Report 2010-118 All Recommendation Responses
Report 2010-118: California Prison Industry Authority: It Can More Effectively Meet Its Goals of Maximizing Inmate Employment, Reducing Recidivism, and Remaining Self-Sufficient (Release Date: May 2011)
Recommendation #1 To: Prison Industry Authority
To ensure that it has a uniform set of inmate assignment standards, CALPIA should continue its efforts to issue regulations and complete the amendment of Corrections' operations manual. It should then work with Corrections to implement the changes to the inmate assignment criteria and the assignment process when the regulations take effect.
Annual Follow-Up Agency Response From October 2013
In April 2013, the CALPIA Inmate work/Training and Education Regulations submitted to OAL were approved and can be referenced in 15 CCR 8004, 8006, 8007, and 8008. The Department of Corrections and Rehabilitation has implemented the policy and it is contained in their operating manual section 51121.1.
- Completion Date: April 2013
California State Auditor's Assessment of Annual Follow-Up Status: Fully Implemented
Annual Follow-Up Agency Response From September 2012
CALPIA filed Inmate work/Training and Education Regulations with OAL for final review on September 14, 2012. Once approved, CALPIA will work with the Department of Corrections and Rehabilitation to implement the new policy.
- Estimated Completion Date: January 2013
California State Auditor's Assessment of Annual Follow-Up Status: Not Fully Implemented
Recommendation #2 To: Prison Industry Authority
CALPIA should maintain the source documentation used in calculating the savings it brings to the State as well as ensure that an adequate secondary review of its calculation occurs.
Annual Follow-Up Agency Response From October 2013
CALPIA has an ISO approved work instruction used in calculating the savings it brings to the State of California. The document received an interagency review before it was finalized and is now referenced in our Quality Management System as document EXE-W001. Pursuant to ISO procedures, the calculation contained in this document is checked by CALPIA's external auditor.
- Completion Date: October 2013
California State Auditor's Assessment of Annual Follow-Up Status: Fully Implemented
Annual Follow-Up Agency Response From September 2012
CALPIA is maintaining all source documentation in hard copy in a reference binder. In addition, CALPIA has nearly completed an updated calculation methodology with a detailed International Organization for Standards (ISO) 9001:2008 format work instruction. The work instruction will go through an interagency review before it is finalized. The calculation will be checked annually by CALPIA's external auditor.
- Estimated Completion Date: November 2012
California State Auditor's Assessment of Annual Follow-Up Status: Not Fully Implemented
Recommendation #3 To: Prison Industry Authority
It should also qualify its savings by stating that employment at CALPIA enterprises may be just one of several factors that contribute to the lower recidivism of its inmates.
Annual Follow-Up Agency Response From October 2013
On page 5 of its Fiscal Year 2011-12 Report to the Legislature published on February 1, 2013, under the heading, CALPIA Reduces Recidivism, Saves Money, and Increases Public and Prison Safety, CALPIA wrote, "Although there may be other relevant factors that contribute to lowering recidivism, CALPIA participants are significantly more likely to become productive citizens ..."
- Completion Date: February 2013
California State Auditor's Assessment of Annual Follow-Up Status: Fully Implemented
Annual Follow-Up Agency Response From September 2012
CALPIA's annual savings calculation is made in its Annual Report to the Legislation in February. CALPIA will acknowledge that other factors may have impacted the recidivism rates used in the savings calculation, although no other factors have been found.
- Estimated Completion Date: February 2013
California State Auditor's Assessment of Annual Follow-Up Status: Not Fully Implemented
Recommendation #4 To: Corrections and Rehabilitation, Department of
To improve the reliability of employment data contained in CalParole, Corrections should ensure that parole agents correctly follow procedures related to populating the data fields of and maintaining CalParole.
Annual Follow-Up Agency Response From October 2013
On October 10, 2013, DAPO issued Policy 13-11, The Division of Adult Parole Operations Parole Data Nexus Policy (Attachment 3). The policy provides staff with procedures for use of the Parole Data Nexus (PDN), including the PPI, which is the data analysis component of the PDN. The policy directs DAPO Parole Supervisors and Managers to utilize the PPI data analysis tools to identify data trends and identify any discrepancies found in the CalParole data. Discrepancies in the CalParole data will be directly addressed with the staff responsible.
- Completion Date: October 2013
California State Auditor's Assessment of Annual Follow-Up Status: Fully Implemented
Annual Follow-Up Agency Response From November 2012
Please see Attachment #1, for the specific text pertaining to employment data within the policy memoranda entitled, “Timely and Accurate Updating of Cal Parole” (CalParole) and “Division of Adult Parole Operations Parole Performance Index” (PPI).
Policy 12-XX, Timely and Accurate Updating of CalParole
Current status: Pending clarification to one non employment related component and will be submitted for final review as soon as possible. Upon DAPO Director (A) signature, a “Notice of Intent to Implement” package will be submitted to the Office of Labor Relations, initiating the 30-day notice period for labor union review and comment. Once the 30 day period and any subsequent negotiations have been completed, this policy will be issued along with the related PPI policy shown below.
Policy 12-XX, Division of Adult Parole Operations Parole Performance Index
Current status: Pending final review and DAPO Director (A) signature. Once it has been signed this policy will be ready to issue with the CalParole policy.
These two policies are related and will be released together on or before December 31, 2012.
- Estimated Completion Date: December 2012
California State Auditor's Assessment of Annual Follow-Up Status: Not Fully Implemented
Recommendation #5 To: Corrections and Rehabilitation, Department of
Supervisors of parole agents should conduct periodic reviews of parolee files to verify whether employment fields are completed appropriately and whether employment is documented adequately.
Annual Follow-Up Agency Response From October 2013
On October 10, 2013, DAPO also issued Policy 13-12, Updating and Maintenance of Parolee Information in the CalParole Database (Attachment 4). The policy directs staff to ensure the accuracy of data entered into CalParole and places the responsibility for monitoring the integrity of the data on the Unit Supervisors through use of the PDN/PPI data analysis tools. The policy further details the procedures relative to data entry requirements for the employment fields to ensure appropriate data is captured. Emphasis again is placed on ensuring accuracy of the data in the CalParole database.
- Completion Date: October 2013
California State Auditor's Assessment of Annual Follow-Up Status: Fully Implemented
Annual Follow-Up Agency Response From November 2012
The two policy memoranda provided as the response to Recommendation #1 also apply to #2. The implementation status is shown below, duplicated from Recommendation #1.
Please see Attachment #1, for the specific text pertaining to employment data within the policy memoranda entitled, “Timely and Accurate Updating of Cal Parole” (CalParole) and “Division of Adult Parole Operations Parole Performance Index” (PPI).
Policy 12-XX, Timely and Accurate Updating of CalParole
Current status: Pending clarification to one non employment related component and will be submitted for final review as soon as possible. Upon DAPO Director (A) signature, a “Notice of Intent to Implement” package will be submitted to the Office of Labor Relations, initiating the 30-day notice period for labor union review and comment. Once the 30 day period and any subsequent negotiations have been completed, this policy will be issued along with the related PPI policy shown below.
Policy 12-XX, Division of Adult Parole Operations Parole Performance Index
Current status: Pending final review and DAPO Director (A) signature. Once it has been signed this policy will be ready to issue with the CalParole policy.
These two policies are related and will be released together on or before December 31, 2012.
- Estimated Completion Date: December 2012
California State Auditor's Assessment of Annual Follow-Up Status: Not Fully Implemented
Recommendation #6 To: Corrections and Rehabilitation, Department of
As Corrections prepares to move CalParole data into the Strategic Offender Management System (SOMS), it should modify existing employment-related fields and add to SOMS new fields that are currently not available in CalParole so that Corrections can minimize the opportunity for erroneous data entries and make employment data more reliable.
Annual Follow-Up Agency Response From October 2016
As of December 31, 2015, all of the CalParole data and functionality was successfully transferred to the SOMS Parole Module, and is now fully operational as the official 'System of Record' for parolee information, history, and data source for automated and manual queries used to complete CDCR statistical reports, trends, and projections.
(See provided proof of practice: Directives No. 15-10, No. 15-12, and Policy No. 15-22.)
- Completion Date: December 2015
California State Auditor's Assessment of Annual Follow-Up Status: Fully Implemented
Annual Follow-Up Agency Response From September 2015
In order to comply with a Federal court order, CDCR requested the SOMS team complete an emergency configuration for Secured Housing Unit (SHU) functionality in SOMS. After the emergency configuration was completed, the SOMS team resumed necessary activities to support deployment of the SOMS CalParole Replacement Parole Module under a revised schedule. The revised 'go live' date for deployment is now 12/07/2015.
SOMS Training for subject matter experts (T4T) began on 08/17/2015 and concluded on 09/04/2015. Statewide training for all DAPO staff is currently underway and will be completed on 11/25/2015.
Effective 12/07/2015, SOMS will be in full control of all parolee information and will have acquired all existing systems interface from CalParole. At that time, SOMS will officially become the 'System of Record' and CalParole will be taken offline.
(See proof of practice document: Master CalParole Retirement SOMS End User Training Plan)
- Estimated Completion Date: December 31, 2015
California State Auditor's Assessment of Annual Follow-Up Status: Not Fully Implemented
Annual Follow-Up Agency Response From October 2014
Contracted software developers have completed the design modifications and enhancements to the SOMS Parole Module including the component for parolee employment-related data. The SOMS Parole Module is currently undergoing validation and testing with full deployment scheduled for January 2015, at which time the CalParole database will be retired.
A series of tests utilizing scripted cases with defect assessments to identify any system design defects is being conducted. Subsequent changes will be programmed into SOMS, followed by a second series of system tests. User testing and testing with interface partners (e.g. local law enforcement) is scheduled in October 2014, with all final modifications concluding by November 17, 2014.
Notable efforts have and continue to be made in the clean-up of data within CalParole to ensure the integrity of data conversion from CalParole to SOMS. The CalParole automation team is working closely in concert with SOMS staff on the data verification and validation efforts. As the data is converted from CalParole, a comparative analysis is conducted utilizing comparison points on the data in both the SOMS and CalParole systems.
Full deployment of SOMS, Parole Phase I (CalParole replacement), is on schedule for the "Go Live" date of January 12, 2015.
- Estimated Completion Date: January 12, 2015
California State Auditor's Assessment of Annual Follow-Up Status: Not Fully Implemented
Annual Follow-Up Agency Response From October 2013
In September 2013, OBIS was officially retired subsequent to the SOMS deployment.
An extensive training effort for all DAPO peace officer staff was initiated in May 2013, and completed in June 2013; and intensive sentence calculation training for all Case Records staff was completed in July 2013.
The SOMS external movements provisioning was deployed to all assigned support staff, Parole Agent (PA) II (Supervisors), PA IIIs, and Parole Administrators; therefore, DAPO staff now utilize SOMS for all data entries related to external movements, and re-calculation of sentence data for dead time loss and revocation.
The SOMS project is currently in the conceptual design phase, identifying whether the key data elements are contained in SOMS for initiating the process of terminating the CalParole database system, and migrating all of the data and functionality from CalParole into SOMS. Contracts have been negotiated and are in place for the SOMS integrator to complete the necessary modifications to SOMS, to include the enhancements to the employment data fields, with the anticipation that all CalParole functions will be fully integrated and functional within SOMS by December 31, 2014.
- Estimated Completion Date: December 2014
California State Auditor's Assessment of Annual Follow-Up Status: Not Fully Implemented
Annual Follow-Up Agency Response From November 2012
The CalParole database was modified in May 2012, providing much more detailed employment data capture. (See Attachment 2) The specific employment data fields in the CalParole enhancements are described in the CalParole policy. (See Attachment 1).
The Offender Based Information System (OBIS) will be officially be retired within the next year, at which time DAPO staff will no longer be required to make dual entries into both the CalParole database and OBIS. In coordination with the timing of the OBIS retirement, DAPO staff will be trained on the SOMS external movement processes and will be granted limited user access. The SOMS training for all DAPO staff will commence statewide, no later than July 2013.
The SOMS project is exploring options to modify the system to enable data import directly from CalParole into SOMS. Necessary contract amendments are currently being negotiated with Hewlett Packard Corporation and, as a result, the SOMS project is unable to provide a determinate timeline for full deployment.
- Estimated Completion Date: June 2013
California State Auditor's Assessment of Annual Follow-Up Status: Not Fully Implemented
Recommendation #7 To: Prison Industry Authority
To allow it to measure progress in meeting the goals in its strategic plan, CALPIA should ensure that all of its performance indicators are clear, measurable, and consistently tracked. It should also continue its efforts to measure properly its performance and to track each performance indicator.
1-Year Agency Response
According to CALPIA, it formed a strategic business council of five CALPIA managers, who are each responsible for one of the five strategic plan goals. The strategic business council is to assess progress on the goals each month. Further, at least monthly, these five managers also meet with their staff to assess whether its strategic business plan’s underlying objectives and action steps are relevant to accomplishing the plan’s goals and that measures used to track progress are properly utilized. In addition, CALPIA indicates that its performance measurement matrix has been improved to capture results with performance indicators in a dashboard-style chart that uses color codes and is updated and reviewed monthly by management. Instructions have been developed to provide clear and standardized instructions for managers and staff when reporting and utilizing the improved performance measurement dashboard matrix. (See 2013-406, p. 221)
- Response Date: May 2012
California State Auditor's Assessment of 1-Year Status: Fully Implemented
Recommendation #8 To: Prison Industry Authority
Further, CALPIA needs to create a process that will allow its management to review the results of performance tracking and ensure that the results can be re-created at least annually.
1-Year Agency Response
CALPIA indicates the strategic business council reviews the performance measurement dashboard on a monthly basis. Further, to ensure that its results can be recreated at least annually, CALPIA states that it retains all documentation related to its strategic planning efforts. This documentation includes minutes of meetings, project management timelines, completed performance measure checklists, data collection and analysis, and periodic compilations of performance results for the five strategic goals. (See 2013-406, p. 221)
- Response Date: May 2012
California State Auditor's Assessment of 1-Year Status: Fully Implemented
Recommendation #9 To: Prison Industry Authority
CALPIA should continue to use its recently improved method of identifying new product ideas and the changing needs of state agencies.
1-Year Agency Response
CALPIA states that it is continuing to use the recently updated product development process to ensure product and enterprise concepts are properly screened prior to their launch. It also indicates that it is documenting instructions for using this process on the CALPIA intranet for staff. (See 2013-406, p. 222)
- Response Date: May 2012
California State Auditor's Assessment of 1-Year Status: Fully Implemented
Recommendation #10 To: Prison Industry Authority
When performing analyses to establish prices for its products, CALPIA should document the basis for each product’s or service’s profit margin and should also ensure that it always considers and documents market data when making pricing decisions.
1-Year Agency Response
CALPIA indicates that each product price analysis now includes the basis for the product’s profit margin as well as market data for comparable products. (See 2013-406, p. 222)
- Response Date: May 2012
California State Auditor's Assessment of 1-Year Status: Fully Implemented
Recommendation #11 To: Prison Industry Authority
CALPIA should continue to ensure that its managers use the estimated net profit report on a regular basis to review the profitability of each enterprise and to make decisions on how to improve the profitability of those enterprises that are unprofitable.
1-Year Agency Response
CALPIA asserts it continues to ensure that managers use the estimated net profit report to monitor each enterprise’s profitability. (See 2013-406, p. 222)
- Response Date: May 2012
California State Auditor's Assessment of 1-Year Status: Fully Implemented
All Recommendations in 2010-118
Agency responses received after June 2013 are posted verbatim.