Division. In June, Technical Communications Specialist Sylvia McDaniel was
hired to assist with the Department's website and NSA reports. OIG had
temporary ...
Oakland Police Department Office of Inspector General Annual Report Year 2008
Presented March 18, 2009
Primary Authors: Captain Paul Figueroa Ms. Sylvia McDaniel
2008 OIG Annual Report TABLE OF CONTENTS
Introduction...............................................................................................................1 Role of the Office of Inspector General....................................................................1 Staffing......................................................................................................................1 Fiscal Management Report........................................................................................2 Training Received and/or Provided...........................................................................3 Significant Accomplishments....................................................................................4 Productivity Performance Data..................................................................................5 Other Performance Data.........................................................................................…6 Plans and Goals for Year 2009...................................................................................6
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2008 OIG Annual Report INTRODUCTION The Office of Inspector General’s (OIG’s) Annual Report summarizes performance data for the Division. It also reflects activities and efforts to assess the success and efficiency of the Department’s operations within the parameters of the Negotiated Settlement Agreement (NSA). The reporting period covered is January 1, 2008 through December 31, 2008. This report fulfills the reporting required by Departmental General Order A-7, Annual Management and Department Reports, and incorporates its seven mandatory content elements. OIG continues to provide compliance management for the NSA and to conduct NSA-mandatory audits and reviews. These efforts aid the Department’s focus on implementation through compliance, observations, audits, and reporting efforts. ROLE OF THE OFFICE OF INSPECTOR GENERAL OIG is responsible for oversight and review of reform work within the Department. Through audits, reviews, Compliance Assessor oversight, and regular meetings with executive management, OIG is building the Department’s self-monitoring capacity. In 2008, OIG facilitated the development and/or revision of a number of policies critical to ensuring successful implementation of NSA requirements, including policies on criminal misconduct investigations, probable cause arrest authorization, complaints against Department personnel or procedures, community policing, and daily details. OIG continually assesses the need for technological solutions that will increase the efficiency and effectiveness of Department work practices, including reform efforts. The OIG Division is comprised of two units, Audit/Inspections and Compliance. The Audit Unit assesses compliance with NSA requirements, and makes recommendations to fix deficiencies and improve management accountability. The Compliance Unit serves as a liaison between the Department, the Independent Monitoring Team (the IMT), and the plaintiff’s counsel. It also assists in OPD’s compliance with the NSA. The Unit ensures that documents, data, and records are maintained as required by the NSA. In addition, the Compliance Unit facilitates policy and publication development for the entire department. OIG also facilitates collection and processing of data and documents and provides the IMT with access to Department personnel as needed. Finally, OIG continually works to enhance the public’s confidence in the integrity of the officers who honorably serve the citizens of Oakland. STAFFING OIG staffing underwent some personnel changes during the year. At the start of 2008, Ms. Andrea Van Peteghem, AAII, was placed on loan to the Bureau of Investigation, Crime Analysis Section. Annuitant Sergeant Jay Crawford has remained to assist with performance audits and the Department’s efforts to seek accreditation from the Commission on Accreditation of Law Enforcement Agencies (CALEA). Lieutenant Demetrio Lozares transferred to the Eastmont Station (Area 3) and Lieutenant Kirt Mullnix transferred in from the Youth and Family Services
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2008 OIG Annual Report Division. In June, Technical Communications Specialist Sylvia McDaniel was hired to assist with the Department’s website and NSA reports. OIG had temporary assistance from three people who were assigned to light duty positions in 2008. Officer Byron Reed conducted a review of daily details to ensure that they were conforming to the new Daily Detail policy. He also assisted with compiling audit documents for the IMT. Officer Edwin Somarriba conducted reviews of span of control and witness identification during arrests. Communications Dispatcher Jennifer Childs conducted a review of supervisory notes files and provided feedback to all Bureaus about which files were missing. OIG Staffing for 1-Year Period (January 2008 through December 2008) Classification
Authorized
Filled
Loaned
Vacant
Captain of Police
1
1
0
0
Lieutenant of Police
1
1
0
0
Sergeant of Police
2
2
0
0
Police Program & Performance Auditor
1
1
0
0
Administrative Analyst II
3
2
1
0
Police Records Specialist
2
2
0
0
Technical Communications Specialist
1
1
0
0
11
10
1
0
Totals
FISCAL MANAGEMENT REPORT While this OIG Annual Report covers the 2008 calendar year, the City of Oakland’s fiscal year reporting period is from June to July. As a result, these numbers reflect activity from the fiscal year rather than the calendar year period. The expenditures for Fiscal Year 2007-2008 are listed below. OIG expenditures (in particular, for Operations & Maintenance) were less than the budget appropriation, resulting in a surplus of $168,008. Fiscal Management of Expenditures July 2007 – June 2008 Budget Appropriation (dollars)
Appropriation Categories O&M
Overtime Total
Difference (dollars)
1,138,489
872,249
266,240
0
0
0
1,480,734
1,575,985
12,734
15,716
2,631,957
2,463,950
168,008
Grants Personnel (excluding OT)
Actual Expenditures (dollars)
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2008 OIG Annual Report Grants Summary OIG received no grant funding in FY’07 – ’08. Discussion of Personnel and Overtime Expenditures Funding allocated/budgeted for both civilian and sworn salaries was fully expended. Additionally, because civilian salaries are budgeted at 96%, an over-expenditure of 4% occurs when a unit is fully staffed all year. (This accounts for over half the Personnel over-expenditure.) Overtime costs attributed to time-sensitive projects associated with NSA Compliance plans and associated issues were lower than last year. Funds that were overspent and/or not budgeted for the year will be extracted from other accounts within the OIG budget during the upcoming fiscal year. TRAINING RECEIVED AND / OR PROVIDED Training Received Captain Figueroa attended two seminars in San Francisco: 1. ICS 300: Intermediate Incident Command System for Expanding Incidents (June 11-12, 2008, 16 hours). 2. Institute of Internal Auditors 2008 International Conference (July 7-9, 2008, 21 hours). This conference included topics such as best practice internal auditing; emerging audit issues, global benchmarking and fraud. Manager Burgess attended four seminars: 1. ICS 300: Intermediate Incident Command System for Expanding Incidents (June 11-12, 2008, 16 hours), San Francisco, CA. 2. International Law Enforcement Auditors Association (ILEAA) Conference: Police Performance Auditing (Oct 19-21, 2008, 21 hours), San Jose, CA. The conference focused on improving accountability and efficiency; auditor independence; quality assurance; internal controls; and police property units. 3. Institute of Internal Auditors 2008 International Conference (July 7-9, 2008, 21 hours), San Francisco, CA. The conference included topics such as best practice internal auditing; emerging audit issues, global benchmarking and fraud. 4. Institute of Internal Auditors: Communicating Audit Results (May 13, 2008, 5.5 hours), San Francisco, CA. The training focused on communicating with auditees and writing audit reports. Sergeant Carranza attended a 1-day class (7 hours) on Leadership and Ethics, taught by Mark J. Wittenberg, an original facilitator of the California Supervisory Leadership Institute, and subject matter expert on integrating leadership, ethics, and community-oriented policing. Technical Communication Specialist McDaniel took two Citywide Training courses: Business Writing (October 30, 2008, 6 hours) and Writing & Presenting (November 4, 2008, 3 hours).
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2008 OIG Annual Report In addition to the above-listed specific training, OIG staff attended Department training as required for their positions, including In-Service Firearms Qualifications, Telestaff, California Law Enforcement Telecommunication System (CLETS), and Command Retreats. As well, staff was trained on all Department policies and procedures published in 2008. Staff was also trained on two independent study courses from the Emergency Management Institute: Introduction to the Incident Command System (IS-00100.LE) and National Incident Management System (NIMS), An Introduction (IS-00700). Training Provided Lieutenant Mullnix coordinated the quarterly Hostage Negotiations training (TNT: Tactical Negotiations Team) (4 sessions at 8 hours each = 32 hours training). Sergeant Carranza facilitated a 2-hour CPT course on Leadership and Ethics 24 times during the year, for a total of 48 hours. OIG’s Management Assessment Program (MAP) continues to be held biweekly and is attended by Commanders. During these meetings, the Inspector General discusses material and/or issues related to the NSA and conducts necessary training. The Department’s NSA Compliance Assessors continue to participate in the MAP meetings, providing updates on their assigned tasks. In 2008, OIG began to hold exclusive meetings with the NSA Compliance Assessors. These meetings are held once a month, one hour prior to MAP, and are intended to allow the Compliance Assessors and Back-Up Assessors to discuss issues – or successes – related to the tasks they are assigned. OIG staff provided remedial training for Department personnel on NSA-related material when necessary. For example, Sergeant Carranza provided NSA training to the 163rd, 164th, and 165th Police Academies (totaling 6 hours). In addition, OIG staff provided technical assistance to OPD staff when appropriate. SIGNIFICANT ACCOMPLISHMENTS As well as continuing to handle the Management Assessment Program and facilitating technical support throughout the Department, OIG achieved a number of accomplishments during this reporting period. Those accomplishments are identified below. Oversight and Review of NSA Tasks OIG facilitated the development and/or revision of a number of policies critical to ensuring successful implementation of NSA requirements, including policies on criminal misconduct investigations, probable cause arrest authorization, complaints against Department personnel or procedures, community policing, and daily details. OIG continually assesses the need for technological solutions that will increase the efficiency and effectiveness of Department work practices, including reform efforts.
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2008 OIG Annual Report
OIG developed new policies and processes and expedited publication and training on NSArelated subject matter, and achieved and exceeded substantial policy and training compliance in published policies for all NSA tasks. Pursuit of CALEA Accreditation OIG and the City Attorney continue to explore the process of achieving accreditation from the Commission on Accreditation of Law Enforcement Agencies (CALEA). CALEA is an organization that was created to advance the best practices in the law enforcement profession, and to develop and administer a process for recognizing such excellence. The benefits of becoming an accredited agency include: offering greater accountability within the agency; liability reduction and a stronger defense against civil lawsuits; support from government officials; and increased community advocacy. CALEA provides a proven and effective total management model for professional police agencies. Department Website Oversight OIG began work with the City’s Department of Information Technology and a private contractor to redesign the Department website. The goal is improved website functionality and accessibility and ability to update website content as necessary. This work continues as the City fine-tunes its Citywide site. PRODUCTIVITY PERFORMANCE DATA During this reporting period, OIG generated the following work products: • Tracked progress for all 51 NSA Tasks. • Continued tracking of Task activity by monitoring the Compliance Assessors’ monthly progress reports for each tracked NSA Task. • Facilitated 10 Monitors’ meetings with NSA stakeholders. • Conducted NSA training for commanders, supervisors, members, and employees. • Conducted seven internal audits/reviews. • Provided weekly compliance updates to the Chief of Police and senior managers regarding status of NSA Tasks. • Provided status reports to the City Council and Public Safety Committee. • Facilitated internal policy and stakeholder meetings. • Provided oversight to various working groups charged with developing or revising policies. • Provided policy reviews for compliance with the NSA. • Completed a combined Semi-Annual Report for the Court and a Department Annual Report as required by the NSA. • Coordinated compliance issues for all tasks and Independent Monitoring Team document requests for approximately 23 tasks and subtasks.
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2008 OIG Annual Report OTHER PERFORMANCE DATA No OIG member was involved in a use of force incident during 2008. There were no major attendance and/or performance employee matters, and minor infractions were handled through the normal supervisory procedures. OIG had no other performance information to report during this calendar year (no complaints, vehicle pursuits, preventable vehicle collisions or firearms discharges). PLANS AND GOALS FOR YEAR 2009 OIG has been working hard to achieve actual practice compliance as established by the NSA and to implement systems that represent some of the best in the Nation. OIG will continue to provide sound assessment of Department compliance with the NSA. OIG will continue to meet proactively with commanders to ensure that they receive timely feedback regarding their performance. In addition, OIG will rely more heavily on the Compliance Assessors to provide monthly reports at the biweekly Management Assessment Program meetings. With increased vigilance and expertise, the Department can attain full compliance with the NSA. The Department remains dedicated to seeing the provisions of the NSA fully implemented in a manner that will allow OPD to become re-established as a premier law enforcement agency while also continuing to preserve the rights of the citizens of Oakland. This will require patience, perseverance, and optimism on the part of OPD personnel. OIG’s goals and plans for the forthcoming year are as follows: Goal 1: Provide the Chief with Thoughtful and Unbiased Analysis of OPD’s Policies and Procedures • Recognize Departmental successes and provide specific recommendations for improvement. • Focus on the root causes of Departmental inefficiencies along with solutions. • Ensure OIG staff conducts audits and reviews consistent with industry standards. Goal 2: Ensure Compliance with the NSA • Facilitate MAP meetings. • Continually evaluate the Compliance plan, track its progress and revise as necessary. • Conduct competent audits to assess the Department’s compliance with the NSA and/or other topic areas assigned by the Chief of Police. • Provide independent and objective information about the Department’s compliance status and challenges it faces. • Increase the recognition given to an OIG audit, culminating in OIG’s ability to make a compliance determination with the Court. Goal 3: Assume the Research and Planning Functions of OPD • Seek to become the central repository of historical documents and new policy formulation via the Policy and Publications Unit.
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2008 OIG Annual Report • • •
Network with other law enforcement agencies to ensure the Department’s policies and programs reflect the highest levels of police accountability. Maintain OPD’s commitment to teaching, and to the identification and dissemination of innovative ideas. Research, initiate and coordinate the CALEA process.
Goal 4: Provide a Safe, Respectful, and Professional Place to Work • Practice ethical law enforcement. • Provide competent, and effective public safety services. • Encourage professional development of members and employee through academic and professional training.
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