Vocational Work Projects: Financial and Administrative Procedures for

Idaho
Department of
Correction

Standard
Operating
Procedure

Division of
Prisons

Institutional
Programs
and
Activities
Control Number:
611.02.01.001
Version:
2.7
Page Number:
1 of 8
Adopted:
12-5-2001
Reviewed:
10-19-2010

Title:
Vocational Work Projects: Financial and
Administrative Procedures for

This document was approved by Pam Sonnen, chief of the Division of
Prisons, on 10/19/10 (signature on file).
BOARD OF CORRECTION IDAPA RULE NUMBER 611
Business with Inmates and Labor of Inmates
POLICY STATEMENT NUMBER 611
Work Projects
POLICY DOCUMENT NUMBER 611
Work Projects
DEFINITIONS
Agency: Any federal, state, or local government agency, or public or private nonprofit public
service organization with which the Department has a Human Resource Agreement (HRA).
Human Resource Agreement (HRA): An agreement negotiated between the Idaho
Department of Correction (IDOC) and an agency for the use of offender work crews. HRAs
are ongoing agreements outlining the broad responsibilities of each party that must be
signed by the director of the IDOC and the agency’s contracting authority.
Vocational Work Project: A public vocational work project performed by offender work
crews for outside agencies in conjunction with a Human Resource Agreement (HRA).
Vocational Work Project Lieutenant: A Department employee assigned as a correctional
supervisor, responsible for managing the facility vocational work project section.
Vocational Work Project Manager: A Department employee, as assigned by the chief of
the Division of Prisons, responsible for overseeing statewide work projects and prison
industry enterprise (PIE) programs, to include fiscal accountability, budget development, and
facility adherence to requirements set forth within Idaho Department of Correction (IDOC)
work projects policies and standard operating procedures (SOPs).
Work and Financial Plan: A written agreement between an Idaho Department of Correction
(IDOC) facility and an agency for the completion of a specific work project. These
agreements must be signed by the work project manager, contract manager, facility head,
and an agency representative.
Control Number:
611.02.01.001
Version:
2.7
Title:
Vocational Work Projects: Financial
and Administrative Procedures for
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PURPOSE
The purpose of this standard operating procedure (SOP) is to establish standardized
procedures within the Division of Prisons for contracting work projects, developing annual
budgets, and purchasing.
SCOPE
This SOP applies to all IDOC facilities that operate vocational work projects to include
offenders, facility staff, and division administrative staff.
RESPONSIBILITY
Facility heads are responsible for implementing and ensuring that staff members follow the
procedures and practices provided herein.
Table of Contents
General Requirements ......................................................................................................... 2
1. Introduction .................................................................................................................... 2
2. Budget Development ...................................................................................................... 2
3. Cost Analysis .................................................................................................................. 3
4. Purchasing ..................................................................................................................... 4
5. Human Resource Agreement ......................................................................................... 4
6. Work Project Development ............................................................................................. 5
Documentation: Work Project Development.............................................................. 5
Process Steps: Work Project Development............................................................... 6
7. Equipment and Tools ...................................................................................................... 7
References ........................................................................................................................... 7
GENERAL REQUIREMENTS
1. Introduction
Vocational work projects are intended to provide a broad range of constructive work
opportunities for offenders and contribute to the public good. Vocational work projects are
not intended to compete with the private sector.
It is the intent of the Department that vocational work projects usually charge for services to
offset the cost to the taxpayers.
2. Budget Development
Vocational work projects budgets are developed using standard Department fiscal policies,
SOPs, and practices. Vocational work projects budgets may include monies from the
general fund, grants, and revenues. The State Legislature must grant spending authority
before revenue money can be included in a State budget. However, when spending
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and Administrative Procedures for
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authority is granted, the revenue must be received and credited to the facility account before
it can be spent.
All exceptions to allocating, encumbering, or spending revenue funds that exceed a facility’s
cash balance must have prior approval of the vocational work project manager and the
Department fiscal unit.
Facility heads will:
• Jointly develop annual vocational work projects budgets with the vocational work
project manager;
• Manage expenditures within allocations; and
• Adhere to the standards, guidelines, and practices set forth herein.
The vocational work project manager will:
• Jointly develop annual vocational work projects budgets with each facility;
• Approve spending plans;
• Set spending authority limits;
• Monitor revenue receipts;
• Manage expenditures within allocations;
• Approve all purchases, encumbrances, and expenditures from revenue and
vocational work project accounts;
• Communicate problems and concerns regarding budgets to facility heads; and
• Report problems and concerns to upper management.
3. Cost Analysis
Operational costs must be established in order to complete a cost/revenue analysis. The
vocational work project manager will establish annual costs in the following areas:
• Equipment,
• Fuel and oil,
• Staff clothing,
• Personnel (both offender and staff costs),
• Offender clothing,
• Offender meals,
• Incidental costs, and
• Vehicle use and mileage.
The vocational work project manager will transmit the annualized costs to facility heads and
vocational work project lieutenant in an electronic or written format within the first (1st)
quarter of each year.
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Title:
Vocational Work Projects: Financial
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4. Purchasing
All purchasing will follow directive 147.06.06.004, Purchasing and Contracting.
The vocational work project lieutenant will:
• Ensure that all vocational work projects follow fiscal policy,
• Acquire the facility head’s approval for Purchase Orders, and
• Transmit a copy of the Purchase Order to the vocational work project manager for
review.
The work project manager will:
• Review all vocational work projects purchases to ensure they meet State and
Department fiscal guidelines;
• Review the facility budget to ensure that the cash balance is sufficient to cover the
purchase, encumbrance, or expenditure;
• Approve or deny the Purchase Order; and
• Transmit the Purchase Order back to the facility for processing.
5. Human Resource Agreement
Note: Appendix A, Human Resource Agreement (HRA), must be completed and approved
before a vocational work project can begin. After five (5) years, a new HRA must be
completed between the Department and the contracting agency.
Note: As identified hereinafter, a contract manager shall be recognized as a Division of
Management Services employee, assigned by the chief of the Division of Management
Services—in consultation with the chief of the Division of Prisons, who is responsible for
drafting and executing all contractual documents, maintaining the official contract records,
and auditing facility compliance with the application of this SOP.
When establishing an HRA, the following process steps shall be followed.
Functional Roles and
Responsibilities Step Tasks
Contract Manager 1
• Ensure that the contracting agency meets the
requirements of a non-profit organization or
governmental agency.
• Acquire 501(c)(3) tax-exempt documentation for all
non-profit organizations.
• Forward two (2) HRAs to the contracting agency’s
authorized representative for signature approval.
Note: Any modifications made to an existing HRA must be
reviewed by the deputy attorneys general (DAGs) who
represent the Idaho Department of Correction (IDOC) prior
to any reviews and/or signatures being obtained.
Note: The authorized representative will need to sign both
HRAs and return them to the contract manager.
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Functional Roles and
Responsibilities Step Tasks
Contract Manager 2
After obtaining the authorized representative’s signature
approval, forward the HRAs to the director of the Idaho
Department of Correction (IDOC).
Director of the IDOC 3
• Review the HRAs and approve or deny.
♦ Approve – sign the HRAs.
♦ Deny – do not sign the HRAs.
• Return the HRAs to the contract manager.
Contract Manger 4
If the Director:
• Approved the HRAs – make one (1) copy of the
signed HRA and forward it to the vocational work
project lieutenant; send one (1) of the original signed
HRAs to the contracting agency; and maintain one (1)
original signed HRA in the official contract file (located
at central office).
• Denied the HRAs – make two (2) copies of the HRA
and forward one (1) copy to the facility head and one
(1) copy to the vocational work project manager; and
return the original signed HRAs to the contracting
agency citing the reason(s) they were not approved.
(Note: The process ends here until the issues are
resolved. The facility head and vocational work project
manager may work with the contracting agency to
resolve the issues and resubmit to the contract
manager for consideration.)
6. Work Project Development
After an HRA is established, the vocational work project lieutenant will develop vocational
work projects with approved agencies. The vocational work project manager, with
assistance from facility heads, will evaluate vocational work projects based on the following
considerations:
• Project suitability to include, without limitations, security risks, safety of offenders and
staff, benefit to the public, public perception, and required expertise; and
• Cost/benefit to include, without limitations, public service, public relations, potential
cost savings to taxpayers, potential for teaching vocational or other habilitation skills
to the offenders, project sustainability, and potential financial and liability risks to the
Department.
Note: The facility head and vocational work project manager will jointly approve projects
before contracting.
Documentation: Work Project Development
Work and Financial Plan
Appendix B, Work and Financial Plan, describes vocational work projects and includes:
• The exact specifications of the vocational work project;
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• The number of offenders assigned;
• The number of vocational work project staff required;
• The expected time frame for completion;
• The staff and offender training to be completed;
• The types of materials, tools, and equipment required and who will provide them;
and
• The compensation rates for offender workers, staff, vehicles, tools, and equipment
provided by the Department.
Cost and Revenue Analysis
To determine if the project is cost effective, a financial analysis must be performed using
appendix C, Cost and Revenue Analysis.
Risk Assessment
The vocational work project manager (or designee) must complete appendix D, Risk
Assessment, to identify anticipated risks and special considerations that may need to be
addressed. The projects lieutenant will review all risk assessments before submitting the
project packet for approval.
Process Steps: Work Project Development
When developing an initial vocational work project, the following process steps shall be
followed:
Functional Roles and
Responsibilities Step Tasks
Vocational Work
Projects Lieutenant 1
Complete and submit the following documents to the facility
head and vocational work project manager for approval:
• Appendix B, Work and Financial Plan,
• Appendix C, Cost and Revenue Analysis, and
• Appendix D, Risk Assessment,
Facility Head
and
Vocational Work
Project Manager
2
• Review all documents and approve or deny.
♦ Approve – sign the documents and forward to the
contract manager.
♦ Deny – do not sign the documents. The facility
head will consult with the vocational work project
manager for any recommendations that might
make the project acceptable for approval. (Note:
The process ends here until the project is deemed
acceptable for approval. The vocational work
project lieutenant may work with the contracting
agency to modify the project and resubmit to the
facility head for consideration.)
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Version:
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Functional Roles and
Responsibilities Step Tasks
Contract Manager 3
• Ensure that a Human Resource Agreement (HRA)
exists before the Work and Financial Plan is executed.
• Complete the contracting process with the contracting
agency.
• Notify the facility head when the contract has been
completed.
• File and maintain original documents.
7. Equipment and Tools
The facility head will designate a secure area as a tool cache. All tools will be marked,
inventoried, issued, and returned in accordance with SOP 509.02.01.001.01, Tool Control.
The vocational work project lieutenant will maintain an inventory of all equipment and tools
assigned to the vocational work project section.
Each day, vocational work project staff will complete an inventory sheet for equipment and
tools removed from the facility. Vocational work project staff will ensure the tools are
accounted for and secured at the end of the day.
Note: Running inventories can be maintained on equipment that is assigned for extended
periods. Broken tools and equipment will be noted on the inventory and the broken tool/item
will be turned into the vocational project manager. Vocational work project staff members will
report lost or missing tools immediately upon their return to the facility.
The vocational work project lieutenant will ensure that a physical inventory of all equipment
and tools is conducted and reconciled each month.
Note: New tools will be added to the inventory before they are put into use. Broken and lost
tools will be removed from the inventory.
If the inventory cannot be reconciled, the vocational work project lieutenant will contact the
facility head. The facility head will document the loss, make adjustments to the fixed asset
inventory (if necessary), and if the value of the loss exceeds five hundred dollars ($500),
transmit a 105 Incident Notification Report to the Operations Incident Report Group (see
SOP 105.02.01.001, Reporting and Investigation of Major Incidents).
The vocational work project lieutenant will request repair or replacement of broken tools as
necessary.
All vehicles are required to meet current U.S. Department of Transportation (DOT)
standards for transporting personnel and materials.
REFERENCES
Appendix A, Human Resource Agreement
Appendix B, Work and Financial Plan
Appendix C, Cost and Revenue Analysis
Appendix D, Risk Assessment
Directive 147.06.06.004, Purchasing and Contracting
Control Number:
611.02.01.001
Version:
2.7
Title:
Vocational Work Projects: Financial
and Administrative Procedures for
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Standard Operating Procedure 105.02.01.001, Reporting and Investigation of Major
Incidents
Standard Operating Procedure 509.02.01.001.01, Tool Control
– End of Document –