Report 2009-107.1 Recommendation 1 Responses

Report 2009-107.1: California Department of Corrections and Rehabilitation: It Fails to Track and Use Data That Would Allow It to More Effectively Monitor and Manage Its Operations (Release Date: September 2009)

Recommendation #1 To: Corrections and Rehabilitation, Department of

To help it assess the effect of policy changes and manage operations in a cost-effective manner, Corrections should do the following:
Ensure that its new data system will address its current lack of data available for statewide analysis, specifically data related to identifying the custody staffing cost by inmate characteristics such as security level, age, and custody designation.
If implementation of its new system continues to be delayed, or if Corrections determines that the new system will not effectively replace the current assignment and scheduling systems used by the institutions, it should improve its existing data related to custody staffing levels and use the data to identify the related costs of various inmate populations.

Annual Follow-Up Agency Response From September 2015

BIS Status: The Training and Events module was successfully deployed out to the entire Department in December 2014. The full implementation of BIS provides the Departmental cost information to operate an institution.

SOMS Status: The Strategic Offender Management System (SOMS) provides the inmate population data to include intake, scheduling, and movements. SOMS dependent data has been available since the functional deployments of the previous two years. There is no more action for the SOMS team to take in this action plan.

The statistical analytical tool with business intelligent reporting enables the Department to conduct correlative analysis of the data contained within the BIS and SOMS applications.

Deployment of the Request for Personnel Action module was completed to all programs within CDCR in March 2015. This provides a paperless process for creation, review and approval of personnel actions. Functionality allows better tracking and more efficient routing of actions as well as increased accuracy of position and cost control.

  • Completion Date: March 2015

California State Auditor's Assessment of Annual Follow-Up Status: Not Fully Implemented

Although Corrections states that the full implementation of BIS provides cost information to operate an institution, its response does not indicate whether the data system tracks specific data related to identifying custody staffing cost by inmate characteristics such as security level, age, and custody designation. Additionally, Corrections did not provide any documentation demonstrating it has fully implemented our recommendation. For example, it could provide reports generated from the new data system showing the system can provide cost information by inmate characteristics such as security level, age, and custody designation.

  • Auditee did not substantiate its claim of full implementation

Annual Follow-Up Agency Response From October 2014

Updated BIS Status - The Time and Shift module has been successfully implemented at all institutions for Custody staff as of July 1, 2014. BIS is working with CCHCS to complete implementation of the SAP component at all institutions for Nursing staff by March 31, 2015. The Training and Events functionality is in Pilot Testing with the first group of 12 Headquarters' Programs scheduled to go live October 1, 2014. All rollout activities are scheduled to be complete by December 31, 2014.

In addition, BIS is working with the Office of Personnel Services to rollout Request for Personnel Action Workflow functionality which provides a paperless process for creation, review, and approval of personnel actions. Functionality allows better tracking and more efficient routing of actions, as well as increased accuracy of position and cost control.

Updated SOMS Status - In August 2014, CDCR implemented SOMS Classification and Programs modules. Inmate Classification data is now available in SOMS and being replicated to the data analytics environment. The addition of BIS data into the analytic environment is in progress.

  • Estimated Completion Date: December 2014

California State Auditor's Assessment of Annual Follow-Up Status: Not Fully Implemented


Annual Follow-Up Agency Response From October 2013

Updated BIS Status - The Time & Shift module was successfully piloted at Folsom State Prison and is currently live in 14 institutions. It is being implemented in three institutions per month with all institutions live at the end of May 2014. The Training and Events functionality is undergoing revisions to the course catalog and how it will be available in the system. This functionality is scheduled for pilot to begin in April 2014.

Updated SOMS Status - SOMS Classification and Programs module is currently scheduled for deployment in March 2014. Going forward, this data combined with the BIS Time and Shift data will provide the base data necessary to perform analytics concerning staffing costs by inmate level. EIS has expanded the CDCR stakeholders they are working with to include of The Division of Rehabilitative Programming (DRP) and other business areas of CDCR. The basic infrastructure for the data analytic function to conduct correlative analysis of the data contained within seven data sources (BIS, SOMS, COMPAS, CSRA, CalParole EdCATS, ICATS), is complete and initial reports and capabilities are being tested. The priority and business value of such reports is also being assessed to ensure the highest value is worked on first. The specific ability to determine and identify custody staffing cost by inmate characteristics such as security level, age, or custody designation, is reliant on the BIS and SOMS deployments.

  • Estimated Completion Date: June 2015

California State Auditor's Assessment of Annual Follow-Up Status: Not Fully Implemented


Annual Follow-Up Agency Response From September 2012

To meet the requirements of this recommendation, CDCR will need to implement the full functionality of the Business Information System (BIS), implement Phase 1a of the Strategic Offender Management System (SOMS) and implement a statistical analytical package with an external reporting component.

The full implementation of BIS will provide the departmental cost information to operate an institution.

BIS status - The BIS system modules for Budgeting, Purchasing, Accounting, Organizational Management, Workers Compensation, Training and Events, Employee Grievances, Personnel Cost Planning (PCP) and Personnel Administration have been implemented. The Time/Shift solution of TeleStaff for Shift and SAP for Time is in its final stages of development. The Shift tool is live at the pilot location of Folsom State Prison. Full implementation was delayed and is scheduled to begin November 1, 2012. The 6 wave implementation is scheduled for completion April of 2013.

SOMS Status Implementation of Phase 1A (Intake, Movements and Counts functionality) was successfully completed in October 18, 2011. With the completion of this phase, SOMS is the system of record for all inmate movement, housing, and demographic (age, sex, etc.) information. SOMS Phase 1B is under way and will deploy functionality to capture inmate classification and program assignments in the summer of 2013.

The statistical analytical tool with business intelligence reporting will enable the Department to conduct correlative analysis of the data contained within the BIS and SOMS applications.

CDCR Enterprise Information Services (EIS) is working with CDCR business programs including the Office of Research (OR) to implement a data warehouse to conduct correlative analysis of the data contained within BIS and SOMS. The basic infrastructure for the data warehouse is being implemented as part of the SOMS project. The implementation of the basic infrastructure was delayed and is scheduled for September 2012. The SAS server for statistical analysis has been deployed for the OR. The OR currently receives data from SOMS on a daily basis. The EIS and OR have agreed to continue to work together so that as the new SOMS functionality is deployed, the new data elements can be included in data provided to OR.

  • Estimated Completion Date: Summer 2013

California State Auditor's Assessment of Annual Follow-Up Status: Not Fully Implemented


All Recommendations in 2009-107.1

Agency responses received after June 2013 are posted verbatim.


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