Sec. 12.02.03.09. Accounting, Reporting, and Accountability

A. Accounting - Financial.

(1) The facility shall use a recognized system of fiscal management accountability.

(2) In private facilities, the fiscal process shall include an independent annual audit which shall be conducted by a certified public accountant.

(3) The facility shall have written fiscal policies which include internal controls.

(4) For private facilities, the fiscal policy shall provide for adequate insurance coverage to include, but not limited to:

(a) Physical plant;

(b) Equipment;

(c) Client liability; and

(d) Bonding for board and staff.

(5) The facility fiscal policy shall provide a written policy for:

(a) Inventory control of agency property and assets;

(b) Accountability of petty cash expenditures;

(c) Purchasing and bidding of supplies and equipment;

(d) Completion of staff time sheets.

B. Accounting - Inmate Records.

(1) The inmate case record shall include at least the following information:

(a) Identification and medical/security alert information;

(b) Evaluation and progress reports;

(c) FBI report;

(d) Presentence investigation with Division of Correction fact sheet or Division of Correction admission summary;

(e) Preparole reports;

(f) Classification/treatment committee actions;

(g) Legal matters relating to the inmate's case;

(h) Adjustment reports and records;

(i) Inmate grievance commission matters;

(j) Medical reports;

(k) Psychological and psychiatric reports;

(l) Social material;

(m) Educational material;

(n) Employment material;

(o) Accident reports;

(p) Signed release of information and consent forms;

(q) Next of kin notification;

(r) Final discharge report.

(2) All entries into the case records of the inmate shall be dated and signed by a staff member.

(3) The facility shall have a written policy for maintaining case records on a current basis.

(4) The facility shall have a written policy which provides for case record auditing.

(5) The facility shall provide that safeguards exist to prevent the possibility of theft, loss, or destruction of case records.

(6) The facility shall provide that all inmate case records are marked "confidential".

(7) The facility shall provide that each file cabinet where case records are maintained is marked "confidential".

(8) The facility shall provide security type file cabinets for all case records.

(9) The facility shall provide that a "release of information consent form" is signed by the inmate before confidential information about the inmate is released to any individual or agency not having legal access.

(10) A "release of information consent form" shall include:

(a) The name of the person, agency, or organization requesting information;

(b) The specific information to be disclosed;

(c) The purpose or need for the information;

(d) The date the consent form is signed;

(e) The signature of the inmate; and

(f) The signature of the individual witnessing the signature.

(11) A copy of the signed "release of information consent form" shall be maintained in the inmate case record.

(12) If the inmate is discharged to another correctional facility or sentenced to probation or paroled, the original inmate case records shall be forwarded to the agency having responsibility for the inmate. The original case records of all other State inmates shall, at discharge, be forwarded to the Division of Correction. A skeleton case record which includes at least the presentence investigation/admission summary and face sheet, commitment papers and discharge report, shall be made and retained by the transferring facility for a period of 3 years.

(13) Before the awarding of earned time by the director for satisfactory inmate application and progress in industrial, agricultural, vocational, educational, or administrative tasks, a written description of the programs shall be submitted by the director to the Commissioner for his prior approval. The Commissioner shall in turn submit his approval or disapproval in writing to the director.

(14) Additional earned time, for special projects and programs not included in the above listing, may be awarded by the director. The procedure is the same as above; a written description of the projects, programs, or both, shall be submitted to the Commissioner who in turn gives written approval before the awards are made.

C. Reports.

(1) All admissions, releases, and escapes of State inmates shall be reported as required by the Commissioner.

(2) All earned time credited and good conduct time lost by State inmates shall be recorded in the inmate case record.

(3) A preparole evaluation for an inmate shall be completed and forwarded to the Division of Parole and Probation not later than 30 days before his or her scheduled parole hearing date.

D. Accountability.

(1) A permanent facility log shall be maintained in the facility.

(2) The facility log shall be a clearly labeled, permanently bound volume of lined sheets of writing paper, with all pages numbered consecutively in advance of use.

(3) All log entries shall be made in ink (fountain or ballpoint pen).

(4) Any log corrections shall be made by lining out and initialing the correction. Once an entry is made, it may not be altered or corrected in such a manner that the original entry cannot be read.

(5) The log shall be maintained by the supervisor on duty, and should be secured at the work station near the telephone.

(6) The first log entry of each day shall be preceded by the date, and each entry by the time of the entry.

(7) Each supervisor going on duty shall indicate in the log the acceptance of responsibility for the facility. The supervisor being relieved shall so indicate in the log.

(8) Any unusual occurrence shall be recorded in the log, ordinarily by the supervisor on duty. Unusual occurrences include those which might influence the behavior of an inmate, behavior on the part of an inmate which should be known by other staff, contacts during non-business hours by representatives of other agencies, staff or other e.g. police, families, inmates, etc. Such things as facility problems or equipment breakdowns should be noted as well as any staff initiated contacts. The log should not ordinarily be used for messages, but may call attention to changes in orders, procedures, or schedules which are available elsewhere.

(9) All management and supervisory staff shall review the log upon reporting to duty each day or assigned work period, and a record of the review shall be entered in the log.

(10) The log is the permanent record of activities, events, and problems for the facility. After completion, it shall be kept in a secure file for at least 3 years.

(11) Random inspection of the facility shall be conducted by the director, to include all shifts at least once every 2 weeks. A record of all inspections shall be entered in the facility log.

(12) The facility shall be daily inspected by the senior staff member. A record of all inspections shall be entered into the facility log.

(13) Supervisory sessions shall be conducted at least once each 2 weeks for all line staff rendering services to inmates. Inmate case files, performance of inmates assigned to the staff member, and the staff members' performance shall be reviewed at that time.

(14) A management information system approved in advance by the Commissioner shall be used in the facility.