SOP_NUMBER: 103.62
TITLE: Audits of Operations and Programs
DIVISION: Executive Division (Office of Professional Standards-Compliance)
TOPIC_AREA: 103 Policy-Investigations/Compliance
EFFECTIVE_DATE: 2017-10-24
WORD_COUNT: 1046
POWERDMS_URL: https://public.powerdms.com/GADOC/documents/82780
URL: https://gps.press/sop-data/103.62/

SUMMARY:
This policy establishes GDC's requirements for conducting internal and external audits of all facilities and offices to ensure compliance with policies, procedures, accreditation standards, and contractual agreements. Audits are conducted at least annually by the Compliance Unit, with both scheduled and unannounced inspections permitted. Facility administrators must submit corrective action plans within 30 days of receiving audit findings, and final audit reports are submitted to the Commissioner.

KEY_TOPICS: audits, compliance, internal audit, external audit, facility inspection, corrective action plan, Compliance Unit, accreditation, PREA audit, ACA standards, audit instruments, audit findings, audit reports, facility operations, program evaluation

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|GEORGIA DEPARTMENT OF CORRECTIONS<br>Standard Operating Procedures|Col2|Col3|
|---|---|---|
|**Policy Name:**Audits of Operations and Programs|**Policy Name:**Audits of Operations and Programs|**Policy Name:**Audits of Operations and Programs|
|**Policy Number:** 103.62|**Effective Date:** 10/24/2017|**Page Number:** 1 of 4|
|**Authority:** <br>Commissioner<br>|**Originating Division:** <br>Executive Division (Office of<br>Professional Standards-<br>Compliance)<br>|**Access Listing:**<br>Level I: All Access<br>|



**I.** **Introduction and Summary:** The Georgia Department Corrections (GDC) shall
conduct internal annual audits of operations and programs for GDC facilities and
offices. Announced and unannounced audits may be conducted more frequently to
ensure compliance with policies and procedures. External audits will be conducted by
qualified professionals not affiliated with the agency. The monitoring body for the
audits is the Compliance Unit.

**II.** **Authority:**
A. Board Rule 125-1-2-.10;


B. GDC Standard Operating Procedures (SOPs): 208.06 PREA-Sexually Abusive

Behavior Prevention and Intervention Program, 507.01.13 Audits & Evaluations,
508.12 Audits and Evaluations, and 404.02 Comprehensive Loss Control;

C. Prison Rape Elimination Act (PREA) National Standards: 28 CFR Part 115; and


D. American Correctional Association (ACA) Standards: 2-CO-1A-22 and 4-4017.


**III.** **Definitions:**
A. **Administrator**    - The Official responsible for managing and operating the facility

or office.

B. **Audit**     - Comprehensive regularly scheduled and unannounced inspection and

review of compliance with policies and procedures for operations, programs, and
processes.

C **. Corrective Action Plan (CAP)**   - A detailed written statement of corrective actions

which a Facility/Office Administrator implements to address facility/office noncompliance. The plan shall include designation of staff responsibilities and time
tables for completing each task.

D. **Compliance Unit**    - Designated inspection and auditing unit of the Georgia

Department of Corrections.


|GEORGIA DEPARTMENT OF CORRECTIONS<br>Standard Operating Procedures|Col2|Col3|
|---|---|---|
|**Policy Name:**Audits of Operations and Programs|**Policy Name:**Audits of Operations and Programs|**Policy Name:**Audits of Operations and Programs|
|**Policy Number:** 103.62|**Effective Date:** 10/24/2017|**Page Number:** 2 of 4|
|**Authority:** <br>Commissioner<br>|**Originating Division:** <br>Executive Division (Office of<br>Professional Standards-<br>Compliance)<br>|**Access Listing:**<br>Level I: All Access<br>|



E. **Division Manager**    - The person responsible for overseeing a section, unit, region

or division.

F. **External Audit -** A comprehensive regularly scheduled and unannounced

inspection and review of compliance with policies and procedures for operations,
programs, and processes conducted by any person or entity not affiliated with
GDC.

**IV.** **Statement of Policy and Applicable Procedures:**
A. GDC will monitor operations and programs of state facilities by conducting audits

in facilities and offices under the jurisdiction of the Board of Corrections, at least
annually. GDC may conduct audits of contract (County and Private) facilities to
ensure compliance with GDC policies, procedures and contractual agreements.

B. Audits will be scheduled by the Compliance Director or Designee. A schedule of

audits will be published on an annual basis.
1. Each division will provide a qualified subject matter expert to assist the

Compliance Unit with the scheduled audits.

2. The team will conduct on-site audits during the week indicated on the official

schedule. Unscheduled and unannounced audits may also be conducted for any
facility, office, or functional area to ensure on-going compliance with agency
requirements.

3. Audits will evaluate compliance with:

a. GDC Standard Operating Procedures;


b. Accreditation requirements;


c. Contractual agreements; and


d. Comprehensive Loss Control Program.


4. Any exceptions to the schedule will be coordinated with the Director of

Compliance or designee.


|GEORGIA DEPARTMENT OF CORRECTIONS<br>Standard Operating Procedures|Col2|Col3|
|---|---|---|
|**Policy Name:**Audits of Operations and Programs|**Policy Name:**Audits of Operations and Programs|**Policy Name:**Audits of Operations and Programs|
|**Policy Number:** 103.62|**Effective Date:** 10/24/2017|**Page Number:** 3 of 4|
|**Authority:** <br>Commissioner<br>|**Originating Division:** <br>Executive Division (Office of<br>Professional Standards-<br>Compliance)<br>|**Access Listing:**<br>Level I: All Access<br>|



C. Audit instruments for all areas will be developed using a standardized format.

1. Each Division will be responsible for developing, coordinating and

maintaining their audit instruments. All Divisions will provide revisions and
ongoing maintenance to their respective audit instruments.

2. Findings from the inspection will be documented on the audit instrument;

3. Copies of the completed audit instruments will be submitted to the Compliance

Director or designee.

4. A copy of the completed audit instrument will be provided to the

Facility/Office Administrator, at the conclusion of the audit.

5. Entrance and exit briefings will be conducted with the Facility/Office

Administrator and other staff designated by the Facility/Office Administrator.

D. Audit results will be reported on an interim report and provided to the Division

Manager and Administrator no later than ten (10) business days from the
conclusion of the audit.
1.  The affected Division Manager and Administrator will be responsible for

resolving non-compliance noted on the interim report. The Administrator shall
provide a CAP to the Director of Compliance or designee within thirty (30)
days from receipt of the interim report.

2. Appropriate staff will be made available to provide assistance, expertise, and

support to the affected division manager and Facility/Office Administrator to
aid in correcting deficiencies.

3. The Compliance Director or designee will create a written final report of the

audit within thirty (30) days after receiving the CAP from the Facility/Office
Administrator. The final report will include each deficiency and action taken
or the planned course of action to remedy the deficiency. A copy of the final
report will be forwarded to the Commissioner and designated personnel.


|GEORGIA DEPARTMENT OF CORRECTIONS<br>Standard Operating Procedures|Col2|Col3|
|---|---|---|
|**Policy Name:**Audits of Operations and Programs|**Policy Name:**Audits of Operations and Programs|**Policy Name:**Audits of Operations and Programs|
|**Policy Number:** 103.62|**Effective Date:** 10/24/2017|**Page Number:** 4 of 4|
|**Authority:** <br>Commissioner<br>|**Originating Division:** <br>Executive Division (Office of<br>Professional Standards-<br>Compliance)<br>|**Access Listing:**<br>Level I: All Access<br>|



4.  An Executive Report will be produced annually. The Executive Report shall

include audit results for all facilities inspected during the reporting period. A
copy of the final report will be forwarded to the Commissioner and designated
personnel.

5. All records and reports resulting from the audit shall be maintained for a period

of five (5) years at the facility or office and in Central Office at the Compliance
Unit.

E. External audits will be scheduled at least every three (3) years by the Compliance

Director and published annually.
1. The GDC will seek accreditation through ACA as determined by the

Commissioner. After initial accreditation is awarded for a facility or office,
audits will be conducted every three (3) years.

2. The GDC will use certified PREA auditors to conduct audits every three (3)

years, in accordance with PREA standards.


**V.** **Attachments:**

None


**VI.** **Record Retention of Forms Relevant to this Policy:**
None