II-Fidleity 04 - Needs Addressed by Program Type ;Attachment JJ- Fidelity 07 - Orientation NEW; Attachment KK Fidelity 13 - Class Ratios). Inmate/Instructor names have been removed to avoid privacy concerns.

Additionally, a draft Fidelity schedule and memorandum has been developed and will be occurring concurrently with the PAR schedule outlined in Attachment MM - 2019 PAR & Fidelity Travel Dates - Round 2 and Attachment I - Future ARMS Fidelity Tool and Measurement Utilization Memo

Completion Date: April 2019
Response Date: July 2019

California State Auditor's Assessment of 6-Month Status: Fully Implemented

Corrections has implemented UC Irvine's recommendation concerning program accountability review and fidelity reporting.

60-Day Agency Response

Consistent with Recommendation 3, DRP is implementing UC Irvine's Fidelity Reviews by April 2019.

Staff training, report finalization reviews are currently ongoing.

Proof of Practice: Memorandums and sample accountability and fidelity reports will be submitted to the State Auditor at the 6-month review.

Estimated Completion Date: April 2019
Response Date: March 2019

California State Auditor's Assessment of 60-Day Status: Pending

Recommendation #15 To: Corrections and Rehabilitation, Department of

To ensure that its vocational training programs are effectively preparing inmates for the workforce upon their release and reducing recidivism, Corrections should collaborate with EDD to track the employment and the industry of employment for former inmates by January 2020.

Annual Follow-Up Agency Response From October 2020

DRP is currently renewing their agreement with EDD while seeking to expand data-collection efforts to better impact future research surrounding vocational training program outcomes.

Additionally, further attempts at social security matching will occur in an effort to get better matching results and work-related information.These data is proposed to be used with in-house research efforts and research outcomes efforts outlined in Recommendation 8.1.

Contract Renewal: August 2019

Contract Amendment: April 2020

DRP amended the contract with EDD to obtain the full employer name and job sector data. DRP continues to update the original cohorts and are set to work with internal stakeholders to review program certification linkages with industry sectors for a segment of the formerly incarcerated population.

Upon review, the latest CDCR contract with EDD does not allow for individual wage data to be shared with PPIC. PPIC plans to develop a contract directly with EDD which will allow for a full analysis of the data.

Completion Date: August 2019

California State Auditor's Assessment of Annual Follow-Up Status: Fully Implemented

CDCR has contracted with EDD to provide quarterly wage data and industry information from the EDD wage record database. CDCR will use the information to assess the impact of rehabilitation services, or the lack of these services, on the employment and earnings of former inmates within the prison system. CDCR will use the data to track outcomes for former inmates to assess the effectiveness of rehabilitation strategies on the wages and employment histories.

1-Year Agency Response

DRP is currently renewing their agreement with EDD while seeking to expand data-collection efforts to better impact future research surrounding vocational training program outcomes.

Additionally, further attempts at social security matching will occur in an effort to get better matching results and work-related information.

These data is proposed to be used with in-house research efforts and research outcomes efforts outlined in Recommendation 8.1.

Contract Renewal: August 2019

Completion Date: August 2019
Response Date: March 2020

California State Auditor's Assessment of 1-Year Status: Partially Implemented

CDCR has entered into an agreement with EDD to use information provided by EDD to assess the impact of rehabilitation services, or the lack of these services, on the employment and earnings of former inmates. However, CDCR has yet to use this data to track the employment and the industry of employment for former inmates to determine whether its vocational training programs are effectively preparing inmates for the workforce.

6-Month Agency Response

DRP is currently renewing their agreement with EDD while seeking to expand data-collection efforts to better impact future research surrounding vocational training program outcomes.

Additionally, further attempts at social security matching will occur in an effort to get better matching results and work-related information.

These data is proposed to be used with in-house research efforts and research outcomes efforts outlined in Recommendation 8.1.

Contract Renewal: August 2019

The latest CDCR/EDD Interagency agreement was approved on May 13, 2019 and is actively in use. DRP recently requested, received and generated an updated data analysis on an existing cohort of CTE certified former inmates. Discussions on creating new and/or expanded cohorts to analyze are under way with new data requests to EDD set to occur in August and will help develop information related to future research projects outlined above.

Please see attached contract renewal, Attachment LL-EDD Agreement.

Estimated Completion Date: August 2019 and Ongoing
Response Date: July 2019

California State Auditor's Assessment of 6-Month Status: Pending

60-Day Agency Response

DRP is currently renewing their agreement with EDD while seeking to expand data-collection efforts to better impact future research surrounding vocational training program outcomes.

Additionally, further attempts at social security matching will occur in an effort to get better matching results and work-related information.

The data is proposed to be used with in-house research efforts and research outcomes efforts outlined in recommendation 10.

Contract Renewal: August 2019

Proof of Practice: Outcomes measured in Recommendation 8.1 and potential initial internal reporting.

Estimated Completion Date: Aug 2019 and Ongoing
Response Date: March 2019

California State Auditor's Assessment of 60-Day Status: Pending

Recommendation #16 To: Rehabilitation Oversight Board, California

To ensure that Corrections is taking steps to reduce recidivism, C-ROB should monitor whether Corrections is developing appropriate recidivism targets and, in its annual report, should evaluate Corrections' progress toward meeting those targets.

Annual Follow-Up Agency Response From September 2023

The California Rehabilitation Oversight Board last met on September 12, 2023 and is not scheduled to meet again until February 29, 2024. At this next meeting, the Board will reconsider Recommendation #16 from the State Auditor's January 2019 report titled: "Report 2018-113: California Department of Corrections and Rehabilitation: Several Poor Administrative Practices Have Hindered Reductions in Recidivism and Denied Inmates Access to In-Prison Rehabilitation Programs." Until that time, the Board's previous response from October 2020 stands. If the Board approves any modifications to its October 2020 response, the Office of the Inspector General will immediately contact the State Auditor to provide the Board's updated response.

California State Auditor's Assessment of Annual Follow-Up Status: Will Not Implement

Annual Follow-Up Agency Response From October 2020

As was noted on page 43 of your January 2019 report, C-ROB needed additional statutory authority and resources to implement this recommendation. Assembly members Jones-Sawyer and Calderon introduced Assembly Bill 1688, which would have provided this additional authority as reflected in recommendations 20 and 21 of the report. However, on July 11, 2019, this additional authority, and the resources that would have accompanied it, was amended out of the bill. Governor Newsom later vetoed the bill, explaining that its goals could be accomplished administratively.

Despite this development, C-ROB continues to monitor and report on the effectiveness of CDCR's rehabilitation programs, including their effect on reducing recidivism. However, it is limited by its current statutory authority to monitoring and reporting, and lacks needed resources, funding and legislative authority. Accordingly, C-ROB is unable to implement this recommendation.

California State Auditor's Assessment of Annual Follow-Up Status: Will Not Implement

1-Year Agency Response

In October 2019, Governor Gavin Newsom vetoed AB 1688 which would have required CDCR to contract with an external researcher to analyze and report on the effectiveness of its rehabilitative programs, and that C-ROB review and consider that report when making its recommendations to the Governor and the Legislature.

Despite this development, C-ROB will continue to monitor the CDCR's efforts to develop appropriate recidivism targets and evaluate the department's progress toward meeting those targets.

Estimated Completion Date: unknown
Response Date: January 2020

California State Auditor's Assessment of 1-Year Status: Pending

6-Month Agency Response

In July 2019, AB 1688 was amended to require CDCR to contract with an external researcher to analyze the effectiveness of the department's rehabilitative programs and by July 1, 2024, submit a report to the Legislature and C-ROB. The bill would then require C-ROB to review and discuss the department's report and consider the information provided when making its findings and recommendations to the Governor and the Legislature pursuant to its statutory authority.

However, this bill awaits further legislative action and has not been signed into law as of this date.

Estimated Completion Date: unknown
Response Date: July 2019

California State Auditor's Assessment of 6-Month Status: Pending

60-Day Agency Response

The California State Auditor's January 2019 report (number 2018-113) has been distributed to all members of the California Rehabilitation Oversight Board. The report and its recommendations will be taken up and discussed at the next scheduled publicly noticed meeting on April 17, 2019.

Estimated Completion Date: unknown
Response Date: March 2019

California State Auditor's Assessment of 60-Day Status: Pending

Recommendation for Legislative Action

To ensure that Corrections' rehabilitation programs reduce recidivism, the Legislature should require Corrections to establish performance targets, including ones for reducing recidivism and determining the programs' cost-effectiveness.

Description of Legislative Action

As of January 31, 2022, the Legislature has not taken action to address this specific recommendation.

Legislative Action Current As-of: January 2022

California State Auditor's Assessment of Annual Follow-Up Status: No Action Taken

Description of Legislative Action

As of January 31, 2021, the Legislature has not taken any additional action to address this specific recommendation.

AB 1688 (Calderon/Jones-Sawyer, 2019), in part, would have required Corrections by December 1, 2020, to draft a scope of work, select and contract with an external researcher to conduct a recidivism analysis of the effectiveness of rehabilitation programs, define the data elements for purposes of the analysis, and create performance targets. This bill was vetoed by the Governor.

Legislative Action Current As-of: February 2021

California State Auditor's Assessment of Annual Follow-Up Status: No Action Taken

Description of Legislative Action

AB 1688 (Calderon/Jones-Sawyer), in part, would have required Corrections by December 1, 2020, to draft a scope of work, select and contract with an external researcher to conduct a recidivism analysis of the effectiveness of rehabilitation programs, define the data elements for purposes of the analysis, and create performance targets. This bill was vetoed by the Governor.

Legislative Action Current As-of: January 2020

California State Auditor's Assessment of 1-Year Status: Legislation Vetoed

Description of Legislative Action

AB 1688 (Calderon/Jones-Sawyer), in part, would require Corrections by December 1, 2020, to draft a scope of work, select and contract with an external researcher to conduct a recidivism analysis of the effectiveness of rehabilitation programs, define the data elements for purposes of the analysis, and create performance targets.

Legislative Action Current As-of: July 2019

California State Auditor's Assessment of 6-Month Status: Legislation Introduced

Description of Legislative Action

AB 561 (Burke) would require Corrections, by January 1, 2022, to complete a statewide evaluation of assessment tools currently used to determine an inmate's recidivism risk and rehabilitation needs and, based on that evaluation, prepare a plan to update inmate receiving procedures, more effectively target rehabilitation programs, and improve performance measures. The bill would require Corrections to report its findings and plan to the Legislature by July 1, 2022.

Legislative Action Current As-of: April 2019

California State Auditor's Assessment of 60-Day Status: Legislation Introduced

Recommendation for Legislative Action

To ensure that Corrections' rehabilitation programs reduce recidivism, the Legislature should require Corrections to do the following:

- Partner with external researchers to evaluate the effectiveness of its rehabilitation programs and implement the three-year plan described below.

Year One: Fiscal Year 2019-20

Corrections drafts scope of work, selects an external researcher to conduct the analysis, defines what data elements the researchers may require, and creates targets.

Year Two: Fiscal Year 2020-21

External researcher conducts recidivism analysis and Corrections develops and begins implementing a corrective action plan.

Year Three: Fiscal Year 2021-22

Corrections modifies as necessary and continues implementing its corrective action plan. It also reports to the Legislature and creates new targets and policies given the results of the recidivism analysis. Depending upon the results of the analysis, Corrections eliminates or modifies programs that prove ineffective.

Description of Legislative Action

As of January 31, 2022, the Legislature has not taken action to address this specific recommendation.

Legislative Action Current As-of: January 2022

California State Auditor's Assessment of Annual Follow-Up Status: No Action Taken

Description of Legislative Action

As of January 31, 2021, the Legislature has not taken any additional action to address this specific recommendation.

Legislative Action Current As-of: February 2021

California State Auditor's Assessment of Annual Follow-Up Status: No Action Taken

Description of Legislative Action

Legislative Action Current As-of: January 2020

California State Auditor's Assessment of 1-Year Status: Legislation Vetoed

Description of Legislative Action

Legislative Action Current As-of: July 2019

California State Auditor's Assessment of 6-Month Status: Legislation Introduced

Description of Legislative Action

AB 1688 (Calderon) would require Corrections, by June 30, 2020, to contract with a researcher to conduct a recidivism analysis of the effectiveness of rehabilitation programs and to create performance targets. In the following fiscal year, Corrections would be required to develop and implement a corrective action plan based on the recidivism analysis and performance targets, and in fiscal year 2021-22, implement the corrective action plan. The bill would require Corrections to annually report to the Legislature on the recidivism analysis, performance targets, and corrective action plan.

Legislative Action Current As-of: April 2019

California State Auditor's Assessment of 60-Day Status: Legislation Introduced

Recommendation for Legislative Action

To ensure that Corrections' rehabilitation programs reduce recidivism, the Legislature should require Corrections to issue an annual report beginning in fiscal year 2021-22 that shows the percentage reduction in recidivism that can be attributed to the rehabilitation programs.

Description of Legislative Action

As of January 31, 2022, the Legislature has not taken action to address this specific recommendation.

Legislative Action Current As-of: January 2022

California State Auditor's Assessment of Annual Follow-Up Status: No Action Taken

Description of Legislative Action

As of January 31, 2021, the Legislature has not taken any additional action to address this specific recommendation.

AB 1688 (Calderon/Jones-Sawyer,2019) would have required Corrections to submit a report to the Legislature by July 1, 2024, that included a recidivism analysis with the number of sanctions or other adverse actions taken against rehabilitation program vendors in the previous calendar year and data on inmates receiving rehabilitation programs in their areas of expressed need, as well as performance targets, a corrective action plan, and the identification of programs that should be modified or eliminated based on their ineffectiveness. This bill was vetoed by the Governor.

Legislative Action Current As-of: February 2021

California State Auditor's Assessment of Annual Follow-Up Status: No Action Taken

Description of Legislative Action

AB 1688 (Calderon/Jones-Sawyer) would require Corrections to submit a report to the Legislature by July 1, 2024, that includes a recidivism analysis with the number of sanctions or other adverse actions taken against rehabilitation program vendors in the previous calendar year and data on inmates receiving rehabilitation programs in their areas of expressed need, as well as performance targets, a corrective action plan, and the identification of programs that should be modified or eliminated based on their ineffectiveness.

Legislative Action Current As-of: July 2019

California State Auditor's Assessment of 6-Month Status: Legislation Introduced

Description of Legislative Action

The Legislature has not taken any action to address this specific recommendation.

However, AB 1687 (Jones-Sawyer) would require Corrections, the California Rehabilitation Oversight Board, and the Office of the Inspector General, on or before January 10, 2020, and annually thereafter, to report to the Joint Legislative Budget Committee and to the public safety committees of both houses of the Legislature on Corrections' implementation of the State Auditor's recommendations and would require the annual report to contain specified information, including the number of sanctions or other adverse actions taken against rehabilitation program vendors in the previous year and data on inmates receiving rehabilitation programs in their areas of expressed need.

Legislative Action Current As-of: April 2019

California State Auditor's Assessment of 60-Day Status: No Action Taken

Recommendation for Legislative Action

To ensure that Corrections and its external researcher conduct a comprehensive analysis of the rehabilitation programs' effect on recidivism, the Legislature should provide authority and funding for C-ROB to monitor the contracting process and provide progress updates to the Legislature in its annual report.

Description of Legislative Action

As of January 31, 2022, the Legislature has not taken action to address this specific recommendation.

Legislative Action Current As-of: January 2022

California State Auditor's Assessment of Annual Follow-Up Status: No Action Taken

Description of Legislative Action

As of January 31, 2021, the Legislature has not taken action to address this specific recommendation.

Legislative Action Current As-of: February 2021

California State Auditor's Assessment of Annual Follow-Up Status: No Action Taken

Description of Legislative Action

As of January 2020, the Legislature has not taken action to address this specific recommendation.

Legislative Action Current As-of: January 2020

California State Auditor's Assessment of 1-Year Status: No Action Taken

Description of Legislative Action

The Legislature has not taken action to address this specific recommendation.

Legislative Action Current As-of: July 2019

California State Auditor's Assessment of 6-Month Status: No Action Taken

Description of Legislative Action

The Legislature has not taken any action to address this specific recommendation.

Legislative Action Current As-of: April 2019

California State Auditor's Assessment of 60-Day Status: No Action Taken

Recommendation for Legislative Action

To ensure that Corrections remains on track to complete its analysis and develop performance targets, the Legislature should require C-ROB to monitor Corrections' progress in developing appropriate recidivism targets and meeting those targets, and to provide annual updates on Corrections' progress in implementing the three-year plan.

Description of Legislative Action

As of January 31, 2022, the Legislature has not taken action to address this specific recommendation.

Legislative Action Current As-of: January 2022

California State Auditor's Assessment of Annual Follow-Up Status: No Action Taken

Description of Legislative Action

As of January 31, 2021, the Legislature has not taken action to address this specific recommendation.

Legislative Action Current As-of: February 2021

California State Auditor's Assessment of Annual Follow-Up Status: No Action Taken

Description of Legislative Action

As of January 2020, the Legislature has not taken action to address this specific recommendation.

Legislative Action Current As-of: January 2020

California State Auditor's Assessment of 1-Year Status: No Action Taken

Description of Legislative Action

The Legislature has not taken action to address this specific recommendation.

Legislative Action Current As-of: July 2019

California State Auditor's Assessment of 6-Month Status: No Action Taken

Description of Legislative Action

The Legislature has not taken any action to address this specific recommendation.

Legislative Action Current As-of: April 2019

California State Auditor's Assessment of 60-Day Status: No Action Taken

Recommendation for Legislative Action

To ensure that Corrections and EDD can collaborate effectively to track whether inmates that received vocational training found work in a related field after release, the Legislature should amend state law to explicitly allow Corrections to provide inmates' Social Security numbers to EDD.

Description of Legislative Action

As of January 31, 2022, the Legislature has not taken action to address this specific recommendation.

Legislative Action Current As-of: January 2022

California State Auditor's Assessment of Annual Follow-Up Status: No Action Taken

Description of Legislative Action

As of January 31, 2021, the Legislature has not taken action to address this specific recommendation.

Legislative Action Current As-of: February 2021

California State Auditor's Assessment of Annual Follow-Up Status: No Action Taken

Description of Legislative Action

As of January 2020, the Legislature has not taken action to address this specific recommendation.

Legislative Action Current As-of: January 2020

California State Auditor's Assessment of 1-Year Status: No Action Taken

Description of Legislative Action

The Legislature has not taken action to address this specific recommendation.

Legislative Action Current As-of: July 2019

California State Auditor's Assessment of 6-Month Status: No Action Taken

Description of Legislative Action

The Legislature has not taken any action to address this specific recommendation.

Legislative Action Current As-of: April 2019

California State Auditor's Assessment of 60-Day Status: No Action Taken

All Recommendations in 2018-113

Agency responses received are posted verbatim.