Purpose
This procedure will outline the steps, forms and responsible persons required to properly conduct audits of offender case files assigned to the Probation Officers of the Oklahoma County Community Sentence Program.

Introduction
The proper supervision of offenders assigned to the Oklahoma County Community Sentencing Program should be held to the highest quality possible. In order to ensure the highest quality of supervision it is required that statistical data is available to support this claim. The audits conducted of case files will be used to gather statistical data as well as help evaluate an employee’s ability to meet job objectives and standards.

Procedure

1. The Unit Manager will conduct audits, at a minimum of 10 percent each quarter, on each caseload utilizing the “Oklahoma County Community Sentencing Case Audit Form”. This audit will be used in conjunction with the supervising employee’s evaluation annual review.
   
   
2. The results of the audit will be utilized for the following:
   
   
   1. Employee Evaluation
      
      
   2. Promotional reviews/ Pay Increase Consideration
      
      
   3. Progressive discipline
      
      
   4. Provide a database for statistical information
      
      
   5. Monitor compliance with current Policy and Procedure
      
      
3. The following instructions will be followed in completing the CS Audit Form in order to maintain a high degree of continuity among auditors.
   
   
   1. The heading of the audit form will be completed in full.
      
      
   2. The Case Type will be reflected as it pertains to the file being audited.
      
      
   3. List all Authority Documents located in the file. Any documents that are needed but not in the file will be listed under “auditor comments”.
      
      
   4. All Court Stipulations will be reflected as they appear on the authority documents or other court documents associated with the file.
      
      
   5. A Probation Plan/Supervision Plan must be located in each file. If the Probation/ Supervision Plan needs revision or follow-up information the auditor will score the appropriate answer. If neither are needed the auditor will score N/A.
      
      
   6. The offender’s Program Participation with required services outlined under the Probation/Supervision Plan will be audited, with the following considerations:
      
      
      1. The Probation Officer must identify the resources being used to address the requirements of the Probation /Supervision Plan. If resources are not available, attempts must have been made to secure alternative treatment through the courts.
         
         
      2. The chronological record must reflect when and where a treatment referral was made. It must also state if the offender is attending treatment as required.
         
         
      3. Monthly Progress reports must be entered in the chronological record and reports placed in section four (4) of the offender’s file.
         
         
   7. The required Classification/Contacts must meet the requirements as outlined in CS 1003 Standards for Offender Supervision.
      
      
      1. A LSI must be located in the offender’s file, section three (3), and must pertain to the case(s) under supervision.
         
         
      2. The auditor will report the current level of supervision and if the level is correct.
         
         
      3. Field visits must have been completed as required in CS 1003. If field visits have not been completed as required the number of attempts will be reflected on the audit report.
         
         
      4. Personal contacts must have been completed as required in CS 1003. If contacts have not been completed as required the number of attempts to gain compliance will be reflected on the audit report.
         
         
      5. Residential verification must have been completed as required in CS 1003. If residential verification has not been completed as required the number of attempts will be reflected on the audit report.
         
         
      6. Employment/Income must have been verified as required in CS 1003.
         
         
   8. The Financial Obligations will be audited in accordance with all financial court orders associated with the offender.
      
      
      1. The auditor will report the status of supervision fee payments and whether delinquencies, if any, are addressed in the chronological record and/or required reports.
         
         
      2. The auditor will determine if court costs have been paid per the court order and whether delinquencies, if any, are addressed in the chronological record and/or required reports
         
         
      3. If restitution is required, an order of restitution must be in the offender’s file. The auditor will report the status of restitution payments and whether delinquencies, if any, are addressed in the chronological record and/or required reports.
         
         
   9. The auditor will verify that all Urinalysis ordered by the court or CS has been performed.
      
      
   10. All Case Reports required by CS or requested by the court must be included in the offender’s file.
       
       
   11. The Auditor’s Comments will be used to address any deficiencies identified in the audit process. Positive comments should also be included if so warranted.
       
       
   12. The Officer’s Comments will be used by the assigned supervising officer only. The supervising officer will be allowed to submit any relevant information/comments desired.
       
       
   13. The auditor will assign a Correction Due Date and review the file for corrections on that date or a date prior.
       
       
   14. The auditor as well as the assigned Probation Officer will sign the audit form.