AGENCY REVIEW DEPARTMENT OF MILITARY AFFAIRS ...AGENCY REVIEW DEPARTMENT OF MILITARY AFFAIRS AND...

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AGENCY REVIEW DEPARTMENT OF MILITARY AFFAIRS AND PUBLIC SAFETY DIVISION OF CORRECTIONS January 2012 PE 11-24-513 AUDIT OVERVIEW Many Inmates of the Division of Corrections Remain Incarcerated Longer Than Necessary Because the Agency Cannot Complete All Requirements to Hold Parole Hearings The Division of Corrections Needs to Develop Additional Performance Measures The Division of Corrections Website Needs Improvement In User-friendliness and Transparency WEST VIRGINIA LEGISLATIVE AUDITOR PERFORMANCE EVALUATION & RESEARCH DIVISION

Transcript of AGENCY REVIEW DEPARTMENT OF MILITARY AFFAIRS ...AGENCY REVIEW DEPARTMENT OF MILITARY AFFAIRS AND...

  • AGENCY REVIEW

    DEPARTMENT OF MILITARY AFFAIRS AND PUBLIC SAFETYDIVISION OF CORRECTIONS

    January 2012PE 11-24-513

    AUDIT OVERVIEW

    Many Inmates of the Division of Corrections Remain Incarcerated Longer Than Necessary Because the Agency Cannot Complete All Requirements to Hold Parole Hearings

    The Division of Corrections Needs to Develop Additional Performance Measures

    The Division of Corrections Website Needs Improvement In User-friendliness and Transparency

    WEST VIRGINIA LEGISLATIVE AUDITOR

    PERFORMANCE EVALUATION & RESEARCH DIVISION

  • JOINT COMMITTEE ON GOVERNMENT OPERATIONS

    JOINT COMMITTEE ON GOVERNMENT ORGANIZATION

    SenateHerbSnyder,ChairMikeGreen,Vice-ChairRichardBrowningH.TrumanChafinDanFosterOrphyKlempaBrooksMcCabeRonaldF.MillerJosephM.MinardCoreyL.PalumboBobWilliamsJackYostDonnaJ.BoleyDaveSypolt

    HouseofDelegatesJimMorgan,ChairDaleStephens,Vice-ChairWilliamRomine,MinorityChairTomAzinger,MinorityVice-ChairBrentBoggsGregButcherSamuelJ.Cann,Sr.RyanFernsRoyGivensDanielJ.HallWilliamG.HartmanBarbaraHatfieldRonnieD.JonesHelenMartin

    RupertPhillips,Jr.MargaretA.StaggersRandySwartzmillerJoeTalbottAnnaBorderEricHouseholderGaryG.HowellLarryD.KumpEricNelsonRickSnufferErikkaStorch

    AaronAllredLegislativeAuditor

    Building1,RoomW-314StateCapitolComplexCharleston,WestVirginia25305(304)347-4890

    JohnSylviaDirector

    MichaelMidkiffResearchManager

    MichaelCastleResearchAnalyst

    WEST VIRGINIA LEGISLATIVE AUDITOR

    PERFORMANCE EVALUATION & RESEARCH DIVISION

    JaredBaldingReferencer

    SenateHerbSnyder,ChairDouglasE.FacemireOrphyKlempaBrooksMcCabeClarkS.Barnes

    HouseofDelegatesJimMorgan,ChairDaleStephens,Vice-ChairRonFragaleEricNelsonRuthRowanScottG.Varner,Nonvoting

    Agency/CitizenMembersJohnA.CanfieldW.JosephMcCoyKennethQueenJamesWillisonVacancy

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    Agency Review January 2012

    CONTENTSExecutiveSummary.......................................................................................................................................................5

    Issue1:ManyInmatesoftheDivisionofCorrectionsRemainIncarceratedLongerThanNecessaryBecausetheAgencyCannotCompleteAllRequirementstoHoldParoleHearings..............................................................................................................................................7

    Issue2:TheDivisionofCorrectionsNeedstoDevelopAdditionalPerformanceMeasures........................................................................................................................................................21

    Issue3:TheDivisionofCorrectionsWebsiteNeedsImprovementinUser-friendlinessandTransparency................................................................................................................................................29

    ListofTablesTable1:ParoleHearingsFY2008toFY2010....................................................................................................10Table2:ReasonsforFurtherConsiderationFY2009.....................................................................................12Table3:ReasonsforFurtherConsiderationFY2010.....................................................................................12Table4:DispositionofInmatesWhoOnlyNeededHomePlansFY2008-2010..................................13Table5:DOCParoleHearingsFY2010...............................................................................................................15Table6:ParoleHearingsHeldforInmatesinRegionalJailsFY2010.......................................................15Table7:StatusofInmatesPlacedonFurtherConsideration......................................................................17Table8:DelayedHearingsforThoseGrantedParoleFY2008toFY2010.............................................18Table9:DOCBedCapacityPerFacilityFY2008throughFY2010............................................................24Table10:ProgrammingCompletionswithintheDOCFY2009ThroughFY2010..............................26Table11:DivisionofCorrectionsWebsiteEvaluationScore........................................................................29Table12:DivisionofCorrectionsWebsiteEvaluationScore........................................................................30

    ListofFiguresFigure1:ParoleBoardHearing.................................................................................................................................9

    ListofAppendicesAppendixA:TransmittalLettertoAgency..........................................................................................................33AppendixB:Objective,ScopeandMethodology............................................................................................35AppendixC:ReasonsforFurtherConsiderationFY2008toFY2010........................................................37AppendixD:WebsiteCriteriaChecklistandPointsSystem..........................................................................39AppendixE:AgencyResponse................................................................................................................................43AppendixF:AgencyCommentsandOurEvaluation......................................................................................45

  • pg. 4 | West Virginia Legislative Auditor

    Division of Corrections

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    Agency Review January 2012

    EXECUTIVE SUMMARY

    This performance review of theWestVirginia Division of Corrections (DOC)ispartof theagency reviewof theDepartmentofMilitaryAffairs andPublicSafety,asauthorizedbyWest Virginia Code§4-10-8(b)(4).TheLegislativeAuditorconducteda reviewof theDOC’sprocessofpreparing inmates forparolehearings,performancemeasures,andwebsite.TheLegislativeAuditorfoundthatinmatesremainincarceratedpasttheirparoleeligibilitydates,withoutaparoledecision,becausetheDOCisunabletocompleteallnecessaryrequirementsforaparoledecisiontobemade.Theeffectsarethehumancostofremainingimprisonedlongerthannecessary,theimpacttheparoledelayshaveonovercrowdedcorrectionalfacilities,andtheadditionalcoststotheStateinpayingforprisonerstoremaininaregionaljailforalongerperiodoftime.

    Report Highlights:

    Issue 1: Many Inmates of the Division of Corrections Remain Incarcerated Longer Than Necessary Because the Agency Cannot Complete All Requirements to Hold Parole Hearings.From fiscal year 2008 to 2010 there were 2,914 inmates who were eligible for a

    parolehearing,butadecisioncouldnotbemadebecauserequiredinformationwasnotcompletedbytheDivisionofCorrections.

    As of May 2011, there were 992 inmates of the 2,914 who eventually received a parolehearingandweregrantedparole.Onaveragetheyremainedincarcerated4monthsaftertheirinitialparoleeligibilitydate.

    If the 992 inmates were paroled more timely, space would have been available ataDOCfacility to receive inmates fromregional jails, thusalleviatingsomeovercrowdingandreducingDOC’scostforhavingprisonersheldataregionaljail.

    The additional cost for the DOC to house 992 prisoners at regional jails for four monthsisover$5.8million.

    TheprimaryreasonforparolehearingdelaysisDOC’sinabilitytotimelyarrangeforsuitablehomeplansforinmateswhoareeligibleforparole.

    Issue 2: The Division of Corrections Needs To Develop Additional Performance Measures.TheDivisionofCorrectionssuppliedoneperformancemeasureforthe

    Operating Detail of the FY 2011 Executive Budget.

    TheDivisionofCorrectionshasvariousperformancegoalsrelatingtothesafety

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    Division of Corrections

    andsecurityofDOCfacilities.Theuseofinformationfromthepreviousyearcanhelptoillustratewherepotentialproblemsareandprovidetheagencywithabenchmarkforimprovement.

    While the measures that the DOC tracks reflect safety and security aspects of operation,theydonotaddresstheDOC’sresponsibilitiesrelatedtoprocessingrequirementsforinmateseligibleforaparoledecision,parolees,orrehabilitationeffortsofthedivision.

    Issue 3: The Division of Corrections Website Needs Improvement In User-friendliness and Transparency.The DOC website received 9 points out of a possible 18 points in user-friendliness

    and 14 out of 32 points in transparency.

    ThetransparencyoftheDOC’swebsitecanbeimprovedbyaddingbudgetaryinformation,performancemeasures,andotherinformationthatfacilitatesaccountabilityandknowledgeofitsoperation.

    Recommendations1. The Division of Corrections should consider placing permanent staff at each of the

    ten regional jails to facilitate the processing of inmates eligible for parole.

    2. The Division of Corrections should take steps to complete more psychological evaluations within the regional jails.

    3. The Division of Corrections should attempt to create a transitional housing facility pilot program.

    4. The Division of Corrections should consider developing a performance measure related to reducing the number of inmates, committed to DOC custody, who are housed within facilities operated by the Regional Jail Authority.

    5. The Division of Corrections should consider developing a performance measure with the goal of reducing the number of parole-eligible inmates who are placed on Further Consideration status due to missing or incomplete documentation from the DOC.

    6. The Division of Corrections should consider developing a performance measure related to the educational attainment and the remedial programming needs of inmates housed within the DOC.

    7. The Division of Corrections should consider adding recommended features to its website to improve both user-friendliness and transparency.

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    ISSUE1

    ...the primary incomplete requirement that prevents a parole hearing from being held is not having a suitable place for the inmate to reside (home plan) if paroled.

    Many Inmates of the Division of Corrections Remain Incarcerated Longer Than Necessary Because the Agency Cannot Complete All Requirements to Hold Parole Hearings.

    Issue Summary

    From fiscal year 2008 to 2010 there were 2,914 inmates who were eligibleforaparolehearingbut thehearingcouldnotbeheldbecauserequiredinformationwasnotcompletedbytheDivisionofCorrections(DOC). Given that on average the Parole Board grants parole around 50 percentofthetime,manyoftheseinmateshadtoremainincarceratedforseveralmonthsuntilallnecessaryrequirementswerecompletedtoholdaparolehearing.Therequirementsthatgouncompletedareacombinationofasuitablehomeplan,apsychologicalevaluation,acriminalinventorybackground, or a post-sentence investigation. However, the primaryincompleterequirementthatpreventsaparolehearingfrombeingheldis not having a suitable place for the inmate to reside (home plan) ifparoled.Aprimarycauseofthesedelaysinparolehearingsisthatmanyinmatesareinregionaljails,wheretheDOChaslimitedstafftocompletethenecessaryrequirements. TheagencyattemptstotransitioninmatesfromregionaljailstoaDOCfacilityinordertofacilitatetheprocessingwork; however, in hundreds of cases there is still inadequate time tohavetheinformationreadyforaparolehearing.Theeffectsofdelayedparolehearingsarethehumancostofremainingincarceratedlongerthannecessary,andtheStatehavingtopayseveralmillionmoretoregionaljails to house DOC inmates. It is the Legislative Auditor’s opinionthat the Division of Corrections should consider pursuing transitionalhousingopportunitiesforparoledinmateswithoutsuitablehomeplans,placeDOCstaffwithinregionaljailstofacilitateprocessingofinmateseligibleforparole,andworktoincreasetheamountofparoleprocessingrequirementscompletedwithinregionaljails.

    Parole Hearing Requirements and Process West Virginia Code § 62-12-13(d) charges the Parole Board with consideringaperson’sparoleassoonasheorshebecomeseligible.TheCode of State Regulations § 92-1-1-5.1.a requires the Parole Board to haveaparolehearinginthemonthaninmatebecomeseligible.Whilethehearingsmaybeheld,decisionsfromthehearingscanbedelayed.Whenever an inmate’s parole decision is delayed, the Parole Board places thatpersononFurtherConsideration(FC).

    The agency attempts to transition in-mates from regional jails to a DOC facility in order to facilitate the pro-cessing work; however, in hundreds of cases there is still inadequate time to have the information ready for a pa-role hearing.

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    Division of Corrections

    Thereare four requirements thatmustbecompletedbefore theParole Board can make a decision on whether or not an inmate should be paroled. These requirements are an approved Home Plan (HP), aCriminal Inventory Background (CIB), a Post-Sentence Investigation (PSI), and a Psychological Evaluation (PSY). A CIB is provided by theStatePolicewhile theother three requirements are completed anddocumented by the Division of Corrections (DOC). If any of theserequirementshavenotbeenmet,theinmate’scaseisplaceduponFurtherConsideration status. Therefore the Parole Board will have a hearing in ordertobeincompliancewithlaw,butadecisioncannotbemadeduetoa lack of required information. Figure 1 below explains the process for determiningifaparoledecisioncanbemade.

    Figure 1

    Parole Board Hearing Process

    Figure 1

    Parole Board Hearing Process

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    Thereare four requirements thatmustbecompletedbefore theParole Board can make a decision on whether or not an inmate should be paroled. These requirements are an approved Home Plan (HP), aCriminal Inventory Background (CIB), a Post-Sentence Investigation (PSI), and a Psychological Evaluation (PSY). A CIB is provided by theStatePolicewhile theother three requirements are completed anddocumented by the Division of Corrections (DOC). If any of theserequirementshavenotbeenmet,theinmate’scaseisplaceduponFurtherConsideration status. Therefore the Parole Board will have a hearing in ordertobeincompliancewithlaw,butadecisioncannotbemadeduetoa lack of required information. Figure 1 below explains the process for determiningifaparoledecisioncanbemade.

    Figure 1

    Parole Board Hearing Process

    Figure 1

    Parole Board Hearing Process

  • pg. 10 | West Virginia Legislative Auditor

    Division of Corrections

    From FY 2008 to FY 2010, there were 2,914 inmates placed in Further-Con-sideration status because all required information was not made available by the DOC in order for a parole deci-sion to be made.

    Change in Procedure Highlights True Number of Inmates Awaiting Parole Decisions From FY 2008 to FY 2010, there were 2,914 inmates placed in Further-Consideration status because all required information was notmadeavailablebytheDOCinorderforaparoledecisiontobemade.1Table 1 below illustrates that in both FY 2009 and FY 2010 over 1,300 inmateswereplacedonFCstatus.

    The number of FCs in 2008 is misleading partly because the Parole Board changed its procedures. Prior to 2009, the DOC was responsible for creating and approving home plans. An inmate could be grantedparole,butnothaveacompletedorapprovedhomeplanasrequiredbyCode.Theresultwasasituationcalled“pocketparole”whereinmateswereapprovedforparolebutremainedincarceratedduetoanincompleteorunapprovedhomeplan. The inmates then remained incorrectionalcustodyuntilahomeplancouldbecreatedandapprovedbytheDOC.The Parole Board estimates that over 700 inmates were in pocket-parole status in FY 2008 in addition to 431 inmates placed on further consideration status. Therefore, in FY 2008 the number of inmates in

    1There were 3,122 cases delayed from FY 2008 to FY 2010 but some inmates were placed on FC status in more than one year. The 3,122 cases represent 2,914 inmates.

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    The lack of approved home plans was the most frequent reason for delayed parole hearings.

    further-consideration status is estimated at more than 1,131, which isconsistent with 2009 and 2010.

    In 2009, the Parole Board became statutorily responsible (WVC §62-12-13(D)(iv)(4))for approving home plans created by the DOC. However, the DOC continued to have difficulties in establishing home planseitherbecauseitwasunabletodosointimeforparolehearingsorinmateshadnosuitableplacetoresideifreleasedonparole.Thelackofapprovedhomeplanswasthemostfrequentreasonfordelayedparolehearings.TheLegislativeAuditorfoundthatinmateswereplacedonFCstatusforthefollowingreasons:

    1. lackofapprovedHomePlans–1,614cases,

    2. lack of Home Plans and PSY - 615 cases,

    3. lack of PSY – 203 cases,

    4. lack of PSI, Home Plans, and PSY – 202 cases, and

    5. lack of PSI and PSY – 91cases.

    Lack of Approved Home Plans Leads to Delays in Releasing Inmates

    Homeplansforinmateshaveseveralrequirementsthatmustbemetforapproval.Parolecannotbegrantedwithoutahomeplanapprovedby the Parole Board. Two major considerations are that a parolee cannot be housed near victims or in a household with other ex-convicts.

    Someinmatesdonothaveanyplacetogooncetheyareeligibleforparole. Theymaynothavefamilies thatwant tobe involvedwiththem.A family member may have been their victim. Landlords mayalso be reluctant to allow an ex-convict to be housed in their property. Forparole-eligibleinmateswithnosuitableplacetolive,WestVirginia’sprison system is serving as home for these inmates. From FY 2008 to FY 2010, a total of 2,489 inmates were on FC status for 16,334 months withan incompletehomeplanbeingat leastonereasonforFCstatus.Tables 2 and 3 show that the lack of an approved home plan, at least in part, accounted for more than 90 percent of FCs during FY 2009 and FY 2010.

    Source: WV Parole Board.Source: WV Parole Board.Source: WV Parole Board.Source: WV Parole Board.

    For parole-eligible inmates with no suitable place to live, West Virginia’s prison system is serving as home for these inmates.

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    Division of Corrections

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    When an inmate is placed on FC sta-tus it doesn’t necessarily mean that it took the DOC several months to com-plete all requirements.

    When an inmate is placed on FC status it doesn’t necessarilymeanthatittooktheDOCseveralmonthstocompleteallrequirements.Apsychologicalevaluationcanbecompletedwithinamonth (or less)whileinmateswaitseveralmonthsforahomeplantobecompletedandapproved. Neither the Parole Board, nor the DOC tracks the reasons for an inmate continuing to be on FC status after being placed there. Because ofthis,theLegislativeAuditorcouldnotdeterminethetotalmonthsofdelayforhomeplansafterotherrequirementswerecompleted.

    Table4showsthedispositionofinmatesonFCstatuswhoonlyneeded home plans established. From FY 2008 to FY 2010, 113 inmates endedup serving their full sentencewhilewaiting for approvedhomeplans.Inaddition,588inmatesreceivedadelayedparoledecisionduetohomeplans.TheyhadbeenplacedonFCstatusduetonon-approvedhomeplans.Table4illustratesthenumberofpersonsplacedonfurtherconsiderationstatusforincompletehomeplansthatwereeithergrantedparole,completedtheirsentencebeforeaparoledecisionwasmade,orarestillincarceratedwhileonFCstatus.

    Table 4Disposition of Inmates Who Only Needed Home Plans

    FY 2008-2010 (As of May 2011)

    Status of Inmates

    Numberof

    InmatesAffected

    Total Additional Months

    Served After Initial Parole

    Eligibility Date While Waiting for Home Plan

    Average Number

    of Months Served

    Beyond the Date of Parole

    EligibilityHome Plans Were Eventually Created and ParoleWasGranted. 588 2,515 4months

    Full Sentence Was Served Because of no HomePlan. 113 1,010 8months

    Still Incarcerated Because of no Home Plan. 74 1,375 18monthsTotal 775 4,900 6 monthsSource: Legislative Auditor Analysis of Parole Board Information

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    Division of Corrections

    West Virginia’s lack of transitional housing contributes to delayed parole decisions.

    WestVirginia’slackoftransitionalhousingcontributestodelayedparole decisions. Transitional housing could create more housingopportunitiesforinmates.Ifsuitablehousingisavailable,itwouldreducethenumberof inmatesonFCstatusdue toanunapprovedhomeplan.The DOC is exploring the possibility of creating a transitional housing facility.Thedivision’sinitialplanistocreatea50bedfacilitythatwouldbeusedasapilot. TheDOCanticipatesthatitwouldhaveaneedforbetween three and five of these facilities.

    There Is A Higher Probability of Inmates Being Placed on Further Considerations Who Are Still Housed in Regional Jails

    Inadditiontocreatinghomeplans,theLegislativeAuditorfoundtheDivision of Corrections has difficulty in completing the other processing requirements necessary for parole decisions. The location where theinmatesarehousedaffectshowquicklypsychologicalevaluations(PSY)andpost-sentenceinvestigations(PSI)canbecompleted.TheDOCusesRegionalJailAuthority(RJA)facilities tohousesomeinmatesbut theDOCdoesnothavestaffintheregionaljailstoprovidePSYevaluationsand PSIs. Because of the overcrowding situation within the DOC, inmates enterthecorrectionalsystemthroughaRJAfacilityandarethenmovedtoaDOCfacilitywhenbedsopen.As of November 2011, there were 1,686 DOC inmates housed within facilities operated by the RJA.

    TheLegislativeAuditorconductedareviewofthecurrentstatusof all persons committed to the DOC as of November 4, 2011. Sixty-threepercent(1,068)oftheinmateshousedwithintheregionaljailswerefoundnottohaveacompletedpsychologicalevaluation,comparedto3percent (175) housed in DOC facilities. Additionally, 24 percent (408) of theinmatescommittedtotheDOCintheregionaljailshavenothadaPSIcompleted.

    During FY 2010, inmates housed in the regional jails accounted for less than 10 percent of all total parole hearings. However, 93 percent ofallparolehearingsheldforinmateshousedinregionaljailsresultedinaninmatereceivingfurtherconsideration,becausetheDOCdidnotcomplete all processing requirements (see Table 6). Inmates held inregional jails and considered for parole accounted for 26 percent of all FCs,whileinmateshousedinDOCfacilitiesaccountedfor74percentofallFCs.WhileinmateshousedwithinDOCfacilitiesaccountedformoreFCs, those inmates were more than 90 percent of all parole hearings and had a FC rate of 24 percent. Although it is not always possible, the DOC worksonadailybasistomoveinmateswithimminentparolehearingsintoDOCfacilitiestoimproveaccessandtoallowDOCstafftocomplete

    Sixty-three percent (1,068) of the in-mates housed within the regional jails were found not to have a completed psychological evaluation, compared to 3 percent (175) housed in DOC fa-cilities.

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    ... once an inmate is in a DOC facil-ity, most requirements are completed within 90 days.

    requireddocumentation.Generallyspeaking,onceaninmateisinaDOCfacility, most requirements are completed within 90 days. However, in somecases theamountof timean inmatehasbeen transferred fromaregionaljailtoaDOCfacilitymayprovideenoughtimefortheagencytopreparetherequiredinformationforaparolehearing,inwhichcasetheinmatewillhavetobeplacedonFurtherConsideration.

    In FY 2009, the DOC inmates housed in the regional jails had a further consideration rate that was slightly lower than the FY 2010 rate. The FC rate for inmates housed in regional jails in FY 2009 was 88percent.Duetothewaydataismaintained,theLegislativeAuditorwasunabletodeterminewhatdocumentationwasincompleteforinmateswithintheregionaljailswhowereplacedonFCstatus.

    The DOC Has Limited Access to Prisoners In Regional Jails

    DOC staff is challenged in trying to process PSIs and providepsychologicalevaluationsforinmatesinRJAfacilities.TheDOCdoesnothavestafflocatedintheregionaljails,sostaffmusttravelfromDOC

    DOC staff is challenged in trying to process PSIs and provide psychologi-cal evaluations for inmates in RJA facilities.

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    Division of Corrections

    The DOC does not have staff dedi-cated solely to preparation for parole hearings.

    facilitiestotheRJAfacilities.TheDOCdoesnothavestaffdedicatedsolely to preparation for parole hearings. DOC staff may have otherduties such as case management, security, supervision; programmingand inmate classification related tasks, as well as general day-to-day operations.AccordingtotheDOC“there is no way to easily quantify the percentage of time staff spent preparing inmates for parole hearings. . . .”

    The DOC must first complete a post-sentence investigation (PSI) beforepsychologicalevaluationcanbegin.Aspartofthepsychologicalevaluationprocess, theDOCmustconductan intelligence testaswellas tests to determine an inmate’s mathematical and reading abilities.Thepsychologicaltestinggenerallytakestwotothreedays.TheDOCestimatesthatanystaffpersoncalledupontoassistintheregionaljailsspends 7 to 10 percent of their time on the task. Because DOC staff andpsychologistsmusttraveltotheregionaljails,inmatesarescheduledinadvancefortestingandinterviews.Numerouseventsmaycauseaninmate not to be available when DOC staff arrives. Some examples are a recent relocation, timespent incourt,medical issues,ordisciplinaryactions resulting in solitary confinement. Space limitations within the regional jails limit the testing to only 20 inmates per session. Generally, DOC staff does not return to the RJA facility for 90 days. Placing DOC staffpermanentlywithineachoftheregionaljailscouldassisttheDOCin completingdocuments in a timeliermannerbyproviding improvedaccesstopersonshousedwithintheRJAfacilities.

    Limited Funding Leads to Fewer Psychological Evaluations Completed In Regional Jails

    The final step of the psychological evaluation process involves an inmatemeetingwithalicensedpsychologist.TheDOChastwodifferentcontractswithvendorsforpsychologicalevaluationswithintheregionaljails and within DOC facilities. While the contract for psychologicalevaluationstobecompletedwithintheDOCisopen-ended,thecontractfor psychological evaluations within the regional jails is limited byfunding.Originally,theDOChadfundingtoallowfor600psychologicalevaluations per year to be conducted within the regional jails. Thisyear the DOC received additional funding to increase the number ofpsychologicalevaluationscompletedintheregionaljailsto850atatotalcostof$170,000. Thisincreasemaynotbeenoughtoaddresscurrentprisoner intake. In FY 2010, the DOC had a prisoner intake of 2,915. Because inmates enter into the regional jails before DOC facilities, this means that more than 2,000 inmates could not begin psychological testing

    This year the DOC received addition-al funding to increase the number of psychological evaluations completed in the regional jails to 850 at a total cost of $170,000.

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    while in the regional jails. It is theLegislativeAuditor’sopinion that theDivisionofCorrectionsshouldallowformorepsychologicalevaluationstobecompletedwithintheregionaljails.

    Housing Inmates Past Their Parole-Eligibility Dates Has Personal and Financial Costs

    A total of 2,914 inmates were placed on FC status from FY 2008 to FY 2010. Table 7 details the disposition of these inmates. As of May 1, 2011, these inmates accounted for 17,797 months spent in correctional facilitiespasttheirinitialparoleeligibilitydate.

    The primary cost to the State from delayed parole hearings is theamount the DOC pays the RJA to house DOC prisoners. For example, of the 2,914 inmates who were placed on further consideration, 992 were eventually granted parole after paperwork was completed as of May 2011. TheseprisonersstayedincarceratedinaregionaljailoraDOCfacilityonaveragemorethanfourmonthsaftertheirinitialparoleeligibilitydate. Ifthese inmates had received parole when first eligible, some would have beenreleaseddirectlyfromtheregionaljailor,forthoseinaDOCfacility,

    Of the 2,914 inmates who were placed on further consideration, 992 were eventually granted parole....

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    Division of Corrections

    theDOCwouldhavehadroomtotransferseveralhundredinmatesfromaregional jail to a DOC facility. In either case, the timely parole of these 992 inmateswouldhaverelievedsomeoftheovercrowdingatregionaljailsandreducedDOCcostsofhousinginmatesinregionaljails.TheRJAchargestheDOC$48.80perdaytohouseaninmate.In this case, housing 992 inmates at regional jails for four months beyond parole eligible dates cost the State over $5.8 million in payments to the RJA ($48.80 * 120 days * 992 inmates). In total, the DOC pays the RJA between $25 million to $30 million tohouseDOCinmates.Inaddition,havingmoreinmatesinaDOCfacilityasopposed to thembeing in a regional jailwould improve the timelinessofprocessinginmatesforparolehearings,furtherreducingthehumanandfinancial costs of delayed parole hearings. Table 8 illustrates the reasons and the number of months for delay for the 992 persons who were later granted parole.

    Table 8Delayed Hearings for Those Granted Parole FY 2008 to FY 2010

    Reason for Delay Number Of Inmates Delayed Months of Delay

    Criminal Inventory Background 1 7HomePlan 588 2,515NewCharges 2 9Notification 7 24Notification and Post Sentence Investigation 1 1

    Notification and Psychological Evaluation 2 6PostSentenceInvestigation 39 82PostSentenceInvestigationandCriminalInventory Background 1 4

    PostSentenceInvestigationandHomePlan 17 122

    PostSentenceInvestigationandPsychological Evaluation 33 162

    PostSentenceInvestigation,PsychologicalEvaluation, Criminal Inventory Background, and Home Plan

    1 4

    PostSentenceInvestigation,PsychologicalEvaluation, and Home Plan 66 319

    Psychological Evaluation 83 205Psychological Evaluation and Home Plan 149 792Write-Ups 2 12Total 992 4,264Source: Legislative Auditor Calculation of information provided by WV Parole Board.

    The RJA charges the DOC $48.80 per day to house an inmate. In this case, housing 992 inmates at re-gional jails for four months beyond parole eligible dates cost the State over $5.8 million in payments to the RJA.

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    During this time period, 23 inmates were ordered released by the courts and 202 inmates served their full pris-on sentence before a parole decision could be made. Additionally, as of May 2011, 128 inmates are still await-ing a parole decision.

    From FY 2008 to FY 2010, four inmates died while waiting for a parole decision. During this time period, 23 inmates were ordered released by the courts and 202 inmates served their full prison sentence before a parole decision could be made. Additionally, as of May 2011, 128 inmates are still awaiting a parole decision. If these inmates had all receivedparoledecisionswhenscheduled,assuminga50percentrateofparolesgranted,theDOCwouldhaveopened178beds.

    Housinginmatespast theirparole-eligibilitydatehasnumerouscosts.West Virginia Code § 62-12-13(D)(iv)(5)(d) states “it is the duty of the (parole) board, as soon as a person becomes eligible, to consider the advisability of his or her release on parole.”Theseindividualsarenotgettinganopportunity,asrequiredbyCode,toreceiveaparoledecisionwhen first eligible. These delayed parole decisions adversely affect the lives of inmates that want to become productive members of society.Delayed decisions also impact the families of incarcerated inmates.Social, financial, and mental health issues may arise from inmates spendingmoretimethannecessaryinacorrectionalfacility.

    In addition, inmates who were incarcerated past their paroleeligibility date without parole decisions contribute to overcrowding.Theseinmatesoccupymuchneededbed-spacewithinboththeregionaljailsand theDOCwhileawaitingaparoledecision. Housing inmateswithin the regional jails also has costs for the DOC. Expediting the speedinwhichinmatescanhaveparoledecisionsrenderedbytheParoleBoard could serve to ease overcrowding while reducing the amount the DOCpaysregionaljailsforhousingDOCinmates.

    ConclusionThe need to house prisoners within the regional jails has led

    to a situation where the Division of Corrections has limited access toprisoners.Paroleeligibleinmatesareforcedtowaitforpaperworktobecompletedsothatparoledecisionscanbemade.HousingpersonseligibleforparoleisnotonlycostingtheStatemoney,butalsocontributingtoprisonovercrowdedness. TheestimatedcosttotheStateasaresultofdelayedparolehearingsfromthecasestudyof thisreport isover$5.8millioninpaymentstotheRegionalJailAuthority.

    PlacingDOCstaffwithin regional jails, increasing thenumberof psychological evaluations completed within the jails, and pursuingtransitional housing opportunities could serve to help alleviate prison-overcrowding by reducing the number of parole decisions that aredelayed.

    Expediting the speed in which inmates can have parole decisions rendered by the Parole Board could serve to ease overcrowding while reducing the amount the DOC pays regional jails for housing DOC inmates.

  • pg. 20 | West Virginia Legislative Auditor

    Division of Corrections

    Recommendations1. The Division of Corrections should consider placing permanent

    staff at each of the ten regional jails. The DOC estimates this recommendation to cost $514,407 annually.

    2. The Division of Corrections should take steps to complete more psychological evaluations within the regional jails. The DOC anticipates it would cost $700,000 annually to conduct 3,000 psychological evaluations in the regional jails.

    3. The Division of Corrections should attempt to create a transitional housing facility pilot program. The DOC estimates that the pilot program would cost $1.2 million annually.

  • Performance Evaluation & Research Division | pg. 21

    Agency Review January 2012

    The Division of Corrections is in need of performance measures related to recidivism and its ability to meet in-mate programming needs.

    ISSUE2

    The Division of Corrections Needs To Develop Additional Performance Measures.

    Issue Summary TheDivisionofCorrectionssuppliedoneperformancemeasure

    fortheOperating Detail of the FY 2011 Executive Budget. The division tracks numerous statistics and standards relating to safety inside ofcorrectional facilities but did not supply any of these measures to theExecutive Budget. However, there are other aspects of operations;the division does not have performance measures related to inmateprogrammingortoitsresponsibilitiesrelatedtoparolees.TheDivisionofCorrectionsisinneedofperformancemeasuresrelatedtorecidivismanditsabilitytomeetinmateprogrammingneeds.

    The Division of Corrections Mission Statement Is Consistent with West Virginia Code

    Stateagenciesarerequiredtosubmitdivision-levelperformancemeasures for the Operating Detail of the State’s Executive Budget as part of the appropriation request process. Other information reportedincludestheagency’smissionstatement,goals,andobjectives.Althoughlegislative appropriations are not based on performance measuressubmittedbystateagencies,performancemeasuresarerequiredinordertopromoteaccountabilitybeforetheLegislatureandthepublic,andtoencourageagenciestobecomeresult-orientedintheiroperations.

    The LegislativeAuditor has observed thatmany state agencieshave not provided adequate performance goals or measures in theOperating Detail of the State’s Executive Budget. In some cases, the performancemeasuresarenotstronglytiedtotheagency’soverallmission,whileinothercasesthelistofperformancemeasuresisincomplete.Inaddition, state agencies often do not provide goals or benchmarks fortheirperformancemeasures.Withoutaperformancegoalorbenchmark,aperformancemeasuredoesnotindicatewhetherperformanceisgoodorneedsimprovement.TheDivisionofCorrectionsstateditsmissionasfollows:

  • pg. 22 | West Virginia Legislative Auditor

    Division of Corrections

    The Legislative Auditor determines that the agency’s mission statement is consistent with its enabling statute.

    Division of CorrectionsMission Statement

    Toenhancepublic safetybyproviding safe, secure, andhumane correctional facilities, operating an effectivesystemofoffender re-entryandcommunity supervision,reducing offender recidivism, and assisting victims ofcrime.

    The Legislative Auditor examined the agency’s mission statement to determineiftheagency’sfocusisstatutorilysupported.Theperformanceofanagencyistiedtowhattheagencyconsidersitsmission.Therefore,the mission should be clearly understood by the agency and it shouldnotbemoreor less thanwhat is statutorily required. TheLegislativeAuditordeterminesthattheagency’smissionstatementisconsistentwithitsenablingstatuteasshowninthefollowingtable.

    The Division of Corrections’ mission statement is:fullysupportedbystatute. Xnotsupportedbystatute.islessthanstatutorilyrequired.ismorethanstatutorilymandated.isdeterminedadministrativelyasallowedbystatute.

    Mission Statement Sources

    The DOC’s mission statement is supported by Chapter 25, Article 1, and Chapter 62, Article 12 of West Virginia Code.

    • §25-1-1a:The primary purpose of the division of corrections is to enhance public safety by providing for the incarceration and care of convicted offenders who have been sentenced by courts of proper jurisdiction to serve terms of incarceration.

  • Performance Evaluation & Research Division | pg. 23

    Agency Review January 2012

    This measure is relevant to the core problem of the division because it ad-dresses the need to increase bed ca-pacity within the DOC.

    • §62-12-15:Each state parole officer shall investigate all cases referred to him or her for investigation by the commissioner of corrections and shall report in writing thereon. . . He or she shall keep informed concerning the conduct and condition of each person under his or her supervision and shall report thereon in writing as often as the commissioner of corrections may require. He or she shall use all practicable and suitable methods to aid and encourage persons on parole and to bring about improvement in their conduct and condition.

    TheDivisionofCorrections(DOC)isresponsibleforprovidingsafe,secure,andhumanecorrectionalfacilities(WVC §25-1-1a). The Division is also responsible for operating an offender re-entry andsupervisionprogramwith thegoalof reducingrecidivism(WVC §62-12-15). The statement “assisting victims of crime” is seemingly derived from the duty of the Division of Corrections to provide funds to theCrimeVictimsCompensationFund(WVC §25-7-14).

    The Division of Corrections Provided a Single Performance Measure

    The Division of Corrections supplied the following performancemeasure for the FY 2011 Operating Detail:

    This measure is relevant to the core problem of the division becauseit addresses theneed to increasebedcapacitywithin theDOC.AsofNovember 2011, there were 1,686 inmates housed within facilities operatedbytheRegionalJailAuthoritybecausetheDOCdoesnothaveadequatebed-spaceforthem.TheDOCtracksprisoncapacityasbed-space on a facility-by-facility basis. Table 9 below shows the capacity of DOC facilities FY 2008 through FY 2010. The capacity has increased by 98 beds during this period of time. Although the addition of 300 beds atSt.Mary’sisimportant,thereareotheraspectsofoperationthattheagencyshouldutilizetomeasureitsperformance.

  • pg. 24 | West Virginia Legislative Auditor

    Division of Corrections

    A second performance measure to reduce the number of DOC inmates in regional jail facilities by a certain time frame would address alleviating the parole delay issues discussed in Is-sue 1....

    Table 9 DOC Bed Capacity Per Facility FY 2008 through

    FY 2010Facility Name 2008 2009 2010AnthonyCorrectionalCenter 220 220 220Beckley Correctional Center 68 78 78CharlestonWorkReleaseCenter 66 66 66DenmarCorrectionalCenter 210 216 216HuntingtonWorkReleaseCenter 66 66 66HuttonsvilleCorrectionalCenter 1,118 1,138 1,138LakinCorrectionalCenter 455 455 455MartinsburgCorrectionalCenter 120 120 120McDowellCountryCorrectionalCenter 445 445 445Mt. Olive Correctional Complex 1,000 1,020 1,020NorthernCorrectionalCenter 253 253 253OhioCountyCorrectionalCenter 60 67 68PruntytownCorrectionalCenter 359 369 369St.Mary’sCorrectionalCenter 530 554 554SlaytonWorkCamp 48 48 48Totals 5,018 5,115 5,116Source: Division of Corrections data.

    According to DOC officials, all facilities within the DOC were at full inmate capacity from FY 2008 through FY 2010. A second performancemeasuretoreducethenumberofDOCinmatesinregionaljailfacilitiesbyacertaintimeframewouldaddressalleviatingtheparoledelay issues discussed in Issue 1, and also move the agency towardcompliancewiththelegislativeintenttohouseinmateswithintheDOC,notwithinregionaljails.

    DOC Tracks Some Safety Indicators But Has Not Developed These As Performance Measures The DOC sets performance goals for each correctional facilitybased on averages from the previous fiscal year. The following are some examples of items that the DOC tracks:

    • thenumberofinmate-on-staffassaults,

    • thenumberofinmate-on-inmateassaults,

    • the number of tobacco-finds,

  • Performance Evaluation & Research Division | pg. 25

    Agency Review January 2012

    The listed performance goals utilized by the DOC are varied and provide a good idea of what is happening within correction facilities.

    • thehoursofemployeeovertimeworked,

    • the number of grievances filed by inmates,

    • the number of weapon-finds,

    • thenumberofuse-of-forceincidents,

    • thenumberofemployeeseparations,and

    • the number of violation reports sent to hearing officers.

    ThelistedperformancegoalsutilizedbytheDOCarevariedandprovide a good idea of what is happening within correction facilities.The DOC tracks this information month to month and annually. Themonth-to-monthinformationhasimmediateoperationalimplicationsfortheagency.Theuseofinformationfromthepreviousyearcanhelptoillustrate where potential problems are and provide the agency with abenchmarkforimprovement.Thisinformationcouldbeusedtodevelopprogress toward pre-defined safety performance measures.

    Facility Size and Staff Training Contribute to Safety TheDOCdoesnottracksquarefootageperinmatebutallDOC

    facilitiesarenowaccreditedbytheAmericanCorrectionalAssociation(ACA)andfourDOCfacilitiesgainedinitialACAaccreditationinCY2010. One ACA standard requires that facilities provide at least 25 square feet of space per inmate. The ACA is a private, nonprofit organization that providestheonlynationalaccreditationprocessforcorrectionalfacilities.Nationally,about80percentofallstatedepartmentsofcorrectionsandyouthservicesparticipateintheACA.Inaddition,programsandfacilitiesoperated by the Federal Bureau of Prisons, the U. S. Parole Commission, and the District of Columbia are also involved in the accreditationprocess. Theaccreditationprocessoffers theseagencies thechance toevaluate their operations against national standards, remedy deficiencies, andupgradethequalityofcorrectionalprogramsandservices.

    TheDOCalsotracksemployeetrainingcompletions.AccordingtotheDOC,trainingservesto “enhance job performance, sharpen skills, and improve the overall professionalism of the WVDOC.” In FY 2010 the DOC saw 1,662 staff complete required training while 140 did not.

    DOC Does Not Have Performance Goals Related to Parole Eligibility, Paroled Inmates or Rehabilitation

    While the items that the DOC tracks reflect safety and security aspects of operation, they do not address the DOC’s responsibilitiesrelatedtoprocessingrequirementsforinmatestobeeligibleforaparoledecision,paroleesorrehabilitationeffortsofthedivision.TheDOCis

    The DOC does not track square foot-age per inmate but all DOC facilities are now accredited by the American Correctional Association (ACA) and four DOC facilities gained initial ACA accreditation in CY 2010.

  • pg. 2� | West Virginia Legislative Auditor

    Division of Corrections

    Measuring rehabilitation efforts with-in the DOC is also important. While the DOC tracks the number of in-mates who complete courses, it does not measure educational attainment.

    responsible for the supervision of parolees once they are released onparole,andprovidingrehabilitationcoursesduringthetimeinmatesareincarcerated.

    Since the processing of inmates for parole decisions is tied tothe delay in release and the issue of overcrowding, the DOC shouldestablishaperformancemeasurerelatingtoprocessinginmatesforparolehearings. Such performance measures should include a performancegoal. As discussed in the first issue of this report, the DOC has had some difficulty completing required documents that are necessary for a parole decision to be made. From FY 2008 through FY 2010 there were 2,914 inmateswhoreceiveddelayedparoledecisionsduetotheDOCsinabilityto complete documentation in a timely manner. The Parole Board tracks thepercentageofFCsandhassetagoalof15percent,buthaslimitedability to reduce that number itself. In both FY 2009 and FY 2010 over 35percentofparolehearingsresultedinaninmatebeingplacedonFCstatus.TheDOCcouldtrackthenumberofinmateswhoareplacedonfurtherconsiderationstatus(FC)andestablishabenchmarkforFCs.

    MeasuringrehabilitationeffortswithintheDOCisalsoimportant.WhiletheDOCtracksthenumberofinmateswhocompletecourses,itdoes not measure educational attainment. For example, Table 10 below demonstrates that in FY 2010 a total of 253 GED classes were completed but the reader cannot determine the number of inmates who earned aGED.

    Table 10Programming Completions within the DOC FY 2009

    Through FY 2010Class Category FY 2009 FY 2010AffectiveSocialPrograms 3,457 3,801ComputerClasses 355 421Crime Specific Classes 207 149Sex Offender Classes 112 132Education Classes 546 1126ABE/GED Classes 220 253CollegeCourses 544 462Pre-ReleasePreparationClasses 1,760 428LifeSkillsClasses 2,280 2,929SubstanceAbuseClasses 2,546 1,570VocationalClasses 550 1323Total Classes Completed 12,577 12,594

  • Performance Evaluation & Research Division | pg. 2�

    Agency Review January 2012

    ...due to prison overcrowding, some inmates do not have the opportunity to complete drug rehabilitation cours-es because there are limited programs within regional jails.

    Many inmateswithinWestVirginia’sprisonshavedrug-relatedpasts. Drug rehabilitation courses are instrumental in preparing themfor lifeoutsideofprison. Unfortunately, due toprisonovercrowding,someinmatesdonothavetheopportunitytocompletedrugrehabilitationcourses because there are limited programs within regional jails. TheLegislative Auditor reviewed one inmate’s files that were placed on a waitlistforneededprogrammingfourdifferent times.TheDOCtrackscompletionofclassesrelatedtorehabilitationandparole,butitdoesnottrackinmateswhoareawaitingtheopportunitytoparticipateincourses. It is the opinion of the Legislative Auditor that the DOC should begin tracking the number of inmates who do and do not complete courses within correctional facilities.

    Relatingtoparolees,theDOCdoestrackrecidivismandparolerevocations, but does not have a specific goal outlined. Some performance measures to reduce recidivism could be tracking parolee employmentdataandrequiringfullupdatesonthelocationandstatusofparolees.

    Conclusion

    Havingrelevantandreliableperformancemeasureshelpdetermineifanagencyisachievingitsmission.WhiletheDivisionofCorrectionshasnumerousoutputmeasuresthatgiveagoodideaofthelevelofsafetyincorrectionalfacilities,noperformancemeasureswereprovidedintheOperatingDetailforsafetyandsecurityaspectsofitsoperation.Also,theagencydidnotprovidemeasuresthataddressremediationorparoleeffortsormeasuresthatprovideatruepictureofthecurrentovercrowdingsituation faced by the division. The Division of Corrections has animportantroleinassistinginmatesthroughrehabilitationandremediationefforts.Whenaninmateisabletosuccessfullyre-integrateintosociety,itis beneficial to society. Successful re-integration saves the State money, frees bed space in DOC facilities, and protects the public. Because of this, performance measures relating to remediation efforts, throughprogrammingandeducation,shouldbeofparamountimportancetotheDivisionofCorrections.

    Recommendations4. The Division of Corrections should consider developing a

    performance measure related to reducing the number of inmates, committed to DOC custody, who are housed within facilities operated by the Regional Jail Authority.

    The Division of Corrections has an important role in assisting inmates through rehabilitation and remedia-tion efforts.

  • pg. 2� | West Virginia Legislative Auditor

    Division of Corrections

    5. The Division of Corrections should consider developing a performance measure with the goal of reducing the number of parole-eligible inmates who are placed on Further Consideration status due to missing or incomplete documentation from the DOC.

    6. The Division of Corrections should consider developing a performance measure related to the educational attainment and the remedial programming needs of inmates housed within the DOC.

  • Performance Evaluation & Research Division | pg. 2�

    Agency Review January 2012

    Government websites should also pro-vide transparency of an agency’s op-eration to promote accountability and public trust.

    The Division of Corrections Website Needs Improvement In User-friendliness and Transparency.

    Issue Summary The Legislative Auditor conducted a literature review onassessmentsofgovernmentwebsitesanddevelopedanassessmenttoolto evaluate West Virginia’s state agency websites (see Appendix D). The assessment tool lists several website elements. Some elementsshouldbeincludedineverywebsite,whileotherelementssuchassocialmedia links, graphics and audio/video features may not be necessary or practical for certain agencies. Table 11 indicates that the Division ofCorrections integrates46percentof the checklist items in itswebsite.ThismeasureshowsthattheDOCneedstoincreaseeffortstoimprovetheuser-friendlinessandtransparencyofitswebsite.

    Table 11Division of Corrections

    Website Evaluation ScoreSubstantial

    ImprovementNeededMoreImprovement

    NeededModestImprovement

    NeededLittleorNo

    ImprovementNeeded0-25% 26-50% 51-75% 76-100%

    DOC 46%Source: The Legislative Auditor’s review of the Division of Corrections’ website.

    The DOC Needs Improvement In Both User-friendliness and Transparency

    In order to actively engage with an agency online, citizens must first beabletoaccessandcomprehendinformationongovernmentwebsites.Therefore,governmentwebsitesshouldbedesignedtobeuser-friendly.Auser-friendlywebsiteisunderstandableandeasytonavigatefrompagetopage. Governmentwebsitesshouldalsoprovidetransparencyofanagency’soperationtopromoteaccountabilityandpublictrust.Awebsitethat promotes transparency provides sufficient information about an agency’sbudget,organizationandperformance.

    The Legislative Auditor reviewed the DOC website for bothuser-friendliness and transparency. Table 12 demonstrates that the DOC websiteneedsmoreimprovementinbothareas.

    ISSUE3

  • pg. 30 | West Virginia Legislative Auditor

    Division of Corrections

    The DOC website is easy to navigate as every page is linked to the agency’s homepage, as well as a search tool and site map that acts as an index of the entire website.

    Table 12 Division of Corrections

    Website Evaluation ScoreCategory Possible Points Agency Points Percentage

    User-Friendly 18 9 50

    Transparent 32 14 44

    Total 50 23 46Source: Legislative Auditor’s assessment of the Division of Corrections website.

    The DOC Website Can Be More User-FriendlyTheDOCwebsiteiseasytonavigateaseverypageislinkedto

    theagency’shomepage,aswellasasearchtoolandsitemapthatactsasan index of the entire website. The website also displays a Frequently-Asked-Questions(FAQ)sectionthatallowsuserstoimmediatelyobtainanswerstothemostcommonquestions.Overall,theDOCwebsiteallowsforthepublictoeasilynavigatethewebsite,butseveralomittedfeaturespreventitfrombeingmoreuser-friendly.

    User-Friendly Considerations

    Thefollowingareafewimprovementsthatcouldleadtoamoreuser-friendlywebsite:

    • Foreign language accessibility- A link to translate allwebpages into languages other than English.

    • Site Functionality-Thewebsiteshouldincludebuttonstoadjust the font size and resizing of text should not distort site graphics or text.

    • Mobile Functionality- The agency’s website is notavailable in a mobile version and the agency has notcreatedmobileapplications.

    • Feedback Options-Apagewhereuserscanvoluntarilysubmitfeedbackaboutthewebsiteoraparticularsectionofthewebsite.

    • RSS Feeds-RSSstandsfor“ReallySimpleSyndication”andallowssubscriberstoreceiveregularlyupdatedwork(i.e. blog posts, news stories, audio/video, etc.) in a standardizedformat.

  • Performance Evaluation & Research Division | pg. 31

    Agency Review January 2012

    The DOC’s transparency score can be improved by adding budgetary infor-mation, performance measures, and information concerning how to sub-mit a FOIA.

    The DOC Website Needs Transparency Improvements A website that is transparent will have elements such as emailcontact information, the location of the agency, the agency’s phonenumber,aswellaspublicrecords,thebudgetandperformancemeasures.A transparent website also allows interaction between the agency andcitizens concerning a host of issues. The Division of Corrections’websitehasseveralofthecoreelementsthatarenecessaryforageneralunderstandingofthedivision.Itemssuchasemailcontactinformation,thephonenumberofthedepartment,andamissionstatementallowmembersof thepublic tounderstand the functionof thedivisionand tocontactit.TheDOCwebsitealsocontainsinformationaboutpursuingacareerincorrectionsandprevious reports releasedby theDOC. TheDOC’stransparency scorecanbe improvedbyaddingbudgetary information,performancemeasures,acomplaintform,orotherinformationrelatedtotheagency’soperation.

    Transparency Considerations

    The following are a few attributes that could be beneficial to the DivisionofCorrectionsinincreasingitstransparency:

    • Public Records- The agency’s website should containapplicable public records such as Statutes, Rules and/or Regulations, contracts, audits, grants, and meetingminutes.

    • Calendar of Events-Theagency’swebsiteshouldcontaininformation on events, meetings, etc. ideally imbeddedusingacalendarprogram.

    • Organizational Chart- The agency’s website shouldcontain a narrative describing the agency organization,preferably in a pictorial representation such as a hierarchy/organizationalchart.

    • Complaint Form- A specific page that contains a form to file a complaint, preferably an online form.

    • Budget- Budget data should be available at the checkbook level,ideallyinasearchabledatabase.

    • FOIA Information-Theagency’swebsiteshouldcontaininformation on how to submit at FOIA request, ideallywithanonlinesubmissionform.

    • Performance Measures/Outcomes- A page linked tothe homepage explaining the Departments performance measuresandoutcomes.

  • pg. 32 | West Virginia Legislative Auditor

    Division of Corrections

    • Website Updates- The website should have a websiteupdatestatusonscreenandideallyforeverypage.

    • Job Postings-The agency should have a section on itshomepageforopenjobpostingsandalinktotheDivisionofPersonnel’sapplicationpage.

    Conclusion

    ThecurrentDivisionofCorrectionswebsiteisinneedofadditionalfeatures to improve user-friendliness and transparency. Website userscan find a search tool, a sitemap, contact information, and a FAQ section on a functional and readable website. However, users of the DOCwebsite cannot find budget information, agency performance measures, a complaint form or other relevant information. Providing websiteusers with this information would greatly improve transparency. It istheLegislativeAuditor’sopinionthatinordertoincreasetransparencyandpublic accountability, theDivisionofCorrections should considerrecommendedadditionstothewebsiteinordertoimprovetransparencyanduser-friendliness.

    Recommendation7. The Division of Corrections should consider adding recommended

    features to its website to improve both user-friendliness and transparency.

  • Performance Evaluation & Research Division | pg. 33

    Agency Review January 2012

    AppendixA:TransmittalLetter

  • pg. 34 | West Virginia Legislative Auditor

    Division of Corrections

  • Performance Evaluation & Research Division | pg. 35

    Agency Review January 2012

    AppendixB:Objective,ScopeandMethodology

    Objective ThisreportontheWestVirginiaDivisionofCorrectionsispartofthedepartmentalreviewoftheWestVirginiaDepartmentofMilitaryAffairsandPublicSafetypursuanttoWest Virginia Code§4-10-8(b)(4).TheobjectiveofthisreviewwastoevaluatetheDivisionofCorrectionsprocessesrelatedtopreparinginmatesforparolehearings,performancemeasures,andwebsite.Our specific objectives were to determine:

    ParoleHearingProcess

    • theprocessofparolehearings,

    • howtheDivisionofCorrectionspreparesinmatesforparolehearings,and

    • areaswheretheprocesscouldbeimproved.

    PerformanceMeasures

    • iftheDivisionofCorrectionshadrelevantperformancemeasurestogoverntheagency,and

    • ifappropriateperformancemeasuresthatcanbecontrolledandmonitoredbytheagencyforfutureuse.

    Website

    • iftheagencyhostedawebsite,and

    • whatcontentwouldbeappropriatefortheagencytopostonawebsite.

    Scope Thescopeofthisreviewconsistedofreviewingthevariousprocessesinvolvedincompletingrequireddocumentationforparolehearingsandtheagency’s performance measures. The timeframe covers FY 2008 through November 2011. This review does not cover agency expenditures or financial statements.Whilewedidreviewcontractswithoutsidevendorsrelatingtoinmatetesting,wedidnotreviewthecontractsindetail.ThisreviewdidnotdetermineifcontractorsweremeetingsthetermsofthecontractorhowtheDivisionofCorrectionsadministersthecontract.

  • pg. 3� | West Virginia Legislative Auditor

    Division of Corrections

    Methodology This report utilizes information compiled from the West VirginiaParole Board and the Department of Corrections. Information was also obtainedfromWest Virginia Code, theCode of State Regulations,and theOperating Detail of the Executive Budget.

    To develop an understanding of the parole process, we reviewedWest Virginia Codeandthe Code of State Regulations.Wetheninterviewedwith Division of Corrections and West Virginia Parole Board staff and sat in onseveralparolehearings.Oneissuenoticedwasthatanumberofparolehearingswerebeingdelayedduetomissingorincompletepaperwork.Wethen reviewed the results of all parole hearings from FY 2008 to FY 2010 and placedemphasisonthedecisionsthatweredelayedandthevariousreasonsfordelay.WedecidedthatthepowertoreducethenumberofdelayedparoledecisionsliedwithintheDivisionofCorrections.Wethenreviewedinmatefiles and attempted to determine what difficulties the Division of Corrections was having in completing necessary documentation and why these difficulties wereoccurring.

    To achieve our objectives related to performance measures, weinterviewedDOCstaff,andreviewedtheagency’spoliciesandproceduresoftheagencyaswellastheOperating Detail. Thisinformationwasthenusedtocreatesuggestionsforagencyperformancemeasures.

    Inregardtothewebsite,wespokewithDOCstaffandreviewedtheagencieswebsiteusingawebsitescoringtoolthatwasdevelopedinternally.Thewebsiteevaluationtoolwasthenusedtosuggestareasforimprovementinuser-friendlinessandtransparency.

    Weconductedourperformanceaudit in accordancewithgenerallyacceptedgovernmentauditingstandards. Thosestandards require thatweplan and perform the audit to obtain sufficient, appropriate evidence to provide a reasonable basis for our findings and conclusions based on our auditobjectives.Webelievethattheevidenceobtainedprovidesareasonablebasis for our findings and conclusions based on our audit objectives.

  • Performance Evaluation & Research Division | pg. 3�

    Agency Review January 2012

    AppendixC:ReasonsforFurtherConsiderationFY2008toFY2010

    Reasons for Further Consideration FY 2008 to FY 2010

    Reason Number Months of Delay

    Criminal Inventory Background (CIB) 1 7

    HomePlans(HP) 1,614 10,054

    Post-SentenceInvestigation(PSI) 75 182

    PSI and CIB 3 29PSIandHP 53 413

    PSI and Psychological Evaluation (PSY) 91 503

    PSI,PSY,andHP 202 1,284

    PSY 203 499

    PSYandHP 615 4,540

    Other 57 286Totals 2,914 17,797

    Source: PERD Calculation of Information Provided by the West Virginia Parole Board.

  • pg. 3� | West Virginia Legislative Auditor

    Division of Corrections

  • Performance Evaluation & Research Division | pg. 3�

    Agency Review January 2012

    Website Criteria Checklist and Points SystemDivision of Corrections

    User-Friendly Description Total Points PossibleTotal Agency

    Points

    Criteria Theeaseofnavigationfrompagetopagealongwiththeusefulnessofthewebsite. 18 9

    Individual Points Possible

    Individual Agency Points

    SearchTool The website should contain a search box (1), preferablyoneverypage(1). 2 points 2 points

    HelpLink

    There should be a link that allows users toaccess a FAQ section (1) and agency contactinformation (1) on a single page. The link’s text doesnothave tocontain thewordhelp,but itshould contain language that clearly indicatesthat the user can find assistance by clicking the link(i.e.“HowdoI…”,“Questions?”or“Needassistance?”)

    2 points 2 points

    Foreignlanguageaccessibility

    Alinktotranslateallwebpagesintolanguagesother than English. 1point 0points

    ContentReadability

    Thewebsiteshouldbewrittenona6th-7thgradereadinglevel.TheFlesch-KincaidTestiswidelyusedbyFederalandStateagenciestomeasurereadability.

    Nopoints,seenarrative Yes

    SiteFunctionality

    Thewebsiteshouldusesansseriffonts(1),thewebsiteshouldincludebuttonstoadjustthefontsize (1), and resizing of text should not distort site graphics or text (1).

    3points 1point

    SiteMap

    Alistofpagescontainedinawebsitethatcanbe accessed by web crawlers and users. TheSite Map acts as an index of the entire website andalinktothedepartment’sentiresiteshouldbelocatedonthebottomofeverypage.

    1point 1point

    MobileFunctionality

    Theagency’swebsite is available in amobileversion (1) and/or the agency has created mobile applications(apps)(1).

    2 points 0points

    NavigationEvery page should be linked to the agency’s homepage(1)andshouldhaveanavigationbaratthetopofeverypage(1).

    2 points 2 points

    AppendixD:WebsiteCriteriaChecklistandPointsSystem

  • pg. 40 | West Virginia Legislative Auditor

    Division of Corrections

    Website Criteria Checklist and Points SystemDivision of Corrections

    FAQSection A page that lists the agency’s most frequentaskedquestionsandresponses. 1point 1point

    FeedbackOptionsA page where users can voluntarily submitfeedbackaboutthewebsiteorparticularsectionofthewebsite.

    1point 0points

    Online survey/poll Ashortsurveythatpopsupandrequestsuserstoevaluatethewebsite. 1point 0points

    SocialMediaLinksThewebsiteshouldcontainbuttons thatallowuserstopostanagency’scontenttosocialmediapagessuchasFacebookandTwitter.

    1point 0points

    RSSFeeds

    RSS stands for “Really Simple Syndication”and allows subscribers to receive regularlyupdated work (i.e. blog posts, news stories,audio/video, etc.) in a standardized format. All agency websites should have a RSS link ontheirwebsites.

    1point 0points

    Transparency Description Total Points PossibleTotal Agency

    Points

    Criteria

    A website which promotes accountability andprovides information for citizens about whatthe agency is doing. It encourages publicparticipation while also utilizing tools andmethods to collaborate across all levels ofgovernment.

    32 14

    Individual Points Possible

    Individual Agency Points

    Email Generalwebsitecontact. 1point 1pointPhysicalAddress Generaladdressofstageagency. 1point 1pointPhoneNumber Correctphonenumberofstateagency. 1point 1point

    LocationofAgencyHeadquarters

    The agency’s contact page should includean embedded map that shows the agency’slocation.

    1point 1point

    Administrativeofficials

    Names (1) and contact information (1) ofadministrative officials. 2 points 2 points

    Administrator(s)biography

    A biography explaining the administrator(s) professional qualifications and experience. 1point 1point

  • Performance Evaluation & Research Division | pg. 41

    Agency Review January 2012

    Website Criteria Checklist and Points SystemDivision of Corrections

    Privacypolicy A clear explanation of the agency/state’s online privacypolicy. 1point 1point

    PublicRecords

    Thewebsiteshouldcontainallapplicablepublicrecordsrelatingtotheagency’sfunction.Ifthewebsitecontainsmorethanoneofthefollowingcriteriatheagencywillreceivetwopoints:• Statutes• Rules and/or regulations• Contracts• Permits/licensees• Audits• Violations/disciplinary actions• MeetingMinutes• Grants

    2 points 0points

    Complaintform A specific page that contains a form to file a complaint(1),preferablyanonlineform(1). 2 points 0points

    Budget Budget data is available (1) at the checkbook level(1),ideallyinasearchabledatabase(1). 3points 0points

    Missionstatement The agency’s mission statement should belocatedonthehomepage. 1point 1point

    Calendarofevents Informationonevents,meetings,etc.(1)ideallyimbeddedusingacalendarprogram(1). 2 points 0points

    e-Publications Agencypublications shouldbeonline (1) anddownloadable(1). 2 points 2 points

    AgencyOrganizationalChart

    Anarrativedescribingtheagencyorganization(1),preferablyinapictorialrepresentationsuchas a hierarchy/organizational chart (1).

    2 points 0points

    Graphiccapabilities Allowsuserstoaccessrelevantgraphicssuchasmaps,diagrams,etc. 1point 1point

    Audio/video features

    Allowsusers toaccessanddownloadrelevantaudioandvideocontent. 1point 0points

    FOIAinformation InformationonhowtosubmitaFOIArequest(1),ideallywithanonlinesubmissionform(1). 2 points 0points

  • pg. 42 | West Virginia Legislative Auditor

    Division of Corrections

    Website Criteria Checklist and Points SystemDivision of Corrections

    Performancemeasures/outcomes

    A page linked to the homepage explaining the agenciesperformancemeasuresandoutcomes. 1point 0points

    Agencyhistory

    The agency’s website should include a pageexplaining how the agency was created, what it hasdone,andhow,ifapplicable,hasitsmissionchangedovertime.

    1point 1point

    Websiteupdates Thewebsiteshouldhaveawebsiteupdatestatusonscreen(1)andideallyforeverypage(1). 2 points 0points

    Job Postings/links to PersonnelDivisionwebsite

    Theagencyshouldhaveasectiononhomepagefor open job postings (1) and a link to theapplicationpagePersonnelDivision(1).

    2 points 1point

  • Performance Evaluation & Research Division | pg. 43

    Agency Review January 2012

    AppendixE:AgencyResponse

  • pg. 44 | West Virginia Legislative Auditor

    Division of Corrections

  • Performance Evaluation & Research Division | pg. 45

    Agency Review January 2012

    AppendixF:AgencyCommentsandOurEvaluation

    WeprovidedadraftcopyofthisreporttotheDivisionofCorrections(DOC)forcomment.TheDOCprovidedwritten comments which are reprinted in Appendix B. In commenting on the content of this report, the DOC suggestedthatweincludethefollowinginourreport:

    • Issue 1: The recommendations offered on page 12 of the report are initiatives that the WVDOC has been pursuing for some time. Cost estimates have been developed but funding has not yet beenallocated. We would like to respectfully request that you include these funding estimates in yourrecommendations.

    o PermanentStaffattheRegionalJails$514,047Annuallyfor11additionalstaff(10CorrectionalCounselor II’s and 1 Office Assistant II)

    o Psychological Evaluations in the Regional Jails: $700,000 Annually (Includes costs for 3,000 psychologicalevaluationsandotherrequiredtesting)

    o Transitional Housing Plot: $1.2 Million Annually

    • Issue 2:

    o TheMission Statement includedonpage14 is our oldmission statement.Weadopted thefollowinga fewyears ago:Themissionof theWestVirginiaDivisionofCorrections is toenhancepublicsafetybyprovidingsafe,secure,andhumanecorrectionalfacilities,operatingan effective system of offender re-entry and community supervision, reducing offenderrecidivism,andassistingvictimsofcrime.

    o Near the top of page 17, we believe “the number of violations reports sent to parole officers” should be “the number of violation reports sent to hearing officers” which refers to our staff thatoverseetheinstitutionaldisciplinaryprocess.

    All of these changes have been incorporated into the report on pages 6, 20, 22 and 25.

    Inaddition,thereportwillbeavailableathttp://www.legis.state.wv.us/Joint/PERD/perd.cfm.If you or your staff members have any questions about this report, please contact me at (304) 347-4895 or [email protected].

    JohnSylvia

    Director

  • pg. 4� | West Virginia Legislative Auditor

    Division of Corrections

  • WEST VIRGINIA LEGISLATIVE AUDITOR

    PERFORMANCE EVALUATION & RESEARCH DIVISION

    Building1,RoomW-314,StateCapitolComplex,Charleston,WestVirginia25305

    telephone:1-304-347-4890|www.legis.state.wv.us/Joint/PERD/perd.cfm|fax:1-304-347-4939