U.S. v. Kentucky JI-KY-004-004

IN THE UNITED STATES DISTRICT COURT FOR THE WESTERN DISTRICT OF KENTUCKY

UNITED STATES OF AMERICA,
Plaintiff,
v.
THE COMMONWEALTH OF KENTUCKY;
The Honorable BRERETON C. JONES, in his official capacity as the Governor of the Commonwealth of Kentucky; The Honorable MASTEN CHILDERS II, in his official capacity as Secretary of the CABINET FOR HUMAN RESOURCES;
PEGGY WALLACE, in her official capacity as the Commissioner of the DEPARTMENT FOR SOCIAL SERVICES, Cabinet for Human Resources;
ELIZABETH WACHTEL, in her official capacity as the Commissioner of the DEPARTMENT FOR MENTAL HEALTH & MENTAL RETARDATION SERVICES, Cabinet for Human Resources; and
BETTY SHIPP, in her official capacity as the Director of the DIVISION OF YOUTH SERVICES, Department for Social Services, Cabinet for Human Resources;
Defendants.

) Civil Action ) No.3.'

COMPLAINT FOR INJUNCTIVE RELIEF 1. This civil rights action is brought by the Attorney General, on behalf of the United States, pursuant to the Civil Rights of Institutionalized Persons Act, 42 U.S.C. § 1997

e_t seq. , and the provisions of 42 U.S.C. § 14141 concerning the administration of juvenile justice, to enjoin the Commonwealth of Kentucky from depriving juveniles confined in its juvenile treatment facilities of rights, privileges or immunities secured or protected by the Constitution and laws of the United States.
JURISDICTION, STANDING AND VENUE 2. This Court has jurisdiction over this action pursuant to 28 U.S.C. § 1345. 3. The United States has standing to maintain this action pursuant to 42 U.S.C. § 1997a and 42 U.S.C. § 14141. 4. The Attorney General has certified that all pre-filing requirements specified in 42 U.S.C. § 1997b have been met. The Certificate of the Attorney General is appended to this Complaint and is incorporated herein. 5. Venue in the United 53tates District Court for the Western District of Kentucky is proper pursuant to 28 U.S.C. § 1391. A substantial portion of the claims set forth in the Complaint arose in this District.
DEFENDANTS 6. Defendant COMMONWEALTH OF KENTUCKY ("Kentucky") owns and operates the juvenile treatment facilities that are at issue in this action. 7. Defendant BRERETON C. JONES is the Governor of Kentucky, and in this capacity heads the executive branch of Kentucky's government. The Governor of Kentucky, as chief of the executive branch, has the duty to ensure that the departments that compose
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the Executive Branch of Kentucky guarantee the federal constitutional and statutory rights of all of the citizens of Kentucky, including the juveniles confined in Kentucky juvenile treatment facilities.
8. Defendant MASTEN CHILDERS II, is the Secretary of the Cabinet for Human Resources for Kentucky. In his official capacity, Secretary Childers is responsible for, among other things, the administration of Kentucky's juvenile treatment facilities.
9. Defendant PEGGY WALLACE is the Commissioner of the Department for Social Services. In her official capacity, Commissioner Wallace is responsible for, among other things, the administration of the operations of Kentucky's juvenile treatment facilities.
10. Defendant ELIZABETH WACHTEL is the Commissioner of the Department for Mental Health and Mental Retardation Services. In her official capacity, Commissioner Wachtel is responsible, among other things, for providing mesntal health services to juveniles confined in Kentucky's institutions.
11. Defendant BETTY SHIPP is the Director of the Division of Youth Services, Department for Social Services. Director Shipp is responsible for supervising the day-to-day operations of Kentucky's juvenile treatment facilities.
12. The individual Defendants named in HH 7-11 above are officers of the Executive Branch of the Commonwealth of Kentucky
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and are sued in their official capacities, extending to their agents and successors in office.
13. The juvenile treatment facilities that are at issue in this case are institutions as that term is defined in 42 U.S.C. § 1997(1) (A), (1) (B) (i) and (1) (B) (v) .
14. The defendants named in HU 7-11 above are officials or employees of a governmental agency responsible for the administration of juvenile justice and the incarceration of juveniles as stated in 42 U.S.C. § 14141(a).
15. Defendants are legally responsible, in whole or in part, for the operation of and conditions at the Kentucky juvenile treatment facilities, as well as for the care and treatment of the juveniles residing at those institutions.
16. At all relevant times, Defendants have acted or failed to act, as alleged herein, under color of state law.
17. Juveniles residing at the Kentucky juvenile treatment facilities include youths with special needs including those with mental illness, mental retardsition, and other learning disabilities.
FACTUAL ALLEGATIONS 18. Defendants have failed and are continuing to fail to provide juveniles confined in Kentucky juvenile treatment facilities with adequate medical care by, inter alia, failing to provide adequate staffing, medical screening procedures, and delivery of prescription medications.
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19. Defendants have failed and are continuing to fail to provide juveniles confined in Kentucky juvenile treatment facilities with adequate mental health care by failing to provide adequate staffing, mental health screening and diagnosis, and treatment.
20. Defendants have failed and are continuing to fail to provide adequate treatment and rehabilitation and aftercare treatment to the juveniles confined in Kentucky juvenile treatment facilities.
21. Defendants have failed and are continuing to fail to provide adequate education and special education to the juveniles confined in Kentucky juvenile treatment facilities as required by the Individuals with Disabilities Education Act ("IDEA"), 20 U.S.C. § 1401 ejt seq. , by, inter alia, failing to properly identify juveniles requiring special education and services and failing to develop and implement adequate individualized education plans ("IEPs").
22. Defendants have failed and are continuing to fail to meet the juveniles' basic care needs by, among other things, subjecting the juveniles to unsafe conditions of confinement that pose serious health and safety risks, and failing to provide a sufficient number of staff to adequately supervise juveniles.
23. Defendants have failed and are continuing to fail to provide juveniles confined in Kentucky juvenile treatment facilities with adequate access to exercise.
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24. Defendants have failed and are continuing to fail to protect the juveniles confined in Kentucky juvenile treatment facilities against incidents of staff abuse by failing, among other things: a) to provide proper mechanisms and procedures to identify possible abuse of juveniles; b) to fully investigate allegations of staff abuse; c) to make proper findings regarding allegations of staff abuse; and d) to take appropriate action when abuse is substantiated.
25. Defendants have failed and are continuing to fail to adequately classify juveniles confined in Kentucky juvenile treatment facilities by, among other things, housing violent and non-violent juveniles in the same facilities.
26. Defendants have failed and are continuing to fail to provide adequate institutional safeguards for the use of isolation by, among other things: a) placing juveniles in isolation without an adequate review; b) failing to apprise juveniles in isolation concerning the length of time the juveniles will remain in isolation; and c) confining juveniles in isolation for days or even weeks after the juvenile is no longer a threat to himself or others and for no reasonable treatment purpose.
27. Defendants have failed and are continuing to fail to provide a sufficient number of adequately trained staff to render essential care and treatment in the areas outlined above in HI 18 - 27 as required by the Constitution and laws of the United States.
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28. Defendants have failed and are continuing to fail to adequately protect juveniles from undue risk of harm from fire.
VIOLATIONS ALLEGED 29. The acts and omissions alleged in 11 18 - 28 infringe upon the legal rights and substantive liberty interests of the juveniles confined in Kentucky juvenile treatment facilities and deprive these juveniles of rights, privileges or immunities secured or protected by the Fourteenth Amendment to the Constitution and laws of the United States. 30. Unless restrained by this Court, Defendants will continue to engage in the conduct and practices set forth in 11 18 - 28 that deprive juveniles confined in Kentucky juvenile treatment facilities of their legal rights and the rights, privileges, or immunities secured or protected by the Constitution of the United States, and cause irreparable harm to these juveniles.
PRAYER FOR RELIEF 31. The Attorney General is authorized under 42 U.S.C. § 1997a and 42 U.S.C. § 14141 to seek only equitable relief. WHEREFORE, the United States prays that this Court enter an order permanently enjoining Defendants, their agents, employees, subordinates, successors in office, and all those acting in concert or participation with them from continuing the acts, practices and omissions set forth in 11 18 - 28 above, and to require Defendants to take such action as will provide legal and constitutional conditions of care to juveniles confined in
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Kentucky juvenile treatment facilities. The United States further prays that this Court grant such other and further equitable relief as it may deem just and proper.
Respectfully submitted,

ANET RENO /AAttorney General of the
United States

MICHAEL TROOP United States Attorney Western District
of Kentucky

Assistant Attorney General Civil Rights Division
ARTHUR E. Chief Special Litigation Section

ROBINSUE FROHBOESE Deputy Chief Special Litigation Section

ROBERT J. MOOSSY, "JR. Trial Attorneys U.S. Department of Justice Civil Rights Division Special Litigation Section Post Office Box 66400 Washington, D.C. 20035

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 U.S. v. Kentucky

IN THE UNITED STATES DISTRICT COURT FOR THE WESTERN DISTRICT OF KENTUCKY

UNITED STATES OF AMERICA, Plaintiff v.
COMMONWEALTH OF KENTUCKY, et al., Defendants

CONSENT DECREE

TABLE OF CONTENTS I. INTRODUCTION 3
II. DEFINITIONS 4
III. BACKGROUND 6

II II I I
II 11

U.S. v. Kentucky JI-KY-004-005

IV. SUBSTANTIVE PROVISIONS 8

A. Protection From Abuse. Mistreatment, and Injury 8

B. Treatment Services 14

C. Education & Vocational Training & Structured Activities 16

(1) General Population 17

(2) Juveniles with Disabilities 17

(3) Structured Activities 19

D. Aftercare Treatment Services 20

E. Time-Out and Isolation 21

F. Staffing. Operational, and Security Procedures 24

G. Medical Care 27

H. Mental Health Care 30

I. Classification 35

J. Fire Safety 36

K. Bedspace and Overcrowding 37

L. Maintenance and Sanitation 37

V. TREATMENT CENTER CONSTRUCTION AND/OR RENOVATION 37

VI. CONSTRUCTION, IMPLEMENTATION, AND TIMING OF COMPLIANCE 38

VII. APPENDICES 44

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I. INTRODUCTION
1. The United States enters into this agreement pursuant to its authority under the Civil Rights of Institutionalized Persons Act ("CRIPA"), 42 U.S.C. § 1997 et seg,, and the provisions of Pub. L. No. 103-322, 108 Stat. 2071 (codified at 42 U.S.C. § 14141) concerning the administration of juvenile justice.
2. The overall purpose of the parties in entering into this Consent Decree is to achieve the outcomes delineated below, and the Decree shall be read and interpreted in light of these outcomes:
a. Juveniles confined in Kentucky treatment centers have a right to treatment reasonably calculated to improve their condition and promote their personal growth and development. Such treatment involves a continuum of services provided in the community and institutional settings;
b. Every juvenile committed to the custody of the Defendants has a right to receive individualized and appropriate care and treatment that is safe and humane and is provided in the least restrictive setting consistent with the juvenile's needs; c. Defendants shall utilize their community based juvenile services to the maximum extent feasible.
3. This Court has jurisdiction over this action pursuant to 28 U.S.C. § 1345.
4. Venue in the Western District of Kentucky is appropriate pursuant to 28 U.S.C. § 1391(b).
5. The United States has met all pre-filing requirements stated in the Civil Rights of Institutionalized Persons Act, 42 U.S.C. § 1997 et seg.
II. DEFINITIONS
6. "Plaintiff shall refer to the United States of America.
7. "Defendants" shall refer to the Commonwealth of Kentucky; Governor Brereton C. Jones, in his official capacity; Masten Childers II, Secretary of the Kentucky Cabinet for Human Resources ("CHR"), in his official capacity; Peggy Wallace, the Commissioner of the Department for Social Services, in her official capacity; Betty Shipp, the Director of Youth Services, in her official capacity; Elizabeth Wachtel, the Commissioner for Mental Health and Mental Retardation, in her official capacity; and the agents and successors in office of the above listed individuals and offices.
8. The terms "juvenile" or "juveniles" shall refer to one or more individuals sentenced to, incarcerated in, detained at, or otherwise confined at any residential treatment facility operated or funded by the Commonwealth of Kentucky, including the Central Kentucky Treatment Center ("CKTC").
9. The term "juvenile treatment facility", "juvenile treatment center" or "residential treatment center" shall refer to any residential facility of more than eight beds presently or in the future during the operation of this Consent Decree, owned, operated, or funded by the Commonwealth of Kentucky that incarcerates, detains, or otherwise confines juveniles for the purpose of providing treatment services, including education and counseling services. At a minimum, this term shall include the following treatment centers: Bluegrass Treatment Center, Cardinal Treatment Center, Central Kentucky Treatment Center, Green River Boys' Camp, Johnson-Breckinridge Treatment Center, Lake Cumberland Boys' Camp, Lincoln Village Treatment Center, Mayfield Boys' Treatment Center, Morehead Treatment Center, Northern Kentucky Treatment Center, Owensboro Treatment Center, KCH Rice-Audubon Treatment Center, and Woodsbend Boys' Camp. This definition does not include short term pre-adjudication detention facilities.
10. The term "special needs juvenile" shall refer to those juveniles who are suicidal, mentally ill, mentally retarded, emotionally disturbed, under the influence of alcohol or other substances, or a danger to themselves or others.
11. The term "isolation" shall mean any placement of a juvenile in a room without normal staff and peer interaction for a period of one hour or more.
12. The term "time-out" is defined as any placement of a juvenile in a room without normal staff and peer interaction for less than one hour.

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13. The term "competency-based" training shall mean that staff shall demonstrate to his or her supervisor and/or trainer his or her ability or competency to perform a specified skill through an active hands-on demonstration of such skill.
14. The term Qualified Mental Health Professional ("QMHP") shall be defined by Ky. Rev. Stat. Ann. § 202A.011(12) (Supp. 1994) attached to this Consent Decree as Appendix A. The above definition of QMHP shall govern this term for the duration of this Consent Decree regardless of any statutory amendments to Ky. Rev. Stat. Ann. § 202A.011(12) by the Commonwealth.
III. BACKGROUND
15. The Defendant Commonwealth of Kentucky owns and funds the operation of the Commonwealth's juvenile residential treatment facilities.
16. In their official capacity, the Defendants Secretary of the Cabinet for Human Resources, the Commissioner of the Department for Social Services, and the Director of Youth Services are responsible for the day-to-day operation of various Kentucky residential treatment facilities. Defendant Elizabeth Wachtel, the Commissioner for Mental Health and Mental Retardation, is responsible for providing mental health services to juveniles in the various Kentucky residential treatment facilities.
17. On February 9, 1995, and May 1, 1995, the United States notified Governor Jones and other Kentucky officials of the United States' intent to investigate various Kentucky juvenile treatment centers for the Commonwealth of Kentucky pursuant to the Civil Rights of Institutionalized Persons Act ("CRIPA"), 42 U.S.C. § 1997 et seq., and the provisions of Pub. L. No. 103-322, 108 Stat. 2071 (codified at 42 U.S.C. § 14141) concerning the administration of juvenile justice. The United States toured the Owensboro Treatment Center and Green River Boys Camp with expert consultants on April 26-28, 1995. The United States toured the Johnson-Breckinridge Treatment Center, Rice-Audubon Treatment Center and Central Kentucky Treatment Center with expert consultants on May 9-13, 1995. On July 28, 1995, the United States issued a findings letter based on the tour of its experts and found that conditions in Kentucky juvenile treatment centers violated the constitutional and federal statutory rights of the juveniles.
18. On July 28, 1995, Kentucky responded to the United States' findings in a letter from Secretary Masten Childers to Assistant Attorney General Deval Patrick. In that letter, Kentucky expressed its intent to promptly address the United States' findings. From that date to the present, Kentucky has worked cooperatively with the United States to remedy the conditions detailed in the findings letter. At the date of the signing of this Consent Decree, Kentucky has begun implementing a number of this Consent Decree's requirements.
19. The parties to this Decree recognize the constitutional aind federal statutory rights ofjuveniles confined in Kentucky's juvenile treatment centers. After discussions and in order to avoid litigation concerning the constitutionality of the care and confinement ofjuveniles and of the actions of officials and employees of Kentucky at its juvenile treatment centers, the parties agree to the provisions set forth in this Consent Decree.
IV. SUBSTANTIVE PROVISIONS
A. Protection From Abuse, Mistreatment, and Injury
20. Defendants shall adequately protect the juveniles within Kentucky residential treatment centers from harm, abuse, neglect, exploitation and/or other mistreatment, including physical, verbal, and/or psychological mistreatment. In order to adequately protect the juveniles, Defendants shall implement the provisions contained in ^ 20-34.
21. Defendants shall institute an adequate uniform special incident reporting system that ensures that all special incidents are promptly and adequately identified, reported, investigated and tracked. Defendants shall ensure that the definition of what constitutes a special incident is clear, objective, unambiguous, and easily understood by juveniles and staff of the juvenile treatment centers. The definition of a special incident shall include all alleged incidents of abuse, neglect, mistreatment, exploitation and/or injury. The special incident reporting system shall consist of the following components:
a. Defendants shall create a factfinding investigative unit outside the Department of Social Services or any department or agency given supervising authority over juvenile treatment facilities and/or staff. The investigative unit shall report to the Juvenile Services Review Board created under f 21(b) and shall be responsible for factfinding only. The investigative unit shall have sufficient staff to adequately perform its duties;

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b. Defendants shall create a Juvenile Services Review Board responsible for evaluating investigative reports submitted to them by the factfinding external investigative unit, determining whether the facts substantiate a finding of abuse, neglect, mistreatment and/or exploitation, and suggesting appropriate disciplinary action;
c. Defendants shall create a quality assurance management unit composed of persons outside the Department of Social Services to check the quality, efficacy, and promptness of special incident investigations.
22. The factfinding investigative unit shall have the following specific responsibilities:
a. Investigate in a timely manner all allegations of special incidents and prepare a written report of the investigation and its findings, specifying the occurrences surrounding the special incident and whether or not the perpetrator has been identified;
b. Prepare and provide a report in a timely manner and in writing to the Inspector General of Kentucky, the Juvenile Services Review Board, and place the Department of Social Services on notice of all special incident investigations;
c. Track the time, location, and staff present for all special incidents. The investigator will analyze this information for trends and when trends emerge, report such information to the Juvenile Services Review Board and the Director of Youth Services;
d. Assist in training all staff on reporting allegations of special incidents and on preserving evidence.
23. The members of the factfinding investigative unit shall receive adequate training in conducting investigations in institutions serving juveniles, including classroom and field training.
24. Any member of an investigative unit shall have the authority to immediately investigate any suspected special incidents whether or not a formal complaint has been filed.
25. The Juvenile Services Review Board shall be composed of sufficient numbers of persons to ensure the attendance of at least five members at all meetings, the majority of whom shall not be employed by Kentucky. One of the Board members shall be a member of the Department of Public Advocacy, Protection and Advocacy Division.
26. Defendants shall develop and implement, or ensure that the quality assurance management unit develops and implements, a reliable protocol for checking the quality of all special incident investigations. The quality assurance protocol shall ensure that a reliable sample of special incident investigations are reviewed, including investigations found by the Juvenile Services Review Board to be "unsubstantiated" or "unfounded". The quality assurance management unit shall make periodic and unannounced external monitoring visits ofjuvenile treatment facilities and programs.
27. The Defendants and any state agency or Department with current and/or future oversight or involvement with juvenile treatment centers and all juvenile treatment centers shall develop and implement adequate policies and procedures that detail how to adequately recognize special incidents, promptly report such incidents to appropriate protective and investigative service agencies, promptly take effective action to protect the juvenile, implement appropriate disciplinary action, and adequately track special incidents in an effective, comprehensive manner. Such policies and procedures shall include the following:
a. Policies and procedures shall detail the specific requirements of each staff and non-staff member in reporting, investigating and tracking special incidents and shall offer step by step instructions that delineate clearly individual staff member responsibility for reporting potential abuse;
b. Reporting of special incidents shall be mandatory on all facility staff and non-staff members such as medical contractors and/or teachers and shall occur at the time the special incident is witnessed or discovered;
c. Defendants shall identify high-risk situations of abuse and mistreatment and train staff and non-staff members in how to recognize and handle such high risk situations of abuse and mistreatment;
d. All staff and juveniles shall have easy and quick access to any investigative agency;
e. Staff shall be adequately trained concerning their responsibilities for preventing, recognizing, reporting and responding to abuse and shall sign a statement to that effect; f. Juveniles shall be adequately informed as to the procedures for reporting

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alleged special incidents and shall have access to an investigative agency outside the facility for the purpose of reporting alleged special incidents without facility staff intervention or involvement;
g. Staff at the treatment center shall not be involved in reporting of special incidents by juveniles. Juveniles shall have access to someone outside the facility in a timely fashion without having to contact staff or fill in forms ultimately mailed by staff;
h. Defendants shall institute a priority system that adequately identifies special incidents from other incidents to facilitate the prompt investigation of all special incidents;
i. Defendants shall institute adequate policies and procedures for disciplining staff for abuse and mistreatment ofjuveniles. Such policies and procedures shall include clear and adequate punishments for demonstrated incidents of abuse, neglect, exploitation and/or mistreatment.
28. Defendants shall ensure that reporters of suspected and known special incidents are protected from retaliation and shall inform staff and juveniles of their right to be free from retaliation.
29. Defendants shall take prompt administrative action in response to allegations of abuse and mistreatment and shall vigorously pursue actions before the Kentucky Personnel Board.
30. To the maximum extent possible as permitted by the Commonwealth's regulations governing personnel practices, Defendants shall institute personnel practices that protect juveniles in the treatment centers from continued contact with alleged perpetrators of abuse and mistreatment, especially during investigation and review of the alleged special incidents.
31. If the Kentucky Personnel Board rejects Defendants' disciplinary action for dismissal arising from abuse allegations against one of its employees, Defendants shall take all possible action to avoid placing such staff member back into any position involving direct contact with juveniles pending any review and/or appeal.
32. Defendants shall refer all alleged or suspected crimes against juveniles by staff to outside authorities for investigation. In doing so, Defendants shall not transfer or diminish its responsibility to promptly investigate and adequately discipline staff for incidents of abuse and mistreatment. Responsibility for prompt and adequate investigation and resolution of special incidents lies with the Defendants and may not be shifted to outside law enforcement agencies.
33. In no event shall Defendants use mace or other chemical agents on the juveniles.
34. Defendants shall abide by Administrative Order HR 95-122 signed by Masten Childers II, the Secretary for Human Resources on October 24, 1995, and incorporated into this Consent Decree as Appendix B, to the extent such order applies to the Commonwealth's juvenile residential treatment centers.
B. Treatment Services
35. All juveniles shall have adequate Individual Treatment Plans ("ITPs"). In order to provide the juveniles with adequate ITPs, Defendants shall implement the provisions contained in | | 35-43.
36. No later than 21 days after admission, a multidisciplinary team of direct care staff and qualified professionals, including the facility based psychologist, shall meet with the juvenile to assess a juvenile's treatment needs. A member of the facility's medical staff shall attend such treatment meeting with appropriate medical information and charts.
37. No later than 30 days after admission, the multidisciplinary treatment team shall develop and implement an initial Individual Treatment Plan ("ITP") for each juvenile housed at the treatment facilities. Qualified and adequately trained professional staff, including the facility based psychologist, shall coordinate and oversee the development and implementation of the ITP plans. A final, complete, and full ITP shall be developed and implemented within 45 days of admission.
38. The ITP shall include meaningful and specific short-teirm and long-term treatment goals and appropriate periodic reevaluation and follow-up. The ITP shall adequately delineate staff responsibilities for the programs. The ITP shall include any psychiatric/psychological evaluations with recommendations and actions noted and a plan for follow-up by the multidisciplinary treatment team based on the evaluations. If an ITP is ineffective, the multidisciplinary treatment team shall

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timely modify the plan, with oversight from the facility based psychologist. ITPs shall be kept in the juvenile's record.
39. Defendants shall provide sufficient services to adequately implement, maintain, and modify each juvenile's ITP.
40. Defendants shall hire sufficient and qualified staff and counselors to implement all ITPs and shall provide adequate access to sufficient outside consultant services necessary to meet the goals identified in the ITPs.
41. Defendants shall indicate in each juvenile's ITP the specific criteria and goals that the juvenile must meet or satisfy in order to gain release from the treatment facility. Defendants shall not arbitrarily withhold release from a juvenile that has satisfied his or her release goals and criteria. The release goals and criteria shall contain clear timelines for release. Defendants shall inform juveniles clearly of the goals and timeliness relevant to his or her release from the facility.
42. Every juvenile's ITP shall address the provision of aftercare services and shall, if such services are required, identify factors necessary to the provision of meaningful aftercare services, such as factors that contribute to the risk that the juvenile will become a repeat offender.
43. Defendants shall establish specific formats and guidelines for therapeutic activity required under juvenile individual treatment plans, including the following:
a. Individual and group counseling shall be conducted only by staff members who have been adequately trained and credentialed/certified under the various training programs offered for such activity through the Department for Social Services for college and/or graduate study credit at the universities within Kentucky;
b. Group activity shall be of manageable size not to exceed eight residents;
c. At least two staff members shall be present to conduct group activities;
d. Defendants shall adequately and regularly document all individual and group counseling.
C. Education & Vocational Training & Structured Activities
44. All juveniles, including juveniles with disabilities, shall have adequate educational and vocational services that are individualized to meet each juvenile's rehabilitative needs. In order to provide the juveniles with adequate educational and vocational services and adequate structured activities, Defendants shall implement the provisions contained inffl[44-57.
(1) General Population
45. Defendants shall continue to provide all juveniles housed at the treatment facilities with adequate educational and vocational services. Defendants shall ensure that an adequate number of qualified and experienced teachers are available to provide such services. Defendants shall continue to provide adequate instructional material and space for educational services.
46. Within 30 days of admission, Defendants shall assess a juvenile's education needs and develop and implement an individual education plan with meaningful and specific educational and vocational goals to address identified needs.
47. Qualified professionals shall review and revise a juvenile's individual education plan with appropriate frequency.
(2) Juveniles with Disabilities
48. Defendants shall abide by all mandatory requirements and timelines set forth under the Individuals with Disabilities Education Act, 20 U.S.C. §§ 1401 et seq.
49. Defendants shall screen a juvenile for physical and learning disabilities. The screening shall include questions about whether the juvenile has been previously identified by the public school system as having an educational disability, previous educational history, and a sufficient medical review to determine whether certain educational disabilities are present, such as hearing impairments, including deafness, speech or language impairments, visual impairments, including blindness, mental

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retardation, or serious emotional disturbances adversely affecting educational performance.
50. If a juvenile has been previously identified as having an educational disability, Defendants shall take all lawful steps to immediately obtain a copy of the juvenile's individualized education plan ("IEP") required under the Individuals with Disabilities Education Act, 20 U.S.C. §§ 1401 et seq. Defendants shall assess the adequacy of the juvenile's IEP and either implement it as written if it is an adequate plan or, if the IEP is inadequate, rewrite the plan to make it adequate, and then implement the revised IEP. If Defendants are unable to obtain a juvenile's original IEP in a timely manner, Defendants shall create an IEP for such juvenile.
51. If the juvenile has not been previously identified as having an educational disability, but indications of such a disability exist, an adequate evaluation must be performed within the time limits prescribed by federal law. Kentucky shall use only professionally accepted tests to complete the evaluation. A copy of this educational evaluation shall be kept in the juvenile's record at the facility.
52. If a juvenile referred for an evaluation pursuant to the above paragraph is discharged from the system before the evaluation is complete, Defendants shall forward all information regarding screenings and evaluations completed to date to the juvenile's receiving school district, noting what evaluations are yet to be performed.
53. Qualified professionals shall develop and implement an IEP, including appropriate related services, based upon an adequate evaluation and reasonably calculated to provide educational benefits for every juvenile identified as having a disability. When appropriate, the IEP shall include a vocational component.
54. The IEP shall include meaningful and specific short-term and long-term treatment goals and appropriate periodic reevaluation and follow-up. When an IEP is ineffective, Defendants shall ensure that qualified professionals timely modify the plan. IEPs shall be kept in the juvenile's record.
55. Defendants shall integrate the IEP with the ITP for the juvenile.
(3) Structured Activities
56. Defendants shall provide a structured recreation program, including outdoor and indoor recreation, with set and specific guidelines for such activity. Defendants shall provide the juveniles with an adequate exercise regimen of activity each day, seven days per week.
57. Defendants shall hire sufficient staff and
maintain adequate exercise equipment and space to meet the above requirements for recreation.
D. Aftercare Treatment Services
58. All juveniles shall have adequate aftercare treatment services. In order to provide the juveniles with adequate aftercare treatment services, Defendants shall implement the provisions contained infflj58-66.
59. Defendants shall develop and implement written policies and procedures for the provision of aftercare treatment services to juveniles. Defendants shall implement and monitor adherence to such policies and procedures.
60. Defendants shall develop and implement an aftercare services screening tool to identify specific problem areas to address during aftercare treatment, including the risk of becoming a repeat offender. This screening tool shall be part of the multidisciplinary ITP process and shall be administered by trained staff members. The juvenile's court records, psychological and social evaluations, family history, and educational records must be considered in this screening process.
61. Defendants shall provide meaningful aftercare treatment services to all juveniles who exhibit a risk of becoming repeat offenders as identified through screening or through the course of the treatment program.
62. Defendants shall immediately assign an aftercare worker to each juvenile in need of aftercare treatment services. The aftercare worker shall participate in formulating the juvenile's ITP and shall attend at least the initial ITP meeting and the last two ITP meetings for the juvenile prior to release, one of which shall be within 45-60 days prior to release.

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63. Defendants shall hire or contract to provide sufficient staff to provide meaningful aftercare services. At a minimum, Defendants agree to provide one aftercare worker for every 18 juveniles receiving aftercare services.
64. Each aftercare worker shall be adequately trained and ciredentialed/certified under the various training programs offered for such activity through the Department for Social Services for college and/or graduate study credit at the universities within Kentucky.
65. Residential treatment services and aftercare services shall be coordinated, supervised, and provided by the same agency and shall not be split among various departments or divisions within CHR.
66. Defendants agree to provide supplemental services as needed to provide meaningful aftercare services.
E. Time-Out and Isolation
67. Defendants shall adequately protect juveniles against arbitrary and harmful uses of time-out and isolation. In order to provide the juveniles with adequate protection against arbitrary and harmful uses of time-out and isolation, Defendants shall implement the provisions contained in ^f 67-78.
68. Defendants shall develop specific written criteria for placing juveniles in either isolation or time-out. Such criteria will define the nature of the conduct that may result in the placement and the duration of the placement. These criteria will be standardized among the residential treatment facilities.
69. Defendants shall immediately cease using isolation and time-out for punishment or the convenience of staff.
70. Defendants shall place juveniles in isolation only when such a placement meets specified treatment goals or is necessary for immediate and short term security. The amount of time that juveniles spend in isolation shall be the shortest amount of time necessary to accomplish their treatment goals or to achieve security.
71. Defendants shall document all placements in isolation. This report shall contain, at a minimum, the reason for and duration of the isolation.
72. Defendants shall ensure that no juvenile is placed in isolation without the approval of the Operations Coordinator or the superintendent. This approval will be noted on the form documenting the placement in isolation.
73. For every juvenile placed in isolation, the Defendants will immediately develop a written action plan for that juvenile's release. This action plan shall identify the reasons for the confinement, the criteria for release, and the services or actions of the staff to achieve the release criteria. The juvenile shall be released from isolation upon meeting the release criteria.
74. Defendants shall conduct a formal professional review of each placement in isolation. This review must be conducted within an appropriate period following the initial placement but in no event more than ten hours following the initial placement. The review shall be repeated at appropriate intervals while the juvenile remains in isolation but in no event shall such subsequent reviews be held less often than every four hours while the juvenile remains in isolation during the day and every eight hours at night. This review must consider and evaluate a) whether the initial and continued placement of the juvenile is necessary to meet treatment goals or immediate and short term security, b) what amount of time the juvenile should be isolated to best meet these goals, and c) the action plan developed in ^[ 73. This review must be conducted by an appropriately qualified and competent professional, including a counselor or facility based psychologist. Defendants will document the occurrence and results of this review.
75. The facility nurse or other medically trained staff shall examine the juveniles immediately after the juvenile is placed in isolation, unless it is unsafe to do so, in which case the nurse shall examine the juvenile when safety permits. The nurse or other medically trained staff shall document the date, time, and results of this examination.
76. Defendants will monitor every juvenile in isolation once every fifteen minutes.
77. In addition to monitoring the juveniles every fifteen minutes, Defendants shall ensure that every juvenile in isolation is visited at least once every 24 hours by either a nurse, social worker or counselor. A visit shall mean, at a minimum, that the nurse, social worker, or counselor actually enters the isolation room, unless it is unsafe to do so, and converses with the

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juvenile. Defendants shall record the occurrence of all such visits.
78. Defendants will never place a juvenile who is a suicide risk into isolation.
F. Staffing, Operational, and Security Procedures
79. Defendants shall ensure that there is adequate staff at each juvenile treatment facility fully sufficient to provide reasonable security to all juveniles, ensure their well-being, meet their individual needs, provide adequate treatment, and permit defendants to fully implement each and every requirement of this Consent Decree in a timely manner. Staff shall be adequate in terms of numbers, kind, and qualifications and training. Such staff shall include, but not be limited to, Juvenile Treatment Assistants ("JTAs"), Juvenile Treatment Assistant Principals ("JTAPs"), juvenile counselors, youth treatment specialists, youth treatment specialist assistants, teachers and any other staff necessary to fully implement this Consent Decree. Only staff present and on duty directly supervising juveniles shall be considered in any evaluation of the adequacy of staff.
80. In order to maintain sufficient and adequate staffing levels, utilizing a relief factor, the Defendants shall also hire and train sufficient extra staff to maintain the required staffing levels, including periods of staff illness, training, vacation or other leave of absence. The staffing levels shall also include enough staff to provide the juveniles adequate supervision during exercise periods.
81. Defendants shall hire and maintain sufficient numbers ofjuvenile counseling positions to adequately implement juvenile treatment programs, including performing individual and group counseling as required in each resident's individual treatment program.
82. All juvenile counselors shall be adequately trained and credentialed/certified to perform therapeutic counseling.
83. Defendants shall hire and maintain adequate numbers of properly trained (and licensed where applicable) professional staff to oversee, consult, advise and monitor the staff of the residential facilities, especially staff involved in therapeutic treatment.
84. The Defendants shall ensure that current and new treatment center staff members are sufficiently well-trained and competency-based tested. To this end, the Defendants shall institute a comprehensive training program, to include, at a minimum, 80 hours of orientation training to staff (40 hours of which shall be prior to an employee being independently assigned to any particular area or duty), and an additional 40 hours of in-service training each year thereafter. Such program shall entail, at minimum, training and testing in the following areas: appropriate training in how to work specifically with adolescents and adolescent development; crisis intervention, de-escalation of conflict situations, handling anger, and dispute resolution; cultural diversity training to better understand different patterns of development exhibited by juveniles from different ethnic, racial, and geographical backgrounds; training and certification with yearly reviews in standard first aid and CPR (cardiopulmonary resuscitation); training by mental health professionals in how to recognize and deal with mentally ill and/or potentially suicidal juveniles; training by a local medical professional, including training in recognizing the sideeffects of medications commonly administered at the treatment centers; security and search procedures, use of force regulations and tactics; supervision of juveniles; report writing; juvenile and staff rules and regulations; rights and responsibilities of juveniles; all emergency procedures; and training in HIV related issues. Defendants shall adequately document all training.
85. Program managers shall be required to have the same level of initial training as front-line staff.
86. Defendants shall require that staff meetings be held at appropriate intervals among personnel within each facility and between facility personnel and central office personnel.
87. Defendants shall evaluate current personnel policies, including entry level salaries, and make any necessary changes or modifications to ensure that competent and qualified staff are available in adequate numbers at all treatment facilities.
G. Medical Care
88. Defendants shall ensure that adequate, regular and continuous medical care is provided to juveniles at the treatment centers. In order to provide adequate, regular and continuous medical care, Defendants shall implement the provisions contained in KU 87-102.

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89. Defendants must hire or develop a contractual relationship with a licensed and Board certified physician to serve as the Statewide Medical Authority for all juvenile residential treatment facilities. At a minimum, the Statewide Medical Authority shall approve and supervise a medical quality assurance program to be used in each residential treatment facility, and approve and supervise all medical policies, procedures, and protocols used at the residential treatment facilities.
90. For each facility, Defendants must either hire or develop a contractual relationship with the following medical personnel: (1) a physician to consult with facility medical staff and provide sick call services as needed, provide 24 hours/day, seven days/week on-call medical coverage, arrange for admission, when necessary, to a local hospital, and meet quarterly with the psychologists, psychiatrists, and nursing staff; (2) one full-time registered nurse (RN) and one licensed practical nurse (LPN) on back-up; and (3) major sub-specialty medical care providers to evaluate and provide care for juveniles referred to them by the treatment centers' physician.
91. The RNs and LPNs shall be responsible for all aspects of medication administration including handling, measuring, dispensing, and storing all medications, except that facility staff may assist in the limited role of distributing medications. Such facility staff shall not repackage, measure or dispense medications and shall be fully and adequately trained and supervised by a physician, RN, or LPN. Such training shall include, but shall not be limited to, the nature and side-effects of the distributed medications. The RNs and LPNs shall also be involved in the medical quality assurance system, and shall review Medication Administration Record ("MAR") sheets on a consistent basis.
92. In consultation with the Statewide Medical Authority and in accordance with accepted medical standards, Defendants shall revise and update the intake medical/mental health screening form used to evaluate all juveniles upon their admission to the treatment centers.
93. Defendants must provide inservice training to all appropriate staff in how to complete the screening form.
94. Defendants shall use medically trained treatment center personnel or a medical professional to conduct medical screening.
95. All medical screening forms with positive responses must be reviewed by a nurse or physician and must become part of a juvenile's medical records or charts.
96. In consultation with the Statewide Medical Authority, Defendants shall develop and implement adequate sick call procedures that include (1) review ofjuvenile requests by qualified personnel on a daily basis to determine urgency of need to be seen, (2) sick call clinic to be held five times per week Monday through Friday; and (3) recording the results of all sick call encounters in juvenile records.
97. Defendants shall ensure that any juvenile transferred among residential treatment facilities or to or from any other facility is delivered safely and with all immunization certificates, medical information including screening forms and records, psychological evaluations (if any), birth verification, commitment order, social history and social needs assessment, a copy of his social security card, and a copy of his education records. Defendants' medical personnel shall contact the medical personnel at the discharging facility to ensure that all medical documentation has been received.
98. Facility staff shall communicate to succeeding shifts medical problems with juveniles through a written shift report and by oral communication between shift staff that shall also be documented in the shift report.
99. Defendants must develop and implement a policy and procedure to specify minimum follow-up frequency and minimum evaluation for juveniles identified with acute and chronic illnesses.
100. In all cases of juveniles confined at the treatment centers for seven days or more, Defendants shall administer a PPD test for Tuberculosis (TB) with the results of the test forwarded immediately to the facility physician. If the test result is positive, the juvenile shall be immediately scheduled for a chest x-ray, with appropriate medical care and attention, including isolation, to be provided thereafter as indicated.
101. Defendants shall implement policies and procedures regarding HIV and AIDS in conjunction with the local public health department and/or a physician.
102. All over-the-counter drugs shall be in unit dosages.

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103. No juvenile shall be disciplined for or otherwise discouraged from accessing the health care delivery system.
H. Mental Health Care
104. Defendants shall ensure that adequate, regular and continuous mental health care is provided to juveniles at the treatment centers. In order to ensure that adequate, regular and continuous mental health care is provided, Defendants shall implement the following substantive provisions contained in ffl| 104-118.
105. Defendants must either hire or develop a contractual relationship with the following mental health personnel: (1) a licensed psychiatrist (or a psychiatric resident in training under supervision of a licensed psychiatrist) present at the facility for four hours per week and available on call, as needed, for providing such services as crises intervention, diagnosing juveniles, medication prescriptions and renewals, and other consultation, as appropriate. The licensed psychiatrist shall be Board certified and where available shall be Board certified in child psychiatry; (2) one facility based clinical psychologist with a minimum of a masters degree in psychology present at the facility for every 45 juveniles. Each facility shall have at least one such facility based psychologist. In rural areas, if after their best efforts, Defendants are unable to hire or contract with a Ph.D or masters level psychologist, Defendants may use a QMHP. The facility based psychologist (or QMHP in rural areas) shall function as the treatment coordinator for the juveniles of each facility. If the facility based psychologist has only a masters degree in psychology or is a QMHP, he/she shall be supervised by a licensed clinical Ph.D. psychologist; (3) sufficient Ph.D. clinical psychologists to comply with the terms of this Decree, including supervising facility based psychologists and QMHPs, providing treatment to juveniles when needed, conducting and reviewing mental health evaluations ofjuveniles, reviewing and approving policies and procedures concerning the mental health care ofjuveniles and otherwise overseeing the provision of mental health services to juveniles; and (4) major sub-specialty mental health care providers to evaluate and provide care for juveniles referred to them by the treatment centers' psychologists.
106. Defendants shall write and implement policies and procedures for treatment referrals from the QMHP or masters level psychologist to a Ph.D. psychologist or psychiatrist as appropriate for juveniles' treatment needs. At a minimum, these policies shall provide for immediate and automatic referral for appropriate treatment to a Ph.D. psychologist or psychiatrist whenever: a) a juvenile's mental health poses a risk of physical harm to himself or others (e^g,, any suicidal ideation); b) any juvenile exhibiting any mental health problems does not have a current mental health diagnosis from a Ph.D. psychologist or psychiatrist; or c) any juvenile requires a change of medication prescribed as a result of any mental health condition (including initiating and terminating medications).
107. Defendants shall ensure that the facility psychologist(s) oversees the provision of mental health services to juveniles and provides clinical oversight to the juveniles' treatment programs.
108. The Defendants shall screen all juveniles for suicide risk, special needs, and acute mental distress immediately upon their admission to the treatment centers. Defendants shall revise its medical screening form to include sufficient inquiry into such mental health conditions. The mental health and suicide risk portion of the medical screening questionnaire shall be administered by mental health trained staff and reviewed by the facility based psychologist. The reviewing facility based psychologist must sign the screening form to indicate the form has been reviewed and assessed. All such screening forms shall be forwarded to the medical unit.
109. Defendants shall provide mental health evaluations to juveniles who have not had a mental health evaluation within the preceding year if the juvenile is not on psychotropic medication. Defendants will perform this evaluation within 14 days of admission if the juvenile has not had a mental health evaluation in the preceding year or arrives at the facility without such an evaluation. Otherwise, Defendants shall perform this evaluation within 14 days after the expiration of one year after the juvenile's last mental health evaluation. Defendants will provide such mental health evaluations more frequently if such evaluations are necessary to provide adequate treatment.
110. Defendants shall provide mental health evaluations to juveniles taking psychotropic medications and who have not had a mental health evaluation within the preceding six months. Defendants will perform this evaluation within 14 days of admission if the juvenile has not had a mental health evaluation in the preceding six months or arrives at the facility without such an evaluation. Otherwise, Defendants will perform this evaluation within 14 days after the expiration of six months after the juvenile's last mental health evaluation. Defendants will provide such mental health evaluations more frequently if such evaluations are necessary to provide adequate treatment.
111. A mental health evaluation must be performed by either a psychiatrist or Ph.D. psychologist, and must contain at least a complete Mental Status Evaluation (MSE) and additional psychological testing as appropriate for the juvenile's special needs.

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112. Defendants shall ensure that the facility based psychologist reviews medical screening forms and the mental health evaluation of each juvenile.
113. A psychiatrist or Ph.D. psychologist shall develop and Defendants shall implement an adequate mental health treatment plan for all juveniles on psychotropic medication and for all juveniles identified as in need of mental health services.
114. Defendants shall ensure that a mental health care provider is available on-call 24 hours a day, seven days per week, for crisis intervention services. Defendants shall arrange for psychiatric beds when needed either at the treatment centers, or at a local hospital.
115. If the appropriate mental health care professional recommends that any juvenile needs further mental health treatment or review, the Defendants shall promptly arrange for such treatment and shall promptly transport the juvenile to obtain such treatment.
116. The Defendants shall develop and implement written policies and procedures on suicide prevention and the treatment of special needs juveniles.
117. Defendants shall ensure that all direct care staff receive adequate training by a licensed mental health professional in the proper response to a suicide or suicide attempt, in identifying and screening juveniles, and in recognizing high-risk groups and periods for suicide and suicide attempts.
118. Immediately upon signing the Consent Decree, Defendants shall renovate all treatment facility isolation rooms to ensure that they contain no exposed conduits, sharp edges, or other hazards that could be utilized in a suicide attempt.
I. Classification
119. Defendants shall adequately assess, classify and place juveniles among Kentucky facilities. In order to adequately assess, classify and place juveniles among Kentucky facilities, Defendants shall implement the following substantive provisions contained infflj119-124.
120. Defendants shall classify juveniles by using a risk evaluation model that contains, at a minimum, reference to the offense the juvenile committed and an individual assessment of each juvenile's social, medical, and psychological records.
121. Juvenile classification and reclassification shall be performed by a team of trained personnel.
122. Defendants shall ensure that the classification team receives all information necessary to make an adequate juvenile classification. This information shall include the court order and any educational records, social or behavioral assessments, psychological evaluations, or physical evaluations.
123. Defendants shall place juveniles among the treatment facilities in a manner such that each juvenile is placed in the least restrictive environment appropriate to his classification. No juvenile shall be placed in a facility that is incapable of treating his or her special needs.
124. No juvenile will be housed in a treatment facility that does not match the juvenile's general classification. No juvenile shall be transferred to a treatment facility of a different classification level unless that juvenile has been reclassified.
J. Fire .Safety
125. In order that juvenile treatment centers are made fire safe, the Defendants shall institute the following upgrades and/or renovations:
a. remove or otherwise secure all exposed extension cords and electrical conduits and comply with all state and local electrical codes;
b. remove or cover all dangerous exposed lightbulbs in the facilities and replace fixtures with security grade hardware.

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126. Treatment center staff shall continue to be trained in fire prevention and emergency procedures, including evacuation plans. Such training shall be documented.
K. Bedspace and Overcrowding
127. No juvenile shall be housed in any area other than properly designated living quarters, and no juveniles shall be made to sleep on the floor, or a closet, or in any place other than a bed raised at least twelve inches off the floor.
128. The population shall not exceed the number of available beds in properly designated living quarters not under construction, renovation, or dedicated to alternative uses. Defendants shall continue to maintain records of daily juvenile population and the number ofjuveniles in each room.
L. Maintenance and Sanitation
129. Defendants shall remove old stains and scale/shower film and eliminate bacteria in the shower and living quarter areas. This cleaning shall be in addition to ongoing daily maintenance and sanitation.
130. Defendants shall develop and implement written policies and procedures to ensure the daily cleaning of all juvenile living quarters. It shall be the responsibility of treatment center staff to inspect all areas regularly to maintain sanitary conditions.
V. TREATMENT CENTER CONSTRUCTION AND/OR RENOVATION
131. If the Defendants decide to construct new treatment facilities or to substantially renovate or otherwise replace any existing treatment facility, the Defendants agree to construct any new treatment centers or renovate\replace the existing facility in compliance with: (1) the American Correctional Association's ("ACA") standards in effect at the time of construction; (2) the Americans with Disabilities Act of 1990, 42 U.S.C. §§ 12101 et seq., and the regulations thereunder; and (3) all Kentucky fire codes and regulations. In addition, once construction or renovation\replacement is completed, the Defendants agree to seek, gain and maintain ACA accreditation.
VI. CONSTRUCTION, IMPLEMENTATION, AND TIMING OF COMPLIANCE
132. Except where otherwise specifically indicated, the Defendants shall implement all provisions of this Decree within 180 days after signing this Decree.
133. This Consent Decree shall apply to all juvenile treatment centers operated by or on behalf of the Commonwealth of Kentucky.
134. Within 30 days after the entry of this Decree, Defendants agree to appoint a Monitor who shall on a quarterly basis monitor Defendants' compliance with each provision of this Consent Decree. The Monitor shall be acceptable to both parties. If the parties are unable to agree on a Monitor, both parties shall submit names to the Court and the Court shall select the Monitor. Kentucky shall bear the costs of the Monitor and required monitoring activities.
135. Every ninety (90) days following the signing of this Decree and until this Decree is terminated, Defendants shall file with the Court and the Monitor, and with a copy to the United States, a status report stating whether the Defendants are complying with the terms of this Decree. As part of the status report, Defendants shall include a report listing the daily juvenile population of the treatment centers and the number ofjuveniles in each sleeping unit.
136. The status reports shall describe the actions that the Defendants have taken up to and including the current reporting period to implement this Consent Decree and shall specifically refer to the provisions of this Consent Decree upon which they report. In addition, every ninety (90) days Defendants shall provide a summary of the frequency and duration of the use of isolation per juvenile at each facility.
137. The Defendants shall maintain sufficient records to document their compliance with all terms of this Decree. Defendants shall also maintain any and all records required by or developed under this Consent Decree.
138. During all times while the Court maintains jurisdiction over this action, the Monitor and the United States shall have

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unrestricted access to and, upon request, receive copies of any document relating to the implementation of this Decree. The Monitor and the United States shall have unrestricted access to all staff and facilities as necessary to address issues affected by this Decree.
139. The United States and the Monitor shall treat as confidential records and documents provided by the Commonwealth of Kentucky Cabinet for Human Resources. This agreement does not bar the United States or the Monitor from providing such records and documents to its attorneys, employees and expert consultants for the purposes of any investigation under 42 U.S.C. § 1997 etseq., or the provisions of Pub. L. No. 103-322, 108 Stat. 2071 (codified at 42 U.S.C. § 14141). This agreement does not bar the United States or the Monitor from providing such information to any court that may have jurisdiction over any subsequent action taken pursuant to 42 U.S.C. § 1997 et seq., or the provisions of Pub. L. No. 103-322, 108 Stat. 2071 (codified at 42 U.S.C. § 14141).
140. The Defendants shall immediately explain the terms of this Decree to all persons connected with the treatment centers, including treatment centers staff in order to ensure that they understand the requirements of this Decree and the necessity for its strict compliance. All treatment centers staff members and other individuals providing services required by this Decree shall sign a statement indicating that they have read and understand this Decree and acknowledge receiving an individual copy of the Decree. Such statement shall be retained by the Defendants. The Defendants shall require strict compliance with this Decree by their respective employees, agencies, assigns, or successors.
141. The Court shall retain jurisdiction of this action for all purposes during the lifetime of this Consent Decree and until such time as the Commonwealth has fully and faithfully implemented all requirements of the Consent Decree and such full compliance has been maintained for one year. At such time as the Commonwealth has determined that it is in full and faithful compliance with the Consent Decree and that full compliance has been maintained for no less than one year, the Commonwealth shall advise the United States in writing. Thereafter, the parties shall promptly confer as to the status of compliance. If, after a reasonable period of consultation and the completion of any evaluation the United States may wish to undertake, including tours of the juvenile treatment centers, the parties cannot resolve any compliance issues, the Commonwealth may file a motion to dismiss. If the Commonwealth moves for dismissal of this Consent Decree, the United States will have an adequate time after the receipt of Defendants' motion to object to the motion. If the United States does not object, the Court may grant Defendants' motion. If the United States does make such an objection, the Court shall hold a hearing on the motion and the burden shall be on the Commonwealth to demonstrate that it has fully and faithfully implemented all provisions of this Consent Decree and maintained such compliance for at least one year.
Agreed to by:
COUNSEL FOR UNITED STATES:
JANET RENO, Attorney General of the United States DEVAL L. PATRICK, Assistant Attorney General, Civil Rights Division ARTHUR E. PEABODY, JR., Chief, Special Litigation Section ROBINSUE FROHBOESE, Deputy Chief, Special Litigation Section United States Department of Justice
MICHAEL TROOP, United States Attorney, Western District of Kentucky
WILLIAM G. MADDOX ROBERT J. MOOSSY, JR. Trial Attorneys U.S. Department of Justice Civil Rights Division Special Litigation Section Post Office Box 66400 Washington, D.C. 20035
COUNSEL FOR DEFENDANTS:
BRERETON C. JONES, Governor, Commonwealth of Kentucky MASTEN CHILDERS II, Secretary, Kentucky Cabinet for Human Resources JOHN E. KUHN, JR., Deputy Counsel, Office of the Counsel

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U.S. v. Kentucky

Also for PEGGY WALLACE, Commissioner of the Department for Social Services; BETTY SHIPP, Director of Youth Services; ELIZABETH WACHTEL, Commissioner for Mental Health and Mental Retardation Kentucky Cabinet for Human Resources Frankfort, Kentucky 40621-0001 (502) 564-7900

It is hereby Ordered, this

day of

, 1995.

UNITED STATES DISTRICT JUDGE VII. APPENDICES

Page 15 of 15

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 U.S. Department of Justice Civil Riizhts Division

nf t'r.f Asshkin: AH, "-•:,-. C:'.'cTO;

'.WiJm/i;'"". DC. O o 5
U.S. v. Kentucky

The Honorable Brereton C. Jones
Governor of the State of Kentucky Governor's Office 100 State Capitol Frankfort, KY 40601

JI-KY-004-001 February 9 1995

Re: Central Kentucky Treatment Center, Rice Audubon Treatment Center, and Green River Bovs Camp Juvenile Detention Center

Dear Governor Jones:

I am writing to inform you that the United States Department of Justice intends to investigate conditions at the Central Kentucky Treatment Center, Rice Audubon Treatment Center, and the Green River Boys Camp Juvenile Detention Center pursuant to the Civil Rights of Institutionalized Persons Act, 42 U.S.C. § 1997 e_t sea.

The purpose of the investigation is to determine whether the above mentioned facilities violate the constitutional rights of their residents. The investigation will focus specifically on allegations concerning physical abuse and neglect, racially motivated abuse and misconduct, improper use of restraints, retaliation for filing complaints, inadequate medical and psychiatric care, the absence of training programs and inadequate numbers of qualified professional and direct care staff. Initiating this investigation does not evidence any prejudgment that the facilities violate the residents' constitutional rights. If any violations are found, however, we will confer with you and your staff concerning appropriate corrective actions.

We will endeavor to coordinate this investigation with relevant officials of the State of Kentucky. We shall be in touch with your staff to work out the specifics of our investigation. Please feel free to contact our office if you have any questions on this matter. The attorneys assigned to the case are William G. Maddox at (202) 514-6251 and Robert J. Moossy at (202) 514-6247.

- 2Your cooperation in this ir.atter is greatly appreciate
xiiuci c x y i

/}

\ ^

*> ^4' --—?-- - - L — - ^i

Deval L. Patrick

Assistant Attorney General

Civil Rights Division

cc: The Honorable Chris Gorman Attorney General 116 State Capitol Frankfort, Kentucky 4 0 601

Mr. Masten Childers, II Secretary Cabinet for Human Resources 275 East Main Street Frankfort, Kentucky 40621

Mr. Leon Farley Supervising Director Rice-Audubon 8711 LaGrange Road Louisville, Kentucky

40222

Mr. Richard Barnes Director Green River Boys Camp 3 54 Boys Camp Road Cromwell, Kentucky 42333

Ms. Carol A. Isham Director Central Kentucky Treatment Center 8310 Westport Road Louisville, Kentucky 40222

Michael Troop, Esq. United States Attorney

510 W. Broadway, 10th Floor Louisville, Kentucky 40202

KENTUCKY JUVENILE CENTERS

Central Kentucky Treatment Center 8310 Westport Road Louisville, KY 502-425-2573

•Residential treatment center--refers to a facility over eight beds designated by the Department, in which a child adjudicated as a delinquent may reside for the purpose of treatment
•Maximum security w/ capacity for 50 *Age limits: 16-19, Males, Youthful or public offenders •Opened in 1955 •Accredited Facility/Program
••Internal Information--DJ# 168-30-12; Notice Letters sent 02/09/95

Green River Boys Camp Route 1 Cromwell, Kentucky 42333 502-526-3826

•Residential treatment facility as described in Central •Minimum Security w/ capacity for 44 •Age limits: 14-17, Males, Public offenders •Opened in 1972 •Accredited Facility/Program

••Internal Information--DJ# 168-31-12; Notice Letters sent 02/09/95

Rice-Audubon 8711 LaGrange Road Louisville, Kentucky 502-425-7521

40222

•Residential treatment facility as described in Central •Minimum Security w/ capacity for 42 •Age limits: 14-18, Males, Youthful or Public Offenders •Opened in 1978 •Accredited Facility/Program

••Internal Information--DJ# 168-31-11; Notice Letters sent 02/09/95

 
 Memorandum

U.S. v. Kentucky

AEP:WM:RJM:KW:drb

JI-KY-004-002

D.T 1 gfl-^1 - U

Subject
Addendum to Add Johnson-Breckenridge Treatment Center to the Four KentuckyJuvenile Facilities Currently Being

Investigated

Date
Mav 1, 199 5

To
Deval L. Patrick Assistant Attorney General Civil Rights Division

From
Arthur E. Peabody, Jr. Chief Special Litigation Section

We recommend that the Justice Department expand its current investigation of four juvenile treatment centers in Kentucky under § 210401 of the Violent Crime and Law Enforcement Act of 1994 and the Civil Rights of Institutionalized Persons Act (CR1PA), 42 U.S.C. § 1997 e_t seq. , to include the JohnsonBreckenridge Treatment Center, a state operated juvenile treatment center in Louisville, Kentucky.

Cn April 28, 1995, we met with the Kentucky Director of Youth Services, Betty Shipp, and the Superintendent of JohnsonBreckenridge Treatment Center, Pam McFarland. During our conversation with these state officials, they indicated that the medi1-- security facility at Johnson-Breckenridge has received many juveniles from the maximum security Central Kentucky Treatment Center.1/ They also admitted to us in some detail that Johnson-Breckenridge, a 1930's construction dormitory style facility, was in imminent danger of running out of control. They stated that the influx of severely mentally disturbed and violent youth into a facility that concurrently houses medium security juveniles has created a dangerous and harmful environment for staff and juveniles. Finally, they stated that the juveniles were r.ot being treated but were being kept in "lock-down" for security purposes.

Johnson-Breckenridge is directly across the street from the

Rice-Audubon Treatment Cente:

we will tour on May 9-12,

1/ The Central Kentucky Treatment Center, which is a facility currently under our investigation, was a maximum security juvenile facility that Kentucky closed after admittedly losing control of the facility. The state plans to re-open the facility later this year as a juvenile corrections facility housing dangerous juveniles tried and convicted as adults.

- 2-
1995. The situation at Johnson-Breckenridge indicates that the state is denying the juvenile residents constitutionally adequate treatment and conditions of confinement. We request that Johnson-Breckenridge Treatment Center be included in the current investigations of Kentucky juvenile treatment centers.
Approved
Disapproved:
Comments:

of :•'.<• J--:v.\:;:.' -I." -•.-. d'nrjl

U.S. Department of Justice Civil Rights Division
UU.:i::".^:,>n. DC y*l<5
May 1, 199 5

The Honorable Brereton C. Jones Governor of Kentucky Governor's Office 100 State Capitol Frankfort, KY 4 0601
Re: Johnson-Breckenridae Treatment Center
Dear Governor Jones:
I am writing to inform you that the United States Department of Justice intends to investigate conditions at the JohnsonBreckenridge Treatment Center, Louisville, Kentucky, pursuant to the Civil Rights of Institutionalized Persons Act, 42 U.S.C. § 1S97 et sea.
The purpose of the investigation is to determine whether the above mentioned facility violates the constitutional and federal statutory rights of its residents. The investigation will focus specifically on allegations concerning physical abuse and neglect, improper use of restraints and seclusion, retaliation for filing complaints, inadequate medical and psychiatric care, the absence of training programs, inadequate numbers of qualified professional and direct care staff, lack of adequate policies and procedures, and improper restrictions of constitutional rights. Initiating this investigation does not evidence any prejudgment that the facility violates the residents' constitutional and federal statutory rights. If any violations are found, however, we will confer with you and your staff concerning appropriate corrective actions.
We will endeavor to coordinate this investigation with relevant officials of the State of Kentucky. We shall be in touch with your staff to work out the specifics of our investigation. Please feel free to contact our office if you

- 2-
have any questions on this matter. The attorneys assigned to the case are William G. Maddox at (202) 514-6251 and Robert J. Moossy at (202) 514-6247. Your cooperation in this matter is greatly appreciated.
Sincerely,
Patrick Assistant Attorney General
Civil Rights Division
cc: The Honorable Chris Gorman Attorney General State of Kentucky
Mr. Masten Childers, II Secretary Cabinet for Human Resources
Ms. Pam McFarland Superintendent Johnson-Breckenridge Treatment Center
Michael Troop, Esquire United States Attorney Western District of Kentucky

AEP:WM:RJM:KV:drb DJ 16S-31-14

May 1, 1995

The Honorable Brereton C. Jones Governor of Kentucky Governor's Office 100 S-ate Capitol Frankfort, KY 40 6 01
Re: Johnson-Breckenridae Treatment Center
Dear Governor Jones:
I am writing to inform you that the United States Department of Justice intends to investigate conditions at the JohnsonBreckenridge Treatment Center, Louisville, Kentucky, pursuant to the Civil Rights of Institutionalized Persons Act, 42 U.S § 19S7 et sea.
The purpose of the investigation is to determine whether the above mentioned facility violates the constitutional and federal statutory rights of its residents. The investigation will focus specifically on allegations concerning physical abuse and neglect, improper use of restraints and seclusion, retaliation for filing complaints, inadequate medical and psychiatric care, the absence of training programs, inadequate numbers of qualified professional and direct care staff, lack of adequate policies and procedures, and improper restrictions of constitutional rights. Initiating this investigation does not evidence any prejudgment that the facility violates the: residents' constitutional and federal statutory rights. If any violations are found, however, we will confer with you and your staff concerning appropriate corrective actions.
We will endeavor to coordinate this investigation with relevant officials of the State of Kentucky. We shall be in touch with your staff to work out the specifics of our investigation. Please feel free to contact our office if you
cc: Records Chrono Peabody Maddox Moossy Wilkinson Hold

- 2-
have any questions on this matter. The attorneys assigned to the case are William G. Maddox at (202) 514-6251 and Robert J. Moossy at (202) 514-6247. Your cooperation in this matter is greatly
Sincerely,
Deval L. Patrick Assistant Attorney General
Civil Rights Division
cc: The Honorable Chris Gorman Attorney General State of Kentucky
Mr. Hasten Childers, II Secretary Cabinet for Human Resources
Ms. ?am McFarland Superintendent Johnson-Breckenridge Treatment Center
Michael Troop, Esquire United States Attorney Western District of Kentucky

 
 Memorandum

U.S. v. Kentucky

AEP:RF:WGM:RJM:KW:drb DJ 168-31-13, DJ 168-31-14 DJ 168-30-12, DJ 168-31-11 n.T 1fiB-~31-12

—— ^

w mm H

• •

JI-KY-004-003

Subject

Date

Issuance of Findings Letter For Owensboro

Treatment Center, Green River Boys Camp,

July 27, 1995

Johnson-Breckinridge Treatment Center, Rice

Audobon Treatment Center, and Central

To

From

Deval- L. Patrick Assistant Attorney General Civil Rights Division

I Arthur E. Peabody, Jr. Chief Special Litigation Section

RECOMMENDATION

We recommend that you sign the attached letter to the Governor of Kentucky, the Honorable Brereton C. Jones, notifying him of the results of our investigation under CRIPA and the Crime Bill of the five above-captioned facilities that are state operated juvenile treatment centers located in various areas throughout the state of Kentucky.

The letter advises the Governor that unconstitutional and unlawful conditions exist at these facilities with respect to the State's failure to provide protection from abuse and harm, improper use of isolation for punishment and convenience of staff, unsafe classification practices that mix violent and nonviolent youth with improper supervision, insufficient and poorly trained staff, and inadequate physical conditions of confinement.

The letter also details the inadequate treatment programs and aftercare services, inadequate special education, certain improper medical care practices and complete lack of mental health services for the youth. As required by CRIPA, the minimal remedial measures necessary to redress the unconstitutional and unlawful conditions described above are specified for each relevant area in this letter. We have also attached for your review and signature letters to the Departments of Health and Human Services and Education, Coordination & Review, and the Office of Juvenile Justice and Delinquency. Protection advising them of our findings and enclosing a copy of our findings letter.

- 2-
The Kentucky legislature meets in special session on July 31, 1995, to discuss, among other things, its juvenile justice system. We feel that having a copy of our findings letter in advance of special session would help the legislature focus on the important issues within the state's current juvenile system. We, therefore, request expedited review.
Attachments
Approved:
Disapproved:
Comments:

Office of the Assistant Attorney General

U.S. Department of Justice Civil Rights Division
Washington, D.C. 20035

The Honorable Brereton C. Jones Governor of Kentucky Governor's Office 100 State Capitol Frankfort, Kentucky 4 0601

July 28, 1995

Re: Notice of Findings of Investigations: Owensboro Treatment Center, Green River Boys Camp, JohnsonBreckinridge Treatment Center, Rice-Audubon Treatment Center, and Central Kentucky Treatment Center

Dear Governor Jones:

On February 9, 1995, and May X, 1995, we notified you of our intent to investigate the five above-captioned juvenile treatment centers for the Commonwealth of Kentucky ("the treatment centers") pursuant to the Civil Rights of Institutionalized Persons Act ("CRIPA"), 42 U.S.C. § 1997 et ^eg. , and the law enforcement misconduct provisions of the Crime Bill, 42 U.S.C. § 14141. We toured the Owensboro Treatment Center ("OTC") and Green River Boys Camp ("GRBC") with expert consultants on April 26-28, 1995. We toured the Johnson-Breckinridge Treatment Center ("JBTC"), Rice-Audubon Treatment Center ("RATC") and Central Kentucky Treatment Center ("CKTC") with expert consultants on May 9-13, 1995. Consistent with the statutoryrequirements of CRIPA, we now write to advise you of the findings of our investigation. Throughout the course of the investigation, the Cabinet for Human Resources staff and facility personnel were fully cooperative with our investigation and provided us with substantial assistance. Our consultants express appreciation for this assistance, and we wish to join them in thanking you for your cooperation.

I. LEGAL FRAMEWORK
CRIPA gives the Department of Justice authority to investigate and take appropriate action to enforce "rights, privileges, or immunities protected by the Constitution or laws

- 2-
of the United States . . . ," of the residents of facilities such as the Kentucky treatment centers. 42 U.S.C. § 19 97a. Hence, CRIPA authorizes suit for violation of federal statutes and regulations as well as for constitutional violations. The Crime Bill similarly authorizes the Attorney General to obtain appropriate relief to address systemic violations of constitutional and federal statutory rights by the "officials or employees of any governmental agency with responsibility for administration of juvenile justice or the incarceration of juveniles." 42 U.S.C. § 14141.
A. Constitutional Rights
Juveniles in custody have a due process right to adequate treatment, food, clothing and shelter, as well as freedom from unnecessary bodily restraint. Youngberg v. Romeo, 457 U.S. 307 (1982) . In addition, a state has the obligation to provide rehabilitative treatment to those juveniles within its institutions. Gary H. v. Hegstrom, 831 F.2d 1430 (9th Cir. 1987); Alexander S. v. Bovd, 876 F.Supp. 773, 796 (D.S.C. 1995); Morgan v. Sproat. 432 F. Supp. 1130, 1136 (S.D. Miss. 1977).
Furthermore, under the 14th Amendment, juveniles in custody have equal rights with juveniles not in custody, especially with regard to public education. Any restriction of the rights of juveniles in custody must be related to a legitimate penological interest. Donne11 C. v. Illinois State Board of Education. 829 F. Supp. 1016 (N.D. 111. 1993).
B. Federal Statutory Rights
The Individuals with Disabilities Education Act ("IDEA"), 20 U.S.C. § 1400 e_t seq. , requires States receiving education funds for special education to develop individualized education plans ("IEPs") for qualifying children. Board of Education v. Rowley, 458 U.S. 176, 188-89 (1982). The IDEA applies to incarcerated juveniles. Donne11 C. v. Illinois State Board of Education, 829 F. Supp. 1016 (N.D. 111. 1993); Green v. Johnson, 513 F. Supp. 965 (D. Mass. 1981). Furthermore, the Americans with Disabilities Act ("ADA"), 42 U.S.C. § 12101 et sea., and Section 504 of the Rehabilitation Act of 1973, 29 U.S.C. § 794, prohibit discrimination on the basis of disability.
Based on our investigation, we believe that certain conditions at the treatment centers violate the constitutional and federal statutory rights of the juveniles. The facts supporting our determination of constitutional and legal violations and the necessary remedial measures to correct these violations are set forth below.

- 3-
Notwithstanding our serious concerns, we believe there are several positive aspects to the care and treatment of residents at the treatment centers. Though currently inadequatelyimplemented, to its credit the Commonwealth of Kentucky maintains small community focused facilities with a goal of providing juveniles with the treatment and education necessary to reintegrate them into the community upon release. The physical plant at Owensboro Treatment Center is well designed and modern. Although not as modern and in need of expansion, the physical plant at Rice-Audubon is well maintained and clean but inadequate for its rated bed capacity and has safety hazards as noted below.
II. FACTUAL SUMMARY
The following factual summary is derived from the reports of our experts, our inspections of the five facilities, and the documents provided by the facilities. The deficiencies discussed below are systematic and must be corrected statewide at all juvenile treatment centers.
A. Inadequate Abuse Investigations, Neglect, and Harm
1. Abuse Investigations
All Facilities
The procedures for reporting and investigating abuse and neglect are inadequate and ineffective. The abuse investigation system functions to suppress complaints. An initial abuse complaint is generated internally. In practice, to file an abuse complaint, a youth must request a form from staff and complete the form with staff assistance. Even if the youth obtains a form without staff involvement, the youth must give the completed form to staff to mail. In either situation, staff are alerted to an abuse filing. Both youth and staff report that staff pressure youth to withdraw the complaint, resulting in many complaints being withdrawn without investigation. More often, complaints are never filed because the youth fear retribution from staff. The current procedures for filing complaints are insufficient to provide adequate protection for youth.
For abuse complaints that are filed, the complaints are not processed with any sense of priority. Minor complaints and infractions receive the same level of attention as major incidents of physical and verbal abuse. Consequently, a severe backlog of abuse complaints exists and severe incidents of abuse remain uninvestigated. When finally investigated, major incidents of abuse are impossible to corroborate. Key evidence is completely outdated and often the affected youth has left the

- 4 -
facility. Good staff have become frustrated with the often frivolous nature of many of the complaints actually investigated and poor staff remain undisciplined within the system. Without prioritization, the log jam of complaints at the administrative level results in slow and often unsatisfactory resolutions to serious issues and allegations of abuse and neglect.
In those instances where complaints of staff misconduct are substantiated, Kentucky fails to properly discipline and remove such staff from contact with the youth. Facility superintendents do not have the authority' to fire abusive staff. Consequently, a facility's staff are not truly accountable to the facility's superintendent. This lack of accountability leads to a lack of control at the facilities and prevents resolution of facility problems, thus placing residents in danger of repeated abuse. Problem staff are simply ignored or shuffled around to other facilities. Many such staff remain in contact with juveniles. Accountability within the entire Kentucky system is a severe deficiency resulting in continued abuse and harm to facility juveniles.
The above deficiencies in the system of abuse and misconduct investigations dramatically increase the likelihood of further resident abuse and severely and negatively impacts the treatment provided at the facilities.
2. Isolation Rooms
All Facilities
The use of isolation rooms at the facilities is improper and potentially abusive. Staff isolate youth far too frequently and isolation practices are generally outside the requirements of resident treatment or facility security. Due process procedures are significantly lacking and youth are isolated for extended periods of time to suit the staff. One youth was isolated for fifteen days "for acting out and planning an escape." Another . youth was isolated for three days for "being sarcastic with a smart mouth." In practice, staff use the isolation rooms to excessively punish youth or simply when the staff are tired of dealing with a specific youth. With regard to JBTC specifically, the isolation rooms themselves are in such disrepair as to be unsafe and inhumane. The rooms have exposed conduits that could facilitate suicides, pass-throughs that could be used to pass contraband, and are in general disrepair. One report documented a youth pulling concrete and glass off of the damaged wall of the isolation room and throwing it at staff. Finally, the youth in isolation are not monitored every 15 minutes per facility policy. For example, at JBTC one youth was not monitored at all for over an hour on the day we toured the facility. Such lack of monitoring presents an unacceptable suicide risk.

- 5-
3. Classification and Initial Screening
All Facilities
During our tours, our experts noticed many youth who were improperly placed in certain facilities. Violent and mentally disturbed youth are placed in facilities incapable of handling them. This creates a real and serious danger for both residents and staff. It also disrupts resident treatment and education. All the facilities we toured, both minimum and medium security, contained residents transferred from the closed maximum security Centra], Kentucky Treatment Center. This practice of transferring juveniles among facilities of different security classifications presents a danger to both residents and staff and further disrupts treatment and educational programming. The lack of proper classification is especially problematic and potentially, dangerous to both residents and staff in those facilities containing non-secure dormitory style housing.
A large part of the classification problem is due to a lack of proper mental health screening before a youth is placed into a facility. Without adequate initial screening, Kentucky will remain unable to properly classify and segregate its juvenile population and to treat adequately juveniles with mental health needs, as further explained below.
4. Staffing
All Facilities
. All facilities, except for GRBC, suffer from staffing « shortages. At OTC and JBTC, the problem is acute. The shortage of staffing is worst among the direct care staff where sufficient staff does not exist to provide relief duties when staff are unable to attend work. The facilities often operate without an adequate complement of direct care staff. Inadequate staffing patterns negatively impact the facility by overburdening the direct care staff on duty and increasing the likelihood of physical harm to residents while decreasing the effectiveness of treatment. Overburdened staff cannot maintain security and devote adequate time to treatment programming. Staff informed us that due to lack of adequate staff and the increased numbers of more violent youth placed in the facilities, several "near-riot" situations have recently occurred, especially at JBTC. The absence of relief staff also negatively impacts staff training. Staff do not have time to attend necessary training without leaving the facility dangerously understaffed.

- 6-
5. Physical Conditions of Confinement
Johnson-Breckinridge Treatment Center
Johnson-Breckinridge is too small for its rated 34 bed capacity. Many areas are dirty and in disrepair. Several areas are dangerous. For example, electrical extension cords are left all over the living unit floors. The isolation room conditions are horrendous with sharp edges, exposed conduit, and holes in the wall temporarily closed with sheets of plywood. The indoor recreation area is poorly lighted and inadequate in size. The dining .room is too small and peeling paint in the kitchen food preparation area is unsanitary.
Rice Audubon-Treatment Center
The Rice-Audubon physical plant is neat and clean but inadequate in size for its rated 42 bed capacity. The sleeping area allows for little privacy, the dining area is far too small, the gym shared with JBTC needs to be replaced or renovated and enlarged, and the indoor recreation room and showers need to be enlarged. In addition, exposed lightbulbs throughout the facility create a dangerous hazard.
Central Kentucky Treatment Center
Although under renovation, several of the safety features being added to the Central Kentucky physical plant are deficient and potentially dangerous. The; razor wire spiralled around the perimeter fencing is so poorly installed as to potentially assist escape. The barred gates at the entrance of both ends of the living space could render the facility a firetrap without an accompanying secondary/backup release. The entire electrical system, lighting, and fire alarm system needs to be replaced.
B. Inadequate Treatment Programming and Aftercare Services
1. Treatment Programs
All Facilities
As a general matter, the Commonwealth of Kentucky has multiple policies and procedures covering nearly ever aspect of its care and treatment of the juveniles under its custody. The implementation of these policies, however, is often inadequate. Every juvenile treatment center we investigated lacks adequate individual treatment programs for the juveniles. Our consultants found most ITPs to be superficial and of little use in meaningful treatment. The ITPs are formula written and boilerplate. The ITPs do not list specific treatment goals or problem behaviors specific to the individual with defined consequences or rewards. Because the ITPs are standard formulas, they are not useful to

- 7-
inform staff of the specific actions that staff should take when dealing with a particular youth. The ITPs are seldom reviewed, revised, or updated and few of the youth interviewed even understood their ITPs. Vague and inadequate ITPs also adversely affect a resident's release from a treatment center. in Kentucky, release from a treatment program depends upon successful completion of a treatment program. Without specific and identifiable treatment goals as contained in a youth's ITP, the decision to release a child has become arbitrary and capricious. Staff apply no established set of criteria for release. Release is consequently a function of arbitrary staff decisions.
Numerous policies and procedures refer to individual and group counseling. However, these services are not being adequately provided. Counseling is defined broadly to include any informal conversation with a youth at any time. Such an understanding of counseling by staff is meaningless. The formal counseling that does occur is inadequate. Individual counseling is sporadic and haphazard often involving multiple untrained staff and providing no continuity for the youth involved. Progress notes are also poorly maintained. Group counseling occurs more frequently but is inadequately documented and provided by poorly or untrained staff. Essentially, the system of treatment throughout all facilities investigated functions to maintain order and does not adequately provide for any meaningful treatment.
Finally, clinical oversight for the treatment programs is inadequate. There is an almost absolute lack of oversight of the treatment programs in the facilities by professionally trained or licensed personnel. In sum, the actual treatment is grossly inadequate, departs from generally accepted standards, and does not provide the juveniles with needed rehabilitation.
/ 2. Aftercare
All Facilities
Kentucky facilities provide inadequate aftercare and transitional services to youth reintegrating into the community. Currently, the youth's transitional counselors meet with the specific youth and the youth's facility counselors only infrequently, if at all. Youth do not continue to receive counseling or follow-up once they have left the facility. This deficiency has a severely negative impact on the treatment provided at all the facilities.

- 8C. Inadequate Medical and Mental Health Care Services

1. Medical Care All Facilities

The physician and nurse staffing complement at the facilities is inadequate. Untrained direct care staff dispense medications and are unqualified to monitor for side effects of dispensed medications. Moreover, there is little uniformity in dispensing medications. We witnessed one staff member discover that the medication log for a youth had not been filled out. He called the person responsible for administering the medication and asked whether he should sign the log for him. He then signed the log for the other staff member. This kind of inexperience and lax control presents a real danger to residents receiving medications. Finally, non-medical staff routinely dispense psychotropic medication and repackage designated dosages. Such a practice is clearly improper. In sum, medication administration practices at the treatment centers depart significantly from accepted standards of care.

2. Mental Health Services All Facilities

Kentucky fails to provide adequate mental health services to

its juvenile treatment center residents. The State does not

locate mental health providers on the facility campuses and does

not provide regular mental health consultations. This is true

even when a youth has been identified by his counselor as needing

such services. Staff are not properly trained to recognize the

dangerous side effects of psychotropic medications. Nor are

staff adequately trained to identify youth with self-destructive

or suicidal tendencies.

j

What mental health services are provided are inadequate. For example, the "Treatment Specialist" assigned to the Western Region is responsible for consultation to multiple programs and averages two hours per week at OTC (and these two hours are primarily spent with the residents in the Sex Offender Treatment Program). This consultant has an MSW but is not licensed in Kentucky.

The lack of adequate mental health services is a grave cause for concern given the type of youth placed in many Kentucky juvenile treatment centers. For example, two OTC youths interviewed by the consultant were seriously emotionally disturbed with histories of prior psychiatric hospitalizations. However, these two youths are not being seen by a mental health professional. At JBTC, where seven youth were on significant doses of psychotropic medications, the facility contracted a

- 9-
psychiatrist for a mere four hours a month. A similar situation exists at RATC.

The lack of mental health services results in situations that are potentially dangerous to the health and safety of both residents and staff. The absence of adequate mental health services also negatively impacts the treatment programs for the youth.

D. Education

Johnson-Breckinridge Treatment Center

The Individualized Education Plans ("IEPs") required under the IDEA at JBTC are inadequate. The IEPs are primitive and lacking in detail. They do not adequately identify the youth'seducational goals and methods of achieving these goals. Additionally, the IEPs are not integrated with the treatment plans.

Rice-Audubon Treatment Center

Although the vocational and regular education program at RATC are good, the IEPs as required under the IDEA are deficient. The IEPs are lacking in detail and overly generalized. There is little evidence of follow-up, monitoring, and revision of the IEPs. The juveniles' educational programs are not integrated into their treatment programs.

III. Minimally Required Remedies

Remedial measures must be taken to ensure that the juveniles

confined in these facilities are not further deprived of their

constitutional and statutory rights. These measures include, at

a minimum, the following remedies:

•

/

1. Kentucky must provide adequate abuse investigation • procedures for all facilities. Adequate abuse investigation procedures must include the following measures:

a. Staff must not be involved in filing complaints.

b. Investigations must be prioritized and conducted promptly.

c. The abuse investigation process must be adequately monitored with proper quality assurance external oversight.

- 10 -

d. Abusive staff must be appropriately and promptly disciplined.

2. Kentucky must adequately protect its facility youth from neglect and harm. To protect its residents from neglect and harm, the State must implement the following remedial measures:

a. Ensure that all youth entering the system are adequately evaluated with current and relevant information and properly classified and placed within appropriate juvenile facilities.

b. Immediately cease inappropriately using isolation rooms for punishment and convenience of staff.

c. Only use isolation rooms where placement meets treatment goals or is necessary for the immediate and short term security of the facility.

d. Further revise and enhance due-process protections for isolation placements.

e. Regularly monitor all youth placed in isolation.

f. Maintain properly trained and adequate staffing and increase line staffing to levels that allow for staffing relief and attendance at staff training.

3. Kentucky must provide its confined juveniles with safe

conditions of confinement. To this end, the State must initiate

the following measures:.

:

a. Immediately remove all safety hazards.

b. Remove all fire and safety hazards. j c. Provide for adequate exercise opportunities. j

d. Renovate isolation rooms where unsafe.

e. Reduce overcrowding.

4. Kentucky must provide adequate treatment plans and after care services to its juveniles. To this end, the State must initiate the following measures:

a. Develop and implement meaningful ITPs.

b. Monitor, evaluate, and revise ITPs as necessary.

- 11 -
c. Ensure that the ITPs are used and understood bystaff and residents and train staff accordingly.
d. Adequately define the concept of counseling and maintain sufficient and qualified juvenile counselors.
e. Provide transitional counseling services and aftercare to all residents for whom such treatment is needed.
5. Kentucky must provide cideouate medical and mental health care to protect the health and safety of the juveniles.
a. Provide appropriate medical services including maintaining sufficient qualified medical staff to safely dispense medication and provide adequate clinical oversight.
b, Maintain sufficient qualified mental health staff to evaluate and monitor all juveniles for mental health problems, develop and implement an adequate mental health care delivery system of individualized treatment, and provide adequate clinical oversight.
6. Kentucky must develop and implement meaningful IEPs,integrate IEPs with ITPs, and monitor, evaluate, and revise IEPs as necessary.
You may wish to contact the regional offices of the United States Departments of Health and Human Services and Education as well as the National Institute of Corrections and the Office of Juvenile Justice and Delinquency Protection to ensure that Commonwealth officials have taken full advantage of any federal financial assistance which may be available to assist in the correction of the above listed deficiencies. If we can assist you in this regard, please contact us.
We appreciate the assistance and cooperation that representatives of the Commonwealth and the facilities extended to us during this investigation. My staff will contact appropriate officials in the next two weeks to discuss this matter further. It is our intent to work cooperatively with

- 12 -
State officials by entering into a consent decree to remedy the deficiencies we have outlined herein.
Deval L. Patrick Assistant Attorney General
Civil Rights Division
cc: The Honorable Chris Gorman Attorney General
Mr. Masten Childers, II Secretary Cabinet for Human Resources
Mr. Leon Farley Supervising Director Rice-Audubon
Mr. Richard Barnes Director Green River Boys Camp
Ms. Carol A. Isham Director Central Kentucky Treatment Center
Ms. Pam McFarland Director Johnson-Breckinridge Treatment Center
Mr. Scott Britton Program Director Owensboro Treatment Center
Michael Troop, Esquire United States Attorney Western District of Kentucky

 
 Kentucky Western CM/ECF - Docket Report

Page 1 of 12

U.S. District Court Western District of Kentucky (Louisville) CIVIL DOCKET FOR CASE #: 3:95-cv-00757-CRS

CLOSED

USA v. KY Commonwealth of, et al Assigned to: Judge Charles R. Simpson, III Demand: $0 Cause: 42:1983 Civil Rights Act
Plaintiff
United States of America

Date Filed: 11/13/1995 Jury Demand: None Nature of Suit: 440 Civil Rights: Other Jurisdiction: U.S. Government Plaintiff
represented by Jane Gilbert Bondurant U.S. Attorney Office 510 W BROADWAY FL 10 Louisville, KY 40202 502-582-5911 LEAD ATTORNEY ATTORNEY TO BE NOTICED

Robert J. Moossy, Jr. U.S. Department of Justice- Civil Rights Division P.O. Box 65968 Washington, DC 20035-5968 202-514-3877 LEAD ATTORNEY ATTORNEY TO BE NOTICED

William G. Maddox U.S. Department of Justice- Civil Rights Division P.O. Box 65968 Washington, DC 20035-5968 202-514-3877 LEAD ATTORNEY ATTORNEY TO BE NOTICED

V. Defendant Commonwealth of Kentucky

represented by John E. Kuhn, Jr. U.S. Attorney Office - Louisville 510 W. Broadway 10th Floor Louisville, KY 40202 502-582-6987 Fax: 502-625-7110

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Defendant
Brereton C. Jones in his official capacity as the Governor of the Commonwealth of KY TERMINATED: 02/13/1996
Defendant
Masten Childers, II in his official capacity as Secretary of the Cabinet for Human Resources TERMINATED: 02/13/1996
Defendant
Peggy Wallace in her official capacity as the Commissioner of the Department for Social Services, Cabinet for Human Resources
Defendant
Elizabeth Rehm Wachtel in her official capacity as the Commissioner of the Department For Mental Health & Mental Retardation Services, Department for Social Services, Cabinet for Human Resources
Defendant
Betty Shipp in her official capacity as the Director of the Division of Youth Services, Department for Social Services, Cabinet for Human Resources
Defendant

Email: john.kuhn@usdoj.gov LEAD ATTORNEY ATTORNEY TO BE NOTICED
Raymond R. Debolt, Jr. Kentucky Attorney General- Civil & Envirnonmental Law Div. 700 Capital Avenue Suite 118 Frankfort, KY 40601-3449 502-696-5663 Fax: 502-564-9380 LEAD ATTORNEY ATTORNEY TO BE NOTICED
represented by John E. Kuhn, Jr. (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED
represented by John E. Kuhn, Jr. (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED
represented by John E. Kuhn, Jr. (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED
represented by John E. Kuhn, Jr. (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED
represented by John E. Kuhn, Jr. (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED

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Viola P. Miller Secretary, of KY Cabinet for Families and Children
Defendant Paul Patton Governor, of the Commonwealth of KY Defendant Kentucky Cabinet for Families and Children
ICMS converted party type Earl L. Dunlap

represented by William K. Moore Cabinet for Health Services 4 WEST Frankfort, KY 40621 502-564-7900 Fax: 564-7573 LEAD ATTORNEY ATTORNEY TO BE NOTICED
represented by William K. Moore (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED
represented by Barbara Jones Department of Corrections 403 WAPPING ST FL 2 Frankfort, KY 40601 502-564-2024 Fax: 564-6686 LEAD ATTORNEY ATTORNEY TO BE NOTICED
Micah Gale Guilfoil Department of Juvenile Justice P.O. Box 12047 692 Newton Pike Lexington, KY 40501 859-246-2650 TERMINATED: 06/06/1997 LEAD ATTORNEY ATTORNEY TO BE NOTICED
William K. Moore (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED
represented by Earl L. Dunlap P.O. Box 5123 Richmond, KY 40476-5123 PRO SE

Date Filed 11/13/1995

#

Docket Text

1 COMPLAINT filed. Sv. to USA. (Summons(es) issued) (ARK) (Entered:

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11/13/1995
11/13/1995 11/13/1995 11/14/1995
12/04/1995 12/04/1995
02/13/1996
04/03/1996 04/25/1996 04/29/1996 04/29/1996
05/13/1996 05/28/1996
07/11/1996

11/13/1995)
2 ANSWER by defendant KY Commonwealth of, defendant Brereton C. Jones, defendant Masten Childers II, defendant Peggy Wallace, defendant Elizabeth Wachtel, defendant Betty Shipp to [1-1] (ARK) (Entered: 11/13/1995)
3 JOINT MOTION by plaintiff, defendants ito enter Consent Decree as an order of the Court ; Consent Decree TENDERED. (ARK) (Entered: 11/13/1995)
FILE/DOCUMENT SUBMITTED to Judge Simpson (ARK) (Entered: 11/13/1995)
RETURN OF SERVICE executed upon defendant KY Commonwealth of, defendant Brereton C. Jones, defendant Masten Childers II, defendant Peggy Wallace, defendant Elizabeth Wachtel, defendant Betty Shipp on 11/13/95 (FCE) (Entered: 11/15/1995)
FILE/DOCUMENT RETURNED (ARK) (Entered: 12/04/1995)
4 CONSENT DECREE by Chief Judge Charles R. Simpson III granting motion ito enter Consent Decree as an order of the Court [3-1], parties shall comply as set forth in order. terminating case (cc: all counsel) (ARK) (Entered: 12/04/1995)
5 FIRST QUARTERLY STATUS REPORT by defendant KY Commonwealth of, defendant Peggy Wallace, defendant Elizabeth Wachtel, defendant Betty Shipp, defendant Viola P. Miller, defendant Paul Patton, defendant KY Cabinet for Famil (ARK) (Entered: 02/13/1996)
6 MOTION by plaintiff USA, defendant KY Commonwealth of for order appointing a monitor ; Memorandum in Support; order tendered (FCE) (Entered: 04/03/1996)
FILE/DOCUMENT SUBMITTED to CRS (NCS) (Entered: 04/25/1996)
FILE/DOCUMENT RETURNED (ARK) (Entered: 04/29/1996)
7 ORDER by Chief Judge Charles R. Simpson III granting motion for order appointing a monitor [6-1]--Earl L. Dunlap, designated to oversee the implementation of the Consent Decree, parties shall comply as set forth in order. (cc: all counsel) (ARK) (Entered: 04/29/1996)
8 SUBMISSION OF SECOND QUARTERLY STATUS REPORT by defendant KY Commonwealth of (FILED IN BROWN FOLDER DUE TO SIZE) (ARK) (Entered: 05/14/1996)
9 MOTION by defendant KY Commonwealth of, et al. to enter an order of the Court expunging certain portions of the dft. status reports and substituting additional materials ; Attachments in Support; order tendered (ARK) Modified on 07/19/1996 (Entered: 05/29/1996)
FILE SUBMITTED to CRS (NCS) (Entered: 07/11/1996)

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07/19/1996 07/19/1996
07/19/1996 07/19/1996 08/13/1996 08/20/1996 08/23/1996 08/26/1996 08/26/1996
08/28/1996 09/13/1996

FILE RETURNED (ARK) (Entered: 07/19/1996)
10 ORDER by Chief Judge Charles R. Simpson III granting motion to enter an order of the Court expunging certain portions of the dft. status reports and substituting additional materials [9-1]. The Ct. EXPUNGES that portion of the Status Rpt. filed by the Dft. on 2/13/96 entitled "Use of Isolation Room Rpt" and those portions of the Status Rpt. filed by the Dft. on 5/13/96 entitled "Use of Isolation Room Rpt." and "Facility Population Rpt." and substitutes the tendered materials therefore. (cc: all counsel) (ARK) (Entered: 07/19/1996)
SUPPLEMENTS added to pleadings #5 and #9 by defendant KY Cabinet for Famil re motion to enter an order of the Court expunging certain portions of the dft. status reports and substituting additional materials [91] (ARK) (Entered: 07/19/1996)
11 SEALED documents by defendant KY Cabinet for Families-EXPUNGED documents are sealed and in vault per #10 order. (ARK) (Entered: 07/19/1996)
12 MOTION by defendant KY Commonwealth of to extend time for filing of third quarterly status report ; order tendered (ARK) (Entered: 08/13/1996)
13 MONITORS REPORT filed. (FILED IN BROWN FOLDER DUE TO SIZE--FILED UNDER SEAL--IN VAULT) (ARK) Modified on 08/26/1996 (Entered: 08/20/1996)
14 SUBMISSION OF THIRD QUARTERLY STATUS REPORT by defendants KY Cabinet for Families, et al. (FILED IN BROWN FOLDER DUE TO SIZE) (ARK) Modified on 08/26/1996 (Entered: 08/23/1996)
15 ORDER by Chief Judge Charles R. Simpson III granting motion to extend time for filing of third quarterly status report [12-1] (cc: all counsel) (ARK) (Entered: 08/26/1996)
16 ORDER by Chief Judge Charles R. Simpson III, purs. to telephonic conf. held on 8/23/96, the Monitor's Report (#13) filed w/the Ct. on 8/20/96 regarding the consent decree is SEALED until further orders of the Ct. The Monitor--Earl L. Dunlap shall promptly file a redacted copy of the report to be placed in the publc record of the case. All names of the juveniles shall be redacted from the report. All FUTURE FILINGS, including the Monitor's Report, that include the names of juveniles shall be filed in duplicate. A copy containing the names of the juveniles shall be FILED UNDER SEAL. A redacted copy, shall be filed in the public record re [13-1] (cc: all counsel) and Mr. Earl L. Dunlap. (ARK) (Entered: 08/26/1996)
17 MONITORS REPORT by Earl L. Dunlap filed (FILED IN BROWN FOLDER DUE TO SIZE) (ARK) (Entered: 08/28/1996)
18 OBJECTIONS by defendant to Report of Monitor [17-1] (FCE) (Entered:

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09/18/1996 09/23/1996
10/22/1996 10/23/1996 10/23/1996
10/23/1996 10/23/1996 10/23/1996
10/23/1996 10/28/1996 10/29/1996
11/13/1996
11/18/1996
11/22/1996
11/22/1996
12/03/1996

09/13/1996)
19 MOTION by defendant KY Cabinet for Famil for entry of appearance ; order tendered (PAC) (Entered: 09/19/1996)
20 MOTION by defendants KY Cabinet for Famil, et al. to amend objections ; Amd. Objections tendered; order tendered (ARK) (Entered: 09/24/1996)
FILE SUBMITTED to CRS (NCS) (Entered: 10/22/1996)
FILE SUBMITTED to Andrea (NCS) (Entered: 10/23/1996)
21 ORDER by Chief Judge Charles R. Simpson III granting motion for entry of appearance [19-1] of Ms. Barbara Jones and Ms. Micah Guilfoil. (cc: all counsel) (FCE) (Entered: 10/23/1996)
22 ORDER by Chief Judge Charles R. Simpson III granting motion to amend objections [20-1] (cc: all counsel) (FCE) (Entered: 10/23/1996)
23 AMENDED OBJECTIONS by defendant to [18-1] (FCE) (Entered: 10/23/1996)
24 ORDER by Chief Judge Charles R. Simpson III that counsel are to report to the Court after meeting with the monitor regarding use of outdated information and parameters of the monitor's responsibility. (cc: all counsel) (FCE) (Entered: 10/23/1996)
FILE RETURNED (FCE) (Entered: 10/23/1996)
REMARK agreed order for extention of time for status report tend. (PAC) (Entered: 10/28/1996)
25 AGREED ORDER by Chief Judge Charles R. Simpson III; to extend time to 12/2/96 for monitor to file the next quarterly report (cc: all counsel) (MLG) (Entered: 10/29/1996)
26 MOTION by defendants KY Commonwealth of, et al. to extend time to file Fourth Quarterly Status Report to 11/22/96 ; order tendered --NO OBJECTION. (ARK) (Entered: 11/14/1996)
27 ORDER by Chief Judge Charles R. Simpson III granting the dfts. motion to extend time to file Fourth Quarterly Status Report to 11/22/96 [26-1] (cc: all counsel) (ARK) (Entered: 11/18/1996)
28 FOURTH QUARTERLY STATUS REPORT by defendant KY Cabinet for Families, et al. (FILED UNDER SEAL--IN VAULT) (ARK) (Entered: 11/22/1996)
29 FOURTH QUARTERLY STATUS REPORT by defendant KY Cabinet for Families--(FILED IN BROWN FOLDER DUE TO SIZE) (ARK) (Entered: 11/22/1996)
30 MONITOR REPORT--STATEMENT by unknown--Court Monitor Earl L. Dunlap filed. (FILED IN BROWN FOLDER) (SEALED) (Entered:

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12/05/1996 12/13/1996 12/23/1996 01/22/1997 02/11/1997
02/11/1997 02/27/1997 02/28/1997 05/12/1997
05/12/1997 05/16/1997 06/06/1997
06/20/1997 07/16/1997
08/14/1997 08/18/1997
11/07/1997

12/03/1996)
31 REPORT TO COURT--STATEMENT by defendant, plaintiff (ARK) (Entered: 12/06/1996)
FILE SUBMITTED to CRS for review - Pleadings and Brn ev. # 29 and 30 (NCS) (Entered: 12/13/1996)
32 NOTICE to the Court-- by defendant KY Cabinet for Famil (ARK) (Entered: 12/23/1996)
FILE RETURNED (NCS) (Entered: 01/22/1997)
33 SUBMISSION OF FIFTH QUARTERLY STATUS REPORT by defendant, w/attachments filed in BROWN FOLDER DUE TO SIZE. (ARK) (Entered: 02/11/1997)
34 ATTACHMENTS filed by defendant in support of [33-1] --(SEALED COPY per Order of 8/26/96) in vault. (ARK) (Entered: 02/11/1997)
REMARK: Jefferson Circuit Ct. subpoena served on Clerk, Jefferson A. Apperson for 3/14/97 at 2:15 p.m. (ARK) (Entered: 02/28/1997)
35 NOTICE to the Court RE: Quarterly Report filed by defendant KY Commonwealth of (ARK) (Entered: 02/28/1997)
36 SIXTH QUARTERLY STATUS REPORT by defendant (FILE COPY) FILED IN BROWN FOLDER DUE TO SIZE (ARK) (Entered: 05/12/1997)
37 SEALED document by defendant re:#36. (FILED IN VAULT) (ARK) (Entered: 05/12/1997)
38 MOTION by defendant KY Cabinet for Famil to withdraw attorney Micah G. Guilfoil ; order tendered (MLG) (Entered: 05/19/1997)
39 ORDER by Chief Judge Charles R. Simpson III granting motion to withdraw attorney Micah G. Guilfoil [38-1] (cc: all counsel) (FCE) (Entered: 06/06/1997)
LETTER from unknown Earl L. Dunlap (ARK) (Entered: 06/20/1997)
40 MONITOR REPORT--(5th Quarterly Status Report)--STATEMENT by Earl L. Dunlap, filed. (IN BROWN FOLDER DUE TO SIZE) (ARK) (Entered: 07/16/1997)
41 NOTICE OF AGREEMENT: SEVENTH QUARTERLY STATUS REPORT (ARK) (Entered: 08/15/1997)
42 SUBMISSION OF SEVENTH QUARTERLY STATUS REPORT by defendant KY Commonwealth of filed. (FILED IN BROWN FOLDER DUE TO SIZE) (ARK) (Entered: 08/18/1997)
43 NOTICE of agreement of the eight quarterly status rpt. filed by unknown Earl L. Dunlap (ARK) (Entered: 11/07/1997)

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11/21/1997 11/21/1997 12/10/1997 02/02/1998 02/26/1998 02/26/1998 04/01/1998 04/03/1998 04/17/1998 04/27/1998 05/13/1998 05/15/1998 05/15/1998 06/29/1998 08/07/1998 08/07/1998

44 SUBMISSION OF EIGHTH QUARTERLY STATUS REPORT-STATEMENT filed by Earl L. Dunlap (FILED IN BROWN FOLDER DUE TO SIZE) (ARK) (Entered: 11/21/1997)
REMARK: SEALED COPY FILED IN VAULT. (BROWN FOLDER) (ARK) (Entered: 11/21/1997)
45 MONITOR REPORT--STATEMENT by Earl L. Dunlap filed. (IN BROWN FOLDER DUE TO SIZE) (ARK) (Entered: 12/10/1997)
46 NOTICE of Agreement RE: Monitor's response filed defendant, plaintiff --Monitor response shall be filed by no later than 3/31/98. (ARK) (Entered: 02/02/1998)
47 SUBMISSION NINTH QUARTERLY STATUS REPORT by defendant filed in brown folder due to size. (SEALED IN VAULT) (ARK) (Entered: 02/26/1998)
48 SUBMISSION OF NINTH QUARTERLY STATUS REPORT by defendant KY Commonwealth of. (IN BROWN FOLDER DUE TO SIZE) (REACTED COPY) (ARK) (Entered: 02/26/1998)
49 NINTH QUARTERLY STATUS REPORT by monitor Earl L. Dunlap (FILED IN BROWN FOLDER DUE TO SIZE) (ARK) (Entered: 04/01/1998)
50 ERRATA filed by unknown Earl L. Dunlap to be attached to [49-1]-Ninth Quarterly Status Report as Attachment D. (ARK) (Entered: 04/03/1998)
51 SUBMISSION OF OBJECTIONS TO THE MONITOR'S REPORT by defendant (PAC) (Entered: 04/17/1998)
52 ATTORNEY SUBSTITUTION: substituting attorney Raymond R. Debolt Jr. (ARK) (Entered: 04/29/1998)
53 ERRATA by Monitor Earl L. Dunlap to [49-1], please attach documents as an addendum to the 3/31/98 monitor's rpt. (ARK) (Entered: 05/13/1998)
54 SUBMISSION OF TENTH QUARTERLY STATUS REPORT filed by defendants--REDACTED COPY, (FILED IN 4 BROWN FOLDERS DUE TO SIZE) (ARK) (Entered: 05/18/1998)
55 TENTH QUARTERLY STATUS REPORT filed by defendants -SEALED COPY, (IN 4 BROWN FOLDER DUE TO SIZE) in vault. (ARK) (Entered: 05/18/1998)
56 AMENDMENT/LETTER by Monitor- Earl L. Dunlap to [50-1], to [491] (ARK) (Entered: 06/29/1998)
57 NOTICE OF AGREEMENT RE: ELEVENTH QUARTERLY STATUS REPORT (PAC) (Entered: 08/07/1998)
58 MONITORS REPORT that responds to the Commonwealth of Kentucky

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08/27/1998 08/28/1998 09/18/1998 11/05/1998 11/25/1998 11/30/1998 12/01/1998 12/07/1998 12/07/1998 01/28/1999 03/01/1999
04/01/1999 04/20/1999 04/20/1999

Tenth Quarterly status report filed 5/12/998 by Earl L. Dunlap (PAC) (Entered: 08/07/1998)
59 SUBMISSION OF ELEVENTH QUARTERLY STATUS REPORT by defendant KY Commonwealth of, (FILED UNDER SEAL--IN VAULT), in 4 BROWN FOLDERS DUE TO SIZE) (ARK) (Entered: 08/28/1998)
60 ELEVENTH QUARTERLY STATUS REPORT by defendant KY Commonwealth of. REDACTED COPY. (FILED IN 4 BROWN FOLDERS DUE TO SIZE) (ARK) (Entered: 08/28/1998)
61 AMENDMENT to the Monitor's Rpt. filed by Earl L. Dunlap to [58-1] (ARK) (Entered: 09/18/1998)
62 ADDENDUM--AMENDMENT by Earl L. Dunlap to [58-1] (ARK) (Entered: 11/05/1998)
63 NOTICE OF AGREEMENT OF FILING TWELFTH QUARTERLY STATUS REPORT by defendant shall be filed by 12/4/98. (ARK) (Entered: 11/25/1998)
64 MONITOR'S REPORT--STATEMENT by Earl L. Dunlap filed. (ARK) (Entered: 11/30/1998)
65 NOTICE by Earl L. Dunlap of filing addendum to Nov. 25, 1998 report. (ARK) (Entered: 12/01/1998)
66 TWELFTH QUARTERLY STATUS REPORT by defendant KY Cabinet for Family. (REACTED COPY) (FILED IN BROWN FOLDERS DUE TO SIZE) (ARK) (Entered: 12/07/1998)
67 TWELFTH QUARTERLY STATUS REPORT by defendant KY Cabinet for Family. (SEALED COPY) (FILED IN BROWN FOLDERS) (ARK) (Entered: 12/07/1998)
68 FINAL REPORT--STATEMENT by Earl L. Dunlap (ARK) (Entered: 01/28/1999)
69 ORDER by Chief Judge Charles R. Simpson III, a letter date 2/15/9 by the Monitor will be treated as a motion to ext. time. IT IS ORDERED that the Monitor is granted an extension of time to 4/2/99 to resp. to the Twelfth Quarterly Status Rpt. The St. of KY is granted to 4/19/99 to file the Thirteenth Quarterly Status Rpt. IT IS FURTHER ORDERED that the record in this matter be RETAINED in the Clk. Office and NOT SHIPPED to the FRC until termination of the Consent Decree. (cc: all counsel), Beverly & Ann. (ARK) (Entered: 03/01/1999)
70 MONITOR REPORT--STATEMENT by Earl L. Dunlap (FILED IN BROWN FOLDER) (ARK) (Entered: 04/02/1999)
71 THIRTEENTH QUARTERLY STATUS REPORT by defendant KY Cabinet for Families, et al. (SEALED COPY) (IN BROWN FOLDERS DUE TO SIZE) (ARK) (Entered: 04/20/1999)
72 THIRTEENTH QUARTERLY STATUS REPORT by defendant KY

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05/10/1999 05/10/1999 05/17/1999 07/26/1999
08/16/1999 09/07/1999 09/23/1999 09/24/1999 09/27/1999 09/27/1999 12/21/1999 12/21/1999
01/06/2000

Cabinet for Families. (REDACTED COPY) (FILED IN BROWN FOLDERS DUE TO SIZE) (ARK) (Entered: 04/20/1999)
73 SUPPLEMENT/ADDENDUM by unknown Earl L. Dunlap re statement [70-1] for (Review of Jacqueline Moore) (MLG) (Entered: 05/10/1999)
74 SUPPLEMENT/ADDENDUM by unknown Earl L. Dunlap re statement [70-1] (Review by Jana Ewing PhD) (MLG) (Entered: 05/10/1999)
75 SUPPLEMENT by defendant KY Commonwealth of re status [71-1] (MLG) (Entered: 05/17/1999)
76 ORDER by Chief Judge Charles R. Simpson III, IT IS ORDERED that the Monitor is granted until 9/3/99 to file resp. to Status Rpt. of 4/19/99. The State of KY is granted until 9/20/99 to file their Fourteenth Quarterly Status Rpt. This record will continue to be RETAINED IN THE OFFICE OF THE CLK & not shipped to the FRC until the Consent Decree is termed. (cc: all counsel) and Front Office--Bev & Ann. (ARK) (Entered: 07/26/1999)
LETTER from Monitor Earl L. Dunlap w/attachments. (ARK) (Entered: 08/17/1999)
77 THIRTEENTH QUARTERLY STATUS REPORT--STATEMENT by Earl L. Dunlap (FILED IN BROWN FOLDER) (ARK) (Entered: 09/07/1999)
78 SUBMISSION OF FOURTEENTH & FIFTHTEENTH QUARTERLY STATUS REPORT--STATEMENT filed. (ARK) (Entered: 09/23/1999)
80 FOURTEENTH & FIFTHTEENTH QUARTERLY STATUS REPORT by defendant KY Cabinet for Families. (SEALED COPY) (BROWN FOLDERS--IN VAULT) (ARK) (Entered: 09/27/1999)
79 FOURTEENTH & FIFTEENTH QUARTERLY STATUS REPORT by defendant KY Cabinet for Families. (FILED IN 10 BROWN FOLDERS) RE-DACTED COPY. (ARK) (Entered: 09/27/1999)
81 ATTACHMENT filed by Monitor Earl L. Dunlap to statement [77-1] (ARK) (Entered: 09/27/1999)
82 SIXTEENTH QUARTERLY STATUS REPORT by defendant KY Commonwealth (RE-DACTED COPY) (FILED IN BROWN FOLDERS DUE TO SIZE) (FIVE FOLDERS) (ARK) (Entered: 12/21/1999)
83 SIXTEENTH QUARTERLY STATUS REPORT by defendant KY Commonwealth (SEALED COPY IN VAULT) (IN BROWN FOLDERS DUE TO SIZE) (SIX BROWN FOLDERS) (ARK) (Entered: 12/21/1999)
84 ORDER by Chief Judge Charles R. Simpson III, purs. to the agreement of the parties, counsel shall comply as set forth in this order. ; Monitor's rpt ddl set for 4/30/00 (cc: all counsel & Federal Monitor) [Entry Date: 1/6/00] (ARK) (Entered: 01/06/2000)

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01/28/2000 02/08/2000 03/21/2000
03/29/2000 05/05/2000 06/21/2000 06/21/2000 08/17/2000 09/22/2000 09/22/2000 01/16/2001 01/17/2001

85 ADDENDUM--ATTACHMENT filed by Earl L. Dunlap to statement [77-1] (ARK) (Entered: 01/28/2000)
LETTER from monitor Earl L. Dunlap w/attachments. (ARK) (Entered: 02/08/2000)
86 SUBMISSION OF SEVENTEENTH QUARTERLY STATUS REPORT by defendant KY Cabinet for Families-Juvenile Justice. (FILED UNDER SEAL--IN VAULT) (IN 6 BROWN FOLDERS) (ARK) (Entered: 03/23/2000)
87 SEVENTEENTH QUARTERLY STATUS REPORT by defendant KY Commonwealth of (REACTED COPY)--2 VOLUMES in BLUE FOLDERS. (ARK) (Entered: 03/29/2000)
88 STATEMENT by Earl L. Dunlap (ARK) (Entered: 05/05/2000)
89 SUBMISSION OF EIGHTEENTH QUARTERLY STATUS REPORT by defendant KY Cabinet (FILED IN TWO BLUE ATTACHMENTS) REACTED COPY. (ARK) (Entered: 06/21/2000)
90 EIGHTEENTH QUARTERLY STATUS REPORT by defendant KY Commonwealth of, (2 BLUE FOLDERS--SEALED IN VAULT) (ARK) (Entered: 06/21/2000)
91 STATEMENT by Earl L. Dunlap, regarding order of 1/6/00, the following rpts. are being filed. (ARK) (Entered: 08/21/2000)
92 NINETEENTH QUARTERLY STATUS REPORT by defendant KY Commonwealth of (REDACTED COPY) (2 VOLUMES) (ARK) (Entered: 09/25/2000)
93 NINETEENTH QUARTERLY STATUS REPORT by defendant KY Commonwealth of (2 VOLUMES FILED UNDER SEAL--IN VAULT) (ARK) (Entered: 09/25/2000)
94 JOINT MOTION by defendant KY Commonwealth of, plaintiff USA to dismiss/term the consent decree ; order tendered (ARK) (Entered: 01/17/2001)
95 ORDER by Chief Judge Charles R. Simpson III granting motion to dismiss/terminates the consent decree [94-1] (cc: all counsel) [Entry Date: 1/17/01] (ARK) (Entered: 01/17/2001)

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