ARIZONA DEPARTMENT OF CORRECTIONS FIVE-YEAR STRATEGIC PLAN FY 2011 to FY 2015 Charles L. Ryan Director TABLE OF CONTENTS Executive Summary ……………………………………………………………………... i Strategic Plan …………………………………………………………………………….. 1 Agency Vision …………………………………………………………………… 1 Agency Mission ………………………………………………………………… 1 Agency Description …………………………………………………………… 1 Agency Guiding Principles …………………………………………………… 1 Strategic Issues ………………………………………………………………… 2 Agency Goal 1: Safety and Security ………………………………………… 3 Objective 1 Objective 2 Objective 3 Objective 4 3 4 4 4 Agency Goal 2: Programming Opportunities and Services …………… Objective 1 Objective 2 Objective 3 Objective 4 Objective 5 5 5 5 6 6 6 Agency Goal 3: Health Care …………………………………………………… Objective 1 Objective 2 7 7 7 Agency Goal 4: Community Corrections …………………………………… Objective 1 8 8 Agency Goal 5: Administration ……………………………………………… Objective 1 Objective 2 Objective 3 Objective 4 9 9 9 10 10 Resource Assumptions …………………………………………………………………. 11 EXECUTIVE SUMMARY The Arizona Department of Corrections, with an annual budget exceeding $1,037,000 and over 9,755 employees, is one of the largest departments in Arizona State Government. The Arizona Department of Corrections serves and protects the people of the state of Arizona by incarcerating inmates in correctional facilities and supervising conditionally released offenders in the community. During incarceration, medical care and other health and welfare services are provided to inmates. In addition, programs such as work, education, training, and substance abuse treatment are provided to inmates to promote employability, literacy, sobriety, and accountability to crime victims and to increase the likelihood that released inmates will become law-abiding citizens upon release. In looking at the opportunities and challenges facing Arizona in the next five years, the Arizona Department of Corrections has identified four strategic issues that align with the Department’s vision and mission and focus the Department’s long-term strategic direction through corresponding Goals, Objectives and Performance Measures. AGENCY STRATEGIC ISSUES STRATEGIC ISSUE 1: Managing Inmate Population Growth Inmate population has increased from an average daily population of 29,936 in FY 2001 to 39,628 in FY 2009 (32 percent increase). In FY 2009, the Department had an average daily bed deficit of 4,420. As the inmate population continues to grow, the Department must continue to use planning and process improvement strategies throughout the organization to maximize resources and ensure the safety of the public, staff and inmates. STRATEGIC ISSUE 2: Validating the Inmate Classification System As the foundation of the Arizona correctional system, the Department must ensure that the inmate classification system is an objective and viable tool that provides reliable structure and accountability and appropriately directs resources to inmate management. The system must reliably determine inmate custody and internal risk levels based on the risk the inmate presents to the public and staff and the time remaining until the inmate is released. The classification system is critical to designating proper inmate confinement, movement and housing; identifying inmate medical and mental health service requirements; and scheduling inmate work, education, treatment, spiritual services, and recreational assignments. STRATEGIC ISSUE 3: Providing Health Care for Arizona’s Growing and Aging Prison Population Just like the rest of the nation, Arizona’s prison population is growing older. On June 30, 2009, 34% of the inmate population was age 40 years or older and 5.7% was age 55 years or older. Many of these inmates suffer from the nine chronic high-cost illnesses that contribute to nine out of ten deaths in the United States, including congestive heart failure, chronic lung disease, cancer, diabetes, chronic liver disease, and dementia. As these chronic diseases progress, the amount of care needed and cost of care delivered increase markedly, with much of the cost spent on physician and hospital fees associated with repeated hospitalizations. Arizona Department of Corrections Five-Year Strategic Plan Executive Summary Page i STRATEGIC ISSUE 4: Integration of Technology and Service Delivery in the Department The need for viable technology, process automation and system integration is essential to the ability of the Department to continue to effectively carry out its mission and its obligations to the public. In the area of health care services, for example, technological needs include electronic medical records systems, billing, medical coding, appointments, and computer equipment for health services staff. Without automated processes in place, it will become increasingly difficult for the Department to provide appropriate service and care in an efficient and safe manner. AGENCY GOALS Goal 1: To maintain effective custody and control over inmates in an environment that is safe, secure and humane. Goal 2: To require inmate participation in self improvement programming opportunities and services including work, education, substance abuse treatment, sex offender treatment, and spiritual access designed to prepare inmates to be responsible citizens upon release. Goal 3: To provide cost-effective constitutionally mandated correctional health care. Goal 4: To maintain effective community supervision of offenders, facilitate their successful transition from prison to the community and return offenders to prison when necessary to protect the public. Goal 5: To provide leadership, direction, resource management, and support for Department employees to enable the Department to serve and protect the people of the State of Arizona and to provide comprehensive victim services and victim-focused restorative justice programs that hold offenders accountable. Arizona Department of Corrections Five-Year Strategic Plan Executive Summary Page ii FIVE-YEAR STRATEGIC PLAN AGENCY VISION Excellence in correctional management strengthens public safety and contributes to the mission of the criminal justice system. AGENCY MISSION To serve and protect the people of Arizona by imprisoning those offenders legally committed to the Arizona Department of Corrections and by providing community based supervision for those conditionally released. AGENCY DESCRIPTION The Arizona Department of Corrections serves and protects the people of the state of Arizona by incarcerating inmates in correctional facilities and supervising conditionally released offenders in the community. During incarceration, medical care and other health and welfare services are provided to inmates. In addition, programs such as work, education, training, and substance abuse treatment are provided to inmates to promote employability, literacy, sobriety, and accountability to crime victims and provide the opportunity to become law-abiding citizens upon their release. AGENCY GUIDING PRINCIPLES • We have the legal and operational responsibility to be accountable to the judicial, legislative, and executive branches of government; the inmate; and most importantly, to the citizens of Arizona. • We are obligated to respond effectively to the changing demands placed upon the agency. • We value honesty and integrity in our relationships, and we place a high priority on quality of services and development of teamwork, trust and open communication. • We maintain an environment that is humane and fair to both employees and inmates, utilizing a grievance and disciplinary system that is consistently administered and that fosters due process. • We encourage, recognize, and reward examples of professional performance at all levels that contribute to the enhancement of our responsibility. Arizona Department of Corrections Five-Year Strategic Plan FY 2011 to FY 2015 Page 1 of 11 AGENCY STRATEGIC ISSUES STRATEGIC ISSUE 1: Managing Inmate Population Growth Inmate population has increased from an average daily population of 29,936 in FY 2001 to 39,628 in FY 2009 (32 percent increase). In FY 2009, the Department had an average daily bed deficit of 4,420. As the inmate population continues to grow, the Department must continue to use planning and process improvement strategies throughout the organization to maximize resources and ensure the safety of the public, staff and inmates. STRATEGIC ISSUE 2: Validating the Inmate Classification System As the foundation of the Arizona correctional system, the Department must ensure that the inmate classification system is an objective and viable tool that provides reliable structure and accountability and appropriately directs resources to inmate management. The system must reliably determine inmate custody and internal risk levels based on the risk the inmate presents to the public and staff and the time remaining until the inmate is released. The classification system is critical to designating proper inmate confinement, movement and housing; identifying inmate medical and mental health service requirements; and scheduling inmate work, education, treatment, spiritual services, and recreational assignments. STRATEGIC ISSUE 3: Providing Health Care for Arizona’s Growing and Aging Prison Population Just like the rest of the nation, Arizona’s prison population is growing older. On June 30, 2009, 34% of the inmate population was age 40 years or older and 5.7% was age 55 years or older. Many of these inmates suffer from the nine chronic high-cost illnesses that contribute to nine out of ten deaths in the United States, including congestive heart failure, chronic lung disease, cancer, diabetes, chronic liver disease, and dementia. As these chronic diseases progress, the amount of care needed and cost of care delivered increase markedly, with much of the cost spent on physician and hospital fees associated with repeated hospitalizations. STRATEGIC ISSUE 4: Integration of Technology and Service Delivery in the Department The need for viable technology, process automation and system integration is essential to the ability of the Department to continue to effectively carry out its mission and its obligations to the public. In the area of health care services, for example, technological needs include electronic medical records systems, billing, medical coding, appointments, and computer equipment for health services staff. Without automated processes in place, it will become increasingly difficult for the Department to provide appropriate service and care in an efficient and safe manner. Arizona Department of Corrections Five-Year Strategic Plan FY 2011 to FY 2015 Page 2 of 11 AGENCY GOAL 1 Goal 1: To maintain effective custody and control over inmates in an environment that is safe, secure and humane. Objective 1: To safeguard the public, staff and inmates through the efficient, safe and secure operations of prisons. Performance Measures Number of escapes from secure facilities for the FY Number of major rule violations per 1,000 inmates per average daily population for the FY Number of inmate on staff assaults per 1,000 inmates per average daily population for the FY Number of inmate on inmate assaults per 1,000 inmates per average daily population for the FY Number of major inmate disturbances for the FY Number of inmate homicides for the FY Number of inmate random positive urinalysis results per 1,000 inmates per average daily population for FY Number of formal inmate grievances (excluding health grievances) per 1,000 inmates per average daily population for the FY Number of inmates lawsuits (nonhabeas) per 1,000 inmates per average daily population for the FY FY 2009 Actual FY 2010 Estimate 0 1 FY 2011-FY 2015 Estimate 0 418 410 410 8.15 9.34 11.28 12.47 15.01 17.44 3 0 0 3 0 0 42 40 40 99 95 95 3.63 3.5 3.5 Arizona Department of Corrections Five-Year Strategic Plan FY 2011 to FY 2015 Page 3 of 11 Objective 2: To promote Department safety and security by conducting administrative, civil, criminal, and gang related investigations; performing annual peer reviews and targeted performance audits; and ensuring agency compliance with fire and life safety codes. Performance Measures Percent of administrative investigations completed within established time frames for the FY Average annual peer audit percent score of all state prisons Average annual core competency test score for correctional series staff Average annual core competency test score for non-correctional series staff FY 2009 Actual FY 2010 Estimate N/A TBD FY 2011-FY 2015 Estimate TBD 99.94 95 95 82.22 85 85 81.28 85 85 Objective 3: To develop private prison contracts and provide oversight to monitor their safe, secure and cost-effective operation, while imprisoning inmates according to the Department’s mission. Performance Measures Average annual audit percent score of audited private prisons FY 2009 Actual FY 2010 Estimate 99.6 95 FY 2011-FY 2015 Estimate 95 Objective 4: To provide leadership and direction in the management of inmate population growth and the allocation of physical and fiscal resources. Performance Measures Average daily inmate population for the FY Average daily bed deficit for the FY FY 2009 Actual FY 2010 Estimate 39,628 41,440 FY 2011-FY 2015 Estimate 43,252 4,420 5,055 2,550 Arizona Department of Corrections Five-Year Strategic Plan FY 2011 to FY 2015 Page 4 of 11 AGENCY GOAL 2 Goal 2: To require inmate participation in self improvement programming opportunities and services including work, education, substance abuse treatment, sex offender treatment, and spiritual access designed to prepare inmates to be responsible citizens upon release. Objective 1: To maximize inmate participation in Department programming opportunities. Performance Measures Percent of all inmates (excluding those in reception, in segregation units, in maximum custody units, in contract beds, out to court, or not present for full month) participating in appropriate work, education and treatment assignments for the FY Number of inmate hours worked through the Work Incentive Pay Plan for the FY Number of hours provided to communities by inmates per established IGAs or work contracts for the FY FY 2009 Actual FY 2010 Estimate 77.43 77.5 FY 2011-FY 2015 Estimate 77.5 26,299,877 26,300,000 26,300,000 1,806,851 1,810,000 1,810,000 Objective 2: To expand work opportunities for inmates through Arizona Correctional Industries (ACI) Performance Measures Number of ACI inmate hours worked for the FY Dollar amount deducted from ACI inmates wages being deposited directly in the State General Fund for the FY FY 2009 Actual FY 2010 Estimate 3,340,971 3,400,000 FY 2011-FY 2015 Estimate 3,400,000 2,213,457 2,300,000 2,300,000 Arizona Department of Corrections Five-Year Strategic Plan FY 2011 to FY 2015 Page 5 of 11 Objective 3: To provide education programs and services, including functional literacy, special education, GED, and jobs training to all eligible and assessed inmates. Performance Measures Number of inmates achieving grade eight proficiency for the FY Number of inmates achieving the General Equivalency Diploma (GED) for the FY Number of Work Based Education certificates earned for the FY Number of inmates receiving special education services for the FY Percent of special education inmates receiving special education services for the FY FY 2009 Actual FY 2010 Estimate 5,481 5,400 FY 2011-FY 2015 Estimate 5,400 2,993 2,900 2,900 3,212 3,200 3,200 359 360 370 100 100 100 Objective 4: To provide assessment and treatment services to eligible inmates. Performance Measures Number of eligible inmates completing substance abuse treatment for the FY Number of eligible inmates completing sex offender treatment for the FY FY 2009 Actual FY 2010 Estimate 2,067 2,000 FY 2011-FY 2015 Estimate 2,000 141 140 140 Objective 5: To ensure spiritual services are available to inmates. Performance Measures Number of inmates involved in spiritual services for the FY Number of volunteer spiritual service hours provided for the FY FY 2009 Actual FY 2010 Estimate 14,989 15,000 FY 2011-FY 2015 Estimate 15,000 46,276 46,500 46,500 Arizona Department of Corrections Five-Year Strategic Plan FY 2011 to FY 2015 Page 6 of 11 Agency Goal 3 Goal 3: To provide cost-effective constitutionally mandated correctional health care. Objective 1: To provide medically necessary medical care, dental care and mental health care to inmates. Performance Measures FY 2009 Actual FY 2010 Estimate N/A TBD FY 2011-FY 2015 Estimate TBD 2.4 2.4 2.4 18.14 18 18 100 100 100 Performance Measures FY 2009 Actual FY 2010 Estimate Average length of stay for inpatient hospital care for the FY Average annual health services dollar cost per inmate Number of inmates requiring outside health care as a result of assault or accident per 1,000 inmates per average daily population for the FY Number of inmates diagnosed with chronic care conditions whose conditions are controlled per 1,000 inmates per average daily population for the FY 5.0 days 5.0 days FY 2011-FY 2015 Estimate 5.0 days 4,486 4,486 4,486 N/A TBD TBD N/A TBD TBD Average number of days for an inmate to receive routine care after submitting a health needs request for the FY Percentage of inmates requiring ongoing mental health services admitted for psychiatric hospital care for the FY Number of formal inmate health grievances per 1,000 inmates per average daily population for the FY Percentage of prison facilities maintaining National Commission on Correctional Health Care (NCCHC) accreditation for the FY Objective 2: To contain health care costs. Arizona Department of Corrections Five-Year Strategic Plan FY 2011 to FY 2015 Page 7 of 11 Agency Goal 4 Goal 4: To maintain effective community supervision of offenders, facilitate their successful transition from prison to the community and return offenders to prison when necessary to protect the public. Objective 1: To effectively release, supervise and monitor offenders under active Department community supervision. Performance Measures Number of offenders returned to prison for technical violations of their community supervision per 1,000 offenders on community supervision for the FY Number of offenders returned to prison for new crime convictions while on community supervision per 1,000 offenders on community supervision for the FY Number of offenders returned to prison for absconding while on community supervision per 1,000 offenders on community supervision for the FY FY 2009 Actual FY 2010 Estimate 92 85 FY 2011-FY 2015 Estimate 85 11 10 10 50 48 48 Arizona Department of Corrections Five-Year Strategic Plan FY 2011 to FY 2015 Page 8 of 11 Agency Goal 5 Goal 5: To provide leadership, direction, resource management, and support for Department employees to enable the Department to serve and protect the people of the State of Arizona and to provide comprehensive victim services and victim-focused restorative justice programs that hold offenders accountable. Objective 1: To recruit, retain, recognize, and develop staff. Performance Measures Number of formal employee grievances for the FY Number of employee grievances upheld and/or modified in favor of the employee for the FY Annual Correctional Officer II vacancy rate percentage Annual Correctional Officer II turnover rate percentage Annual employee turnover rate percentage (excluding Correctional Officer II’s) Percentage of staff completing mandatory training for the FY Number of executives and managers participating in professional development courses for the FY FY 2009 Actual FY 2010 Estimate 117 115 FY 2011-FY 2015 Estimate 115 37 35 35 4.05 4.0 4.0 11.5 10 10 11.2 10 10 88 90 90 75 80 80 Objective 2: To maintain and/or enhance the information technology’s applications, communications and network’s current and future needs by providing the optimal support to computer users. Performance Measures Percent of network uptime for the FY Annual customer satisfaction survey rating of 3.5 or above for IT Applications/Data Management Unit on a scale of 1 to 5 FY 2009 Actual FY 2010 Estimate 99 97 FY 2011-FY 2015 Estimate 97 4.45 3.5 3.5 Arizona Department of Corrections Five-Year Strategic Plan FY 2011 to FY 2015 Page 9 of 11 Performance Measures Annual customer satisfaction survey rating of 3.5 or above for IT Infrastructure/Field Operations Unit on a scale of 1 to 5 FY 2009 Actual FY 2010 Estimate N/A 3.5 FY 2011-FY 2015 Estimate 3.5 Objective 3: To provide a standard process for receiving, reviewing and responding to public concerns regarding inmate related issues. Performance Measures Number of public complaints and requests for assistance regarding inmates resolved for the FY FY 2009 Actual FY 2010 Estimate 23,008 24,000 FY 2011-FY 2015 Estimate 24,000 Objective 4: To effectively provide crime victims with information on inmate incarceration and release, effect change within the inmate population through various restorative justice methods of education and provide service to the community. Performance Measures Number of crime victim Notifications of Release sent for the FY Number of crime victims receiving services (all crimes) for the FY Dollar amount of court-ordered restitution collected from inmates for the FY Average dollar amount of courtordered restitution paid per inmate required to pay court-ordered restitution for the FY FY 2009 Actual FY 2010 Estimate 4,546 4,600 FY 2011-FY 2015 Estimate 4,600 752 755 755 1,204,933 1,250,000 1,250,000 154.28 155 155 Arizona Department of Corrections Five-Year Strategic Plan FY 2011 to FY 2015 Page 10 of 11 RESOURCE ASSUMPTIONS NOTE: THE FOLLOWING RESOURCE ASSUMPTIONS (CALCULATED IN CONSTANT DOLLARS) ARE ESTIMATES ONLY AND ARE SUBJECT TO CHANGE IN KEEPING WITH INFLATION AND ECONOMIC CONDITIONS Total Agency Resource Assumptions (Calculated in nominal/constant dollars) FY 2010 Appropriation FY 2011 Budget Request FY 2012 Estimate FY 2013 Estimate FY 2014 Estimate FY 2015 Estimate 9,755.9 10,246.2 10,246.2 10,246.2 10,246.2 10,246.2 879,927.0 1,065,661.2 1,006,002.5 1,130,993.5 1,130,993.5 1,130,993.5 44,716.5 42,306.7 40,145.7 40,145.7 40,145.7 40,145.7 47,814.0 47,814.0 47,814.0 47,814.0 47,814.0 47,814.0 65,354.1 15,354.1 15,354.1 15,354.1 15,354.1 15,354.1 1,037,811.6 1,171,136.0 1,109,316.3 1,233,317.3 1,233,317.3 1,233,317.3 Full Time Equivalent (FTE) General Fund Other Appropriated Fund Non Appropriated Fund Expenditures Federal Funds Expenditures Agency Total Funds Notes: • FY 2011 figures are based on the ADC’s FY 2011 operating budget request. • FY 2011 assumes that an FTE reduction of 5% occurs as a result of State of Arizona, Fortyninth Legislature, Third Special Session, 2009, House Bill 2006. • FY 2011 assumes activation of all new 4,000 state prison beds; closure of all provisional prison beds; and activation of the remaining 2,000 new private prison beds in Kingman, Arizona. • FY 2011 through FY 2015 assumes a population growth of 151 inmates per month. • FY 2013 assumes activation of 5,000 new private prison beds as authorized by the State of Arizona, Forty-ninth Legislature, Third Special Session, 2009, House Bill 2010, Section 33. Arizona Department of Corrections Five-Year Strategic Plan FY 2011 to FY 2015 Page 11 of 11