Fifth Judicial District - Department of Correctional Services

DISTRICT POLICIES

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TITLE: Quality Assurance Audits For Case Plans, Groups, Home Visits And File Reviews For Proper Content

POLICY

Quality assurance audits are completed to ensure that services are being delivered in the manner intended and the quality required in order to be the most effective and evidenced-based.

Quality assurance audits and case file reviews will be recorded in the appropriate ICON screen.

PROCEDURES

  1. Case Plan Audit
    1. Supervisors will determine how often a case plan audit needs to be done based on assessing each agent's proficiency level. The following formula will be used:
      1. Audit scores of 95 or higher requires a case plan audit once per 6 months
      2. Audit scores 80-94 requires a case audit once per 3 months
      3. Audit scores 70-79 requires a case audit once per month
      4. Audit scores 69 or lower requires a case audit twice per month
    2. All case plan audits will be completed on the standard case plan audit form and submitted to Assistance Director or designee for review.
  2. Group/Intervention Audit
    1. Group audits will be conducted routinely by supervisor at least twice per year on each primary facilitator.
    2. Each primary facilitator will also been encouraged to be audited by one of their peers at least once per year.
    3. Audits will be conducted on all primary groups such as: CALM, Moving On, SOTP, BEP, TFC, VIP, Corrective Thinking, Getting Ready, Beyond Trauma, Seeking Safety, Cognitive Aftercare, OWI and any other designated groups.
    4. Audits will be conducted on the designated audit form shared with the facilitator(s) and a copy will be sent to the designated Executive Secretary or staff person assigned by the director for recording.
  3. Therapeutic Home Visit Audit
    1. The purpose of a therapeutic home visit audit is to assure the intent of the home visit is in practice. It is to assure that not only is collateral information being gathered and assessed but also rapport is being built with the offender's natural community as well as informal controls the offenders natural community can assist with. Furthermore, it is to assure that the offender's case plan drives the home visit.
    2. Supervisors will conduct a therapeutic home visit audit once per 6 months on each agent that is responsible for home visits.
    3. Supervisors will record results on the therapeutic home visit audit form.
  4. Case File Reviews
    1. In addition to audits, file reviews will be completed. These are done to ensure proper file content including but not limited to court orders, signed offender agreements and to insure that case managers are in compliance with policy and procedures regarding case file maintenance.
    2. Residential case files will be reviewed upon entry into the residential program and upon discharge from the residential program.
    3. Field case files should be reviewed periodically and upon discharge of the offender from supervision.
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