FISCAL-Community Corrections- TDOC

FISCAL-Community Corrections- TDOC

GRANTEE

Inspection Date:

Produced by OIC TEAM MEMBER SIGNATURE:

DATE:

Publication Date:

September 2018

Page 1 of 16

Year Audited:

Beginning of FY

To Present Date

TEAM LEADER SIGNATURE:

DATE:

Page 1 of 16

` F I S C A L M A N A G E M E N T

All Programs

Standard, Rule, Contract Section

YES NO N/A N/E Value

1. The Grantee will operate under an annually

written budget of anticipated revenues and expenditures approved by the governing authority.

AP5.01

2. An annual independent fiscal audit of the Grantee will be conducted. The Grantee is responsible for securing and

scheduling an independent fiscal auditor and audit.

All independent fiscal audits will be sent and received by the State Grantee no later than nine (9) months after the close of the fiscal year.

AP5.02

3. The Grantee administrative capabilities will include standard procedures regarding inventory control, purchasing, and requisitioning of supplies. All monies collected at the facility will be

placed in a secure location. Deposits will be done within 72 hours after

collections.

AP5.03

4. Written policy, procedure, and practice provide for insurance coverage that includes, at a minimum, property insurance and comprehensive general liability insurance; such insurance is provided either through private companies or self-insurance.

AP5.04 Contract

section E-4

5. There are written fiscal policies, procedures, and practices adopted by the governing authority, including at a minimum, the following: internal controls, petty cash, bonding, signature controls on checks offender funds, receipting and employee expense reimbursements.

AP5.05


GRANTEE

Inspection Date:


DATE:

Publication Date:

September 2018

Page 2 of 16

Year Audited:

Beginning of FY

To Present Date


DATE:

Page 2 of 16


6. Written policy, procedure, and practice provide that the facility, at a minimum, 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.

AP5.06

7. Written policy, procedure and practice provide for purchasing and requisitioning supplies, equipment,property and inventory control.

AP5.07

8. Written policy, procedure and practice provide that all funds, including any canteen funds are audited independently following standard accounting procedures and that an annual financial status report is available as a public document.

AP5.08

9. Each grantee may receive up to 15% of its yearly grant at the beginning of the grant year and thereafter on a monthly reimbursement basis after the receipt of and approval of a request for funds invoice.

Any Grantee requesting an advance must place the request on the Grantee’s letterhead stationery and submit it to Tennessee Department of Correction Fiscal Services for approval.

All advances will be repaid by the end of the fiscal year in which it was received.

Any balance still owing at the end of the fiscal year will be deducted from the final expenditure claim.

AP5.10 Rules Chapter 0420-2-2-.11 (4).


GRANTEE

Inspection Date:


DATE:

Publication Date:

September 2018

Page 3 of 16

Year Audited:

Beginning of FY

To Present Date


DATE:

Page 3 of 16


10. The Grantee shall submit a final grant disbursement reconciliation report within 30 days of the end of the Grant Contract. If total disbursements by the State pursuant to this

Grant Contract exceed the amounts permitted, the Grantee shall refund the difference to the State.

The Grantee shall submit said refund with the final grant disbursement reconciliation report

.The Grantee must close out its accounting records at the end of the grant period in such a way that reimbursable expenditures and revenue collections Are NOT carried forward

AP5.11 Section C-7, Payment Terms and Conditions of this Grant Contract

11. State Community Corrections contracts will not reimburse Agencies for “longevity” pay. Any Grantee choosing to give employees longevity pay must cover this cost from funds not associated with the Tennessee Department of Correction contract.

AP5.13

12. All annual, sick and compensatory leave must be taken during the fiscal year that the leave was accrued. Verify that the leave balances started over July 1. Any employee that left during the year should not have been compensated for any more than leave balances accrued during the fiscal year they left.

AP2.05 Need dates of Employees that left during the audit period.

TOTALS Fiscal Management (12) AP


GRANTEE

Inspection Date:


DATE:

Publication Date:

September 2018

Page 4 of 16

Year Audited:

Beginning of FY

To Present Date


DATE:

Page 4 of 16

V E H I C L E M A N A G E M E N T All Programs


1. Vehicles purchased with State funds cannot be assigned directly to a Community Corrections Grantee employee and be used to travel to and from home to their workstation without approval from the State Grantee. Any and all exceptions must be in accordance with the State of Tennessee, Department of Finance and Administration’s Comprehensive Travel Regulations.

AP5.09 TN. Travel

Regulations-Policy 8

2. All vehicles must be pooled and made available for staff use. Vehicles must be parked at the Grantee office at

night. If any of the vehicles are needed at night for

official business (i.e. surveillance, home visits, etc.) purposes, or if an employee must leave in the morning to travel to outlying areas, the vehicle may be assigned on a daily basis as these assignments arise and driven home by the employee.

AP5.09 TN. Travel

Regulations-Policy 8

3. The Grantee must have a vehicle sign in and sign out log to include:

Name of employee Date and time vehicle was signed out The reason for use of vehicle Beginning odometer reading Time of return Ending odometer reading

AP5.09.1

4. All vehicles purchased with State funds will be listed on the Grantee’s inventory. The inventory shall include a copy of the title for

each newly purchased vehicle.

AP5.09.2

5. Vehicles purchased with State funds may not be used as a trade-in for a newer vehicle.

AP5.09.3


GRANTEE

Inspection Date:


DATE:

Publication Date:

September 2018

Page 5 of 16

Year Audited:

Beginning of FY

To Present Date


DATE:

Page 5 of 16

YES NO N/A N/E

TOTALS Vehicle Management (5) AP


GRANTEE

Inspection Date:


DATE:

Publication Date:

September 2018

Page 6 of 16

Year Audited:

Beginning of FY

To Present Date


DATE:

Page 6 of 16

FISCAL: CASH RECEIPTS AND DISBURSEMENTS

NO.

ITEM YES NO

N/A N/E COMMENTS

1. The most recent annual audit and financial statements were completed (and submitted to TDOC within nine months after the end of the program’s fiscal year) by a licensed independent public accountant and reveal no significant issues of concern to TDOC.

AP5.02

Value

2. Copies of monthly expenditure reports are promptly submitted to Fiscal Services in TDOC Central Office for reimbursement.

3. Line item expenditures can be traced to the general ledger or other “account books” to verify accuracy. (Reimbursement report)

4. Expenditures submitted for reimbursement were properly documented and appropriate for the given program, as a selected sample of individual expenditures, along with the respected canceled checks, and vendor invoices, etc., confirms. ****”Accounting Manual” citations refer to a current publication, as issued by the Comptroller to govern recipients of grant funds in Tennessee.

5. Expenditures were assessed and recorded to the proper line item, see Allowable Costs and Cost Principles sample.

6. Total expenditures reported for the fiscal years, on the June 30th expenditure report, were within the actual contracted budget.

7. All funds received on June 30th or on the last working day of June were deposited on that date.

8. A cash receipts journal (or other accounting records) about the collection of offender supervision fees, confirms that the total fees collected were used to reduce the amount of expenditures reported for reimbursement.

9. Pre-numbered cash receipts were prepared for individual fees collected.

10. Are supervision fees coded correctly on the monthly expenditure report?

11. Cash receipts, related documentation and interviews with staff confirm that offender fees are not collected in the form of “cash” but only as money orders or certified checks.


GRANTEE

Inspection Date:


DATE:

Publication Date:

September 2018

Page 7 of 16

Year Audited:

Beginning of FY

To Present Date


DATE:

Page 7 of 16

FISCAL PROCEDURES PETTY CASH YES NO N/A N/E Value

12. Does the Grantee have a petty Cash Fund?

13. A staff member is Identified as the sole person who serves as “petty cash custodian.” Other persons do not have access to this money.

GAAP

14. The petty cash fund is used for small incidental disbursements only, and the amount available is within the minimum and maximum authorized level.

GAAP

15. Pre-numbered petty cash vouchers (receipts) are completed and properly signed for each disbursement. Sales receipts or invoices are attached to each voucher.

GAAP

16. The petty cash balance plus all completed petty cash vouchers equals the authorized petty cash amount.

GAAP

17. Petty cash sheets verify that the fund is counted, reconciled and replenished monthly.

GAAP

Totals (17 items) for Fiscal


GRANTEE

Inspection Date:


DATE:

Publication Date:

September 2018

Page 8 of 16

Year Audited:

Beginning of FY

To Present Date


DATE:

Page 8 of 16

A T T R I B U T E S F O R P R O P E R T Y A N D E Q U I P M E N T T E S T S

NO.

ITEM YES NO

N/A N/E COMMENTS 1.

Equipment charged was as proposed and budgeted. All supplies, equipment, furniture, etc. paid within the fiscal year were received on or before the close of business of that year.

Value

2. The inventory listing captures all data required by the grantor contract or policy such as location, condition, serial number, etc.

3. Equipment items are on the inventory. 4. The inventory being kept includes at least the following

information: (a)Description of item (b)Date of purchase (c)Cost

Contract section

E-6

5. Equipment is being used in the right program. Contract section A-19

6. Competitive bids were obtained if necessary. Contract section D-17

7. Written approval was received from the state for any surplused items.

Contract section

E-6

8. Check all leases to make sure they are on file, Are they signed? Are they being paid on time? Leases cannot be paid in advance.

Contract section A-20

9. The State of TN WILL NOT reimburse rental expenses for property used by a Community Corrections Grantee when the relevant property is owned by an employee (or a member of the employee’s family) of the Community Corrections Grantee and whose salary is paid from the Grant Contract

AP5.12 Contract section A-21

Totals (9 items) for Property and Equipment Tests

TDOC COMMUNITY CORRECTIONS PROGRAMS RESIDENTIAL 5

FOOD SERVICE-RP 5.00

FACILITY

AUDIT PERIOD ___________________________________________________________

INSPECTION DATE

NO. ITEM MANDATE COMP NON

COMP NOT

EVAL

DID NOT

OCCUR N/A COMMENTS

June 2018

1

1.

When the Facility contracts for food service, the Contractor shall comply with all sanitation and health codes enacted by the state and/or local authorities.

RP 5.01

2..

All food service provided requires that all menus are reviewed and approved by a registered dietitian or physician. The Tennessee Department of Correction master menu may be utilized as an approved dietary plan.

RP 5.02

3. The Facility will have a single menu for staff and clients. RP 5.03

4. Special diets are prepared to meet the medical needs of residents and provisions are made to meet the dietary needs of the residents.

RP 5.04

5. All in-house food services shall comply with all sanitation and health codes enacted by state and/or local authorities.

RP 5.05

6 All foods are properly stored at the end of each meal.

RP 5.06

7 Kitchen and dining areas are properly ventilated, furnished, cleaned and meet all relative OSHA and public health ordinances.

RP 5.07

TDOC COMMUNITY CORRECTIONS PROGRAMS RESIDENTIAL 5

FOOD SERVICE-RP 5.00

FACILITY

AUDIT PERIOD ___________________________________________________________

INSPECTION DATE


COMP NOT

EVAL

DID NOT

OCCUR N/A COMMENTS

June 2018

2

7 TOTAL

Inspector Date

Team Leader Date

TDOC COMMUNITY CORRECTIONS PROGRAMS – RESIDENTIAL CASE FILES

RESIDENTIAL CASE MANAGEMENT

AGENCY

AUDIT PERIOD ___________________________________________________________

INSPECTION DATE


COMP NOT

EVAL

DID NOT

OCCUR N/A COMMENTS

June 2018 1

1.

The intake report shall be entered in TOMIS conversation LCDG under code AAAA to record detailed information about the offender’s arrival. The Intake Report should include at a minimum: 1. Date and Time of last court date appearance. 2. Judgment Order information or placement relevant details. 3. Restrictions, Court Ordered special instructions /treatment assignments. 4. Estimated date of program completion...

RP 7.01 RP 2.02

2.

The following will be completed on the initial intake form: Name Address Date of Birth Sex Race or ethnic origin Reason for referral Whom to notify In case of emergency Date information gathered Name of referring agency or committing authority Special medical problems or needs Personal physician Legal status, including jurisdiction, length and conditions of sentence TOMIS number Medical history Signature of both interviewee and staff taking information.

RP 7.03



AGENCY

AUDIT PERIOD ___________________________________________________________

INSPECTION DATE


COMP NOT

EVAL

DID NOT

OCCUR N/A COMMENTS

June 2018 2

3. Discrimination on the basis of race, creed, or national origin is prohibited and made available to the offender.

RP 7.04

4.

At the time of intake, the staff discusses with the client the following information and documents the discussion with signatures as well as provides a copy to the client: Program goals Rules governing conduct Program rules and regulations Possible disciplinary actions and procedures available to staff Available services

RP 7.07 RP 7.08

5.

Staff designs a written treatment plan for each resident. The plan is signed and dated by staff and client. The plan includes criteria of expected behavior and accomplishments, and at a time schedule for achieving specified goals. Within the first two weeks of a resident's admission, a treatment plan will be completed.

RP 7.09

6. On a monthly basis the resident's progress will be reviewed either through a staff meeting or by Individual staff and the results will be documented.

RP 7.10

7. Any changes in the behavioral plan will be discussed with that resident. This will be dated and documented by the staff and resident's signature

RP 7.11

8. Unless a current VRNA exists upon arrival, staff will conduct and record an VRNA result for all new Intakes, within 60 days of an offender’s arrival.

RP 7.22



AGENCY

AUDIT PERIOD ___________________________________________________________

INSPECTION DATE


COMP NOT

EVAL

DID NOT

OCCUR N/A COMMENTS

June 2018 3

9. Unless an Offender DNA sample is confirmed with CODIS, staff will conduct a swab sampling and record the information in the offender file.

RP 7.23

10.

All cases of physical force or restraint shall be reported in writing, dated and signed by the staff reporting the incident. Such report shall be placed in the resident’s case record and a copy forwarded to the Director of Community Corrections within 24-hours of occurrence.

AP 1.20 S 4.06

11.

The termination report shall be entered in TOMIS conversation LCDG under code TEPE to record detailed information about the offender’s departure. The Termination Report should include at a minimum: 1. Date and Time of program completion/departure. 2. Relevant outcomes or details of termination. 3. Outcome assessment/ staff treatment assessment/comments. 4. Detail any program highlights.

RP 7.02 RP 7.21 RP 2.02 RP 2.04

11 TOTAL

Inspector Date

Team Leader Date

TDOC COMMUNITY CORRECTIONS PROGRAMS –

Day Reporting

Program Services, Records, Physical Plant, Supervision and Case Management

AGENCY

AUDIT PERIOD ___________________________________________________________

INSPECTION DATE


COMP NOT

EVAL

DID NOT

OCCUR N/A COMMENTS

Va lue

June 2018

PROGRAM SERVICES

1.

The Agency has a written policy and procedure that governs the programs offered by treatment, education, and vocational programs, and coordination with other agency programs and services in the community

DR 2.01

2.

The day reporting center’s program provides or makes arrangements for the following services: Risk/Needs Assessment,education/vocation programs individual and group treatment activities that may include a holistic counseling approach family contact, if needed mental health services buccal swabbing sampling and/or Substance Abuse Screening

DR 2.02

RECORDS


Day Reporting


AGENCY

AUDIT PERIOD ___________________________________________________________

INSPECTION DATE


COMP NOT

EVAL

DID NOT

OCCUR N/A COMMENTS

Va lue

June 2018

3.

The Agency maintains a record on each offender available in a master file, and including, at a minimum, the following information: Initial intake Information Form Case information from referral source Case history/social history DNA- Buccal swabbing information Medical records, when available Psychological/psychiatric reports, if available Assessment LSCMI and program plan Current employment data Program rules and disciplinary policy, signed by offender Documented legal authority to accept offender Title VI Referrals to other agencies Pertinent education information Exit Summary Signed medical consent authorization, if applicable

DR 3.02

PHYSICAL PLANT

4. Private counseling and group meetings space is provided.

DR 5.02

SUPERVISION AND CASE MANAGEMENT

5. Staff monitors movement of offenders into and out of the facility in accordance with written policy and procedure.

DR 6.07

5 TOTAL


Day Reporting


AGENCY

AUDIT PERIOD ___________________________________________________________

INSPECTION DATE


COMP NOT

EVAL

DID NOT

OCCUR N/A COMMENTS

Va lue

June 2018

Inspector Date

Team Leader Date

TDOC COMMUNITY CORRECTIONS PROGRAMS RESIDENTIAL FIRE AND SAFETY-MEDICAL

Safety and Emergency Procedures

RESIDENTIAL

FACILITY

AUDIT PERIOD __________________________________

INSPECTION DATE


COMP NOT

EVAL

DID NOT

OCCUR

N/A COMMENTS

Value

June 2018 1

1.

The Facility will have written fire and other emergency plans that are communicated to all employees, volunteers, visitors, and offenders. These plans are reviewed and updated at least annually.

AP 1.13 RP 4.01

2.

All emergency plans shall be disseminated to designated staff and interested parties and are posted in conspicuous places in the residential facility. All drills are to be documented.

AP 1.13.1 RP 4.03

3. Emergency evacuation drills are conducted at least quarterly during hours when the majority of residents are in the house. All drills are to be documented.

AP 1.13.2 RP 4.05

4. All facility exits are in compliance with state and/or local fire safety authorities.

RP 4.06

5.

The Facility shall have automatic fire alarm and smoke detection systems approved by the state's fire marshal. Said systems are tested on a regular basis. The facility shall have documentation on the system testing.

RP 4.07

6 All Hazardous substances shall comply with OSHA standards pertaining to the storage and safety data sheet accessibility. (dealing with Chemicals)

RP 4.08

7.

There is one staff member present on each shift trained in emergency First-aid procedures, including cardiopulmonary resuscitation, 911 emergency contact capabilities and take action authority. In Addition each residential facility will display an automated external defibrillator (AED) for emergency use only.

RP 6.02



RESIDENTIAL

FACILITY

AUDIT PERIOD __________________________________

INSPECTION DATE


COMP NOT

EVAL

DID NOT

OCCUR

N/A COMMENTS

Value

June 2018 2

8. There are written emergency medical back-up plans which are communicated to all employees and residents.

RP 6.03

9.

First-aid equipment is available at all times. Said equipment shall be approved by a recognized health authority. A monthly inspection of first aid equipment shall be made by the program manager or designee to ensure equipment meets minimum stocked standards of health authority.

RP 6.04

10.

At the time of admission, staff inquires about any physical problems that might require medical attention and documents the medical history in the offender’s case file.

RP 6.05

11. All Program rules and regulations pertaining to residents are posted in a conspicuous place.

RP 7.13

12

All incidents occurring within the jurisdiction of the Facility concerning the safety and security of the facility, community, staff and/or supervised offenders or which may result in media attention shall be reported in writing by the Program Manager or designee to the State Director of Community Corrections within 24 hours of becoming aware of the event of occurrence. Must be reported to CCC within 30-minutes of knowledge of event occurring.

AP 1.19



RESIDENTIAL

FACILITY

AUDIT PERIOD __________________________________

INSPECTION DATE


COMP NOT

EVAL

DID NOT

OCCUR

N/A COMMENTS

Value

June 2018 3

12 TOTAL

Inspector Date

Team Leader Date

TDOC COMMUNITY CORRECTIONS PROGRAMS – SUPERVISION CASE FILES

SUPERVISION CASE MANAGEMENT

AGENCY

AUDIT PERIOD __ _______________________________

INSPECTION DATE


COMP NOT

EVAL

DID NOT

OCCUR

N/A COMMENTS

Va l u e

June 2018 1

1.

For new cases during the audit period: All programs will utilize the TOMIS system as mandated by the Tennessee Department of Correction. Programs are required to enter TOMIS information for the following functions, within 10 working days: Offender Movements (LIMD) Offender Intake Report (LCDG) of arrival Staff Assignments (LCD3) Plan of Service (LCDF)

S 2.09

2.

For new cases during the audit period: The intake report shall be entered in TOMIS conversation LCDG under code AAAA to record detailed information about the offender’s arrival. The Intake Report should include at a minimum:

Date and Time of last court date appearance. Judgment Order information or placement

relevant details. Restrictions, Court Ordered special

instructions /treatment assignments. Estimated date of program completion.

S 3.01 S 2.03

AP 1.21

3.

For new cases during the audit period: Unless an Offender DNA sample is confirmed on CODIS, staff will conduct a swab sampling and record the information in the offender file. For ongoing cases: CODIS DNA confirmation will be present in all files.

S 3.03 S 2.02



AGENCY

AUDIT PERIOD __ _______________________________

INSPECTION DATE


COMP NOT

EVAL

DID NOT

OCCUR

N/A COMMENTS

Va l u e

June 2018 2

4.

For new cases during the audit period: Unless a current VRNA exists upon arrival, Staff will conduct and record an VRNA result within 60 days of the offender’s arrival. For ongoing cases: All cases require a current VRNA. A new VRNA is needed every year or if a significant event occurs since the last assessment. (new arrest, drug relapse, violation, etc.)

S 3.02 S 3.04 S 2.02

5.

All offenders in community corrections shall have a written behavioral contract. At intake, the community corrections staff shall discuss and develop with each offender a written behavioral contract based on an assessment of client needs, outlining specific objectives to be achieved by the offender while in the program, the offender's obligations to the victim and community, and a signed statement by the offender to abide by the terms of the contract.

S 3.05 S 2.02

6.

When specific services ordered by the court are not available, the field staff shall notify the court. Documentation shall be maintained of such notification.

S 3.07



AGENCY

AUDIT PERIOD __ _______________________________

INSPECTION DATE


COMP NOT

EVAL

DID NOT

OCCUR

N/A COMMENTS

Va l u e

June 2018 3

7.

Written policy requires that, in court ordered cases where the victim suffered monetary and/or property loss, there will be a written restitution contract discussed and developed with each offender containing these minimum elements:

Name of offender and victim; Total amount of restitution; The amount of payment; The method of payment; and The payment schedule.

The victim will be consulted when possible by the district attorney's office or the program staff in the development of the restitution plan. The agency is encouraged to develop restitution plans for the client's consideration. The following factors about the victim and the offender should be considered:

Present income/employment; Physical and mental condition of the

offender; Education; Family circumstances; and

Victim impact and loss.

S 6.01 S 6.02



AGENCY

AUDIT PERIOD __ _______________________________

INSPECTION DATE


COMP NOT

EVAL

DID NOT

OCCUR

N/A COMMENTS

Va l u e

June 2018 4

8.

All offenders will participate in community service work unless not specifically ordered by the court. A written agreement between the offender, the program and the agency receiving services should be in the file. The agreement will contain:

Name, address, and phone number of agency;

Job duties; Service hours and days; Site supervisor’s name and responsibilities; Time frame for completion; and Signatures of offender, program manager or

designee and an agency representative. Where program staff directly supervise offenders performing community service work, the written agreement will contain the following:

Job duties; Service hours and days; Time frame for completion; and Signatures of offender, program manager or

designee.

S 6.03 S 6.04 S 6.05



AGENCY

AUDIT PERIOD __ _______________________________

INSPECTION DATE


COMP NOT

EVAL

DID NOT

OCCUR

N/A COMMENTS

Va l u e

June 2018 5

9.

All offenders admitted into a community corrections program are required to have an investigative report entered into Tennessee Offender Management Information System (TOMIS) within forty-five (45) working days from program admittance (PSR). A PSI completed prior to admission can substitute.

S 1.04 S 2.02

10.

Offenders receiving services have a case record also containing: Offender Background information Medical –Psychological record (if applicable) Individual plan or program (if applicable) Signed release of information forms Current employment data Judgment document and/or court order to CC Signed offender grievance form Referrals to other agencies (if applicable) Drug/alcohol screenings/results Progress reports Chronological entries Violation report (if applicable) Grievance and disciplinary report (if applicable) Title VI Sex offender register (if applicable) Judicial order for DNA (if applicable)

S 2.02



AGENCY

AUDIT PERIOD __ _______________________________

INSPECTION DATE


COMP NOT

EVAL

DID NOT

OCCUR

N/A COMMENTS

Va l u e

June 2018 6

11.

The court or agency assessment shall determine the level of supervision of offenders. Agency policy allows supervision levels to be more intensive but not less intensive than the Tennessee Department of Correction directives.

Level One: Face to face contact a minimum of twice weekly. One home visits every 30 day period.

Level Two: Face to face contact a minimum of once weekly. One home visit every 30 day period.

Level Three: Face to face contact at least once every fifteen (15) day period. One home visit per 90 day period.

Level Four: Face to face contact at a minimum of once each (calendar) month in the office to verify that program goals and special conditions are current (Sup. Fees and CCF Fees, etc).

No offender will be placed on level four until he/she successfully completes 12 months of supervision and the court has denied transfer to probation. Documentation of the court’s refusal to transfer the offender to probation should be placed in the offender’s file. A week is defined as a calendar week. There shall be no gaps of more than ten (10) days between face to face contacts if weekly reporting is required without reasonable attempts to conduct face to face contact.

S 4.10



AGENCY

AUDIT PERIOD __ _______________________________

INSPECTION DATE


COMP NOT

EVAL

DID NOT

OCCUR

N/A COMMENTS

Va l u e

June 2018 7

12. Case records are audited at least quarterly. All offender case records opened during a month will be reviewed within 45 working days.

S 2.04 RP 2.05

13.

At a minimum, there will be a quarterly review of an offender's compliance to the conditions of sentence with the offender. Revision of the conditions or level of supervision will be made when appropriate. All changes to a more/less restrictive supervision level should be reviewed and approved by a supervisor.

S 4.09

14.

At a minimum, each offenders file will be reviewed for successful termination after each twelve (12) months of supervision. The first such review will come at 12 months or at the discretion of the Program Manager or designee. The results of the review will be recorded in the case file.

S 3.08

15. Any violation with a request for a warrant must be approved in writing by a manager or designee.

S 5.02

16.

All cases of physical force or restraint shall be reported in writing, dated and signed by the staff reporting the incident. Such report shall be placed in the offender’s case record and a copy forwarded to the Director of Community Corrections within 24-hours of occurrence.

AP 1.20 S 4.06

17.

All community corrections offenders who are revoked shall have a classification report completed in TOMIS within ten (10) working days following the date the offender was revoked unless a PSI/PSR has already been entered.

S1.05



AGENCY

AUDIT PERIOD __ _______________________________

INSPECTION DATE


COMP NOT

EVAL

DID NOT

OCCUR

N/A COMMENTS

Va l u e

June 2018 8

18.

The termination report shall be entered in TOMIS conversation LCDG under code TEPE to record detailed information about the offender’s departure. The Termination Report should include at a minimum:

Date and Time of program completion/departure.

Relevant outcomes or details of termination. Outcome assessment/ staff treatment

assessment/comments. Detail any program highlights.

S 3.13

18 TOTAL

Inspector Date

Team Leader Date

TDOC COMMUNITY CORRECTIONS PROGRAMS – RESIDENTIAL PROGRAMS POLICY AND ADMINISTRATION

RESIDENTIAL- ADMINISTRATION, ORGANIZATION & MANAGEMENT

AGENCY

AUDIT PERIOD ___________________________________________________________

INSPECTION DATE


COMP NOT

EVAL

DID NOT

OCCUR

N/A COMMENTS

Value

June 2018 1

1. The Agency has an organizational chart that is reviewed annually and updated as needed.

AP1.01

2. An advisory board is established and representative of the community in compliance with law.

AP 1.02

3. The advisory board meets a minimum of once each month for the first three months of a new program and on a quarterly basis thereafter

AP 1.03

4.

The agency has a POLICY and procedures manual /operations manual and performance standards reviewed, updated and approved annually by the advisory board/committee. Staff shall sign and date a form acknowledging they have read and been trained on the manuals.

AP 1.04 RP 1.03

5.

All changes to agency policies, procedures, operations manuals and performance standards shall be submitted to TDOC for written approval prior to implementation.

AP 1.05 RP 1.04

6.

Written procedure for dissemination of approved, new, or revised POLICY and procedure to staff, volunteers and where appropriate offenders prior to implementation. Documentation of disbursement is maintained in administrative files.

AP 1.06

7.

Written POLICY and procedure outline a timely system for the program manager or designee to audit and review the operations and programs within the agency.

AP 1.07



AGENCY

AUDIT PERIOD ___________________________________________________________

INSPECTION DATE


COMP NOT

EVAL

DID NOT

OCCUR

N/A COMMENTS

Value

June 2018 2

8

An annual report shall be prepared and submitted within 60 calendar days following the end of the fiscal year to the advisory board/committee and the state director. The report should include statistical data, activities and financial data.

AP 1.08

9.

The agency will submit a monthly statistical report to TDOC Central office not later than the 15th of each month. If that date cannot be met, a waiver from the State Director of Community Corrections is on file.

AP 1.09

10.

Written POLICY states the agency is a correctional program offering services pursuant to TCA 40-36-101, meets state licensing requirements and the services are the responsibility of the Agency Board, Program manager or designee.

AP 1.10 AP 1.11

11.

The agency’s mission statement affirms that the supervision program provides necessary service to felony offenders with the goal of reducing continued criminal behavior and to insure the safety of the community.

AP 1.15

PERSONNEL POLICIES

12. The agency has a written POLICY to guard against conflict of interest.

AP 2.01 AP 2.01.1 AP 2.01.2 RP 1.05



AGENCY

AUDIT PERIOD ___________________________________________________________

INSPECTION DATE


COMP NOT

EVAL

DID NOT

OCCUR

N/A COMMENTS

Value

June 2018 3

13.

Written POLICY will include National Crime Information Center (NCIC) check to be completed on all new hires prior to employment and maintained in the employee file. This standard has been waived by the Director of Community Corrections if NCIC access unavailable.

AP 2.09



AGENCY

AUDIT PERIOD ___________________________________________________________

INSPECTION DATE


COMP NOT

EVAL

DID NOT

OCCUR

N/A COMMENTS

Value

June 2018 4

14.

Written personnel policies require a personnel manual that is approved by the governing authority annually and is made available for employees that cover , at minimum the following areas:

Organizational chart Staff Development Recruitment and selection Promotion Job Qualifications and descriptions Affirmative action and Title VI Grievance and appeal procedures Sexual and Workplace harassment Orientation Employee evaluation Personnel Records Benefits Leave (Annual, sick, holiday maternity ,

Military) Hours of Work (Time sheets) Compensation Travel Disciplinary Procedures Termination and Resignation Employee Probationary Period

AP 2.02

15.

Written POLICY and procedure for volunteer citizen include including a systems for selection and training, term of service, termination of service and definition tasks.

AP 3.01



AGENCY

AUDIT PERIOD ___________________________________________________________

INSPECTION DATE


COMP NOT

EVAL

DID NOT

OCCUR

N/A COMMENTS

Value

June 2018 5

16.

Written POLICY and procedure specify that volunteers agree in writing, to abide by all agency policies particularly those relating to the security and confidentiality of information.

AP 3.02

17.

Written POLICY and procedure specify that volunteers perform professional services only when certified or licensed or after a thorough check of background and professional education.

AP 3.03

18.

Written POLICY specifies all volunteers shall be administered a nation-wide background check prior to employment or appointment as a volunteer. Documentation of the record shall be maintained.

AP 3.04

TRAINING AND RESEARCH POLICIES

19.

Written policy provides that all new professional staff in the program will have at least 40 hours of on-site orientation in these areas:

Policies Organizational Structure Programs Regulations of programs

TDOC required: Title VI DNA buccal swabbing Prison Rape Elimination Act (PREA)

AP 4.01



AGENCY

AUDIT PERIOD ___________________________________________________________

INSPECTION DATE


COMP NOT

EVAL

DID NOT

OCCUR

N/A COMMENTS

Value

June 2018 6

20.

Only manager approved Grantee staff, directly responsible for offender supervision and or programing/treatment delivery shall receive training on the following:

Validated Risk/Needs Assessment (VRNA) O*NET Interest Profiler Texas Christian University Drug Screen

(TCUD) Other Identified Assessment tools Training for Thinking for a Change

AP 4.01

21.

All orientation and offender assessment training will be completed prior to new staff being assigned to cases or allowed to work without direct supervision. This affects all new full-time and part-time staff and volunteers.

AP 4.01

22.

Written POLICY and procedures provide that all clerical and support staff employees will complete orientation and additional annual training appropriate to their assignment. ( Full time 16 hours- Part time, 8 hours)

AP 4.02

23.

Written POLICY and procedure provide that all case officers receive 40 hours of pre-service training. Preservice training will be provided by the Agency or designee within six months of a new case officers’ employment. The employee signs and dates a statement that orientation training has been received. All training will be agency manager recorded and a copy kept in the employee’s personnel file.

AP 4.03



AGENCY

AUDIT PERIOD ___________________________________________________________

INSPECTION DATE


COMP NOT

EVAL

DID NOT

OCCUR

N/A COMMENTS

Value

June 2018 7

24.

Community Correction Grantees, either individually or collectively, will be responsible for providing by the Agency or Designee at least 30 hours of in-service training per year to their program managers and 40 hours of training for program case officers. The TDOC will be responsible for providing a minimum of 10 hours of core issues to the Program Managers on an annual basis. All training shall be job related.

AP 4.04

25.

Written POLICY requires the program manager to keep a running total of training hours for all agency employees in individual files for inspection upon request. The file shall contain documentation of 40 hours of orientation and ongoing training for clerical and Support Staff, Manager, Officers and volunteers.

AP 4.05

26.

The Agency will have a POLICY and procedure Governing research and address the issues of informed consent and release of information. The State Director of Community Corrections in conjunction with the Director of Decision Support: Research and Planning, Tennessee Department of Correction must approve all research projects in writing prior to implementation.

AP 6.01

ADMISSIONS/CASE RECORDS/TOMIS ENTRY POLICIES

27. A copy of admission criteria and pre-intake procedures is distributed to all referring agencies.

RP 7.05



AGENCY

AUDIT PERIOD ___________________________________________________________

INSPECTION DATE


COMP NOT

EVAL

DID NOT

OCCUR

N/A COMMENTS

Value

June 2018 8

28. When a referral is not accepted into the program the referring agency and/or court is notified and a specific reason is stated.

RP 7.06

26.

The Agency will have a written POLICY and procedure governing intake information. The following will be completed on the initial intake form: Name Address Date of Birth Sex Race or ethnic origin Reason for referral Whom to notify In case of emergency Date information gathered Name of referring agency or committing authority Special medical problems or needs Personal physician Legal status, including jurisdiction, length and conditions of sentence TOMIS/COMET number Medical history Signature of both interviewee and staff taking information..

RP 7.03

27. Discrimination on the basis of race, creed, or national origin is prohibited and is clearly stated in agency POLICY and made available to the offender

RP 7.04



AGENCY

AUDIT PERIOD ___________________________________________________________

INSPECTION DATE


COMP NOT

EVAL

DID NOT

OCCUR

N/A COMMENTS

Value

June 2018 9

28.

The Agency will have a written POLICY and procedure regarding grievance and appeal process. This POLICY states the grievance is transmitted without alteration, interference, or delay to the party responsible for receiving and investigation

RP 7.14

29.

Written policy requires confidentiality of case records, will address at minimum:

Offender access Staff access When release of Information is permitted Restrictions on the type of information to be

released.

RP 2.06

30. There is a written POLICY to prohibit any client from being in a position of control or authority over other clients.

RP 8.01



AGENCY

AUDIT PERIOD ___________________________________________________________

INSPECTION DATE


COMP NOT

EVAL

DID NOT

OCCUR

N/A COMMENTS

Value

June 2018 10

31.

The agency has a written POLICY on Release of Information. Required release of information forms shall include but is not limited to:

Name of person, agency, or organization requesting information

Name of person, agency, or organization releasing information;

The specific information to be disclosed; The purpose or need for the information; Expiration date; Date consent form is signed; Signature of offender; and Signature of individual witnessing offender's

signature. A copy of the consent form is maintained in the offender's case record.

AP 1.16

32. POLICY and procedure is written regarding the house’s reimbursement by residents.

RP 7.16

33. The opportunity for recreational and leisure time activities is provided to all residents.

RP 7.18

34. The Agency will have a written POLICY and procedure regarding the enrollment of residents in educational and vocational training programs

RP 7.19

35. There is a written POLICY and procedure allowing residents to attend religious services on a voluntary basis.

RP 7.20



AGENCY

AUDIT PERIOD ___________________________________________________________

INSPECTION DATE


COMP NOT

EVAL

DID NOT

OCCUR

N/A COMMENTS

Value

June 2018 11

36. There is a written POLICY and procedure regarding the removal of any client from the program

RP 7.15

37.

The Agency will have a written policy and procedure for conducting searches of clients and all areas of the house in order to control contraband and locate missing or stolen property.

RP 8.02

38. There is a written procedure for the prevention, detection, and apprehension of absconders. This procedure is reviewed and updated annually.

RP 8.03

39. The Agency resources will be used to assist residents in locating suitable housing upon termination from the program.

RP 7.17

40. The agency has a written POLICY indicating that case records be kept a minimum of three years or until any audit issues are resolved.

AP 1.17

SAFETY/MEDICAL POLICIES

41. Staff monitors movement of residents into and out of the facility in accordance with written POLICY and procedure.

RP 8.06



AGENCY

AUDIT PERIOD ___________________________________________________________

INSPECTION DATE


COMP NOT

EVAL

DID NOT

OCCUR

N/A COMMENTS

Value

June 2018 12

42.

There is written POLICY and procedure regarding fire prevention regulations to ensure the safety of staff, volunteers, offenders and visitors. The POLICY and procedure include: Provision for an adequate fire protection service. A system of fire inspections and testing of equipment at least quarterly. An annual inspection by local and/or state fire officials. Availability of fire protection equipment at appropriate locations throughout the house.

RP 4.02

43.

The Agency will have a written POLICY and procedure to provide medical examination for any employee or resident suspected of having communicable disease or debilitating condition (e.g. diabetes, heart disease, or epilepsy)

RP 6.06

44. The Agency will have a written POLICY and procedure regarding urine collection for testing purposes and interpretation of results.

RP 6.07

45.

The Agency will have a written POLICY and procedure regarding the possession and use of controlled substances, prescribed medications, and over-the-counter drugs. These policies and procedures also stipulate that prescribed medications are administered according to the directions of the prescribing physician

RP 6.08



AGENCY

AUDIT PERIOD ___________________________________________________________

INSPECTION DATE


COMP NOT

EVAL

DID NOT

OCCUR

N/A COMMENTS

Value

June 2018 13

46.

The Agency will have a written POLICY and procedure stating that records of all medications that are distributed by staff are maintained and audited daily. Also the records will include date, time, and name of resident receiving medication, and the name of staff distributing medication

RP 6.09

47.

There is written POLICY and procedure providing the prompt notification of the client’s next of kin in case of serious illness, surgery, death, or injury. Any death in the program is reported immediately to the proper authorities...

RP6.10

48. The Agency will have a written agreement with a licensed hospital, clinic, or physician to provide emergency services on a 24-hour basis..

RP 6.01

49.

There is a written POLICY restricting the use of physical force unless justifiable self-protection, protection of others, prevention of property damage, and then only to the degree necessary and in accordance with appropriate statutory authority.

RP 8.04

50. The use of personal abuse and corporal punishment is prohibited through written policy and procedure

RP 8.05

51. All agencies have written policy and procedure to ensure compliance with PREA.

AP 1.22 DR 1.02

51 TOTAL



AGENCY

AUDIT PERIOD ___________________________________________________________

INSPECTION DATE


COMP NOT

EVAL

DID NOT

OCCUR

N/A COMMENTS

Value

June 2018 14

Inspector Date

Team Leader Date

TDOC COMMUNITY CORRECTIONS PROGRAMS – SUPERVISION FIRE AND SAFETY

SUPERVISION FIRE AND SAFETY

AGENCY

AUDIT PERIOD ___________________________________________________________

INSPECTION DATE


COMP NOT

EVAL

DID NOT

OCCUR

N/A COMMENTS

Value

June 2018 1

1. The agency meets local fire and safety codes and maintains updated documentation.

AP 1.13

2. A written fire plan and other emergency plans are known to all, reviewed and updated annually.

AP 1.14

3. Evacuation plan is posted that include the use of exit signs and directional arrows for traffic flow in the building.

AP 1.14.1

4. Quarterly safety drills are documented. AP 1.14.2

5.

All incidents occurring within the jurisdiction of the Agency concerning the safety and security of the facility, community, staff and/or supervised offenders or which may result in media attention shall be reported in writing by the Program Manager or designee to the State Director of Community Corrections within 24 hours of becoming aware of the event of occurrence. The information obtained shall be forwarded to the Central Communication Center.

AP 1.19 S 5.05

5 TOTAL

Inspector Date

Team Leader Date

TDOC COMMUNITY CORRECTIONS PROGRAMS – SUPERVISION FIRE AND SAFETY

SUPERVISION FIRE AND SAFETY

AGENCY

AUDIT PERIOD ___________________________________________________________

INSPECTION DATE


COMP NOT

EVAL

DID NOT

OCCUR

N/A COMMENTS

Value

June 2018 2

TDOC COMMUNITY CORRECTIONS PROGRAMS – SUPERVISION PROGRAMS POLICY AND ADMINISTRATION

SUPERVISION- ADMINISTRATION, ORGANIZATION & MANAGEMENT

AGENCY

AUDIT PERIOD ___________________________________________________________

INSPECTION DATE


COMP NOT

EVAL

DID NOT

OCCUR

N/A COMMENTS

Value

June 2018 1

1. The Agency has an organizational chart that is reviewed annually and updated as needed.

AP1.01

2. An advisory board is established and representative of the community in compliance with law.

AP 1.02

3. The advisory board meets a minimum of once each month for the first three months of a new program and on a quarterly basis thereafter.

AP 1.03

4.

The agency has a POLICY and procedures manual /operations manual and performance standards reviewed, updated and approved annually by the advisory board/committee. The manuals and standard are made available to staff volunteers and upon request to others. Staff shall sign and date a form acknowledging they have read and been trained on the manuals.

AP 1.04

5.

All changes to agency policies, procedures, operations manuals and performance standards shall be submitted to TDOC for written approval prior to implementation.

AP 1.05

6.

Written procedure for dissemination of approved, new, or revised POLICY and procedure to staff, volunteers and where appropriate offenders prior to implementation. Documentation of disbursement is maintained in administrative files.

AP 1.06

7.

Written POLICY and procedure outline a timely system for the program manager or designee to audit and review the operations and programs within the agency.

AP 1.07



AGENCY

AUDIT PERIOD ___________________________________________________________

INSPECTION DATE


COMP NOT

EVAL

DID NOT

OCCUR

N/A COMMENTS

Value

June 2018 2

8

An annual report shall be prepared and submitted within 60 calendar days following the end of the fiscal year to the advisory board/committee and the state director. The report should include statistical data, activities and financial data.

AP 1.08

9.

The agency will submit a monthly statistical report to TDOC Central office not later than the 15th of each month. If that date cannot be met, a waiver from the State Director of Community Corrections is on file.

AP 1.09

10.

Written POLICY states the agency is a correctional program offering services pursuant to TCA 40-36-101, meets state licensing requirements and the services are the responsibility of the Agency Board, Program manager or designee.

AP 1.10 AP 1.11

11.

The agency’s mission statement affirms that the supervision program provides necessary service to felony offenders with the goal of reducing continued criminal behavior and to insure the safety of the community.

AP 1.15 S4.01

PERSONNEL POLICIES

12. The agency has a written POLICY to guard against conflict of interest.

AP 2.01 AP 2.01.1 AP 2.01.2



AGENCY

AUDIT PERIOD ___________________________________________________________

INSPECTION DATE


COMP NOT

EVAL

DID NOT

OCCUR

N/A COMMENTS

Value

June 2018 3

13.

Written POLICY will include National Crime Information Center (NCIC) check to be completed on all new hires prior to employment and maintained in the employee file. The Director Of Community Corrections has waived this standard if NCIC access is unavailable.

AP 2.02.2 AP 2.09



AGENCY

AUDIT PERIOD ___________________________________________________________

INSPECTION DATE


COMP NOT

EVAL

DID NOT

OCCUR

N/A COMMENTS

Value

June 2018 4

14.

Written personnel policies require a personnel manual that is approved by the governing authority annually and is made available for employees that cover , at minimum the following areas:

Organizational chart Staff Development Recruitment and selection Promotion Job Qualifications and descriptions Affirmative action and Title VI Grievance and appeal procedures Sexual and Workplace harassment Orientation Employee evaluation Personnel Records Benefits Leave (Annual, sick, holiday maternity ,

Military0 Hours of Work (Time sheets) Compensation Travel Disciplinary Procedures Termination and Resignation Employee Probationary Period

AP 2.02 AP 2.06 AP 2.07



AGENCY

AUDIT PERIOD ___________________________________________________________

INSPECTION DATE


COMP NOT

EVAL

DID NOT

OCCUR

N/A COMMENTS

Value

June 2018 5

15.

Written policy and procedure shall specify that all Community Corrections personnel are prohibited from carrying weapons during the performance of duty. Any Personnel proven to be in violation shall be subject to disciplinary action up to and including termination as provided in agency policy.

S5.06

16.

Written POLICY and procedure for volunteer citizen include including a systems for selection and training, term of service, termination of service and defining tasks.

AP 3.01

17.

Written POLICY and procedure specify that volunteers agree in writing, to follow all agency policies particularly those relating to the security and confidentiality of information.

AP 3.02

18.

Written POLICY specifies that volunteers perform professional services only when certified or licensed or after a thorough check of background and professional education.

AP 3.03

19.

Written POLICY specifies that all volunteers have a criminal records check prior to employment or appointment. Documentation of the records check shall be maintained.

AP3.04



AGENCY

AUDIT PERIOD ___________________________________________________________

INSPECTION DATE


COMP NOT

EVAL

DID NOT

OCCUR

N/A COMMENTS

Value

June 2018 6

TRAINING AND RESEARCH POLICIES

20.

Written POLICY and procedures provide that all clerical and support staff complete orientation and training appropriate to their assignment. (16 hrs. full time. 8 hours part time)

AP 4.02

21.

Written POLICY and procedure provide that case officers receive 40 hours of pre-service training within six months after employment. The employee will sign and date a statement that orientation has been received.

AP 4.03

22.

Written POLICY requires that managers have at least thirty hours and case officers 40 hrs. annually of in-service training. TDOC will provide 10 hours of core issues to the program manager on an annual basis. All training shall be job related.

AP 4.04

23.

Written POLICY requires program manager to keep a running total of training hours for agency employees in individual files. The file shall include orientation and any ongoing training as well as annual training.

AP 4.05

24.

The Agency will have a POLICY and procedure Governing research and address the issues of informed consent and release of information. The State Director of Community Corrections in conjunction with the Director of Decision Support: Research and Planning, Tennessee Department of Correction must approve all research projects in writing prior to implementation.

AP 6.01



AGENCY

AUDIT PERIOD ___________________________________________________________

INSPECTION DATE


COMP NOT

EVAL

DID NOT

OCCUR

N/A COMMENTS

Value

June 2018 7

REPORTS/CASE RECORDS/TOMIS ENTRY POLICIES

25.

Written policy and procedure governs the conduct of case officer pre-sentence investigations, and preparation of reports in accordance with the Tennessee Department of Correction Pre-Sentence Investigation (PSI) manual (pre, post, classification, and specific data reports).

S 1.01

26.

The Agency has written policy, procedures, and practice governing case record management, including, at a minimum, the following areas:

the use and content of offender records right to privacy security placement preservation of records schedule for retiring/destroying inactive

record

S 2.01

27.

Written policy requires confidentiality of case records, will address at minimum:

Offender access Staff access When release of Information is permitted Restrictions on the type of information to be

released.

S 2.05 S 1.03



AGENCY

AUDIT PERIOD ___________________________________________________________

INSPECTION DATE


COMP NOT

EVAL

DID NOT

OCCUR

N/A COMMENTS

Value

June 2018 8

28.

Written policy and procedure specify that in the event an officer is on leave or whose position is vacant for an extended period of time, that there exists and is implemented a mechanism to provide continuing supervision services to the vacant officer's caseload.

S 2.08

29.

Program policies shall provide that all staff adhere to Tennessee Department of Correction procedures and functions regarding access and use of the TOMIS system. Programs shall be aware of and ensure the necessity of system security procedures. All programs will utilize the TOMIS system as mandated by the Tennessee Department of Correction. Programs are required to enter TOMIS information for the following functions, within 10 working days: Offender Movements (LIMD) Offender Intake Report (LCDG) of arrival Staff Assignments (LCD3) Plan of Service (LCDF) (OPI SCORE ON THIS SCREEN) Within 45 days: (Investigative Report (LCLS and Related Screens) Offender Termination Report (LCDG) of departure

S 2.09



AGENCY

AUDIT PERIOD ___________________________________________________________

INSPECTION DATE


COMP NOT

EVAL

DID NOT

OCCUR

N/A COMMENTS

Value

June 2018 9

OFFENDER SUPERVISION POLICIES

30.

Policy and procedure insure that each offender understands his/her conditions of sentence; receives a written copy; and acknowledges receipt and understanding in writing.

S 3.06

31.

Written policy and procedure provide that the case supervision program staff may request the court to add, remove, or modify any or all of the special conditions of supervision

S 4.14

32.

Written policy requires that, in court ordered cases where the victim suffered monetary and/or property loss, there will be a written restitution contract discussed and developed with each offender containing these minimum elements:

Name of offender and victim; Total amount of restitution; The amount of payment; The method of payment; The payment schedule.

S 6.01

33.

Written policy and procedure requires that all offenders are informed of the grievance procedure available and discussed with the offender during the intake process.

S 3.11



AGENCY

AUDIT PERIOD ___________________________________________________________

INSPECTION DATE


COMP NOT

EVAL

DID NOT

OCCUR

N/A COMMENTS

Value

June 2018 10

34.

Policy outlines the (VRNA) assessment process, and all other assessment processes for each offender referred or under supervision. A VRNA is required for every offender, unless a current VRNA exists upon arrival, Staff will conduct and record an VRNA result within 60 days of the offender’s arrival. At a minimum this includes:

What constitutes an assessment; Who conducts the assessment; When it is conducted; and

The format in which information is collected and summarize

S 3.02

35.

The agency shall develop policy and procedures that specifically outline the frequency and manner in which offender drug testing; criminal records checks and employment verifications are administered for active cases under supervision. Any such procedure shall be quantifiable.

S 3.12



AGENCY

AUDIT PERIOD ___________________________________________________________

INSPECTION DATE


COMP NOT

EVAL

DID NOT

OCCUR

N/A COMMENTS

Value

June 2018 11

36.

Policy establishes levels of supervision and regulates movement between levels. The court or agency assessment shall determine the level of supervision of offenders. Agency policy allows supervision levels to be more intensive but not less intensive than the Tennessee Department of Correction directives.

Level One: Face to face contact a minimum of twice weekly. One home visits every 30 day period.

Level Two: Face to face contact a minimum of once weekly. One home visit every 30 day period.

Level Three: Face to face contact at least once every fifteen (15) day period. One home visit per 90 day period.

Level Four: Face to face contact at a minimum of once each (calendar) month in the office to verify that program goals and special conditions are current (Sup. Fees and CCF Fees, etc).

The offender will not be placed on level four until he/she successfully completes 12 months of supervision and the court has denied transfer to probation. Documentation of the court’s refusal to transfer the offender to probation should be placed in the offender’s file. A week is defined as a calendar week. There shall be no gaps of more than ten (10) days between face to face contacts. Agency policy will define what constitutes reasonable attempts to conduct face to face

S 4.10



AGENCY

AUDIT PERIOD ___________________________________________________________

INSPECTION DATE


COMP NOT

EVAL

DID NOT

OCCUR

N/A COMMENTS

Value

June 2018 12

37.

Policy requires that all offenders will participate in community service work unless not specifically ordered by the court. Placement should, wherever possible, fit the needs and skill of the offender and provide meaningful work to the community. Community service hours will be reasonable and will not interfere with the offender’s regular paid employment. Offenders will be supervised at all times while performing community service work

S 6.03

38.

Policy will require that there is a written agreement between the offender, the program and the agency receiving services. The agreement will contain:

Name, address, and phone number of agency;

Job duties; Service hours and days; Site supervisor’s name and responsibilities; Time frame for completion; and Signatures of offender, program manager or

designee and an agency representative.

S 6.04

39.

Where program staff directly supervise offenders performing community service work, the written agreement will contain the following:

Job duties; Service hours and days; Time frame for completion; and Signatures of offender, program manager or

designee.

S 6.05



AGENCY

AUDIT PERIOD ___________________________________________________________

INSPECTION DATE


COMP NOT

EVAL

DID NOT

OCCUR

N/A COMMENTS

Value

June 2018 13

40.

Policy requires that the case officer or other duly authorized persons maintain personal contact with the offender according to the supervision level set by minimum state standards and program guidelines. Supervision of the offender should include at a minimum the monitoring of an offender’s special conditions and employment status. A duly authorized person is any Agent or qualified person who offers the necessary services on an accepted contractual basis. All contacts shall be documented in the chronological records

S 4.11

41.

Policy and procedure require, at minimum, the quarterly review of an offender's compliance to the conditions of sentence with the offender. Revision of the conditions or level of supervision will be made when appropriate. All changes to a more/less restrictive supervision level should be reviewed and approved by a supervisor

S 4.09

42.

The Agency shall adhere to the Tennessee Department of Correction written procedures governing the transfer of offender supervision to and from other agencies. Policy for the transfer of offenders shall follow these procedures. All transfers shall be accepted if an offender has residence in the receiving agency county. Determine if the offender is ready for transfer and has the sentencing courts permission to transfer.

S 3.09



AGENCY

AUDIT PERIOD ___________________________________________________________

INSPECTION DATE


COMP NOT

EVAL

DID NOT

OCCUR

N/A COMMENTS

Value

June 2018 14

43. There is a written policy to prohibit any client from being in a position of control or authority over other clients.

S 4.02

44.

Written policy states that community correction offenders may not cross the Tennessee state line into another state except with the written approval of the sentencing court.

S 4.16

45.

Policy prohibits the general use of offenders as police informants and specifies any conditions for exceptions. If an offender is used as an informant this will be noted in the chronological entries in the case record. Procedures will include securing the approval of the program manager and the court.

S 5.03



AGENCY

AUDIT PERIOD ___________________________________________________________

INSPECTION DATE


COMP NOT

EVAL

DID NOT

OCCUR

N/A COMMENTS

Value

June 2018 15

46.

The agency has a written POLICY on Release of Information. Required release of information forms shall include but is not limited to:

Name of person, agency, or organization requesting information

Name of person, agency, or organization releasing information;

The specific information to be disclosed; The purpose or need for the information; Expiration date; Date consent form is signed; Signature of offender; and Signature of individual witnessing offender's

signature. A copy of the consent form is maintained in the offender's case record.

AP 1.16 S 2.06

47.

The Agency will have a written policy and procedure for conducting searches of clients and all areas of the house in order to control contraband and locate missing or stolen property.

S 4.03



AGENCY

AUDIT PERIOD ___________________________________________________________

INSPECTION DATE


COMP NOT

EVAL

DID NOT

OCCUR

N/A COMMENTS

Value

June 2018 16

48.

Written policy shall establish a process for handling known and alleged violations. Following confirmation of a violation, the case officer will adhere to established procedures to determine what action is required. A decision will be made at this time regarding the need for a formal violation and/or revocation proceeding or an informal administrative adjustment. Alternatives to revocation are encouraged when public safety is not endangered and the possibility of successful community adjustment exists.

S 5.01

49. There is a written procedure for the prevention, detection, and apprehension of absconders. This procedure is reviewed and updated annually.

S 4.04

50.

Written policy specifies the type of actions required to locate and recover absconders prior to the issuance of a violation warrant. An absconder is defined as an offender with whom no contact has been made for a maximum of thirty (30) days. Agency policy will specifically identify the minimum time period in which a violation warrant is filed with the sentencing court. The absconder may be entered on NCIC.

S 4.15

51.

There is a written policy restricting the use of physical force unless justifiable self-protection, protection of others, prevention of property damage, and then only to the degree necessary and in accordance with appropriate statutory authority.

S 4.05 S 5.04



AGENCY

AUDIT PERIOD ___________________________________________________________

INSPECTION DATE


COMP NOT

EVAL

DID NOT

OCCUR

N/A COMMENTS

Value

June 2018 17

52. The use of personal abuse and corporal punishment is prohibited through written policy and procedure S 4.07

53.

Policy and procedure establish a process for the successful termination of offenders. At a minimum, each offenders file will be reviewed for successful termination after each twelve (12) months of supervision. The first such review will come at 12 months or at the discretion of the Program Manager or designee. The results of the review will be recorded in the case file.

S 3.08

54.

The Agency's total active caseload may not average above 40 active offenders per case officer, unless otherwise authorized by the Tennessee Department of Correction at its discretion to exceed this limit. (NCR)

S 4.12

55.

Administrative cases or inactive cases may not be counted towards the 40 to 1 caseload ratio. Administrative cases are defined as those cases where an offender has absconded from community correction supervision. Inactive cases are defined as those cases where an offender has been incarcerated in a County or State correctional facility for any reason or in a residential treatment program. Also any offender who has been arrested while on Community Corrections for a violation of program rules and has made bond to secure his/her release shall be considered an inactive case and shall not be supervised by the community corrections Agency.

S 4.13



AGENCY

AUDIT PERIOD ___________________________________________________________

INSPECTION DATE


COMP NOT

EVAL

DID NOT

OCCUR

N/A COMMENTS

Value

June 2018 18

56. The agency has a written POLICY indicating that case records be kept a minimum of three years or until any audit issues are resolved.

AP 1.17 S 2.07

57. All agencies have written policy and procedure to ensure compliance with PREA

AP 1.22 DR 1.02

57 TOTAL

Inspector Date

Team Leader Date

TDOC COMMUNITY CORRECTIONS – TRAINING AND PERSONNEL

ALL PROGRAMS TRAINING AND PERSONNEL RECORDS

AGENCY

AUDIT PERIOD ___________________________________________________________

INSPECTION DATE


COMP NOT

EVAL

DID NOT

OCCUR

N/A COMMENTS

value

June 2018 1

1. There is a current, complete, and confidential personnel record maintained for each employee.

AP 2.08

2.

Any employee using a vehicle purchased with State funds is required to comply with all traffic laws and possess a valid driver’s license from the employee’s domicile state A copy of the employee’s driver’s license should be kept on file in the employee’s personnel record.

AP 5.09.4

3.

National Crime Information Center (NCIC) check is completed on all new hires prior to employment and maintained in the employee file. The TDOC Director of Community Corrections has waived this standard if NCIC is unavailable.

AP 2.02.2 AP 2.09

4.

Program Managers must have a minimum of baccalaureate degree in social, behavioral science a related field or 4 years relevant professional experience and training at the supervisory level.

AP 2.03

5. Case officers, as specified in writing, must have a minimum of a bachelor’s degree or relevant professional experience.

AP 2.04

6. All clerical and support staff complete orientation and training appropriate to their assignment. (16 hrs. full time. 8 hours part time)

AP4.02



AGENCY

AUDIT PERIOD ___________________________________________________________

INSPECTION DATE


COMP NOT

EVAL

DID NOT

OCCUR

N/A COMMENTS

value

June 2018 2

7.

All case officers receive 40 hours of pre-service training within six months after employment. The employee will sign and date a statement that orientation has been received.

AP 4.03

8.

Documentation confirms all new professional staff (Full-time and Part-time) has received 40 hours on-site orientation training prior to a job assignment. Training shall include:

Policies Organizational structure Programs and program regulations TDOC DNA buccal swabbing sample

collection PREA (Prison Rape Elimination Act) LSCMI/MI Assessment training r&n training

AP 4.01

9.

All Residential Program Staff are initially trained in the implementation emergency plans. All training is documented.

Mark N/A if Supervision Program only.

RP 4.04

10.

All managers have at least thirty hours and case officers 40 hrs. annually of in-service training. TDOC will provide 10 hours of core issues to the program manager on an annual basis. All training shall be job related.

AP 4.04



AGENCY

AUDIT PERIOD ___________________________________________________________

INSPECTION DATE


COMP NOT

EVAL

DID NOT

OCCUR

N/A COMMENTS

value

June 2018 3

11.

The Program Manager has kept a running total of training hours for agency employees in individual files. The file shall include orientation and any ongoing training as well as annual training.

AP 4.05

12.

Volunteer files must contain: An agreement in writing to follow all agency

policies particularly those relating to the security and confidentiality of information.

A criminal record check prior to employment or appointment.

If the volunteer is performing professional services they must be certified or licensed and a check preformed of professional education.

AP 3.02 AP 3.03 AP 3.04

12 TOTAL

Inspector Date

Team Leader Date

FY 2018/2019 – Community Corrections Performance Measures: Location: Date:

Total District StaffingNumber of Allotted Agency PositionsNumber of Positions Actually Filled Number of Allotted Case Officers Positions Number of Positions other than Case Officer Number of Staff with less than 24 Months Service Percent of Staff with Less than 24 Months Service Number of Overtime Hours Used Average Officer Case Load (Active)

Total Number of Cases Number of Offenders (Agency Total Minus Sex Offenders) Number of Sex Offenders

Number of Active Cases By Location

Number of Inactive Cases By Location

Number of Special Classifications Offenders in Residential Treatment /Placement Absconders (total included in inactive cases) Active Violation Warrants

Supervision Level of Offenders

Level 1 Level 2 Level 3 Level 4

Documents

FISCAL-Community Corrections- TDOC