How to Audit Prison Security Procedures
Prison security audits are detailed physical and policy inspections conducted by the National Institute of Corrections. They are conducted in cooperation with, and often at the behest of, the state's department of corrections in response to an issue of policy breakdown. The audits culminate in a written set of recommendations with which the prison must comply.
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Security and policy audits measure prison policies and procedures in contrast to their execution. The audits are performed by the National Institute of Corrections consultants, who are often representatives of prisons systems outside of that in which the audit is taking place. Audits are usually in response to an issue or incident in which policy or procedure was ineffective. Prison audits account for every area of prison protocol and safety from admission to discharge. The prison is physically inspected by an auditor who does a walking tour of the facility. A thorough inspection of each area can consume as much as a full week of the auditor's time.
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Auditors will review any recent incidents that may have violated prison policies and procedures, or proven them to be ineffective. In their review, auditors compare state policies with those of other prisons that have been able to avoid such incidents, in order to highlight policy shortcomings.
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Each of the inspection areas on the auditor's checklist contains a series of subheadings next to which the auditor is required to make notes regarding his findings. These subheadings may cover general compliance requirements, but it is the auditor's job to ensure that adherence to the requirements is in compliance. The book "Prison Performance" details the auditor's detailed role in ensuring compliance with DOC policy by citing an example from the hazardous materials guidelines. In the example, the policy requires a "perpetual inventory" of the items. To prove compliance, the auditor weighs the hazardous material to measure not only compliance, but compliance frequency, by comparing the material's current and previous weights.
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In addition to a walk-around inspection of policies and procedure enforcement, prison auditors are also required to interview prison administrators, staff and inmates. In this way, the auditor can not only gauge the staff's familiarity with current policies, but also speak with inmates to confirm that these policies are being carried out. Each policy, from applicant selection, training and grievances, to sexual harassment policies, is thoroughly reviewed by auditors. Through this interview process, the auditors are able to compile a report in which violations and compliance can be measured by their collective economic, legal and social implications.
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Upon completion of their inspection, auditors compile a written report that details their findings. The report includes an itinerary of their actions beginning even before setting foot on prison grounds. It identifies the parties from both the state's department of corrections as well as the National Institute of Correction who met to discuss the impending security audit. Problem areas are outlined in the report along with recommendations. Once the report is received by the prison, representatives must acknowledge and respond to the recommended changes via return letter acknowledging compliance.
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