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Ohio Laws and Rules
Department of rehabilitation and correction
(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 of parole and community services shall be required to maintain accurate financial records in a manner consistent with 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 of parole and community services 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 of parole and community services 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
(1) 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) Eligible offenders
(1) Eligible offenders include all classes of felony offenders actively supervised by the adult parole authority or county common pleas probation departments or other offenders required by a court to seek treatment in lieu of conviction, and actively supervised by common pleas court probation department.
(2) Eligible offenders do not include federal offenders or offenders not supervised by the adult parole authority or county probation staff, municipal offenders, or offenders supervised or released by the Ohio department of youth services.
(E) 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, 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 deprecations. 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 (E)(8)(a) and (E)(8)(b) of this rule are allowable to the extent that total compensation for employees is reasonable as stated in paragraph (E)(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.
(F) 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.
(G) 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.
(H) Computation of per diem rate
(1) In determining the amount of an agency’s total adjusted costs, (allowable expenses) paragraphs (E) to (G), 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 (H)(2) (operating surplus) from the total adjusted cost paragraph (H)(1) to determine the agency’s total includable costs (“TIC”).
(b) Compute the contract per diem rate by using this formula:
Total includable costs=Contract per diem rate total mandays
(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.
(I) 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 (I)(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.
(J) Invoicing procedure
(1) Each licensed facility shall submit to the bureau of community sanctions in the division of parole and community services by the fifth 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 to each licensed facility, at the beginning of each quarter, one-fourth of the contract amount as determined in paragraphs (H)(1) to (H)(4) of this rule. The division of parole and community services may adjust the contract amount or terminate the contract with licensed facilities who fail to meet the mutually agreed upon terms of the contract, or fail to maintain average bed utilization as determined in the contract. In situations where the licensed facility permits a offender to be away from the licensed facility for an extended period of time (other than an overnight or weekend pass), there must be written approval from the adult parole authority supervising/liaison officer and notification to the coordinator of community residential programs for such extended absences. This written approval must be recorded in the offender’s file at the licensed facility.
(3) The department, through the bureau of community sanctions, in the division of parole and community services will reimburse licensed facilities for contracted non-residential services in such a manner as required by the division of parole and community services.
(4) A licensed facility may hold a bed for an eligible offender who is in jail for a period not to exceed five days if the adult parole authority supervising/liaison officer notifies the licensed facility that the eligible offender, will return to the licensed facility.
(K) Verification of mandays
Regional supervisors (or designees) will keep a daily log of individuals in agencies. Licensed facility directors and regional supervisors (or designee) will be advised by the coordinator of community residential programs of allotments of moneys, quotas for eligible offenders, and current per diem rates for their use in determining referrals. This report will be due to the bureau of community sanctions the first of each month and will provide a check for the manday report to be presented by facilities on the same date for the same period of time covered.
(L) General requirements
(1) Within thirty days after an offender with inmate status residing in a licensed facility absconds supervision, the adult parole authority shall return any property which the offender left at the licensed facility to the offender’s parent institution.
(2) 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 offenders property in the event of death, arrest or absconding supervision or otherwise specifying what the licensed facility or the adult parole authority should do with the property in such event.
(3) No later than ten days after a furloughee has been declared a furlough violator the balance of the furloughee’s furlough account shall forwarded to the institution from which the inmate was furloughed. Within five working days after a furloughee has been declared a furlough violator, written notification, shall be given to the licensed facility.
(4) The chief of the adult parole authority may direct the disbursements from furlough account moneys in the form of spending or transportation allowances to be given to the furloughee.
(M) Expanded and new programs
(1) If a licensed facility wants to expand its operation, then paragraphs (H)(1) to (H)(4) of this rule are waived. However, the expanded program must be licensed by the department of rehabilitation and correction and the average daily per capita cost of the expanded program shall not exceed the amount for which the licensed facility is currently contracting.
(2) The one-year restriction on new programs may be waived by the department of rehabilitation and correction provided that the per capita cost of the new program does not exceed the statewide average per diem rate.
R.C. 119.032 review dates: 01/12/2006 and 01/12/2011
Promulgated Under: 119.03
Statutory Authority: 5120.01, 2967.14, 2967.26
Rule Amplifies: 5120.031
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
(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. Such inspections shall be scheduled in advance with written notice to the person in charge of the halfway house or community residential center.
(C) Inspectors employed by the division of parole and community services shall have full access to all areas of a halfway house or community residential center during an inspection and to all records (including offender files), relating to the operation of the facility.
(D) The inspectors employed by the division of parole and community services shall ascertain compliance with the “Division Of Parole And Community Services-Halfway House Standards” contained in rules 5120:1-3-06 to 1-3-17 of the contract and Administrative Code.
(1) Within thirty days after an inspection the division of parole and community services shall prepare a written report of its inspection. The report shall include any findings of noncompliance and 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. 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. The division of parole and community services will have final authority to institute termination of the contract or rescind prior notices following said hearing.
(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.
(d) The division of parole and community services may terminate contracts for failure to comply with such notices at the end of this thirty-day period.
(E) For halfway house and community residential center to be licensed, they must comply with rules 5120:1-3-06 to 5120:1-3-17 of the Administrative code.
R.C. 119.032 review dates: 01/12/2006 and 01/12/2011
Promulgated Under: 119.03
Statutory Authority: 2967.14, 2967.26
Rule Amplifies: 5120.031
Prior Effective Dates: 4/1/82, 7/1/96
(A) For facilities currently licensed, the center director shall be notified when the inspection will be conducted. Such notification shall be made thirty to sixty 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) Notification shall be by telephone and will be followed by a written notification. The notification will include the date, time and the names of the individuals comprising the inspection team.
(D) Once at the licensed facility, the inspection team 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.
(E) 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 (C) of this rule does not apply.
(F) The center director shall make himself/herself available in the event the inspection team has any questions or needs additional information.
(G) In order for a halfway house or community residential center to be eligible for licensure and state assistance, the facility must have been in operation for at least one year prior to making application for a license.
R.C. 119.032 review dates: 01/12/2006 and 01/12/2011
Promulgated Under: 119.03
Statutory Authority: 2967.14, 2967.26
Rule Amplifies: 5120.031.
Prior Effective Dates: 4/1/82, 7/1/96
(A) The management 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 no later than May first of the previous fiscal year for evaluation and review by the division of parole and community services.
(B) To determine if halfway house and community residential centers are achieving their goals and objectives, they shall submit statistical intake and termination forms for each offender that enters and leaves the licensed facility. These forms will be completed and mailed to the division of parole and community services as the offender enters and leaves the facility.
(C) The licensed facility may submit additional data that will indicate that its goals and objectives are being achieved.
(D) Resources permitting, the division of parole and community services shall provide technical assistance to halfway houses and community residential center management in establishing the facility’s goals, objectives and measurement criteria.
(E) The management of each licensed facility shall be able to review the results of the information submitted by his/her organization.
R.C. 119.032 review dates: 01/12/2006 and 01/12/2011
Promulgated Under: 119.03
Statutory Authority: 2967.14, 2967.26
Rule Amplifies: 5120.031
Prior Effective Dates: 4/1/82, 7/1/96
As used in rules 5120:1-3-01 to 5120:1-3-17 of the Administrative Code, the following terms have the following meaning:
(A) “Administrative release” : a termination of jurisdiction over a particular sentence by the division of parole and community services for administrative convenience as provided for in section 2967.17 of the Revised Code.
(B) “Center director” : is 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.
(C) “Agency program” : those activities and operation of the licensed facility, which are necessary to carry out the purpose of the licensed facility.
(D) “Appointing authority” : the deputy director of the division of parole and community services.
(E) “Audit report” : an agency’s documentation of annual costs and revenues for the operation of the licensed facility.
(F) “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.
(G) “Licensing agency” : the division of parole and community services vested with statutory and administrative authority to establish standards for halfway houses and determine whether an applicant halfway house meets these standards and thereby qualifies as a licensed facility.
(H) “Confidentiality of records” : taking reasonable care to preclude unauthorized distribution of client and personnel information including the observance of federal privacy of information guidelines.
(I) “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.
(J) “Counseling:” the interchange between client and worker leading to the formulation of plans for satisfying needs and resolving problems to enhance the behavior of the client.
(K) “Direct costs” : expenses that can be identified as specifically benefiting a specific program.
(L) “Documentation” : the formal, official records of transactions and events for the purpose of verification and public accountability.
(M) “Eligible release” : adult felony offenders actively supervised by the adult parole authority, common pleas court probation staff, or adult felony and other offenders required by a court to seek treatment in lieu of conviction and actively supervised by a common pleas court probation department.
(N) “Facility” : the actual physical setting in which a program or agency functions.
(O) “Final release” : The restoration of rights and privileges of an offender through:
(1) The termination of supervision and the remission by the adult parole authority of the balance of the sentence (except for offenders in the shock incarceration program) or
(2) The termination of supervision by the adult parole authority for those released under a period of post-release control, or
(3) The completion of an entire prison term by an offender who has not been placed under post-release control pursuant to section 2967.16 of the Revised Code.
(P) “Full occupancy” : the number of residents allowed in a licensed facility as determined by the numberof beds officially designated for that facility.
(Q) “Governing authority” : that entity within an agency which has responsibility and authority to set policies and establish procedures.
(R) “Indirect costs” : expenses for a common or joint purpose benefiting more than one agency program, but not readily assignable to a specific program.
(S) “Inspection team” : these are 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 halfway house facility. The inspection team shall be comprised of bureau of community sanction staff and/or other individuals, as approved by the deputy administrator of halfway house programs. The halfway house deputy administrator shall designate the chairperson of the inspection team.
(T) “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, which is used for the custody, care or treatment of criminal offenders.
(U) “Manday” : each twenty-four period an eligible releasee is in licensed facility.
(V) “Offender” : Any individual under the supervision of the adult parole authority and common pleas court.
(W) “Parolee” : an offender who has served a term of incarceration as a felon and has been released to the community under parole supervision.
(X) “Parole violator” : An offender under post-release control or parole supervision who has been declared to be in violation of any of the conditions of supervision, said determination having been made by the adult parole authority and so recorded in its official minutes.
(Y) “Placement” : the residence plan of an eligible offender in the community.
(Z) “Probationer” : a convicted offender whose sentence to an institution is suspended by the court and who is under supervision in the community.
(AA) Probation violator” : a probationer whose probationary status has been revoked by the court of jurisdiction.
(BB) “Releasee” : an offender released on post-release control, parole, shock parole, furlough, shock probation or a prisoner released to intermediate transitional detention pursuant to section 5120.031.1 of the Revised Code. No offender is considered a releasee until he has received papers from an institution, completed processing by institution personnel, and has physically departed from the institution or in the case of probationers, unless probation status is evidence by a journal entry stipulating the offense for which the defendant was convicted and the conditions of probation.
(CC) “Residents” : eligible releasees in placement at a licensed facility.
(DD) “Licensed facility” : includes, but is not limited to, halfway houses, hospitals, community correction centers and similar facilities that have been licensed by the division of parole and community services to supervise eligible releasees.
(EE) “Supervising authority” : the adult parole authority of the division of parole and community services, and probation departments of common pleas courts.
(FF) “Total includable costs (TIC)” : the difference between a licensed facility’s total adjusted cost and the amount of operating surplus.
(GG) “Total mandays” : the number of beds at full occupancy of the licensed facility multiplied by three hundred sixty-five days.
(HH) “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 apparently criminal nature.
(II) “Contract per diem rate (CPDR)” : is the amount of money the division of parole and community services shall pay to the licensed facility for each day that an eligible releasee resides in the licensed facility.
(JJ) “Allocable cost” : any direct or indirect costs which benefit the licensed facility in carrying out the agency program.
(KK) “Total adjusted cost (TAC)” : the total adjusted cost is comprised of allowable direct cost of an agency program, plus its allocable portion of allowable indirect costs.
(LL) “Post-release control” : A period of supervision by the adult parole authority upon release from prison that includes one or more post-release sanctions as described in sections 2929.16, 2929.17 or 2929.18 of the Revised Code.
(MM) “Post-release control sanction” : A sanction that is authorized under sections 2929.16 to 2929.18 of the Revised Code and that is imposed at the time of the offender’s release from prison.
(NN) “Sponsor” : An individual that will arrange and handle all matters of business, personal needs or other transactions, etc. During the electronic monitoring period, who shall be identified by the offender prior to being released onto electronic monitoring and approved by the licensed facility program director and the adult parole authority.
(OO) “Transfer to transitional control” : The movement of a prisoner from a prison to transitional control, which involves closely monitored supervision and confinement in the community, such as a stay in a licensed facility or restriction to an approved residence on electronic monitoring, during the final one hundred eighty days of a prisoner’s confinement, in accordance with section 2967.26 of the Revised Code.
(PP) “Transitional control releasee” : An inmate released from prison during the final one hundred eighty days of the prisoners confinement to a licensed facility.
(QQ) “Transitional control violator” : Any inmate who has been declared to be in violation of any of the conditions of transitional control by the adult parole authority and so recorded in its official minutes.
(RR) ”’A’ offender” : An offender who, by virtue of their background, characteristics and/or release status, represent greater risk to the community or, because of their release status, requires greater control upon release.
(SS) “Absconder” : An offender under adult parole authority supervision who fails to remain within the limits of confinement or who fails to return to a facility as directed. An absconder is considered to be whereabouts unknown. Any offender who absconds on or after october 4, 1996, can be indicted for the offense of escape.
(TT) “Adult parole authority (APA)” that section of the division of parole and community services that includes probation development, the parole board, parole supervision and interstate compact of probation and parole.
(UU) “Alternative residential facility” : Any facility other than an offender’s home or residence at which an offender is assigned to live and that provides programs through which the offender may seek or maintain employment or may receive education, training, treatment, or habilitation. This does not include community-based correctional facilities, jails, halfway houses or prison.
(VV) “APA officer” : A person employed as a parole officer of the adult parole authority who supervises offenders and/or conducts investigations.
(WW) “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 and halfway house programs.
(XX) “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 and the bureau of adult detention and the office of victim services.
(YY) “Electronic monitoring system” : A system by which the location of an eligible offender can be verified telephonically through the use of voice-activated voice repsonse technology that is in accordance with section 2929.23 of the Revised Code.
(ZZ) “Electronic monitoring device” : Any device that can be operated by electrical or battery power that is in accordance with section 2929.23 (A) of the Revised Code
(AAA) “Mental health professional” : Those persons who by virtue of their training and experience are qualified to provide mental health care within the provisions of state’s licensure laws, policies and guidelines. Mental health professionals include psychiatrists, psychologists, psychology assistants, psychiatric registered nurses, social workers and activity therapists, civil service and contractors.
(BBB) “Mentally ill offender” : An offender who may range from the serious mentally ill who has a substantial disorder of thought or mood which significantly impairs judgment, behavior, capacity to recognize reality or cope with the ordinary demands of life and is manifested by substantial pain or disability, to the offender who is not seriously mentally disabled but who does experience emotional and/or behavioral problems in social, vocational and family settings. These emotional and/or behavioral problems may be serious and appear as DSM IV axis II diagnoses such as, but not limited to, avoidant personality disorder, borderline personality disorder, dependent personality disorder and obsessive-compulsive personality disorder.
(CCC) “Halfway house” : Any private non-profit agency licensed to operate a residential facility that has a current contract with the department of rehabilitation and correction.
(DDD) “Parole” : The release from confinement in any state penal or reformatory institution by the adult parole authority that is created by section 5149.02 of the Revised Code and under any terms and for any period of time that is prescribed by the authority in its published rules and official minutes. A parolee so released shall be supervised by the authority. Legal custody of a parolee shall remain in the department of rehabilitation and correction until a final release is granted by the authority pursuant to section 2967.16 of the Revised Code. The above applies to all persons who have committed felonies and been sent to prison prior to July 1, 1996.
(EEE) “Parole board special condition violation” : Failure to successfully complete one or more of the special conditions imposed by the parole board prior to release or during the period of supervision.
(FFF) “Parole officer” : A person employed as a parole officer of the adult parole authority who supervises offenders and/or conducts investigations.
(GGG) “Placement coordinator” : The APA staff member assigned to coordinate offender’s release plans between institutions and field supervision units.
(HHH) “Prisoner” : An offender who is in actual confinement in an Ohio penal institution as defined in section 2967.01 (H) of the Revised Code.
(III) “Probation”/ “community control” : A period of supervision for a convicted offender
(felony or misdemeanor) in lieu of prison/jail term for a specified length of time. The execution of sentence is suspended and the defendant is placed under the supervision of the court. The period of supervision can be up to a period of five years. Once placed on probation, the offender is expected to abide by the conditions the court imposed. The probation services can be done by either the common pleas court probation department or by the adult parole authority, probation development section. The term probation applies to all persons placed on probation for felonies or misdemeanors committed prior to July 1, 1996 and all misdemeanors thereafter.
(JJJ) “Provider” : The vendor or agency who is responsible to perform the contractual obligations after being awarded a contract.
(KKK) “Residential placement coordinator” : The APA staff member assigned to place offenders under APA supervision into licensed facilities.
(LLL) “Residential placement specialist” : APA central office staff assigned to place offenders into contracted licensed residential facilities.
(MMM) “Residential treatment facility” : Any facility in which the offender is housed and where treatment maybe provided including halfway houses, hospitals, etc.
(NNN) “Sanction” : For the purposes of criminal sentencing pursuant to chapter 2929 of the Revised Code: Any penalty imposed upon an offender who is convicted of or pleads guilty to an offense as punishment for the offense. Sanction includes any sanction imposed pursuant to any provision of sections 2929.14 to 2929.18 of the Revised Code.
(OOO) “Sanction provider” : The public or private person or entity that operates or administers the sanction or the program or activity that comprises the sanction.
(PPP) “Serious mental illness” : A substantial disorder of thought or mood which significantly impairs judgment, behavior, capacity to recognize reality or cope with the ordinary demands of life within the prison environment and is manifested by substantial pain or disability. Serious mental illness requires a mental health diagnosis, prognosis, and treatment, as appropriate, by mental health staff.
(QQQ) “Sex offender” : An offender under active supervision by the APA who meets identification criteria as defined in policy 501.04, section V-A. and who has been classified as such per that policy.
(RRR) “Intermediate transitional detention (ITD) offender” : An inmate who has satisfactorily completed the ninety-day imprisonment phase of the shock incaraceration program.
(SSS) “Special conditions of supervision” : Special and specific conditions for individual cases that are related to the previous offense pattern and the probability of further serious law violations by the individual offender. Special conditions may be imposed by the court, by the parole board or by the parole supervision section of the adult parole authority pursuant to policy.
(TTT) “Special needs offender” : Substance abusers, sex offenders, emotionally disturbed, mentally ill, mentally challenged, aged, and physically challenged.
(UUU) “Strip-search” : Inspection of the body surfaces of a person who has been required to remove their clothing for purposes of the search; includes visual inspection of mouth, ears, nasal cavity, viewing the entrance to the vaginal and rectal cavities, and search of clothing and any other item worn by the person.
(VVV) “Search – pat-down” : A search involving manual and visual inspection of body surfaces, mouth, ears, nostrils, hair, clothing, wigs, briefcases, purses, prostheses and similar items.
(WWW) “Substance (drugs)” : To include but not limited to alcohol, opiates, cannabinoids, benzodiazepines, PCP, LSD, cocaine, barbiturates, amphetamine/metham-phetamine, inhalants and other drugs of abuse.
(XXX) “Supervising officer” : A person employed as a parole officer of the APA who supervises offenders.
R.C. 119.032 review dates: 01/12/2006 and 01/12/2011
Promulgated Under: 119.03
Statutory Authority: 5120.01, 2967.14, 2967.26
Rule Amplifies: 5120.031
Prior Effective Dates: 7/1/91, 4/1/82, 12/20/96, 11/10/99
(A) The public or private entity operating a licensed agency 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 have 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, and;
(5) A current list of the board of directors, their occupations and addresses.
(B) The licensed agency and its programs shall be managed by an executive officer or director who shall implement the policies and procedures established by the licensed agency’s governing authority. The executive officer or director shall control, manage, operate, and have general charge of the agency and program and shall maintain custody of its property, files and records.
(C) The licensed agency shall have a policy and procedure/operations manual which is accessible to all employees and volunteers, is reviewed annually and updated when necessary by the agency’s governing authority. The policy and procedures/operations manual shall include a description of the agency’s purpose, program, services offered and approved methods of implementation. The policy and procedure/operations manual shall also include an organizational chart that groups similar functions, services and activities in administrative subunits. Employees shall participate in the formulation of policies, procedures and programs.
(D) The licensed agency shall implement a policy which ensures that there will be no political use or abuse of offenders and that conforms to governmental statutes and regulations relating to campaigning, lobbying, and political practices.
(E) The licensed agency shall clarify its relationship to all funding and regulatory agencies and document its relationship through written contracts or mutual letters of agreement.
(F) The licensed agency shall prepare an annual report of its activities to include both fiscal and programatic statistical information and activities. The agency shall make the annual report available to appropriate persons, the licensing agency, and upon request, to the public.
(G) The licensed agency administrator or designee shall conduct monthly meetings with supervisors and staff.
(H) The licensed agency shall establish measurable goals and objectives that are reviewed at least annually and updated as needed. There shall be an internal system for assessing achievement of goals and objectives and implementing changes in response to the assessment results.
(I) The licensed agency shall monitor its operations through an internal quality assurance inspection. At a minimum, a semi-annual review shall be conducted by administrative or designated staff. The inspection shall include a review of compliance with licensing standards.
(J) The licensed agency shall display, in each unit, the original licensing certificate awarded by the department of rehabilitation and correction.
R.C. 119.032 review dates: 01/12/2006 and 01/12/2011
Promulgated Under: 119.03
Statutory Authority: 2967.14, 2967.26
Rule Amplifies: 2967.14, 2967.26
Prior Effective Dates: 4/1/82, 4/17/93, 7/1/2002
(A) The licensed agency administrator or designee shall be responsible for fiscal policy management and control.
(B) The licensed agency shall implement fiscal policies and procedures adopted by the governing authority including, at minimum, the following:
(1) Internal controls;
(2) Petty cash;
(3) Bonding;
(4) Signature control on checks;
(5) Offender funds, and;
(6) Employee expense reimbursements.
(C) The licensed agency shall prepare an annual written budget of anticipated revenues and expenditures that is approved by the appropriate governing authority.
(D) The licensed agency administrator shall participate in budget reviews conducted by the governing board or parent agency.
(E) The licensed agency shall have a budget and accounting system that links program functions to the resources necessary for their support.
(F) All monies collected by the licensed agency shall be placed daily in an officially designated secure location.
(G) The licensed agency shall implement methods for the receipt, safeguarding, disbursing and recording of funds that comply with accepted accounting procedures.
(H) The licensed agency, at a minimum, shall prepare and distribute to its governing authority and appropriate agencies and individuals the following documents:
(1) Income and expenditure statements;
(2) Funding source financial reports, and;
(3) Independent audit reports.
(I) The licensed agency shall have an annual independent financial audit conducted.
(J) The licensed agency shall implement procedures for purchasing and requisitioning supplies and equipment and for property inventory and control.
(K) The licensed agency shall make available, where needed, funds for purchasing community services to supplement existing programs and services.
(L) The licensed agency shall implement procedures to regulate position control regarding position allocation, budget authorization, personnel records and payroll.
(M) The licensed agency shall have insurance coverage that includes, at minimum, property insurance and comprehensive general liability insurance. Such insurance shall be provided either through private companies or self-insurance.
(N) Any financial transactions permitted between offenders, offenders and staff, or offenders and volunteers must be approved by the agency administrator and comply with the agency code of ethics
(O) The licensed agency shall have provisions for emergency financial assistance and, when appropriate, a weekly allowance.
(P) Offenders may pay for program services rendered at a reasonable rate as determined by the authority having jurisdiction. The licensed agency shall make provisions for those who are unable to pay program costs.
(Q) The licensed agency shall implement procedures that specify how the amount of the fee to the offender will be determined, and when and how it will be collected and recorded. If the program is provided by a contractor, the contractor shall provide the contracting agency, at least monthly, with an accounting of fees received, including the amount paid and the payer.
(R) Collection and distribution of a transitional control offender’s earnings shall be in accordance with rule 5120-12-05 of the Administrative Code.
R.C. 119.032 review dates: 01/12/2006 and 01/12/2011
Promulgated Under: 119.03
Statutory Authority: 2967.14, 2967.26
Rule Amplifies: 5120.031
Prior Effective Dates: 7/1/2002
(A) The licensed agency shall have a personnel manual that complies with state and federal laws. The personnel manual shall be approved by the governing authority, accessible to employees, and address, at minimum, the following:
(1) Organizational chart;
(2) Recruitment, selection and promotion;
(3) Probationary periods;
(4) Staff orientation;
(5) Salary schedules;
(6) Hours of work;
(7) Non-descrimination policy;
(8) Code of ethics;
(9) Conflict of interest;
(10) Personnel records;
(11) Employee evaluation;
(12) Grievance and appeal procedure;
(13) Disciplinary procedures;
(14) Termination;
(15) Resignation;
(16) Benefits;
(17) Holidays;
(18) Leave (personal, vacation, sick, Family and Medical Leave Act, etc.);
(19) Travel, and;
(20) Employee assistance program.
(B) The licensed agency shall maintain accurate written job descriptions and job qualifications for all positions in the agency. Each job description shall include, at a minimum: job title, responsibilities of the position, required minimum experience and education. Receipt of job descriptions shall be documented by the signature of the employee holding the position and shall be maintained in the employee’s personnel file.
(C) The licensed agency shall implement a policy which does not deliberately exclude employment of qualified ex-offenders. The licensed agency shall not hire an offender under active supervision without the consent of the supervising authority.
(D) The licensed agency shall implement policies and procedures that provide for the confidentiality of personnel records in accordance with applicable public record laws. A current and complete personnel record shall be maintained for each employee.
(E) The licensed agency shall not discriminate or exclude from employment women working in men’s programs or men working in women’s programs.
(F) The licensed agency administrator shall have at least a baccalaureate degree in one of the social or behavioral sciences or a related field, or professional experience that serves in lieu of educational experience.
(G) The licensed agency staff development and training program shall:
(1) Be planned, coordinated and supervised by a qualified employee;
(2) Be presented by persons who are qualified in the areas in which they conduct training;
(3) Be developed, evaluated, and updated based on an annual assessment that identifies current job-related training needs;
(4) Provide for ongoing written evaluation of all pre-service, in-service, and specialized training programs.
(5) Utilize community resources, and;
(6) Be reviewed annually
(H) All new full-time employees shall receive forty hours of orientation training before undertaking their assignments. The employees shall sign and date a statement indicating that he or she has received orientation. All part-time staff, volunteers and contract personnel shall receive formal orientation appropriate to their assignments and additional training as needed. Orientation training shall include, at minimum, the following:
(1) A historical perspective of the agency;
(2) Agency goals and objectives;
(3) Agency rules and regulations;
(4) Job responsibilities;
(5) Personnel policies;
(6) Offender supervision, and;
(7) Report preparation.
(I) All administrative, managerial, professional staff and new offender careworkers shall receive forty hours of training in addition to orientation training during the first year of employment and forty hours of training every year thereafter. This training shall be appropriate to their assigned duties and responsibilities. All clerical/support employees shall receive sixteen hours of training, in addition to their orientation training, during the first year of employment and sixteen hours of training each year thereafter. At minimum, the careworker training shall cover the following areas:
(1) Security procedures;
(2) Supervision of offenders;
(3) Signs of suicide risk;
(4) Suicide precautions;
(5) Use of force regulations and restraint techniques;
(6) Report writing;
(7) Offender rules and regulations;
(8) Rights and responsibilities of offenders;
(9) Fire and emergency procedures;
(10) Safety procedures;
(11) Key control;
(12) Interpersonal relations;
(13) Social/cultural lifestyles of the offender population;
(14) Cultural diversity training;
(15) Communication skills;
(16) First aid/cardiopulmonary resuscitation (CPR);
(17) Counseling techniques;
(18) Crisis intervention;
(19) Sexual harassment, and;
(20) Legal issues.
(J) Employees shall be encouraged to continue their education and training. Continuing staff development shall be encouraged by providing administrative leave and/or reimbursement for attending approved educational programs, professional meetings, seminars, or similar work-related activities.
(K) The licensed agency shall implement procedures to ensure that all prospective employees and volunteers must 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 state-wide criminal record check being completed within ninety days of the date of hire. The agency administrator or designee shall review all recoird check results to determine compliance with agency hiring practices. All record checks shall be maintained in the employees personnel file.
(L) The licensed agency shall implement policies and procedures to guard against conflicts of interest. This policy shall be contained within a written code of ethics to be adopted by the licensed agency. The licensed agency shall notify its employees of the standards of employee conduct and document this notification. Disciplinary action imposed by the licensed agency for any violation or attempted violation of the standards of employee conduct shall be reported within two business days, telephonically and in writing, to the deputy administrator of community residential programs or designee. The deputy administrator of community residential programs or designee will consult with supervisors and a determination will be made, in cooperation with the licensed agency, whether the employee may continue to work with offenders. Any failure to report a violation or take appropriate disciplinary action against the employee according to the licensed agency’s approved policy and procedure may subject the licensed agency to appropriate action, up to and including termination of the contract
(M) The licensed agency shall implement a policy regarding the use of volunteers that shall contain, at minimum:
(1) Written procedures for securing citizen involvement in the agency, including roles as advisors, liaison between the agency and the public, direct service roles and cooperative endeavors with the offenders;
(2) A system for selection, training, term of service and definition of tasks, responsibilities and authority;
(3) A commitment to recruit volunteers from all cultural backgrounds and socio-economic levels of the community;
(4) A provision for orientation and training before participation in assignments;
(5) A restriction for volunteers to perform professional services only when certified or licensed to do so;
(6) A requirement for an agency staff member to supervise volunteer services;
(7) A provision for liability claims in the form of insurance, signed waivers or other legal provision, valid in the jurisdiction in which the agency is located.
Replaces: 5120:1-3-08
R.C. 119.032 review dates: 01/12/2006 and 01/12/2011
Promulgated Under: 119.03
Statutory Authority: 2967.14, 2967.26
Rule Amplifies: 2967.14, 2967.26
Prior Effective Dates: 7/1/2002
(A) The licensed agency shall meet the 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. It shall also include any other certification or licensing requirements not mentioned in this description.
(B) The licensed agency shall conduct weekly sanitation, safety, and fire inspections of interior and exterior areas. The licensed agency shall implement a housekeeping and maintenance plan and be clean and in good repair.
(C) A minimum of fifty square feet of floor space per offender shall be provided in the sleeping area of the facility.
(D) Each offender shall be provided, at a minimum, the following: bed, mattress, bed linen, pillow and closet or locker space. For sanitation purposes, provisions shall be made to provide clean bed linens or to allow offenders to wash their bed linens weekly. Sufficient blankets shall be provided during cold weather. Agency staff shall inspect sleeping quarters weekly to insure that minimum needs are met.
(E) The licensed agency staff shall conduct and record, at least bi-weekly, unannounced searches of the facility for contraband that endangers the safety and security of the offenders, staff and community. The licensed agency may utilize an outside law enforcement entity to assist with searches. A log of unannounced searches shall be kept documenting the date and time of such searches, along with the result of such searches. This log shall be made available to the licensing agency upon request.
(F) The licensed agency shall maintain a shift log noting routine and unusual activities and any instructions requiring the attention of oncoming shifts. Entries shall be recorded in the log and initialed by agency staff.
(G) The licensed agency shall make available space for private counseling, group meetings and visitation.
(H) The licensed agency shall have, at a minimum, one operable toilet with privacy wall or door for every ten offenders, one operable wash basin with temperature controlled hot and cold running water for every six offenders and one operable shower or bathing facility with temperature controlled hot and cold running water for every ten offenders.
(I) The licensed agency shall have one operable washer and one operable dryer for every sixteen offenders, or equivalent laundry capacity shall be available within one mile of the facility.
R.C. 119.032 review dates: 01/12/2006 and 01/12/2011
Promulgated Under: 119.03
Statutory Authority: 2967.14, 2967.26
Rule Amplifies: 2967.14, 2967.26
Prior Effective Dates: 4/1/82, 4/17/93, 7/1/2002
(A) The licensed agency shall implement policies and procedures governing intake. A copy of these procedures shall be distributed to all referring agencies and/or courts. The agency’s intake policies shall include, at minimum, information to be gathered on all applicants before admission, criteria for acceptance/rejection and procedures to be followed when accepting or rejecting referrals.
(B) The licensed agency shall complete an initial intake information form on each individual admitted into the facility, which shall include, at a minimum:
(1) Name, institution and/or docket number;
(2) Address;
(3) Date of birth;
(4) Sex;
(5) Race or ethnic origin;
(6) Reason for referral;
(7) Whom to notify in case of emergency;
(8) Date information gathered;
(9) Signature of both offender and employee gathering information;
(10) Name of referring agency or committing authority;
(11) Special medical, dental and mental health needs reported by offender;
(12) Personal physician, if applicable;
(13) Legal status, including jurisdiction, length and conditions of sentence;
(14) Social security number;
(15) Weight and height;
(16) Other identifiable characteristics, (scars, marks, tattoos, etc.);
(17) Photograph of offender for identification;
(18) Official charge(s); and
(19) Marital status.
(20) Spouse’s name, and:
(21) Next of kin.
(C) The licensed agency shall notify the referring authority within five business days of the referral when a prospective offender will be accepted into the program. Placement of offenders throughout the state shall be coordinated through the division of parole and community services, and/or the court. When an applicant is refused admittance to a particular agency, the referring authority shall be notified in writing within five business days from the referral date. The rejection notification shall state the reasons for the rejection.
(D) At the time of intake, agency staff shall discuss with each offender program goals, services available, rules governing conduct, program rules, and possible disciplinary sanctions for rule violations. This orientation shall be documented by employee and offender signatures.
(1) If a language barrier, literacy problem, or any other disability exists which can lead to the offender misunderstanding agency rules and regulations, assistance shall be provided to the offender either by staff or by another qualified individual under the supervision of a staff member.
(2) All program rules, regulations, and disciplinary procedures pertaining to offenders shall be either conspicuously posted in the facility or issued to offenders in printed form.
(E) The licensed agency that operates more than one residential unit shall have a centralized placement coordinator.
R.C. 119.032 review dates: 01/12/2006 and 01/12/2011
Promulgated Under: 119.03
Statutory Authority: 2967.14, 2967.26
Rule Amplifies: 5120.031
Prior Effective Dates: 4/1/82, 4/17/93, 7/1/96, 7/1/2002
(A) The licensed agency shall objectively assess, identify and document the risks and needs of each offender, specifying the type of programming needed. The licensed agency shall then provide, or make referrals as appropriate for the following services:
(1) Assistance with housing upon program completion;
(2) Assistance with clothing;
(3) Food service (where applicable);
(4) Emergency financial assistance;
(5) Individual counseling;
(6) Assistance with transportation;
(7) Medical and dental services;
(8) Mental health service;
(9) Vocational evaluation, counseling and training;
(10) Employment counseling and placement;
(11) Education, counseling, and placement;
(12) Group counseling;
(13) Chemical dependency services; and
(14) Structured leisure time activities.
(B) The licensed facility shall have provisions for quality assurance practices to include, but not be limited to, systematic and periodic review of offender services and needs.
(C) Licensed agency staff shall us community resources, either through referrals for service or by contractural agreement, to provide offenders with the services to meet their program needs. The licensed agency shall maintain and periodically update a directory of functioning community agencies, or utilize a directory that is maintained and updated by another agency.
(D) The licensed agency shall implement a written policy ensuring uniform application of disciplinary procedures which shall include the following:
(1) Anyone who becomes violent or allegedly violates the law will be subject to arrest by the supervising authority and/or removal from the program.
(2) The following violations may be cause for removal from the program or will be subject to appropriate penalties as decided by agency staff and the supervising authority.
(a) Being under the influence of alcohol or drugs.
(b) Testing positive for alcohol or drugs.
(c) Possessing contraband (as defined by the licensed agency) or storing it in assigned living areas.
(d) Verbal threats or physical acts of violence directed toward offenders or staff.
(e) Absent without authorization.
(f) Malicious destruction of property.
(g) Persistent and repetitive rule violations.
(h) Failure to participate in the program as directed.
(3) All other violations will be subject to sanctions and/or consequences as established by the agency and documented in the offender’s file.
(4) Criminal violations will be reported to the law enforcement authorities and the supervising authority as soon as they become known.
(5) Serious violation of agency rules will be reported within one business day of discovery to the supervising authority.
(6) Paragraph (C) of this rule shall be conspicuously posted in the facility.
(E) Licensed agency staff shall design and complete a personalized program plan for an offender within fourteen days of admission. The plans shall include:
(1) Measurable criteria of expected behavior and accomplishments:
(2) A time schedule for achieving specific goals;
(3) Scheduled progress reviews, and;
(4) Documented with staff and offender signatures.
(F) Offender progress in the program shall be measured through objective assessment at least every two weeks, either through staff meetings or by individual staff; the outcome of each review shall be documented. The supervising authority and/or court shall receive at least monthly progress reports.
(G) The licensed agency shall establish a staffing pattern which ensures that appropriate personnel are on duty during the times when most of the offenders are available to use facility resources. There shall be at least one trained staff person on facility premises twenty-four hours a day who is awake, alert and readily available and responsive to offender needs. This includes implementing all controls and completing all documentation required by the licensing agency.
(H) The licensed agency shall implement policies and procedures for offender grievances, which shall include provisions for:
(1) Offender notification of grievance process;
(2) Method of obtaining forms to file the grievance;
(3) Retention of all grievances and;
(4) Time guidelines for processing grievances.
(I) The licensed agency shall have provisions to conduct exit interviews, when possible, for offenders including those returning to the community, or to institutions. Exit interviews shall be recorded on the forms established by the agency.
(J) Recreation and liesure time activities shall be available to meet the needs of offenders.
(K) The licensed agency shall implement policies and procedures to account for the whereabouts of the offenders at all times. Offenders shall sign an itinerary sheet including the time leaving or entering the facility, their destination, address of destination, telephone number, offender’s and staff’s initials after the offender returns or leaves the facility and date.
(L) Transitional control offenders placed in the licensed agency, shall remain in the facility unless working at approved employment or participating in other activities approved by the department and the court.
(M) The licensed agency providing services for offenders shall:
(1) Provide structural and staff control for all facility entrances and exits, and;
(2) Comply with court stipulated conditions and the supervising authority rules and guidelines.
(N) Licensed agencies that provide programs and services to intermediate transitional detention (ITD)/intensive program prison (IPP) offenders shall follow “ITD/IPP Program Guidelines” and implement policies and procedures which comply with rules 5120-11-0 to 5120-11-22 of the Administrative Code.
(O) The licensed agency shall provide offenders reasonable access to public transportation, or other means of transportation shall be made available for program related activities.
(P) All offenders shall have the opportunity to practice their religion.
R.C. 119.032 review dates: 01/12/2006 and 01/12/2011
Promulgated Under: 119.03
Statutory Authority: 2967.14, 2967.26
Rule Amplifies: 5120.031
Prior Effective Dates: 4/1/82, 9/4/84, 5/1/89, 7/1/2002
(A) If the licensed agency prepares and serves food to offenders, dietary allowances shall be reviewed at least annually by a qualified nutritionist, dietician, or physician to ensure that they meet the nationally recommended allowances for basic nutrition for the types of offenders housed in the facility.
(B) Special diets shall be provided as prescribed by appropriate medical or dental personnel. Special diets shall be provided for offenders whose religious beliefs require the adherence to religious dietary laws.
(C) Food service staff shall comply with all sanitation and health codes enacted by the state or local authorities.
(D) Adequate space shall be provided for food preparation and service, and for an eating area and seating for all who dine at the same time.
(E) When the licensed facility has a kitchen, the kitchen, dining and food storage areas shall be properly ventilated, properly furnished and clean.
(F) Food service practices shall provide for the following:
(1) Weekly inspection of all food service areas, including dining and food preparation areas and equipment;
(2) Sanitary, temperature controlled storage facilities for all foods;
(3) Daily checks of refrigerator and water temperatures.
(G) Toilet and wash basin facilities shall be available to food service personnel and offenders in close proximity to the food preparation area.
R.C. 119.032 review dates: 01/12/2006 and 01/12/2011
Promulgated Under: 119.03
Statutory Authority: 5120.01, 2967.14, 2967.26
Rule Amplifies: 2967.26
Prior Effective Dates: 7/1/2002
(A) The licensed agency shall have adequate first aid equipment and supplies available in designated areas of the facility at all times for medical emergencies. All first aid equipment and supplies shall be inventoried monthly, replenished as needed, and shall meet Red Cross or other recognized health authority standards..
(B) One staff member on duty on each shift of the licensed agency shall be certified in cardio-pulmonary resuscitation (CPR) and first aid procedures.
(C) The licensed agency shall have letters of agreement with a licensed hospital, clinic or physician to provide routine medical and urgent care services to offenders on a twenty-four hour per day basis which shall be utilized as needed.
(D) The licensed agency shall have written medical emergency and medical back-up plans, that are communicated to all employees and offenders and posted throughout the facility.
(E) The licensed agency shall implement policies and procedures:
(1) To provide for medical examinations of any offender suspected of having a serious infectious or communicable disease.
(2) The licensed agency shall imlement universal precaution procedures.
The procedures shall be revised as updated information becomes available.
(F) The licensed agency shall, to the extent possible, ensure a drug-free program. If the agency operates a urine surveillance program, procedures shall be implemented that provide instructions for collection and processing of samples, interpretation of results, and responses to violations.
(G) The licensed agency shall implement a policy and procedure regarding the monitoring, possession, use and disposal of controlled substances, prescribed medications, over-the-counter drugs, and other medical supplies.
R.C. 119.032 review dates: 01/12/2006 and 01/12/2011
Promulgated Under: 119.03
Statutory Authority: 2967.14, 2967.26
Rule Amplifies: 2967.14, 2967.26
Prior Effective Dates: 4/1/82, 4/17/93, 7/1/2002
(A) The licensed agency shall have written emergency plans that are reviewed and updated annually. Plans shall be communicated to all employees and offenders, and be conspicuously posted in the facility. Emergency plans are to be approved by the agency administrator and disseminated to all appropriate local authorities. All licensed agency employees shall be trained in the implementation of the written emergency plans.
(B) The licensed agency shall conduct and document quarterly disaster and monthly emergency fire drills, on each shift at least once every quarter, under varied conditions while the majority of offenders are present.
(C) The licensed agency shall implement a policy and procedure which prohibits any offender from being assigned to a position of authority over another offender (e.g. in charge of providing offender services such as commissary, telephone calls, or being permitted to perform or assist in any security duties), except that which is provided by treatment related activities approved by the agency director, (e.g., therapeutic communities).
(D) The licensed agency shall implement a policy restricting the use of physical force to instances of justifiable self-protection, protection of a third party, prevention of self-inflicted harm, and prevention of property damage or other crimes.
(E) Manual inspection of body cavities shall be conducted only when there is reason to do so and when authorized by the agency administrator or designee. Inspection of body cavities shall be conducted in private by health care personnel.
(F) The licensed agency shall implement the following procedures from the licensing agency regarding the detection and reporting of absconders.
(1) Absconders
(a) Prevention
(i) An offender movement sheet shall be used to account for offenders in the facility and those on authorized program and activity leave from the facility. This sheet shall include time “in” and “out” of the facility and, when applicable, the offender’s destination. Movement outside the facility shall be documented through the use of an itinerary for all offenders.
(ii) Licensed agency staff on duty shall, at minimum, conduct one population count of offenders in the facility per shift, in accordance with agency policies and procedures. The time at which the count is taken should be varied and documented.
(iii) The licensed agency shall have provisions for random verification of offenders on authorized leave from the facility.
(iv) No offenders shall be unaccounted for while in or out of the licensed facility. The method for verification shall be outlined thoroughly in an agency policy and procedure statement.
(b) Detection
(i) Should any verification process indicate an offender’s absence, the licensed agency staff on duty shall immediately attempt to locate the offender by searching the facility and calling known relatives, friends, employer, and the last destination signed on the itinerary sheet.
(ii) In the event contact is made with the offender within one hour of expected time of return, the offender shall be instructed to return to the licensed facility immediately. An agreed upon deadline shall be established for the offender’s return,.
(iii) An offender who fails to return, or where indication exists that the offender will not return, will be declared an absconder.
(c) Reporting absconders
(i) Verbal notification to the supervising authority shall take place immediately upon the detection and verification of a declared absconder. If the offender absconds outside of the supervising authority’s regular working hours, verbal notification shall take place at the start of the next business day.
(ii) The supervising officer/unit supervisor of a transitional control offender shall be contacted immediately after an unauthorized absence has been detected and verified, prior to an absconder declaration.
(iii) A written report indicating the time and circumstances shall be completed by licensed agency staff and submitted to the supervising authority within one business day of when the offender asconded.
(2) The licensed agency shall post the following information in a conspicuous location within the facility: “If you abscond from the facility, you may be charged with felony escape under the provisions of R.C. 2921.34.”
(G) The licensed agency shall implement a policy regarding the documentation of granting overnight, weekend and special passes, as well as coordination with supervising authorities. The licensed agency shall submit a form to the supervising authority in cases where the offender is requesting a pass to an address that has not been previously approved by the supervising authority. This form shall be submitted, by the agency to the supervising authority, no later than noon on the day prior to the first day of the pass. The form shall include:
(1) Name and identification number (institution or docket) of the offender;
(2) The dates and times the pass begins and ends;
(3) The destination;
(4) The basis for the agency’s recommendation;
(5) Signature of agency staff; and
(6) A space for approval or disapproval and signature, if required, of the supervising authority.
A copy of the pass shall be maintained in the offender’s file.
(H) The licensed agency shall implement a policy and procedure for recording the identity of visitors. The visitor logs shall be under the supervision of a staff member at all times.
(1) The licensed agency shall maintain a dated log of all visitors to the facility with entries for the name, address, telephone number, purpose of visit, and time in/out of each visitor.
(2) The licensed agency shall maintain as a matter of record a dated visitation log for each offender receiving visitors. The log shall include the following information:
(a) Full name of offender to be visited;
(b) Institution/docket number;
(c) Supervision status and supervising officer;
(d) Visitor(s) name;
(e) Complete address;
(f) Picture ID number;
(g) Telephone number where they can be contacted, and;
(h) Relationship to the offender.
(3) Provisions shall be made for special visits, such as attorneys, clergy and visitors coming from a long distance.
(I) Possession and use of weapons is prohibited in the facility except in case of an emergency. The licensed agency shall provide weapon lock boxes for use by the supervising authorities..
(J) The licensed agency shall implement policies and procedures for submitting an unusual incident report to the licensing agency’s deputy administrator of community residential programs or designee. Unusual incidents are defined as any events that have serious internal or external ramifications or that may attract the attention of the general public and/or news media. Such incidents include, but are not limited to: fires, assaults, drug trafficking, drug possession, serious medical problem, accidents/auto accidents, innappropriate sexual behavior, serious agency staff misconduct, theft, law enforcement involvement, suicidal attempts/threats, building emergency, complaint from the public, use of force/deadly force, property loss or damage and events of apparent criminal nature. The reporting procedure shall be as follows:
(1) The licensed agency shall verbally notify the supervising authority and the deputy administrator or designee of the incident within one business day of the time the incident occurred.
(2) The licensed agency shall submit a written report to the supervising authority and deputy administrator or designee within two business days of the time the incident occurred. The written report shall include the following information:
(a) Name and institution/docket number of the offender involved in the incident;
(b) Name of licensed agency staff involved in the incident (if applicable);
(c) The name and address (institution/docket number if an offender) of the victim(s) involved;
(d) Time the incident occurred;
(e) Circumstances surrounding the incident;
(f) Copies of any medical report or a letter from the attending physician stating the extent of any injuries sustained as a result of the incident.
R.C. 119.032 review dates: 01/12/2006 and 01/12/2011
Promulgated Under: 119.03
Statutory Authority: 2967.14, 2967.26
Rule Amplifies: 5120.031
Prior Effective Dates: 4/1/82, 9/4/84, 4/21/89, 4/17/93, 7/1/96, 7/1/2002
(A) The licensed agency shall:
(1) Correctly complete and enter all required intake/termination fields on the management information system authorized by the department of rehabilitation and correction
(2) Complete and enter intake and termination in management information system authorized by the department of rehabilitation and correction within fourteen days of intake or termination unless a written waiver is granted by the licensing agency.
(3) Submit to the licensing agency monthly management information system authorized by the department of rehabilitation and correction data, confirmed by the supervising authority, by the tenth day of the following month.
(4) Complete and enter a reassessment into a management information system authorized by the department of rehabilitation and correction if offenders remain in the licensed agency longer than the period designated by the agency for completion of the program.
(5) Designate staff for data entry and/or coordination.
Replaces: 5120:1-3-15
R.C. 119.032 review dates: 01/12/2006 and 01/12/2011
Promulgated Under: 119.03
Statutory Authority: 2967.14, 2967.26
Rule Amplifies: 2967.14, 2967.26
Prior Effective Dates: 7/1/2002
(A) The licensed agency shall maintain a written case record for each offender receiving services in which all decisions, activities and events shall be recorded. The case records shall include, at minimum, the following information:
(1) Initial intake assessment information;
(2) Individual program plans;
(3) Signed release of information forms;
(4) Evaluation and progress reports;
(5) Week-end and overnight passes;
(6) Current employment and education data;
(7) Verification of explanation of program rules and disciplinary policy to each offender, signed and dated by the offender and staff member;
(8) Grievance and disciplinary records;
(9) Itineraries;
(10) Discharge notice and narrative;
(11) Statistical termination reports;
(12) External progress reports;
(13) Audit sheet;
(14) Approved visitation list;
(15) Condition of release and applicable fee owed;
(16) Information from referral sources;
(17) Medical and psychological information and testing;
(18) Correspondence;
(19) Offender financial information;
(20) Referrals and attendance records;
(21) Offender acknowledgment of personal property/belonging disclosure; and
(22) Additional pertinent information.
(B) Each entry in the case record shall be dated and signed or initialed by the staff member making the entry.
(C) The licensed agency shall implement policies and procedures to safeguard and minimize the possibility of theft, loss or destruction of case records. All case records shall be marked confidential and kept in locked files.
(D) The licensed agency shall implement policies and procedures which provide for case record auditing by agency staff and, as requested, by the licensing agency to ensure that each case record is current, complete and accurate.
(E) The licensed agency shall implement policies and procedures regarding the confidentiality of offender case information which shall specifically discuss offender access, agency personnel access, outside agency access, and designate personnel responsible for the release of information.
(F) The licensed agency shall implement a policy requiring record retention for at least three years from the date of the offender’s termination.
(G) The policies and procedures regardin confidentiality and disclosure shall comply with applicable state and federal laws, rules and regulations. The licensed agency shall require that a “release of information consent form” be signed by the offender prior to the release of information about the offender. A copy of the consent form shall be maintained in the offender’s case record.
(H) The “Release of Information Consent Form” shall include:
(1) Name of person, agency or organization requesting information;
(2) Name of person, agency or organization releasing information;
(3) The specific information to be disclosed;
(4) The purpose or need for the information;
(5) Date consent form is signed;
(6) Signature of the offender;
(7) Signature of individual witnessing offender signature; and
(8) Date after which consent no longer is valid.
(I) A narrative report shall be prepared by the licensed agency and submitted to the supervising authority for all terminations. This report shall describe the offender’s performance in the program and be submitted to the supervising authority no later than three business days after termination.
(J) The licensed agency shall provide the supervising authoroty with offender placement plans, at minimum, thirty days prior to successful termination. The placement plans shall include, at minimum, the following:
(1) Address where offender plans to reside upon program completion;
(2) Name of person offender plans to reside with;
(3) Telephone number;
(4) Current employment information, and;
(5) Expected termination date.
R.C. 119.032 review dates: 01/12/2006 and 01/12/2011
Promulgated Under: 119.03
Statutory Authority: 2967.14, 2967.26
Rule Amplifies: 5120.031
Prior Effective Dates: 4/1/82, 4/17/93, 7/1/96, 7/1/2002
(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.
R.C. 119.032 review dates: 01/12/2006 and 01/12/2011
Promulgated Under: 119.03
Statutory Authority: 5120.01; 5120.42; 5149.103
Rule Amplifies: 5120.102; 5120.103
Prior Effective Dates: 5/22/98