Fill - Free fillable Igannual14 15 FDC OIG Annual Report 2014-15 (Florida Department of Corrections) PDF form

Florida Department of Corrections

Office of Inspector General

Fiscal Year 2014-15

Governur

RI

CK

SCOTT

Secretary

JULIE

L.

JONES

501 South Calhoun Street,

Tallaha

ssee, FL 32399-2500

http://www.dc.state.fl.us

September

29,

2015

Julie L. Jones

Secretary

Florida Department of Corrections

501 Sou

th

Calhoun Street

Tallahassee, Florida

32399-2500

Dear Secretary

Jone

s:

I am pleased to present the Office of Inspector General (OIG) Annual Report for Fiscal Year

2014-15,

provided

pur

suant

to the mandate of Section

20.055(8)

, Florida Statutes. This report outlines the

activities and accomplishments of the OIG for the fiscal year ending

June

30

,

20

15.

A

true

measure of the value and services of the OIG can never be fully reflected in an annual report. The

tangible results such as services performed, contracts audited, complaints referre d, contracts reviewed

and associated dollar impacts, and employees disciplined or convictions obtained as a result of an

investigation can be readily reported. However, our intangible services, including the deterrent effect of

this office, are

not

always readily quantifiable in an annual report. This report docum

ent

s the

man

y

activities that fall within the responsibility of this office and it reflects the high professional standards of

each member of the

DIG

team.

I would like to take this opportunity to thank you for the support you have provided to this office. We

look forward to continuing to work closely with you, your leadership team, and our fellow employees to

promote economy, efficiency and effectiveness, and to help the Depa

rtment

accomplish its critical

mission

and

initiatives in the months ahead. We remain committed to helping improve the operations

and

programs

of

the Department.

Please let me know if I may be of further assistance.

Respectfully submitted,

-

~

---,,-,

.

/.

~t-r

,-----

.Y

Je e6 T.

Be

~le

y

-

~

Inspector General

JTB

/pr

s

*

JN

SPIRING SUCCESS BY TRANSFORMING ONE LIFE AT A TIME *

FLORIDA

Go vernor

DEPARTMENT

of

RICK SCO TT

CORRECTIONS

Secretary

JULIE

L

..

JONES

501 South Calhoun Street, Tallahassee, FL 32399·2500

hnp.Zwww.dc.state.tl.us

S

eptemb

er 29, 2015

Melinda M. Miguel,

Chief Inspector General

Office

of

the

Chief Inspector General

Room 2103 - T

he

Capitol

Tallahassee, FL 32399-0001

Dear Ms. Miguel:

I

am

pleased to

present

the

Office of Inspector General (DIG) Annual Report for Fiscal Year 2014 -15,

provided pursuant to the mandate of Section 20.055(8), Florida Statutes. This report outlines the

activities

and

accomplishments of

the

DIG for the fiscal year ending June 30, 2015.

A

true

measure of the value

and

services of

the

DIG can never be fully reflected

in

an

a

nnua

l

report

.

The

tangible results such as services performed, contracts audited, complaints referred, contracts reviewed

and

associated dollar impacts,

and

employees disciplined or convictions

obtained

as a re

sult

of

an

investigation

can

be readily reported. However,

our

intangible services, including

the

deterre

nt effect

of

thi s office, are

not

always readily

quant

ifiable in an

annua

l

report

. This r

eport

documents

the

many

activities

that

fall within

th

e responsibility of this office

and

it reflects

the

high professional

standards

of

each

member

of

the

OIG team.

I would like to take this

opportun

ity to t

hank

you for

the

support

you have provided to

this

office. We

look forwa

rd

to continuing to work closely with you

and

your leadership

team

to

promote

economy,

efficiency a

nd

effectiveness,

and

to help the Department accomplish its critical mission

and

initiatives

in the

months

ahead. We remain committed to helping improve th e operations

and

progra

ms of the

Departmen

t.

Please let me know if I may be of further assistance.

8

Respectfu

:7

lly su

11

bmitted

,

!-;I

effery

}'

-:'B

easley

Inspector General

JTB/pr

s

*IN

SPIRING SUCCESS BY TRANSFORMING ONE LIFE AT A TIME *

This Page Intentionally Left Blank

Table of Contents

Department Background............................................................................................................................... 1

Purpose of this Annual Report......................................................................................................................1

Vision......................................................................................................................................................... 2

Mission...................................................................................................................................................... 2

General Goals............................................................................................................................................ 2

Specific Areas of Responsibility................................................................................................................. 2

Office of Inspector General Organizational Chart..................................................................................... 5

Bureau of Investigations ........................................................................................................................... 6

Investigations........................................................................................................................................ 6

Use of Force Unit .................................................................................................................................. 7

Intelligence Unit.................................................................................................................................... 9

Florida Fusion Center............................................................................................................................ 9

Fugitive Unit........................................................................................................................................10

Contraband Interdiction/Narcotic Canine Unit .................................................................................. 10

Prison TIPS .......................................................................................................................................... 12

Security Threat Intelligence Unit ........................................................................................................ 12

EEO Investigative Unit.........................................................................................................................15

Whistle-blower Unit............................................................................................................................ 16

Environmental Health, Safety, & Risk Management............................................................................... 16

Bureau of Internal Audit ......................................................................................................................... 17

Mission................................................................................................................................................ 17

Goals ................................................................................................................................................... 18

Bureau Organization and Responsibilities ..........................................................................................18

Internal Audit Section ......................................................................................................................... 18

Projects Completed by Compliance/Performance/IT Section ............................................................18

Audit Reports ......................................................................................................................................20

Contract Management Review Section ..............................................................................................22

Contract Management Review Reports..............................................................................................23

This Page Intentionally Left Blank

Department Background

As the nation’s third-largest prison system, the Florida Department of Corrections (FDC)

fulfills a primary role in enhancing the safety of Florida residents. Through a network of

state prisons (49 state and 7 private), road prisons, work camps and community-based

facilities, the department manages incarceration and care for approximately 100,000

inmates. It also supervises approximately 140,000 offenders through 131 probation

offices statewide. The department employs approximately 22,000 employees, the

majority of whom are Correctional Officers or Correctional Probation Officers who carry

out this public safety mandate 24 hours a day, 7 days a week, 365 days a year.

Purpose of this Annual Report

Section 20.055, Florida Statutes, requires the Inspector General submit to the agency

head, and for state agencies under the jurisdiction of the Governor, the Chief Inspector

General no later than September 30 of each year, an annual report summarizing the

activities during the preceding fiscal year. This report provides departmental staff and

other interested parties with an overview of the Office of Inspector General’s activities

as related to its mission.

Florida Dept. of Corrections Page 1 Office of Inspector General

Vision

A safe and efficient Florida correctional system.

Mission

Promote leadership to ensure accountability, integrity, and efficiency within the Florida

Department of Corrections.

General Goals

To add value to the department by:

1. Continuously identifying department needs & priorities;

2. Identifying risk and threats that impact public safety;

3. Promoting innovative solutions to address the department’s needs; and

4. Providing timely, accurate and pertinent information to decision makers.

Specific Areas of Responsibility

Primary services provided by the Office of Inspector General include the following:

1. An automated management information network to keep designated personnel

informed of events that occur on department property or concerning department

staff, inmates, offenders, and other activity throughout the state. This information

network:

 provides an incident/event reporting system for all areas of the department,

enabling early identification of problems and timely allocation of investigative and

corrective resources;

 collects statewide data for use by key personnel in developing strategies to

address areas of concern;

 provides timely flow of information to management and, through the Public

Information Office, to the public; and

 leads department efforts to maintain cooperative working relationships with

Florida Department of Law Enforcement (FDLE) and other law enforcement

agencies.

Florida Dept. of Corrections Page 2 Office of Inspector General

2. Certified law enforcement and correctional inspectors conduct criminal and

administrative investigations relating to inmates, offenders, visitors, department and

contract staff, and vendors. Inspectors:

 take an active role in locating and coordinating the arrest of fugitives by working

closely with the staff in the Fugitive Unit;

 investigate crimes occurring on department property and coordinate with other

law enforcement agencies and prosecutorial entities; and

 conduct administrative investigations into allegations of misconduct by staff,

contractors, inmates, and offenders.

3. The Intelligence Unit collects and analyzes data to identify trends, contraband

introduction methods, officer safety issues, and gang and criminal activities in

department facilities. This information and intelligence is used by senior

management, other state and local law enforcement offices and agencies, the

Federal Bureau of Investigation, and the Department of Homeland Security.

4. The Contraband Interdiction Unit assists the Office of Institutions in providing a

safe environment for employees, inmates, and visitors by deterring the introduction

of weapons, cell phones, narcotics and other contraband into correctional facilities.

Interdiction teams:

 conduct unannounced interdiction operations, including searches for weapons

and narcotics, in both state and private correctional facilities; and

 review contraband control processes at state correctional facilities for compliance

with department policy and procedure.

5. Inspectors safeguard the integrity of the state’s correctional system. The

department has 99 sworn law enforcement officers, two certified law enforcement

analysts, and 41 certified correctional officer inspectors. Inspectors

:

 conduct criminal and administrative investigations into internal affairs involving

department operations, contracts, staff, inmates, visitors, and volunteers;

 ensure compliance with department rules and procedures;

 track and direct recapture of fugitives from justice;

 operate contraband interdiction;

 provide critical intelligence and gang information to law enforcement agencies

across the state and nation;

 coordinate investigative efforts with FDLE and other law enforcement agencies;

 work closely with prosecutorial entities to facilitate the prosecution of criminal

cases; and

 coordinate department activities as required by the Florida Whistle-blower's

Act.

Florida Dept. of Corrections Page 3 Office of Inspector General

6. Auditors assess the efficiency and effectiveness of department programs and

associated controls, measure compliance with laws and procedures, and serve to

deter waste, fraud and abuse of department resources. Auditors:

 conduct compliance, performance and information technology audits in

accordance with professional auditing standards and conduct reviews relating to

department operations, contracts, staff, inmates, visitors and volunteers;

 identify instances of fraud, abuse, and other deficiencies relating to department

programs and operations, inform the Secretary of those conditions, recommend

corrective action, and report on progress made in correcting deficiencies;

 provide technical assistance with criminal and administrative investigations

involving waste, fraud, or misappropriation of funds;

 conduct contract management reviews to enhance accountability and oversight

of the department’s contracts for goods and services; and

 serve as the department's liaison in coordinating audits and facilitating

cooperation with external agencies including the Auditor General, Office of

Program Policy Analysis and Government Accountability (OPPAGA) and

Department of Financial Services.

7. Environmental Health and Safety Officers provide for the environmental health

and safety of inmates, as well as department employees, volunteers and visitors.

Areas of responsibility include:

• accompanying state fire protection specialists of the Division of State Fire

Marshal during annual fire safety surveys;

 conducting annual fire, environmental health and Occupational Safety and Health

Administration (OSHA)-related safety inspections of new, renovated and current

institutions, followed by the on-site verification of corrected violations;

 conducting the environmental health, safety and risk management portion of the

operational review process that is conducted every two years at all major

correctional facilities;

 conducting training sessions for Loss Control Management to include accident

investigation, general safety awareness, damaged or lost property coverage, and

a review of workers' compensation issues; and

 receiving and processing all Risk Management claims, to include property

damage, general liability, auto, boiler and machinery, and missing or damaged

inmate property.

Florida Dept. of Corrections Page 4 Office of Inspector General

Florida Department of Corrections Page 5 Office of Inspector General

Office of Inspector General Organizational Chart

The Office of Inspector General consists of two bureaus: Investigations and Internal Audit, and one unit: Environmental Health, Safety,

& Risk Management.

INSPECTOR GENERAL

OFFICE OF THE INSPECTOR GENERAL

Deputy Inspector

General

Chief of Investigations Chief of Internal Audit

Assistant Chief

Northern Division

Assistant Chief -

Special Inv. / Intelligence

Assistant Chief

Southern Division

District 1

Inspector

Supervisor

Field Office 1

Senior Inspectors

Inspectors

WPSO

Operations

Inspector

Supervisor

Special

Operations

Insp. Supervisor

Evidence

Manager

K9 / Drug

Interdiction

Special

Investigations

Intelligence Unit

Use-of-Force Unit

Records

Management

Internal Audit

Supervisor

Auditors

Contact Mgmt.

Review

Supervisor

Auditors

Information

Tech. Audits

Auditor

District 2

Inspector

Supervisor

District 3

Inspector

Supervisor

District 4

Inspector

Supervisor

District 5

Inspector

Supervisor

District 6

Inspector

Supervisor

Field Office 2

Senior Inspectors

Inspectors

WPSO

Field Office 3

Senior Inspectors

Inspectors

WPSO

Field Office 4

Senior Inspectors

Inspectors

WPSO

Field Office 5

Senior Inspectors

Inspectors

WPSO

Field Office 6

Senior Inspectors

Inspectors

WPSO

District 7

Inspector

Supervisor

Field Office 7

Senior Inspectors

Inspectors

WPSO

District 8

Inspector

Supervisor

District 9

Inspector

Supervisor

District 10

Inspector

Supervisor

Field Office 8

Senior Inspectors

Inspectors

WPSO

Field Office 9

Senior Inspectors

Inspectors

WPSO

Field Office 10

Senior Inspectors

Inspectors

WPSO

Security Threat

Group

Evidence

Technicians

EEO / Admin.

Support

Manager

EEO Inv. / Admin.

Support

Fugitive Unit

Environmental Health

Safety and Risk Management

Safety Program

Administrator

Risk

Management

Coordinator

Safety

Program

Consultants

Bureau of Investigations

Investigations

The Bureau of Investigations is responsible for conducting criminal and administrative

investigations and providing oversight of all use of force incidents. When completed,

criminal investigations for which probable cause exists that a crime has occurred are

referred to the appropriate prosecutorial entity for consideration for prosecution. When

administrative investigations are completed, they are referred to management for

appropriate follow-up action.

During the Fiscal Year 2014-15, the Office of Inspector General received approximately

63,832 incidents/complaints of which resulted in the opening of approximately 21,722

inquiries and investigations. The remaining incidents/complaints were referred back to

the department's management team or other external entities for action deemed

appropriate. The table below presents the numbers and types of cases the Office of

Inspector General investigated:

Total Number

Type of Case

Assigned

Administrative Cases 1,048

Criminal Cases 2,394

Death Investigations 421

Investigative Assists 302

Inquiries 9,179

Intelligence 1

Inquires – Use of Force 885

Management Reviews 4

Use of Forces 6,197

Whistle Blower Determinations 32

Contraband Interdiction Unit - Reports 1,259

TOTAL 21,722

Source: IGIIS for 07/01/2014 to 06/30/2015.

Florida Department of Corrections Page 6 Office of Inspector General

Use of Force Unit

Established in 1999, the Use of Force Unit is responsible for reviewing all incidents

involving the use of force at state and private correctional facilities, and those involving

probation officers. These reviews ensure compliance with established rules,

procedures, and statutes.

To accomplish this mission, the Use of Force Unit independently reviews and evaluates

all use of force incident reports, associated documents, and videotapes as required

from each correctional facility or office. Evidence indicating possible procedural

violations, inmate abuse, excessive/improper/unauthorized force, or battery by staff is

referred to Investigations.

Uses of force are classified as major incidents whenever weapons, the chemical agent

Ortho-Chlorobenzalmalononitrile “CS”, or electronic restraint devices are used, when

force is used in a cell extraction, or when outside medical treatment is required for

employees or inmates as a result of the use of force. Other physical contact with

inmates, including use of the chemical agent Oleoresin Capsicum “OC”, is classified as

minor. The following chart reflects use of force incidents reported to the unit in Fiscal

Year 2014-15.

Classification Reason Force Was Used Number

27A

Self Defense 661

27B

Escape/Recapture 3

27C

Prevent Escape During Transport 2

27D

Prevent Property Damage 73

27E

Quell a Disturbance 1,330

27F

Physical Resistance to a Lawful Command 2,826

27G

Prevent Suicide 826

27H

Restrain Inmate for Medical Treatment 80

27I

Cell Extraction 351

27J

Mental Health Restraint 18

27K

Probation & Parole Handcuffing 0

27O

Other 27

TOTAL 6,197

Source: IGIIS for 07/01/2014 to 06/30/2015

Florida Department of Corrections Page 7 Office of Inspector General

The number of use of force incidents reported increased between Fiscal Year 2006-07

and Fiscal Year 2011-12, rising more than 90% in five years, along with the increase in

inmate population. The number of use of force incidents decreased by 5.7% in Fiscal

Year 2012-13. The reduction in the use of force incidents was a result of change in

Florida Administrative Code (F.A.C.). Effective December 16, 2012, Chapter 33-602-

210, F.A.C. no longer required four/five point medical restraints without force to be

reported as a use of force incident.

# Incidents Reported

Use of Force by Year

8000

7500

7000

6500

6000

5500

5000

4500

4000

3500

3000

2012 2013 2014 2015

6,652

7,369

6,357

6,512

7,240

6,212

6,270

6,197

5,086

4,670

3,457

2007 2008 2009 2010 2011

Source: MINS and IGIIS

As illustrated by these two charts, use of force incidents decreased approximately 14%

in the Fiscal Year 2014-15, while the inmate population decreased less than 1% in the

same period. Please Note: The red dotted line in the above chart represents the actual

number of use of force incidents reported for Fiscal Years 2012-13 and 2013-14.

During the preparation of this annual report, it was discovered that use of force incidents

were over reported in the two previous fiscal years.

Inmate Population

105000

102,232

102,319

100,942

100000

100,527

100,050

98,192

100,894

100,884

95000

92,844

90000

2007 2008 2009 2010 2011 2012 2013 2014 2015

Source: Research and Data Analysis.

Florida Department of Corrections Page 8 Office of Inspector General

Intelligence Unit

The Intelligence Unit collects, analyzes, and utilizes data from multiple internal agency

and external sources, which provides information to support investigative operations

and to identify trends, contraband introduction methods, officer safety issues, gang

activities, and criminal activity on department property. Programmatic and investigative

statistical information, as requested, is also provided to senior management. The

Intelligence Unit provides information to outside law enforcement upon request and, via

the Florida Fusion Center, serves as liaison with the Federal Bureau of Investigation

(FBI) and the Department of Homeland Security. There are currently three certified law

enforcement analysts within the department, all of which are staff in the Office of

Inspector General.

The Intelligence Unit is responsible for preparation of information and intelligence

products on varied topics, including investigative caseload analysis, drug seizure data

analysis, cellular telephone, and other contraband seizure analysis. Performance

measures and monthly reporting data are maintained and prepared by the unit in

addition to publishing the monthly Intelligence Bulletin.

The Corrections Intelligence Initiative (CII) is a program sponsored by the FBI designed

to assist correctional facilities in their efforts to detect, deter, and disrupt efforts by

terrorist or extremist groups who are trying to radicalize or recruit among inmate

populations. The CII facilitates the flow of domestic and homeland security information

to the FBI. The Intelligence Unit has been responsible for the creation of intelligence

products shared nationally via the Department of Homeland Security and for reporting in

eGuardian, the FBI national intelligence sharing system. Intelligence Unit members are

ad hoc members of the North Florida Joint Terrorism Task Force and the North Florida

Regional Domestic Security Task Force. To further support the CII, the Office of

Inspector General dedicates one full time position to the Joint Terrorism Task Force

FBI’s Miami field division.

Florida Fusion Center

The Florida Fusion Center, located in Tallahassee, Florida, serves as Florida’s primary

fusion center responsible for the gathering, processing, analyzing, and disseminating

terrorism, law enforcement, and homeland security information.

Intelligence Liaison Officers (ILOs) are vetted to participate in the fusion process and

hold the appropriate security clearance with the Department of Homeland Security. The

Office of Inspector General has three liaison officers with the Florida Fusion Center:

two in the Intelligence Unit and one in the Security Threat Group/Gang Unit. The

Intelligence Unit represents the department at the Florida Fusion Center and serves as

primary point of contact for the Corrections Intelligence Initiative.

Florida Department of Corrections Page 9 Office of Inspector General

Fugitive Unit

The Fugitive Unit, created in January 2007, is tasked to protect

Florida’s citizens by investigating escapes from state and

private facilities. The unit tracks and locates the fugitive in

question and coordinates with law enforcement to return the

fugitive to custody. The Fugitive Unit provides criminal

investigative assistance to other law enforcement agencies who

may be seeking fugitives who have ties to Florida.

In June 2012, the department joined with the Florida Association

of Crime Stoppers, the Office of the Attorney General, and the

FDLE to make it easier for inmates, probationers, and members

of the public to anonymously provide crime tip information to law

enforcement. Prominent posters displaying the toll-free number to the Florida

Association of Crime Stoppers are located in each correctional facility and probation

office. The department also created a new public-access web page to highlight

Florida’s “Ten Most Wanted” felons and has posted the images and names of the worst

of Florida’s fugitives and absconders. The Florida Association of Crime Stoppers

displays these same felons on public billboards and in other types of print and electronic

media throughout Florida.

In the Fall of 2013, the Office of Inspector General dedicated a full-time inspector

position to the United States Marshal Service. As a Special Deputy US Marshal, the

inspector has become an integral part of the Florida Caribbean Regional Fugitive Task

Force, training with them and working side-by-side to return violent felons and sex

offenders to custody.

During Fiscal Year 2014-15 there were no successful escapes from within a secured

fence at any of Florida’s correctional institutions. There were four escapes from work

camps of which three fugitives were captured almost immediately. The fourth was

recaptured within 48 hours of escape.

In February of 2015, the Florida Department of Financial Services Division of Public

Assistance Fraud Operations began working with the Fugitive Unit. The Division will be

leveraging its technology by using its data systems to assist in locating State fugitives.

This newest partnership provides potential intelligence information that may lead to the

arrest of Florida’s fugitives.

Contraband Interdiction/Narcotic Canine Unit

The Contraband Interdiction Unit promotes a safer environment for employees, inmates,

and visitors by detecting and discouraging the introduction of contraband such as

weapons, cellular telephones, and narcotics. Interdiction inspectors conduct

unannounced contraband searches with assistance from certified narcotic canine

teams. During the interdictions, employees, visitors, volunteers, inmates, vehicles, and

facility grounds are searched for contraband. Random interdiction operations and

canine sweeps are conducted at all state and private prisons.

Florida Department of Corrections Page 10 Office of Inspector General

The Office of Inspector General operates 20 full-time

canine teams comprised of 25 inspectors

strategically located throughout the state. The teams

participate in interdiction and search operations at

prisons and other facilities statewide and provide

narcotic canine support for other agencies, including

the Federal Bureau of Prisons and local law

enforcement agencies. The canine teams also work

closely with institutional inspectors and provide

investigative support.

Members of the Contraband Interdiction Unit participated in the United States Police

Canine Association (USPCA) National Competition in Jackson, Mississippi. Inspectors

Robert Herbrand and Jonathan Cox were invited to attend as a result of placing first and

third, respectively, in the USPCA Regional Competition. Inspectors Herbrand and Cox,

along with K-9's Ozzie and Bailey, placed 1st in the team competition. The inspectors

also competed in the individual events. Inspector Cox and K-9 Bailey placed 1st in the

overall individual competition, and Inspector Herbrand and K-9 Ozzie placed 8th.

The following table summarizes arrests and seizures generated by the Office of

Inspector General’s canine teams and interdiction operations during Fiscal Year 2014-

15.

K9/ Drug Interdiction Team Operations FY 2014-15

Arrests:

18

Contraband Seized:

Tobacco (Grams) 80,880.7

Drugs (grams)

Marijuana 549.2

Synthetic Cannabinoid 12,486.4

Cocaine 335.3

Other (Heroin and Meth) 63.2

Prescription drugs (dosage units) 255

Weapons, Cell Phones, Money

Weapons 331

Cell Phones 702

Cell Phone Accessories 714

Cash (excessive or contraband) 3,806

Source: K9/ Drug Interdiction Unit

Florida Department of Corrections Page 11 Office of Inspector General

Prison TIPS

The prison “TIPS” line was accessed over

11,000 times during Fiscal Year 2014-15.

Phone calls made to the “TIPS” line are

reviewed daily and the information provided is

used to collect criminal intelligence for

unsolved or ongoing criminal activity, both

inside and outside of the department. The

“TIPS” line also serves as the portal for Prison

Rape Elimination Act (PREA) and fraud, waste,

and abuse calls. Inmates, probationers, or any

other callers that may have knowledge of these

types of activities can use “TIPS” as an

anonymous method to provide this information.

The “TIPS” line can be accessed from inmate

phones within all department facilities or by a

toll-free number (1-866-246-4412) from phones outside the facilities. Information

provided by callers is reviewed and forwarded to the appropriate department staff or to

the law enforcement agency having jurisdiction over the reported activity for appropriate

handling.

Callers have the option of establishing a voice mailbox, accessed by a unique pass

code, which is provided upon the callers’ request. The voice mailbox provides a

mechanism to exchange messages and information from the caller and Office of

Inspector General regarding the status of the information provided.

Security Threat Intelligence Unit

The Inspector General's Security Threat Intelligence Unit (STIU) consists of a

Correctional Programs Administrator and a Correctional Services Consultant. They

collect, analyze, and distribute intelligence related to criminal gang activity both within

and outside the state correctional system. The STIU assists institutional staff by

reviewing gang-related incidents as they occur in prison settings and making

recommendations for relocating or restricting inmates based on their role in the incident.

The STIU not only assists local, county, state, and federal law enforcement agencies

with identifying gang members, but also provides training to the community.

As of June 30, 2015, 9,642 of the department's 100,050 inmates (9.64%) were identified

as gang members. Another 2,317 of the department's probationers have been

identified as gang members.

Florida Department of Corrections Page 12 Office of Inspector General

The primary offense for gang members incarcerated is robbery, followed by burglary,

murder/manslaughter, violent crimes, drugs, weapons, sexual/lewd behavior and

property theft/fraud/damage. (See chart below)

Gangs by Primary Offense as of June 30, 2015

3 -ROBBERY

2202

1931

1541

1237

873

519

463

443

433

5 -BURGLARY

1 -MURDER/MANSLAUGHTER

4 -VIOLENT, OTHER

7 -DRUGS

8 -WEAPONS

2 -SEXUAL/LEWD BEHAVIOR

6 -PROPERTY

THEFT/FRAUD/DAMAGE

9 -OTHER

Source: Security Threat Intelligence Unit

Florida Department of Corrections Page 13 Office of Inspector General

Each year, gang members are sentenced to the department’s custody from each of

Florida's 67 counties. The top 20 counties as of June 30, 2015, are depicted in the

table below:

1200

1000

800

600

400

200

0

960

STG Convicitions by County - Top 20 Counties As Of 6/30/15

747

677

673

619

468

435

364

248

247

232

230

213

202

183

181

175

159

158

143

Source: Security Threat Intelligence Unit

During Fiscal Year 2014-15, the STIU reviewed approximately 52,000 incident reports in

which over 9,000 of those incidents had an STIU member involved in some manner.

The STIU received over 200 emails and phone calls per month from department staff,

law enforcement, college students, and concerned parents regarding gangs.

The STIU sent out more than 3,000 notices to law enforcement agencies, informing

them of pending releases of gang members from department custody back into their

communities. The STIU also notifies law enforcement agencies monthly of gang

members who are serving terms of probation in their jurisdictions.

Some gang tattoos and graffiti that identity gang members are displayed below:

White Supremacist Black Gangster Disciple Zoe Mafia

Florida Department of Corrections Page 14 Office of Inspector General

Below is a chart showing the number of gang members by race as of June 30, 2015.

4845

3952

790

45

10

0 1000 2000 3000 4000 5000 6000

BLACK

WHITE

HISPANIC

ALL OTHERS

NAT. AMER.

Gangs By Race as of June 30, 2015

Source: Security Threat Intelligence Unit

EEO Investigative Unit

The Office of Inspector General’s Equal Employment Opportunity (EEO) Investigative

Unit is responsible for examining alleged violations of Title VII of the Civil Rights Act,

Chapter 60L-36.004, Florida Administrative Code, and Chapter 110, Florida Statutes.

EEO complaints are received through several channels, including the department's

internal complaint procedure, the Florida Commission on Human Relations (FCHR), and

the Equal Employment Opportunity Commission (EEOC). The EEO Investigative Unit is

staffed by an Operations & Consultant Manager. EEO complaints are referred to

appropriate staff for investigation.

During Fiscal Year 2014-15, 133 EEO complaints were investigated originating from the

following sources:

FY 2014-15 EEO Complaints Filed

Number Complaint Source

46 Internal Department Process (formal and informal)

28 FCHR – includes whistle blowers

59 EEOC

Source: Civil Rights/EEO

Florida Department of Corrections Page 15 Office of Inspector General

Whistle-blower Unit

The Whistle-blower Unit is the designated liaison between the Chief Inspector General’s

Office and Office of Inspector General. The Whistle-blower Unit coordinates and

conducts Whistle-blower investigations pursuant to Florida law. During Fiscal Year

2014-15, the Whistle-blower Unit processed 32 Whistle-blower cases.

Environmental Health, Safety, & Risk Management

Due to its unique mission, the Florida Department of Corrections must provide for the

environmental health and safety of incarcerated felons, as well as its own employees,

volunteers, and visitors. The department has a formal risk management program on file

with the Division of Risk Management. The program is implemented by the

Department's Environmental Health and Safety Manual. The goal of the Environmental

Health and Safety Program is to reduce the frequency and severity of accidents through

training administrative guidelines, and aggressive promotion of safe work practices.

Adherence to established health and safety guidelines is one of the most important

responsibilities of every employee and inmate.

The following table displays claims reported for coverage types of claims paid during the

Fiscal Years 2012-13, 2013-14 and 2014-15. In Fiscal Year 2014-15, the department

total claims reported increased by 6.95% compared to the previous fiscal year. This

increase is due largely to a change in the new operating system used by Department of

Financial Services, Orgami Claim Management System, which is capturing claim totals

that were not previously reported by the department. The Orgami Claim Management

System was implemented in March of 2015.

3,300

3,350

3,400

3,450

3,500

3,550

3,600

3,650

3,700

3,750

FY 12/13

FY 13/14

FY 14/15

Total Claims

Source: Office of Environmental Health, Safety, & Risk Management

Florida Department of Corrections Page 16 Office of Inspector General

The total paid costs (Worker’s Compensation, General Liability, Federal Civil Rights,

Automobile Liability, and Malpractice) by Fiscal Year for the last three fiscal years are

displayed below and demonstrate an increase in total costs from the previous fiscal

year. This increase in costs is due to a change in the reporting procedure to give a

more accurate representation of total dollars paid during the fiscal year. The numbers

reported in Fiscal Years 2012-13 and 2013-14 reflect the number of claims that were

submitted and paid in that fiscal year. The number reported for Fiscal Year 2014-15

includes all claims paid regardless of the fiscal year the claim was submitted.

Total Cost Paid by Fiscal Year

$0

$5,000,000

$10,000,000

$15,000,000

$20,000,000

$25,000,000

$30,000,000

$35,000,000

$40,000,000

$45,000,000

FY 12/13 FY 13/14 FY 14/15

Source: Office of Environmental Health, Safety, & Risk Management

Bureau of Internal Audit

Mission

The mission of the Bureau of Internal Audit is to support the Secretary and the

department by ensuring:

1. established objectives and goals are met;

2. resources are used consistent with laws, regulations, and policies;

3. resources are safeguarded against waste, loss, and misuse; and

4. reliable data is obtained, maintained, and fully disclosed.

Florida Department of Corrections Page 17 Office of Inspector General

Goals

The Bureau of Internal Audit’s primary purpose is to proactively assist management in

successfully meeting the department’s mission and established objectives. To meet its

purpose, the Bureau of Internal Audit has four key goals:

1. perform quality audits, reviews, studies, and investigations;

2. report results to management in a timely manner;

3. ensure department resources are used efficiently; and

4. provide adequate audit/review coverage to mitigate risks.

Bureau Organization and Responsibilities

The Bureau of Internal Audit comprises two sections: (1) Internal Audit and (2) Contract

Management Review. These sections report to the Bureau Chief, a Certified Internal

Auditor, who functions as the Director of Auditing. The Bureau of Internal Audit

conducts compliance, performance, and information technology audits and contract

reviews pursuant to Section 20.055, Florida Statutes. Audits are conducted in

accordance with the current International Standards for the Professional Practice of

Internal Auditing published by the Institute of Internal Auditors.

The internal audit staff possesses accounting and auditing experience, including

information technology auditing experience. Staff members are required to maintain

professional proficiency through continuing education and training. Staff are active in

the following professional organizations, Institute of Internal Auditors, Information

Systems Audit and Control Association, and Association of Inspectors General.

Internal Audit Section

This section employs an audit supervisor and four auditors who perform compliance and

performance audits and reviews, and one auditor who performs information technology

audits. Staff certifications include two Certified Internal Auditors, two Certified Public

Accountants and two Certified Government Auditing Professionals.

Projects Completed by Compliance/Performance/IT Section

During Fiscal Year 2014-15, the Internal Audit section completed thirteen audits, twelve

follow-up audits, and one review as listed in the following table by report date.

Florida Department of Corrections Page 18 Office of Inspector General

FY 2014-15 Audit Reports and Reviews

Report

Number

Project Title

Report Date

A14017

Audit of Inmate Release Gratuity – Gulf CI

8/14/14

A15002

Audit of Employee Benefit Trust Fund – Jefferson CI

8/28/14

A14005

Audit of User Access – Local Area Network (LAN)

9/11/14

A15008F

Follow-up of Auditor General Report #2014-184

10/9/14

A14016

Audit of Greyhound Bus Contracts C2764 and C2618

10/28/14

A14020F

Follow-up of Audit of Worker’s Compensation

10/30/14

A14021F

Follow-up of Audit of Employee Travel – Probation Officers

11/6/14

A15001

Audit of DC Memorandum of Understanding with DHSMV – DAVID

11/12/14

A15007

Audit of Inmate Release Gratuity – Apalachee CI

11/25/14

A15009F

Follow-up of Enterprise Audit of Contract Monitoring

12/9/14

R15013

Review of Employee Benefit Trust Fund – Holmes CI

1/9/15

A15004

Audit of Microsoft Windows and Access Software

2/17/15

A15024F

Follow-up Audit of DC Purchasing Card Program

3/3/15

A15025F

Follow-up of Audit of Quarterly Performance Measures Reported to

the Executive Office of the Governor

3/4/15

A15019F

Follow-up of Audit of Entering and Exiting DC Institutions

3/31/15

A15018

Audit of Employee Benefit Trust Fund – Columbia CI

4/1/15

A15023F

Follow-up of Audit of Pharmacy Drug Inventory

4/2/15

A15022F

Follow-up of Audit of Arsenal and Ready Room Equipment

4/9/15

A15020F

Follow-up of Audit of DC Reception Classification Process/Inmate

Orientation

4/14/15

A15014F

Follow-up of Auditor General Report # 2014-202

5/6/15

A15016

Audit of Performance Measure – Percentage of Inmates Who

Successfully Complete GED Education Programs

5/7/15

A14022F

Follow-up of Audit of Data Backup and Recovery

6/2/15

A15006

Audit of Key Control and Locking Systems

6/9/15

A15010

Audit of User Access – Management Information Notification System

6/10/15

A15005

Audit of Prison Rehabilitative Industries and Diversified Enterprises,

Inc. (PRIDE) – Accounts Receivable

6/16/15

A15029

A

udit of Performance Measure – Percentage of Healthcare

rievances that are Upheld

G

6/17/15

Source: Bureau of Internal Audit

Florida Department of Corrections Page 19 Office of Inspector General

Audit Reports

The Bureau of Internal Audit views its audit mandate as an opportunity to not only

identify deficiencies and problems with statewide impact, but also to identify areas that

are well designed and are meeting management’s goals. Reports (with the exception of

those deemed confidential) conducted by the Bureau of Internal Audit in Fiscal Year

2014-15 included:

Audit of Inmate Release Gratuity at Gulf Correctional Institution

Audit staff found the inmate release gratuity cash on hand was properly stated on the

day of the visit, and inmate release gratuity disbursements for the scope period were

made in accordance with the applicable FDC procedures. Internal controls have been

established for the inmate release gratuity fund; however, audit staff identified two

issues that warrant management’s attention.

Finding: The Release Voucher/ Receipt, DC2-313, did not always reflect signed

receipt in the chain of custody when the discharge gratuity (cash) was passed

from one individual to another.

Finding: The quarterly review conducted by the regional accounting staff failed to

identify an issue of non-compliance.

Employee Benefit Trust Fund Audit at Jefferson Correctional Institution

At the time of the visit, audit staff found the cash on hand was accounted for and intact.

Audit staff also found, in general, internal controls over cash receipts were adequate to

prevent, deter, and detect fraud; however, two issues were identified that warrant

management’s attention.

Finding: Canteen proceeds were not collected in a timely manner.

Finding: The reviewer did not initial the Daily Sales Reports, DC2-319, and did not

consistently initial the validated deposit slips as required by the procedure.

Audit of Greyhound Bus Contracts C2764 and C2618

Audit staff found that the department is receiving the services from Greyhound as

stipulated in the contract; however, issues relating to contract payments and monitoring

were identified and warrant management’s attention.

Finding: Bureau of Admissions and Release does not ensure the prices charged to the

department are the same rates as those charged to all citizens of the State of

Florida.

Finding: Bureau of Admissions and Release staff could not provide documentation to

demonstrate their monitoring of contractor performance as required by

Department Procedure 205.013.

Florida Department of Corrections Page 20 Office of Inspector General

Audit of Inmate Release Gratuity at Apalachee Correctional Institution

On the day of visit, audit staff found the inmate release gratuity on hand was properly

stated. In addition, internal controls have been established for the inmate release

gratuity fund; however, audit staff identified two deficiencies that warrant management’s

attention.

Finding: The Release Voucher/Receipt, DC2-313, did not always reflect signed receipt

in the chain of custody when the discharge gratuity (cash) was passed from

one individual to another.

Finding: The quarterly review conducted by the regional accounting staff failed to

identify an issue of non-compliance.

Audit of Microsoft Windows and Access Software

Audit staff found for the computers tested, licenses support the Microsoft Windows and

Access software installed on department-owned computers. In addition, audit staff

found that the Office of Information Technology has implemented internal controls

relating to software inventory and licenses. However, audit staff identified one issue

relating to the software inventory and an “other observation” relating to the inability to

access the current Procedure 206.005 and the Proprietary Software Acknowledgement,

DC2-605, that warrant management’s attention.

Finding: Software inventory is not always updated when users change positions or

computers and when computers are replaced.

Employee Benefit Trust Fund Audit at Columbia Correctional Institution

At the time of the visit, audit staff found no cash on hand to be counted because it had

been collected and deposited into the local bank. From the review of related

documentation, audit staff found cash proceeds were collected and deposited as

required, and bank reconciliations were performed. Audit staff determined that internal

controls over cash receipts were adequate to prevent, deter, and detect fraud. This

audit did not identify any deficiencies; therefore, no findings and recommendations were

presented in this audit report.

Audit of Performance Measure – Percentage of Inmates Who Successfully Completed

GED Programs

Audit staff found that internal controls and data collecting and reporting mechanisms

over the GED education performance measure need enhancement as presented in the

following finding:

Finding: Bureau of Research and Data Analysis does not accurately calculate the

percent of inmates who successfully complete GED education programs.

Florida Department of Corrections Page 21 Office of Inspector General

Audit of Prison Rehabilitative Industries and Diversified Enterprises, Inc. (PRIDE) –

Accounts Receivable

Audit staff found that the billing and payment processes for PRIDE Accounts Receivable

are timely. In addition, internal controls exist and are adequate in that the Regional

Finance and Accounting personnel prepares the PRIDE invoices; Central Office Bureau

of Finance and Accounting records the invoices on a tracking form and reconciles the

invoice and payment amounts to the Florida Accounting Information Resource (FLAIR)

Accounts Receivable subsidiary ledger on a monthly basis. However, one issue was

identified that warrants management’s attention.

Finding: Audit staff could not determine whether the billing process for PRIDE

Accounts Receivable was accurate.

Audit of Performance Measure – Percentage of Healthcare Grievances that Are Upheld

Audit staff found that management and internal controls over the Health Services’

Program performance measure, “percentage of health care grievances that are upheld,”

are adequate to ensure the integrity of the results reported, and the data collecting and

reporting mechanisms in place are sufficient to ensure the validity of the reported

metrics. Specifically, audit staff found that the health care grievances were:

 tracked using IGLOGS;

 classified as health-care related in the IGLOGS system;

 properly coded as upheld or not upheld in the tracking system; and

 properly included in the calculation of the measure, based on the dates the

grievances were entered into the tracking system and the dates reflected on the

supporting documentation.

This audit did not identify any deficiencies.

Contract Management Review Section

The Contract Management Review (CMR) Section employs an audit supervisor and

three auditors. In Fiscal Year 2014-15, the CMR section completed ten contract

management reviews and eight follow-up reviews listed in the following table by report

date.

Florida Department of Corrections Page 22 Office of Inspector General

FY 2014-15 CMR Reports and Reviews

Report Number

Project Title

Report Date

CMR14011

Goodwill Industries-Suncoast, Inc.

7/22/14

CMR14013

Advanced Systems Design

8/11/14

CMR14016

Marquis Software Development

8/12/14

CMR14017

Unlimited Path of Central Florida

8/19/14

CMR15002F

Pride Enterprises Follow-Up

8/28/14

CMR15003F

Florida Power & Light Services, LLC Follow-Up

9/4/14

CMR15005F

Tallahassee Community College Follow-Up

9/23/14

CMR14014

Bridges of America-The Jacksonville Bridge, Inc.

10/16/14

CMR14015

Bridges of America-Turning Point Bridge, Inc.

10/29/14

CMR15010

Horizon Communities Corp.

11/6/14

CMR15001

3M Electronic Monitoring

12/17/14

CMR15004F

Simplex Grinnell LP Follow-Up

1/22/15

CMR15006

RLT Corp Software Development Services

1/29/15

CMR15015F

Time For Freedom, Inc. Follow-Up

3/25/15

CMR15018F

The Thoroughbred Foundation Follow-Up

3/26/15

CMR15016F

Unlimited Path of Central Florida Follow-Up

6/10/15

CMR15017F

Non-Secure Programs, Inc. Follow-Up

6/11/15

CMR15012

Transition House, Inc.

6/16/15

Source: Bureau of Internal Audit

Contract Management Review Reports

Goodwill Industries - Suncoast, Inc. Contract C2495

Contract Management Review staff found that the department had not always ordered

the Family Dependent deduction as required by the contract. However, this finding was

discovered in a previous Contract Management Review, CMR14010. Program

Management’s response for the previous review stated that they will distribute

correspondence to all vendor operated centers advising them to review all inmates

assigned to their centers to ascertain whether or not dependent deductions are

appropriate. Therefore, the finding and recommendation will not be repeated in this

report. Our review did not disclose any other deficiencies warranting management’s

attention.

Florida Department of Corrections Page 23 Office of Inspector General

Advanced Systems Design Contract C2476

The review indicated the department contract management staff was generally

compliant with monitoring requirements as noted in the report. However, a deficiency

was found regarding the development of a monitoring tool as required by department

procedure. Also, in violation to contract stipulations, an individual possessing a

temporary work visa is providing services under the contract.

Finding: The Bureau of Systems Development has not developed a monitoring tool as

required by department procedure.

Finding: Contract management staff has not enforced contract terms relating to the

use of vendor staff with temporary work visas.

Marquis Software Development Contract C2478

The review indicated the department contract management staff was generally

compliant with monitoring requirements. However, a deficiency was found regarding

the development of a monitoring tool as required by department procedure.

Finding: The Bureau of Systems Development has not developed a monitoring tool as

required by department procedure.

Unlimited Path of Central Florida, Inc. Contract C2560

Based on documents and activity reviewed, auditors determined the Bureau of

Transition and Substance Abuse Treatment Services effectively verified and monitored

services. This contract management review did not identify any deficiencies; therefore,

no findings and recommendations were presented in this report.

Bridges of America - The Jacksonville Bridge, Inc. Contract C2447