Chapter 5120:1-3 Adult Parole Authority Licensed Facilities

5120:1-3-01 Contracting and payment reimbursement for offenders placed in halfway houses.

(A) General policy

The department of rehabilitation and correction ("department"), through the division of parole and community services ("division"), may enter into the contracts for the housing of specific classes of eligible offenders through licensed public and private facilities (hereinafter "licensed facility" or "facilities").

(1) Such licensed facilities shall comply with all relevant standards of the federal, state and local building, fire, health and safety authorities.

(2) Any licensed facility contracting with the division shall be required to maintain accurate financial records in a manner consistent with generally accepted accounting principles and procedures, which shall be available upon reasonable notice for inspection and audit by representatives of the division. Such records shall disclose the amounts of all income received by the licensed facility and the sources thereof, and the amounts and purposes of all expenditures of the licensed facility. Additionally, each licensed facility contracting with the division shall provide the division with copies of a complete annual audit report of its financial activities prepared by a reputable certified public accountant licensed by the state of Ohio and any other financial data as requested by the division. All licensed facilities contracting with the division shall comply with the laws of the state of Ohio, including, without limitation, sections 109.23 to 109.33 of the Revised Code.

(B) Purpose and applicability

This rule sets forth standards for determining the allowable costs of licensed facilities contracting with the division of parole and community services. The standards are for the purpose of cost determination and are not intended to identify the circumstances or indicate the extent of state participation in the financing of any one program. No provision for profit or other increment above the cost is intended.

(C) Basic guidelines: To be allowable under an agency program, cost must meet the following general criteria:

(1) Be necessary and reasonable for proper and efficient administration of the agency program and be allowable thereto under these rules.

(2) Be authorized or not prohibited under state or local laws or regulations.

(3) Conform to any limitations or exclusions set forth in these rules, federal or state laws, or other governing limitations as to types or amounts of cost items.

(4) Be accorded consistent treatment through application of generally accepted accounting principles appropriate to the circumstances.

(D) Allowable costs

(1) Accounting. The cost of establishing and maintaining accounting and other information systems required for the management of agency programs is allowable.

(2) Advertising. Advertising media include newspapers, magazines, radio and television programs, direct mail, trade papers and the like. The advertising costs allowable are those which are solely for:

(a) Recruitment of personnel required for the agency program.

(b) Solicitation of bids for the procurement of goods and services required.

(c) Other purposes specifically provided for in the agency contract.

(d) Cost of solicitation mailing for the purpose of raising funds.

(3) Audit service. The cost of audits necessary for the administration and management of functions related to agency programs is allowable.

(4) Bonding. Costs of premiums on bonds covering employees who handle agency funds are allowable.

(5) Communications. Costs incurred for telephone calls or services, internet services, telegraph and postage are allowable.

(6) Compensation for personal services.

(a) General. Compensation for personal services includes all remuneration, paid currently or accrued, for services rendered during the period of performance under the agency contract.

(b) Payroll and distribution of time. Amounts charged to agency programs for personal services, regardless of whether treated as direct or indirect cost, will be based on payrolls documented and approved in accordance with generally accepted practice of the state or local agency.

(7) Depreciation

(a) Agencies may be compensated for the use of buildings, capital improvements and equipment through depreciations. The computation of depreciation be based on acquisition cost. Where actual cost records have not been maintained, a reasonable estimate of the original acquisition cost may be used in the computation. In addition, the computation will also exclude the cost of land. Depreciation on idle facilities is not allowable.

(b) Adequate property records must be maintained and any generally accepted method of computing depreciation may be used. However, the method of computing depreciation must be consistently applied for any specific asset or class of assets.

(c) No depreciation may be allowed on any assets that would be considered as fully depreciated.

(8) Employee fringe benefits. Cost identified under paragraphs (D)(8)(a) and (D)(8)(b) of this rule are allowable to the extent that total compensation for employees is reasonable as stated in paragraph (D)(6) of this rule.

(a) Employee benefits in the form of regular compensation paid to employees during periods of authorized absences from the job, such as for annual leave, sick leave, court leave, military leave and the like if they are provided pursuant to an approved leave system and the cost thereof is equitably allocated to all related activities.

(b) Employee benefits in the form of employer's contribution of expenses for social security, employee's life and health insurance plans, unemployment insurance coverage, worker's compensation insurance, pension plans, severance pay and the like, provided such benefits are granted under approved plans.

(9) Legal expenses. The cost of legal expenses required in the administration of agency programs is allowable.

(10) Maintenance and repair. Costs incurred for necessary maintenance, repair, or upkeep of property which neither add to the permanent value of the property nor appreciably prolong its intended life, but keep it in an efficient operating condition are allowable.

(11) Materials and supplies. The cost of materials and supplies necessary to carry out the agency program is allowable.

(12) Organizational memberships, subscriptions and professional activities.

(a) Memberships. The cost of memberships of the licensed facility in civic, business, technical and professional organizations is allowable provided that:

(i) The benefit from the membership is related to the agency program;

(ii) The expenditure is for agency membership:

(iii) The cost of the membership is reasonably related to the value of the services or benefits received; and

(iv) The expenditure is not for membership in an organization, which devotes a substantial part of its activities to influencing legislation.

(b) Reference material. The cost of books, subscriptions to civic, business, professional and technical periodicals is allowable when related to the agency program.

(c) Meetings and conferences. Cost are allowable when the primary purpose of the meeting is the dissemination of technical information relating to the agency program.

(13) Payroll preparation. The cost of preparing payrolls and maintaining necessary related wage records is allowable.

(14) Printing and reproductions. Costs for printing and reproduction services necessary for agency administration, including but not limited to forms, reports, manuals and informational literature are allowable.

(15) Taxes. Taxes which the agency is legally required to pay are allowable.

(16) Training and education. The cost of in-service training customarily provided for employee development which directly or indirectly benefit agency programs and offenders is allowable.

(17) Transportation. Costs incurred for freight, cartage, express, postage and other transportation costs relating either to goods purchased, delivered, or moved from one location to another is allowable.

(18) Travel. Travel costs are allowable for expenses or transportation, lodging, subsistence and related items incurred by employees who are in travel status on official business incident to the agency program.

(19) Accreditation cost. Accreditation cost is allowable in the year and for the amount vouchered. Accreditation costs are only allowable on a three-year basis.

(20) Costs incurred to satisfy minimum standards of the Prison Rape Elimination Act (PREA), 42 United States Code Chapter 147, effective September 4, 2003.

(E) Costs allowable with approval of the Ohio department of rehabilitation and correction. Under this paragraph, "approval" means written approval received from the division of parole and community services prior to incurring any of the following costs:

(1) Building space and related facilities. The cost of space in privately or publicly owned buildings used for the benefit of the agency program is allowable subject to the conditions set forth below. The total cost of space, whether in a privately or publicly owned building, may not exceed the rental cost of comparable space and facilities in a privately owned building in the same locality.

(a) Rental cost. The rental cost of space in a privately owned building is allowable when specifically approved.

(b) Maintenance and operation. The costs of utilities, insurance, security, janitorial services, elevator service, upkeep of grounds, normal repairs and alteration and the like; are allowable to the extent they are not otherwise included in rental or other charges for space when specifically approved.

(c) Occupancy of space under rental purchase or a lease with option to purchase agreement. The cost of space procured under such arrangement is allowable when specifically approved.

(2) Insurance and indemnification.

(a) Contributions to a reserve for a self-insurance program approved by the department of rehabilitation and correction are allowable to the extent that the type of coverage, extent of coverage, and the rates and premiums would have been purchased to cover the risks.

(b) Actual losses which could have been covered by permissible insurance (through an approved self-insurance program or otherwise) are unallowable. However, costs incurred because of losses not covered under nominal deductible insurance coverage provided in keeping with sound management practice, and minor by insurance, such as losses not covered spoilage, breakage, and disappearance of small hand tools which occur in the ordinary course of business are allowable.

(3) Professional services. Cost of professional services rendered by individuals or organizations not a part of the licensed facility is allowable provided such costs are reasonable. All such costs are subject to approval by the division of parole and community services.

(4) Interest. Reasonable interest on borrowing, however represented, is allowable when specifically approved.

(F) Unallowable costs.

(1) Bad debts. Any losses arising from uncollectable accounts and other claims and related costs, are unallowable.

(2) Contingencies. Contributions to a contingency reserve or any similar provision for unforeseen events are unallowable.

(3) Contributions and donations are unallowable.

(4) Entertainment. Costs of amusements, social activities, and incidental costs relating thereto, such as for meals, beverages, lodging, rental transportation, and gratuities, are unallowable when they are directly for the benefit of employees of the agency.

(5) Fines and penalties. Costs resulting from violations of federal, state, or local laws or regulations, are unallowable.

(6) Expansion and development. Reserves for future expansion and development are unallowable.

(7) Rearrangement and alteration. Costs incurred for rearrangement and alteration of facilities that materially increase the value or useful life of the facilities are unallowable.

(8) Acquisition cost of all depreciable assets are unallowable.

(9) Costs for managing federal grants are unallowable.

(10) Mortgage payments which accrue to the principal are unallowable.

(11) All costs related to the administration and provision of services to other than eligible offenders are unallowable.

(12) If a licensed facility receives subsidy funds under section 5149.30 to 5149.37 of the Revised Code, the costs related to those funds are unallowable.

(13) The licensed facility's cost for residential services shall be reduced by the amount of the subsidies received under sections 5149.30 to 5149.37 of the Revised Code if such subsidies are used to offset residential costs.

(14) Individual membership dues are unallowable as provided in section 9.65 of the Revised Code.

(15) Legal expenses arising from the initiation, prosecution or appeal of any civil action filed against the state of Ohio, the department or any of its employees are unallowable.

(16) Compensation paid by the licensed facility to members of its board of directors or other governing body are unallowable.

(G) Computation of per diem rate

(1) In determining the amount of an agency's total adjusted costs, (allowable expenses) paragraphs (D) to (F) of this rule, must be followed. The total adjusted cost (TAC) is the sum of all allowable costs.

(2) When determining an agency's operating surplus, subtract the total revenue received during the past twelve months by the agency from the agency's total cost for the same time period.

(3) To compute one hundred per cent of an agency's average daily per capita cost with its facility at full occupancy, the procedure outlined below should be followed:

(a) Subtract the amount derived in paragraph (G)(2) of this rule (operating surplus) from the total adjusted cost paragraph (G)(1) of this rule to determine the agency's total includable costs ("TIC").

(b) Compute the contract per diem rate by using this formula:

Total includable costs/Total mandays = Contract per diem rate

(4) The licensed facility's average daily per capita cost at full occupancy shall not exceed the actual cost of the previous twelve months plus any inflation factor that may be deemed necessary by the division.

(H) Contracts

(1) The division of parole and community services may enter into written contracts with licensed facilities to provide services to eligible offenders. Such contracts shall provide for the method of payment by the department to the licensed facility.

(2) The execution of a written contract between the division of parole and community services and a licensed facility stating specifically the obligations of each party shall be a condition precedent to any obligation upon the department to make any payment to the licensed facility for any services rendered to an eligible offender by the licensed facility.

(3) As a condition precedent to the execution of any contract pursuant to paragraph(H)(1) of this rule the board of trustees or other governing body of each licensed facility shall submit to the division of parole and community services a document designating the person who is empowered to enter into contracts on behalf of such licensed facility, and by whose signature such board of trustees or other governing body agrees to be bound.

(4) Contract negotiation materials for state financial assistance to establish, maintain, and operate a licensed facility shall be submitted to the division of parole and community services. These materials shall contain proposed budget expenditures for the total cost of operating the licensed facility for one year. Licensed facilities agree to operate the program as outlined in the submitted contract negotiation materials.

(I) Payment procedure

(1) Each licensed facility shall submit to the bureau of community sanctions in the division of parole and community services by the tenth working day of each month a separate report in such form as required by the bureau of community sanctions, for each class of eligible offender specifying for the preceding month the total mandays for each class of eligible offenders.

(2) The department, through the bureau of community sanctions in the division of parole and community services will disburse funds to each licensed facility according to the contract. The division may adjust the contract amount or terminate the contract with licensed facilities that fail to meet the mutually agreed upon terms of the contract, or fail to maintain average bed utilization as determined in the contract.

(3) A licensed facility may hold a bed for an eligible offender who is in jail or a hospital for a period not to exceed five days if the supervising authority notifies the licensed facility that the eligible offender will return to the licensed facility.

(J) General requirements

(1) The licensed facility shall require each offender to execute a document giving the employees of the licensed facility and the adult parole authority permission to dispose of the offender's property in the event of death or arrest or otherwise specifying what the licensed facility or the adult parole authority should do with the property in such event.

(2) The document executed under paragraph (J)(1) of this rule shall authorize the licensed facility and the adult parole authority to dispose of an offender's property in any manner that the facility and authority consider appropriate if the offender absconds supervision for longer than fourteen consecutive calendar days.

Effective: 4/15/2019
Five Year Review (FYR) Dates: 3/10/2016 and 04/15/2024
Promulgated Under: 119.03
Statutory Authority: 2967.26, 2967.14, 5120.01
Rule Amplifies: 2967.14, 2967.26
Prior Effective Dates: 10/9/76, 10/12/78, 4/1/82, 9/4/84, 2/1/86, 7/1/91, 7/1/96, 11/10/99, 12/15/10, 3/28/11

5120:1-3-02 Licensing requirements for a halfway house or community residential center as a licensed facility.

(A) The division of parole and community services shall be charged with the inspection, supervision and licensing of halfway houses or community residential centers as licensed facilities.

(B) The division of parole and community services shall make annual on-site inspections of halfway houses or community residential centers under contract with the division for the purpose of conducting an audit or site inspection of the facility. Such audits or site inspection shall be scheduled in advance with written notice to the person in charge of the halfway house or community residential center.

(C) During the inspection, auditors employed by the division of parole and community services shall have full access to all areas of a halfway house or community residential center and to all records, including electronically stored record or data, relating to the operation of the facility, including offender files.

(D) The auditors employed by the division of parole and community services shall ascertain compliance with the general and specific halfway house standards set forth in the Administrative Code.

(1) Within thirty days after an audit or a site inspection, the division of parole and community services shall prepare a written report of the results. The report shall describe and include a summary of any findings of noncompliance. The report shall be sent to the person in charge of the halfway house or community residential center.

(2) In addition to the appeal rights granted under section 119.12 of the Revised Code, the division of parole and community services will allow licensed halfway house and community residential center managers to administratively appeal adverse decisions regarding licensure of the halfway house or community residential center. The appeal procedure shall be as follows:

(a) Notification shall be given in writing to the licensed facility of the particulars of such failures or deficiencies:

(b) The licensed facility has the right of a fair hearing during the thirty-day period following notification at which time evidence can be submitted to rebut, clarify, or correct particulars outlined in such notification.

(c) The division of parole and community services shall require the licensed facility to correct these deficiencies within thirty days from notification or to submit an acceptable plan and timetable to remedy these areas.

(3) An appeal of an adverse decision on licensure taken pursuant to paragraph (D)(2) of this rule shall not affect the authority of the division of parole and community services to terminate a contract with a facility at any time pursuant to the terms of the contract.

(4) The scope of the administrative appeal authorized under paragraph (D)(2) of this rule is limited to reviewing an adverse decision on licensure. An appeal may not be taken under paragraph (D)(2) of this rule for the purpose of challenging a decision by the division of parole and community services to terminate a contract with a licensed facility pursuant to the contract's terms or be taken for any other purpose other than reviewing an adverse decision on licensure.

(E) For halfway houses and community residential centers to be licensed, they must comply with the general and specific halfway house standards set forth in the Administrative Code.

(F) The public or private entity operating a licensed facility shall be a legal entity or a part of a legal entity according to the provisions of Chapter 1702. of the Revised Code. The agency shall maintain a copy of the following items:

(1) Articles of incorporation or constitution;

(2) By-laws;

(3) Federal tax identification number;

(4) Federal tax exemption number;

(5) A current list of the board of directors, their occupations, and their addresses.

Effective: 4/15/2019
Five Year Review (FYR) Dates: 3/10/2016 and 04/15/2024
Promulgated Under: 119.03
Statutory Authority: 2967.26, 2967.14, 5120.01
Rule Amplifies: 2967.14, 2967.26
Prior Effective Dates: 4/1/82, 7/1/96, 12/15/10

5120:1-3-03 Inspection process.

(A) For facilities currently licensed, the agency director shall be notified when the inspection will be conducted. Such notification shall be made no less than thirty days prior to the license's expiration date.

(B) For new facilities, notification shall be made after a preliminary self-reporting form has been received and evaluated.

(C) Once at the licensed facility, the audit team conducting the inspection shall meet with the center director to explain the criteria that will be used in the inspection, the reason(s) for the inspection and any other relevant matter.

(D) The division of parole and community services may conduct unannounced inspections anytime after formal licensing has been granted. Should the division of parole and community services conduct unannounced inspections, the notification requirement in paragraph (A) of this rule does not apply.

(E) The agency director shall make himself/herself available in the event the audit team has any questions or needs additional information.

(F) In order for a halfway house or community residential center to be eligible for licensure and state assistance, the halfway house or community residential center must have operated a facility for at least one year prior to making application for a license.

Effective: 8/31/2017
Five Year Review (FYR) Dates: 1/4/2021
Promulgated Under: 119.03
Statutory Authority: 5120.01, 2967.14, 2967.26
Rule Amplifies: 2967.14, 2967.26
Prior Effective Dates: 4/1/82, 7/1/96, 12/15/10

5120:1-3-04 Evaluation of licensed halfway house or community residential centers.

(A) The administration of each licensed halfway house and community residential center shall provide the division of parole and community services with the goals, objectives and measurement criteria for their organization. This information will be for each new fiscal year and should be submitted with contract negotiation materials for evaluation and review by the division of parole and community services.

(B) The licensed facility may submit data that will indicate that its goals and objectives are being achieved.

(C) Resources permitting, the division of parole and community services shall provide technical assistance to halfway houses and community residential center administration in establishing the facility's goals, objectives and measurement criteria.

(D) The administration of each licensed facility shall be able to review the results of the information submitted by his/her organization.

Five Year Review (FYR) Dates: 03/10/2016 and 01/08/2021
Promulgated Under: 119.03
Statutory Authority: 5120.01, 2967.14, 2967.26
Rule Amplifies: 2967.14, 2967.26
Prior Effective Dates: 4/1/82, 7/1/96, 12/15/10

5120:1-3-05 Glossary of terms.

As used in rules 5120:1-3-01 to 5120:1-3-18 of the Administrative Code, the following terms have the following meanings:

(A) "Agency director": A person designated by the board of trustees or other governing body of the licensed facility as the principal executive officer of a community correctional center or other licensed facility.

(B) "Agency program": Those activities and operations of the licensed facility that are necessary to carry out the purpose of the licensed facility.

(C) "Appointing authority": The deputy director of the division of parole and community services.

(D) "Audit report": A report prepared by a certified public accountant of an agency's fiscal activities, including, but not limited to, costs, income, and expenditures.

(E) "Licensed": The formal acknowledgment by the division of parole and community services that a halfway house, community residential center, or similar facility operates a licensed facility.

(F) "Licensing agency": The division of parole and community services vested with statutory and administrative authority to establish standards for halfway houses and other community residential centers and to determine whether an applicant halfway house meets those standards and therefore qualifies as a licensed facility.

(G) "Costs": As determined on a cash, accrual, or other basis as meeting the test of generally accepted accounting principles by the division of parole and community services, the amount paid for the operation of the licensed facility.

(H) "Documentation": The formal, official records of transactions and events for the purpose of verification and public accountability.

(I) "Eligible offender": Adult felony offenders actively supervised by the adult parole authority, supervised by common pleas court probation staff, required by a court to seek treatment in lieu of conviction and actively supervised by a common pleas court probation department, or offenders released from a department of rehabilitation and correction penal institution. Eligible offenders do not include federal offenders, municipal offenders, or offenders supervised or released by the Ohio department of youth services.

(J) "Facility": The actual physical setting in which a program or agency functions.

(K) "Governing authority": That entity within an agency that has responsibility and authority to set policies and procedures.

(L) "Audit or site inspection team": Individuals employed by the division of parole and community services and/or other private or governmental entity personnel who have a contract agreement with the licensed facility. The audit or site inspection team shall be comprised of bureau of community sanction staff and/or other individuals, as approved by the assistant chief of community residential services.

(M) "Institution": Any penal institution operated directly by the department of rehabilitation and correction or by a public or private agency in contract with the department of rehabilitation and correction that is used for the custody, care, or treatment of criminal offenders.

(N) "Manday": Each twenty-four hour period an eligible offender is in a licensed facility.

(O) "Offender": Any individual under the supervision of the adult parole authority, under the supervision of a common pleas court, or incarcerated in a department of rehabilitation and correction institution.

(P) "Licensed facility": Includes, but is not limited to, halfway houses, community residential centers, and similar facilities that have been licensed by the division of parole and community services to house eligible offenders.

(Q) "Program director": The person responsible for the day-to-day operations of a licensed facility.

(R) "Supervising authority": The entity designated to provide supervision to offenders.

(S) "Unusual incident": Any event having internal or external ramifications or news media interest of sufficient seriousness to warrant immediate attention. Such incidents include, but are not limited to, fires, assaults, property loss or damage, and events of an apparently criminal nature.

(T) "Adult parole authority (APA)": That section of the division of parole and community services that includes field services, the parole board, and interstate compact.

(U) "Bureau of community sanctions": That bureau in the division of parole and community services that includes oversight and funding of community-based correctional facilities, community corrections act programs, halfway house programs, and other community residential centers.

(V) "Division of parole and community services (DPCS)": That division of the department of rehabilitation and correction that includes the adult parole authority, the bureau of community sanctions, the parole board, and the office of victim services.

(W) "Halfway house": A facility licensed by the department of rehabilitation and correction under section 2967.14 of the Revised Code as a suitable facility for the care and treatment of adult offenders.

Effective: 7/11/2016
Five Year Review (FYR) Dates: 01/28/2016 and 01/08/2021
Promulgated Under: 111.15
Statutory Authority: 5120.01, 2967.14, 2967.26
Rule Amplifies: 2967.14, 2967.26
Prior Effective Dates: 4/1/82, 7/1/91, 12/20/96, 11/10/99, 12/15/10, 9/1/11

5120:1-3-06 Halfway house licensing standards.

(A) Bureau of community sanctions general standards:

(1) The program director shall have a minimum of a bachelor's degree in a criminal justice or social science field or a minimum of five years full-time experience working with offenders.

(2) The program director shall have input into the hiring of program staff.

(3) The program director shall be engaged and involved in the delivery of direct services to offenders.

(4) Programs are supported and valued by the criminal justice system.

(5) Programs are supported and valued by the local community.

(6) At least seventy-five per cent of staff providing case management or programming to offenders shall have an associate's degree or higher in a criminal justice or social science field.

(7) All services provided must be administered by staff with board certification or licensure when required.

(8) Job performance for staff shall be reviewed annually. Evaluations for staff in direct contact with offenders as part of their job duties should include rating on areas such as communication skills, modeling pro-social behaviors, use of redirection techniques and interventions. In addition to formal, written annual evaluation(s), supervisors shall train, monitor, guide and assist staff to ensure effective delivery of services.

(9) All full-time staff, with a primary function of working with offenders, shall annually complete a minimum of twenty-four hours of training, relevant to evidence-based practices and service delivery. All other staff, having minimal contact with offenders, shall annually complete a minimum of eight hours of training related to evidence-based practices. Training hours for part-time staff shall be on a pro-rated basis.

(10) Programs shall have a written code of ethics, which is communicated to staff. Violations of the code of ethics shall be addressed according to agency policy.

(11) Programs shall target appropriate participants for the program and develop and adhere to written criteria that exclude inappropriate participants.

(12) Programs shall administer internally, or refer to a community agency for completion, the following assessments as indicated:

(a) The appropriate Ohio risk assessment system (ORAS) tool at designated interval;

(b) Need assessments, such as mental health, alcohol and other drug, sex offender, domestic violence;

(c) Responsivity factors, such as motivation or readiness to change, intelligence, personality, reading level.

(13) At minimum, seventy per cent of services offered, programming and referrals provided by the program shall target criminogenic needs.

(14) The program shall maintain treatment manuals, utilized by facilitators, containing goals and content of the group, teaching methods, lesson plans, exercises, activities and assignments.

(15) Offenders in residential programs shall spend, at minimum, forty hours weekly in structured activities.

(16) Treatment groups shall be separated by gender.

(17) Treatment groups shall separate offenders by risk and need level.

(18) The duration and intensity of internal services, programming and external referrals provided to offenders shall be based on risk. High risk offenders shall receive more internal services and external referrals, at a higher intensity than moderate risk offenders.

(19) All programs designed to reduce offender risk and needs shall ensure services are individualized and address criminogenic targets based on the results of the offender's current ORAS assessment and other results obtained from assessments administered by the program. Offenders shall actively participate in the development of their individual case plan.

(20) The program shall implement a behavior management system that includes both rewards and punishers designed to encourage new skills and pro-social behavior, while suppressing anti-social behavior.

(21) Program/supervision completion shall be determined by established, defined criteria based on the offender's progress in acquiring pro-social behaviors, attitudes and beliefs and not engaging in illegal activity. Programs shall incorporate a standardized process to periodically and objectively reassess offender progress in meeting case plan goals.

(22) Treatment groups that include skill modeling and skill training shall not exceed a ratio of twelve offenders per actively involved facilitator, unless specifically noted in the curriculum utilized by the program.

(23) Prior to the offender's successful program termination, an aftercare plan shall be developed with and provided to the offender. The aftercare plan shall contain appropriate linkages (when available) and progress of offender while in the program in meeting target behaviors and goals and recommendations for ongoing continuity of care for the supervising entity.

(24) The program shall implement a quality assurance process ensuring the accuracy of completed ORAS assessment tools and all staff completing ORAS assessments is currently certified by the authorized entity.

(25) Programs shall conduct case record audits to ensure offender records are current, complete and accurate. The file reviews should include, but not be limited to:

(a) Accuracy of assessment results;

(b) Case plan based on assessment results; and

(c) Treatment progress is being monitored and documented.

(26) The program director or designee(s) shall conduct regular monitoring and observation of staff in group facilitation and service delivery. A process shall be implemented to provide feedback to staff.

(27) The program director or designee shall monitor programmatic services targeting a criminogenic need provided on-site by external entities under (sub)contract or memorandum of understanding. All (sub)contracts for programmatic services targeting a criminogenic need are to be evidence-based. A quality assurance process shall be in place to ensure contractual services meet the program and offender needs.

(28) The program director or designee shall monitor the utilization of external referrals for treatment services targeting a criminogenic need provided in the community. A quality assurance process shall be in place to ensure outside treatment services targeting a criminogenic need meet the program and offender needs.

(29) Program staff shall have the opportunity to provide input into modification of the program. Program director or designee shall implement a formalized process for analyzing the staff feedback to determine trends.

(30) Offenders shall have the opportunity to provide input into the overall program. Program director or designee shall implement a formalized process for analyzing the offender feedback to determine trends.

(31) Programs, with involvement from the program director shall develop and implement written agency policies and procedures. Policies shall be reviewed annually by the executive director or designee and changes approved by governing entity.

(32) Programs shall develop written policies and procedures requiring the retention and disposal of all grant purchased equipment and corresponding inventory list according to grant guidelines.

(33) Programs shall retain all offender records for a minimum of three years from the date of offender termination from the program.

(34) Programs shall correct all fiscal findings within designated time, if indicated, and provide documentation of the corrective action to the bureau of community sanctions.

(35) Programs shall enter intake, termination and reassessment data into the DRC management information system within fourteen calendar days unless the bureau of community sanctions grants a written waiver.

(36) DRC management information system data will be accurate when compared to case file information.

(37) Programs shall submit written reports of serious incidents to the bureau of community sanctions within two business days of the time the incident occurred or was reported. Serious incidents include, but are not limited to:

(a) Escapes/AWOL from a community-based correctional facility;

(b) Fires;

(c) Inappropriate sexual behavior;

(d) Serious agency staff misconduct;

(e) Building emergencies;

(f) Incidents or interviews which may result in a televised or published account in a news release;

(g) Use of force/deadly force;

(h) Incidents serious enough to warrant consideration for removal from program (e.g., assaults, theft, property loss or damage); and

(i) Violation of the Ohio Revised Code that could include law enforcement involvement.

(38) Residential programs shall have an annual fire inspection and a valid food service license.

(39) Residential programs shall achieve and continuously maintain ACA accreditation. A copy of ACA annual reports, significant incident summary and outcome measure worksheets shall be submitted to the bureau of community sanctions on the anniversary of the ACA accreditation (panel hearing) date.

(B) Bureau of community sanctions halfway house specific standards:

(1) The licensed agency that operates more than one residential unit shall have a centralized placement contact.

(2) The facility shall be clean and in good repair with housekeeping and maintenance plans in effect.

(3) The licensed agency shall implement a policy regarding the documentation of granting overnight, weekend and special passes. A form shall be submitted to the supervising authority in cases where the offender is requesting a pass to an address that has not previously been approved. This form shall be submitted no later than noon two days prior to the first day of the pass. A copy of the pass shall be maintained in the offender's file. The form shall include:

(a) Name and identification number (institution or docket) of the offender;

(b) The dates and times the pass begins and ends;

(c) The destination;

(d) The basis for the agency's recommendation;

(e) Signature of agency staff; and

(f) A space for approval or disapproval and signature, if required, of the supervising authority.

(4) The supervising authority and/or court shall receive at least monthly progress reports for all offenders in the halfway house and electronic monitoring programs. The monthly report submitted to the adult parole authority for halfway house residents shall contain the name, address and telephone number of the person the offender plans to reside with upon program completion, as well as the anticipated termination date.

(5) The licensed agency shall provide electronic notification to the bureau of community sanctions of the admission of all transitional control offenders within one business day of arrival.

(6) Collection and distribution of transitional control offenders' earnings shall be in accordance with rule 5120:12-05 of the Administrative Code.

(7) The issuance of passes to transitional control offenders shall be in accordance with DRC policy 108-ABC-01, transitional control supervision.

(8) Transitional control offenders shall remain in the assigned facility unless working at approved employment or participating in other activities approved by the agency. The licensed agency shall document transitional control offenders' whereabouts are being verified while outside of the facility.

(9) The licensed agency shall maintain a signed waiver, per episode, for transitional control offenders refusing medical treatment or sho elect to pay all medical expenses incurred through treatment in the community. The licensed agency shall contact the bureau of community sanctions no later than the next business day for all serious medical conditions requiring medical attention.

(10) The placement of transitional control offenders on electronic monitoring shall be in accordance with DRC policy 108-ABC-01, transitional control supervision.

(11) The licensed agency shall implement transitional control supervision.

(12) The licensed agency shall submit the transitional control monthly medication report and central pharmacy co-payments to the department of rehabilitation and correction.

(13) The licensed agency shall implement policies and procedures governing the electronic monitoring program to include at minimum:

(a) Method in which monitoring is being conducted, including subcontractors and type of equipment;

(b) A back-up plan for the primary failure of equipment at the monitoring center, the halfway house facility or the offender's home unit;

(c) The referral process, equipment hook-up, program termination, case management activities, itineraries, investigating violations and file documentation; and

(d) Agency staffing twenty-four hours a day for the electronic monitoring program, with one person coordinating the program.

(14) The licensed agency shall investigate unusual occurrences and/or alleged violations of the electronic monitoring program. The investigation shall include at minimum:

(a) Type of occurrence or violation, such as, equipment tampering, itinerary violations or power failure;

(b) Documentation of efforts made to determine the offender's whereabouts by attempting to contact the offender, host, employer, supervising officer, or others that may know his/her whereabouts; and

(c) Written notification of the outcome of the investigation to the supervising authority no later than the next business day.

(15) The licensed agency shall complete electronic monitoring termination reports within three business days of termination from the program. Termination reports shall include, at minimum:

(a) Offender name and institution number;

(b) Date of activation and deactivation;

(c) Summary of case management activities (if applicable);

(d) Summary of violations and investigation results; and

(e) Outcome of termination, successful or unsuccessful.

(16) The licensed agency shall maintain offender electronic monitoring records that include at minimum:

(a) Referral form;

(b) Electronic monitoring program conditions;

(c) Host agreement;

(d) Itineraries;

(e) Investigations into unusual occurrences and program violations;

(f) Case management activities such as case notes, referrals, urinalysis results; and

(g) Termination report, if applicable.

(17) The licensed agency shall complete a thorough investigation in an attempt to locate offenders whose whereabouts are unknown. The investigation shall be completed within four hours of discovering his/her whereabouts are unknown.

(18) The licensed agency shall provide notification to the adult parole authority under the following circumstances:

(a) Prior to discharging an offender from the facility;

(b) When an offender is observed by agency staff leaving the facility unauthorized; and

(c) When an offender's whereabouts remain unknown for four hours.

Replaces: 5120:1-3-06

Effective: 4/15/2019
Five Year Review (FYR) Dates: 04/15/2024
Promulgated Under: 119.03
Statutory Authority: 2967.26, 2967.14, 5120.01
Rule Amplifies: 2967.14, 2967.26
Prior Effective Dates: 4/1/82, 4/17/93, 7/1/02, 12/15/10

5120:1-3-07 Independent housing licensing standards.

(A) The licensed agency shall have a policy and procedure/operation manual that is accessible to all employees and volunteers. The manual shall include:

(1) Fiscal management;

(2) Personnel;

(3) Intake;

(4) Housing support services;

(5) Resident rules and regulations, which shall be readily available to all residents;

(6) Resident grievance and appeal process policy; and

(7) Resident case records.

(B) The licensed agency shall meet all legal requirements of the governmental jurisdiction in which the licensed agency is located. The documentation for this standard shall include copies of all annual local licensing and inspection certificates indicating conformance to all local fire, health, building, and zoning regulations.

(C) The licensed agency shall implement a housekeeping and maintenance plan and the facility shall be clean and in good repair.

(D) The licensed agency shall correctly complete and enter all required intake/termination fields on the management information system authorized by the department of rehabilitation and correction (community corrections information system: CCIS-Web) within fourteen days after intake and termination.

(E) The licensed agency shall notify the offender of available housing support services.

(F) The licensed agency shall establish a staffing pattern that ensures that staff will be available to assist and monitor offenders as needed.

(G) The licensed agency shall establish a means of limiting ingress into the facility.

(H) The licensed agency shall have written emergency plans that are received and updated annually. Plans shall be communicated to all employees and residents and be conspicuously posted in the facility. Emergency fire and disaster drills shall be conducted on a regular basis and documented.

(I) Any unusual incidents shall be reported to the assistant chief or designee of the bureau of community sanctions and the supervising authority within twenty-four hours or the next business day after the incident. A copy of the incident report shall be maintained in the resident record.

(J) The licensed agency shall maintain the following records for each offender residing in the facility:

(1) Intake and termination forms;

(2) A signed copy of resident rules and regulations;

(3) Referral forms;

(4) Case management notes as appropriate;

(5) Unusual incident reports as appropriate; and

(6) Grievance forms.

(K) The licensed agency shall be a legal entity or part of a legal entity according to the provisions of Chapter 1702. of the Revised Code. The agency shall have a copy of the following items:

(1) Articles of incorporation or constitution;

(2) By-laws;

(3) Federal tax identification number; and

(4) A current list of the board of directors, their occupations, and addresses.

(L) The licensed agency shall implement procedures to ensure that all prospective employees and volunteers obtain a local police criminal record check and provide this information to the licensed agency prior to beginning employment. The retention of an employee or use of a volunteer shall be contingent upon a statewide criminal record check being completed within ninety days after the date of hire. The agency director shall review all record check results to determine compliance with agency hiring practices. All record checks shall be maintained in the employee's personnel file.

(M) The licensed agency shall implement a policy and procedure that prohibits any offender from being assigned to a position of authority over any other offender. Prohibited assignments include, but are not limited to, performing or assisting in any security duties or providing offender services such as commissary or telephone calls.

Effective: 4/15/2019
Five Year Review (FYR) Dates: 3/10/2016 and 04/15/2024
Promulgated Under: 119.03
Statutory Authority: 2967.26, 2967.14, 5120.01
Rule Amplifies: 2967.14, 2967.26
Prior Effective Dates: 4/1/82, 4/17/93, 7/1/02, 12/15/10

5120:1-3-08 Halfway house community control admission standards.

(A) As used in this rule:

(1) "Community control offender" means an offender sentenced directly to a halfway house under a community control sanction or placed in a halfway house as an additional sanction imposed by the court upon the offender after the offender violates a condition of community control.

(2) "Ohio risk assessment system" means the single validated risk assessment tool identified in rule 5120-13-01 of the Administrative Code.

(3) "Community control revocation" means an entry journalized by a juvenile court, municipal court, county court, county municipal court, or court of common pleas in response to an offender's violation of a condition of community control and through which the court imposes a longer time under the same sanction, imposes a more restrictive sanction, or imposes a period of incarceration in response to the violation.

(B) This rule, including, but not limited to, the admission criteria identified in paragraphs (C)(1) to (C)(4) of this rule, applies only with respect to community control offenders. This rule does not apply to offenders in halfway houses as part of the department of rehabilitation and correction's transitional control program or as a condition of supervision imposed by the department as part of an offender's parole or post-release control.

(C) Subject to paragraphs (D) and (E) of this rule, a halfway house that receives funding from the department of rehabilitation and correction shall be used as a residential community sanction only for those community control offenders who satisfy one or more of the following admission criteria:

(1) The offender's risk level, as assessed using the Ohio risk assessment system, is high;

(2) The most serious offense for which the offender was sentenced is a felony of the first degree or a felony of the second degree;

(3) The most serious offense for which the offender was sentenced is a felony of the third degree and the offender's risk level, as assessed using the Ohio risk assessment system, is not lower than moderate; or

(4) The most serious offense for which the offender is being sentenced is a felony of the fourth degree or a felony of the fifth degree; the offender's risk level is not lower than moderate, as assessed using the Ohio risk assessment system; and either or both of the following applies:

(a) The offender is being placed in the facility for violating a condition of supervision; or

(b) The offender has one or more community control revocations in the preceding five years.

(D) The contract entered into between the department of rehabilitation and correction and the halfway house may identify an acceptable percentage of community control offenders placed in the halfway house during each quarter of the contract period that do not satisfy any of the admission criteria specified in paragraphs (C)(1) to (C)(4) of this rule. This percentage shall be hereinafter referred to as the "halfway house deviation cap." The halfway house deviation cap identified in any contract shall not exceed twenty per cent of the total number of community control offenders admitted to the halfway house during each quarter of the contract period. In establishing the halfway house deviation cap, the department shall consider the availability of outpatient criminogenic programming in the jurisdiction or jurisdictions served by the facility. The contract shall specify the amount by which the funding provided by the department to the halfway house will be reduced in accordance with paragraph (E) of this rule if the halfway house deviation cap is exceeded as described in that paragraph.

The commitment of the following community control offenders to a halfway house shall not count against the halfway house deviation cap:

(1) Offenders receiving non-residential services provided by the halfway house, which are funded in whole or in part by the department. Each contract shall identify the specific non-residential services that do not count against the halfway house deviation cap under this paragraph.

(2) Offenders committed to a halfway house as a condition of judicial release under section 2929.20 or 2967.19 of the Revised Code.

(3) Offenders whose initial or overridden risk level is moderate, as assessed using the Ohio risk assessment system, and who are committed to the facility for programming that is directed at specific, targeted populations. Such offenders include, but are not limited to, offenders convicted of domestic violence, sexually oriented offenses, failure to pay child support, or alcohol and other drug related offenses that meet the following criteria:

(a) The offender has a diagnosis of opioid dependence or substance-related addictive disorder from a licensed clinical professional within the past twelve months; or

(b) The details of the offender's current criminal conviction or probation violation involve the use or possession of opiates, alcohol or other drugs.

(E) At the conclusion of every third month in the contract period, the department shall measure compliance with any halfway house deviation cap established in the contract. In measuring that compliance, the department shall determine the percentage of the total number of offenders committed to the halfway house during the preceding three months who do not satisfy any of the admission criteria specified in paragraph (C) of this rule nor fall within one of the categories of offender excluded from the halfway house deviation cap under paragraphs (D)(1) to (D)(3) of this rule. If that percentage exceeds the halfway house deviation cap in two consecutive quarters, the department shall promptly inform the facility that two more consecutive quarters of exceeding the halfway house deviation cap will result in a reduction in the funding provided to the halfway house. In the event that the halfway house thereafter exceeds the halfway house deviation cap for two more consecutive quarters, funding shall be reduced as prescribed in the contract.

Effective: 2/9/2015
Five Year Review (FYR) Dates: 11/21/2014 and 01/08/2020
Promulgated Under: 119.03
Statutory Authority: 5120.01, 2967.14
Rule Amplifies: 2967.14
Prior Effective Dates: 06/04/12

5120:1-3-09 [Rescinded] Facility.

Effective: 12/15/2010
R.C. 119.032 review dates: 09/28/2010
Promulgated Under: 119.03
Statutory Authority: 5120.01, 2967.14, 2967.26
Rule Amplifies: 2967.14, 2967.26
Prior Effective Dates: 4/1/82, 4/17/93, 7/1/2002

5120:1-3-10 [Rescinded] Intake.

Effective: 12/15/2010
R.C. 119.032 review dates: 09/28/2010
Promulgated Under: 119.03
Statutory Authority: 5120.01, 2967.14, 2967.26
Rule Amplifies: 2967.14, 2967.26
Prior Effective Dates: 4/1/82, 4/17/93, 7/1/96, 7/1/2002

5120:1-3-11 [Rescinded] Program.

Effective: 12/15/2010
R.C. 119.032 review dates: 09/28/2010
Promulgated Under: 119.03
Statutory Authority: 5120.01, 2967.14, 2967.26
Rule Amplifies: 2967.14, 2967.26
Prior Effective Dates: 4/1/82, 9/4/84, 5/1/89, 7/1/2002

5120:1-3-12 [Rescinded] Food service.

Effective: 12/15/2010
R.C. 119.032 review dates: 09/28/2010
Promulgated Under: 119.03
Statutory Authority: 5120.01, 2967.14, 2967.26
Rule Amplifies: 2967.14, 2967.26
Prior Effective Dates: 7/1/2002

5120:1-3-13 [Rescinded] Medical care and health services.

Effective: 12/15/2010
R.C. 119.032 review dates: 09/28/2010
Promulgated Under: 119.03
Statutory Authority: 5120.01, 2967.14, 2967.26
Rule Amplifies: 2967.14, 2967.26
Prior Effective Dates: 4/1/82, 4/17/93, 7/1/2002

5120:1-3-14 [Rescinded] Special procedures.

Effective: 12/15/2010
R.C. 119.032 review dates: 09/28/2010
Promulgated Under: 119.03
Statutory Authority: 5120.01, 2967.14, 2967.26
Rule Amplifies: 2967.14, 2967.26
Prior Effective Dates: 4/1/82, 9/4/84, 4/21/89, 4/17/93, 7/1/96, 7/1/2002

5120:1-3-15 [Rescinded] Data reporting.

Effective: 12/15/2010
R.C. 119.032 review dates: 09/28/2010
Promulgated Under: 119.03
Statutory Authority: 5120.01, 2967.14, 2967.26
Rule Amplifies: 2967.14, 2967.26
Prior Effective Dates: 7/1/2002

5120:1-3-17 [Rescinded] Records.

Effective: 12/15/2010
R.C. 119.032 review dates: 09/28/2010
Promulgated Under: 119.03
Statutory Authority: 5120.01, 2967.14, 2967.26
Rule Amplifies: 2967.14, 2967.26
Prior Effective Dates: 4/1/82, 4/17/93, 7/1/96, 7/1/2002

5120:1-3-18 Application process for program planner of halfway house construction projects.

(A) This rule establishes the minimum eligibility requirements and procedures for a "halfway house organization" as defined in section 5120.102 of the Revised Code, to apply for program planning funds for a halfway house facility as defined in section 5120.102 of the Revised Code, constructed by the department of rehabilitation and correction, in accordance with sections 5120.102 to 5120.105 of the Revised Code.

(B) If such funds are available, the department will engage in the competitive selection process for program planning of halfway house facility construction projects by eligible halfway house organizations. Program planner applicants will be required to respond in accordance with instruction and timelines described in the competitive selection process.

(C) The division of parole and community services shall review and recommend approval of competitively selected applicants to the department director based on, but not limited to, the following selection criteria:

(1) The program planner applicant has a site and/or owns a building that is under consideration with the department as a result of the halfway house organization responding to the department's request for proposals to site and build a halfway house facility in accordance with rule 5120-5-12 of the Administrative Code;

(2) Applicant has experience planning, building, operating and managing a halfway house facility;

(3) Applicant has the ability to develop programs and implement services which respond to the department's location priorities and target population;

(4) Applicant has knowledge and or experience working with community leadership within the sites designated by the department.

(5) Number of personnel and amount of time that will be devoted to the project; and

(6) The ability to operate once construction is completed based on, but not limited to, the following criteria:

(a) Organization's financial stability;

(b) Experience operating a facility;

(c) Number of days required to activate the program upon completion of the construction; and

(d) The cost of operation within the contract period.

The division's recommendation shall be within the available capital funding.

(D) If the applicant is approved, the director, through the division of parole and community services, may enter into a program planning contract with a halfway house organization which will establish terms and procedures for the planning of a halfway house facility.

Five Year Review (FYR) Dates: 03/10/2016 and 01/08/2021
Promulgated Under: 119.03
Statutory Authority: 5120.01, 5120.103
Rule Amplifies: 5120.102, 5120.103 , 5120.104, 5120.105
Prior Effective Dates: 5/22/98