Occ. Code 0242310
|
CORRECTIONAL SERVICES INTERNAL AUDITOR 2, GRADE 18 |
0242310 |
|
CORRECTIONAL SERVICES INTERNAL AUDITOR 3, GRADE 23 |
0242410 |
|
CORRECTIONAL SERVICES INTERNAL AUDITOR 5, M-3 |
0242650 |
New York State Department of Civil Service
Classification Standard
BRIEF DESCRIPTION OF CLASS SERIES
Positions in this title series serve as members of an audit team and are responsible for conducting audits of pre-identified management problem areas targeted by the Bureaus Director. Employing audit procedures, techniques, and measurement tools devised to isolate the problem area, incumbents of these positions perform fact-finding functions; make recommendations to modify audit activities to improve the quality and scope of the project; prepare pertinent analyses; and develop recommendations based on findings to enable the Department to effectively and efficiently meet its necessary goals and objectives.
Duties include reviewing departmental directives and policies, along with corresponding Title 7 rules and regulations, to ensure relevancy and accuracy to the operational practices they are intended to describe.
These positions are only classified in the Department of Correctional Services (DOCS). Incumbents at DOCS assist in the total care and confinement of inmates sentenced to the custody of the Department, and as such perform various duties and functions in conjunction with the overall operation of a facility and/or location to which they are assigned.
DISTINGUISHING CHARACTERISTICS
CORRECTIONAL SERVICES INTERNAL AUDITOR 2: entry level; under the supervision of a higher level auditor, bears responsibility for conducting audits of pre-identified management problem areas.
CORRECTIONAL SERVICES INTERNAL AUDITOR 3: advanced performance level and/or first supervisory level; responsible for acting as prime liaison with Office of the State Comptroller auditors during the audit process.
CORRECTIONAL SERVICES INTERNAL AUDITOR 5: managerial level; responsible for planning and administering all administrative internal audit functions for DOCS.
ILLUSTRATIVE DUTIES
correctional services internal auditor 2
Conduct or assist in conducting in-depth audit studies to identify and isolate perceived management problems.
- Research background literature and materials pertinent to target problem and assist in devising audit plan and measurement tools.
- Assist in briefing and orientation of New York State control agency staff, departmental technical support personnel, etc.; who will be involved in the audit activity.
- Conduct on-site visits to target areas and personally observe and identify problems.
- Implement audit procedures and techniques.
- Examine source documents, files, and reports relating to the activity under the study.
- Identify whether or not established policies, practices, and procedures relevant to target areas are followed.
- Ensure necessary information is collected and may recommend that additional information be collected. Make recommendations that target areas be expanded or reduced and may suggest revision of data collection methods.
- Responsible for preparation of assigned reports and appraisals of existing operating practices pertinent to target areas.
Upon identification of problem areas listed above, determine those factors within the organization which contribute to such problems.
- Develop necessary analysis systems and plans.
- Interview operating staff and program participants to obtain their perspective of contributing factors.
- Obtain information such as work methods and procedures, program evaluations, work controls, etc.
- Determine those influences not controllable by the organization which contribute to the inability of the organization to meet its goals.
- Develop or assist in developing finalized reports identifying specific factors which have resulted in management problems within the agency.
- Make oral presentations to agency officials and other concerned parties to describe study findings.
Develop or assist in the development and/or revision of work and reporting methods.
- Identify and determine effectiveness and efficiency of existing management practices relevant to target areas.
- Examine pertinent management and administration theory and develop effective management practices and support systems required to meet necessary goals.
- Prepare and develop monitoring systems to measure effectiveness of revised operating systems.
- Prepare reports based on problem analysis including cost/benefit analysis, alternative systems analysis, etc.
- May be required to function under-cover in the case of apparent misappropriation.
- Identify method of misappropriation and those involved in such activity.
- Recommend appropriate penalties based upon evidence obtained; i.e., discipline, transfer, resignation, court action, etc.
- Assist in the preparation of material for disciplinary action or court presentation.
- May serve as a witness in court and/or disciplinary hearings.
CORRECTIONAL SERVICES INTERNAL AUDITOR 3
May perform all of the same duties and functions as a Correctional Services Internal Auditor 2.
Act as primary liaison with individual Office of the State Comptroller audit team leaders in their audit tasks within the Department.
- Meet with team leaders prior to beginning audits to determine the scope and nature of the audit that will be conducted and to provide assistance in developing an appropriate audit plan.
- Brief appropriate executive team members and division directors of the nature and scope of audits and attempt to elicit from them any potential problem areas that may be identified by auditors.
- Brief facility Superintendents in the case of facility audits or appropriate Central Office directors in the case of Central Office audits regarding the nature of the audit, who will participate, what the auditors will be looking for, etc. Convey the Departments philosophy relative to such audits and the appropriateness of providing support to auditors.
- During the course of audits, maintain continual contact with audit team leaders and, at times, individual auditors relative to information needs and ensure that such information is provided in an appropriate fashion by the management and staff of the agency or personally provide such information.
- Discuss with individual auditors possible problem areas that have been identified and attempt to find appropriate answers to questions and concerns raised by auditors relative to information they are receiving and whether the information is correct and is being viewed by the auditors in the proper light.
- Immediately inform the Assistant Commissioner of problem areas that cross agency lines and make recommendations as to either policy modifications or the establishment of new policies or procedure modifications to ensure conformity to appropriate standards.
- Once the basic audit findings have been developed, the agency is usually provided with an opportunity to comment relative to the findings on a formalized basis. Using assigned staff, based on the needs of the individual audit, determine the appropriateness of the findings and develop potential responses for the Assistant Commissioner and the Commissioner of the Department relative to these findings.
Act as a team leader and the direct representative to the Assistant Commissioner in developing firm solutions to legitimate deficiencies determined by the Office of the State Comptroller relative to agency operations, either during the course of the audit or immediately after the audit has been finalized.
- Based upon the nature of the problems, work with appropriate division directors and facility Superintendents to identify staff who have sufficient background, skills, and expertise in the area being covered to develop a temporary management team aimed at developing appropriate solutions.
- Identify the scope of the individual activity for each team member, their specific responsibilities, and the timelines for completion.
- Continually work with staff to ensure that the potential solutions being developed are appropriate to overall agency needs and policy.
- Present the final solution to the Assistant Commissioner and, at times, to the Department Commissioner and obtain permission for the development of new policy and for the creation of procedures, either relative to a specific agency operation, or to across-the-board operations in all correctional facilities, or within Central Office.
- Work with the Training Academy and with team members in developing necessary training courses to ensure that procedures can be implemented.
- Explain to auditors the specific activities to be taken during the audit and discuss the appropriateness of said activities with audit members. Make modifications based upon team input.
- Review or supervise the reviewing of the progress of implementing new procedures to ensure that the new procedures are implemented appropriately.
May supervise subordinate staff.
- Provide supervision, guidance, and oversight to subordinate staff, and intervene and resolve problems as necessary.
- Determine and oversee staff assignments.
- Approve leave and track time and attendance.
- Review, monitor, and evaluate staff performance.
- Complete performance evaluations.
- Identify training needs and arrange for provision of training.
- Manage and direct program activities by setting priorities and deadlines.
CORRECTIONAL SERVICES INTERNAL AUDITOR 5
May perform all of the same duties and functions as a Correctional Services Internal Auditor 3.
Evaluate the audit needs of the New York State Department of Correctional Services.
- Analyze the existing capabilities of the Bureau of Internal Controls.
- Review methods, procedures, and related techniques existing within the Bureau to determine internal improvements that may be made.
- Review the methods used to report data and existing control procedures within the agency to determine where increased efficiency may be gained.
- Working with the Office of the State Comptroller, assess their intent relative to the audit functions as related to the Department.
- Recommend changes in both internal and external policies, procedures, and techniques that will increase efficiency to the Assistant Commissioner, and upon receiving consent, implement said changes.
- Recommend modifications to organizational structure, internal reassignment, and techniques that will allow the agency to obtain a capability sufficient to meet the intent of the Comptrollers Office relative to the audit functions.
Provide oversight to the Bureaus Administration.
- Responsible for administering the activities of the unit, including budget preparation, scheduling audits and review, and the recruitment, training, and supervision of staff.
- Organize activities and functions of subordinate staff in accordance with priorities of the agency, the needs of the office, and the qualifications and talents of staff.
- Prepare and maintain current duties descriptions for staff members and evaluate performance at designated intervals.
- Prepare and submit monthly and annual reports to the Assistant Commissioner, and other reports as requested.
Develop policy and procedures.
- Develop and maintain the Departments Policy and Procedure Manual.
- Coordinate the policy and procedure development program with the Bureaus other responsibilities.
- Develop appropriate systems to ensure the regular scheduled review of existing departmental directives.
- Develop and administer a system providing for the comprehensive and coordinated review of proposed new directives by Executive staff, facility managers, and technical experts and for ensuring that new directives reflect the requirements of laws, rules, and regulations and other standards affecting the department.
- Develop and administer systems for the publication and dissemination of directives. As part of this responsibility, has the duty of designing and implementing a policy distribution system that is compatible with the Departments increasing use of technology.
- Develop and administer systems to ensure that as policies and procedures are identified as needing revision appropriate adjustments are made in the compliance review and cost-savings initiative programs affected by these changes.
- Identify and evaluate informal procedures and practices so that the Departments managers may determine whether such practices should be abolished as formal departmental policy and procedure through the issuance of appropriate directives.
Administer compliance review and operational auditing.
- Responsible for developing and administering survey and compliance and operational audit techniques and report formats that meet the managerial review needs of the Department.
- Ensure that compliance and operational audit techniques are reviewed and changed as necessary to meet the changing management needs of the Department and to reflect changes in laws and other standards with which compliance is required.
- Ensure that agency priorities concerning programs and facilities which require compliance reviews are met.
- Establish long-term schedules to ensure the periodic review of all agency programs and correctional facilities.
- Administer systems to ensure that technical program experts outside the Bureau are utilized as necessary to conduct managerial reviews and for ensuring that such personnel are properly trained in management review techniques.
- Review and approve all reports of management review findings and disseminate appropriately.
- Coordinate surveys and operational audits with similar programs conducted by outside agencies.
- Develop strategies to correct deficiencies identified during surveys and management reviews and ensure that appropriate Department managers are informed.
- Collaborate with program managers and facility superintendents to discuss and clarify survey and audit methods, findings, conclusions, and recommendations.
- Review, edit, and revise preliminary and final audit and survey reports as necessary, to ensure objectivity, accuracy, completeness, and consistency with agency policies and procedures.
Provide oversight to Management Improvement Programs.
- Responsible for the development and administration of appropriate programs for the receipt, review, tracking, and analysis of employee suggestions and for the submission of appropriate recommendations to the Department of Civil Service.
- Identify problem areas as well as potential solutions.
- Develop, implement and administer cost-savings initiative programs.
- Develop systems and techniques to ensure the coordination of the Employee Suggestion Program and the cost-savings initiative program with other management improvement programs identified through compliance review surveys and operational audits.
Provide oversight to the Correctional Facility Accreditation Program.
Direct the review of all departmental directives to ensure consistency with the Commission of Accreditation for Corrections.
Plan and administer a program to achieve the revision, as necessary, of departmental directives in order to achieve Department-wide compliance with the Commission of Accreditation for Corrections standards.
May plan and administer pre-audits to assist facility managers in their preparation for Commission of Accreditation for Corrections accreditation and re-accreditation reviews.
MINIMUM QUALIFICATIONS
CORRECTIONAL SERVICES INTERNAL AUDITOR 2
Open Competitive: A Bachelors Degree in accounting and two years of experience performing auditing or budget/fiscal related activities. These activities must have been in a major correctional setting with a network of at least 30 facilities including a full range of security operations from community based release programs to maximum security confinement.
CORRECTIONAL SERVICES INTERNAL AUDITOR 3
Open Competitive: A Bachelors Degree in accounting and three years of professional level experience within a major correctional setting with a wide spread network of at least 30 facilities including a full range of security operations from community based release programs to maximum security confinement. One year of the above experience must have included responsibility for conducting major audit, management analysis, or budget/fiscal analysis activities.
Substitution: a Masters Degree in criminal justice may be substituted for two years of the general experience.
Promotion: six months of permanent competitive experience as a Correctional Services Internal Auditor 2.
CORRECTIONAL SERVICES INTERNAL AUDITOR 5
Open Competitive: A Bachelors Degree and seven years of progressively responsible experience including three years in a supervisory capacity in the area of internal audit, management analysis, or budget/fiscal analysis. The general experience must include responsibility for conducting major audits, management analysis, or budget/fiscal activities.
Substitution: A Masters Degree in the appropriate field may substitute for two years of the general experience.
Promotion: One year of permanent competitive experience as a Correctional Services Internal Auditor 3.
Date: 5/09
NOTE: Classification Standards illustrate the nature, extent and scope of duties and responsibilities of the classes they describe. Standards cannot and do not include all of the work that might be appropriately performed by a class. The minimum qualifications above are those which were required for appointment at the time the Classification Standard was written. Please contact the Division of Staffing Services for current information on minimum qualification requirements for appointment or examination.