INDIANA ASSOCIATION OF COMMUNITY CORRECTIONS
ACT COUNTIES
RESIDENTIAL ADVISORY
COMMITTEE GUIDELINES
FOR
COMMUNITY CORRECTIONS ADULT RESIDENTIAL
SERVICE PROVIDERS
IN COOPERATION WITH THE
INDIANA DEPARTMENT OF CORRECTION
(Revised 09/19/02)
(Revised 03/10/05)
(Revised 10/13/05)
(Revised 06/27/08)
(Revised 03/15/11)
(Revised 06/21/13)
Table of Contents
SECTION ONE .............................................................................................................................. 3
MISSION STATEMENT............................................................................................................... 3
RESOLUTION ............................................................................................................................. 4
COMMITTEE HISTORY ............................................................................................................. 5
PROCEDURAL RULES FOR THE RESIDENTIAL ADVISORY COMMITTEE ........................ 6
ARTICLE I: MEMBERSHIP ..................................................................................................... 6
ARTICLE II: OFFICERS .......................................................................................................... 7
ARTICLE III: MEETINGS ........................................................................................................ 7
VISITATION GUIDELINES ......................................................................................................... 8
COURTESY SUPERVISION ....................................................................................................... 9
ACCEPTANCE OF CUSTODY.............................................................................................. 10
TRANSFER OF CUSTODY ...................................................................................................... 11
DEFINITIONS............................................................................................................................ 12
SECTION TWO ............................................................................................................................ 13
SAFETY ..................................................................................................................................... 13
SECURITY ................................................................................................................................. 21
ORDER ..................................................................................................................................... 26
CARE ........................................................................................................................................ 27
PROGRAM AND ACTIVITIES ............................................................................................... 36
JUSTICE .................................................................................................................................... 40
ADMINISTRATION AND MANAGEMENT .......................................................................... 45
SECTION THREE .......................................................................................................................... 64
Facility Visitation Report ..................................................................................................... 64
2
SECTION ONE
MISSION STATEMENT
To establish and promote guidelines for Adult Community Residential Service
Providers receiving funds under IC 11-12. This effort is in response to the
recognized need by corrections professionals for reasonable and uniform
guidelines for all correctional components of the criminal and juvenile justice
system.
(Adopted 12/15/94)
(Reviewed 10/21/99)
3
RESOLUTION
Community Corrections Programs receiving funding pursuant to IC 11-12,
greeting:
Be it resolved that guidelines as developed and attached hereto as
Exhibit 1. by the Residential Standards Committee for free-standing residential
facilities which, for the purposes of this resolution and these guidelines, shall be
defined as those facilities receiving funds under IC 11-12, not operated by a
County Sheriff, and not located in a County Jail, be adopted.
Be it further resolved that the Residential Standards Committee shall
become a permanent “Residential Advisory Committee” composed of and
limited to one representative from any county with a free-standing residential
facility receiving funding under IC 11-12. The representative of this Advisory
Committee will be selected by the chief executive of the respective county’s
program. It is recommended that the Indiana Department of Correction be
represented by the Director of Community Corrections/Adult and the Supervisor
of Jail Inspection Services.
Be it further resolved that the Advisory Committee shall establish a
procedure to promote implementation of the guidelines and provide technical
assistance to all programs, including on-site visitations and critiques. The Advisory
Committee shall also develop a process to assist programs in their efforts to
comply with the established guidelines. The responsibility to review, update, or
change the Residential Guidelines shall also be maintained by the Advisory
Committee.
Approved By:
Indiana Association of Community Corrections Act Counties Board of Directors
January 27, 1995
4
COMMITTEE HISTORY
The Residential Advisory Committee was established in the summer of 1991 in
Brown County, Indiana as a direct result of the firm belief held by Indiana
Department of Correction (IDOC) Commissioner James Aiken that professional
operating standards were imperative for residential programs receiving funding
under IC 11-12. The committee first met during the Indiana Association of
Community Corrections Act Counties’ (IACCAC) Summer Business Meeting as a
joint effort on the part of the IDOC and IACCAC to institute a formalized process
for guideline development. The initial committee membership included
representatives from the Indiana Department of Correction, Knox County
Community Corrections, Lake County Community Corrections, Hamilton County
Community Corrections, and Vanderburgh County Community Corrections. This
group, after research and review of current literature, proceeded with the
development of the material contained in this document.
FOUNDING MEMBERS
Mike Brown
Robert Hatton
Harris Howerton
Gary Paarlberg
Walt Smith
Ralph Watson
5
PROCEDURAL RULES FOR THE RESIDENTIAL ADVISORY COMMITTEE
ARTICLE I: MEMBERSHIP
Sections 1. Eligible Voting Member
An eligible member shall be defined as any one of the following:
1. One person per agency that has been designated in writing to the
committee chair by the respective Community Corrections Director of
any county with a free-standing residential facility receiving funds
under IC 11-12.
2. IDOC Director of Community Corrections or designee thereby.
3. Director of Field Audits/ACA Accreditation.
Section 2. Member
A voting member shall be defined as any eligible member who has participated
in a minimum of one committee activity during the past calendar year, with
committee activity defined as any one of the following:
1. An official committee meeting.
2. Participation in a facility visitation.
3. Hosting of a facility visitation.
A member shall be defined as any eligible staff who participates in a minimum
of two facility visitations during the Indiana Department of Correction Grant
Cycle.
Section 3. Ex-Officio Member
Any previous member of the committee who has been chosen by majority vote
to continue participation in committee work.
Section 4. Advisory Member
Advisory member shall be defined as any other individual the committee deems
appropriate.
6
ARTICLE II: OFFICERS
Section 1. Officers
The officers of the Residential Advisory Committee shall consist of a chairperson
and secretary.
Section 2. Chairperson
The chairperson shall preside at all meetings of the committee and shall have
and perform all other powers and duties customary to the office.
Section 3. Secretary
The secretary shall be the custodian of the papers and records of the
committee. The secretary shall keep the minutes of the meetings of the
committee and shall perform any other duties customary to the office.
Section 4. Selection of Officers and Term of Office
The members of the committee shall annually elect from its members a
chairperson and secretary. The term of office shall be one year. Individuals may
serve an unlimited number of consecutive or non-consecutive terms of office.
Election of officers shall take place during the first meeting within the last quarter
of each calendar year.
ARTICLE III: MEETINGS
Section 1. Regular Meetings
Meetings shall be held at least annually. A notice of 30 days shall be given to all
members prior to a regular meeting.
Section 2. Special Meeting
The chairperson and/or three members may call a special meeting of the
committee. A notice of 48 hours shall be given to all members prior to a special
meeting.
Section 3. Quorum
A majority of the voting membership of the committee shall be necessary to
constitute a quorum for the transaction of any business. A majority vote of the
voting members present shall be required to pass a motion.
7
Section 4. Manner of Voting
The voting on all questions coming before the committee shall be by “yeas” and
“nays” and such vote shall be entered into the minutes of the meeting. Action
of the committee is not official unless it is authorized at a regular or special
meeting by a majority of the members present at the meeting. Written ballot
can be requested by motion.
VISITATION GUIDELINES
The committee will be divided into two teams with a minimum of three
members. Each team will be responsible for visiting the facilities of their team
members. Unavailability of a sufficient number of members to conduct a
visitation may be remedied by substitution of members from the other team. The
teams are composed of the following:
North
Cass County
Elkhart County
Hamilton County
Jasper County
Lake County
LaPorte County
Madison County
St. Joseph County
Tippecanoe County
Whitley County
South
Bartholomew County
Clark County
Dubois County
Fayette County
Greene County
Hancock County
Hendricks County
Johnson County
Marion County
Vigo County
Wabash County
Each team member will conduct a minimum of two visitations per year. A letter
to the committee chair from the local community corrections’ director initiates a
visitation. At the time of the visitation, each facility is expected to provide the
team a copy of their policy and procedures, a building floor plan (if available),
and documentation of health and safety inspections ad reports. At the
participating county’s discretion, they may provide verification of activities, but
the verification must be immediately available at the time of the visit.
Following a visitation, each team will compile a report and submit it within 30
days of the visit. This report will be developed after the following has occurred:
-
A site visitation
An exit interview with the facility representative
An offer to meet with the local Advisory Board
8
The report will be sent to the following:
-
Agency Director
Advisory Board President
IDOC
IACCAC
COURTESY SUPERVISION
RECOMMENDED GUIDELINES FOR COURTESY SUPERVISION
For those agencies interested in courtesy supervision of participants in residential
programs, the Residential Advisory Committee suggests the following guidelines:
1. The purpose of courtesy supervision is to focus on issues relating to
residence, employment, and family preservation.
2. The receiving county may reserve the right to require the following prior
to acceptance: courtesy supervision agreement form, risk/needs
assessment, Pre-sentence Investigation Report, and a pre-placement
interview.
3. If the receiving and/or sending county is a Community Corrections Act
county in accordance with IC 11-12, then the courtesy supervision
request shall be coordinated through the local community corrections
agency.
4. If the courtesy supervision is accepted by the receiving county, the
participant shall follow the program rules and regulations of the
receiving county.
5. Prior to admission into the program the receiving agency shall have in
its possession a signed and sealed sentencing order which includes the
following: identification of receiving agency, no special condition
inconsistent with the receiving agency’s program capacities, length of
sentence, any prior credit time, offense and class for which participant
is being sentenced, and any other special conditions.
6. The participant’s failure to comply with the rules and regulations of the
receiving agency may result in their removal as outlined in the courtesy
supervision agreement form.
9
ACCEPTANCE OF CUSTODY
COMMUNITY CORRECTIONS
Notice of Custody Acceptance/Non-acceptance
Sentencing Authority:
Receiving Authority:
Re:
Cause No.:
(Participant’s Name)
The Receiving Agency has in its possession a duly signed Transfer of Custody
Request for the above-named participant. Accompanying documentation
includes:
Pre-Sentence Investigation report
Risk assessment/evaluation report
Medical/psychological reports provided by Sentencing Authority
Sentencing consultant report
If the participant is found acceptable for placement, the Receiving Agency will,
upon receipt of sentencing order, schedule the participant for admission to its
facility. The Receiving Agency will enforce the participant’s compliance with all
agency rules and policies and will immediately notify the Sentencing Authority
or its agent of participant non-compliance.
The Receiving Agency herein accepts the above-named participant for
admission.
Date:
Signature:
(Agency Representative and Title)
The Receiving Agency finds the above-named participant unacceptable for
admission for the following reason(s):
Date:
Signature:
10
(Agency Representative and Title)
TRANSFER OF CUSTODY
COMMUNITY CORRECTIONS
Transfer of Custody Request
Sentencing Authority:
Receiving Authority:
Re:
Cause No.:
(Participant’s Name)
It is the wish of this sentencing authority that the above-named participant be
placed in the Residential/Work Release program operated by the Receiving
agency. The requested placement is desired for the following reason(s):
Prior to acceptance, the Receiving Agency will receive a copy of this Court’s
Pre-Sentence Investigation report and will be provided with the opportunity to
conduct an interview and risk assessment evaluation of the participant, as it
deems necessary.
Upon acceptance and prior to placement, the Receiving Agency will receive
an official copy of the sentencing order which will include:
1.
2.
3.
4.
5.
The offense and class for which the defendant is sentenced.
The name of the Receiving Agency as the custodial authority.
The length of the sentence.
The amount of prior credit to be received.
No conditions in conflict with the normal capabilities or policies of the
Receiving Agency.
6. An order to the participant to report for admission as directed by the
Receiving Agency.
The participant will be required to remain in compliance with all rules and
policies of the Receiving Agency which is herein assured that this Sentencing
Authority will arrange immediate transfer and transport of the participant upon
notice of noncompliance and request for removal.
Date:
Signature:
(Sentencing Authority)
11
DEFINITIONS
Agency – The unit of a governing authority that has direct responsibility for the
operations of a corrections program, including the implementation of policy as
set by the governing authority.
Agency Administrator – The administrative officer appointed by the governing
authority or designee who is responsible for all operations of the agency.
Case Management Record – Information concerning the individual’s delinquent
or criminal, personal, and medical history and behavior and activities while in
custody. It should include, but not be limited to, intake information, case
information from referral source, case and social history, release of information
forms, medical questionnaire, progress reports, current employment data,
acknowledgement of receipt of program rules and disciplinary policy,
sentencing order, grievance and disciplinary record, referrals to other agencies,
and discharge information.
Facility – A place, institution, building (or part thereof), set of buildings, or areas
(whether or not enclosing a building or set of buildings) that is used for the lawful
custody and/or treatment of individuals.
Facility Administrator – Any official, regardless of local title, who has the direct
responsibility for managing and operating the facility.
Sleeping Area – Room(s) for which the primary purpose is sleeping.
Unencumbered Space – The floor area that is not occupied by fixed equipment,
beds, furniture, or other primarily stationary items.
Volunteer – Any individual who donates his or her time and effort to enhance
the activities and programs of the agency.
12
SECTION TWO
Rev. June 21, 2013
I. SAFETY
SAFETY
GOAL: Provide a safe environment for the community, staff, and participants.
EXPECTED PRACTICES
S-1
Water Supply
1. The facility’s potable water source and supply are sanitary and are
approved by a qualified, independent agency or individual to be in
compliance with jurisdictional laws and regulations.
S-2
Is the facility’s potable water source in compliance with jurisdictional
laws and regulations?
Y
N
NA
Sanitation
1. The facility complies with the sanitation and health codes of the
jurisdiction having authority.
Does the facility comply with local sanitation and health codes?
Y
N
NA
2. Sanitation and safety inspections are conducted weekly. Inspection
results are reviewed, and deficiencies are corrected.
Are documented sanitation and safety inspections conducted?
Y
N
NA
3. Waste is disposed of properly in accordance with an approved plan
by the appropriate regulatory agency.
Does the facility provide for trash removal?
Y
N
NA
Is the facility’s waste disposal plan in accordance with the local
regulatory agency?
Y
N
NA
13
4. Vermin and pests are controlled.
Does the facility provide for vermin and pest control?
Y
N
NA
S-3
Housekeeping
1. The facility is clean and in good repair, and a housekeeping and
maintenance plan is in effect.
Is the facility clean?
Y
Is the facility in good repair?
Y
N
NA
N
NA
Is there a housekeeping and maintenance plan?
Y
N
NA
S-4
Environmental Conditions
1. Documentation is provided by a qualified, independent source that
lightning is at least 20 foot candles at desk level and in personal
grooming areas.
Does the facility have lighting of at least 20 foot candles in reading
and grooming areas?
Y
N
NA
2. Air circulation is at least fifteen cubic feet of outside or recirculated
filtered air per minute per person.
Does the facility have ventilation of at least 15 cubic feet of outside or
recirculated filtered air per minute per resident?
Y
N
NA
S-5
Physical Plant
1. The facility conforms to all applicable building codes and applicable
federal laws.
Does the facility conform to all applicable building codes and federal
laws?
Y
N
NA
14
2. The facility is not crowded. The number of participants does not
exceed the facility’s rated bed capacity.
Does the facility exceed its rated bed capacity?
Y
N
NA
Comments:
3. Space is provided for janitorial supplies in one or more locations that
are accessible to the living and activity areas.
Does the facility have space provided for janitorial supplies?
Y
N
NA
Are these supplies accessible to the living and activity areas?
Y
N
NA
4. Participants have access to operable showers with temperaturecontrolled hot and cold running water; a minimum of one shower for
every eight participants, unless national or state building or health
codes specify a different ratio. Water for showers is thermostatically
controlled to temperatures ranging from 100 degrees Fahrenheit to 120
degrees Fahrenheit to ensure the safety of participants and to
promote hygienic practices.
Does the facility have one operable shower or bathing facility for every
eight participants, water of a temperature between 100 and 120
Fahrenheit, and laundry facilities available to all participants?
Y
N
NA
S-6
Housing Areas
1. Participants have access to writing and seating space.
Does the facility have seating and writing space for all participants?
Y
N
NA
2. Male and female participants do not occupy the same sleeping room.
Does the facility have separate sleeping space for males and females?
Y
N
NA
15
3. Participants are permitted to decorate their living and sleeping
quarters with personal possessions. Rules are available to all
participants and staff. The rules are reviewed annually and revised as
necessary.
Does the facility allow participants to decorate their living and sleeping
quarters with personal possessions?
Y
N
NA
Are these rules available to all participants and staff?
Y
N
NA
S-7
Are these rules reviewed annually and revised as necessary?
Y
N
NA
Vehicles
1. An annual safety inspection of all vehicles is conducted by qualified
individuals and in accordance with state statuses for any vehicle that is
owned, leased, or used in the operation of the facility.
Are the facility’s vehicles inspected annually by a qualified individual?
Y
N
NA
2. Safety repairs are completed immediately. Vehicles are not used until
repairs are made.
Are safety repairs completed immediately on facility vehicles?
Y
N
NA
Are vehicles not used until repairs are made?
Y
N
NA
3. Vehicles are operated by licensed drivers.
Are vehicles only operated by licensed drivers?
Y
N
NA
4. Vehicles and drivers are insured in conformance with state statues.
Are facility vehicles and drivers insured in conformance with state
statues?
Y
N
NA
16
S-8
Emergency Plan
1. Emergencies are analyzed and the results used to initiate or revise
policy and/or procedure to prevent future occurrences.
Does the facility review emergencies and use the results to initiate or
revise policy?
Y
N
NA
2. There is a written emergency plan which includes an evacuation plan
to be used in the event of a major emergency. The plan is reviewed
annually and updated as necessary. The plan includes the following:
Comments:
Does the facility have written emergency plans?
a. Are they reviewed annually?
b. Do they include the location of the building/room floor plans?
c. Does the facility have exit signs and directional arrows that are
easily seen and read?
d. Are evacuation routes posted in conspicuous places in the facility?
Y
N
NA
3. Evacuation drills are conducted on each shift at least once every
quarter and are conducted when the majority of participants are
present.
Are emergency evacuation drills conducted?
Y
N
NA
Are they conducted at least quarterly?
Y
N
NA
Are they conducted when the majority of the participants are present?
Y
N
NA
4. All facility personnel are trained in the implementation of written
emergency plans.
Is staff trained in the implementation of the emergency plans?
Y
N
NA
17
5. Emergency plans are disseminated to appropriate local authorities.
Are the emergency plans disseminated to appropriate local
authorities?
Y
N
NA
6. There is a written work stoppage or job action plan. Copies of this plan
are available to appropriate supervisory personnel who are required to
familiarize themselves with its contents.
Does the facility have a written stoppage or job action plan?
Y
N
NA
Is the plan available to appropriate supervisory personnel?
Y
N
NA
Comments:
7. The facility operates continuously in the event of employee work
stoppage or other job action.
Does the facility continuously operate in the event of an employee work
stoppage or other job action?
Y
S-9
N
NA
Fires
1. Comply with the regulations of the fire authority having jurisdiction.
Does the facility comply with the regulations of the fire authority having
jurisdiction?
Y
N
NA
2. There is a written evacuation plan to be used in the event of a fire. The
plan is certified by a qualified, independent agency or individual
trained in the application of national fire safety codes. The plan is
reviewed annually, revised as necessary, and reissued to the local fire
jurisdiction. The plan includes the following:
 Location of building/room floor plan
 Use of exit signs and directional arrows that are easily seen and
read
 Locations of publically posted plan
18
Does the facility have written fire evacuation plans?
a. Are they are certified by a qualified agency?
b. Are they reviewed annually?
c. Do they include the location of the building/room floor plans?
d. Does the facility have exit signs and directional arrows that are
easily seen and read?
e. Are fire evacuation routes posted in conspicuous places in the
facility?
Y
N
NA
Comments:
3. A qualified person conducts fire inspections at least quarterly or at
intervals approved by the fire authority having jurisdiction, following the
procedures stated for variances, exceptions, or equivalences.
Equipment is tested as specified by the manufacturer or the fire
authority, whichever is more frequent.
Does the facility conduct quarterly fire inspections?
Y
N
NA
Are these inspections conducted by a qualified person?
Y
N
NA
Is fire protection equipment tested as specified by the manufacturer or
the fire authority, whichever is more frequent?
Y
N
NA
4. Secure an annual inspection of the facility by the authority having
jurisdiction or other qualified person(s).
Has the facility administrator requested an annual inspection of fire
and safety equipment?
Y
N
NA
Has the inspection been done within the previous 12 months?
Y
N
NA
5. A fire prevention plan provides for the protection service.
Does the facility have a fire prevention plan that provides for fire
protection services?
Y
N
NA
19
6. Provide fire protection equipment at locations throughout the facility
as approved by the fire authority that has jurisdiction.
Does the facility provide fire protection equipment at locations
throughout the facility as approved by the fire authority that has
jurisdiction?
Y
N
NA
7. Furnishings comply with fire safety performance requirements.
Do the facility’s furnishings comply with fire safety performance
requirements?
Y
N
NA
8. Handle and store all flammable materials safely.
(a) Where smoking is permitted, provide noncombustible receptacles
for smoking materials and separate containers for other
combustible refuse at accessible locations throughout the living
quarters.
(b) Provide special containers for flammable liquids and for rags used
with flammable liquids.
(c) Empty and clean all receptacles and containers daily.
Does the facility handle and store all flammable materials safely? If the
facility permits smoking, does it provide non-combustible receptacles
and separate containers for other combustible refuse at accessible
locations throughout the living quarters? Does the facility provide
special containers for a flammable liquids and rags used with
flammable liquids? Does the facility empty and clean all receptacles
and containers daily?
Y
N
NA
S-10
Toxic and Caustic Materials
1. Control the use and storage of all toxic and caustic materials.
Does the facility control the use and storage of all toxic and caustic
materials?
Y
N
NA
2. Train staff and participants in the proper use of safe handling of toxic
and caustic materials.
Does the facility train all staff and participants in the proper use of safe
handling of toxic and caustic materials?
Y
N
NA
20
II. Security
SECURITY
GOAL: Protect the community, staff, and participants from harm.
EXPECTED PRACTICES
SC-1 Facility Access
1. Movement of visitors is monitored and controlled.
Does the facility monitor and control the movement of visitors?
Y
N
NA
SC-2 Staffing
1. The facility administrator and/or governing authority systematically
determine(s) and reviews staffing requirements at least annually.
Is there a staffing plan?
Y
N
NA
Does the facility administrator and/or governing authority
systematically determine and review staffing requirements at least
annually?
Y
N
NA
Comments:
2. Staff is available in the facility 24 hours a day to respond to participant
needs.
Is staff available to respond to participants needs?
Y
N
NA
3. When both males and females are housed in the facility, at least one
male and one female staff member are on duty at all times.
If males and females are housed in the same facility, is there at least
one male and one female staff member available at all times?
Y
N
NA
Does agency comply with PREA Standards?
Y
N
21
NA
4. If employees’ contracts are governed by civil service or unions,
procedures provide for provisional appointments to ensure that shortterm personnel, both full-time and part-time, can be available during
emergencies.
Is there a plan to ensure that short-term personnel, both full-time and
part-time, can be available during emergencies if employee contracts
are governed by civil service or unions, and procedures for provisional
appointments?
Y
N
NA
SC-3 Risk Assessment
1. A risk assessment is conducted for each participant either prior to
admission or within two business days of admission or a policy that
requires a risk assessment be completed within a specified number of
days of admission.
Is there a risk assessment conducted for each participant?
Y
N
NA
Is the assessment conducted within seven business days of the
participant’s admission?
Y
N
NA
Is there a policy that requires a risk assessment be completed within a
specified number of days of admission?
Y
N
NA
2. The program advises the referring authority when a prospective
participant is not accepted into the program, stating specific reasons.
When a prospective participant is not accepted into the program,
does the facility provide the referring authority notice stating specific
reasons?
Y
N
NA
SC-4 Records
1. Information about routine operations and unusual incidents that occur
at all locations in the facility are consistently recorded.
(a) Facility staff maintains a permanent log.
(b) Facility staff prepares shift reports.
Are routine operations and unusual incidents consistently recorded?
Y
N
NA
22
Does the facility require facility staff to maintain a permanent log?
Y
N
NA
Does the facility require facility staff to prepare shift reports?
Y
N
NA
SC-5 Weapons
1. Possession and use of weapons is prohibited in the facility except in the
case of an emergency.
Does the facility have a weapon policy for staff?
Y
N
NA
Does the facility prohibit the possession and/or use of weapons except
in the case of an emergency?
Y
N
NA
SC-6 Participant Accountability
Absconders are detected and promptly reported. Timely notification is
made to the facility with jurisdiction over the participant and others are
appropriate.
Does the facility have a system of accountability for participants
temporarily outside of the facility?
Y
N
NA
Does the facility have a system for physically counting participants?
Y
N
NA
Are these counts conducted at least three times per day?
Y
N
NA
Does the staff monitor participants entering and exiting the facility?
Y
N
NA
Does the facility have a system for detecting and promptly reporting
absconders?
Y
N
NA
Is there a policy for timely notification of absconders to the agency of
jurisdiction?
Y
N
NA
23
SC-7 Use of Force
1. A written report is prepared following all uses of force and is submitted
to the facility administrator. The report details all circumstances, lists
those involved, including witnesses, and describes medical services
provided.
Does the facility provide written documentation of all uses of force?
Y
N
NA
Is this documentation submitted to the facility’s administrator?
Y
N
NA
Does this report include all person involved, including witnesses, and
describe medical services provided?
Y
N
NA
2. Persons injured in an incident immediately receive a medical
examination and treatment.
Does the facility provide immediate medical examination and
treatment to persons injured in an incident?
Y
N
NA
3. The use of force incidents are investigated and findings are
aggregated and analyzed.
Does the facility investigate use of force incidents?
Y
N
NA
Are the findings from the investigation aggregated and analyzed?
Y
N
NA
SC-8 Contraband
1. The contraband policy is provided to staff and participants.
Does the facility have a contraband policy?
Y
N
NA
Is this policy provided to staff and participants?
Y
N
NA
Comments:
24
Searches are conducted to control contraband.
Does the facility conduct searches to control contraband?
Y
N
NA
2. All physical evidence obtained in connection with a violation of law
and/or facility regulation is preserved, controlled, and disposition
made. At a minimum, procedures address chain of custody, evidence
handling, and location and storage requirements.
Does the facility have a policy regarding the collection of evidence
obtained in connection with a violation of law and/or facility rule?
Y
N
NA
Does this policy address chain of custody, evidence handling, and the
location/storage requirements?
Y
N
NA
SC-9 Participant Searches
1. Manual or instrument inspection of body cavities is conducted only
when there is reason to do so and when authorized by the facility
administrator or designee.
Does the facility have an participant search policy?
Y
N
NA
Are body cavity searches conducted only when there is reason to do
so, with authorization by the facility administrator?
Y
N
NA
2. Inspection of body cavities is conducted in private by healthcare
personnel.
Are body cavity searches only conducted in private by healthcare
personnel?
Y
N
NA
3. Only staff members of the same sex as the participant participate in
strip searches.
Are strip searches only conducted by same-sex staff?
Y
N
NA
25
SC-10 Key and Tool Control
1. A control plan for keys, tools, and utensils addresses access, use, and
storage.
Does the facility have a key and tool control plan?
Y
N
NA
2. Tools and utensils are used in accordance with prescribed system.
Are tools and utensils used in accordance with the prescribed plan?
Y
N
NA
3. Keys are used in accordance with the prescribed system.
Are keys used in accordance with the prescribed plan?
Y
N
NA
III. Order
ORDER
GOAL: Maintain an orderly environment with clear expectations of behavior and
systems of accountability.
EXPECTED PRACTICES
O-1 Rules and Regulations
1. Participant rules and disciplinary regulations describe violations,
sanctions, and penalties.
Do the rules and disciplinary regulations for program participants
describe violations, sanctions, and penalties?
Y
N
NA
2. Facility rules and regulations are reviewed at least annually and
updated as necessary.
Are facility rules and regulations reviewed at least annually and revised
as necessary?
Y
N
NA
26
3. All program rules and regulations pertaining to participants are
conspicuously posted in the facility or included in a handbook that is
accessible to all participants and staff.
Are program rules and regulations pertaining to program participants
posted in the facility or included in a handbook that is accessible to all
participants and staff?
Y
N
NA
4. If fees are collected, there is documentation that the participant has
been informed of the policies and procedures regarding nonpayment
of fees.
Is there a policy regarding procedures for nonpayment of fees?
Y
N
NA
Comments:
Staff model desired behaviors in accordance with a facility’s code of
ethics. Staff reinforces proper participant behavior and corrects
participant misbehavior.
Does the operations manual specify approved methods of
implementing facility policies and give details for daily operations at
the facility?
Y
N
NA
Does the agency have a written policy which specifically states that
no employee of the agency shall misuse his/her position to gain
privileges or advantages?
Y
N
NA
IV. Care
CARE
GOAL: Provide for the basic needs and personal care of participants.
EXPECTED PRACTICES
C-1 Food Service – Applicable only to facilities that prepare and serve food to
participants
1. If the facility prepares and serves food to participants, dietary
allowances are reviewed at least annually by a qualified nutritionist,
dietician, or physician to ensure that they meet the nationally
27
recommended allowances for basic nutrition for the types of
participants housed in the facility.
Are dietary allowances reviewed at least annually by a qualified
nutritionist, dietician, or physician to ensure that they meet the
nationally recommended allowances for basic nutrition?
Y
N
NA
2. Special diets are provided as prescribed by appropriate medical or
dental personnel.
Are special diets provided as prescribed by appropriate medical or
dental personnel?
Y
N
NA
3. Special diets are provided for participants whose religious beliefs
require the adherence to religious dietary laws.
Are special diets provided for participants whose religious beliefs
require adherence to religious dietary laws?
Y
N
NA
4. Food service staff complies with all sanitation and health codes
enacted by state or local authorities.
Does food service staff comply with all sanitation and health codes
enacted by the state or local authorities?
Y
N
NA
5. Adequate space is provided for food preparation and service and for
an eating area and seating for all who dine at the same time.
Does the facility have adequate space to provide for food
preparation and service and an eating/seating area for all who dine
at the same time?
Y
N
NA
6. When the facility has a kitchen, the kitchen, dining, and food storage
areas are properly ventilated, furnished, and cleaned.
Are the facility kitchen, dining, and food storage areas properly
ventilated?
Y
N
NA
7. Food service practices provide for the following:
28
Are weekly inspection of all food service areas, including dining and
food preparation areas and equipment?
Y
N
NA
Are sanitary, temperature-controlled storage facilities for all foods?
Y
N
NA
Are daily checks of refrigerator and water temperatures?
Y
N
NA
8. Toilet and washbasin facilities are available to food service personnel
and participants in close proximity to the food preparation area.
Is there a toilet and washbasin in close proximity for food service
personnel and participants assisting with food preparation?
Y
N
NA
9. Participants maintain acceptable personal hygiene practices.
Are participants required to maintain acceptable personal hygiene
practices?
Y
C-2
N
NA
Participant Hygiene, Housing Conditions, Clothing, and Bedding
1. Participants have access to laundry facilities.
Do program participants have access to laundry facilities?
Y
N
NA
2. Participants have access to the following facilities and conditions:
 Sanitation facilities, including access to toilets for use without staff
assistance 24 hours a day
 A washbasin with hot and cold running water
 A bed and adequate storage space for clothes and personal
belongings
 Temperatures that are appropriate to summer and winter comfort
zones
Comments:
29
Participants have suitable, clean bedding and linen including sheets,
pillow and pillowcase, one mattress, and sufficient blankets to provide
comfort under existing temperature controls.
Do participants have suitable, clean bedding and linen including
sheets, pillow, and pillowcase, one mattress, and sufficient blankets?
Y
N
NA
Is there space provided to store clothing, bedding, and other items
required for personal hygiene?
Y
N
NA
C-3
Access to Care
1. Participants have unimpeded access to healthcare and to a system
for processing complaints regarding healthcare.
Does the agency have a written policy and procedure that provides
for access to routine or emergency medical, dental, and
psychological care?
Y
N
NA
2. The facility has a designated health authority with responsibility for
healthcare pursuant to a written agreement, contract, or job
description. The health authority may be a physician, health
administrator, or health agency.
Do healthcare personnel meet all applicable state licensing and
certification requirements?
Y
N
NA
C-4
Emergency Health Care
1. Twenty-four hour emergency medical, dental, and mental health care
is provided for participants and includes arrangements for the
following:
2.
Is there an emergency medical vehicle available?
Y
N
NA
Is there a designated hospital emergency room or other appropriate
healthcare facility available?
Y
N
NA
30
Are emergency on-call physicians, dentists, and mental health
professionals available when the emergency health facility is not
located in a nearby community?
Y
N
NA
Are there policies and procedures for security when there is an
immediate need to transfer a program participant?
Y
N
NA
3. A training program for staff and other personnel is established by a
recognized health authority in cooperation with the facility
administrator and includes the following:
 Signs, symptoms, and action required in potential emergency
situations
 Administration of first aid and cardiopulmonary resuscitation (CPR)
 Methods of obtaining assistance
 Signs and symptoms of mental illness, retardation, and chemical
dependency
 Procedures for patient transfers to appropriate medical facilities or
healthcare providers
Does the facility have at least one staff member on duty at all times
who is certified in standard first aid and CPR?
Y
N
NA
Does the facility have staff available at all times that can recognize
signs and symptoms that could potentially become emergency
situations?
Y
N
NA
4. First aid kits are available in designated areas of the facility. Contents
and locations are approved by the health authority.
Does the facility have an equipped first aid kit?
Y
N
NA
Comments:
C-5
Health Screening and Examinations
1. Medical, dental, and mental health screening is performed by healthtrained or qualified healthcare personnel on all participants upon
arrival at the facility. The screening includes inquiry into the following:
31





Current illness and health problems, including venereal diseases
and other infectious diseases
Dental problems
Mental health problems, including suicide attempts or ideation
Use of alcohol and other drugs including types of drugs used, mode
of use, amounts used, frequency of use, date or time of last use,
and a history of problems that may have occurred after ceasing
use (for example, convulsions)
Other health problems designated by the responsible physician
Does the intake form include a medical screening?
Y
N
NA
Is there a policy and procedure provided for observing the following
behavior, body deformities, or skin conditions?
a. Tremors
b. Sweating
c. Lesions
d. Bruises
e. Jaundice
f. Rashes
g. Needle marks or other indications of drug abuse
Y
N
NA
C-6
Serious and Infectious Diseases
1. The facility provides for the management of serious and infectious
diseases.
Is there a written policy and procedure addressing the management of
communicable, contagious, and infectious disease?
Y
N
NA
Comments:
Does the facility have policies directing actions to be taken by
employees concerning participants who have been diagnosed with
HIV, including a minimum of the following?
a. When and where participants can be tested
b. Appropriate safeguards for staff and participants
c. Who shall conduct testing
d. When and under what conditions participants are to be
separated
e. Staff and participant training procedures
f. Issues of confidentiality
32
g. Counseling and support service
Y
N
NA
C-7
Dental Care
1. Access to dental care is made available to each participant.
Do the participants have access to dental care?
Y
C-8
N
NA
Medications
1. Policy and procedures direct the possession and use of controlled
substances, prescribed medications, supplies, and over-the-counter
drugs. Prescribed medications are administered according to the
directions of the prescribing physician.
Does written policy govern the possession and use of controlled
substances, prescription medicine, and over-the-counter drugs?
Y
N
NA
2. If medications are distributed by the facility staff, records are
maintained and audited monthly and include the date, time, name of
the resident receiving the medication, and the name of the staff
member distributing it.
Does written policy and procedure specify that records of all stored
medications be maintained?
Y
N
NA
Comments:
a.
b.
c.
d.
e.
f.
C-9
Do records include?
Name of medicine
Dosage taken
Date
Time
Names of the participant
Names of staff member recording information
Y
N
NA
Female Participants
1. If female participants are housed, access to pregnancy management
services is made available.
33
Do policy, procedure, and practice provide that pregnancy
management is as prescribed by the physician of record?
Y
N
NA
C-10 Mental Health
1. Access to mental health services is made available to participants.
Do participants have access to mental health services?
Y
N
NA
C-11 Suicide Prevention
1. There is a written suicide prevention and intervention program that is
reviewed and approved by a qualified medical or mental health
professional. All staff with participant supervision responsibilities is
trained in the implementation of the suicide prevention program.
Is there written policy in relation to suicide prevention and intervention?
Y
N
NA
C-12 Personnel
1. If treatment is provided by healthcare personnel other than a
physician, dentist, psychologist, optometrist, podiatrist, or other
independent provider, such treatment is performed pursuant to written
standing or direct orders by personnel authorized by law to give such
orders.
Y
N
NA
2. If the facility provides medical treatment, personnel who provide
healthcare services to participants are qualified. Duties and
responsibilities of such personnel are governed by written job
descriptions approved by the health authority. Verification of current
credentials and job descriptions are on file in the facility. Appropriate
state and federal licensure, certification, or registration requirements
and restrictions apply.
Y
N
NA
Comments:
34
C-13 Informed Consent
1. If the facility provides medical treatment, participants make medical
decisions with informed consent. All informed consent standards in the
jurisdiction are observed and documented for participant care.
Y
N
NA
C-14 Participation in Research
1. Participants do not participate in medical, pharmaceutical, or
cosmetic experiments. This does not preclude individual treatment of
an participant based on his or her need for a specific medical
procedure that is not generally available.
Y
N
NA
C-15 Notification
1. Individuals designated by the participant are notified in case of serious
illness, injury, or death.
Does written policy and procedure provide for the prompt notification
of resident’s next of kin in the event of hospitalization or death?
Y
N
NA
C-16 Health Records
1. If medical treatment is provided by the facility:
 Accurate health records for participants are maintained separately
and confidentially.
 The method of recording entries in the records, the form and format
of the records, and the procedures for their maintenance and
safekeeping are approved by the health authority.
 Summaries or copies of the medical history record are forwarded to
a receiving facility prior to or at the arrival of participants being
transferred to other facilities.
Does policy and procedure require that all medical records are
maintained separately and confidentially?
Y
N
NA
35
V. Programs and Activities
PROGRAM AND ACTIVITIES
GOAL: Enhance participant competencies related to successful transition to the
community.
EXPECTED PRACTICES
PA-1 Targeted Intervention
1. An objective assessment of each participant’s risk and need specifies
the type of program(s) and provides for regular review.
Is application of the agency’s programming and services governed by
individualized case management based upon measurable risk and
needs?
Y
N
NA
2. Participants are provided with interventions targeted to factors that
relate to their individual criminal behavior.
Do programs target criminogenic needs using empirically valid
behavioral/social learning/ cognitive skills therapies?
Y
N
NA
3. Staff designs and completes an participant’s personalized program
plan within seven days of admission. The plan includes measureable
criteria of expected behavior and accomplishments, a time schedule
for achieving specific goals, and scheduled progress reviews. The plan
is documented with staff and participant signatures. Participants have
input into planning, problem solving, and decision making related to
their participation in the program.
Is the participant’s performance documented?
Y
N
NA
4. Any change in a personalized program plan is reviewed and discussed
with the participant. This review is dated and documented by staff and
participant signatures.
Are case plans reviewed, discussed, and revised with program
participants?
Y
N
NA
5. Participant progress in the program is measured through objective
assessment at least every six months and at discharge. The outcome of
each review is documented.
36
Is participant’s progress in the program measured through an
assessment at least every six months and at discharge?
Y
N
NA
Are assessment scores recorded?
Y
N
NA
6. Each participant is assigned a facility staff member who meets with
and counsels that participant as necessary, consistent with his or her
individual treatment plan.
Y
N
NA
Comments:
PA-2 Substance Abuse
1. If the facility operates a urine surveillance program, procedures
provide instructions for the collection and processing of samples, the
interpretation of results, and the response to violations.
Does the agency have a policy for the collection of urine samples?
Y
N
NA
PA-3 Health Education
1. Health education is provided to participants and includes information
on medical services and immunizations, personal hygiene, dental
hygiene, nutrition, venereal disease, HIV and AIDS, tuberculosis, and
other communicable diseases.
Y
N
NA
Comments:
PA-4 Community Resources
1. Staff uses community resources, either through referrals for services or
by contractual agreements, to provide participants with services to
meet their program needs.
Y
N
NA
37
2. The agency maintains and periodically updates a directory of
functioning community agencies or uses a directory that is maintained
and updated by another agency.
Does the facility administration maintain and make available to all staff
and participants a periodic inventory of functioning community
agencies?
Y
N
NA
PA-5 Transition Assistance
1. At the termination of program participation, a report is prepared that
reviews the participant’s performance. A copy of the report is maintained
in the participant’s case record. The report shall include, at a minimum:
 A summary of the participant’s program activities
 Any unusual occurrences
 Community resource references that affected the outcome of
supervision
 Objective assessment of the participant’s program participation
Is a report prepared at the termination of program participation reviewing
the participant’s performance?
Y
N
NA
Comments:
PA-6 Family and Community
1. Participants have opportunities for involvement with family and
participation in community activities before their final release.
Does written policy and procedure govern any pass program for
participants?
Y
N
NA
2. Participants receive approved visitors except where there is substantial
evidence that the visitor poses a threat to the safety of the participant or
the security of the program.
Y
N
NA
3. Provisions are made for special visits.
Y
N
38
NA
4. Telephone facilities on the premises are accessible to participants. There
are provisions for the transmission of messages and information that are
program-related.
Are telephone facilities accessible to participants available on the
premises?
Y
N
NA
PA-7 Employment
1. Facility resources are available to assist participants in locating jobs.
Y
N
NA
PA-8 Recreation and Leisure Time Activities
1. Recreation and leisure time activities are available to meet the needs of
participants.
Does the facility provide participants with opportunities for recreational
and leisure time activities?
Y
N
NA
PA-9 Religion
1. All participants have the opportunity to practice their religion.
Are participants allowed to attend religious services on a voluntary basis?
Y
N
NA
PA-10
Physical Plant
Unless otherwise noted, each standard applies to existing institutions,
renovations, additions, and/or new construction.
1. Adequate private counseling space is readily accessible.
Is private counseling space provided in the facility?
Y
N
NA
2. Adequate space and furnishings to accommodate group activities, such
as group meetings of the participants, are provided in the facility.
Are space and furnishings provided in the facility for activities such as
group meetings?
Y
N
NA
39
3. The facility’s location facilitates access to and the use of communitybased services, resources, and public transportation.
Is there written policy and procedure which provides for the enrollment of
participants in education and vocational training programs?
Y
N
NA
Is the facility located within one mile of public transportation, or are other
means of transportation available?
Y
N
NA
VI. Justice
JUSTICE
GOAL: Treat participants fairly and respect their legal rights. Provide services that
hold participants accountable for their actions and encourage them to make
restitution to their victims and the community.
EXPECTED PRACTICES
J-1
Access to Counsel/Courts
1. Participants have access to counsel and confidential contact with
attorneys and their authorized representatives. Contact includes, but is
not limited to, telephone communications, uncensored correspondence,
and visits.
Do participants have access to counsel and confidential contact with
attorneys and their authorized representatives?
Y
N
NA
2. Participants have access to the courts and to a law library.
Do participants have access to the Court and to a law library?
Y
N
NA
Comments:
J-2
Participant Rights
1. Participants are not subjected to corporal or unusual punishment,
humiliation, mental abuse, or punitive interference with the daily functions
of living such as eating or sleeping.
40
Participants are not subjected to corporal or unusual punishment,
humiliation, mental abuse, or punitive interference with the daily functions
of living, such as eating and sleeping?
Y
N
NA
2. Participants with disabilities are housed in a manner that provides for their
safety and security. Housing used by participants with disabilities is
designed for their use and provides for integration with other participants.
Programs and services are accessible to participants with disabilities who
reside in the facility.
Are participants with disabilities housed in a manner that provides for their
safety and security?
Y
N
NA
Does the facility provide programs and services that are accessible to
participants with disabilities?
Y
N
NA
J-3
Mail
1. All regulations concerning participant correspondence should be
specified in writing and made available to staff members, participants,
and their correspondents.
Are regulations concerning participant correspondence specified in
writing?
Y
N
NA
Are these regulations made available to staff members, participants, and
their correspondents?
Y
N
NA
2. Participants’ mail both, incoming and outgoing, may be opened and
inspected for contraband. When based on legitimate facility interests of
order and security, mail may be read or rejected. The participant is
notified when incoming mail is returned or outgoing mail is withheld.
Does the facility have a policy for inspecting incoming and outgoing
mail?
Y
N
NA
J-4
Does the facility notify the participant when incoming mail is returned or
outgoing mail is withheld?
Y
N
NA
Admission and Release
41
1. Participant’s legal commitment is documented by court order, statute, or
compact.
Is the participant’s legal commitment authority documented by court
order, statute, or compact?
Y
N
NA
2. Admission practices are defined.
Does the facility have a policy that defines admission practices?
Y
N
NA
3. The facility distributes a copy of admission policies to relevant agencies.
Does the facility distribute a copy of admission policies to relevant
agencies?
Y
N
NA
4. Release practices are defined.
Are the facility’s release policies defined?
Y
N
NA
J-5
Discrimination and Grievance Procedures
1. Participants are not subjected to discrimination based upon an
participant’s race, religion, national origin, gender, disability, or political
views.
Does the facility have a policy that prohibits participants being subjected
to discrimination based upon an participant’s race, religion, national
origin, gender, disability, or political views?
Y
N
NA
2. Written intake criteria prohibit discrimination in accepting referrals on the
basis of gender, disability, race, creed, political views, or national origin.
Does the facility have written intake criteria that prohibit discrimination in
accepting referrals based upon an participant’s race, religion, national
origin, gender, disability, or political views?
Y
N
NA
3. A grievance procedure that includes at least one level of appeal is
available to all participants. The grievance procedure is evaluated at
least annually to determine its efficiency and effectiveness.
42
Does the facility have a grievance policy that allows for at least one level
of appeal that is available to all participants?
Y
N
NA
Is the grievance procedure evaluated annually to determine its efficiency
and effectiveness?
Y
N
NA
J-6
Participant Discipline
1. There is a process for informal resolution of minor infractions of facility rules.
Does the facility have a process to resolve minor infractions in an informal
manner?
Y
N
NA
2. An participant charged with a major rule violation receives a written
statement of the alleged violation, including a description of the incident
and specific rule(s) violated.
Does the facility provide an participant a written statement of an alleged
major rule violation, which includes a description of the incident and
specific rule(s) violated?
Y
N
NA
3. The facility’s disciplinary process is defined and provides appropriate
procedural safeguards.
Is there the facility’s disciplinary process defined?
Y
N
NA
Comments:
Do appropriate safeguards include:
a. Report of incident and charge
b. Notice
c. Time to prepare for hearing
d. Assistance as needed
e. Timely hearing
f. Opportunity to present evidence
g. Fair decision
h. Written notice of decision
i. Opportunity to appeal
Y
N
43
NA
J-7
Participant Responsibility
1. The facility provides services and opportunities that encourage
participants to take responsibility for their actions. Opportunities are based
on victim and community input and are fashioned in a way that seeks to
ameliorate the harm done.
Does the facility provide services and opportunities that encourage
participants to take responsibility for their actions?
Y
N
NA
Are opportunities based on victim and community input?
Y
N
NA
2. The facility provides services and opportunities that encourage
participants to make restitution to the victims of their crime(s) and/or the
community.
Does the facility provide services and opportunities that encourage
participants to make restitution to the victim(s) of their crime(s) and/or the
community?
Y
N
NA
Comments:
44
VII. Administration and Management
ADMINISTRATION AND MANAGEMENT
GOAL: Administer and manage the facility in a professional and responsible
manner, consistent with legal requirements.
EXPECTED PRACTICES
AM-1 Legal Operation of facility
1. The public or private agency operating a community residential program
is a legal or a part of a legal entity.
Is the agency operating the community facility part of a legal entity?
Y
N
NA
2. A sole proprietor operating a facility is able to document that necessary
legal measures have been taken to provide continuity of service in the
event of bankruptcy, incapacitation, retirement, or death.
Is the sole proprietor operating the facility able to document that
necessary legal measures have been taken to provide continuity of
service?
Y
N
NA
3. The agency complies with periodic filing requirements necessary to
maintain its legal authority to continue operations. (Private agencies only)
Does the agency comply with periodic filing requirements necessary to
maintain its legal authority to continue operations? (Private agencies only)
Y
N
NA
4. As a minimum, the bylaws for the governing authority of the agency
include:
Comments:
45
The bylaws for the governing authority of the agency include:
a. Membership (types, qualifications, community representation, rights,
duties)
b. Size of governing body
c. Method of selection
d. Terms of office
e. Duties and responsibilities of officers
f. Times authority will meet
g. Committees
h. Parliamentary procedures
i. Recording in minutes
j. Method of amending the bylaws
k. Conflict of interest provisions
l. Quorum
Y
N
NA
5. The facility conforms to all applicable zoning ordinances.
The facility conforms to all applicable zoning ordinances?
Y
N
NA
AM-2 Qualifications
1. The qualifications for the position of facility administrator include, at a
minimum, a bachelor’s degree in an appropriate discipline and
demonstrated administrative ability and leadership. The degree
requirement may be satisfied by completing a career development
program that includes work-related experience, training, or college
credits at a level of achievement equivalent to the bachelor’s degree.
Are there minimum qualifications required for the position of the facility
administrator?
Y
N
NA
2. All professional staff complies with applicable state and federal licensure,
certification, or registration requirements. Verification of current
credentials and job descriptions are on file in the facility.
Are there written job descriptions and qualifications for all positions in the
facility?
Y
N
NA
3. Volunteers may perform professional services only when they are certified
or licensed to do so.
Volunteers may perform professional services only when certified to do
so?
Y
N
NA
46
AM-3 Selection, Retention, and Promotion
1. All personnel are selected, retained, and promoted on the basis of merit
and specified qualifications. New employees receive credit for their prior
training.
Y
N
NA
2. A criminal record check is conducted on all new employees and
volunteers in accordance with state and federal statutes.
Is a criminal record check conducted on all new employees and
volunteers in accordance with state and federal statutes?
Y
N
NA
3. There is annual written performance review of each employee based on
defined criteria. The results are discussed with the employee, and the
review is signed by the employee and evaluator.
Does written policy and procedure provide for an annual written
performance review for each employee?
Y
N
NA
AM-4 Policies and Procedures
1. Procedures that describe operating and maintaining the facility are
specified in a manual that is accessible to all employees.
Does the facility have policy and operations manuals which are reviewed
annually and revised as necessary by the governing authority and
administrative officer?
Y
N
NA
Does written policy specify internal systems by which operations are
monitored through inspections and reviews by the administrator or
designated staff?
Y
N
NA
Are these manuals available to all staff and volunteers?
Y
N
NA
2. Policies are reviewed at least annually and new or revised policies and
procedures are made available to designated staff and volunteers prior
to implementation.
47
Is there a written system for disseminating policy and procedures to all
affected individuals prior to implementation?
Y
N
NA
3. Employees participate in the formulation of policies, procedures, and
programs.
Do employees participate in the formulation of policies, procedures, and
programs?
Y
N
NA
Comments:
AM-5 Training
1. The staff development and training program is planned, coordinated,
and supervised by a qualified employee.
Y
N
NA
2. The training plan is developed, evaluated, and revised based on an
annual assessment that identifies current job-related training needs.
Is the training plan reviewed and updated on an annual basis?
Y
N
NA
3. The facility’s training plan provides for ongoing written evaluation of all
pre-service, in-service, and specialized training programs. All training
programs are presented by qualified personnel.
Does the training plan provide for ongoing written evaluation on all preservice, in-service, and specialized training programs? Are all training
programs presented by qualified staff?
Y
N
NA
4. The facility’s training and staff development program uses community
resources.
Y
N
NA
5. All new full-time employees receive orientation training before
undertaking their assignments. At a minimum, orientation training includes
the following: a historical perspective of the facility, facility goals and
objectives, program rules and regulations, job responsibilities, personnel
policies, participant supervision, and report preparation. The employee
48
signs and dates a statement indicating that he or she has received
orientation.
Do all new employees receive orientation training before undertaking
their assignments which includes a minimum of the following: a historical
perspective of the facility, facility goals and objectives, program rules and
regulations, job responsibilities, personnel policies, participant supervision,
and report preparation? Does the employee sign and date a statement
indicating that he or she has received orientation?
Y
N
NA
6. All administrative, managerial, and professional staff receives 40 hours of
training in addition to orientation training during the first year of
employment and 40 hours of training each year thereafter. This training
shall be appropriate to their assigned duties and responsibilities.
Y
N
NA
Comments:
7. All Clerical/support employees receive 16 hours of training in addition to
their orientation training during the firs year of employment and 16 hours
of training each year thereafter.
Y
N
NA
Comments:
8. All new facility staff receive training in addition to their orientation training
during their first year of employment and an additional 40 hours of training
each subsequent year. At a minimum, this training covers the following:
security procedures, supervision of participants, signs of suicide risks,
suicide precautions, use of force regulations and restraint techniques,
report writing, participant rules and regulations, rights and responsibilities
of participants, fire and emergency procedures, safety procedures, key
control, interpersonal relations, social/cultural lifestyles of the participant
population, cultural diversity training, first aid/CPR, counseling techniques,
crisis interventions, sexual harassment, and legal issues.
Is there additional training provided to new employees and an additional
40 hours of trailing each subsequent year for all employees?
Y
N
NA
49
9. All part-time staff, volunteers, and contract personnel receive formal
orientation appropriate to their assignments and additional training as
needed.
Is there provisions for all employees and volunteers to participate in
training and educational programs?
Y
N
NA
10. Facilities encourage continued staff development by providing staff with
administrative leave and/or reimbursement for attending approved
educational programs, professional meetings, seminars, or similar workrelated activities.
Is staff encouraged to attend educational programs, professional
meetings, seminars and/or similar work-related activities?
Y
N
NA
AM-6 Staff Rules and Regulations
1. Staff members acknowledge that they have reviewed facility work rules,
ethics, regulations, conditions of employment, and related documents.
Y
N
NA
2. The facility implements a drug-free workplace policy. Policies specify
support for a drug-free workplace, are reviewed annually, and minimally
include:
 Prohibition of the use of illegal drugs
 Prohibition of possession of any illegal drug, except in the performance
of official duties
 Procedures to be used to ensure compliance
 Opportunities available for treatment and/or counseling for drug
abuse
 Penalties for violation of the policy
Are there policies in place to implement a drug-free workplace?
Y
N
NA
AM-7 Quality Improvement Practices
1. There is an internal system for assessing and documenting achievement of
goals and objectives. Program changes are implemented in response to
findings as necessary.
50
Does the agency evaluate the facility’s operations by using:
a. Program audits
b. Consumer satisfaction surveys
c. Process evaluations
d. Changes in criminogenic needs
e. Recidivism measures
Y
N
NA
Comments:
Does the agency evaluate the extent to which its services addressed the
participants’ rehabilitative needs?
Y
N
NA
AM-8 Organization
1. There is written document that describes the facility’s organization and
includes an organizational chart that groups similar functions, services,
and activities in administrative subunits. The chart is reviewed at least
annually and revised as necessary.
Is there a written organizational chart reflecting the current structure of
authority, responsibility, and accountability within the facility?
Y
N
NA
Is this document reviewed and revised as necessary at least annually?
Y
N
NA
2. The lines of authority, responsibility, and accountability are specified for
the facility’s citizen involvement and volunteer services program.
Y
N
NA
AM-9 Information Practices, Records, and Data
1. Procedures govern access to and use of an organized system of
information, analysis, collection, storage, retrieval, reporting, and review.
Y
N
NA
2. The facility or parent agency cooperates with other criminal justice
agencies in information gathering, exchange, and standardization.
Y
N
NA
Comments:
51
3. The facility completes an intake information form for each new
participant that includes, at a minimum:
 Signatures of both the participant and interviewer
Does the intake form include:
a. Name, address, and date of birth
b. Social Security Number
c. Sex and race or ethnic origin
d. Religious preference
e. Date information was complied
f. Emergency Contact
g. Personal physician and insurance carrier
h. Risk/needs assessment
i. Use of alcohol and other drugs
j. Sentencing Order
k. Signature of staff documenting information
l. Current dental, illness, and mental health problems
Y
N
NA
4. Procedures governing case record management include, at a minimum,
the following:
 The establishment, maintenance, use, and content of case records
 Right to privacy
 Secure placement and preservation of records
 Schedule for retiring or destroying inactive records
 Policies and procedures are reviewed annually
 All entries in the case record are signed and dated
 Appropriate safeguards exist to minimize the possibility of theft, loss, or
destruction of records
 Records are safeguarded from unauthorized and improper disclosure
 Security ensures confidentiality when any part of the information system
is computerized
 The facility uses a release of information consent form that complies
with applicable federal and state regulations, and a copy of the form is
maintained in the participant’s case record
 Employees, consultants, and contract personnel are informed in writing
about the facility’s policies on confidentiality of information and agree
in writing to abide by them.
Are all files marked confidential and kept secured?
Y
N
NA
52
Does written policy insure confidentiality of all files and address the issue of
access?
Y
N
NA
5. A record is a maintained for each participant and includes, at a
minimum, the following information:
Does the facility maintain a file for each participant having received
services which includes:
a. Signed acknowledgement of receipt of program rules and disciplinary
policy
b. Initial intake information
c. Risk/Needs Assessment
d. Case information from referral source
e. Case and social history
f. Medical questionnaire
g. Signed release of information forms
h. Evaluation and progress reports
i. Current employment data
j. Sentencing order
k. Grievance and disciplinary record
l. Referrals to other agencies
m. Discharge documentation
Y
N
NA
6. Procedures govern participants’ access to information in their case
records.
Y
N
NA
AM-10 Research
1. In facilities that engage in or allow the conduction of research, the facility
complies with state and federal guidelines for the use and dissemination
of research findings, with accepted professional and scientific ethics, and
issues of legal consent and release of information. Procedures govern the
voluntary participation of participants in non-medical, nonpharmaceutical, and non-cosmetic research programs. The facility
administrator reviews and approves all research projects prior to
implantation. All research results are made available to the facility
administrator for review and comment prior to publication or
dissemination.
Are the conduction of research, informed consent, and release of
information addressed by written policy and procedure?
Y
N
NA
Are research projects approved in advance?
53
Y
N
NA
Does written policy and procedure prohibit the use of participants for
medical, pharmaceutical, or cosmetic experiments?
Y
N
NA
AM-11 Participant Property
1. Procedures specify the personal property that participants can retain in
their possession and govern the control and safeguarding of such
property.
Are there written procedures that specify the personal property that
participants can retain in their possession and govern the control and
safeguarding of such property?
Y
N
NA
2. Personal property stored in the facility is itemized on a written list that is
signed by the participant and kept in a permanent file. The participant
receives a copy listing the property retained for storage.
Is personal property stored in the facility itemized on a written list that is
signed by the participant and kept in a permanent file?
Y
N
NA
Does the participant receive a copy of the personal property list?
Y
N
NA
AM-12 Participant Death
1. Procedures specify and govern the actions to be taken in the event of the
death of an participant, and authorities having jurisdiction are promptly
notified.
AM-13 Financial Practices
1. The facility administrator is responsible for fiscal policy, management, and
control. Management of fiscal operations may be delegated to a
designated staff person.
Y
N
NA
2. The facility has written fiscal policies and procedures adopted by the
governing authority which minimally include: internal controls, petty cash,
bonding, signature control on checks, participant funds, and employee
expensive reimbursements.
54
Are there written fiscal policy and procedures governing internal controls,
petty cash, bonding, signature control on checks, participant funds, and
employee expense reimbursement?
Y
N
NA
3. The facility prepares an annual written budget of anticipated income and
expenditures that is approved by the appropriate governing authority.
Y
N
NA
4. The facility administrator participates in budget reviews conducted by the
governing board or parent agency.
Y
N
NA
5. There is a budgeting and accounting system that links program functions
to the resources necessary for their support.
Y
N
NA
6. All monies collected at the facility are daily placed in an officiallydesignated, secure location.
Are all monies collected at the facility placed in an officially-designated,
secure location on a daily basis?
Y
N
NA
7. The methods used for the receipt, safeguarding, disturbing, and recording
of funds comply with accepted accounting procedures.
Y
N
NA
8. At a minimum, the facility prepares and distributes to its governing
authority and appropriate agencies and individuals the following
documents: income and expenditure statements, funding source financial
reports, and independent audit reports.
At least quarterly, does the agency prepare and deliver a statement of
actual income and expenses to its governing authority and financial
reports to funding sources?
Y
N
NA
9. There is an independent financial audit of the facility. This facility is
conducted annually or as stipulated by statute regulation, but at least
every three years.
Is there an annual financial audit of the facility or as stipulated by statute,
but at least every three years?
Y
N
NA
55
10. Procedures provide for purchasing and requisitioning of equipment and
for property inventory and control.
Does written policy and procedure provide for property inventory and
control and for purchasing and requisitioning supplies and equipment?
Y
N
NA
11. Where needed, funds are available for purchasing community services to
supplement existing programs and services.
Y
N
NA
12. Procedures regulate position allocation, budget authorization, personnel
records, and payroll.
Y
N
NA
13. Insurance coverage includes, at a minimum, property and
comprehensive general liability insurance. Such insurance is provided
either through private companies or self-insurance.
Is insurance provided for the physical plant, equipment, and personal
injury?
Y
N
NA
14. Where commissary or canteen is operated for participants, canteen funds
are audited independently following standard accounting procedures.
An annual financial status report is available as a public document.
Y
N
NA
15. Any financial transactions permitted between participants, participants
and staff, or participants and volunteers must be approved by the facility
administrator.
Y
N
NA
16. There are provisions for emergency financial assistance and a weekly
allowance, when appropriate.
Y
N
NA
AM-14 Participant Fees and Payments
1. Participants pay for program services rendered at a reasonable rate as
determined by the authority having jurisdiction. Provisions are made for
those who are unable to pay program costs.
56
2. Is there a policy that specifies he amount of fees the participant will pay
when and how it will be collected and recorded?
Y
N
NA
Are provisions made for those participants who are unable to pay
program costs?
Y
N
NA
3. Procedures specify how participant fees are determined and when and
how they will be collected and recorded. If a program is provided by a
contractor, the contractor will provide the contracting agency with an
accounting of fees received, including the amount paid and the payer,
at least monthly.
AM-15 Communication
1. The facility administrator attends meeting of the governing authority at
least annually to facilitate communication, establish policy, and ensure
conformity to legal and fiscal requirements.
Y
N
NA
2. There are regular meetings, at least monthly, between the administrator
and key staff members.
Does written policy and procedure require that the administrator and
supervisors meet at least quarterly with staff members who are directly
accountable to them?
Y
N
NA
3. There is a system of communication between all levels of staff and
participants.
Is there a system of communication between all levels of staff and
program participants?
Y
N
NA
AM-16 Physical Plant
1. Adequate space is provided for administrative, direct care, professional,
and clerical staff. This space includes conference areas, storage room for
records, and lavatories.
Is adequate space available for staff that includes: conference area,
storage room, and lavatories?
Y
N
NA
AM-17 Staff Rights
57
1. A grievance procedure is available to all employees.
Is there a grievance procedure available to all employees?
Y
N
NA
Comments:
Reasonable accommodation is made to ensure that all parts of the
facility that are accessible to the public are accessible are used by staff
and visitors with disabilities.
Are there reasonable accommodations made to ensure that all parts of
the facility that are accessible to the public are accessible for staff and
visitors with disabilities?
Y
N
NA
2. There is a mechanism to process requests for reasonable accommodation
to the known physical and/or mental impairments of a qualified individual
with a disability, either an applicant or an employee. The
accommodation need not be granted if it would impose an undue
hardship or direct threat.
Are there mechanisms to process requests for reasonable
accommodations to the known physical and/or mental impairments of
program participants or employees with disabilities?
Y
N
NA
3. Policy and procedure specifically prohibit sexual harassment and specify
the process and designated staff to whom incidents of sexual harassment
should be reported. Regular training is provided to staff.
Does policy and procedure specifically prohibit sexual harassment and
specify the process and designate staff to which incidents should be
reported?
Y
N
NA
Is staff provided regular training on sexual harassment?
Y
N
NA
58
4. Equal employment opportunities exist for all positions.
Do equal employment opportunities exist for all positions?
Y
N
NA
5. The agency does not discriminate against qualified ex-participants nor
exclude them from employment.
Is there a policy that the agency does not discriminate against nor
exclude the employment of ex-participants?
Y
N
NA
Comments:
AM-18 Personnel Problems
1. A personnel manual is accessible to employees that covers, at a minimum,
the following area:
Is the personnel manual accessible to employees that covers, at a minimum, the
following:
a. Organizational chart
b. Staff development
c. Recruitment and selection
d. Probationary period
e. Employee evaluation and promotion
f. Hours of work and compensation
g. Job qualifications and job descriptions
h. Affirmative action
i. Sexual harassment
j. Grievance and appeal procedures
k. Orientation
l. Personnel records
m. Benefits, holidays, and leave
n. Travel
o. Disciplinary procedures
p. Resignation and termination
q. Employee assistance program
r. Code of Ethics
s. Conflict of interest
t. Legal assistance
59
Y
N
NA
2. Employees are required to sign an acknowledgement regarding access to
and awareness of personnel regulations.
Are employees required to sign an acknowledgement indicating their
access to and awareness of personnel regulations?
Y
N
NA
3. Written job descriptions qualifications are available for all positions. Each
job description includes, at a minimum, the job title and duties and
required minimum experience and education.
Y
N
NA
4. Compensation and benefit levels for all personnel are comparable to
similar occupational groups in the community.
Are compensation and benefit levels for all personnel comparable to
similar occupational groups in the community?
Y
N
NA
5. Termination or demotion is permitted only for a good cause and is
subsequent to a formal hearing on specific charges, if required.
Y
N
NA
6. The facility maintains a current, accurate, confidential personnel record on
each employee. Information obtained as part of a required medical
examination (and/or inquiry) regarding the medical condition or history of
applicant and employees is collected and maintained on separate forms
and in separate medical files and treated as a confidential medical
record.
Does the facility maintain current, accurate, and confidential personnel
records for each employee?
Y
N
NA
Is all medical information maintained in a separate file and treated as a
confidential medical record?
Y
N
NA
7. Employees may challenge information in their personnel file. The
information will be corrected or removed if proved inaccurate.
Y
N
NA
60
Is there a policy that allows employees to challenge information in their
personnel file? Is the information corrected or removed if proved
inaccurate?
Y
N
NA
8. The facility conforms with governmental statutes and regulations to
campaigning, lobbying, and political practices.
Y
N
NA
AM-19 Community Relations
1. There is a public information policy that encourages interaction with the
public and the news media.
Y
N
NA
2. Media access is consistent with participants’ rights to confidentiality and
privacy and the maintenance and security of the facility.
Is media access consistent with participants’ rights to confidentiality and
privacy?
Y
N
NA
3. Media requests for interviews and the participants’ consent must be in
writing, except in emergencies.
Are media requests for interviews and the participants’ consent in writing,
except in emergencies?
Y
N
NA
4. Policies provide for communication and cooperation with community
agencies and other components of the criminal justice system.
Does the facility have a policy that provides for communication and
cooperation with community agencies and other components of the
criminal justice system?
Y
N
NA
5. The facility has an advisory board that is representative of the community
in which it is located. The advisory board meets at least quarterly.
Does the facility have an advisory board that meets at least quarterly and
is representative of the community in which it is located?
Y
N
NA
61
6. Consistent with the laws of the jurisdiction, registered victim(s) of a crime
are notified prior to any participant’s release from confinement or after
their escape from custody. Follow-up notification to victim(s) occurs when
escapees are returned to custody.
Does the facility have a victim notification policy that is consistent with the
law?
Y
N
NA
Are victims notified prior to any release of custody or after escape from
confinement?
Y
N
NA
Does the facility provide follow-up notification when an escapee is
returned to custody?
Y
N
NA
Comments:
7. The facility actively identifies and implements activities that contributes to
the community.
Does the facility actively identify and implement activities that contribute
to the community?
Y
N
NA
AM-20 Volunteer Services
1. The facility recruits citizen involvement and volunteers. The screening and
selection of volunteers allows for recruitment from all cultural and
socioeconomic parts of the community.
Does the facility have a policy that provides for recruiting citizen
involvement and volunteers?
Y
N
NA
Does the screening and selection of volunteers allow for recruitment from
all cultural and socioeconomic parts of the community?
Y
N
NA
62
2. Each volunteer completes an appropriate, documented orientation
and/or training prior to assignment.
Does the facility provide each volunteer with documented orientation
and/or training prior to assignment?
Y
N
NA
3. There is an official registration and identification system for volunteers.
Is there an official registration and identification system for volunteers?
Y
N
NA
Comments:
63
SECTION THREE
Rev. 6/25/10
IACCAC RESIDENTIAL ADVISORY COMMITTEE
Facility Visitation Report
Facility Name:
County:
City:
Date of Visit:
Facility Administrator:
Community Corrections Director:
Address:
Visitation Team Leader:
Visitation Team Members:
Individuals Consulted:
Capacity:
/
Male Female
Actual Population:
/
Male Female
Distribution:
Advisory Board President
Community Corrections Director
Indiana Department of Correction
Indiana Association of Community Corrections Act Counties
(Team representatives will meet with Advisory Board upon written request from the Advisory
Board Chairperson to the visitation team leader)
COMMENTS
______________________________________________________________________________
64