1. COMMUNITYGOAL: A safe and vital community where the public feels safe and lives free of the risk of harm.PERFORMANCE STANDARD
1A. Members of the community are protected from harm.Outcome Measures:
(1) Number of offenders who were not arrested for a felony offense in the past 12 months ÷ Number of active cases in the past 12 months
(2) Number of offenders who were not arrested for a misdemeanor offense in the past 12 months ÷ Number of active cases in the past 12 months
(3) Number of offenders who were not convicted of a felony offense in the past 12 months ÷ Number of active cases in the past 12 months
(4) Number of offenders who were not convicted of a misdemeanor offense in the past 12 months ÷ Number of active cases in the past 12 months
(5) Number of offenders who completed their supervision in the past 12 months without any new arrests or convictions ÷ Number of offenders who completed supervision in the past 12 months
(6) Number of offenders released in the past 12 months who were not arrested for a new felony offense during the first 12 months following termination of supervision ÷ Number of offenders released in the past 12 months
(7) Number of offenders released in the past 12 months who were not convicted of a new felony offense during the first 12 months following termination of supervision ÷ Number of offenders released in the past 12 months
(8) Number of offenders released in the past 12 months who were not arrested for a new misdemeanor offense during the first 12 months following termination of supervision ÷ Number of offenders released in the past 12 months
(9) Number of offenders released in the past 12 months who were not convicted of a new misdemeanor offense during the first 12 months following termination of supervision ÷ Number of offenders released in the past 12 months
(10) Community members' perceptions of protection from harm from current offenders (from survey/polling)
(11) Community members' perceptions of protection from harm from former offenders (from survey/polling) EXPECTED PRACTICES
1A-1 (Ref. New) The agency works with the community to define the concept and practice of community justice. The agency actively participates in partnerships with individuals, organizations, and agencies to prevent victimization, provide conflict resolution, and promote public safety.
Comment. Partnerships should be explored with the full range of "stakeholders" in the public and private sectors, including, but not limited to: criminal justice agencies and entities (law enforcement, prosecution, defense bar, judiciary, corrections); human service providers; victims organizations; advocacy groups; service organizations; all levels of government (elected officials, appointed officials, staff); business; education; health care; faith community; organized labor; employment and training agencies; and offender families.
Protocols: Written policy and procedure.
Process Indicators: Documentation of collaboration with community (meeting notes, media articles, memoranda of understanding, letters, etc.)
1A-2 (Ref. 3-3114) The agency has a written definition of re-offending, that is understood and used by all agency personnel who use such data.
Comment: None.
Protocols: Written policy and procedure. Definition of re-offending.
Process Indicators: Interviews with staff. Review of agency reports.
Victim Notification
1A-3 (Ref. 3-3195) When an offender is under the supervision of the agency, consistent with the law of the jurisdiction, and unless the victim advises otherwise, there is a system for providing notification to the registered victim(s) of a crime:
∑ prior to any type of hearing regarding the offender's sentence
∑ prior to any release from confinement of the offender
∑ immediately after the offender escapes from custody.
Follow-up notification is communicated to victim(s) when the offender is apprehended and returned to custody after an escape.
Comment: None.
Protocols: Written policy and procedure. Notification procedures. Notification forms.
Process Indicators: Documentation of notification efforts. Staff interviews. Agency records (victim notification logs).
PERFORMANCE STANDARD
1B. The community is actively engaged in crime prevention.Outcome Measures:
(1) Community knowledge of the criminal justice system as measured in polls/surveys in the past 12 months ÷ Survey/poll results from the previous 12 month period
(2) Community attitudes toward the criminal justice system as measured in polls/surveys in the past 12 months ÷ Survey/poll results from the previous 12 month period
(3) Community confidence in the criminal justice system as measured in polls/survey in the past 12 months ÷ Survey/poll results from the previous 12 month period
(4) Victimization rates for the jurisdiction for the past 12 months ÷ Victimization rates for the previous 12 month period EXPECTED PRACTICES
1B-1 (Ref. New) The agency is engaged in community partnerships that promote community safety and well being.
Comment: If criminal justice/public safety advisory groups, committees, councils and similar entities do not exist, the agency should take the lead to bring all of the stakeholders to the table to create them. Many jurisdictions already have such organizations. In some jurisdictions, many of these groups are required by law. Problems should be brought to these groups for consideration and recommendations should be solicited to help the agency to solve the problems.
Protocols: Written policy and procedure. List of community entities.
Process Indicators: Documentation of meetings with community groups (meeting notes/minutes, correspondence, media articles, etc.). Documentation of actions taken by the agency to implement recommendations.
1B-2 (Ref. New) The agency engages in collaborative problem-solving efforts with the community to promote public safety through the sharing of information (consistent with applicable law), and education.
Comment: None.
Protocols: Written policy and procedure. Information-sharing protocols. Data collection and analysis procedures and report formats. Public education curricula and resource materials.
Process Indicators: Reports. Documentation of sharing of information (meeting notes/minutes, correspondence, media coverage). Staff interviews.
1B-3 (Ref. 3-3148) The agency supports efforts to develop community resources that prevent crime and that promote reintegration of offenders.
Comment: None.
Protocols: Written policy and procedure. Crime prevention plan.
Process Indicators: Documentation of crime prevention activities. Documentation of offender re-entry activities. Offender records.
1B-4 (Ref. 3-3017) Input from outside organizations is sought by the agency to enhance operations.
Comment: None.
Protocols: Written policy and procedure; Public Outreach Plan
Process Indicators: Documentation of contacts with outside organizations (contracts, correspondence, etc.).

PERFORMANCE STANDARD
1C. Sentencing and release recommendations promote protection of the public and lawful offender behavior.
Outcome Measures:
All of the outcome measures described for Performance Standards 1A, and the following:
(1) Number of offenders who absconded during the past twelve months ÷ Number of offenders who were under supervision in the past 12 months
(2) Number of offenders who absconded during the past twelve months who were recommended for supervision by the agency ÷ Number of offenders who were under supervision in the past 12 months
(3) Number of cases in which agency recommendations were adopted in the past 12 months ∏ Number of cases for which recommendations were offered in the past 12 monthsEXPECTED PRACTICES
Sentencing Continuum
1C-1 (Ref. New) A range of sentencing and release options is available to match offender characteristics and needs and balance those needs with the primary mission of public safety.
Comment: None.
Protocols: Written policy and procedure. List of options. Statutes/regulations.
Process Indicators: Offender records (sentences). Staff interviews. Pre-sentence investigation reports.
Pre-Sentence Investigations
1C-2 (Ref. 3-3213) The pre-sentence investigation process is governed by written procedures.
Comment: None.
Protocols: Written policy and procedure. Pre-sentence investigation forms, formats and instructions.
Process Indicators: Offender records (pre-sentence investigation reports).
1C-3 (Ref. 3-3212) The agency provides resources to ensure the submission of pre-sentence investigations within the time frames ordered by the sentencing court.
Comment: None.
Protocols: Written policy and procedure. Agency staffing plan. Job descriptions.
Process Indicators: Pre-sentence investigation reports and court records. Offender records. Staff interviews.
1C-4 (Ref. 3-3211) Pre-sentence investigations and reports provide the sentencing court with timely, relevant and accurate data so that it may select the most appropriate disposition.
Comment: At a minimum, pre-sentence investigations typically include the following information: victim(s) statement if given by the victim(s); defendant's prior record, educational background and family history; employment; health; accurate restitution information; circumstances of the instant offense; and a proposed supervision plan (where applicable) for the defendant.
Protocols: Written policy and procedure. Pre-sentence investigation report forms, formats and instructions.
Process Indicators: Offender records. Interviews with court officials.
1C-5 (Ref. 3-3214) Victims are contacted and a victim statement is obtained, if the victim elects to make a statement. The statement is contained in the pre-sentence investigation and report.
Comment: None.
Protocols: Written policy and procedure. Pre-sentence investigation report forms, formats and instructions.
Process Indicators: Offender records (pre-sentence investigations). Interviews with victims.
1C-6 (Ref. 3-3216) A pre-sentence investigation is not conducted, nor is a pre-sentence report prepared until, the defendant has been adjudicated guilty, unless the defendant, on advice of counsel, has consented to allow the investigation to proceed before adjudication. Absent a lawful prohibition, a pre-sentence investigation may be conducted by an order from the sentencing judge.
Comment: None.
Protocols: Written policy and procedure. Pre-sentence investigation report forms, formats and instructions.
Process Indicators: Offender records (pre-sentence reports).
1C-7 (Ref. 3-3218) When probation is not prohibited by law, recommendations are developed during the pre-sentence investigation and are included as part of the pre-sentence investigation and report.
Comment: The agency should adopt uniform conditions that may be recommended for some categories of offenders based on risk and needs.
Protocols: Written policy and procedure. Pre-sentence investigation report forms, formats and instructions. Uniform conditions. Description of available sentencing options.
Process Indicators: Offender records (pre-sentence investigation reports).
1C-8 (Ref. 3-3219) Probation officers consider sentencing alternatives to incarceration.
Comment: None.
Protocols: Written policy and procedure. Pre-sentence investigation report forms, formats and instructions. Description of available sentencing options.
Process Indicators: Offender records (pre-sentenced investigation reports). Staff interviews. Interviews with court officials. Interviews with prosecutors and defense bar.
1C-9 (Ref. 3-3225) All pre-sentence investigations and recommendations are subject to review and approval by a supervisor prior to submission to the court.
Comment: None.
Protocols: Written policy and procedure. Pre-sentence investigation report forms, formats and instructions.
Process Indicators: Offender records. Documentation of supervisor review of pre-sentence reports.
1C-10 (Ref. 3-3224) The pre-sentence investigation is submitted to the court for review and evaluation a minimum of two working days in advance of the date set for sentencing.
Comment: None.
Protocols: Written policy and procedure. Pre-sentence investigation report forms, formats and instructions.
Process Indicators: Court records. Offender records (pre-sentence investigation reports).
1C-11 (Ref. 3-3215) The pre-sentence investigation process is reviewed by the agency periodically.
Comment: None.
Protocols: Written policy and procedure. Pre-sentence investigation report forms, formats and instructions. List of sentencing options.
Process Indicators: Documentation of administrator's review of investigations. Documentation of annual review of process.
1C-12 (Ref. 3-3227) The agency promptly transmits pre-sentence investigations and reports to other criminal justice agencies when the offender is transferred to them for confinement.
Comment: None.
Protocols: Written policy and procedure. Transmission forms.
Process Indicators: Offender records.
Revocation
1C-13 (Ref. New) Cases recommended by supervision staff for revocation of probation are executed by a judge.
Comment. None.
Protocols: Written policy and procedure.
Process Indicators: Agency records. Offender records. Staff interviews.
1C-14 (Ref. 3-3226) The confidentiality of pre-sentence investigations and reports is safeguarded consistent with law.
Comment: None.
Protocols: Written policy and procedure. Pre-sentence investigation report forms, formats and instructions. Copies of laws.
Process Indicators: Staff interviews. Offender records. Offender interviews.
PERFORMANCE STANDARD
1D. The agency is a responsible member of the community.
Outcome Measures:
(1) Number of individual volunteers who provided services in the past 12 months ÷ Average number of full-time equivalent staff employed by the agency in the past 12 months
(2) Total number of volunteer hours delivered in the past 12 months ÷ Average number of full-time equivalent staff employed by the agency in the past 12 months
(3) Total number of hours of community service delivered by offenders in the past 12 months
(4) Total number of hours of community services delivered by offenders in the past 12 months ÷ Average number of offenders supervised in the past 12 months
(5) Number of community entities (committees, boards, etc.) on which agency staff served in the past 12 months
(6) Number of positive media items (articles, television reports, etc.) about the agency in the past 12 months ÷ Total number of media items about the agency in the past 12 months
(7) Number of presentations (speeches, panels, etc.) provided to the community by agency staff in the past 12 months
(8) Number of complaints about offenders received from the community in the past 12 months
(9) Number of complaints about offenders received from the community in the past 12 months that were substantiated ÷ Number of complaints about offenders received from the community in the past 12 months
EXPECTED PRACTICES
Public Information
1D-1 (Ref. 3-3027) The agency has a public information process that fosters contact with the public and the media. Employees and media representatives are informed of the process.
Comment: None.
Protocols: Written policy and procedure. Public information program/plan. Public information materials. Media notification list.
Process Indicators: Interviews with media representatives. Documentation of public and media contact. Staff interviews.
1D-2 (Ref. 3-3028) The public information process addresses emergency and non-emergency responses to the media.
Comment: At a minimum, the process should include the following: the identification of areas in the agency that are accessible to media representatives; the contact person for routine requests for information; identification of data and information protected by federal or state privacy laws, or federal and state freedom of information laws; special events coverage; news release policy; and the designation of individuals or positions within the agency authorized to speak with the media on behalf of the agency.
Protocols: Written policy and procedure. Public information program/plan. Public information materials. Media notification list.
Process Indicators: Agency records. Documentation of agency responses to media (correspondence, media items, etc.) Interviews with media representatives.
1D-3 (Ref. 3-3030) The agency investigates all citizen complaints. The complainant is informed of findings and if appropriate, of action taken.
Comment: None.
Protocols: Written policy and procedure. Investigation procedures and forms.
Process Indicators: Documentation of investigations and subsequent communication with complainant(s).
Citizen Involvement and Volunteers
Program Coordination
1D-4 (Ref. 3-3117) The agency provides for volunteer and intern involvement in programs.
Comment: None.
Protocols: Written policy and procedure. Job descriptions. Volunteer recruiting plan.
Process Indicators: Volunteer rosters and time records. Staff interviews.
1D-5 (Ref. 3-3118) There is a system for selection, training, term of service, termination of service, and definition of tasks, responsibilities, accountability, and authority of volunteers and interns.
Comment: None.
Protocols: Written policy and procedure. Volunteer selection procedures and forms. Volunteer training curricula. Volunteer orientation materials. Volunteer job descriptions.
Process Indicators: Volunteer records. Documentation of training.
Screening and Selection
1D-6 (Ref. 3-3120) The agency recruits volunteers and interns from all cultural and socioeconomic segments of the community.
Comment: None.
Protocols: Written policy and procedure. Volunteer/intern recruiting plan.
Process Indicators: Volunteer/intern records. Documentation of outreach activities.
Orientation and Training
1D-7 (Ref. 3-3122) Prior to assignment, each volunteer and intern completes a documented orientation and/or training program.
Comment: None.
Protocols: Written policy and procedure. Volunteer training curricula. Volunteer orientation materials.
Process Indicators: Volunteer records. Documentation of training.
1D-8 (Ref. 3-3123) Volunteers and interns agree in writing to abide by all agency policies.
Comment: None.
Protocols: Written policy and procedure. Volunteer agreement forms.
Process Indicators: Volunteer records.
1D-9 (Ref. 3-3124) The agency provides against liability or tort claims in the form of insurance or other legal provisions valid in the jurisdiction, when authorized by law.
Comment: None.
Protocols: Written policy and procedure. Risk management plan. Copies of laws.
Process Indicators: Insurance policies and other documentation of coverage.
2. OFFENDER
GOALS:
∑ Offenders become law-abiding, productive members of the community.
∑ Maintain order with clear expectations of behavior and systems of accountability while treating offenders fairly and respecting their legal rights.
∑ Promote offender health and facilitate provision of needed health care.
∑ Improve offender behaviors and competencies that contribute to immediate and long-term success in the community. PERFORMANCE STANDARD
2A. Offenders behave lawfully while under the supervision of the agency.
Outcome Measures:
Same as those described for Performance Standard 1A, and
(1) Number of times offenders were found to have possessed illegal items or contraband during the past 12 months ∏ Average agency caseload in the past 12 months
(2) Number of offenders who successfully completed supervision in the past 12 months ∏ Number of offenders who completed supervision in the past 12 monthsEXPECTED PRACTICES
Classification
2A-1 (Ref. 3-3130) The agency has a classification process that identifies offender program needs and level of supervision.
Comment. None.
Protocols: Written policy and procedure. Classification forms and procedures.
Process Indicators: Classification records.
2A-2 (Ref. 3-3131) The classification process includes the following:
∑ an initial assessment of each offender using a standardized and validated assessment tool;
∑ additional assessments or evaluations
∑ personal interview with the offender
∑ development of objectives that address community safety and offender needs
∑ assessment or reassessment results are recorded in the case file and communicated with the offender.
Comment: None.
Protocols: Written policy and procedure. Classification forms and procedures.
Process Indicators: Classification records. Offender records.
2A-3 (Ref. 3-3130) Offenders are placed in the appropriate supervision category within thirty days of receipt of the case. Offenders are reclassified as needed and reclassification reviews are documented in chronological order. Adjustments to the individual plan are made based on reassessment, and are made in accordance with the offender’s performance in the community.
Comment: None.
Protocols: Written policy and procedure. Classification forms and procedures.
Process Indicators: Classification records. Offender records.
2A-4 (Ref. 3-3133) Victim input is sought before a probation/parole officer requests the court or the releasing authority to add, remove, or modify any of the court-ordered special conditions of supervision.
Comment: None.
Protocols: Written policy and procedure. Victim notification procedures and forms.
Process Indicators: Documentation of victim notification.
Supervision/Service Plan
2A-5 (Ref. 3-3132 and 3-3136) An individualized supervision plan is developed for each offender. This plan is reviewed and approved by a supervisor. The offender receives a copy of the plan. The plan includes:
∑ Conditions of supervision;
∑ The appropriate level of supervision as determined by the offender’s risk and need;
∑ Objectives to be met by the offender and the field officer; and
∑ Services that address the offender’s needs.
Comment: None.
Protocols: Written policy and procedure. Classification forms and procedures.
Process Indicators: Review of individualized supervision plans (offender records).
2A-6 (Ref. 3-3138) The individualized plan is re-assessed at least annually. Each re-assessment is reviewed and approved by a supervisor, and is reviewed with the offender.
Comment: None.
Protocols: Written policy and procedure. Classification forms and procedures.
Process Indicators: Documentation of review with offender.
2A-7 (Ref. 3-3139) There is a review of each offender's level of supervision after the initial assessment, and as deemed necessary by the supervising officer and/or the officer's supervisor. This review is the reassessment and is completed promptly after review and approval by the supervising officer's supervisor.
Comment: None.
Protocols: Written policy and procedure. Classification forms and procedures.
Process Indicators: Offender records.

Supervision
2A-8 (Ref. 3-3137) When specific services ordered by the court or releasing authority are not available, field staff notify the court or releasing authority and request guidance.
Comment: None.
Protocols: Written policy and procedure.
Process Indicators: Offender records.
2A-9 (Ref. 3-3144) A closing summary or a final progress report is prepared that summarizes the performance of the offender during the entire period of supervision. The closing summary or final progress report remains in the offender's supervision file.
Comment: None.
Protocols: Written policy and procedure. Format for final report/summary.
Process Indicators: Offender records.
2A-10 (Ref. 3-3145) If permitted by law, early termination may be recommended to the court or releasing authority if there is compliance with the conditions of supervision.
Comment: None.
Protocols: Written policy and procedure. Format for recommendation.
Process Indicators: Offender records.
2A-11 (Ref. 3-3210) Upon receiving notification than an offender has been placed on community supervision, an officer initiates contact with the offender within two (2) working days, and conducts an initial supervision interview within five (5) working days.
Comment: None.
Protocols: Written policy and procedure.
Process Indicators: Offender records.
Parole Supervision
2A-12 (Ref. 3-3194) The releasing agency requests pertinent information about a prospective parolee in advance of the parole date.
Comment: None.
Protocols: Written policy and procedure. Parole notification procedures.
Process Indicators: Agency records (requests for information). Offender records.
2A-13 (Ref. 3-3193) As permitted by law, agency policy specifies that no inmate is released on parole until the agency has verified the individual plan for the inmate's release. This plan is to be reviewed and approved by the supervisor.
Comment: None.
Protocols: Written policy and procedure. Format for individual plan.
Process Indicators: Offender records. Agency records.

2A-14 (Ref. 3-3199) Parole officers may approve parolees' reasonable delays en route to approved parole programs.
Comment: None.
Protocols: Written policy and procedure.
Process Indicators: Offender records.


Interstate Compact(s)
2A-15 (Ref. 3-3180) The transfer of supervision of offenders to and from other jurisdictions is governed by policies that are in accordance with the interstate compact on probation and parole and other interstate agreements.
Comment: None.
Protocols: Written policy and procedure. Interstate Compact Agreement.
Process Indicators: Agency records. Offender records.
2A-16 (Ref. 3-3181) Acceptance, rejection, or termination of interest in cases shall not occur except through the compact administrator's office or a designated deputy.
Comment: None.
Protocols: Written policy and procedure. Interstate compact agreement(s).
Process Indicators: Offender records. Agency records.
2A-17 (Ref. 3-3182) The receiving state completes and forwards requested investigations in accordance with the interstate compact agreement(s).
Comment: None.
Protocols: Written policy and procedure. Interstate compact agreement(s).
Process Indicators: Offender records.
2A-18 (Ref. 3-3183) Offenders sign all appropriate forms for movement to and/or acceptance in the receiving state.
Comment: None.
Protocols: Written policy and procedure. Interstate compact agreement(s). Forms.
Process Indicators: Offender records.
2A-19 (Ref. 3-3184) The receiving state is given the opportunity to investigate the prospective plan of the offender prior to being sent to the receiving state, in accordance with the interstate compact agreement(s).
Comment: None.
Protocols: Written policy and procedure. Interstate compact agreement(s).
Process Indicators: Staff interviews.
2A-20 (Ref. 3-3185) No state refuses to supervise an offender eligible under the compact who meets the necessary residence and employment qualifications.
Comment: None.
Protocols: Written policy and procedure. Interstate compact agreement(s).
Process Indicators: Agency records. Staff interviews.
2A-21 (Ref. 3-3186) The receiving state assumes supervision duties over offenders of any sending state trans-ferred under interstate compact agreement(s) and applies equal standards of supervision and services that prevail for its own offenders.
Comment: None.
Protocols: Written policy and procedure. Interstate compact agreement(s).
Process Indicators: Offender records. Offender interviews.
2A-22 (Ref. 3-3187) The duration of the supervision period is determined by the sending state. The level of supervision is determined by the receiving state.
Comment: None.
Protocols: Written policy and procedure. Interstate compact agreement(s).
Process Indicators: Offender records.
2A-23 (Ref. 3-3188) Progress reports are required to be sent to the sending state on at least an annual basis. This practice is not discontinued without the mutual consent of both states' compact administrators.
Comment: None.
Protocols: Written policy and procedure. Interstate compact agreement(s). Format for progress reports.
Process Indicators: Offender records (progress reports).
2A-24 (Ref. 3-3189) Arrival reports are sent to the sending state within 30 days of the offender's arrival within the receiving state.
Comment: None.
Protocols: Written policy and procedure. Interstate compact agreement(s). Arrival report format.
Process Indicators: Offender records.
2A-25 (Ref. 3-3190) The receiving state promptly notifies the sending state of parole and probation violations.
Comment: None.
Protocols: Written policy and procedure. Interstate compact agreement(s).
Process Indicators: Offender records.
2A-26 (Ref. 3-3191) Preliminary on-site hearings are conducted under the rules of the receiving state. All requests are honored by the receiving state.
Comment: None.
Protocols: Written policy and procedure. Interstate compact agreement(s).
Process Indicators: Offender records. Agency records.
PERFORMANCE STANDARD
2B. Offenders comply with conditions ordered by the sentencing court or releasing authority.
Outcome Measures:
(1) Number of rule violations found in the past 12 months ∏ Average agency caseload in the past 12 months
(2) Number of violations of conditions found in the past 12 months ∏ Average agency caseload in the past 12 months
(3) Number of rule violations found to have occurred in the past 12 months ∏ Number of rule violations alleged in the past 12 months
(4) Number of violations of conditions found to have occurred in the past 12 months ∏ Number of violations of conditions alleged in the past 12 monthsEXPECTED PRACTICES
Conditions of Supervision
2B-1 (Ref. 3-3134) Conditions of supervision are furnished in writing to the offender. The conditions are explained to the offender by an officer. The offender is required to sign the conditions, indicating that he understand them and is willing to comply with them. If a communication problem (illiteracy, foreign language) prevents the offender from understanding the conditions, an officer will assist in explaining the conditions. Conditions are translated into foreign languages that are common among offenders in the jurisdiction.
Comment: None.
Protocols: Written policy and procedure. Form/format for conditions. Acknowledgement form.
Process Indicators: Offender records.
Basis for Violation and Revocation
2B-2 (Ref. 3-3142) Offenders are subject to violation and revocation only for new criminal charges or for failure to comply with conditions ordered by the sentencing court or releasing authority.
Comment: None.
Protocols: Written policy and procedure. Violation and revocation policies.
Process Indicators: Staff interviews.
Investigation
2B-3 (Ref. 3-3157) All alleged violations of the conditions are investigated and the results are documented in the case record. Substantiated violations are reviewed with the supervisor.
Comment: None.
Protocols: Written policy and procedure. Violations forms.
Process Indicators: Offender records. Documentation that supervisor has reviewed violations.
Minor Violations
2B-4 (Ref. 3-3156) In accordance with law and with authorization of the court or releasing authority, officers are authorized to resolve certain specified types of minor violations.
Comment: Such resolutions should be reviewed with the supervisor.
Protocols: Written policy and procedure.
Process Indicators: Offender records. Staff interviews.
Reporting to the Court or Releasing Authority
2B-5 (Ref. 3-3158 and 3-3159) The agency immediately reports arrests for violent or other major crimes, and serious violations of the conditions to the court or the releasing authority.
Comment: The report should include the officer’s recommendation as to the issuance of a warrant and/or other further action.
Protocols: Written policy and procedure.
Process Indicators: Offender records.
Issuance of Warrants
2B-6 (Ref. 3-3172) Warrants for the arrest and detention of offenders pending revocation are only issued by the agency administrator or an appropriate designee.
Comment: None.
Protocols: Written policy and procedure.
Process Indicators: Offender records.
Probable Cause
2B-7 (Ref. 3-3174 and 3-3173) Warrants for the arrest and detention of offenders are issued only upon adequate evidence of:
∑ serious and/or repetitive violation of the conditions; or
∑ commission of a new offense, or
∑ risk to public safety posed by the offender's continued presence in the community.
Comment: None.
Protocols: Written policy and procedure.
Process Indicators: Offender records.
Probable Cause Hearings
Timing
2B-8 (Ref. 3-3160) When an offender is arrested and detained on a probation or parole warrant, or the warrant is lodged as a detainer on pending criminal charges, a Probable Cause Hearing (PCH) is held within fourteen (14) calendar days of the arrest or lodging of the detainer. The PCH is not required if there has been a conviction of finding of probable cause by a court on the new charge.
Comment: None.
Protocols: Written policy and procedure.
Process Indicators: Offender records. Agency records.
Location
2B-9 (Ref. 3-3161) The Probable Cause Hearing is held in or near the community where the offense is alleged to have occurred, or where the offender was taken into custody.
Comment: None.
Protocols: Written policy and procedure.
Process Indicators: Agency records. Offender records.
Postponement or Waiver
2B-10 (Ref. 3-3162) The Probable Cause Hearing may be postponed for good cause. The offender may waive the hearing if informed of due process rights pertaining to the hearing and the consequences of the waiver.
Comment: None.
Protocols: Written policy and procedure. Waiver form.
Process Indicators: Offender records. Agency records.
Notice
2B-11 (Ref. 3-3165) The offender is notified in writing of the Probable Cause Hearing at least 3 days in advance. The notice shall include the time and place of the hearing, and the offender’s right to:
∑ disclosure of evidence;
∑ present evidence and favorable witnesses;
∑ confront adverse witnesses;
∑ effective assistance of counsel, appointed if indigent; and
∑ request postponement of the hearing.
Comment: None.
Protocols: Written policy and procedure. PCH Notice Form.
Process Indicators: Offender records. Agency records.
Hearing Officer
2B-12 (Ref. 3-3163 and 3-3164) Administrative staff or a field officer may, at the request of the releasing authority, conduct the Probable Cause Hearing and make findings as to the probable cause for revocation. The individual conducting the hearing shall have no prior involvement with the case.
Comment: None.
Protocols: Written policy and procedure.
Process Indicators: Agency records.


Preliminary Findings
2B-13 (Ref. 3-3166) The hearing officer conducting the Probable Cause Hearing determines whether there is probable cause to revoke and hold the offender for final processing. When authorized by the releasing authority, the hearing officer may make the provisional revocation decision, or may report the findings and make a recommendation to the releasing authority. The hearing officer issues a verbal decision or recommendation immediately after the hearing and provides a written notice of decision to the offender within twenty-one (21) days of the hearing.
Comment: None.
Protocols: Written policy and procedure. PCH Decision Notice Form.
Process Indicators: Offender records. Agency records.
Sanctioning Violations
2B-14 (Ref. 3-3168 and 3-3167) When violations occur, alternatives to revocation and incarceration are considered and utilized to the extent that public safety allows.
Comment: None.
Protocols: Written policy and procedure. List of alternatives.
Process Indicators: Offender records. Agency records. Staff interviews.
Absconders
2B-15 (Ref. 3-3171) When law permits, absconders who have committed no new crimes and who do not pose an undue public safety risk, may be continued under supervision in the community.
Comment: None.
Protocols: Written policy and procedure.
Process Indicators: Offender records. Agency records.

PERFORMANCE STANDARD
2C. Offenders maintain good health.Outcome Measures: None. EXPECTED PRACTICES
Health Education
2C-1 (Ref. New) Health education is provided to offenders. Health education includes information on medical services and immunizations, personal hygiene, dental hygiene, nutrition, venereal disease, HIV and AIDS, tuberculosis and other communicable diseases.
Comment: The education program should also include information on the effects of smoking, substance abuse, the dangers of self-medication, hypertension detection, family planning including appropriate services and referrals, physical fitness, self-care for offenders with chronic diseases or disabilities, and breast self-examination for female offenders.
Protocols: Written policy and procedure. Offender health education curriculum.
Process Indicators: Documentation of education (class rosters, test results, etc.). Offender records.
PERFORMANCE STANDARD
2D. Offenders are successful in the community during their sentences and after discharge.
Outcome Measures:
(1) Number of offenders who were employed while under supervision in the past 12 months ∏ Average agency caseload for the past 12 months
(2) Number of offenders who were employed upon discharge in the past 12 months ) Number of offenders discharged in the past 12 months
(3) Number of offender substance abuse tests for which the results were negative in the past 12 months ) Number of tests administered in the past 12 months
(4) Total number of offenders who successfully completed supervision in the past 12 months ) Number of offenders who left supervision in the past 12 months
(5) Number of offenders who showed improvement as measured by the objective assessment instrument prior to release in the past 12 months ) Average agency caseload in the past 12 months
Post-Discharge
(6) Number of offenders discharged in the past 12 months who are employed for six months after release ∏ Number of offenders discharged in the past 12 months
(7) Number of offenders discharged in the past 12 months who continue substance abuse treatment for six months after release ∏ Number of offenders discharged in the past 12 months
(8) Number of offenders discharged in the past 12 months who support themselves for six months following their release ∏ Number of offenders discharged in the past 12 months
(9) Number of offenders discharged in the past 12 months who are convicted or adjudicated for a felony crime within 6 months after release ∏ Number of offenders discharged in the past 12 months
(10) Number of offenders discharged in the past 12 months who are convicted or adjudicated for a misdemeanor crime within 6 months after release ∏ Number of offenders discharged in the past 12 months
[See also outcome measures for 1A, 1C, and 2A]EXPECTED PRACTICES
2D-1 (Ref. 3-3130) Offenders are classified and supervised to safeguard the community and meet the program needs of the offender.
Comment: None.
Protocols: Written policy and procedure. Classification forms and procedures.
Process Indicators: Offender records. Agency records.
2D-2 (Ref. 3-3125) The agency’s mission statement affirms that the supervision program is to provide necessary services to the offender with the goal of reducing the probability of continued criminal behavior on the part of the offender.
Comment: None.
Protocols: Written policy and procedure. Mission statement.
Process Indicators: Staff interviews.
2D-3 (Ref. 3-3150) The agency maintains a current inventory of functioning community agencies which is readily available to field staff.
Comment: None.
Protocols: Written policy and procedure. Agency inventory. Evaluation criteria.
Process Indicators: Observation. Agency records. Staff interviews.
2D-4 (Ref. 3-3153) The agency maintains a file of those agencies providing financial assistance to offenders; field officers are instructed and trained in methods to obtain financial assistance for offenders from available community resources.
Comment: None.
Protocols: Written policy and procedure. Financial assistance file/directory. Training curricula.
Process Indicators: Agency records. Staff interviews. Training records.
Parole
2D-5 (Ref. 3-3196) The releasing agency requires employable inmates to have a visible means of support or a reasonable assurance of employment, rather than a promise of a specific job, before release on parole.
Comment: None.
Protocols: Written policy and procedure.
Process Indicators: Offender records. Staff interviews. Offender interviews.
2D-6 (Ref. 3-3197) The releasing agency participates in programs that include provisions for graduated or partial release.
Comment: None.
Protocols: Written policy and procedure.
Process Indicators: Offender records.

2D-7 (Ref. 3-3200) The releasing agency provides funds and encourages the use of community residential centers to parole staff for pre-release programs and to parolees for crisis situations.
Comment: None.
Protocols: Written policy and procedure. Agency budget.
Process Indicators: Financial records. Offender records.
2D-8 (Ref. 3-3205) The releasing agency provides assistance and services to offenders who have been discharged who request such help.
Comment: None.
Protocols: Written policy and procedure.
Process Indicators: Offender records. Offender interviews.


Assessment
2D-9 (Ref. New) An objective assessment of each offender's risk and need specifies the types of programs needed. There are provisions for regular review.
Comment: Regular reviews should be consistent with the complexity of the offender's program and the length of supervision.
Protocols: Written policy and procedure. Risk and needs instruments and forms.
Process Indicators: Offender assessment records. Assessment records.

Targeted Interventions
2D-10 (Ref. New) Offenders are provided with interventions targeted to factors that relate to their individual criminal behavior.
Comment: None.
Protocols: Written policy and procedure. Offender case management and program planning forms and procedures.
Process Indicators: Documentation of program planning.
Program Plan
2D-11 (Ref. New) Staff develop and complete an offender's personalized supervision plan within 14 days of disposition. The plan includes measurable criteria of expected behavior and accomplishments, a time schedule for achieving specific goals, and scheduled progress reviews. The plan is documented with staff and offender signatures. Offenders have input into planning, problem solving, and decision making related to their participation in the program.
Comment: To provide individualized care, a personalized plan for each offender should be developed.
Protocols: Written policy and procedure. Format for offender supervision plan. Offender handbook/rules.
Process Indicators: Signed offender supervision plans. Offender records. Documentation of offender participation.
2D-12 (Ref. New) Any change in a personalized supervision plan is reviewed and discussed with the offender. This review is dated and documented by staff and offender signatures.
Comment: None.
Protocols: Written policy and procedure. Offender handbook/rules.
Process Indicators: Signed and dated review documentation.
Offender Progress
2D-13 (Ref. New) Offender progress in the program is measured through objective assessment at least every six months and at discharge. The outcome of each review is documented.
Comment: None.
Protocols: Written policy and procedure. Staff meeting schedule.
Process Indicators: Records of staff meetings. Documentation of plan review. Offender records.
Drug Testing
2D-14 (Ref. New) If the agency operates a drug testing program, procedures provide instructions for the collection and processing of samples, the interpretation of results and the response to violations.
Comment: None.
Protocols: Written policy and procedure. Written instructions.
Process Indicators: Offender records.
PERFORMANCE STANDARD
2E. Offenders comply with all conditions of the court or releasing authority.
Outcome Measures:
(1) Number of victims re-victimized by the same offender during past 12 months ÷ Average number of offenders under supervision in the past 12 months
(2) Number of offenders who violated special condition orders to “stay away from” or “no contact with” or “no violence toward” during the past 12 months ÷ Average number of offenders under supervision in the past 12 months
(3) Number of offenders who paid ordered restitution in full in the past 12 months ÷ Number of offenders who were under orders to pay restitution in the past 12 months
(4) Number of offenders whose cases were closed with partial payment of restitution in the past 12 months ÷ Number of offenders who were under orders to pay restitution in the past 12 months
(5) Number of offenders whose cases were closed with no restitution payments made in the past 12 months ÷ Number of offenders who were under orders to pay restitution in the past 12 monthsEXPECTED PRACTICES
2E-1 (Ref. New) Offenders are required by the agency to comply with all aspects of their sentence.
Comment: None.
Protocols: Written policy and procedure. Offender handbook/rules.
Process Indicators: Offender interviews. Offender records. PERFORMANCE STANDARD
2F. Offenders take responsibility for their actions.
Outcome Measures:
(1) Number of offenders discharged in the past 12 months who made regular payments toward their restitution obligations ) Number of offenders who had restitution obligations in the past 12 months
(2) Number of offenders who satisfy their court cost/fines obligations in the past 12 months ) Number of offenders who had court cost/fine obligations in the past 12 months
(3) Total amount of restitution paid by offenders in the past 12 months ∏ Average agency caseload for the past 12 months
(4) Total number of hours of community service donated by offenders in the past 12 months ∏ Average agency caseload for the past 12 months
(5) Total number of offenders who participated in restitution in the past 12 months ∏ Average agency caseload for the past 12 months
(6) Total number of offenders who participated in community service work in the past 12 months ∏ Average agency caseload for the past 12 months
(7) Total number of offenders who participated in victim awareness programs in the past 12 months ∏ Average agency caseload for the past 12 months
(8) Total amount of restitution paid by offenders in the past 12 months ∏ Average agency caseload for the past 12 months
(9) Total number of hours delivered by offenders who participated in community service work in the past 12 months ∏ Average agency caseload for the past 12 months
See also 2E Outcome Measures
EXPECTED PRACTICES
2F-1 (Ref. New) The agency provides services and opportunities that encourage offenders to take responsibility for their actions. Opportunities are based upon victim and community input and are fashioned in a way that seeks to ameliorate the harm done.
Comment: Opportunities may include paying restitution, performing community service hours, and paying court obligations such as fines and court costs.
Protocols: Written policy and procedure. Offender handbook/rules. Restorative justice program.
Process Indicators: Offender records. Documentation of restitution paid, community service provided. Documentation of satisfaction of offender obligations (e.g. fines, court costs, family support).
2F-2 (Ref. New) The agency provides services and opportunities that encourage offenders make restitution to the victims of their crime(s) and/or to the community.
Comment: None.
Protocols: Written policy and procedure. Restorative justice program.
Process Indicators: Offender records. Documentation of restitution paid. Documentation of community service provided.
PERFORMANCE STANDARD
2G. Offenders are treated fairly.
Outcome Measures:
(1) Number of offender grievances regarding discrimination in the past 12 months ∏ Average agency caseload for the past 12 months
(2) Number of offender grievances regarding discrimination resolved in favor of offenders in the past 12 months ∏ Total number of offender grievances filed regarding discrimination in the past 12 months
(3) Number of grievances resolved in favor of offenders in the past 12 months ∏ Average agency caseload for the past 12 months
(4) Number of grievances resolved in favor of offenders in the past 12 months ) Total number of grievances filed in the past 12 months
(5) Number of lawsuits filed against the agency by offenders in the past 12 months ÷ Average agency caseload in the past 12 months
(6) Number of offender lawsuits that were resolved in favor of the agency in the past 12 months ÷ Number of offender lawsuits resolved in the past 12 months
(7) Number of formal offender violation of probation and parole decisions that were are appealed in the past 12 months ) Total number of decisions made in the past 12 months
(8) Number of appealed violation of probation and parole decisions decided in favor of the offender in the past 12 months ) Total number of decisions made in the past 12 months
(9) Number of offender grievances in the past 12 months ∏ Average agency caseload for the past 12 months
(10) Number of offender grievances resolved in favor of offenders in the past 12 months ∏ Total number of offender grievances filed in the past 12 monthsEXPECTED PRACTICES
2G-1 (Ref. New) Offenders are not subjected to any form of harassment.
Comment: None.
Protocols: Written policy and procedure.
Process Indicators: Interviews. Grievances.
2G-2 (Ref. 3-3179) A grievance procedure that includes at least one level of appeal is available to all offenders. The grievance procedure is evaluated at least annually to determine its efficiency and effectiveness. The quantity and nature of offender grievances are aggregated and analyzed annually. All offenders are informed of the grievance program available to them at the time of the initial interview.
Comment: A grievance procedure is an administrative means for the expression and resolution of offender problems. Analysis of grievances allows the facility to identify problem areas and to take corrective action in order to prevent grievances.
Protocols: Written policy and procedure. Offender handbook/rules. Grievance procedures.
Process Indicators: Offender records. Documentation of grievances. Documentation of annual review and analysis.
2G-3 ( Ref New) Offenders are not subjected to discrimination based on an offender's race, religion, national origin, gender, sexual orientation, disability, or political views.
Comment: Offenders should be assured equal opportunities to participate in all activities, programs. services, and programs.
Protocols: Written policy and procedure. Offender handbook/rules.
Process Indicators: Offender program plans. Offender records.
3. AGENCY
GOAL: Administer and manage the agency in a professional and responsible manner, consistent with legal requirements.PERFORMANCE STANDARD
3A. Staff, contractors, interns, and volunteers perform duties properly.
Outcome Measures:
(1) Number of grievances against staff alleging improper conduct that were upheld or found valid in the past 12 months ∏ Average daily agency caseload for the past 12 months
(2) Number of grievances against staff alleging improper conduct that were upheld or found valid in the past 12 months ∏ Number of grievances alleging improper staff conduct filed in the past 12 months
(3) Number of court decisions that found staff had acted improperly in the past 12 months ∏ Average daily agency caseload for the past 12 months
(4) Number of court decisions that found staff had acted improperly in the past 12 months ∏ Number of court decisions about staff decided in the past 12 months
(5) Number of administrative decisions finding that staff acted improperly in the past 12 months ∏ Average daily agency caseload for the past 12 months
(6) Number of professional development events attended by professional staff in the past 12 months ∏ Number of full-time equivalent professional staff positions in the past 12 months
EXPECTED PRACTICES
Qualifications
3A-1 (Ref. 3-3049) An entry-level probation or parole officer possesses a minimum of a bachelor's degree. Officers hired before the publication date of these standards may complete a career development program that includes work-related experience, training, or college credits providing a level of achievement that is equivalent to a bachelor's degree.
Comment: None.
Protocols: Written policy and procedure. Job descriptions.
Process Indicators: Staff records.
Criminal Record Check
3A-2 (Ref. 3-3058) In accordance with state and federal laws, a criminal record check is conducted on all new or prospective employees, contract personnel, interns, and volunteers to ascertain whether there may be criminal convictions that would affect job performance or delivery of services.
Comment: None.
Protocols: Written policy and procedure.
Process Indicators: Staff/contractor/intern/volunteer records.
Physical Examination
3A-3 (Ref. 3-3059) Employees whose jobs involve use of force or include power of arrest, receive a physical examination prior to job assignment.
Comment: None.
Protocols: Written policy and procedure
Process Indicators: Staff records

Orientation
3A-4 (Ref. 3-3082) All new full-time employees receive at least 40 hours of orientation before undertaking their assignments. Orientation includes at a minimum the following: orientation to the mission goals, policies, and procedures of the agency; working conditions and regulations; employees' rights and responsibilities; code of ethics; an overview of the criminal justice system; and the particular job requirements
Comment: None.
Protocols: Written policy and procedure. Orientation curriculum and materials.
Process Indicators: Staff interviews.

Training and Staff Development
Coordination and Supervision
3A-5 (Ref. 3-3072) The agency's training program for all employees is specifically planned, coordinated, and supervised by a qualified employee at the supervisory level, and is reviewed annually.
Comment: None.
Protocols: Written policy and procedure. Job descriptions.
Process Indicators: Agency records. Documentation of annual review.
3A-6 (Ref. 3-3073) Training programs are based on needs assessment and a job/task analysis, incorporate measurable performance-based learning objectives, and are updated annually.
Comment: None.
Protocols: Written policy and procedure. Job/task analysis format.
Process Indicators: Agency records. Documentation of annual review.
3A-7 (Ref. 3-3074) At a minimum, training personnel complete a 40-hour train-the-trainers course. All persons who deliver training receive instruction in adult learning theory.
Comment: None.
Protocols: Written policy and procedure. Training curriculum and materials.
Process Indicators: Staff records. Training records.
3A-8 (Ref. 3-3075) The training curriculum is developed based on clear, concise, and measurable written statements of intended learning outcomes. The content and instructional methods selected for a training program are consistent with the stated learning objectives, sequenced to facilitate learning, and incorporate strategies to evaluate the learning.
Comment: None.
Protocols: Written policy and procedure. Curriculum format.
Process Indicators: Agency records. Training records.
3A-9 (Ref. 3-3077) The agency administrator annually assesses personnel needs and plans for recruitment, training and staff development.
Comment: None.
Protocols: Written policy and procedure. Recruitment, training and staff development plans.
Process Indicators: Agency records. Documentation of annual review.
Training
Task Analysis
3A-10 (Ref. New) The agency uses a statistically-valid job/task analysis to determine the knowledge, skills and abilities needed to perform each job. This analysis is reviewed at least annually and is re-validated at least every three years.
Comment: A job/ task analysis identifies core tasks that comprise each classification of job within the agency. Core tasks are usually determined by the frequency that tasks are implemented and the "criticality" of each task (e.g. the consequences of improperly performing the task).
Protocols: Written policy and procedure. Job/task analysis.
Process Indicators: Agency records. Documentation of annual review.
Agency Training Plan
3A-11 (Ref. New) The agency develops and implements a comprehensive training plan that describes the methods to be used to ensure that each staff member, contractor, intern, and volunteer has the needed knowledge, skills, and abilities to perform their assigned duties. The training plan is reviewed at least annually and is updated as needed.
Comment: The training plan should identify all aspects of training, including, but not limited to: curriculum development; training methods; instructor qualifications; trainee evaluation; and required resources.
Protocols: Written policy and procedure. Training plan.
Process Indicators: Training records. Documentation of annual review.
Individualized Training Plans
3A-12 (Ref. New) The agency assesses the sufficiency of each staff member's knowledge, skills and abilities in terms of the requisites identified in the job/task analysis. An individualized training plan is developed and implemented for each staff member. The plan identifies specific training that is needed for the staff member. The plan is reviewed and revised at least annually.
Comment: Each staff member will bring different knowledge, skills and abilities to the agency. The purpose of the individualized plan is to ensure that every staff member is able to perform the tasks associated with their job duties.
Protocols: Written policy and procedure. Format for individualized plans.
Process Indicators: Staff records. Training records. Documentation of annual review.
Space and Equipment
3A-13 (Ref. 3-3081) Space and equipment is available for required for training and staff development programs.
Comment: None.
Protocols: Written policy and procedure. Facility plans/specifications.
Process Indicators: Observation. Staff interviews.
Training Requirements
3A-14 (Ref. New) All staff receive the training necessary to ensure that they possess the requisite knowledge, skills and abilities before assuming assigned duties. The agency may elect to implement the individualized training plans described in Expected Practice 3A-12, or the agency must implement the required training described in Expected Practices 3A-15 through 3A-17.
Comment: If the agency implements the individualized training plans, the agency does not need to comply with Expected Practices 3A-14 through 3A-17.
Protocols: Written policy and procedure. Training plan(s).
Process Indicators: Training records. Staff records.

Administrative Staff
3A-15 (Ref. 3-3083) All newly-appointed supervisors and managers receive 40 hours of supervisory training within one year of their appointment. This training covers at a minimum the following areas: supervisory skills, general management; labor law; employee-management relations; and relationships with other service agencies. Forty hours of relevant training is received each year thereafter.
Comment: None.
Protocols: Written policy and procedure. Training curriculum and materials.
Process Indicators: Training records. Staff records.
Support Staff
3A-16 (Ref. 3-3084) All clerical/support employees receive 16 hours of training during their first year of employment and at least 16 hours of training each year thereafter.
Comment: None.
Protocols: Written policy and procedure. Training curriculum and materials.
Process Indicators: Training records. Staff records.
Professional Staff
3A-17 (Ref. 3-3085) All probation/parole officers and other professional employees receive 40 hours of training as soon as possible after their appointment but no later than one year, and 40 hours of training each year thereafter.
Comment: None.
Protocols: Written policy and procedure. Training curriculum and materials.
Process Indicators: Training records. Staff records.
Part-time Staff
3A-18 (Ref. 3-3086) All part-time employees working less than 35 hours per week receive training appropriate to their assignment.
Comment: None.
Protocols: Written policy and procedure. Training curriculum and materials.
Process Indicators: Training records. Staff records.
Evaluation of Training
3A-19 (Ref. 3-3078) The agency provides an ongoing formal evaluation of all pre-service, in-service, and specialized training programs, and for an annual written evaluation report.
Comment: None.
Protocols: Written policy and procedure. Evaluation forms and procedures. Annual report.
Process Indicators: Training records. Staff interviews.
Staff Development
Continuing Education
3A-20 (Ref. 3-3099) Employees are encouraged to continue their professional development.
Comment: None.
Protocols: Written policy and procedure.
Process Indicators: Staff records. Documentation of staff education (credit hours earned).
Professional Development
3A-21 (Ref. 3-3100) The agency encourages employees to attend professional meetings, seminars, and similar work-related activities and provides administrative leave and/or reimburses employees for expenses connected with these activities.
Comment: None.
Protocols: Written policy and procedure.
Process Indicators: Documentation of meetings and activities attended.
Specialized Training
Use of Firearms/Less Lethal Weapons
3A-22 (Ref. 3-3087) (MANDATORY) The issuance of, and authorization to carry, firearms or other weapons is governed in writing. This includes the requirements for an approved firearms training course that covers the use of, safety, and care of the weapon and the constraints on its use. All personnel issued authorization to use a weapon must demonstrate competency in its use at least annually.
Comment: None.
Protocols: Written policy and procedure. Training curriculum and materials.
Process Indicators: Staff records. Training records.
3A-23 (Ref 3-3087-1) All personnel authorized to carry a weapon receive a medical/physical evaluation, a mental health screening, and drug and alcohol screening prior to being issued a weapon.
Comment: The term “mental health screening” refers to a review by a qualified, mental health professional of any history of psychological problems and examination of any current psychological problems to determine, with reasonable assurances, that the individual poses no significant risk to themselves or others.
Protocols: Written policy and procedure.
Process Indicators: Staff records
3A-24 (Ref. New) Officers are trained in self defense techniques that are authorized by the agency. Training addresses the use of equipment authorized by the agency.
Comment: None.
Protocols: Written policy and procedure. Training curriculum.
Process Indicators: Staff records. Training records.
Reference Services
3A-25 (Ref. 3-3080) Reference services are available to complement the training and staff development program.
Comment: None.
Protocols: Written policy and procedure.
Process Indicators: Observation. Training records. Staff interviews.
Supervision
3A-26 (Ref. 3-3126) There is a written workload formula that allocates work to field staff and supervisors.
Comment: None.
Protocols: Written policy and procedure. Span of control criteria.
Process Indicators: Agency records.
3A-27 (Ref. 3-3128) Field staff who have caseloads report to a designated supervisor who is trained in the supervisory function.
Comment: None.
Protocols: Written policy and procedure. Job descriptions. Organizational chart.
Process Indicators: Agency records.
3A-28 (Ref. 3-3129) Field supervision is systematically reviewed by the supervisor from both an administrative and case management perspective. The reviews include case reviews, observation, and the provision of feedback to field staff.
Comment: None.
Protocols: Written policy and procedure. Review forms and procedures.
Process Indicators: Agency records. Offender records.
3A-29 (Ref. 3-3127) A full-time supervisor does not supervise more than 5 to 7 field staff members and/or probation/parole officers.
Comment: None.
Protocols: Written policy and procedure. Agency staff roster. Organizational chart.
Process Indicators: Agency records. Staff interviews.
Support Services
3A-30 (Ref. 3-3050) The agency provides the administrative and clerical support needed to accomplish its stated goals.
Comment: None.
Protocols: Written policy and procedure. Agency staff roster.
Process Indicators: Staff interviews.
Channels of Communication
3A-31 (Ref. 3-3021) The agency has a structured communication process that facilitates the timely exchange of information with, and between, all levels of employees.
Comment: None.
Protocols: Written policy and procedure.
Process Indicators: Agency records. Staff interviews.

PERFORMANCE STANDARD
3B. Staff, contractors, interns, and volunteers are protected from harm.
Outcome Measures:

(1) Number of serious injuries to staff in the past 12 months ÷ Average number of full-time equivalent staff in the past 12 monthsEXPECTED PRACTICES
3B-1 (Ref. 3-3092) (MANDATORY) Where officers are authorized to carry firearms and other weapons in the performance of their duties, policy specifies those situations where agency personnel may carry and use these weapons.
Comment: None.
Protocols: Written policy and procedure.
Process Indicators: Agency records. 3B-2 (Ref. 3-3088) (MANDATORY) If staff are authorized to carry firearms and less lethal weapons, procedures govern use, including the follow-ing:
∑ weapons and less lethal weapons are subjected to stringent safety regulations and inspections.
∑ staff to whom firearms and less lethal weapons are issued follow procedures that specify methods for ensuring the security of weapons.
∑ staff are instructed to use deadly force only after other actions have been tried and found ineffective, unless the staff believes that a person's life is immediately threatened.
∑ in the performance of their duty, staff use only firearms and less lethal weapons approved by the parent agency and use them only when directed by or authorized by the director or supervisor in charge.
Comment: None.
Protocols: Written policy and procedure. Inspection forms and procedures. Training curriculum.
Process Indicators: Agency records. Staff records.
3B-3 (Ref. 3-3089) (MANDATORY) Prior to assignment to a position involving possible use of a firearm and less lethal weapons, any staff member authorized to carry firearms and less lethal weapons receives appropriate firearm training. This training covers the use, safety, care, and constraints involved in the use of firearms and less lethal weapons. Staff receive a medical/physical evaluation, a mental health screening, and drug and alcohol screening prior to being issued a weapon.
Comment: None.
Protocols: Written policy and procedure. Training curriculum.
Process Indicators: Staff records. Training records.
3B-4 (Ref. 3-3090) A supervisor may revoke the authorization to carry a firearm and less lethal weapons when reasonable cause exists. If the weapon belongs to the agency, it is seized and secured.
Comment: None.
Protocols: Written policy and procedure.
Process Indicators: Staff interviews. Agency records.
3B-5 (Ref. New) Officers notify the agency of physical and pharmacological conditions that could affect the ability to perform their duties or carry a firearm or other weapon safely. The agency takes steps consistent with law with respect to such disclosure and adopts and implements necessary procedures to safeguard such information.
Comment: None.
Protocols: Written policy and procedure.
Process Indicators: Staff records.
3B-6 (Ref. 3-3093) All officers are trained to implement the continuum of control that is authorized by the agency. Training addresses the practices and use of equipment authorized by the agency.
Comment: None.
Protocols: Written policy and procedure. Training curriculum.
Process Indicators: Staff records. Training records.
Arrest
3B-7 (Ref. 3-3096) A pre-arrest briefing is conducted prior to a planned arrest, with all officers and other law enforcement agencies participating in the action.
Comment: None.
Protocols: Written policy and procedure.
Process Indicators: Agency records.
3B-8 (Ref. 3-3170) The types of action required to locate and recover absconders are specified by the agency and are disseminated to all staff members.
Comment: None.
Protocols: Written policy and procedure.
Process Indicators: Agency records.



PERFORMANCE STANDARD
3C. Staff, contractors, interns, and volunteers are professional, ethical and accountable.
Outcome Measures:
(1) Number of incidents in which staff was found to have acted in violation of agency policy in the past 12 months ∏ Number of full-time equivalent staff positions in the past 12 months
(2) Number of staff terminated for conduct violations in the past 12 months ∏ Number of full-time equivalent staff positions in the past 12 months
(3) Number of offender grievances attributed to improper staff conduct that were upheld in the past 12 months ∏ Number of offenders grievances alleging improper staff conduct filed in the past 12 months
(4) Number of offender grievances attributed to improper staff conduct that were determined to be unfounded in the past 12 months ∏ Number of offender grievances attributed to improper staff conduct filed in the past 12 months
(5) [Where staff are tested] Number of staff, contractor, intern, and volunteer substance abuse tests passed in the past 12 months ∏ Number of substance abuse tests administered in the past 12 months
See also Outcome measures for 3A.EXPECTED PRACTICES
Drug Free Workplace
3C-1 (Ref. 3-3060) The agency supports a drug-free workplace for all employees. The agency's drug-free workplace policy is reviewed at least annually and includes at a minimum the following:
∑ prohibition of the use of illegal drugs
∑ prohibition of possession of any illegal drug except in the performance of official duties
∑ the procedures to be used to ensure compliance
∑ the opportunities available for treatment and/or counseling for drug abuse
∑ the penalties for violation of the policy
Comment: None.
Protocols: Written policy and procedure. Drug-free workplace policy. Training curriculum.
Process Indicators: Staff records. Staff interviews.

Code of Ethics
3C-2 (Ref. 3-3068 and 3-3069) The agency has a written code of ethics that it provides to all staff. At a minimum, the code:
∑ prohibits staff, contractors, interns, and volunteers from using their official positions to secure privileges for themselves or others;
∑ prohibits staff, contractors, interns, and volunteers from engaging in activities that constitute a conflict of interest;
∑ prohibits staff, contractors, interns, and volunteers from accepting any gift or gratuity from, or engaging in personal business transactions with an offender or an offenders immediate family; and
∑ defines acceptable behavior in the areas of campaigning, lobbying or political activities.
All staff, contractors, interns, and volunteers are held accountable for compliance with the code of ethics.
Comment: None.
Protocols: Written policy and procedure. Code of Ethics.
Process Indicators: Staff records. Staff interviews.
Confidentiality of Information
3C-3 (Ref. 3-3070) There is a policy and procedure that describes the agency's policies on confidentiality of information, consistent with state and federal laws and regulations. The policy and procedure is distributed to all staff, contractors, interns, volunteers and others who work with offenders. All staff, contractors, interns, volunteers and others who work with offenders agree to abide by the policy and procedure.
Comment: None.
Protocols: Written policy and procedure. Confidentiality policy.
Process Indicators: Staff records. Agency records.
PERFORMANCE STANDARD
3D. The agency is administered efficiently and responsibly.
Outcome Measures:
(1) Number of material audit findings by an independent financial auditor at the conclusion of the last audit
(2) Number of objectives achieved in the past 12 months ∏ Number of objectives established for the past 12 monthsEXPECTED PRACTICES
General Administration
3D-1 (Ref. 3-3001) The assignment of organizational responsibility for agency field supervision is specified by law and/or court order.
Comment: None.
Protocols: Written policy and procedure. Authority (law or order).
Process Indicators: Agency records.
3D-2 (Ref. 3-3002) Responsibilities and functions of the agency are specified by law or are administratively defined.
Comment: None.
Protocols: Written policy and procedure.
Process Indicators: Agency records.
3D-3 (Ref. 3-3003) The agency is administered by a single administrative officer whose authority, responsibility and function are specified by law or are administratively defined by the parent organization.
Comment: None.
Protocols: Written policy and procedure. Organizational chart. Job Descriptions.
Process Indicators: Agency records.
Table of Organization
3D-4 (Ref. 3-3016) There is a written description and organizational chart that reflects the current structure of authority, responsibility, and accountability within the agency. These documents are reviewed at least annually and are updated as needed.
Comment: None.
Protocols: Written policy and procedure. Organizational chart.
Process Indicators: Agency records. Documentation of annual review.


Policy and Goal Formulation
3D-5 (Ref. 3-3008) A statement of the mission and long-range goals of the agency is prepared by the agency administrator and is reviewed at least annually and updated if needed. The agency documents practical and specific plans to achieve its long-range goals.
Comment: None.
Protocols: Written policy and procedure. Mission statement. Goals and plan.
Process Indicators: Agency records. Documentation of annual review.
3D-6 (Ref. 3-3005 and 3-3007) The agency administrator, with input from staff, is responsible for formulating goals, establishing policies and priorities related to them, and translating the goals into measurable objectives for accomplishment by field staff. This planning process addresses the supervision and service needs of the agency.
Comment: None.
Protocols: Written policy and procedure. Plan, objectives.
Process Indicators: Agency records.
3D-7 (Ref. 3-3006 and 3-3005) The agency can document that all levels of staff participate in the development and review of organizational mission, goals, policies, procedures, rules and regulations.
Comment: None.
Protocols: Written policy and procedure.
Process Indicators: Documentation of staff participation.
3D-8 (Ref. 3-3115) There is an internal system for assessing achievement of goals and objectives that documents findings. Performance is reviewed at least every six months. As necessary, program changes are implemented in response to findings.
Comment: None.
Protocols: Written policy and procedure. Internal monitoring system and forms. Inspection forms.
Process Indicators: Inspection/internal audit reports. Documentation of corrective actions taken.
Monitoring and Assessment
3D-9 (Ref. 3-3023) There is an internal system to monitor operations and programs through inspections and reviews at least annually by the agency administrator or designated staff.
Comment: None.
Protocols: Written policy and procedure. Internal monitoring system.
Process Indicators: Agency records. Documentation of annual review.
3D-10 (Ref. 3-3024) The agency administrator publishes a report at least biennially, that includes goals, objectives, outcome measurements, programs, budget, major developments, and plans. The report also describes services furnished to the courts, releasing authority and offenders.
Comment: None.
Protocols: Written policy and procedure. Annual report format.
Process Indicators: Agency records (annual report).
Facilities and Equipment
3D-11 (Ref. 3-3004) Field offices are located in areas, with community input, that are optimally accessible to offenders' places of residence and employment, to transportation networks and to other community agencies.
Comment: Maximum involvement with the community is vital to the success of field supervision programs. The strategic location and appropriate design of facilities maximize staff performance and service delivery.
Protocols: Written policy and procedure.
Process Indicators: Observation. Staff interviews. Offender interviews.
3D-12 (Ref. 3-3025) Staff are provided with equipment necessary to perform their assigned duties. All equipment is maintained in good working order and is replaced as needed. At least annually, there is a review of needs.
Comment: None.
Protocols: Written policy and procedure. Equipment inventory.
Process Indicators: Observation. Agency records. Staff interviews. Documentation of annual review.
3D-13 (Ref. 3-3026) The agency provides adequate facilities for all agency operations. Facility needs are reviewed at least annually.
Comment: None.
Protocols: Written policy and procedure.
Process Indicators: Observation. Agency records. Staff interviews. Documentation of annual review.
Qualifications
3D-14 (Ref. 3-3013) The qualifications, authority, tenure and responsibilities of the agency administrator are specified by law, rules or regulations, or are otherwise administratively defined.
Comment: None.
Protocols: Written policy and procedure. Administrator authority.
Process Indicators: Agency records.
3D-15 (Ref. 3-3014) The qualifications of the agency administrator are specified in writing by the appointing authority and include, at a minimum, a bachelor's degree, five years of related experience, and demonstrated administrative ability and leadership.
Comment: None.
Protocols: Written policy and procedure. Job description and qualifications.
Process Indicators: Staff records.
3D-16 (Ref. 3-3018) The agency collaborates with colleges and universities to provide educational opportunities, internships and research.
Comment: None.
Protocols: Written policy and procedure.
Process Indicators: Documentation of collaboration.
Performance Reviews
3D-17 (Ref. 3-3061) There is a written annual performance review of all employees that is based upon defined criteria and is reviewed and discussed with the employee. This review includes a review of the knowledge, skills and abilities that are required for each employee's job classification, and identification of additional education or training that is needed.
Comment: None.
Protocols: Written policy and procedure. Performance review format and procedures.
Process Indicators: Staff records. Documentation of review with employee.
3D-18 (Ref. New) Employee performance is evaluated initially after six months of employment and at least annually thereafter.
Comment. None.
Protocols: Written policy and procedure. Employee evaluation plan and forms.
Process Indicators: Staff records.
3D-19 (Ref. 3-3063) Staff are made aware of opportunities for career advancement.
Comment: None.
Protocols: Written policy and procedure.
Process Indicators: Staff interviews. Agency records.
Legal Counsel
3D-20 (Ref. 3-3031) Legal assistance is available to the agency for the purposes of formulating agency policy, advising on individual cases, interpreting case law and representing the agency, as required, before courts and other appropriate bodies.
Comment: None.
Protocols: Written policy and procedure.
Process Indicators: Staff interview. Agency records.
Fiscal Management
Fiscal Control
3D-21 (Ref. 3-3037, 3-3041 and 3-3042) The agency budget is sufficient to enable the agency to meet its objectives, consistent with its mission and goals. Planning, budgeting and program management functions are interrelated, and all are linked directly with objectives. Revisions are made as necessary.
Comment: None.
Protocols: Written policy and procedure. Budget.
Process Indicators: Agency records (budget and budget development process). Staff interviews. Documentation of revisions.
3D-22 (Ref. 3-3038) The agency administrator is responsible for budget control and preparation, including expenditure and monitoring.
Comment: None.
Protocols: Written policy and procedure. Job description.
Process Indicators: Agency records.
3D-23 (Ref. 3-3039) The agency has written fiscal policies and procedures that include, at a minimum: internal controls, petty cash, indemnification, signature control of checks, and employee expense reimbursement.
Comment: None.
Protocols: Written policy and procedure. Fiscal procedures.
Process Indicators: Agency records.
Budget Preparation
3D-24 (Ref. 3-3040) The agency administrator participates in budget hearings and presents justification to support the budget request.
Comment: None.
Protocols: Written policy and procedure. Budget format.
Process Indicators: Agency records (budget). Documentation of administrator efforts to justify the budget request.
Cash Management
3D-25 (Ref. 3-3043) When funds are collected from offenders, the agency administrator is responsible for ensuring the appropriate collection, safeguarding and disbursement of all monies, consistent with law, policies, and directives. Procedures regarding the collection, safeguarding and disbursement of these monies are made known to staff and reviewed annually.
Comment: None.
Protocols: Written policy and procedure.
Process Indicators: Agency records. Staff interviews. Documentation of annual review.
Independent Audit
3D-26 (Ref. 3-3044) Internal audits of the agency's fiscal activities are conducted at least annually and independent audits are conducted at a time period stipulated by applicable law, but not to exceed three years.
Comment: None.
Protocols: Written policy and procedure. Applicable law.
Process Indicators: Audit reports.
Insurance and Indemnification
3D-27 (Ref. 3-3046) Employee insurance coverage and indemnification is provided to include, at a minimum: workers' compensation, civil liability, liability for agency vehicles, blanket bond, and group medical.
Comment: None.
Protocols: Written policy and procedure.
Process Indicators: Insurance policies and other documentation of coverage. Staff records.
Case Records
Case Record Management
3D-28 (Ref. 3-3101) Record management practices include, but are not limited to: the establishment, utilization, content, privacy, security, preservation, and a schedule for retention of inactive case records and destruction.
Comment: None.
Protocols: Written policy and procedure.
Process Indicators: Agency records. Observation.
3D-29 (Ref. 3-3102) The agency maintains written and/or electronic records of case plan decisions, events and activities regarding offenders.
Comment: None.
Protocols: Written policy and procedure. Record-keeping forms, formats and protocols.
Process Indicators: Agency records. Offender records.

3D-30 (Ref. 3-3103) Contents of case records are separated and identified according to an established format.
Comment: None.
Protocols: Written policy and procedure.
Process Indicators: Offender records.
Information Systems and Research
Information Systems
3D-31 (Ref. 3-3104) The agency has access to, and uses, an organized system of information retrieval and review that is part of an overall management, planning, and research capacity.
Comment: None.
Protocols: Written policy and procedure. Information system forms, format and protocols.
Process Indicators: Agency records. Documentation of use of information for management, planning and research.

3D-32 (Ref. 3-3105) The agency administrator establishes or participates in the establishment of policies and procedures for collecting, recording, organizing, processing and reporting field services data developed for management information purposes. These policies are reviewed at least annually.
Comment: None.
Protocols: Written policy and procedure. Data collection forms and protocols.
Process Indicators: Agency records. Documentation of participation and annual review.
3D-33 (Ref. 3-3106) The agency administrator establishes a procedure for receiving, at a minimum, quarterly reports from those individuals in charge of the information system and research program.
Comment: None.
Protocols: Written policy and procedure. Quarterly reports.
Process Indicators: Agency records (quarterly reports.)
Sharing of Information
3D-34 (Ref. 3-3107) Consistent with law and regulations, the agency collaborates with other justice system agencies and human service agencies in information gathering, exchange and standardization.
Comment: None.
Protocols: Written policy and procedure.
Process Indicators: Agency records. Documentation of collaboration.
Research
3D-35 (Ref. 3-3109) The agency supports research relevant to its programs.
Comment: None.
Protocols: Written policy and procedure.
Process Indicators: Staff interviews. Agency records.
The following Expected Practices apply to agencies that conduct research.
Conduct of Research
3D-36 (Ref. 3-3110) The agency administrator and designated staff participate with researchers in deciding what questions should be addressed, what data should be gathered, and provide input into how that data should be presented.
Comment: None.
Protocols: Written policy and procedure.
Process Indicators: Agency records. Documentation of participation.
3D-37 (Ref. 3-3111, 3112 and 3113) The agency administrator reviews and approves all research projects prior to their implementation. The agency administrator approves a plan for the security of the information and data collection system, including verification, and access to and protection of the data. The plan must provide for routine data protection. The method for dissemination of research findings is specified in writing.
Comment: None.
Protocols: Written policy and procedure. Information security plan. Dissemination plan.
Process Indicators: Agency records.

PERFORMANCE STANDARD
3E. Staff, contractors, interns, and volunteers are treated fairly.
Outcome Measures:
(1) Number of grievances filed by staff in the past 12 months ∏ Number of full-time equivalent staff positions in the past 12 months.
(2) Number of staff grievances decided in favor of staff in the past 12 months ∏ Total number of staff grievances in the past 12 months
(3) Total number of years of staff members' experience in the field as of the end of the last calendar year ∏ Number of staff at the end of the last calendar year (e.g. average number of years experience)
(4) Number of staff termination or demotion hearings in which the agency decision was upheld in the past 12 months ∏ Number of staff termination or demotion hearings requested in the past 12 months
(5) Number of staff who left employment for any reason in the past 12 months ÷ Average number of full-time equivalent staff positions in the past 12 monthsEXPECTED PRACTICES
Working Conditions
3E-1 (Ref. New) Staff, contractors, interns, and volunteers are provided with a safe, healthful, and comfortable work setting.
Comment: None.
Protocols: Written policy and procedure.
Process Indicators: Observation. Staff interviews.
Personnel
Personnel Policy Manual
3E-2 (Ref. 3-3047) There is a personnel policy manual that covers the following subjects:
∑ organization chart
∑ recruitment procedures
∑ equal employment opportunity provisions
∑ job qualifications, descriptions and responsibilities
∑ basis for determining salaries
∑ benefits, holidays, leave and work hours
∑ personnel records
∑ employee evaluation
∑ staff development including in-service training
∑ promotion
∑ physical fitness policy
∑ retirement, resignation and termination
∑ laws relating to political activities
∑ employee-management relations
∑ disciplinary procedures
∑ grievance procedures
∑ insurance and professional liability requirements
A copy of this manual is available to each employee. The manual is updated at least annually and changes are provided to all employees.
Comment: The manual may be made available to employees in various ways, such as giving a copy to each employee, placing copies in a staff library, and posting the manual on an internal website or intranet.
Protocols: Written policy and procedure. Personnel policy manual.
Process Indicators: Observation (availability to staff). Agency records.
3E-3 (Ref. 3-3048) The agency administrator reviews the agency's internal personnel policies annually and submits recommended changes to the governing authority or parent agency.
Comment: None.
Protocols: Written policy and procedure.
Process Indicators: Documentation of annual review and recommendations.
Equal Employment Opportunity
3E-4 (Ref. 3-3051) There is a mechanism to process requests for reasonable accommodation to the known physical and/or mental impairments of a qualified individual with a disability, either an applicant or an employee. The accommodation need not be granted if it would impose an undue hardship or direct threat.
Comment: None.
Protocols: Written policy and procedure.
Process Indicators: Agency records.
3E-5 (Ref. 3-3052) Equal employment opportunities exist for all positions.
Comment: None.
Protocols: Written policy and procedure.
Process Indicators: Agency records. Staff interviews. Staff grievances.
3E-6 (Ref. 3-3053) Sexual harassment is prohibited.
Comment: None.
Protocols: Written policy and procedure.
Process Indicators: Staff interviews. Agency records. Staff grievances.
3E-7 (Ref. 3-3053) Staff are not subject to unlawful discrimination.
Comment: None.
Protocols: Written policy and procedure.
Process Indicators: Staff interviews. Agency records. Staff grievances.
3E-8 (Ref. 3-3054) When permitted by law, employment of qualified ex-offenders is not prohibited.
Comment: None.
Protocols: Written policy and procedure.
Process Indicators: Staff records.
Selection and Promotion
3E-9 (Ref. 3-3055) Selection, retention and promotion of all personnel consistent with law and is governed by written procedure.
Comment: None.
Protocols: Written policy and procedure. Personnel policy manual.
Process Indicators: Agency records.
3E-10 (Ref. 3-3056) Hiring and promotional practices are structured to select the best suited candidate. There are no artificial barriers to lateral entry.
Comment: None.
Protocols: Written policy and procedure. Personnel policy manual.
Process Indicators: Staff records. Agency records.
Probationary Term
3E-11 (Ref. 3-3057) Employees are initially appointed for a probationary term of not less than six months, but no longer than one year.
Comment: None.
Protocols: Written policy and procedure. Personnel policy manual.
Process Indicators: Agency records. Staff records.
Compensation and Benefits
3E-12 (Ref. 3-3064) Salary levels and employee benefits for all field agency personnel are competitive with those of other components of the criminal justice system as well as with comparable occupational groups.
Comment: None.
Protocols: Written policy and procedure. Compensation plan.
Process Indicators: Staff interviews. Compensation records. Comparative compensation data.
3E-13 (Ref. 3-3065) Employees are reimbursed for all approved expenses incurred in the performance of their duties.
Comment: None.
Protocols: Written policy and procedure.
Process Indicators: Agency records.
Personnel Files
3E-14 (Ref. 3-3066) The agency maintains a current, accurate, confidential personnel record on each employee. Information obtained as part of a required medical examination (and/or inquiry) regarding the medical condition or history of applicants and employees is collected and maintained on separate forms and in separate medical files and treated as a confidential medical record.
Comment: None.
Protocols: Written policy and procedure. Format for personnel records.
Process Indicators: Staff records. Observation (provisions for confidentiality).
3E-15 (Ref. 3-3067) Employees are permitted to challenge information in their personnel file and have it corrected or removed if it is proven inaccurate.
Comment: None.
Protocols: Written policy and procedure.
Process Indicators: Staff interviews. Staff records.
Employee Assistance Program
3E-16 (Ref. 3-3071) The agency provides an employee assistance program.
Comment: None.
Protocols: Written policy and procedure. Description of employee assistance program.
Process Indicators: Agency records. Staff records.
Grievances
3E-17 (Ref. 3-3062) Employees on permanent status have the right to request and exhaust grievance and appeals procedures, including an open and formal hearing, prior to their termination or demotion or other adverse personnel action in accordance with applicable State/Federal law or regulations to ensure fairness.
Comment: None.
Protocols: Written policy and procedure. Personnel policy manual.
Process Indicators: Agency records.
Employee Discipline
3E-1 (Ref. New) Employee disciplinary procedures include provisions for corrective action, progressive discipline, and limited due process.
Comment: None.
Protocols: Written policy and procedure. Employee discipline procedure.
Process Indicators: Agency records. Staff records.
3E-1 (Ref. New) Termination or demotion is permitted only for a good cause and, if requested, subsequent to a formal hearing on specific charges.
Comment: None.
Protocols: Written policy and procedure. Grievance procedure. Personnel rules and regulations.
Process Indicators: Staff records. Documentation from hearings.


PERFORMANCE STANDARD
3F. A safe and secure setting is provided for staff, contractors, interns, and volunteers.
Outcome Measures:
(1) Number of injuries resulting from fires requiring medical treatment in the past 12 months ÷ Average full-time equivalent staff in the past 12 months
(2) Number of fires that resulted in property damage in the past 12 months ÷ Average full-time equivalent staff in the past 12 months
(3) Amount ($) of property damage from fire in the past 12 months ÷ Average full-time equivalent staff in the past 12 months
(4) Number of code violations cited in the past 12 months
(5) Number of code violations cited in the past 12 months ÷ Average full-time equivalent staff in the past 12 months
(6) Number of incidents involving toxic or caustic materials in the past 12 months ÷ Average full-time equivalent staff in the past 12 monthsEXPECTED PRACTICES
3F-1 (Ref. New) Emergencies are analyzed and the results used to initiate or revise policy and/or procedure to prevent future occurrences.
Comment: None.
Protocols: Written policy and procedure. List of key indicators for which data is collected. Data collection forms and procedures.
Process Indicators: Analysis of data. Records of actions taken to prevent future events.
3F-2 (MANDATORY) (Ref. New) There is a written emergency plan, which includes an evacuation plan, to be used in the event of a major emergency. The plan is reviewed annually and updated if necessary. The plan includes the following:
∑ location of building/room floor plan
∑ use of exit signs and directional arrows that are easily seen and read
∑ location of publicly posted plan
Comment: The evacuation plan also should specify evacuation routes, and provision for medical care or hospital transportation for injured offenders or staff.
Protocols: Written policy and procedure. Facility plan/specifications. Written emergency plan.
Process Indicators: Certification of emergency plan approval. Documentation of annual review.
3F-3 (MANDATORY) (Ref. New) The agency secures an annual safety inspection by the authority having jurisdiction or other qualified person(s).
Comment: None.
Protocols: Written policy and procedure.
Process Indicators: Copy of annual inspection.
3F-4 (MANDATORY) (Ref. New) Flammable materials are handled and stored safely:
∑ Where smoking is permitted, provide noncombustible receptacles for smoking materials and separate containers for other combustible refuse at accessible locations throughout each agency facility.
∑ Special containers are provided for flammable liquids and for rags used with flammable liquids.
∑ Receptacles and containers are emptied and cleaned daily.
Comment: None.
Protocols: Written policy and procedure. Facility plans/specifications. Staff training curriculum. Internal inspection forms.
Process Indicators: Staff training records. Internal inspection results. Documentation of incidents that involve flammable materials.
3F-5 (MANDATORY) (Ref. New) Use and storage of all toxic and caustic materials is controlled.
Comment: None.
Protocols: Written policy and procedure. Internal inspection forms. Facility plans/specifications.
Process Indicators: Results of internal inspections. Reports from inspections by external authorities.
3F-6 (Ref. NEW) Staff is trained in the proper use and safe handling of toxic and caustic materials.
Comment: None.
Protocols: Written policy and procedure. Training curriculum for staff.
Process Indicators: Staff training records.
PERFORMANCE STANDARD
3G. Staff, contractors, interns, and volunteers are protected from harm. Physical force is used only in instances of self-protection, protection of the offender or others, and the prevention of property damage.
Outcome Measures:
(1) Number of grievances against staff alleging improper use of force upheld or found valid in the past 12 months ∏ Average daily agency caseload for the past 12 months
(2) Number of grievances against staff alleging improper use of force upheld or found valid in the past 12 months ∏ Number of grievances alleging improper use of force filed in the past 12 months
(3) Number of court decisions against staff alleging improper use of force upheld or found valid in the past 12 months ∏ Average daily agency caseload for the past 12 months
(4) Number of court decisions that found staff had used improper force in the past 12 months ∏ Number of court decisions alleging improper use of force filed in the past 12 months
(5) Number of administrative decisions finding that staff used improper force in the past 12 months ∏ Average daily agency caseload for the past 12 months
(6) Number of injuries that required medical attention resulting from staff use of force in the past 12 months ÷ Average daily caseload for the past 12 months EXPECTED PRACTICES
3G-1 (Ref. 3-3175) Physical force is used only in instances of justifiable self-defense, protection of others, and in accordance with appropriate statutory authority. Only the minimum force necessary is employed.
Comment: None.
Protocols: Written policy and procedure.
Process Indicators: Agency records. Incident reports. Staff and offender interviews.
3G-2 (Ref. 3-3176) All incidents involving use of physical force are reported fully, promptly, and in writing to administrative staff for their information and review. All injuries are reported in writing and treated promptly.
Comment: None.
Protocols: Written policy and procedure. Report form.
Process Indicators: Agency records.
3G-3 (Ref. 3-3178) Whenever a situation occurs that could effect the safety of an employee, a special supervision reports is prepared. The report is promptly reviewed and action is taken to reduce the risk.
Comment: An unusual situation during the period of supervision is any occurrence or event that would impact significantly on public safety or probation adjustment.
Protocols: Written policy and procedure. Special supervision report form.
Process Indicators: Agency records. Documentation of action taken.
Transporting Offenders
3G-4 (Ref. 3-3097) When probation/parole officers transport offenders, the officers are equipped with authorized restraining and vehicle safety equipment and are trained in transport procedures before being allowed to transport.
Comment: None.
Protocols: Written policy and procedure. Equipment inventory. Training curriculum.
Process Indicators: Staff records. Agency records. Training records.
Critical Incident Protocol
3G-5 (Ref. 3-3098) The agency has a process for immediate response, investigation, and further action in the event of a critical incident involving any employee.
Comment: The agency should determine its own definition for "critical incident."
Protocols: Written policy and procedure. Critical incident report form.
Process Indicators: Agency records. Documentation of response, investigation and action.


PERFORMANCE STANDARD
3H. Agency vehicles are maintained and operated in a manner that prevents harm to the community, staff and offenders.
Outcome Measures:
(1) Number of accidents resulting in property damage in the past 12 months ÷ Total number of miles driven in the past 12 months unless otherwise noted
(2) Number of accidents resulting in injuries requiring medical treatment for any party in the past 12 months ÷ _ Total number of miles driven in the past 12 months unless otherwise noted
(3) Amount ($) of damage from vehicle accidents in the past 12 months ÷_ Total number of miles driven in the past 12 months unless otherwise notedEXPECTED PRACTICES
3H-1 (Ref. New) An annual safety inspection of all agency vehicles is conducted by qualified individuals and in accordance with state laws for any vehicle that is owned, leased or used in the operation of the agency.
Comment: None.
Protocols: Written policy and procedure. Vehicle log format. Maintenance record format.
Process Indicators: Inspection reports. Completed vehicle logs. Maintenance records and receipts. Reports of vehicle problems/requests for repair or maintenance. Credentials of inspector.
3H-2 (Ref. New) Safety repairs are completed immediately. Vehicles are not used again until repairs are made.
Comment: None.
Protocols: Written policy and procedure. Maintenance record format.
Process Indicators: Maintenance records and receipts. Reports of vehicle problems/requests for repair or maintenance. Documentation that repairs were completed.
3H-3 (Ref. New) Vehicles are operated only by licensed drivers.
Comment: None.
Protocols: Written policy and procedure.
Process Indicators: Employee records (documentation of licensure for all persons authorized or allowed to drive).
3H-4 (Ref. New) Vehicles and drivers are insured in conformance with state laws.
Comment: None.
Protocols: Written policy and procedure. Copies of state laws.
Process Indicators: Insurance policies.