Section 40. Preparation for audit

A. The Compliance and Accreditation Unit supervisor shall develop an annual audit schedule.

1. The schedule shall be submitted to the Compliance and Accreditation Unit manager for review, comment and approval.

2. Upon approval, the Compliance and Accreditation Unit supervisor shall:

a. Disseminate the final schedule as appropriate, and

b. Review the schedule as necessary and make adjustments for additional audits.

3. Changes to the final audit schedule shall be agreed upon by the Compliance and Accreditation Unit manager.

4. The Compliance and Accreditation Unit supervisor shall notify the facility or program administrator of the change. Changes shall not extend the audit date beyond the established frequency limits without board approval.

B. The Compliance and Accreditation Unit manager shall appoint certification team members.

1. Team members shall have prior audit experience or have completed certification training.

2. At least one person shall be a staff member of the same type of facility or program being audited.

3. The certification team auditing local correctional facilities shall consist at minimum of a certification analyst and a local facilities manager.

4. The certification analyst shall act as team leader and shall coordinate and facilitate the audit.

C. The Compliance and Accreditation Unit shall notify the facility or program administrator in writing at least 30 days prior to a compliance audit.

D. A certification analyst should visit the facility or program administrator prior to an audit to discuss the audit process as needed. The visit shall be documented and approved by the Compliance and Accreditation Unit supervisor.

Historical Notes

Derived from VR230-01-003:1 § 2.2, eff. May 1, 1993; amended, Volume 13, Issue 17, eff. July 1, 1997; Volume 23, Issue 22, eff. August 9, 2007; Volume 28, Issue 06, eff. December 21, 2011.

Statutory Authority

§ 53.1-5 of the Code of Virginia.