PREA AUDIT: AUDITOR S SUMMARY REPORT 1 COMMUNITY CONFINEMENT FACILITIES

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1 PREA AUDIT: AUDITOR S SUMMARY REPORT COMMUNITY CONFINEMENT FACILITIES Name of facility: OhioLink-Lima Physical address: 517 S. Main Street, Lima, Ohio Date report submitted: Auditor Information Address: P.O. Box 2400 Wintersville, Ohio kmurray@cbcf41.org Telephone number: Date of facility visit: August 19, 2014 Facility Information Facility mailing address: (if different from above) Telephone number: The facility is: Military County Federal Facility Type: Private for profit Municipal State X Private not for profit Community treatment center X Halfway house Alcohol or drug rehabilitation center Name of Facility Head: Diane Wilson address: diane.wilson@alvishouse.org Name of PREA Compliance Manager (if applicable): address: Agency Information Name of agency: Alvis House Governing authority or parent agency: (if applicable) Physical address: 2100 Stella Court Columbus, Ohio Mailing address: (if different from above) March 16, Telephone number: Agency Chief Executive Officer Name: Denise M. Robinson Community based confinement facility Mental health facility Title: CEO Other: Title: Regional Director Telephone number: Title: Telephone number: PREA AUDIT: AUDITOR S SUMMARY REPORT

2 address: Agency-Wide PREA Coordinator Telephone number: Name: Ramona Swayne Title: Managing Director Telephone address: number: NARRATIVE: AUDIT FINDINGS The PREA audit for the OhioLink Corrections & Treatment halfway house was conducted on August 18, During the audit the auditor toured the facility and conducted formal staff and client interviews. Five random clients from the housing unit, specialized staff, and random staff were questioned about PREA training, how to report, to whom to report, filing reports, interventions, conducting interviews, follow-up, and monitoring retaliation. DESCRIPTION OF FACILITY CHARACTERISTICS: OhioLink Corrections & Treatment Program is a halfway house located in Lima, Ohio. OhioLink-Lima is a 48 bed facility that has 12 multiple occupancy rooms. The facility is a joint venture of three Ohio service agencies: Alvis House, Oriana House, and Talbert House and is managed by Alvis House. OhioLink-Lima provides transitional services for offenders under state and local supervision, and a transitional education program which is an interactive reentry support service program provided to offenders via video conference to offenders in multiple state correctional facilities throughout Ohio. OhioLink-Lima has been opened since SUMMARY OF AUDIT FINDINGS: OhioLink-Lima had 1 PREA investigations since August 20, 2012 to the present. During 2012, the facility had no allegations of sexual abuse or sexual harassment. In 2013, the facility had one unsubstantiated staff-toclient allegation. And in 2014, the facility had no allegations of sexual abuse or sexual harassment. There have no reported cases of retaliation against anyone who has reported a PREA allegation, and all allegations have been reported to the appropriate supervision authority when necessary. Number of standards exceeded:1 Number of standards met:38 Number of standards not met:0 PREA AUDIT: AUDITOR S SUMMARY REPORT 2

3 Zero tolerance of sexual abuse and sexual harassment; PREA coordinator OhioLink-Lima adheres to the Alvis House agency zero tolerance policy. The policy outlines the facility s approach to preventing, detecting, and responding to sexual abuse and sexual harassment. The agency has an agency wide PREA coordinator and a facility PREA manager who both indicated they have sufficient time to manage the PREA duties as well as their other responsibilities. The PREA coordinator reports directly to the CEO Contracting with other entities for the confinement of residents Non-Applicable. Agency does not contract with other entities Supervision and Monitoring The facility has a specific staffing plan that addresses appropriate staffing levels, corrective action plans for blind spots, and incident reviews for past allegations. Appropriately trained staff are capable for dealing with the current population. The facility has not deviated from the agency staffing plan. During the tour it was noted that on some of the office doors on the treatment side has paper covering the door window and thus obstructing line of site viewing. There are several staff offices that have solid doors and no windows. Staff have been instructed to remove any items that may block line of site views from door windows and to speak with clients in rooms with adequate line of site views Limits to cross-gender viewing and searches Alvis House as an agency prohibits strip and body cavity searches. There are no females clients housed the OhioLink-Lima facility. Pat down searches are completed in a public area in front of cameras. PREA AUDIT: AUDITOR S SUMMARY REPORT 3

4 The clients are provided privacy when showing (curtains); however the shower is multiple occupancy and while using the bathroom (individual stalls with doors). All staff members knock and announce their presence when entering clients room or the bathroom. The agency has a dress policy for clients when they are in common areas (must be completely dressed before leaving room or the bathroom). During the interview process, all clients answered affirmatively when asked if female staff knock and announce their presence before entering the housing areas. There have been no cases of incidental viewing. The facility has trained its female staff on how to pat-down a male client. All staff have been trained on conducting transgender and intersex pat-downs Residents with disabilities and residents who are limited English proficient OhioLink-Lima currently has no clients that have disabilities or who are limited English proficient. The agency partners with the local Literacy Council and Adult Basic Education to provide services to clients who have a language barrier or are limited English proficient. Upon intake staff will review information regarding PREA reporting and ensures each client understands before having the client sign that they have received the education Hiring and Promotion Decisions Alvis House has a policy that prohibits any of the facilities it operates to hire or promote staff (including contractors and volunteers) that have been convicted of sexual abuse in a prison, jail, lockup, or community confinement facility, nor will the hire or promote anyone who has been civilly or administratively adjudicated to have engaged in sexual abuse in the community. The facility conducts a NCIC/NLETS background check on all employees and volunteers. A report is generated every month from payroll and any employee who has a five year anniversary that month will receive a background check. A random review of employee files shows that all employee background checks are up to date. The agency documents all contact with previous employers. The employee application requires all applicants to reveal if they have been convicted of sexual abuse in a prison, jail, lockup, or community confinement facility or convicted of engaging or attempting to engage in sexual activity in the community by force (over or implied) or coercion, or if the victim did not consent or was unable to consent; and if they have been civilly or administratively adjudicated to have engaged in the above activity. The agency also has a PREA acknowledgement form that all staff sign. The form reviews the agency s zero tolerance policy and all expectations under the PREA guidelines including the continuing affirmative duty to report any allegation against the employee. PREA AUDIT: AUDITOR S SUMMARY REPORT 4

5 Upgrades to facilities and technologies The PREA Coordinator is assessing the need of additional cameras at the OhioLink-Lima facility in order to provide more safety for staff and clients on an ongoing basis. The facility currently has 16 cameras that will digitally record for up to 30 days. There are no audio recordings. The PREA coordinator will continue to request funding for technology updates as the needs arise Evidence protocol and forensic medical examinations Administrative Investigations are conducted by facility managers, the PREA coordinator, and other HR staff. The City of Lima Police Department conducts criminal investigations. The facility will send clients to the local hospital where they perform forensic exams as no cost to the victim. Alvis House has an MOU with Crime Victim Services to provide emotional supportive services and has a clinician on staff to provide advocate services if needed Policies to ensure referrals of allegations for investigations The agency ensures that any allegation of sexual abuse is administratively investigated and if it involves potentially criminal behavior the allegation is referred for a criminal investigation. The facility has conducted three administrative investigations during this three year audit cycle and none of these investigations have led to a referral for a criminal investigation. Agency policies outline the responsibilities for the agency and the outside investigative entity for criminal investigations and it is published on the agency s website Employee Training All employees at the OhioLink-Lima facility have received training on the agency s zero tolerance policy and how to prevent, detect, report, and respond to sexual abuse or sexual harassment. During the interview process, all staff were able to describe the first responder duties and how to comply with mandatory reporting laws. Staff receive training each year on the agency s sexual abuse and sexual harassment policies, and PREA AUDIT: AUDITOR S SUMMARY REPORT 5

6 verify that they understand the training that they have received Volunteer and contractor training Alvis House ensures that each volunteer and/or contractor receives PREA training prior to interacting with the clients. Each volunteer or contractor signs verification that they understand the training Resident Education At intake all clients receive information regarding the PREA reporting process. The client handbook also reviews the PREA reporting process and how to keep themselves free from sexual abuse and sexual harassment. The facility has posters about being preventing sexual abuse with numbers they can call to report on each poster. During the random interviews with clients, they indicated that they received information and written material on how to report an allegation. Clients indicated that staff reviewed the information with them to make sure that they understood the material Specialized training: Investigations The facility has a standardized process for administratively investigating any allegations. All criminal investigations are referred out to the legal authority for investigation. Staff that are performing administrative investigations have received formal training Specialized training: Medical and mental health care Alvis House does not provide onsite medical treatment of clients. All clients will be sent to the local hospital for treatment if needed. OhioLink-Lima has access to a qualified clinician who knows how to respond effectively and professionally to victims of sexual abuse and sexual harassment. The two clinicians have also received training on how to prevent, detect, report, and respond to sexual abuse and sexual harassment. Interviews of the two clinicians indicate they know how and whom to report allegations of sexual abuse and PREA AUDIT: AUDITOR S SUMMARY REPORT 6

7 sexual harassment Screening for risk of victimization and abusiveness for the relevant review period) Within three days of arrival, each client receives an initial risk screening by their assigned case manager. The form is transferred to the clinician who reviews the form for risk classification. The form is placed in the client s file which is only assessable to limited staff. The client is reassessed by the case manager within 30 days or anytime new information is received. Each client interviewed stated that they received an initial assessment and another assessment at a later date Use of screening information The clinician indicated that one of the clinicians will review the assessments and determine if housing, work, or program assignment needs are to be addressed. The placement of transgendered or intersex clients will only be approved if the facility feels that they can house the client safely Resident reporting Clients at OhioLink-Lima have multiple ways of reporting sexual abuse. Posters throughout the facility indicate how clients can report as well as how to report to an outside agency. Interviews with the clients indicate that they are aware of all means of reporting and that they could report anonymously. OhioLink-Lima has public payphones which do not allow for free calls to the reporting entities. While clients are allowed to have cell phones in the facility, not all clients have access to a cell phone. The facility has put toll free numbers on all of its PREA postings. OhioLink-Lima clients received information at intake and in their handbooks regarding PREA reporting which includes the phone numbers to reporting agencies or the address for emotional supportive services Exhaustion of Administrative Remedies PREA AUDIT: AUDITOR S SUMMARY REPORT 7

8 Alvis House has a grievance policy which does not assess a time limit for filing a grievance alleging sexual abuse or sexual harassment. The agency will respond to a grievance within 2 working days and has several levels of appeals. During random client interviews, each responded that they were informed of the grievance process at intake and those who have filed various grievance received a response from the agency within the specified time limit Resident access to outside confidential supportive services Alvis House has a MOU with Crime Victim Services to provide its client s access to outside victim advocates for emotional supportive services. The phone number and address to this agency are located on posters throughout the facility Third-party reporting Alvis House has established a link on their website as well as a phone number to allow for third-party reporting. The link is clearly visible and easily assessable. There are also poster located in the lobby and near the visitation room where visitors can assess information on how to report Staff and agency reporting duties Alvis House has a mandatory reporting policy that is reviewed with staff at training and was articulated by staff during the interview process. Staff members during the tour and during random staff interviews communicated their responsibility to report to their immediate supervisor and document and verbal reports. As part of the reporting process, staff members who were interviewed stated that they document any allegations in the facility s computer system. All documents are forwarded to the PREA Coordinator and information is limited to need-to-know Agency protection duties PREA AUDIT: AUDITOR S SUMMARY REPORT 8

9 OhioLink-Lima has the ability to move clients to a different facility should a client be in imminent danger of sexual abuse. All staff interviewed indicated that client safety and protection as their primary concern Reporting to other confinement facilities Policy requires that the PREA coordinator upon receiving an allegation that happened at another confinement facility has 72 hours to report this information. In reviewing documentation, the process was confirmed Staff first responder duties Alvis House has a policy that outlines first responder duties. All staff are trained on the responsibilities to safeguard clients and any evidence. During the tour and during random staff interviews, staff were able to articulate the steps of a first responder and what they would do should a client give a verbal sexual abuse allegation to them Coordinated response OhioLink-Lima has a specific coordinated response plan. This plan includes action to take by the first responders, medical and mental health practitioners, investigators, and facility leadership. Interviews with possible staff first responders, administrative investigator, and mental health practitioner confirmed they were knowledgeable of the plan and the coordination of duties Preservation of ability to protect residents from contact with abusers Non-Applicable: Avis House does not have collective bargaining agreements Agency protection against retaliation PREA AUDIT: AUDITOR S SUMMARY REPORT 9

10 Alvis House has a policy that requires the monitoring of staff or clients who report a sexual abuse allegation or cooperate in an investigation. The facility manager is responsible for retaliation monitoring for 90 days after the report of an incident Criminal and administrative investigations Alvis House has a process for completing administrative investigations. All staff are trained on their duties in completing the process up to their assigned responsibilities. While no staff has yet to complete the administrative investigator training (see ), staff complete the forms properly and with due diligence. In reviewing administrative investigation forms, staff completing investigations do so by assessing credibility of the alleged victim, suspect, or witness and not by their status of client or staff. The investigator makes a determination whether staff actions or failures to act contributed to the abuse. The agency does not conduct criminal investigations, but works with the legal authority whenever the allegation requires a criminal investigation referral Evidentiary standard for administrative investigations During the interview process, the PREA coordinator indicated that preponderance of the evidence is the standard used to determine if an allegation is substantiated. Policy also indicates that a preponderance of the evidence is needed to substantiate an allegation Reporting to residents Alvis House policy requires client notification to any client that alleges sexual abuse or sexual harassment whether that allegation has been determined to be substantiated, unsubstantiated, or unfounded. In reviewing Alum Creeks administrative investigation reports, clients who made an allegation where notified in writing the outcome of the investigation. The notice also included whether the abuser, if a staff member, was no longer posted in the clients unit; no longer employed at the facility; has been indicted on a charge related to the sexual abuse within the facility; or has been convicted on a charge related to sexual abuse within the facility. Should the client be released from the facility before the report is made, every effort is made to notify the client. PREA AUDIT: AUDITOR S SUMMARY REPORT 1

11 Disciplinary sanctions for staff Alvis House outlines its progressive disciplinary plan in its employee handbook. Any staff member found to have engaged in sexual abuse will be terminated. Termination or resignations by staff will not void an investigation and any criminal activity will be reported to the legal authority and to any relevant licensing agency Corrective action for contractors and volunteers All contractors and volunteers are made aware of the agency s zero tolerance policy toward sexual abuse and sexual harassment. Contractors and volunteers sign an agreement that they will be removed from the facility for any acts of sexual abuse or sexual harassment. OhioLink-Lima has not removed any contractor or volunteer for a PREA issue Disciplinary sanctions for residents The client handbook outlines inmate conduct and prohibits all consensual sexual activity between clients and disciplines clients for such activity. Sexual Misconduct is defined as well as the disciplinary policy for any PREA related violations Access to emergency medical and mental health services Alvis House s sexual abuse, sexual assault, sexual harassment, and retaliation, discrimination, and harassment reporting form indicates the types of service offered free of charge to an alleged victim of sexual assault. It is documented which types of services where rendered and or declined by the alleged victim. PREA AUDIT: AUDITOR S SUMMARY REPORT 1

12 Ongoing medical and mental health care for sexual abuse victims and abusers Alvis House offers medical and counseling sessions for clients who have been sexually abused in jail, lockup, or juvenile facility. Medical treatment includes pregnancy test and timely information about lawful pregnancy related medical services. Treatment is offered to all known client on client abusers within in 60 days of learning such history. All treatment offered is free of charge Sexual abuse incident reviews Alvis House has a policy that requires all incidents to be reviewed within 30 days of the conclusion of an investigation. All administrative investigation had a Sexual Assault Response Team review within the required amount of time along with recommendations for improvement. The reviews are then sent to the CEO for consideration Data Collection Agency collects the appropriate data on all allegations of sexual abuse and aggregates this information annually. Auditor reviewed information Data review for corrective action Agency uses information collected in to make improvements in how the agency prevents, detects, and response to incidents of sexual abuse and sexual harassment. The report compares the current year s data with those of previous years. The report with this information can be found on the agency s website Data storage, publication, and destruction PREA AUDIT: AUDITOR S SUMMARY REPORT 1

13 All data collected in sexual abuse cases are securely maintained by the PREA Coordinator for a minimum of 10 years. The PREA Coordinator confirmed the retention schedule. AUDITOR CERTIFICATION: The auditor certifies that the contents of the report are accurate to the best of his/her knowledge and no conflict of interest exists with respect to his or her ability to conduct an audit of the agency under review. Kayleen Murray March 16, 2015 Auditor Signature Date PREA AUDIT: AUDITOR S SUMMARY REPORT 1