SOP 101.03: Local Operating Procedures

|GEORGIA DEPARTMENT OF CORRECTIONS
Standard Operating Procedures|Col2|Col3|
|---|---|---|
|`Functional Area:`
`POLICY & EXECUTIVE`
`PROCEDURE/LEGAL OFFICE -`
`POLICY & PROCEDURE DESK`|`Reference Number:`
`IC01-0002`|`Revises`
`Previous`
`Effective Date:`
`9/15/04`|
|`Subject:`
`LOCAL OPERATING PROCEDURES`|||
|`Authority:`
`DONALD/OWENS/AMIDEO`|`Effective Date:`
`10/15/07`|`Page``1`` of`
`9 `|

 I. POLICY:

    A. Each organizational unit, facility, center, section, and
       office shall prepare and issue whatever guidance is
       necessary to supplement any Departmental procedures that
       takes local conditions into account and is required for
       compliance and completion of the goals and objectives
       established for its operation.

    B. These local procedures shall not repeat the information
       contained in the Board Rule or Departmental SOP, but
       shall act only to supply additional guidance. Local
       procedures shall not be utilized as a substitute to
       correct a problem within an SOP, notify the Legal Office
       - Policy & Procedure Desk (404)656-0893 to initiate an
       amendment to the SOP.

 II. APPLICABILITY:

    All facilities, offices, units, and sections operating
    under GDC management.

 III. RELATED DIRECTIVES:

    A. O.C.G.A.: 50-18-70

    B. GDC-Rules: 125-1-2-.01(c), 125-2-1-.01(a).

    C. Standard Operating Procedures: IC01-0001, IVP01-0004.

    D. ACA Standards: 2-2010, 3-4001, 3-4013, 3-4013, 3-4015.

 IV. DEFINITIONS:

|Functional Area:
POLICY & EXECUTIVE
PROCEDURE/LEGAL OFFICE - POLICY &
PROCEDURE DESK|Prev. Eff. Date:
9/15/04|Page 2 of
9|
|---|---|---|
|`Functional Area:`
`POLICY & EXECUTIVE`
`PROCEDURE/LEGAL OFFICE - POLICY &`
`PROCEDURE DESK`|`Effective Date:`
`10/15/07`|`Reference Number:`
`IC01-0002`|

   A. SUPPLEMENTAL GUIDANCE: An approved official, written
      authorization that would permit implementation of local
      procedures that supplement, without duplicating, the
      general requirements in any Board Rule or Departmental
      SOPs.

   B. PROCEDUE VARIANCE: An approved official, written
      authorization that would permit implementation of a local
      procedure that would CHANGE requirements setforth in a
      given Departmental SOP. A Procedure Variance may not be
      used to change a requirement setforth in a Rule of the
      Board of Corrections.

V. ATTACHMENTS:

   Attachment # 1 - LOP Format

   Attachment # 2 - LOP Numbering System

   Attachment # 3 - Supplemental Guidance Request Form

   Attachment # 4 - SOP Variance Request Form

   Attachment # 5 - Quarterly Procedure Review Form

   Attachment # 6 - Annual Procedure Review Form

VI. PROCEDURE:

   A. The management of each facility, unit, or section shall
      be responsible for the development of a local procedure
      to provide supplemental guidance of any Board Rule or
      Departmental procedure to ensure the accomplishment of
      goals and objectives established for that facility, unit,
      or section.

      1. LOPs shall be developed and written using the
         approved Local Operating Procedure Format Word 97
         Version # 1, on diskette. (Attachment 1)
         Additional information concerning the format can be
         obtained from the Legal Office - Policy & Procedure
         Desk Ph # (404)656-0893.

      2. LOP shall be identified by the approved numbering
         system.  (Attachment 2)

|Functional Area:
POLICY & EXECUTIVE
PROCEDURE/LEGAL OFFICE - POLICY &
PROCEDURE DESK|Prev. Eff. Date:
9/15/04|Page 3 of
9|
|---|---|---|
|`Functional Area:`
`POLICY & EXECUTIVE`
`PROCEDURE/LEGAL OFFICE - POLICY &`
`PROCEDURE DESK`|`Effective Date:`
`10/15/07`|`Reference Number:`
`IC01-0002`|

   3. When it is found that a Standard Operating Procedure
      (SOP) does not support efforts to accomplish the
      approved goals and objectives of facility, unit, or
      section, it is the responsibility of facility, unit,
      or section management to develop appropriate
      alternative procedures. These alternatives, to be
      known as (Name of Facility, Unit, or Section) Local
      Operating Procedures, must be confined to the
      operations at the originating facility, unit, or
      section and must be specific and limited to the
      operation requiring such action.

B. Development/Revision and Approval of Supplemental
   Guidance and SOP Variance:

   1. Supplemental Guidance Development:

      a. When additional procedural information is
         required for guidance to supplement procedures
         or the lack thereof in any Departmental SOPs
         the facility, unit, or section management shall
         develop local operating procedures using the
         approved Word 97 format, on diskette
         (Attachment 1).  These procedures shall not
         repeat or CHANGE the information contained in
         the Board Rule or Departmental SOP, but shall
         act only to supply additional guidance.

   2. Supplement Guidance Approval:

      NOTE: The local operating procedure CAN NOT be
      implemented until the facility/center/unit or office
      has received the signed approval form from the
      appropriate approving authority.

      a. The completed supplemental guidance request
         form (Attachment 3) accompanied by the proposed
         LOP is then submitted to:

         1) The Warden/Superintendent or Chief
            Probation officer will review and
            recommend approval of the LOP. If
            recommended the LOP is submitted to the
            Director of Facility Operation or

|Functional Area:
POLICY & EXECUTIVE
PROCEDURE/LEGAL OFFICE - POLICY &
PROCEDURE DESK|Prev. Eff. Date:
9/15/04|Page 4 of
9|
|---|---|---|
|`Functional Area:`
`POLICY & EXECUTIVE`
`PROCEDURE/LEGAL OFFICE - POLICY &`
`PROCEDURE DESK`|`Effective Date:`
`10/15/07`|`Reference Number:`
`IC01-0002`|

         Probation Operations, as appropriate
         (Central Office).

      2) The Director of Facilities or Probation
         Operations, as appropriate, will review
         and give final approval. This level is
         the only approving authority for
         supplemental guidance LOPs.

   b. The manager, at each level, shall review the
      proposed LOP to insure it is in accordance with
      State Law, the GDC Board Rules, the
      Departmental SOPs and in the approved format.
      If the proposed LOP is found not to be in
      compliance, it shall be returned to the
      originating unit or section with an explanation
      of non-compliance. If recommended or approved
      management will sign the supplemental guidance
      request form (Attachment 3) and forward it to
      the next level or return it to the unit or
      section, as appropriate.

   c. When the request for Supplemental Guidance is
      approved:

      1) The original Supplemental Guidance Request
         Form (Attachment 3), signed by management,
         shall be placed in the SOP Manual, of the
         facility, unit, or section, as a cover
         sheet to its related LOP.

   d. The approved LOP is :

      1) printed, on colored paper, by the
         facility, unit, or section staff, (can be
         any other color than white)

      2) distribute to appropriate personnel
         charged with its implementation,

      3) placed in the facility, unit, or section's
         "SOP Manual" behind the SOP the LOP was
         based on.

3. SOP Variance Development:

|Functional Area:
POLICY & EXECUTIVE
PROCEDURE/LEGAL OFFICE - POLICY &
PROCEDURE DESK|Prev. Eff. Date:
9/15/04|Page 5 of
9|
|---|---|---|
|`Functional Area:`
`POLICY & EXECUTIVE`
`PROCEDURE/LEGAL OFFICE - POLICY &`
`PROCEDURE DESK`|`Effective Date:`
`10/15/07`|`Reference Number:`
`IC01-0002`|

   a. If any Departmental SOP, or any part thereof,
      is not appropriate for implementation, or its
      requirements cannot be met, the facility, unit,
      or section management shall request in writing
      a procedure variance to all or part of the SOP
      that is not appropriate. The Procedure
      Variance Request form (Attachment 4) must be
      used when submitting such a request. A
      proposed LOP, to replace all or part of any
      Departmental SOP, shall accompany the variance
      request. The LOP shall be written in the
      approved format.

   b. The variance request must state specifically
      what part of the SOP is inappropriate or
      cannot be met and why, and what procedures
      should be used to replace it.

   c. A procedure variance CAN NOT be used to change
      any requirement set forth in a Board of
      Corrections Rule.

4. SOP Variance Approval:

   NOTE: Procedure Variance LOPs MUST be reapproved
   annually. These procedure are only effective for
   one calendar year from the date they go enforce.
   That means a Procedure Variance LOP must be
   reapproved as setforth by this section every 12
   months.

   NOTE: The local operating procedure CAN NOT be
   implemented until the facility/center/unit or office
   has received the signed approval form from the
   appropriate approving authority.

   a. The completed procedure variance request and
      the proposed LOP to replace the SOP, or
      appropriate part thereof, is then submitted to:

      1) The Facility/Unit/Section Manager will
         review and recommend approval of the LOP.
         If recommended the LOP is submitted to the
         Director of Facility or Probation
         Operations, as appropriate..

|Functional Area:
POLICY & EXECUTIVE
PROCEDURE/LEGAL OFFICE - POLICY &
PROCEDURE DESK|Prev. Eff. Date:
9/15/04|Page 6 of
9|
|---|---|---|
|`Functional Area:`
`POLICY & EXECUTIVE`
`PROCEDURE/LEGAL OFFICE - POLICY &`
`PROCEDURE DESK`|`Effective Date:`
`10/15/07`|`Reference Number:`
`IC01-0002`|

   2) The Director of Facilities or Probation
      Operations, as appropriate, will review
      and recommend.

   3) The LOP is then submitted to the Division
      Director for final approval. This level
      is the only approving authority for
      Procedure Variance LOPs.

b. The manager, at each level, shall review the
   proposed LOP to insure it is in accordance with
   State Law, the GDC Board Rules, the
   Departmental SOPs and in the approved format.
   If the proposed LOP is found not to be in
   compliance, it shall be returned to the
   originating unit or section with an explanation
   of non-compliance. If recommended or approved
   management will sign the SOP Variance request
   form (Attachment 4) and forward it to the next
   level or return it to the unit or section, as
   appropriate.

c. When the request for Procedure Variance is
   approved:

   1) The original Procedure Variance Request
      Form (Attachment 4), signed by management,
      shall be placed in the SOP Manual, of the
      facility, unit, or section, as a cover
      sheet to its related LOP.

d. The approved LOP is :

   1) printed, on colored paper, by the
      facility, unit, or section staff, (can be
      any other color than white)

   2) distribute to appropriate personnel
      charged with its implementation,

   3) placed in the facility, unit, or section's
      "SOP Manual" behind the SOP the LOP was
      based on. The signed original Procedure
      Variance Request Form (Attachment 4) shall

|Functional Area:
POLICY & EXECUTIVE
PROCEDURE/LEGAL OFFICE - POLICY &
PROCEDURE DESK|Prev. Eff. Date:
9/15/04|Page 7 of
9|
|---|---|---|
|`Functional Area:`
`POLICY & EXECUTIVE`
`PROCEDURE/LEGAL OFFICE - POLICY &`
`PROCEDURE DESK`|`Effective Date:`
`10/15/07`|`Reference Number:`
`IC01-0002`|

            also be placed in the Departmental SOP
            Manual, of the facility, unit, or section,
            as a cover sheet to LOP.

         4) A copy of the approved Procedure Variance
            Request Form (Attachment 4) with
            authorizing signatures and the LOP shall
            also be forwarded to the Manager of
            Inspections and Policies (Central Office).

C. Annual Review of Local Operating Procedures: The
   following annual review procedure applies to Supplemental
   Guidance LOPs. All Procedure Variance LOPs are to be
   reapproved annually as outlined in section VI.B.4 of this
   SOP.

   1. All LOPs are to be reviewed, as needed, but at least
      annually by the facility, unit or section
      management. On a quarterly basis, at least twenty
      five percent (25%) of all local operating procedures
      shall be reviewed to assure appropriate content,
      consistency with other Departmental directives, and
      continued usefulness in the accomplishment of
      facility, unit, or section goals and objectives.

   2. Upon completion of each quarterly review the
      facility, unit, or section management shall notify
      the Field Operations Manager in writing (Attachment
      5) that the quarterly review has been completed.
      Documentation identifying any additions, deletions,
      or editing of LOPs will be attached to the document
      (Attachment 5).

   3. Following the fourth quarter review the facility,
      unit, or section management shall forward an annual
      report to the Field Operations Manager to advise
      that all LOPs have been reviewed at some time during
      the year. The report is comprised of the previous
      four Quarterly Review Procedure Report (Attachment
      5)

   4. Procedure Variance LOPs MUST be reapproved annually.
      These procedure are only effective for one calendar
      year from the date they go enforce. This means a

|Functional Area:
POLICY & EXECUTIVE
PROCEDURE/LEGAL OFFICE - POLICY &
PROCEDURE DESK|Prev. Eff. Date:
9/15/04|Page 8 of
9|
|---|---|---|
|`Functional Area:`
`POLICY & EXECUTIVE`
`PROCEDURE/LEGAL OFFICE - POLICY &`
`PROCEDURE DESK`|`Effective Date:`
`10/15/07`|`Reference Number:`
`IC01-0002`|

      Procedure Variance LOP must be approved as setforth
      in section VI.B.4 of this SOP every 12 months.

      a. If the LOP being reviewed is an Procedure
         Variance it shall be evaluated as to continued
         need. If the review determines that the
         facility, unit, or section can now operate
         within the SOP, the variance request shall be
         rescinded in writing by memo and forwarded to
         the appropriate managers. The originating
         manager will retain a copy of the memo in
         his/her subject files for permanent retention.
         A copy of the memo shall also be forwarded to
         the Manager of Inspections and Policies.

   5. When a Supplemental Guidance local procedure (LOP)
      has been reviewed and determined to be appropriate
      for implementation or continued implementation at
      the facility, unit, or section, it must be noted on
      an Annual LOP Procedure Review form (Attachment 6)
      by management signature and filed as a cover sheet
      with the LOP.

   6. Following dissemination of approved new and revised
      local procedures to authorized staff, and/or
      volunteers; a reasonable lead-time will be granted
      for implementation, instruction and adjustment
      without noncompliance penalty when possible.

D. RETENTION SCHEDULE FOR LOCAL OPERATING PROCEDURES

   1. Each facility, section, or unit will retain all LOPs
      which have been replaced by revised or updated LOPs.
      A separate file, identified by LOP reference number,
      shall be maintained for each LOP in this category.
      Outdated LOPs will be placed in the file of its
      respective reference number and ordered
      chronologically according to effective date. As
      written operational procedures are mandated to be
      retained by state law, these file shall be
      maintained locally for 5 years from the date the LOP
      is superceded then destroyed.

E. RELEASE OF INFORMATION CONTAINED IN STANDARD OPERATING
   PROCEDURES OR LOCAL OPERATING PROCEDURE

|Functional Area:
POLICY & EXECUTIVE
PROCEDURE/LEGAL OFFICE - POLICY &
PROCEDURE DESK|Prev. Eff. Date:
9/15/04|Page 9 of
9|
|---|---|---|
|`Functional Area:`
`POLICY & EXECUTIVE`
`PROCEDURE/LEGAL OFFICE - POLICY &`
`PROCEDURE DESK`|`Effective Date:`
`10/15/07`|`Reference Number:`
`IC01-0002`|

      1. Release of information contained in the policy and
         procedure of the Georgia Department of Corrections
         shall be accomplished only in accordance with the
         Policy and Procedure Access Listing located under
         the Policy and Procedure Link on Captiva. Should
         you have a question or require additional
         information please contact Jim Allen at the
         Department of Correction Legal Office at 404-656         0962.

   F. TRAINING

      1. The Legal Office - Policy & Procedure Desk, will
         offer training on the Local Operating Procedure
         Process and Computer Format on an as needed basis.
         Requests should be made to this office.  See section
         VI.A.1

VII. RECORD RETENTION:

   A. Attachment 3 - Supplemental Guidance Request - Form with
      original signatures shall to filed with the LOP while LOP
      is enforce, then archived with the LOP once superseded.

   B. Attachment 4 - Procedure Variance Request - Form with
      original signatures shall to filed with the LOP while LOP
      is enforce, then archived with the LOP once superseded.

   C. Attachment 5 - Quarterly LOP Review - Retain for 12 months
      from date of Manager's signature, then destroy .

   D. Attachment 6 - Annual LOP Review - Form with original
      signatures shall to filed with the LOP while LOP is
      enforce, then archived with the LOP once superseded.