An Audit Report on the Department of Criminal Justice's Complaint Resolution and Investigation Functions
September 2008
Report Number 09-004
Overall Conclusion
The Department of Criminal Justice (Department) substantially complies with its policies and procedures relating to investigating and resolving offender and employee grievances, investigating complaints, and processing allegations of policy violations and criminal behavior. The Department also conducted Offender Protection Investigations in accordance with its Safe Prisons Plan and ensured that offenders were safely housed.
Most of the related programs that auditors reviewed had adequate policies and procedures, and the Department substantially complied with required timeframes for processing complaints, grievances, and inquiries. However, the Department could improve documentation and review controls to ensure that (1) data entered into automated systems is accurate, (2) offenders are aware of current program updates and revisions, and (3) complaints and inquiries that are referred to other divisions or prison units and state jails are properly tracked.
The Department's Offender Grievance Program, Health Services Division, Office of the Inspector General (OIG), Safe Prisons Program, Ombudsman Program, and Human Resources Division coordinate their activities to resolve allegations, complaints, and grievances. Department divisions and the OIG also made appropriate referrals to properly address complaints and grievances. However, the Department could strengthen certain coordination activities between its divisions and the OIG.
Auditors administered 1,641 surveys to offenders incarcerated at seven state-operated or privately operated prison units and state jails (units). Results indicate that offenders are not always aware of the offender grievance process and are concerned about issues such as retaliation and the appearance that grievance staff members lack objectivity and independence. Also, survey results indicate that the Department's efforts to increase awareness of the Safe Prisons Program have been effective; however, improvements are needed to increase offenders' awareness about how to access the OIG and how to file a complaint about medical services.
Auditors also administered 673 surveys about the employee complaint and grievance process to Department employees at prison units and state jails, parole offices, and other Department offices. These survey results indicate that a majority of Department employees are aware of the complaint and grievance processes and how to obtain assistance from human resources staff.
Auditors also communicated other, less significant issues to the Department in writing.
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