Chapter 5120:1-5 Community Based Corrections Programs

5120:1-5-01 Glossary of terms.

(A) "Local corrections planning board": A board established by resolution of the board of county commissioners of each county, pursuant to section 5149.34 of the Revised Code for the purpose of developing, implementing and operating a continuum of community control sanctions as defined by paragraph (E) of this rule.

(B) "Joint county corrections planning board": The board established by two or more counties with local corrections planning boards, as defined by paragraph (A) of this rule, pursuant to section 5149.35 of the Revised Code for the purpose of developing, implementing and operating a continuum of community control sanctions as defined by paragraph (E) of this rule.

(C) "Comprehensive plan": The working document developed by the local corrections planning board, as defined by paragraph (A) of this rule, or joint county corrections planning board, as defined by paragraph (B) of this rule, outlining the direction of the jurisdiction's community corrections initiatives. The plan is designed to unify and/or coordinate corrections services in the county or a group of counties and to reduce the number of persons committed from a county to state penal institutions and to county, multicounty, municipal, municipal-county or multicounty-municipal jails or workhouses.

(D) "Local corrections agencies": A county, multicounty, municipal, municipal-county, multicounty-municipal jails or workhouses or other jurisdictional facility (local jails or workhouses) which is responsible for developing, implementing and operating a continuum of community control sanctions, as defined by paragraph (E) of this rule, which is included in a comprehensive plan, as defined by paragraph (C) of this rule, and/or grant application submitted pursuant to rule 5120:1-5-03 of the Administrative Code.

(E) "Community control sanctions": Includes but is not limited to day reporting, electronic monitored house arrest, electronic monitoring without house arrest, house arrest without electronic monitoring, jail case management, community service, drug treatment programs, intensive supervision, basic supervision, monitored time, drug and alcohol use monitoring, curfew term, victim offender mediation, and placement in a halfway house, community-based correctional facility or the county jail or workhouse and other appropriate programs.

(F) "Sanction": A judicial response levied or imposed upon an eligible offender, as defined by paragraph (G) of this rule, as a result of criminal behavior or violations of community control sanctions requirements.

(G) "Eligible offender": An individual convicted of an offense for which community control sanctions are authorized pursuant to sections 2929.15 to 2929.18 of the Revised Code.

(H) "Detainee": An individual charged with and/or convicted of an offense that has not been formally adjudicated. Such "detained" individuals include, but are not limited to: unsentenced felony offenders, unsentenced misdemeanants, probation and/or parole violators awaiting disposition, individuals in pre-trial diversion programs, or individuals awaiting disposition of their charge.

(I) "Case record": A file, or electronic version of a file, established for each offender and maintained by the local corrections agency which includes, but is not limited to: the journal entry placing the offender into a community control sanction, conditions of supervision, supervision adjustment information, supervision contacts, and significant areas of concern

(e.g., chemically dependent, mental health problems, sex offender, or other pertinent information).

(J) "Recidivism rate": An indicator to evaluate and measure the effectiveness of a community control sanction in keeping eligible offenders as defined by paragraph (G) of this rule, out of state penal institutions.

(K) "Continuation funding": A level of funding that will maintain existing program operations.

(L) "Expansion funding": A level of funding that will increase program operations for the purpose of diverting additional offenders.

(M) "Evidence-based": Practices that are consistent with research for the purpose of operating effective correctional programs.

(N) "ACA": The American correctional association.

R.C. 119.032 review dates: 01/04/2012 and 01/04/2017
Promulgated Under: 119.03
Statutory Authority: 5120.01 , 5149.31
Rule Amplifies: 5149.30 , 5149.34 , 5149.35
Prior Effective Dates: 7/19/93 (Emer.), 10/13/93, 7/1/96, 3/25/00, 7/1/02, 4/8/07

5120:1-5-02 Establishment of joint county or local corrections planning boards and adoption of a comprehensive plan.

(A) If a county or a group of counties desire to receive funding from the department of rehabilitation and correction ("department") for the development, implementation and operation of a continuum of community control sanctions, then this rule establishes under what circumstances a planning board is required to be established and maintained by local corrections agencies, as well as the statutorily defined composition of such boards. This rule also establishes that a planning board is required to adopt a comprehensive plan to be included with a grant application in order to seek funding from the department for the development, implementation, and operation of community corrections programs.

(B) The board of county commissioners of a county shall establish, by a resolution as described in division (A)(1) of section 5149.34 of the Revised Code, and maintain a local corrections planning board.

The planning board shall be composed of certain classes of membership and ex-officio members which are specified in division (A)(1) of section 5149.34 of the Revised Code. However, if, for good cause, a county cannot satisfy this statutory requirement, the county must request, in writing, permission from the director of the department to waive the requirements to the extent necessary and approve a composition for the board that is otherwise consistent with the requirements.

The planning board shall adopt within eighteen months after its establishment, and from time to time shall revise, a comprehensive plan for the development, implementation, and operation of corrections services in the county. In order to be eligible for funds from the department, the board shall design the plan, as set forth in paragraph (B) of rule 5120:1-5-03 of the Administrative Code, which shall be included with a grant application as set forth in paragraph (C) of rule 5120:1-5-03 of the Administrative Code.

(C) The boards of county commissioners of multiple counties may enter into an agreement for the joint development, implementation, and operation of a continuum of community control sanctions. Such counties shall establish and maintain a joint county corrections planning board.

Subject to the waiver provisions of paragraph (B) of this rule, the board shall consist of an equal number of members of each county's local corrections planning board as established and maintained under division (A)(1) or (A)(2) of section 5149.34 of the Revised Code.

The joint planning board shall adopt within eighteen months after its establishment, and from time to time shall revise, a comprehensive plan for the development, implementation, and operation of corrections services in the group of counties. In order to be eligible for funds from the department, the board shall design the plan as set forth in paragraph (B) of rule 5120:1-5-03 of the Administrative Code, which shall be included with a grant application as set forth in paragraph (C) of rule 5120:1-5-03 of the Administrative Code.

R.C. 119.032 review dates: 01/04/2012 and 01/04/2017
Promulgated Under: 119.03
Statutory Authority: 5120.01 , 5149.31
Rule Amplifies: 5149.34 , 5149.35
Prior Effective Dates: 7/19/03 (Emer.), 10/13/93, 7/1/96, 4/8/07

5120:1-5-03 Eligibility for subsidies; requirements for comprehensive plan and grant application for corrections services.

(A) This rule establishes the minimum requirements local corrections agencies shall meet to be eligible for funding from the department of rehabilitation and correction ("department") for the development, implementation, and operation of a continuum of community control sanctions and the procedures to apply for such funding.

(B) Each local or joint county correction's planning board established pursuant to paragraphs (B) and (C), respectively, of rule 5120:1-5-02 of the Administrative Code, shall adopt within eighteen months after its establishment, and from time to time shall revise, a comprehensive plan as set forth in this paragraph.

In order to be eligible for funds from the department, the planning board shall design a comprehensive plan for the development, implementation, and operation of corrections services in a county or a group of counties, which shall be included with a grant application as set forth in paragraph (C) of this rule. The plan shall be designed to accomplish all of the goals set forth in paragraph (B)(1) of this rule and provide all of the information required by paragraphs (B)(2), (B)(3) and, if applicable, (B)(4) of this rule.

(1) The goals shall be to:

(a) Unify or coordinate its corrections services through consolidation, written agreements, purchase of service contracts, letters of support from local criminal justice officials including the appropriate regional office of the adult parole authority, or other means.

(b) Improve the quality and efficiency of its corrections programs and reduce the number of eligible offenders committed from a county, a group of counties, or municipalities to state penal institutions, and/or to local corrections agencies, during the previous grant year, as applicable.

(c) Demonstrate the cost effectiveness of sanctions as compared to similar sanctions in other jurisdictions and the actual cost of incarceration in state penal institutions or local corrections agencies for the prior fiscal year.

(d) Reduce recidivism as determined by the department and the applicant.

(2) Complete a demographic and criminal justice system profile of the following areas to facilitate assessing the county's criminal justice system for problem areas and possible solutions:

(a) Law enforcement;

(b) Prosecution including victim services;

(c) Public defender/indigent defense;

(d) Probation and parole services;

(e) Judiciary;

(f) Pre-trial services;

(g) Jails;

(h) Halfway houses and community-based correctional facilities; and

(i) Community agencies.

(3) Develop a continuum of sanctions that are appropriate for the target population by providing the following information:

(a) A progression of sanctions for eligible offenders which shall include all proposed and existing programs and facilities, whether they are governmentally or privately operated;

(b) The target population of eligible offenders;

(c) Criteria for placement eligibility;

(d) The official capacity of the person making the placement decision;

(e) The point in the criminal justice system at which various sanctions are imposed on eligible offenders;

(f) Factors contributing to the target population's movement through various sanctions, such as program completion, new arrests, medical concerns and absconding; and

(g) The coordination of services and an explanation of any duplication of offender services.

(4) If a county has a community-based correctional facility and program established in accordance with sections 2301.51 to 2301.58 of the Revised Code, the local corrections planning board shall include the facility and program as part of the comprehensive plan. However, the budget of the facility and program shall not be subject to approval by the board or included in the grant application funding request.

(C) Any time a county, group of counties, municipality, or their planning board, if established, desires to receive funding from the department for the development, implementation and operation of a community control sanction, then a grant application shall be submitted. The requirements for completion of a grant application shall include, but not be limited to, the following:

(1) General information such as grantee name, program title, implementing agency, and local official(s) responsible for administering the grant.

(2) Program objectives that demonstrate how the goals of CCA funding will be accomplished.

(3) Clearly defined measures for each objective that determine it's effectiveness.

(4) A description of the program that includes the target population, eligibility criteria for offender placement, projected number of offenders to be placed, services provided or available, and possible sanctions for offenders who fail to adhere to program requirements.

(5) A budget that identifies and justifies the proposed expenditure of requested funds.

(6) Upon approval by the appropriate officials, the grant application, including, the comprehensive plan, shall be submitted by the local or joint county corrections planning board, to the director of the department for review and written approval or disapproval.

(D) If a grant application, submitted pursuant to paragraph (C) of this rule, is approved, then the chief of the bureau of community sanctions of the department shall prepare a grant agreement which includes, but shall not be limited to, the grant time period ; funding level of the community control sanctions; and any deviation cap and accompanying funding reduction formula established pursuant to rule 5120:1-5-06 of the Administrative Code.

The chief of the bureau shall submit the grant agreement to the county commissioners or municipal official for their approval. Upon approval, the agreement shall be submitted to the department for the director's approval.

(E) If a grant application submitted pursuant to paragraph (C) or (D) of this rule is disapproved, either the local or joint county corrections planning board may submit to the director for written approval or disapproval, within thirty days of notice of such disapproval, a written request for reconsideration which shall include specific reasons justifying the grant application.

(F) If, during the fiscal year, the local or joint county corrections planning board desires to change the amount of funding in an approved grant application, then a written request shall be submitted to the chief of the bureau of community sanctions of the department, for review and written approval or disapproval. If disapproved, the chief shall provide reasons and alternative recommendations to the board(s).

(G) Selection criteria:

The selection of community control sanctions to be funded by the department, shall be determined by the requirements set forth in paragraph (B) of this rule, if applicable, and paragraph (C) of this rule, in addition to the following criteria:

(1) For continuation of or establishing new community control sanctions:

(a) The title of the local official responsible for administering the grant and their authority to represent the corrections programs;

(b) The extent to which the comprehensive plan, if applicable, establishes a continuum of sanctions;

(c) The extent to which a program(s) supplements, rather than reduces or replaces, existing programs;

(d) The degree to which unification or coordination of correctional services is achieved as demonstrated by, but not limited to, written agreements, purchase of service contracts, and letters of support from local criminal justice officials;

(e) The propriety of services used to control the eligible offender's movements within the county; and

(f) The number and extent of services which are to be provided for eligible offenders.

(2) For the continuation of existing community control sanctions only, the following additional selection criteria shall be considered:

(a) The actual cost per eligible offender, including expenditures of funds from the department's corrections program, indirect costs or any other funds used by the county/municipality to operate the program, divided by the number of eligible offenders, and compare the result to expenditures per offender by similar programs in other counties;

(b) The actual cost per eligible offender as compared to the latest annual cost of incarceration in a state penal institution;

(c) The actual cost per eligible offender as compared to the latest annual cost of incarceration in a local corrections agency;

(d) The degree to which the county/municipality has complied with community corrections act (CCA) program audit standards of the department's bureau of community sanctions;

(e) The extent to which the county/municipality has complied with recommendations contained in the most recent fiscal audit of the department's internal audit section.

(f) The degree to which the county/municipality achieved its goals and objectives during the previous funding period.

(3) For new community control sanctions only, the following additional selection criteria shall be considered:

(a) The projected cost per eligible offender as compared to similar programs in other counties/municipalities;

(b) The projected cost per eligible offender as compared to the latest annual cost of incarceration in a state penal institution; and

(c) The projected cost per eligible offender as compared to the latest annual cost of incarceration in a local corrections agency.

(H) Local corrections agencies shall comply with this chapter of the Administrative Code, as well as all relevant local, state and federal laws when implementing community control sanctions.

Effective: 06/04/2012
R.C. 119.032 review dates: 01/04/2012 and 01/04/2017
Promulgated Under: 119.03
Statutory Authority: 5120.01 , 5149.31
Rule Amplifies: 5149.31
Prior Effective Dates: 7/1/93 (Emer.), 10/13/93, 7/1/96, 3/25/00, 7/1/02, 4/8/07

5120:1-5-04 Program participation requirements.

(A) A local or joint county corrections planning board or its designee, shall have responsibilities for managing the continuum of community control sanctions, including:

(1) Fiscal and operational requirements;

(2) Establishing programs that are consistent with paragraph (B) of rule 5120:1-5-03 of the Administrative Code.

(3) Complying with all the following requirements:

(a) Relevant local, state and federal laws;

(b) Relevant administrative rules of the department of rehabilitation and correction

("department");

(c) The department's bureau of community sanctions' policies, procedures and audit standards relating to these programs; and

(d) Any terms and conditions contained in the grant agreement between the county, group of counties, or municipality and the department.

(4) Submitting an annual report describing the achievements of these programs to the department's bureau of community sanctions; and

(5) Working cooperatively with other areas of the local criminal justice system and the department.

(B) The following shall be subject to a fiscal audit by personnel of the department:

(1) A county or municipality receiving funding for a community control sanction;

(2) Organizations contracting with a county, group of counties or municipality for services included in the approved grant application.

Each county, municipality or contracted organizationthat receives funding from the department for a community control sanction shall establish and maintain financial records for expenditures that relate directly to the program.

(C) Indirect expenditures that benefit more than one program may be prorated to the programs based on the most appropriate method for the allocation of expenditures. The basis for prorating indirect expenditures shall include, but is not limited to, the following methods as approved by the American institute of certified public accountants:

(1) The total square feet used by the program;

(2) The number of employees;

(3) The number of employee hours worked in a program; and

(4) The number of clients served by the program.

R.C. 119.032 review dates: 01/04/2012 and 01/04/2017
Promulgated Under: 119.03
Statutory Authority: 5120.01 , 5149.31
Rule Amplifies: 5149.34 , 5149.35 , 5149.36
Prior Effective Dates: 7/13/93 (Emer.), 10/13/93, 7/1/96, 3/25/00, 7/1/02, 4/8/07

5120:1-5-05 Program monitoring and evaluation of participating counties.

(A) A local or joint county corrections planning board or its designee, shall cooperate with the department of rehabilitation and correction ("department") in monitoring and evaluating community control sanctions funded by the department.

(B) Each program shall use the management information system utilized by the department's bureau of community sanctions for the collection and reporting of information related to the funded community control sanction.

(C) Each program shall separately report to the department, on a quarterly basis for the previous quarter, the following financial information that will include but not be limited:

(1) Approved funding amount;

(2) Quarterly expenditures;

(3) Year-to-date expenditures;

(4) Fund balance for the fiscal year;

(5) Projected expenditures for the fiscal year;

(6) Estimated or actual fund surplus or deficit; and

(7) Quarterly cash reconciliation.

(D) The department's bureau of community sanctions shall prepare an annual report highlighting the department's community corrections act program.

(E) The department's bureau of community sanctions shall evaluate the effectiveness of the program in the development and implementation of the community correction act.

R.C. 119.032 review dates: 01/04/2012 and 01/04/2017
Promulgated Under: 119.03
Statutory Authority: 5120.01 , 5149.31
Rule Amplifies: 5149.34 , 5149.35 , 5149.36
Prior Effective Dates: 7/19/93 (Emer.), 10/13/93, 7/1/96, 3/25/00, 7/1/02, 4/8/07

5120:1-5-06 Subsidy awards to municipal corporations and counties.

(A) A grant application submitted by a county, group of contiguous counties, or a municipality shall be approved pursuant to rule 5120:1-5-03 of the Administrative Code and funded according to the following priorities:

(1) First priority shall be given to the continued funding of existing community control sanctions that satisfy the standards of this chapter of the Administrative Code and that are designed to reduce the number of persons committed to state penal institutions and/or detained in and/or committed to local corrections agencies.

(2) Second priority shall be given to new community control sanctions that are designed to divert offenders committed to state penal institutions or the number of persons detained in and/or committed to local corrections agencies.

After a county's or municipality's grant agreement has been approved by the director of the department, pursuant to paragraph (E) of rule 5120:1-5-03 of the Administrative Code, a county, group of counties, or municipality shall not shift funding between a state penal institution diversion program and a local corrections agency population reduction program unless approved by the department's bureau of community sanctions.

(B) Subject to paragraphs (C) and (D) of this rule, an intensive supervision probation program for felony offenders that is funded in whole or in part by the department of rehabilitation and correction shall be used to serve only those felony offenders who satisfy one or more of the following 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 is being sentenced is a felony of the first degree, a felony of the second degree, or a felony of the third degree; or

(3) 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 and the offender's risk level, as assessed using the Ohio risk assessment system, is not lower than moderate.

(C) The grant agreement entered into between the department of rehabilitation and correction and a county for the funding of an intensive supervision probation program for felony offenders may identify an acceptable percentage of offenders referred to intensive supervision probation during each quarter of the grant period that do not satisfy any of the criteria specified in paragraphs (B)(1) to (B)(3) of this rule. This percentage shall be hereinafter referred to as the "ISP deviation cap." The ISP deviation cap identified in the grant agreement shall not exceed ten per cent of the total number of offenders referred to intensive supervision probation during each quarter of the grant period. The grant agreement shall specify the amount by which the grant amount will be reduced in accordance with paragraph (D) of this rule if the grant recipient exceeds the ISP deviation cap as described in that paragraph.

Referral of the following types of offenders to intensive supervision probation shall not count against the ISP deviation cap:

(1) Offenders who are referred to intensive supervision probation as a condition of judicial release under section 2929.20 or 2967.19 of the Revised Code.

(2) Offenders referred to intensive supervision probation for programming that is directed at specific, targeted populations. Such offenders include, but are not limited to, offenders convicted of domestic violence, operating a motor vehicle while intoxicated, sexually oriented offenses, and failure to pay child support.

(D) At the conclusion of every third month in the grant period, the department shall measure a grant recipient's compliance with any ISP deviation cap established in the grant agreement. In measuring that compliance, the department shall determine the percentage of the total number of offenders referred to intensive supervision probation during the preceding three months who do not satisfy any of the criteria specified in paragraph (B) of this rule nor fall within one of the categories of offender excluded from the ISP deviation cap under paragraphs (C)(1) and (C)(2) of this rule. If that percentage exceeds the ISP deviation cap in two consecutive quarters, the department shall promptly inform the grant recipient that two more consecutive quarters of exceeding the ISP deviation cap will result in a reduction in the grant amount. In the event that the grant recipient thereafter exceeds the ISP deviation cap for two more consecutive quarters, the grant amount shall be reduced as prescribed in the grant agreement.

(E) As used in this rule, "Ohio risk assessment system" means the single validated risk assessment tool identified in rule 5120-13-01 of the Administrative Code.

Effective: 06/04/2012
R.C. 119.032 review dates: 01/04/2012 and 01/04/2017
Promulgated Under: 119.03
Statutory Authority: 5120.01 , 5149.31 , 5149.36
Rule Amplifies: 5149.31 , 5149.36
Prior Effective Dates: 7/19/93 (Emer.), 10/13/93, 7/1/96, 7/1/02, 4/8/07

5120:1-5-07 Reduction in local funding prohibited.

(A) If a municipal corporation, county, or group of contiguous counties receiving a subsidy from the department of rehabilitation and correction ("department") for the development, implementation, and operation of community control sanctions violates any provision of this rule, then the department shall discontinue subsidy payments to the recipient, unless a petition for reconsideration has been approved pursuant to paragraph (D) of this rule.

(B) No municipal corporation, county, or group of counties receiving subsidy funds from the department for corrections programs shall reduce, by the amount of the subsidy it receives or by a greater or lesser amount, the amount of local, nonfederal funds it expends for corrections, including, but not limited to, expenditures for the operation of local corrections agencies and for any county or municipal probation department. Each subsidy shall be used to make corrections expenditures in excess of those being made from local, nonfederal funds.

(C) No municipal corporation, county, or group of counties receiving subsidy funds from the department for corrections programs shall use such funds for capital improvements. if a recipient uses such funds for capital improvements, the department shall discontinue subsidy payments to the recipient according to the procedure outlined in paragraph (D) of this rule and require the recipient to reimburse the department to the extent a subsidy was used for capital improvements.

(D) If a municipal corporation, county, or group of counties is found to have violated paragraphs (B) and/or (C) of this rule, the appropriate board of county commissioners, mayor or city manager shall be given written notice, by the director or designee of the department, of the reason(s) for the intent to discontinue subsidy payments to the recipient, sixty days prior to the actual discontinuation of funding. The commissioners, mayor or city manager shall have thirty days following the receipt of such notice in which to present a petition for reconsideration to the director. Within thirty days of receipt of the petition, the director or designee shall respond, in writing, either approving the petition by continuing or reducing subsidy payments or disapproving the petition and stating the reason(s) for the disapproval.

(E) A municipal corporation, county, or group of counties wishing to withdraw from participating in the department's funding of community control sanctions shall notify, in writing, the director or designee of the department of their intention to withdraw from the program and include a copy of the appropriate board of county commissioner's, mayor's or city manager's resolution to that effect.

(F) If a municipal corporation, county, or group of counties ceases to participate in the Community Corrections Act program pursuant to paragraph (D) or (E) of this rule, the department's bureau of community sanctions shall make arrangements to have a financial close-out audit conducted of their fiscal records equipment, supplies, and other tangible property that relate to the Community Corrections Act program. Any funds, equipment, supplies, or other tangible property determined by the audit to be due to or owned by the department, shall be returned to the department unless a written waiver is granted.

(G) If a municipal corporation, county or group of counties receiving subsidy funding does not meet the requirements set forth in rule 5120:1-5-04 of the Administrative Code, the department's bureau of community sanctions may reduce funding in whole or in part. If funding is reduced, the department's bureau of community sanctions will provide to the county commissioners, mayor or city manager written notification detailing the reason for the reduction. The commissioners, mayor or city manager shall have thirty days following the receipt of such notice in which to present a petition for reconsideration to the director. Within thirty days of receipt of the petition, the director or designee shall respond, in writing, either approving the petition by continuing or reducing subsidy payments or disapproving the petition and stating the reason(s) for the disapproval.

(H) This rule, including, but not limited to, its provisions relative to notice and reconsideration, does not apply to any funding reduction imposed pursuant to paragraph (D) of rule 5120-5-06 of the Administrative Code.

Effective: 06/04/2012
R.C. 119.032 review dates: 01/04/2012 and 01/04/2017
Promulgated Under: 119.03
Statutory Authority: 5120.01 , 5149.31
Rule Amplifies: 5149.31 , 5149.33
Prior Effective Dates: 7/19/93 (Emer.), 10/13/93, 7/1/96, 7/1/02, 4/8/07

5120:1-5-08 Standards for general program operations.

(A) This rule establishes the minimum standards that all local community correction act programs funded by the department of rehabilitation and correction shall meet.

(B) Employees of the department's bureau of community sanctions shall audit each community corrections act program by the following general standards:

(1) The program director(s) 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) At least seventy-five percent of staff providing case management or programming to offenders shall have an associates degree or higher.

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

(4) All full-time staff who have direct contact with offenders shall receive a minimum of twenty four hours of training annually relevant to changing offender behavior. Training hours for part-time staff shall be on a prorated basis. the program director or training administrator shall approve appropriate staff training and shall ensure training hours are completed.

(5) Job performance for program directors and all staff shall be reviewed annually. In addition to formal written annual evaluation(s), supervisors shall monitor, guide and assist staff to ensure effective delivery of services.

(6) 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.

(7) Programs 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.

(8) The program director shall have input in the development and review of program policies and procedures.

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

(10) Programs shall correct all fiscal findings and provide documentation of the corrective action to the bureau of community sanctions.

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

(12) Department management information system data will be accurate when compared to case file information.

(13) Programs shall conduct case record audits to ensure that records are current, complete and accurate.

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

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

(16) Residential programs shall achieve and maintain ACA accreditation. ACA reports and compliance letters shall be submitted to the bureau of community sanctions annually.

(17) Program or supervision design shall be evidence-based.

(18) The program director shall be involved in the development, enhancement and implementation of the internal program curriculum or program operations.

(19) Program staff shall have the opportunity to provide input into modification of the program.

(20) Offenders shall have the opportunity to provide input into the overall program.

(21) Agencies shall monitor program implementation and program integrity.

(22) The program director or designee shall monitor contractual program services provided by external entities. All funded service contracts are to be performance-based. a quality assurance process shall be in place to ensure contractual services meet the program and offender needs.

(23) The program director shall monitor the utilization of external referrals. A quality assurance process shall be in place to ensure services meet the program and offender needs.

(24) Programs shall make positive contributions to the community.

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

(26) Programs shall define the process for referrals, and acceptance, rejection and termination criteria.

(27) All programs designed to reduce offender risk and needs shall administer a validated and reliable risk and needs instrument upon intake.

(28) All programs designed to reduce offender risk and needs shall ensure services are individualized and address criminogenic targets, based on the results of a validated and reliable risk and needs instrument. Offenders shall have input into the development of their program.

(29) Prior to the offender's successful program termination an aftercare plan shall be developed with and provided to the offender, containing recommendations for appropriate linkages.

(30) The program director shall have input in the hiring of program staff.

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

Replaces: 5120:1-5-08

R.C. 119.032 review dates: 01/04/2012 and 01/04/2017
Promulgated Under: 119.03
Statutory Authority: 5120.01 , 5149.31
Rule Amplifies: 5149.31 , 5149.36
Prior Effective Dates: 3/25/00, 7/1/02, 4/8/07

5120:1-5-09 Specific standards for program operations.

(A) This rule establishes the minimum specific standards that local community correction act programs funded through the department of rehabilitation and correction shall meet.

(B) Employees of the departments bureau of community sanctions shall audit each community corrections act program on the following specific program standards for which they are funded.

(C) The local corrections planning board shall meet at least semi-annually in order to facilitate communication, establish policy, explore programs, ensure conformity to legal and fiscal requirements, and implement community offender programs.

(D) Active CCA program case records shall be readily accessible. All programs shall maintain records of the offender's progress in the case files. Supervision contacts shall be documented in offender case files.

(E) Each offender admitted to a CCA program will have a case file that will include at a minimum, the following signed and dated rules of participation explained and discussed with offenders, signed agreement relating to supervision plan and program requirements, and evidence that the plan has been reviewed according to program requirements.

(F) The community correction act program director or designee shall be responsible for fiscal oversight; including monitoring and reviewing the expenditures of budgeted funds quarterly and tracking of grant expenditures.

(G) All programs shall establish and implement written fiscal policies and procedures adopted by the governing authority, including, at a minimum, the following: internal controls, petty cash, bonding, and signature control on checks, offender funds, and employee expense reimbursements.

(H) All CCA fiscal records shall be readily accessible and provide verification of grant expenditures.

(I) There shall be a journal entry or other approved court documentation for all commitments to the program.

(J) All programs shall establish and implement policies and procedures in response to offender program violations.

(K) Community service programs shall maintain program progress reports that shall include: type of work performed, community service hours worked and hours yet to be completed.

(L) Pre-trial release programs shall establish and implement written policies and procedures that govern the program's process to make bond recommendations to the court when appropriate.

(M) Domestic violence programs shall provide written guidelines to victims describing the program.

(N) All programs that contract for residential services will ensure that the facility is appropriately licensed and certified.

(O) Work release programs shall establish and implement policies and procedures to verify and offender's employment and a record of progress in the program. program reports shall include: work schedules, record of total gross earnings, and case notes.

(P) The electronic monitoring/house arrest programs shall ensure that there is a back-up plan in the event of equipment failure.

(Q) Intensive supervision probation programs for felony offenders shall be subject to paragraphs (B) to (E) of rule 5120:1-5-06 of the Administrative Code.

Effective: 06/04/2012
R.C. 119.032 review dates: 01/04/2012 and 01/04/2017
Promulgated Under: 119.03
Statutory Authority: 5120.01 , 5149.31
Rule Amplifies: 5149.31
Prior Effective Dates: 3/25/00, 7/1/02, 4/8/07

5120:1-5-10 Probation improvement and incentive grant.

(A) A court of common pleas probation department may apply to the department of rehabilitation and correction for a probation improvement and probation incentive grant for the purpose of adopting and administering evidence-based programs, policies, projects, or practices to reduce the number of felony offenders on community control who violate the conditions of their supervision and are admitted to prison.

(B) To be eligible for a grant, a probation department must, at a minimum, satisfy each of the following:

(1) During the period of the grant, the probation department must be in compliance with each requirement imposed upon probation departments under sections 2301.27 and 2301.30 of the Revised Code, including, but not limited to, requirements imposed in those sections relative to the appointment of chief probation officers, probation officer training, and the establishment of policies and procedures for the supervision of individuals on community control;

(2) The probation department must demonstrate that it utilizes the Ohio risk assessment system created by the university of Cincinnati's center for criminal justice research in the supervision of its offenders; and

(3) Each program, policy, project, or practice to be funded through the grant shall be aimed at facilitating a reduction in the number of felony offenders in the county who violate the conditions of their supervision and are admitted to prison.

(C) The amount of grants awarded to individual probation departments under this rule shall be contingent upon the amount of funds available to the department to award for that purpose at the time application for a grant is made. Depending upon the availability of funds, the department may, from time to time, establish such limitations on the maximum amount of grants as are necessary to ensure broad-based participation in the probation improvement and incentive grant program.

(D) In prioritizing applications for a probation improvement grant and allocating the subsidies, the department shall give priority to those applications from counties that have the greatest potential to impact the state's prison population by reducing the number of felony offenders on community control who violate the conditions of their supervision. The factors that are relevant in identifying that potential impact include, but are not limited to, the applicant's prior performance under any grant awarded to the applicant pursuant to this rule and the following measures:

(1) The proportion that the number identified for the county under paragraph (D)(1)(a) of this rule bears to the number identified under paragraph (D)(1)(b) of this rule;

(a) The average number of offenders that the county's court of common pleas places under its probation department's supervision each year, as determined by averaging the number of offenders placed under the county probation department's supervision in each of the three calendar years immediately preceding the calendar year in which application for the grant is made;

(b) The average number of felony offenders placed on community control statewide each year, as determined by averaging the number of felony offenders placed on community control statewide in each of the three calendar years immediately preceding the calendar year in which application for the grant is made.

(2) The proportion that the number identified for the county under paragraph (D)(2)(a) of this rule bears to the number identified under paragraph (D)(2)(b) of this rule;

(a) The average number of offenders that the county commits to the department each year for a felony of the fourth or fifth degree, as determined by averaging the total number of such offenders committed to the department from the county in each of the three calendar years immediately preceding the calendar year in which application for the grant is made;

(b) The average number of offenders committed to the department each year statewide for a felony of the fourth or fifth degree, as determined by averaging the total number of such offenders committed to the department statewide in each of the three calendar years immediately preceding the calendar year in which application for the grant is made.

(3) The proportion that the number identified for the county under paragraph (D)(3)(a) of this rule bears to the number identified under paragraph (D)(3)(b) of this rule.

(a) The average number of offenders that the county commits to the department each year for violating the conditions of their community control, as determined by averaging the total number of such offenders committed to the department from the county in each of the three calendar years immediately preceding the calendar year in which application for the grant is made;

(b) The average number of offenders committed to the department each year statewide for violating the conditions of their community control, as determined by averaging the total number of such offenders committed to the department statewide in each of the three calendar years immediately preceding the calendar year in which application for the grant is made.

(E) Probation departments shall apply for grants in such manner as the department prescribes. At a minimum, every application shall:

(1) Identify the specific problem that the probation department intends to address;

(2) Provide statistical data that documents the problem identified under paragraph (E)(1) of this rule;

(3) Identify the specific target population within the more general class of individuals in the jurisdiction under community control who are affected by the problem, including the number of offenders that the probation department expects to be served by the grant;

(4) Provide a detailed overview of the proposed program, policy, project, or practice to be funded in whole or in part by the grant;

(5) Identify each entity, including any county or municipal court, that, in addition to the court of common pleas probation department making the application, will implement the program, policy, project, or practice proposed in the application and its role in achieving the grant's goals;

(6) List contact information for the individual in the probation department responsible for monitoring and reporting activities for the grant;

(7) Indicate the proposed goals and performance measures for the grant;

(8) Provide numerical data that will serve as a baseline for measuring the performance goals identified under paragraph (E)(7) of this rule;

(9) Specify the amount of the grant being requested;

(10) Identify all state and federal criminal justice funding currently being provided to the applicant and to any partnering entities identified by the applicant under paragraph (E)(5) of this rule;

(11) Provide a brief description of the local criminal justice system support for the proposal, including, but not limited to, any letters of support from local officials, organizations, and coalitions.

(F) If the department of rehabilitation and correction awards a grant to a probation department pursuant to this rule, the department and the probation department shall enter into an agreement that specifies the terms of the grant, including, but not limited to, the grant amount and performance measures that will be used to measure the probation department's success in reducing the number of felony offenders on community control who violate the conditions of their supervision and are admitted to prison.

Effective: 12/26/2011
R.C. 119.032 review dates: 01/12/2016
Promulgated Under: 119.03
Statutory Authority: 5120.01 , 5149.31 , 5149.311
Rule Amplifies: 5149.311