DEPARTMENT OF MANAGEMENT SERVICES ADMINISTRATIVE POLICY

Transcription

1 DEPARTMENT OF MANAGEMENT SERVICES ADMINISTRATIVE POLICY TITLE: Response to Official Visits and Audits of Privately Operated Facilities EFFECTIVE: December 10, 2009 REVISED: February 19, 2018 POLICY NUMBER Private Prison Monitoring PURPOSE This policy creates procedures and guidelines for the review of audits and findings by the Department of Management Services and by external agencies and contractors corrective action plans for private prison facilities. SCOPE This policy applies to private correctional facilities and their employees under contract with the Department of Management Services Bureau of Private Prison Monitoring. AUTHORITY Florida Statutes: Chapter 957 Correctional Privatization Florida Administrative Code: Chapter Field Support Services Chapter Health Services Administration Chapter Dental Services Chapter Mental Health Services Chapter Classification and Central Records Chapter Security Operations Contract References: Sanitation and Hygiene Access to the Facility Auditing of Trust Accounts Financial Reporting ACA Accreditation Security Health Care Services Contract Termination and Control of a Correctional Facility by the FDC Page 1 of 5 DMS Policy No

2 RESPONSIBLE OFFICE Bureau of Private Prison Monitoring DISTRIBUTION The Following Individuals Should Be Notified of This Policy Method of Notification Contractors and/or interoffice memo Meeting Department of Corrections and/ or interoffice memo Bureau of Policy Meeting Development Bureau of Finance & Accounting Bureau of Security Operations Department of Management Services Division of Specialized Services DMS Inspector General DEFINITIONS and/or letter Meeting Bureau of Private Prison Monitoring (bureau): The Department of Management Services Bureau of Private Prison Monitoring. Bureau Chief (chief): The Chief of the Bureau of Private Prison Monitoring. Contract manager: The bureau employee who is primarily responsible for management and oversight of the contract and evaluation of the contractor's performance of its duties and obligations pursuant to the terms of the contract. Contractor: The vendor or vendors under contract with the Florida Department of Management Services Bureau of Private Prison Monitoring to operate and manage a private correctional facility. FDC: The Florida Department of Corrections. DMS or department: The Florida Department of Management Services. External Agency(ies): Any and all governing bodies outside of the department, including, but not limited to, the following: FDC Correctional Medical Authority Page 2 of 5 DMS Policy No

3 American Correctional Association Department of Health Occupational Safety and Health Administration Department of Financial Services Division of State Fire Marshal Finding: A condition, criteria, or cause and effect which is identified as an area of concern. Management Services Agreement or contract: The operation and management services contract, including all attachments, exhibits, amendments, and modifications, between the department and the contractor. Onsite contract monitor (OCM): The employee(s) of the bureau who monitors the daily operations of the facility for contract compliance and coordinates actions and communications between FDC, the department, and the contractor. The OCM is designated by the bureau. The OCM is the official liaison between the bureau and the contractor on all onsite matters pertaining to the operation and management services of the facility. Quality of Life: The contract defines the minimum quality of life for inmates. At a minimum, the following items should be considered when evaluating quality: Sanitation and hygiene practices Inmate exercise Access to mail, telephone and visitation Staff working conditions Inmate work assignments GENERAL INFORMATION The bureau reserves the right to require the contractor to provide the following: Additional reports; Ad hoc reports; Other information pertaining to contract compliance; and Other reports or information that may be required to respond to grievances, inquiries, complaints, and other questions raised by inmates, citizens, or other parties. The contractor shall submit the report or information upon request. The contractor ensures its performance under the contract and meets the standards set forth by external agencies to provide a minimal level of quality of life for inmates under the care, custody, and control of private contractors. The bureau and/or FDC may use any or all of the following methods when monitoring the contractor s performance under the contract and in determining compliance with standards established by external agencies: Desk review of records related to service delivery maintained at the facility (includes any documents and databases pertaining to the contract and may be based on all documents and data or a sampling of same, whether random or statistical); Page 3 of 5 DMS Policy No

4 Onsite review of records maintained at contractor s business location, if applicable; Review of grievances filed by inmates regarding contractor s service delivery; and Review and enforcement of findings or recommendations from monitoring, audits, investigations, reviews, evaluations, or other actions by bureau or External agency review does not imply any approval authority over the contracts for private prison operation. The approval authority for all contracts rests solely with the bureau. The OCM may validate any audit finding identified by an external agency for applicability if disputed by the contractor. PROCEDURES 1. Upon exit and completion of all reviews, audits, etc., of the facility, the external agency provides a report to the contractor and a copy to the bureau. If the external agency does not provide this report to the bureau, the facility provides a copy of the document within 24 hours of receipt. This report should include the condition, the criteria, and the potential risk to the department if the condition is not corrected. 2. The bureau reviews the report s findings. The bureau determines if any findings are non-compliance issues. The bureau tracks any finding denoted as noncompliant with the terms and conditions of the contract. Non-compliance may include a deficiency in internal control, fraud, illegal act, abuse, and violation of contract provisions that is often but not always systemic in nature. 3. The bureau provides written notice of non-compliance to the contractor within five business days of receipt of the report from the external agency. 4. The contractor provides either a corrective action plan or a request for a waiver or time extension within 20 calendar days of the date of the external agency s report. This response is due to the bureau by 5:00 p.m. Eastern time. 5. All issues identified in the report must be fully addressed or corrected in the corrective action plan. The deadline for implementing corrective actions is within 20 calendar days of receipt of the written notice, unless a waiver of the finding or time extension is requested and approved. The bureau must receive the corrective action by 5:00 p.m. Eastern time. 6. The bureau reviews all requests for waivers or time extension and may forward the request to the external agency for review and/or comment. The bureau is the final approving authority for all waivers. a. Waiver requests in connection with an FDC unannounced security audit will be routed to FDC for additional review. b. DMS and bureau maintain final decision-making authority. 7. The bureau may exercise its contractual right to assess liquidated damages or adjust compensation for partial or non-performance, depending on the terms of the contract, against the contractor if audit findings remain unresolved beyond the 20-calendar day timeframe. 8. If the problems persist, the bureau shall pursue other remedies against the contractor, available under the contract. Page 4 of 5 DMS Policy No

5 RESPONSIBILITIES Individual Responsibilities or Group Bureau Monitor the contractor s performance under the contract and determine compliance with standards established by Review external agencies reports of facility. Track non-compliance issue(s). Provide written notice of non-compliance to the contractor within five business days of the report from the external agency. Review all requests for waivers or time extensions and forward the request to the external agency for review and/or comment. Final approval authority for all requests for waivers or time extensions. Exercise its contractual right to assess credits for partial performance or liquidated damages, depending on the terms of the contract, against the contractor, if audit findings remain unresolved beyond the 20-calendar day timeframe or the approved time extension. Pursue other remedies, available under the contract, against the contractor if audit problems persist. Contractor Upon the bureau s request, provide additional reports, ad hoc reports, or other information pertaining to contract compliance that may be required to respond to grievances, inquiries, complaints, and other questions raised by inmates, citizens, or other parties. Ensure that performance under the contract meets the standards set forth by external agencies to provide a minimum level of quality of life for inmates under its care, custody, and control. If an external agency finds a non-compliance with the terms and conditions of the contract, provide either a corrective action plan or a request for a waiver or time extension to the bureau within 20 calendar days of the date of the external agency s report, by 5:00 pm Eastern time on the 20 th day. Unless a waiver of the findings or time extension is granted, complete all issues identified in the corrective action within 20 calendar days of the report, by 5:00 p.m. Eastern time on the 20 th day. Florida Monitor the contractor s performance under the contract and Department of determine compliance with standards established by Corrections Onsite Contract Monitor Conduct unannounced security audits of the contract facility. Coordinate actions and communications between FDC, the bureau, and the contractor. Page 5 of 5 DMS Policy No