- commonwealth of Pennsylvania - Department of Corrections - State Correctional Institution At Forest

Informations

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Extrait

                                     

           

Commonwealth of Pennsylvania Department of Corrections State Correctional Institution at Forest September 29, 2004, to January 12, 2007 Performance Audit

                     

                                     

     

Commonwealth of Pennsylvania Department of Corrections State Correctional Institution at Forest September 29, 2004, to January 12, 2007 Performance Audit

           

 

July 20, 2007

                        The Honorable Edward G. Rendell Governor Commonwealth of Pennsylvania Harrisburg, PA 17120   Dear Governor Rendell:   This report contains the results of a performance audit of the State Correctional Institution at Forest of the Department of Corrections from September 29, 2004, to January 12, 2007. The audit was conducted under authority provided in Section 402 of The Fiscal Code and in accordance withGovernment Auditing Standardsas issued by the Comptroller General of the United States.   The report details the audit objectives, scope, methodology, findings, and recommendations. The report notes that Forest did not conduct all required fire drills or provide all mandated training to members of its Fire Emergency Response Team during the fiscal year ended June 30, 2006. The report discusses the facilitys excessive number of building water leaks. Additionally, the report identifies the institutions noncompliance with Department of Corrections fixed asset control guidelines. Finally, the report indicates that Forest did not provide all required training to newly promoted sergeants, food service employees, and members of its Corrections Emergency Response team. The contents of the report were discussed with the officials of the institution, and all appropriate comments are reflected in the report.   We appreciate the cooperation extended to us by management and staff of the State Correctional Institution at Forest and by others who provided assistance during the audit.   Sincerely,       JACK WAGNER Auditor General

 

                 

Table of Contents

Page

Background Information ..................................................................................................1  Department of Corrections .........................................................................................1 State Correctional Institution at Forest ......................................................................1

Objectives, Scope, and Methodology ...............................................................................3 

Audit Results ......................................................................................................................6  Fire Safety .........................................................................................................................6 Finding 1  The institution incorporated effective practices in its fire safety program....................................................................................................................6  Finding 2  Forest did not conduct all required fire drills. ........................................6 Finding 3  Forest did not provide the required training to Fire Emergency Response Team members. .......................................................................................7 Maintenance Operations....................................................................................................9 Finding 4  Forest complied with the DOCs guidelines for work order administration. .........................................................................................................9 Finding 5  Prison buildings were improperly constructed and allowed to leak for over 28 months...................................................................................................9 Procurement ....................................................................................................................11 Finding 6  Forest effectively controlled its procurement transactions in compliance with Commonwealth and DOC guidelines.........................................12 Employee Travel .............................................................................................................12 Finding 7  Forest complied with applicable policy and adequately monitored its travel expenses. .................................................................................................13 Fixed Assets ....................................................................................................................13 Finding 8 Forest did not comply with Commonwealth and DOC fixed asset  control guidelines...................................................................................................13 Employee Training ..........................................................................................................15 Finding 9  Training instructors were certified and the members of the facility hostage negotiation team received the proper training. .........................................15 Finding 10  Forest did not provide all required training to newly promoted sergeants, food service employees, and members of its Corrections Emergency Response Team...................................................................................15

Audit Report Distribution List .......................................................................................17           

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Background Information

        Department of Corrections The Pennsylvania General Assembly created the Pennsylvania Bureau of Corrections with the passage of Act 408 of July 29, 1953, P. L. 1428, Section I. In January 1981, responsibility for bureau operations transferred from the authority of the Attorney General to the Office of the General Counsel. On December 30, 1984, the Governor signed Act 245 of 1984, 1 elevating the Bureau of Corrections to cabinet level status as the Department of Corrections (DOC).   The main purpose and goal of the DOC is to maintain a safe and secure environment for both the incarcerated offenders and the staff responsible for them. In addition, the DOC believes that every inmate should have an opportunity to be involved in a program of self- improvement.   The DOC is responsible for all adult offenders serving state sentences of two years or more. As of June 30, 2006, it operated 24 correctional institutions, 1 regional correctional facility, 1 motivational boot camp, 1 training academy, and 15 community pre-release centers throughout the Commonwealth of Pennsylvania.       State Correctional Institution at Forest The State Correctional Institution at Forest (Forest) opened on September 29, 2004, as a maximum security prison for adult male offenders.   Located in Marienville, Forest County, the facility is situated on approximately 202 acres of land with 68 acres inside a double 14-foot fence topped with razor wire. The facility has 10 housing units, an administration building, a facilities management complex, a visiting complex, and separate buildings for health services, dietary services, maintenance shops, a chapel, learning resources, and inmate activities/recreation.          

                                                  1 71 P.S. § 310.1.

 

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Background Information The following schedule presents select unaudited Forest operating statistics compiled by the DOC for the years ended June 30, 2005, and 2006:    2005 2006 Operating expenditures (rounded in thousands) 2    State $20,557 $50,069  Federal 12 6  Total $20,569 $50,075    Inmate population at year end 998 1,887    Capacity at year end 1,866 1,980    Percentage of capacity at year end 3 53.5% 95.3%    Average monthly inmate population 643 1,711    Average cost per inmate 4 $31,989 $29,266

           

                                                  2 Operating expenditures are recorded net of fixed asset costs, an amount that would normally be recovered as part of depreciation expense. 3 For the fiscal year ended June 30, 2005, the prison had only been accepting inmates for nine months, and was only partially filled. 4 calculated by dividing the operating expenditures by the average monthly inmateAverage cost was population. 

 

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Objectives, Scope, and Methodology

        The objectives for the current audit were selected from six areas: Fire Safety; Maintenance Operations; Procurement through purchasing cards, the centralized advancement account, and the SAP Materials Management module; Travel Expense; Fixed Asset Tracking; and Employee Training. The specific objectives for this audit were:   •   To determine whether Forest complied with the DOC policies and procedures and to assess the adequacy of the facilitys fire safety program. (Findings 1, 2, and 3).   •   To assess the adequacy of controls over maintenance expenditures and to assess the overall facility readiness of the buildings. These objectives included an assessment of the economy and efficiency of maintenance operations as well as work order administration, and an examination of the physical condition of the buildings. (Findings 4 and 5).   •   To determine whether Forest personnel complied with Commonwealth and DOC policies and procedures for use of the advancement account, Visa purchasing cards, and the SAP R/3 Materials Management module and to assess the adequacy of relevant internal controls. (Finding 6).   •   To determine whether the institutions employee travel and associated reimbursements complied with Commonwealth and DOC policies and procedures, and to assess the effectiveness of relevant controls. (Finding 7).   •   To determine whether Forest complied with the fixed asset policies and procedures and to assess the adequacy of relevant internal controls. (Finding 8).   •    9 (FindingsTo assess Forests compliance with the DOC training guidelines. and 10).   The scope of the audit was from September 29, 2004, to January 12, 2007, unless indicated otherwise. Since this was the first audit of Forest, the report does not include a status of prior audit findings and recommendations.   To accomplish these objectives, the auditors reviewed the DOCs Safety Procedures Manual,  5 the Staff Development and Training Procedures Manual,  6 the Commonwealths                                                   5 Commonwealth of Pennsylvania Department of Corrections, Policy Number 15.1.1, Safety, July 16, 2003. 6 Commonwealth of Pennsylvania Department of Corrections, Policy Number 5.1.1, Staff Development and Training, December 15, 2003.

 

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