Presentation Transcript

1. Auditor Refresher Training

   Winter Conference 2013 January 29th, 2013 Houston, Texas
2. Introduction ACA Standards and Accreditation Staff Kathy Black-Dennis, Director kathyd@aca.org Ben Shelor, Deputy Director bens@aca.org Standards Specialists Terry Carter terryc@aca.org Bridget Bayliss-Currenbridgetb@aca.org Kenya Golden kenyag@aca.org Christina Randolph, Office Manager christinar@aca.org Administrative Assistants Nadine Lee nadinel@aca.org Irawaty Bakker irawatyb@aca.org Brian Nielsen briann@aca.org
3. Outline: Today’s Training Topics for refresher training will include: Auditor Selection: advice and helpful hints from the ACA staff Central Office Reviews: what they are, what their purpose is, and how best to conduct them Standards Committee Report: what standards have changed since the last time you audited? ACA Standards Manuals status report: which manuals are in the process or review or revision? What is the process for submitting, monitoring, and applying changes? ACA database update: what you need to know about ACA’s new system and ways in which is can help you Standards interpretations: what standards are challenging to interpret in the field? What can an audit team to do assist facilities?
4. Auditor Selection: Hints and Insights Auditor selection is one of the most difficult tasks for an ACA specialist It is a rotating assignment to ensure impartiality and fairness A great deal of knowledge and experience is required to assign auditors. Factors in these decisions include: The demographic makeup of the team The location and ease of travel for the facility as well as audit team Cost: some locations are expensive and we too have a bottom line! Experience levels of various auditors The need for qualified chairs and medical auditors ACA’s new computer system will be integral to refining the auditor selection process via the tracking of information
5. Auditor Selection: Hints and Insights What might help you to get selected? The Three “P”s: Patience, Persistence, and Professionalism Patience: we are doing our best! We all understand that it is frustrating, but with the current makeup of each audit team, most auditors are only eligible for 1 role (member) out of 3 (chair, member, and HC member) Persistence: if at first you don’t succeed, try, try again. Respond to every week for which you are available. New data tracking capabilities will help us monitor which auditors are infrequently assigned Professionalism: when you are assigned, please read all documents (including the ACA Consultant Manual) thoroughly. Know internal processes for booking travel, consult with ACA, the facility, and fellow team members when necessary. Auditor evaluations are a key part of our process: do your best to be professional, independent, and friendly to score as well as you can!
6. Auditor Selection: Hints and Insights Other helpful information and hints for auditor selection: We have no control over cancellations or prices! We understand that it is frustrating when an audit is cancelled or flights are too expensive, so bear with us! When we say we will try to get you out, we mean it! However, we are not perfect and we do sometimes forget. The occasional reminder email is fine, but please do not pepper the Specialists or ACA audits email with communications about not being assigned Some types of audits are MUCH more frequent than others. ACI audits are the most common, followed by ALDF. Some types (food service, electronic monitoring, etc) are quite rare and will not get you assigned very often!
7. Auditor Selection: Hints and Insights We DO have a choice on who we assign to audits: if you have a negative evaluation or issues with a particular state or agency, you are less likely to receive further audits We understand that auditing can be a contentious process when things do not go well; we take steps to investigate allegations of inappropriate or bad behavior with both auditors and accreditation managers. If you have an issue on an audit, let ACA know as soon as possible. As you are a representative of the association, we take the process and auditor behavior very seriously. We will act to stop any such behavior, up to and including removal of some or all auditors from the facility on short notice.
8. Auditor Selection: Hints and Insights Other Questions? Please feel free to email the ACA Standards and Accreditation Staff. We do NOT recommend emailing “ACA Audits” as that account is not continuously monitored. Terry Carter: terryc@aca.org Bridget Bayliss-Curren: bridgetb@aca.org Kenya Golden: kenyag@aca.org Ben Shelor: bens@aca.org
9. Central Office Reviews The Central Office Review is like a standard ACA audit, but is not the same as a Central Office Audit (conducted under the Administration of Correctional Agencies [ACA] Manual) These audits are conducted only in some states and only every three years, so they are rare. However, many auditors will encounter the results of these audits within facility files. The purpose of these reviews is to expedite the facility file review process by auditing files for policies and procedures determined at the Central Office level. Only 10-15% of the standards are eligible to be part of the central office review. These specific file numbers can be found on the ACA website.
10. Central Office Reviews Does that help? Now WE have some questions for YOU! Do Central Office Reviews really help expedite the facility file review process? Do you want to see practice for every single standard? Or do you go by the exact wording of the standard (for example, “policy and procedure” versus “policy, procedure, and practice”)? Is there still a place for these types of audits in modern corrections? Or can electronic files and modern systems render these reviews effectively redundant?
11. Standards Committee Report ACA Committee on Standards met on Friday, January 25th The Committee is made up of experienced correctional administrators and auditors who are familiar with the application of ACA standards This Committee considered the following: Additions to the Adult Probation and Parole Field Services (APPFS) manual- sent to a Standards Subcommittee Changes to the Adult Local Detention Facilities (ALDF) healthcare standards, to create a stand-alone HC manual for jails 24 revisions to various Standards manuals, including: 5 proposed revisions to the ACI 5 proposed revisions to the JCRF 3 revisions to the Central Office Manual 11 other revisions (including one addition)
12. Standards Committee Report The results of those proposed revisions were…. (Insert post-Standards Committee)
13. ACA Standards Manuals: Status Report ACA periodically reviews and updates it’s manuals by issuing a new edition. Likewise, new manual are created when a need arises. The following manuals are in the process of revision or creation: APA: Adult Parole Authorities (new edition) PBHC-ACI: Performance-Based Standards for Healthcare in Adult Correctional Institutions (new edition) CTA: Correctional Training Academies (new edition) ICS: International Core Standards (new manual) PBHC-ALDF:Performance-Based Standards for Healthcare in Adult Local Detention Facilities (new manual)
14. ACA Database Update In the Summer/Fall of 2012, ACA upgraded its in-office data management system. The new system will (eventually) enable ACA to: Better monitor and use data regarding facilities and auditors Set up relationships between individuals and auditors Track the number, location, and cost of audits conducted by each individual auditor Link existing information (including resumes, reports, and travel information) in an electronic format to facility or auditor records Track auditor training records and attendance to facilitate the continuing education and recertification of ACA auditors (coming soon!)
15. ACA Database Update While this system will greatly enhance the capabilities of the department in terms of data management, it will NOT: Serve as a mechanism to facilitate the development of an electronic file process. ACA is currently working with a number of software companies to determine how best to incorporate the electronic files and eventually move to an automated file management and auditing system Remove the human element from auditor selection. While the system allows for more access to data, Standards Specialists will still have to select and assign auditors Know when your information changes! We still need an email when you move, change phone numbers, or change email addresses. **NOTE: Not all aspects of the system are completely operational. As we know more, we will pass that information along!
16. Standards Interpretations Many standards include wording that can be confusing in terms of it’s meaning and applicability. ACA attempts to answer all standard interpretations that we receive from facilities and auditors in a consistent manner, but that is not always possible! When you have a question regarding the interpretation of a Standard, please e-mail the Standards and Accreditation staff. In order to ensure consistency, we need all questions in a written format!
17. Conclusion States/Areas and Assigned Staff: Terry Carter (terryc@aca.org): Arkansas, , Kansas, Minnesota, Mississippi, Missouri, New Hampshire, North Carolina, Oklahoma, Oregon, Pennsylvania, Rhode Island, South Dakota, Virginia, , Washington DC, Corrections Corporation of America, Management and Training Corporation, Homeland Security (ICE), The GEO Group/Cornell Corrections, Youth Services International, Canada Bridget Bayliss-Curren (bridgetb@aca.org): Alaska, Arizona, Hawaii, Iowa, Maine, Michigan, Montana, New York, Ohio, Puerto Rico, Vermont, Wisconsin, AMIKids, Community Education Centers, Federal Bureau of Prisons (FBOP), G4S Youth Services, Military
18. Conclusion States/Areas and Assigned Staff: Kenya Golden (kenyag@aca.org): Alabama, California, Colorado, Connecticut, Delaware, Kentucky, Idaho, Illinois, Indiana, Louisiana, Massachusetts, Nebraska, New Jersey, New Mexico, Nevada, North Dakota, South Carolina, Utah, Washington, West Virginia, Wyoming Ben Shelor (bens@aca.org): Florida, Georgia, Tennessee, Texas, California
19. Conclusion If you have any questions or comments regarding information presented in this training, please feel free to contact us! Standards and Accreditation Department 206 N. Washington Street, Suite 200 Alexandria, Virginia 22314 703-224-0000 info@aca.org