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Audits of State Audits of State Compliance Monitoring Compliance Monitoring

SystemsSystems

Presented by Presented by Thomas Murphy, State Representative, Thomas Murphy, State Representative,

OJJDPOJJDP

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Session OverviewSession Overview

Why must OJJDP conduct audits? What is a compliance audit? The audit process: planning, execution, and

follow-up. Common audit findings.

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Pursuant to Section 204(b)(6) of the Pursuant to Section 204(b)(6) of the JJDP Act of 2002, OJJDP shall:JJDP Act of 2002, OJJDP shall:

“Provide for the auditing of monitoring systems required under… this title to review the adequacy of such systems….”

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Pursuant to Section 223(a)(14) of the Pursuant to Section 223(a)(14) of the JJDP Act of 2002, States shall:JJDP Act of 2002, States shall:

“Provide for an adequate system of monitoring jails, detention facilities, correctional facilities, and nonsecure facilities to ensure that the requirements of paragraph (11), paragraph (12), and paragraph (13) are met, and for annual reporting of the results of such monitoring to the [OJJDP] Administrator….”

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What Is a Compliance What Is a Compliance Audit?Audit?

An in-depth, on-site review and evaluation of a State’s system for compliance monitoring.

Audits occur a minimum of once every five years. OJJDP determines whether a State’s system is

“adequate”.

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What Is a Compliance What Is a Compliance Audit? (cont’d)Audit? (cont’d)

Findings and recommendations are provided.

Formula Grants funds can be frozen if a State’s compliance monitoring system is determined to be inadequate. Future eligibility as a “Participating” State is also jeopardized.

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Pre-Audit PlanningPre-Audit Planning

OJJDP provides State written notification 60 days before the audit requesting written materials.

The JJ Specialist, Compliance Monitor and State Rep. identify facilities to visit.

Facilities should represent a mix of urban, rural, and suburban communities and include geographic areas beyond the capital region.

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Pre-Audit Planning Pre-Audit Planning (cont’d)(cont’d)

Types of facilities to be visited: Lockup Jail Juvenile Detention Center Juvenile Correctional Facility

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Pre-Audit Planning Pre-Audit Planning (cont’d)(cont’d)Types of Facilities to be visited:

Court holding facility Group home Prison

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Pre-Audit Planning Pre-Audit Planning (cont’d)(cont’d)

State Compliance Monitor contacts facilities to arrange a visit, emphasizing that it is the State—not the facilities themselves—that is being audited.

State develops a tentative agenda.

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Pre-Audit Planning Pre-Audit Planning (cont’d)(cont’d)

The State ensures that each facility will have original admissions data available onsite.

The State agency has all required data available for review and ready to carry into the field.

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Audit ExecutionAudit Execution1) Entrance interview.

2) Discussion of the State system. Clarification of any issues that arose in OJJDPs review of audit materials.

3) Facility visits include verification of compliance monitoring data and tour to ensure classification is accurate and that Separation is adequate.

4) Exit conference.

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Audit Follow-Up Audit Follow-Up OJJDP provides the audited State an official

findings letter and audit report.

Findings can be positive or negative. Findings must be addressed or the State risks

having its Formula Grants funds frozen. Recommendations OJJDP strongly recommends

that the State take action, such that the issue does not rise to the level of a “finding”.

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Audit Follow-Up (cont’d)Audit Follow-Up (cont’d)

State prepares official response, delineating how it will address audit findings an recommendations.

OJJDP provides a “response to the response,” designating audit as officially closed or indicating the need for further action.

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Common Audit FindingsCommon Audit Findings

State Compliance Monitors are knowledgeable and conscientious about implementing the core requirements.

The State is not performing onsite data verification prior to submission of Compliance Monitoring report to OJJDP.

The State has classified a facility, (e.g. a Lockup) as nonsecure yet during the OJJDP Audit the onsite inspection reveals a cell, cuffing bench or cuffing rail.

The State is not inspecting facilities believed to be nonsecure (e.g., lockups, group homes) to verify nonsecure status.

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Common Audit Findings Common Audit Findings (cont’d)(cont’d) The State is not inspecting secure facilities annually. The State is not inspecting juvenile correctional

facilities/training schools to ensure compliance with DSO and Separation requirements.

Facilities are self-reporting violations and the State is not adequately verifying self-reports for accuracy (e.g. comparing self-reported violations against admissions logs).

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Common Audit Findings Common Audit Findings (cont’d)(cont’d)

The State does not provide adequate documentation that VCO requirements have been met.

The State is not including law enforcement facilities that exist in airports, shopping malls, and sports stadiums in its monitoring universe.

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Audits of State Audits of State Compliance Monitoring Compliance Monitoring

SystemsSystems

1. Questions?1. Questions?

2. 2. Thank you!Thank you!