Juvenile Justice Training
Institute for
State JJ Specialists
(300 Slides)
JJDP Act






When was it passed?
Why was it passed?
What does it say?
What does it say about Compliance Monitoring?
What are the Core Requirements?
What do States receive when in compliance with
the Core Requirements?
2
Formula Grants Award

Access to your full Formula Grants allocation is
contingent on meeting all four Core Requirements
and maintaining an adequate system for
Compliance Monitoring.
3
JJDP Act Core Requirements


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Deinstitutionalization of Status Offenders—1974
Separation—1974
Jail Removal—1980
Disproportionate Minority Confinement—1988
4
Deinstitutionalization of Status
Offenders (DSO)
Section 223(a)(11)
Juveniles who are charged with or who have
committed offenses that would not be criminal
if committed by an adult… or such non-offenders
as dependent or neglected children shall not be
placed in secure detention or correctional facilities.
5
Separation
Section 223(a)(12)
Juveniles alleged to be or found to be delinquent
[and status offenders and non-offenders] will not
be detained or confined in any institution in which
they have contact with adult inmates.
6
Jail Removal
Section 223(a)(13)
No juvenile shall be detained or confined in any jail
or lockup for adults.
7
Disproportionate Minority
Contact (DMC)
Section 223(a)(22)
States are to “address juvenile delinquency
prevention efforts and system improvement efforts
designed to reduce, without establishing or requiring
numerical standards or quotas, the disproportionate
number of juvenile members of minority groups, who
come into contact with the juvenile justice system.”
8
Core Requirements
of the JJDP Act
Deinstitutionalization of Status Offenders
Sight and Sound Separation
Jail Removal
Disproportionate Minority Contact
9
DSO
Sec. 223 (a)(11)



A status offender is a juvenile offender who has been
charged with or adjudicated for conduct that would not be
a crime if committed by an adult.
A non-offender is a juvenile who is subject to the
jurisdiction of the juvenile court, usually under abuse,
dependency, or neglect statutes, for reasons other than
legally prohibited conduct of the juvenile.
Status Offenders and non-offenders cannot be placed in
secure detention or correctional facilities.
10
DSO—Sec. 223 (a)(11)
Status Offenses/Examples
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Runaway
Ungovernable/incorrigible
Curfew violation
Truancy
Possession of alcohol as a minor
Possession of tobacco as a minor
Traffic violations civil in nature
11
DSO—Section 223(a)(11)
Non-Offenses/Examples

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Child abuse and neglect
Immigration violations (aliens)
Danger to self or others (mental health)
Abandonment
12
DSO—Sec. 223 (a) (11)
Four exceptions for the placement of status
offenders in secure juvenile facilities:
I. 24 hours prior to and after initial
court appearance (exclusive of
weekends and holidays).
II. Youth found to have violated a
Valid Court Order (VCO).
13
DSO—Sec. 223 (a) (11)
Four exceptions for the placement of status
offenders in secure juvenile facilities (cont’d):
III. Out-of-State runaways (when
Interstate Compact is used).
IV. Handgun exception.
14
DSO—Sec. 223 (a)(11)
I. The 24-hour exception may be used for
limited purposes:


For the purposes of identification,
investigation, release to parents, or transfer to
a nonsecure program.
Applies only to accused status offenders, not
adjudicated status offenders and not nonoffenders.
15
DSO— 223(a)(11)
II. VCO Exception
What States Must Do to Use the VCO
Exception:




State must have State Law allowing secure detention of kids
who violate VCOs.
The State must train court and facility staff to ensure that all
VCO standards are met (i.e. due process is afforded, interviews
occur within 24 hours, hearing within 48 hours).
State must annually review a minimum of 10 percent of all VCO
cases to ensure they meet VCO standards.
State must project and report as DSO violations those cases
that do not meet VCO standards.
16
DSO—223(a)(11)
III. Out-of-State Runaways


Interstate Compact—State must be a member.
Out-of-State runaway may be securely detained in a juvenile
facility indefinitely.
17
DSO—223(a)(11)
IV. Youth Handgun Safety Act



Prohibits possession of a handgun by a minor under age18.
Youth who violate the Youth Handgun Safety Act or a similar law
are considered delinquent offenders.
Such youth can be placed in secure detention or correctional
facilities.
18
De Minimis Standards
How many violations can a State have
and still remain compliant with DSO?
Please see 1981 Federal Register for further details.
19
De Minimis Standards—DSO


0 Violations/100,000 juveniles—the State has
demonstrated full compliance,
0.1 to 5.7 Violations/100,000 juveniles—the State
has demonstrated full compliance with de minimis
exceptions.
20
De Minimis Standards—DSO (cont’d)

5.8–17.6 Violations/100,000 juveniles—the State
is eligible for a finding of compliance with de
minimis exceptions if it adequately meets the
following criteria:
21
De Minimis Standards
Criteria—DSO


Criterion B—instances of noncompliance were in
apparent violation of State law or established
executive or judicial policy.
Criterion C—an acceptable plan has been
developed to eliminate the noncompliant
incidents.
22
De Minimis Standards—DSO (cont’d)

17.7 to 29.4 violations/100,000 juveniles—the
State is eligible for a finding of compliance with de
minimis exceptions if it fully satisfies the following
criteria:
23
De Minimis Standards
Criteria—DSO (cont’d)


Criterion B—instances of noncompliance were in
apparent violation of State law or established
executive or judicial policy.
Criterion C—an acceptable plan has been
developed to eliminate the noncompliant
incidents.
24
De Minimis Standards—DSO (cont’d)

29.5 Violations and Above/100,000 juveniles—the
State is presumptively ineligible for a finding of full
compliance with de minimis exceptions unless…

Out-of-State runaways

Federal wards

New State law
25
De Minimis Standards—DSO (cont’d)
Any rate above 29.4 violations is considered
to be an excessive and significant level of
status offenders and non-offenders held in
juvenile detention or correctional facilities.
26
Note!


States found out of compliance with the DSO
Core Requirement lose 20 percent of their
Formula Grants allocation.
The remaining 50 percent of the Formula Grants
allocation must be spent to bring the State back
into compliance with DSO.
27
De Minimis Standards—DSO (cont’d)
How many DSO violations is California
allowed?
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
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Juvenile Population in 2005 = 9,452,391
94.5 X 5.7 = up to 539 DSO violations
94.5 X 17.6 = up to 1,663 DSO violations
94.5 X 29.4 = up to 2,778 DSO violations
28
Core Requirements
of the JJDP Act
Deinstitutionalization of Status Offenders
Sight and Sound Separation
Jail Removal
Disproportionate Minority Contact
29
SEPARATION
Section 223(a)(12)
Juveniles alleged to be or found
to be delinquent [and status
offenders and non-offenders] will
not be detained or confined in
any institution in which they have
contact with adult inmates.
30
SEPARATION
Sec. 223 (a)(12) [cont’d]
Contact is defined to include any physical or
sustained sight and/or sound contact between
juvenile offenders in secure custody status
and incarcerated adults, including inmate
trustees.
31
SEPARATION
Sec. 223 (a)(12) [cont’d]
Inadvertent or Accidental Contact:


Instances need not be reported if they occur in secure
areas of a facility that are not dedicated to use by
juvenile offenders and which are nonresidential.
Any contact in a dedicated juvenile area, including
residential area of a secure facility, would be a violation.
32
Transferred, Certified, Waived,
and Direct File Youth
A juvenile who has been transferred to the jurisdiction of a
criminal court, may be detained or confined in a juvenile
facility with other juveniles who are under the jurisdiction of
the juvenile court. This is not a violation of separation since
the youth is not a juvenile “alleged to be or found to be
delinquent” and the youth is not an “adult inmate.” Once the
youth reaches the State’s age of majority, he/she must be
separated from the juvenile population within six months.
34
Scared Straight, Shock
Incarceration, Jail Tours…
No juvenile shall enter under public
authority, for any amount of time, into a
secure setting or section of an adult jail,
lockup, or correctional facility as a
disposition of an offense or as a
means of modifying his or her behavior.
35
De Minimis Standards—Separation


0 Violations/100,000 Juveniles—the State has
demonstrated full compliance.
1 and Greater Violations/100,000 Juveniles—the
State is eligible for a finding of compliance if the
instances of noncompliance do not indicate a
pattern or practice but rather constitute isolated
incidences and one of the following criteria is
satisfied:
36
De Minimis Standards
Criteria—Separation




Violation of State law.
Did incidents of noncompliance indicate a pattern
or practice?
Are there existing mechanisms for enforcement?
Describe the State’s plan to eliminate the
noncompliant incidents.
37
De Minimis Standards—
Separation (cont’d)
How many Separation Violations is California
allowed?
0
38
CORE REQUIREMENTS OF THE JJDP ACT
Deinstitutionalization of Status Offenders
Sight and Sound Separation
Jail Removal
Disproportionate Minority Contact
39
Jail Removal
Section 223(a)(13)
No juvenile shall be detained or confined in any jail
or lockup for adults.
40
JAIL REMOVAL
Section 223(a)(13)
Does not apply to juvenile facilities or adult prisons.
41
JAIL REMOVAL
Section 223(a)(13)
Adult Jail:
A locked facility, the purpose of which
is to detain adults charged with
violating criminal law, pending trial.
Also those facilities used to hold
convicted adult criminal offenders
sentenced for less than one year.
42
JAIL REMOVAL
Section 223(a)(13)
Adult Lockup:
Similar to an adult jail,
except that an adult
lockup is generally a
municipal or police facility
of a temporary nature
which does not hold
persons after they have
been formally charged.
43
JAIL REMOVAL
Section 223(a)(13)
Jail Removal Exceptions:
I.
Six-Hour Rule
II.
Court Appearance Hold
III. Rural Exception
IV. Transferred, Certified, Waived, or Direct File Youth
44
JAIL REMOVAL
Section 223(a)(13)
I. Six-Hour Rule of Reason
An alleged delinquent may be detained for up to six
hours, while separate from adults, for the purposes
of identification, processing, and arranging for
release to parents or transfer to juvenile court
officials or juvenile shelter or detention facilities.
45
JAIL REMOVAL
Section 223(a)(13)
II. Six-Hour Court Appearance Hold
An alleged or adjudicated delinquent may be
detained, while separate from adults, for up to six
hours before and after a court appearance.
This hold must be related to a court appearance.
46
JAIL REMOVAL
Section 223(a)(13)
III. Rural Exception


An accused juvenile criminal-type offender may
be detained up to 48 hours (excluding weekends
and holidays) in an adult jail or lockup, if certain
conditions are met.
This hold must be related to a court appearance.
47
JAIL REMOVAL Section 223(a)(13)
IV. Transferred, Waived,
Certified and Direct File Youth


Juveniles who have been transferred to adult
court and against whom criminal felony charges
have been filed do not fall under the auspices
of the JJDP Act for jail removal and separation
requirements within jails and lockups.
These juveniles are subject to State law.
48
De Minimis Standards—
Jail Removal


0 Violations/100,000 juveniles—the State has demonstrated
full compliance.
0.1 to 9.0 Violations/100,000 juveniles—the State is eligible for
the numerical de minimis exception if it has developed an
acceptable plan to eliminate the noncompliant incidents
through the enactment or enforcement of State law, rule or
statewide executive or judicial policy, education, the provision
of alternatives or other effective means.
49
De Minimis Standards—
Jail Removal (cont’d)

9.1 and greater Violations/100,000 juveniles—the State is
eligible for the substantive de minimis exception if it meets five
criteria:
– Recently enacted changes in State law that are
expected to have significant impact on the State’s
achieving full compliance
– All instances of noncompliance were in violation of
State law
50
De Minimis Standards—
Jail Removal (cont’d)

9.1 and greater Violations/100,000 juveniles—the State is
eligible for the substantive de minimis exception if it meets five
criteria:
– Instances of noncompliance do not indicate pattern
or practice but rather constitute isolated instances.
– Existing mechanisms to enforce State law.
– Acceptable plan has been developed to eliminate
noncompliant incidents.
51
De Minimis Standards—
Jail Removal (cont’d)


How Many Jail Removal Violations Is California
Allowed?
Up to 9 = 850 Jail Removal Violations
(94.5 x 9 = 850)
52
Adequate System of
Compliance Monitoring
Presented by
Elissa Rumsey,
Compliance Monitoring Coordinator, OJJDP
Susan Davis,
Compliance Monitor, Colorado
53
Adequate System
of Compliance Monitoring (cont’d)
Section 223(a)(14) of the JJDP Act:
“Participating States must provide for an adequate
system of monitoring jails, detention facilities, correctional
facilities, and nonsecure facilities to ensure that the
requirements of paragraph (11), paragraph (12), and
paragraph (13) are met, and for the annual reporting of the
results of such monitoring to the [OJJDP] Administrator.”
54
The 10 Compliance
Monitoring Elements
1. Policies and Procedures
2. Monitoring Authority
3. Monitoring Timetable
4. Violation Procedures
5. Barriers and Strategies
55
The 10 Compliance
Monitoring Elements (cont’d)
6. Definitions
7. Identification of the Universe
8. Classification of the Universe
9. Inspection of Facilities
10. Data Collection and Data Verification
56
The Elements



In the OJJDP Guidance Manual, Audit Guideline
Manual, and Formula Grants Regulations.
On the OJJDP Web site under Compliance
Monitoring.
Disc provided contains all documents.
57
Policies and Procedures


Critical!
Policies and procedures serve multiple purposes:



Desk manual.
Document your Compliance Monitoring system in
detail.
Basis for your OJJDP audit.
58
Monitoring Authority

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
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Each State should have authority to inspect
facilities and collect data.
Your authority should be documented in your
training materials and available to facilities.
Optimal authority is legislation.
Minimum authority is an Executive Order.
59
Monitoring Timetable

Each State should


Have a written timetable detailing how you will
accomplish the Four Compliance Monitoring Tasks.
This Monitoring Timetable should


Detail who will do what, when, for what period of time,
what the product will be.
Can be in chart or written format.
60
Violation Procedures

Each State must have a procedure to handle violations.

Authority to deal with violations is essential.


Written policies should be available to all concerned
parties.
At a minimum, States should be able to cite a facility and
request that the facility correct the noncompliant
situation.
61
Barriers and Strategies




Barriers = obstacles to either your monitoring
efforts or compliance with the Core Requirements.
All States have barriers.
Strategies = what the Designated State Agency
(DSA) and the State Advisory Group (SAG) are
doing to overcome the barriers.
Examples.
62
Definitions of Terms



States MUST use OJJDP definitions when
monitoring.
These definitions should be in all your materials:
policies, manuals, training materials.
Preferably, the OJJDP definitions should be in
State statutes; if not, make sure all facilities know
what the federal definitions are.
63
Important Definitions:




Secure
Lockup
Status Offender/MIP
Separation
64
The Four Compliance
Monitoring Tasks



These tasks are annual.
The annual completion of these tasks should be in
your timetable.
The tasks are




Identification of the Universe.
Classification of the Universe.
Inspection of Facilities.
Data Collection and Data Verification.
65
Identification of the
Monitoring Universe


The State must identify all facilities which might hold
juveniles pursuant to public authority.
Facilities must be classified to determine if each should
be included in the monitoring effort.
66
Identification (cont’d)

The list should include all jails, lockups, detention
centers, juvenile correctional facilities, halfway
houses, group homes, prisons and any other
secure or nonsecure public or private facilities in
which juvenile might be detained or placed.
67
Identification (cont’d)



Key phrases: “might hold,” “public authority,” “public and
private,” “full list.”
Necessary first step.
Every facility that has the “potential” to house juveniles,
regardless of the purpose, comes under the purview of
the monitoring requirements and must therefore be
included in identification.
68
Identification (cont’d)




Statutes which prohibit placement of juveniles in specific
facilities do not exempt them from the universe.
Not all facilities that are identified in this step will be
transferred to the inspection list! Do not get
overwhelmed!
All of the facilities identified must also be classified.
However, not all will need an inspection or be subject to
data collection/verification.
69
Identification (cont’d)

Sources for identifying your universe include

State oversight/regulatory agencies

Social Services

Mental Health

Public Health

Associations

Department of Corrections

Others?
70
Classification of the
Monitoring Universe



Each facility identified needs to also be classified.
Classification will assist you in determining which
facilities will need to be inspected.
Classification has four elements:




Secure or nonsecure
Public or private
Residential or nonresidential
For juveniles only, for adults only, or for both juveniles and
adults
71
Classification (cont’d)

Classification may be completed in conjunction with
identification.

States must confirm initial classification while onsite.

Remember to use federal definitions.

Query the State Oversight and/or Regulatory Agencies
on statutes, regulations, standards, policies, violation
procedures.
72
Organizing Your Monitoring
Universe Information



Organize once, update annually.
Organize as it makes sense to you.
One example:

By facility type (jails)

ID and Classification List which shows the jails in State by address,
contact name, phone, classification, and date of last inspection

Rules, statutes, regulations as they pertain to this type of facility

Violation procedures for this type of facility

Very helpful during OJJDP audits
73
Inspection of Facilities

Three reasons to inspect facilities:



To confirm your classification (secure or nonsecure and who is
being held there)
To assess the separation levels at all points in the facility
To determine if their record keeping system is adequate for you
to collect the necessary data to determine compliance with the
Core Requirements
74
Inspection of Facilities
(cont’d)

Confirm your classification:


Is this facility secure or nonsecure? Is it for juveniles
only, adults only, or juveniles and adults? Is it
residential or nonresidential? Public or private?
Once you answer these, and perhaps more, questions
you will know how to classify it pursuant to federal
definitions of terms.
75
Inspection of Facilities
(cont’d)

Assess separation levels.


Walk through the facility as if you were a juvenile.
Ask lots of questions:

When are adults in this area?

When are trustees used?

May I have a copy of your policies on separation?

Enter a cell and ask the Deputy to walk into an adjoining cell to test sound
separation (where juveniles are held securely in the vicinity of adults).
76
Inspection of Facilities
(cont’d)

More questions:

How are juveniles processed?

Where do they enter facility?

Who escorts them?

Is time-phasing used?

Where are nonsecure areas?

Is there a nonsecure booking area?
77
Inspection of Facilities
(cont’d)

Record keeping system required to collect the following information on all
juveniles held securely

Name or ID

Date of birth

Race, sex, ethnicity

Offense (most serious)

Date and time IN secure setting

Date and time OUT of secure setting

Time out for court appearance (if applicable)

Time back in for court appearance (if applicable)

Person released
78
Organizing Facility Information



Create “Facility Files”
All information on this facility is contained in one
file

Taken onsite and updated.

Example.
Very helpful to the next person who takes your job!
79
Inspection of Facilities
(cont’d)

Many other reasons to inspect!

Building relationships with your contact people.

Sharing information about your agency.

Problem solving solutions to juvenile justice issues.

Serving as the eyes and ears for your SAG.

Others?
80
Inspection of Facilities:
Pre-Visit Activities


Schedule an appointment with Administrator so there
is buy-in.
Explain what you will be doing there and how long it
will take

Sight and sound.

Classification.

Record keeping.
81
Inspection of Facilities:
Onsite


Walk through the facility as if you were a juvenile.
Review sight and sound separation, records, security
levels.

Obtain a layout and sample of log.

Obtain copies of any policies.
82
Inspection of Facilities:
Exit Interview







Provide training materials.
Explain how you have classified them and their separation
levels.
Fully explain the Core Requirements as they relate to their
facility.
Recommend changes if needed.
Explain your violation policy.
Ask what their needs are.
Make sure you have all the information you need for your facility
file.
83
Inspection of Facilities:
Exit Interview (cont’d)



If you don’t know the answer, research it and get back.
Provide information on programs that might be
relevant—you may be the only eyes and ears for your
agency.
Always thank people for their time and efforts.
84
Data Collection and
Data Verification



Two parts: collect and verify.
Collect data on all juveniles held securely in the State for
the year.
Must use OJJDP definitions of terms not only for offenses
but for facilities:


Jail, lockup, court holding, JDC, JCF, collocated.
For example, if a facility isn’t “behaving” like a court holding
facility then it is a lockup.
85
Data Collection and Data
Verification (cont’d)

Twelve months of data is necessary.

All facilities that hold juveniles securely must report.


If data isn’t complete, the OJJDP/Excel Spreadsheet will
project it for you.
Please include a chart or table showing the facilities that
held and the number of violations for each facility.
86
Data Collection/Verification
(cont’d)




Facilities Self-Report Admissions Data.
Data collected by an agency other than the DSA needs to
be verified onsite by the DSA.
Verification process should be in your policies and
procedures.
Verification is an annual process at all facilities that hold
juveniles securely.
87
Data Collection/Verification
(cont’d)


At minimum, 10 percent of all VCOs must be
verified; however, if you find violations in that 10
percent sample you must project those numbers
for the remaining 90 percent.
Please verify 100 percent of VCO cases if the
number is under 50 per facility.
88
Data Collection/Verification
(cont’d)



Look over the OJJDP Excel Spreadsheet to see
what data you will need at the end of the year so
you are collecting them all year.
Youth in possession of a handgun is not a
violation of DSO.
Title V funds linked to compliance.
89
Data Collection/Verification:
Title V



Title V is the Community Prevention Grant Program.
Title V money must be passed through to units of
local governments.
Compliance Monitors must demonstrate and SAGs
must certify that units of local government are in
compliance with the Core Requirements to receive
Title V funding.
90
Data Collection/Verification
(cont’d)



Once data are collected and verified, summarize
for the OJJDP Compliance Monitoring Report.
Data will need to be described in the narrative
section of this report.
The OJJDP Compliance Monitoring Report will be
covered in more detail at a later time during this
training.
91
Adequate System of
Compliance Monitoring
QUESTIONS?
92
Adequate System of
Compliance Monitoring:
Part 2
Compliance Monitoring Written
Products/Reporting Responsibilities
—Mark Ferrante, Juvenile Justice Specialist, New Jersey
—Wandra Simmons, TCAP Coordinator, OJJDP
—Susan Davis, Compliance Monitor, Colorado
—Julie Herr, State Representative, OJJDP
93
Formula Grants
Plan/Performance Measures
Presented by
Mark Ferrante,
Juvenile Justice Specialist, New Jersey
Wandra Simmons,
TCAP Coordinator, OJJDP
94
Formula Grants (FG):
Three-Year Plan and Application

FG Application must include plan for
Compliance With the First Three Core
Requirements of the JJDP Act and the State’s
Plan for Compliance Monitoring.
95
FG Three-Year Plan

The plan must be data-based and program
specific, including the necessary “who, what,
where, how, and when” to provide clear plan of
action.
96
FG Three-Year Plan (cont’d)

The Compliance Monitoring plan should include a
detailed description of monitoring tasks and
identify the specific agency or agencies
responsible for each task.
97
FG Three-Year Plan (cont’d)

This section should describe the legislative and
administrative procedures and sanctions that the
State has established to receive, investigate, and
report compliance violations. If an agency other
than the designated State agency is responsible
for monitoring, describe how that agency
maintains accountability for compliance with this
requirement.
98
FG Three-Year Plan (cont’d)

For each of the requirements, the State should
describe:
a. Strategy, specific activities, timetable covering the
three-year planning cycle, and resources to support
the implementation of the plans.
99
FG Three-Year Plan (cont’d)
b. Barriers the State faces in achieving full compliance,
and how it will overcome them.
c. Role of the SAG in monitoring for compliance with the
DSO, separation, and removal requirements.
d. If the State has been found to be in full compliance
with these requirements, provide an assurance that
indicates:
100
FG Three-Year Plan (cont’d)
(1) Adequate plans are on file and available for
review.
(2) Resources to maintain compliance are identified,
on file, and available to review.
(3) The State will notify OJJDP if circumstances
arise or if resources are lost that would jeopardize
the State’s capability of maintaining compliance
with the requirements.
101
FG Three-Year Plan:
Performance Measures




What are performance measures?
Why do we need them?
How do we implement them?
How do we report on them?
102
FG Three-Year Plan:
Performance Measures (cont’d)
 Three-Year Plan must include performance
measures.
 Compliance monitoring program areas include
– Compliance monitoring (Program Area 6 ).
– DSO (Program Area 8).
– Jail removal (Program Area 17).
– Separation (Program Area 28 ).
103
FG Three-Year Plan: Performance
Measures (cont’d)

Compliance Monitoring (Program Area 6)
performance measures include:
— Funds allocated (output).
— Submission of annual CM Report (outcome).
104
FG Three-Year Plan:
Performance Measures (cont’d)

DSO (Program Area 8) performance measures
include:
— Funds awarded for DSO (output).
— # Site visits Conducted (output).
— # of programs implemented (output).
— # program youth served (output).
— Changes in the # of violations of DSO requirement
(outcome).
105
FG Three-Year Plan:
Performance Measures (cont’d)

Jail Removal (Program Area 17) performance
measures include:
— Funds Awarded for Jail Removal (output).
— # of programs implemented.
— # program youth served.
— Changes in the # of violations per Jail Removal Core
Requirement (outcome).
106
FG Three-Year Plan:
Performance Measures (cont’d)

Separation (Program Area 28) performance
measures include:
— Funds for Separation (output).
— # of programs implemented (output).
— Changes in the # of violations per Separation Core
Requirements (outcome).
107
FG Three-Year Plan


Questions?
Thank you!
108
Policies and Procedures
Presented by
Susan Davis,
Compliance Monitor, Colorado
Julie Herr,
State Representative, OJJDP
10
9
Why a Policies and Procedures Manual?



Required element of “Adequate” Compliance
Monitoring System
OJJDP audits
Desk manual for your position

When you get promoted, provides guidance to your
replacement.
110
Content

Compliance Monitoring Plan/
Policies and Procedures

Monitoring authority

Monitoring timetable

Violation procedures

Barriers/strategies

Definition of terms
111
Content (cont’d)

The Four Monitoring Tasks

Identification of the monitoring universe

Classification of the monitoring universe

Inspection of facilities

Data collection/data verification
112
Content (cont’d)

Should Also Include

Core Requirements by facility type with a
discussion/comparison of your State law

Secure and nonsecure custody

Policies on collocated facilities

Exceptions that your State uses

Title V certification

Process for facilities to request an OJJDP opinion

Frequently asked questions
113
Content (cont’d)

You want your policies to contain information on



Who, what, where, when, why.
If someone were to pick up and read your policies,
they would understand your job.
The more information you have, the fewer
questions auditors will have.
114
Recommendations



Set aside a good amount of undistracted time to write
your policies.
Before you start writing, really think about

How you do your job.

What steps you take.

How you document your work.
Surround yourself with all the OJJDP materials and
regulations you have and read them before you start, so
you understand their intent.
115
OJJDP Materials




OJJDP Guidance Manual.
OJJDP Audit Guideline Manual.
Federal Regulations
Formula Grants Manual, Volume 1.

Provides a great deal of background information on
why we do what we do.
116
State Materials






Your State’s children’s code and penal code
Web sites and relevant information for Department of
Health and Human Services, Department of Corrections,
PH, Mental Health, and other State agencies
Your agency’s policies
Forms you use in monitoring
Agreements you have with other agencies for monitoring
Monitoring authority documents (your Juvenile Justice
Specialist should have these)
117
After It Is Written



Have your Juvenile Justice Specialist look over
the first draft.
Once it is finalized, provide copies to all persons
involved in monitoring.
Update it once a year.
118
Discussion



Questions?
Comments?
Experiences?

Barriers

Strategies
119
Monitoring for the Core
Requirements of the JJDP Act by
Facility Type
Sharon Harrigfeld,
Juvenile Justice Specialist, Idaho
Rich Case,
Compliance Monitor, New Jersey
Elissa Rumsey,
Compliance Monitoring
Coordinator, OJJDP
12
0
Why Monitor Facilities?
Section 223(a)(14) of the JJDP Act:
Participating States must provide for an adequate
system of monitoring jails, detention facilities,
correctional facilities, and nonsecure facilities to insure
that the requirements of paragraph (11), paragraph
(12), and paragraph (13) are met, and for the annual
reporting of the results of such monitoring to the
[OJJDP] Administrator…
121
Note!
Section 223(a)(14) requires that States
monitor NONSECURE facilities.
122
How Is Adequate Defined?
1. See OJJDP’s Newly Revised Compliance
Monitoring Guidance Manual.
2. Refer back to slides from earlier today.
123
How Frequently Must Facilities
Be Monitored Onsite?
1. 100 percent of secure facilities in your universe must be
inspected onsite at least one time every three years. A
minimum of 10 percent per year must be inspected.
Exception: Lockups (even those believed to be
nonsecure) must be subject to inspection
one time every three years.
2. This is a minimum standard.
3. Best practice dictates that States monitor 100 percent
of secure facilities annually.
124
Why Is 100 Percent a Best Practice?
1. A State is 100 percent certain of its
compliance data.
2. Ability to train new facility staff in a timely
fashion.
3. Facilities enjoy the benefit of the State
presence.
4. You are it.
125
Monitoring Juvenile
Facilities
Sharon Harrigfeld,
Juvenile Justice Specialist, Idaho
12
6
What Juvenile Facilities
Need Monitoring?
1.
2.
3.
4.
Juvenile Detention Center
Juvenile Training School
Group Home
Youth Mental Health Facilities
127
Note!
1. Juvenile Detention Centers and Juvenile
Training Schools are the primary youth
facilities needing monitoring.
2. This is where the majority of juveniles are
detained and thus where the majority of
the data will be.
128
Federal Definition of Juvenile
Detention Center/Juvenile
Training School
A secure juvenile detention or
correctional facility is any secure public
or private facility used for the lawful
custody of accused or adjudicated
juvenile offenders.
129
Note!
1. Know federal de minimis allowances in
advance.
2. Know approximately how many
Deinstitutionalization of Status Offenders
(DSO) violations are allowed in your State.
130
Which Core Requirements Apply to
Juvenile Detention Centers/Training
Schools?
Deinstitutionalization of Status Offenders
Jail Removal
Sight & Sound Separation
Disproportionate Minority Contact
131
DSO Refresher
Sec. 223 (a)(11)
Exceptions for Juvenile
Detention
Centers/Training Schools
only:

Status offenders and nonoffenders cannot be
placed in secure
detention or correctional
facilities.

24 hours prior to and after
initial court appearance
(exclusive of weekends and
holidays)
If youth is found in contempt
of a valid court order (where
State law allows)
132
How to Monitor for DSO in Juvenile
Detention Centers/Training Schools
1. Facilities self-report Admissions Logs.
2. Compliance monitor verifies potential
violations over the phone.
3. Compliance monitor conducts onsite
inspection to verify violations and visually
confirm sight and sound separation.
4. Violations are factored into the annual
Compliance Monitoring Report to OJJDP.
133
Sight and Sound
Separation Refresher
Juveniles shall not have sight and/or sound
contact with adult inmates while in a secure
custody setting.
134
How to Monitor for Separation in
Juvenile Detention Centers/
Training Schools
1. Determine whether adult inmates (including adult
inmate trustees) are on site.
2. If adult inmate trustees are on the premises, they
must be sight and sound separated from juveniles
at all times.
3. Best practice dictates that adult inmates not be
present at juvenile facilities, period.
135
How to Monitor for Separation in
Juvenile Detention Centers/
Training Schools (cont’d)
4. Where Transferred, Certified, Waived or Direct-File youth
are present, they also must be sight and sound separated
from juvenile delinquents six months after reaching the
State’s age of majority.
5. Violations must be factored into the annual Compliance
Monitoring Report to OJJDP.
136
How Frequently Must Juvenile
Detention and Correctional
Facilities be Monitored?


100 % of secure facilities must be inspected every
three years.
A minimum of 10% of secure facilities must be
visited per year.
137
Monitoring Adult Facilities
Rich Case,
Compliance Monitor, New Jersey
13
8
What Adult Facilities Need
Monitoring?
1. Adult jails
2. Adult lockups—police departments,
substations, sheriff’s departments
3. Court holding facilities
4. Adult prisons
139
Note!
1. Adult lockups are the primary adult
facilities needing monitoring.
2. An adult lockup is often the first stop for
youth upon arrest and thus where the
majority of the data will be.
140
Federal Definition of Adult Jail


An adult jail is a locked facility, the purpose of
which is to detain adults charged with violating
criminal law, who are pending trial.
Also considered are those facilities used to hold
convicted adult criminal offenders sentenced for
less than one year.
141
Federal Definition of Adult
Lockup
 Similar to an adult jail, except that an adult lockup
is a temporary-hold facility which does not hold
persons after they have been formally charged.
 Law enforcement facilities without cells but
containing cuffing rails or cuffing benches.
142
Note!
1. Know federal de minimis allowances in
advance.
2. Know approximately how many DSO and
Jail Removal violations are allowed in
your State.
143
Which Core Requirements Apply to
Adult Jails and Lockups?
Deinstitutionalization of Status Offenders
Jail Removal
Sight & Sound Separation
Disproportionate Minority Contact
144
Deinstitutionalization of Status
Offenders (DSO) Refresher
Status offenders and nonoffenders may not be
securely detained in an
adult jail or lockup for any
length of time.
145
Jail Removal Refresher
1. No juvenile shall be detained or confined in any
jail or lockup for adults.
2. Status offenders and non-offenders securely
detained for any length of time in jails/lockups
equal two violations: DSO and Jail Removal.
146
Jail Removal Refresher (cont’d)
Jail Removal Exceptions
• Six-Hour Rule
• Court Appearance Hold
• Rural Exception
• Transferred, Waived, Certified, or Direct File Youth
147
Sight and Sound
Separation Refresher
Juveniles shall not have sight and/or
sound contact with adult inmates while
in a secure custody setting.
148
How to Monitor Adult Jails and Lockups
for DSO, Jail Removal, and Separation
1. Facilities self-report admissions logs.
2. Compliance monitor verifies potential violations over
the phone.
3. Compliance monitor conducts onsite inspection to
verify violations and visually confirm sight and sound
separation.
4. Compliance monitor knows de minimis allowances.
149
Note!
No juvenile shall enter under public authority, for any
amount of time, into a secure setting or section of an
adult jail, lockup, or correctional facility as a
disposition of an offense or as a means of modifying
his or her behavior—this means no Scared Straight
Programs.
150
Note!


Juveniles who have been transferred to adult
court and against whom criminal felony charges
have been filed do not fall under the auspices
of the JJDP Act for jail removal and separation
requirements within jails and lockups.
These juveniles are subject to State law.
151
Questions?
Thank you!
152
How Frequently Must Adult Jails
and Lockups be Monitored?


100 % of secure facilities must be inspected every
three years.
A minimum of 10% of secure facilities must be
visited per year.
153
Monitoring ‘Other’ Facilities
Elissa Rumsey,
Compliance Monitoring Coordinator, OJJDP
15
4
What Is an ‘Other’ Facility?



A “nontraditional” facility not historically known
to hold juveniles securely; or
One that holds an extremely low number of
juveniles or that almost certainly does not hold
juveniles at all; or
A facility that is unique in structure and physical
grounds.
155
Monitoring Other Facilities





Collocated Facilities
Court Holding Facilities
Adult Prisons
Group Homes
Mental Health Facilities
156
Collocated Facility


A juvenile facility located in the same building as an
adult jail or lockup, or is part of a related complex of
buildings located on the same grounds as an adult
jail or lockup.
Juvenile facilities collocated with adult facilities are
considered adult jails or lockups absent compliance
with certain criteria.
157
Collocated Facility (cont’d)
Collocated Facility Criteria



Juveniles and adults must be sight and sound separated.
There must be separate juvenile and adult residential
areas (time phasing is allowed for program areas).
State must approve facility to operate as a collocated
facility and must monitor annually.
158
Staffing of Collocated Facilities


Section 223(a)(12) allows for use of the same staff for
adults and juveniles, given a State policy that
requires staff training and certification to work with
juveniles.
At a minimum, training must include youth
development, adolescent physical and mental health,
and nonviolent crisis intervention.
159
Which Core Requirements Apply
to Collocated Facilities?


Juvenile Side:

Deinstitutionalization of Status Offenders (DSO)

Separation
Adult Side:

Deinstitutionalization of Status Offenders (DSO)

Separation

Jail Removal
160
How Frequently Must Collocated
Facilities Be Monitored?

Annually. One hundred percent of all collocated
facilities in your State must be monitored every
year.
161
Monitoring Other Facilities





Collocated Facilities
Court Holding Facilities
Adult Prisons
Group Homes
Mental Health Facilities
162
Court Holding Facilities
A court holding facility is a
secure facility, other than
an adult jail or lockup, that
is used to temporarily
detain persons
immediately before or
after detention hearings or
other court proceedings.
163
Court Holding Facilities (cont’d)

Court holding facilities must

Meet the definition of a court holding facility.

Not detain individuals overnight (i.e., nonresidential).



Not be used for punitive purposes or other purposes
not related to a court appearance.
Provide for sight and sound separation in all secure
areas.
If the facility does not meet this criteria, it must be
monitored as an adult jail or lockup.
164
Court Holding Facilities (cont’d)



A status offender may be held in a court holding
facility if the facility meets the requirements of a
court holding facility.
A delinquent offender may be held in a court
holding facility if the facility meets the
requirements of a court holding facility.
Sight and sound separation must be provided at
all times.
165
Which Core Requirements Apply
to Court Holding Facilities?

Separation
166
How Frequently Must Court
Holding Facilities Be Monitored?

100 percent every three years.
167
Monitoring Other Facilities





Collocated Facilities
Court Holding Facilities
Adult Prisons
Group Homes
Mental Health Facilities
168
Adult Prison

State or federally funded institution to house
convicted offenders under continuous custody on
a long-term basis
169
Adult Prisons



Status offenders and non-offenders are prohibited
from being placed in adult prisons.
Holding delinquent offenders in an adult prison is
not a violation of jail removal; however, delinquent
offenders must be separated at all times from
adult inmates.
The JJDP Act does not prohibit transferred,
waived, or certified youth from being held in an
adult prison. The separation requirement does not
apply.
170
Which Core Requirements
Apply to Adult Prisons?


Deinstitutionalization of Status Offenders (DSO)
Separation
171
How Frequently Must
Prisons Be Monitored?



Spot-check.
Should you discover that status offenders and delinquent
offenders are being securely detained, monitoring
frequency should be increased.
Annual certification should be provided by adult prisons
certifying they do not hold juveniles in violation of the
JJDP Act and specifically that Scared Straight type
programs are not in operation.
172
Monitoring Other Facilities





Collocated Facilities
Court Holding Facilities
Adult Prisons
Group Homes
Mental Health Facilities
173
Group Home


A nonsecure, community-based, residential
program or facility
Includes residential treatment centers,
shelter care, residential child care facilities
174
Group Homes (cont’d)


Nonsecure facilities should be monitored to verify
that the facility continues to be nonsecure.
If a facility’s status changes to have the capacity to
hold offenders securely, data on youth detentions
must be collected and verified onsite.
175
Which Core Requirements
Apply to Group Homes?
 ???
176
How Frequently Must Group
Homes Be Monitored?

OJJDP onsite audit observations.

To date standard has been “spot check.”


States must provide a plan to OJJDP with the 2007
Compliance Monitoring report detailing number and
security level of group homes in the State.
OJJDP will review information provided and make a
decision about what the future monitoring standard
should be.
177
Monitoring Other Facilities





Collocated Facilities
Court Holding Facilities
Adult Prisons
Group Homes
Mental Health Facilities
178
Mental Health Facility

A juvenile facility governed under separate State
law pursuant to civil commitment of juveniles for
mental health treatment or evaluation.
179
Mental Health Facilities (cont’d)


A juvenile committed to a mental health facility
under a civil commitment for mental health
treatment may be placed in a secure mental health
facility.
Status offenders and non-offenders may not be
placed in a secure mental health facility where the
court is exercising only its juvenile status offender
or non-offender jurisdiction.
180
Which Core Requirements Apply
to Mental Health Facilities?
 Deinstitutionalization of Status Offenders (DSO)
181
How Frequently Must Mental
Health Facilities Be Monitored?

10 percent per year
182
Compliance Monitors are not simply
bean counters. Rather, they…




Ensure that children and youth are treated in
accordance to the Act.
Serve as the authority in the State on Compliance
Monitoring issues.
Assist facilities in meeting liability with regards to
how children can be detained.
Other?
18
3
Wednesday, January 24, 2007
OJJDP National Compliance
Monitoring Training
Ensuring Data Reliability and Validity
__________
Day 2
18
4
Building an Adequate System
of Compliance Monitoring:
Small Group Exercise
Presented by
Elissa Rumsey,
Compliance Monitoring Coordinator, OJJDP
Susan Davis,
Compliance Monitor, Colorado
18
5
Refresher:
Adequate System
of Compliance Monitoring
Section 223(a)(14) of the JJDP Act:
Participating States must provide for an adequate system of
monitoring jails, detention facilities, correctional facilities, and
nonsecure facilities to insure that the requirements of
paragraph (11), paragraph (12), and paragraph (13) are met,
and for the annual reporting of the results of such monitoring
to the [OJJDP] Administrator…
18
6
The 10 Compliance
Monitoring System Elements





Policies and Procedures
Monitoring Authority
Monitoring Timetable
Violation Procedures
Barriers and Strategies
187
The 10 Compliance Monitoring
System Elements (cont’d)





Definitions
Identification of the Universe
Classification of the Universe
Inspection of Facilities
Data Collection and Data Verification
188
Instructions for
Small Group Breakouts






In your small group, discuss which of the 10 elements
you have been assigned. Your element is included in
your handout folder.
15 minutes to get into groups.
30 minutes to discuss/share ideas in group.
75 minutes to report back (each group has 7 minutes).
15 minutes to summarize.
See further instructions in your handout folder.
189
Building an Adequate System
of Compliance Monitoring
QUESTIONS?
19
0
The Valid Court Order
(VCO) Exception
Presented by
Susan Davis,
Compliance Monitor, Colorado
Elissa Rumsey,
Compliance Monitoring Coordinator, OJJDP
191
I. The JJDP Act on the VCO

Section 103(16) of the JJDP Act:
VCO means a court order given by a
juvenile court judge to a juvenile.
192
I. The JJDP Act on the VCO

Section 103(16)(A):
Juvenile must be brought before the court and made
subject to the VCO

Section 103(16)(B):
Juvenile must have received, before the issuance of
the VCO, the full due process rights guaranteed to
such juvenile by the Constitution of the United
States.
193
I. The JJDP Act on the VCO
Section 223(a)23
 Requires States to provide specific protections for
juveniles when taken into custody for violating a
Valid Court Order.
194
II. The VCO in Practice?
Where State law allows, States may exclude
as DSO violations those children securely
detained pursuant to the violation of a VCO.
195
II. The VCO in Practice:

A juvenile commits
a status offense.
196
II. The VCO in Practice


The Juvenile cannot be held
 In an adult jail or lockup for any length
of time.
 In juvenile detention past the standard
24 hours for status offenders.
The Juvenile must be brought before a
court of competent jurisdiction for the
issuance of a VCO.
197
II. The VCO in Practice
 A VCO is issued
 Must include a guarantee that the juvenile has
been advised of all due process rights.
198
II. The VCO in Practice

Due Process Rights include

Adequate notice of charges

Assistance of counsel

Privilege against self-incrimination

Privilege to confront and cross-examine witnesses
199
II. The VCO in Practice

The Juvenile violates the Valid
Court Order.
200
II. The VCO in Practice
When a VCO Is Violated:
 A juvenile who violates a VCO may be held in a juvenile facility
but must…
 Be interviewed by an appropriate public agency within 24
hours.
 Have a reasonable cause hearing within 48 hours of being
placed in detention.
 Have an assessment report presented to the court at this hearing
to determine placement pending the violation hearing.
201
III. What States Must Do to Use the
VCO Exception:



State must have State law allowing secure detention of kids who
violate VCOs.
The State must train court and facility staff to ensure that all
VCO standards are met (i.e., due process is afforded, interviews
occur within 24 hours, hearing within 48 hours).
State must review a minimum of 10 percent of all VCO cases to
ensure they meet VCO standards.
202
III. What States Must Do
to Use the VCO Exception:


State must project and report as DSO violations those cases
that do not meet VCO standards.
State must provide as part of its annual Compliance Monitoring
report a copy of the State legislation that allows the VCO
exception to be utilized.
203
Stay Tuned…
for the VCO skit at lunch!
Starring:
Bob Miller (Louisiana Compliance Monitor) as “Bobby”
Laura Whitlock (South Carolina JJ Specialist) as “Deputy Whitlock”
Rich Case (New Jersey Compliance Monitor) as “Court Staff”
Barb Murray (Alaska JJ Specialist) as “Bobby’s Mother”
And a host of other JJ Specialists and Compliance Monitors!
204
Questions?
Thank you!
205
Federal Wards/Immigrant Youth
Presented by
Laurie Elliot,
Compliance Monitor, Illinois
Larry Fiedler,
State Representative, OJJDP
Allison Ganter,
Compliance Monitor, California
20
6
Federal Wards
As defined by the Office of Juvenile Justice
and Delinquency Prevention, a federal ward is
a juvenile who is under the care and custody
of the federal government. Such juveniles
would include undocumented immigrant youth
and those youth in the custody of the Bureau
of Indian Affairs.
20
7
The JJDP Act on
Federal Wards/Alien Youth
Section 223(a)(11)(B)(ii)
“Juveniles. . . who are aliens shall not be placed in secure
detention facilities or secure correctional facilities.”
Undocumented alien youth securely detained in juvenile
facilities may violate the DSO Core Requirement.
208
The JJDP Act on
Federal Wards/Alien Youth


OJJDP Policy allows aliens to be securely held in juvenile
facilities for 24 hours for the following purposes:

Jurisdictional transfer

Appearance as a material witness

Return to lawful residence or country of citizenship
Does not include those undocumented immigrants who
are also delinquent.
209
Note!




States agree to participate in the JJDP Act and, as a
result, receive federal Formula Grant funds.
States must convince public and private facilities that
undocumented immigrant youth held securely violate
the JJDP Act.
OJJDP is working with other federal agencies to
increase cooperation and adherence to JJDP Act
requirements.
Bottom line is that, because the State is accepting these
funds, it is up to the State to achieve compliance.
210
That said, where the presence of
federal wards exceeds 29.4…

Federal Wards held under Federal statutory authority in a
secure State or local detention facility may be considered
an “exceptional circumstance” if excluding them from final
DSO calculations brings the State’s DSO rate below
29.4/100,000.
211
Federal Wards─The Indiana
Experience




Indiana has one of two secure facilities in the
nation that contracts to hold federal wards.
Average federal ward population is 30–35 a day.
Average length of stay is roughly 45 days.
Outcome for youth: 60 percent to 70 percent
deported.
212
Federal Wards─The Indiana
Experience (cont’d)
Initiation of the Compliance Monitoring Function

 Facility identification: discovery of the federal ward issue
occurred only with the last 18 months after an onsite visit.
 Data collection and verification:
 Previous data collection method insufficient to identify
this issue.
 Indiana has initiated a Web-based reporting system
that will easily identify federal wards.

Site visit and data verification will occur at this facility annually.
213
Federal Wards─The Indiana
Experience (cont’d)

Maintaining compliance with the DSO mandate:
 Given the number of federal wards held securely in
Indiana, the State will not be able to maintain compliance
with the DSO mandate without the backing out of the
federal wards, as allowed by the Juvenile Justice and
Delinquency Prevention Act.
214
Federal Wards─The Indiana
Experience (cont’d)
 General strategies used in Indiana to encourage compliance with
the JJDP Act Core Requirements:
 Provision of training and technical assistance
 Withholding or restricting funding to counties that house
noncompliant facilities or counties that use noncompliant
facilities.
 Primary barrier for change of practice with regard to
federal ward issue:
 This is a private facility with a great financial interest in
maintaining this federal ward program.
215
Federal Wards –
The California Experience

We survey the field annually.

In 2005, San Diego and Imperial County contracted with

Border Patrol.

Immigration and Customs Enforcement.

U.S. Marshals.
216
In California (cont’d)
In 2005, there were 332 federal wards
held, with 133 for more than 24 hours.
217
In California (cont’d)

We verify each violation.





Many times, a juvenile also has a delinquent charge and will be
deported within 24 hours after the commitment has been
completed.
Facility personnel are not always aware of this exception.
We are looking for straight federal holds for illegal entry.
Compliance Monitor makes phone call upon submission
of report.
Compliance Monitor reviews and verifies data during
onsite inspection.
218
California DSO
Rates for 2005


2.88
 De minimis compliance.
 133 of our 219 violations were federal wards
held over 24 hours (61 percent).
This is an area of ongoing technical assistance
and improvement.
219
Rural Exception
Thomas Murphy,
State Representative, OJJDP
Elissa Rumsey,
Compliance Monitoring Coordinator, OJJDP
22
0
What Is The Rural Exception?

The JJDP Act allows States to implement a
statutory rural exception, allowing the temporary
detention beyond the 6-hour time limit of juveniles
accused of delinquent offenses who are awaiting
an initial court appearance within 48 hours
(excluding weekends and holidays).
221
What Is the Rural Exception?




OJJDP requires that States seek prior written approval
before implementing the Rural Exception.
If you cannot find such written documentation granting
approval from OJJDP in your files, you need to request
approval in writing.
Please submit this request along with your FY 2007
Formula Grants application.
This approval is not statewide; rather it applies to specific
facilities that meet Rural Exception criteria.
222
Note!



The Rural Exception does NOT apply to status offenders
or non-offenders.
There are specific conditions that must be met in order
for an accused juvenile criminal-type offender who is
awaiting an initial court appearance, to be detained in a
jail or lockup under the Rural Exception.
All of the following conditions must be met….
223
Rural Exception Conditions
1. The geographic area having jurisdiction over the
juvenile must be outside a metropolitan
statistical area (non-MSA) as defined by the
Office of Management and Budget.
224
Rural Exception Conditions
2. A determination must be made that there is no
existing acceptable alternative placement for the
juvenile pursuant to criteria developed by the
State and approved by OJJDP.
3. The jail or lockup must be certified by the State
to provide sight and sound separation.
225
Rural Exception Conditions
4. The State must have a policy that requires
individuals who work with both juveniles and
adults in collocated facilities to have been trained
and certified to work with juveniles.
226
Rural Exception (cont’d)



The State must provide documentation that the
conditions have been met.
The State must have received prior approval from
OJJDP to use it.
OJJDP strongly recommends youth admissions
screening and continuous visual supervision.
227
Rural Exception Rules

An accused juvenile criminal-type offender may be
detained for the following time periods: (all times exclude
weekends and holidays).


Up to 48 hours; or
If the facility is located where conditions of distance to be
traveled or the lack of highway, road or other ground
transportation does not allow for court appearances within 48
hours so that a brief (not to exceed 48 hours) is excusable; or
228
Rural Exception Rules

If the facility is located where conditions adverse to
safety exist (e.g., severe, life threatening weather
conditions), the time for an appearance may be
delayed until 24 hours after the time that such
conditions allow for reasonably safe travel (no
weekend or holiday exception here).
229
Note!


Extended time periods do not apply after the initial
court appearance. The six-hour exception after a
court appearance applies.
In the CM report you must report on each use of
the exception over 48 hours, and provide
supporting documentation.
230
Court Holding Facilities
Presented by
Susan Davis,
Compliance Monitor, Colorado
Julie Herr,
State Representative, OJJDP
Andrew Polk,
Compliance Monitor, Massachusetts
23
1
What Is a Court Holding
Facility?




A secure facility other than a jail or lockup.
Used to temporarily detain persons immediately
before or after a court proceeding.
Does not detain individuals overnight.
Is not used for punitive purposes.
232
How Do You Monitor These
Facilities?


If the court holding facility meets the criteria, then
you monitor for sight and sound separation only.
If the court holding facility does not meet the
criteria, it is not “classified” as a court holding
facility, and is monitored as either a jail or
lockup—which means you monitor for all three
Core Requirements.
233
Monitoring (cont’d)

What types of juveniles can be held there,
provided it is a court holding facility?

Delinquents

Status offenders

Accused and adjudicated
234
Monitoring (cont’d)

What would be considered a violation?



If the facility is not sight and sound separated, it is not a court
holding facility, and is monitored as a jail or lockup.
If the juvenile is sentenced to the facility, or placed in the facility
for punitive purposes, then it is no longer a court holding facility,
and is monitored as a jail or lockup.
If the juvenile is held overnight, then it is no longer a court
holding facility, and is monitored as a jail or lockup.
235
Examples

Facilities in compliance are



Sight and sound separated, either environmentally—or
with extensive policies and procedures
Not staffed at night (unless court is held at night)
Do not allow judges to use the facility for punitive
purposes
236
Examples (cont’d)

Problems you may encounter:



Old buildings where separation is difficult
Judges who use the facilities because juvenile
detention are overcrowded
Facilities that are used for “overflow” when the jail gets
too crowded
237
Possible Solutions

For separation issues:

Time phasing with policies.

Hospital curtains.

One-way glass.

Separate court days for juveniles and adults.

Others?
238
Possible Solutions (cont’d)



Recommend that you ask for their ideas on
solutions before you impose your ideas.
Talk to chief, sheriff, judge to gain their approval.
Discuss methods that other facilities have used as
possible solutions for their situation.
239
Discussion

Massachusetts

Your State
240
Data Analysis, Data
Verification, and Reporting
Susan Davis
Compliance Monitor, Colorado
Elissa Rumsey
Compliance Monitoring Coordinator, OJJDP
24
1
Compliance Monitoring (CM) Data:
Ensuring Reliability and Validity
1.
Why collect data?
2.
What kinds of data should be collected?
3.
How should data be analyzed?
4.
How should data be verified?
5.
How should data be reported?
6.
How does OJJDP verify data?
24
2
1. Why Collect CM Data?


Data collection and reporting are required to
determine if facilities are in compliance with DSO,
Jail Removal, and Separation.
As part of the CM system, each State must report
on the barriers it faces in implementing and
maintaining a monitoring system.
243
1. Why Collect CM Data (cont’d)?


Data can be a powerful tool to help you
understand problems in your CM system.
Data provide powerful evidence where
compliance problems exist and can be used to
demonstrate to State and local officials where
changes must be made.
244
2. What Kind of Data Should Be
Collected?



Self-reported facility admissions logs
Monthly, quarterly, semiannually, or annually
Admissions logs should include
 Name or case identifier
 Age
 Race
 Most serious offense
 Time in/time out
 Held securely or nonsecurely
 Held sight/sound separated
 Where/who released to
245
2. What Kind of Data Should Be
Collected?



If facilities refuse to self-report any data by fax, email,
or mail, the CM must attempt to collect data onsite.
Review can be done monthly, quarterly, or annually.
Review admissions logs for pertinent information.
246
2. What Kind of Data Should Be
Avoided?




Self-reported violations from facilities are inadequate.
Expecting State, local, and private facilities to understand the
distinctions between State and federal detention requirements and
to report accurately creates significant room for error.
Compliance Monitors should ask facilities to maintain juvenile
admissions logs and self-report them to the State; absent that, the
State must collect admissions logs onsite.
If the facility self-reports admissions logs, the CM must review
them for violations and then follow up with the facility by phone
and, ultimately, onsite.
247
Note!



The DSA must verify compliance data provided by
another agency.
If you have a memorandum of understanding with
another State agency (e.g., Adult DOC), whereby it
provides relevant data it has already collected, then you
are still responsible to verify, onsite, whatever data it
provides to you.
If you are paying for that agency to monitor specifically
for JJDP Act Core Requirements, then this does not
apply.
248
3. How Should Data Be Analyzed?



Admissions logs should be reviewed for accuracy and
completeness.
Suspect entries and entries that appear to include
violations of the Core Requirements should be promptly
followed up.
Data must be analyzed and verified onsite before
submitting final annual report to OJJDP.
249
4. How Should Data Be Verified?


Data can first be verified over the phone.
Data must ultimately be verified onsite. If facilities submit
self-report admissions logs, ask to see the actual
admissions logs onsite to verify that they match.
250
5. How Should Data Be
Reported to OJJDP?

Verified data must be reported to OJJDP on an annual
basis.

Calendar-year monitoring period is strongly encouraged.

12 months of data ideal; minimum of six months required.

Data should be reported via the Excel spreadsheet,
recently updated and available at
www.ojjdp.ncjrs.org/compliance/.
251
5. How Should Data Be Reported
to OJJDP (cont’d)?



The data sets that you need to collect are in the OJJDP
Guidance Manual.
Make sure you understand the data sets before you start
collecting data so you do not need to go back and collect
additional data.
Compliance de minimis standards were reviewed
yesterday and are in the OJJDP Guidance Manual.
252
6. How Does OJJDP Verify State
Compliance Data?


Annual review of State’s Compliance Monitoring
Report to determine eligibility for Formula Grant
Award
Onsite audit—at least once every five years
253
Reminder: Data Tied to
Formula Grant Funding



The annual Compliance Monitoring Report shows
compliance with DSO, Jail Removal and Separation.
If in compliance with all three, 60 percent of Formula
Grant funds are awarded.
If out of compliance with one Core Requirement, 20
percent of funding lost and 50 percent of remaining funds
must be spent on that Core Requirement.
254
And Finally…




Data collection is critical
If OJJDP determines that a State is out of compliance
with Section 223(a)(14) then Formula Grants funds can
be frozen or not awarded.
If you have a reluctant facility, stress
Accountability
Risk of civil litigation
Fact that the requirements are now standards of
professional conduct.
Build relationships! Work as a team towards compliance.
255
Compliance Monitoring Data:
Ensuring Reliability and Validity
1.
Review of OJJDP Compliance Monitoring
Report/Technical Assistance Tool
2.
Form recently updated
3.
Minor changes you should be aware of
4.
Troubleshooting common errors
25
6
San Diego
Onsite Facility Inspections
Presented by
Allison Ganter, California
Elissa Rumsey, OJJDP
25
7
Six Facilities
1.
Kearny Mesa Juvenile
Hall
4.
San Diego City Police
Department, Mid-City Station
2.
Coronado Police
Department
5.
San Diego County Sheriff’s
Department
3.
National City Police
Department
5a. Imperial Beach
Substation
5b. Lemon Grove
Substation
258
Kearny Mesa Juvenile Hall

OJJDP Definition
Secure Juvenile Detention Center:
A secure juvenile detention center is any secure
public or private facility used for the lawful custody
of accused or adjudicated juvenile offenders.
259
Kearny Mesa Juvenile Hall
Classification per Federal Definitions




Secure
Juvenile only
Residential
Public
260
Kearny Mesa Juvenile Hall
2005 Data

Rated capacity = 359.

Total number of beds = 517.



Facility reported 132 status offenders securely detained
in violation of DSO.
Status offenders are held in intake. They are not housed
with other juveniles in housing units.
Facility reported 43 federal wards held in violation of
DSO.
261
Onsite Inspection: 1/25/07
Kearny Mesa Juvenile Hall




Self-reported data review
Facility tour
Applicable Core Requirements

DSO

Separation
Verification of data
262
Coronado Police Department

OJJDP Definition
Lockup:
A lockup is similar to an adult jail except that
an adult lockup is generally a municipal or
police facility of a temporary nature that does
not hold persons after they have been formally
charged.
263
Coronado Police Department
Classification per Federal Definitions




Secure
Adult and Juvenile
Nonresidential
Public
264
Coronado Police Department
2005 Data


Four cells: each with varying capacities based on size.
Facility reported five juvenile delinquents held in secure
detention in 2005.



None over six hours.
All sight and sound separated from adults
17 juvenile delinquents held in nonsecure detention.
265
Onsite Inspection: 1/25/07
Coronado Police Department




Self-reported data review
Facility tour
Applicable Core Requirements

DSO

Separation

Jail Removal
Verification of data
266
National City Police Department

OJJDP Definition
Lockup:
A lockup is similar to an adult jail except that an
adult lockup is generally a municipal or police
facility of a temporary nature that does not hold
persons after they have been formally charged.
267
National City Police Department
Classification per Federal Definitions




Secure
Adult and juvenile
Nonresidential
Public
268
National City Police Department
2005 Data

12 cells: each of varying rated capacities based on size.


Facility reported four juvenile delinquents held in secure
detention in 2005.


One is a “juvenile holding cell.”
None over six hours.
Facility reported 153 juvenile delinquents in nonsecure
detention.
269
Onsite Inspection: 1/25/07
National City Police Department




Self-reported data review
Facility tour
Applicable Core Requirements

DSO

Separation

Jail Removal
Verification of data
270
San Diego City Police Department
Mid-City Station

OJJDP Definition
Lockup:
A lockup is similar to an adult jail except that an
adult lockup is generally a municipal or police
facility of a temporary nature that does not hold
persons after they have been formally charged.
271
San Diego City Police Department
Mid-City Station
Classification per Federal Definitions




Secure
Adult and juvenile
Nonresidential
Public
272
San Diego City Police Department
Mid-City Station

Two holding cells that are not locked.


Hardware has been removed.
Facility provided certification that they are nonsecure
and do not hold juveniles securely.
273
Onsite Inspection: 1/25/07
San Diego Police Department Mid-City Station




Self-reported data review
Facility tour
Applicable Core Requirements

DSO

Separation

Jail Removal
Verification of data
274
San Diego County Sheriff’s
Department:
Lemon Grove Substation

OJJDP Definition
Lockup:
A lockup is similar to an adult jail except that an
adult lockup is generally a municipal or police
facility of a temporary nature that does not hold
persons after they have been formally charged.
275
San Diego County Sheriff’s
Department:
Lemon Grove Substation
Classification per Federal
Definitions




Secure
Adult and Juvenile
Nonresidential
Public
276
San Diego County Sheriff’s
Department:
Lemon Grove Substation
2005 Data


Three holding cells: each with a rated capacity of three.
Facility reported four juvenile delinquents held in secure
detention in 2005.


Two over six hours
Facility reported 251 juvenile delinquents.
277
Onsite Inspection: 1/25/07
San Diego County Sheriff’s Department:
Lemon Grove Substation




Self-reported data review
Facility tour
Applicable Core Requirements

DSO

Separation

Jail Removal
Verification of data
278
San Diego County Sheriff’s
Department:
Imperial Beach Substation

OJJDP Definition
Lockup:
A lockup is similar to an adult jail except that an
adult lockup is generally a municipal or police
facility of a temporary nature that does not hold
persons after they have been formally charged.
279
San Diego County Sheriff’s
Department:
Imperial Beach Substation
Classification per Federal Definitions




Secure
Adult and juvenile
Nonresidential
Public
280
San Diego County
Sheriff’s Department:
Imperial Beach Substation
2005 Data



Two holding cells.
Facility reported five juvenile delinquents held in
secure detention in 2005.
 None over six hours.
Facility reported 127 juvenile delinquents held in
nonsecure detention.
281
Onsite Inspection: 1/25/07
San Diego County Sheriff’s Department:
Imperial Beach Substation




Self-reported data review
Facility tour
Applicable Core Requirements

DSO

Separation

Jail Removal
Verification of data
282
OJJDP Audits of State
Compliance Monitoring
Systems
Presented by
Julie Herr, State Representative, OJJDP
Ron Smith, Compliance Monitor, Illinois
28
3
Session Overview




What is a compliance audit, and why do we do
them?
The audit process: planning, execution, and
follow-up.
Common audit findings.
Illinois: A review of one State’s audit experience.
284
Pursuant to Section 223(a)(14) of the
JJDP Act of 2002, States shall:
“Provide for an adequate system of monitoring jails,
detention facilities, correctional facilities, and nonsecure
facilities to ensure that the requirements of paragraph (11),
paragraph (12), and paragraph (13) are met, and for annual
reporting of the results of such monitoring to the [OJJDP]
Administrator….”
285
Pursuant to Section 204(b)(6) of the
JJDP Act of 2002, OJJDP shall:
“Provide for the auditing of monitoring systems required
under… this title to review the adequacy of such systems….”
286
What Is a Compliance Audit?




An in-depth review and evaluation of a State’s system for
monitoring and reporting on its compliance with the Core
Requirements.
Audits occur a minimum of once every five years.
OJJDP will determine whether a State’s system is “adequate” or
“not adequate.” Additional findings and recommendations will
also be provided.
The result of a “not adequate” finding is that access to Formula
Grants funds will be frozen. Future eligibility as a “Participating”
State with the Formula Grants program is also jeopardized.
287
Pre-Audit Planning



State Rep provides informal notification that an audit is
due for the coming year.
Specialist, Compliance Monitor and State Rep work
together to select mutually convenient dates.
Specialist, Compliance Monitor and State Rep work
together to identify an appropriate sample of facilities to
be visited.
288
Pre-Audit Planning (cont’d)
An appropriate sample of facilities will include the following:

One juvenile detention facility

One juvenile corrections facility/training school

One adult jail

One adult lockup

One court holding facility

One nonsecure group home
Facilities should ideally represent a mix of urban, rural, and suburban
communities and include geographic areas beyond the capital region.
289
Pre-Audit Planning (cont’d)


Compliance Monitor contacts facilities to arrange a date
and time for each audit visit, emphasizing that it is the
State—not the facilities themselves—that is being
audited.
State develops a tentative agenda.
290
Pre-Audit Planning (cont’d)


The State ensures that each of the selected
facilities will have original data available onsite.
The State agency has all required data available
for review and ready to carry into the field.
291
Pre-Audit Planning (cont’d)




30 days out, an official notification letter is mailed with information
on required pre-audit materials.
14 days in advance, pre-audit materials are provided to OJJDP.
State Rep reviews pre-audit materials as well as the Compliance
Monitoring section of the State’s Three-Year Plan.
State Rep attempts to answer questions from Appendix 3 of the
Audit Guideline Manual. A list of areas requiring additional
clarification is compiled.
292
Audit Execution
1) Entrance interview.
2) Discussion of the State system. Clarification of any
issues that arose in the State Rep’s review of preaudit materials. Key issues include
 Policies and Procedures

Definitions

Monitoring authority

Identification

Monitoring timetable

Classification

Violation procedures

Inspection

Barriers and Strategies

Data collection/verification
293
Audit Execution (cont’d)
3) Facility visits.



Introduction.
Tour of facility and verification that physical plant,
policies, procedures are sufficient to facilitate
compliance with Core Requirements.
Verification of data.
4) Exit interview.
294
Audit Follow-Up

OJJDP completes official findings letter and audit
report, with both findings and recommendations.



Findings can be positive or negative.
Findings  must be addressed or the State risks
having its Formula Grants funds frozen.
Recommendation  OJJDP strongly recommends
that the State take action, such that the issue does
not at a later date rise to the level of a “finding.”
295
Audit Follow-Up (cont’d)


State prepares official response to report and
findings letter, delineating how it will address audit
findings and recommendations.
OJJDP provides a “response to the response,”
designating audit as officially closed or indicating
the need for further action.
296
Common Audit Findings



The State is not performing onsite data verification prior
to submission of Compliance Monitoring reports to
OJJDP.
The State has classified a facility, (e.g. a Lockup) as
nonsecure yet during the OJJDP Audit the onsite
inspection reveals a cuffing bench or cuffing rail.
The State is not inspecting facilities believed to be
nonsecure (e.g., lockups, group homes) to verify
nonsecure status.
297
Common Audit Findings (cont’d)



The State is not inspecting secure facilities at a rate of
100 percent every three years.
The State is not monitoring its juvenile correctional
facilities/training schools to ensure compliance with DSO
and sight and sound separation requirements.
Facilities are self-reporting violations and the DSA is not
adequately verifying such self-reports for accuracy (e.g.
comparing self-reported violations against
admissions/booking logs).
298
Common Audit Findings (cont’d)


The State does not provide adequate documentation that
VCO process requirements have been met.
The State has not included law enforcement facilities that
exist in airports, shopping malls, and sports stadiums in
its monitoring universe.
299
Thank You to
OJJDP for Sharing this.
(
Global Youth Justice
www.GlobalYouthJustice.org
“Making the Time for Juvenile Crime”
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