Comprehensive Corrections Compliance Checklist

Although the U.S. prison population has decreased in recent years, federal and state facilities still house more than 1.2 million inmates. Federal and state compliance regulations aim to enhance the safety, dignity, and well-being of incarcerated individuals with the goal of reducing recidivism and supporting a continued decline in reincarcerations.

But with some states managing nearly 140,000 inmates, adhering to standards can be challenging. Outdated tracking and reporting systems are often inefficient and leave room for administrative errors that undermine compliance efforts.

Fortunately, technological compliance solutions can streamline legacy processes with tools that improve tracking, monitoring, and reporting. When combined with strategic change management and onboarding, cloud-based systems enable corrections facilities to implement consistent, standardized compliance procedures.

In this article, we’ll provide context and background on the primary areas of corrections compliance and describe how some agencies are leveraging technology to drive improved outcomes for incarcerated individuals and correctional staff.

The Purpose and Scope of Corrections Compliance

Corrections compliance standards are measurable directives that define requirements and expectations for corrections operations or facilities. Discussions about these directives arose in the 1870s in response to poor jail conditions and drew federal attention during the Civil Rights Movement in the 1960s.

Today’s compliance standards come down from federal, state, and local governments, associations, and professional organizations. These include groups like the U.S. Department of Justice, the American Correctional Association, and state boards or commissions. These regulations define and govern:

• Treatment, well-being, and rights of incarcerated individuals.
• Appropriate conditions for incarceration and supervision.
• Facility operations, such as discipline and security checks.
• Education and reentry programs.
• Efforts that maintain public safety.

To adhere to standards, corrections administrators and staff must focus on four key areas:

• Inmate compliance to facility rules, court mandates, and the authority of corrections officers


• Jail standards compliance, including regulations like the Prison Rape Elimination Act (PREA)


• State regulations that govern operations in state-run corrections facilities


• Local regulations from county- or city-level associations like the New York City Board of Corrections

It can be overwhelming to manage, especially in large facilities. Correctional institutions that rely on legacy systems often require hours of manual labor and don’t offer reliable methods for detailed recordkeeping. Without a consistent approach to compliance, crucial procedures might be overlooked and facility conditions within the facility could suffer.

Failing to maintain compliance often leads to negative publicity that lowers public trust in corrections operations. Instead of waiting for problems to emerge, facilities can proactively audit compliance and implement changes that improve outcomes for inmates and corrections staff.

Learn More About Tyler's Enterprise Corrections Suite

Tyler's Enterprise Corrections Suite is designed to bring a range of benefits to your facility through customizable and compliant solutions. Learn how our tools can enhance your compliance initiatives.

The Corrections Compliance Checklist: 8 Considerations to Audit Your Compliance

A comprehensive internal compliance audit uncovers areas for improvement through both technology and personnel management. Here are eight key considerations when reviewing your agency’s current compliance procedures.

1. Adherence to All Regulations

Make sure you’re familiar with the compliance regulations your facility is required to follow, which may include federal, state, and local standards that affect operations and treatment of incarcerated individuals.

State-level standards can generally be found on your state’s corrections commission or jail standards board website. In Texas, for example, the Texas Commission on Jail Standards provides detailed standards that states must adhere to. Facility administrators can visit the Resources section to get more details and equip their staff with compliance training that addresses gaps in knowledge and procedures.

2. The Limitations of Current Systems and Technology

Knowing where your tech stack falls short in supporting compliance can guide you to a better system that meets your current and future needs. Use these questions to evaluate your system and identify compliance gaps:

• Security. Can your officers receive timely threat or safety alerts that enable them to respond appropriately before situations escalate?


• Inmate tracking. How easily can officers record inmate information and translate the data into detailed reports?


• Communication tools. Do inmates have easy access to options like messaging and video visitation that enable confidential communication with family, friends, and legal teams?

3. Inmate Safety

In addition to reviewing your tech stack, assess your facility’s safety and welfare policies. These should include regulations for facility maintenance to provide healthy, humane living conditions as well as an accessible system for incarcerated individuals to file grievances and make requests.

When handling grievances, confidentiality is crucial. Filing grievances on paper could require inmates to submit complaints to an officer implicated in the incident, exposing the individual to potential retaliation. Switching from paper-based systems to a kiosk or tablet decreases the chance of confrontation and offers a centralized system where staff can reliably monitor and respond to grievance reports.

4. Staff Compliance Training

Adequate compliance training informs corrections staff about the latest regulations and equips them to follow facility procedures. Staff should be well versed in:

• Legal obligations, including reporting requirements for external compliance audits.
• Crisis management to promote safe, ethical responses to aggression, mental health emergencies, or threats to safety.
• Treatment of incarcerated individuals, their property management, and financial tracking.

Update training in each area regularly to address changing compliance requirements.

5. Facility Maintenance and Conditions

Incarcerated individuals are entitled to clean, safe facility conditions. Facilities must provide adequate hygiene and sanitation amenities to comply in these areas. Limited access to bathrooms and showers can increase susceptibility to illness and undermine an individual’s dignity.

Along with sanitation, infrastructure maintenance is critical. Lighting, plumbing, and heating should be in working order throughout the facility, and broken or malfunctioning structures and equipment should be fixed promptly.

6. Inmate Rehabilitation and Reintegration Programs

Considerations of inmate well-being extend beyond the incarceration period. Incarcerated individuals benefit from rehabilitation and reintegration programs that set them on the path to success upon release.

Efforts designed to prepare individuals for reentry can reduce the risk of recidivism. A 2017 paper from the National Institute of Justice examined various approaches to correctional programming and concluded that options like therapy, education, employment, and social support positively affect reintegration outcomes.

Providing incarcerated individuals access to educational programming through tablets gives opportunities to improve their skills and connect with potential employers before release. Flexible education and training options help focus on constructive activities, leading to an improved environment within the facility.

7. Trust Account Management

Trust accounts are subject to audit to protect individuals’ finances from misuse and theft during incarceration. To maintain compliance, facilities should implement:

• Full account visibility and oversight.
• Consistent recordkeeping and account balancing.
• Deposit and payment monitoring.
• Prompt reporting of suspicious activity.

This approach prevents the inappropriate use of funds and assures that incarcerated individuals have access when necessary. Electronic kiosks can provide appropriate self-service access for commissary orders and other expenses and enable your facility to track trust account activity.

8. Grievance Procedures

Traditional grievance procedures make managing inmate grievances difficult. Papers can get lost or deliberately misplaced, and complaints about conditions or treatment may not be handled in a timely manner — if at all. An electronic system that tracks filing and resolution can help your facility address concerns and comply with grievance standards.

Switching to a technological solution enables inmates to file complaints digitally and know their reports will be acknowledged and addressed. Detailed grievance data is available when your facility needs to produce reports for compliance audits or inspections.

Managing Change and Driving Optimal Compliance Results With Technology

Assess where and how your facility needs to improve its compliance efforts and plan a new approach accordingly. You may find updates to procedures and reporting standards may face resistance that can create barriers to successful implementation. Facility staff may be unsure about the need to change familiar processes, and those handling legacy system tasks might become concerned about job security.

Strategic change management allows staff to review proposed compliance solutions, express concerns, and get details about the implementation timeline. Administrators can directly address potential problems and adjust the plan based on feedback.

Onboarding complements change management to support technology implementation and adoption by:

• Connecting software capabilities to existing compliance and reporting challenges.
• Empowering staff and administrators to meet challenges with software tools.
• Setting realistic expectations about what the platform can and can't solve.
• Establishing and teaching repeatable processes that promote compliance.

When corrections staff receive proper training on new solutions, they can experience firsthand how technology saves time, reduces administrative burdens, and makes their jobs easier.

Better Corrections Compliance With Technology: A Case Study of Dekalb County Jail

Facilities that integrate technology into their corrections compliance strategies often see a measurable boost in efficiency, as demonstrated by DeKalb County Jail in Decatur, Georgia.

DeKalb County Jail grappled with a legacy system that bogged staff down with time-consuming tracking and logging. As a strategy to improve its processes and fulfill its commitment towards the well-being of the 33,000 inmates it handles annually, the facility implemented Enterprise Corrections.

With this shift, the county was able to:

• Create better inmate scanning and tracking procedures.
• Switch to electronic logging for more accurate recordkeeping.
• Reduce inmate release processing time by 50%.

Support Corrections Compliance With a Flexible Solution

Technology can enable your corrections facility to meet the challenges of complex compliance regulations with tools that standardize tracking, monitoring, and recording procedures.

In addition, incarcerated individuals benefit from communication and reporting tools that maintain confidentiality and personal privacy. Access to educational programs and employment training prepares them for reentry and reduces the risk of reincarceration.