SOP_NUMBER: 203.02
TITLE: Document Flow
REFERENCE_CODE: IIA04-0001
DIVISION: Facilities Division
TOPIC_AREA: Facilities Reporting/Operations
EFFECTIVE_DATE: 2018-03-16
WORD_COUNT: 1334
POWERDMS_URL: https://public.powerdms.com/GADOC/documents/106136
URL: https://gps.press/sop-data/203.02/

SUMMARY:
This policy establishes the procedures for GDC facilities and centers to submit required reports to various divisions within the Department in an efficient and timely manner. It specifies what types of reports must be submitted (COMPSTAT reports, incident reports, escape reports, audit reports, etc.), who must receive each report, and the routing process from facilities through regional directors to central office leadership. All facilities and centers are required to follow these document flow procedures.

KEY_TOPICS: document flow, report routing, incident reports, COMPSTAT reports, escape reports, audit reports, facility inspections, fire marshal inspections, critical position requests, overtime requests, regional director, field operations, offender administration, internal investigations

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|GEORGIA DEPARTMENT OF CORRECTIONS<br>Standard Operating Procedures|Col2|Col3|
|---|---|---|
|**Policy Name:** Document Flow|**Policy Name:** Document Flow|**Policy Name:** Document Flow|
|**Policy Number:** 203.02|**Effective Date:** 3/16/2018|**Page Number:** 1 of 6|
|**Authority:** <br>Commissioner<br>|**Originating Division:** <br>Facilities Division|**Access Listing:**<br>Level I: All Access|



**I.** **Introduction and Summary:**

Each facility/center under the Georgia Department of Corrections (GDC or
Department) is required to send reports to various Divisions within the GDC in an
efficient manner.

**II.** **Authority:**

A. GDC Rules: 125-1-2-.01 (b), 125-2-1-.01 (d), 125-3-1-.07 and 125-3-2-.07;


B. GDC Standard Operating Procedures (SOPS): 203.03, Incident Report; 203.04,

Notification/Clearance of Escapes; 209.01, Offender Discipline; and 209.04, Use
of Force and Restraint of Offenders; and

C. ACA Standards: CO-1A-21 and 4-4018.

**III.** **Definitions:** None.

**IV.** **Statement of Policy and Applicable Procedures:**

Each facility/center shall complete the following reports and forward them
electronically to the designated location(s) as required.


A. COMPSTAT Report: Facilities/centers shall compile the COMPSTAT Report

monthly and forward it electronically to the appropriate Regional Director. This
report shall include major developments in each Division or Administrative Unit,
Major Incidents, population data, assessment of staff and offender morale, and
major problems. (Major or systemic problems shall require plans of action to the
Regional Director.)

B. Incident Reports (including Use of Force and Weapons Reports. See SOP 209.04,

Use of Force and Restraints of Offenders):


1. Facilities/centers will place a copy of the Incident Report, with accompanying

attachments and statements, in the offender facility/center institutional file.


|GEORGIA DEPARTMENT OF CORRECTIONS<br>Standard Operating Procedures|Col2|Col3|
|---|---|---|
|**Policy Name:** Document Flow|**Policy Name:** Document Flow|**Policy Name:** Document Flow|
|**Policy Number:** 203.02|**Effective Date:** 3/16/2018|**Page Number:** 2 of 6|
|**Authority:** <br>Commissioner<br>|**Originating Division:** <br>Facilities Division|**Access Listing:**<br>Level I: All Access|



2. The original will be sent to the Internal Investigations Section and a copy will

be sent simultaneously to the Regional Director or Contract Facility Manager
and a copy will be maintained by the Warden/Superintendent or designee.

3. The Regional Director or Contract Facility Manager will review and forward,

if necessary, to the Director, Field Operations.

4. The Director, Field Operations will review and forward the report to the

Commissioner's Office, if necessary.

5. The Regional Director or Contract Facility Manager will forward a copy to

Central Office offender file (not applicable to Probation Centers).

6. Originals will be kept on file in Office of Professional Standards Investigations

Unit.

C. Escapes: In the event of an escape, SOP 203.04, Notification/Clearance of

Escapes, Attachment 1, Report of Escape, and Attachment 2, Report of Recapture,
shall be completed. An After Action Report shall also be completed after the
escape. This report will be a detailed analysis of the facts and circumstances
leading up to the escape and particularly the causes. Instructions for completing
this report are outlined in SOP 203.04, Notification/Clearance of Escapes:


1. The facility/center shall send the Report of Escape to Offender Administration;


2. The facility/center shall send the Report of Recapture to Offender

Administration;

3. The facility/center shall send the After Action Report to the respective

Regional Director or Contract Facility Manager.


a. The Regional Director or Contract Facility Manager will forward the report

to the Director, Field Operations; and


|GEORGIA DEPARTMENT OF CORRECTIONS<br>Standard Operating Procedures|Col2|Col3|
|---|---|---|
|**Policy Name:** Document Flow|**Policy Name:** Document Flow|**Policy Name:** Document Flow|
|**Policy Number:** 203.02|**Effective Date:** 3/16/2018|**Page Number:** 3 of 6|
|**Authority:** <br>Commissioner<br>|**Originating Division:** <br>Facilities Division|**Access Listing:**<br>Level I: All Access|



b. The Regional Director or Contract Facility Manager will maintain a file

copy.

**NOTE:** Transitional Centers and Probation Centers present different
circumstances in dealing with escapes and shall follow policies that are
applicable to Centers.

D. Store/Vending Account Fund Expenditure Requests:


1. Requests shall be sent to respective Regional Director for approval.


2. The facility/center shall maintain a copy of approval for audit purposes.


E. Staff Minutes:


1. The facility shall send the original copy to the Regional Director.


2. The facility/center shall send a copy to the Director, Field Operations.


F. Teletypes or E-Mail (offender travel, medical bed-space, double celling, etc.):


1. Offender Travel: Request shall be sent to the Regional Director for approval.


2. Medical Bed Space for Non-Medical Reasons: Request shall be sent to the

Regional Director or Contract Facility Manager for approval.

3. Double Celling Isolation Bed Space: Request shall be sent to the Regional

Director or Contract Facility Manager.

G. Property and Fiscal Audit Reports:


1. The facility/center shall send the original response to the Audit Section.


2. The facility/center shall send a copy to the Director, Facilities

Administration/Support.


|GEORGIA DEPARTMENT OF CORRECTIONS<br>Standard Operating Procedures|Col2|Col3|
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|**Policy Name:** Document Flow|**Policy Name:** Document Flow|**Policy Name:** Document Flow|
|**Policy Number:** 203.02|**Effective Date:** 3/16/2018|**Page Number:** 4 of 6|
|**Authority:** <br>Commissioner<br>|**Originating Division:** <br>Facilities Division|**Access Listing:**<br>Level I: All Access|



3. The facility/center shall send a copy to the Regional Director or Contract

Facility Manager.

H. Facility Inspection Reports:


1. The facility/center shall send the original response to the Regional Director or

Contract Facility Manager.

2. The Regional Director or Contract Facility Manager will review the original

response, endorse if satisfactory and forward to the Director, Field Operations.

I. Other Types of Facility/Center Reports:


1. GDC Fire Marshall Inspection reports: The facility/center shall send a copy to

the GDC Fire Marshall and the respective Regional Director or Contract
Facility Manager.


2. Critical Position Requests:


a. The facility/center shall send all original requests, regardless of type of

position or functional specialty to the respective Regional Director or
Contract Facility Manager for review and concurrence.

b. The Regional Director or Contract Facility Manager will endorse and

forward to the Director, Field Operations.

c. Upon review and endorsement, the request will be forwarded to the

functional specialty area for final consideration.

d. The Facilities Division will notify the originating facility of the final

disposition of all requests.

e. Facility inquiries as to interim status of requests will be directed to the

Facilities Division.


|GEORGIA DEPARTMENT OF CORRECTIONS<br>Standard Operating Procedures|Col2|Col3|
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|**Policy Name:** Document Flow|**Policy Name:** Document Flow|**Policy Name:** Document Flow|
|**Policy Number:** 203.02|**Effective Date:** 3/16/2018|**Page Number:** 5 of 6|
|**Authority:** <br>Commissioner<br>|**Originating Division:** <br>Facilities Division|**Access Listing:**<br>Level I: All Access|



3. Employee Overtime Requests:


a. Except in emergency situations, all requests shall be made in advance.


b. Facilities shall send all requests, regardless of the type of position, to the

Regional Director for review and concurrence.

c. The Regional Director will endorse and forward to the Director, Field

Operations.

d. Upon review and endorsement, the request will be forwarded to the Budget

Office for final action.

e. Facility/Center inquiries as to interim status of all requests will be directed

to the Facilities Division.

f. The Facilities Division will notify and provide originating facilities with

approval documentation.

g. All overtime performed must be recorded in the Time and Labor system.

Before overtime can be performed, the facility must get approval for the
overtime and shall still enclose a copy of the approval document when
submitting Overtime Claims Sheet for payment to the Facilities Division.

4. Promotion or Appointment of all positions pay grade LJ and above:


a. All promotion boards for positions on pay grade LJ and above will be held

at the location designated by the respective Regional Director, with the
Regional Director establishing the promotion board.

b. The personnel package for the individual hired shall be completed by the

initiating facility/center.

c. The complete personnel action request shall be forwarded to the respective

personnel technician in the GDC Personnel Office.


|GEORGIA DEPARTMENT OF CORRECTIONS<br>Standard Operating Procedures|Col2|Col3|
|---|---|---|
|**Policy Name:** Document Flow|**Policy Name:** Document Flow|**Policy Name:** Document Flow|
|**Policy Number:** 203.02|**Effective Date:** 3/16/2018|**Page Number:** 6 of 6|
|**Authority:** <br>Commissioner<br>|**Originating Division:** <br>Facilities Division|**Access Listing:**<br>Level I: All Access|



i. Personnel packages should not be forwarded to the Facilities
Division.

ii. The technician serving a particular facility/center will seek approval
from the Facilities Division for positions pay grade LJ and above.

**V.** **Attachments** : None.

**VI.** **Record Retention of Forms Relevant to this Policy:** None.