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Rick Scott, Governor
Florida Department of Corrections, Secretary Michael D. Crews

Florida Department of Corrections
Timothy H. Cannon, Interim Secretary

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Table of Contents

Prepared By:
Office of the Inspector General

September 30, 1998

Direct questions to:
Fred W. Schuknecht,
Inspector General

2601 Blair Stone Road
Tallahassee, Florida
32399-2500

Michael W. Moore,
Secretary

Executive Summary

Agency Background

The Florida Department of Corrections has continued to grow dramatically over the past five years. The agency currently is responsible for 60 major institutions, 81 community-based facilities, and more than 155 probation offices. The agency employs almost 28,000 individuals who are responsible for providing custody and care for more than 66,000 inmates, and community supervision for over 144,000 offenders. The total operating budget for the agency is approximately $1.5 billion.

Purpose of the Annual Report

This report, required by the Inspector General Act of 1994, summarizes the activities and accomplishments of the Florida Department of Corrections, Office of the Inspector General, during fiscal year 1997-1998.

Section 20.055, Florida Statutes, defines the duties and responsibilities of each Inspector General with respect to the state agency in which the office exists. The statute requires that the Inspector General submit an annual report of activities during the preceding fiscal year to the agency head.

This document is presented to the Secretary to comply with statutory requirements and to provide departmental staff and other interested parties with an overview of the Office of the Inspector General's progress in accomplishing its mission as defined by Florida Law. This report contains a brief description of the most significant of these activities for the past fiscal year.

Introduction

Organization/Duties

The Office of the Inspector General encompasses four bureaus: State Investigations, Inspections and Intelligence, Inmate Grievance Appeals and Internal Audit. These bureaus are charged with the following general responsibilities:

  1. Perform investigations, audits, and management reviews relating to the staff, programs, and operations of the Department.
  2. Keep the Secretary informed of fraud, abuse, and deficiencies relating to programs and operations administered by the Department; recommend corrective action; and report on the progress made in implementing corrective action.
  3. Advise in the development of performance measures and standards for the evaluation of agency programs.
  4. Operate the contraband interdiction program.
  5. Process inmate grievance appeals.
  6. Coordinate Department activities required by the Whistle-blower's Act and "Get Lean Hot-Line" program.
  7. Provide effective coordination and cooperation with the Auditor General, OPPAGA, and the Florida Department of Law Enforcement.
  8. As a member of the Governor's Council on Integrity and Efficiency (GCIE), share ideas with other inspector generals for improving the IG function and coordinating activities that cross agency lines.

Specific Areas of Responsibility

To meet the growing needs of a rapidly expanding Department of Corrections, the Office of the Inspector General has had to maximize the efficient use of its resources by addressing those matters of greatest concern and vulnerability to fraud and abuse. Specific areas of responsibility for the bureaus, and the benefits they provide, are as follows:

  1. Manage a statewide computerized management information network and coordinate this activity with other designated key managers.
    • Provides a daily incident/event reporting system from all areas of the Department and allows for early identification of problems or problem areas and timely allocation of investigation resources.
    • Provides for data collection on a statewide basis for review by key correctional managers in developing strategies to address problems.
    • Provides for the systematic and coordinated flow of information to the Public Information Office regarding issues of importance to the public and the department.
    • Provides information from existing investigative reports to the Bureau of Legal Services and the state's Risk Management Division when identified litigation issues develop.
    • Provides leadership in the Department's effort to maintain a strong, formal, cooperative working relationship with the Department of Law Enforcement and other law enforcement and investigative agencies.

  2. Conduct criminal and administrative investigations in state correctional facilities.
    • Provides on a regional basis investigative staff to conduct criminal investigations of felonies in state correctional facilities and the coordination of the activities with other law enforcement and investigative agencies including prosecution through State Attorneys offices.
    • Provides on a regional basis investigative staff to conduct administrative investigations into improper procedures, EEO complaints, sexual harassment complaints, etc., in state correctional facilities, coordinating these activities with appropriate departmental staff and, when warranted, other law enforcement and investigative agencies.
    • Provides for timely intervention in areas of specific identified concern to reduce the potential for situations/problems to escalate such as disputes between staff, escape recapture efforts, etc.

  3. Assist the Office of Security and Institutional Management in providing a safer environment for employees, inmates, and visitors by discouraging the introduction of contraband at state correctional facilities.
    • Maintains an automated tracking system for contraband seized within state correctional facilities.
    • Conducts unannounced interdiction operations with the Office of Security and Institutional Management and the Florida Highway Patrol Canine Teams.
    • Reviews contraband control procedures at state correctional facilities for compliance with Department policy and procedure.

  4. Direct the Department's safety and risk management program, including training staff and inspecting facilities.

  5. Manage and monitor the grievance procedure for inmates incarcerated in the state correctional system.
    • Provides an avenue for inmates to seek administrative review of complaints about issues and situations that affect them personally.
    • Provides an avenue of issue identification to managers in areas under the Department's control that may need correction.
    • Provides information to managers and key staff regarding potential litigation issues.
    • Provides for early identification of issues/situations that need investigation.
    • Provides a mechanism to reduce the cost to the state for inmate litigation in the courts by making administrative remedies available.

  6. Assume internal audit responsibility for assessing the efficiency and effectiveness of management controls and programs to determine compliance with Department policy and procedures.
    • Conducts compliance audits in accordance with professional standards.
    • Conducts management reviews at Department facilities and offices to identify management deficiencies and facilitate corrective action.
    • Assists with investigations involving fraud, waste, or misappropriation of funds.
    • Serves as the Department's liaison with the Office of the Auditor General and the Office of Program Policy Analysis and Government Accountability on all audits and performance reviews completed by those offices.

Organizational Chart

Flow Chart showing the Orgazniational structure of the Office of the Inspector Gerneral.  Secretary of Corrections > Inspector General > Separate Bureaus

Chart showing Allocation of Staff Resources - State Investigations 48%, Risk Management 5%, Inmate Grievances 17%, Contraband Interdictions 12%, Internal Audit 18%

Other Activities

Coordination With Other Audit and Investigative Functions

During FY 1997-98, the Office of Program Policy Analysis and Government Accountability issued a report entitled "Review of Bay Correctional Facility and Moore Haven Correctional Facility (97-68)." The review evaluated the costs and benefits of the Correctional Privatization Commission contracts at Bay and Moore Haven correctional facilities, along with the performance of the private contractors, to determine whether the contracts met Legislative mandates.

Association of Inspectors General

The Inspector General played an active role in the ongoing evolution of this national association which was formed in October, 1996. Sharing of information among state and local inspectors general from throughout the nation is a primary benefit.

Professional Audit Organizations

The Bureau of Internal Audit participates in several professional organizations, including the Audit Director's Roundtable, Institute of Internal Auditors, Florida Audit Forum, Association of Certified Fraud Examiners, and the American Association of Certified Public Accountants. These organizations promote progress and professionalism in the field through sharing of ideas and best practices.

Investigators' Roundtable

The Investigators' Roundtable brings together members of investigative units of the Inspector Generals' offices for each agency on a monthly basis to identify best practices and discuss common issues. These meetings promote progress through the sharing of ideas and best practices among state agencies.

Performance Measures

The Financial and Compliance Audit Section of the Bureau of Internal Audit is responsible for monitoring the agency's progress in developing performance measures. During FY 1998-99 the Bureau of Internal Audit will be assessing the reliability and validity of the information provided in support of performance measures adopted by the Legislature under the 1997-98 General Appropriations Act. The Bureau will also identify management controls in place to ensure the reliability and validity of data which will be provided at the end of FY 1998-99. This data will be used to assist OPPAGA in its justification review of Department programs, which is statutorily required the following year.