§ 26-16. Operation of nongovernmental residential facilities for the treatment or supervision of offenders.

(a)

General requirements.

(1)

The facility shall designate in writing a Director who is responsible for the day to day management and operation of the facility. The director so designated shall sign the written designation accepting this responsibility. The director shall be responsible for execution of every duty imposed upon the facility, its employees and case managers under this article and sections 26-15 and 26-16. In the event that the designated director is discharged, resigns, or otherwise ceases to accept or perform the responsibilities of director, the facility shall name a new director, complete a new written designation, obtain the new director's signature accepting this responsibility, and provide the same in writing to the director of excise and licenses within thirty (30) days.

(2)

The facility shall obtain and maintain liability insurance covering injuries, damages, and losses to employees, offenders, and third persons caused by the acts or omissions of the facility's director or employees with liability limits not less than one hundred thousand dollars ($100,000.00) per person and five hundred thousand dollars ($500,000.00) per incident.

(3)

The facility shall audit each offender's file no later than sixty (60) days after admission and every six (6) months thereafter to ensure that every duty imposed under this article has been performed and all documentation required by this article is present in the offender's file. A similar audit of each offender's file shall be completed within thirty (30) days after the offender is discharged or expelled from the facility. All such audits shall be documented in the offender's file.

(4)

The facility shall require each parole department referring offenders to the facility to sign a written agreement stating that in the event that any offender referred by the referring agency is expelled from the facility, the referring agency shall either place the offender in another facility or take the offender into the referring agency's custody, and that failure to do so will result in the facility refusing to accept into the facility any offenders referred by the referring agency in the future. A copy of each such signed agreement shall be kept in the policy and procedure manual. The facility shall require each referring agency, other than a parole department, referring offenders to the facility to sign a written agreement stating that in the event that any offender referred by the referring agency is expelled from the facility, the referring agency shall either place the offender in another facility or arrange for the offender to physically report to the probation officer, and that failure to do so will result in the facility refusing to accept into the facility any offenders referred by the referring agency in the future. A copy of each such signed agreement shall be kept in the policy and procedure manual.

(5)

The facility shall be operated in accordance with its policy and procedure manual and this article.

(b)

Policy and procedure manual. The facility shall assemble and maintain a written policy and procedure manual, physically present at the facility. The policy and procedure manual shall be reviewed at least annually by the governing body of the facility and updated. The policy and procedure manual shall not contain any provision which purports to eliminate, reduce, or alter any duty imposed under this article. The policy and procedure manual shall contain at least the following:

(1)

A copy of this article;

(2)

If the facility is operated by a limited partnership, corporation, non-profit corporation, not for profit corporation, limited liability company, or other entity, a copy of the documents creating the facility as a legal entity and providing for its governance (e.g. certificate of incorporation, articles of incorporation and bylaws);

(3)

A written designation of the individual who currently serves as director of the facility along with the director's signature accepting the responsibilities of director, and the director's current address and phone number;

(4)

A description of the purpose, philosophy, programs and services of the facility;

(5)

General operating procedures for the facility;

(6)

Procedures for at least semi-annual internal auditing and self-monitoring to ensure that the facility is complying with this article and the policy and procedure manual;

(7)

A requirement that all documentation be legible, accurate and systematically filed;

(8)

Written criteria for the acceptance or rejection of offenders to the facility;

(9)

Standards and procedures for the discipline and expulsion of offenders who commit crimes while placed in the facility, violate the facility's rules, do not reasonably respond to treatment, or whose behavior or mental status poses a substantial threat to the welfare of employees or others;

(10)

Procedures for dissemination of documentation concerning offenders to the offender's referring agency as required in this article;

(11)

Procedures for the accounting of all offenders and for contacting referring agencies when any offender is not accounted for;

(12)

Procedures for searches, including "pat" searches, room searches, vehicle searches, and personal effect searches, including a provision requiring all offenders to consent in writing to all such searches at the facility.

(13)

Procedures for systematically assessing newly admitted offenders as required in this article.

(14)

A procedure for assigning the case management of each offender to a single specific case manager within twenty-four (24) hours after the offender's admission to the facility as required in this article;

(15)

A copy of the rules of conduct for offenders;

(16)

An acknowledgment from each employee that he or she has reviewed the policy and procedure manual;

(17)

Documentation showing that the policy and procedure manual has been reviewed and updated annually;

(18)

Copies of insurance policies, certificates of insurance, or declaration pages from insurance policies of insurance required under this article.

(19)

Procedures to ensure that any terms, conditions, limitations, or requirements imposed on the offender by the offender's referring agency, including but not limited to those pertaining to drug and alcohol testing, operation of a motor vehicle, and absence from the facility, are obtained from the referring agency, placed in the offender's file, provided to the offender's case manager, and monitored for compliance;

(20)

A copy of the written agreement with each parole department referring offenders to the facility stating that in the event that any offender referred by the parole department is expelled from the facility, the parole department shall either place the offender in another facility or take the offender into the parole department's custody, and that failure to do so will result in the facility refusing to accept into the facility any offenders referred by that parole department;

(21)

A copy of the written agreement with each referring agency referring offenders to the facility, other than a parole department, stating that in the event that any offender referred by the referring agency is expelled from the facility, the referring agency shall either place the offender in another facility or arrange for the offender to physically report to the probation officer, and that failure to do so will result in the facility refusing to accept into the facility any offenders referred by the referring agency in the future. A copy of each such signed agreement shall be kept in the policy and procedure manual.

(22)

Any other procedures the facility may adopt; and

(23)

Any other documentation the facility may wish to file in its policy and procedure manual.

(c)

Rules of conduct for offenders. The facility shall assemble and maintain a written set of rules of conduct for offenders, physically present at the facility, containing at least the following:

(1)

A prohibition of any criminal offenses;

(2)

A prohibition of any possession or use of any controlled substance, alcohol or other intoxicants (e.g. paint huffing);

(3)

A curfew;

(4)

A requirement that the offender account to employees on a daily basis for all time spent outside the facility;

(5)

A prohibition against the possession or use of any weapon;

(6)

A requirement that the offender cooperate with all employees of the facility, his or her referring agency, and all treatment and supervision providers;

(7)

A requirement that the offender comply with the terms of the treatment plan, supervision plan, budget, and any terms, conditions, limitations, or requirements imposed on the offender by the offender's referring agency, including but not limited to those pertaining to drug and alcohol testing, operation of a motor vehicle, and absence from the facility; and

(8)

Any other rules that the facility may adopt.

(d)

Offender files. The facility shall maintain a written file on each offender containing at least the following in a written, orderly, chronological and legible manner:

(1)

The offender's current sentence, probation, parole, diversion, deferred judgment, commitment, or other criminal corrective action;

(2)

Name, address, phone number of the referring agency;

(3)

Offender's written consent to searches by facility employees; a written release of all treatment, supervision, drug and alcohol monitoring, and all other offender information to facility employees, the facility's treatment and supervision providers, and the inspectors of the city department of safety, division of community corrections for purposes of evaluating the facility's program and determining compliance with this article; and a consent to alcohol and drug testing;

(4)

Written assignment of a specific case manager to the offender and assignment of replacement case managers, if any, as required in this article;

(5)

Records from the employment of the offender outside the facility, including name, address, and phone number of the employer, hours of employment, job duties, and contact persons at the offenders employment;

(6)

Assessment of offender as required in this article;

(7)

Treatment plan as required in this article;

(8)

Supervision plan as required in this article;

(9)

A record of any occasion on which the offender's presence in the facility or at a location authorized by the facility was not accounted for;

(10)

Reports from agencies and persons providing treatment and services to the offender;

(11)

Copies of incident reports, investigations and discipline of the offender;

(12)

Monthly reviews of the offender's progress;

(13)

Copies of correspondence, referral forms, or other documents related to the case;

(14)

Audits of the offender's file as required in this article;

(15)

Any other correspondence, form, notice, report, summary, or other document related to the offender;

(16)

Any terms, conditions, limitations, or requirements imposed on the offender by the offender's referring agency, including but not limited to those pertaining to drug and alcohol testing, operation of a motor vehicle, and absence from the facility;

(17)

A copy of any notice to any referring agency required under this article stating that the offender has been expelled and demanding that the referring agency take action as required in the agreement with that referring agency.

(18)

Any other document required to be placed in the offender's file under this article.

(e)

Employees of the facility.

(1)

The facility shall maintain written job descriptions for all employees of the facility including job title, minimum qualifications, responsibilities, duties, and salary ranges.

(2)

Before hiring any employee, the facility shall conduct a background investigation and document the same in the employee's files. The investigation shall verify job qualifications and check for prior criminal record.

(3)

The facility shall not hire any employee who has a record for a felony conviction during the preceding five (5) years or who is then on any criminal corrective action, unless the facility first notifies the department of safety, division of community corrections in writing and the department of safety, division of community corrections approves the hiring of the employee in writing. Copies of these notices and approvals shall be kept in the employee's file.

(4)

The facility shall conduct a performance evaluation on each employee at least annually.

(5)

If any employee is arrested or charged with any criminal offense, other than traffic offenses carrying less than eight (8) points, the facility shall immediately notify in writing the department of safety, division of community corrections of the employee's name, duties and the pending charges. The facility shall provide the department of safety, division of community corrections with written updates on the status of the employee's criminal charges as requested by the department of safety, division of community corrections.

(6)

All employees shall receive at least twenty (20) hours of formal or supervised "on the job" training, including documented review of the facility's policy and procedure manual before receiving an independent work assignment. In addition, all full time employees shall receive a minimum of forty (40) hours of job-related training annually. Fulfillment of these training requirements shall be documented in each employee's file.

(7)

The facility shall hire and maintain on staff a sufficient number of case managers to maintain a ratio of at least one (1) full-time case manager for every twenty (20) offenders admitted to the facility. Case managers shall manage the treatment, supervision, budget, discipline, and perform all other duties required of case managers under this article. Case managers shall be physically present in the facility at least twenty-five (25) hours per week except when on leave. Case managers shall not be assigned administrative or other duties which interfere with their case management duties.

(8)

No person shall be employed as a case manager or perform any of the duties of a case manager unless he or she meets one (1) or more of the following qualification requirements:

(i)

A bachelor's, master's or doctoral degree in social or behavioral sciences, criminal justice, or related fields;

(ii)

An associate's degree in social or behavioral sciences, criminal justice, or related fields and at least two (2) years of work experience in social work, criminal justice, or closely related fields;

(iii)

Four (4) years of work experience in social work, criminal justice, or closely related fields; or

(iv)

A level II or III state alcohol and drug abuse counselor certification if the primary treatment concern for all of the offenders assigned to the case manager is drug or alcohol abuse.

(9)

The facility shall keep copies of all documents qualifying case managers under this article in each case manager's employee file.

(10)

The facility shall at all times maintain employees or volunteers in charge of the facility and responsible for the operation of the facility in compliance with this, physically present and awake in the facility in the following numbers:

(i)

Facilities with a total offender population of seventy (70) or more: at least two (2);

(ii)

Facilities with a total offender population of less than seventy (70): at least one (1).

(11)

Every employee shall sign a written acknowledgment indicating that they have reviewed the policy and procedure manual. A copy of each such acknowledgement shall be filed in the policy and procedure manual and in the employee's file.

(12)

The facility shall maintain an employee file for each employee. The file shall contain records of qualifications, applications, background investigations, dates of employment, training records, performance evaluations, commendations, disciplinary actions, and all other documentation required to be kept on employees under this article. All employee files shall be open and available to the department of safety, division of community corrections for the purpose of determining compliance with this article.

(f) Evaluation, supervision, treatment, discipline, and expulsion of offenders.

(1)

Within twenty-four (24) hours of the date that each offender is admitted to the facility, the facility shall orient the offender to the facility by providing the offender with a copy of the rules of conduct for offenders, a written copy of any terms, conditions, limitations, or requirements imposed on the offender by the offender's referring agency, including but not limited to those pertaining to drug and alcohol testing, operation of a motor vehicle, and absence from the facility, and a description of possible penalties and disciplinary actions that may be taken for violations of the rules of conduct for offenders, any terms, conditions, limitations, or requirements imposed on the offender by the offender's referring agency, including but not limited to those pertaining to drug and alcohol testing, operation of a motor vehicle, and absence from the facility, or any criminal law. The offender will acknowledge receipt of this information by signing a form that records the date and time of the orientation and the employee providing the orientation. The acknowledgment form shall be placed in the offender's file.

(2)

Within twenty-four (24) hours of the date that each offender is admitted, the facility shall assign a single, specific case manager to the offender. The offender's assigned case manager shall personally perform all duties required of case managers under this article. Assignment of a single, specific case manager shall be documented in the offender's file and in the case manager's assignment file. If a new case manager is assigned to the offender, this assignment shall also be documented in the offender's file and the case manager's assignment file.

(3)

Within twenty-four (24) hours of the admission of each offender, the facility shall obtain from the offender a written consent to searches by facility employees; a written release of all treatment, supervision, drug and alcohol testing and monitoring, and all other offender information to facility employees, the facility's treatment and supervision providers, and the inspectors of the city department of safety, division of community corrections for purposes of evaluating the facility's program and determining compliance with this article; and a consent to alcohol and drug testing.

(4)

The offender's assigned case manager shall personally:

(i)

Within days of the date the offender is admitted to the facility, either:

(1)

Obtain a written assessment of the offender's criminal risks, criminogenic needs, and responsivity to various supervision and treatment strategies from the referring agency using standardized instruments with recognized validity and reliability for assessing criminal risks and needs in the field of criminal corrections, identifying the offender's risk levels and prioritizing the individual offender's criminogenic needs for treatment and supervision; or

(2)

Ensure that the facility conducts and completes such a written assessment. A copy of the assessment shall be placed in the offender's file. However, in the event that the offender is on a criminal corrective action only for a misdemeanor or ordinance offense, the case manager need only obtain or prepare an informal written assessment of criminal risks.

(ii)

Within ten (10) days of the date the offender is admitted to the facility, either:

(1)

Obtain a written treatment plan prepared by the referring agency stating what treatment the offender will receive while placed in the facility, who will provide the treatment, where the treatment will occur, the schedule for such treatment, and how progress in treatment will be measured or evaluated; or

(2)

Ensure that the facility prepares such a written treatment plan for the offender. A copy of the treatment plan shall be placed in the offender's file.

(iii)

Within ten (10) days of the date that the offender is admitted to the facility, either:

(1)

Obtain a written supervision plan from the referring agency which specifies supervision approaches and methods, including measurable criteria of expected positive behavior and accomplishments and a time schedule for achievement; or

(2)

Ensure that the facility prepares such a written supervision plan. A copy of the supervision plan shall be placed in the offender's file.

(iv)

Review each offender's progress, performance and compliance under his or her treatment plan, supervision plan, budget, and any terms, conditions, limitations, or requirements imposed on the offender by the offender's referring agency, including but not limited to those pertaining to drug and alcohol testing, operation of a motor vehicle, and absence from the facility, at least once every thirty (30) days following admission. Each such review and all revisions shall be documented and filed in each offender's file.

(v)

Ensure that the offender actually receives the treatment specified in his or her treatment plan, the supervision specified in his or her supervision plan, manages his or her money according to his or her personal budget, and complies with the terms, conditions, limitations, or requirements imposed on the offender by the offender's referring agency, including but not limited to those pertaining to drug and alcohol testing, operation of a motor vehicle, and absence from the facility.

(vi)

Initiate disciplinary action or expulsion against any offender who violates criminal laws, rules of conduct for offenders, his or her treatment plan, supervision plan, any terms, conditions, limitations, or requirements imposed on the offender by the offender's referring agency, including but not limited to those pertaining to drug and alcohol testing, operation of a motor vehicle, and absence from the facility, or whose behavior or mental status becomes a threat to the safety of the offender, employees, neighbors, co-workers or others.

(5)

The facility shall discipline or expel from the facility any offender who commits any crime while placed in the facility, violates the facility's rules of conduct for offenders, violates any term, condition, limitation, or requirement imposed on the offender by the offender's referring agency, including but not limited to those pertaining to drug and alcohol testing, operation of a motor vehicle, and absence from the facility, who does not reasonably respond to treatment, or whose behavior or mental status poses a substantial threat to the welfare of employees or others. Discipline or expulsion based upon commission of any crime, violation of the facility's rules of conduct for offenders, or violation of any term, condition, limitation, or requirement imposed on the offender by the offender's referring agency, including but not limited to those pertaining to drug and alcohol testing, operation of a motor vehicle, and absence from the facility, shall be imposed within ten (10) days of the date any member of the facility employee learns of the violation. All investigations and discipline shall be documented in the offender's file.

(6)

The facility shall expel any offender who refuses to consent to any search, refuses to release any information to the facility or any of its employees, treatment providers, or the inspectors of the city department of safety, division of community corrections for purposes of evaluating the facility's program and determining compliance with this article or who revokes his or her written consent to searches, releases of information, or drug and alcohol testing.

(7)

If the facility expels an offender, the facility shall immediately inform the city police department and the offender's referring agency, by phone and in writing, that the offender has been expelled. In the event that the referring agency is a parole department, the facility shall immediately demand that the parole department either physically place the offender in another facility or physically take the offender into the parole department's custody. In the event that the referring agency is not a parole department, the facility shall immediately demand that the referring agency either place the offender in another facility or arrange for the offender to physically report to the probation officer. These notifications shall be documented in the offender's file. In the event that the referring agency is a parole department, the facility shall not inform the offender that he or she has been expelled from the facility until the parole department has taken physical custody of the offender or has physically placed the offender into another facility. In the event that the referring agency is a not a parole department, the facility shall not inform the offender that he or she has been expelled from the facility until the referring agency has either arranged to physically meet with the offender or the referring agency has physically placed the offender in another facility. The facility shall use reasonable efforts to hold the offender at the facility until the referring agency has performed these duties. In the event that the referring agency fails, neglects or refuses to perform these duties, the facility shall cease accepting any offenders referred by that referring agency.

(g)

Off-site offenders. The facility shall not permit any offender to leave the physical premises of the facility for any purpose, for any period of time, including but not limited to absences for assessment, work, or treatment, in violation of any of the terms, conditions, limitations, or requirements imposed on the offender by the offender's referring agency, including but not limited to those pertaining to operation of a motor vehicle, and absence from the facility.

(h)

Providing documentation and notifications to referring agencies.

(1)

The facility shall provide the referring agency with copies of the following documents within five (5) days of the date the document is completed:

(i)

Assessment, if not obtained from the referring agency, but instead prepared by the facility;

(ii)

Treatment plan, if not obtained from the referring agency, but instead prepared by the facility;

(iii)

Supervision plan, if not obtained from the referring agency, but instead prepared by the facility;

(iv)

Offender's personal budget;

(v)

Monthly reports and progress reports on the offender;

(2)

The facility shall notify an offender's referring agency in writing of the following within twenty-four (24) hours of its occurrence:

(i)

The offender is not present and cannot be accounted for at any head count;

(ii)

There is probable cause to believe that the offender has violated a criminal law, rules of conduct for offenders, or any term, condition, limitation, or requirement imposed on the offender by the offender's referring agency, including but not limited to those pertaining to drug and alcohol testing, operation of a motor vehicle, and absence from the facility;

(iii)

The offender has been disciplined or expelled for any violation of criminal law, the rules of conduct for offenders, or the terms, conditions, limitations, or requirements imposed on the offender by the referring agency, including but not limited to those pertaining to drug and alcohol testing, operation of a motor vehicle, or absence from the facility;

(iv)

The offender's mental or behavioral status has deteriorated to the point where the offender is a danger to himself, employees, neighbors, co-workers or others;

(3)

The facility shall document in the offender's file having provided the documents and notifications to referring agencies required in this section (h).

(i)

Disclosure and inspection of facilities.

(1)

The facility shall complete and provide the department of safety, division of community corrections, with an annual written report by no later than March 1 of each year stating:

(a)

The name, address, phone number of the facility;

(b)

The name, address and phone number of its director;

(c)

The maximum offender capacity of the facility; and

(d)

The facility's treatment programs, supervision programs, and number and types of offenders.

However, a facility which is also a safehouse, as defined in section 59-2(123.1), shall not be required to disclose its address and phone number.

(2)

The facility shall make all parts of the facility, employee files, offender files, administrative files, the policy and procedure manual, rules of conduct for offenders, and all other records and papers physically available for inspection at the facility by the department of safety, division of community corrections and its inspectors during normal business hours for the purpose of evaluating the facility's program and determining whether the facility is in compliance with this article. The facility shall make employee files, offender files, administrative files, the policy and procedure manual, rules of conduct for offenders, and all other records and papers available for inspection in paper form.

(3)

If the facility is regulated or assisted by any department or agency of the United States government, the facility may redact the identity of each offender from offender files and records pertaining to the diagnosis, prognosis, or treatment for substance abuse, or any education, prevention, training, rehabilitation or research related to the same, before disclosing such records to the department of safety, division of community corrections, and its inspectors.

(4)

The manager of safety shall designate one (1) or more inspectors in the department of safety, division of community corrections to inspect private and contract facilities for compliance with the provisions of this article.

(5)

Inspectors from the department of safety's division of community corrections shall inspection and evaluate every non-governmental residential facility for the treatment and supervision of offenders and shall take enforcement action for any violation of this chapter.

(6)

The department of safety, division of community corrections, and its inspectors, shall not state, report, or disclose, directly or indirectly, the identity of any individual offender in connection with or in any way related to the offender's diagnosis, prognosis, or treatment for substance abuse, or any education, prevention, training, rehabilitation or research related to the same.

(7)

When conducting any evaluation or inspection under this article the department of safety, division of community corrections and its inspectors may rely entirely or in part upon any report of any evaluation, inspection or audit of the facility to find that the facility is in compliance with one or more of the requirements of this article if:

(i)

The report was prepared by any agency of the United States or the state;

(ii)

The department of safety, division of community corrections obtains a written copy of the report;

(iii)

The report was prepared within twelve (12) months of the date that the department of safety, division of community corrections begins its evaluation or inspection of the facility; and

(iv)

The report inspected, evaluated, or audited the facility under criteria that were the same or substantially similar to the requirement of this section that the report is used to satisfy.

(Ord. No. 368-00, § 3, 5-15-00; Ord. No. 228-01, § 1, 3-19-01; Ord. No. 565-01, § 3, 7-9-01)