1. 1 Administrative Review Process Training for Prevention Providers July 13, 2010 Presented by Holly Queen, OMCII Administrative Review Specialist

2. 2 Objectives TO PROVIDE A CLEAR AND CONCISE UNDERSTANDING OF ALL ASPECTS OF THE ADMINISTRATIVE REVIEW PROCESS.  Define the purpose of the CCC  Define the flow of incidents in the CCC system  Define the types of reviews  Define the Administrative Review Unit  Define the Administrative Review process

3. 3 Purpose of the CCC Provide a service to DJJ, providers and grant facilities; staff to report incidents in a timely fashion. Keep the Executive Leadership Team informed. Disseminate information to Management staff for prompt and appropriate responses to incidents. Assist the Communications Office and Management in providing accurate information to the media and in explaining what actions are being taken to address the issue. Assign incidents to appropriate parties for possible investigation or review. Maintain a database of all outcomes of incidents. Sole resource for the Department for reporting and tracking of incident related data.

4. 4 The Flow of Incidents in the CCC System Program contacts the CCC by telephone to report a reportable incident (as defined by FDJJ Policy 8000). Note an Administrative Rule is being written to replace this policy. The CCC operator documents the details of the incident, assigns a case number, and sends an email to the appropriate branch. All accepted incidents require a 10 AM Update in the CCC system by 10 a.m. The purpose of the update is to provide any new information or to clarify details provided in the initial report. All providers except for prevention providers have the ability to complete their own 10 AM Updates in the CCC system. The CCC system automatically closes the 10 AM Update process at 10 a.m.

5. 5 The Flow of Incidents in the CCC System After the 10 AM Update has been completed, the incident is reviewed by an Administrative Review Liaison and the OIG. Each branch has an Administrative Review Liaison who reviews all incidents assigned to their respective branch and determines how the incident should be assigned. Incidents can be closed by the liaison or assigned for Special Instructions, 10-Day Initial Assessment, Program Review, Administrative Review, or an I.G. Investigation. Each day, a Daily CCC Report is generated by the CCC and disseminated to the Executive Leadership Team. This report details each incident reported in the preceding twenty-four hours and documents how the incident was processed.

6. 6 Types of Reviews 10 Day Initial Assessment:  Incidents that can be responded to in a short period of time without an in depth investigation. Time Frame:  10 Days. Must be re-assigned if it cannot be completed in 10 days. Examples:  Youth injury, Youth on Youth Battery

7. 7 Types of Reviews Program Review:  Incidents that can be completed within 40 days at the facility or program level. For Prevention, this is handled by a Headquarter’s employee. For all other branches, the programs complete this review in the CCC system. Time Frame:  40 days. Examples:  Improper Supervision, Unnecessary Force, Battery on Staff

8. 8 Types of Reviews Administrative Review:  Reserved for the more serious incidents that require an in depth review and a longer period of time to complete. Time Frame:  45 Days. Examples:  Falsification, Sexual Relations between staff and youth, Severe Abuse Allegations, Medication Errors, Medical Neglect

9. 9 Types of Reviews IG Investigation:  Reserved for the most serious incidents that require an in depth investigation and a longer period of time to complete. These cases are typically mandated by law for assignment to the Inspector General’s office. Examples:  Law Violations, Death of Youth or Staff at the facility

10. 10 Administrative Review Unit In September 2009, the Department established the statewide Administrative Review Unit (ARU) within the Office of Program Accountability in order to provide consistent, uniform, and expeditious reviews of incidents that are reported to the CCC and subsequently assigned for an Administrative Review by each respective branch. The Unit is comprised of a Manager, Assistant Manager, and 14 Administrative Review Specialists (ARS), each of which are required to be certified by the Office of the Inspector General (OIG) to conduct Administrative Reviews.

11. 11 Administrative Review Unit The Manager Fred Rhoden and the Assistant Manager Ken Houk are located in Lakeland They supervise 14 ARS staff including:  Six in the North Region  Three in the Central Region  Three in the South Region There are two current vacancies within the ARU.

12. 12 Administrative Review Unit The ARU reviews incidents that involve youth, state and/or contracted employees, and/or facilities, programs, or offices that are owned, operated, or contracted by the Department. Incidents referred for an Administrative Review are not strictly programmatic issues. Incidents assigned as and AR do not meet the criteria for investigation as outlined by the OIG. The unit does not reach findings involving youth behavior, but rather focuses on the staff persons’ actions at the time incident.

13. 13 Administrative Review Unit Number of Administrative Reviews from 8/1/09 – 6/14/10.  Residential: 335  Detention: 57  Probation: 157  Prevention: 24  TOTAL : 573

14. 14 Administrative Review Unit Of the 24 assigned Prevention cases, 9 were in the North Region, 6 were in the Central Region, and 9 were in the South Region. 14% were closed with Substantiated Findings 54% were closed with an other Finding (Unsubstantiated, Inconclusive, Other, or Information Only). 31% have pending Findings. These 24 cases were at 16 different programs.

15. 15 Administrative Review Process The case is assigned by the Administrative Review Liaison to the Manager of the Unit. The Task and Response section of the report typically includes specific instructions from the liaison to the specialist. The Manager assigns the case to an ARS based on location, case load, and experience. The ARS will contact the program, request documentation, and set up a site visit.

16. 16 Administrative Review Process Program Management should provide the requested documents prior to the the site visit to allow time for the ARS to review the documents. This will decrease the time the ARS has to spend on-site. The ARS will use these documents to draft interview questions and in determining if other documentation is needed to review.

17. 17 Administrative Review Process During the Site Visit, the ARS will:  Tour the incident location  Review the video surveillance  Conduct face-to-face interviews with all subjects and all witnesses.  Review any/all other relevant information and documents.

18. 18 Administrative Review Process The types of documents requested will be different for each case. However, the following documents are almost always requested:  Internal Incident Report  Internal Investigation  Staff and Youth Witness Statements  Copies of Logbooks  Copy of the Video Surveillance  Staff Training Records  Applicable Policies and Procedures/Contract excerpts  Corrective Action

19. 19 Administrative Review Process Other documents may be requested depending on the allegation to include:  Law Enforcement Reports  Court Orders  Medical Records  Progress Notes  Diagram of the Facility  Room Check Forms  Personnel Files  Youth Files  Relevant Photographs

20. 20 Administrative Review Process Sometimes during the review process, additional incidents/allegations are discovered or reported to the ARS.  The ARS is required to report these new reportable allegations to the CCC and/or Abuse Registry.

21. 21 Administrative Review Process TYPES OF FINDINGS For the Involved Staff:  SUBSTANTIATED: Facts prove allegation  UNSUBSTANTIATED: Facts disprove allegation  INCONCLUSIVE: Facts do not prove or disprove allegation For the Involved Youth:  Information Only  Information Only/Arrest

22. 22 Administrative Review Process Corrective Action  The ARS is not involved in the corrective action process.  The ARS will report on any corrective action taken.  The ARS will attach documentation supporting corrective action to the report. The HQ Prevention staff review each case and the corrective action taken. They have the responsibility for ensuring appropriate corrective action is taken.

23. 23 How to Avoid a Review Calling the CCC  Make sure all reportable incidents are called in to the CCC within the 2-hour time frame.  Ensure the caller provides all relevant details to the CCC operator.  Have the CCC operator read the report back to the caller to ensure accuracy.  Have the caller ask request the specific classification assigned in the case and the subjects for each classification.

24. 24 How to Avoid a Review 10 AM Update  Provide all relevant details or updates to Latrice by 9:30 a.m. Updates can also be called in directly to the CCC.  Don’t just restate the prior facts, build on them.  Anticipate any questions and answer them.  Think about the classifications assigned. What information would someone still want to know after reading the initial report?  Were policies and procedures followed?

25. 25 How to Avoid a Review 10 AM Update  If a medical issue, did the youth return to the program and if so at what time, were there any restrictions, what was the diagnosis, is any follow-up needed?  If contraband is recovered, was law enforcement contacted, what are the search requirements and would the contraband have been discovered during the search?  If a runaway, was the youth court ordered to staff-secure placement, was supervision appropriate, were staff-to- youth contract ratios met?

26. 26 SUMMARY You have learned the purpose of the CCC system, how incidents flow through the CCC system, the types of reviews, the function of the Administrative Review Unit, and the Administrative Review Process. This knowledge will help you have a smooth and quick review process. Questions/Comments

27. 27 Where to Get More Information The OIG regularly presents a Program Review Course. This course goes in depth as to how program reviews are completed. Since Prevention providers do not conduct their own program reviews, this training will offer the attendee valuable information on how to conduct thorough internal investigations including interview techniques and evidence review. The next course is tentatively scheduled for sometime in August in the North Region.