STANDARDS COMPLIANCE CHECKLIST

Transcription

1 4-ACRS-5A-15 (Ref. 3-ACRS-4G-05) A report is prepared at the termination of program participation that reviews the offender's performance. A copy of the report is maintained in the offender's case record. The report shall include, at a minimum: a summary of the offender's program activities any unusual occurrences community resource references that affected the outcome of supervision objective assessment of the offender's program participation Compliance Noncompliance Not Applicable Compliance Noncompliance Not Applicable Release Preparation P&P (re: closing summary Closing summaries CRJ MCGRATH HOUSE 127

2 4-ACRS-5A-16 (Ref. 3-ACRS-4G-01) Offenders have opportunities for involvement with family and participation in community activities before final release. Compliance Noncompliance Not Applicable Compliance Noncompliance Not Applicable Pass Program/PRA/Furloughs P&P Treatment Services P&P (re: family involvement Visitation P&P RH (visitors) Home passes (i.e. home confinement, pass request approval) (April & May) CRJ MCGRATH HOUSE 128

3 4-ACRS-5A-17 (Ref. 3-ACRS-5C-07) Offenders receive approved visitors except where there is substantial evidence that the visitor poses a threat to the safety of the offender or the security of the program. Compliance Noncompliance Not Applicable Compliance Noncompliance Not Applicable Visitation P&P RH (visitors) Visitor log pages (March, April, May) CRJ MCGRATH HOUSE 129

4 4-ACRS-5A-18 (Ref. 3-ACRS-5C-08) Provisions are made for special visits. Compliance Noncompliance Not Applicable Compliance Noncompliance Not Applicable Visitation P&P (re: special visits) Memo re: no requests for special visits CRJ MCGRATH HOUSE 130

5 4-ACRS-5A-18-1 (Added August 2003) An inmate is informed in a timely manner of the verifiable death or critical illness of an immediate family member. In case of the critical illness of an immediate family member, the inmate is allowed, whenever statutes and circumstances allow, to go to the bedside under escort or alone. Compliance Noncompliance Not Applicable Compliance Noncompliance Not Applicable Emergency Contact Notification P&P Pass Program/PRA/Furloughs P&P (re: types of reintegration activities) Case Notes documenting emergency situations (ill family) Memo CRJ MCGRATH HOUSE 131

6 4-ACRS-5A-19 (Ref. 3-ACRS-5C-06) (Revised August 2002) There are telephone facilities on the premises which provide for inmate access to public telephones. Inmates with hearing and/or speech disabilities, and inmates who wish to communicate with parties who have such disabilities, shall be afforded access to a Telecommunications Device for the Deaf (TDD), or comparable equipment. Public telephones with volume control also shall be made available to inmates with hearing impairments. Compliance Noncompliance Not Applicable Compliance Noncompliance Not Applicable Resident Communications P&P (re: telephone calls) RH (telephones) Photograph of resident phones Photograph of TTY phone Telephone contract for resident phones CRJ MCGRATH HOUSE 132

7 4-ACRS-5A-19-1 (Added August 2002) Offenders have access to reasonably priced telephone services. Correctional agencies ensure that: Contracts involving telephone services for offenders comply with all applicable state and federal regulations Contracts are based on rates and surcharges that are commensurate with those charged to the general public for like services. Any deviation from ordinary consumer rates reflects actual costs associated with the provision of services in a correctional setting. Contracts for offender telephone services provide the broadest range of calling options determined by the agency administrator to be consistent with the requirements of sound correctional management. Compliance Noncompliance Not Applicable Compliance Noncompliance Not Applicable Resident Communications P&P Telephone contract for resident phones Memo re: McGrath does not charge for telephone usage determined by locality 4-ACRS-5A-20 (Ref. 3-ACRS-5A-04) Facility resources are available to assist offenders in locating jobs. CRJ MCGRATH HOUSE 133

8 Compliance Noncompliance Not Applicable Compliance Noncompliance Not Applicable Job Search Assistance P&P RH (Employment) Job searches Photograph of employment bulletin board CRJ MCGRATH HOUSE 134

9 4-ACRS-5A-21 (Ref. 3-ACRS-5B-01) Recreation and leisure time activities are available to meet the needs of offenders. Compliance Noncompliance Not Applicable Compliance Noncompliance Not Applicable Recreational Opportunities P&P RH (recreation) Photograph of TV Photograph of bookcase Structure sheets for recreation CRJ MCGRATH HOUSE 135

10 4-ACRS-5A-22 (Ref. 3-ACRS-5D-01 and 5D-02) All offenders have the opportunity to practice their religion. Compliance Noncompliance Not Applicable Compliance Noncompliance Not Applicable Religious Preferences P&P RH (religious services) Requests for religious services and documentation RH (resident rights) CRJ MCGRATH HOUSE 136

11 4-ACRS-5A-23 (Ref. 3-ACRS-2E-03) Adequate and appropriate areas are provided for visiting, recreation and leisure time activities. Compliance Noncompliance Not Applicable Compliance Noncompliance Not Applicable Program Meeting Space P&P Visitation P&P Recreational Opportunities P&P Floor plans with recreation areas highlighted RH (recreation) CRJ MCGRATH HOUSE 137

12 4-ACRS-5A-24 (Ref. 3-ACRS-2E-02) Adequate private counseling space is readily accessible. Compliance Noncompliance Not Applicable Compliance Noncompliance Not Applicable Program Meeting Space P&P Staff offices list with case managers highlighted Floor plans with staff offices highlighted CRJ MCGRATH HOUSE 138

13 4-ACRS-5A-25 (Ref. 3-ACRS-2E-01) Adequate space and furnishings to accommodate group activities, such as group meetings of the offenders, are provided in the facility. Compliance Noncompliance Not Applicable Compliance Noncompliance Not Applicable Program Meeting Space P&P Floor plans with TV, visitor room, and classroom highlighted Staff offices list CRJ MCGRATH HOUSE 139

14 4-ACRS-5A-26 (Ref. 3-ACRS-2B-04 and 2B-05) The facility's location facilitates access to and the use of community-based services, resources, and public transportation. [New construction only] Compliance Noncompliance Not Applicable Compliance Noncompliance Not Applicable N/A: new construction only CRJ MCGRATH HOUSE 140

15 4-ACRS-6A-01 (Ref. 3-ACRS-3D-02) Offenders 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. Compliance Noncompliance Not Applicable Compliance Noncompliance Not Applicable Resident Rights P&P RH (resident rights) Memo re: no examples of attorney visits at McGrath CRJ MCGRATH HOUSE 141

16 4-ACRS-6A-01-1 (Added August 2002) Staff and offenders have access to an appropriately trained and qualified individual who is educated in the problems and challenges faced by offenders with physical and/or mental impairments, programs designed to educate and assist disabled offenders, and all legal requirements for the protection of offenders with disabilities. Compliance Noncompliance Not Applicable Compliance Noncompliance Not Applicable Memo stating that residents with mental/physical impairments would be submitted to BOP for review N/A CRJ MCGRATH HOUSE 142

17 4-ACRS-6A-02 (Ref. 3-ACRS-3D-01) Offenders have access to the courts and to a law library. Compliance Noncompliance Not Applicable Compliance Noncompliance Not Applicable Resident Rights P&P RH (resident rights) Memo re: access to law library CRJ MCGRATH HOUSE 143

18 4-ACRS-6A-03 (Ref. 3-ACRS-3D-05) Offenders 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. Compliance Noncompliance Not Applicable Compliance Noncompliance Not Applicable Use of Force P&P RH (resident rights) Memo re: no use of force/corporal punishment used CRJ MCGRATH HOUSE 144

19 4-ACRS-6A-04 (Ref. 3-ACRS-2C-09) Offenders with disabilities are housed in a manner that provides for their safety and security. Housing used by offenders with disabilities is designed for their use and provides for integration with other offenders. Programs and services are accessible to offenders with disabilities who reside in the facility. Compliance Noncompliance Not Applicable Compliance Noncompliance Not Applicable Zoning and Building Code Compliance P&P Memo re: N/A CRJ MCGRATH HOUSE 145

20 4-ACRS-6A-04-1 (Added January 2002) The assignment of appropriately trained individuals to assist disabled offenders who cannot otherwise perform basic life functions is provided. Compliance Noncompliance Not Applicable Compliance Noncompliance Not Applicable N/A: MCGRATH HOUSE does not receive residents who cannot perform basic life functions Memo re: N/A CRJ MCGRATH HOUSE 146

21 4-ACRS-6A-04-2 (Added August 2002) Education, equipment and facilities, and the support necessary for inmates with disabilities to perform self-care and personal hygiene in a reasonably private environment are provided. Compliance Noncompliance Not Applicable Compliance Noncompliance Not Applicable Zoning & Building Code Compliance P&P Need same memo as 6A-04, 6A-04-1 CRJ MCGRATH HOUSE 147

22 4-ACRS-6A-05 (Ref. NEW) Offenders are not subjected to sexual harassment. Compliance Noncompliance Not Applicable Compliance Noncompliance Not Applicable Resident Rights P&P RH (sexual abuse) CRJ MCGRATH HOUSE 148

23 4-ACRS-6A-06 (Ref. 3-ACRS-5C-02) Indigent offenders, as defined in policy, receive a specified postage allowance to maintain community ties. Compliance Noncompliance Not Applicable Compliance Noncompliance Not Applicable Resident Finances P&P (re: indigent residents) Resident Communications P&P (re: indigent residents) Memo CRJ MCGRATH HOUSE 149

24 4-ACRS-6A-07 (Ref. 3-ACRS-5C-01) All regulations concerning offender correspondence should be specified in writing and made available to staff members, offenders, and their correspondents. Compliance Noncompliance Not Applicable Compliance Noncompliance Not Applicable Resident Communications P&P (re: mail) RH (resident conduct) RH (mail) Resident Sign-Off on RH Staff Orientation Checklist CRJ MCGRATH HOUSE 150

25 4-ACRS-6A-08 (Ref. 3-ACRS-5C-04) Offenders' 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 offender is notified when incoming mail is returned or outgoing mail is withheld Compliance Noncompliance Not Applicable Compliance Noncompliance Not Applicable Resident Communications P&P RH (resident conduct) Memo re: opening mail CRJ MCGRATH HOUSE 151

26 4-ACRS-6A-09 (Ref. 3-ACRS-5C-05) Procedures provide for the forwarding of first-class letters and packages after transfer or release. Compliance Noncompliance Not Applicable Compliance Noncompliance Not Applicable Resident Communications P&P (re: forwarding first class mail) Change of address printout form from USPO website Memo re: mail is returned to sender if the change of address form is not filled out properly to the resident release CRJ MCGRATH HOUSE 152

27 4-ACRS-6A-10 (Ref. 3-ACRS-4A-02) Offenders' legal commitment authority is documented by court order, statute, or compact. Compliance Noncompliance Not Applicable Compliance Noncompliance Not Applicable Intake Process P&P J&C CRJ MCGRATH HOUSE 153

28 4-ACRS-6A-11 (Ref. 3-ACRS-4A-01) Admission practices are defined. Compliance Noncompliance Not Applicable Compliance Noncompliance Not Applicable Intake Process P&P (re: admission) Referral & Intake Processing (re: admission) Acceptance Referral Sheets Memo re: acceptance procedures Resident Rejection Letter memo re: N/A CRJ MCGRATH HOUSE 154

29 4-ACRS-6A-12 (Ref. 3-ACRS-4A-04) The facility distributes a copy of admission policies to relevant agencies. Compliance Noncompliance Not Applicable Compliance Noncompliance Not Applicable Resident Admission Criteria P&P (re: dissemination) Memo re: BOP, US Probation, MA Parole Board and Suffolk County are aware of McGrath House policies on admission 4-ACRS-6A-13 (Ref. 3-ACRS-4G-06) CRJ MCGRATH HOUSE 155

30 Release practices are defined. Compliance Noncompliance Not Applicable Compliance Noncompliance Not Applicable Release Preparation P&P (re: release process) RH (release) Relocation Requests w/corresponding release plan (April) only 1 instance in past 6 mo. CRJ MCGRATH HOUSE 156

31 4-ACRS-6B-01 (Ref. 3-ACRS-3D-03) Offenders are not subjected to discrimination based on an offender's race, religion, national origin, gender, disability, or political views. Compliance Noncompliance Not Applicable Compliance Noncompliance Not Applicable Equal Access to Programs and Services P&P Resident Admission Criteria P&P RH (resident rights) Memo re: no incidents of discrimination CRJ MCGRATH HOUSE 157

32 4-ACRS-6B-02 (Ref. 3-ACRS-4A-01-1) Written intake criteria prohibits discrimination in accepting referrals on the basis of gender, disability, race, creed, political views, or national origin. Compliance Noncompliance Not Applicable Compliance Noncompliance Not Applicable Referral & Intake Processing P&P RH (resident rights) Memo re: no incidents of discrimination CRJ MCGRATH HOUSE 158

33 4-ACRS-6B-03 (Ref. 3-ACRS-3D-07) A grievance procedure that includes at least one level of appeal is available to all offenders. The grievance procedure is evaluated at least annually to determine its efficiency and effectiveness. The quantity and nature of offender grievances are aggregated and analyzed annually. Compliance Noncompliance Not Applicable Compliance Noncompliance Not Applicable Resident Grievance and Appeal Process P&P RH (grievances) Memo re: no grievances CRJ MCGRATH HOUSE 159

34 4-ACRS-6C-01 (Ref. 3-ACRS-3C-04 and 3C-05) There is a process for informal resolution of minor infractions of facility rules. Compliance Noncompliance Not Applicable Compliance Noncompliance Not Applicable Resident Rules and Sanctions P&P RH (rules; violations and sanctions) Incident reports for minor infractions BOP Code of Offenses CRJ MCGRATH HOUSE 160

35 4-ACRS-6C-02 (Ref. 3-ACRS-3C-06 and 4D-07) An offender charged with a major rule violation receives a written statement of the alleged violation(s), including a description of the incident and specific rules violated. Compliance Noncompliance Not Applicable Compliance Noncompliance Not Applicable Resident Rules and Sanctions P&P RH (rules; violations and sanctions) Incident reports for major infractions (April) Copy of written statement of violation rec d by resident CRJ MCGRATH HOUSE 161

36 4-ACRS-6C-03 (Ref. 3-ACRS-3C-07 and 3C-11 and 3C-12 and 3C-13) The facility's disciplinary process is defined and provides appropriate procedural safeguards, to include: report of incident and charge notice time to prepare for hearing assistance as needed timely hearing opportunity to present evidence fair decision written notice of decision opportunity to appeal Compliance Noncompliance Not Applicable Compliance Noncompliance Not Applicable Resident Rules and Sanctions P&P RH (rules; violations and sanctions) Incident reports (Feb., March) FBOP SOW (discipline) CRJ MCGRATH HOUSE 162

37 4-ACRS-6C-04 (Ref. NEW) The facility implements a system of progressive discipline. Compliance Noncompliance Not Applicable Compliance Noncompliance Not Applicable Resident Rules and Sanctions P&P (re: progressive discipline) RH (rules; violations and sanctions) Progressive Discipline Sanctions Incident Reports showing progressive discipline (i.e. 20 hours extra duty to 40 hours extra duty) need examples that show multiple violations CRJ MCGRATH HOUSE 163

38 4-ACRS-6D-01(Ref. NEW) The facility provides services and opportunities that encourage offenders to take responsibility for their actions. Opportunities are based upon victim and community input and are fashioned in a way that seeks to ameliorate the harm done. Compliance Noncompliance Not Applicable Compliance Noncompliance Not Applicable Resident Finances P&P RH (subsistence) Orientation to supervision Manual US Probation (section II: Restitution) Memo: No examples of child support, appearance in family court, or other examples of restitution etc. 4-ACRS-6D-02 (Ref. NEW) CRJ MCGRATH HOUSE 164

39 The facility provides services and opportunities that encourage offenders make restitution to the victims of their crime(s) and/or to the community. Compliance Noncompliance Not Applicable Compliance Noncompliance Not Applicable Resident Finances P&P (re: monthly budgets) Orientation to Supervision Manual US Probation (section II: Restitution) Memo: No examples of resident paying restitution CRJ MCGRATH HOUSE 165

40 4-ACRS-7A-01 (Ref. 3-ACRS-1A-01) The public or private agency operating a community residential program is a legal entity or a part of a legal entity. Compliance Noncompliance Not Applicable Compliance Noncompliance Not Applicable Legal Entity and By-Law Requirements P&P Articles of Organization (check old file) CRJ Annual Report (2014) 501 C3 Application (tax exempt status) CRJ MCGRATH HOUSE 166

41 4-ACRS-7A-02 (Ref. 3-ACRS-1A-02) 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. Compliance Noncompliance Not Applicable Compliance Noncompliance Not Applicable N/A: CRJ is not a sole proprietor CRJ MCGRATH HOUSE 167

42 4-ACRS-7A-03 (Ref. 3-ACRS-1A-03) The agency satisfies periodic filing requirements necessary to maintain its legal authority to continue operations. (Private agencies only). Compliance Noncompliance Not Applicable Compliance Noncompliance Not Applicable Fiscal Agency Audits & Reports P&P Reporting Requirements P&P 990 Form (extensions) Tax returns (extensions) CRJ MCGRATH HOUSE 168

43 4-ACRS-7A-04 (Ref. 3-ACRS-1A-24)[Private Agencies Only] At a minimum, the bylaws for the governing authority of the agency include: membership (types, qualifications, community representation, rights, duties) size of governing body method of selection terms of office duties and responsibilities of officers times authority will meet committees parliamentary procedures recording of minutes method of amending the bylaws conflict of interest provisions quorum Compliance Noncompliance Not Applicable Compliance Noncompliance Not Applicable Legal Entity and By-Law Requirements P&P CRJ By-laws CRJ MCGRATH HOUSE 169

44 4-ACRS-7A-05 (Ref. 3-ACRS-2A-02) The facility conforms to all applicable zoning ordinances. Compliance Noncompliance Not Applicable Compliance Noncompliance Not Applicable Zoning and Building Code Compliance P&P Use of Occupancy CRJ MCGRATH HOUSE 170

45 4-ACRS-7B-01 (Ref. 3-ACRS-1A-07) (Revise August 2003) The qualifications for the position of facility administrator include, at a minimum, a bachelor's degree in an appropriate discipline, five years of related administrative experience and demonstrated administrative ability and leadership. The degree requirement may be satisfied by completion of a career development program that includes work-related experience, training, or college credits at a level of achievement equivalent to the bachelor's degree. Compliance Noncompliance Not Applicable Compliance Noncompliance Not Applicable Staffing Requirements P&P Resume from Director of McGrath House Job description for McGrath House Director CRJ MCGRATH HOUSE 171

46 4-ACRS-7B-02 MANDATORY (Ref. 3-ACRS-4E-05) (Revised January 2005) All professional staff comply with applicable state and federal licensure, certification, or registration requirements. Verification of current credentials is on file in the facility. Compliance Noncompliance Not Applicable Compliance Noncompliance Not Applicable Staffing Requirements P&P Memo re: staff needing professional certification, licensing, etc. CRJ MCGRATH HOUSE 172

47 4-ACRS-7B-03 (Ref. 3-ACRS-1G-09) Volunteers may perform professional services only when they are certified or licensed to do so. Compliance Noncompliance Not Applicable Compliance Noncompliance Not Applicable Volunteers and Citizen Involvement P&P Memo re: there are no volunteers providing professional services 4-ACRS-7B-04 (Ref. 3-ACRS-1C-09) CRJ MCGRATH HOUSE 173

48 All personnel are selected, retained, and promoted on the basis of merit and specified qualifications. New employees receive credit for their prior training. Compliance Noncompliance Not Applicable Compliance Noncompliance Not Applicable Staffing Requirements P&P Employee Handbook(training section) McGrath House job descriptions CRJ Hiring Process Selection and Interview Process Memo: No examples of Tuition Reimbursement Any examples of employees receiving credit for prior training 4-ACRS-7B-05 (Ref. 3-ACRS-1C-11) (Revised August 2007) CRJ MCGRATH HOUSE 174

49 A criminal record check is conducted on all new employees and volunteers in accordance with state and federal statutes. This record will include comprehensive identifier information to be collected and run against law enforcement indices. If suspect information on matters with potential terrorism connections is returned on a desirable applicant, it is forwarded to the local Joint Terrorism Task Force (JTTF) or another similar agency. Compliance Noncompliance Not Applicable Compliance Noncompliance Not Applicable Employee Handbook (Criminal and background checks) CRJ Hiring Process 4-ACRS-7B-06 (Ref. 3-ACRS-1C-16) There is an 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 the CRJ MCGRATH HOUSE 175

50 evaluator. Compliance Noncompliance Not Applicable Compliance Noncompliance Not Applicable Employee Handbook (performance reviews) CRJ 3 month performance review (blank) CRJ performance appraisal: selfevaluation (blank) CRJ performance appraisal: program monitor (blank) CRJ performance appraisal: midmanagement staff (blank) CRJ performance appraisal: Individual Contributor (blank) 4-ACRS-7B-07 (Ref. 3-ACRS-1A-11 and 3A-01) Procedures that describe operating and maintaining the facility are specified in a manual that is accessible to all employees. CRJ MCGRATH HOUSE 176

51 Compliance Noncompliance Not Applicable Compliance Noncompliance Not Applicable Operations Manual P&P Employee Orientation Checklist CRJ MCGRATH HOUSE 177

52 4-ACRS-7B-08 (Ref. 3-ACRS-1A-12) Policies are reviewed at least annually and new or revised policies and procedures are made available prior to implementation to designated staff and volunteers. Compliance Noncompliance Not Applicable Compliance Noncompliance Not Applicable Operations Manual P&P Cover page of McGrath P&P Manual (showing year annually reviewed) CRJ MCGRATH HOUSE 178

53 4-ACRS-7B-09 (Ref. 3-ACRS-1A-04) Employees participate in the formulation of policies, procedures, and programs. Compliance Noncompliance Not Applicable Compliance Noncompliance Not Applicable Operations Manual P&P Memo: Staff assist in formulations of policies and procedures CRJ MCGRATH HOUSE 179

54 4-ACRS-7B-10 (Ref. 3-ACRS-1D-01 and 1D-02) Staff development and training program is planned, coordinated, and supervised by a qualified employee. Compliance Noncompliance Not Applicable Compliance Noncompliance Not Applicable Staff Training and Development P&P Resume of HR Director, A. Methot Training Calendar/Schedule CRJ MCGRATH HOUSE 180

55 4-ACRS-7B-11 (Ref. 3-ACRS-1D-01 and 1D-02) The training plan is developed, evaluated, and updated based on an annual assessment that identifies current job-related training needs. The training plan is reviewed annually. Compliance Noncompliance Not Applicable Compliance Noncompliance Not Applicable Staff Training and Development P&P ACA training requirements BOP Training Requirements (found in the SOW) Training Calendar/Schedule Annual Training Needs Assessment Job Analysis Questionnaire CRJ Management Development Individual Planning Training and Development Assessment Tool Guide CRJ Individual Development Plans (blank) CRJ MCGRATH HOUSE 181

56 4-ACRS-7B-12 (Ref. 3-ACRS-1D-03 and 1D-05) 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 persons who are qualified in the areas in which they conduct training. Compliance Noncompliance Not Applicable Compliance Noncompliance Not Applicable Staff Training and Development P&P Training Evaluation Forms (completed examples) Maria Alexson s Train the Trainer Certificate Marcy s train the Trainer Certificate 4-ACRS-7B-13 (Ref. 3-ACRS-1D-04 and 1D-06) CRJ MCGRATH HOUSE 182

57 The facility's training and staff development program uses community resources. Compliance Noncompliance Not Applicable Compliance Noncompliance Not Applicable Staff Training and Development P&P Samaritan s brochure (to show that the training utilizes community resources) Servsafe Invoices (to show that the training utilizes community resources) E-academy website page 4-ACRS-7B-14 (Ref. 3-ACRS-1D-08) CRJ MCGRATH HOUSE 183

58 All new full-time employees receive 40 hours of orientation training before undertaking their assignments. Orientation training includes, at a minimum, the following: a historical perspective of the facility, facility goals and objectives, program rules and regulations, job responsibilities, personnel policies, offender supervision, and report preparation. The employee signs and dates a statement indicating that orientation has been received. Compliance Noncompliance Not Applicable Compliance Noncompliance Not Applicable Staff Training and Development P&P Employee Orientation Checklist 4-ACRS-7B-15 (Ref. 3-ACRS-1D-09) (August 2000) All administrative, managerial, and professional staff receive 40 hours of training in addition to orientation training during their first year of employment and 40 hours of training each year CRJ MCGRATH HOUSE 184

59 thereafter, in areas relevant to their position. Compliance Noncompliance Not Applicable Compliance Noncompliance Not Applicable Staff Training and Development P&P CRJ MCGRATH HOUSE 185

60 4-ACRS-7B-16 (Ref. 3-ACRS-7B-16) All clerical/support employees receive 16 hours of training, in addition to their orientation training, during the first year of employment and 16 hours of training each year thereafter. Compliance Noncompliance Not Applicable Compliance Noncompliance Not Applicable Staff Training and Development P&P CRJ MCGRATH HOUSE 186

61 4-ACRS-7B-17 (Ref. 3-ACRS-1D-10) (Revised August 2005) Written policy, procedure, and practice provide that all new offender care workers receive 120 hours of training during their first year of employment. At a minimum, this training covers the following areas: security and safety procedures emergency and fire procedures supervision of offenders suicide intervention/prevention use-of-force offender rights key control interpersonal relations communication skills standards of conduct cultural awareness sexual abuse/assault intervention code of ethics Compliance Noncompliance Not Applicable Compliance Noncompliance Not Applicable Staff Training and Development P&P CRJ MCGRATH HOUSE 187

62 4-ACRS-7B-17-1 (Added August 2005) Written policy, procedure, and practice provide that all new offender care workers receive at least 40 hours of annual training. This training shall include at a minimum the following areas: standards of conduct/ethics security/safety/fire/medical/emergency procedures supervision of offenders including training on sexual abuse and assault use of force Compliance Noncompliance Not Applicable Compliance Noncompliance Not Applicable Staff Training and Development P&P CRJ MCGRATH HOUSE 188

63 4-ACRS-7B-18 (Ref. 3-ACRS-1D-13) All part-time staff, volunteers, and contract personnel receive formal orientation appropriate to their assignments and additional training as needed. Compliance Noncompliance Not Applicable Compliance Noncompliance Not Applicable Staff Training and Development P&P Contract Staff Orientation Checklist CRJ MCGRATH HOUSE 189

64 4-ACRS-7B-19 (Ref. 3-ACRS-1D-14 and 1D-15) Employees are encouraged to continue their education and training. Continuing staff development is encouraged by providing administrative leave and/or reimbursement for attending approved educational programs, professional meetings, seminars, or similar workrelated activities. Compliance Noncompliance Not Applicable Compliance Noncompliance Not Applicable Expense Reimbursement P&P Staff Training and Development P&P Employee Handbook (Professional Development; tuition Reimbursement; Tuition Remission; E-Academy) Examples of Tuition Reimbursement CRJ MCGRATH HOUSE 190

65 4-ACRS-7C-01 (Ref. 3 NEW) Staff acknowledge that they have reviewed facility work rules, ethics, regulations, conditions of employment and related documents. Compliance Noncompliance Not Applicable Compliance Noncompliance Not Applicable Staff Training and Development P&P Employee Orientation Checklists CRJ MCGRATH HOUSE 191

66 4-ACRS-7C-02 (Ref. 3-ACRS-1C-06) The facility implements a drug-free workplace policy. Policies specify support for a drug-free workplace and are reviewed annually and include, at a minimum, the following: 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 Compliance Noncompliance Not Applicable Compliance Noncompliance Not Applicable Staff Training and Development P&P Drug Free Workplace P&P Employee Orientation Checklists CRJ MCGRATH HOUSE 192

67 4-ACRS-7D-01 (Ref. 3-ACRS-1A-05) The facility has established measurable goals and objectives that are reviewed at least annually and updated as needed. Compliance Noncompliance Not Applicable Compliance Noncompliance Not Applicable Goals and Objectives P&P McGrath House Annual Goals CRJ MCGRATH HOUSE 193

68 4-ACRS-7D-01-1 (New) Added August 2010 The facility/agency shall demonstrate it has examined, and where appropriate and feasible, implemented strategies that promote recycling, energy and water conservation, pollution reduction, and utilization of renewable energy alternatives. Compliance Noncompliance Not Applicable Compliance Noncompliance Not Applicable Recycling P&P Resource Conservation List Republic Services invoices CRJ MCGRATH HOUSE 194

69 4-ACRS-7D-02 (Ref. 3-ACRS-1A-16) There is an internal system for assessing achievement of goals and objectives that documents findings. As necessary, program changes are implemented in response to findings. Compliance Noncompliance Not Applicable Compliance Noncompliance Not Applicable Goals and Objectives P&P Management Audit in a Residential Facility P&P BOP self-monitoring from QCP s (Jess) 4-ACRS-7D-03 (Ref. 3-ACRS-1A-08) CRJ MCGRATH HOUSE 195

70 There is a written document that describes the facility's organization. The description includes an organizational chart that groups similar functions, services, and activities in administrative subunits. The chart is reviewed at least annually and updated if needed. Compliance Noncompliance Not Applicable Compliance Noncompliance Not Applicable Organizational Chart and Description P&P CRJ Organizational Chart MCGRATH HOUSE Organizational Chart CRJ MCGRATH HOUSE 196

71 4-ACRS-7D-04 (Ref. 3-ACRS-1G-02) The lines of authority, responsibility, and accountability are specified for the facility's citizen involvement and volunteer services program. Compliance Noncompliance Not Applicable Compliance Noncompliance Not Applicable Volunteer and Citizen Involvement P&P CRJ Organizational Chart CRJ MCGRATH HOUSE 197

72 4-ACRS-7D-05 (Ref. 3-ACRS-1F-01 and 1F-04) Procedures govern access to and use of an organized system of information, analysis, collection, storage, retrieval, reporting, and review. Compliance Noncompliance Not Applicable Compliance Noncompliance Not Applicable Use of Electronic Equipment and Information P&P Annual and Monthly Report P&P Photograph of resident files MCGRATH HOUSE Monthly Management Reports (through March) CRJ MCGRATH HOUSE 198

73 4-ACRS-7D-06 (Ref. 3-ACRS-1F-02) The facility or parent agency cooperates with other criminal justice agencies in information gathering, exchange, and standardization. Compliance Noncompliance Not Applicable Compliance Noncompliance Not Applicable Research Ethics P&P Public and Community Relations P&P Copy of letter containing emergency plans to Boston Police Department CRJ Annual Report (2012 or 2013) CJI Publication entitled Promoting Public Safety Through Successful Community transitions CJI list of publications CRJ MCGRATH HOUSE 199

74 4-ACRS-7D-07 (Ref. 3-ACRS-4A-03) The facility completes an intake information form for each newly admitted offender that includes, at a minimum: name address social security number 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 social history, where available special medical, dental and mental health problems or needs personal physician, if applicable legal status, including jurisdiction, length and conditions of placement signature of both interviewee and employee gathering information Compliance Noncompliance Not Applicable Compliance Noncompliance Not Applicable Intake Process P&P Medical, Dental & Mental Health Admission Screening Process CRJ MCGRATH HOUSE 200

75 4-ACRS-7D-08 (Ref. 3-ACRS-1E-01 and 1E-03 and 1E-04 and 1E-06 and 1E-08 and 1C-17) Revised January Procedures govern case record management, including, at a minimum, the following areas: the establishment, maintenance, use, and content of case records; right to privacy; secure placement and preservation of records; and schedule for retiring or destroying inactive records. 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. When any part of the information system is computerized, security ensures confidentiality. 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 offender'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. The policies and procedures are reviewed annually. Compliance Noncompliance Not Applicable Compliance Noncompliance Not Applicable Case Records P&P Confidentiality and Release of Information P&P Case Record Management in Residential Programs P&P Use of Electronic Equipment and Information P&P Information Storage and Retrieval P&P Release of information Employee Orientation Checklist Contractor Orientation Checklist CRJ MCGRATH HOUSE 201

76 4-ACRS-7D-09 (Ref. 3-ACRS-1E-02) A record is maintained for each offender and includes, at a minimum, the following information: initial intake information form case information from referral source, if available case history/social history medical record, when available individual plan or program signed release of information forms evaluation and progress reports current employment data and education data program rules and disciplinary policy, signed by offender documented legal authority to accept offender grievance and disciplinary record referrals to other agencies final discharge report approved visitation list personal property inventory Compliance Noncompliance Not Applicable Compliance Noncompliance Not Applicable Case Records P&P Case Record Management in Residential Programs P&P CRJ MCGRATH HOUSE 202

77 4-ACRS-7D-10 (Ref. 3-ACRS-1E-05) An updated case record for any offender transferred from one facility to another is transferred simultaneously or at the latest within 72 hours. Compliance Noncompliance Not Applicable Compliance Noncompliance Not Applicable Case Records P&P Case Record Management in Residential Programs P&P Closing summaries for transferred residents CRJ MCGRATH HOUSE 203

78 4-ACRS-7D-11 (Ref. 3-ACRS-1E-07) Procedures govern offenders' access to information in their case records. Compliance Noncompliance Not Applicable Compliance Noncompliance Not Applicable Case Records P&P Case Record Management in Residential Programs P&P Memo re: resident access to case records CRJ MCGRATH HOUSE 204

79 4-ACRS-7D-12 (Revised January 2011) In facilities that engage in, or allow the conduct 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. Additionally the facility also complies with the following: The facility administrator reviews and approves all research projects prior to implementation. All research results are made available to the facility/agency administrator prior to publication or dissemination. Procedures govern the voluntary participation of offenders in non-medical, non-pharmaceutical, and noncosmetic research programs. Compliance Noncompliance Not Applicable Compliance Noncompliance Not Applicable Research Ethics P&P Memo: no research conducted at this time CRJ MCGRATH HOUSE 205

80 4-ACRS-7D-13 (Ref. 3-ACRS-3D-06) Procedures specify the personal property that offenders can retain in their possession and govern the control and safeguarding of such property. Compliance Noncompliance Not Applicable Compliance Noncompliance Not Applicable Resident Property Control P&P Resident Handbook (Prohibited Items) CRJ MCGRATH HOUSE 206

81 4-ACRS-7D-14 (Ref. 3-ACRS-3D-06) Personal property stored in the facility is itemized on a written list that is signed by the offender, and kept in a permanent file. The offender receives a copy listing the property retained for storage. Compliance Noncompliance Not Applicable Compliance Noncompliance Not Applicable Resident Property Control P&P Resident Property Inventory CRJ MCGRATH HOUSE 207

82 4-ACRS-7D-15 (Ref. 3-ACRS-4E-27) Authorities having jurisdiction are promptly notified of an offender's death. Procedures specify and govern the actions to be taken in the event of the death of an offender. Compliance Noncompliance Not Applicable Compliance Noncompliance Not Applicable Emergency Contact Notification P&P Memo re: no deaths at McGrath House CRJ MCGRATH HOUSE 208

83 4-ACRS-7D-16 (Ref. 3-ACRS-1B-01) The facility administrator is responsible for fiscal policy, management, and control. Management of fiscal operations may be delegated to a designated staff person. Compliance Noncompliance Not Applicable Compliance Noncompliance Not Applicable Fiscal Budgets P&P Program Director s job description s re: the budget process CRJ MCGRATH HOUSE 209

84 4-ACRS-7D-17 (Ref. 3-ACRS-1B-02) The facility has written fiscal policies and procedures adopted by the governing authority, including, at a minimum, the following: internal controls, petty cash, bonding, signature control on checks, offender funds, and employee expense reimbursements. Compliance Noncompliance Not Applicable Compliance Noncompliance Not Applicable Fiscal Fiscal P&P Fiscal Client and/or Staff Financial Transactions P&P Finance Client Funds P&P Fiscal Insurance P&P Expense Reimbursement P&P Resident Finances P&P CRJ MCGRATH HOUSE 210

85 4-ACRS-7D-18 (Ref. 3-ACRS-1B-03) The facility prepares an annual written budget of anticipated revenues and expenditures that is approved by the appropriate governing authority. Compliance Noncompliance Not Applicable Compliance Noncompliance Not Applicable Fiscal Budget P&P Adult Budget McGrath House Budget CRJ s analysis of the budget presented to the Board of Directors: Surplus/Deficit report Financial Report Balance Sheet CRJ MCGRATH HOUSE 211

86 4-ACRS-7D-19 (Ref. 3-ACRS-1B-04) The facility administrator participates in budget reviews conducted by the governing board or parent agency. Compliance Noncompliance Not Applicable Compliance Noncompliance Not Applicable Fiscal Budget P&P s from Program Director re: preparing annual budget CRJ MCGRATH HOUSE 212

87 4-ACRS-7D-20 (Ref. 3-ACRS-1B-06) There is a budgeting and accounting system that links program functions to the resources necessary for their support. Compliance Noncompliance Not Applicable Compliance Noncompliance Not Applicable Fiscal Budget P&P FMRs General Ledger MCGRATH HOUSE Budget CRJ MCGRATH HOUSE 213

88 4-ACRS-7D-21 (Ref. 3-ACRS-1B-07) All monies collected at the facility are placed daily in an officially designated, secure location. Compliance Noncompliance Not Applicable Compliance Noncompliance Not Applicable Fiscal Client and/or Staff Financial Transactions P&P Resident Finances P&P Photograph of safe in Admin Office 4-ACRS-7D-22 (Ref. 3-ACRS-1B-08) CRJ MCGRATH HOUSE 214

89 The methods used for the receipt, safeguarding, disbursing, and recording of funds comply with accepted accounting procedures. Compliance Noncompliance Not Applicable Compliance Noncompliance Not Applicable Fiscal Fiscal P&P FMRs Independent Auditor s Report Financial Report Surplus/Deficit Report CRJ MCGRATH HOUSE 215

90 4-ACRS-7D-23 (Ref. 3-ACRS-1B-09) 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. Compliance Noncompliance Not Applicable Compliance Noncompliance Not Applicable Fiscal Agency Audits and Reports P&P FMRs Surplus/Deficit Report CRJ MCGRATH HOUSE 216

91 4-ACRS-7D-24 (Ref. 3-ACRS-1B-10)( Revise August 2001) There is an independent financial audit of the facility. This audit is conducted annually or as stipulated by statue or regulation, but at least every three years. If the facility is a part of a state system, an internal audits section or department of the agency s central administration and/or statutory agency shall be considered independent of the facility to be audited. Compliance Noncompliance Not Applicable Compliance Noncompliance Not Applicable Fiscal Agency Audits and Reports P&P Financial Report CRJ MCGRATH HOUSE 217

92 4-ACRS-7D-25 (Ref. 3-ACRS-1B-11) Procedures provide for purchasing and requisitioning supplies and equipment and for property inventory and control. Compliance Noncompliance Not Applicable Compliance Noncompliance Not Applicable Fiscal Fiscal P&P Fiscal Fixed Assets and Capitalization Index P&P Inventory P&P MCGRATH HOUSE Inventory Inventory card CRJ MCGRATH HOUSE 218

93 4-ACRS-7D-26 (Ref. 3-ACRS-1B-12) Where needed, funds are available for purchasing community services to supplement existing programs and services. Compliance Noncompliance Not Applicable Compliance Noncompliance Not Applicable Budget P&P Pine Street Inn Invoices FMRs CRJ MCGRATH HOUSE 219

94 4-ACRS-7D-27 (Ref. 3-ACRS-1B-13) Procedures regulate position control regarding position allocation, budget authorization, personnel records, and payroll. Compliance Noncompliance Not Applicable Compliance Noncompliance Not Applicable Fiscal Fiscal P&P Fiscal Budgets P&P Adult Budget Breakdown MCGRATH HOUSE budget Employment Legal Status Vacancy Request Process Vacant position request form CRJ internal job inquiry form CRJ Hiring Process CRJ MCGRATH HOUSE 220

95 4-ACRS-7D-28 (Ref. 3-ACRS-1B-14) There is insurance coverage that includes, at a minimum, property insurance and comprehensive general liability insurance. Such insurance is provided either through private companies or selfinsurance. Compliance Noncompliance Not Applicable Compliance Noncompliance Not Applicable Fiscal Insurance P&P Summary of Insurance CRJ MCGRATH HOUSE 221

96 4-ACRS-7D-29 (Ref. 3-ACRS-1B-15) Where a commissary or canteen is operated for offenders, canteen funds are audited independently following standard accounting procedures. An annual financial status report is available as a public document. Compliance Noncompliance Not Applicable Compliance Noncompliance Not Applicable N/A: There is no commissary or canteen CRJ MCGRATH HOUSE 222

97 4-ACRS-7D-30 (Ref. 3-ACRS-1B-16) Any financial transactions permitted between offenders, offenders and staff, or offenders and volunteers must be approved by the facility administrator. Compliance Noncompliance Not Applicable Compliance Noncompliance Not Applicable Fiscal Client and/or Staff Financial Transactions P&P Receipt of resident travel funds CRJ MCGRATH HOUSE 223

98 4-ACRS-7D-31 (Ref. 3-ACRS-1B-17) There are provisions for emergency financial assistance and, when appropriate, a weekly allowance. Compliance Noncompliance Not Applicable Compliance Noncompliance Not Applicable Resident Finances P&P Fiscal Fiscal P&P CRJ MCGRATH HOUSE 224

99 4-ACRS-7D-32 (Ref. 3-ACRS-1B-19) Offenders 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. Compliance Noncompliance Not Applicable Compliance Noncompliance Not Applicable Resident Subsistence P&P Fiscal Client and/or Staff Financial Transactions P&P RH (Subsistence) SOW (Subsistence) CRJ MCGRATH HOUSE 225

100 4-ACRS-7D-33 (Ref. 3-ACRS-1B-20) (Revised August 2007) Procedures specify to the offender how the amount of offender fees will be determined, and when and how it will be collected and recorded. If the program is provided by a contractor, the contractor will provide the contracting agency, at least monthly, with an accounting of fees received, including the amount paid and the payer. Compliance Noncompliance Not Applicable Compliance Noncompliance Not Applicable Resident Subsistence P&P Fiscal Client and/or Staff Financial Transactions P&P Examples of resident subsistence (both employed and unemployed residents) BOP Invoices CRJ MCGRATH HOUSE 226

101 4-ACRS-7D-34 (Ref. 3-ACRS-1A-13) The facility administrator attends meetings of the governing authority at least annually to facilitate communication, establish policy, and ensure conformity to legal and fiscal requirements. Compliance Noncompliance Not Applicable Compliance Noncompliance Not Applicable Board of Director s Meeting P&P Communication P&P CRJ Board Meeting Minutes with SJS Department Director in attendance CRJ MCGRATH HOUSE 227

102 4-ACRS-7D-35 (Ref. 3-ACRS-1A-14) There are regular meetings, at least monthly, between the administrator and key staff members. Compliance Noncompliance Not Applicable Compliance Noncompliance Not Applicable Communication P&P MCGRATH HOUSE staff meeting minutes MCGRATH HOUSE staff attendance roster for staff meetings CRJ MCGRATH HOUSE 228

103 4-ACRS-7D-36 (Ref. 3-ACRS-1A-15) There is a system of communication between all levels of staff and offenders. Compliance Noncompliance Not Applicable Compliance Noncompliance Not Applicable Communication P&P Any internal memo that shows client/staff communications CRJ MCGRATH HOUSE 229

104 4-ACRS-7D-37 (Ref. 3-ACRS-2F-01) Adequate space is provided for administrative, direct care, professional, and clerical staff. This space includes conference areas, storage room for records, and toilet facilities. Compliance Noncompliance Not Applicable Compliance Noncompliance Not Applicable Program Meeting Space P&P Floor plans with staff offices highlighted CRJ MCGRATH HOUSE 230

105 4-ACRS-7E-01 (Ref. 3-ACRS-1C-21) A grievance procedure is available to all employees. Compliance Noncompliance Not Applicable Compliance Noncompliance Not Applicable Employee Handbook (re: no grievances) Memo re: no grievances CRJ MCGRATH HOUSE 231

106 4-ACRS-7E-02 (Ref. 3-ACRS-2F-02) Reasonable accommodation is made to ensure that all parts of the facility that are accessible to the public are accessible and usable by staff and visitors with disabilities. Compliance Noncompliance Not Applicable Compliance Noncompliance Not Applicable Staffing Requirements P&P Floor plans with elevator and ramp highlighted need memo Memo re: ne constructiongrandfathered into previous building codes CRJ MCGRATH HOUSE 232

107 4-ACRS-7E-03 (Ref. 3-ACRS-1C-04) 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. Compliance Noncompliance Not Applicable Compliance Noncompliance Not Applicable Staffing Requirements P&P Memo CRJ MCGRATH HOUSE 233

108 4-ACRS-7E-04 (Ref. 3-ACRS-1C-04) Staff are not sexually harassed. Policy and procedure specifically prohibits sexual harassment and specify the process and designated staff to whom incidents of sexual harassment should be reported. Regular training is provided to staff. Compliance Noncompliance Not Applicable Compliance Noncompliance Not Applicable CRJ Sexual Harassment Policy HR Documentation Employee Handbook (sexual harassment) Employee Orientation Checklist CRJ MCGRATH HOUSE 234

109 4-ACRS-7E-05 (Ref. 3-ACRS-1C-04) Equal employment opportunities exist for all positions. Compliance Noncompliance Not Applicable Compliance Noncompliance Not Applicable Staffing Requirements P&P Employee Handbook (Equal Employment Opportunity CRJ MCGRATH HOUSE 235

110 4-ACRS-7E-06 (Ref. 3-ACRS-1C-10) The agency does not discriminate against or exclude from employment qualified ex-offenders. Compliance Noncompliance Not Applicable Compliance Noncompliance Not Applicable Staffing Requirements P&P Employee Handbook (Equal Employment Opportunity) CRJ MCGRATH HOUSE 236

111 4-ACRS-7E-07 (Ref. 3-ACRS-1C-02 and 1C-03 and 1C-20) A personnel manual is accessible to employee that covers, at a minimum, the following areas: organizational chart leave staff development hours of work recruitment and selection probationary period promotion compensation job qualifications and job descriptions travel affirmative action disciplinary procedures sexual harassment termination grievance and appeal procedures resignation orientation employee assistance program employee evaluation code of ethics personnel records conflict of interest benefits legal assistance holidays Employees are required to sign statements acknowledging access to and awareness of personnel policies and regulations. Compliance Noncompliance Not Applicable Compliance Noncompliance Not Applicable Organizational Chart and Description P&P Legal Assistance P&P Operations Manual P&P Table of Contents from Employee Handbook (numbered so that it corresponds to standard items) CRJ Organizational Chart MCGRATH HOUSE Organizational Chart Benefits Form CRJ MCGRATH HOUSE 237